INQUIRIES, COMPLAINTS AND REPORTS COMMITTEE 2016 ANNUAL REPORT

Agenda Item 4.7.2 INQUIRIES, COMPLAINTS AND REPORTS COMMITTEE 2016 ANNUAL REPORT INTRODUCTION: ROLE OF THE COMMITTEE The Inquiries, Complaints and Reports Committee (ICRC) reviews three types of matters: complaints received from the public, health inquiries, and investigations initiated by the College. They also consider the appointment of investigators. The Committee carries out its mandate using panels selected by the Chair, each with 3-6 Committee members. EXECUTIVE SUMMARY In 2016, the ICRC considered 205 investigator appointments and made final dispositions in 519 matters: 298 complaints, 102 Executive Director Investigations and 119 incapacity inquiries. As of December 31, 2016 there were 93 matters in progress. Investigations Initiated Investigators were appointed in 205 matters: 52 complaints, 126 Executive Director Reports and 17 Quality Assurance Committee Reports. The ICRC was informed that the Executive Director appointed 10 investigators on an emergency basis. Please refer to Section 1, Table 1 of the appendix. Complaints Of the 298 complaints considered, 102 were resolved through agreements between complainants and a member, and 6 matters were determined to be an abuse of process. Of the 190 matters investigated, 5 members were referred to the Discipline Committee. Five members were directed to complete educational programs; in 3 of those matters, members were also directed to appear in person for a caution. Advice was issued in 24 matters and no action was taken in 156 matters. As of December 31 st, there were 12 complaint matters in progress. Please refer to Section 2, Tables 1, 2 and 3 of the appendix. The Health Professions Appeal and Review Board (HPARB) received 1 application from a complainant that a complaint was not yet disposed of within 150 days. The decision had not been released as of December 31 st. HPARB received 36 new requests to review ICRC decisions; 34 from complainants and 2 from members. Decisions were released in 35 matters, 21 of which confirmed that the investigation was adequate and the decision was reasonable. In 5 matters HPARB directed the ICRC to

2 reconsider its decision. Reviews were not conducted on 9 matters, 8 were withdrawn and 1 matter was determined to be an abuse of process. Please refer to Section 2, Tables 4 and 5 of the appendix. Executive Director Investigations ICRC reviewed 119 investigations, resulting in 102 final dispositions. Members were directed to complete an educational program in 7 matters; in 19 of those matters, the member was also directed to attend for a caution in person. Referrals to the Discipline Committee were made in 46 matters and 4 members agreed to resign on a permanent basis. Letters of advice were issued to 18 members and no action was taken in 8 matters. On December 31 st, there were 17 matters in progress. Please refer to Section 3, Tables 1, 2 and 3 of the appendix. Health Inquiries The ICRC reviewed 183 health inquiries and made final dispositions in 119 matters. Of these, 74 members were referred to the Fitness to Practise Committee and 23 were subject to interim orders of suspension or restriction. Non-public undertakings were accepted from 6 members and no action was taken in 22 matters. Of the 64 matters in progress on December 31 st, the ICRC was awaiting reports of medical assessments in 3 matters. Please refer to Section 4, Tables 1, 2 and 3 of the appendix.

3 COMMITTEE MEMBERS July to December 2016 (Current Committee) Megan Sloan, RPN, Chairperson Pedro Andrade, RN Shana Anjema, RN Cheryl Barnett, NP Yvonne Blackwood, Public Member Dalton Burger, Public Member Debra Mattina, Public Member Laura McMillan (nee Black), RPN Kyle Nielsen, RN Nicole Osbourne James, Public Member Sandra Robinson, RN Laura Sanderson, RPN Katharina Skrzypek, RN January to June 2016 Nancy Sears, RN, Chairperson Loy Asheri, RN Cheryl Barnet, NP Yvonne Blackwood, Public Member Laura Black, RPN Dalton Burger, Public Member David Head, RN Debra Mattina, Public Member Kyle Nielsen, RN Nicole Osbourne James, Public Member Megan Sloan, RPN Katharina Skrzypek, RN Shannon Wright, RN STAFF CONTACT Karen McGovern, Director, Professional Conduct Paul Brennan, Manager, Reports and Prosecutions Sheryl Sarfin, Manager Complaints Melissa Jeethan, ICRC Administrator Charmaine Cadore, ICRC Administrator Angela Higham, ICRC Administrator

4 Appendix 1 Statistical Tables Section 1: Investigator Appointments Table 1. Activities Investigators Appointed 2012 2013 2014 2015 2016 Complaint 49 45 37 24 52 Report - Quality Assurance Committee 0 11 7 8 17 Report - Executive Director 67 41 68 105 126 Report - Emergency appointment by Executive Director 5 4 5 1 10 Total 121 101 117 138 205

