UKAHPP Complaints Procedure

Introduction

The purpose of this procedure is to provide a means of examining a complaint against a Practitioner Member of the UK Association for Humanistic Psychology Practitioners (UKAHPP), to determine whether a violation of the UKAHPP Code of Ethical Principles or the UKAHPP Code of Practice has taken place, and to recommend further action. Such action may include sanctions against the Member, or Termination of Membership, if the complaint is upheld.

Complaints Procedure Summary

The complaints procedure goes through the following stages:

Statement of Complaint: The Statement of Complaint is written by the Complainant and outlines the nature of the complaint and the identity of the Member complained about.

Assessment: The Statement of Complaint is assessed by the Ethics Committee to check that it is a valid complaint about a member’s practice.

Facilitation: The Facilitation phase enables the Complainant to clarify and formalise the nature of the complaint with the help of a neutral facilitator. It is also used to decide whether a mediated settlement of the complaint is possible or whether to move straight to a formal Investigation.

Mediation: Mediation is a process where a Complainant can pursue a settlement of their complaint with the Member complained about without recourse to a formal hearing. It is optional and does not deny access to a formal hearing. For mediation to be deemed successful, the complaint must be withdrawn in its entirety.

Investigation: The Investigation is a process where an Investigation Panel gathers supporting evidence from both sides in the complaint, so that all aspects of the case are known in writing. This is a preparatory stage for an Adjudication Meeting.

Adjudication: The Adjudication is a formal hearing held by an Adjudication Panel in which both parties can state their case to the Panel. In sensitive cases, face to face meeting can be avoided at the discretion of the Panel. After the hearing, the Panel will decide the outcome.

Sanctions: If the Adjudication Panel finds in favour of the Complainant, they can impose sanctions on the Member complained about. Sanctions range from further training to Termination of membership.

Appeals: Either party can appeal. The appeal can only be with regard to the correct application of the complaints procedure, not against decisions of the Adjudication Panel.

Complaints Procedure

1 Statement of Complaint

Summary: The Statement of Complaint is written by the Complainant and outlines the nature of the complaint and the identity of the Member complained about.

1.1 The Complaint Procedure is initiated by the Complainant sending a Statement of Complaint to the UKAHPP.

1.2 A Statement of Complaint must meet the following criteria:

  • It must be in writing, either by post or by email. The statement should be sent to the UKAHPP General Secretary at:

UKAHPP
Box BCM AHPP
London
WC1N 3XX

or by email to:

admin@ahpp.org.uk

  • Postal statements should be signed by the Complainant or, in the case of a Complainant under 16 (Scotland) or 18 (rest of UK) or a vulnerable adult, it should be signed by their parent, guardian or a responsible adult. Email statements cannot be signed; in that case the Complainant will be asked to sign the statement later in the complaint process.
  • It must give the full name of the Complainant and the full of name of the UKAHPP Member complained about.
  • It must state what was the relationship between the Complainant and the Member complained about; such as client and therapist, trainee and trainer, etc. and include any other form of contact between them in any setting.
  • It must include details of the Incidents complained about, and the dates on which they took place.
  • The Incidents complained about must have taken place within the five years preceding the date on which this Statement of Complaint is first received by the UKAHPP General Secretary.

1.3 The Member complained about must have been a member of the UKAHPP at the time of the Incidents complained about. If the Member complained about was not a member of UKAHPP at the time of the Incidents, the matter cannot be handled by UKAHPP.

1.4 After a Statement of Complaint has been received, the Member complained about will not be permitted to resign while the complaint is in progress.

1.5 If a Complainant sends the Statement of Complaint more than five years after the Incidents took place, they must request the UKAHPP Board of Directors to grant permission to initiate the Complaints Procedure by providing an explanation of the reasons for the delay. As part of its consideration of this request, the Board may conduct an informal exploration of the current circumstances and practices of the Member complained about.

