Part 5
Discipline

Definitions
42 In this Part,

(a) "conduct" includes an act or omission;
(b) "investigated person" means a professional member, licensee, permit holder, certificate holder or member-in-training with respect to whose conduct an investigation is held under this Part;
(c) "practice of the profession" means practice of engineering, practice of geology or practice of geophysics, as the case may be.

1981 cE-11.1 s41

Complaints
43(1) A person may complain to the Registrar, or to a person who is authorized in writing by the Registrar to receive complaints, about the conduct of a professional member, licensee, permit holder, certificate holder or member-in-training, and the complaint shall be dealt with in accordance with this Part and the regulations.
(2) A complaint must be in writing.
(3) A complaint respecting the conduct of a professional member, licensee, permit holder or certificate holder whose registration was cancelled pursuant to this Act may, notwithstanding the cancellation, be dealt with within 2 years following the date of cancellation of the registration as if the cancellation had not occurred.
(4) Notwithstanding section 47, a person designated by the Registrar as a mediator may assist in settling a complaint if the complainant and the person about whose conduct the complaint was made agree, but if within 30 days from the date of receipt of the complaint, or a longer period agreed to by those persons, a settlement of the complaint between those persons does not occur, or in the mediator's opinion is not likely to occur, the complaint shall be referred forthwith by the Registrar to the Investigative Committee.
(5) If a complaint is settled with the assistance of a mediator, any agreement that is reached by the complainant and the person about whose conduct the complaint was made must be reviewed by the Investigative Committee, and that Committee may

(a) approve the agreement, or
(b) proceed with a preliminary investigation in accordance with section 47.

1981 cE-11.1 s42;1984 c17 s13;1995 c14 s18

Determination of unprofessional conduct and unskilled practice
44(1) Any conduct of a professional member, licensee, permit holder, certificate holder or member-in-training that in the opinion of the Discipline Committee or the Appeal Board

(a) is detrimental to the best interests of the public,
(b) contravenes a code of ethics of the profession as established under the regulations,
(c) harms or tends to harm the standing of the profession generally,
(d) displays a lack of knowledge of or lack of skill or judgment in the practice of the profession, or
(e) displays a lack of knowledge of or lack of skill or judgment in the carrying out of any duty or obligation undertaken in the practice of the profession,
whether or not that conduct is disgraceful or dishonourable, constitutes either unskilled practice of the profession or unprofessional conduct, whichever the Discipline Committee or the Appeal Board finds.

(2) If an investigated person fails to comply with or contravenes this Act, the regulations or the bylaws, and the failure or contravention is, in the opinion of the Discipline Committee, of a serious nature, the failure or contravention may be found by the Discipline Committee to be unprofessional conduct whether or not it would be so found under subsection (1).

1981 cE-11.1 s43;1995 c14 s19

Discipline Committee
45(1) The Council shall establish a Discipline Committee, the members of which shall be appointed in accordance with the regulations.
(2) The Council shall make regulations governing, subject to this Part, the operation and proceedings of the Discipline Committee, the designation of a chair, the appointment of acting members and the procedures for filling vacancies in the offices of the chair and the membership and the appointment of members by virtue of their office, and prescribing their powers, duties and functions.
(3) The Council may make regulations respecting the hearing of a matter under this Part by a panel of the Discipline Committee.
(4) A regulation made under subsection (2) or (3) does not come into force unless it has been approved by the Lieutenant Governor in Council.
1981 cE-11.1 s44;1984 c17 s14
Investigative Committee
46(1) The Council shall establish an Investigative Committee, the members of which shall be appointed in accordance with the regulations.
(2) The Council shall make regulations governing, subject to this Part, the operation and proceedings of the Investigative Committee, the designation of a chair, the appointment of members, acting members and members by virtue of their office and the procedures for filling vacancies in the offices of the chair and the membership, and prescribing their powers, duties and functions.
(3) A regulation made under subsection (2) does not come into force unless it has been approved by the Lieutenant Governor in Council.

