Ontario Herbalists Association

Promoting safe & natural healing with plants since 1982

Disciplinary Procedures

COMPLAINTS PROCESS / DISPUTE RESOLUTION

Approved by the Board of Directors and accepted by the Professional Members on January 8, 2021.

 

GENERAL:

With respect to any complaint received by the OHA about a Professional Member, the Complaint Process (also known as the “Process”) will commence upon a Complainant’s notice to the OHA of the existence of a concern or conflict, which notice will include reasonably detailed information concerning the nature of the concern or conflict.

The strictest confidentiality will be maintained throughout all parts of these procedures, and parties who participate at any level of the Complaints Process must sign an Oath of Confidentiality prior to engaging in the Process.

 

Definitions:

Complainant: any member of the public, including another member of the OHA, who invokes the
Complaint Process.

Complaint: any written communication received by the OHA pursuant to the Complaint Process whether by email or postal service regarding a concern or conflict between Complainant and Subject Herbalist.

Confidential Information: has the same meaning attributed to it in the OHA Oath of Confidentiality, and any Attachment signed thereto, which all members of the Ontario Herbalists Association are required to sign before engaging in the Complaints Process.

Ethical or Professional Misconduct: shall refer to the behaviour or conduct of professional members specifically pertaining to the OHA Code of Ethics and Code of Practice, as updated from time to time, or directions, advice or statements issued or made by or on behalf of the OHA BOD.

Formal Complaint: a Complaint received by the OHA pursuant to the Complaint Process from a Complainant identified to the OHA BOD and willing to be identified to the Subject Herbalist;

Informal Complaint: a Complaint received by the OHA pursuant to the Complaint Process from a Complainant identified to the OHA BOD but who wishes to be unknown to the Subject Herbalist;

Ontario Herbalists Association Board of Directors (OHA BOD): shall consist of the OHA President and all acting OHA Directors at the time of the Complaint.

Probation: of a professional member means that the professional member shall not be entitled to vote to elect Directors or on other OHA matters during the period of probation.

Professional Ethics Committee (PEC): shall consist of the OHA President and four other professional members of the OHA BOD, resulting in a quorum of five. Where there is an insufficient number of professional board members, other professional members may be selected to achieve quorum. Members of this committee are chosen by the OHA BOD. This committee is responsible for hearing all appeals and is convened by the President of the OHA. The professional member accused shall have the right to object to any of the members of the PEC with reasonable cause. Should the professional member object to any member of the PEC, the OHA BOD will be responsible for selecting alternate members. No member of the PESC is eligible to be a member of the PEC. No professional member who has had a complaint placed against them, has a vested interest in the case, or who will be offering evidence within a particular case, may sit on the PESC.

Professional Ethics Sub-Committee (PESC): shall consist of four Professional Members and one general or student member of the Ontario Herbalists Association (OHA), resulting in a quorum of five. Members of this committee are chosen by the OHA Board of Directors (BOD). This committee is responsible for the first hearing and is convened by the President of the OHA. The professional member accused shall have the right to object to any of the members of the PESC with reasonable cause. Should the professional member object to any member of the PESC, the OHA BOD will be responsible for selecting alternate members. No professional member who has had a complaint placed against them, has a vested interest in the case, or who will be offering evidence within a particular case, may sit on the PESC.

Subject Herbalist: The OHA Professional Member against whom a Complaint is made by Complainant.

Suspension: Suspension of professional membership means a professional member of the OHA may not attend OHA meetings, receive OHA printed materials or be entitled to vote on OHA issues during the period of suspension. At the end of the period of suspension, the professional member shall be required to reapply for OHA professional membership undergoing the full application process and applicable fees.

 

ACTIONS:

Informal Complaint
The Complaint Process may begin with an Informal Complaint in writing made by a Complainant who does not wish to be identified to the Subject Herbalist. When an Informal Complaint giving notice that a Professional Member of the OHA (Subject Herbalist) is alleged to have conducted themselves in a manner which might constitute Ethical or Professional Misconduct, the President of the OHA (or, where absent, the Vice President of the OHA) will call a special meeting of the OHA BOD to discuss the allegations rather than wait for a regularly scheduled OHA BOD meeting.

In the case of an Informal Complaint, the BOD will contact the Subject Herbalist without disclosing the identify of the Complainant, indicating in general terms the content of the Complaint and giving the Subject Herbalist thirty (30) days to respond.

Formal Complaint
If the Complainant is not satisfied with the Subject Herbalist’s response to the Informal Complaint or if the Complainant is willing to be identified to the Subject Herbalist, and wishes to make a Formal Complaint, and gives notice that Subject Herbalist is alleged to have conducted themselves in a manner which might constitute Ethical or Professional Misconduct, the President of the OHA (or, where absent, the Vice President of the OHA) will call a special meeting of the OHA BOD to discuss the allegations as this cannot wait for a regularly scheduled OHA BOD meeting.