5 Section 2: Complaints Table 1. Activities Activities 2012 2013 2014 2015 2016 Outcomes - final dispositions 317 353 314 263 298 In progress as of December 31 3 11 9 3 12 Total 320 364 323 266 310 Table 2. Outcomes (a) Disposition Dispositions 2012 2013 2014 2015 2016 # % # % # % # % # % Adopt resolution 104 32.8 122 34.6 134 42.7 134 51.0 102 34.2 Take no action abuse of process 11 3.5 9 2.5 25 8.0 17 6.5 6 2.0 Take no action accept withdrawal 0 0.0 4 1.1 5 1.6 0 0.0 0 0.0 Take no action 140 44.2 156 44.2 107 34.1 88 33.4 156 52.3 Letter of advice 1 - - - - - - 3 1.1 24 8.1 Letter of concern 2 27 8.5 29 8.2 21 6.7 7 2.6 0 0.0 Written caution 3 16 5.0 20 5.7 8 2.5 5 1.9 0 0.0 Oral caution 9 2.8 4 1.1 8 2.5 4 1.5 0 0.0 Educational program 0 0.0 1 0.3 2 0.6 1 0.4 2 0.7 Oral/ written caution + educational program 6 1.9 3 0.9 1 0.3 2 0.8 3 1.0 Refer to Discipline Committee 4 1.3 5 1.4 3 1.0 2 0.8 5 1.7 Refer for health inquiry 0 0.0 0 0.0 0 0.0 0 0.0 0 0.0 Accept undertaking 0 0.0 0 0.0 0 0.0 0 0.0 0 0.0 Accept permanent resignation 0 0.0 0 0.0 0 0.0 0 0.0 0 0.0 Total 317 100 353 100 314 100 263 100 298 100 1 Letter of advice is a new disposition as of June 2015. 2 Letter of concern is no longer a disposition as of June 2015. 3 Written caution is no longer a disposition as of June 2015.

6 Section 2: Complaints (cont d) Table 2. Outcomes (cont d) (b) Interim orders on referral to Discipline Committee Outcomes 2012 2013 2014 2015 2016 Interim suspension 0 0 3 0 1 Interim suspension - without notice 0 0 0 0 0 Interim restrictions 0 0 0 0 0 Interim restrictions - without notice 0 0 0 0 0 Total 0 0 3 0 1 Table 3. In Progress as of December 31 In Progress 2012 2013 2014 2015 2016 Deferred - explore prosecutorial viability 1 2 1 1 5 Deferred - explore undertaking 0 0 0 0 0 Deferred - by panel 0 0 3 0 0 Intention - take no action - abuse of process 2 9 5 2 7 Resolution not adopted investigate 0 0 0 0 0 Total 3 11 9 3 12

7 Section 2: Complaints (cont d) Table 4. HPARB - Complaint not disposed of within 150 days (a) Applications Applications 2012 2013 2014 2015 2016 From complainants 1 7 2 3 1 From members 1 1 1 1 0 Total 2 8 3 4 1 (b) HPARB Decisions Decisions received 2012 2013 2014 2015 2016 No review application withdrawn 0 0 0 0 0 Direct ICRC to continue investigation 2 8 3 4 0 Make recommendations to ICRC 0 0 0 0 0 HPARB initiates investigation 0 0 0 0 0 Total 2 8 3 4 0

8 Section 2: Complaints (cont d) Table 5. HPARB - Review of ICRC decisions (a) Requests Requests 2012 2013 2014 2015 2016 From complainants 33 101 40 24 34 From members 2 6 6 0 2 Total 35 107 46 24 36 (b) Reviews Decisions Received 2012 2013 2014 2015 2016 # % # % # % # % # % No review request withdrawn 3 10.0 9 33.3 4 7.1 3 3.9 8 22.9 No review abuse of process 4 13.3 0 0.0 4 7.1 6 7.9 1 2.9 Confirm ICRC decision 20 66.7 17 63.0 45 80.4 66 86.8 21 60.0 Make recommendations to ICRC 0 0.0 0 0.0 0 0.0 1 1.3 0 0.0 Return - further investigation 2 6.7 1 3.7 1 1.8 0 0.0 0 0.0 Return - further consideration 0 0.0 0 0.0 1 1.8 0 0.0 5 14.3 Direct ICRC to change decision 1 3.3 0 0.0 1 1.8 0 0.0 0 0.0 Total 30 100 27 100 56 100 76 100 35 100

