{"id":31520,"date":"2026-07-24T22:58:13","date_gmt":"2026-07-24T22:58:13","guid":{"rendered":"https:\/\/healthcareethicscourses.com\/can\/?page_id=31520"},"modified":"2026-07-25T00:52:56","modified_gmt":"2026-07-25T00:52:56","slug":"what-happens-during-a-sao-investigation","status":"publish","type":"page","link":"https:\/\/healthcareethicscourses.com\/can\/what-happens-during-a-sao-investigation\/","title":{"rendered":"What happens during a SAO investigation?"},"content":{"rendered":"\t\t<div data-elementor-type=\"wp-page\" data-elementor-id=\"31520\" class=\"elementor elementor-31520\" data-elementor-post-type=\"page\">\n\t\t\t\t<div class=\"elementor-element elementor-element-fbd67dd e-flex e-con-boxed e-con e-parent\" data-id=\"fbd67dd\" data-element_type=\"container\" data-e-type=\"container\">\n\t\t\t\t\t<div class=\"e-con-inner\">\n\t\t\t\t<div class=\"elementor-element elementor-element-904b872 elementor-widget elementor-widget-html\" data-id=\"904b872\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"html.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\r\n<!-- What happens during a SAO investigation? 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The point to grasp early is that this stage decides whether your matter closes, resolves, or proceeds to a discipline hearing &mdash; and cooperating with it is itself a professional duty.<\/p>\r\n<div class=\"callout\"><p><strong>Cooperate, but insist on fairness.<\/strong> You must engage with the investigation, and refusing to cooperate can itself be treated as misconduct. But you are also entitled to know the substance of the complaint against you &mdash; a Saskatchewan optometry finding was once quashed because the member was not told the purpose of the investigation. Ask what the allegation is, then answer it fully with advice. Opticians: the SCO&rsquo;s Professional Conduct Committee runs the equivalent process under The Opticians Act.<\/p><\/div>\r\n<h2>What the Mediation Committee does<\/h2><p>The Mediation Committee reviews the complaint to decide whether professional misconduct or professional incompetence may have occurred, and whether there has been a breach of the Act, the Bylaws, or the Standards of Practice. It may seek further information from the complainant, from you, and from witnesses, and it may engage experts &mdash; lawyers, investigators, or accountants &mdash; where a matter calls for it. This is the screening stage that shapes everything after it.<\/p><h2>Reference to the Discipline Committee<\/h2><p>Where the Council receives a complaint or a charge against a member, it may refer the matter to the Discipline Committee to conduct an investigation, and that committee may hold a hearing for the purpose of the investigation. In other words, the Discipline Committee is not only the body that judges &mdash; it can also investigate a referred matter. That is why the way you engage from the outset matters so much.<\/p><h2>What the investigation can examine<\/h2><p>Expect close attention to the clinical record, the relevant Standards of Practice, and any question of consent or conflict of interest. Patient information is governed by The Health Information Protection Act, and you may be required to produce records for the investigation. Historic Saskatchewan optometry cases have turned on record production and conflicts of interest, so make sure your file is complete, contemporaneous, and honestly kept.<\/p><h2>Your duty to cooperate, and your right to fairness<\/h2><p>Cooperation is a professional obligation; a refusal to produce records or engage can itself found a misconduct finding. But the duty runs both ways. The regulator must act fairly, which includes telling you the substance and purpose of the complaint before expecting you to answer it. Where an optometrist was found guilty of non-cooperation without being told the purpose of the investigation, the court quashed the finding. Cooperate fully &mdash; and, if you are not told what the allegation actually is, ask.<\/p><h2>Confidentiality and who sees what<\/h2><p>A complaint to the SAO is confidential and not actionable. Its contents and the complainant&rsquo;s identity are shared with the Mediation Committee and with you as the optometrist named, and information may be shared further to the extent needed to investigate properly. Treat everything you receive as confidential to the process.<\/p><h2>How an investigation ends<\/h2><p>An investigation can be closed with no further action, resolved, or referred on to a discipline hearing where the Discipline Committee decides whether you are guilty of professional misconduct or professional incompetence. What you can evidence about insight and remediation by that point materially affects the eventual order &mdash; the companion guide on remediation explains how to build it.<\/p><h2>If you are an optician (the SCO route)<\/h2><p>For opticians, the Saskatchewan College of Opticians&rsquo; Professional Conduct Committee investigates under The Opticians Act. It can resolve a complaint through an alternative dispute resolution process where both parties consent, or recommend that the Discipline Committee hear a formal complaint. That Discipline Committee is made up of at least three people appointed by Council, a majority of them practising members plus a public appointee, and it hears matters in public unless privacy requires otherwise.