Complaint Process For Professional Malpractice And Misconduct

This booklet contains information on making a complaint to different governing bodies when a public servant or professional providing care or services has engaged in professional malpractice, misconduct, or a criminal offence. The Journey Project can provide legal support when complaints involve sexual violence or your experience of intimate partner violence.

What is a regulatory body?

Regulatory bodies are responsible for ensuring that regulated professionals provide services in a safe, professional, and ethical manner. Regulatory bodies provide public protection and professional support. They are also governed under legislation. Professions like doctors, nurses, occupational therapists, social workers, lawyers, etc. must register with their regulatory body in order to legally practice.

What is a civilian oversight body?

Civilian oversight bodies are independent civilian-led agencies that are responsible for investigating police misconduct and serious incidents between the police and public. Civilian oversight bodies are established by the government but are separate and operate independently from government and the police under their own legislation. 

What is a public body?

A public body generally has a responsibility to perform a public function or service. Public bodies include government departments, government agencies, health boards, school boards, statutory bodies, and municipalities. 

The professional who caused harm may work for a public body (e.g. a government agency or department) while also belonging to a regulatory body (e.g.as a registered social worker).

What is the difference between misconduct and a criminal offence?

Misconduct is typically seen as bad or unethical behaviour, whereas a criminal offence occurs when someone breaks a law under the Criminal Code of Canada. Criminal offences may include physical assault, property damage, threats to harm someone, sexual offences, or criminal harassment.

Regulated professionals including physicians, lawyers, social workers, and nurses have rules, guidelines, values, and expectations around conduct that they must follow. These may include a code of conduct, ethical standards, professional standards, or standards of practice. Professional misconduct can include things like engaging in inappropriate behaviour with a patient, client, student, or service user, violating professional boundaries, abusing their position of power, or acting in a manner that compromises trust or confidence. The behaviour may not necessarily be illegal, or result in criminal charges, however it could violate their professional standards and/or a code of ethics and may result in disciplinary action.

Financial Compensation

Generally, findings of misconduct through a complaints process do not result in financial compensation for the survivor/complainant. However, compensation may be awarded through other legal avenues, including bringing forward a civil action. A civil action or lawsuit happens when one person, group of people, or business sues another person, group of people, or business.

It is an area of private law that seeks a remedy for people who have been injured physically, mentally, or financially, or whose property has been damaged. In most cases, that remedy is money. For more information, visit: https://journeyproject.ca/civil-litigation/

In Newfoundland and Labrador there are two police agencies. The provincial police force is the Royal Newfoundland Constabulary (RNC) and the federal police force is the Royal Canadian Mounted Police (RCMP).

Depending on the circumstances, you may file a complaint against a member of the RNC or the RCMP. RNC jurisdiction includes the Northeast Avalon region, Corner Brook Region, and Labrador West. The RCMP are responsible for all other areas of the province.

Both police agencies have independent civilian oversight bodies that provide independent forums for complaints against police officers.

Royal Newfoundland Constabulary

Complaints by members of the public against members of the Royal Newfoundland Constabulary may be lodged with the detachment, or with the Royal Newfoundland Constabulary Public Complaints Commission (RNC PCC) directly. 

The Royal Newfoundland Constabulary Public Complaints Commission functions independently of both the Department of Justice and Public Safety and the Royal Newfoundland Constabulary, reporting directly to the people of Newfoundland and Labrador through the Speaker of the House of Assembly. ^[1] The RNC PCC does not act as an advocate for either the complainant or for police officers. 

Complaints can be made about police misconduct or about RNC policies or procedures that affect the complainant. Complaints are made in writing, and can be emailed, faxed, mailed, or dropped off in person. Common complaints made against police officers include conduct unbecoming (meaning conduct that does not follow police standards), assault, incomplete investigation, neglect of duty, and excessive force.^[2] A description of police conduct and discipline can be found under the RNC Regulations. They can be found here: https://www.assembly.nl.ca/legislation/sr/regulations/rc960802.htm

Complaints must be made within six months after the incident of alleged misconduct occurs (or six months after the last incident, if there was more than one occurrence), or from the date that the policy or procedure affected the complainant.

