(UKAHPP Register of Humanistic Psychotherapists and Psychotherapeutic Counsellors)
Introduction – How to raise a concern
As a professional organisation, the UKAHPP requires high standards of practice for professionals (Registrants) on the UKAHPP Register of Humanistic Psychotherapists and Psychotherapeutic Counsellors. However, there are times when Registrants may fall short of these standards and a member of the public or a client may feel they wish to raise a concern.
There are two routes for raising such a concern:
1. for a concern raised about a Registrant, please follow this UKAHPP Complaints Procedure
2. for a concern about UKAHPP as an organisation, please follow the Organisational Complaints Procedure.
This procedure provides a framework for conducting fair and impartial investigations into concerns raised about the practice of Registrants in accordance with the UKAHPP Code of Ethical Principles and the UKAHPP Code of Practice.
GENERAL PRINCIPLES
The current authorised version of the Complaints Procedure will be used for processing all complaints about UKAHPP Registrants. The versions of UKAHPP Code of Practice and Code of Ethical Principles in force at the time of a historical complaint will be used to determine if a Registrant has breached codes, not the current versions.
A complaint may be withdrawn at any stage of proceedings and may be re-submitted at a later date.
If the Complainant and the Registrant arrive at an agreement to resolve the complaint and this is put in writing to the Ethics Committee via the General Secretary, the complaint will be declared closed, unless serious concerns remain about a Registrant’s fitness to practice which is thought to pose a high public protection risk.
In accordance with the UKAHPP’s commitment to public protection, if the allegations made against the practice of a Registrant are credible and significantly serious in nature, the UKAHPP may invoke investigation proceedings even if the complaint is withdrawn at a later date or an agreement has been reached to resolve the complaint.
Any individual with responsibility for discharging the UKAHPP Complaints Procedure who becomes the subject of a complaint or has a conflict of interest that is likely to compromise their impartiality will have no involvement in proceedings and will be replaced by a deputy until the matter is resolved. If an Officer’s role becomes compromised by information of which they are not previously aware, this information will be disclosed to the Officer.
In accordance with UKAHPP By-Laws, resignation from membership cannot be accepted from a member who is the subject of a practice complaint.
Adjustments to this published procedure may be explored by the General Secretary in order to safeguard anyone involved in the process and /or to support those with protected characteristics in accessing the procedure:
Adjustments may include but are not limited to such things as:
• Modes of communication – including secure video link and pre-recorded evidence
• Use of an interpreter, signer or translator
• Representation
• Structure
• Time-tabling
• Physical amenities – including privacy screens
The UKAHPP will send all correspondence relating to a complaint by Recorded Delivery. All correspondence will pass through the General Secretary for quality assurance purposes.
In the interest of fairness the Complainant and the Registrant will normally receive copies of all documentary evidence the other party intends to put forward in support of their case, except in cases where:
• There are multiple complainants and confidential client-specific information is contained in documentation, in which case an appropriate redacted response may be acceptable.
• The Ethics Committee has excluded irrelevant; vexatious frivolous; or duplicated evidence.
There are seven elements to raising a formal concern:
• Statement of Complaint
• Risk Assessment
• Investigation
• Appointing companions for the main parties
• Mediation
• Investigation and Adjudication
• Appeal
The detail of how each element is given in the following pages.
1.0 HOW TO RAISE A FORMAL CONCERN
1.1 The UKAHPP Complaint Procedure will be started when UKAHPP receives a completed Complaint Disclosure Form. This is available on the website or from the UKAHPPP Administrator. Once this is completed, it should be returned to the UKAHPP General Secretary at the published address or as an email attachment to admin@ahpp.org.uk.
1.2 Why do we need a Form to be completed?
The Complaint Form provides UKAHPP with all initial information needed in order to begin the process, including:
• The Complainant’s name, home address and contact details
• The name of the Registrant complained about
• Details of the complaint
• Consent for the UKAHPP to use any other information provided in accordance with procedure.
1.3 All Complaint Disclosure Forms must be signed and dated by the Complainant or by an authorised adult acting on behalf of a vulnerable adult or parent/guardian in the case of a minor under the age of 16 years in Scotland, 18 years for the rest of the UK – electronic facsimile signatures are acceptable.
1.4 Anyone can submit a complaint against a Registrant including:
• Any members of the public – including actual or potential service users
• An authorised adult acting on behalf of a vulnerable adult or parent/guardian in the case of a minor under the age of 16 years in Scotland, 18 years for the rest of the UK.
• Third parties authorised to act on behalf of a named individual
• Third parties reporting serious misconduct about a Registrant’s practice
1.5 Complaints from third parties, where there is no authorisation to act on behalf of a client or member of the public, will be accepted if the Registrant’s identity is known and where there are clear and significant public protection concerns or where there are clear indications that a criminal offence has been or is likely to be committed.
1.6 As a complaint cannot be progressed if the identity of the Registrant is not known, the UKAHPP has made provision for individuals to discuss their concerns in confidence and to discuss the potential risks to public protection if the Registrant’s identity is not disclosed.
