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Bulletin #0116-P

Policy
MFDA Rules of Procedure

link to page 7 link to page 17 link to page 7 link to page 10 link to page 11 link to page 11 link to page 14 link to page 15 link to page 17 link to page 18 link to page 20 link to page 22 link to page 23 link to page 24 Mutual Fund Dealers Association of Canada
Association canadienne des courtiers de fonds mutuels
121 King Street West, Suite 1600, Toronto, Ontario, M5H 3T9
TEL: 416-361-6332 FAX: 416-943-1218 WEBSITE: www.mfda.ca

Contact:
Gregory
J.
Ljubic
BULLETIN #0116 – P
Corporate
Secretary

December 2, 2004
Phone: 416-943-5836
E-mail : gljubic@mfda.ca


MFDA Bulletin

Policy

For Distribution to Relevant Parties within your Firm

MFDA Rules of Procedure

Matters of procedure respecting the conduct of MFDA hearings and appeals are set out in MFDA
Rules of Procedure.

The MFDA Rules of Procedure are intended to assist parties to proceedings and panels.

The following is the Index for the MFDA Rules of Procedure:

PART A:
GENERAL MATTERS

Rule 1:
Interpretation and Application
Rule
2:
Time
Rule
3:
Appearance
and
Representation
Rule
4:
Service
and
Filing
Rule
5:
Electronic
Hearings
Rule
6:
Motions

PART B:
DISCIPLINARY HEARINGS

Rule
7:
Commencement
of
Proceedings

Rule 8:
Reply to Notice of Hearing
Rule
9:
Pre-Hearing
Conferences

Rule 10:
Disclosure of Documents
Rule 11:
Witness Lists and Statements
Rule 12:
Expert Witness
Page 1 of 2
link to page 28 link to page 3 link to page 25 link to page 26 link to page 27 link to page 28 link to page 29 Rule 13:
Conduct of Disciplinary Hearings
Rule 14:
Settlement Agreements
Rule 15:
Settlement Hearings

PART C:
APPEALS

Rule 16:
Commencement of an Appeal

Rule 17:
Appeal Materials

A copy of the MFDA Rules of Procedure is attached.

(doc. #46773)

Page 2 of 2
Mutual Fund Dealers Association of Canada
Association canadienne des courtiers de fonds mutuels
121 King Street West, Suite 1600, Toronto, Ontario, M5H 3T9
TEL: 416-361-6332 FAX: 416-943-1218 WEBSITE: www.mfda.ca








MUTUAL FUND DEALERS ASSOCIATION OF CANADA
RULES OF PROCEDURE

APPROVED JUNE 18, 2004
link to page 7 link to page 7 link to page 10 link to page 11 link to page 11 link to page 14 link to page 15 MUTUAL FUND DEALERS ASSOCIATION OF CANADA
RULES OF PROCEDURE

Approved June 18, 2004

PART A: GENERAL MATTERS ………………………………………………………………5
RULE 1: INTERPRETATION AND APPLICATION ………………………………………………… 5
1.1
Application of these Rules …………………………………………………………………………………. 5
1.2 Definitions……………………………………………………………………………………………………….. 5
1.3 General
Principles…………………………………………………………………………………………….. 7
1.4 Conflicts………………………………………………………………………………………………………….. 7
1.5
General Powers of a Panel …………………………………………………………………………………. 7
1.6
Admissibility of Evidence………………………………………………………………………………….. 7
1.7
Defect or Irregularity in Form…………………………………………………………………………….. 8
1.8
Hearings Open to the Public ………………………………………………………………………………. 8
RULE 2: TIME………………………………………………………………………………………………………….. 8
2.1
Computation of Time ………………………………………………………………………………………… 8
2.2
Extension or Abridgment of Time ………………………………………………………………………. 9
RULE 3: APPEARANCE AND REPRESENTATION ………………………………………………… 9
3.1
Representation before a Panel…………………………………………………………………………….. 9
3.2
Change in Representation ………………………………………………………………………………….. 9
RULE 4: SERVICE AND FILING……………………………………………………………………………… 9
4.1
Parties to be Served…………………………………………………………………………………………… 9
4.2
Manner of Service – Notice of Hearing……………………………………………………………….. 9
4.3
Manner of Service – Other Documents ……………………………………………………………… 10
4.4
Effective Date of Service …………………………………………………………………………………. 10
4.5
Proof of Service ……………………………………………………………………………………………… 11
4.6 Filing …………………………………………………………………………………………………………….. 11
4.7
Required Information – Service and Filing ………………………………………………………… 11
4.8
Order for Substituted Service or Waiver of Service …………………………………………….. 12
RULE 5: ELECTRONIC HEARINGS ……………………………………………………………………… 12
5.1
When Electronic Hearings may be held……………………………………………………………… 12
RULE 6: MOTIONS ………………………………………………………………………………………………… 13
6.1 Bringing
a
Motion…………………………………………………………………………………………… 13
6.2
Date for the Hearing of a Motion………………………………………………………………………. 13
6.3
Motions – To Whom to be Made and Form of Motion ………………………………………… 13
6.4
Contents of Notice of Motion …………………………………………………………………………… 14
6.5
Requirement to Serve and File a Motion Record…………………………………………………. 14
6.6
Contents of the Motion Record…………………………………………………………………………. 14
6.7
Response to a Motion Record …………………………………………………………………………… 14

