Members and Registered Students must comply at all times with the By-laws, Code of Ethics and Practice Standards, as well as meet Continuing Professional Development requirements.
The Institute maintains a process for receiving and reviewing complaints involving alleged breaches of the By-laws, Code of Ethics or Practice Standards, as well as for investigating and adjudicating such matters.
Through a Discipline Committee composed of three to nine individuals, who may include both CBVs and members of the public, the Institute reviews complaints concerning the conduct of a Member or Registered Student. The Discipline Committee asks the complainant to provide documents and information in support of the complaint and gives the Member or Registered Student who is the subject of the complaint an opportunity to respond.
Depending on the complexity of the matter, the Discipline Committee may appoint an investigator to conduct an investigation and report the findings to the Committee. Where there is sufficient evidence of a breach of the CBV Institute Code of Ethics, By-laws or Practice Standards, and the breach is not insignificant, the Discipline Committee may lay a charge against the Member or Registered Student. Unless the Member or Registered Student accepts the charge and the disciplinary action proposed by the Discipline Committee, the matter is referred to a Discipline Tribunal for a formal hearing.
The Institute’s complaints process is not a forum for resolving fee-related or financial disputes between Members and Registered Students and their clients or other parties.
Complainants: Please refer to the Frequently Asked Questions about CBV Institute’s complaints process.
The above is a summary of the process. For complete details, please refer to Section 5.0 of the CBV Institute By-laws.
Before you make a report
It is important to consider that many issues can be resolved by talking to the CBV. If the nature of your issue precludes you from doing so, or if talking has not resolved the problem, then your issue may fall within the scope of the complaints process.
Note that CBV Institute’s complaints process is not a forum for resolving disagreements over fees, or other commercial or contractual matters, between Members or Registered Students and their clients or other parties.
For further information on what may fall within the scope of the complaints process, and for answers to other frequently asked questions, see our FAQ for Complainants.
Receiving complaints
Any person (“Complainant”) may lay a complaint against a Member or Registered Student, and complaints are taken seriously. A complaint concerns the conduct or alleged conduct of a Member or Registered Student (“Respondent”). It must be in writing and must give reasonable particulars of the grounds for the complaint.
The complaint is made to the Institute’s President and CEO:
Christine Sawchuk,
CPA, CA, CBV, MEd, PhD,
President & CEO
[email protected]
416-613-9551
Considering complaints
Complaints are reviewed by a committee of the Board of Directors, the Conduct and Discipline Committee (“CDC”), comprised of three to fifteen volunteer members, generally experienced CBVs and up to one layperson. The Chair of the CDC is appointed by the Board of Directors for a three-year term and may be a director of the Institute. The Chair of the CDC appoints the additional CDC members for a three-year term. The Chair of the CDC reports to the Board on the CDC’s activities. Decisions of the CDC require approval of a majority of the members of the CDC Panel at a duly held meeting.
On receiving a complaint, a Panel of three to fifteen CDC members is formed. The Chair of the CDC generally serves as Panel Chair unless there is a conflict. CDC members cannot serve on a Panel if they have prior familiarity with the matter, are intimate acquaintances of the Respondent or Complainant, or are biased in any manner.
The Panel Chair performs an initial review to determine whether the complaint is in the public interest to pursue. A complaint may not be accepted if the matters raised areoutside the scope of the Institute, are trivial or vexatious, raise non-substantial allegations of non-compliance, or if the complaint has been otherwise advanced for improper, malicious, or bad faith purposes. If the complaint is within scope, the Panel Chair informs the Respondent, sends them a copy of the complaint, and the CDC Panel reviews and investigates further. If the complaint is out of scope, the Complainant is advised in writing that no further action will be taken.
Investigating complaints
The Panel Chair requests supporting material from the Complainant (which is made available to the Respondent) and requests material from the Respondent to refute the complaint. Once received, the Panel Chair convenes a Panel meeting to determine whether there are sufficient grounds to investigate or proceed. If an investigation is needed, the Panel appoints one or more investigators with appropriate professional capabilities, who gather information and deliver a report to the CDC Panel.
The CDC Panel may determine that:
- There is sufficient evidence of professional misconduct to lay a charge and direct the matter to a hearing before a Discipline Tribunal (the CDC Panel may accept a settlement agreement with the Respondent, which if accepted closes the matter); or
- There is insufficient evidence that the Respondent committed professional misconduct, and the matter should be closed.
If a charge is to be made, the Panel Chair prepares the charge setting out the breaches. The President and CEO serves notice of the charge on the Respondent and informs the Complainant of the decision to lay a charge before the Discipline Tribunal.
Adjudicating complaints
When the CDC lays a charge that is not resolved by agreement, a Discipline Tribunal is convened to hear the matter. The Tribunal normally consists of a Chair and two additional members, subject to safeguards against conflicts of interest and bias. The CDC and the Respondent are the parties to the proceeding; the Complainant does not have standing before the Tribunal.
Before the hearing, the parties exchange written particulars of their evidence. Both may be represented, present oral and written evidence, call witnesses and question the other party’s witnesses. Hearings are governed by Ontario law, conducted in English or French, and held in Toronto, although parties and witnesses may participate remotely. Hearings are not open to the public or the Complainant unless the CDC and the Respondent agree otherwise.
The Discipline Tribunal issues a written decision and may dismiss the Charge or find it proved in whole or in part. If a Charge is proved, the Tribunal may impose no sanction or one or more sanctions which may include suspension or termination of membership or Registered Student status, professional development or supervision requirements, a fine, costs, reimbursement of certain fees, or a reprimand.
The CDC or the Respondent may appeal the decision of the Discipline Tribunal within 20 days; appeals are decided on written submissions and the existing hearing record, without new evidence.
Following the appeal period or the disposition of an appeal, the Institute publishes a summary of the matter and any sanctions imposed. The Respondent is identified where the sanction includes suspension or termination; otherwise, the summary may or may not identify the Respondent, subject to orders of the Tribunal.
For further information
Contact Heather Bennett, MLIS, CBV, Director, Regulatory and Standards at 416-613-9550 or [email protected].