1.6 A complaint can be brought:

  • By a member of the public using or seeking the services of the UKAHPP Member.
  • In the case of a Complainant who is under 16 (Scotland) or 18 (rest of UK) or who is a vulnerable adult: a parent, guardian or other responsible adult acting on their behalf.
  • By third parties acting on behalf of a member of the public using or seeking the services of the UKAHPP Member user. Third-party complaints are only admitted at the discretion of the Board.

1.7 Complaints made anonymously are inadmissible. The facilitation phase of the complaints procedure makes provision for confidential discussion of the possibility of making a complaint and the issues involved in doing so.

1.8 Once a complaint has been received and both Parties informed there must be no contact of any form between them other than through the Complaints Procedure until the complaint is resolved. Exceptions to this must be agreed with the Complaint Coordinator.

2 Assessment

Summary: The Statement of Complaint is assessed by the Ethics Committee to check that it is a valid complaint about a member’s practice.

2.1 Within 28 days of a complaint being forwarded by the General Secretary to the Chair of the Ethics Committee, the Ethics Committee will determine if a complaint is valid and whether a member has a case to answer.

2.2 The Ethics Committee will not progress a complaint if it is determined to be:

  • Ineffective if accepted, whether because of inconsistency or conflict with UK law or any enactment of the association’s constitution, Code of Practice or Ethical Principles.
  • Infeasible to implement, whether because of legal, logistic or other constraints, including being handled by another organisation, UK legislature or because it is not in the public interest
  • It is a substantial duplication of an existing complaint or contradicts the findings of a previous case submitted by the Complainant
  • It is outside the scope of the organisation’s objectives
  • It is Vexatious, frivolous, dilatory, incorrect or defamatory of any person.
  • The Member complained about is deceased

2.3 If the Ethics Committee determine that a complaint is not valid and there is no case to answer they will write to the Complainant and the Member complained about, via the General Secretary, informing them of this decision within 7 days of this decision being made. In this case the Complaints Procedure ends.

2.4 If a complaint is of a criminal nature, the Ethics committee via the General Secretary will contact the police. In this case the Complaints Procedure continues.

2.5 If a complaint is lodged against a member who has Registration with other professional organisations, the Ethics Committee will liaise with such organisations via the General Secretary, to determine which organisation is best placed to progress a complaint. The Complainant and the Member complained about will be informed of this decision.

  • Complaints lodged against UKAHPP members who also hold UKCP registration will normally be heard under the UKCP complaints procedure and as such will be forwarded to the UKCP within 28 days of being received.

2.6 The UKAHPP reserves the right to process a complaint that has also been forwarded to another organisation. Membership of another organisation does not exonerate any Member from answering to the UKAHPP’s Codes of Conduct.

2.7 If the Ethics Committee determines that there is a prima facie case to answer, within 7 days of this decision they will write to both Parties via the General Secretary as follows:

  • to the Complainant acknowledging receipt of the complaint and providing a copy of the UKAHPP Complaints Procedure and information about what happens next and within what time frame.
  • to the Member complained about providing an outline of the complaint and from who received, a copy of the UKAHPP Complaints Procedure and information about what happens next and within what time frame.

2.8 A Complaint Coordinator is appointed by the Ethics Committee from its own ranks to oversee the complaint.

3 Facilitation

Summary: The Facilitation phase enables the Complainant to clarify and formalise the nature of the complaint with the help of a neutral facilitator. It is also used to decide whether a mediated settlement of the complaint is possible or whether to move straight to a formal hearing.

3.1 The Complaint Coordinator allocates Facilitators, members of UKAHPP who have no relationship with the Member complained against, to assist the Parties involved. Either party can propose a Facilitator if they have a preferred choice. Each Facilitator must have no previous connection with the other party in the complaint.

