Insurance and Pension Institute Bill 2021

DRAFT

THE INSURANCE AND PENSIONS INSTITUTE OF ZAMBIA BILL, 2021

_________

MEMORANDUM

The objects of this Bill are to -

(a) establish the Insurance and Pensions Institute of Zambia and provide for its functions;

(b) continue the existence of the Insurance Institute of Zambia and re-name it as Insurance and Pensions Institute of Zambia and re-define its functions;

(c) provide for the registration of Insurance and Pensions practitioners and regulate their practice and professional conduct;

(d) constitute the Council of the Insurance and Pensions Institute of Zambia and provide for its functions; and (e) provide for matters connected with, or incidental to, the foregoing.

MULILO D.KABESHA

Attorney-General

DRAFT

THE INSURANCE AND PENSIONS INSTITUTE OF ZAMBIA BILL, 2021

ARRANGEMENT OF SECTIONS

PART I

PRELIMINARY

Section

Short title and commencement
Interpretation

PART II

THE INSURANCE AND PENSIONS INSTITUTE OF ZAMBIA

Establishment of Insurance and Pensions Institute of Zambia
Functions of the Institute
Governing document
President and Vice-President of the Institute
Meetings of Institute
Council of Institute
Functions of the Council
Registrar and other staff

PART III

REGISTRATION OF MEMBER, PRACTITIONERS AND ISSUANCE OF

CERTIFICATE

Prohibition of practicing without registration
Application for registration
Issuance of certificate of registration
Membership fees
Disqualification from registration as member or practitioner
Change in details
Suspension and cancellation of registration
Re-registration
Prohibition of practising without valid practising certificate
Practising certificate
Display of practising certificate
Renewal of practising certificate
Suspension and cancellation of practising certificate
Maintenance of non-practising practitioner on register
Prohibition of transfer of certificate of registration or practising certificate
Duplicate certificate of registration or practising certificate
Surrender of cancelled certificate of registration or practising certificate
Register
Publication of copies of registers
Offences relating to registration, etc.

PART IV

INSPECTORATE

Inspectors
Power of inspectors

PART V

DISCIPLINARY MATTERS

Code of ethics
Professional Misconduct
Initiation of disciplinary action
Professional Conduct Committee
Hearing by the Professional Conduct Committee
Proceedings of the Professional Conduct Committee
Disciplinary Committee
Functions of the Disciplinary Committee
Proceedings of the Disciplinary Committee
Powers of the Disciplinary Committee
Sanctions for professional misconduct by the Disciplinary Committee
Reports by the Disciplinary Committee
Rules relating to disciplinary proceedings

PART VI

GENERAL PROVISIONS

False or misleading statement
Appeals
Prohibition of publication or disclosure of information to unauthorized persons
Offences by principal officers of body corporate or unincorporated body
Administrative penalty
Immunity
Guidelines
Regulations

Schedule

A BILL

ENTITLED

An Act to establish the Insurance and Pensions Institute of Zambia and provide for its functions; continue the existence of the Insurance Institute of Zambia and re-name it as Insurance and Pensions Institute of Zambia and re-define its functions;

provide for the registration of Insurance and Pensions Practitioners and regulate their practice and professional conduct; constitute the Council of the Insurance and Pensions Institute of Zambia and provide for its functions; and provide for matters connected with, or incidental to, the foregoing.

Enactment ENACTED by the Parliament of Zambia

PART I

PRELIMINARY

Short title 1. This Act may be cited as the Insurance and Pensions

Institute of Zambia Act, 2021.

Interpretation

Act No. 3 of

2012

In this Act, unless the context otherwise requires -

“associate” has a meaning assigned to the word in the Anti Corruption Act, 2012;

“certificate of registration” means the certificate of registration issued under section 13;

“Chairperson” means a person appointed

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Act No. 10 of

2017

Chairperson of the Disciplinary Committee under section 39;

“chairperson” means a person appointed chairperson of a Professional Conduct Committee under section 36;

“code of ethics” means the code of professional ethics developed and published by the Institute for

the purposes of this Act;

“company” has the meaning assigned to the word in the Companies Act, 2017;

“Council” means the Council of the Institute constituted under section 8;

“council member” means a member of the Council of the Institute constituted under section 8;

“Inspector” means a person appointed as inspector under section 31;

“Institute” means the Insurance and Pensions Institute of Zambia established under section 3;

“Insurance and Pensions Practitioner” means a person whose occupation is in Insurance and Pensions as

an underwriter, broker, adviser, consultant, tutor or any other and is eligible for admission to the

Institute as a member;

“Disciplinary Committee” means the Disciplinary Committee appointed by the Council under section

37;

“governing document” means the governing document of the Council provided under section 5;

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Cap. 31

Cap. 30

Act No. 6 of

2019

Cap. 1

“Law Association of Zambia” means the Law Association of Zambia established under the Law

Association of Zambia Act;

“legal practitioner” has the meaning assigned to the word in the Legal Practitioners Act;

“legally disqualified” means the absence of legal capacity as provided under section 4 of the Mental Health

Act, 2019;

“member” means a person registered as a member of the Institute in accordance with the provisions of the governing document and “membership”

shall be construed accordingly;

“Person” has a meaning assigned to the words in the Constitution;

“practicing certificate” means a practising certificate issued under section 20;

“President” means a person elected as President of the Institute under section 6;

“professional misconduct” means the conduct referred to under section 32;

“Professional Conduct Committee” means a Professional Conduct Committee constituted under section 34;

`“register” means a register of the Institute referred to under section 28;

“Registrar” means the person appointed Registrar under section 10;

“relative” has the meaning assigned to the word in the

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Act No. 3 of

2012

Anti-Corruption Act, 2012;

“Vice-Chairperson” means a person appointed as

Vice-Chairperson of the Disciplinary Committee

under section 39;

“vice-chairperson” means a person appointment as vicechairperson

of a Professional Conduct

Committee under section 34; and

“Vice-President” means a person elected as Vice- President

of the Institute under section 6.

