CFAR Complaints Procedure


Organisational Complaints Procedure

Organisational Grievances fall under the remit of CFAR’s Management Committee and are separate from complaints concerning breaches of ethical principles and codes of professional conduct. (See below: Complaints Procedure: Breaches of Ethical Principles and Codes of Professional Conduct)

Introduction

The purpose of CFAR’s Organisational Complaints Procedure is to provide a comprehensive and fair set of procedures to examine any claim by a CFAR member, trainee or student that, as an organisation and via its procedures and/or representatives, CFAR has in some way acted in an unfair manner in relation to its members, trainees or students.

  1. Organisational Complaints Procedure

The Organisational Complaints Procedure has three stages. The first stage is an informal stage and represents a stage that is considered good practice in the handling of grievances within most organisations. Any member, trainee or student of CFAR who has a grievance would normally be expected to first raise their grievance in this way, though this in no way interferes with that person’s right to immediately or subsequently raise a formal grievance.

The formal organisational grievance procedure is comprised of two stages: the formal stage requires the formation of a panel to hear the grievance; the appeals stage provides the means and grounds for appealing the outcome of any such hearing.

  1. Informal stage: At this stage any member, trainee or student who has a grievance with an action taken by or on behalf of CFAR should raise their grievance directly and in the first place with the person, persons, or committee where this grievance is an issue. It may be that with open discussion and clarification of the issue(s) involved the grievance may be resolved. This action should be raised and completed within six weeks.
  2. Formal stage: Any person or persons bringing a formal grievance should notify this in writing to the Chair of CFAR. Upon receiving such notice, the Chair will then have the responsibility of establishing a panel to hear the grievance either immediately, or as soon as is practical. However, if the grievance is in relation to the Chair of CFAR the grievance should be addressed to the Management Committee (hereinafter ‘MC)’ which, as directors of CFAR, has the responsibility to appoint a director to oversee the handling of the grievance.

2.1 The panel to hear the grievance will be made up of three people: the first two will be comprised of one person from the MC and one person from the Training Committee, each of whom has been appointed by the Chair or an appointed CFAR director. The third person will be a CFAR member whose appointment will be agreed jointly by the person(s) bringing the grievance and the Chair, or an appointed CFAR director. This third person will chair the panel.

2.2 Following its formation, the appointed panel shall then schedule a date to hear the grievance, ideally within three weeks or as expeditiously as possible.

2.3 Prior to the hearing date, all parties involved will be advised that they may bring representatives, call witnesses, question witnesses and offer a summary of their case. All documents pertaining to the grievance must be with the panel a minimum of five working days before the panel meets to hear the grievance. The decision of the panel will formally be conveyed to all parties within five working days of the panel reaching a conclusion. All recommendations made by the panel will also be passed to the MC who, as CFAR’s directors, are responsible for any action that may need to be taken.

  1. Appeals stage If after receiving the panel’s decision the person or persons who brought the grievance, or the person or persons who was the object of the grievance, still feels aggrieved then they have twenty-eight days to lodge an appeal with the Chair of the MC or, if this person is temporarily unavailable, with a relevant member of the MC. No appeal will be entertained after this period.

3.1 Any appeal lodged must be in writing and clearly outline the original grievance and any supporting evidence, as well as contain a statement as to the grounds for making the appeal. Such grounds shall be restricted to the emergence of new evidence surrounding the grievance and/or a failure to follow proper procedure in the hearing of the original grievance. If grounds for the appeal are established the MC will then arrange a date for the appeal to be heard and notify all parties of this while also informing all parties of the procedures that will be followed by the MC. Concurrently, the MC, as director of CFAR, shall dissolve the original panel and convene a new panel to hear the appeal. This specially convened panel shall be comprised of CFAR members who are non-MC members. A panel appointed for this purpose may have fewer members than the MC itself.

3.2 Once notified of the MC’s decision to consider the appeal, both complainant and respondent may submit written representations to the specially convened panel. If after hearing new evidence, the specially convened panel finds cause to modify the decision reached by the original panel, it may advise the MC, but it is the sole responsibility of the MC to:

  1. (a)  overturn the original recommendation(s) and find no cause for grievance
  2. (b)  reconsider the disciplinary action recommended by the original panel and substitute a different course of disciplinary action
  3. (c)  uphold the original decision.

3.3 The MC will formally notify all parties of its decision within five working days of concluding and this decision will be the final decision by CFAR on this issue without prejudice to any party to take the issue further in law.

In so far as either the complainant or respondent is a member of the UKCP, it is important to note that UKCP’s Complaints and Conduct Process is not currently in a position of hearing grievances made about UKCP members when the grievance is made about them in their professional capacity as supervisor, or teacher or tutor.

Complaints: Breaches of Ethical Principles and Codes of Professional Conduct

Introduction

The purpose of CFAR’s Complaints Procedure is to provide a comprehensive and fair set of procedures to consider any claim against

(1) a CFAR trainee[1] or

(2) a CFAR member NOT registered with the United Kingdom Council for Psychotherapy (“UKCP”)

made by a patient or former patient arising from an alleged breach of the ethical principles and codes of professional conduct as set down in CFAR’s Code of Ethics (see Article 10) and CFAR’s Code of Practice.