3.2 The Complainant is contacted by a Facilitator to offer confidential help and support in making their complaint. Such support can be advice on the procedures involved and help in formulating what the Complainant may wish to say in the meetings that follow. In particular, the Facilitator helps the Complainant to formulate their complaint in terms of the UKAHPP Code of Practice or Code of Ethical Principles. Complainant and Facilitator explore the possibility of resolving the issue by Mediation, prior to entering the Formal Investigation stage. The Complainant may refuse this offer.

3.3 The Member is contacted by a Facilitator to offer confidential help and support through the Complaints Procedure. The Member may refuse this offer.

3.4 If both Parties agree to mediation, the Complaint Coordinator initiates the Mediation process. If mediation is rejected by either party, or is deemed inappropriate by the Complaint Coordinator, the Investigation process is initiated.

3.5 Mediation will be deemed inappropriate if the Complaint Coordinator determines that the information contained in the complaint indicates a risk to the public through the malpractice of the Member in which case the Investigation process will take precedence over mediation and will be initiated by the Complaint Coordinator and pursued independently by UKAHPP.

4 Mediation

Summary: Mediation is a process where a Complainant can pursue a settlement of their complaint with the Member complained about without recourse to a formal hearing. It is optional and does not deny access to a formal hearing. Mediation is deemed successful by the withdrawal of the complaint in its entirety.

4.1 If both Parties agree to mediation, the Ethics Committee appoints a Mediator within 28 days. The Mediator may be a Member of UKAHPP or a layperson with no connection with the Member complained against.

4.2 The Complaints Coordinator arranges a Mediation Meeting by negotiating a date, time and place with both Parties. This Meeting is to take place within 28 days of the appointment of the Mediator. If the Parties are unable to agree a date for this Meeting within the time limit, then the time limit may be extended at the discretion of the Complaints Coordinator. If the Meeting cannot be arranged, then the Mediation process is deemed to have lapsed and the Investigation process is initiated.

4.3 The Mediator receives from the Complaints Coordinator all the relevant information about the complaint prior to the Mediation Meeting.

4.4 Both Parties are expected to attend the Mediation Meeting. Both may be supported by a Facilitator or be supported by a Friend. A Complainant under 16 (Scotland) or 18 (rest of UK) or a vulnerable adult may also be supported by a parent, guardian or responsible adult.

4.5 At the Mediation Meeting the role of the Mediator is to help the Parties clarify their issues and reach a satisfactory outcome. The Mediator:

  • hears a statement from the Complainant
  • hears a statement from the Member
  • allows comments of clarification from the Facilitators. This initial expression of views is heard without interruption or contradiction.
  • hears responses from both Parties to this initial round
  • hears both Parties put forward their wishes for a satisfactory outcome

4.6 If no agreement can be reached this outcome is recorded in writing by the Mediator and signed by both Parties and a copy sent to them. The Investigation process is then initiated by the Complaint Coordinator.

4.7 If the Complainant wishes to withdraw the complaint before the Investigation process, the Complaint Coordinator will determine if UKAHPP has an obligation under its public protection commitment to pursue on Investigation independently.

4.8 If agreement is reached, the Mediator documents in writing the agreed resolution and any agreed future action for either or both parties, together with a time scale or date for completion. Both Parties sign this document and a copy is sent to them.

4.9 The Ethics Committee writes to the Complainant and Member via the General Secretary with a summary of the Mediator’s Report within 7 days of the final Mediation Meeting.

4.10 If a resolution acceptable to both Parties with no future actions is agreed the case is closed.

4.11 If future actions within a time scale have been agreed then the Complaint Coordinator is informed by the Member when they are completed, or pursues them if defaulted upon. The complaint is deemed resolved when the actions have been completed and this has been confirmed by the Complaint Coordinator.

4.12 If future actions were agreed but not carried out, then the Complaint Coordinator initiates the Investigation process as if no agreement had been reached.

4.13 The two Parties involved will pay the mediator’s fee, UKAHPP will pay venue fees. All payments must be made in advance.

