Guide to the Tribunal Process

What is the Tribunal?

Complaints about a registrant are made to the College. After investigating the complaint, the College’s Inquiries, Complaints and Reports Committee (ICRC) may decide to refer allegations of registrant misconduct or incompetence to the Tribunal.

The Tribunal is independent from the College. The Tribunal is like a court in that it holds hearings and makes decisions, but it has special expertise and understanding of registrant conduct and competence.

The Tribunal is the Discipline Committee of the College as set out in the Health Professions Procedural Code.

What is the notice of hearing?

The discipline process starts when the College files a notice of hearing (Form 4) with the Tribunal. The notice of hearing includes the College’s allegations against the registrant, provides information about the Tribunal’s authority to hold the hearing, and contains a warning that, if the registrant doesn’t attend the hearing, it may proceed in their absence.

Both the notice of hearing and a summary of the allegations are posted on the College’s Public Register, which can be searched by the registrant’s last name.

For information about upcoming hearings please see:

• Upcoming hearings before the OPSDT
• Upcoming hearings before the ORPDT
• Upcoming hearings before the Discipline Committee of the College of Audiologists and Speech-Language Pathologists of Ontario.

For information about recent outcomes please see below:

• Recent OPSDT Outcomes
• Recent ORPDT Outcomes
• Recent Outcomes of the Discipline Committee of the College of Audiologists and Speech-Language Pathologists of Ontario

What does the Tribunal decide?

Most hearings before the Tribunal are about a registrant’s conduct. For example, the Tribunal might be asked to decide whether a registrant failed to meet the standard of practice, sexually abused a patient, engaged in disgraceful, dishonourable or unprofessional conduct, or failed to cooperate with a College investigation. The Tribunal also decides allegations that a registrant is incompetent.

Applications by a registrant to reinstate their revoked or suspended certificate of registration are also decided by the Tribunal.

Can I make a complaint directly to the Tribunal about a doctor?

No. A member of the public cannot start a Tribunal case. Complaints about registrants must be filed with the College.

Rules of Procedure and Practice Directions

The Tribunal has Rules of Procedure as well as Practice Directions. The Rules support fair and transparent hearings by clearly defining expectations and obligations of all parties that come before the Tribunal. Practice Directions provide more detailed descriptions of the Tribunal’s procedures and assist participants to understand the hearing process. Parties are expected to be familiar with the Tribunal’s Rules and Practice Directions.

Three main kinds of Tribunal hearings and decisions

Merits hearing

A merits hearing deals with the allegations against a registrant. The College and the registrant (the parties) present their evidence, and each makes arguments about what they say is the right result. The Tribunal, after listening carefully and considering everything the parties present to it, decides whether the College has proven some or all the allegations against the registrant. This is called the merits decision. Written reasons for the merits decision are usually sent to the parties and released to the public within 12 weeks of the merits hearing.

Where the Tribunal decides the College did not prove its case, the hearing ends — unless the registrant seeks costs from the College, in which case a costs hearing is scheduled. 

Penalty Hearing

If, in its merits decision, the Tribunal decides the registrant committed professional misconduct or is incompetent, it must also decide the penalty. Some misconduct, such as certain kinds of sexual abuse of a patient, results in the mandatory revocation of the registrant’s certificate of registration. In other cases, the Tribunal must consider what penalty is appropriate. This happens at the penalty hearing and is called the penalty decision. The Tribunal gives written reasons for the penalty decision.

When the parties agree, or the registrant does not contest the merits, the penalty hearing often happens on the same day as the merits hearing. Otherwise, the penalty hearing happens after the Tribunal gives its reasons for the merits decision. 

Whether the registrant should pay costs of the hearing to the College, and what amount of costs, is usually included in the penalty hearing, although costs are not part of the penalty.

In many cases, the written reasons on merits, penalty and costs are released together. See above for links to recent outcomes.

If the Tribunal orders a reprimand as part of the penalty, the Tribunal will usually deliver the reprimand at the end of the hearing.

Motions

The Tribunal also decides motions. Parties may make a motion for a decision from the Tribunal about an issue affecting the hearing. Some of the most common motions decided by the Tribunal are: requests for a publication ban broader than the automatic ban on patient names and personal health information; requests for documents held by non-parties (third party records); requests to stop the hearing permanently (a stay); or requests to adjourn the hearing to another day or until another hearing or event concludes. A motion can be heard and decided before the merits hearing begins or within the merits or penalty hearing.

Contested, uncontested, or partially contested hearings

In a contested hearing the registrant denies the College’s allegations. The College must prove the allegations on a balance of probabilities by calling witnesses and presenting documents. The registrant tests the College’s case by cross-examining its witnesses. The registrant may present their own witnesses and documents. Where the Tribunal decides the College did not prove its case, the hearing ends. If the Tribunal decides the College proved some or all the allegations, it will hold a penalty hearing.

