Professional Conduct Complaints

Introduction

The Professional Conduct Process of the College of Licensed Practical Nurses of Nova Scotia (CLPNNS) is initiated when a letter of complaint against a CLPNNS registrant is received at CLPNNS. A letter is then sent to the complainant (the person who laid the complaint) verifying receipt of their letter of complaint and informing them that an investigation will begin. An outline of the Professional Conduct Process is also forwarded. A letter is then sent informing the respondent (the person against whom a complaint is laid) that a complaint against them has been received and that an investigation into the complaint will be conducted. The letter of complaint, LPN Act, Regulations and an outline of the Professional Conduct Process is forwarded to the respondent with the initial letter.

Complaints

After the above information is forwarded to the complainant and respondent, an investigator arranges interviews, first with the complainant and then with any other persons (witnesses) who may have knowledge relevant to the complaint. An investigation also attempts to obtain any pertinent documentation. The investigation is carried out in an impartial manner. All information, whether it supports or refutes the information contained in the letter of complaint, is collected. Persons being interviewed should be aware that any information given by them to the investigator, that is relevant to the complaint, is potentially disclosable to the respondent.

Upon completion of the investigation, the investigator prepares an investigative report containing relevant interview summaries and documentation and forwards that report to the respondent. The respondent is then invited to respond to the investigative report, either verbally or in writing, within 30 days. After that 30 day period, the investigative report and response from the respondent, if available, is forwarded to the Complaints Committee. (A Complaints Committee consists of a minimum of three members including at least one LPN and one public representative).

All information/documents obtained from the complainant, witnesses and respondent during this process remain the property of the CLPNNS and is to be kept confidential by all parties and only disclosed in accordance with CLPNNS policy.

As soon as feasible after receiving the investigative report, a Complaints Committee will meet at CLPNNS office to dispose of the complaint. Unless the complaint in informally resolved or dismissed in accordance with Section 24(1)(a) to (c) of the LPN Regulations, the Complaints Committee shall provide the complainant and respondent the opportunity to appear before the Committee to make representations and answer any questions the Committee may have. When this opportunity is provided, the complainant appears before the Committee first. When the complainant leaves, the respondent is seen by the Committee. The Committee usually allows for an hour meeting with the complainant and another hour for meeting with the respondent.

After reviewing all information it has received, the Complaints Committee can:

• informally resolve the complaint;
• dismiss the complaint;
• counsel the respondent;
• caution the respondent;
• counsel and caution the respondent;
• issue a reprimand, with the consent of the respondent; or
• refer the matter to a Discipline Committee for a formal hearing.
  (A Discipline Committee usually consists of three members of the Board including a public representative and a Licensed Practical Nurse).

A Complaints Committee may informally resolve a complaint. An informal resolution may be considered in cases where all interested parties, the complainant, the respondent, the CLPNNS and the Complaints Committee believe addressing the complaint through such a resolution is appropriate. Any one of the interested parties can approach the other parties to suggest such a resolution.

A Complaints Committee can dismiss a complaint. If a complaint is dismissed, there will be no further action on this file.

A Complaints Committee may issue a counsel, a caution or both. A counsel and a caution are not considered disciplinary findings. A counsel is a determination that the respondent could benefit from professional guidance from CLPNNS with regard to the subject matter of the complaint in circumstances that do not constitute professional misconduct, conduct unbecoming the profession, incompetence or incapacity. A caution is a finding that the respondent has breached the standards of professional ethics or practice expected of registrants, but in circumstances where such breach does not constitute professional misconduct, conduct unbecoming the profession, incompetence or incapacity.

Should the Complaints Committee wish to issue a reprimand, the respondent will be asked to consent to that reprimand. A reprimand is considered a disciplinary finding and requires the consent of the respondent. Should a respondent consent to a reprimand, that reprimand is considered the same as one issued by a Discipline Committee following a formal hearing and becomes part of the respondent's permanent record at CLPNNS. Should the respondent not consent to a reprimand, the matter would be forwarded to a Discipline Committee for a formal hearing.

A Complaints Committee can mandate a respondent to submit to physical, mental and/or practice assessments by qualified individuals and to provide to the Complaints Committee reports from such assessments. Failure to comply with a request for an assessment of this kind could result in the Complaints Committee suspending the respondent's license to practice nursing until such time as the requested records are produced.

A Complaints Committee can request the executive director to suspend a license to practice nursing at any time throughout the investigative process. This is done in cases where the Complaints Committee has concerns with respect to safety to practice. The Executive Director will then suspend the respondent's license until such time as a Complaints Committee or a Discipline Committee directs otherwise.

Professional Conduct

Settlement Proposal - Should the matter be forwarded to a Discipline Committee, a Settlement Proposal may be tendered in writing by the respondent to CLPNNS or CLPNNS to the respondent at any time prior to a formal hearing. A Settlement Proposal must be agreed upon by both of these parties. If such agreement is reached, the Settlement Proposal is forwarded to the Complaints Committee who can accept, reject or suggest amendments to a Settlement Proposal. If the Complaints Committee accepts the Settlement Proposal, the Complaints Committee then forwards the proposal to a Discipline Committee who can accept, reject or suggest amendments to the Settlement Proposal. If the Discipline Committee accepts the proposal, it then becomes part of the order of the Discipline Committee and no formal hearing will be held into the matter as long as the respondent complies with such order. In the event the Settlement Proposal is rejected by either committee, the matter is forwarded to a Discipline Committee for a formal hearing. Further information on Settlement Proposals can be found under Section 25 of the LPN Regulations.

Formal Hearing - When the matter is forwarded by a Complaints Committee to a Discipline Committee, and there is no Settlement Proposal, a formal Discipline hearing is held. At a Discipline hearing evidence is given before a Discipline Committee. After hearing all evidence, the Discipline Committee must make a determination as to whether one or more of the charges have been proven and, if so, whether such proof amounts to a finding of professional misconduct, conduct unbecoming the profession, incompetence or incapacity. If the Committee makes one or more of the above findings, the Discipline Committee must then decide on appropriate action. They can do one or more of the following:

• issue a reprimand;
• restrict a license;
• put conditions on a license;
• mandate remedial action;
• suspend a license;
• revoke a license;
• publish their findings and inform persons of their findings, as considered appropriate; or
• carry out any combination of the above.

If the Discipline Committee finds the evidence does not support any of the charges, the Committee can dismiss the complaint.

In the event, the respondent wishes to appeal on any point of law from the findings of the Discipline Committee, a party may do so not later than 30 days after service of the decision.

NOTE

Further information on the Professional Conduct Process can be found in the CLPNNS Licensed Practical Nurses Act, Regulations and Professional Conduct Policies. In the event there is any conflict between this overview and the LPN Act, Regulations and Policies, the latter shall prevail. If you have any questions after reading this information, please call Ann Mann, Executive Director/Registrar, at (902) 423-8949.