– 2 –

link to page 17 link to page 17 link to page 18 link to page 20 link to page 22 link to page 23 link to page 24 link to page 25 6.8
Contents of the Responding Record ………………………………………………………………….. 14
6.9
Motions on Consent ………………………………………………………………………………………… 15
6.10 Disposition
of
Motions ……………………………………………………………………………………. 15
PART B: DISCIPLINARY HEARINGS…………………………………………………..15
RULE 7: COMMENCEMENT OF PROCEEDINGS ………………………………………………… 15
7.1
Notice of Hearing……………………………………………………………………………………………. 15
7.2
Contents of the Notice of Hearing …………………………………………………………………….. 15
7.3
Failure to Attend Hearing ………………………………………………………………………………… 16
RULE 8: REPLY TO NOTICE OF HEARING…………………………………………………………. 16
8.1
Requirement to Reply ……………………………………………………………………………………… 16
8.2
Contents of Reply …………………………………………………………………………………………… 16
8.3
Acceptance of Facts and Conclusions………………………………………………………………… 17
8.4
Effect of Failure to Deliver a Proper Reply ………………………………………………………… 17
RULE 9: PRE-HEARING CONFERENCES…………………………………………………………….. 18
9.1
Initiation of a Pre-hearing Conference……………………………………………………………….. 18
9.2 Pre-hearing
Conference
Officer………………………………………………………………………… 18
9.3
Form of the Pre-hearing Conference………………………………………………………………….. 18
9.4
Pre-hearing Conference Materials …………………………………………………………………….. 18
9.5
Issues to be Considered……………………………………………………………………………………. 19
9.6
Orders, Agreements and Undertakings at a Pre-hearing Conference ……………………… 19
9.7
Pre-hearing Conference Not Public …………………………………………………………………… 20
9.8
No Communication to a Panel ………………………………………………………………………….. 20
RULE 10: DISCLOSURE OF DOCUMENTS ……………………………………………………………. 20
10.1
Obligation to Disclose Documents and Items – Corporation ………………………………… 20
10.2
Obligation to Disclose Additional Documents and Items – Respondent …………………. 20
10.3
Failure to Disclose Documents or Items …………………………………………………………….. 21
10.4
Corporation’s Duty to Disclose ………………………………………………………………………… 21
RULE 11: WITNESS LISTS AND STATEMENTS……………………………………………………… 21
11.1
Provision of Witness Lists and Statements …………………………………………………………. 21
11.2
Contents of Witness Statements………………………………………………………………………… 21
11.3
Failure to Provide Witness List or Statement ……………………………………………………… 22
11.4
Incomplete Witness Statement………………………………………………………………………….. 22
RULE 12: EXPERT WITNESS ………………………………………………………………………………….. 22
12.1 Expert’s
Report ………………………………………………………………………………………………. 22
12.2
Expert’s Report in Response…………………………………………………………………………….. 22
12.3
Content of Expert’s Report ………………………………………………………………………………. 22
12.4
Failure to Provide Expert’s Report ……………………………………………………………………. 22
RULE 13: CONDUCT OF DISCIPLINARY HEARINGS……………………………………………. 23
13.1
Rights of a Respondent ……………………………………………………………………………………. 23
13.2
Order of Presentation ………………………………………………………………………………………. 23
13.3 Evidence
by
Witnesses ……………………………………………………………………………………. 24

– 3 –

link to page 26 link to page 27 link to page 28 link to page 28 link to page 29 13.4
Evidence by Sworn Statement ………………………………………………………………………….. 24
13.5
Where A Respondent Fails to Attend a Disciplinary Hearing……………………………….. 24
RULE 14: SETTLEMENT AGREEMENTS ………………………………………………………………. 24
14.1
Contents of Settlement Agreements…………………………………………………………………… 24
RULE 15: SETTLEMENT HEARINGS……………………………………………………………………… 25
15.1
Settlement Hearing Date ………………………………………………………………………………….. 25
15.2
Notice and Public Access…………………………………………………………………………………. 25
15.3
Additional Facts Only To Be Disclosed On Consent …………………………………………… 26
PART C: APPEALS ………………………………………………………………………………..26
RULE 16: COMMENCEMENT OF AN APPEAL………………………………………………………. 26
16.1
Notice of Appeal …………………………………………………………………………………………….. 26
16.2
Contents of Notice of Appeal …………………………………………………………………………… 26
RULE 17: APPEAL MATERIALS …………………………………………………………………………….. 27
17.1
Contents of the Appeal Record …………………………………………………………………………. 27
17.2 Costs and Procedure for Ordering Transcripts ……………………………………………………. 27
17.3 Completed Appeal Record and Date of Appeal…………………………………………………… 28
17.4 Appeal by way of an Agreed Statement of Facts…………………………………………………. 28
17.5 Written
Argument …………………………………………………………………………………………… 28
17.6 New
Evidence ………………………………………………………………………………………………… 29

– 4 –


MUTUAL FUND DEALERS ASSOCIATION OF CANADA

RULES OF PROCEDURE

[Made Pursuant to Section 19.12 of By-law No. 1]

PART A: GENERAL MATTERS
[Applicable to all proceedings under By-law No. 1]

RULE 1:
INTERPRETATION AND APPLICATION

1.1

Application of these Rules

(1)
Part A applies to all proceedings under By-law No. 1.

(2)
Part B applies to proceedings conducted pursuant to sections 20 (Disciplinary Hearings),
24.1 (Power of Hearing Panels to Discipline) and 24.4 (Settlement Agreements) of By-
law No. 1.

(3)
Part C applies to proceedings conducted pursuant to sections 11.8 (Reviews of
Membership Approval Hearings) and 24.6.3 (Reviews of Disciplinary Hearings) of By-
law No. 1.

1.2 Definitions

In these Rules:

appeal” means a review hearing conducted pursuant to By-law No. 1.

Appeal Panel” means a panel appointed to preside over an appeal, including a single-
member Appeal Panel appointed to preside over any motion or step in a proceeding.

Appellant” means a party bringing a review hearing.

Corporation” means the Mutual Fund Dealers Association of Canada and where these
Rules require, includes any director, officer, employee or agent of the Corporation
authorized to perform any act on behalf of the Corporation.

document” means any books, records, accounts, statements, reports, correspondence,
notes, memoranda, files, charts, lists, vouchers or any other information stored or
recorded by any means or by any device, including any sound or video recording,
photograph, computer file or e-mail.

– 5 –

electronic hearing” means a hearing held by tele-conference, video-conference, or any
other technology which allows people to hear one another.

hearing” means any hearing conducted pursuant to By-law No. 1.

Hearing Panel” means a panel of three representatives of a Regional Council appointed
to preside over a proceeding or a panel of one Public Representative of a Regional
Council appointed to preside over a motion or any step in a proceeding.

holiday” means:

(i)
any Saturday or Sunday;
(ii)
New Year’s Day
(iii) Good
Friday;
(iv) Easter
Monday;
(v) Victoria
Day;
(vi) Canada
Day;
(vii) Labour
Day;
(viii) Thanksgiving
Day;
(ix) Remembrance
Day;
(x) Christmas
Day;
(xi)
Boxing Day; and
(xii)
any other special holiday proclaimed by the federal government or a
provincial government which inures to the benefit of any party to a
proceeding.

Member” means a member of the Corporation.

Moving Party” means a party bringing a motion.

oral hearing” means a hearing where the parties attend in person, also called a “hearing
in person”.

Panel” means a Hearing Panel or an Appeal Panel.

party” means any party to a proceeding brought pursuant to By-law No. 1, including the
Corporation.

Pre-hearing Conference Officer” means a Public Representative of a Regional Council
appointed to preside over a pre-hearing conference.

proceeding” means all steps in a disciplinary, membership or appeal proceeding
conducted pursuant to By-law No. 1, from the issuance of the commencing document to
the final disposition of the matter.

