The CPATA Act, By-laws, Code of Professional Conduct and Registrar’s Policies, together with our Regulatory Objectives, Standards and Principles establish the foundation for how inquiries and complaints about the conduct of agents will be addressed. CPATA’s approach is risk-focused, principled, proportionate and fair.
Early Resolution – Agent Conduct Inquiries
Often, the best and most efficient way to address questions about an agent’s professional conduct is to find out whether concerns can be answered or resolved through CPATA’s informal inquiry process, rather than by filing a complaint. CPATA will assess questions and concerns, identify options for responding to or resolving these quickly, and help individuals understand whether CPATA has the jurisdiction or authority to assist. This informal resolution process requires consent of both the complainant and the agent before engaging in resolution efforts. If successful, this process can avoid the need to file a complaint in order to achieve the hoped for outcomes. If an individual is not satisfied with the outcome of the attempts at early resolution, they can always choose to file a complaint subsequently.
CPATA’s Policy on Early Resolution of Agent Conduct Inquiries
Complaint Process - Steps
It is recommended that individuals contact CPATA through the Agent Conduct Inquiry process to discuss their concerns before filing a complaint. Once CPATA receives a complaint about an agent, we go through several steps.
Step 1: Complaint Submission
Anyone can fill out this form to file a complaint about a CPATA licensee. The form asks for some basic personal information and a description of the concern. The complaints process is confidential and by filing a complaint, clients of agents are not waiving agent-client or lawyer-client privilege. CPATA’s Professional Responsibility team will review the submission within 3-5 business days and reach out for next steps.
Step 2: Review by the Registrar
Complaints are reviewed by the Registrar to assess whether the concerns fall within CPATA’s jurisdiction and authority to resolve or investigate. The Registrar may take one of the following actions:
- dismiss the complaint with or without best practices advice and provide reasons for that decision;
- attempt, with the parties’ consent, to resolve the concerns through an informal, early resolution process; or
- refer the complaint to the Investigations Committee for investigation.
The Registrar makes this decision based on public-interest principles in accordance with CPATA’s Regulatory Objectives, Standards and Principles, and the Registrar’s Policy on Complaint Dismissals
If a complaint is dismissed without further inquiry, or after obtaining one or more responses from the agent, a complainant will receive a written letter by email providing reasons for the decision. CPATA’s By-laws (s. 86) provide that a complainant whose complaint has been dismissed may appeal the decision to the Investigations Committee.
Step 3: Investigation by the Investigations Committee
If a complaint is referred to the Investigations Committee by the Registrar, the Committee may decide to dismiss the complaint without further investigation, or they may undertake an investigation. The Investigations Committee may appoint an Investigator to assist with the investigation. An investigation will involve obtaining one or more written responses from the agent, and may involve one or more of the following, as well as other steps:
- obtaining additional information from the complainant;
- obtaining additional information including file materials and records from the agent by consent;
- conducting interviews with the agent, the complainant and/or third parties; or
- obtaining a Warrant or Order for release of file materials and other information.
Investigations are conducted in a fair, transparent and thorough manner and may take a number of months to complete. CPATA will provide regular updates on the status of the investigation to the complainant and the agent.
Once the investigation is complete, the Investigator will provide a report to the Investigations Committee for consideration. Based on this report, the Committee may:
- dismiss a complaint with or without best practices advice based on such things as a lack of jurisdiction or a lack of evidence that an agent has engaged in professional misconduct or been incompetent; or
- file a Notice of Application to refer the complaint to the Discipline Committee for a hearing.
If the Committee decides to dismiss a complaint before or after an investigation, they will provide written reasons for their decision, and there is no right of appeal under the CPATA Act.
In situations where a complaint raises serious concerns about ongoing risk of harm to the public and to the reputation of CPATA as the regulator of agents, the Investigations Committee may impose conditions or restrictions on or suspend a licensee’s licence to practice, with or without hearing from the licensee (s. 37.1).
Step 4: Notice of Application by the Investigations Committee
If the Investigations Committee decides after a thorough investigation that there is evidence of professional misconduct or incompetence by an agent, it will file a Notice of Application to refer the matter to the Discipline Committee for a hearing. It is only at this point, when the Investigations Committee believes there is sufficient evidence to support a finding of professional misconduct and/or incompetence, that a licensees’ information becomes public. Notices of Application include the licensees’ name, licence class and city, as well as a summary of the allegations with references to the applicable rules in the Code of Professional Conduct, and a brief summary of the relevant facts alleged. Complainant information remains confidential. Notices of Application are published on CPATA’s website and in CPATA’s monthly newsletter for licensees and the public.
Step 5: Notice of Hearing Dates
Once a Notice of Application has been filed with the Discipline Committee, pre-hearing conferences are often held between the Discipline Committee Chair or designate, the parties and their counsel to discuss how the hearing will proceed, deadlines, etc. The parties are the Investigations Committee, represented by counsel, and the Licensee, represented by their own counsel should they so desire. The complainant is not one of the parties. This pre-hearing process can take a number of months.
Once the dates for the proceeding have been confirmed between the parties and the Discipline Panel, a Notice of Hearing Dates is published on CPATA’s website and in the monthly newsletter for licensees and the public.
Step 6: Discipline Hearing
A Discipline Panel will be constituted to hear the case. The Discipline Panel is usually composed of three members of the Discipline Committee (selected based on factors such as the nature of the specific complaint, the preferred official language of the agent and ensuring representation by both agents and non-agents) and functions much like a court of law.
Discipline proceedings are managed according to policies and procedures that promote fairness, openness and excellence. They are conducted virtually via Zoom and livestreamed for the public on YouTube. A proceeding may involve witness testimony, or presentation of a proposed settlement agreement between the parties. Complainants may be called to testify as witnesses.
If a licensee is contesting or arguing the allegations made by the Investigations Committee, a hearing on the merits of the application may require multiple days for presentation of all the evidence and arguments, and a separate hearing is held to consider the appropriate penalty if a licensee is found to have engaged in professional misconduct or incompetence. If a settlement proposal is being made, a panel may only need a half-day to consider the proposal.
Step 7: Discipline Commitee Decision
If the Discipline Committee decides that the licensee has committed professional misconduct or was incompetent, the Committee may:
- impose conditions on a licence of the licensee;
- impose restrictions on the licensee’s entitlement to represent persons under section 27 or 30;
- suspend a licence of the licensee for a period of not more than two years or until specified conditions are met, or both;
- revoke a licence of the licensee;
- reprimand the licensee;
- require the licensee to pay a penalty of not more than $10,000 to the College;
- require the licensee to pay to the College or any complainant all or a portion of the costs incurred by them during the application before the Committee;
- require the licensee to reimburse all or a portion of the fees or disbursements paid to the licensee by a client; or
- take or require any other action that the Committee considers appropriate in the circumstances.
The Committee must give its decisions and reasons in writing without including any privileged information. The Panel Chair will communicate the decision to the parties. All decisions are public on CPATA’s website, in the monthly newsletter for licensees and the public, and published on the CanLII decision database. CPATA’s Public Register has up-to-date information about licensees including any conditions on practice, suspension or revocation of their licence.
A party to an application may appeal a decision of the Discipline Committee to the Federal Court within 30 days of the date of the decision.