The lawyers of Field Law’s Professional Regulatory group have represented professional regulators or their regulatory tribunals in hundreds of discipline and registration cases. Our Professional Regulatory lawyers focus on “preventative lawyering” to assist regulators to carry out their mandates while avoiding appeals, applications for judicial review and other litigation wherever possible. Sometimes administrative or civil litigation is unavoidable. Our Professional Regulatory team is experienced and can respond with strategic advice and representation.  

Lawyers in our Professional Regulatory Group have acted as legal counsel in many Court cases of significance to professional regulators:

• Defended appeal from decision upholding findings of unprofessional conduct and sanctions imposed for breaching advertising rules, failure to cooperate with the regulator and other misconduct during the regulator’s investigation: Zuk v. Alberta Dental Association and College, 2018 ABCA 270
• Successfully argued that complainant had no standing to bring judicial review of an internal complaint resolution: Campeau v. Knecht, 2018 ABQB 504
• Successfully defended appeal from decision rejecting allegations of bias and abuse of process and directing discipline hearing to proceed: M.K. Engineering Inc. v. Association of Professional Engineers, Geologists and Geophysicists, 2017 ABCA 17
• Successfully appealed a Queen’s Bench decision respecting the proper process to assess claims of legal privilege in regulatory investigations: Alberta v. Suncor Energy Inc., 2017 ABCA 221
• Succeeded in upholding the majority of sanctions ordered by the discipline tribunal:  Fitzpatrick v. College of Physical Therapists of Alberta, 2015 ABCA 95
• Successfully applied to dismiss lawsuit alleging bias, bad faith and abuse of process in regulator’s professional discipline process and obtained award of enhanced legal costs: M.K. Engineering Inc. v. Plecash et al., 2014 ABQB 483, aff’d 2015 ABCA 311
• Consideration of the legal test to refer complaints to a discipline hearing: Land v. Law Enforcement Review Board, 2013 ABCA 435
• Successful challenge to appeal tribunal decision to overturn serious discipline at hearing on basis of standard of review: Camrose (Chief of Police) v. MacDonald, 2013 ABCA 422
• Successfully defended against application for judicial review of University discipline decision based on finding of sexual assault: L. (S.D.) v. University of Alberta, 2012 ABQB 244, affirmed 2013 ABCA 327
• Communications between administrative tribunals and their independent legal counsel are subject to solicitor-client privilege and the privilege may not be defeated without evidence of impropriety: Lana v. University of Alberta, 2012 ABQB 97
• Consideration of a tribunal’s jurisdiction to determine Charter issues in a discipline hearing: Wasylyshen v. Edmonton Police Service, 2012 ABQB 406
• Consideration of charges involving a pattern of misconduct:  Fitzpatrick v. College of Physical Therapists of Alberta, 2012 ABCA 207
• Successful appeal respecting the proper categorization of public complaints and the subsequent internal avenues of appeal: Edmonton (Police Service) v. Alberta (Law Enforcement Review Board), 2011 ABCA 288
• Successfully argued that the discipline tribunal’s finding that the member had engaged in boundary violations was reasonable:  College of Physical Therapists of Alberta v. J.H., 2010 ABCA 303
• Consideration of the process that must be used to consider allegations of misconduct:   Broers v. Real Estate Council of Alberta 2010 ABQB 497
• Consideration of the jurisdiction of an internal appeal body to refer charges back to a discipline hearing: Mitzel v. Alberta (Law Enforcement Review Board), 2010 ABCA 336
• Jurisdiction of the Ombudsman concerning the Human Rights Commission:  Alberta (Ombudsman) v. Alberta (Human Rights and Citizenship Commission) 2008 ABQB 168
• A professional’s freedom of expression under the Charter  is not breached as a result of being prohibited from running as a candidate in a local election:  Baier v. Alberta 2007 SCC 31

Field Law’s Professional Regulatory group is committed to ensuring regulators are aware of recent legal developments  and that staff of regulatory organizations have opportunities to develop their knowledge and experience. Our lawyers publish our “Perspectives for the Professions” newsletter on a regular basis. We also publish “Professional Regulatory Alerts” about recent cases of interest to professional regulators and we host “Professional Regulatory Roundtables” for members of the professional regulatory community to meet for lunch and discuss challenging issues in professional regulation.  Please visit the News + Views + Events tab to access any of our past publications. 