Members of CFAR who are registrants of the UKCP – and CFAR trainees who are Student or Trainee Members of the UKCP –shall also commit to the following:

(1) UKCP Ethical Principles and Code of Professional Conduct
(2) UKCP Complaints and Conduct Process

Procedure

  1. Who can complain, whom to contact and when.

1.1. This Complaints Procedure will only apply to a complaint made by a patient or former patient (“the Complainant”) against a CFAR trainee or against a CFAR member who is not registered with the UKCP (the “Respondent”). For any such complaint to be considered, it must concern one or more breaches of CFAR’s Code of Ethics or of CFAR’s Code of Practice or both have taken place.

1.2. Should the Complaint be made against a CFAR member who is registered with the UKCP the Complainant will be redirected to the UKCP. 

1.3. Any such complaint (para 1.1) shall be made in writing and addressed to the Chair of the Management Committee[2] who shall without delay appoint a Complaint Officer; and forward a copy of such written complaint to the Complaint Officer (as described next), and to the person about whom the complaint has been made.

1.4. The Complaint Officer may be a member of CFAR who is suitably unconnected to the Respondent and to the Complainant and who has appropriate knowledge and experience. In exceptional circumstances, the Complaint Officer may be a member of another psychoanalytic organisation. The primary responsibility of the Complaint Officer is to advance the complaints procedure, without participating in the adjudication itself i.e. the Complaint Officer will not take part in or otherwise influence the deliberations and decision making of the Complaint Panel.

1.5. The Complaint Officer will consider whether the complaint gives rise to a case for the Respondent to answer. If it does not, then the matter shall not proceed further and the Complainant and Respondent shall be informed accordingly.

1.6. The Complaint Officer will investigate the complaint, and may seek further information from the Respondent and Complainant, and from others who appear able to assist the investigation.

1.7. The Complaint Officer will prepare a fair summary of the issues at stake and send this to the Respondent (see Appendix A.).

1.8. The Complaint Officer will explore – when and if appropriate – an informal resolution of the complaint. The Complaint Officer shall be afforded wide latitude in this exploration.

1.9. If informal resolution (including mediation) is not appropriate or fails, the Complaint Officer will be responsible for the formation of a Complaint Panel (see below).

1.10. The Complaint Officer’s role includes the important task of preparing the documentation pack that will be shared between parties (except for any withheld or redacted documents by reason of patient confidentiality or safe-guarding) and used by the Complaint Panel.

1.11. In acknowledgement of the duties of the Complaint Officer remuneration will be offered by way of an ex-gratia payment to be determined by the Management Committee (MC). The Complaint Officer will have administrative support from CFAR’s Administrator.

1.12. Any complaint must be made within 3 years from the time when the conduct complained about occurred or within 3 years from the time the facts of the complaint first became known to the Complainant, whichever is later. Complaints received outside of this time limit may only be considered if, in the absolute discretion of the Complaint Officer, in all the circumstances of the case, it would be fair and reasonable and in the interest of public safety to allow the complaint to proceed.

  1. Suspension of CFAR membership/ training.

2.1.  At any stage (including after a determination by a Complaint Panel), the MC Chair may suspend the Respondent from their CFAR membership or training, having regard to the nature of the complaint, any risks to the Complainant and/or to the Respondent’s other patients and all the circumstances of the case.

2.2.  A CFAR trainee or member who has been suspended must not, during the period of their suspension, suggest or cause any person to think or to continue to think that they continue to practise as a CFAR trainee or member. They may also wish to consider whether the best interests of their patients would be served by referring them to another therapist.

  1. Complaint Panel: composition, time-scales, procedures

Adjudication preparations:

3.1. The Complaint Officer will appoint a Complaint Panel consisting of two members of CFAR and an independent member (member of a psychoanalytic organisation other than CFAR). No member shall sit on the Complaint Panel to deal with any complaint where there is, or likely to be, any conflicts of interest.

3.2. The Complaint Officer will seek to ensure timescales are adhered to as follows, so far as is reasonably practicable:

  • The adjudication is to take place within 16 weeks of the formal notification of the complaint being sent to the Respondent (and a copy sent to the complainant).
  • On receipt of the formal notification of the complaint, the Respondent must submit any response within 6 weeks.
  • Any and all supporting documentation from the Complainant must be submitted within 6 weeks of receipt of the formal notification of the complaint.
  • Notification of the intention to call witness(es) and the names of any witness(es) must be submitted within 6 weeks of the formal notification of the complaint.
  • The documentation pack for the adjudication will be sent to both parties within 8 weeks of receipt of the formal notification of the adjudication. The compilation of the documentation pack is the responsibility of the Complaint Officer.

3.3. The Complaint Officer may, with the agreement of the   Management Committee, seek advice of appropriately qualified professional/s prior to the finalisation of the documentation pack.

3.4. The Complaint Officer will arrange an appropriate venue for the adjudication. A ‘remote hearing’, ‘remote working’ including video and audio conferencing is permitted should local or national directives require it.

