Will my regulator wait for the criminal case to finish?

Not always. Regulators can and do proceed in parallel, particularly where public safety is engaged. Counsel can apply for a stay or adjournment of the discipline proceeding pending the criminal trial, but it is not granted automatically.

Does an acquittal end the disciplinary case?

No. Discipline panels apply the civil standard of proof on a balance of probabilities, which is lower than the criminal standard. Conduct that did not support a conviction can still amount to professional misconduct.

Do I have to answer the regulator's questions?

Most professional statutes compel members to cooperate with an investigation, and refusing can itself be misconduct. However, what is said can affect the criminal case, so counsel should be involved before any statement is given.

Specialized Prosecutions

Professional Discipline Lawyer in Canada

Professional discipline proceedings are regulatory or administrative matters brought by professional regulators. They are not criminal prosecutions, although the same underlying conduct can sometimes result in both a criminal case and a discipline proceeding. This guide explains investigations, hearings, standards of proof, possible sanctions and the role of defence counsel. Below you can find a professional discipline lawyer in your province.

Provincial professional regulation statutes, such as Ontario's Regulated Health Professions Act, 1991 and the Law Society Act·Regulatory proceeding

What Professional Disciplinary Proceedings involve and who brings them

Professional disciplinary proceedings are brought by regulators such as colleges of health professions, law societies and engineering associations under provincial statutes. They are administrative proceedings, not criminal ones, but they can end a career and they frequently run in parallel with a criminal charge.

The standard of proof is the civil standard, proof on a balance of probabilities, rather than proof beyond a reasonable doubt. A criminal acquittal therefore does not prevent a discipline panel from finding professional misconduct on the same facts.

Coordination between the criminal defence and the regulatory defence is essential. Statements made to a regulator during an investigation can find their way into the criminal case, and the timing of the two proceedings, including whether to seek a stay of the discipline hearing pending the criminal trial, is a strategic decision that must be made early.

Allegations and standard of proof

These are regulatory proceedings rather than criminal prosecutions. Allegations are generally decided on a balance of probabilities, not beyond a reasonable doubt.

Jurisdiction of the regulator over the member and the conduct
An allegation of professional misconduct, incompetence or incapacity as defined in the governing statute and regulations
An investigation, usually with statutory powers to compel documents and answers
A referral to the discipline committee and a notice of hearing
Proof of the allegations on a balance of probabilities

Potential sanctions

Revocation of the licence or certificate of registration
Suspension, with or without conditions on return to practice
Reprimand, fines and costs orders, which can be substantial
Terms, conditions and limitations on practice, including supervision requirements
Publication of the decision on the public register, which is permanent and searchable

How counsel can help

Challenging the regulator's jurisdiction or the sufficiency of the notice of hearing
Procedural fairness arguments, including inadequate disclosure and bias
Substantive response to the allegations with expert evidence on the standard of practice
Seeking a stay or adjournment of the discipline hearing pending the criminal proceeding
Careful management of compelled statements so they do not prejudice the criminal case
Negotiating an agreed statement of facts and a joint submission on penalty

Professional discipline lawyer: frequently asked questions

Will my regulator wait for the criminal case to finish?: Not always. Regulators can and do proceed in parallel, particularly where public safety is engaged. Counsel can apply for a stay or adjournment of the discipline proceeding pending the criminal trial, but it is not granted automatically.
Does an acquittal end the disciplinary case?: No. Discipline panels apply the civil standard of proof on a balance of probabilities, which is lower than the criminal standard. Conduct that did not support a conviction can still amount to professional misconduct.
Do I have to answer the regulator's questions?: Most professional statutes compel members to cooperate with an investigation, and refusing can itself be misconduct. However, what is said can affect the criminal case, so counsel should be involved before any statement is given.

Find a professional discipline lawyer

Criminal defence firms listed on Criminal Lawyers Canada that identify Professional Disciplinary Proceedings among their practice areas. Featured listings appear first.