9.01 In this part and with the exception of the definition of “law firm” outlined in Rule 9.01.1(4) and “remedial agreement” outlined in Rule 9.02.2(1), the meaning of all terms shall be as defined and/or described in the Law Society Act, 1999.
(Amended: Rule 9.01, Benchers’ Meeting, June 10, 2022)
9.01.1(1) A law firm shall provide the society with the name(s) and address(es) of a person(s) of the law firm designated to receive information from the society with respect to allegations, complaints, and disciplinary matters involving a member of the law firm (‘the respondent”). Unless authorized by the director of professional responsibility, the person(s) designated shall be a member(s) of the society.
(2) When there is a change in the designated person(s) information previously filed with the society, the member and law firm shall provide the name(s) and address(es) of the newly designated person(s).
(Amended: Rule 9.01.1(b), Spring Term Convocation, April 3, 2006)
(3) The designated person(s) will receive notification at the time a response is required from the respondent, upon a referral to the fitness to practice committee, the filing of a complaint or the implementation of disciplinary action. Copies of relevant documentation may be provided to the designated person(s) provided that any such disclosure would not have the effect of disclosing privileged information.
(Amended: Rule 9.01.1, Benchers’ Meeting, June 10, 2022)
(4) For purposes of this rule, “law firm” includes a professional law corporation, partnership of professional law corporations or any combination thereof, the Newfoundland and Labrador Department of Justice and Public Safety, the Newfoundland and Labrador Legal Aid Commission, the Department of Justice (Canada) and one or more members of the society practising in any other unit of a public body, Crown Corporation, or as in-house counsel in a private enterprise.
(Adopted: Rule 9.01.1, Special Term Convocation, December 6, 2004; Rule 9.01.1(a, b & d): Amended Summer Term Convocation, June 10, 2005;)
Consideration by the vice-president
9.02 (1) On receipt of written documentation raising concerns about a member, the vice president shall review it to determine whether or not any concerns raised constitute an allegation and
Respondent to receive copy of allegation
(2) The vice president shall send a copy of the allegation to the respondent.
(Amended: Rule 9.02(1 & 2), Summer Term Convocation, June 6, 2003)
FITNESS TO PRACTICE COMMITTEE
Referral to the Fitness to Practice Committee
9.02.1 (1) Notwithstanding any other provision of these Rules, if
a. ) an allegation raises concerns about a member’s capacity,
b. ) a person, in the absence of an allegation, raises concerns about a member’s capacity to the Society, or
c. ) a member self-reports concerns about their capacity to the Society, the vice-president may, where the vice-president determines that it is in the public interest to do so and the member consents, refer the matter to the fitness to practice committee.
(2) If a matter before the complaints authorization committee raises concerns about a member’s capacity, the complaints authorization committee may, where the complaints authorization committee determines that it is in the public interest to do so and the member consents, refer the matter to the fitness to practice committee.
Remedial Agreements
(Amended: Rule 9.02.1, Benchers’ Meeting, June 10, 2022)
9.02.2 (1) For purposes of this rule, “remedial agreement” means an agreement approved by the fitness to practice committee setting out the terms and conditions to be met by a member to address issues of capacity.
(2) Where, following a review of a medical assessment and other relevant information, the fitness to practice committee has reasonable concerns about a member’s capacity, the fitness to practice committee may enter into a remedial agreement with a member where:
a. ) it is in the public interest to do so; and
b. ) the member consents.
(Amended: Rule 9.02.2, Benchers’ Meeting, June 10, 2022)
(3) If the review set out in subrule 9.02.2(2) does not raise reasonable concerns about a member’s capacity, the fitness to practice committee must
a. ) refer the matter to the vice-president where the matter had been referred by the vice-president, or
b. ) refer the matter to the complaints authorization committee where the matter had been referred by the complaints authorization committee.
9.02.3 (1) A remedial agreement may include some or all of the following provisions:
a. ) the member submit to such further medical assessments as the fitness to practice committee deems appropriate;
b. ) the member undertake to complete or complete any applicable course of treatment designed to address any issues concerning the member’s capacity at the member’s own expense unless the fitness to practice committee determines otherwise;
c. ) the member authorize the fitness to practice committee to receive reports from the medical assessments or treatment referred to in clauses (a) and (b);
d. ) the member agree to accept practice restrictions or conditions on the member’s practicing certificate or a withdrawal from practice pending completion of the terms and conditions in the remedial agreement;
e. ) the member be permitted to permanently withdraw from practice;
f. ) such other provisions as the member and the fitness to practice committee may agree.
