Ontario · College of Optometrists / College of Opticians of Ontario

What Happens During an Ontario Eye-Care College Investigation?

11 min readLast updated July 14, 2026

An investigation by the College of Optometrists or the College of Opticians can begin without a patient complaint — from a mandatory report, a quality assurance assessment, or the College’s own information — and it can be conducted undercover. Its powers are broad, your protections at this stage are limited, and it can restrict your certificate before any hearing. Knowing how the process works, and where its decisions can be challenged, is how you protect a practice through it.

Cooperation is a duty, but not an unadvised one. Failing to cooperate with the College is itself professional misconduct — so take legal advice on how to respond, then respond properly. And if an interim order is proposed for your certificate, seek advice the same day.

How an investigation begins

Most investigations follow a complaint, but not all. The College can act on a report from another regulated professional, on a mandatory report from an employer or facility operator (the RHPA requires employers to report a registrant they believe has committed misconduct, is incompetent or incapacitated, or may have sexually abused a patient), on the Registrar’s own information where there are reasonable and probable grounds — with ICRC approval — or following a quality assurance practice assessment, which can be conducted at any time.

The College can investigate undercover. In the scope-of-practice matter noted in the complaints guide, the College of Optometrists sent an investigator to the clinic to request an eye examination, to test whether an optician was performing a controlled act. Eye-care investigations are not always announced, and a practice’s day-to-day conduct is exactly what may be examined.

What investigators can do — and the limits of your protections

Where the ICRC directs an investigation, an appointed investigator can compel records and documents, gather relevant material, take witness statements, and interview you. The ICRC may also obtain a peer or expert opinion comparing your care against the standards of practice.

You have fewer procedural protections at this stage than at a hearing: it is a documentary process, there is no right to make oral submissions, and no right for your lawyer to cross-examine the complainant. And failing to cooperate is itself professional misconduct. That is not a reason to respond without preparation — it is a reason to take legal advice on how to respond, and then respond properly.

Interim orders: restriction before any hearing

Where a professional’s alleged conduct exposes or is likely to expose patients to harm or injury, the ICRC may impose an interim order before making any final disposition, and it can last for the entire complaint process. An interim order can place terms, conditions or limitations on your certificate of registration, including suspension — and it appears on the public register. For a practice owner, that is an immediate commercial event. If one is proposed, seek advice at once.

How the ICRC concludes

After any investigation, a panel of the ICRC reviews the file and makes a disposition: no further action; advice or recommendations; an oral caution; a SCERP; an undertaking or acknowledgement; or a referral of specified allegations to the Discipline Committee. The ICRC usually gives written reasons, except where it refers to discipline or an incapacity panel.

Keep the screening threshold in mind. Because the ICRC does not weigh credibility, as long as there is some admissible evidence a serious allegation will often be referred — a referral reflects the seriousness of the allegation, not a conclusion of guilt. A notation of a referral is posted on the public register immediately.

HPARB review

Where a matter is not referred to the Discipline Committee or an incapacity panel, both you and the complainant may ask the Health Professions Appeal and Review Board (HPARB) to review the ICRC decision. The request must be made within 30 days. HPARB considers whether the investigation was adequate and the decision reasonable, based on the material that was before the ICRC.

Notably, professionals are increasingly seeking HPARB reviews themselves — not to overturn a discipline referral, but to set aside a caution or SCERP, precisely because those now sit on the public register indefinitely. The review is worth considering wherever a published outcome is at stake.

The Discipline Committee, if it comes to that

On referral, the College issues a Notice of Hearing setting out the specific allegations. At least ten days before the hearing the College must disclose its evidence and expert summaries; the defence is not obliged to disclose in advance. A panel of three to five professional and public members hears the evidence and determines the facts.

On a finding of professional misconduct or incompetence, section 51 of the Health Professions Procedural Code allows the panel to revoke or suspend the certificate of registration, impose terms and conditions, require a reprimand, impose a fine, and order costs. In sexual-abuse cases it may require the professional to reimburse the College for patient counselling. A summary of the decision is published, and either party may appeal to the Divisional Court.

The consent-resolution point. As at other Ontario colleges, most referred matters come with an offer to resolve on consent — an Agreed Statement of Facts and a Joint Submission on Penalty. It is sometimes the right strategic choice, but a finding is published and permanent. Never accept without legal advice.