1.7 The UKAHPP will not normally accept a complaint on the basis that the Complainant will not be identifiable, unless identification would place the Complainant at risk or the Complainant provides a written statement affirming that they may be identified or become identifiable if the UKAHPP Complaints Procedure is implemented.
1.8. A complaint may be progressed if the Complainant remains unidentifiable whilst making allegations about the conduct of a Registrant’s practice, which give rise to clear and significant concern about public protection or indications of a criminal offence. In the interest of public protection the General Secretary will invoke investigation proceedings under the Complaints Procedure with the UKAHPP Board of Directors being identified as the Complainant for procedural purposes.
1.9 The General Secretary will normally acknowledge receipt of a complaint within 10 working days of submission.
2.0 RISK ASSESSMENT
2.1 Within 10 working days of receipt of the completed complaint form, the General Secretary will conduct an assessment of risk to the public and all parties involved and decide the most appropriate route forward.
2.2 If allegations indicate that a criminal offence has or is likely to be committed, the General Secretary will refer the matter to the Police and inform the Complainant that the UKAHPP Complaints Procedure has been suspended pending completion of any Police investigation.
2.3 In exceptional circumstances the General Secretary in consultation with the Ethics Committee Chair may issue an Interim Suspension Order preventing a Registrant from practicing under the auspices of the UKAHPP pending investigation of a complaint if:
• Allegations give rise to a serious risk to public safety
• Allegations have been made about serious physical, emotional or sexual abuse that may be re-committed
• There is evidence that a criminal offence has been or is likely to be committed
• If the complaint was upheld there is high probability it would result in the issuing of a Dismissal Order and termination of registration
2.4 An Interim Suspension Order may be issued if a complaint has been forwarded to the Police for investigation.
2.5 An Interim Suspension Order is a precautionary safeguarding measure not a disciplinary action therefore it may be withdrawn at any stage of proceedings. An Interim Suspension Order will be recorded on the UKAHPP Register and published in the public domain of the UKAHPP Website with an explanatory note emphasising that due to the seriousness of allegations, the order has been served in the interest of public safety as a safeguarding measure whilst a full investigation is conducted.
2.6 When considering issuing an Interim Suspension Order the General Secretary must ensure that they take into consideration the Registrant’s right to earn a living and the organisation’s duty of care and commitment to public protection.
2.7 The General Secretary will write to the Registrant (with a copy to the UKAHPP Registrar) within 3 days of the decision to issue an Interim Suspension Order explaining that:
• A complaint has been received about their practice – with a copy of the Statement of Complaint Form, any other evidence provided by the Complainant and a copy of the UKAHPP Complaints Procedure.
• An Interim Suspension Order has been issued as a precautionary measure – with information about the nature and conditions of the order.
• Non-observance of the Interim Suspension Order may affect their UKAHPP Registration status and affiliations with other registers and agencies.
• There is no appeal against an Interim Suspension Order but it will be reviewed at each stage of the Complaints Procedure.
• The Ethics Committee will provide details about how the complaint will be progressed
2.8 A Panel may withdraw an Interim Suspension Order at any stage of the procedure. Membership and registration status will be restored and all reference to the Order will be removed from the UKAHPP website and from any personal details held about the Registrant by the UKAHPP.
3. INVESTIGATION
3.1 The General Secretary will forward the Complaint Disclosure Form and supporting evidence (the complaint) to the UKAHPP Ethics Committee within 10 working days of receipt of the complaint.
3.2 The Ethics Committee will convene via secure teleconference meeting within 14 working days of receiving a complaint from the General Secretary with subsequent teleconference meetings as necessary and determine:-
3.2.1 whether a complaint is valid and there is a case to answer, with details of which aspects of the UKAHPP Code of Practice and Code of Ethical Principles, if any may have been breached. The EC may request additional information from either party.
3.2.2 If it is in the interest of public protection to issue or uphold an Interim Suspension Order.
3.2.3 if the Registrant has dual registration and if so which register is best placed to progress a complaint.
3.2.4 make arrangements for appointing a Companion for each party if requested – see Section 4
3.2.5 if consent has been given for Mediation and so implement arrangements – see Section 5
3.2.6 Appoint an Adjudication Panel to conduct a hearing if required, after any Mediation has been completed.
3.3 The Ethics Committee will appoint a Complaint Coordinator from its ranks to oversee subsequent stages of the Complaints Procedure and to liaise with the General Secretary.
3.4 Complaints will normally be accepted if they are submitted within three years of the occurrence giving rise to allegations, or three years from the date the complainant became aware of occurrence, whichever is later. Complaints that fall outside this time limit will be evaluated to be heard where there is thought to be a potential risk to the public..
3.5 The Ethics Committee will determine if a complaint is valid and whether there is a case to answer by weighing the allegations made against UKAHPP Code of Practice and Ethical Principles (the Code).
3.6 If the information available suggests that the Code has been breached and the nature of the allegations warrant serious concern about public safety, the mediation phase of the Procedure will automatically become ‘null and void’ and the complaint progress to the adjudication stage of the Procedure.