(2) The fitness to practice committee may amend a remedial agreement, with the member’s consent.
(3) If the member does not consent to the amendment of a remedial agreement, the fitness to practice committee must
a. ) refer the matter to the vice-president where the matter had been referred by the vice-president, or
b. ) refer the matter to the complaints authorization committee where the matter had been referred by the complaints authorization committee.
(4) If, at any time during the course of the remedial agreement, or where the remedial agreement has been amended pursuant to subrule 9.02.3(2), the fitness to practice committee determines that the member has not met the terms and conditions of the remedial or other agreement, the fitness to practice committee may
(a) refer the matter to the vice-president where the matter had been referred by the vice-president, or
(b) refer the matter to the complaints authorization committee where the matter had been referred by the complaints authorization committee.
(5) The fitness to practice committee in existence at any time retains jurisdiction over a member who is subject to ongoing terms and conditions of a remedial agreement or an interim agreement to monitor the member’s compliance.
(6) When a remedial agreement has been completed, the fitness to practice committee must notify the vice-president, and the vice-president must give notice to the complainant, where applicable.
(7) If a matter is referred back to the vice-president or the complaints authorization committee, all material in the possession of the fitness to practice committee must be provided to the vice-president or complaints authorization committee, as applicable.
(8) If the fitness to practice committee refers a matter back to the vice-president or complaints authorization committee, the fitness to practice committee must prepare written reasons which must be provided to the member, the vice-president and, if applicable, the complaints authorization committee.
(Amended: Rule 9.02.3, Benchers’ Meeting, June 10, 2022)
Consent
9.03(1) The vice president may attempt to resolve the allegation through alternate dispute resolution at any time prior to a complaint being referred to discipline with the written consent of the complainant and the respondent.
Written response not required
(2) The vice president may dispense with the requirement for the respondent to file a written response under rule 9.04(3) where the vice president is of the opinion that the allegation may be satisfactorily resolved through alternate dispute resolution.
Parties
(3) Alternate dispute resolution shall be conducted by the vice president or a person appointed by the vice president. The parties to alternate dispute resolution are the complainant, the respondent and, if the vice president considers it necessary, the society.
Confirmation of resolution
(4) Where the allegation is satisfactorily resolved through alternate dispute resolution the person conducting the alternate dispute resolution shall, within 7 days, provide written notice of the confirmation of the resolution of the allegation to the complainant, the respondent and the director of professional responsibility.
Where alternate dispute resolution unsuccessful
(5) Where alternate dispute resolution does not satisfactorily resolve the allegation, the vice president shall proceed to investigate the allegation under rule 9.04.
(Adopted: Rules 9.01-9.03, Winter Term Convocation, January 24, 2000 and Executive Committee, February 2, 2000; Amended: Rule 9.03(1-5), Summer Term Convocation, June 6, 2003)
9.04 (1) Subject to rules 9.02 and 9.03, the vice president may investigate the allegation and may require a written response from the respondent.
(Adopted : Rule 9.04(1), Summer Term Convocation, June 9, 2000)
(2) The vice president may appoint such person or persons as the vice president considers appropriate to assist in the investigation of the allegation.
(Adopted: Rules 9.04(2), Winter Term Convocation, January 24, 2000 and Executive Committee, February 2, 2000)
Written response within 14 days
(3) Subject to rule 9.03(2) the respondent shall:
(Amended: Rule 9.04(3), Summer Term Convocation, June 9, 2000)
Proof of delivery
(4) A request for a response may be made either personally, by delivering a copy to the respondent’s home, address of record, or their solicitor’s address of record, or by other appropriate means including via email to the email address of record.
Failure to respond
(5) A respondent’s failure to respond in writing to the allegation or to inquiries by the vice-president or the complaints authorization committee within 14 days or by the date set by the vice president or the complaints authorization committee, without reasonable excuse, may constitute conduct deserving of sanction.
(5.1) Where a respondent fails to respond in writing to the allegation or to inquiries by the vice-president or the complaints authorization committee within 14 days or by the date set by the vice-president or the complaints authorization committee, the Executive Director shall send a notice in writing to the respondent informing the respondent that if the response to the allegation or to the inquiries by the vice-president or the complaints authorization committee is not filed within fifteen (15) days from the date of delivery of the notice to the respondent, the respondent’s membership or enrolment in the society shall be suspended until such time as:
i) the respondent files the response;
ii) the respondent pays an administration fee approved by Benchers
iii) the respondent complies with all conditions, restrictions and requirements imposed in accordance with the Rules; and
iv) the member complies with Rules 2.21, 6.18 and 10.02.