If more than six months passes because the complainant was not aware of their right to lodge a complaint, the timeline will begin from the time they become aware of that right, or ought to have known.

The Commissioner of the Royal Newfoundland Constabulary Public Complaints Commission decides whether to accept or reject the complaint. 

If the complaint is accepted, it will be forwarded to the Office of the Chief of Police. A member of the RNC will then conduct an investigation. The investigation must be completed within three months of the date the complaint was filed or received. The Chief of Police will receive a report on the investigation outcome and either:

• Dismiss the complaint;
• Reach an informal resolution as long as all parties agree to the resolution; or
• Find that the complaint could be substantiated.

If the Chief of Police finds that the complaint could be substantiated, a hearing before the Chief will then be scheduled. At the hearing, discipline will be imposed on the officer(s) who engaged in misconduct. This might include rehabilitation, training, oral warning or reprimand, a written warning, suspension without pay, demotion, or dismissal.

If either the complainant or the police officer(s) disagree with the Chief’s decision, they have 15 days to submit an appeal to the RNC Public Complaints Commission. 

If an appeal is filed, the RNC Public Complaints Commission completes their own independent investigation through their independent investigator. The investigator is a civilian, meaning they are not a member of the RNC. The Commissioner then reviews the investigation and either dismisses the appeal and upholds the Chief of Police’s decision, or refers it to an adjudication hearing. This hearing is public and takes place before an independent adjudicator. This process can take time, and it may be a year or more before the matter is heard and a decision is made. When possible, the hearings occur at the office of the RNC Public Complaints Commission.

If either party is unsatisfied with the adjudicator’s decision, they can appeal to the General Division of the Supreme Court.

To access any of the required forms, or get more information visit: https://www.rncpcc.ca/

Royal Canadian Mounted Police

Complaints by members of the public against members of the Royal Canadian Mounted Police (RCMP) may be lodged with the detachment, or with the Civilian Review and Complaints Commission (CRCC) directly. The CRCC is an independent agency (meaning it is not part of the RCMP) that reviews complaints made by the public about the on-duty conduct of RCMP members. The CRCC does not act as an advocate for either the complainant or for police officers.

Regardless of where a complaint is made, the initial investigation is typically handled by the RCMP first.

Public complaints against members of the RCMP are classified under categories such as improper attitude, improper use of force, improper use of firearms, neglect of duty, oppressive conduct, general police service, RCMP policies, etc. For a complete list, visit https://www.crcc-ccetp.gc.ca/en/classification-complaints

Public complaints must be made in writing where you would provide a brief description of the incident(s) along with a description of the misconduct that you are complaining about. 

Complaints must be made within one year of the last incident of misconduct. The Civilian Review and Complaints Commissioner can extend the one-year timeline if there are good reasons for doing so, and it is not in opposition to public interest.

When a public complaint is made and accepted, it may be handled through:

• Informal Resolution – An informal resolution may be explored when the complaint is less serious in nature. The involved parties may come to their own informal resolution without an investigation, as long as everyone agrees to it. Examples of informal resolutions include training or education for the police officer, an apology to the complainant, etc.
• Investigation – If the public complaint cannot be resolved informally, a formal investigation will be carried out by the RCMP. In some circumstances it may be of public interest for the CRCC to investigate complaints rather than the RCMP.

When the investigation has been completed, the complainant will be notified of the outcome. If the complainant is not satisfied with the decision, they can request a review by the CRCC. The CRCC will review the RCMP’s investigation and if the Chairperson of the CRCC is satisfied with the investigation and report by the RCMP, the process ends.

If the Chairperson of the CRCC is not satisfied with the RCMP’s investigation of the public complaint, there are several options:

• Review the complaint and all relevant material without further investigation;
• Ask the RCMP to investigate further;
• Initiate a CRCC investigation; or
• Hold a public hearing.