PART II

THE INSURANCE AND PENSIONS INSTITUTE OF ZAMBIA

Establishment

of Insurance

and Pensions

Institute of

Zambia

(1) There is established the Insurance and

Pensions Institute of Zambia which is a body corporate with perpetual succession and a common seal, capable of suing and of being sued in its corporate name, and with power subject to the provisions of this Act, to do all such acts and things that a body corporate may, by law do or perform.

(2) The First Schedule applies to the Institute.

Functions of

the institute

The functions of the Institute are to -

(a) advance the insurance and pensions profession and promote it’s interest;

(b) set and enforce professional standards of

training, practice and professional competence

of a person engaged in insurance and

pensions;

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insurance and pensions;

(d) approve, in consultation with the Higher

Education Authority and the Zambia

Qualifications Authority learning programmes

and qualifications for all practitioners;

(e) to promote efficiency and improvement in the

practice of insurance and pensions;

(f) set and enforce ethical and professional

standards among practitioners;

(g) encourage and promote research into matters

relating to the insurance and pensions

profession;

(h) investigate cases of professional misconduct

under this Act;

(i) represent, protect and assist practitioners

from their employers with regard to their

condition of practice or otherwise;

(j) develop, promote and enforce internationally

comparable insurance and pensions practice

standards and qualifications in the Republic;

(k) to hold meetings of the Institute for the

reading and discussion of papers for

professional interest and development;

(l) promote awareness among practitioners in

matters relating to insurance and pensions

education, practice and regulation;

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(m) develop and enforce continuous professional

development requirements for practitioners;

(n) collaborate with Government, Higher

Education Institutions and other stakeholders

to improve the quality of the insurance and

pensions profession;

(o) provide advisory and consultancy services in

insurance and pensions; and

(p) advise the Minister on policy matters relating

to the insurance and pensions profession.

Governing

document

(1) The Institute shall, by a vote of at least

two-thirds of the paid up members voting at a general meeting

of the Institute, adopt a governing document and may , in the

like manner, amend it.

(2) Subject to this Act, the governing document shall

regulate the conduct of the affairs of the Institute.

(3) The governing document may provide for the -

(a) meetings of the Institute, including the

delivery and sufficiency of notices of the

meetings, the quorum, voting, adjournments

and other matters of procedure or conduct of

the meetings;

(b) election, qualifications and tenure of office of

the President, Vice-President and other office

bearers of the Council;

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procedures of the committees of the Council;

(d) the classes of membership and their rights,

privileges and obligations; and

(e) any other matters as the members may

determine.

President and

Vice -President

of Institute

The members shall elect the President and Vice

President of the Institute in accordance with the provisions of

the governing document.

Meetings of

Institute

(1) Subject to this Act, the Institute may regulate

its own procedure.

(2) The meetings of the Institute shall be conducted in

accordance with the provisions of the governing document.

Council of

Institute

(1) There is constituted a Council of the Institute

which is responsible for the management and control of the

affairs of the Institute.

(2) The Council shall consist of the following part-time

members nominated or elected in accordance with the provisions

of the governing document-

(a) President;

(b) Vice President;

(d) Treasurer;

(e) three insurance and two pension

practitioners elected at the Annual General

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Meeting.

(f) The Registrar and immediately past President

as ex- officio members of the Council.

(3) The President and the Vice President of the Institute

shall be the chairperson and vice- chairperson of the Council,

respectively.

(4) A person shall not be elected or nominated

as a Council member if that person -

(a) is found guilty of professional

misconduct under this Act;

(b) is convicted of an offence under this

Act;

(d) is legally disqualified from performing the

functions of a member;

(e) is convicted of an offence involving

fraud or dishonesty; or

(f) is an employee of the Council.

(5) The First Schedule applies to the Council.

Functions of

the Council

(1) The functions of the Council are to

perform the executive functions of the Institute.

(2) Despite the generality of subsection (1), the

functions of the Council are to-

(a) recommend for approval by the Annual

General Meeting of the Institute the policies,

programmes and strategies of the Institute;

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(b) approve the annual work plan, action

plans, activities and reports of the

Institute;

the institute the annual budget,

and any other matters relating to finance of

the Institute;

(d) monitor and evaluate the performance

of the Council against budgets and

plans;

(e) appoint staff of the Institute; and

(f) advise the Minister on matters relating to

insurance and pensions practice.

(3) The Council may, by direction in writing and

on conditions that the Council considers necessary,

delegate to the Registrar any of its functions under this

Act.

Registrar and

other staff

(1) The Council shall appoint a Registrar

who shall be -

(a) the Chief Executive Officer of the

Council and Secretary to the Council;

and

(b) responsible for the day-to-day

administration of the Institute.

(2) A person qualifies for appointment as a Registrar if

that person is a registered practitioner and holds a valid

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practising certificate issued under this Act or any other

qualifications and experience that the general meeting will

approve.

(3) The Registrar shall attend meetings of the

Council or a committee of the Council and may address those

meetings but shall have no vote.

(4) The Council shall appoint other staff of the

Institute that the Council considers necessary for the

performance of the functions of the Institute.

(5) The Council shall determine the conditions

of service and emoluments, of the Registrar and other

staff of the Institute.

PART III

REGISTRATION OF

MEMBERS, PRACTITIONERS AND ISSUANCE OF

CERTIFICATE

Prohibition of

practising

without

registration

(1) A person shall not be employed or

practice as a practitioner unless that person is registered in

accordance with this Act.

(2) A person who contravenes subsection (1)

commits an offence and is liable, on conviction, to a fine

not exceeding five hundred thousand penalty units or to

imprisonment for a term not exceeding five years, or to both.

Application for

registration

(1) A person who intends to be employed

or to practice as a practitioner in the Republic shall apply to the

Institute for registration in the prescribed manner and form on

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payment of a prescribed fee.

(2) The Institute may, within thirty days of

receipt of an application under subsection (1), approve or

reject the application.

(3) The Inst i tute shal l , wi thin fourteen

days of approval of an application under subsection

(2), register an applicant as a practitioner.

(4) The Institute shall, within fourteen days, where it

rejects an application under subsection (2), inform the applicant

in writing giving reasons for the rejection.