(Adopted: Rule 9.04 (5.1), Benchers’ Meeting, April 15, 2024)
(Amended: Rules 9.04(4) and (5), Winter Term Convocation, January 24, 2000 and Executive Committee, February 2, 2000)
Information to complainant
(6) After receiving a response from a respondent, the vice president may send to the complainant a copy of the response or any part of it or a summary of it or any information or documentation acquired in the course of the investigation provided that any such disclosure would not have the effect of disclosing privileged information.
(Amended : Rule 9.04(6), Summer Term Convocation, June 9, 2000; Amended: Rule 9.04(1-6), Summer Term Convocation, June 6, 2003)
9.05 After investigating the allegation the vice president shall submit a report of the investigation to the complaints authorization committee
(Adopted: Rules 9.05, Winter Term Convocation, January 24, 2000 and Executive Committee, February 2, 2000; Amended: Rule 9.05, Summer Term Convocation, June 6, 2003)
Consideration
9.06 (1) The complaints authorization committee shall, pursuant to s. 45 of the Act, consider the allegation and the report submitted by the vice president.
Investigation
(2) The complaints authorization committee may appoint such person or persons as the complaints authorization committee considers appropriate to assist in its investigation of the allegation.
Failure to appear
(3) A respondent’s failure to appear before the complaints authorization committee on the date and at the time set, without reasonable excuse, may constitute conduct deserving of sanction.
(Adopted: Rules 9.06(1), (2) and (3), Winter Term Convocation, January 24, 2000 and Executive Committee, February 2, 2000)
(3.1) Where a respondent fails to appear before the complaints authorization committee on the date and at the time set, the Executive Director shall send a notice in writing to the respondent informing the respondent that, if correspondence to the complaints authorization committee confirming the respondent’s agreement to appear before the complaints authorization committee is not received within fifteen (15) days from the date of delivery of the notice to the respondent, the respondent’s membership or enrolment in the society shall be suspended until such time as:
i) the respondent sends correspondence to the complaints authorization committee confirming the respondent’s agreement to appear before the complaints authorization committee;
ii) the respondent pays an administration fee approved by Benchers;
iii) the respondent complies with all conditions, restrictions and requirements imposed in accordance with the Rules; and
iv) the member complies with Rules 2.21, 6.18 and 10.02.
(Adopted: Rule 9.06 (3.1), Benchers’ Meeting, April 15, 2024)
Action on allegations
(4) After considering the allegation, the complaints authorization committee may exercise one or more of the powers set out in s. 45 of the Act.
Counsel and caution
(5) If the complaints authorization committee counsels or cautions a respondent, the society shall advise its members of the circumstances giving rise to counselling or cautioning but omitting information that may disclose the identity of the respondent.
Notice
(6) The vice president shall notify the complainant and the respondent in writing of the disposition of the allegation and of the fact that a respondent has been cautioned or counselled, if applicable.
(Adopted: Rules 9.06(4-6), Summer Term Convocation, June 9, 2000; Amended: Rule 9.06(1,5 &6), Summer Term Convocation, June 6, 2003)
Obligation of respondent
9.07 (1) A respondent shall co-operate fully in an investigation and shall provide access to all files and other records in the custody or under the control of the respondent which are relevant to the subject of the investigation.
(2) In the course of an investigation, solicitor-client privilege shall not apply as against the society to enable the respondent or the complainant to refuse to produce any information or documentation in their possession or under their control.
(Adopted: Rules 9.07(1) and (2), Winter Term Convocation, January 24, 2000 and Executive Committee, February 2, 2000)
Disclosure of Information
(3) All information and documentation obtained, which, but for this rule, would be subject to solicitor-client privilege, shall be held in confidence and shall not be disclosed except to a person carrying out duties under the Act or the rules, the complainant in circumstances contemplated by rule 9.04(6) or otherwise as required by law.
(Adopted: Rule 9.07(3), Spring Term Convocation, April 3, 2000)
(4) Notwithstanding rule 9.07(3), the society may, either upon request or at its own initiative, disclose information about the respondent to any society provided that the disclosure of information does not contravene solicitor-client privilege.
