SAFPAC Complaints Procedure
Often the simplest way of resolving disagreements or concerns is for the client to speak to the therapist to see if they can put things right. A formal complaints process is stressful for both parties, and we therefore recommend that clients try to resolve concerns with their therapist before lodging a formal complaint. Depending on the type of complaint, the client may feel that it’s not right to contact the therapist. If this is the case, we ask clients to say within their complaint why this was not possible.
PART A. Procedure where a complaint is made against a member of SAFPAC under the Ethical Principles and Code of Professional Conduct
1. Who may complain.
1.1. Where there is a complaint process available in the organization with whom the SAFPAC registrant (hereafter called the Respondent) is contracted to offer therapeutic services and by which the Respondent is supervised, or in any other organization of which the Respondent is a member (for example UKCP or BACP) or in any place of employment of the Respondent from which the complaint arises, SAFPAC will not hear a complaint in the first instance, subject to paragraph 1.4 below.
1.2. Where a Respondent becomes subject to a complaint proceeding related to their therapeutic practice which is being heard by another organisation/regulator/employer, or becomes subject to legal action, consideration of that complaint if also previously made to SAFPAC under this Complaints Procedure may be suspended by the Complaints Clerk until the other proceedings have been completed by the relevant organisation, regulator, employer, or the courts.
1.3. In the instance that the same complaint is lodged with SAFPAC and another organisation/regulator/employer, the Complaints Clerk will have regard to paragraph 1.1 above and shall liaise with the relevant organisation/regulator/employer about suspending the SAFPAC Complaints Process until those other proceedings have been completed by the relevant organisation, regulator or employer.
1.4. When deciding whether to suspend consideration of the complaint, the Case Manager must have regard to paragraph 1.1 above and weigh the interests of any Complainant, the Respondent and the wider public before deciding whether it is appropriate to do so. The Complaints Clerk can review this decision at any time and give reasonable notice to the Respondent that consideration of the complaint is resuming.
1.5. Where a complaint has been considered and not upheld by another person, employer or organisation the Complaints Clerk may decide not to consider a complaint based substantially on the same conduct on the basis that repeated prosecution of the Respondent on the basis of the same allegation may be against the public interest. The Complaints Clerk shall give reasons for their decision in this regard.
1.6. For the purposes of the SAFPAC Ethical Principles and Code of Professional Conduct Complaints Procedure a complaint against a Registrant Member alleging a breach of Ethical Practice may be initiated by a person (referred to as the "Complainant") who is a client/patient (current or former) of that member, a member or student member of SAFPAC, or a professional member of an organisation as determined by the Council, provided they have a connection to the Respondent which must be shown to be relevant to the reported case, if:
1.6.1. the Registrant Member is still a Registrant at the time of the complaint being lodged with UKCP; and
1.6.2. the Registrant Member was a Registrant at the time of the conduct that is the basis of the complaint or, if the Registrant was not a Registrant at the time of the conduct, the Complaints Clerk determines that it would be reasonable and in the public interest to consider the complaint.
1.7. Complaints should normally be made within three years of the conduct that forms the subject matter of the complaint (or three years from the date on which any
Complainant became aware of the conduct, whichever is later). If this time limit is not observed, the Complaints Clerk must decide whether, in all the circumstances of the case, it would be reasonable and in the public interest to allow the complaint to proceed.
1.8. If the Registrant resigns from the SAFPAC register, or fails to renew SAFPAC membership, after a complaint has been received by SAFPAC, the complaint will still proceed pursuant to this procedure unless, in exceptional circumstances, the Complaints Clerk determines it would not be reasonable or in the public interest for it to do so.
2. How a complaint may be brought.
There are three main ways in which complaints can be addressed depending on the nature of the complaint and who the complaint is about:
It may be helpful in understanding your complaint to refer to the SAFPAC Code of Conduct, Performance and Ethics which can be obtained from the SAFPAC Complaints Clerk (details below):
In writing by post:
Or in writing by email:
Complaints Clerk SAFPAC 70 Kenilworth Avenue London SW19 7LR
[email protected]
2.1. Concerns and Complaints about Clinical Members of SAFPAC who are also Registrants or Student Members of UKCP
SAFPAC is an organisational member of the United Kingdom Council for Psychotherapy (UKCP). As such many clinical members of SAFPAC are part of the National Register of Psychotherapists and Counsellors held by UKCP. UKCP organises a Central Complaints Procedure (CCP) to manage concerns and complaints about registrants whose names are on this National Register.
You can find out if a Clinical Member is on the UKCP Register by contacting UKCP or by visiting the UKCP 020 7014 9955 http://members.psychotherapy.org.uk/find-a-therapist/
Complaints to UKCP can be made by downloading and completing a UKCP complaints form https://www.psychotherapy.org.uk/ukcp-members/complaints/how-to-make-a-complaint/
If a Clinical Member of SAFPAC is on the UKCP Register complaints and concerns should raised with UKCP directly. A copy of UKCP complaints procedures can be found on the UKCP website: https://www.psychotherapy.org.uk/ukcp-members/complaints/how-to-make-a-complaint/