Issuance of

certificate of

registration

(1) The Institute shall, where the Institute

approves an application under section 12 issue a practitioner

with a certificate of registration in the prescribed form.

(2) A certificate of registration shall remain the

property of the Institute.

(3) A certificate shall remain valid unless suspended or

cancelled under this Act.

Membership

fees

The Institute may determine different fees

for different classes of a practitioner.

Disqualification

from

registration as

a practitioner

A person does not qualify for registration as

a practitioner or member under this Act or under the governing

document if that person is -

(a) convicted of an of fence involving

fraud or dishonesty under this Act or

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under any other written law in the preceding

five years prior to the registration;

(b) administratively been found guilty or has admitted

having committed an offence involving fraud or

dishonest by that person’s employer in the

preceding five years prior to the registration;

(d) an undischarged bankrupt.

Change in

details

A practitioner registered under this Act shall notify

the Registrar of any change in the particulars relating to the

registration within seven days of the change.

Suspension

and

cancellation of

registration

(1) Subject to this Act, the Institute may

suspend or cancel the registration of a practitioner where-

(a) the Institute has reasonable grounds

to believe that the registration was obtained

through fraud, misrepresentation or

concealment of a material fact;

(b) a practitioner is found guilty of professional

misconduct under this Act, or the code of

ethics and the Disciplinary Committee orders

the suspension or cancellation of a

practitioner’s certificate of registration;

this Act, or any other written law and

sentenced to imprisonment for a period

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exceeding six months without the option of a

fine; or

(d) since the registration, circumstances

h a v e a r i s e n d i s q u a l i f y i n g a

practitioner from registration.

(2) The Institute shall, before suspending

or cancelling the registration under subsection (1), give

a practitioner an opportunity to be heard.

(3) The Institute may, before cancelling the

registration of a practitioner suspend a practitioner for a

specified period and on terms and conditions that the Institute

may determine.

(4) Where the Institute cancels the registration of a

practitioner under this section, the name of a practitioner shall

be removed from the register and shall not be restored except on

conditions that may be prescribed, and on payment of a

prescribed fee.

Re-registration 18. Where a certificate of registration is

cancelled under section 17, the holder of the certificate

of registration may, subject to the terms and conditions

that the Institute determines, apply for re-registration.

Prohibition of

practising

without

valid practising

certificate

(1) A person shall not practice as a practitioner

without a valid practising certificate issued under this Act.

(2) A person shall not offer employment to a

person holding out as a practitioner who does not hold a valid

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practising certificate issued under this Act.

(3) A person who contravenes subsections (1) or

(2) commits an offence and is liable, on conviction, to a

fine not exceeding five hundred thousand penalty units

or to imprisonment for a term not exceeding five years, or to

both.

Practising

certificate

(1) A registered practitioner shall apply to the

Institute for a practising certificate in the prescribed manner

and form on payment of a prescribed fee.

(2) The Institute shall, within thirty days of

receipt of an application under subsection (1), and if

the applicant meets the requirements under this Act, and the

governing document issue the applicant with a practising

certificate in the prescribed form and on payment of a

prescribed fee.

(3) The Minister may, by statutory instrument and

on the recommendation of the Council, make

Regulations to provide for -

(a) the terms and conditions for the

issuance of a practising certificate;

(b) the type of training for continuous

professional development and any other

i n f o rma t i o n r e q u i r e d f o r t h e

issuance of a practising certificate; and

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purposes of this Act required to be

prescribed.

Display of

practising

certificate

A holder of a practising certificate shall

display the practising certificate in a conspicuous place

at the place of practice.

Renewal of

practising

certificate

(1) A holder of a practising certificate shall renew

a practising certificate annually in the prescribed manner and

form on payment of a prescribed fee.

(2) A practising certificate that is not renewed in

accordance with subsection (1) is void.

Suspension

and

cancellation of

practising

certificate

(1) Subject to this Act, the Institute may

suspend or cancel a practising certificate if the holder -

(a) is found gui l ty of professional

misconduct under his Act or the code of

ethics and the Disciplinary Committee orders

the suspension or cancellation of the

practising certificate;

(b) is convicted of an offence under this

Act or any other written law and

sentenced to imprisonment for a

period exceeding six months without

the option of a fine;

practitioner;

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(d) is an undischarged bankrupt;

(e) obtained the practising certificate

through fraud, misrepresentation or

concealment of a material fact; or

(f) is deregistered under this Act.

(2) The Institute shall, before suspending or

cancelling a practising certificate of a practitioner under this

section, give the holder of the practising certificate an

opportunity to be heard.

(3) The Institute may, before cancelling a

practising certificate of a practitioner, suspend a practitioner for

a specified period and on terms and conditions that the

Institute may determine.

(4) Where a certificate of registration is

cancelled under this Part, the practising certificate of the

holder of the certificate of registration shall be void.

Maintenance of

non-practising

practitioner on

The Institute may, where a holder of a

practising certificate does not intend to practice for a

specified period of time, maintain the name of the holder

of the practising certificate on the register, in a

non-practising category, for that period of time.

Prohibition of

transfer of

certificate

of registration

practising

certificate

A certificate of registration or practising

certificate issued under this Act shall not be transferred

to a third party.

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Duplicate

certificate

of registration

practising

certificate

(1) A p e r s o n wh o s e c e r t i f i c a t e o f

registration or practising certificate is destroyed or lost

may apply to the Registrar for a duplicate certificate in

the prescribed manner and form and on payment of a

prescribed fee.

(2) The Registrar may, within fourteen days of

receipt of an application under subsection (1), issue a

duplicate certificate of registration or practising

certificate to the applicant upon payment of a prescribed fee.

Surrender of

cancelled

certificate

of registration

practising

certificate

A practitioner whose certificate of registration or

practising certificate is cancelled shall, within seven days of

being notified of the cancellation, surrender the certificate of

registration or practising certificate to the Institute.

a register of members and practitioners in the prescribed

manner and form.

(2) The register shall be kept in the custody of

the Registrar at the registered office of the Institute and shall

be open for inspection to members of the public during normal

working office hours on payment of a prescribed fee.

