Complaints administrative process – veterinarian complaints

Complaints Administrative Process

Processes for receiving and dealing with complaints

Introduction

1. The Veterinary Services Regulatory Board of South Australia (the Board) assists the Minister in administering the Veterinary Services Act 2023 (the Act). An objective of the Board is to regulate the provision of veterinary services for the purposes of maintaining high standards of competence and conduct by veterinarians supporting animal health, safety and welfare and the public interest.

2. The functions of the Board include to receive and deal with complaints made about the conduct of veterinarians.

3. The Board has established a Complaints Review Committee (the Committee) to assist the Board in dealing with complaints. The Executive Officer of the Board also performs and exercises various functions and powers under the Act in connection with the handling of complaints.

4. Part 7 of the Act is relevant to complaints made about the conduct of veterinarians and provides that the Board must establish administrative processes for receiving and dealing with complaints. This document establishes those administrative processes.

5. These administrative processes must be read in conjunction with the Act, the Complaints Review Committee Meeting Process and any other relevant documents that are published by the Board on its website.

6. In some cases it may be necessary for the Board to vary these administrative processes to address the requirements of a particular case, especially taking into account requirements and processes associated with the provision of natural justice.

7. Nothing in these administrative processes limits the ability of the Board to refer the subject matter of a complaint to SA Police or some other agency.

Key terms

8. The following are key terms used in these administrative processes:

business day means a day that is not –

a Saturday or a Sunday; or
a public holiday (other than a part-day public holiday);

Committee means Complaints Review Committee established by the Board;

complaint – this is when an aggrieved person makes a complaint to the Board about the conduct of a veterinarian;

Executive Officer means the person holding or acting in the position of Executive Officer of the Board;

proper cause for disciplinary action – there is proper cause of disciplinary action against a veterinarian –

if the veterinarian’s primary registration was improperly obtained; or
if a waiver or modification under this Act relating to the veterinarian’s registration was improperly obtained; or
if the veterinarian is for any reason no longer a fit and proper person to have primary registration or deemed registration; or
if the veterinarian is guilty of unprofessional conduct; or
if the veterinarian contravenes an undertaking made by the veterinarian and accepted by the Board under section 74(6)(a) of the Act; or
if the veterinarian contravenes an order of the Board under section 74(6) of the Act; or
in any other circumstances prescribed by the regulations;

Tribunal means the South Australian Civil and Administrative Tribunal;

unprofessional conduct includes –

improper or unethical conduct in relation to professional practice; and
incompetence or negligence in relation to the provision of veterinarian services; and
contravention of –
1. a provision of the Act; or
2. a code of conduct or professional standard prepared or endorsed by the Board under the Act; and
conduct that constitutes an offence punishable by imprisonment for 1 year or more under the Act or any other Act or law; and
conduct that constitutes an offence prescribed by the regulations.

9. A reference to veterinarian includes a reference to a person who is not but who was, at the relevant time, a veterinarian under the Act or a veterinary surgeon or veterinary practitioner under the Veterinary Surgeons Act 1985 or the Veterinary Practice 2003 (a repealed Act).

10. A reference to the Executive Officer acting as a delegate of the Board does not derogate from the power of the Board to act in a particular matter itself, or from the ability of the Executive Officer from referring a particular matter to the Board for its determination (and so in such a case the reference will be taken to include a reference to the Board).

Making a complaint

11. A person may make a complaint about the conduct of a veterinarian by –

lodging an online complaint using the Board’s website (https://vsrb.sa.gov.au); or
printing, completing, and lodging a Complaint Lodgement Form. (https://vsrb.sa.gov.au);

12. A complaint lodged online will receive an automated email acknowledging receipt of the complaint and advising that the Executive Officer will conduct an initial assessment within 7 business days.

13. A complaint using the Complaint Lodgement Form must be lodged by posting the complaint to the Board using the following address:

Veterinary Services Regulatory Board of South Australia

GPO Box 11020, Adelaide SA 5001

14. If a complaint is posted to the Board, the Executive Officer will send a written letter acknowledging receipt of the complaint and advising that the Executive Officer will conduct an initial assessment of the complaint within 7 business days.