(Rule 9.07(4): Adopted Benchers Convocation, April 10, 2017)
(5) All information received by and all proceedings of the fitness to practice committee shall be kept confidential by the Society, with the following exceptions:
a. ) where a matter referred to the fitness to practice committee was initiated by an allegation, the complainant shall be notified of the referral to the fitness to practice committee;
b. ) the fitness to practice committee may authorize the Society to disclose specific information to a specific person or persons if it is determined by the fitness to practice committee that it is in the public interest to do so, provided that the disclosure of information does not contravene solicitor-client privilege;
c. ) the fitness to practice committee may authorize the Society to disclose information about the respondent to any law society provided that the disclosure of information is relevant and concerns the fitness of a member of the Society for membership in that jurisdiction;
d. ) subject to any order of an adjudication tribunal, where a matter referred to the fitness to practice committee is referred to an adjudication tribunal, information disclosed to the fitness to practice committee may be disclosed to the public if such information is disclosed in the course of a hearing.
(Adopted: Rule 9.07(5), Benchers’ Meeting, June 10, 2022)
9.07A(1) Prior to the appointment of an adjudication tribunal in accordance with s. 46 of the Law Society Act, 1999, a respondent may make an application to the complaints authorization committee to vary a decision of that committee to suspend or restrict the respondent’s license.
(2) An application to vary an interim suspension and/or practice restriction(s) shall be filed with the director of professional responsibility and a copy shall be provided to counsel for the society.
(3) On an application to vary:
(4) The complaints authorization committee may:
Contents of the complaint
9.08(1) The complaint shall include the:
(2) The names of clients and any other third-party non-lawyers shall be referenced by initials in the complaint and any identifying information relating to clients and any other third-party non-lawyers shall be redacted.
(3) Where multiple allegations relating to a respondent are referred to the disciplinary panel, the society may consolidate them into one complaint.
9.09(1) All charges that form a complaint and all complaints relating to a respondent that have been referred to an adjudication tribunal before the date set for the commencement of the hearing shall be joined and shall be heard by the same adjudication tribunal.
(2) Prior to the commencement of the hearing, the respondent or the society may apply in writing to the adjudication tribunal for an order that:
(3) An application under rule 9.09(2) shall:
(4) The adjudication tribunal may:
9.10(1) Within 90 days after the complaints authorization committee instructs the vice-president to file the complaint against the respondent and refers the matter to the disciplinary panel, the society shall provide a copy of the complaint to the:
(2) A copy of the complaint shall be provided to the adjudication tribunal appointed to hear it.
(3) Further distribution of the complaint is within the discretion of the adjudication tribunal.
Notice of referral to a hearing
9.11(1) The respondent shall be provided with a copy of the notice of referral to a hearing at the same time as the complaint.
(2) Subject to rule 9.12, the society shall publish the notice of referral to a hearing no earlier than 15 days after the respondent has been provided with a copy of the notice of referral to a hearing.
(3) The notice of referral to a hearing shall be published on the society’s website and shall include the:
Notice of application to vary the content of the notice of referral to a hearing
9.12(1) The respondent may give to the society written notice of an intention to make application to the adjudication tribunal to vary the content of the notice of referral to a hearing.
(2) The respondent shall provide the society with such written notice within 14 days of service of the notice of referral to a hearing.
(3) The respondent shall file an application to vary with the adjudication tribunal within 14 days of the appointment of the adjudication tribunal being finalized and the application shall be considered at a pre-hearing conference.
(4) If the respondent gives the society notice in accordance with rule 9.12(1), the society shall not publish the notice of referral to a hearing or notice of the hearing date until the adjudication tribunal makes a determination on the respondent’s application to vary the notice.
(5) The adjudication tribunal may give directions regarding the content of the notice and shall provide reasons where a variance is allowed.
(6) The society shall comply with the directions given by the adjudication tribunal.
9.13(1) The notice requirement outlined in rule 9.12(2) may be waived or shortened with the consent of both the respondent and the society.
Appointment of the adjudication tribunal and withdrawals
9.14(1) The chairperson of the disciplinary panel shall appoint an adjudication tribunal as soon as practicable following receipt of the complaint, and shall provide notice to the respondent and the society when the adjudication tribunal is appointed.
(2) Where the respondent or the society wishes to challenge for cause the appointment of a member of the adjudication tribunal, the challenge shall be raised with the adjudication tribunal at the earliest opportunity.