Respondent” means a Member or person under the jurisdiction of the Corporation
named in a Notice of Hearing or a Settlement Agreement, or a party named in a Notice of
Appeal against whom the appeal is brought.

– 6 –


Responding Party” means a party responding to a motion.

Rules” means these Rules of Procedure.

Secretary” means the Secretary of the Corporation.

written hearing” means a hearing held by exchanging documents.

1.3 General
Principles

(1)
These Rules shall be liberally construed to secure the most expeditious and cost-effective
determination of every proceeding on its merits consistent with the requirements of
fairness.

(2)
Where matters are not provided for in these Rules, the practice may be determined by
analogy to them.

1.4 Conflicts

(1)
Where any of these Rules are inconsistent or conflict with the provisions of a By-law of
the Corporation, the provisions of the By-law shall prevail to the extent of the
inconsistency or conflict.

1.5
General Powers of a Panel

(1)
A Panel may:

(a)
exercise any of its powers under these Rules on its own initiative or at the request
of a party;

(b)
waive or vary any of these Rules at any time, on such terms as it considers
appropriate;

(c)
issue directions or make interim orders concerning the practice or procedure to be
followed during a proceeding, on such terms as it considers appropriate.

1.6

Admissibility of Evidence

(1)
Subject to sub-Rule (3), a Panel may admit as evidence any testimony, document or other
thing, including hearsay, which it considers to be relevant to the matters before it and is
not bound by the technical or legal rules of evidence.

(2)
A Panel may admit a copy of any document or other thing as evidence if it is satisfied
that the copy is authentic.

(3)
Nothing is admissible in evidence which would be inadmissible by reason of a statute or
a legal privilege.

– 7 –

1.7
Defect or Irregularity in Form

(1)
No proceeding or document, hearing, decision or step in a proceeding is invalid only by
reason of a defect or irregularity in form.

1.8
Hearings Open to the Public

(1)
Subject to sub-Rules (2) and (3), all hearings shall be open to the public unless the Panel
orders otherwise.

(2)
A Panel may order that all or part of a hearing be heard in the absence of the public
where the Panel is of the opinion that intimate financial or personal matters or other
matters may be disclosed at the hearing which are of such a nature, having regard to the
circumstances, that the desirability of avoiding disclosure thereof in the interests of any
person affected or in the public interest outweighs the desirability of adhering to the
principle that hearings be open to the public.

(3)
An electronic hearing shall be open to the public unless the Panel makes an order under
sub-Rule (2) or the Panel is of the opinion that it is not practical to hold the electronic
hearing in a manner that is open to the public.

(4)
A Panel may impose such terms as it considers appropriate for the conduct of a hearing
held in the absence of the public.

(5)
Exhibits, documents and transcripts relating to that part of a hearing that is held in the
absence of the public shall be marked “Confidential” and shall be kept separate from the
public record, and access to this material shall only be by order of the Panel.

RULE 2:
TIME

2.1
Computation of Time

(1)
When computing time periods under these Rules or an order of a Panel:

(a)
Where there is a reference to a number of days between two events, they are
counted by excluding the day on which the first event happens and including the
day on which the second event happens;

(b)
Where a period of less than 7 days is prescribed, holidays are not counted;

(c)
Where the time for doing an act expires on a holiday, the act may be done on the
next day that is not a holiday;

(d)
Where a document would be deemed to be received or service would be deemed to
be effective on a day that is a holiday, it shall be deemed to be received or effective
on the next day that is not a holiday.

– 8 –

2.2
Extension or Abridgment of Time

(1)
The time for the performance of any obligation under these Rules may be extended or
abridged:

(a)
by a Panel, at any time on such terms as it considers appropriate;

(b)
on consent of the parties prior to the expiration of the prescribed time.

RULE 3:
APPEARANCE AND REPRESENTATION

3.1
Representation before a Panel

(1)
In any proceeding, a party may act on his, her or its own behalf or may be represented by
counsel or agent.

3.2
Change in Representation

(1)
A party represented by counsel or agent may change counsel or agent by immediately
advising the Secretary and every other party in writing of the name, address, telephone
number, fax number and e-mail address, if any, of the new counsel or agent.

(2)
A party acting on his, her or its own behalf may appoint counsel or agent by immediately
advising the Secretary and every other party in writing of the name, address, telephone
number, fax number and e-mail address, if any, of the counsel or agent.

(3)
A party represented by counsel or agent may elect to act on his, her or its own behalf by
immediately advising the Secretary and every other party in writing of the address,
telephone number, fax number and e-mail address, if any, at which the party may be
contacted and served.

(4)
Where a counsel or agent ceases to act for a party, the counsel or agent should
immediately notify the Secretary and every other party in writing.

RULE 4: SERVICE AND FILING

4.1
Parties to be Served

(1)
Any document required to be served under these Rules shall be served on every other
party whose interests may be affected by the document.

4.2
Manner of Service – Notice of Hearing

(1)
A Notice of Hearing shall be served by one of the following methods:

(a)
by personal service on the Respondent;

– 9 –

(b)
by registered and ordinary mail or by courier with confirmation of delivery to the
Respondent’s last known address as recorded in the Corporation’s records or in
the records of any securities commission with which the Respondent is or was
registered;

(c)
by providing it to the Respondent’s counsel or agent, with the consent of the
counsel or agent; or

(d)
by any other means, with the consent of the Respondent or by order of the
Hearing Panel.

4.3
Manner of Service – Other Documents

(1)
Where these Rules require a document other than a Notice of Hearing to be served, it
may be served by delivering it:

(a) personally;

(b) by mail or courier;

(c) by fax, provided that the document does not exceed 16 pages, inclusive of the
covering page, unless the party consents or the Panel orders otherwise;

(d) by e-mail, provided that the entire document is capable of being transmitted by e-
mail; or

(e) by any other means, with the consent of the party or by order of the Panel.

(2)
Where all or part of any document referred to in sub-Rule (1) exists in an electronic
format, a Panel or the Secretary may require a party to provide an electronic copy of the
document or a portion thereof to any other party, on such terms as may be appropriate.

4.4
Effective Date of Service

(1)
Service of a document is deemed to be effective:

(a)
if served personally before 5 p.m., on the same day, and after 5 p.m., on the next
day;

(b)
if sent by mail, on the fifth day after the day of mailing;

(c)
if sent by courier, on the second day after the day the document was given to the
courier;

(d)
if sent by fax or e-mail, on the same day if the transmission was received before 5
p.m., and if received after 5 p.m., on the next day.