*Publications may be reproduced only with permission.  

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Professional regulatory organizations are committed to the ongoing professional development of their members. Equally, professional regulatory organizations should be committed to the ongoing professional development of their regulatory committees and administrators. The reasons are self-evident: regulatory functions are challenging; the stakes are high for the member; and the public interest is fully engaged. Volunteers serving on regulatory committees are experts in their own profession but are usually not experts in regulatory functions. Training helps our volunteers and staff become high-performers in their roles while at the same time minimizing legal risks.

As part of our commitment to “preventative lawyering”, our Professional Regulatory Group provides a broad range of formal training and workshops for regulatory committees and administrators. “Preventative lawyering” means helping clients take proactive steps to prevent legal problems from arising rather than only addressing the legal issues after a problem has occurred. Regular training is cost effective and in the public interest helping regulatory committees make better decisions and greatly reduce the risk of successful legal challenges. Preventing just one legal challenge from arising will pay for many years of training.

Training for regulators is most effective when it is offered on a regular, annual basis with adjustment to the training program each year depending on need. The composition of regulatory committees frequently changes. New members need orientation and experienced members require reinforcement of their knowledge and skills. Regulators which offer training on an irregular basis will fail to reap the full benefits of a formal training program.

Our Professional Groups customize our workshop depending on the needs of the individual organization. Workshops that we currently offer are as follows:

Unconscious Bias:

• "Unconscious Bias": This workshop addresses how the concept of unconscious bias has become prominent over recent years as organizations strive to develop practices focused on diversity and inclusion. Unconscious biases are social stereotypes about certain groups of people that individuals form outside their own conscious awareness. Everyone holds unconscious beliefs about various social and identity groups, and these biases stem from one’s tendency to organize social worlds by categorizing.   In this half day interactive workshop, participants will learn what constitutes unconscious bias, how it affects the way we behave and our decisions, the science behind unconscious bias, and the potential impact of unconscious bias on organizations and individuals in the professional regulatory context. We will also provide tips on how to identify and address unconscious bias.

Registration

• “Making Appropriate Registration Decisions”: This half day workshop addresses how to interpret governing legislation regarding eligibility to enter practice; how to assess “good character”, and how to reduce the risk of human rights challenges in the registration context. The workshop also provides tips on how to prepare written reasons in the registration context.  This workshop is appropriate for members of registration committees or staff working in the registration area.

Privacy 

• “Privacy:  Understanding Privacy Legislation in the Context of Professional Regulation”: In this half day interactive workshop designed for staff members and volunteers from regulatory organizations situated in Alberta, we will outline the legislation that applies, the key principles and rules established in privacy legislation relating to collection, use and disclosure of personal information. We will also discuss the requirement to maintain the security of personal information, and when the obligation to report a privacy breach is triggered. We will then utilize a number of scenarios, designed to give staff an understanding of how to apply the principles established in privacy legislation in their work. This workshop is designed to increase awareness about privacy legislation and the principles that should be applied in the professional regulatory context.

Investigations

• “Conducting Effective Professional Discipline Investigations”: This full day workshop is designed for investigators and those who supervise the investigatory process.

Complaint Dismissals

• “Reviewing the Dismissal of Complaints”: This half day workshop is designed for members of Committees which have the obligation to review dismissal of complaints. What is your role? What is the standard of review? What are the major areas of focus? How do you prepare effective reasons for your decision? 

Discipline Hearings

• “Orientation of Public Members”: This half day workshop is designed to familiarize new public members with their role and responsibilities as the “public member.” Participants are provided with an overview of the discipline and hearing process. Tips on meeting the challenges are presented including tips on how non-professionally trained public members can effectively judge the conduct of professionals in a technical context. 
   