2.2. Complaints about Members of SAFPAC who are not Registrants or Student Members of UKCP.
If the Respondent is a member of SAFPAC who is not a registrant or Student Member of UKCP, then complaints are managed within the SAFPAC complaints procedure as set out below. You should address the complaint to the Chair of Council, or alternatively, if this is not appropriate, to the Complaints Clerk:
In writing by post:
Or in writing by email:
Complaints Clerk SAFPAC 70 Kenilworth Avenue London SW19 7LR
[email protected], [email protected]
2.3. Complaints about a Course or Programme Accredited by SAFPAC
If your concerns or complaints are about a course or programme accredited by SAFPAC it is usual for concerns and complaints of this kind to be investigated in line with the process set out below. It is also possible for SAFPAC to instruct independent and external investigation and review should this be required and necessary. You should address the complaint to the Chair of Council, or alternatively, if this is not appropriate, to the Complaints Clerk:
In writing by post: Complaints Clerk
Or in writing by email:
SAFPAC 70 Kenilworth Avenue London SW19 7LR
[email protected] [email protected]
2.4. Complaints about SAFPAC as an Organisation, its Officers or Employees
If your concerns or complaints are about SAFPAC as an Organisation, its Officers or Employees it is usual for concerns and complaints of this kind to be investigated in line with the process set out below. It is also possible for SAFPAC to instruct independent and external investigation and review should this be required and necessary. You should address the complaint to the Chair of Council, or alternatively, if this is not appropriate, to the Complaints Clerk of SAFPAC:
In writing by post:
Or in writing by email:
Complaints Clerk SAFPAC 70 Kenilworth Avenue London SW19 7LR
[email protected] [email protected]
2.5. If a complaint is brought under the provisions of 2.2, 2.3 or 2.4 above, then any such complaint shall be made in writing and addressed to the Chair of SAFPAC, who shall without delay forward a copy of such written complaint to the Complaints Clerk (as described next), and to the person about whom the complaint has been made. If it is not appropriate to make the complaint to the Chair of Council, then the complaint must be made to the Complaints Clerk.
2.5.1. The Complaints Clerk is elected for an initial term of three years. The primary responsibility is to implement and resolve the screening process and to organise the complaints procedure, without participating in adjudication panel decisions or having a voting right. Duties include, receiving and sending notifications about complaints, screening, seeking advice on prima facie, calling a quorum of Complaints Panel, and clerking of adjudications.
3. Conciliation, Mediation, or Arbitration.
It is recognised that the Complainant and Respondent may wish to enter a process of conciliation, mediation, or arbitration to achieve resolution.
3.1. In the event that both the Complainant and the Respondent wish to enter a process of conciliation, mediation or arbitration that process shall be referred by the Complainant and the Respondent to an independent mediation service agreed upon by the Complainant and the Respondent. Such process will be paid for by the Complainant and the Respondent jointly.
3.2. Should the parties decide to enter conciliation, mediation, or arbitration, this will take place a soon as possible and the Complaints Clerk shall specify a further date within 60 days or within 21 days of the conclusion of the conciliation, mediation or arbitration, whichever is the earlier, when both parties shall be required to attend again before him/her to communicate the outcome of the Conciliation, Mediation or Arbitration. As agreement by such mediation is final, no adjudication by SAFPAC is then required.
4. Screening
In the absence of conciliation, mediation, or arbitration a screening process shall be followed.
4.1. The screening process is concerned with deciding, in a transparent and professional manner, whether there is a realistic prospect that SAFPAC will be able to establish that the Respondent is in breach of the SAFPAC Ethical Principles and Code of Professional Conduct and therefore may not be suitable to be on the SAFPAC register without any restrictions or conditions of practice.
4.2. If the Complaints Clerk, having applied the procedures set out in the sections above determines that SAFPAC has received a complaint which falls to be decided by SAFPAC against a Respondent the complaint shall be screened under the following provisions.
4.3. The Complaints Clerk will invite the Respondent to respond to the complaint usually within 21 days of the complaint being sent to the Respondent. A copy of any response received from the Respondent will usually be provided to the Complainant except in cases where there is more than one Complainant and confidential client-specific information is contained within the response, in which case an appropriately redacted response may be provided.
4.4. The Complaints Clerk may at any time ask the Complainant to produce any documents/evidence relevant to their complaint and the Complainant must do their best to produce the requested documents/evidence.
4.5. The Respondent will be encouraged to provide any documents or information requested by the Complaints Clerk but is not compelled to do so, however if the Respondent decides not to do so, they will not be able to use documents that were available to them at the time but not produced as a basis for an appeal.
4.6. The Complaints Clerk may conduct such investigations as he considers reasonable and necessary to make decisions under the Complaints Process.
4.7. When all required documentation has been received, the Complaints Clerk will decide whether the realistic prospect test, as set out in 4.1, is met. If the Complaints Clerk feels unable to make this decision, he must refer the matter to the Chair of Ethics who must make the decision. The Chair of Ethics may (but is not required to) set up a panel of two (2) persons to assist for this purpose alone, consisting of one SAFPAC member (for recruitment pool, see complaints panel, paragraph 5.2) and one person with suitable knowledge and experience, who is independent of SAFPAC, as appointed by the Council. Any determination that there is a prima facie case to answer in respect of a complaint shall be unanimous.
4.8. If the Chair of Ethics requires a panel for the purpose of carrying out the duties to determine whether any complaint discloses a prima facie case for the Respondent to answer, the panel shall:
4.8.1. Base their determination solely on the written complaint submitted by the Complainant together with such further and better particulars as may be elicited by the panel under the provisions (3.8.2) of this section.
4.8.2. Have no power to interrogate or question either the Complainant or the Respondent or to otherwise investigate the nature or merits of such complaint save that where the nature of the complaint is unclear or where it is not specified which provision(s) of the Ethical Principles and Code of Professional Conduct is/are alleged to have been breached, then the panel may in writing request the Complainant to provide such further and better particulars of the complaint as may be sufficient to establish the nature of the complaint and/or the provision(s) of the Ethical Principles and Code of Professional Conduct alleged to have been breached. In the event of the prima facie panel asking for further clarification, the Complainant shall have up to 21 days in which to respond.
4.8.3 The Chair of Ethics maintains oversight of all decisions made during the screening process. Before the Complaints Clerk takes a final decision, they must seek the advice of the Chair of Ethics. However, the final decision rests with the Complaints Clerk.
4.9. If the realistic prospect test is met the case will usually be referred to an Adjudication Panel. However, if the complained of behaviour is such that the Respondent has fully acknowledged, addressed it and undertakes not to repeat it, the Complaints Clerk may, in consultation with the Chair of Ethics, discontinue the Complaints Process. If the behaviour is repeated in the future, the Complaints Clerk may re-start the Complaints Process.