(3) The Registrar shall, on an application by a

person, issue to that person a certified extract from the

practising certificate, on payment of a prescribed fee.

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Publication of

copies

of registers

(1) The Registrar shall, on the direction of

the Insti tute, cause copies of the register,

including alterations of, or additions to the register,

to be printed and published in a manner and form that

the Institute may direct.

(2) Subject to this Act, a copy of the last

published and printed register shall be prima facie

evidence in legal proceedings of what is contained in that

member from that copy, is prima facie evidence that the person

is not registered as a practitioner or member.

Offences

relating to

registration,

etc.

(1) A person shall not -

(a) make or cause to be made, an

unauthorised entry, alteration or

erasure on a register, certificate of

registration or practising certificate,

or on a certified copy of a register,

certificate of registration or

practising certificate;

(b) procure or at tempt to procure

registration under this Act by fraud,

misrepresentation or the concealment

of a material fact;

the title or designation of a practitioner

while not registered as practitioner

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under this Act; or

(d) forge a certificate of registration,

practising certificate or other

document issued under this Act.

(2) A person who contravenes subsection (1)

commits an offence and is liable, on conviction, to a fine

not exceeding five hundred thousand penalty units or to

imprisonment for a term not exceeding five years, or to

both.

PART IV

INSPECTORATE

Inspectors 31. (1) The Council shall appoint suitably

qualified persons as inspectors to ensure compliance with this

Act.

(2) The Council shall provide an inspector with an

identification card which shall be prima facie evidence of the

inspector’s appointment as inspector.

(3) An inspector shall, in performing the function under

this Act-

(a) be in possession of the identification card

referred to in subsection (2); and

(b) show the identification card to a person who

requests to see the identification card or is

the subject of an investigation under this Act.

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Power of

inspectors

(1) An inspector may, for the purpose of

enforcing the provisions under this Act, at any reasonable time,

with a warrant, enter any premises that the inspector has

reasonable grounds to believe is used for the commission of an

offence or contrary to the provisions of this Act, and-

(a) search the premises;

(b) search any person on the premises if the

inspector has reasonable grounds to believe

that the person has possession of an article,

document or record that has a bearing on an

inspection or investigation, except that a

person shall only be searched by a person of

the same sex;

book, document or record that is on the

premises and that has a bearing on an

inspection or investigation;

(d) demand the production of, and inspect,

relevant certificates; and

(e) make such inquiries as may be necessary to

ascertain whether the provisions of this Act or

any other law on which an inspection or

investigation is based, have been complied

with.

(2) A court may issue a warrant on application

by an inspector if it appears from written information given by

that inspector, on oath or affirmation, that there are reasonable

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grounds to believe that this Act has been or is likely to be

contravened.

(3) An inspector who removes anything from

any premises shall -

(a) issue a receipt for anything removed to the

owner or the person in control of the

premises; and

(b) return anything removed within fourteen

hours after the thing removed has served the

purpose for which it was removed.

(4) A person commits an offence if that person-

(a) delays or obstructs an inspector in the

performance of the inspector’s functions

under this Act;

(b) refuses to give an inspector reasonable

assistance as the inspector may require for

the purpose of performing the inspector’s

functions;

oneself to be an inspector; or

(d) wilfully gives an inspector false or misleading

information in answer to an inquiry made by

the inspector.

(5) A person who contravenes subsection (4) commits

an offence and is liable, on conviction, to a fine not exceeding

three hundred thousand penalty units or to imprisonment for a

term not exceeding three years, or to both.

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(6) An inspector shall within forty-eight hours after

conducting an inspection furnish the Council with a written

report and any other information relating to an inspection.

PART V

DISCIPLINARY MATTERS

Code of ethics 33. The Institute shall develop and publish a code

of ethics which shall bind all practitioners registered under this

Act.

Professional

misconduct

A practitioner commits professional misconduct if

that practitioner -

(a) contravenes any provision under this Act;

(b) unlawfully discloses or uses to the

practitioner ’s advantage any information acquired

in the practice of the practitioner;

fraudulent or deceitful; or

(f) b r e a c h e s th e c o d e o f e t h i c s o r

encourages another practitioner to breach or

disregard the code of ethics.

Initiation of

disciplinary

action

(1) A person may lodge a complaint with

the Institute against a practitioner where that person alleges

that the practitioner has contravened the code of ethics or any

provision under this Act.

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(2) The Council shall, within seven days of receipt of

the complaint constitute an ad hoc professional conduct

committee to hear and investigate the complaint.

(3) A complaint or allegation shall be made to

the Registrar in the prescribed manner and form.

Professional

Conduct

Committee

(1) The Professional Conduct Committee shall

consist of the following members:

(a) three practitioners;

(b) Registrar as an ex-officio member

(b) a legal practitioner nominated by the

Law Association of Zambia.

(2) The members of the Professional Conduct

Commi t tee shal l elect the chai rperson and

vice-chairperson from among their number.

(3) A person shall not be appointed as a

member of a Professional Conduct Committee if that

person is -

(a) f o u n d g ui l t y o f p r o f e s s i o n a l

misconduct under this Act;

(b) an undischarged bankrupt;

functions of a member of the Professional

Conduct Committee;

(d) convicted of an offence under this

Act or any other written law and

sentenced to imprisonment for a

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period exceeding six months without

the option of a fine; or

(e) has less than ten years experience and post

qualifications.

(4) Where a member of the Professional Conduct

Committee, resigns, dies or vacate office before a complaint is

heard, the Council shall appoint another person for the purpose

of hearing the complaint and submission of the report.

Hearing by the

P r o f e s s i on a l

Committee

The Professional Conduct Committee shall within

thirty days of receipt of the complaint from the Council conclude

on the investigations and submit a report to the Council with a

recommendation that -

(a) a complaint be dismissed due to insufficient

evidence; or

(b) that a practitioner being complained of has

committed professional misconduct and that a

complaint be heard by the Disciplinary Committee.

Proceedings of

Professional

Conduct

Committee

(1) Subject to the provisions under this Act, a

Professional Conduct Committee may regulate its own

procedure.