15. It is a requirement for the complainant or a person acting on their behalf, in making a complaint, to include an acknowledgment –

that the Board will only use and disclose personal information about the complainant for the purpose of assessing and investigating the matters raised by the complaint or for another purpose associated with the operation of the Act; and
that a copy of the complaint, and any supporting documents or information provided by or on behalf of the complainant, may be provided to the veterinarian to enable them to provide a response to the matters raised by the complaint; and
that any supporting documents or information may also form part of a future investigation and may be required as evidence.

16. As provided by section 68(2) of the Act, the Board may also initiate a complaint about the conduct of a veterinarian on its own motion (and then any such complaint will be taken to be a complaint made in accordance with Part 7 of the Act).

17. As provided by section 68(3) of the Act, the Board has a discretion to and may accept a complaint that is lodged with the Board in any other manner the Board thinks fit in a particular case (and then any such complaint will be taken to be a complaint made in accordance with Part 7 of the Act).

If a complaint is made anonymously to the Board, it will not be acknowledged but will be reviewed. The Board notes that anonymous complaints have certain limitations and challenges including difficulty in conducting a thorough investigation, especially if additional information or clarification is required.

18. Complaints will be assessed and, where appropriate, investigated fairly, impartially and in accordance with the principles of natural justice.

Initial assessment of complaint and related processes

Relevant considerations

19. The Executive Officer (as a delegate of the Board), will undertake an initial assessment of the complaint to determine how the complaint should proceed. The Executive Officer will take into consideration (without limitation and without limiting any action under Part 7 Division 4)–

whether the alleged conduct falls within the ambit of the Act;
when the alleged conduct occurred;
whether the complaint should be dismissed;
whether the alleged conduct to which the complaint relates would, if proven, amount to a proper cause for disciplinary action (and in making this determination the Executive Officer may have regard to any evidence of the veterinarian’s conduct that the Executive Officer considers relevant); and
whether on initial assessment it appears the complaint should be dealt with by way of Board resolution under Part 7 Division 3 of the Act; and
whether on initial assessment it appears the complaint is to be dealt with by disciplinary action before the Tribunal under Part 7 Division 5 of the Act; and
whether the complaint raises some other issue that should be referred to SA Police or another agency.

20. As provided by section 70(1) of the Act, a complaint must be dismissed if –

the conduct that is the subject of the complaint is being, or has previously been, dealt with under the Act or a repealed Act; or
the matter raised in the complaint is, in the opinion of the Executive Officer (as a delegate of the Board), trivial, frivolous, or vexatious or otherwise not made in good faith; or
the alleged conduct to which the complaint relates occurred more than 7 years prior to the making of the complaint.

21. A complaint will also be dismissed if it relates to professional fees or charges for veterinary medicines or products, or if it is seeking the Board to pay compensation to any party, as the Board does not have any power to deal with these matters.

22. A complaint may also be dismissed under section 70(2) of the Act if, after undertaking an initial assessment of the complaint –

the alleged conduct to which the complaint relates occurred more than 3 years, but less than 7 years, prior to the making of the complaint; or
the Executive Officer (as a delegate of the Board) is of the opinion that it is not in the public interest or the interests of justice to deal with the complaint; or
having regard to all the circumstances of the matter, further investigation of the complaint is unnecessary or unjustifiable; or
the complaint is not made in accordance with the Act.

23. The Executive Officer (as a delegate of the Board), may also if the Executive Officer thinks it appropriate in the circumstances, determine to take no further action in relation to a complaint (and then the complaint will also be taken to have been dismissed for the purposes of these processes).

Assessment processes

24. The initial assessment by the Executive Officer (acting as a delegate of the Board), may be conducted in such manner as the Executive Officer thinks fit.

Initial timeframe

25. The initial assessment will be conducted within 7 business days after receipt of the complaint or within 7 business days after receipt of any further information requested in relation to the complaint.

Notifications

26. If the complaint is dismissed through the initial assessment,, the Executive Officer must ensure that a notification of the dismissal is sent to –

if the veterinarian concerned has been notified of the complaint – the veterinarian; and
the complainant.