3.7 If the Code has been breached and the allegations are minor in nature and do not pose a threat to public safety, particularly if the Registrant has apologised and attempted to rectify any damage caused, without prompting, the Ethics Committee may exercise discretion at the onset of the Procedure or following the mediation stage and bring proceedings to a close.
3.8 Where a complaint is not progressed and it is evident that the relationship between the Complainant and the Registrant has suffered damage, the Ethics Committee, with the consent of both parties, may assist them to address their difficulties and help them access mediation. In such cases the mediation will be outside the scope of the Complaints Procedure and the UKAHPP will not be obliged to provide funding.
3.9 All complaints will be considered on their own merit and without prejudice. A complaint will not normally be progressed if it is determined that:
• It would be inconsistent or in conflict with UK law or any enactment of the UKAHPP’s Constitution, Code of Practice or Code of Ethical Principles.
• It would not be in the public interest or feasible to implement a complaint owing to legal or other constraints.
• The complaint is being handled by another organisation or UK legislature, in which case the UKAHPP will accept their rulings
• It would be a substantial duplication of an existing complaint or undermine the rulings of a previous complaint.
• It is outside the scope of the organisation’s objectives.
• It is deemed to be vexatious. Regardless of its merits, a vexatious complaint is one that is found to be unwarranted, designed to harass or cause inconvenience, irritation, expense and distress to an adversary OR the disruption of UKAHPP – such complaints are deemed to be made out of ill will and will not be progressed..
• It is found to be frivolous. Such complaints are trivial and have no serious purpose or value. An investigation would be out of proportion to the seriousness of the issue complained about.
• The Registrant complained about is deceased – Concerns about the practice of a deceased member may be investigated under the terms of the Complaints Procedure but formal proceedings cannot be invoked.
3.10 To determine whether a complaint is vexatious or frivolous may not be possible at this stage of proceedings, if there is any doubt the decision will be deferred to the Adjudication phase of the procedure.
3.11 If the Ethics Committee is of the opinion that a criminal offence has been or is likely to be committed it will inform the Police via the General Secretary and suspend UKAHPP proceedings until the Police have concluded their investigation.
3.12 The Ethics Committee via the General Secretary will inform the Complainant that the UKAHPP Complaints Procedure has been suspended pending completion of a Police investigation.
3.13 If the Ethics Committee determines that a complaint is NOT valid and there is no case to answer the complaint will be closed. The Complainant will have the right of Appeal against this decision..
3.14 The Registrant will not normally be informed if a complaint is not accepted.
3.15 The Ethics Committee via the General Secretary will normally write to the Complainant within 7 days of the Ethics Committee decision that the complaint has NOT been accepted, giving the reasons for not progressing the complaint.
3.16 If a satisfactory outcome can be agreed between the Complainant and the Registrant a complaint may be withdrawn at any stage of the procedure, subject to agreed actions.
3.17 In cases where serious practice concerns have been raised, the UKAHPP will have an obligation under its public protection commitment to conduct a full Investigation, regardless of the Complainant’s decision to withdraw the complaint.
3.18 Where a Registrant has acknowledged at their own admission a breach of UKAHPP Codes, has addressed the matter with the Complainant, has issued an apology and an undertaken not to repeat a breach, the Ethics Committee may discontinue proceedings if it is of the opinion that the Registrant is remorseful and the breaches are relatively minor in nature. Provided that a similar breach is not repeated in the near future, in which case proceedings may be re-opened.
3.19 If a complaint is submitted against a member who has dual registrations, the General Secretary in consultation with the UKAHPP Ethics Committee Chair will liaise with other register holders to determine which organisation is best placed to progress a complaint. The Complainant and the Registrant will be informed of this decision.
3.20 Complaints about Registrants with dual UKAHPP and UKCP Registration will be progressed through the UKCP Complaints and Conduct Process and forwarded to the UKCP within 7 days of the Ethics Committee convening.
3.21 If the Ethics Committee agrees that there is a case to answer, the Complaint Coordinator via the General Secretary will write to the Complainant normally within 7 days of the Ethics Committee’s decision to confirm:
3.21.1 That the complaint will be progressed in accordance with the UKAHPP Complaints Procedure – a copy of the procedure will be attached.
3.21.2 Explain that, in the interests of fair process, from this point forward both the complainant and the registrant will be treated as equal witnesses to the complaint for the duration of the procedure..
3.21.3 That the witness raising the complaint has no contact with the witness being complained about, other than that warranted by the procedure or authorised by the UKAHPP.
3.21.4 That a ‘Companion’’ may be appointed, or they may nominate their own, to act as their supporter through the process. The companion/s may not have any conflict of interest in the complaint or be a legal professional, as that is not their role (See Section 4).
3.21.5 That the Complaint Co-ordinator via the General Secretary will confirm arrangements for an Adjudication Panel Hearing if it becomes appropriate.
3.22 If the Ethics Committee agrees that there is a case to answer, the Complaint Coordinator via the General Secretary will write to the registrant, normally within 7 days of the Ethics Committee’s decision, to:
3.22.1 Confirm that the complaint will be progressed in accordance with the UKAHPP Complaints Procedure – a copy of the procedure will be attached.
