Alberta College of Social Workers

COMPLAINT PROCEDURES:

INFORMATION FOR THE PUBLIC

Complaint Issues - General

Anyone receiving the services of a registered social worker is entitled to be treated in a fair and ethical manner. All registered social workers are expected to practice competently and professionally. The vast majority of social workers are ethical and skilled practitioners who meet these obligations.

Occasionally situations arise that result in a complaint against a social worker. The purpose of this document is to provide both registered social workers and members of the public with information on what constitutes a complaint, how to file a complaint, and what happens when a complaint is received.

What is a Complaint?

A complaint is a statement indicating that a person believes that a registered social worker or a former registered social worker (within the past two years) has practiced unprofessionally. A complaint may be submitted on the form provided on the ACSW web site or in a letter from the complainant. Normally the College will not act upon a verbal or anonymous complaint.

Who can file a complaint?

Anyone who believes that they or someone they know has been harmed by a social worker may file a complaint. A complaint must be submitted by an employer who has terminated or suspended a social worker or accepted a social worker’s resignation in place of suspension or termination due to unprofessional conduct. (See s.57 of the Health Professions Act.) All registered social workers have an obligation to notify the College when they believe or have reason to believe that a colleague is guilty of malpractice or professional misconduct. If the person filing the complaint is not the person who was directly affected by the violation, clients should be named only if they have given their consent.

What are the goals of the complaint process?

Professional regulation is designed for the protection of the public and to maintain the integrity of the profession. The first goal is to gather evidence in a fair and impartial manner to determine whether the allegations are supported by facts. If a complaint is determined to be frivolous or vexatious the complaint will be dismissed and the social worker will remain a registered member in good standing. When the evidence demonstrates that a professional social worker has made a mistake or acted in a manner that caused harm to a client or the standing of the profession generally, the College will take the action necessary to ensure that the violation is not repeated.

What happens when a complaint is filed?

The complaint process is a legal process. The Health Professions Act and the Social Worker Profession Regulations define the actions that must be followed in each case.

A written complaint is received by the College’s complaints director. The complaints director must decide within 30 days what action to take and must notify the complainant of the decision. Several alternatives are available:

1. encourage the complainant and the social worker to resolve the matter themselves
2. with consent of both parties, attempt to assist them in resolving the matter
3. refer the matter for Alternative Complaint Resolution
4. request an expert report on the subject matter of the complaint
5. conduct or appoint an investigator to conduct an investigation
6. dismiss the complaint
7. refer the social worker for an assessment of incapacity

In most cases the registered social worker is notified of the complaint and given details on the subject matter of the complaint. A copy of the original complaint may be given to the social worker and the social worker may be asked to respond to the complaint in writing.

Can I complain about any social worker?

The Alberta College of Social Workers can only deal with complaints against social workers who are registered in Alberta. You can call the ACSW if you are not sure whether an individual is a registered social worker.

What if I don’t want to file a formal complaint?

The first thing you should do if you have a concern, whether or not you choose to file a complaint, is talk to the social worker to see if you can resolve the issue yourself. If that doesn’t work, talk to the social worker’s supervisor and follow any conflict resolution policies available within the agency. If the matter is still unresolved, an impartial mediator or an advocate may be able to intervene on your behalf. There are several organizations in Alberta that provide these services on a voluntary basis. Your municipal community services agency may be able to provide you with information on the services in your area. If none of these processes are available to you or if you have tried them without success, you may still choose to file a complaint with the ACSW.

What is Alternative Complaint Resolution (ACR)?

The legislation authorizes the complaints director to refer a matter to ACR if both the complainant and the social worker are in agreement. The process may include mediation, traditional Aboriginal approaches to justice, or other methods that are normally less intrusive and less adversarial than a formal hearing. There are a number of factors that would be considered before entering an ACR process, including fairness, power differentials, and the cultural background of the parties.

Alternative complaint resolution is conducted by an impartial person. As well, the ACSW is represented by a social worker with no connection to the other parties. Some processes may also involve other individuals who may or may not be connected to the matters respecting the complaint.

The person conducting the process is responsible for assisting the parties to reach a mutually satisfactory outcome. If it appears that the matter is not likely to result in a settlement it is referred back to the complaints director. If a settlement is reached, it is presented to a complaint review committee, which may ratify the agreement, refuse to ratify the settlement, or obtain consent from the parties to modify and then ratify the settlement. If a ratified settlement addresses all the matters of the complaint there are no further proceedings with respect to those matters.

What happens when a complaint is investigated?

The investigator may ask any person to answer any questions and to produce any documents relevant to the case and may copy and keep copies of any documents provided. In a typical investigation, the person who filed the complaint and the social worker who was complained about (the respondent) provide most of the information relevant to the case. Other people who may be questioned include witnesses to specific actions, employers, family members, or anyone else who has knowledge about the issues under investigation.

Once the investigation is complete, the investigator prepares a report detailing the findings of the investigation and presents it to the complaints director. The complaints director decides, on the basis of the evidence, whether to dismiss the complaint, request additional information, or refer the matter to the hearings director for a hearing.

If I complain about a social worker, do I have to participate in the investigation process?

While the person who complains is not under a legal obligation to participate, an investigation is not likely to go very far without witnesses. Think seriously before filing a complaint about whether you are prepared to follow through with the whole process.

Who investigates complaints about social workers?

Complaints are normally investigated by registered social workers who have received special training for the task. Investigators are selected for their skill in a particular field or for their generally recognized expertise and they are held accountable to the same Code of Ethics, Standards of Practice and legislative requirements as any other practicing social worker. If a case deals with an area of practice that is highly specialized, an outside expert may be involved as a secondary investigator.

What happens when a complaint is dismissed?

When a complaint is received or after it is investigated, a decision may be made that the complaint was frivolous or vexatious, or that there is insufficient evidence to substantiate that a violation occurred. When this happens, the complaints director or hearing tribunal may dismiss the complaint. The complainant and the social worker are informed of the decision and told why the complaint is being dismissed. The complainant may appeal the decision by writing to the hearings director and giving reasons for the appeal within 30 days of receiving notice of the dismissal. A complaint review committee is asked to review the investigator’s report and the appeal, and may request written or oral submissions from the parties in order to determine whether the matter should be referred for hearing, whether additional investigation is required, or to confirm the dismissal of the complaint.

Do I have to participate if there is a hearing?

This depends on the nature of the complaint and the social worker’s response. You may be subpoenaed to attend and present evidence to the hearing tribunal. In some cases the social worker is willing to enter a Consent Order which involves agreeing to a statement of facts and recommended sanctions in advance. When this happens, it is not usually necessary for witnesses to be called to give evidence.

How do I file a formal complaint?

You may complete the attached form or you may put the information in a letter. In either case, the complaint must be signed by yourself and submitted by mail or in person. Complaints are not normally accepted by e-mail, fax, telephone, or other electronic means. If you are submitting a letter, please provide as much of the following information as you can:

1. Your full name, address, and telephone number where you can be reached during the day.
2. The full name of the registered social worker you are complaining about and any contact information you can provide.
3. The details of your relationship with the registered social worker: If you are/were a client, how long had you been seeing this social worker? If you are/were not a client, what is your connection to this social worker?
4. The details of the circumstances which led to the complaint, including dates, the names of any witnesses, and any other information relevant to the complaint.
5. Specific details regarding the act (or failure to act) that you believe is unprofessional conduct. If you have any supporting documentation, please provide copies.

In general, your complaint should include the basic information of “who, what, when, where, why and how.”

Complaint Information Form