27. The notification –

may be sent –
1. by email, using an email address provided by the person to whom the notification is addressed; or
2. if an email address has not been provided – by post using a postal address provided by the person to whom the notification is addressed; and
should be sent within 3 businesses days after the decision to dismiss the complaint is made.

Processing complaint

Preliminary

28. Unless a complaint is dismissed through the initial assessment, the Executive Officer will –

open a file with a distinct number; and
notify the veterinarian and the complainant about the matter in accordance with the following requirements.

Notifications

29. The initial notification to the veterinarian will be made by the Executive Officer contacting, or attempting to contact, the veterinarian by personal mobile/telephone within 3 business days after the decision to proceed with the complaint is made.

30. The Executive Officer, in making the initial notification to the veterinarian, should –

notify the veterinarian that a complaint has been made; and
provide a high-level overview of the details of the complaint; and
outline the investigations that will be conducted (insofar as this has been determined at this stage of the matter); and
advise the veterinarian that a letter will be sent to them via email confirming the details of the complaint, outlining the processes that apply under the Act and the possible outcomes, and specifying the information that will initially be requested to be provided by the veterinarian; and
inform the veterinarian that support is available to them, including via the Boards Employee Assistance Program (EAP) service; and
invite the veterinarian to contact the Board’s Office at any time if they have any questions or queries about the matter.

31. If the Executive Officer cannot make contact with the veterinarian within 3 business days after the decision to proceed with the complaint is made (after making at least 3 attempts), the Executive Officer may provide the relevant information by a notification by email (as part of the letter to the veterinarian described in the next paragraph).

32. The Executive Office must then send a letter to the veterinarian that –

outlines the details of the complaint made against them; and
outlines the investigations that will be conducted (insofar as this has been determined at this stage of the matter); and
provides information about the processes that apply under the Act in relation to the handling and resolution of complaints and the possible outcomes; and
may include any other information considered to be relevant by the Executive Officer; and
requests that the veterinarian –
1. respond to the matters raised by the complainant within the timeframe provided; and
2. provide copies of all relevant clinical records and notes relating to the animal, including drug treatment details, consent forms, admission forms, radiograph/ultrasound images, original pathology reports, referral reports, dental charts, anaesthetic charts, hospital sheets, and home care sheets; and
if relevant to the details of the complaint, may request that the veterinarian provide –
1. a certificate of currency for the veterinarian’s professional liability policy; and
2. evidence of the veterinarian’s continuing professional development activity undertaken during the past 3 years, such as certificates of attendance at seminars and webinars; and
3. reflective records of continuing professional development activity maintained over the past 3 years; and
may be sent by email, using an email address provided by the veterinarian; and
should be sent within 3 businesses days after the time for making an initial notification under a preceding paragraph.

Response from veterinarian and collection of information

33. A veterinarian who receives a request sent under the preceding paragraph must comply with that request within the period specified in the notification.

34. It is open to the veterinarian to seek an extension of time to provide a response and/or relevant information in relation to the complaint made against them, which the Executive Officer will determine whether to grant in the circumstances.

35. The Executive Officer may, if a request is not complied with or after receiving information provided under a preceding paragraph, make a follow-up request to the veterinarian for the provision of the required information or additional information (as the case may be)

36. The Executive Officer may also, insofar as is reasonably necessary in connection with dealing with the complaint under the Act, request a practice manager or responsible person for the relevant veterinarian practice or registered premises to provide any relevant clinical records and notes relating to the animal, including drug treatment details, consent forms, admission forms, radiograph/ultrasound images, original pathology reports, referral reports, dental charts, anaesthetic charts, hospital sheets and home care sheets.

37. In addition, if it appears to the Executive Officer that another veterinarian may have information that is relevant to the matter, the Executive Officer may request that other veterinarian to provide the information for the purposes of these processes and the consideration of the complaint.