1995 c14 s20

Investigation panel
47 When a complaint is referred to the Investigative Committee under section 43, the Investigative Committee shall appoint an investigation panel from among its members to conduct a preliminary investigation.

1981 cE-11.1 s45;1995 c14 s21

Notice of preliminary investigation
48 The Registrar shall forthwith send notice in writing to the investigated person that a preliminary investigation is being conducted.

1981 cE-11.1 s46

Evidence for preliminary investigation
49(1) An investigation panel may

(a) require the investigated person or any other member of the Association to produce any plans, drawings, detailed drawings, specifications, reports, books, papers or other documents or records in that person's possession or control, and
(b) copy and keep copies for the purposes of this Part of any thing that is produced under clause (a).

(2) An investigation panel may investigate any other matter regarding the conduct of the investigated person that arises in the course of the investigation.

1981 cE-11.1 s47;1995 c14 s22

Report to Investigative Committee
50 On concluding a preliminary investigation, the investigation panel shall report its findings to the Investigative Committee.

1981 cE-11.1 s48;1995 c14 s23

Termination of investigation
51(1) The Investigative Committee may terminate an investigation at any time if it is of the opinion that

(a) the complaint is frivolous or vexatious, or
(b) there is insufficient evidence of unskilled practice of the profession or unprofessional conduct.

(2) On terminating an investigation, the Investigative Committee shall direct the Registrar to serve on the investigated person and on the complainant, if any, a notice in accordance with the bylaws that the investigation has been terminated.
(3) A complainant who is served with a notice under subsection (2) informing the complainant that the investigation has been terminated may, by notice in writing to the Registrar within 30 days after receipt of the notice under subsection (2), appeal that decision to the Appeal Board.
(4) On an appeal under subsection (3), the Appeal Board shall

(a) uphold the decision of the Investigative Committee to terminate the investigation if, in the opinion of the Appeal Board,

(i) the complaint is frivolous or vexatious, or
(ii) there is insufficient evidence of unskilled practice of the profession or unprofessional conduct,
or

(b) refer the matter to the Discipline Committee for a formal hearing.

(5) The Appeal Board shall notify the complainant, the investigated person and the Investigative Committee in writing of its decision under subsection (4).

1981 cE-11.1 s49;1984 c17 s15;1995 c14 s24;1998 c14 s12

Power of Investigative Committee to recommend an order
52(1) If an investigation is not terminated under section 51, the Investigative Committee may

(a) if the investigated person has admitted to conduct that constitutes unskilled practice of the profession or to unprofessional conduct, recommend, in accordance with subsection (2), any order that the Investigative Committee considers appropriate, or
(b) refer the matter to the Discipline Committee for a formal hearing.

(2) An order recommended by the Investigative Committee must be provided to a member of the Discipline Committee who has been designated by that Committee to act as a case manager.
(3) If the case manager agrees with the order recommended by the Investigative Committee, the case manager must discuss the order with the investigated person and, if the investigated person agrees with the order, the order has the same force and effect as an order made by the Discipline Committee following a formal hearing.
(4) If the case manager or the investigated person rejects the order recommended by the Investigative Committee, the matter must be referred to the Discipline Committee for a formal hearing.

1995 c14 s25

Duty of Discipline Committee
53(1) On the referral of a matter to the Discipline Committee for a formal hearing, the Discipline Committee shall hold the hearing forthwith.
(2) Notwithstanding subsection (1), if proceedings in respect of the same circumstances or events are commenced in Provincial Court or the Court of Queen's Bench, the Discipline Committee may adjourn the hearing.
(3) The Registrar shall serve on the investigated person and on the complainant, if any, a notice of hearing stating the date, time and place at which the Discipline Committee will hold the hearing and giving reasonable particulars of the conduct or complaint in respect of which the hearing will be held.

