All complaints against benchers, employees of the Law Society, and licensee adjudicators appointed to the Law Society Tribunal are transferred to Professional Regulation Intake for assessment.
Where the complaint is not serious and is unlikely to result in formal or informal sanction, with the Executive Director's investigation instruction, the complaint should be transferred to Complaints Resolution for processing in the normal course.
Where in the course of resolution a less serious matter changes in character and may result in a "found" complaint, the Executive Director is to be consulted to determine whether outside counsel should be retained.? The Executive Director may decide to retain outside counsel to continue the investigation in consultation with the Treasurer. ("Found" complaints are complaints in which a breach was found as a result of an investigation, and the file was closed by a disposition such as an undertaking or a caution letter.)
Where it is determined that the complaint raises more serious allegations which, if supported by the evidence would lead to a "found" complaint requiring formal proceedings, or a referral to the Proceedings Authorization Committee, the Executive Director will retain an outside investigator in consultation with the Treasurer.
On completion of his or her investigation, the outside investigator is required to provide a report to the Treasurer and the Executive Director of Professional Regulation.? If the recommendation is that the matter should close without referral to the Proceedings Authorization Committee, and the Treasurer and the Executive Director both agree, the case will be closed.? Where any one of the investigator, the Treasurer or the Executive Director are of the view that the case should be reported to the Proceedings Authorization Committee, the investigator is required to prepare and present a report to the PAC.
The Executive Director will provide the Treasurer with a regular report on all ongoing bencher, staff, and Tribunal member investigations and their resolution.
In the appropriate case, the Executive Director may also refer a complaint to the Complaints Resolution Commissioner for resolution where the matter concerns a complaint of a less serious nature.
All persons involved in application of this policy must be mindful of conflicts of interest and shall not act in the event of a conflict.?
If a complaint is received about the Executive Director, Professional Regulation, the Chief Executive Officer will assume the role of the Executive Director, Professional Regulation for the purpose of instructing the investigation under By-Law 11.?
If a complaint is received about the Chief Executive Officer, the Treasurer will refer the complaint to an outside investigator for review, assessment, and or investigation as required, and provide direction to the Executive Director.
If a complaint is received about the Treasurer, the Chair of the Audit and Finance Committee will act as Treasurer, in accordance with the provisions of By-Law 3, for the purpose of this policy, and provide direction to the Executive Director.??
Notwithstanding the provisions of this policy, if a complaint is received about any of the Executive Director, Professional Regulation, the Chief Executive Officer or the Treasurer, the complaint shall not be investigated by Law Society staff and shall be referred to an outside investigator for review, assessment and /or investigation as required.