Inquiry
Most cases are closed at this stage. Objective explanations, with the record and the consent form, prevent the opening of a proceeding.
Clinics · professional councils
Ethics proceedings: how councils investigate and how the defense is built
A complaint to a council follows its own procedure: inquiry, formal proceeding, defense, evidence and judgment. Missing a deadline or answering the inquiry improvisedly compromises the whole case.
Straight answer: the stages of an ethics proceeding
As a rule, the investigation begins with an inquiry (sindicância), in which the council collects explanations and decides whether there is evidence of an ethical breach. If so, the ethics proceeding is opened, with service, preliminary defense, evidence with testimony and expert examination, closing arguments and judgment by a chamber or the plenary. Penalties range from a confidential warning to revocation of the professional license, and an appeal lies to the federal council. The proceeding is confidential and independent of any civil or criminal action on the same facts.
This page is for physicians, dentists, physiotherapists, psychologists, nurses, biomedical scientists and other health professionals, and for technical directors of clinics. We serve companies throughout the State of São Paulo, Brazil, with meetings at our Paulista or Tatuapé offices or by video call, and act before the São Paulo courts (TJSP), the labor courts (TRT-2, TRT-15), the federal court (TRF-3) and administrative bodies.
Decisive points in the ethics defense
Classification under the code of ethics
The charge must identify the article breached. Debatable technical conduct is not, by itself, an ethical breach; the defense separates technical error from breach.
The record as evidence
A complete, legible and contemporaneous record is the main proof that the conduct was adequate. Gaps are read against the professional.
Advertising and social media
A large share of recent complaints involves ads, before-and-after images and promises on social media. Each council has specific rules.
Liability of the technical director
The technical director may answer for acts of third parties at the clinic and for inadequate facilities. Delimiting that liability is part of the defense.
Effects in other spheres
What is said before the council may be used in a civil or criminal case. The ethics defense must be coordinated with the others.
Mistakes that worsen the proceeding
Answering without reading the record
Explanations that contradict the record destroy the professional's credibility. Every answer starts from the existing record.
Approaching the complainant
Attempts at direct settlement after the complaint may be read as pressure. Contact should only occur formally and with guidance.
Missing the preliminary defense deadline
Default in an ethics proceeding limits evidence and the raising of nullities. Deadlines are short and run from receipt.
How the defense is conducted
1. Reading the complaint
Identifying the fact, the article charged, the stage of the proceeding and the deadline.
2. Preliminary defense and evidence
Explanations or written defense with documents, witnesses and an assistant expert when appropriate.
3. Judgment and appeal
Oral argument at the judgment session and, if needed, appeal to the federal council and judicial review of nullities.
Keep the proceeding confidential. Comments to colleagues, patients or on social media may create a new ethical breach and widen the problem.
Frequently asked questions about ethics proceedings
Can an ethics proceeding end in license revocation?
Yes, in the most serious breaches or in case of recidivism, after judgment and appeal. The most common penalties are warnings and censure, confidential or public.
Can I face a council proceeding over social media advertising?
Yes. Price ads, promises of results, before-and-after photos and use of prohibited terms are frequent breaches, with specific rules in each council.
Is it worth settling with the patient during the ethics proceeding?
A civil settlement may reduce litigation, but it does not automatically end the ethics proceeding, which serves the public interest. The decision must consider all three spheres.
Official references and related pages
General legal references in Brazil. Procedural rules and specific breaches are in each council's code of ethics and procedural code.
Received notice of an inquiry or ethics proceeding?
Send the official letter and the deadline through the secure channel. The screening identifies the stage of the proceeding and what the defense must contain.