In all cases, the OHA is responsible for responding to the Complainant within 48 hours of receiving a Complaint. If a Complainant making a formal complaint has not provided the information outlined in the OHA Complaint form, this must be requested at this time. The OHA may also send the Complainant a Release Form to be used in the event that Complainant wishes to request a copy of their file for the purposes of the investigation.

Should a majority of the OHA BOD decide that the allegations in question are not of a serious nature or sufficient grounds do not exist with which to commence the Complaint Process, the OHA President will contact the complainant to inform him/her of the decision of the OHA BOD in a form similar to that outlined in Appendix 3 – No Further Action Template.

Should a majority of the OHA BOD believe that the Complaint Process must be pursued in full, a Professional Ethics Sub-Committee (PESC) will be selected during the OHA BOD meeting.

Immediately thereafter, the OHA President will serve written notice with details of the allegations in question to the Subject Herbalist. This notice, which will be served in writing, on OHA letterhead, which is pdf’d and emailed to Subject Herbalist, will include:

  • Full details of the Complaint against Subject Herbalist and a request for the Subject Herbalist’s perspective, and supporting evidence thereof;
  • A copy of the OHA Code of Practice and Ethics;
  • A full list of the PESC members, and request for acceptance or rejection of the members of the PESC on reasonable grounds; Subject Herbalist must also be advised that they are permitted to reject the PESC once for any given Complaint; thereafter the PESC will be compiled by OHA BOD without discussion;
  • A demand for a response within 5 days of receiving said communication. Should the Subject Herbalist require further time to prepare their evidence, they must submit a request in writing to the PESC as part of their initial response to the PESC. An extension of no more than 5 days may be permitted, depending on the circumstances.

Should the Subject Herbalist reject the PESC on reasonable grounds, the OHA BOD will select alternate member(s). The OHA President shall then notify the Subject Herbalist of the updated PESC membership in writing. No approval of the updated PESC is required by Subject Herbalist.

Should the Subject Herbalist fail to provide their response within the requested time period, the PESC shall proceed with their first meeting without the benefit of having considered the Subject Herbalist’s evidence. However, should there be a valid reason as determined by the PESC for the member’s lack of response or should it be determined that more information is required, the first meeting may be postponed by the PESC.

On the date of the first hearing and after considering the Complaint against the Subject Herbalist as well as the evidence (or lack thereof) supplied, the PESC shall decide whether there is a legitimate case of Ethical or Professional Misconduct. The PESC may then:

  • a. Find that there is insufficient evidence to support the Complaint and shall dismiss the case, and notify the Complainant in writing in a form similar to Appendix 3 – No Further Action Template. The Subject Herbalist will not be subject to any disciplinary actions.
  • b. Find that a valid case exists and conduct a full investigation.
  • c. Should the PESC, upon conducting a full investigation, determine that the Subject
    Herbalist was, or could reasonably be considered to have been at fault, then the PESC shall choose one or more of the following actions:

     

    • Reprimand and give the Subject Herbalist clear and unequivocal guidance
      regarding their actions in relation to the OHA Professional Code of Ethics and Code of Practice including, but not limited to, required changes (which may include, for example, ensuring pricing is updated on public site);
    • Reprimand and require the Subject Herbalist to undertake a course in ethics or a subject that specifically addresses their act of misconduct;
    • Place Subject Herbalist on probation for a period of one to three years as determined by the PESC;
    • Fine the Subject Herbalist not less than $250 and no more than $1000 to be paid within 28 days of the conclusion of the Complaint;
    • Suspend the Subject Herbalist indefinitely. The member’s listing as a professional member of the OHA shall also be removed from the OHA website and all OHA literature and advertising for the period of suspension.
    • Outcomes, whether there be no punishment, reprimand, probation, fine or suspension must remain confidential to conform with Canadian Privacy rules.

The PESC shall, within five days of its decision, serve written notice to the OHA President of its decision.

The OHA President will take the PESC decision to the OHA BOD for discussion, ratification, or proposed amendment.

Upon hearing from the OHA BOD, the PESC will write to both the Subject Herbalist and Complainant. For the Subject Herbalist, this notice shall include:

  • a. The PESC’s decision;
  • b. The Subject Herbalist’s right to appeal said decision to the PEC, including information regarding the appeals process.

For the Complainant, this notice shall include:

  • a. A non-confidential summary of actions taken
  • b. A notice of conclusion

Any Subject Herbalist who has incurred the above fines and has not paid within the proscribed period of time shall be suspended until such fines are paid. The OHA BOD, at its discretion, may also determine that Subject Herbalist may be no longer regarded as a Professional Member of the OHA for a period of time as recommended by the PESC and approved by the BOD.

The Subject Herbalist may re-apply to the OHA for professional membership when their fines have been paid in full.

 

APPEALS:

1. If the Subject Herbalist decides to appeal the decision of the PESC, they must serve written notice of appeal to the President of the OHA within thirty days of receiving the decision. If they do not appeal within that amount of time, the Subject Herbalist’s right to appeal will be considered lost.

