14.01A (1) Where the Executive Director is satisfied that there are reasonable grounds to believe that a member may be failing or may have failed to comply with the Act, the Rules or the Code of Professional Conduct, the Executive Director may direct a review of the management of the member’s practice.
(2) In determining whether there are reasonable grounds to believe that a member may be failing or has failed to comply with the Act, the Rules or the Code of Professional Conduct, the following factors may be considered:
(3) Where the Executive Director has exercised his or her power under section (1) to direct a practice management review, the Executive Director shall designate a person or persons (the “reviewer”) to conduct the practice management review.
14.02A At least one clear day’s notice of the practice management review shall be provided by personal delivery, electronic communication or other appropriate means to the member.
14.03A A practice management review may take place at one or more of the member’s offices and may include one or more of the following:
14.04A The member and the member’s partners, associates, voting shareholders, directors and employees who are also members, support personnel and legal assistants shall respond to any inquiries and produce for the reviewer all records, files, documentation and information which the reviewer requires for the purpose of the practice management review. The reviewer may view, copy, remove and return same within a reasonable time.
14.05A Notwithstanding rule 14.10A, where the reviewer determines during the course of a review that there is a requirement to report the member to the society under the Act, the Rules or the Code of Professional Conduct, the reviewer shall discontinue the review and report to the Executive Director.
14.06A (1) The reviewer shall, as soon as reasonably practicable, report in writing the recommendations arising from the practice management review to the Executive Director and the member.
(2) If the reviewer has been unable, for whatever reason, to conduct or complete the practice management review, he or she shall report, stating the reasons therefor, in writing to the Executive Director.
14.07A (1) The Executive Director may require the member to undertake, in writing, to adopt any or all of the recommendations in the report. The Executive Director shall provide written notice of this requirement to the member within 60 days of the receipt of the report.
(2) Where the Executive Director requires an undertaking, the member shall provide the undertaking within 30 days of receipt of the notice provided under section (1).
(3) The Executive Director may direct a reviewer to conduct a further practice management review to confirm that the member has fulfilled an undertaking given under this rule.
(4) A member’s failure to provide an undertaking required under this rule may constitute conduct deserving of sanction.
(5) A member’s failure to fulfill an undertaking given under this rule, without reasonable explanation, may constitute conduct deserving of sanction.
14.08A If any person required to cooperate with the practice management review fails to comply with the reviewer’s requirements for records, files, documentation and information, or has otherwise impeded the practice management review, the reviewer shall report the circumstances to the Executive Director, and such failure to comply may constitute conduct deserving of sanction.
14.09A Where a member intends to commence practising as a sole practitioner or in a firm with 4 or fewer other members,
14.10A The fact that the member is subject to a practice management review shall not be made public except as required by law or in connection with a discipline proceeding under the Act.
14.11A In the course of a practice management review, solicitor-client privilege shall not apply as against the society or the reviewer to enable the member, the member’s partners, associates, voting shareholders, directors and employees who are also members, support personnel and legal assistants to refuse to produce any records, files, documentation or information in their control or possession.
14.12A This rule applies, with necessary modifications, to professional law corporations.
14.13A These rules come into force on February 24, 2020.
(Adopted: Part XIVA, Winter Term Convocation, February 10, 2020)