• “The Top 10 Tips and Traps for the Conduct of Discipline Committee Members During Hearings”:  A two hour presentation providing practical guidance to discipline committee members on how they should and should not conduct themselves during a hearing. What type of conduct engenders confidence in the process and what creates legal and institutional risk. The “traps” identified are all taken from case law in which tribunal member conduct resulted in a judicial review or an appeal. 
   
• “Running a Professional Discipline Hearing and Preparing Effective Decisions”: A full day workshop designed for members of discipline committees. This workshop can be custom-tailored to the appropriate degree of complexity but the workshop is generally presented at an introductory level and is useful for new discipline committee members, those without significant hearing experience, and experienced members wanting a refresher.
   
• “Assessing Credibility: More Art than Science”: Assessing credibility is one of the most difficult of all the adjudicative arts. This half-day, interactive, small group workshop is designed to teach discipline committee members how to make credibility assessments. Members of Field Law’s Professional Regulatory Group present the credibility factors that must be considered in every case. What factors are considered reliable indicators of credibility and what factors are unreliable? In addition, we present a structured methodology for discipline committee members to use in caucus while assessing credibility. Tips and pitfalls with respect to addressing credibility in written decisions are addressed. The pitfalls are identified from the case law where credibility findings by tribunals were challenged in Court. After the initial presentations, participants are shown a videotaped mock discipline hearing professionally developed by our Professional Regulatory Group. The video is based on some of the most challenging credibility issues we have faced in real-life hearings. After each examination and cross-examination the video is stopped and Field Law lawyers facilitate discussion with the participants identifying what factors are important in the particular examination. The video proceeds with more group discussion after each witness. Closing arguments are made. The participants are broken into small groups to act as a discipline committee making credibility findings and preparing reasons for their decisions.  A spokesperson for each “committee” reads their reasons.  Field Law lawyers critique providing supportive coaching. By the end of the workshop, attendees will be able to identify the credibility factors to be considered; practiced the assessment of credibility through use of the video and role plays; applied the structured methodology of assessing credibility while in caucus; and practiced writing the part of a decision dealing with credibility assessment. 
   
• “Professional Discipline Sanctions”: This half day workshop is designed for members of discipline committees. We address the purpose of disciplinary sanctions, the role of case law, the range of options available, and pitfalls to avoid. 
   
• “Developing Advanced Skills in Running Discipline Hearings”: This full day small-group workshop is designed for experienced adjudicators seeking to enhance their skills or develop the skills necessary to be a Chair. The workshops consist of a series of role plays with attendees serving as members of a discipline committee. The hearing  scenarios unfold with members of Field Law’s Professional Regulatory Group playing the roles of prosecuting counsel, defence counsel, and witness. Each scenario represents real-life difficult challenges faced by chairs and discipline committees. At the end of each scenario, we review how the discipline committee handled the situation. What went well? What did not? While we critique how the scenario was handled, the goal is to provide supportive coaching to improve performance.  All attendees will have the opportunity to sit on one or more of the committees addressing a scenario.

• “Conducting Effective Caucus Sessions and Preparing Effective Reasons”: A workshop designed for members of discipline committees that can be completed in a half day or extended depending on preference. The workshop is useful for all committee members but it is especially useful for committee members who have the responsibility of leading caucus meetings or preparing a first draft of the decision. A useful template for decisions is presented. 

Appeals

• “Hearing Discipline and Registration Appeals”: A half day workshop designed for Council or committees serving in an appellate role. Topics include standard of review, the conduct of appeals, new evidence, and preparing effective reasons.

Governance and Strategy

• “Trends in Professional Regulation: Identifying and Formulating Effective Responses”: This workshop is designed for Council members and senior regulatory staff. The workshop explores major trends affecting professional regulators across Canada. The Field Law presenter facilitates discussion helping attendees identify effective responses for their organization.

We typically offer our workshops on a “fixed fee” basis so that our clients have complete cost certainty with respect to the training initiative. The precise cost will depend on the nature of the workshop. However, given the number of individuals that an organization can send to a workshop, our training is cost-effective for organizations and is much less than an organization would spend sending attendees to conferences offered by professional conference companies. We offer our workshops across western Canada. 