For additional information on public complaints related to on-duty RCMP conduct, visit:

Making a complaint against an RCMP Officer: https://www.rcmp-grc.gc.ca/cont/faq-comp-plainte-eng.htm

Civilian Review and Complaints Commission of the RCMP: https://www.crcc-ccetp.gc.ca/en/make-complaint

When SIRT-NL becomes aware of a serious incident, it can take one or more of the following actions:^[4]

• Conduct its own investigation;
• Refer the matter to a police force – other than the police force involved in the notification – to conduct an investigation;
• Enter into an agreement to have an independent team from another province conduct an investigation;
• Oversee, observe, monitor, or review an investigation by an agency;
• Appoint a community liaison or observer to work with SIRT-NL in the course of an investigation;
• Refer the matter to the RNC Public Complaints Commission as set out in the Royal Newfoundland Constabulary Act;
• Refer the matter as set out in the complaints process of the Royal Canadian Mounted Police Act; or
• Determine that the matter is not within the mandate of the Serious Incident Response Team.

Upon completion of its investigation, SIRT-NL will determine if charges will be laid. A summary report of the investigation will also be made available to all parties involved and the general public.

For more information on how to report to SIRT-NL visit https://www.sirtnl.ca/

What to expect

To make a complaint about a doctor, you must fill out a form. Your complaint will then be sent to the doctor who is the subject of your complaint. The doctor will have 30 days to submit their written response to the College. The College will then send you a copy of the doctor’s response. You may be asked if you would like to make any comments on the response. 

There are several options to resolving the complaint:

• Early Resolution – If you are satisfied with the doctor’s response, you can choose to withdraw your complaint. The College will keep a record of the complaint.^[8]
• Complaints Authorization Committee – If you are not satisfied with the doctor’s response, it will be sent to the Complaints Authorization Committee for review and investigation. Possible outcomes include:^[9]
  • Dismiss the complaint (sometimes giving the doctor direction);
  • Give the doctor a warning or guidance (“caution or counsel”);
  • Send the complaint to Alternative Dispute Resolution;
  • Ask the Registrar to refer the complaint to a public hearing.

For more information about the College of Physicians and Surgeons complaint process, visit https://cpsnl.ca/for-the-public/making-a-complaint/

The Newfoundland and Labrador College of Social Workers is the regulatory body governing the conduct of social workers in the province. 

There is no time limit to filing a complaint against a social worker, however it is recommended to file as soon as possible to ensure that all relevant documents and/or witnesses are available. Anonymous complaints are not accepted. A complaint must be submitted in writing and signed. If you are filing a complaint against more than one social worker, a separate form is required for each complaint.^[10]

Complaints can be made against currently registered social workers or formerly registered social workers who have engaged in misconduct. Misconduct may include engaging in a personal or sexual relationship with a client, any type of sexual offence or misconduct, violating personal and/or professional boundaries, harassment and discrimination, breaches of client confidentiality, etc.

Once a complaint is submitted, the social worker is provided with a full copy and is required to submit a written response. The complaint may be dealt with through:

• Alternative Dispute Resolution (ADR) – ADR is used when appropriate. This option requires agreement by all parties involved.
• Complaints Authorization Committee – Matters that are not appropriate for ADR are referred to the Complaints Authorization Committee for investigation. You may be required to participate in an interview.

After an investigation, the Complaints Authorization Committee may exercise various options, including:

• Dismissing the complaint;
• Issuing a warning (‘Caution’) or providing guidance (‘Counsel’) to the social worker;
• Referral to the NLCSW’s Disciplinary Panel for a hearing.

If the hearing process determines that the social worker is guilty of misconduct, there are several options for disciplinary sanctions, including:

• Order the social worker to pass a specified course(s) of study;
• Require regular, focused supervision;
• Order the social worker to pay the costs associated with the complaints and discipline process;
• Restrict, suspend or cancel registration to practice social work.

Additional information about the process can be found here: https://nlcsw.ca/public-process/

Teachers in the province belong to the Newfoundland and Labrador Teachers’ Association (NLTA). The NLTA acts as both a union and a self-governing body for its members. 