3.22.2 Explain that, in the interests of fair process, from this point forward both the complainant and the registrant will be treated as equal witnesses to the complaint for the duration of the procedure.
3.22.3 Provide a copy of the Complaint Form and other documentary evidence, including witness statements, provided by the witness raising the complaint – this documentary information will have been provided in accordance with 2.6 if an Interim Suspension Order was issued.
3.22.4 Advise the registrant that they are required to submit within 28 days a written statement in response to the complaint, including any documents and witness statements the Registrant intends to call on in response to the complaint.
3.22.5 Remind the registrant they are bound by the procedure and that they may not resign their UKAHPP Membership whilst their practice is the subject of a complaint.
3.22.6 Confirm within the next 7 days whether they wish to request Mediation as a way of addressing concerns with the witness who raised the complaint.
3.22.7 Stress that they must have no contact of any kind with the witness who raised the complaint, other than that warranted by the procedure or authorised by the UKAHPP
3.22.8 Affirm that a ‘Companion’ may be appointed or nominated to provide support to them throughout the procedure
3.22.9 That the Complaint Co-ordinator via the General Secretary will confirm arrangements for Adjudication Panel Hearing following any Mediation.
3.23 The Complaint Coordinator via the General Secretary will send a copy of the written response from the registrant and supporting documentary evidence, including witness statements to the complainant within 7 days of receipt from the registrant.
3.24 The Ethics Committee may request additional documentary information from the complainant or the registrant but they are not compelled to supply such information.
4.0 APPOINTING COMPANIONS TO THE MAIN WITNESSES
4.1 The Complaint Coordinator will ensure that the complainant and the registrant (the parties) have access to the support of a confidential Companion, whose role it is to assist them to clarify and formalise their case through each stage of the procedure. Either party may decline the offer of a Companion.
4.2 The Complaint Coordinator may appoint a member of the UKAHPP to act as Companion to each of the parties, or the parties may nominate their own.
4.3 Both Companions must declare any potential conflict of interest and must have had no previous involvement with the other party (the party they are not supporting). The nominated person for each party may not be a legal representative. For information about legal representation please see Section XX of this Procedure.
4.4 The role of the Companion is to act as support one of the parties to the complaint throughout the process. They may be privy to the information put forward by each party and/or may act as the contact through which the Complaint Co-ordinator arranges required meetings, if the party they are supporting wishes. However, they may not speak on behalf of or answer questions on behalf of the party they are supporting.
4.5 Before formal investigation proceedings commence, the Companions will explore with both parties the possibility of resolving the complaint through a Mediation process. Agreeing to Mediation will not deny either party access to a formal investigation.
4.6 If both parties are in agreement the Complaint Coordinator will initiate the Mediation process. If Mediation is declined by either party, or it is deemed to be inappropriate by the Ethics Committee, due to the seriousness of the complaint, the investigation phase of the procedure will be initiated.
5. MEDIATION
5.1 Within 28 days of consent being given by both parties OR and 14 days of the decision to progress the complaint, whichever is the latest, the Ethics Committee will appoint a qualified Mediator agreeable to both parties.
5.2 The Mediator will have no prior connection to either party and may be: a UKAHPP member; from a specialist mediation organisation or trade union; or be a lay person.
5.3 The UKAHPP will fund an appropriate venue and the Mediator’s fee for one Mediation Meeting. The cost of any subsequent meetings if required will be borne by the Complainant and the Registrant equally.
5.4 The UKAHPP is not responsible for travel or any other out of pocket expenses incurred by either party or witnesses at any stage of the procedure.
5.5 Through negotiation with both parties the Complaints Coordinator will arrange a Mediation Meeting to take place within 28 days of the appointment of a Mediator.
5.6 If the parties are unable to agree a Mediator, a suitable date or venue within 14 days of Mediation being agreed, the Mediation phase of the procedure will be deemed to have lapsed and the Adjudication stage will be implemented.
5.7 With the agreement of both parties the Complaints Coordinator will provide the Mediator prior to the Mediation Meeting with copies of all relevant information about the complaint, if requested.
5.8 Both parties are expected to attend the Mediation Meeting. They may choose to be supported by a friend or a Companion as they think fit, OR by an authorised adult acting on behalf of a vulnerable adult OR a parent or guardian in the case of a minor under the age of 16 years in Scotland and under the age of 18 years for the rest of the UK.
5.9 Mediation is a discrete process, in which all discussions and details of conversation within the mediation process remain entirely confidential, even at the completion of the process.. The Mediation process itself is managed entirely by the appointed Mediator. The structure of the Mediation Meeting will be determined by the Mediator so as to help both parties clarify their concerns and reach a satisfactory outcome agreeable to both parties, if possible. The structure will allow:
• The complainant to put forward their representation
• The registrant to put forward their representation
• Both parties to ask clarifying questions
• Both parties to state what would be a satisfactory outcome.