– 10 –

(2) Sub-Rule (1) does not apply where a party, counsel or agent, acting in good faith, does not
receive the document whether by reason of absence, accident, illness or other cause
beyond the person’s control.

(3) A document may not be served or service deemed to be effective on a holiday, except with
the consent of the party being served or by order of a Panel.

4.5
Proof of Service

(1)
Where these Rules require a document to be served, the party required to serve the
document shall file a single copy of a document showing proof of service within five
days of the effective date of service.

4.6 Filing

(1)
Except where these Rules provide otherwise, where these Rules require a document to be
filed, the document shall be filed by:

(a) providing 4 copies of the document to the Secretary by personal delivery, mail, or
courier; or

(b) transmitting 1 copy of the document to the Secretary by fax, provided that the
document does not exceed 16 pages, inclusive of the covering page, unless the
Secretary permits otherwise.

(2)
Where all or part of any document referred to in sub-Rule (1) exists in an electronic
format, a Panel or the Secretary may require a party to file an electronic copy of the
document or a portion thereof in addition to or instead of any other copy required to be
filed by the party.

4.7

Required Information – Service and Filing

(1)
A party serving or filing a document by any means shall include the following
information with the document:

(a)
the name of the proceeding to which the document relates;

(b)
where a party is being served with the document, the name of the party being
served; and

(c)
the name, address, telephone number, fax number, and e-mail address, if any, of
the party, counsel or agent serving or filing the document.

– 11 –

4.8
Order for Substituted Service or Waiver of Service

(1) A Panel may order substituted service or waive the requirement for service of any
document where it is satisfied that it is in the public interest to do so or the circumstances
giving rise to the requirement to effect service make it unnecessary or impractical to do
so.

RULE 5:
ELECTRONIC HEARINGS

5.1

When Electronic Hearings may be held

(1)
A Panel may hold an electronic hearing to determine:

(a) any procedural matter; or

(b) any other matter, unless a party objects and the Panel is satisfied that holding an
electronic hearing is likely to cause significant prejudice to the party.

(2)
A Panel may continue an oral hearing as an electronic hearing, or an electronic hearing as
an oral hearing, at the request of a party or on its own initiative, on such terms as it
considers appropriate.

(3)
In determining whether to hold an electronic hearing, the Panel may consider any
relevant factors, including:

(a) convenience;

(b) fairness;

(c) cost, efficiency and timeliness;

(d) public access to and participation in the hearing;

(e) the Panel’s mandate;

(f) whether an electronic hearing is appropriate having regard to the evidence and the
issues to be considered.

(4)
A Panel may impose any terms on an electronic hearing it considers appropriate,
including that one or more of the parties to the electronic hearing shall pay all or part of
the costs of conducting the electronic hearing.

– 12 –

RULE 6:
MOTIONS

6.1
Bringing a Motion

(1)
A motion may be brought at any stage of a proceeding.

(2)
The Moving Party shall serve on every other party and file a Notice of Motion at least 10
days prior to the date of the motion, unless the nature of the motion or the circumstances
giving rise to the motion make it unnecessary or impractical to do so.

6.2
Date for the Hearing of a Motion

(1)
Where a motion is to be heard prior to the hearing of a proceeding on its merits, the
Moving Party shall obtain a date for the motion from the Secretary before serving the
Notice of Motion.

(2)
Where a motion is to be heard on a date scheduled for the hearing of the proceeding on its
merits, the Panel shall determine the procedure for hearing the motion.

6.3

Motions – To Whom to be Made and Form of Motion

(1)
A motion shall be heard by a Panel.

(2)
The Moving Party may propose that the motion be conducted as an oral hearing, a written
hearing, or an electronic hearing, and the motion shall be heard in that form unless a
Responding Party objects or the Panel directs otherwise;

(3)
A Responding Party may object to the proposed form of a motion by advising all other
parties and the Secretary in writing of the grounds for the objection no later than two days
after the effective date of service of the Motion Record;

(4)
The Panel shall determine the form of the motion and in doing so may consider any
relevant factors, including:

(a) convenience;

(b) fairness;

(c) cost, efficiency and timeliness;

(d) public access to and participation in the hearing;

(e) the Panel’s mandate;

(f) whether the proposed form of the motion is appropriate having regard to the evidence
and the issues to be considered.

– 13 –

(5)
Where the Panel determines that the motion will be heard in a form other than the form
proposed by the Moving Party, the Secretary shall notify the parties of the Panel’s
determination.

6.4
Contents of Notice of Motion

(1)
The Notice of Motion shall state:

(a)
the date, time and location of the motion;

(b)
whether it is proposed that the motion be conducted as an oral hearing, a written
hearing, or an electronic hearing;

(c)
the relief sought;

(d)
a brief summary of the grounds for the relief sought, including reference to any
relevant provisions of a By-law, Rule or Policy of the Corporation, these Rules, or
a statute or regulation; and

(e)
the list of evidence and materials to be relied upon.

6.5
Requirement to Serve and File a Motion Record

(1)
The Moving Party shall serve on every other party and file a Motion Record at least 10
days prior to the date of the motion.

6.6
Contents of the Motion Record

(1)
The Motion Record shall contain:

(a)
the Notice of Motion; and

(b)
copies of the evidence and materials to be relied upon.

6.7
Response to a Motion Record

(1)
The Responding Party may serve on every other party and file a Responding Record at
least 5 days prior to the date of the motion.

6.8

Contents of the Responding Record

(1)
A Responding Record shall contain:

(a)
a statement of the reasons why the relief should not to be granted; and

(b)
copies of any additional evidence or other materials to be relied upon.

– 14 –

6.9
Motions on Consent

(1)
Where a motion is made on consent:

(a)
the motion shall be heard in writing without the attendance of the parties affected,
unless the Panel orders otherwise; and

(b)
the Moving Party shall file, in addition to any other materials required for the
motion, the written consent of the parties affected and a draft order.

6.10
Disposition of Motions

(1)
When a motion is heard by a Panel prior to the hearing of the proceeding on its merits,
the Panel may:

(a)
grant the relief requested;

(b)
dismiss or adjourn the motion, in whole or in part and with or without terms; or

(c)
adjourn the motion to be disposed of by the Panel presiding over the hearing of
the proceeding on its merits.

