Jurisprudence E-Course Module 5: Professional Conduct, Complaints, and Capacity Module 5: Summary

Unprofessional Conduct

  • It is common for complaints to be submitted about healthcare professionals. SLPs and audiologists may make mistakes; however, not every mistake is unprofessional conduct. Health professionals are not perfect.
  • The HPA includes examples of unprofessional conduct.

The Complaint Process

  • All submitted complaints are received and addressed by the ACSLPA Complaints Director, through the complaint process described in the HPA.
  • Any person may file a complaint about an SLP or audiologist, including:
    • current or past client or patient;
    • family member, parent, friend, or guardian of a client or patient;
    • colleague, co-worker, or other regulated health care professional;
    • member of the public; or
    • employer.
  • The College can accept complaints about:
    • regulated members on the General Register (practicing or non-practicing); and
    • SLPs and audiologists who were previously registered with ACSLPA within the previous 2 years.
  • Complaints to the College must be in writing and signed.
  • Employers have a legal obligation to inform the Complaints Director if they terminate or suspend an SLP or audiologist for conduct they deem unprofessional or if a practitioner resigns because of conduct they deemed unprofessional.
  • Regulated members who are aware of actions that may be considered unprofessional conduct have a duty to report it to the Complaints Director.
  • After a complaint is received, it is reviewed by ACSLPA’s Complaints Director, who may then contact both the complainant  and the regulated member to discuss the complaint.
  • After review, the Complaints Director may:
    • encourage the complainant and the regulated member to communicate with each other and resolve the complaint;
    • resolve the complaint with the consent of the complainant and the investigated person;
    • refer the complaint to an investigation;
    • refer the complaint to an expert to prepare a report;
    • dismiss the complaint; or
    • make directions related to a regulated member’s fitness to practice.
  • The College may provide a copy of the complaint form to the regulated member to make them aware of the complaint and to assist them in making an informed response.
  • The Complaints Director will provide notice to the complainant and the regulated member of the action(s) taken.
    • There are many possible actions, and each depends on the facts, circumstances and complexity of the complaint.
  • Each complaint is unique and is addressed individually. The HPA lists more than one possible outcome including:
    • resolution, through a conversation or agreement;
    • hearing; or
    • dismissal.
  • The complaints process will not give the complainant:
    • money;
    • direction for SLP or audiologists to provide certain care to a patient or client;
    • remedies or compensation that could be provided from a lawsuit in civil court; or
    • legal advice.
  • ACSLPA encourages accountability and may try to resolve a complaint during the complaints process.
  • Resolution may be done through a conversation, formal or informal agreement, or other methods allowed by the HPA. The resolution process requires the consent of the complainant to begin.
  • The purpose of an investigation is to collect information, documents, and interview witnesses about an incident or concern.
    • A report that summarizes the investigation is prepared by an investigator and provided to the Complaints Director. After reviewing the report, the Complaints Director decides the next action for the complaint, including the possibility of a dismissal or hearing.
    • An investigation may be conducted by the Complaints Director or an appointed investigator. An investigator has certain statutory powers to request and collect documents, and material evidence; they may also inspect worksites where professional services are provided by the investigated person, except the parts being used as a private residence.
  • The purpose of a hearing is to determine whether unprofessional conduct occurred and, if applicable, determine the appropriate sanction (i.e. penalty).
  • The decision makers at a hearing are the Hearing Tribunal, made up of 50% speech-language pathologists or audiologists and 50% members of the public who are appointed by the Government of Alberta.
    • A written decision is issued by the Hearing Tribunal and may take some time to be completed. Once complete, copies of the written decision will be provided to the complainant and the regulated member. The decision will be published on ACSLPA’s website if there is a finding of unprofessional conduct or if the hearing relates to sexual abuse or sexual misconduct. Decisions where there is no finding of misconduct may be published on ACSLPA’s website.
    • The regulated member or the Complaints Director may appeal a decision of the Hearing Tribunal to ACSLPA’s Council or a panel of Council members.
  • A complaint may be dismissed, before or after an investigation. The Complaints Director may dismiss a complaint if they are satisfied that there was insufficient, or no evidence of unprofessional conduct or other grounds allowed by the HPA.
  • If a complaint is dismissed by the Complaints Director, the complainant may request a review of the dismissal before a Complaint Review Committee.
    • The role and task of the Complaint Review Committee is to review the dismissal and consider whether the decision was reasonable. After their review, the Complaint Review Committee may:
      • confirm the dismissal;
      • refer the complaint to an investigation; or
      • refer the complaint to a hearing.

Responding to a Complaint

  • Members responding to a complaint should be mindful that the tone of their response and their cooperation in the complaint process, with the Complaints Director or an investigator, could have an impact on the outcome of the complaint.
  • Members are encouraged to remain objective, focus on the facts of the complaint, and recognize their role in the incident and/or miscommunication.

Capacity

  • Regulated members may find periods of time in their professional life where health issues impact their ability to practice safely and competently (i.e. their capacity).
  • If the Complaints Director has concerns about a regulated member’s capacity, regulated members may be required to do specific things such as undergo a physical or mental examination to assess their capacity (i.e. incapacity assessment) and suspend practicing until their fitness to practice, or capacity, can be verified.

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