C-26, r. 29 - Regulation respecting the professional inspection committee of the Ordre professionnel des comptables en management accrédités du Québec

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chapter C-26, r. 29
Regulation respecting the professional inspection committee of the Ordre professionnel des comptables en management accrédités du Québec
CERTIFIED MANAGEMENT ACCOUNTANTS — PROFESSIONAL CODE — PROFESSIONAL INSPECTION COMMITTEE
Professional Code
(chapter C-26, s. 90).
C-26
September 1 2012
Implicitly revoked, 2012, chapter 11, s. 25, par. 1.
DIVISION I
GENERAL PROVISIONS
1.01. In this Regulation, unless the context indicates otherwise,
(a)  “Order” means the Ordre professionnel des comptables en management accrédités du Québec;
(b)  “member” means whoever is entered on the roll of the Order;
(c)  “committee” means the professional inspection committee;
(d)  “records” means the records, books and registers kept by a member in the practice of his profession, as well as:
i.  the documents or reports in which he has in fact collaborated among the records, books and registers kept by his colleagues or employer; and
ii.  any property entrusted to him by a client;
(e)  “investigator” means the committee, one of its members, or a person authorized to assist the committee in the exercise of its functions.
R.R.Q., 1981, c. C-26, r. 26, s. 1.01.
1.02. The professional inspection shall cover the records, apparatus and equipment relating to the practice of the profession of the member.
R.R.Q., 1981, c. C-26, r. 26, s. 1.02; O.C. 823-91, s. 2.
DIVISION II
THE COMMITTEE
2.01. The committee is composed of 6 members appointed by the board of directors from among the members who have been practising for at least 3 years.
The term of office of the members shall be 1 year and shall be renewable.
They take office after having taken the oath shown in Schedule II to the Professional Code (chapter C-26), and shall remain in office until they die, resign, are replaced or are struck off the roll.
R.R.Q., 1981, c. C-26, r. 26, s. 2.01; O.C. 823-91, s. 3.
2.02. The board of directors designates the chair and the secretary of the committee.
R.R.Q., 1981, c. C-26, r. 26, s. 2.02.
2.03. Sittings of the committee shall be held at the time and place determined by the committee or its chair.
R.R.Q., 1981, c. C-26, r. 26, s. 2.03; O.C. 823-91, s. 4.
2.04. The office of the committee is situated at the head office of the Order. All the minutes, reports and other documents of the committee are kept at the said office.
R.R.Q., 1981, c. C-26, r. 26, s. 2.04.
2.05. Prior to taking office, the investigators, the secretary of the committee and the secretarial staff assigned to the committee by the secretary of the Order shall take the oath shown in Schedule II to the Code.
Subject to section 3.03, only those persons and the chair of the Order shall have access to the professional records, books and registers of the committee.
O.C. 823-91, s. 5.
DIVISION III
DRAWING UP OF A PROFESSIONAL RECORD
3.01. As its activities progress, the committee shall draw up and keep up-to-date a professional record for each member who is the object of an inspection under this Regulation.
R.R.Q., 1981, c. C-26, r. 26, s. 3.01.
3.02. The professional record contains the documents relative to an inspection of which a member is the object under this Regulation as well as a summary of his academic qualifications and professional experience.
R.R.Q., 1981, c. C-26, r. 26, s. 3.02.
3.03. A member is entitled to consult his record and to obtain a copy thereof. The consultation is carried out at the office of the committee, in the presence of a person assigned to the committee.
R.R.Q., 1981, c. C-26, r. 26, s. 3.03; O.C. 823-91, s. 6.
DIVISION IV
GENERAL SUPERVISION OF THE PRACTICE OF THE PROFESSION
4.01. The committee shall supervise the practice of the profession by the members according to the programme established by it.
R.R.Q., 1981, c. C-26, r. 26, s. 4.01.
4.02. Each year, the board of directors shall publish the committee’s general supervision program in the bulletin of the Order.
R.R.Q., 1981, c. C-26, r. 26, s. 4.02; O.C. 823-91, s. 7.
4.03. At least 15 days before the date fixed for the verification of the items mentioned in section 1.02 by an investigator, the committee shall, through its secretary, send the member in question, by registered or certified mail, a notice in accordance with the form in Schedule A.