(3) The adjudication tribunal shall hear submissions, either in person or in writing, from the respondent and the society with respect to the challenge and shall decide the issue(s) raised.
(4) Where the adjudication tribunal decides that the appointment should be set aside, the appointee shall withdraw from the adjudication tribunal and shall immediately notify the chairperson of the disciplinary panel.
(5) The chairperson of the disciplinary panel shall appoint another member to the adjudication tribunal as soon as practicable following the withdrawal of any member of the adjudication tribunal.
(6) Where all members of the adjudication tribunal withdraw from their appointment, the chairperson of the disciplinary panel shall appoint a new adjudication tribunal as soon as practicable following the withdrawal of the adjudication tribunal.
(7) The adjudication tribunal appointment is final when each member accepts their appointment and any challenge to the appointment of a member of the adjudication tribunal has been resolved.
(8) The adjudication tribunal shall immediately provide notice to the parties and the chairperson of the disciplinary panel if, at any time during the course of a proceeding, any member of the adjudication tribunal identifies a conflict of interest or is otherwise required to withdraw from their appointment.
9.15(1) A pre-hearing conference shall commence within 30 days of the adjudication tribunal being appointed or as otherwise consented to by the respondent and the society.
(2) The requirement to conduct a pre-hearing conference may be waived with the agreement of the parties.
(3) The adjudication tribunal or the chairperson of the adjudication tribunal, after consulting with the parties on their availability, shall provide written notice to the parties of the time, date and place of the pre-hearing conference.
(4) The notice in rule 9.15(3) shall confirm that the adjudication tribunal may proceed in the absence of the respondent if the respondent or the respondent’s counsel does not attend the pre-hearing conference.
(5) A pre-hearing conference shall be held in private.
(6) At a pre-hearing conference the adjudication tribunal may consider:
(7) The adjudication tribunal may make orders relating to issues resolved by agreement during a pre-hearing conference.
(8) The adjudication tribunal shall provide minutes of matters resolved during a pre-hearing conference that do not require an order and the minutes will form part of the record.
(9) Unless a member or members of the adjudication tribunal are required to withdraw from their appointments, the adjudication tribunal conducting the pre-hearing conference shall be the adjudication tribunal hearing the complaint.
9.16(1) The chairperson of the adjudication tribunal shall set a date for the hearing to commence that is no earlier than 30 days after the conclusion of the pre-hearing conference, unless otherwise consented to by the respondent and the society.
(2) The date, time and place for the hearing to commence shall be set:
9.17(1) When a date is set under rule 9.16(1), the chairperson of the adjudication tribunal shall provide the parties with a notice of the hearing date at least 30 days before the date set for the commencement of the hearing, unless the respondent and the society consent to a shorter notice period.
(2) Where additional dates are set beyond the commencement of the hearing, the chairperson of the adjudication tribunal shall provide the parties with a notice of the hearing date.
(3) An order arising from an application to vary the content of the notice of referral to a hearing shall apply to a notice of the hearing date.
(4) Subject to an order arising from an application to vary the content of the notice of a referral to a hearing, the society shall publish a notice of the hearing date as soon as practicable after the hearing date is scheduled.
(5) A notice of the hearing date shall be published on the society’s website and shall include the:
a.) respondent’s name;
b.) date(s), time and place for the hearing; and
c.) general nature of the charges for a hearing on the complaint; or
d.) general nature of the charges for which the respondent was found guilty for a hearing on sanction.
Rule 9.17(2)(3)(4) and (5): Amended Fall Term Convocation, 27 September 2021)
9.18(1) The adjudication tribunal may, on its own motion, adjourn a pre-hearing conference, a hearing of an application, the complaint and/or sanction on any terms and conditions it considers just.
(2) The respondent or the society may request an adjournment of a pre-hearing conference, hearing on an application, the complaint and/or sanction by immediately notifying the other party and the adjudication tribunal.
(3) If the other party consents to the request for an adjournment, the requesting party may serve and file a written request for the adjournment stating that it is made by consent and the adjudication tribunal may:
(4) If the other party does not consent to a request for an adjournment, the requesting party shall file an application as soon as possible and the application shall contain:
(5) The adjudication tribunal may grant or deny a request or an application for an adjournment on any terms and conditions it considers just.
9.19(1) Any proceeding before the adjudication tribunal may be conducted in person, in writing, by telephone or by electronic communication including videoconference, as determined by the adjudication tribunal.
