The chair is appointed by CGA Ontario’s chair of the board and presides over discipline committee meetings. Meetings are held in camera.
Prior to the discipline committee meeting the chair and CGA Ontario’s staff will review the discipline cases that are to be the subject of the discipline committee meeting. The objective of the review is to assess what issues will need to be addressed in the deliberation of each case, and assess the particular issues or points that need to be addressed. Examples of issues that may need to be covered would be the status of proceedings to date, evidentiary issues and/or procedural issues.
At the discipline committee meeting, the chair will introduce each case and provide a brief synopsis of the background and issues. The chair will then open the case up for discussion among the discipline committee members. Where appropriate, the chair may assign a particular case to a discipline committee member based on the discipline committee member’s area of expertise or familiarity with the disciplinary issue.
With respect to each case, at the discipline committee meeting the chair (or where designated, a discipline committee member) will be expected to summarize the following:
(i) Facts of the case.
(ii) Issues in the case.
(iii) Relevant provisions in the Code of Ethical Principles and Rules Of Conduct.
(iv) Relevant evidence.
(v) Any required further investigation.
Following a general discipline committee discussion on the merits and issues in each case, the chair will be expected to:
(i) Outline any new or related issues and timelines.
(ii) Outline any further evidence or information that is required.
(iii) Summarize the proposed disposition of the case (i.e., recommended discipline; determination that there has been no breach of the Code of Ethical Principles and Rules of Conduct; and further steps required to reach a determination regarding discipline).
(iv) Summarize the main points to be made to the complainant and the respondent.
The vice chair of the discipline committee is appointed by the chair of the discipline committee after consulting with the chair of the board of CGA Ontario.
The responsibilities of the vice chair are as follows:
The discipline committee members review all of the applicable discipline committee materials with regard to the cases that will be the subject of the discipline committee meeting.
At least one non-CGA director or one non-CGA public representative will serve on the discipline committee.
In order to ensure a full understanding of the applicable cases, discipline committee members are expected to address issues such as: a summary of any facts that require review in order to properly dispose of the disciplinary matter; evidentiary issues; and any jurisdictional issues.
In the event that a discipline committee member has a particular case assigned to him or her, he/she will be expected to summarize the following:
(vi) Facts of the case.
(vii) Issues in the case.
(viii) Relevant provisions in the Code of Ethical Principles and Rules of Conduct.
(ix) Relevant evidence.
(x) Any required further investigation.
(xi) Recommendation regarding disposition.
Each discipline committee member is expected to be fully familiar with the provisions of the Code of Ethical Principles and Rules of Conduct.
Each discipline committee member is expected to actively participate in the discipline committee meeting.
The professional regulation department fulfils two roles at CGA Ontario. It provides advice and opinions for CGAs, students or members of the public who have questions or concerns about the interpretation of the Code of Ethical Principles and Rules of Professional Conduct. The department also handles professional misconduct and competence complaints forwarded to CGA Ontario by the public or members and students.
CGA Ontario staff assists in the processing of discipline complaints as they are filed with CGA Ontario and in addressing disciplinary matters as they arise. Staff also acts as an adviser to the discipline committee.
Staff attends all discipline committee meetings. At the discipline committee meetings staff is available to provide procedural advice to the chair and discipline committee members about the complaints they are reviewing. Examples of issues that staff provide a resource for include:
(i) Questions as to jurisdiction.
(ii) Information as to previous disposition of similar fact situations.
(iii) Information regarding procedural issues.
Staff prepares a brief summary of each disciplinary case that is provided along with the supporting materials in advance of the discipline committee meeting.
At the discipline committee meeting staff:
(i) Takes minutes of the meeting.
(ii) Addresses any applicable background questions regarding the intake or administration of each case.
(iii) Responds to any applicable procedural questions.
(iv) Provides any necessary additional background to each case.
Where appropriate, outside legal counsel that CGA Ontario engages to represent it at disciplinary hearings will be asked to attend discipline committee meetings. Where this occurs, outside counsel will speak to/provide a legal opinion as to the merits of the case; assess any professional conduct tribunal issues such as necessary evidence; outline any additional issues or considerations relevant to the hearing of the case at the professional conduct tribunal in order to receive any necessary information required to be prepared to present the case to the professional conduct tribunal.