Notification and provision of information to complainant

38. The notification to the complainant –

should confirm the details of the complaint; and
should outline the investigations that will be conducted (insofar as this has been determined at this stage of the matter); and
should provide information about the processes that apply under the Act in relation to the handling and resolution of complaints; and
may include any other information considered to be relevant by the Executive Officer; and
may be sent –
1. by email, using an email address provided by the complainant; or
2. if an email address has not been provided – by post using a postal address provided by the complainant; and
should be sent within 3 businesses days after the decision to proceed with the complaint is made.

39. The Executive Officer may, if considered appropriate, provide any information provided by a veterinarian or another person under the preceding paragraphs to the complainant for their response.

Disclosure of information

40. Without limiting any other provision, the Executive Officer may disclose to any person such information relating to a complaint as is reasonably necessary to ensure that the complaint is dealt with effectively and appropriately under the Act. This disclosure may occur at any stage in processing, investigating or otherwise dealing with the complaint.

Investigation of complaints and next steps

Principles

41. Without limiting any other action that may be taken by the Board, an investigation process (including for the purposes of section 77 of the Act) should be focused on gathering all information to make an impartial decision about the next steps that should be taken.

42. The process at this stage should include –

a focus on the evidence and the facts; and
seeking any additional information that is relevant or necessary to the investigation, including from third parties; and
consideration of any relevant code of conduct or professional standards; and
consideration of any reflections and actions subsequently taken by the veterinarian, or work practices taken to strengthen their future practice; and
consideration of any future risks posed by any behaviour on the part of the veterinarian; and
consideration of any other relevant factor.

Preparation of report and referral to Committee and/or Board

43. Following any investigation of a complaint, the Executive Officer should prepare a file note about the matter and, if the matter is to be referred to by the Committee and/or the Board, prepare a report.

44. In determining whether the complaint should be dealt with by the Executive Officer or referred to the Committee or the Board, the following factors should be taken into account (without limitation):

the type of matter;
the response from the veterinarian;
the seriousness or significance of the matter;
the delegations that have been made by the Board to the Committee

45. The Executive Officer may, before determining the matter or making a referral to the Committee or the Board, seek the advice of the Committee, including on the basis that the Committee will provide a clinical review of a matter or matters associated with the complaint.

46. If a complaint is referred by the Executive Officer to the Committee (as a delegate of the Board, the Committee may, after considering any relevant information provided to the Committee and any principle or requirement specified by the Board in connection with the delegation –

Refer to the full Board
determine whether action should be taken under section 74(5)(6) of the Act in relation to the matter;
take any other action that the Committee considers appropriate in the circumstances (which may include, for example, seeking legal advice, or further legal advice, in relation to the matter);
exercise any power conferred on the Committee by a delegation by the Board.

47. If a complaint is referred to the Board, the Board may –

dismiss the complaint under section 70 of the Act; or
determine whether action should be taken under section 74(5)(6) of the Act in relation to the matter;
cause the matter to be referred back to the Executive Officer for resolution in accordance with Part 7 Division 3 of the Act; or
lodge a complaint in the matter with the Tribunal under section 78 of the Act; or
if it is considered appropriate in the circumstances, take no further action in relation to the complaint.

48. Without limiting any other provision, the Executive Officer must ensure that the veterinarian and the complainant are kept informed of the progress of the complaint, and any outcome, at each stage of the process (insofar as is reasonable and appropriate in the circumstances).

Related considerations

49. If a complaint is to be lodged with the Tribunal and dealt with under Part 7 Division 5 of the Act, the veterinarian and the complaint must be notified within 3 business days

50. It is recognised that the question of whether to bring formal disciplinary proceedings is a significant one, as the effect on those impacted by the decision (the complainant, any witnesses, and the veterinarian) may be considerable. It should never be the rule that a case of alleged unprofessional conduct must automatically be the subject of disciplinary proceedings. Consideration must be given as to whether such action is in the public interest.