(2) Three members of a Professional Conduct

Committee shall form a quorum at a meeting or sitting of

a Professional Conduct Committee.

(3) There shall preside at a meeting or sitting of a

professional Conduct Committee -

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(a) the chairperson;

(b) in the absence of the chairperson, the Vicechairperson

; or

the vice- chairperson , another member of the

Professional Conduct Committee that the

members of the Professional Conduct

Committee present shall elect for the

purpose of that meeting or sitting.

(4) A question at a meeting or sitting

of a Professional Conduct Committee shall be decided by a

majority of the members present at a meeting or sitting, and in

the event of an equality of votes, the person presiding

at the meeting or sitting shall have a casting

vote in addition to that person’s deliberative vote.

(5) A party to a hearing of a Professional

Conduct Committee may appear in person or be

represented by a legal practitioner or, if the party so

elects, by any other person.

(6) A person who is present at a meeting or

sitting of a Professional Conduct Committee at which a

matter is the subject of consideration and in which

matter that person or that person’s relative or associate

is directly or indirectly interested in a private capacity

shall, as soon as is practicable after the commencement

of the meeting, disclose that interest and shall not,

unless the Professional Conduct Committee otherwise

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directs, take part in any consideration or discussion of,

or vote on, any question relating to that matter.

(7) A disclosure of interest made under this

section shall be recorded in the minutes of the meeting

at which it is made.

(8) A Professional Conduct Committee shall

cause to be kept a record of its proceedings.

Disciplinary

Committee

(1) T h e C o u n c i l s h a l l a p p o i n t a

Disciplinary Committee consisting of the following part-time

members:

(a) the Chairperson;

(b) the Vice-Chairperson;

Council and approved at a general meeting;

and

(d) a legal practitioner nominated by the

Law Association of Zambia.

(2) The Chairperson and Vice-Chairperson shall

be of the highest class of membership in the Institute.

(3) A person shall not be appointed as a

member of the Disciplinary Committee if that person -

(a) is found guil ty of professional

misconduct under this Act;

(b) is an undischarged bankrupt;

funct ions of a member of the

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Disciplinary Committee;

(d) in the case of a member under

subsection (1)(a), (b) and (c), has not

been on the register of practitioners for at

least ten years preceding the appointment; or

(e) is convicted of an offence under this

Act or any other written law and

sentenced to imprisonment for a

period exceeding six months without

the option of a fine; or

(f) has less than ten years experience and post

qualifications.

(4) A member of the Disciplinary Committee

shall hold office for a term of three years and may be

re-appointed for a further and final term of three years.

(5) A member shall, on expiration of the term for

which a member is appointed continue to hold office

until another member is appointed but in no case shall

an extension of the period exceed three months.

(6) The office of a member becomes vacant if a

member -

(a) dies;

(b) is adjudged bankrupt under any

written law;

me e t ing s o f the Di s c i p l ina r y

Committee of which a member has

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notice, without a prior approval of

the Disciplinary Committee;

(d) resigns by notice, in writing, to the

Council;

(e) is legally disqualified from performing

the duties of a member of the

Disciplinary Committee;

(f) i s f ound gui l t y o f p r o f e s s i ona l

misconduct;

(g) is de-registered under this Act or any

other written law; or

(h) is convicted of an offence under this

Act or any other written law and

sentenced to imprisonment for a

period exceeding six months without

the option of a fine.

(7) The Council shall, where there is a vacancy

in the membership of the Disciplinary Committee before

the expiry of the term of office, appoint another person to

replace a member who vacates office but that person

shall only hold office for the remainder of the term.

(8) The Registrar shall be the Secretary to the

Disciplinary Committee but shall not vote on any matter

before the Disciplinary Committee.

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Functions of

Disciplinary

Committee

The func t i ons o f the Di s c ipl ina r y

Committee are to hear and determine a complaint

referred to it by the Professional Conduct Committee or the

Council against a practitioner within thirty days of receipt of a

complaint.

Proceedings of

Disciplinary

Committee

(1) Subject to the other provisions of this

Act, the Disciplinary Committee may regulate its own

procedure.

(2) Five members of the Disciplinary Committee

shall form a quorum at a meeting or sitting of the

Disciplinary Committee.

(3) There shall preside at a meeting or sitting of the

Disciplinary Committee -

(a) the Chairperson;

(b) in the absence of the Chairperson, the Vice-

Chairperson; or

the Vice- Chai rperson, another

member of the Disciplinary Committee

that the members of the Disciplinary

Committee present shall elect for the purpose

of that meeting or sitting.

(4) A question at a meeting or sitting of the

Disciplinary Committee shall be decided by a majority of

the members present at the meeting or sitting of the

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Disciplinary Committee and in the event of an equality of

votes, the person presiding at the meeting or sitting shall

have a casting vote in addition to that person's

deliberative vote.

(5) The proceedings of the Discipl inary

Committee shall be in camera.

(6) A party to a hearing of the Disciplinary

Committee may appear in person or be represented by a

legal practitioner or, if the party so elects, by any other

person.

(7) A decision of the Disciplinary Committee

shall be in the form of a reasoned judgment and a copy

of the judgment shall be supplied to each party to the

proceedings and to every person affected by the decision.

(8) If a person is present at a meeting or sitting

of the Disciplinary Committee at which any matter is the

subject of consideration, and in which matter that

person or that person’s relative or associate is directly or

indirectly interested in a private capacity, that person

shall, as soon as is practicable after the commencement

of the meeting or sitting, disclose the interest and shall

not, unless the Disciplinary Committee otherwise directs,

take part in any consideration or discussion of, or vote

on, any question relating to that matter.

(9) A disclosure of interest made under this

section shall be recorded in the minutes of the meeting

at which it is made.

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(10) The Disciplinary Committee shall cause to be

kept a record of its proceedings.

P o w e r s o f

Disciplinary

Committee

(1) The Disciplinary Committee may, for

the purposes of a hearing, hear and receive evidence and

may-

(a) under the hand of the Chairperson or

the Registrar, summon witnesses and

require the production of a book,

record, document, electronic record or

anything required for the purposes of

the proceeding; and

(b) through the Chairperson or Vice-

Chairperson, administer an oath

to a witness.

