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Edition 14 March 2007
INTRODUCTION
The Association has a complaints procedure which provides a means
of resolving, where possible, complaints against those members of
staff on their Internal Register.
The procedure follows a model whose intent is to provide mediation,
conciliation and resolution wherever possible. The Association or
the disputing parties can at any time call on external professionals
to mediate on their behalf if they deem it to be necessary.
All members need to accept and work to the Association's Code of
Ethics and Practice when considering a complaint. The Codes are
guidelines to the maintenance of good practice, not a set of rigid
rules.
All members need to agree to follow the course of the complaints
process before having recourse to other bodies. This is fully in
line with the Code of Ethics and Professional practice so that the
integrity of the Association, those whose professional lives depend
on it and the general public are protected.
A complaint is one which alleges a violation of the Association's
Codes of Ethics, Codes of Practice, Complaints Procedures or Appeals
Procedure. A complaint can be brought by a member of the public
or by a member of the organization. The Association does not consider
complaints by a third party.
The Complaints Procedure is investigative. It begins by seeking
clarification and grounds for resolution and may be followed by
adjudication and the use of sanctions.
TIMESCALE
A formal complaint should normally be lodged within five years of
the event which forms the substance of the complaint. Although it
is intended that the procedures should be concluded within six months
of the receipt of the formal complaint, it is recognized that in
some complex cases it may be necessary to extend the period of investigation,
conciliation and/or appeals proceedings beyond this timescale.
The Complaints Committee is appointed by the Association's Directors
to implement the Complaints Procedure.
The Committee will consist of three people one of whom will be the
Chairperson. The composition of the Panel will have regard for the
expertise available among members concerning the substance of the
complaint. At least one person on the Panel must be external to
the complainant and the practitioner's involvement with the Association.
The Chairperson of the Panel must be one, of the Directors.
DECLARATION OF INTEREST
Members of the Complaints Committee have a duty to declare any interests
which may cast doubt on their impartiality. The views of the Complainant
and the practitioner, about whom the complaint is made, will be
taken into consideration by the Chairperson of the Complaints Committee
when deciding whether any persons should be replaced on the Panel.
CONDUCT
Those persons taking part in any stages of the Complaints Procedure
as outlined below are required to act in a manner that does not
breach confidentiality or in such a way that might prejudice or
influence the outcome of any of these stages of the Complaints Procedure.
Any breach of this may result in the procedure being halted by the
Chairperson of the Complaints Committee.
RESIGNATION OR LAPSING OF MEMBERSHIP
The termination of a practitioner's employment by the Association
or resignation of a member against whom a complaint is being made
before the completion of the Complaints Procedure, without good
reason or due notice, shall not necessarily impede or halt the progress
of the complaint. However, in such cases, the Chairperson of the
Complaints Committee will inform the Chairperson of the UKCP Registration
Board and any re-application for membership by the member concerned
will require the approval of the Governing Board of the UKCP.
STAGES OF MAKING A COMPLAINT
The Complaints Procedures proceeds through five stages, each of
which has a separate aim and specific requirements.
PREPARATORY CONSULTATIONS
Anyone wishing to complain may have preliminary and confidential
discussions on matters of procedure with an Executive Officer of
the Association for this purpose. The aim of such discussions is
to give the prospective Complainant information about procedures
and to encourage them to attempt to resolve the issue with the practitioner
concerned. They should, in any case, be given a copy of the Association's
Complaints Procedure.
A formal complaint commences only when the following conditions
are satisfied:
(a) the allegation is about a breach of a specific section of the
Code of Ethics, Code of Practice or Appeals Procedure.
(b) the member about whom the complaints is made is named and was
a member of the Association at the time of the alleged cause for
complaint
(c) a written and signed complaint is received by the Directors
of the Association, who will forward copies to the practitioner
against whom the complaint is being made.
SUSPENSION AND RESTORATION OF RIGHTS OF MEMBERSHIP
The Chairperson of the Complaints Committee can, after consultation
with the Directors, suspend some or all of the rights to practice
with immediate effect, pending investigation.
If the complaint is not upheld, all rights will be immediately restored.
INVESTIGATION AND CONCILIATION AIM
The aim of this stage of the Complaints Procedure is to produce
a record of the areas of agreement and disagreement between the
parties involved in the complaint and make recommendations to the
Complaints Committee regarding the possibility of a resolution,
the need to progress to Adjudication or the conclusion that there
is no basis for the complaint to proceed.
INVESTIGATION
The Chairperson of the Complaints Committee will appoint one or
more independent persons (the Conciliators) who are to act impartially
to investigate the Complaint. In doing so they may make such enquiries
as they deem necessary. They will arrange to meet with the Complainant
and the practitioner concerned, either separately or together, as
soon as practicable.
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NOTICE OF MEETING
Once a date and venue for the meeting(s) are agreed, the Conciliator(s)
will send written details of arrangements for the meeting to the
Complainant and the practitioner against whom the complaint is being
made.