4.10. The Respondent and Complainant will be notified in writing of the decisions made under 4.7 and 4.8 and 4.9?
4.11. The Complaints Clerk shall forthwith send written notice of their decision to the Complainant and Respondent together with copies of any documents considered by the Case Manager and the Chair of Ethics but not yet seen by the Complainant or Respondent together also with written particulars of the date time and place at which the Complainant and Respondent shall be requested to attend together before the Complaints Clerk such date to be not less that 21 days from the date of the notice. Ahead of this meeting the Complaints Clerk shall formally send a copy of the Ethical Principles and Code of Professional Conduct and the Complaints Procedure to the Complainant and the Respondent. At this meeting the Complaints Clerk may discuss any queries arising so far about the procedure and shall inform the Complainant and the Respondent of the subsequent process.
4.12. If the realistic prospect test has not been satisfied the Complainant must be informed that they may re-submit the complaint one more time with any additional evidence that may satisfy the realistic prospect test.
4.13. The SAFPAC Chair will be notified if the complaint has been referred to an Adjudication Panel.
4.14. There is no appeal against a decision relating to the outcome of the screening process.
4.15. In the event that both Complainant and Respondent shall not appear before the Complaints Clerk as requested in 4.11 or in the event that there is no agreement to participate in the mediation, conciliation or arbitration following mediation, then the Complaints Clerk shall, on the first occasion on which the Complainant and Respondent are requested to appear before him/her and do appear, inquire if the complaint still stands. If the Complainant does not appear before the Complaints Clerk as requested, and so long as there is reasonable evidence to show that the request has been served on the Complainant, and so long as the Complainant has not made reasonable attempts to attend as requested, then the Complaint will be deemed ‘not proceeded with’ and dismissed. If neither the Complainant or the Respondent appear before the Complaints Clerk, and so long as there is reasonable evidence to show that the request has been served on both the Complainant and the Respondent, and so long as the Complainant and the Respondent have not made reasonable attempts to attend as requested, then the Complaint will be deemed ‘not proceeded with’ and dismissed. If the Respondent only fails to attend before the Complaints Clerk as requested, and so long as there is reasonable evidence to show that the request has been served on the Respondent, and so long as the Respondent has not make reasonable attempts to attend as requested, then the Complaint may proceed in the Respondent’s absence.
4.15.1 If the Complainant confirms that the complaint stands, the Complaints Clerk may direct that the complaint proceeds to adjudication as provided by SAFPAC. To maintain equitable access, if the Respondent and/or the Complainant choose to bring a representative to the adjudication hearing such person shall not be a current or former member of the legal profession.
4.15.2. Should the two parties wish to avail themselves of legal professional representation, they are free to take the complaint to court but the SAFPAC process will not include legal representation for either party.
5. Adjudication at a hearing.
5.1. When the Complaints Clerk decides or directs that any complaint shall proceed to adjudication at a hearing, s/he shall within seven days thereof send written particulars to the Complainant and Respondent of the date time and place proposed for the adjudication, such date to be within 42 days of the date on which the said written particulars are sent.
5.2. The Complaints Clerk shall set up a Complaints Panel who thereafter shall handle the complaint. S/he shall serve as the clerk of the hearing but have no vote in the proceedings.
5.2.1. No member shall sit on the Complaints Panel to deal with any complaint where there is likely to be a conflict of interest.
5.2.2. A quorum of the Complaints Panel to adjudicate on any complaint shall consist of three (3) members of SAFPAC not hitherto involved in the adjudication process. In cases where there would otherwise be no quorum, the Complaints Clerk shall be empowered to co-opt an appropriate disinterested person
5.2.3. SAFPAC members serving on Complaints Panels shall be chosen from a pool of suitably qualified members elected for the purpose of serving on complaints procedure but have not participated in the prima facie case decision (see above 3.1.1).
5.3. The Complaints 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 Complaints Panel who are present which is either unanimous or by a majority.
5.4. The Complaints Panel may hear and determine the complaint notwithstanding the failure of the Complainant or the Respondent to attend provided that if the Respondent shall have failed to attend, the Complaints Panel shall first be satisfied that s/he received or should have received the notices referred to in paragraphs 3.3 (prima facie) and 6.1 (SAFPAC adjudication) hereof.
5.5. The proceedings of the Complaints Panel shall in all respects accord with the principles of natural justice as recognised by English law, including fairness.
5.6. The Complaints Panel may at any stage of the hearing appoint any person suitably qualified to advise the Complaints Panel on any matter arising and if considered necessary to attend the hearing to give such advice. The costs of such advice shall in all cases be payable by SAFPAC and shall be referred to the Council.
5.7. The Complaints Panel may at any stage of the hearing ask questions, invite comments on the questions, and call for further investigation. They may ask each party to present his or her side, the Panel identifying issues for which they need further information, and then questioning each party themselves.
5.8. The Complainant and the Respondent may at any stage of the hearing at their own expense make submissions, give oral evidence to the Complaints Panel, call witnesses, and question the other party or their witnesses. The Respondent shall have the right to remain silent if s/he so wishes or is so advised. The two parties may do the above by themselves, by their interpreter (such as translator), or by another chosen representative (subject to 4.15.2, above). At the conclusion of the evidence the Complainant and the Respondent may make representations to the Complaints Panel.
5.9. Documents which are to be relied on or presented as evidence by the Complainant or Respondent should be sent to the Complaints Panel and the other party at least 14 days before the hearing. They may be redacted for sensitive items. Such documents shall be formally produced by the party relying on them at the appropriate point in the hearing. The producer of such documents may be examined and cross-examined on the content and implications of such documents.
5.10. Burden of Proof. For a complaint to be upheld the Complaints Panel must be satisfied that, having fully taken into account the facts of the case examined in the evidence produced by both parties, and all the arguments and responses presented to them by both parties, they are entirely satisfied that the complaint has been established on the balance of probabilities, as is typically the standard for cases of civil wrong in English law.
5.11. The conduct of the hearing, the length of the evidence and the admissibility of evidence shall in all respects be determined by the Complaints Panel.