Any organization that wishes to explore retaining our Professional Regulatory Group to provide a workshop to one or more of its regulatory committees are invited to contact the leader of our Professional Regulatory Group, Greg Sim (gsim@fieldlaw.com;  780-423-7673). Greg can discuss your particular needs and provide you with a fixed fee quotation for the proposed workshop. 

The following recordings of webinars hosted by Field Law's Professional Regulatory group are available for purchase. Please check the "Upcoming Webinars" tab for information on future sessions, or click here to subscribe to our mailing list and sign up to receive the information directly in your inbox. 

Understanding + Implementing Bill 46: A Guide for Colleges
Bill 46 represents the most extensive set of amendments to the Health Professions Act (“HPA”) since the legislation came into effect nearly 20 years ago. Presented by James Casey, KC, Katrina Haymond, KC, and Greg Sim, this complimentary webinar summarizes the provisions in Bill 46 and provides Colleges with a checklist of steps needed for implementation.
Click here for more information.

Regulatory Reform Comes to Alberta
Alberta Health’s discussion paper “Proposals to Amend the Health Professions Act to Improve Regulatory Effectiveness and Efficiency” proposes the most significant changes to the Health Professions Act since it was enacted. Presented by James Casey, KC, Katrina Haymond, KC and Gregory Sim, this webinar addressed multiple topics including a review of the proposals and Bill 30.
Click here for more information.

Human Rights + Professional Regulation: What Every Organization Needs to Know
Presented by former partner Ayla Akgungor and Caitlyn Field, this webinar focused on an understanding of key human rights considerations and their application to regulatory functions. Regulators are also employers and need to be aware of their human rights obligations towards their employees.
Click here for more information.

Registration Issues in Professional Regulation
Presented by Gregory Sim and Evie Maldonado, this webinar discussed current issues and challenges that can arise in the registration process such as recent developments in good character assessments and challenges in assessing international applicants and foreign qualifications. 
Click here for more information.

Fair Registration Practices Act: Implications for Professional Regulatory Organizations
Presented by James Casey, KC and Gregory Sim, this complimentary webinar focused on assisting professional regulatory organizations in understanding the Fair Registration Practices Act, their obligations, and how they can proactively take steps to implement registration practices that are transparent, objective and fair. 
Click here for more information.

Tips + Traps for Hearing Tribunal Members
Presented by former partner Ayla Akgungor and Jason Kully, this webinar focuses on several situations that can arise during the course of a professional discipline hearing. The presenters will identify some of the traps that may arise and will provide pragmatic advice on how to avoid common hearing pitfalls. 
Click here for more information.

Issues in Professional Discipline Investigations: Tips + Traps
Presented by Katrina Haymond, KC and Leanne Monsma, this webinar focuses on several difficult situations that can arise during the course of an investigation. The presenters outline some of the traps that regulators may fall into, as well as tips for preventing and managing these situations.
Click here for more information.

Don't Forget the Sanctions...
You’ve heard all the evidence and the charges are proven. For the professional whose career is on the line, nothing could be more important than what comes next... Presented by James Casey, KC and Gregory Sim, this webinar discusses important considerations for assessing and imposing sanctions in professional discipline cases. 
Click here for more information.

Year in Review: Important Professional Regulatory Cases of 2020
What are the key legal trends that regulators faced in 2020? What are the strategic and operational implications for regulators? Presented by James Casey, KC and Leanne Monsma, this webinar provided information on the most important professional regulatory court cases of 2020.
Click here for more information.

Serving clients proactively

• A professional regulator was sued by a member of the organization who alleged bad faith investigation, negligence and abuse of process. Gregory investigated the claims and took the client through a risk management exercise. "I sat down with my client ­ the regulatory body ­ and looked at what happened, where its processes could be improved and whether the claim had merit. We filed a motion to dismiss the claim and then assisted the group to improve its processes to avoid similar issues in the future."

Protecting our clients' assets

• Another professional regulator was having trouble enforcing its legislation prohibiting non-members from using reserved professional titles. Companies were using the reserved titles in their business names and ignoring the regulator’s requests to change their names. Gregory filed court applications against the companies and the Registrar of Corporations and obtained court orders compelling the Registrar to change the corporate names when the companies wouldn’t.