5.10 The only output from the mediation meeting that will be shared with UKAHPP is a report by the Mediator which will be provided to the Complaints Co-ordinator within 14 days of the last Mediation Meeting. The report will document the resolution that has been reached, any agreed future action for either or both parties to complete within a specified time and will be signed by both parties.
5.11 If agreed actions are not confirmed by both parties or completed in full, it will be as if no agreement had been made and the Adjudication stage of the Complaints Procedure will be implemented.
5.12 If a satisfactory outcome cannot be reached through Mediation, the Adjudication stage of the Complaints Procedure will be implemented.
5.13 The Mediator will have no further involvement in the procedure.
6. ADJUDICATION
6.1 The Adjudication stage of the procedure will be implemented once the Ethics Committee’s decision that there is a case to answer has been communicated to the complainant and the registrant OR within 7 days following notification of Mediation having been unsuccessful.
6.2 The Adjudication process will determine if the complaint will be upheld in whole, in part or not upheld and whether any actions of sanction will be applied.
6.3 The Adjudication Panel appointed by the Ethics Committee will consist of three members at a minimum and will comprise: one lay member; a member of the Ethics Committee; and one UKAHPP Registered Members. If the Registrant is a Full Accredited Member, the Registered Member must hold Full Accredited Membership. Additional members may be co-opted to the Panel should specialist knowledge relating to the complaint is necessary.
6.4 Panel Members will have had no previous involvement with either party, must complete a Confidentiality and No-Disclosure Form and declare any conflict of interest that may impede impartiality.
6.5 The complainant and the registrant will be given the names of Panel members and may request the replacement of any Panel member if they can evidence that there is a conflict of interest.
6.6 The Panel will nominate from its ranks a Chair who will preside over Panel Meetings. The Panel will make decisions on a one member one vote basis with the Chair having a casting vote if necessary.
6.7 The Complaint Coordinator will attend Panel Meetings and will be responsible for guiding and advising the Adjudication Panel Chair, not the Panel, on procedural points only and will take not participate in Panel deliberations and decision making.
6.8 The Complaint Coordinator will ensure that Panel has access to all documentary evidence relating to the complaint.
6.9 An Adjudication Panel Hearing will normally convene within 49 days of the Adjudication stage of the procedure being implemented. This deadline may be extended at the discretion of the Complaint Coordinator if there are difficulties in agreeing a suitable date and venue.
6.10 Following consultation with the complainant, registrant and the panel, the Complaints Coordinator via the General Secretary will confirm, with a minimum of 14 days’ notice, arrangements for an Adjudication Panel Hearing including confirmation of the date, time and venue of the hearing, the names of the panel members, the names of witnesses who are called to attend and of any companion to either party.
6.11 In that event that the case potentially calls into question the registrant’s fitness to practice, either party may take professional legal advice at their own cost. The attendance of legal representatives at the Adjudication Hearing itself may be requested and will be considered by the Adjudication Panel. However, legal representation for either party within an Adjudication Hearing could create an imbalance in the proceedings apparently favouring one party or the other. In line with UKAHPP Ethical principles, therefore, permission for legal representation at the Adjudication Hearing itself will only be allowed if both parties are legally represented, each at their own cost. In the event that legal representation for both parties at the Hearing is agreed yet on the day only one legal representative attends, then neither legal representative will be allowed to attend the hearing.
6.12 UKAHPP Adjudication Panel Hearings are confidential and will be heard in private.
6.13 A Hearing may be re-arranged if sufficient notice is received from either party confirming that they are unable to attend for health reasons, supported by a covering letter from their GP or NHS consultant or due to extenuating circumstances
6.14 The Panel Chair in consultation with other panel members may progress proceedings in the absence of either party:
• If adequate notice of nonattendance is not received
• In cases of repeated cancellation/non-attendance
• Where a lack of availability from either party frustrates proceedings.
6.15 The UKAHPP will pay the venue cost of the hearing but is not responsible for travel or any out of pocket expenses incurred by either party or witnesses at any stage of the procedure.
6.16 The Panel via the General Secretary may exercise discretion and call additional expert witnesses to attend the Hearing and answer questions.
6.17 Either party may be accompanied for support by an appointed companion, colleague or ‘McKenzie Friend’.
6.18 In the case of a minor under the age of 16 years in Scotland, 18 years for the rest of the UK, the complainant’s case may be put forward by an authorised representative or by a parent or guardian. Representatives may not answer questions on behalf of the Complainant.
6.19 The Registrant may choose to be represented by a recognised trade union or professional organisation, at their expense, in which case they are required to inform the General Secretary within 7 days of the hearing date. Professional representatives may not answer questions on behalf of the Registrant.
6.20 At the discretion of the Chair and only with the consent of both parties, an electronic recording of proceedings may be made for Appeal purposes only. The recording will be held in confidential and secure conditions by the UKAHPP Administrator and will normally be deleted 21 days after the deadline for submitting an Appeal or 21 days following completion of an actual Appeal.
6.21 The structure of the Hearing will be determined by the Panel with provision for:
• The complainant to put forward their case, followed by any witness statements.
• The registrant to put forward their case in response, followed by any witness statements.