4.14 If an Investigation is to follow the Mediator cannot be involved, but the Facilitators may continue with these roles.

5 Investigation

Summary: The Investigation is a process where an Investigation Panel gathers supporting evidence from both sides in the complaint, so that all aspects of the case are known in writing. This is a preparatory stage for an Adjudication Hearing.

5.1 Should mediation be deemed inappropriate, be rejected by either party or not reach a mutually satisfactory outcome, then the Investigation process is invoked.

5.2 The Complaint Coordinator, via the General Secretary, requests that the Complainant send to the General Secretary any additional documents, such as evidence or witness statements, that support the complaint already received.

5.3 On receipt of the supporting documents, the Complaint Coordinator via the General Secretary writes to the Member complained against notifying them that the Investigation is taking place and sends them a copy of the Complainant’s supporting documents.

5.4 The Member complained against makes a written response to the General Secretary within 14 days of receiving the Investigation notice. This written response is forwarded to the Complainant as soon as is practicable.

5.5 The Complaint Coordinator with the help of the Ethics Committee appoints an Investigation Panel within 28 days of receiving the Member’s response.

5.6 The Investigation Panel is made up of three members of UKAHPP.

5.7 Members appointed to the panel have a duty to declare any conflict of interest that may threaten their impartiality.

5.8 The Complainant and the Member complained against each have the right to request one panel member to be replaced by another member of UKAHPP. The Member complained against makes any such request first.

5.9 The Investigation Panel meets to determine the information needed to establish whether a breach of principles or practice may have occurred. If necessary, it contacts or meets with the Complainant and the Member to gather further information. The Investigation Panel decides upon a reasonably prompt timetable for gathering evidence, sets criteria for ending evidence gathering and the end of receipt of submissions, and ensures that both parties have been sent complete documentation prior to writing their formal report.

5.10 The Investigation Panel, through the General Secretary, advises the Complainant and the Member complained against in writing of their conclusions. These conclusions will be a formal report stating whether the Panel considers that there is a case to answer in that a breach of the UKAHPP Code of Ethical Principles or Code of Practice may have occurred.

5.11 If the Investigation Panel concludes that there is no case to answer, the Complaints Procedure is ended by a written statement to that effect sent to both Parties by the Investigation Panel via the General Secretary.

5.12 If the Investigation Panel judges that there are sufficient grounds for the complaint to proceed to Adjudication, the panel states in a written Report what it considers specifically is the case to answer and this is binding on the forthcoming Adjudication Meeting. The Investigation Panel is not permitted to adjudicate on the complaint itself, even if the Member complained against acknowledges the validity of the complaint. This Report is sent to the Complaint Coordinator.

6 Adjudication

Summary: The Adjudication process is a formal hearing held by an Adjudication Panel in which both parties can state their case to the Panel. In sensitive cases, face to face meeting can be avoided at the discretion of the Panel. After the hearing, the Panel will decide the outcome.

6.1 Within 28 days of receiving the Investigation Panel’s report indicating sufficient grounds for the complaint to proceed, the Ethics Committee, with the approval of the UKAHPP Board, appoints an Adjudication Panel of three people, different from members of the Investigation Panel.

6.2 The Adjudication Panel is made up of three people, at least one of whom will be a lay representative, not a member of UKAHPP.

6.3 The purpose of the Adjudication Panel is to arrange for and facilitate a formal Adjudication Meeting where the complaint will be heard.

6.4 Members appointed to the Adjudication Panel have a duty to declare any conflict of interest that may threaten their impartiality.

6.5 The Complainant and the Member complained against each have the right to request one Panel member to be replaced by another person. The Complainant makes any such request first.

6.6 Once the Adjudication Panel is formally constituted they select a Chair from amongst their ranks.

6.7 The Ethics Committee is responsible for ensuring that the Investigation Panel’s Report is made available to the Adjudication Panel.

