 Discipline > Investigations > Investigations Process
One of the basic responsibilities of any self-regulating professional body is to conduct investigations and take disciplinary action when necessary. Responsible industry members within a self-regulating professional body understand and appreciate how important it is to have effective and fair investigative and disciplinary processes.
Despite the large support for effective and fair investigation and disciplinary processes, there is often significant debate and controversy over specific investigation and disciplinary processes within self-regulated professions. The reasons for this are self-evident; investigation and disciplinary processes go to the raison-de-être of self-regulation. The outcomes of investigation and disciplinary process can have significant consequences on the livelihood of self-regulated professionals and the reputation of the self-regulated organization.
Self-regulation is founded on public trust. Investigation and disciplinary processes aim to protect the reputation and the integrity on which the public trust is based. From this perspective, the public and self-regulated professionals expect the investigation and disciplinary processes to be transparent and timely, resulting in appropriate fines and penalties to serve as deterrence, and expulsions of professionals who harm the public and by doing so, harm the public trust and the integrity of the profession.
Self-regulation is also founded on the professional’s right to be treated justly and fairly by his or her peers and self-regulatory organization.
From this perspective, self-regulated professionals expect investigations and disciplinary processes that maintain their privacy, are courteous and amicable, are minimally intrusive, and respect professional or personal commitments.
Self-regulatory bodies must also adhere to the principles of natural justice set out by common law. It is obvious that the collective and individual expectations of self-regulated professionals are likely to be clash from time-to-time. Self-regulatory organizations often struggle in their efforts to attain the right balance between the collective and individual expectations and needs of professionals.
Much like other self-regulatory professional bodies, RECA strives to:
- treat all parties courteously, fairly, impartially and according to the principles of natural justice and the rules of administrative law;
- have investigation and disciplinary processes that are timely and transparent;
- have efficient investigation and disciplinary processes; and
- have investigation and disciplinary processes that result in proper and just outcomes.
RECA is continually reviewing and improving its investigation processes. Recently, RECA conducted a major, in-depth review that resulted in new initiatives and improvements. Over the next month, RECA will publish a series of articles to highlight the new initiatives and improvements.
In cooperation with other organizations, RECA will meet with brokers and broker delegates to discuss its new investigative process, provide tips for industry members under investigation, and to answer questions and address concerns. Watch for upcoming announcements on meeting dates and locations.
New initiatives and improvements will also be featured on RECA’s blog (www.recablog.ca) and RECA looks forward to your feedback.
The following articles provide more information about RECA's new investigation process.
Preventing and Resolving Complaints
Voluntary Broker Resolution Process
The Role of Brokers |