1981 cE-11.1 s50;1984 c17 s16;1995 c14 s26

Further investigation
54(1) The Discipline Committee may also investigate and hear any other matter concerning the conduct of the investigated person that arises in the course of the hearing, but in that event the Committee shall declare its intention to investigate and hear the further matter and shall permit the person sufficient opportunity to prepare the person's answer to the further matter.
(2) Sections 56 to 62 apply to an investigation and hearing of a further matter under subsection (1).

1981 cE-11.1 s51

Suspension pending investigation and hearing
55(1) Notwithstanding anything in this Act, the Investigative Committee may suspend the registration of a professional member, licensee, permit holder, certificate holder or member-in-training pending a preliminary investigation or a decision of the Discipline Committee.
(2) A person whose registration is suspended under subsection (1) may, by filing an originating notice with the Court and serving a copy on the Registrar, apply for an order of the Court staying the suspension.

1981 cE-11.1 s52;1984 c17 s17;1995 c14 s27

Right to counsel and to appearance
56 The Investigative Committee and the investigated person may appear and be represented by counsel at a hearing before the Discipline Committee.

1981 cE-11.1 s53;1984 c17 s18;1995 c14 s28

Public hearings
57 All hearings before the Discipline Committee and the Appeal Board under this Part are open to the public unless that Committee or Board orders otherwise.

1981 cE-11.1 s54;1995 c14 s29

Evidence
58(1) Evidence may be given before the Discipline Committee in any manner that the Committee considers appropriate, and the Committee is not bound by the rules of law respecting evidence applicable to judicial proceedings.
(2) For the purposes of an investigation, hearing or review under this Act, any member of the Appeal Board, the Discipline Committee or the Practice Review Board is conferred with the power of a commissioner for oaths under the Commissioners for Oaths Act.

1981 cE-11.1 s55;1995 c14 s30

Witnesses and documents
59(1) The investigated person and any other person who in the opinion of the Discipline Committee has knowledge of the complaint or any conduct being investigated are compellable witnesses in any proceeding under this Part.
(2) A witness may be examined on oath on all matters relevant to the investigation or hearing and is not to be excused from answering any question on the ground that the answer might

(a) tend to incriminate the witness,
(b) subject the witness to punishment under this Part, or
(c) tend to establish the witness's liability

(i) to a civil proceeding at the instance of the Crown or of any other person, or
(ii) to prosecution under any Act or regulations under any Act,
but if the answer so given tends to incriminate the witness, subjects the witness to punishment or tends to establish the witness's liability, it shall not be used or received against the witness in any civil proceedings, in a prosecution under Part 7 or in any proceeding under any other Act, except in a prosecution for or proceedings in respect of perjury or the giving of contradictory evidence.

(3) For the purpose of obtaining the testimony of a witness who is out of Alberta, a judge of the Court on an application ex parte by the Association may direct the issuing of a commission for the obtaining of the evidence of the witness, and the commission is to be issued and the evidence taken pursuant to the Alberta Rules of Court.

1981 cE-11.1 s56;1985 c15 s11

Enforcement of attendance and production of documents
60(1) The attendance of witnesses before the Discipline Committee and the production of plans, drawings, detail drawings, specifications, reports, books, papers and other documents or records may be enforced by a notice issued by the Registrar requiring the witness to attend and stating the date, time and place at which the witness is to attend and the plans, drawings, detail drawings, specifications, reports, books, papers and other documents or records, if any, the witness is required to produce.
(2) On the written request of the investigated person or of the investigated person's counsel or agent, the Registrar shall without charge issue and deliver to that person or that person's counsel or agent any notices that that person or that person's counsel or agent may require for the attendance of witnesses or the production of documents or records.
(3) A witness other than the investigated person who has been served with a notice to attend or a notice for the production of documents or records under subsection (1) or (2) is entitled to be paid the same fees as are payable to witnesses in an action in the Court.