6.8 The Complaints Coordinator arranges an Adjudication Meeting by negotiating a date, time and place with both Parties. This Meeting is to take place within 28 days of the appointment of the Adjudication Panel. The date of the Adjudication Meeting will, whenever possible, be agreed by all Parties before being confirmed in writing. If the Parties are unable to agree a date, then the 28 days may be extended at the discretion of the Adjudication Panel. The Panel’s decision in this regard is binding on all parties.

6.9 The Adjudication Panel may invite witnesses to attend the Meeting to answer questions about their written submissions.

6.10 Both Parties and any witnesses attend the Adjudication Meeting, usually at the same time, but in certain circumstances it may be considered desirable that the Parties have no direct communication with each other, at the discretion of the Chair.

6.11 Each Party may be accompanied by a Friend or by their Facilitator. In the case of a Complainant under 16 (Scotland) or 18 (rest of UK) or who is a vulnerable adult, they may also be supported by a parent, guardian or responsible adult. The Complainant may choose at times for one of their supporters to act as their Representative.

6.12 Powers of attorney will not be accepted except under extraordinary circumstances that must be approved by the UKAHPP Board prior to the meeting.

6.13 There can be no new evidence submitted at the Adjudication Meeting.

6.14 Should either party fail to attend the Adjudication Meeting, the Meeting will go ahead based on the written evidence, supported if present by the missing party’s Representative. Allowance should be made by the Adjudication Panel for extenuating circumstances as justification for non-attendance.

6.15 The Adjudication Meeting proceeds as follows:

  • A summary of the Complainant’s case is put by themselves or by their Representative.
  • A summary of the case of the Member complained against is put by the Member.
  • The Complainant or their Representative put questions, through the Chair, to the Member complained against.
  • The Member complained against puts questions, through the Chair, to the Complainant.
  • The Panel seeks clarification through questions to the Complainant, the Member complained against, and any witnesses present.
  • When the Chair is satisfied that the Panel has gained sufficient information to adjudicate the complaint, both Parties and their supporters are asked to withdraw whilst the Panel considers.

6.16 The full proceedings of the Adjudication Meeting may be recorded at the discretion of the Panel Chair and with the consent of the Parties involved. The recording, if made, includes any discussions held where not all the Parties are present. The recording will be archived confidentially by UKAHPP per section 10.3. If an Appeal is brought the recording will be used to assist with the Appeal. The recording will not be used for any other purpose and neither Party will be given a copy.

6.17 The Adjudication Panel then determines whether a breach of the designated Codes has occurred or whether it is probable that a breach has occurred. If necessary, a majority ruling will stand as the Panel’s decision.

6.18 Where a breach is deemed to have occurred, or has probably occurred, the Adjudication Panel may recommend that sanctions be imposed on the Member complained against. The Panel’s decision on the complaint and its recommendation on any sanctions is communicated in writing to the Complaint Coordinator; who in turn informs the General Secretary.

6.19 In all cases the Adjudication Panel should indicate the timetable expected for compliance and the consequences of non-compliance

6.20 Within 14 days of the Adjudication Meeting, the Adjudication Panel, through the General Secretary, informs the Complainant and the Member complained against in writing of the Adjudication Panel’s conclusions as to any breach of the designated Codes, but not the recommended sanctions. The General Secretary also passes the Panel’s decision on to the UKAHPP Board, together with its recommendation as to any sanctions that might be applied.

7 Sanctions

Summary: If the adjudication panel finds in favour of the Complainant, they can impose sanctions on the Member complained about. Sanctions range from further training to termination of membership.

7.1 In recommending the application of sanctions care will be taken to consider the best interests of the public. Sanctions such as the following may be applied:

  • A requirement that the Member improve their practice in a specific way or take certain measures such as extra training by a certain date.
  • A requirement that the Member be monitored by a supervisor, acceptable to UKAHPP and paid for by the Member complained against, for a set period or in certain circumstances, such as when working with particular clients or particular issues.
  • Suspension of Registration or Membership for a specific period until conditions specified by UKAHPP have been satisfied.
  • Termination of Registration or Termination of Membership.