PART B:
DISCIPLINARY HEARINGS
[Pursuant to Sections 20 (Disciplinary Hearings), 24.1 (Power of Hearing Panels to
Discipline) and 24.4 (Settlement Agreements) of By-law No.1]

RULE 7:
COMMENCEMENT OF PROCEEDINGS

7.1 Notice
of
Hearing

(1)
Disciplinary hearings pursuant to sections 20 and 24.1 of By-law No. 1 shall be
commenced by a Notice of Hearing signed by an officer of the Corporation.

(2)
The Notice of Hearing shall be served on every Respondent at least 30 days prior to the
commencement of the hearing or the date of the first appearance in the hearing, unless a
Hearing Panel orders otherwise;

(3)
In the case of an individual who is named as a Respondent, the Notice of Hearing shall be
served on the Member or Members concerned.

7.2
Contents of the Notice of Hearing

(1)
The Notice of Hearing shall:

(a)
identify the date, time and location of the hearing or the first appearance in the
hearing;

– 15 –


(b)
state the purpose of the hearing;

(c)
identify the authority pursuant to which the hearing is held;

(d)
provide a summary of the facts alleged and conclusions drawn by the Corporation
on which the Corporation intends to rely at the hearing;

(e)
contain the provisions of sections 20.2 (Reply), 20.3 (Acceptance of Facts and
Conclusions) and 20.4 (Failure to Reply or Attend) of By-law No. 1;

(f)
describe the penalties and costs which may be imposed on the Respondent
pursuant to sections 24.1 and 24.2 respectively of By-law No. 1;

(g)
notify the Respondent of the right to be represented by counsel or agent;

(h)
notify the Respondent of the right to appear at the hearing, to make submissions,
to call, examine and cross-examine witnesses and to present evidence; and

(i)
include any other information that the Corporation considers appropriate.

7.3
Failure to Attend Hearing

(1)
Where a Respondent fails to attend the hearing on the date and at the time and location
specified in the Notice of Hearing, the Hearing Panel may:

(a)
proceed with the hearing without further notice to and in the absence of the
Respondent; and

(b)
accept the facts alleged and conclusions drawn by the Corporation in the Notice
of Hearing as proven and impose any of the penalties and costs described in
sections 24.1 and 24.2 respectively of By-law No. 1.

RULE 8:
REPLY TO NOTICE OF HEARING

8.1

Requirement to Reply

(1)
A Respondent shall serve on every other party and file a Reply within 10 days of the
effective date of service of the Notice of Hearing.

8.2
Contents of Reply

(1)
Subject to sub-Rule (2), the Reply shall:

(a)
identify the facts alleged and conclusions drawn by the Corporation in the Notice
of Hearing which the Respondent,

– 16 –

(i)
admits,

(ii) denies, with a summary of the grounds for denying them,

(iii)
denies, because the Respondent has no knowledge of them, and

(b)
state any additional facts and conclusions on which the Respondent intends to rely
at the hearing.

(2)
Where the Respondent admits all or substantially all of the facts alleged and conclusions
drawn by the Corporation in the Notice of Hearing, the Respondent may state in the
Reply circumstances in mitigation of any penalty to be imposed.

8.3
Acceptance of Facts and Conclusions

(1)
A Hearing Panel may accept as proven any facts alleged or conclusions drawn by the
Corporation in the Notice of Hearing that the Respondent does not specifically deny in
the Reply in accordance with Rule 8.2(1)(ii) and (iii).

8.4
Effect of Failure to Deliver a Proper Reply

(1)
Where a Respondent fails to serve and file a Reply in accordance with the requirements
of Rules 8.1 and 8.2, the Hearing Panel may do any one or more of the following:

(a)
proceed with the hearing without further notice to and in the absence of the
Respondent;

(b)
accept the facts alleged and conclusions drawn by the Corporation in the Notice
of Hearing as proven and impose any of the penalties and costs described in
sections 24.1 and 24.2 respectively of By-law No. 1;

(c)
order that the Respondent pay costs, at any stage of the proceeding, regardless of
the outcome of the proceeding and in addition to any other penalties and costs
imposed on the Respondent, in an amount which reflects the extent to which, in
the Hearing Panel’s discretion, the hearing will be or has been unnecessarily
prolonged or complicated by the failure of the Respondent to deliver a proper
Reply;

(d)
prohibit, restrict, or place terms on the right of the Respondent to call witnesses or
present evidence at the hearing.

(2)
Where a Hearing Panel determines that a Reply contained false or misleading statements,
or differed in a material way from the position taken by the Respondent at the hearing,
the Hearing Panel may, regardless of the outcome of the proceeding and in addition to
any other penalties and costs imposed on the Respondent, order that Respondent pay
costs in an amount which reflects the extent to which, in the Hearing Panel’s discretion,
the hearing was unnecessarily prolonged or complicated by the failure of the Respondent
to deliver a proper Reply.

– 17 –


RULE 9:

PRE-HEARING CONFERENCES

9.1

Initiation of a Pre-hearing Conference

(1)
At any time prior to the commencement of the hearing of a proceeding on its merits, a
party may request a pre-hearing conference by serving on every other party and filing a
Request for a Pre-hearing Conference.

(2)
There shall not be more than one pre-hearing conference in a proceeding, except on
consent of the parties or by order of a Pre-hearing Conference Officer or a Hearing Panel.

(3)
A Request for a Pre-hearing Conference shall include the party’s proposal as to the form
of the pre-hearing conference pursuant to Rule 9.3.

(4)
A party may object to the proposed form of a pre-hearing conference by advising all
other parties and the Secretary in writing of the grounds for the objection within two days
of the effective date of service of the Request for a Pre-hearing Conference.

(5)
Where the parties are unable to resolve the objection, the Pre-hearing Conference Officer
assigned to the matter shall determine the form of the pre-hearing conference, having
regard to the factors set out in Rule 5.1(3).

(6)
The Secretary shall notify the parties of the date, time, location and form of the pre-
hearing conference.

9.2
Pre-hearing Conference Officer

(1)
A pre-hearing conference shall be held before a Public Representative of a Regional
Council sitting as a “Pre-hearing Conference Officer”.

(2)
A Pre-hearing Conference Officer shall not be a member of any subsequent Hearing
Panel which presides over the hearing of the proceeding on its merits or any step in the
same proceeding, unless all parties consent in writing.

(3)
A Pre-hearing Conference Officer may preside over more than one pre-hearing
conference in the same proceeding.

9.3
Form of the Pre-hearing Conference

(1)
A pre-hearing conference may be held in person or as an electronic hearing.

9.4
Pre-hearing Conference Materials

(1)
In advance of the pre-hearing conference, the Secretary shall provide each party with a
Pre-hearing Conference Form on which to record information which may be relevant to a
consideration of the issues in the proceeding.

