Our Mandate column offers members information about particular aspects of the College’s responsibilities as a self-regulatory body and explains how we carry them out.
As the regulatory body of a self-governing profession, the College must investigate all formal complaints against its members unless they are frivolous, vexatious, an abuse of process, or not related to professional misconduct, incompetence or incapacity.
Here is how this process unfolds and who is involved.
Fielding and investigating complaints
The panels ... take very seriously their responsibility to be fair and impartial.
Nick Forte
- The director of education at a school board notifies the Registrar in writing that the board has sent a principal home with pay while it investigates an allegation that she grabbed and slapped a student.
- A teacher calls to ask what she can do about a colleague who has been harassing her.
- A student’s mother calls the College to complain that her child’s teacher is assigning way too much homework.
- The principal of a private school notifies the College that they have suspended a member from his duties after discovering he had been viewing explicit pornography on a school computer.
- A student’s father calls and asks, “How do I file a complaint against my son’s teacher?”
Taking it all in
There were 966 instances in 2010 when members of the public or the profession contacted or inquired of staff in the Investigations and Hearings Department. Intake staff was able to answer or resolve two-thirds of these contacts and questions.
“The intake assistant and I field a wide range of calls,” says Manager of Intake and Hearings Greg Coutts, OCT. “In most instances we simply provide information about process and clarify the College’s jurisdiction, and for a great number of callers we are able to offer advice on how their issue might be resolved at the local level.
“Some issues or concerns that are brought to us may not really fall within our jurisdiction,” says Coutts. But staff can offer advice to complainants about other appropriate forums for addressing concerns that do not seem to fall within the College’s jurisdiction.
For example, in an instance like the one where the mother complained about homework assignments, the intake assistant might ask the parent whether they’ve discussed their concerns with the teacher, a school administrator or a school board official. In this instance, the mother did not want to file a complaint, but if a parent or any other member of the public asks how to do so, intake staff explains the complaint procedure and process, directs them to information available online and offers to mail out the relevant information brochures.
Only about a quarter of initial contacts and queries fielded by staff lead to a formal complaint. And all formal complaints must be reviewed by the Investigation Committee – which includes elected and publicly appointed members of Council. College staff supports the work of the committee by receiving complaints, investigating and documenting them in a fair and impartial manner and then preparing material related to the case for the committee’s consideration.
“We accept any formal complaint that is properly filed,” says Manager of Investigations Lynne Latulippe. “Then we ensure that the Investigation Committee has the information it needs to consider it.”
For a complaint against a member to be accepted by the College, the process is always the same:
- complaints must be in writing
- they must provide the complainant’s name, address and telephone number
- they must provide the name of the member and specific information about the nature of the allegations.
The director of education and the principal in the scenarios introduced above already understood their professional obligation to inform the College of the allegations against members of the College. They each sent written notification to the College Registrar, who directed staff to open a case file. An investigator was assigned to each case.
In two of the other scenarios: The father requested the information brochure by mail, and the teacher said she would download the document from the College web site and call back if she needed more information.
The father filed a complaint alleging that his son’s teacher shouted at the student to go to the office, then grabbed the student’s arm, causing bruising.
The teacher who was concerned about harassment submitted a formal complaint against her colleague.
Panel members Monique Châteauvert, Henry Tyndorf, OCT, and Marc Dubois, OCT, with senior investigator Chris Buck
Investigation and review
Once a complaint against a member has been assigned to an investigator:
- the College notifies the member about the concerns
- the member may respond to the complaint
- the College may share the member’s response with the complainant
- the College investigator asks both the complainant and the member for details about the incidents and names and addresses of witnesses or anyone who may have more information about the complaint
- the College investigator may contact these individuals for relevant information and will prepare a report for consideration by the Investigation Committee.
A College investigator is assigned and gathers evidence related to each case. In a case such as the one concerning a principal and raised by a director of education, the investigator will draw information from the school board’s investigation, whether ongoing or completed.
Confidentiality and outcomes
Some members worry that a complaint – no matter how frivolous – could damage their reputation. But it is important to know that the College does not comment publicly on investigations or complaints unless they are referred to a hearing.
“Confidentiality is very important at the investigation stage,” Latulippe notes. “It helps to protect both the complainant and the member before the committee meets to make a decision.”
When an investigation has been completed, the matter is considered by a panel of the Investigation Committee. Neither the complainant nor the member is present at this meeting. Members of the panel consider the investigator’s report and supporting documentation, ask questions, discuss the case and decide on the appropriate outcome.
“We consider the seriousness of the allegations and whether there is sufficient evidence to proceed to a hearing,” says Investigation Committee Chair Nick Forte, OCT. “The panels, consisting of two elected members and one appointed, take very seriously their responsibility to be fair and impartial when considering any complaint and the evidence before them.”
The panel may take any one of a range of actions, including:
- If there is insufficient evidence to support the complaint, it may dismiss the complaint, taking no further action.
In the notice filed by the director of education, no supporting evidence was found in documents or interviews with witnesses for the allegations against the principal.
- If a memorandum of agreement has been reached through dispute resolution, the panel may ratify it.
In the case raised by the principal, the teacher admitted that he had accessed explicit sexual material and did not contest the imposition of a suspension. He indicated that the inappropriate material had not been shown to students or any other member of the school community. The member was admonished in person, and the panel expressed its concerns regarding the gravity of a situation where such inappropriate material could have been viewed by students.
- If there are conduct or competence concerns that should be addressed but do not warrant discipline, the panel may caution or admonish a member – either in writing or in person – or provide written advice or a reminder to the member.
In the case brought by the teacher whose colleague was accused of making inappropriate comments, some of a sexual nature, the panel cautioned the member to ensure that his future conduct was appropriate.
In the case of the complaint brought by the father, the panel, while noting that the evidence was not conclusive, cautioned the member against the conduct described in the allegation.
- If the complaint suggests incompetence or professional misconduct, the Investigation Committee can refer the matter in whole or in part to the Discipline Committee for a hearing.
- If the committee has concerns that the member may be incapacitated, it may refer the matter to the Fitness to Practise Committee for a hearing.
The Investigation Committee provides reasons for its decisions on matters not referred to a hearing. As in cases disposed of by the Hearings Committees, the Registrar sends the written decision of the Investigation Committee to the member, the complainant and the member’s current employer.