• The complainant to ask through the Panel Chair, clarifying questions about the case put forward by the registrant and witnesses they have called.
• The registrant to ask through the Panel Chair, clarifying questions about the case put forward by the complainant and witnesses they have called.
• The Panel to ask questions about the case put forward by the complainant and the registrant and any witness they may have called.
• The complainant and the registrant to each make a final statement.
6.21 In exceptional circumstances and at the Panel’s discretion it may rule that the complainant and the registrant’s case will be heard separately and that there will be no contact between the complainant and the egistrant at the Hearing.
6.22 Where allegations against a Registrant are of a sexual nature, the registrant will not be permitted to ask the complainant questions – questions may be raised by the registrant’s appointed representative or via another option approved by the Panel Chair.
6.23 The Adjudication Panel Chair may exclude any person whose conduct disrupts the orderly conduct of proceedings. Its reason for doing so will be given to the Hearing.
6.24 With reference to the Ethics Committee’s previous decision regards the submission of documentary evidence, the Adjudication Panel will decide what evidence is admissible at the Hearing.
6.25 If, during the course of the Hearing, significant new evidence emerges of a nature different to the original complaint and which cannot be substantiated during the hearing, the Chair may decide adjourn proceedings until such time as an investigation of the new evidence has been completed.
6.26 If the Adjudication Panel is of the opinion that insufficient evidence has been produced to uphold the complaint, it may dismiss the complaint without hearing the registrant’s representation.
6.27 The Chair will adjourn the Hearing for a maximum of 90 minutes; all parties will withdraw to allow the panel to deliberate.
6.28 If the complaint is upheld and the Panel rules that the registrant has breached the UKAHPP Code of Conduct or Code of Ethical Principles, the Panel will decide if any Sanctions are to be applied. The Panel will consider what is an appropriate outcome for each element of the complaint. They may arrives at different outcomes for each element which they may consider has been:
• wholly upheld, in which case Sanctions will be applied,
• partially upheld, in which case Sanctions may be applied
• Not upheld, in which case there is deemed to be no case to answer for that element of the complaint.
6.29 Sanctions are to be applied in accordance with Indicative Outcomes Guidance documents provided by the Ethics Committee, whilst taking into account:
• Whether Sanction Actions are reasonable and proportionate in the circumstances
• What action was taken in similar cases
• Previous complaints against the registrant still on record
• Any mitigating or aggravating circumstances affecting the registrant
• The registrant’s conduct since the complaint was submitted
6.30 Sanctions available to the Panel include:
• No Sanctions
• Written Warning
• Final Written Warning
• Improvement Order
• Conditions of Practice Order
• Suspension Order
• Dismissal Order
6.31 The Hearing will be re-convened to inform both parties of the Panel’s ruling which will apply with immediate effect. The Registrant will be informed of Sanction details in writing.
6.32 If the Panel is unable to reach a decision, the Chair will adjourn the Hearing and reconvene deliberations the following working day by email or conference call as necessary and both parties will be contacted by the Complaint Coordinator by telephone or email once a ruling has been made.
6.33 The Panel may continue to convene via teleconference and or email to agree any Sanctions.
6.34 The Complaint Coordinator via the General Secretary will confirm the Panel’s rulings in writing to both parties normally within 14 days of the Hearing, detailing any Sanctions including time scales, monitoring and the consequences if they are not adhered to.
6.35 Both parties will also be informed of their right to submit a written Appeal, against the Panel’s ruling to the General Secretary within 14 days, on the grounds that procedure was not applied in accordance with the published procedure OR that Sanction Orders are unfair and disproportionate.
6.36 An Interim Suspension Order may remain in place until the Appeal process has been completed. If no Appeal is lodged within the specified deadline, any Sanctions imposed by the Adjudication Panel will come into immediate effect.
6.37 If a Sanction Order is not adhered to or if further complaints are submitted of a similar nature the Ethics Committee will reconvene the Adjudication Panel with original or new members to consider what action is to be taken.
6.38 In the event of an Appeal against a Suspension or Dismissal Order requiring the Registrant to cease practice, an Interim Suspension Order will be imposed until the Appeal process has been completed.
6.39 The Panel’s ruling will be included in the Ethics Committee Chair’s Report for information, to the UKAHPP Board of Directors on completion of the Appeal process.
7.0 REVIEW OF SANCTIONS PANELS
7.1 It is important that no registrant is allowed to resume unrestricted practice following a period of conditional registration or suspension until a review panel considers the facts and has determined that sanctions can be removed. Where registration has been terminated by an Adjudication Panel and (where applicable) that decision has been upheld on appeal, a Review Panel must be convened prior to re-admission.
7.2 In some misconduct cases involving a short suspension or condition of re-training, there may be no value in conducting a formal review panel hearing. However, in most cases where a period of suspension is imposed and in all cases where conditions have been imposed, the public will need to be reassured that a registrant is fit to resume unrestricted practice. If a Review Panel is not so satisfied, a further period of restricted practice may be appropriate.