2. Should the President of the OHA receive the Subject Herbalist’s notice of appeal, he/she shall ask the OHA BOD to convene the PEC within fourteen days of receiving said notice.

3. The President of the OHA shall serve written notice to the Subject Herbalist with:

  • a. A list of the members of the PEC
  • b. Notification of his/her right to object to any of the members of the PEC on reasonable
    grounds
  • c. A request for acceptance or rejection of the PEC membership in writing. This
    statement must be sent by the Subject Herbalist within fifteen days of receiving said request.

4. Should the Subject Herbalist accept the PEC membership as it stands, the OHA President shall contact the Subject Herbalist in writing regarding the following:

  • a. The date, time and place of the appeal, to be not less than fifteen days after the receipt of said notice.
  • b. The need to submit written notice within fourteen days of receiving the PEC’s request including:
    • His/her intention to be heard personally by the PEC or if he/she has chosen to be represented by another professional member or;
    • His/her intention to submit a written statement of evidence on his/her behalf.

5. Should the Subject Herbalist reject the PEC membership as it stands, the OHA BOD shall select alternate member(s). The OHA President shall then send a request for acceptance or rejection of the PEC membership in writing to the Subject Herbalist. This statement must be sent by said Subject Herbalist within fifteen days of receiving said request. The Subject Herbalist may only reject the membership of the PEC once in any given case of alleged Ethical or Professional Misconduct.

6. The President of the OHA shall also inform the Complainant of the Subject Herbalist’s request for an appeal.

7. The PEC may call for the Subject Herbalist to submit further evidence before the appeal. This written request must be served on the Subject Herbalist and must include clear details of what evidence is being sought. The Subject Herbalist must send his/her response in writing to the PEC not more than fourteen days after he/she receives the above stated notice. His/her response may include:

  • a. A written response including the evidence requested;
  • b. A written response requesting to present oral evidence and what that evidence might
    entail;
  • c. A written reply stating that he/she has no further evidence to submit.

8. Should the Subject Herbalist fail to serve the PEC their response to the above request within the requested time period, the PEC shall proceed with the appeal without the benefit of having considered the Subject Herbalist’s evidence and/or in the absence of said Subject Herbalist. Should there be a valid reason as determined by the PEC for the member’s lack of response, the appeal may be postponed or adjourned.

9. Should the Subject Herbalist require further time to prepare his/her evidence, he/she must submit a request in writing to the PEC not less than ten days before the date set for the appeal. On receipt of this request, the PEC will postpone or adjourn the appeal for at least fifteen days from the receipt of the request for further time.

10. The PEC may adjourn or postpone the date of the final hearing as it sees fit, provided that written notice of the date, time and place for the new hearing is served on the Subject Herbalist a minimum of fifteen days before such hearing is to take place

11. On the date of the appeal and after considering the charges made against the Subject Herbalist as well as the evidence (or lack thereof) submitted, the PEC shall decide whether there is a case of professional or ethical misconduct against said member. If it finds that no valid case exists, the PEC shall dismiss the case. If the PEC finds that the Subject Herbalist is guilty of professional and ethical misconduct, it shall choose one or more of the following actions:

  • Impose no punishment;
  • Uphold the decision of the PESC;
  • Reprimand and give the Subject Herbalist clear and unequivocal guidance regarding their actions in relation to the OHA Professional Code of Ethics and Code of Practice;
  • Reprimand and require the Subject Herbalist to undertake a course in ethics or a subject that specifically addresses their act of misconduct. The member would be on probation for a period of one to three years as determined by the PEC.
  • Suspend the member from the OHA for a period of time as determined by the PEC as well as fine a sum no less than $250 and no more than $1000 to be paid within 28 days. The member’s listing as a Subject Herbalist of the OHA will also be removed from the OHA website and all other OHA literature and advertising for a period of time as determined by the PEC;
  • Permanently expel the member from the OHA professional membership.
  • Outcomes, whether there be no punishment, reprimand, probation, fine or suspension must remain confidential to conform with Canadian Privacy rules.

12. The PEC shall submit its decision in writing to the Subject Herbalist as well as to the complainant within fourteen days of making its decision. This decision shall be final and binding on all parties.

13. Subject Herbalist who has incurred the above fines and has not paid within the proscribed time period may not attend OHA meetings, receive OHA printed materials or be entitled to vote on OHA issues. As well, the Subject Herbalist who has not paid these fines may, at the discretion of the OHA board, be deemed to no longer be a professional member of the OHA for a proscribed period of time. On the remittance of these fines, the person in question may re- apply to become a professional member of the OHA.

14. The PEC shall have the power to suggest changes to these rules for any matters relating to professional and ethical misconduct.

15. All relevant documents pertaining to each complaint must be kept on file for seven years.

To lodge a Complaint of a member’s activity that violates the OHA’s Code of Ethics or Scope of Practice, please fill out the OHA Complaint form and submit to the OHA office.