The Ethics and Conflict of Interest Code for Senators

47. (1) A preliminary review is conducted to decide if an inquiry is warranted to determine whether a Senator has not complied with his or her obligations under the Code.

47. (2) The Senate Ethics Officer shall conduct a preliminary review if he or she:
(a) has reasonable grounds to believe a Senator has not complied with his or her obligations under the Code; or
(b) receives a request to conduct an inquiry from a Senator who has reasonable grounds to believe another Senator has not complied with his or her obligations under the Code.

47. (3) A request for an inquiry under paragraph (2)(b) shall be in writing and shall be signed by the initiating Senator, and it shall identify the alleged non-compliance and the reasonable grounds for the belief that the Code has not been complied with.

47. (4) The Senate Ethics Officer shall notify a Senator who is to be the subject of a preliminary review and shall provide the Senator with the following:
(a) in the case of a review initiated by the Senate Ethics Officer under paragraph (2)(a), a written notice stating the reasonable grounds for the belief that the Senator has not complied with the Code and identifying the obligations under the Code that would not have been complied with; or
(b) in the case of a review following a request for an inquiry received from a Senator under paragraph (2)(b), a copy of the request received from the initiating Senator.

47. (5) The Senate Ethics Officer shall conduct a preliminary review confidentially and as promptly as circumstances permit.

47. (6) Any person participating in the preliminary review process is expected to respect its confidential nature and to cooperate with the Senate Ethics Officer.

47. (7) The Senate Ethics Officer shall afford the Senator who is the subject of a preliminary review an opportunity to respond within 15 days following the day on which the Senator is notified pursuant to subsection (4).

47. (8) The period provided under subsection (7) may be extended by the Senate Ethics Officer if the circumstances so warrant.

47. (9) Reasonable grounds to believe a Senator has not complied with his or her obligations under the Code may be based on an unsubstantiated oral or written statement for the purpose of initiating a preliminary review, but such a statement is not adequate proof of an alleged fact for the purpose of making a finding in a preliminary review.

47. (10) Following a preliminary review, the Senate Ethics Officer shall write a letter to the Senator who was the subject of the review, informing the Senator of his or her reasoned decision as to whether or not an inquiry is warranted.

47. (11) In the preliminary determination letter, the Senate Ethics Officer may make one of the following findings regarding reasonable grounds:
(a) that there are no reasonable grounds for concern that the Senator has breached his or her obligations under the Code;
(b) that there are insufficient reasonable grounds for concern that the Senator has breached his or her obligations under the Code; or
(c) that there are sufficient reasonable grounds for concern that the Senator may have breached his or her obligations under the Code.

47. (12) In the preliminary determination letter, the Senate Ethics Officer may make one or more of the following findings regarding a possible breach of the Code:
(a) that an obligation under the Code may have been breached but that the non-compliance was trivial;
(b) that an obligation under the Code may have been breached but that the non-compliance occurred through inadvertence or an error in judgment made in good faith;
(c) that an obligation under the Code may have been breached but that all reasonable measures were taken to prevent the non-compliance; and
(d) that an obligation under the Code may have been breached, but that the situation has been addressed and remedied to the satisfaction of the Senate Ethics Officer or the Senator has undertaken to address and remedy the situation to the satisfaction of the Senate Ethics Officer.

47. (13) In the preliminary determination letter, the Senate Ethics Officer may make a finding that the request for an inquiry was frivolous or vexatious or was not made in good faith, in which case he or she shall also determine whether an inquiry is warranted into the conduct of the Senator who made the request.

47. (14) The Senate Ethics Officer shall first deliver his or her preliminary determination letter, on a confidential basis, to the Senator who was the subject of the preliminary review.

 47. (15) In the case of a review initiated following the request of a Senator under paragraph (2)(b), the Senate Ethics Officer shall also deliver a copy of the preliminary determination letter, on a confidential basis, to the initiating Senator.

47. (16) Unless the matter has remained confidential, the Senate Ethics Officer shall also provide a copy of his or her preliminary determination letter, on a confidential basis, to the Committee when he or she has determined that an inquiry is not warranted.

47. (17) The Chair of the Committee shall cause a true copy of the preliminary determination letter received by the Committee under subsection (16) to be tabled in the Senate at the first possible opportunity; if the Senate is not sitting on the day on which the Committee receives the letter, or if Parliament is dissolved or prorogued, the Chair shall also cause a paper or electronic copy of the letter to be deposited with the Clerk of the Senate at the first opportunity.

47. (18) A copy of a preliminary determination letter deposited with the Clerk of the Senate pursuant to subsection (17) is a public document.

47. (19) The Committee may ask the Senate Ethics Officer at any time whether a preliminary review about a particular Senator and matter is being or has been conducted, and the Senate Ethics Officer shall respond but shall not provide the Committee with any further information.

47. (20) A preliminary review in respect of a Senator who ceases to be a Senator is permanently suspended unless the Committee decides otherwise.

47. (21) For the purpose of subsection (20), when a matter has remained confidential, the Senate Ethics Officer shall inform the Committee of the preliminary review and of its status.

47. (22) The Committee shall consider any representations from the former Senator, from any Senator who initiated the review and from the Senate Ethics Officer before making its decision under subsection (20).