RECA Professional Conduct Review

Flashcards covering key vocabulary and concepts from the lecture notes on RECA Professional Conduct Review and Disciplinary Processes.

Production Order (Real Estate Act, Section 38(4.1))

Allows the Registrar to require any person to produce books, documents, records, or other items under their control, usually applied to non-licensees.

RECA Professional Conduct Review Program

Identifying conduct of licensees that is deserving of sanction, particularly in relation to maintaining integrity and adhering to expected professional standards.

Conduct Deserving of Sanction (RECA)

Conduct that breaches the Act, Rules, Regulations, or Bylaws, or falls below any industry standard, whether or not explicitly stated in the Act, Rules, Regulations, or Bylaws.

Can personal conduct unrelated to business lead to a sanction under RECA?

Yes, conduct unrelated to business can lead to sanction if it is incompatible with the public interest, undermines public confidence, harms the integrity of the profession, or brings it into disrepute.

RECA has no jurisdiction

The file is closed, and alternative resolutions may be suggested to the complainant. Typically, these complaints involve contractual disputes.

RECA has jurisdiction

Letters are sent notifying the licensee, current broker, and former broker (if applicable) that a Professional Conduct Review has commenced. The letter may also be sent to the person allegedly involved if the cause is Unlicensed activity.

Rights of a complainant when RECA has no jurisdiction

The complainant has the right to appeal the Registrar's decision to a Hearing Panel within 30 days. The Hearing Panel may dismiss the case or order a hearing, and its decision is final.

Purpose of notification when RECA has jurisdiction

Indicates the commencement of a Professional Conduct Review but does not mean that the licensee's conduct is deserving of sanction. It allows all related parties to provide statements and supporting documentation.

RECA policy regarding professional conduct review outcomes

RECA adopts a policy of scalable enforcement, aiming for regulatory balance. Scalable enforcement focuses on providing proportional, effective, transparent, and timely responses. It also includes guidance for future conduct, and sanctions may escalate upon repeat occurrences.

RECA response to minor infraction by a licensee

For minor infractions, RECA applies less severe discipline with the intention of preventing future issues.

Registrar options upon completion of a Professional Conduct Review

May dismiss the complaint with no further action, Dismiss the complaint and issue an Advisory Note, Issue a letter of reprimand, Issue an administrative penalty, or Refer the matter to a Hearing Panel.

How RECA decides appropriate action after a Professional Conduct Review

Depends on the specific facts of the case. A complaint that seems serious at first may be proven minor or unfounded later, and vice versa.

Reasons a complaint may be dismissed by the Registrar

Insufficient evidence of conduct deserving of sanction; The licensee's complaint is not clearly identified; The conduct is not a breach of the Act, Rules, Regulations, or Bylaws; Insufficient evidence of a breach of the legislation.

More reasons a complaint may be dismissed by the Registrar

The conduct was previously the subject of a prior complaint; The complaint is frivolous or vexatious; The breach is minor, and an advisory note is sent to the licensee; The complainant fails or refuses to cooperate with the PCRO; The complainant asks not to proceed with the complaint; The matter is outside of RECA's jurisdiction.

What happens when a complaint is not dismissed

It will be referred to the Professional Conduct Review Program for analysis by a PCRO. The outcomes are organized in ascending order of seriousness and severity of the disciplinary outcome.

Advisory Note

Advises a licensee of a technical breach of legislation and provides best practice guidelines for future conduct. It is considered a sanction but not a form of discipline. The issue may be referred to the licensee's broker, who decides on any required action.

Letter of Reprimand

Issued when conduct deserving of sanction is less serious in nature or when the licensee has previously received an Advisory Note. It applies when the conduct of the licensee warrants a sanction but is not severe enough for further disciplinary action.

When Registrar may issue an Administrative Penalty

May be issued when a Professional Conduct Review indicates one or two straightforward, potentially serious issues. This applies when the conduct is deserving of sanction but not severe enough to warrant more significant action.

Conditions for a hearing to take place regarding licensee's conduct

If the alleged breaches to the Real Estate Act and Rules are severe, or if the individual was previously disciplined for similar activities and continued them.

RECA Self-represented Program

Provides guidance and information for licensees who do not have legal representation during a RECA hearing or appeal.

Other disciplinary outcomes that the Registrar may implement

Temporary suspension of the licensee's licence or lifetime withdrawal from the profession.

When a Temporary Suspension can be issued by the Registrar

May be issued when the Professional Conduct Review indicates serious misconduct. This measure is used when allowing the licensee to continue practicing would harm the integrity or reputation of the industry.

Withdrawal from Profession & Lifetime Ban

If a licensee wishes to withdraw from industry membership during a Professional Conduct Review, they may apply to the Industry Council. If approved, all proceedings cease, and the licensee is ineligible to obtain a license from RECA in real estate, mortgage brokerage, or property management for life.

Role of legal counsel in Professional Conduct Proceedings

Evaluate Professional Conduct Reviews to determine whether there is sufficient evidence of conduct deserving of sanction.

Three major components of a disciplinary process when there is conduct deserving of sanction

An establishment of the facts, A finding of conduct deserving of sanction, and An order for a sanction.

What happens if an Industry Council rejects a withdrawal application

The licensee remains eligible for industry membership. If there is an ongoing investigation or pending disciplinary action, these may resume.

Consent Agreement in the context of RECA proceedings

Includes agreed facts, an admission of conduct deserving of sanction, and a recommended sanction.

Composition of a Hearing Panel in RECA proceedings

Consists of a minimum of three individuals appointed per the Real Estate Act Bylaws. At least one member must be a licensee and one must be a public member, but public members cannot outnumber licensees.

Possible sanctions that a Hearing Panel can impose if conduct deserving of sanction is found

Hearing panel can impose sanctions such as a letter of reprimand, A fine up to $25,000 per finding, Payment of investigation and hearing costs, Suspension or cancellation of a licence, Attaching terms, conditions, or restrictions on an authorization, Requiring completion of educational courses, or Any other order agreed by both sides.