R.R.Q., 1981, c. C-26, r. 26, s. 4.03; O.C. 823-91, s. 8.
4.04. If a member cannot receive an investigator on the prescribed date, he must, upon receipt of the notice, notify the secretary of the committee and decide on another date with him.
R.R.Q., 1981, c. C-26, r. 26, s. 4.04.
4.05. When an investigator ascertains that the member has been unable to take cognizance of the notice referred to in section 4.03, he shall so inform the committee which shall fix a new date for the verification and notify the member thereof in writing.
R.R.Q., 1981, c. C-26, r. 26, s. 4.05; O.C. 823-91, s. 9.
4.06. An investigator must, if required to do so, produce a certificate attesting to his capacity, signed by the secretary of the committee.
R.R.Q., 1981, c. C-26, r. 26, s. 4.06.
4.07. The member whose practice is the object of verification may be present or be represented by a mandatary.
R.R.Q., 1981, c. C-26, r. 26, s. 4.07; O.C. 823-91, s. 10.
4.08. If he has reason to believe that the committee should subject a member to a special inquiry, the investigator shall draw up a verification report and forward it to the committee for study within 15 days following his verification.
R.R.Q., 1981, c. C-26, r. 26, s. 4.08.
DIVISION V
SPECIAL INQUIRY INTO THE COMPETENCE OF A MEMBER
5.01. At the request of the board of directors or on its own initiative, the committee or one of its members shall make a special inquiry into the competence of a member or designate an investigator for such purpose.
R.R.Q., 1981, c. C-26, r. 26, s. 5.01.
5.02. At least 5 clear days before the date of the special inquiry, the committee shall, through its secretary, send the member in question, by registered or certified mail, a notice in accordance with the form in Schedule B.
Notwithstanding the first paragraph, where the sending of a notice to the member could jeopardize the objects for which a special inquiry is to be held, the committee may authorize, in writing and with reasons therefor, an investigator to make such inquiry without notice.
R.R.Q., 1981, c. C-26, r. 26, s. 5.02; O.C. 823-91, s. 11.
5.03. An investigator may give the employer, representative or employee of a member notice of the order to allow him access to the items mentioned in section 1.02.
R.R.Q., 1981, c. C-26, r. 26, s. 5.03; O.C. 823-91, s. 12.
5.04. Where the elements mentioned in section 1.02 are held by a third party, the member must, at the investigator’s request, authorize the investigator either to take cognizance or make a copy of them, or to inspect them, as the case may be.
R.R.Q., 1981, c. C-26, r. 26, s. 5.04; O.C. 823-91, s. 13.
5.05. An investigator may request that a person who makes a declaration to him relative to an inquiry attest such declaration under oath.
R.R.Q., 1981, c. C-26, r. 26, s. 5.05.
5.06. If the member refuses to receive an investigator, the latter shall immediately notify the syndic of the Order.
R.R.Q., 1981, c. C-26, r. 26, s. 5.06.
5.07. The investigator shall draw up a report and forward it to the committee for study within 30 days after termination of his inquiry.
R.R.Q., 1981, c. C-26, r. 26, s. 5.07.
5.08. Sections 4.06 and 4.07 shall apply, with the necessary modifications, to an inquiry held under this Division.
R.R.Q., 1981, c. C-26, r. 26, s. 5.08.
DIVISION VI
RECOMMENDATIONS OF THE COMMITTEE
6.01. The committee shall submit a report to the board of directors, forward its recommendations and notify the member thereof after study of the investigator’s report and within 30 days of its receipt.
R.R.Q., 1981, c. C-26, r. 26, s. 6.01; O.C. 823-91, s. 14.
6.02. Where the committee, after studying the investigator’s report, intends to recommend that the board of directors take one of the measures provided in section 113 of the Code, it shall, within the same period, notify the secretary of the Order as well as the member in question, and it must permit the latter to be heard. In such case, the committee shall not be required to submit the report within 30 days of receipt of the investigator’s report.
R.R.Q., 1981, c. C-26, r. 26, s. 6.02; O.C. 823-91, s. 15.
6.03. For the purposes of section 6.02, the committee shall convene the member and send him, by registered or certified mail, 15 days before the date fixed for the hearing, the following information and documents:
(a)  a notice specifying the date and hour of the hearing;
(b)  a statement of the facts and reasons for convening him before the committee;
(c)  a copy of the report made by the investigator concerning him.
