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Inquiries and Complaints

A complaint received by CPA Saskatchewan must be received in writing (by mail, email, etc).  Once received, a complaint may proceed through one of the following paths:

Intake

1. A complaint is received in writing.  A complaint may be submitted by a member of the public (client or other impacted party), another registrant, a committee of CPA Saskatchewan, the Board, or the Registrar.  All complaints are assessed by staff before proceeding upon receipt.
2. Staff Assessment:
   1. Jurisdiction – if no jurisdiction is determined (e.g. not a member), then communication is sent to the complainant and the case is closed.
   2. Return of records, fees, or other practice management concerns – staff addresses this through the Early Stage Resolution process.
3. All other complaints are acknowledged and then reviewed and assessed by the Chair and Vice Chair of the Professional Conduct Committee.  Their decisions include:
   1. Obtain further information – case remains in the intake process and communication is sent to the registrant with a document request.
   2. No indication of professional misconduct – communication is sent to the complainant and the case is closed.
   3. Conduct an investigation.
   4. Resolution.

Early Stage Resolution

This process is the least formal intended to help resolve matters that do not indicate professional misconduct, however do impact the public perception of the profession.  If, at any time, CPA Saskatchewan staff observes an indication of professional misconduct, the matter is returned to the Intake process to be assessed by the Chair/Vice Chair.

1. CPA Saskatchewan contacts the complainant to discuss the process and to obtain information needed to proceed.
2. CPA Saskatchewan contacts the respondent to discuss and determine what issues/barriers exist.
3. CPA Saskatchewan and the respondent determine a course of action and a timeline for completion if applicable.
4. CPA Saskatchewan discusses the course of action with the complainant.
5. Once the matter is resolved, a Registrar’s Determination is prepared for review by the Senior Director, Regulatory Affairs.  Once signed, the communication is sent to both the complainant and respondent to close the file.

It is important to note that the resolution of the matter does not mean agreement or acceptance by the parties involved.

Investigation

1. Communication is sent to the complainant and respondent to initiate the investigation.  This communication will include a request for documents and the appointment of investigators.
2. Once documents are received, they are indexed and stored in paper and electronic versions.
3. The investigators review the documents, making note of items requiring clarification in the interviews.
4. Interviews are completed with the complainant and the respondent as well as any other party who will have relevant information.
5. The lead investigator prepares the Investigation Report. 
6. A report is presented to the Professional Conduct Committee for determination.  The determinations are one of the following:
   1. Investigation incomplete and additional information is required.  The case is returned to the investigation process,
   2. No further action based on the facts of the case (this means that there was no indication of professional misconduct),
   3. No further action with directive to the respondent.  This requires agreement of the complainant and respondent, or
   4. Referral to Discipline Committee with a formal complaint. 
7. A report is prepared after the Professional Conduct Committee meeting and communication is sent to both the complainant and respondent to advise them of the results.

Resolution

1. Advise the complainant that we would like to proceed with a resolution process.  If the complainant doesn’t agree with this, then we return the concern to the Intake process for reassessment. 
2. If the complainant agrees, a facilitator is assigned and documents are requested.
3. The facilitator reviews the documents, and then engages in discussions to find a solution.  If the document review indicates professional misconduct, then the case is returned to the Intake process.
4. Preferred approach is to use Mediation/Conciliation.  If this approach is not successful, CPA Saskatchewan can use an arbitration approach and issue a determination. 
5. Once the matter is resolved, a Registrar’s Determination is prepared for review by the Senior Director, Regulatory Affairs.  Once signed, then communication is sent to both the complainant and respondent to close the file.

It is important to note that the resolution of the matter does not mean agreement or acceptance by the parties involved.