(2) In determining the mode of proceedings, the adjudication tribunal may consider any relevant factors, including:
(3) Unless otherwise directed by the adjudication tribunal, hearings shall be held in person.
(4) The adjudication tribunal may permit a hearing to proceed in writing where the respondent and the society have agreed to:
(5) A party may request an alternative to an in-person hearing by filing an application with the adjudication tribunal and concurrently providing the other party with notice of the application.
(6) A party may object to the requested mode of proceeding by filing with the adjudication tribunal and providing to the other party, a notice of objection, outlining the reasons for the objection, within 3 days after the application is served on the party.
(7) The media may, at the discretion of the adjudication tribunal, make submissions with respect to any request for an alternative to an in-person hearing that may affect public access to all or part of the hearing.
(8) On an application for an alternative to an in-person hearing, the adjudication tribunal may:
9.20(1) Unless otherwise directed by the adjudication tribunal, all proceedings before the adjudication tribunal, with the exception of pre-hearing conferences, shall be recorded by the society.
(2) No other person is permitted to transmit or record the proceedings.
(3) Unless otherwise directed by the adjudication tribunal, the society is not required to transcribe the recorded proceedings.
(4) The adjudication tribunal and the parties to the proceeding may request a copy of the audio recording and/or transcript of the hearing.
(5) Where the adjudication tribunal seeks a copy of the recording and/or transcript, the society shall incur the initial cost.
(6) In its decision on sanction, the adjudication tribunal may make any order it deems appropriate with respect to the cost of the transcript.
(7) A party seeking a copy of the recording and/or transcript is responsible for the cost of such recording and/or transcript.
(8) The audio recording and/or the hearing transcript of the adjudication tribunal proceeding shall not be disclosed to non-parties.
(9) Notwithstanding 9.20(8), the adjudication tribunal and the parties may disclose a copy of the audio recording and/or hearing transcript as required by law.
9.21(1) A respondent may, at any time before the respondent has entered a plea, apply to the adjudication tribunal, in writing, for the particulars of the alleged misconduct.
(2) If satisfied that the complaint does not contain sufficient detail of the circumstances of the alleged conduct deserving of sanction, the adjudication tribunal may direct that the society provide further details of the particulars of the alleged misconduct.
(3) Details of the particulars disclosed pursuant to rule 9.21(2) shall be:
9.22(1) The society may amend any charge in a complaint:
(2) The adjudication tribunal may amend a complaint after the respondent has entered a plea on an application filed by the respondent or the society to:
(3) The adjudication tribunal shall not amend the complaint until the respondent and the society have been given the opportunity to make submissions respecting the proposed amendment.
9.23(1) Before the date set for the commencement of the hearing, or at any time during the hearing at the adjudication tribunal’s discretion, the respondent or the society may request a summons (subpoena) or authorization be issued to:
(2) The adjudication tribunal may require submissions from either or both parties with respect to a request for a summons or authorization.
(3) After considering any submissions, the adjudication tribunal shall:
(4) The chairperson of the adjudication tribunal may execute a summons on behalf of the adjudication tribunal.
9.24(1) As soon as practicable after a complaint is provided to the respondent, the society shall disclose to the respondent a copy of all relevant documents in the possession of the society or under its control or power.
(2) Not less than two weeks before the date set for the commencement of the hearing, the respondent and the society shall provide to each other the following:
(3) Where the respondent or the society has not complied with rule 9.24(2), the adjudication tribunal may, in its discretion, allow the introduction of evidence that has not been properly disclosed, or exclude evidence that would otherwise be admissible, and may make such directions that it considers necessary to ensure that a party is not prejudiced.
(4) The adjudication tribunal’s permission pursuant to rule 9.24(3) may be given on such terms or conditions as the adjudication tribunal may determine, including the following:
9.25(1) The respondent or the society may:
file an application for relief not otherwise addressed in these rules.
(2) An application under this rule shall be:
(3) The application shall specify:
(4) In response to an application for other relief, the adjudication tribunal may:
9.26(1) Unless otherwise directed by the adjudication tribunal, the society shall file with the adjudication tribunal and provide to the respondent, a copy of its memorandum of fact and law at least 14 days prior to the date set for the commencement of the hearing.
(2) Unless otherwise directed by the adjudication tribunal, the respondent shall file with the adjudication tribunal and provide to the society, a copy of their memorandum of fact and law at least 7 days prior to the date set for the commencement of the hearing.