1981 cE-11.1 s57

Failure to give evidence
61(1) Proceedings for civil contempt of court may be brought against a witness

(a) who fails

(i) to attend before the Discipline Committee in compliance with a notice to attend,
(ii) to produce any books, papers or other documents or records in compliance with a notice to produce them, or
(iii) in any way to comply with either notice,
or

(b) who refuses to be sworn or to answer any question directed to be answered by the Discipline Committee.

(2) If the witness referred to in subsection (1) is the investigated person, the witness's failure or refusal may be held to be unprofessional conduct.
(3) The Discipline Committee, on proof of service of the notice of investigation on the investigated person and the complainant, if any, may

(a) proceed with the investigation in the absence of either or both of those persons, and
(b) act on the matter being investigated in the same way as though either or both of those persons were in attendance.

1981 cE-11.1 s58

Finding by the Discipline Committee
62(1) The Discipline Committee may find that the conduct of an investigated person constitutes neither unskilled practice of the profession nor unprofessional conduct.
(2) The Discipline Committee may find that the conduct of an investigated person constitutes unskilled practice of the profession or unprofessional conduct, or both, and shall deal with the investigated person in accordance with this Part.

1981 cE-11.1 s59

Powers of the Discipline Committee
63 If the Discipline Committee finds that the conduct of the investigated person is unprofessional conduct or unskilled practice of the profession, or both, the Discipline Committee may make any one or more of the following orders:

(a) reprimand the investigated person;
(b) suspend the registration of the investigated person for a specified period;
(c) suspend the registration of the investigated person either generally or from any field of practice until

(i) the investigated person has completed a specified course of studies or obtained supervised practical experience, or
(ii) the Discipline Committee is satisfied as to the competence of the investigated person generally or in a specified field of practice;

(d) accept in place of a suspension the investigated person's undertaking to limit the investigated person's practice;
(e) impose conditions on the investigated person's entitlement to engage in the practice of the profession generally or in any field of the practice, including the conditions that the investigated person

(i) practise under supervision,
(ii) not engage in sole practice,
(iii) permit periodic inspections by a person authorized by the Discipline Committee, or
(iv) report to the Discipline Committee on specific matters;

(f) direct the investigated person to pass a particular course of study or satisfy the Discipline Committee as to the investigated person's practical competence generally or in a field of practice;
(g) direct the investigated person to satisfy the Discipline Committee that a disability or addiction can be or has been overcome, and suspend the person until the Discipline Committee is so satisfied;
(h) require the investigated person to take counselling or to obtain any assistance that in the opinion of the Discipline Committee is appropriate;
(i) direct the investigated person to waive, reduce or repay a fee for services rendered by the investigated person that, in the opinion of the Discipline Committee, were not rendered or were improperly rendered;
(j) cancel the registration of the investigated person;
(k) any other order that it considers appropriate in the circumstances.

1981 cE-11.1 s60

Order to pay costs or a fine
64(1) The Discipline Committee may, in addition to or instead of dealing with the investigated person in accordance with section 63, order that the investigated person pay

(a) all or part of the costs of the hearing in accordance with the bylaws,
(b) a fine not exceeding $10 000 to the Association, or
(c) both the costs under clause (a) and a fine under clause (b),
within the time fixed by the order.

(2) If the investigated person ordered to pay a fine, costs, or both, under subsection (1) fails to pay the fine, costs, or both, within the time ordered, the Discipline Committee may suspend the registration of that person until the person has paid the fine, costs or both.
(3) A fine or costs ordered to be paid to the Association under this section is a debt due to the Association and may be recovered by the Association by civil action for debt.

1981 cE-11.1 s61;1984 c17 s19

Service of written decision
65(1) The Discipline Committee shall, within a reasonable time after the conclusion of a hearing, make a written decision on the matter, in which it shall

(a) describe each finding made in accordance with this Part,
(b) state the reasons for each finding made, and
(c) state any order made under this Part.

(2) The Discipline Committee shall immediately forward to the Registrar

(a) the decision, and
(b) the record of the hearing, consisting of all evidence presented before it, including

(i) all exhibits,
(ii) all documents and records, and
(iii) a transcript of all testimony given before it, whether recorded electronically, mechanically or in handwritten form.