PART B. Disciplinary Action and Appeals Process
1. If the Complaints Panel is satisfied that the complaint has been proved and that a breach of the Ethical Principles and Code of Professional Conduct has been committed by the Respondent, it may impose any one or more of the following sanctions:
1.1. A formal written warning.
1.2. The requirement that the member be supervised by a senior practitioner to be approved by Council for such term as stipulated by the Complaints Panel.
1.3. The recommendation that the member attends further therapy with a senior practitioner to be approved by Council for such term as stipulated by the Complaints Panel.
1.4. Make recommendation to Council that the member be:
1.4.1. Removed from any office or membership of any committee or the exercise of any other specific function within SAFPAC.
1.4.2. Suspended from membership of SAFPAC for a stipulated term.
1.4.3. Expelled from SAFPAC.
1.5. Where applicable the Complaints Panel shall specify the duration for which any sanction imposed shall remain in force and/or the conditions for it to be lifted.
2. The Complaints Panel shall notify the Complaints Clerk who shall within five working days of the hearing notify the Complainant and Respondent and the Chair of Council of the determination of the Panel, including of any disciplinary action taken.
3. Appeal process.
3.1. The Complainant or the Respondent may within 21 days of the date of such notification give written notice to the Council of appeal against the decision of the Complaints Panel whereupon the Council shall fix a date within 35 days for the consideration of the appeal and shall notify the Complainant and the Respondent of such date.
3.2. An appeal may be made by the Complainant or the Respondent on one or more of the following grounds:
3.2.1. It is submitted by the prospective Appellant that there has been an error in the way the Complaints Procedure has been applied which has had a material effect on the Complaint Panel’s decision and/or sanction. Application on this basis must be submitted in writing, and the Appeal Panel will consider the application on paper, without a hearing, unless the Appeal Panel decides that it is in the interests of the public, the Appellant or Respondent to hear the appeal in person.
3.2.2. A piece of evidence is now available was not available and could not reasonably have been obtained for consideration at the hearing which would have had a material effect on the Complaint Panel’s decision.
3.3. The Council shall set up an Appeal Panel to determine any appeal on its behalf. Such Appeal Panel shall comprise of three (3) participants with qualifications and experience which are deemed suitable, one of which shall be a senior member of SAFPAC. Such a Panel shall exclude any person that may have participated in the prima facie case or in the Complaints Panel (see above Part A. 3.1.1 and 3.4.3).
3.4. If the appeal is made on the basis of 3.2.1 above the appeal shall be considered by the Appeal Panel on the papers as set out in 3.2.1 above. If the appeal is on the basis of 3.2.2 above then the hearing will not be a full re-hearing, but will be limited to determining whether the new evidence is such that the original adjudication should be reversed. At the hearing of the appeal the Complainant and the Respondent may make oral or written representations in person or through his representative to the Appeal Panel in support of his/her appeal. If written representation is made, a copy shall be made available to the other party at least 14 days prior to the date of the hearing. The Appeal Panel shall review a summary of the evidence presented at the hearing before the Complaints Panel and such further evidence which had not been presented at that hearing and which the Appeal Panel in its sole discretion considers to be relevant to the appeal.
3.5. The Appeal Panel may
3.5.1. Allow or dismiss the appeal, and quash the decision or the disciplinary action imposed by the Complaints Panel or
3.5.2. Substitute for the disciplinary action imposed by the Complaints Panel some alternative course of action specified in section 1 of this part of the Complaints Procedure.
3.6.For the purposes of receiving any notification provided for under the Ethical Principles and Code of Professional Conduct or the hearing of an appeal under Part B section 3 of the Complaints Procedure, the Council shall exclude any trainee or student who might otherwise be entitled to attend meetings of the Council.
4. Publication of the sanctions.
After the complaint has been upheld and a sanction imposed by the Complaints Panel (Part B, section 1), which may have been subject to variation by Appeal (Part B, section 3), the Complaints Clerk shall consider publication of the findings and the sanction. In the event of suspension or expulsion from membership, SAFPAC shall within 14 days publish the decision, the sanction and the reason for the sanction, and the Complaints Clerk shall notify the UKCP accordingly. In the event of lesser sanctions, the Complaints Clerk may not proceed to publication, save where the Complaints and Appeals Panels have identified material risk to public safety.
5. Final confirmation and notification.
The Complaints Clerk shall appoint a senior member of SAFPAC to supervise that the disciplinary actions have been carried out according to the instructions of the Complaints Panel or the Appeal
Panel, as cited above, and when the terms of the sanctions have lapsed. Such supervisor shall inform the Complaints Clerk, who shall notify the Chair of the Council.
Part C. Special provisions relating solely to Trainees and Students
1. All trainees and students of SAFPAC shall be subject to all the provisions of the Ethical Principles and Code of Professional Conduct and Complaints Procedure (save as herein expressly provided) as if they were full members of SAFPAC but shall not thereby acquire any voting rights in respect of any proceedings of SAFPAC whether at the AGM or otherwise nor be entitled to be elected to the Ethics Committee.
2. In the event of a complaint being made against a trainee or student under the terms of the SAFPAC Ethical Principles and Code of Professional Conduct and this Complaints Procedure, a mentor shall be appointed by Council to support the trainee or student. Such mentor shall be an appropriately experienced member of SAFPAC but need not be a member of the Training Committee.
3. So far as the provisions of part B section 1 of the Complaints Procedure in respect of disciplinary action are concerned there shall be substituted in relation to trainees and students, provision for suspension or expulsion from training or registration as a student in lieu of the provision for suspension or expulsion from membership.
4. In the event of any complaint against a trainee or student under the terms of the SAFPAC Ethical Principles and Code of Professional Conduct and the Complaints Procedure, the Complaints Panel shall in addition to the obligations imposed under the Ethical Principles and Code of Professional Conduct and this Procedure inform the Complaints Clerk who shall send a copy of the complaint to the Training Committee and at all times keep the Training Committee sufficiently informed of the progress of the complaint.