51. In deciding whether to proceed with a matter on a formal basis, the following matters will be considered (in addition to other relevant matters):

whether the evidence is sufficient to justify the commencement of proceedings;
if a complaint is lodged with the Tribunal, the availability, competency and credibility of witnesses, the admissibility of any evidence, and defences that may be available to the respondent;
whether bringing disciplinary proceedings will be in the public interest, including taking into account –
1. the seriousness of the alleged conduct; and
2. any mitigating or aggravating circumstances; and
3. the period that has elapsed since the alleged conduct occurred; and
4. the availability and efficacy of any alternatives to formal disciplinary proceedings; and
5. the prevalence of the alleged conduct and the need for deterrence, both from a personal and general perspective; and
6. whether the alleged conduct raises a significant issue of public concern; and
7. the likely length and expense involved in pursuing a matter, especially before the Tribunal; and
8. the likely outcome in the event of a formal finding that there is proper cause for disciplinary action.

52. After investigation of a complaint by the Board in accordance with the complaints administrative process, the allegation and any supporting evidence arising from the investigation will be disclosed to the veterinarian for the purpose of seeking an admission or denial. The veterinarian must be provided at least 21 days to admit or deny the allegation. The Executive Officer must remit the complaint to the Board to be referred to the Tribunal if the allegation is not admitted under section 74(4).

Matters dealt with under Part 7 Division 3

53. If a matter is to be dealt with under Part 7 Division 3 of the Act (and see sections 72(1) and 73 of the Act), the first step is for the Executive Officer to ensure that all the requirements of section 74(3) and 74(4) of the Act are complied with.

54. In acting under Part 7 Division 3, the requirement to have regard to, and to seek to give effect to, the following principles under section 72(3) must apply:

the purpose of a Board resolution under this Division is to avoid formal disciplinary proceedings by dealing with a complaint as a question of educating, and improving the future conduct of, the veterinarian concerned; and
Board resolution of matters under this Division is to be conducted as expeditiously as possible and without undue formality.

Undertakings

55. If it is proposed to accept an undertaking made by the veterinarian, the undertaking should be:

specific in its requirements, adequately describing what is expected of the veterinarian; and
achievable; and
directly relevant to the conduct to which the complaint relates; and
time bound, in that any task to be completed should be required to be undertaken within a specified timeframe.

56. In some cases, the undertaking may have some form of measurement of successful engagement or completion by the veterinarian. For example, any undertaking regarding additional training or the attendance at a training course will require the veterinarian to successfully complete the course.

57. An undertaking should not be so onerous or restrictive that it prevents the veterinarian from working. If such an undertaking is being considered, then the matter should proceed by way of a disciplinary proceedings before the Tribunal or a prosecution.

58. The veterinarian should be provided with an opportunity to comment on a proposed undertaking before it is finalised.

59. If the veterinarian is unwilling to give an undertaking, the Board may consider further or alternative action, including to lodge a complaint with the Tribunal under Part 7 Division 5 of the Act.

Reprimands

60. In the case of a reprimand, a formal letter should be sent to the veterinarian informing them that the complaint has raised serious concerns about their conduct but that it has been resolved not to take the matter to a formal inquiry before the Tribunal.

Conditions

61. In the case of conditions on the veterinarian’s registration under the Act, the Board will need to be satisfied that –

this action is necessary or appropriate to –
1. provide an opportunity for the veterinarian to undertake remedial education or training; or
2. establish that the veterinarian is competent and capable of carrying out particular duties; and
it is appropriate in all the circumstances to impose the conditions having considered –
1. the potential impact of the condition on the veterinarian; and
2. the risks to the community in not imposing the condition.

62. To the extent that a condition on the veterinarian’s registration restricts their right to provide veterinary services or revokes or varies a waiver or modification that applies in respect of the veterinarian’s registration, the veterinarian must be advised of the remedial education or training to be undertaken, and the competencies (if any) required to be demonstrated before the relevant action will be revoked.

63. A condition on the veterinarian’s registration along the lines referred to in the preceding paragraph must be revoked if the veterinarian successfully completes the required remedial education or training and has demonstrated to the Board that the veterinarian is competent and capable of performing the duties to which the action relates.

64. The veterinarian and the complaint must be notified within 7 business days after a requirement under section 74(6) is complied with or satisfied.

Referral to Tribunal

65. Having regard to all the circumstances of the matter and the outcome of any process described above, the Board may decide to lodge a complaint with the Tribunal under Part 7 Division 5.

Complaints administrative process – veterinarian complaints