9 Section 3: Executive Director Investigations Table 1. Activities Activities 2012 2013 2014 2015 2016 Outcomes final dispositions 104 82 62 78 102 In progress as of December 31 18 16 17 34 17 Total 122 98 79 112 119 Table 2. Outcomes (a) Dispositions Dispositions 2012 2013 2014 2015 2016 # % # % # % # % # % Take no action 6 5.8 8 9.8 11 17.7 10 12.8 8 7.8 Letter of advice 4 0 0.0 0 0.0 0 0.0 5 6.4 18 17.7 Letter of concern 5 12 11.5 5 6.1 1 1.6 2 2.5 0 0.0 Written caution 6 15 14.4 9 11.0 8 13.0 5 6.4 0 0.0 Oral caution 0 0.0 1 1.2 0 0.0 5 6.4 0 0.0 Educational program 7 6.7 2 2.4 6 9.7 4 5.2 7 6.9 Oral/written caution + educational program 22 21.2 17 20.7 15 24.2 26 33.4 19 18.6 Refer to Discipline Committee 36 34.6 33 40.2 19 30.6 21 26.9 46 45.1 Refer for health inquiry 0 0.0 0 0.0 0 0.0 0 0.0 0 0.0 Accept undertaking 4 3.9 2 2.4 1 1.6 0 0.0 0 0.0 Accept permanent resignation 2 1.9 5 6.2 1 1.6 0 0.0 4 3.9 Total 104 100 82 100 62 100 78 100 102 100 4 Letter of advice is a new disposition as of June 2015. 5 Letter of concern is no longer a disposition as of June 2015. 6 Written caution is no longer a disposition as of June 2015.

10 Section 3: Executive Director Investigations (cont d) Table 2. Outcomes (cont d) (b) Interim orders on referral to Discipline Committee Outcomes 2012 2013 2014 2015 2016 Interim suspension 0 4 1 1 4 Interim suspension - without notice 0 0 0 0 0 Interim restrictions 4 3 1 0 0 Interim restrictions - without notice 1 0 0 0 0 Total 5 7 2 1 4 Table 3. In Progress as of December 31 In Progress 2012 2013 2014 2015 2016 Deferred - explore prosecutorial viability 15 13 14 34 16 Deferred explore undertaking 2 1 1 0 0 Deferred by panel 1 2 2 0 1 Total 18 16 17 34 17

11 Section 4: Incapacity Inquiries Table 1. Activities Activities 2012 2013 2014 2015 2016 Direction to attend medical assessment 127 124 126 105 122 Outcomes final dispositions 130 141 115 122 119 In progress as of December 31 66 46 74 65 64 Total 323 311 315 292 305 Table 2. Outcomes (a) Dispositions Dispositions 2012 2013 2014 2015 2016 # % # % # % # % # % Take no action 20 15.4 34 24.1 31 27.0 27 22.2 22 18.5 Suspend until medical assessment complete 12 9.2 6 4.3 16 13.9 11 9.0 14 11.8 Refer to Fitness to Practise Committee 88 67.7 90 63.8 61 53.0 77 63.1 74 62.2 Accept undertaking/ agreement 6 4.6 4 2.8 0 0.0 0 0.0 6 5.0 Cease inquiry* 4 3.1 7 5.0 7 6.1 7 5.7 3 2.5 Total 130 100 141 100 115 100 122 100 119 100 * ICRC loses jurisdiction to conduct incapacity inquiries for deceased or resigned members.

12 Section 4: Incapacity Inquiries (cont d) Table 2. Outcomes (cont d) (b) Interim orders on referral to Fitness to Practise Committee Outcomes 2012 2013 2014 2015 2016 Interim suspension 14 21 22 19 14 Interim suspension - without notice 0 1 0 0 0 Interim restrictions 9 15 12 5 9 Interim restrictions - without notice 0 0 0 0 0 Total 23 37 34 24 23 Table 3. In Progress as of December 31 In Progress 2012 2013 2014 2015 2016 # % # % # % # % # % Awaiting report of assessment 49 74.2 40 87.0 57 77.0 54 83.0 53 82.8 Conclude inquiry - issue report to member 9 13.6 4 8.7 12 16.2 5 8.0 6 9.4 Deferred - explore undertaking/agreement 5 7.6 0 0.0 0 0.0 5 8.0 1 1.6 Deferred - by panel 0 0.0 0 0.0 4 5.4 0 0.0 3 4.6 Intention - suspend until assessment complete 3 4.6 2 4.3 1 1.4 1 1.0 1 1.6 Total 66 100 46 100 74 100 65 100 64 100