7.3 Before sanctions have expired the UKAHPP Ethics Committee will write to the registrant via the General Secretary requesting evidence of compliance with sanction conditions. Evidence may be requested from other sources as necessary.
7.4 If the evidence provided affirms compliance with sanction conditions, the Ethics Committee via the General Secretary will confirm this in writing with the registrant normally within 14 days of sanctions expiring. The Ethics Committee will notify the UKAHPP Registrar of the fact so as to allow adjustments to the UKAHPP Register and changes to the website.
7.5 If the Ethics Committee is not reassured that sanction conditions have been complied with or if it is evident that the registrant has not complied with sanction conditions, a Review Panel will be called. Whenever possible the Review Panel will normally include original members of the Adjudication Panel consisting at a minimum of:
• one Ethics Committee Member;
• one lay member;
• and one UKAHPP Registered Member, holding UKAHPP Accreditation
7.6 Additional members can be co-opted as necessary.
7.7 The Review Panel may deliberate its business in private or call the registrant to attend a formal Review Panel Hearing, the details of which will be communicated to the registrant via the General Secretary normally within 14 days of the hearing and in line with provision for Adjudication Panel hearings as set out in the UKAHPP Complaints Procedure.
7.8 Where a review hearing cannot be concluded before sanctions have expired, a Review Panel may unilaterally issue a short extension to allow a hearing to be convened.
7.9 The Review Panel will determine whether the registrant can produce objective evidence showing that:
• They fully appreciate the gravity of the offence
• They have not reoffended
• They have maintained their skills and knowledge
• Clients will not be placed at risk by resumption of practice or by the imposition of conditional registration.
7.10 Where it is clear that a registrant has chosen not to comply with sanction conditions a panel may direct that:
• In the case of an existing suspension order, that it is extended for a further period up to 12 months
• Impose additional sanctions for a period up to 3 years and or
• Direct that the matter be remitted to an Adjudication Panel to consider imposing fresh sanctions, including potential removal from the UKAHPP Register.
7.11 A Review Panel may not impose a more serious sanction than that imposed by at Adjudication Panel phase of the procedure.
7.12 In cases that solely involve a registrant’s health, a Review Panel may choose to suspend registration indefinitely.
7.13 When considering additional sanctions or extending existing sanctions, a Review Panel may take into account any written undertakings offered by the Registrant which it considers insufficient to protect members of the public and the public interest. This is provided that the registrant agrees that the UKAHPP may disclose these undertakings to the following persons/organisations:
• Their employer;
• An organisation with whom they are contracted to provide their professional services; and/or
• Other professional bodies and regulators, whether or that Register is statutorily protected.
7.14 The Ethics Committee will write to the Registrant via the General Secretary normally within 14 days of the hearing outlining the Review Panel’s determinations and the consequences should the registrant not comply with them. A copy will be forwarded to the UKAHPP Registrar who will update the UKAHPP Register and website accordingly. The UKAHPP Registrar will also notify other organisations and register holders where appropriate as necessary.
8.0 DISMISSAL ORDER
8.1 A Dismissal Order should only be used as a last resort where there is a serious and realistic threat to public protection and other Sanction Orders have been exhausted or are simply not proportionate to the risk. A balance must be struck between the interests of the registrant and their right to earn a living, against UKAHPP’s commitment to public protection.
8.2 A Panel may issue a Dismissal Order if it can be proven that a Registrant:
• Is unfit to practice.
• Is a threat to public safety as the consequence of serious, deliberate or reckless breaches of trust involving sexual, psychological, physical, racial or financial abuse – and other Sanction Orders are not appropriate.
• Their general conduct is seriously prejudicial to their good standing as a practitioner.
8.3 Dismissal Orders for practise-related issues will appear on the UKAHPP Hearings and Determinations website page and be recorded on the UKAHPP Register for a minimum of 5 years.
8.4 The General Secretary will normally confirm in writing within 7 days of the date of the Dismissal Order, the reasons for the dismissal, enforcement details and the registrant’s right to submit an Appeal.
8.5 An Appeal must be submitted to the General Secretary within 14 days of a Dismissal Order being issued, stating how the Registrant believes proceedings have not been applied in accordance with published Procedure OR how they believe a Dismissal Order is unfair and disproportionate.
8.6 Once the deadline for submitting an appeal has expired or an appeal has been completed, the General Secretary will inform the UKAHPP Registrar of the outcome of the Appeal to allow adjustment to the UKAHPP Register of Humanistic Psychotherapists and Psychotherapeutic Counsellors as necessary. The Registrar will inform other registers and agencies with whom the Registrant has affiliation, including relevant employers such as the NHS and Social Services.
9.0 APPEAL
9.1 The complainant and registrant may Appeal against the Panel’s ruling on the grounds that due process was not followed in accordance with the published Complaints Procedure or that Sanctions are unfair and disproportionate. Appeals must be submitted in writing to the General Secretary within 28 days of the Panel’s ruling, detailing their reasons for the Appeal. Any evidence in support of the Appeal must be attached.
9.2 The General Secretary will acknowledge receipt of an Appeal within 7 days of its submission and will inform the other party of the fact.