(3) The Registrar shall, immediately on receiving the decision and the record of the hearing referred to in subsection (2), serve

(a) a copy of the decision on the investigated person and the Investigative Committee, and
(b) a notice of the nature of the decision on the complainant, if any.

(4) The investigated person or the investigated person's counsel or agent may examine the record or any part of the record of the proceedings and hear any recording or examine any mechanical or handwritten form of record of any testimony.

1981 cE-11.1 s62;1995 c14 s31

Suspension or cancellation pending appeal
66(1) Notwithstanding an appeal under this Part, the Discipline Committee may order that its decision remain in effect until the Appeal Board or the Court of Appeal, as the case may be, makes its decision on the appeal.
(2) An investigated person may, by filing an originating notice with the Court and serving a copy on the Registrar, apply for an order of the Court staying the decision of the Discipline Committee pending the determination of the appeal.
(3) The Court may hear an application made under this section not less than 10 days after the originating notice has been served on the Registrar.
(4) On hearing an application made under this section the Court may, subject to any conditions that it considers proper, stay the decision of the Discipline Committee pending the determination of the appeal.

1981 cE-11.1 s63;1984 c17 s20;1995 c14 s32

Appeal to Appeal Board
67(1) The Investigative Committee or the investigated person may appeal to the Appeal Board any finding or order of the Discipline Committee.
(2) An appeal under subsection (1) shall be commenced by a written notice of appeal that shall

(a) describe the finding or order appealed from,
(b) state the reasons for the appeal, and
(c) be served on the Registrar not more than 30 days after the date that the decision of the Discipline Committee was served on the investigated person.

(3) On receiving a notice of appeal from the Investigative Committee, the Registrar shall forthwith provide a copy to the investigated person and make the record of the hearing available to the investigated person.
(4) On receiving a notice of appeal, the Registrar shall provide a copy to the Appeal Board and make the record of the hearing available to each member of the Appeal Board.

1981 cE-11.1 s64;1984 c17 s21;1995 c14 s33

Time of appeal
68(1) The Appeal Board, on receiving a notice of appeal under section 67, shall serve on the investigated person and the Investigative Committee a notice of hearing of an appeal stating the date, time and place that the Appeal Board will hear the matters appealed.
(2) The Appeal Board shall hear an appeal forthwith.

1981 cE-11.1 s65;1995 c14 s34

Powers of the Appeal Board on appeal
69(1) The Appeal Board on an appeal may do any or all of the following:

(a) grant adjournments of the proceedings or reserve the determination of the matters before it for a future meeting of the Appeal Board;
(b) receive further evidence on granting special leave for that purpose;
(c) draw inferences of fact and make a determination or finding that in its opinion ought to have been made by the Discipline Committee;
(d) order that the matter be referred back to the Discipline Committee.

(2) Sections 56 to 62, 65 and 66 apply to the hearing of an appeal by the Appeal Board.
(3) The Appeal Board shall forthwith after the date of the conclusion of all proceedings before it,

(a) make any finding as to the conduct of the investigated person that in its opinion ought to have been made by the Discipline Committee,
(b) quash, confirm or vary the finding or order of the Discipline Committee or substitute or make a finding or order of its own, or
(c) refer the matter back to the Discipline Committee for further consideration in accordance with any direction that the Appeal Board may make.

(4) The Appeal Board may order the investigated person to pay all or part of the costs of the appeal determined in accordance with the bylaws.

1981 cE-11.1 s66;1984 c17 s22;1995 c14 s35

Appeal to the Court of Appeal
70(1) An investigated person may appeal to the Court of Appeal any finding or order made by the Appeal Board under section 69.
(2) The Appeal Board shall be the respondent in an appeal under subsection (1) and may make representations to the Court of Appeal.
(3) An appeal under this section shall be commenced

(a) by filing a notice of appeal with the Registrar of the Court of Appeal in Edmonton or Calgary, and
(b) by serving a copy of the notice of appeal on the Registrar,
both within 30 days from the date on which the decision of the Appeal Board is served on the investigated person.