– 18 –

(2)
Each party shall provide every other party and the Secretary with a copy of the completed
Pre-hearing Conference Form at least two days prior to the pre-hearing conference.

(3)
The Pre-hearing Conference Forms shall not form part of the public record of the
proceeding and may be returned to the parties by the Pre-hearing Conference Officer at
the conclusion of pre-hearing conference.

9.5

Issues to be Considered

(1)
The Pre-hearing Conference Officer may consider any issue that may assist in the just
and expeditious disposition of the proceeding, including:

(a)
the settlement of any or all issues in the proceeding, including penalty and costs;

(b)
the simplification or clarification of any issues;

(c)
the disclosure of documents, including expert reports;

(d)
any facts or evidence that the parties agree upon;

(e)
identifying any issues as to the admissibility of evidence;

(f)
identifying any preliminary objections and scheduling any preliminary motions;

(g)
the date by which any steps in the proceeding are to be taken or begun;

(h)
identifying and scheduling any anticipated steps in the proceeding; and

(i)
any other procedural or substantive matters.

9.6
Orders, Agreements and Undertakings at a Pre-hearing Conference

(1)
A Pre-hearing Conference Officer may make such procedural orders with respect to the
conduct of the proceeding as the Pre-hearing Conference Officer considers appropriate.

(2)
Any orders made by the Pre-hearing Conference Officer, and any agreements and
undertakings made or given by the parties, shall be recorded in a memorandum prepared
by the Pre-hearing Conference Officer, circulated to the parties for comment, and then
approved and signed by the Pre-hearing Conference Officer and distributed to the parties.

(3)
Every memorandum recording orders, agreements and undertakings made or given at a
pre-hearing conference shall be filed with the Secretary and may be made available to a
Hearing Panel.

(4)
Any orders, agreements, and undertakings made or given at a pre-hearing conference are
binding on the parties, unless a subsequent Pre-hearing Conference Officer or a Hearing
Panel orders otherwise.

– 19 –


9.7

Pre-hearing Conference Not Public

(1)
A pre-hearing conference shall be held in the absence of the public.

(2)
Any documents, exhibits and transcripts pertaining to a pre-hearing conference shall not
be made available to the public, except a memorandum prepared in accordance with Rule
9.6.

(3)
Every memorandum recording orders, agreements, and undertakings made or given at a
pre-hearing conference shall be drafted in a manner which gives effect to the principle
that pre-hearing conferences are to be conducted in the absence of the public.

9.8
No Communication to a Panel

(1)
All oral or written statements made at a pre-hearing conference are without prejudice.

(2)
No communication shall be made to a Panel of any oral or written statements made at a
pre-hearing conference by the parties or a Pre-hearing Conference Officer, except as may
be disclosed in a memorandum made pursuant to Rule 9.6.

RULE 10: DISCLOSURE OF DOCUMENTS

10.1
Obligation to Disclose Documents and Items – Corporation

(1)
The Corporation shall, as soon as reasonably practicable after service of the Notice of
Hearing, and in any case at least 14 days prior to the commencement of the hearing of the
proceeding on its merits, provide the Respondent with copies of all documents, and a list
of items other than documents, that the Corporation intends to rely on at the hearing.

(2)
The Corporation shall make available for inspection by the Respondent any item referred
to in sub-Rule (1).

10.2
Obligation to Disclose Additional Documents and Items – Respondent

(1)
A Respondent shall, as soon as reasonably practicable after service of the Notice of
Hearing, and in any case at least 14 days prior to the commencement of the hearing of the
proceeding on its merits, provide the Corporation and any other Respondent with copies
of all documents and a list of all items, other than those already provided by the
Corporation, that the Respondent intends to rely on at the hearing.

(2)
A Respondent shall make available for inspection by the Corporation or any other
Respondent any item referred to in sub-Rule (1).

– 20 –


10.3

Failure to Disclose Documents or Items

(1)
If a party fails to provide a document, or make an item available for inspection, in
accordance with Rules 10.1 and 10.2, then the party may not rely on the document or
item at the hearing without permission of the Hearing Panel and on such terms as the
Hearing Panel considers appropriate.

10.4
Corporation’s Duty to Disclose

(1)
Nothing in this Rule 10 derogates from the Corporation’s obligation to make disclosure
as required by common law, as soon as reasonably practicable after service of the Notice
of Hearing.


RULE 11: WITNESS LISTS AND STATEMENTS

11.1 Provision of Witness Lists and Statements

(1)
Subject to Rule 12, a party to a proceeding shall provide every other party with:

(a)
a list of the witnesses the party intends to call at the hearing of the proceeding on
its merits; and

(b)
in respect of each witness named on the list, other than a Respondent who has
already provided a statement recorded by the Corporation, either:

(i)
a witness statement signed by the witness; or

(ii)
a transcript of a recorded statement made by the witness; or

(iii)
if no signed witness statement or transcript referred to in sub-Rules (i) and
(ii) is available, a summary of the evidence that the witness is expected to
give at the hearing.

(2)
Where a Respondent intends to testify to matters which were not disclosed by the
Respondent in any prior recorded statements provided to the Corporation, the Respondent
shall provide every other party with a signed witness statement in respect of the
additional matters.

(3)
The parties shall comply with the requirements of sub-Rules (1) and (2) at least 14 days
prior to the commencement of the hearing.

11.2

Contents of Witness Statements

(1)
A witness statement, transcript of a recorded statement or summary of the expected
evidence of a witness required by Rule 11.1 shall contain:

– 21 –

(a)
the substance of the evidence the witness is expected to give at the hearing; and

(b)
the name and address of the witness or, in the alternative, the name and address of
a person through whom the witness can be contacted.

11.3

Failure to Provide Witness List or Statement

(1)
If a party fails to comply with Rule 11.1, the party may not call the witness at the hearing
without permission of the Hearing Panel and on such terms as the Hearing Panel
considers appropriate.

11.4

Incomplete Witness Statement

(1)
A party may not call a witness to testify to matters not disclosed pursuant to Rule 11.2
without leave of the Hearing Panel and on such terms as the Hearing Panel considers
appropriate.


RULE 12: EXPERT WITNESS

12.1 Expert’s
Report

(1)
A party that intends to call an expert witness shall provide every other party with a signed
copy of the expert’s report at least 60 days prior to the date of the hearing.

12.2
Expert’s Report in Response

(1)
A party who intends to call an expert witness to respond to the expert witness of another
party shall provide a signed copy of the expert’s report at least 20 days prior to the date of
the hearing.

