Getting a Lawyer for a Complaint to the College

Having a complaint filed against you as a regulated professional can be an upsetting and stressful experience. In Canada, virtually anyone can file a complaint against a regulatory professional. The vast majority of regulatory Colleges now allow members of the public to file a formal complaint against a member of the College via the College’s website.

When a complaint is received, the College will review the complaint to determine whether it is legitimate. Vexatious complaints will typically be disposed of by the College without a full investigation. However, where a regulatory body is of the opinion that there may be some legitimacy to a complaint, they will appoint an investigator to carry out a formal investigation. The impugned member will be notified promptly that an investigator has been appointed and that an investigation is being carried out in relation to the member’s practice.

How does the Investigation Process Work?

While each College regulatory body has their own processes and procedures in place regarding how investigations into member’s conduct must be carried out, the majority of College’s operate in largely the same way.

Once an investigator has been appointed to investigate a complaint against a member, the member and the complainant will be promptly notified. The investigator will then begin collecting evidence which may include business records, patient records, and various other forms of documentation. Additionally, the investigator will reach out to the complainant to ask them questions and get details on the complaint. The investigator may also reach out to other potential witnesses who may have relevant information related to the complaint.

In some cases, the College investigator may also reach out to the impugned member for a preliminary statement. While most College’s require their members to participate in an investigation, it is important for a member to know their rights in this situation. It is important to remember that any information provided to the investigator will become part of the evidence package that will be passed along to the Inquiries, Complaints, and Records Committee, or Investigation Committee at the College. This means that if the member provides a statement to the investigator, that statement will become part of the case file. This may potentially limit the defences available to the member. As a result, it is important to seek legal advice as soon as possible once a complaint has been filed with the College and ideally before speaking with anyone at the College.

Timeline of the Investigation Process

Once a complaint is filed with the College, their intake team will review it and determine whether to refer it for a formal investigation. The College will notify the impugned member once they have received and reviewed the complaint. Where it is referred for a formal investigation and an investigator is appointed, the College will notify the member that an investigation is commencing and provide the contact information of the investigator. Moving forward, the investigator appointed will communicate with the member or their counsel regarding updates on the case.

In some cases, it could be weeks or even months before the member if notified that an investigation is being commenced and that an investigator has been appointed. Once the investigation begins, it could and often does take several months for the investigation to be completed. In some cases, it could be over a year, depending on the College and complexity of the complaint. Once the investigation is complete and the evidence is provided to the member, the member will typically have 60 days to provide a response. Some Colleges will provide more or less time depending on their particular rules.

Benefits of Retaining Counsel Early

Retaining counsel early when a complaint is filed is important for many reasons. In certain cases, retaining counsel even prior to a complaint being filed can be very beneficial to the member. Counsel can guide the member through the investigation process and ensure their rights are protected throughout. Counsel can also provide guidance on a potential strategy to defend the case.

Provide Advice during a Workplace Investigation

Where a member is involved in a workplace investigation that may lead to a College complaint, it is advisable to speak with counsel and get advice on how to handle the workplace investigation as soon as possible. If the matter is eventually referred to the College, any evidence collected during a workplace investigation will be provided to the College and used to prosecute the member. This means that anything the member says during the workplace investigation will be used by the College. Once the member has already made a statement or provided information, they cannot provide a different version of events or a different explanation to the College.

Counsel can provide the member with advice on things they can and should communicate to their employer during the investigation process, as well as things the member should avoid during the investigation. This will ensure the member does not provide any incriminating information that may be used to prosecute them by the College or even the police.

Guide the Member through the Process

Once counsel has been retained, they are able to guide the member through the complaint process. The complaint process can be confusing and stressful to someone who is unfamiliar with it. Once counsel is formally retained, the College will be notified and will communicate directly with counsel from that point on. Experienced counsel can provide the member with information on next steps throughout the process to relieve some of the stress associated with a regulatory investigation.

Ensure Rights are Protected

Hiring counsel as soon as a complaint is filed is the most effective way for a member to ensure their rights are protected throughout the complaint process. Legal counsel can explain the member’s rights to them and ensure those rights are upheld at all times during the investigation and anything following the investigation.

Assist the Member in Developing a Legal Strategy

Experienced legal counsel can assist the member in developing an appropriate legal strategy and theory to defend against the allegations in the complaint. For example, simply denying allegations without providing further context may be ineffective. In most cases, more analysis is required. Legal counsel can assist the member in creating a theory that is appropriate, keeping in mind the rules and regulations associated with the particular regulated professional and their practice standards.