Generally, when students, parents, and/or teachers have complaints regarding the professional conduct of a teacher, they are made to the school administration, human resources, or to the Director of Schools. Contact information for each NL Schools office by region can be found here: https://www.nlschools.ca/studentsfamilies/faqs.jsp

Professional misconduct may include criminal offences like sexual assault, sexual interference, or sexual exploitation. It can also include behaviours like inappropriate or damaging remarks, blurred or violated boundaries, inappropriate touching or communication, etc.

The NLTA has a Disciplinary Committee, consisting of 5 NLTA members. The Disciplinary Committee is established to investigate and make recommendations to the Provincial Executive Council in a case where the Executive receives a written complaint that any active or other member is guilty of unprofessional conduct, negligence, misconduct or has been convicted of a criminal offence.^[11]

While the NLTA can receive complaints and discipline its members, there is currently no requirement that information related to complaints, including the outcome of disciplinary hearings, sanctions, and findings, must be made public.

For additional information, visit: https://www.nlta.nl.ca/infosheet-25/

In this guide, we’ve outlined the process for filing complaints about police officers, lawyers, social workers, and teachers. These are just four professions that have regulatory bodies in Newfoundland and Labrador. Most health care practitioners, public employees, government departments, and child/youth serving professionals are regulated in some way.

Office of the Child Youth Advocate

The Office of the Child and Youth Advocate (OCYA) is an Independent Statutory Office of the House of Assembly of Newfoundland and Labrador. This means they work separately and independent of any government department in carrying out their role.

The OCYA protects and represents the voice and rights of children under the age of 19 in the province. If the child has been in a care or custody arrangement, services of the Advocate extend up to their 21st birthday. The Child and Youth Advocate reviews and investigates concerns on behalf of an individual or group of children and youth.

The Child and Youth Advocate has their own legislation called the Child and Youth Advocate Act which outlines their role. You can read more about that legislation here: https://assembly.nl.ca/Legislation/sr/statutes/c12-01.htm#9_  

To learn more about the OCYA visit: https://www.childandyouthadvocate.nl.ca/

Health Regulators Network

The Health Regulators Network is a provincial directory for the majority of health care regulators in the province. The directory includes information on the regulatory bodies for chiropractors, dieticians, optometrists, physiotherapists, psychology, veterinarians, nurses, hearing aid practitioners, occupational therapists, pharmacists, psychologists, licenced practical nurses, and massage therapists.

To view the complete directory, visit: https://nlhealthregulators.ca/directory/

Newfoundland and Labrador Council of Health Professionals

The Newfoundland and Labrador Council of Health Professionals (NLCHP) is a professional regulatory body that exercises authority for Acupuncturists, Audiologists, Dental Hygienists, Medical Laboratory Technologists, Laboratory Health Professionals, Midwives, Respiratory Therapists, and Speech-Language Pathologists. The NLCHP regulates the practice of each health profession, including receiving complaints.

For additional information, visit: https://nlchp.ca/complaints/making-a-complaint/

Office of the Citizens Representative^[12]

The Office of the Citizens’ Representative provides a province-wide ombudsman service. An ombudsman is an independent official who investigates complaints from the public about problems in government administration. The Office of the Citizens Representative is an independent office of the House of Assembly.

The primary work of the Citizens’ Representative is to accept complaints from citizens who feel they have been treated unfairly with respect to their contact with government offices and agencies. The Citizens’ Representative and their staff will attempt to mediate citizens’ complaints and if this is not possible, will undertake an impartial and unbiased investigation. If the complaint cannot be resolved throughout the investigation, an investigation report is generated and recommendations can be made to the House of Assembly.

The Citizens’ Representative has the authority to investigate complaints from individuals who believe they have been treated unfairly by provincial public employees or officials. The Office cannot investigate:

• the House of Assembly or a committee thereof;
• the Cabinet;
• the Executive Council or a committee thereof;
• a court, judge or a justice of the peace;
• an arbitrator appointed under the Arbitration Act;
• any decision where the citizen has a right to appeal to a court or tribunal but has not yet done so or the time for doing so has not expired;
• a decision by the Access to Information Commissioner;
• a problem that the Child and Youth Advocate has the power to deal with.

For additional information visit: https://www.citizensrep.nl.ca/complaints.htm