MacLeod v Alberta College of Social
Workers, 2018 ABCA 13, highlights that a
person under investigation must be given reasonable particulars of
the allegations against them.
Ms. MacLeod was a Registered Social Worker and had been a member
of the Alberta College of Social Workers (the "College")
for about twenty-five years at the time of the underlying events.
Ms. MacLeod's employment record disclosed a lengthy history of
communication issues and other workplace difficulties between her
and her co-workers. Based on complaints received from her coworkers
and supervisors, the College proceeded with four allegations
against Ms. MacLeod, including that she was dismissive, rude, and
abrupt to fellow staff members, clients, and their family
members.
The allegations before the Hearing Tribunal were limited to a
scope of two years; however, at the hearing, the Tribunal admitted
evidence about related events involving Ms. McLeod that occurred
over a span of about thirteen years. Based on the entirety of the
evidence admitted, the Hearing Tribunal found that all of the
allegations had been proven. Ms. MacLeod appealed the findings to
the Council of the College and then to the Court of Appeal. She
argued, in part, that the College failed to provide her with
particulars of the allegations and that the Hearing Tribunal
incorrectly interpreted the scope of the allegations and made
unreasonable findings of guilt.
The Alberta Court of Appeal allowed the appeal. In doing so, the
Court stressed the important function served by sufficient
particulars. Particulars provide the details of an allegation. They
define what is alleged to have been done, when it was done and to
whom, for example. Particulars help the professional to identify
the event that is said to amount to unprofessional conduct and in
effect, limits the scope of the allegations so that the individual
does not have to defend his or her entire career or general
character during a hearing. Similarly, allegations must be specific
enough for the member to know the case he or she has to meet.
Particulars are also present during the investigative stage. The
Court suggested that if investigators begin investigating matters
outside the scope of an original complaint, they must ensure that
the member is given particulars of those additional matters before
the investigation is completed.
The Court also highlighted the constraints that allegations place
on tribunals. The allegations represent the only matters on which a
tribunal can make findings of unprofessional conduct and a tribunal
must confine its findings of unprofessional conduct to the exact
allegations before it. While the substance of the allegation may be
supported by evidence of related events, this cannot independently
support a finding of unprofessional conduct or expand the scope of
the allegations. The Court of Appeal held that the Hearing Tribunal
erred when it found Ms. McLeod guilty of an allegation that alleged
conduct between 2012 and 2014 based on evidence of general rudeness
spanning the period from 2001 to 2014.
Comment: This decision highlights the
importance of particulars during the investigation of complaints
and the drafting of allegations. While a regulator is not
confined to the content of a complaint, it must ensure that when an
investigation is expanded beyond the scope of the initial
complaint, it provides expanded particulars to investigated member.
Further, the particulars of the allegations provide members with
notice of the specific allegations being made. It is therefore
important when investigating a complaint and drafting allegations
that regulators bear in mind whether sufficient particulars have
been provided to the member so that the member can know what is
being investigated and they can know the case they have to meet if
allegations of unprofessional conduct are made.
Field Law's Professional Regulatory team is well equipped to
provide you with assistance and guidance in navigating the
landscape of the discipline process, including drafting particulars
for investigations and allegations of unprofessional conduct.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.