What Happens After You File a Mandatory Report? Information for Employers

Employers and the College of Occupational Therapists of Ontario (COTO) share an important goal: support safe, ethical and competent occupational therapy care.

Mandatory reporting is one way that employers and the College work together to support that goal. We recognize that by the time an employer files a mandatory report, they may have already spent significant time addressing concerns and supporting an occupational therapist, particularly when a report involves termination.

Submitting the report starts the College’s regulatory process. As COTO staff reviews the information, the employer’s knowledge and records can help us understand the circumstances and assess potential risks.

After an employer submits a mandatory report, COTO staff will acknowledge receipt and may contact the person who submitted the report to arrange a call. During the call, the College will gather information, assess risk and determine appropriate next steps. Depending on the circumstances, this may include starting a formal investigation under the laws that govern COTO.

The College does not formally notify reporters when an investigation is initiated. If an investigation proceeds, an investigator may contact the reporter or employer to request relevant records and additional information.

Employers will almost always have at least 30 days to provide the requested information.  Reasonable extensions may be available when needed. If an employer anticipates difficulty meeting the deadline or encounters other difficulties complying with the investigator’s request, the employer should contact the investigator as early as possible to discuss the circumstances.

We understand that gathering these materials can take time and may not be part of an employer’s day-to-day work. However, the employer is expected to provide the requested records to the College, as these records are necessary and relevant to the College’s investigation. 

Depending on the circumstances, the College may request documents such as:

• a selection of client records
• coaching or performance notes, if applicable
• termination letter or suspension letter, if applicable
• internal investigation or audit documentation
• relevant policies and procedures
• electronic health record or billing audit trails
• the occupational therapist’s appointment schedule
• the occupational therapist’s job description

The documents requested will depend on the nature of the concerns and the information needed to understand the circumstances.

Every workplace has different systems and processes. These options can help make information easier to understand and review:

• Provide all client records requested related to the occupational therapist’s services. These may include relevant referral information, Assistive Devices Program or equipment procurement-related documentation, invoices or billing information, and funder reports such as Automated Provider Reports (APRs). Records should be unredacted. Follow the investigator’s instructions for submitting records securely.
• Group related documents into folders so that different types of information are easy to locate and review.
• Include a short cover letter or document briefly explaining how the documents are organized, what each file is so that it will make sense to someone who does not work in your organization, and providing background information that would help someone unfamiliar with your organization understand the records.
• Add context in for any employee coaching or HR notes. in a separate document or in the cover letter, Include the author’s name, title and the date the notes were written.
• Provide all documents in the format(s) requested by the College.
• Explain exported reports or data. If information is exported from an electronic system, such as an Excel spreadsheet, identify the system it came from and briefly explain what the data represents, including any acronyms used.
  

Clear organization and context can help COTO understand an employer’s information and the circumstances that led to the report. An employer’s cooperation is an important part of the regulatory process. Employers who have policies or procedures related to redaction are invited to contact us, and we would be happy to discuss the College’s powers to receive and request information. Together, employers and COTO play distinct but complementary roles in supporting safe occupational therapy practice and protecting the public.