<\/p>\r\n<section class=\"kt\"><h2>Key takeaways<\/h2><ul><li>The Mediation Committee screens SAO complaints for possible misconduct or incompetence and can engage experts.<\/li><li>Council may refer a matter to the Discipline Committee, which can both investigate and hold a hearing.<\/li><li>Records (governed by HIPA), Standards of Practice, consent, and conflicts of interest are the usual focus.<\/li><li>Refusing to cooperate can itself be misconduct &mdash; but the regulator must tell you the substance of the complaint.<\/li><li>A finding was quashed where an optometrist was not told the purpose of the investigation (Kuntz).<\/li><li>For opticians, the SCO&rsquo;s Professional Conduct Committee investigates under The Opticians Act, with ADR available.<\/li><\/ul><\/section>\r\n<section class=\"courses\"><h2>Related courses<\/h2><div class=\"cardgrid\"><a class=\"ccard\" href=\"https:\/\/healthcareethicscourses.com\/can\/courses\/dealing-with-a-complaint-or-investigation-professionally\/\"><span class=\"ct\">Dealing with a Complaint or Investigation Professionally<\/span><span class=\"cd\">How to engage with an investigation without creating new problems for yourself.<\/span><\/a><a class=\"ccard\" href=\"https:\/\/healthcareethicscourses.com\/can\/courses\/insight-for-fitness-to-practise\/\"><span class=\"ct\">Insight for Fitness to Practise<\/span><span class=\"cd\">Demonstrating genuine insight early can shape whether a matter proceeds to a hearing.<\/span><\/a><a class=\"ccard\" href=\"https:\/\/healthcareethicscourses.com\/can\/courses\/probity-and-honesty-for-healthcare-professionals\/\"><span class=\"ct\">Probity and Honesty for Healthcare Professionals<\/span><span class=\"cd\">Why candour and record integrity carry so much weight once an investigation begins.<\/span><\/a><a class=\"ccard\" href=\"https:\/\/healthcareethicscourses.com\/can\/courses\/fitness-to-practise-for-healthcare-professionals\/\"><span class=\"ct\">Fitness to Practise for Healthcare Professionals<\/span><span class=\"cd\">How regulators assess fitness to practise, and what that means for your case.<\/span><\/a><\/div><\/section>\r\n<section class=\"nextset\"><h2>Continue reading<\/h2><div class=\"nl\"><a href=\"https:\/\/healthcareethicscourses.com\/can\/how-to-respond-to-a-sao-complaint\">How to respond to a SAO complaint<\/a><a href=\"https:\/\/healthcareethicscourses.com\/can\/remediation-and-reflection-for-saskatchewan-optometrists-and-opticians\">Remediation and reflection for Saskatchewan optometrists and opticians<\/a><\/div><\/section>\r\n<section class=\"faq\"><h2>Frequently asked questions<\/h2><details><summary>How long does a SAO investigation take?<\/summary><p>There is no fixed statutory period. The length depends on the complexity of the complaint and how much information the Mediation Committee needs to gather. Serious or contested matters take considerably longer.<\/p><\/details><details><summary>Do I have to cooperate with the investigation?<\/summary><p>Yes. Cooperation is a professional obligation and a refusal to produce records or engage can itself become a misconduct finding. Cooperate fully, but take advice on how to frame what you provide.<\/p><\/details><details><summary>Am I entitled to know what the complaint is about?<\/summary><p>Yes. The regulator must act fairly, which includes telling you the substance and purpose of the complaint. A Saskatchewan finding was quashed where a member was not told the purpose of the investigation.<\/p><\/details><details><summary>Can the Discipline Committee investigate as well as judge?<\/summary><p>Under The Optometry Act, 1985, where the Council refers a complaint to the Discipline Committee, that committee may investigate and hold a hearing for the purpose of the investigation.<\/p><\/details><details><summary>Who sees my response and records?<\/summary><p>The complaint and the complainant&rsquo;s identity are shared with the Mediation Committee and with you. Information may be shared further to the extent required to investigate the concern properly.<\/p><\/details><details><summary>How is the process different for opticians?<\/summary><p>Opticians are investigated by the Saskatchewan College of Opticians&rsquo; Professional Conduct Committee under The Opticians Act, which can resolve matters by alternative dispute resolution or refer them to the Discipline Committee.<\/p><\/details><\/section>\r\n<p class=\"disc\">This guide is general information about the regulation of chiropractors by the Chiropractors&rsquo; Association of Saskatchewan under The Chiropractic Act, 1994. It is not legal advice and does not create a professional relationship. For advice on a specific complaint or investigation, contact the Canadian Chiropractic Protective Association (CCPA) or a regulatory lawyer. 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