12.3
Content of Expert’s Report

(1)
An expert’s report shall contain:

(a)
the name, address and qualifications of the expert; and

(b)
the substance of the expert’s opinion.

12.4

Failure to Provide Expert’s Report

(1)
A party that fails to comply with Rules 12.1, 12.2 or 12.3 may not call the expert as a
witness or rely on the expert’s report at the hearing without permission of the Hearing
Panel and on such terms as the Hearing Panel considers appropriate.

– 22 –

RULE 13: CONDUCT OF DISCIPLINARY HEARINGS

13.1
Rights of a Respondent

(1)
A Respondent is entitled at the hearing of a proceeding on its merits:

(a)
to attend and be heard in person;

(b)
to be represented by counsel or an agent;

(c)
to present documentary evidence;

(d)
to call and examine witnesses;

(e)
to cross-examine opposing witnesses; and

(f)
to make submissions.

13.2
Order of Presentation

(1)
The order of presentation at the hearing of a proceeding on its merits shall be as follows:

(a)
The Corporation shall make an opening address and the Respondent may either
make an opening address immediately following the Corporation’s opening
address or prior to presenting its case in (c) below, but not both;

(b)
The Corporation shall present its evidence and examine its witnesses and the
Respondent shall be permitted to cross-examine each of the Corporation’s
witnesses, subject to Rule 13.4;

(c)
The Respondent shall present its evidence and examine its witnesses and the
Corporation shall be permitted to cross-examine each of the Respondent’s
witnesses, subject to Rule 13.4; and

(d)
The Corporation may present any evidence and call any witnesses in reply to any
issues raised for the first time by the Respondent during the presentation of its
case in (c) above, and the Respondent shall be permitted to cross-examine any
such witnesses called by the Corporation, subject to Rule 13.4;

(e)
The Corporation, followed by the Respondent, shall make a closing argument and
the Corporation shall be permitted to reply to any issues raised by the Respondent.

(2)
Following the cross-examination of any witness, reply examination by the party that
called the witness is permitted but only in respect of matters raised for the first time in
cross-examination.

– 23 –

(3)
In addition to any questions asked during the examination or cross-examination of a
witness, the Hearing Panel may ask questions of the witness, subject to the right of all
parties to ask questions of the witness regarding any matters raised by the Hearing Panel.

(4)
Where there are two or more Respondents separately represented, the order of
presentation shall be as directed by the Hearing Panel.

13.3
Evidence by Witnesses

(1)
Subject to Rule 13.4, a witness at a hearing shall provide oral testimony under oath or
affirmation.

(2)
The Hearing Panel shall exercise reasonable control over the scope and manner of
questioning of a witness so as to protect the witness from undue harassment or
embarrassment and may disallow a question put to a witness that is vexatious or
irrelevant to any matter at issue in the hearing.

13.4
Evidence by Sworn Statement

(1)
The Hearing Panel may allow the evidence of a witness or proof of a particular fact or
document to be given by sworn statement unless an adverse party reasonably requires the
attendance of the witness at the hearing for cross-examination.

13.5
Where A Respondent Fails to Attend a Disciplinary Hearing

(1)
Where a Respondent, having been served with a Notice of Hearing, fails to attend the
hearing of the proceeding on its merits, the Hearing Panel may proceed in accordance
Rule 7.3.

RULE 14: SETTLEMENT AGREEMENTS

14.1
Contents of Settlement Agreements

(1)
A Settlement Agreement made pursuant to section 24.4.1 (Settlement Hearings) of By-
law No. 1 shall be in writing and signed by the parties and contain:

(a)
a statement of the relevant facts;

(b)
a statement of the violations admitted to by the Respondent, with reference to any
specific By-law, Rule or Policy of the Corporation or any applicable statutory
provision, and a statement as to future compliance therewith;

(c)
the consent and agreement of the Respondent to the terms of the Settlement
Agreement, including the penalties and costs to be imposed on the Respondent;

– 24 –

(d)
a statement that the Respondent waives all rights to any further hearing, appeal
and review;

(e)
a statement that the Settlement Agreement is conditional upon acceptance by the
Hearing Panel; and

(f)
such other matters not inconsistent with (a) to (e).


RULE 15: SETTLEMENT HEARINGS

15.1 Settlement
Hearing
Date

(1)
Upon entering into a Settlement Agreement, the Corporation shall request a date for the
settlement hearing from the Secretary.

(2)
The Secretary shall give written notice of the settlement hearing date to all parties.

15.2
Notice and Public Access

(1)
Except where a settlement is reached after the commencement of the hearing of a
proceeding on its merits, a Hearing Panel shall not consider a Settlement Agreement
unless at least 14 days notice of the settlement hearing has been given by the Corporation
in the same manner as a notice of penalty pursuant to section 24.5 (Publication of Notice
and Penalties) of By-law No. 1 specifying:

(a)
the date, time and place of the settlement hearing; and
(b)
the purpose of the settlement hearing with sufficient information to identify the
Member or person involved and the general nature of the allegations which are
the subject matter of the settlement.
(2)
A Hearing Panel may, on its own initiative or at the request of a party, order that all or
part of the settlement hearing be held in the absence of the public, having regard to the
principles set out in Rule 1.8.
(3)
Where a Settlement Agreement is accepted, the Hearing Panel shall provide reasons for
its decision which, along with the record of the settlement hearing, shall be made
available to the public, unless the Hearing Panel is of the opinion that all or part of the
reasons and the record of the settlement hearing should not be made available to the
public, having regard to the principles set out in Rule 1.8.
(4)
Where a Settlement Agreement is not accepted, the Hearing Panel may provide on its
own initiative, and shall provide at the request of a party, reasons for its decision and the
Hearing Panel may order that all or part of the reasons and the record of the settlement
hearing should not be made available to the public, having regard to the principles set out
in Rule 1.8.

– 25 –

(5)
The acceptance or rejection of a Settlement Agreement by a Hearing Panel is final and is
not subject to appeal or review pursuant to section 24.6.3 (Reviews of Disciplinary
Hearings) of By-law No. 1.

15.3

Additional Facts Only To Be Disclosed On Consent

(1)
The Hearing Panel may advise the parties of any additional facts which it considers
necessary to assess the settlement but unless the parties consent, any facts which are not
contained in the Settlement Agreement shall not be disclosed to the Hearing Panel.

(2)
If a Respondent is not present at the settlement hearing, Staff may disclose additional
relevant facts, at the request of the Hearing Panel.