9.27(1) A witness appearing before an adjudication tribunal may raise procedural issues affecting their testimony, either through their counsel or through counsel for one of the parties.
(2) A witness who is summoned to attend a hearing before an adjudication tribunal is entitled to the same conduct money and payment for costs and/or expenses as a witness at a trial in the Supreme Court.
9.28(1) If a respondent fails to appear at a hearing or for the resumption of an adjourned hearing after notice thereof, the adjudication tribunal may proceed with the hearing in the respondent’s absence.
Hearings on the complaint and sanction
9.29(1) Unless otherwise directed by the adjudication tribunal, submissions and/or evidence on the complaint and sanction shall be heard separately.
9.30(1) Unless otherwise directed by the adjudication tribunal, an in-person hearing will generally be conducted in the following order:
(2) The adjudication tribunal may control the scope and manner of questioning of a witness.
(3) The adjudication tribunal may order a witness to be excluded from a hearing until the witness is called to give evidence, unless the presence of the witness is necessary to instruct a party’s counsel or agent, in which case the adjudication tribunal may require the witness to be called to give evidence before other witnesses are called.
(4) If the adjudication tribunal orders the exclusion of a witness, evidence given during the witness’s absence from the hearing shall not be communicated to the witness until the witness has completed giving evidence, except with leave of the adjudication tribunal.
(5) The adjudication tribunal may permit a party to present the evidence of a witness or proof of a particular fact or document by affidavit, unless another party reasonably requires the attendance of the witness at the hearing for cross-examination.
(6) Where the adjudication tribunal directs that the hearing may proceed in writing, the adjudication tribunal shall:
Majority decision of the adjudication tribunal
9.31(1) The decision of at least two (2) members of the adjudication tribunal on any charge in a complaint and on sanction shall be the decision of the adjudication tribunal on that complaint and sanction.
9.32(1) The chairperson of the adjudication tribunal shall make reasonable efforts to file with the executive director and provide to the parties, the complainant and the minister, the adjudication tribunal’s written decision on the complaint and its reasons for that decision within 60 days of completion of the hearing.
9.33(1) If the respondent is found guilty on the complaint(s) the adjudication tribunal shall make reasonable efforts to resume the hearing in order to determine the appropriate sanction within 60 days of the release of its decision on the complaint. The conduct of the hearing on sanction shall occur in accordance with rule 9.30.
9.34(1) Where the adjudication tribunal decides that a respondent is guilty, it shall make an order with respect to sanction as set out in ss. 49 or 50 of the Act.
(3) The chairperson of the adjudication tribunal shall make reasonable efforts to file with the executive director and provide to the parties, the complainant and the minister:
within 30 days of completion of the hearing on sanction.
Provision of a decision or order of the adjudication tribunal
9.35(1) A copy of any decision or order made in accordance with these rules shall be provided to the executive director, the parties and the complainant and the minister either personally, by delivering a copy to their address of record, home, their solicitor’s address of record, or by other appropriate means including via email.
9.36(1) A decision or order of the adjudication tribunal shall take effect upon service unless otherwise ordered by the adjudication tribunal.
9.37(1) Following the expiration of any period of suspension imposed during discipline proceedings, a respondent will be reinstated to non-practicing status and non-practicing fees shall apply.
(2) A respondent shall file an application for the commencement or resumption of practice in form 2.21A with the society before having their status changed to that of a practising member.
(3) On an application to have their status changed to that of a practising member, the vice-president may reinstate a respondent or refer the application to the education committee in accordance with rules 2.21, 6.18 and 10.02.
(4) Where an application made under rule 9.37(2) is approved, the respondent’s status will not change until all outstanding fees and a reinstatement fee set by Benchers have been paid and the respondent is compliant with any other restrictions, conditions or requirements imposed in accordance with the rules.
(5) A respondent may apply in writing to the executive director to resign.
(6) On an application to resign, the executive director:
(Amended: Rule 9.37(2), (3), (4), (5) & (6): Winter Term Convocation, February 8, 2021)
Applications under s. 53 and s. 54 of the Act
9.38(1) An application under s. 53 of the Act shall be in writing and shall be delivered to the chairperson of the disciplinary panel.
(2) An application under s. 54 of the Act shall be in writing and shall be delivered to the society’s office to the attention of the director of professional responsibility.
(3) An application under ss. 53 or 54 of the Act shall be served on the parties in the same manner as prescribed in rule 9.40.