R.R.Q., 1981, c. C-26, r. 26, s. 6.03; O.C. 823-91, s. 16.
6.04. A member or witness summoned before the committee may be assisted by an advocate.
R.R.Q., 1981, c. C-26, r. 26, s. 6.04.
6.05. The committee shall administer the oath to the member and the witnesses through a commissioner for oaths.
R.R.Q., 1981, c. C-26, r. 26, s. 6.05.
6.06. The hearing shall be held in camera unless the committee, at the request of the member, considers that it is in the public interest that it not be held in this manner.
R.R.Q., 1981, c. C-26, r. 26, s. 6.06.
6.07. The committee may proceed by default if the member does not appear on the date and at the hour prescribed.
R.R.Q., 1981, c. C-26, r. 26, s. 6.07.
6.08. The depositions shall be recorded at the request of the member or of the committee.
R.R.Q., 1981, c. C-26, r. 26, s. 6.08.
6.09. The committee and the member shall pay their own costs with the exception of recording expenses which shall be shared equally between them if the member requests the recording. Where the recording is made at the request of the committee, the Order shall assume the expenses thereof.
R.R.Q., 1981, c. C-26, r. 26, s. 6.09.
6.10. In its recommendations concerning a member, the committee shall take into account the type of professional activities in which the member is generally engaged.
R.R.Q., 1981, c. C-26, r. 26, s. 6.10.
6.11. The recommendations of the committee are made by the majority of its members within 60 days after the end of the hearing. The reasons on which they are based shall be given, signed by the members of the committee who concurred in them, and forwarded to the board of directors and the member in question without delay.
R.R.Q., 1981, c. C-26, r. 26, s. 6.11.
6.12. The committee may also make recommendations to the board of directors on the continuing training courses organized by the Order for its members.
R.R.Q., 1981, c. C-26, r. 26, s. 6.12.
6.13. When the committee has reason to believe that a complaint within the meaning of section 116 of the Professional Code (chapter C-26), might be laid against a member, it shall notify the syndic of the Order.
R.R.Q., 1981, c. C-26, r. 26, s. 6.13.
DIVISION VII
MISCELLANEOUS
O.C. 823-91, s. 18.
7.01. The secretary of the committee shall keep a register wherein are indicated in chronological order the date of each verification or inquiry, the address at which it is carried out, the name of the member in question and the name of the investigator who made the verification or inquiry.
O.C. 823-91, s. 18.
7.02. The annual report of the committee required by section 115 of the Code shall be submitted to the board of directors prior to 1 June of each year.
O.C. 823-91, s. 18.
SCHEDULE A
(s. 4.03)
ORDRE PROFESSIONNEL DES COMPTABLES EN MANAGEMENT ACCRÉDITÉS DU QUÉBEC
PROFESSIONAL INSPECTION COMMITTEE
Notice of verification
You are advised that, within the framework of the program for general supervision of the practice of the profession, an investigator from our committee will inspect your office and verify the records, devices and equipment relating to the practice of your profession, on ____________________________ 20__________, at __________ o’clock.
Signed at ______________________________, on ______________________________ 20__________
Professional inspection committee
Per: ________________________________________________________________________________
(secretary of the committee)
R.R.Q., 1981, c. C-26, r. 26, Sch. A; O.C. 823-91, s. 19; Erratum, 1991 G.O. 2, 3589.
SCHEDULE B
(s. 5.02)
ORDRE PROFESSIONNEL DES COMPTABLES EN MANAGEMENT ACCRÉDITÉS DU QUÉBEC
PROFESSIONAL INSPECTION COMMITTEE
Notice of special inquiry
Notice is given that, at the request of the board of directors (or on its own initiative), the committee has designated an investigator to make a special inquiry into your professional competence on ______________________________ 20__________, at __________ o’clock.
Signed at _____________________________________, on ____________________________________ 20__________
Signed at ______________________________, on ______________________________ 20__________
Professional inspection committee
Per: ________________________________________________________________________________
(secretary of the committee)
R.R.Q., 1981, c. C-26, r. 26, Sch. B.
REFERENCES
R.R.Q., 1981, c. C-26, r. 26
O.C. 823-91, 1991 G.O. 2, 1959 and 3589
S.Q. 2008, c. 11, ss. 212 and 213