Complaints tracking
Date complaint received
Name of complainant
Nature of complaint (eg training, ethics, membership)
Notes/date of initial response
Date of complaint’s panel
Decision of complaints panel
Complaint progressed to mediation – date/outcome
Complaint progressed to adjudication hearing – date/outcome
Complaint progressed to appeal – date/outcome
PART A. Procedure where a complaint is made against a member of SAFPAC under the Ethical Principles and Code of Professional Conduct
1. Who may complain.
1.1. Where there is a complaint process available in the organization with whom the SAFPAC registrant (hereafter called the Respondent) is contracted to offer therapeutic services and by which the Respondent is supervised, or in any other organization of which the Respondent is a member (for example UKCP or BACP) or in any place of employment of the Respondent from which the complaint arises, SAFPAC will not hear a complaint in the first instance, subject to paragraph 1.4 below.
1.2. Where a Respondent becomes subject to a complaint proceeding related to their therapeutic practice which is being heard by another organisation/regulator/employer, or becomes subject to legal action, consideration of that complaint if also previously made to SAFPAC under this Complaints Procedure may be suspended by the Complaints Clerk until the other proceedings have been completed by the relevant organisation, regulator, employer, or the courts.
1.3. In the instance that the same complaint is lodged with SAFPAC and another organisation/regulator/employer, the Complaints Clerk will have regard to paragraph 1.1 above and shall liaise with the relevant organisation/regulator/employer about suspending the SAFPAC Complaints Process until those other proceedings have been completed by the relevant organisation, regulator or employer.
1.4. When deciding whether to suspend consideration of the complaint, the Case Manager must have regard to paragraph 1.1 above and weigh the interests of any Complainant, the Respondent and the wider public before deciding whether it is appropriate to do so. The Complaints Clerk can review this decision at any time and give reasonable notice to the Respondent that consideration of the complaint is resuming.
1.5. Where a complaint has been considered and not upheld by another person, employer or organisation the Complaints Clerk may decide not to consider a complaint based substantially on the same conduct on the basis that repeated prosecution of the Respondent on the basis of the same allegation may be against the public interest. The Complaints Clerk shall give reasons for their decision in this regard.
1.6. For the purposes of the SAFPAC Ethical Principles and Code of Professional Conduct Complaints Procedure a complaint against a Registrant Member alleging a breach of Ethical Practice may be initiated by a person (referred to as the "Complainant") who is a client/patient (current or former) of that member, a member or student member of SAFPAC, or a professional member of an organisation as determined by the Council, provided they have a connection to the Respondent which must be shown to be relevant to the reported case, if:
1.6.1. the Registrant Member is still a Registrant at the time of the complaint being lodged with UKCP; and
1.6.2. the Registrant Member was a Registrant at the time of the conduct that is the basis of the complaint or, if the Registrant was not a Registrant at the time of the conduct, the Complaints Clerk determines that it would be reasonable and in the public interest to consider the complaint.
1.7. Complaints should normally be made within three years of the conduct that forms the subject matter of the complaint (or three years from the date on which any
Complainant became aware of the conduct, whichever is later). If this time limit is not observed, the Complaints Clerk must decide whether, in all the circumstances of the case, it would be reasonable and in the public interest to allow the complaint to proceed.
1.8. If the Registrant resigns from the SAFPAC register, or fails to renew SAFPAC membership, after a complaint has been received by SAFPAC, the complaint will still proceed pursuant to this procedure unless, in exceptional circumstances, the Complaints Clerk determines it would not be reasonable or in the public interest for it to do so.
2. How a complaint may be brought.
There are three main ways in which complaints can be addressed depending on the nature of the complaint and who the complaint is about:
It may be helpful in understanding your complaint to refer to the SAFPAC Code of Conduct, Performance and Ethics which can be obtained from the SAFPAC Complaints Clerk (details below):
In writing by post:
Or in writing by email:
Complaints Clerk SAFPAC 70 Kenilworth Avenue London SW19 7LR
[email protected]
2.1. Concerns and Complaints about Clinical Members of SAFPAC who are also Registrants or Student Members of UKCP
SAFPAC is an organisational member of the United Kingdom Council for Psychotherapy (UKCP). As such many clinical members of SAFPAC are part of the National Register of Psychotherapists and Counsellors held by UKCP. UKCP organises a Central Complaints Procedure (CCP) to manage concerns and complaints about registrants whose names are on this National Register.
You can find out if a Clinical Member is on the UKCP Register by contacting UKCP or by visiting the UKCP 020 7014 9955 http://members.psychotherapy.org.uk/find-a-therapist/
Complaints to UKCP can be made by downloading and completing a UKCP complaints form https://www.psychotherapy.org.uk/ukcp-members/complaints/how-to-make-a-complaint/
If a Clinical Member of SAFPAC is on the UKCP Register complaints and concerns should raised with UKCP directly. A copy of UKCP complaints procedures can be found on the UKCP website: https://www.psychotherapy.org.uk/ukcp-members/complaints/how-to-make-a-complaint/
2.2. Complaints about Members of SAFPAC who are not Registrants or Student Members of UKCP.
If the Respondent is a member of SAFPAC who is not a registrant or Student Member of UKCP, then complaints are managed within the SAFPAC complaints procedure as set out below. You should address the complaint to the Chair of Council, or alternatively, if this is not appropriate, to the Complaints Clerk:
In writing by post:
Or in writing by email:
Complaints Clerk SAFPAC 70 Kenilworth Avenue London SW19 7LR
[email protected], [email protected]
2.3. Complaints about a Course or Programme Accredited by SAFPAC
If your concerns or complaints are about a course or programme accredited by SAFPAC it is usual for concerns and complaints of this kind to be investigated in line with the process set out below. It is also possible for SAFPAC to instruct independent and external investigation and review should this be required and necessary. You should address the complaint to the Chair of Council, or alternatively, if this is not appropriate, to the Complaints Clerk:
In writing by post: Complaints Clerk
Or in writing by email:
SAFPAC 70 Kenilworth Avenue London SW19 7LR
[email protected] [email protected]
2.4. Complaints about SAFPAC as an Organisation, its Officers or Employees
If your concerns or complaints are about SAFPAC as an Organisation, its Officers or Employees it is usual for concerns and complaints of this kind to be investigated in line with the process set out below. It is also possible for SAFPAC to instruct independent and external investigation and review should this be required and necessary. You should address the complaint to the Chair of Council, or alternatively, if this is not appropriate, to the Complaints Clerk of SAFPAC:
In writing by post:
Or in writing by email:
Complaints Clerk SAFPAC 70 Kenilworth Avenue London SW19 7LR
[email protected] [email protected]
2.5. If a complaint is brought under the provisions of 2.2, 2.3 or 2.4 above, then any such complaint shall be made in writing and addressed to the Chair of SAFPAC, who shall without delay forward a copy of such written complaint to the Complaints Clerk (as described next), and to the person about whom the complaint has been made. If it is not appropriate to make the complaint to the Chair of Council, then the complaint must be made to the Complaints Clerk.
