How to Respond to a Complaint Letter From Your Regulator

Key Takeaways

• Find your deadline immediately. Depending on your regulator it may be as short as two weeks or as long as sixty days.
• Identify whether it is a complaint or a registrar’s investigation, because your review rights may differ.
• Preserve and gather records now. Never alter an existing record.
• Your written response is evidence. Be accurate, professional and focused on the allegations.

Step 1: Find Your Deadline

Response windows are set by statute and vary widely. Health professionals regulated under the RHPA may make written submissions within 30 days of receiving notice, though the committee can shorten that time where patients may be at risk (Health Professions Procedural Code, s. 25.2). Teachers and early childhood educators have 60 days (OCT Act, s. 26(3); ECE Act, s. 31(3)). Social workers have at least 30 days (SWSSW Act, s. 24(3)). Veterinarians, engineers and architects can have as little as two weeks (Veterinarians Act, s. 24(1); Professional Engineers Act, s. 24(1); Architects Act, s. 30(1)).

See our comparison table for every regime on this site. If you need more time, ask in writing before the deadline.

Step 2: Identify What Kind of Matter It Is

Read the letter for the words “complaint,” “report,” or “registrar’s investigation.” A complaint makes the complainant a party who receives the decision. A registrar’s investigation is started by the regulator, often after an employer’s mandatory report. In the health professions, review rights at the Health Professions Appeal and Review Board are tied to complaints (Code, s. 29). Our article on complaints versus registrar’s investigations explains why this matters.

Step 3: Preserve and Gather Records

Collect the complete file for the client, patient or transaction: notes, correspondence, invoices, audit trails and policies in effect at the time. Do not change existing records. If something needs clarifying, add a clearly dated note that leaves the original visible. Regulators can usually detect late changes through electronic audit logs, and altered records are often treated more seriously than the original concern.

Some regulated professionals must co-operate with investigators and produce records. Health professionals must co-operate fully with a registrar’s investigator (Code, s. 76(3.1)), and lawyers and paralegals must produce information even if it is privileged (Law Society Act, s. 49.8).

Step 4: Write a Focused Response

• Respond to each allegation specifically, in order.
• Explain what you did and why, with reference to the records.
• Acknowledge anything you would do differently, and any steps you have already taken, such as courses or new procedures.
• Avoid attacking the complainant. The panel will read your tone as evidence of professionalism.
• Do not contact the complainant about the complaint without advice.

Your response may be shared with the complainant, so write with that in mind.

Step 5: Check Your Support

Many professionals have liability insurance, union or association support that covers regulatory matters. Contact them early, since some require notice. Getting advice before you respond is usually more effective than trying to correct a response afterward.

Frequently Asked Questions