Application under Rule 6.07(2) of the Rules of Professional Conduct
or Rule 6.01(6) of the Paralegal Rules of Conduct
Purpose
Lawyer or paralegal licensees in good standing who wish to enter into employment and other arrangements with a person who has had their licence revoked or suspended or who has been permitted to surrender their licence due to disciplinary action must formally apply in advance to the Law Society's Hearing Panel for permission to do so under Rule 6.07(2) of the Rules of Professional Conduct or Rule 6.01(6) of the Paralegal Rules of Conduct.
Who can apply
All lawyer or paralegal licensees in good standing may apply to be considered as a supervisor for a person whose licence has been revoked or suspended or who has been permitted to surrender their licence due to disciplinary action should they wish to employ such a person and assume full responsibility for their conduct.
Application requirements and Non-compliance
Applications under Rule 6.07 or Rule 6.01 are generally approved for a defined term of three years. During that term, the applicants must report quarterly to the Law Society regarding their adherence to the Plan of Supervision and conditions attached to the Hearing Panel's permission given under Rule 6.07 or Rule 6.01. Each report must be accompanied by an administrative fee. Reports are due within 15 days of the end of each quarter. Failure to file these quarterly reports may result in revocation of the permission granted to the applicant to continue in the arrangement with the person whose licence has been revoked or suspended, or who has been permitted to surrender their licence due to disciplinary action.
At the end of the three-year period, the Law Society will determine whether it is necessary for the lawyer or paralegal to make a formal renewal application for this arrangement. Renewal details are available in the policy paper at Guide to Policy and Procedures for Rule 6.07(2) and 6.01(6) (PDF).
Application Process
All applications and pertinent attachments will be reviewed for completeness by Administrative Compliance. If the review reveals that the application and/or attachments are deficient then an (AC) Representative will contact the applicant to request additional information or clarification or to advise of changes necessary for compliance to Rule 6.07(2) or Rule 6.01(6).
Monitoring and Enforcement submits a memorandum summarizing the information provided by the applicant and gathered internally, along with the Plan of Supervision, an outline of any concerns that Monitoring and Enforcement may have, a recommendation with respect to the decision, and suggested conditions to the Hearing Panel. This memorandum is shared with the applicant prior to its submission.
The application process does not result in a formal hearing. The Hearing Panel makes its decision based on written submissions. The materials provided by the applicant and the person whose licence has been revoked or suspended or who has been permitted to surrender their licence due to disciplinary action are confidential. The application and Monitoring and Enforcement's memorandum are reviewed by the Hearing Panel in camera. The final decision of the Hearing Panel is public, together with any approved Plan of Supervision.
(AC) requires up to 60 business days to review the applications and information from the Applicant and the person whose licence has been revoked or suspended or who has been permitted to surrender their licence due to disciplinary action.
Non-refundable Administrative Fees
A non-refundable application fee in the amount of $200 + HST must be submitted along with both completed applications.
A non-refundable Quarterly Report fee in the amount of $50 + HST must be submitted along with each Quarterly Report.
If re-application is necessary following the three-year approval period, a non-refundable fee in the amount of $150 + HST must be submitted along with the re-application.
Links to Application and Additional Documents
- Application - Lawyer Licencee Applicant's Information (PDF)
- Application - Former, Revoked, or Suspended Lawyer's Information (PDF)
- Application - Paralegal Licensee Applicant's Information (PDF)
- Application - Former/Disbarred/Revoked/Suspended/Surrendered/Subject to an Undertaking Paralegal Licensee's Information (PDF)
- Draft Notice of Application to Employ a Person under Rule 6.07(2)
- Draft Notice of Application to Employ a Person under Rule 6.01(6)
- Remittance Form - Lawyer 6.07(2) (PDF)
- Remittance Form - Paralegal 6.01(6) (PDF)
Other Documents
- Guide to Policy and Procedures for Rule 6.07(2) and 6.01(6) (PDF)
- Guidelines for lawyers who have surrendered their licence at their own request, whose licence has been revoked or suspended or who has been permitted to surrender their licence and lawyers who have given an undertaking not to practice (PDF)
- Guidelines for former paralegals whose licences have been revoked or who have been permitted to surrender their licences (PDF)
Links to Applicable Rules
Questions
All Rule 6.07(2) or Rule 6.01(6)related questions should be directed to Administrative Compliance by contacting the Resource Centre at (416) 947-3315 (toll-free 1-800-668-7380 x3315) and asking to be transferred, or email Administrative Compliance using the Contact Page.