When the College Calls: Navigating Disciplinary Hearings and Complaints for Canadian Optometrists

Receiving a formal letter from your provincial regulatory college can be one of the most stressful moments in an optometrist’s career. Even for the most conscientious and skilled practitioner, a patient complaint is always a possibility to be anticipated; reviewing what to do in case of malpractice accusations (to name one example of potential disciplinary proceedings) gives you some level of preparation in case something like this should happen. The primary mandate of these colleges is to protect the public (your patients in particular), and to that end they take every complaint seriously. Navigating this process requires a calm, methodical, and professional approach to protect yourself and satisfy the inquiries of the college. While the experience is undoubtedly daunting, understanding the steps involved can demystify the process and empower you to handle the situation effectively. Here is a guide to navigating the challenging path of a professional complaint or disciplinary hearing.

1. Acknowledge the Notification, But Do Not Panic

The first step is receiving the official notification, typically by registered mail, or courier or secure email. This document will outline the nature of the complaint and may request a response from you. Your initial reaction may be a mix of shock, anger, or anxiety, and these are normal reactions. However, it is crucial to take a deep breath and resist the urge to react impulsively; any tips for dealing with anxiety may be welcome at this time. Read the letter and the enclosed complaint several times to fully understand the allegations being made. Remember, a complaint is simply an allegation; it is not a finding of guilt or professional misconduct. The college is obligated to investigate, and this letter is the first formal step in that fact-finding process.

2. Cease All Contact with the Complainant

Your immediate instinct might be to reach out to the patient to discuss or resolve the issue directly. The prudent thing to do instead is the exact opposite. Once a formal complaint has been filed with the college, the matter is officially in their hands. Any attempt to contact the complainant (no matter how well-intentioned) can be misconstrued as an attempt to interfere with the investigation, intimidate the complainant, or alter evidence. This could lead to a separate (and potentially more serious) allegation of unprofessional conduct. All future communication regarding the matter should be directed exclusively through the college or your legal representative.

3. Seek Immediate Professional Counsel

This is arguably the most critical step you can take. Before you even begin to formulate a response, contact your professional liability insurer, such as the Canadian Optometric Protective Society (COPS), or a lawyer who offers legal aid for college disciplinary proceedings. These experts understand the intricate processes of college investigations. They will provide objective advice, help you interpret the specific allegations, review the strengths and weaknesses of your case, and guide you in drafting a formal response. Engaging counsel early ensures that your rights are protected and that you are proceeding in a way that best serves your interests from the outset.

4. Gather and Secure Your Records

Your clinical record is the cornerstone of your defence. It is your contemporaneous account of the care you provided. Gather the complete patient file, including all clinical findings, test results, correspondence, billing records, and any other relevant documentation. It is imperative that you refrain from altering, adding to, or deleting anything from the record after receiving notice of a complaint. Any modification (even to clarify a point) can severely damage your credibility. Provide your legal counsel with a complete and unaltered copy of the file. Thorough, legible, and logical record-keeping is your best tool in demonstrating that you met the standard of practice and standard of care.

5. Craft a Thoughtful and Factual Response

Working closely with your legal counsel, you will need to prepare a written response to the college. This document should be professional, objective, and meticulously factual. Address each allegation from the complaint directly, using your clinical records to support your statements. Avoid emotional, defensive, or speculative language. Stick to the facts of the patient's care as documented in the chart. This response is your first opportunity to present your side of the story to the college’s complaints committee, and its quality and tone can significantly influence the trajectory of the investigation.

6. Understand the Investigation and Hearing Process

After receiving your response, the college will proceed with its investigation. This may involve appointing an investigator to review all documents and potentially interview you, the complainant, and any relevant witnesses. Based on this investigation, a committee will review the case. They may decide to dismiss the complaint, suggest mediation, issue a letter of guidance, order you to attend for education on a specific topic, or, if they believe there are reasonable grounds, refer the matter to a formal disciplinary hearing. A referral is not a verdict; it simply means the committee believes the allegations are serious enough to warrant a formal hearing. This hearing is a quasi-judicial process where evidence is presented, and you will require legal representation to navigate the proceedings and present your case effectively.

7. Prioritize Your Personal Well-being

Facing a professional complaint can be an isolating and emotionally taxing ordeal. The process can take some time to conclude on top of that, often taking many months to years or even longer to resolve. To that end, it’s vital to take care of your mental and emotional health. Confide in trusted family members, peers, or mentors. Your professional association may also offer confidential support programs. Seeking support from a mental health professional can provide you with coping strategies to manage the stress and maintain perspective, allowing you to continue practising effectively while the investigation unfolds.

While receiving a notice from your regulatory college may be unsettling and unexpected, it is a manageable professional challenge and not an insurmountable obstacle. The keys to navigating this process successfully are to remain calm, seek expert legal counsel immediately, rely on your factual and unaltered clinical records, and communicate with unwavering professionalism. By taking these measured steps and prioritizing your own well-being, you can ensure your case is presented fairly and thoughtfully. 

Finding the right legal aid is all-important in the medical profession. At Health Law Firm, we provide a wide range of legal services, all to ensure you get the legal aid you need, when you need it. Give us a call now at (416) 640-0508 for reliable legal aid you can count on.