(2) A person summoned to attend before the

Disciplinary Committee shall not -

(a) refuse or fail to attend at the time and

place specified in the summons or,

having attended, leave without the

pe rmi s s i on o f the Di s c ipl ina r y

Committee;

(b) having attended, refuse to be sworn

or to affirm;

answer fully and satisfactorily to the

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Cap. 88

Act No. 6 of

2019

best of that person’s knowledge and

belief, a question lawfully put to that

person; or

(d) refuse to produce a book, record,

document or thing which that person

has been required by summons to

produce.

(3) A person who contravenes subsection (2)

commits an offence and is liable, on conviction, to a fine not

exceeding two hundred thousand penalty units or to both.

(4) Despite subsection (2), a person shall not be

compelled to answer any question or produce any book,

record or document which that person would not be

compelled to answer or produce on the trial of an action

in the High Court.

(5) A hearing before the Disciplinary Committee

shall, for the purposes of Chapter XI of the Penal Code Act,

be deemed to be a judicial proceeding.

(6) A finding of fact which is shown to have been

made by a court in the Republic shall, in any hearing

before the Disciplinary Committee, be conclusive

evidence of the fact so found.

(7) The Disciplinary Committee shall, where the

Disciplinary Committee has reasonable cause to believe

that a practitioner is legally disqualified, refer the matter for

determination in accordance with the Mental Health Act, 2019.

(8) The Disciplinary Committee shall, where a

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Act No. 6 of

2019

determination is made in accordance with the Mental

Health Act, 2019, that a practitioner is legally disqualified,

suspend the practising certificate of the practitioner.

(9) The Disciplinary Committee shall, where the

Disciplinary Committee finds, after due inquiry, that a

practitioner is not guilty of professional misconduct, record a

finding that a practitioner is not guilty of the conduct to which

the charge relates and dismiss the charge.

(10) The Disciplinary Committee may, for the

purpose of any proceedings, use assessors or experts as

the Disciplinary Committee considers necessary.

Sanctions for

professional

misconduct by

Disciplinary

Committee

The Disciplinary Committee shall, where the

Disciplinary Committee finds a practitioner guilty of professional

misconduct, after due inquiry, impose one or more of the

following penalties:

(a) o r d e r t h e c a n c e l l a t i o n o f t h e

practitioner’s practising certificate or

certificate of registration;

(b) order the suspension of the certificate

of regist rat ion or pract i t ising

certificate for a specified period and

on conditions as determined by the

Disciplinary Committee;

(d) caution the practitioner;

(e) impose an administrative penalty, not

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exceeding one hundred thousand

penalty units, to be paid to the

Institute;

(f) order that a practitioner be retrained or

rehabilitated;

(g) order a practitioner to pay to the Institute or

to a party to the hearing the costs of, or

incidental to, the proceedings; or

(h) order a practitioner to pay any party to the

hearing or any other person, as restitution,

the amount of loss caused by that person’s

negligence.

Reports by

Disciplinary

Committee

The Disciplinary Committee shall, within

seven days after reading the Disciplinary Committee’s judgement

from the completion of a hearing, submit to

the Council a report of the proceedings together with a

copy of the record.

Rules relating

disciplinary

proceedings

(1) The Chief Justice may, by statutory

instrument and on the recommendation of the Council,

make rules relating to the -

(a) manner and form for lodging of

complaints under this Part;

(b) mode of summoning persons before

the Disciplinary Committee;

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summons requiring the attendance of

a witness before the Disciplinary

Committee and the production of a

book, record, document or thing;

(d) procedure to be followed and rules of

e v idenc e t o b e o bs e r v ed in

proceedings before the Disciplinary

committee; and

(e) functions of assessors and experts to

the Disciplinary Committee.

(2) Rules made under subsection (1) may

provide -

(a) that before a matter is referred to the

Disciplinary Committee it shall in a

manner that may be provided by the

rules, have been brought before a

Professional Conduct Committee, and

investigated;

(b) f o r s e c u r i n g n o t i c e s f o r th e

proceedings and specifying the time

and manner of the proceedings; and

proceedings shall, if that person

requires, be entitled to be heard by

the Disciplinary Committee.

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PART VI

GENERAL PROVISIONS

False or

misleading

statement

(1) A person shall not knowingly or

recklessly make a false or misleading statement, orally or

in writing, to the Institute, Disciplinary Committee or a

Professional Conduct Committee with the intention that

it be acted on by the Institute, Disciplinary Committee or

a Professional Conduct Committee.

(2) A person who contravenes subsection (1)

commits an offence and is liable, on conviction, to a fine

not exceeding five hundred thousand penalty units or to

imprisonment for a term not exceeding five years, or to

both.

Appeals 47. (1) A person aggrieved with a decision of the

Disciplinary Committee may within thirty days of receipt of the

decision appeal to the High Court.

(2) A person aggrieve with the decision of the Institute

may, within thirty days of receiving the decision appeal to the

Minister.

(3) A person aggrieve with the decision of the Minister

may, within thirty days of receiving the decision appeal to the

High Court.

(4) The proceedings of the Disciplinary Committee shall

not be set aside by reason only of some irregularity in those

proceedings if that irregularity did not occasion a

substantial miscarriage of justice.

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(5) An appeal to the Minister or High Court

shall not act as a stay of the decision of the Institute or

Disciplinary Committee.

Prohibition of

publication or

disclosure of

information to

unauthorised

persons

(1) A person shall not, without the

consent in writing given by, or on behalf of, the institute,

publish or disclose to any person, other than in the course of

that person’s duties, the contents of a document,

communication or information which relates to, or which has

come to the knowledge of that person in the course of that

person’s duties under this Act.

(2) A person who contravenes subsection (1)

commits an offence and is liable, on conviction to a fine

not exceeding two hundred thousand penalty units, or to

imprisonment for a term not exceeding two years, or to

both.