In an uncontested hearing, the registrant agrees with the facts that support the allegations and admits  they amount to misconduct or incompetence.

A registrant may also plead “no contest” to the allegations. That means the registrant doesn’t admit or deny the facts but isn’t “contesting” a finding of misconduct or incompetence.

Where the parties present agreed or uncontested facts and an agreed finding of misconduct or incompetence, they may also make a “joint submission” to the Tribunal about the penalty. This means the parties agree on what the penalty should be. Uncontested hearings nearly always finish in a day or less and the Tribunal issues an order at the end of the hearing.

There are two kinds of partially contested hearings. Occasionally, the College and the registrant agree on some, but not all, the allegations. More often, the parties agree on the merits but disagree about the penalty.

Merits hearings that last one day or less are usually uncontested or partially contested. Hearings that last more than one day are usually contested. If the Tribunal knows whether a hearing is contested, it will provide that information on request. However, parties can always reach an agreement at the last minute. Please contact the Tribunal Office at tribunal@opsdt.ca for details.

What penalties can the Tribunal order?

If the Tribunal decides the registrant engaged in professional misconduct, it can:

• revoke the registrant’s certificate of registration, which means they can no longer work as a registrant;
• suspend the registrant’s certificate of registration, which means they cannot work as a registrant for a set time;
• impose “terms, conditions and limitations” on the registrant’s certificate of registration, such as limiting the registrant’s practice and/or requiring training or monitoring;
• reprimand the registrant;
• require the registrant to pay a fine of up to $35,000 to the Minister of Finance; and/or
• if the misconduct was the sexual abuse of a patient, require the member to reimburse the College for funding provided to that patient.

Where the Tribunal finds certain types of sexual abuse occurred, it must immediately suspend the registrant’s certificate of registration and must revoke the certificate in the penalty decision.

If the Tribunal decides a registrant is incompetent, it can:

• revoke the registrant’s certificate of registration, which means they can no longer work as a registrant;
• suspend the registrant’s certificate of registration, which means they cannot work as a registrant for a set time; or
• direct the College’s Registrar to impose “terms, conditions and limitations” on the registrant’s certificate of registration, such as limiting the registrant’s practice and/or requiring training or monitoring.

What is a joint submission on penalty?

When the parties agree on what the penalty and costs should be, they present a joint submission to the Tribunal at the penalty hearing. The Tribunal cannot reject a joint submission unless the proposed penalty would bring the administration of justice into disrepute or is not in the public interest.

What is a reprimand?

In a reprimand, the panel speaks directly to the registrant about their misconduct. In cases where a registrant is found to have committed sexual abuse of a patient, the Tribunal must require the registrant to attend before it and be reprimanded. The Tribunal may also decide to order and deliver a reprimand in other cases where it considers this an appropriate penalty.

Costs

The Tribunal can order the registrant to pay costs of the hearing and investigation to the College. If the Tribunal decides the proceedings were unwarranted, it may order the College to pay costs to a registrant. While not part of the penalty, costs are usually considered during the penalty phase of the hearing.

The Tribunal may also order costs against a party or participant whose conduct has been unreasonable, frivolous or vexatious or who has acted in bad faith.   

Costs are not the same as a fine. The Tribunal also has the power to order a registrant to pay a fine to the Ministry of Finance.

What is a reinstatement hearing?

A registrant whose certificate of registration was revoked or suspended as the result of disciplinary or incapacity proceedings may apply to have it reinstated by the Tribunal so they can return to the profession. A reinstatement hearing is like a merits hearing, except the registrant presents their case first and must prove that reinstatement of their certificate is suitable when considering public protection and public confidence in the profession’s ability to self-regulate. The complainant in the original hearing must be given notice of the reinstatement application.

Who is at the Tribunal hearing?

The Panel

Tribunal members, or “adjudicators,” are like judges. The Tribunal Chair assigns Tribunal members to hearing panels. The panel that hears and decides the merits also hears and decides the penalty. Panels are assigned based on a number of factors, including the requirements of the Health Professions Procedural Code, representation and areas of expertise.

Each hearing panel on the merits must include at least two members of the public and at least one registrant who are members of the College’s Board or Council. Most panels consist of two registrants and three members of the public, one of whom is a person with experience in adjudication (usually a lawyer). When the panel consists of more than one member, the experienced adjudicator is assigned to lead the panel as its chair.

The Parties

The registrant and the College are called the parties to the hearing. The College is always represented by a lawyer, who may be called the prosecutor. The registrant is sometimes represented by a lawyer or paralegal or may represent themself. Their representative may be called defence counsel.