2.5.1. The Complaints Clerk is elected for an initial term of three years. The primary responsibility is to implement and resolve the screening process and to organise the complaints procedure, without participating in adjudication panel decisions or having a voting right. Duties include, receiving and sending notifications about complaints, screening, seeking advice on prima facie, calling a quorum of Complaints Panel, and clerking of adjudications.
3. Conciliation, Mediation, or Arbitration.
It is recognised that the Complainant and Respondent may wish to enter a process of conciliation, mediation, or arbitration to achieve resolution.
3.1. In the event that both the Complainant and the Respondent wish to enter a process of conciliation, mediation or arbitration that process shall be referred by the Complainant and the Respondent to an independent mediation service agreed upon by the Complainant and the Respondent. Such process will be paid for by the Complainant and the Respondent jointly.
3.2. Should the parties decide to enter conciliation, mediation, or arbitration, this will take place a soon as possible and the Complaints Clerk shall specify a further date within 60 days or within 21 days of the conclusion of the conciliation, mediation or arbitration, whichever is the earlier, when both parties shall be required to attend again before him/her to communicate the outcome of the Conciliation, Mediation or Arbitration. As agreement by such mediation is final, no adjudication by SAFPAC is then required.
4. Screening
In the absence of conciliation, mediation, or arbitration a screening process shall be followed.
4.1. The screening process is concerned with deciding, in a transparent and professional manner, whether there is a realistic prospect that SAFPAC will be able to establish that the Respondent is in breach of the SAFPAC Ethical Principles and Code of Professional Conduct and therefore may not be suitable to be on the SAFPAC register without any restrictions or conditions of practice.
4.2. If the Complaints Clerk, having applied the procedures set out in the sections above determines that SAFPAC has received a complaint which falls to be decided by SAFPAC against a Respondent the complaint shall be screened under the following provisions.
4.3. The Complaints Clerk will invite the Respondent to respond to the complaint usually within 21 days of the complaint being sent to the Respondent. A copy of any response received from the Respondent will usually be provided to the Complainant except in cases where there is more than one Complainant and confidential client-specific information is contained within the response, in which case an appropriately redacted response may be provided.
4.4. The Complaints Clerk may at any time ask the Complainant to produce any documents/evidence relevant to their complaint and the Complainant must do their best to produce the requested documents/evidence.
4.5. The Respondent will be encouraged to provide any documents or information requested by the Complaints Clerk but is not compelled to do so, however if the Respondent decides not to do so, they will not be able to use documents that were available to them at the time but not produced as a basis for an appeal.
4.6. The Complaints Clerk may conduct such investigations as he considers reasonable and necessary to make decisions under the Complaints Process.
4.7. When all required documentation has been received, the Complaints Clerk will decide whether the realistic prospect test, as set out in 4.1, is met. If the Complaints Clerk feels unable to make this decision, he must refer the matter to the Chair of Ethics who must make the decision. The Chair of Ethics may (but is not required to) set up a panel of two (2) persons to assist for this purpose alone, consisting of one SAFPAC member (for recruitment pool, see complaints panel, paragraph 5.2) and one person with suitable knowledge and experience, who is independent of SAFPAC, as appointed by the Council. Any determination that there is a prima facie case to answer in respect of a complaint shall be unanimous.
4.8. If the Chair of Ethics requires a panel for the purpose of carrying out the duties to determine whether any complaint discloses a prima facie case for the Respondent to answer, the panel shall:
4.8.1. Base their determination solely on the written complaint submitted by the Complainant together with such further and better particulars as may be elicited by the panel under the provisions (3.8.2) of this section.
4.8.2. Have no power to interrogate or question either the Complainant or the Respondent or to otherwise investigate the nature or merits of such complaint save that where the nature of the complaint is unclear or where it is not specified which provision(s) of the Ethical Principles and Code of Professional Conduct is/are alleged to have been breached, then the panel may in writing request the Complainant to provide such further and better particulars of the complaint as may be sufficient to establish the nature of the complaint and/or the provision(s) of the Ethical Principles and Code of Professional Conduct alleged to have been breached. In the event of the prima facie panel asking for further clarification, the Complainant shall have up to 21 days in which to respond.
4.8.3 The Chair of Ethics maintains oversight of all decisions made during the screening process. Before the Complaints Clerk takes a final decision, they must seek the advice of the Chair of Ethics. However, the final decision rests with the Complaints Clerk.
4.9. If the realistic prospect test is met the case will usually be referred to an Adjudication Panel. However, if the complained of behaviour is such that the Respondent has fully acknowledged, addressed it and undertakes not to repeat it, the Complaints Clerk may, in consultation with the Chair of Ethics, discontinue the Complaints Process. If the behaviour is repeated in the future, the Complaints Clerk may re-start the Complaints Process.