OUTCOME
Following the meeting(s), the Conciliator(s) will write detailing
the nature of the investigation and the outcome thereof to the Chairperson
of the Complaints Committee. Copies will be sent to the Complainant
and the practitioner concerned. The Complaints Committee will consider
the Conciliator(s) report and will notify both parties on whether
or not the matter will be taken to adjudication or terminated.
REFUSAL OR FAILURE TO ATTEND
by the complainant
The refusal or failure of a Complainant to attend meetings with
the Conciliator(s) without good reason or due notice, will mean
that the complaint is deemed to be withdrawn. The Conciliators will
report to the Chairperson or the Complaints Committee who will write
to both parties to this effect exonerating the practitioner against
whom the complaint was made.
BY THE PRACTITIONER
The refusal or failure of the Member against whom the complaint
has been made to attend meetings with the Conciliator(s) without
good reason or due notice, will mean that the Conciliator(s) are
required to inform the Chairperson of the Complaints Committee who,
in turn, will recommend to the Directors of the Association the
termination of the membership of the Member concerned. The final
decision will be made by the Directors. In the event of this recommendation
being upheld, the practitioner's Professional Body will be informed.
They in turn will inform the Governing Board of the UKCP and the
Member's name removed from the Register.
PURPOSE
Adjudication exists to examine complaints in a formal manner, decide
on their validity and determine sanctions as appropriate. Where
there are several complaints against the same practitioner whether
by the same or different Complainants, they may be heard at the
same adjudication meeting.
REPRESENTATION
When appearing before the Adjudication Panel the Complainant may
be accompanied by a representative to assist in the presentation
of the Complainant's case. Likewise the practitioner may be assisted
in their presentation by someone who is not a Member of the Association.
CONDUCT OF MEETING
This is a formal meeting and the Chairperson of the Adjudication
Panel is responsible for ensuring that the proceedings are conducted
in a manner which shows due regard to the gravity of the situation
and to considerations of confidentiality.
ADMINISTRATION
The Chairperson of the Adjudication Panel is responsible for arranging
the Panel Meeting and notifying all participants in writing.
WRITTEN EVIDENCE
Written evidence or submissions must be submitted by the Complainant
and the practitioner along with any relevant submissions from witnesses.
Submissions must be received by the Complaints Committee not less
than fifteen working days prior to the date fixed for the Adjudication
Panel meeting. Such evidence will be circulated to Panel members,
the Complainant and the Member concerned not less than ten working
days prior to the meeting. The Chairperson of the Adjudication Panel
may take advice on the written evidence and/or procedural matters
from the Association's solicitor.
NEW EVIDENCE
Because of time constraints and the requirement that evidence be
submitted and circulated in advance of the Panel meeting, the only
new evidence to be admitted on the day will be a short oral or written
submission at the discretion of the Panel.
ATTENDANCE BY WITNESSES
The Adjudication Panel may invite witnesses to attend to speak to,
and answer questions about, their written submissions.
REQUESTS FOR RECESS
(a) At any time during the meeting the Chairperson may order a recess.
(b) At any time during the meeting either party may ask for a recess
in order to consider any issues which may have arisen during the
meeting. Such requests will be dealt with at the discretion of the
Chairperson.
FAILURE TO ATTEND
The failure of either the Complainant or the practitioner to attend
without good reason or due notice will result in the actions described
above.
THE ADJUDICATION PANEL MEETING
This will normally be conducted according to the ,following protocols.
Both parties will be present while:
(a) a summary of the Complainant's case is made.
(b) a summary of the case of the Member is made.
(c) the Complainant and/or representative puts questions, through
the Chairperson, to the practitioner.
(d) the practitioner puts questions, through the Chairperson, to
the Complainant.
(e) adjudication Panel members may then seek clarification from
the Complainant and/or the Member.
(f) when the Chairperson is satisfied that the Panel has gained
all the clarification required, the Chairperson summarizes the case
and the Panel asks all parties to withdraw.
ADJUDICATION
The Adjudication Panel must decide for or against the Complainant.
NOTIFICATION OF FINDINGS
The Chairperson of the Adjudication Panel will notify the decision
in writing to the parties within ten working days. The Chairperson
of the Complaints Committee will notify the Directors of the outcome
of the Adjudication and recommend any sanctions to be imposed. The
Directors will implement any sanctions.
SANCTIONS
Any of the following sanctions may be imposed:
(a) requirement to improve/ change in a specific way various activities
of the practitioner's professional practice under an appointed supervisor
for a specific period.
(b) continued suspension of the practitioner's professional rights
as outlined above for a specific period until conditions specified
by the Complaints Committee have been satisfied.
(c) termination of Registration of the Member with UKCP.
The UKCP's Registration Board will be informed of any outcome
of upheld complaints.
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