7.2 The Board via the General Secretary communicates in writing to the Member complained against and to the Complainant the sanctions that are to be applied.

7.3 The Board communicates the sanctions to the Ethics Committee and to the Registrar’s Office, the details of all sanctions including any time constraints and of any membership terminations.

7.4 The Member’s compliance in meeting any sanctions is subsequently monitored by the Ethics Committee.

7.5 The Registrar’s Office will enter the sanctions into the permanent record of the Members’ Register.

7.6 The Registrar’s Office is responsible for ensuring that the sanctions are published on the Association’s website in the Public Register which represents the current professional standing of all Registered Members including all current sanctions, current suspensions and terminations. At the discretion of the Board, the Public Register may also inform the public of a complaint in progress.

7.7 Sanctions are held in the Member’s Register indefinitely. However, there are limits on the publication of sanctions in the Public Register:

  • If the sanction is a Termination the name and termination status of the Member will be published in the Public Register for a minimum of 5 years giving the reason for their termination, so the public know that they were removed and not that they were never on the register, or had resigned in good standing.
  • Other sanctions imposed on a member will be published in the Public Register until the sanctions have been spent and any time frames specified as part of the sanctions have expired – at such time reference to these sanctions will be removed.

7.8 UKAHPP members are required to declare membership or registration with other organisations, including statutory registers. In the event of a termination or sanctions imposed out of serious concern for public safety, the Registrar’s Office will inform these other organisations.

8 Appeals

Summary: If the procedure for handling a complaint is not followed, either party can appeal the decision.

8.1 The Complainant or Member complained against can Appeal on the grounds that due process was not followed in accordance with the published Complaints Procedure, by writing to the UKAHPP General Secretary within 28 days of receiving notice of the Adjudication Panel’s findings.

8.2 The General Secretary forwards the Appeal to the Ethics Committee so that the Appeal can be recorded by the Complaint Coordinator.

8.3 The Complaint Coordinator via the General Secretary, forwards the Appeal for review to the External Moderator whose role is to confirm or revise the original decision.

8.4 The Ethics Committee appoints an Appeal Panel made up of two people, one of whom should be a lay person, with whom the External Moderator may consult.

8.5 The External Moderator reviews the case, with the help of the Appeal Panel, and provides the General Secretary with a written Report.

8.6 The External Moderator may decide to:

  • Uphold the decision of the Adjudication Panel on the Member complained against.
  • Modify the decision of the Adjudication Panel and the sanctions imposed on the Member complained against. The External Moderator may consult with the Ethics Committee as to the practicality of the modifications.
  • Uphold the Appeal and make recommendations to the UKAHPP Board as to how they might proceed. The External Moderator may consult with the Ethics Committee as to the practicality of these recommendations.

8.7 The General Secretary passes the Report to the Board for ratification. After ratification by the Board, the Report is forwarded to both Parties by the Board via the General Secretary within 28 days.

9 Protocols

Summary: The Protocols describe principles of conduct that apply to the whole Complaints Procedure.

9.1 All persons taking part in the Complaints Procedure have a duty to declare any interest or association with the Complainant or Member complained against which may threaten their impartiality, in which case substitutes may be made.

9.2 All persons taking part in the Complaints Procedure do not attempt to influence the outcome of the investigation except in the proper presentation of their views according to the procedure. Any such breaches or attempts may result in the procedure being halted or the complaint being dismissed at the discretion of the Ethics Committee in consultation with the UKAHPP Board.

9.3 All persons taking part in the Complaints Procedure should act in a manner that maintains confidentiality.

9.4 In processing the complaint, the current version of the Complaints Procedure is used, not the version current at the time of the Incidents complained about.