4.10. The Respondent and Complainant will be notified in writing of the decisions made under 4.7 and 4.8 and 4.9?
4.11. The Complaints Clerk shall forthwith send written notice of their decision to the Complainant and Respondent together with copies of any documents considered by the Case Manager and the Chair of Ethics but not yet seen by the Complainant or Respondent together also with written particulars of the date time and place at which the Complainant and Respondent shall be requested to attend together before the Complaints Clerk such date to be not less that 21 days from the date of the notice. Ahead of this meeting the Complaints Clerk shall formally send a copy of the Ethical Principles and Code of Professional Conduct and the Complaints Procedure to the Complainant and the Respondent. At this meeting the Complaints Clerk may discuss any queries arising so far about the procedure and shall inform the Complainant and the Respondent of the subsequent process.
4.12. If the realistic prospect test has not been satisfied the Complainant must be informed that they may re-submit the complaint one more time with any additional evidence that may satisfy the realistic prospect test.
4.13. The SAFPAC Chair will be notified if the complaint has been referred to an Adjudication Panel.
4.14. There is no appeal against a decision relating to the outcome of the screening process.
4.15. In the event that both Complainant and Respondent shall not appear before the Complaints Clerk as requested in 4.11 or in the event that there is no agreement to participate in the mediation, conciliation or arbitration following mediation, then the Complaints Clerk shall, on the first occasion on which the Complainant and Respondent are requested to appear before him/her and do appear, inquire if the complaint still stands. If the Complainant does not appear before the Complaints Clerk as requested, and so long as there is reasonable evidence to show that the request has been served on the Complainant, and so long as the Complainant has not made reasonable attempts to attend as requested, then the Complaint will be deemed ‘not proceeded with’ and dismissed. If neither the Complainant or the Respondent appear before the Complaints Clerk, and so long as there is reasonable evidence to show that the request has been served on both the Complainant and the Respondent, and so long as the Complainant and the Respondent have not made reasonable attempts to attend as requested, then the Complaint will be deemed ‘not proceeded with’ and dismissed. If the Respondent only fails to attend before the Complaints Clerk as requested, and so long as there is reasonable evidence to show that the request has been served on the Respondent, and so long as the Respondent has not make reasonable attempts to attend as requested, then the Complaint may proceed in the Respondent’s absence.
4.15.1 If the Complainant confirms that the complaint stands, the Complaints Clerk may direct that the complaint proceeds to adjudication as provided by SAFPAC. To maintain equitable access, if the Respondent and/or the Complainant choose to bring a representative to the adjudication hearing such person shall not be a current or former member of the legal profession.
4.15.2. Should the two parties wish to avail themselves of legal professional representation, they are free to take the complaint to court but the SAFPAC process will not include legal representation for either party.
5. Adjudication at a hearing.
5.1. When the Complaints Clerk decides or directs that any complaint shall proceed to adjudication at a hearing, s/he shall within seven days thereof send written particulars to the Complainant and Respondent of the date time and place proposed for the adjudication, such date to be within 42 days of the date on which the said written particulars are sent.
5.2. The Complaints Clerk shall set up a Complaints Panel who thereafter shall handle the complaint. S/he shall serve as the clerk of the hearing but have no vote in the proceedings.
5.2.1. No member shall sit on the Complaints Panel to deal with any complaint where there is likely to be a conflict of interest.
5.2.2. A quorum of the Complaints Panel to adjudicate on any complaint shall consist of three (3) members of SAFPAC not hitherto involved in the adjudication process. In cases where there would otherwise be no quorum, the Complaints Clerk shall be empowered to co-opt an appropriate disinterested person
5.2.3. SAFPAC members serving on Complaints Panels shall be chosen from a pool of suitably qualified members elected for the purpose of serving on complaints procedure but have not participated in the prima facie case decision (see above 3.1.1).
5.3. The Complaints 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 Complaints Panel who are present which is either unanimous or by a majority.
5.4. The Complaints Panel may hear and determine the complaint notwithstanding the failure of the Complainant or the Respondent to attend provided that if the Respondent shall have failed to attend, the Complaints Panel shall first be satisfied that s/he received or should have received the notices referred to in paragraphs 3.3 (prima facie) and 6.1 (SAFPAC adjudication) hereof.
5.5. The proceedings of the Complaints Panel shall in all respects accord with the principles of natural justice as recognised by English law, including fairness.
5.6. The Complaints Panel may at any stage of the hearing appoint any person suitably qualified to advise the Complaints Panel on any matter arising and if considered necessary to attend the hearing to give such advice. The costs of such advice shall in all cases be payable by SAFPAC and shall be referred to the Council.
5.7. The Complaints Panel may at any stage of the hearing ask questions, invite comments on the questions, and call for further investigation. They may ask each party to present his or her side, the Panel identifying issues for which they need further information, and then questioning each party themselves.
5.8. The Complainant and the Respondent may at any stage of the hearing at their own expense make submissions, give oral evidence to the Complaints Panel, call witnesses, and question the other party or their witnesses. The Respondent shall have the right to remain silent if s/he so wishes or is so advised. The two parties may do the above by themselves, by their interpreter (such as translator), or by another chosen representative (subject to 4.15.2, above). At the conclusion of the evidence the Complainant and the Respondent may make representations to the Complaints Panel.
5.9. Documents which are to be relied on or presented as evidence by the Complainant or Respondent should be sent to the Complaints Panel and the other party at least 14 days before the hearing. They may be redacted for sensitive items. Such documents shall be formally produced by the party relying on them at the appropriate point in the hearing. The producer of such documents may be examined and cross-examined on the content and implications of such documents.
5.10. Burden of Proof. For a complaint to be upheld the Complaints Panel must be satisfied that, having fully taken into account the facts of the case examined in the evidence produced by both parties, and all the arguments and responses presented to them by both parties, they are entirely satisfied that the complaint has been established on the balance of probabilities, as is typically the standard for cases of civil wrong in English law.
5.11. The conduct of the hearing, the length of the evidence and the admissibility of evidence shall in all respects be determined by the Complaints Panel.
PART B. Disciplinary Action and Appeals Process
1. If the Complaints Panel is satisfied that the complaint has been proved and that a breach of the Ethical Principles and Code of Professional Conduct has been committed by the Respondent, it may impose any one or more of the following sanctions:
1.1. A formal written warning.
1.2. The requirement that the member be supervised by a senior practitioner to be approved by Council for such term as stipulated by the Complaints Panel.
