Responding to Complaints with the College

In Canada, professionals like teachers, nurses, and physiotherapists are regulated by their respective Colleges. As regulated professionals, such individuals are subject to the rules and regulations implemented by their licensing College and applicable statutory authority. Both Colleges and legislation aim to regulate professionals throughout Ontario and protect the public to ensure continuity in care as well as quality care for all individuals seeking treatment or services from a regulated professional in the province.

What will happen if you Receive a Complaint from your Regulatory Body?

In Ontario, virtually anyone can make a complaint against a regulated professional. The College will vet any and all complaints they receive to determine whether they should be investigated further. When a College receives a complaint, it will be vetted based on the initial information provided. If the College is of the opinion that the complaint is valid on its face, they will investigate further. If the complaint appears to be vexatious, the College will decline to open an investigation.

Where a College intends to launch an investigation, they will notify the impugned member that a complaint has been made against them. The College will then appoint an investigator to look into the matter. Once an investigator has been appointed, the College will formally notify the member, and the investigation process will begin.

The investigator will begin collecting relevant evidence related to the complaint. This may include patient records, other records from the clinic or institution, and any other relevant documents. Additionally, the College will reach out the complainant and any other witnesses who may have pertinent information on the matter. The investigator may also reach out to the member to take a preliminary statement on the matter. Where the College wishes to speak with the member regarding the matter, it is advisable for the member to seek legal advice prior to speaking with the investigator.

It can take several weeks to several months for the investigator to complete their investigation. Where the allegations are more serious or suggest that the member poses a risk to the public, the investigation will typically be completed with more urgency than in more minor cases. In some cases, the College may suspend the member pending the outcome of the investigation. This will occur where there is evidence to suggest the member poses a threat or risk to the public and/or to their patients.

Once the investigator has finished collecting evidence, they will send that evidence to the member to review and provide a response. This is the member’s opportunity to provide legal submissions in their defence. It is important for the submissions to the College to be wholesome and to address all the complaints noted in the material. The College will typically provide only a short period of time to provide a response, so it is important to seek legal advice at the outset of receiving a complaint.

Once the member has provided their submissions in response to the complaint, the investigator will forward the evidence they collected along with the member’s response to the Inquiries, Complaints, and Reports Committee (ICRC). The Committee will then review the material to determine the next steps. The ICRC may choose to close the file without taking action against the member. They may choose to provide the member with advice or recommendations regarding their practice, offer education courses or other remediation, issue a formal caution, request the member to sign an undertaking regarding their practice, or refer the matter to the Discipline Committee. Where the matter is referred to the Discipline Committee, further submissions may be required, or a formal hearing may be held.

How to Respond to a Regulatory Complaint?

If you have received a complaint from your regulatory body, it is important to seek legal advice right away. The College has the ability to place restrictions on, suspend, or even revoke a member’s license to practice. Additionally, where a member is found to have committed professional misconduct of any kind, a notation will be placed on their name on the College directory. This means anyone that looks up the member will see that the member has previously had a complaint, and that the College took action against the member as a result.

Due to the serious consequences that may result from a complaint with the College, it is important to provide quality legal submissions to defend the complaint. The member’s submissions are their first real opportunity to provide a response to the complaint. If legal counsel is retained, the lawyer will draft the response in their own words on the member’s behalf. This ensures the member is protected, as the submissions will come directly from the lawyer.

When drafting submissions in response to a complaint, it is important to ensure the response is in line with the practice standards outlined by the College. Experienced legal counsel will be able to assist with drafting submissions to ensure the member’s interests are protected on all fronts. It is important that the submissions fully address all complaints noted in the complaint material. Failure to address all the College’s concerns may result in the matter being referred to the Discipline Committee.

In addition to addressing all the complaints noted in the material, it is important to ensure any necessary context is included in the response. Simply denying the allegations without real proof they are untrue typically is not enough to defeat a claim at the early stages of the complaint and investigation process. It is important to remember that the standard of proof with regulatory cases is proof on a balance of probabilities. This standard is much lower than the standard in criminal court. Proving something on a balance of probabilities means that the College must be convinced only that the allegations are more likely than not true. This means that even allegations that are fabricated or exaggerated could result in serious consequences for the impugned member.

Donich Law is uniquely positioned to defend complaints against regulated professionals. Our criminal trial and civil litigation background combined with our experience with regulatory matters allows us to provide a response to complaints that address the concerns of the College while also providing context to the complaint. We combine thorough legal submissions with appropriate risk management strategies to ensure the member is protected throughout the investigation and complaint process. If you have had a complaint filed against you with your regulatory College, contact legal counsel as soon as possible to better understand your rights and obligations.