In a regulated profession, a vigorous Complaints and Discipline process is essential to earning and maintaining public trust. While no CCIC expects a Complaint to be filed against them, it is perhaps inevitable that we all may be faced with this situation at some time in the future. Complaints can be filed by anyone a CCIC associates with or deals with in a client/consultant relationship. Complaints can also be filed by the Manager of CSIC’s C&D department, without having received a Complaint from outside the organization.

At the recent CSIC AGM, many members made comments on the on-line chat and/or on the telephone. It has come to our attention that as a result of some of the comments, some members have had complaints made against them by the CSIC Complaints and Discipline Manager. CAPIC urges all members to act with consideration and respect towards their fellow members and does not condone unprofessional behaviour. At the same time, CAPIC strongly supports the right to free speech for all members. In our view members have the right to respectfully make their views known.

CAPIC wants to ensure that members are fully aware of the Complaints and Discipline process and that their rights are protected. Therefore, we are offering the following for information:

There are a number of lawyers who have become very familiar with CSIC processes and issues. CSIC members may wish to contact legal counsel with such experience. Members may contact CAPIC staff at NHQ for a list of these attorneys. If any members have other names or firms to add to the list, please let us know. The fact that you are seeking such information will be kept completely confidential.

It might not be necessary to hire legal counsel for representation, but as a minimum, members should understand the process and the possible consequences of the complaints. CSIC states in letters informing members about investigations that have been opened against them, that “All information concerning this investigation is confidential and may not be disclosed to any person other than your legal representative should you wish to retain counsel.” In the Canadian justice system, the principal of a free, fair and open hearing is well established. In criminal and civil court, all proceedings are public, unless a judge decides otherwise. In some non-judicial processes, confidentiality is used to protect the person against whom the complaint has been made so that if no merit is found in the complaint, the person will not suffer any ill effects from publicity, or to protect the victim in other cases. The problem with “blanket confidentiality” is that members may need to seek advice from trusted friends or colleagues who are not lawyers, to help them through the process. Members should be prepared to seek the advice of a legal representative if they do not believe that the process s hould be kept confidential in their specific situation. Members can also ask the Investigator to waive the confidentiality provision.

The CSIC complaints and discipline procedure may be confusing for members who are going through it for the first time. There are a number of different procedures and members should try to familiarize themselves with all processes related to any complaint made against them.

• If a Complaint is made against a member, an investigation may be opened or the complaint may be deemed insignificant.
• After a Complaint is received, the CSIC C & D manager can appoint an investigator. At this time the member will be notified.
• Members should read the complaint and discipline guidelines on the CSIC website carefully and ask the CSIC investigator questions about anything they do not understand.
• When the investigation is opened, the investigator will contact the member or any legal counsel appointed by the member to set a time for an interview. Or they may ask for another type of response to the allegations in the complaint. Members should try to cooperate in the process, or they may face more serious consequences due to such non-cooperation. Many Complaints can be resolved early in the process if there is a quick exchange of facts.
• It is possible that there may be an interview, either in person or by teleconference with an investigator. If a member has legal counsel, legal counsel should attend the meeting. Interviews may be recorded electronically, and members can do the same. It is at this time that the member should decide on retaining counsel.
• The investigator reports the results of the investigation to the C & D manager. The manager then considers a course of action and several options are listed on the CSIC website under the C & D policy. Members should carefully review these options.
• There is something called a Discipline Council which consists of individuals appointed by the CSIC Board of Directors. Some cases will be referred to this council. One member of the Board of Directors is the Chair of this Council. The Chair of the Council can appoint a panel of one to three members to hear any matter referred to the Discipline council.
• One of the possible consequences of an investigation with a negative result is suspension. One member at the CSIC AGM stated that he had been suspended during an investigation into a complaint. The rationale for this is in extreme cases of consumer abuse, where there is a real possibility that the public will be at risk from the member being investigated. If this happens to you, your legal counsel should be advised as this is not in accordance with normal CSIC C & D procedures.

CAPIC is prepared to support members through this process to ensure that their rights are protected. It is the responsibility of the CSIC Complaints and Discipline department to investigate Complaints in a thorough manner, independent of outside interference, and in such a manner as to protect the consumer and respect the members’ rights to a fair hearing.

CAPIC will not make any judgments about any particular case, but will stand by its members to ensure that the process is well understood. We will facilitate the supply of information to members and provide the contacts to other members and services that may be of use during the investigation.

CAPIC is fully independent from CSIC and is committed to protect the rights of CSIC members to free speech and a fair Complaints and Discipline process. This is not meant to be an all-inclusive guide to the CSIC C & D process, but to give members a starting point with some tips for getting through the process.