Key takeaways

Investigations arise from complaints, mandatory employer reports, other professionals, the Registrar, or a quality assurance assessment that can occur at any time \u2014 and the College can investigate undercover.
Investigators can compel records, take statements, interview you, and obtain a peer/expert opinion. Failing to cooperate is itself professional misconduct.
An interim order can restrict or suspend your certificate before any hearing, for the whole process, and appears on the public register.
Because the ICRC does not assess credibility, a serious allegation with some admissible evidence will often be referred \u2014 and a referral notation is posted publicly at once.
If a matter is not referred, either party may seek HPARB review within 30 days \u2014 and professionals increasingly use it to try to set aside cautions and SCERPs that now publish indefinitely.
Discipline panels (3\u20135 members) can revoke, suspend, impose conditions, reprimand, fine and award costs under s.51. A finding is published, and appeals go to the Divisional Court.

Related courses

Practical, self-paced CPD courses that map onto the issues in this guide. These are educational courses. They are not accredited by the College of Optometrists of Ontario or the College of Opticians of Ontario, and are not a substitute for legal advice.

Dealing With a Complaint or Investigation Professionally

How to conduct yourself through an investigation, on the record and under scrutiny.

View course →

Probity and Honesty for Healthcare Professionals

Honesty and candour under investigation. Concealment turns a care issue into a probity issue.

View course →

Documentation for Healthcare Professionals

What investigators and QA assessments look for in your records.

View course →

Professionalism and Professional Standards for Optometrists and Opticians

The professional standards and controlled-acts rules applied to your care.

View course →

Continue reading: Ontario optometrists & opticians

How to respond to an Ontario eye-care College complaint Remediation and reflection for Ontario optometrists and opticians

Frequently asked questions

Can the College investigate me without a complaint?

Yes. An investigation can follow a mandatory report from an employer or facility operator, a report from another regulated professional, the Registrar acting on reasonable and probable grounds with ICRC approval, or a quality assurance practice assessment, which can be conducted at any time. The College can also investigate undercover, as it did in a scope-of-practice matter involving an optician performing an eye examination.

Can I be stopped from practising before a hearing?

Yes. Where alleged conduct exposes or is likely to expose patients to harm or injury, the ICRC may impose an interim order before any final disposition. It can place terms, conditions or limitations on your certificate of registration, including suspension, can last the entire complaint process, and appears on the public register.

Why might I be referred to discipline if I did nothing wrong?

Because the ICRC screens rather than adjudicates. It reviews the paper record, does not hear live witnesses and cannot assess credibility; it asks only whether the allegations, if true, are serious enough for a hearing. As long as there is some admissible evidence, a serious allegation will often be referred. A referral reflects seriousness, not a conclusion that you committed misconduct.

Should I ask HPARB to review a caution or SCERP?

It is increasingly common, and worth considering with legal advice. Where a matter is not referred to discipline, either party can ask the Health Professions Appeal and Review Board to review the ICRC decision within 30 days. Because cautions and SCERPs now sit on the public register indefinitely, professionals are more often seeking reviews to try to set those outcomes aside.

What can the Discipline Committee do if I am found guilty?

Under section 51 of the Health Professions Procedural Code, a panel can revoke or suspend your certificate of registration, impose terms, conditions and limitations, require you to be reprimanded, impose a fine, and order you to pay costs. In sexual-abuse cases it may require reimbursement of the College for patient counselling. A summary of the decision is published, and either party may appeal to the Divisional Court.

Do I have to cooperate with the investigation?

Yes. Optometrists and opticians are required to respond, produce documents and cooperate with an investigation, and failing to do so is itself professional misconduct. But take legal advice on how to respond before you do — cooperating and being advised are complementary, not alternatives.

This article is general information for optometrists registered with the College of Optometrists of Ontario and opticians registered with the College of Opticians of Ontario, and does not constitute legal advice. Regulatory processes and the law change, and every case turns on its own facts. If you are the subject of a complaint or investigation, obtain advice from a lawyer experienced in professional regulation, and notify your professional liability insurer, before you respond. Last updated July 14, 2026.