9.3 The General Secretary will notify the Ethics Committee of the Appeal and forward the written Appeal and any supporting evidence to the association’s External Moderator whose role it is to make a ruling on upholding the Appeal or not.
9.4 The Ethics Committee will appoint members to the Appeal Panel which will convene within 28 days of the General Secretary’s acknowledgment of the Appeal.
9.5 In addition to the External Moderator, membership of the Appeal Panel will include one UKAHPP Full Accredited/Registered Member and one Lay Member at a minimum. Members with specialist knowledge may be co-opted to the Panel as necessary.
9.6 Panel members will have had no prior involvement in the complaint or relationship with the complainant or the registrant.
9.7 The External Moderator will determine which of two modes is most appropriate for conducting an Appeal: an Appeal Panel Review or an Appeal Panel Hearing:
a) Appeal Panel Review:
• The External Moderator in consultation with the Appeal Panel will convene a teleconference meeting or meetings, supplemented by email correspondence to review the Adjudication Panel’s ruling.
• If necessary the Appeal Panel may call a full Appeal Panel Hearing – otherwise the Panel’s ruling will be final. There is no further right of Appeal.
• Where appropriate proceedings of the Appeal Panel Review will be governed by provisions outlined in the section concerning the Appeal Panel Hearing.
b) Appeal Panel Hearing:
• An Appeal Panel Hearing Chaired by the External Moderator will be called within 63 days of the General Secretary’s notice acknowledging receipt the appeal.
• The aim of an Appeal Hearing is to allow the appellant and the Complaint Coordinator, or their nominated deputy, to put forward their representation, to allow the Appeal Panel to determine whether proceedings have been discharged in accordance with the published Complaints Procedure and whether Sanction Orders have been applied fairly – this does not involve re-investigating the complaint.
• The General Secretary will provide procedural guidance to the External Moderator.
• The External Moderator will preside over meetings. The Appeal Panel will make decisions on a one member one vote basis with the External Moderator having a casting vote if necessary.
• The External Moderator will request the General Secretary to provide a pack containing the Panel’s Report and other documentation relating to proceedings. In the interest of fairness the Appellant will be provided with copies of all documents.
• An Appeal Panel Hearing will be held with 35 days of the Appeal Panel’s appointment.
• Details of an Appeal Hearing confirming date, time and venue will be communicated to the Appellant by the General Secretary at least 21 days before the date of the Hearing.
• The structure of the Panel Hearing will be determined by the External Moderator.
• The External Moderator will adjourn the Hearing and all participants will withdraw to allow the Panel to deliberate its findings.
• The Appeal Panel will consider the evidence put forward in order to reach a unanimous or majority decision to:
o Uphold the Adjudication Panel’s ruling in full
o Uphold the Adjudication Panel’s ruling and uphold, modify, increase or reduce
o Dismiss the Adjudication Panel’s ruling and withdraw all Sanction Orders.
• The Panel may make recommendations to the Board of Directors to review aspects of the UKAHPP Complaints Procedure, which will be conveyed to the Ethics Committee.
• The Panel’s decision will be communicated to both parties by the Ethics Committee via the General Secretary, once a ruling has been made.
• The External Moderator will provide a written report within 14 days of the Hearing to the General Secretary who will ensure that the Panel’s ruling, any Sanctions and any recommendations are implemented.
• The General Secretary will write to the complainant and the registrant within 7 days of receiving the External Moderator’s Report, summarising the outcome of the Appeal, any actions to be taken and the consequences of non-compliance.
• The General Secretary will inform the UKAHPP Registrar of any ruling relating to the UKAHPP Register of Humanistic Psychotherapists and Psychotherapeutic Counsellors.
• The Panel’s rulings will be final there is no further right of Appeal.
10. RECORD KEEPING
10.1 Once the Complaint and Appeals processes have been concluded, the Complaint Coordinator will forward hard copies of all documents relating to a completed complaint, held by the Ethics Committee and officers involved in the complaint, to the UKAHPP Administrator for archiving. Once the UKAHPP Administrator has acknowledged receipt, the Complaint Coordinator will instruct the Ethics Committee and officers involved in the complaint to delete all files relating to the complaint from electronic storage devices.
10.2 In accordance with UKAHPP’s public protection function, an electronic copy of all correspondence and documents relating to a complaint will be held by the UKAHPP Administrator on a password protected computer held within a secure room, for a minimum of 5 years after which they will be deleted.
10.3 Any reference to Sanctions which are held by UKAHPP in the Registrant’s personal file, website and public available register, will be removed on completion of all terms of Sanction and in accordance with any stated time constraints.
10.4 Complaints where it was determined that there was no case to answer and where a complaint was not upheld will be included in Ethics Committee statistics but all correspondence and documents relating to the complaint will be deleted from electronic storage systems and all hard copies destroyed within 6 months after the case was closed. Unless there is significant cause to do so the UKAHPP will not acknowledge or deny the existence of such complaints.
Note: Full Data Protection information is available on the Information Commissioner’s Office website
May 2024