(3) A person who, having information which to

that person’s knowledge has been published or disclosed

in contravention of subsection (1), unlawfully publishes

or communicates the information to another person,

commits an offence and is liable, on conviction, to a fine

not exceeding two hundred thousand penalty units or to

imprisonment for a term not exceeding two years, or to

both.

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Offences by

principal

officers of body

corporate or

unincorporate

body

Where an offence under this Act is

committed by a body corporate or an unincorporate

body, with the knowledge, consent or connivance of the

director, manager, shareholder or partner of the body

corporate or an unincorporate body, that director,

manager, shareholder or partner commits the same

offence as the body corporate or unincorporate body and is

liable, on conviction, to the penalty specified for that offence

under this Act.

Administrative

penalty

(1) The Institute may impose an administrative

penalty on a practitioner for a failure to comply with a provision

under this Act which is not an offence.

(2) An administrative penalty shall not exceed an

amount prescribed by the Institute by statutory instrument for

each day during which the failure continues.

(3) An administrative penalty shall be paid to the

Institute within the period prescribed by the institute.

(4) If a person fails to pay an administrative

penalty within the stipulated time under subsection (3),

the Institute may, by way of civil action in a competent

court, recover the amount of the administrative penalty

from that practitioner as an amount due and owing to the

Institute.

Immunity 51. An action or other proceedings shall not lie or

be instituted against a Council member, a member of a

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committee of the Council, a member of a Professional

Conduct Committee or a Disciplinary Committee member and

a member of staff of the institute, or in respect of, an

act or thing done or omitted to be done in good faith in

the exercise or performance of a power or function conferred

under this Act.

Guidelines 52. (1) The Institute may, in the exercise of

its functions under this Act, develop and issue guidelines as are

necessary for the better carrying out of the provisions of

this Act.

(2) The institute shall publish the guidelines

issued under this Act on the institute website, and the

guidelines shall take effect on the date of publication.

(3) The guidelines issued by the Institute under

this Act shall bind all practitioner regulated under this Act.

Regulations 53. (1) The Mini s t e r may , by s tatuto r y

instrument and on the recommendation of the Council,

make Regulations for the better carrying out of the

provisions of this Act.

(2) Despite the generality of subsection (1),

Regulat ions may make provision for the -

(a) manner and form for applications

under this Act and the fees payable;

(b) form and particulars to be entered

on the register;

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and the terms and conditions under which the

certificate of registration is issued;

(d) qualifications for registration of

a practitioner;

(e) form of the practising certificate and

the conditions under which the

practising certificate is issued;

(f) code of ethics to which a practitioner shall

subscribe;

(g) continuous professional development

for a practitioner; and

(h) fee payable for profession services and any

other fee matter which is required to be

prescribed.

Savings and

transitional

provisions

The provisions of the Second Schedule shall apply

in respect to of the matters specified in the Second Schedule.

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FIRST SCHEDULE

(Sections 3(2) and 8(5))

PART I

ADMINISTRATION OF THE INSTITUTE

Seal of

Institute

(1) The seal of the Institute shall be a

device that may be determined by the Institute and shall

be kept by the Registrar.

(2) The affixing of the seal shall be

authenticated by the President, in the absence of the President

the Vice-President and in the absence of the Vice -President, the

Registrar or any other person the Council may authorise for that

purpose.

(3) A contract or instrument entered into or executed

by a person not being a body corporate or body corporate on

behalf of the Institute shall b we under seal.

(4) A document purporting to be under the seal

of the Institute or issued on behalf of the Institute shall

be received in evidence and shall be deemed to be so

executed or issued, as the case may be, without further

proof, unless the contrary is proved.

Tenure of office

and

vacancy of

Council

member

(1) A council member shall, subject to the

other provisions of this Act, hold office for a term of two

years and may be re-appointed or re-elected for a

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further and final term of two year.

(2) A council member shall, on the expiration of

the term for which the member is elected or nominated,

continue to hold office until another member is elected or

appointed, but in no case shall the extension of the term

exceed three months.

(3) The office of council member shall become vacant

if a council member -

(a) dies;

(b) is adjudged bankrupt under any

written law;

Institute;

(d) is legally disqualified from performing

the functions of a member;

(e) is disqualified from being a council

member in accordance with section

8(4);

(f) in the case of a council member under

section 8(2)(a), (b), (c), and a certificate of

registration or practising certificate is

cancelled under the Act;

(h) is found guil ty of professional

misconduct;

(i) is absent, from three consecutive

meetings of the Council of which the

memb e r h a d n o t i c e wi t h o u t

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prior approval of the Council; or

(j) is convicted of an offence under this Ac t o r

a n y o t h e r w r i t t e n l a w a n d

sentenced to imprisonment for a term

of six months without the option of a

fine.

(4) The members at a general meeting shall whenever

the office of a member becomes vacant before the expiry of the

term of office, appoint another person in place of that member

but that person shall hold office as a member only for the

unexpired part of the term of the council.

Proceedings of

Council

(1) Subject to the other provisions of this

Act, the Council may regulate its own procedure.

(2) The Council shall meet at least once in every

three months for the transaction of business of the Institute at

a place and time as the President may determine.

(3) The President may call a meeting of the

Council on giving notice of not less than fourteen days where one

third of the council members so request, in writing, except that

if the urgency of a particular matter does not permit the giving

of notice, a special meeting may be called on giving a shorter

notice.

(4) Four council member shall form a quorum

at a meeting of the Council.

(5) There shall preside at a meeting of the

Council -

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(a) the President;

(b) in the absence of the President, the

Vice-President; or

and Vice-President, another council

member that the council member shall

elect for the purpose of that meeting.

(6) A decision of the Council on any question

shall be by a majority of the council member present

and voting at the meeting, and in the event of an equality

of votes, a person presiding at the meeting shall have

a casting vote in addition to that person deliberative

vote.

(7) The Council may invite a person whose

presence is in the Council’s opinion desirable to attend

and participate in the deliberations of the meeting, but

that person shall have no vote.

(8) The validity of any proceedings, acts or

decisions of the Council shall not be affected by a

vacancy in the membership of the Council or any defect

in the appointment of a council member or by reason

that a person not entitled to do so took part in the

proceeding.