(4) Where an application under ss. 53 or 54 of the Act has been referred to an adjudication tribunal, the chairperson of the disciplinary panel shall appoint an adjudication tribunal in accordance with s. 46 of the Act.
(5) Where possible, the chairperson shall reappoint the adjudication tribunal that heard the complaint at first instance.
9.39(1) Prior to making an order under ss. 53 or 54 of the Act, the adjudication tribunal may make inquiries and hear representations from the parties that the adjudication tribunal considers appropriate.
(2) The adjudication tribunal shall hear an application under ss. 53 or 54 of the Act within 30 days of being appointed or as otherwise consented to by the respondent and the society.
(3) Within 60 days of completion of the hearing of the evidence and receipt of submissions on the application, the chairperson of the adjudication tribunal shall make reasonable efforts to file with the executive director and provide to the parties, the adjudication tribunal’s written decision on the application and the reasons for its decision.
(4) The order of the adjudication tribunal shall be served in the same manner as prescribed in rule 9.40 and shall take effect upon service on the respondent, unless otherwise ordered by the adjudication tribunal.
9.40(1) All notice requirements outlined in this rule may be made either personally, by delivering a copy to the respondent’s home, address of record, or their solicitor’s address of record or by other appropriate means including via email to the email address of record.
9.41(1) Subject to s. 51 of the Act the society shall give notice of the finding to the members of the society, to the complainant and to any other governing body of the legal profession in Canada of which the respondent is a member, which notice shall include:
(2) Where a respondent is disbarred or struck off the rolls or suspended from practice or ordered to refrain from practising in respect of certain areas of law, a notice to that effect shall be provided to the Courts, including the Judges and the Clerks, to any other governing body of the legal profession in Canada, to the members of the society and to the public.
(Adopted: Rule 9.28, Summer Term Convocation, June 8, 2001; Amended: Rule 9.28, Summer Term Convocation, June 6, 2003; Amended: Rule 9.28 Fall Term Convocation, October 6, 2008)
9.42(1) Every member or student-at-law admitted as such by the society shall immediately notify the executive director upon:
(2) The executive director may require the member or student-at-law to submit additional information for more complete examination outlining the circumstances relating to any of the matters referred to in subsection 9.42(1) and the member or student-at-law shall be obliged to respond fully to the executive director’s request within 7 days after receiving the request for further information.
(3) Upon occurrence of one or more of the events as set out in rule 9.42(1)(b) or (c), or in the event that a receiving order is made against a member or student-at-law under the Bankruptcy and Insolvency Act then that member’s entitlement to engage in the practice of law or that student-at-law’s articles of clerkship is suspended pending a review by the executive committee.
(4) A member or student-at-law affected by rule 9.42(3) may make an immediate written submission to the executive director and upon receipt of same the executive committee may, after ascertaining that the protection of the public will not be jeopardized, reinstate the member’s entitlement to engage in the practice of law or the student-at-law’s articles of clerkship, and attach such conditions to their practice of law or articles of clerkship as it deems reasonable for such protection.
(5) A member or student-at-law suspended pursuant to rule 9.42(3) and who makes a written submission in accordance with rule 9.42(4) shall be entitled to a hearing before the executive committee as soon as practicable and in no case longer than 7 days from the date of their written submission, unless the member or student-at law requests a longer period of time be extended for the hearing.
(6) Where the member is not reinstated in accordance with rule 9.42(4) and where the member wishes to have their status changed to that of a practising member, the member must:
(Amended: Rule 9.42(6): Winter Term Convocation, February 8, 2021)
9.43 A member or student-at-law shall notify the executive director immediately upon:
Duty to report guilty plea or finding of guilt
9.44(1) A member shall advise the executive director in writing immediately upon being charged with respect to any offence pursuant to:
(Rule 9.31(1): Adopted Benchers Convocation, April 10, 2017)
(2) A member shall advise the executive director in writing immediately upon pleading guilty or being found guilty with respect to any offence pursuant to:
(Rule 9.31(2): Adopted Benchers’ Convocation, April 10, 2017)
Professional misconduct
9.45 The occurrence of an event set out in rules 9.42, 9.43, or 9.44 may be treated as an allegation of conduct deserving of sanction.
(Rule 9.29-9.32: Adopted Winter Term Convocation, February 22, 2005)
(Rule 9: Amended throughout, Benchers’ Convocation, October 2, 2020)