1981 cE-11.1 s68;1984 c17 s24;1995 c14 s36

Order for stay pending appeal
71 The appellant may, after commencing an appeal and on notice to the Registrar, apply to the Court of Appeal for an order staying all or any part of the order or decision of the Appeal Board appealed.

1981 cE-11.1 s69;1984 c17 s25;1995 c14 s37

Material in support of appeal
72(1) An appeal under section 70 shall be supported by copies, certified by the Registrar, of the decision of the Appeal Board and the record of the appeal before the Appeal Board.
(2) The Registrar, on being paid any disbursements and expenses in connection with a request made by the appellant or the appellant's solicitor or agent, shall furnish to the appellant or the appellant's solicitor or agent the number of copies so requested of the documents mentioned in subsection (1).

1981 cE-11.1 s70;1984 c17 s26;1995 c14 s37

Power of the court on appeal
73(1) The Court of Appeal on hearing the appeal may do any or all of the following:

(a) make any finding that in its opinion ought to have been made;
(b) quash, confirm or vary the order or decision of the Appeal Board or any part of it;
(c) refer the matter back to the Appeal Board for further consideration in accordance with any direction of the Court of Appeal;
(d) direct that a new trial of any mixed questions of law and fact relating to a finding or order, or to both a finding and an order of the Appeal Board made under section 69, be held before the Court.

(2) The Court of Appeal may make any award as to the costs of an appeal to it that it considers appropriate.

1981 cE-11.1 s71;1984 c17 s27;1995 c14 s37

Fraudulent registration
74(1) If the Council is satisfied, after a hearing on the matter, that a person whose registration is entered in the register obtained registration by means of any false or fraudulent representation or declaration, either oral or written, the Council shall order that the person's registration be cancelled.
(2) The provisions of this Part respecting the procedures of the Discipline Committee apply to a hearing held by the Council under subsection (1).

1981 cE-11.1 s72

Surrender of certificates
75(1) If the registration of a professional member, licensee or restricted practitioner has been cancelled or suspended under this Part, the professional member, licensee or restricted practitioner shall immediately surrender any certificate, stamp or seal to the Registrar.
(2) If the registration of a permit holder or joint firm has been cancelled or suspended under this Part, the permit holder or joint firm shall immediately

(a) surrender the permit or certificate of authorization to the Registrar, and
(b) cease using the permit number issued by the Registrar.

(3) If the registration of a professional member, licensee, permit holder or certificate holder has been cancelled under this Part, the registration shall not be reinstated in the register except by order of the Council, the Court or the Court of Appeal.
(4) No order shall be made under subsection (3) within one year after

(a) the date on which the registration was cancelled, or
(b) if an order was granted staying the imposition of a punishment imposed by the Council and the punishment is later confirmed by the Court or the Court of Appeal, the date on which the Court or the Court of Appeal made its order confirming the punishment.

(5) A member of the Council who is a member of a committee of inquiry appointed pursuant to the regulations to consider an application under this Part for reinstatement of registration may participate in or vote at any proceedings of the Council under this section, and the Registrar and the Association's solicitor may participate in those proceedings.

1981 cE-11.1 s73;1998 c14 s13

Misrepresentation of status
76 The conduct of a person who is or was registered as a professional member, licensee, permit holder or certificate holder who represents or holds out that the person is registered and in good standing while the person's registration is suspended or cancelled may be dealt with as being unprofessional conduct in accordance with this Part.

1981 cE-11.1 s74

Publication
77 After a finding or order is made by the Discipline Committee, the Council, the Appeal Board, the Court or the Court of Appeal under this Part, the name of the investigated person may be published in accordance with the regulations.

1981 cE-11.1 s75;1995 c14 s38