PART C: APPEALS
[Pursuant to sections 11.8 (Reviews of Membership Approval Hearings) and
24.6.3 (Reviews of Disciplinary Hearings) of By-law No. 1]

RULE 16: COMMENCEMENT OF AN APPEAL

16.1
Notice of Appeal

(1)
An Appellant shall commence an appeal by serving on every other party and filing a
single copy of a Notice of Appeal within 30 days of the effective date of service of the
decision under appeal.

16.2
Contents of Notice of Appeal

(1)
The Notice of Appeal shall contain:

(a)
a statement of the relief sought;

(b)
a brief summary of the grounds for the appeal; and

(c)
a list of the exhibits and transcripts from the hearing that the Appellant believes
are required for the appeal.

16.3 Respondent’s Notice of Required Evidence

(1)
Within 15 days of the effective date of service of the Notice of Appeal, each Respondent
may serve on every other party and file a single copy of a Respondent’s Notice of
Required Evidence listing any additional exhibits and transcripts from the hearing that the
Respondent believes are required for the appeal.

– 26 –

RULE 17: APPEAL MATERIALS

17.1
Contents of the Appeal Record

(1)
The Appeal Record shall be prepared by the Secretary and contain copies of the
following:

(a)
the Notice of Appeal;

(b)
the Respondent’s Notice of Required Evidence;

(c)
the Notice of Hearing;

(d)
the Reply;

(e)
the decision and reasons appealed from;

(f)
the order appealed from;

(g)
any other orders and decisions made in the proceeding; and

(h)
all of the exhibits and transcripts listed in the Notice of Appeal and in any
Respondent’s Notice of Required Documents that the parties believe are required
for the appeal.

17.2 Costs and Procedure for Ordering Transcripts

(1)
Within 45 days of the effective date of service of the Notice of Appeal, each party shall
serve and file a single copy of a document showing proof that all of the transcripts that
the party believes are required for the appeal have been ordered from the transcribing
agency.

(2)
When a transcript has been completed, the transcribing agency will notify all of the
parties and the Secretary in writing.

(3)
Each party shall serve and file, or arrange for the transcribing agency to deliver to every
party and the Secretary, a copy of a transcript ordered by the party within 10 days of
receiving notice from the transcribing agency that the transcript has been completed.

(4)
Each party is responsible for paying the costs of obtaining the transcripts that the party
believes are required for the appeal. Where two or more Appellants or Respondents
require the same transcript, they may agree to share the cost of obtaining the transcript.

– 27 –

17.3 Completed Appeal Record and Date of Appeal

(1)
The Secretary shall provide each party with a copy of the Appeal Record and written
notice of the appeal date:

(a)
within 21 days of receiving the last transcript required for the appeal; or

(b)
where no transcripts have been ordered by any party, within 40 days of the
effective date of service of the Notice of Appeal.

17.4 Appeal by way of an Agreed Statement of Facts

(1)
Where the parties intend to proceed on appeal by way of an Agreed Statement of Facts,
they shall notify the Secretary in writing of their intentions.

(2)
Notwithstanding that the parties intend to proceed by way of an Agreed Statement of
Facts, a Respondent shall comply with Rule 16.3 and all parties shall comply with Rule
17.2.

(3)
The parties will make arrangements with the Secretary to obtain access to or copies of
any exhibits required to prepare the Agreed Statement of Facts.

(4)
The parties shall file the Agreed Statement of Facts, which may include copies of any
exhibits and transcripts:

(a)
within 40 days of receiving notice from the transcribing agency that the last
transcript required for the appeal has been completed; or

(b)
within 60 days of the effective date of service of the Notice of Appeal, where no
transcripts have been ordered by any party.

(5)
Where the parties reach an Agreed Statement of Facts, the Appeal Record shall contain
the items in Rule 17.1(1)(a) to (f), together with the Agreed Statement of Facts, and the
Secretary shall provide each party with a copy of the Appeal Record and written notice of
the appeal date within 14 days of the Agreed Statement of Facts being filed.

(6)
Where the parties are unable to reach an Agreed Statement of Facts, they shall notify the
Secretary in writing and the Secretary shall provide each party with a copy of the Appeal
Record, containing all of the items in Rule 17.1, and written notice of the appeal date
within 21 days of the last day on which the parties could have filed an Agreed Statement
of Facts.

17.5 Written

Argument

(1)
The parties shall prepare a written argument which shall contain:

(a)
a statement of the issues to be argued on the appeal;

– 28 –

(b)
the facts and law relied upon, with reference to any supporting materials in the
Appeal Record; and

(c)
the relief sought.

(2)
The written argument shall not exceed 25 pages in length, double-spaced, unless the
Appeal Panel permits otherwise.

(3)
The written argument shall be served and filed as follows:

(a)
by the Appellant, within 30 days of receipt of the Appeal Record;

(b)
by the Respondent, within 30 days of the effective date of service of the
Appellant’s written argument.

(4)
The Appellant may serve and file a supplementary written argument not exceeding 5
pages in length, double-spaced, in response to any new issues raised in the Respondent’s
written argument, within 7 days of being served with the Respondent’s written argument.

(5)
A party should serve and file a Case Book, containing copies of any cases, articles or
other materials referred to in its written argument or that the party intends to rely on at
the appeal, at the same time as the party serves and files its written argument and, in any
event, no later than 5 days prior to the appeal.


17.6 New
Evidence

(1)
No party shall introduce evidence on an appeal which was not before the Hearing Panel
whose decision is under appeal without the permission of the Appeal Panel, which may
permit the introduction of such evidence on any terms it considers appropriate.

(2)
A party who intends to request permission to introduce evidence on an appeal which was
not before the Hearing Panel whose decision is under appeal:

(a)
shall, not later than 60 days prior to the appeal date, serve on all other parties to
the appeal a sworn statement of the evidence and attach as exhibits any related
documents; and

(b)
shall not file the statement with the Secretary prior to the appeal date and, in any
event, without the permission of the Appeal Panel.

17.7 Failure to Comply with Appeal Procedure

(1)
Where a party fails to comply with a required step in the appeal procedure in a timely
manner or at all, the Appeal Panel may:

(a)
waive compliance with the step;

– 29 –

(b)
place terms on the party’s obligation or right to perform the required step or any
other step in the appeal;

(c)
grant, dismiss, or adjourn the appeal, in whole or in part and with or without
terms; or

(d)
make any other order it considers appropriate.

(2)
The Appeal Panel may impose costs on any party to an appeal, regardless of the outcome
of the appeal, where the party has, in the opinion of the Appeal Panel, unreasonably
required any transcripts or exhibits from the hearing to be included in the Appeal Record.


END OF DOCUMENT

Approved June 18, 2004


– 30 –