Complainants

Members of the public whose complaints were considered by the ICRC when deciding to refer allegations to the Tribunal are called complainants. A complainant may attend the hearing unless they are a witness for the College and the Tribunal has ordered that witnesses be excluded from the hearing. Complainants do not otherwise participate in the hearing unless the Tribunal allows it.

Witnesses

Witnesses tell the Tribunal relevant information about the issues it must decide. The Witness Guide provides more information about being a witness in a Tribunal hearing. Contact the Tribunal Office at tribunal@opsdt.ca if you need to summons a witness. The Practice Direction on How to Summons a Witness explains how to obtain and serve a summons on a witness.

Members of the Public

Tribunal hearings are open to the public, except in rare situations where the Tribunal makes an order closing the hearing.

What is a publication ban?

In every Tribunal hearing there is an automatic publication ban prohibiting the publication or broadcast of the name, other identifying information and medical information concerning a patient unless the Tribunal orders otherwise. See Tribunal rule 2.2.2. A patient can ask the Tribunal to lift this order.

The Tribunal may also order a broader publication ban. See rules 2.2.8(c) and 2.2.10. 

What languages are used in hearings?

Vous avez le droit d’utiliser le français dans vos rapports avec le Tribunal. Veuillez nous aviser si vous désirez participer en français.

The Tribunal provides interpretation services to parties or witnesses in languages other than English or French, including American Sign Language and Quebec Sign Language. Parties who require interpretation services for themselves or a witness should inform the Tribunal as soon as possible so it has time to retain qualified interpreters.

What is the format of hearings?

Tribunal hearings may be held in person, by videoconference or in writing, although most hearings are held by videoconference. The format of the hearing depends on what needs to be decided. For example, a motion for an adjournment of the hearing would usually be “heard” in writing, but a motion to obtain records from a person or organization that is not a party might be heard by videoconference.

Attending a Hearing

Hearings can be viewed through a private link.

• For hearings of the Ontario Physicians and Surgeons Discipline Tribunal, click here.
• For hearings of the Discipline Committee of the College of Audiologists and Speech-Language Pathologists, click here.
• For hearings of the Ontario Registered Psychotherapists Discipline Tribunal, email the Tribunal Office.

The Tribunal may hold some hearings, or portions of a hearing, in person.

Whether attending a videoconference or in person hearing, you are expected to act in a respectful and courteous manner and follow the panel’s instructions.

What happens in the merits hearing?

The College presents its evidence first, followed by the registrant. When the panel has heard all the evidence and submissions, it leaves the room to privately discuss or deliberate about what was heard.

Hearings usually begin at 9:30 a.m. and finish at 4:30 p.m. Usually there is a fifteen-minute break in the morning, a lunch break of one hour, and a fifteen-minute break in the afternoon.

Hearings often follow this process:

Uncontested cases

• The chair opens the hearing.
• The notice of hearing is made an exhibit.
• The registrant is asked to respond to the allegations in the notice of hearing by admitting, denying or not contesting them.
• The agreed statement of facts or statement of uncontested facts is made an exhibit.
• The parties make submissions.
• The panel may have questions.
• The panel leaves to decide in private. It returns and announces its decision.
• The parties make a joint submission on penalty and costs.
• The panel leaves to decide in private. It returns and announces its penalty and costs decision.
• Where the penalty includes a reprimand, the panel will speak to the registrant directly about the misconduct.
• The hearing ends.

Contested cases

• The chair opens the hearing.
• The notice of hearing is made an exhibit.
• The registrant is asked to respond to the allegations in the notice of hearing by admitting, denying or not contesting them.
• The parties make opening statements. The registrant may choose to do this after the College has presented its evidence.
• The College presents its case:
  • the College’s witness(es) (examination-in-chief by College Counsel, cross-examination by the registrant or their counsel, re-examination by College counsel); and
  • panel members may ask questions.
• The registrant presents their case:
  • the registrant’s witness(es) (examination-in-chief by the registrant or their counsel, cross-examination by College counsel, re-examination by the registrant or their counsel); and
  • panel members may ask questions.
• The College may present “reply evidence.”
• Both parties make submissions about the evidence and law.
• The panel leaves to discuss the case in private. In most contested cases, the panel reserves its decision, which means the decision and reasons are released later.
• If the panel finds the College proved some or all of its case, a penalty hearing will be scheduled.

How do I access hearing documents?

You may access the Tribunal’s public record of the proceeding. See the Practice Direction on Open Hearings and Privacy for details on how to do so.

How do I access hearing transcripts?

Hearing transcripts – a printed version of everything that was said in a hearing – are part of the Tribunal’s public record. If you would like to purchase transcripts for hearings please contact us.

The Tribunal will review transcripts provided to non-parties to ensure compliance with publication bans.

Tribunal decisions and reasons

Tribunal reasons and decisions, are freely accessible and searchable on the Canadian Legal Information Institute’s (CanLII) website.

Revised: May 15, 2024