(9) The Council shall cause minutes to be kept of the

proceedings of every meeting of the Council and of any

committee established by the Council.

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Committee 4. (1) The Council may, for the purpose of

performing its function under this Act, constitute

committees and delegate any of its functions to the

committee as it consider necessary.

(2) The Council may appoint as members of a

committee persons who are or are not council members

except that at least one council member shall be a

member of a committee.

(3) A member of a committee shall hold office for

a term as the Council may determine.

(4) Subject to any specific or general direction

of the committees, a committee may regulate its own

procedure.

Allowance 5. The Council shall pay to a council member, a

member of a committee of the Council, a member of a

Professional Conduct Committee and a member of the

Disciplinary Committee allowance that the members at the

Annual General Meeting may approve.

Disclose of

interest

(1) A person who is present at a meeting

of the council or a committee of the council at which

any matter is the subject of consideration, and in which

matter that person or that person’s relative or associate

is directly or indirectly interested in a private capacity,

shall as soon as is practicable after the commencement

of the meeting, disclose the interest and shall not, unless

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the council or the committee of the council otherwise

directs, take part in any consideration or discussion of,

or vote on, any question relating to that matter.

(2) A disclosure of interest made under this

paragraph shall be recorded in the minute of the

meeting at which it is made.

PART II

FINANCIAL PROVISIONS

Fund of

Institute

(1) The fund of the Institute consist of

monies that may -

(a) be proceeds of any investments by the

Institute;

(b) be paid to the Institute by way of fees,

grant or donations; and

Institute.

(2) The Institute may -

(a) accept monies by way of grants or

donations from any source in the Republic

and subject to the approval of the Minister of

finance from any source outside the Republic;

(b) raise by way of loan or otherwise,

monies as it may require for the

performance of its functions; and

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programme and seminars conducted by the

Institute.

(3) There shall be paid from the fund of the

Institute -

(a) the salaries, allowances and loans of

the staff of the institute;

(b) reasonable travelling, transport and

subsistence allowance for Council

members or members of a committee

of the Council when engaged in the

business of the Institute at the rate

approved by the members at the Annual

General Meeting; and

Institute in the performance of its

functions under this Act.

(4) The Council may, invest in a manner that

the Council considers appropriate, funds of the Institute that the

Institute does not immediately require for the performance of

the committee’s function.

Financial year 8. The financial year of the Institute shall be a

period of twelve month ending on 31st December in

each year.

Account and

audit

(1) The Institute shall cause to be kept

proper books of account and other record relating to its

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account.

(2) The account of the Institute shall be

audited annually by an independent auditor appointed by

the members at the general meeting.

(3) The fee of the auditor shall be paid by the

Institute.

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SECOND SCHEDULE

(Section 54)

SAVINGS AND TRANSITIONAL PROVISIONS

Interpretation 1. In this Schedule, “former Institute” means an

Institute, in existence before the commencement of this Act.

Transfer of staff of

Institute

(1) A person who, before the commencement of

this Act was an employee of the former Institute shall continue

to be employee of the Institute, as if appointed or employed

under this Act.

(2) The service of persons under paragraph 2 (1) shall

be treated as continuous service.

(3) Nothing in this Act affects the rights and liabilities

of a person employed or appointed by the former Institute

before the commencement of this Act.

(4) A register maintained under former Institute and

subsisting immediately before the commencement of this Act

shall, until replaced, be considered to be a register maintained

under this Act.

Office bearers 3. (1) On or after the commencement of this Act,

Committees and officers of the former Institute operating or

holding office immediately before the commencement of this

Act shall operate and hold office as Council members,

Committees and officers of the Institute for a period of three

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months as if they had been elected or appointed under this Act.

(2) The Institute shall, three months after the

commencement of this Act, hold elections for its Council

members and other office bearers.

(3) The rules of the former Institute in force

immediately before the commencement of this Act shall remain

in force as if they have been made and issued by the Institute

until a time that news rules are made.

(4) A representative appointed by the former Institute

to serve on any committee or other body shall b e considered

to be representative appointed by the Institute under this Act.

Transfer of assets 4. (1) On the commencement of this Act, there

shall be transferred to, vest in and subsist against the Institute

by virtue of this Act and without further assurance, the assets,

rights, liabilities and obligations which immediately before the

commencement of this Act were the assets, rights, liabilities

and obligations of the former Institute.

(2) Subject to sub paragraph (1), every deed, bond or

agreement, other than an agreement for personnel service, to

which the former Institute was a party immediately before the

commencement of this Act, whether or not of a nature that

rights, liabilities and obligations could be assigned, shall,

unless its subject matter or terms make it impossible that it

should have effect as modified, as provided under this

paragraph, have effect as if -

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(a) the Institute had been party to it;

(b) for any reference to the former Institute there was

substituted, with respect to anything falling to be

done on or after the commencement of this Act, a

reference to the Institute; or

Institute, not being a party to it and beneficially

interested, there were substituted, as respects

anything falling to be done on or after the

commencement of this Act, a reference to that

officer of the Institute, as the Institute shall

designate.

(3) Where under this Act, any assets, rights, liabilities

and obligations of the former Institute are deemed to be

transferred to the Institute, in respect of which transfer a

written law provides for registration, the Institute shall make

an application, in writing, to the appropriate registration

authority for registration of the transfer.

(4) The registration authority, under sub paragraph

(3), shall make entries in the appropriate register that shall

give effect to the transfer and, where applicable, issue to the

transferee concerned a certificate of title in respect of the

property or make necessary amendments to the register and

shall endorse the deeds relating to the title, right or obligation

concerned and no registration fees or other duties shall be

payable in respect of the transaction.

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Legal proceedings 5. (1) Any legal proceedings or application of the

former Institute pending immediately before the

commencement of this Act by or against the former Institute

may be continued by or against the Institute.

(2) After the commencement of this Act, proceedings

in respect of any right, liability or obligation which was vested

in, held, enjoyed, incurred or suffered by the former Institute

may be instituted by or against the Institute.

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