9.5 In processing the complaint, the versions of the Code of Ethical Principles and Code of Practice which were current at the time of the Incidents complained about are used, not those current at the time of the complaint.

9.6 Any abusive or harassing behaviour by either Party towards any UKAHPP officers or staff will not be tolerated and will be referred to the Ethics Committee who will decide how the Complaint Procedure can be processed while protecting the officers and staff.

9.7 At any point after the receipt of a Complaint, the UKAHPP General Secretary, acting with the Chair of UKAHPP and the Ethics Committee can suspend some or all the rights of UKAHPP membership of the Member complained about with immediate effect. Such suspension is considered when any one of the following is the case:

  • There is a serious threat to public safety.
  • Significant physical or emotional harm has allegedly been caused.
  • The complaint could result in Termination of Membership if upheld.
  • There is evidence that a criminal offence may have been committed and there is police involvement.

9.8 A Complainant can withdraw their complaint at any time. A withdrawn complaint can be resubmitted at a later date, but acceptance of a resubmitted complaint is subject to the Board’s discretion.

9.9 If at any time during the Complaints Procedure both Parties (Complainant and Member) formally agree in writing to the Complaint Coordinator that they have arrived at a resolution the matter will be communicated to the Ethics Committee who may declare the complaint closed.

9.10 The date of proposed meetings will, whenever possible, be agreed by telephone or email before being confirmed in writing.

9.11 Variation from the stipulated timetables due to extenuating circumstances may be permitted at the discretion of the Complaints Coordinator. Such variances should be communicated to the Complainant and Member and do not constitute a procedural breach.

9.12 All communications must pass through the General Secretary, Ethics Committee or Complaint Coordinator. Communications not so conducted are not authorised or recognised by UKAHPP.

9.13 It is recommended that correspondence regarding the setting of schedules or which contains evidence be sent by Recorded Delivery. Correspondence from the Parties that is claimed to be lost in transit will be assumed not to have been sent unless evidence of dispatch can be produced. Lost correspondence is not grounds for changing the timetable of the procedure or affecting its progress.

9.14 All formal announcements from the UKAHPP to the Parties to the complaint must be approved by the Ethics Committee via the General Secretary and in accordance with published procedure.

9.15 Failure by either Party to attend Facilitation, Mediation or Adjudication Meetings, where such attendance has been previously agreed, will result in the complaint proceeding through Adjudication, should the Investigating Committee consider there is a case to answer.

9.16 UKAHPP is not responsible for travel or any other expenses incurred by the Complainant, or the Member complained against, or by any witnesses, at any stage of the complaint. Costs borne by UKAHPP may be required from either Party to the complaint.

10 Record Keeping

Summary: The UKAHPP keeps records of complaints and the outcomes of Complaint Procedures. This section describes the nature of these records and the retention policy of these records.

10.1 Once the Complaints Procedure has completed, the Complaint Coordinator will send all electronic and paper documents and recordings relating to the complaint to the UKAHPP Administrator for storage in the Complaints Archive.

10.2 Once the Administrator has acknowledged receipt of archival items, all officers involved in the complaint procedure will destroy their personal copies of case material.

10.3 The Administrator will hold archived documents in the Complaints Archive for a minimum of 7 years, after which they will be deleted or destroyed.

10.4 Summary outcomes of complaints are held in confidence by the Registrar’s Office indefinitely.

10.5 Summary details of sanctions are published in the Public Register only while they are current, as per section 7.7.

10.6 Information concerning any complaint where there was: no case to answer; the complaint was not upheld; or where it was upheld and any sanctions’ time frame have been spent, will not be disclosed to a third party without written and signed consent from the Member complained about. Unless there are significant reasons to do otherwise, the UKAHPP will not acknowledge or deny that such complaints were ever made.

History

Minor Revisions: March 2017

Rewritten: January 2017.

Minor Revisions: July 2011, March 2009, November 2003.

First version: November 2002.