3.5. While preparing for the adjudication the Complaint Panel and Complaint Officer will pay due regard to the protection of sensitive clinical information and to the welfare of the Complainant and Respondent.

The Adjudication:

3.6. The Complaint Panel shall hear and determine any complaint which it has been decided or directed should proceed to adjudication. Any such determination shall be by a decision of those members of the Complaint Panel who are present which is either unanimous or by a majority.

3.7. The Complaint Panel will agree as to who will Chair.

3.8 The Complaint Panel may seek further information from the Complaint Officer.

3.9. The Complaint Panel may require the advice of appropriately qualified professional/s. The provision of such professional services should be coordinated by the Complaint Officer with the agreement of the Management Committee.

3.10. The Complaint Panel may hear and determine the complaint notwithstanding the failure of the Complainant or the Respondent to attend.

3.11. The Complainant and Respondent may each be accompanied by a friend or companion, for moral-support purposes only, who is not a current or former member of the legal professions.

3.12.  The Complaint Panel shall determine its own procedure at the hearing but will allow the Respondent to give evidence and to address them on the complaint and on potential sanction. The Complaint Panel may in their absolute discretion permit the Respondent to question witnesses (including the Complainant).

At the conclusion of the evidence, the Respondent may make final representations to the Complaint Panel on the appropriate determination and sanction.

3.13. During the adjudication hearing, the Complaint Panel will pay due regard to the protection of sensitive clinical information and to the welfare of the Complainant and Respondent.

3.14. A record will be taken for the purpose of minuting the proceedings.

  1. Determination

The determination will be made on the balance of probabilities.

  1. Sanction

If the Complaint Panel shall find  that CFAR’s Code of Ethics or Code of Conduct has been breached, it shall have the power to decide  the following sanctions that will be implemented by the Management Committee, and which shall not take effect until the time for appealing has expired without an appeal being instituted or, if an appeal has been instituted, it has either been withdrawn or is dismissed:

(a)  A warning in such form as considered appropriate

(b)  A requirement as to further supervision, analysis or training as considered appropriate

(c)  Suspension from CFAR for such period as considered appropriate

(d)  Expulsion from CFAR

The Complaint Panel shall without delay notify in writing the Complainant, the Respondent and the MC of its determination and any sanction.

  1. Appeal

6.1. The Respondent may within twenty-eight days of the date of such notification give written notice of appeal against the adjudication decision or sanction. Such notice will be considered only if grounds for an appeal can be firmly established: for example, if CFAR’s procedures for the adjudication process have not been followed.

6.2 The MC – as the Board of Directors of CFAR – is responsible for establishing that grounds for an appeal exist, and for convening an Appeal Panel. This panel shall be comprised of two members of CFAR and an independent member (member of a psychoanalytic organisation other than CFAR) for considering the appeal. Henceforth, the Complainant, Respondent and all concerned parties shall be notified that an appeal has been allowed.

6.3 The Appeal Panel will either :

  1. Confirm the original decision including the recommended sanction; or
  2. Overturn the decision of the Complaint Panel to uphold the complaint thereby determining that the complaint is rejected.
  3. Confirm the decision to uphold the complaint but reducing the sanction.

6.4 The MC will notify the Complainant, Respondent and all concerned parties of the outcome of the Appeal.

  1. Final confirmation

 CFAR – as an organizational member of the UKCP – is required to inform the UKCP if a complaint has been upheld against a trainee who has joined the UKCP as a Student or Trainee Member.

 

Appendix A

The summary of issues at stake will be in the following format:

Complaint received by the Centre of Freudian Analysis and Research (CFAR)

From:              Name of complainant (“Complainant”)

Concerning:    Name of person complained against (“Respondent”)

References:     Identification of complaint document

SUMMARY OF THE ISSUES AT STAKE

Subject to CFAR’s adjudication process – during which the Respondent’s response and the evidence presented by both parties will be taken into account – the issues at stake are the potential breaches by the Respondent of any or all of the following:

CFAR Code of Ethics [issue date]

1.Text copied from the first code that has potentially been breached and its reference.
2. Text copied from the second code that has potentially been breached and its reference.

…/continued as and if necessary.

CFAR Code of Practice [issue date]

  1. Text copied from the first code that has potentially been breached and its reference.
    2. Text copied from the second code that has potentially been breached and its reference.

…/continued as and if necessary.

UKCP Ethical Principles and Code of Professional Conduct [issue date]

  1. Text copied from the first code that has potentially been breached and its reference.
    2. Text copied from the second code that has potentially been breached and its reference.

…/continued as and if necessary.

(Signed) _______________________________________________

For and on behalf of CFAR

(Dated) ____________________________

 

[1] All CFAR trainees are subject to this procedure – including student or trainee  members of the UKCP

[2] 2 [2]If the Chair of the Management Committee is unavailable or excused because of a conflict of interests, the MC will appoint an Acting Chair for the purposes of this procedure and further references in this procedure to the Chair of the MC shall be to the Acting Chair.