Penalties for Professional Misconduct

In Canada regulated professionals are monitored by their respective College regulatory body. The purpose of regulatory bodies is to protect the public and ensure regulated professionals are properly qualified, licensed, and follow the rules set out in the statutory authority related to that professional. When a regulatory body receives a complaint regarding one of its members, the College will review the complaint and determine whether an investigation should be launched. While each regulatory body has their own process for reviewing and investigating complaints, most tend to follow a similar procedure.

Once an investigation is completed, the evidence collected will be sent to the impugned member who will then be asked to provide a response. The response along with the results of the investigation will be reviewed by the College’s Investigation, Complaints, and Reports Committee (ICRC), or Investigation Committee, depending on the regulatory body involved. That ICRC or Investigations Committee will then determine whether to refer the matter to the Discipline Committee. If they choose not to refer the matter to the Discipline Committee, the ICRC or Investigation Committee may impose a penalty of their own.

In what Situations will the College Revoke a License to Practice?

Revoking a regulatory professionals license to practice is the most serious penalty a regulatory body can impose. Revoking a regulated professional’s license means they can no longer practice in their chosen field. The College will only revoke a member’s license in cases involving serious professional misconduct. The College may also revoke a member’s license where there are repeated issues with the member’s practice over time. For example, if a member is repeatedly found to have committed professional misconduct.

A member may have their license revoked for committing a criminal offence on the job. For example, a member of the College of Nurses of Ontario found guilty of sexually assaulting a patient is likely to have their license revoked. A member may also have their license revoked for engaging in an inappropriate sexual or financial relationship with someone they have a professional relationship with. For example, a doctor selling investments to patients.

What Penalties can the ICRC or Investigation Committee Impose?

Once a file is sent to the ICRC or Investigation Committee, they will review it and determine the appropriate next steps. In cases where the Committee is satisfied by the member’s response to the allegations and has no further concern with the member’s practice, they will close the file and take no action against the member. This will typically happen where the member can provide evidence that the allegations were untrue or vexatious.

If the Committee is of the opinion that some action should be taken against the member, they have various ways to dispose of the file. The Committee may order the member to complete education or remediation courses to address any concerns the College may have. The Committee may also caution the member about their actions. These options allow the Committee to resolve the matter without finding the member guilty of professional misconduct. Where the Committee is of the opinion that the member may have engaged in professional misconduct, they may refer the file to the Discipline Committee for prosecution.

What Penalties can the Discipline Committee Impose?

A file will be sent to the Discipline Committee where the College is of the opinion that the member has committed professional misconduct. Once a file is referred to the Discipline Committee, the member has three options. They may plead guilty to all the allegations, they may plead guilty to some of the allegations, or they may deny all the allegations. Where the member denies all the allegations, a discipline hearing will be held to prove the member’s guilt.

If a member is found guilty of professional misconduct by the Discipline Committee, the Committee may impose various penalties. The Committee may issue an oral reprimand. An oral reprimand requires the member to appear before the Discipline Committee to be reprimanded on their conduct. The Committee may order the member to complete education or remediation programs. The Committee may place restrictions on the member’s ability to practice or suspend the member’s license to practice. In the most serious situations, the Committee may revoke the member’s license. Finally, the Committee may require the member to notify their current employer of the Committee’s decision.

What are Costs?

When a file is referred to the Discipline Committee and a discipline hearing is held, the member may be ordered to pay costs to the College if the member is found guilty of professional misconduct at the hearing. Costs are fees associated with prosecuting the member, including legal fees and court costs. Where the member loses at the hearing, the Committee may order the member to pay costs to the College to cover the College’s expenses.

When are Costs Awarded?

Costs will typically be awarded when there is a discipline hearing, and the member is found guilty of professional misconduct based on some or all of the allegations. Each regulatory body has its own rules on when costs will be awarded.

For example, the Ontario College of Teachers Act stipulates that where the Discipline Committee is of the opinion that the hearing was unnecessary or unwarranted, they may order the member to reimburse the College for fees associated with the hearing. It is within the Committee’s discretion whether or not to ask for costs. The member or their counsel should inquire about whether costs would be ordered prior to commencing a discipline hearing.

How much are Cost Penalties Associated with Regulatory Misconduct?

In many cases, the costs ordered in regulatory matter can be quite high. Costs will often be awarded per day, so, for example, if the hearing was two days long, the Committee could order the member to pay $10,000 per day, totalling $20,000 to the College. Costs can range anywhere from a few thousand dollars, to well over six figures in complex cases. Before scheduling and conducting a discipline hearing, it is important to be aware of the total costs that could be awarded should the member be found guilty of professional misconduct. Where the member’s license is suspended, the College will often require costs to be paid in full before the member’s license can be reinstated.