1.3. The recommendation that the member attends further therapy with a senior practitioner to be approved by Council for such term as stipulated by the Complaints Panel.
1.4. Make recommendation to Council that the member be:
1.4.1. Removed from any office or membership of any committee or the exercise of any other specific function within SAFPAC.
1.4.2. Suspended from membership of SAFPAC for a stipulated term.
1.4.3. Expelled from SAFPAC.
1.5. Where applicable the Complaints Panel shall specify the duration for which any sanction imposed shall remain in force and/or the conditions for it to be lifted.
2. The Complaints Panel shall notify the Complaints Clerk who shall within five working days of the hearing notify the Complainant and Respondent and the Chair of Council of the determination of the Panel, including of any disciplinary action taken.
3. Appeal process.
3.1. The Complainant or the Respondent may within 21 days of the date of such notification give written notice to the Council of appeal against the decision of the Complaints Panel whereupon the Council shall fix a date within 35 days for the consideration of the appeal and shall notify the Complainant and the Respondent of such date.
3.2. An appeal may be made by the Complainant or the Respondent on one or more of the following grounds:
3.2.1. It is submitted by the prospective Appellant that there has been an error in the way the Complaints Procedure has been applied which has had a material effect on the Complaint Panel’s decision and/or sanction. Application on this basis must be submitted in writing, and the Appeal Panel will consider the application on paper, without a hearing, unless the Appeal Panel decides that it is in the interests of the public, the Appellant or Respondent to hear the appeal in person.
3.2.2. A piece of evidence is now available was not available and could not reasonably have been obtained for consideration at the hearing which would have had a material effect on the Complaint Panel’s decision.
3.3. The Council shall set up an Appeal Panel to determine any appeal on its behalf. Such Appeal Panel shall comprise of three (3) participants with qualifications and experience which are deemed suitable, one of which shall be a senior member of SAFPAC. Such a Panel shall exclude any person that may have participated in the prima facie case or in the Complaints Panel (see above Part A. 3.1.1 and 3.4.3).
3.4. If the appeal is made on the basis of 3.2.1 above the appeal shall be considered by the Appeal Panel on the papers as set out in 3.2.1 above. If the appeal is on the basis of 3.2.2 above then the hearing will not be a full re-hearing, but will be limited to determining whether the new evidence is such that the original adjudication should be reversed. At the hearing of the appeal the Complainant and the Respondent may make oral or written representations in person or through his representative to the Appeal Panel in support of his/her appeal. If written representation is made, a copy shall be made available to the other party at least 14 days prior to the date of the hearing. The Appeal Panel shall review a summary of the evidence presented at the hearing before the Complaints Panel and such further evidence which had not been presented at that hearing and which the Appeal Panel in its sole discretion considers to be relevant to the appeal.
3.5. The Appeal Panel may
3.5.1. Allow or dismiss the appeal, and quash the decision or the disciplinary action imposed by the Complaints Panel or
3.5.2. Substitute for the disciplinary action imposed by the Complaints Panel some alternative course of action specified in section 1 of this part of the Complaints Procedure.
3.6.For the purposes of receiving any notification provided for under the Ethical Principles and Code of Professional Conduct or the hearing of an appeal under Part B section 3 of the Complaints Procedure, the Council shall exclude any trainee or student who might otherwise be entitled to attend meetings of the Council.
4. Publication of the sanctions.
After the complaint has been upheld and a sanction imposed by the Complaints Panel (Part B, section 1), which may have been subject to variation by Appeal (Part B, section 3), the Complaints Clerk shall consider publication of the findings and the sanction. In the event of suspension or expulsion from membership, SAFPAC shall within 14 days publish the decision, the sanction and the reason for the sanction, and the Complaints Clerk shall notify the UKCP accordingly. In the event of lesser sanctions, the Complaints Clerk may not proceed to publication, save where the Complaints and Appeals Panels have identified material risk to public safety.
5. Final confirmation and notification.
The Complaints Clerk shall appoint a senior member of SAFPAC to supervise that the disciplinary actions have been carried out according to the instructions of the Complaints Panel or the Appeal
Panel, as cited above, and when the terms of the sanctions have lapsed. Such supervisor shall inform the Complaints Clerk, who shall notify the Chair of the Council.
Part C. Special provisions relating solely to Trainees and Students
1. All trainees and students of SAFPAC shall be subject to all the provisions of the Ethical Principles and Code of Professional Conduct and Complaints Procedure (save as herein expressly provided) as if they were full members of SAFPAC but shall not thereby acquire any voting rights in respect of any proceedings of SAFPAC whether at the AGM or otherwise nor be entitled to be elected to the Ethics Committee.
2. In the event of a complaint being made against a trainee or student under the terms of the SAFPAC Ethical Principles and Code of Professional Conduct and this Complaints Procedure, a mentor shall be appointed by Council to support the trainee or student. Such mentor shall be an appropriately experienced member of SAFPAC but need not be a member of the Training Committee.
3. So far as the provisions of part B section 1 of the Complaints Procedure in respect of disciplinary action are concerned there shall be substituted in relation to trainees and students, provision for suspension or expulsion from training or registration as a student in lieu of the provision for suspension or expulsion from membership.
4. In the event of any complaint against a trainee or student under the terms of the SAFPAC Ethical Principles and Code of Professional Conduct and the Complaints Procedure, the Complaints Panel shall in addition to the obligations imposed under the Ethical Principles and Code of Professional Conduct and this Procedure inform the Complaints Clerk who shall send a copy of the complaint to the Training Committee and at all times keep the Training Committee sufficiently informed of the progress of the complaint.
Complaints tracking
Date complaint received
Name of complainant
Nature of complaint (eg training, ethics, membership)
Notes/date of initial response
Date of complaint’s panel
Decision of complaints panel
Complaint progressed to mediation – date/outcome
Complaint progressed to adjudication hearing – date/outcome
Complaint progressed to appeal – date/outcome
