How the HGI deals with complaints

The Registration and Professional Standards Committee (RPSC) is the HGI body that:

• deals with complaints made against HGI registered therapists
• sets the standards of conduct and ethics for practitioners of HGI registered therapists
• maintains a register of therapists who meet the standards set out in the HGI Code of Ethics and Conduct
• oversees the standards of education and training required to gain entry onto the HGI Register of Practitioners.

What complaints can the RPSC deal with?

The RPSC can deal with complaints or concerns about:

• the treatment provided by registered HG therapists (HGI registrants)
• the business practices of HGI registrants
• the physical or mental health of HGI registrants perceived to affect their capacity to provide treatment
• the professional or personal behaviour of HGI registrants that is relevant to their fitness to practise.

Complaints by third parties

The RPSC will accept complaints from concerned third parties where, for example, a client is unable to complain directly for reasons of age or infirmity, or where the third party is aware of a situation that gives cause for concern.  Wherever possible, though, it is preferable that complainants communicate directly with the HGI.  The RPSC will also consider any reasonable concerns raised by third parties, such as the media or insurance companies, in relation to HGI registrants.

Complaints about RPSC members  

If the complaint concerns a member of the RPSC, or an RPSC member has had prior involvement in/knowledge of the issue that has become the subject of a complaint, that person will recuse themselves, as appropriate, from any discussion, deliberation and decision making about the case.

Time limit for complaints

The RPSC will not normally consider complaints about incidents that occurred, or came to light, more than seven years ago.

The RPSC cannot:

• fine a registrant or recover any money paid for services
• deal with claims for compensation*
• deal with complaints against other organisations, other than complaints against individual HGI registrants
• deal with complaints against the HGI itself, rather than registrants. Complaints against the HGI are dealt with by the External Oversight Committee for Human Givens Therapy (EOC). The EOC complaints procedure can be viewed here.
• deal with anonymous complaints or complaints where the name of the complainant must be withheld from the therapist, unless special circumstances apply.

*All HGI registrants are required to have insurance to cover any claims made against them.

What to do if you have a complaint

The HGI recommends that members of the public should, wherever possible, try to resolve their complaint with the individual therapist concerned. If you have tried this without success, or if you prefer to contact us from the outset, please follow the process as set out below.

How to make a complaint

A complaint has to be made in writing, preferably using our downloadable complaint form. Send a printed copy of your completed complaint form to the HGI Membership Secretary, Human Givens Institute, Church Farm, Church Farm Lane, Chalvington, East Sussex, BN27 3TD, United Kingdom, marking the envelope ‘Private and Confidential’. Alternatively, you can email your completed complaint form as an attachment to [email protected].

If putting your concerns in writing presents a difficulty, the HGI office staff will be pleased to assist you. They can be contacted on 0044 (0)1323 811662.

Notes:

1. If you have also complained about the registrant to another organisation about the incident in question, please note that it will be necessary to establish which organisation is better placed to deal with the matter in the first instance. (Please see our downloadable complaint form.)
2. If you have started legal proceedings in relation to your complaint, the HGI cannot take action until the outcome of the proceedings is known (please see our downloadable complaint form).

What happens next

When the RPSC receives a complaint about a therapist, the RPSC co-ordinator, in their role as complaints manager, uses a standard risk assessment matrix (the Complaint Assessment and Progression Matrix, known as CAPM) to determine whether the issue warrants further investigation. If it does, and if deemed appropriate, the complaints manager phones the complainant to ask if they are willing to consider an informal approach and, if so, what they would like from the therapist in the form of redress – for example, an apology. Then the complaints manager asks the therapist whether they agree to the complainant’s request.

If the complainant declines this informal approach or the therapist does not agree to the request of the complainant, the complaints manager, if appropriate, asks the complainant and the therapist whether they will consider a mediated resolution, instead of a formal complaint, having briefly explained how mediation works. If the complainant and the therapist agree to mediation, this is put in place within seven weeks. (See, however, section below on complaints that cannot be dealt with informally or by mediation.)

If, during the mediation procedure, the complainant brings evidence suggesting that the therapist was significantly in breach of the HGI Code of Ethics and Conduct, the mediation procedure must be stopped and the complaint dealt with via the formal complaints procedure.

If the complainant or the therapist declines mediation, if the mediation is unsuccessful or if it is not conducted within seven weeks, the complaint will be dealt with via the formal procedure.

Complaints that cannot be dealt with informally or by mediation

Complaints about conduct that falls significantly below the standards set out in the HGI Code of Ethics and Conduct must also be dealt with by the formal procedure, rather than informally or by mediation. These include complaints about:

• abuse of trust, for example, breach of professional boundaries, manipulative or predatory behaviour, financial exploitation (See Section A of the HGI Code of Ethics and Conduct)
• dishonest business practice (See Section A14 of the HGI Code of Ethics and Conduct)
• professional incompetence (See Section B of the HGI Code of Ethics and Conduct)
• incapacity of a therapist resulting from mental or physical illness, including alcohol or substance misuse (See Section A of the HGI Code of Ethics and Conduct)
• criminal acts and/or convictions
• findings by a statutory regulator or an accredited voluntary register

and when:

• a therapist has been the subject of more than two complaints previously dealt with by mediation, within a two-year period.

The mediation procedure

A complaint to be dealt with by mediation is expected, in most cases, to be resolved within seven weeks. The complaints manager appoints a lead and co-mediator from the RPSC to begin the mediation process. (Should mediation fail, these mediators will take no part in subsequent formal proceedings.)

Stage 1 – Before the meeting

The mediators talk with each disputing party separately, to explain the principles of mediation, gain an understanding of their positions and prepare them for a joint meeting. The aim is to help both parties understand the process that they are entering into and allow them to make an informed decision about whether they wish to proceed. It also gives the mediators an idea of the issues needing to be addressed during mediation. Nothing discussed in these separate meetings is disclosed to the other party.

If both parties wish to proceed, a mediation meeting is arranged in person or online – whichever the parties prefer. In the event of disagreement, the mediators make the final decision. The disputing parties are asked to sign an agreement, which explains the process of mediation and commits everyone involved to confidentiality. They are informed that they have the right to be assisted at the meeting by one other person of their choice and also have the right to withdraw from the mediation meeting at any time.

Stage 2 – First meeting

Each mediation session usually lasts for about two hours, including a break (although shorter time periods can be agreed, if preferred). Up to seven sessions may be held in total.

At the first meeting, the mediators outline what will happen and then invite each party to speak concisely, for a set time period, about their concerns, without any interruption. After both have had an opportunity to speak, each is given the option to respond to what they have heard and, with the mediators’ assistance, agree on the issues to be resolved.

Stage 3 – Setting goals

With agreement on the issues established, the mediators invite both parties in turn to elaborate on each issue, helping them to manage the conversation where needed. This enables both parties to express their underlying interests and needs, and goals for mediation. (The mediation process can be temporarily suspended if, at any point, one of the parties becomes upset and needs to consult with a counsellor for help or support.)

Stage 4 – Developing options

Once common ground has been established and aims agreed, parties usually find that they can communicate more cooperatively and move towards developing options themselves, rather than relying on the mediators.

Stage 5 – Reaching solutions

The mediators help both parties think through the options for resolving the situation, including who will do what, when and where. Any agreements made by the parties are summarised by the mediators and remain confidential. It is up to the parties to choose exactly what they want recorded in the written mediation contract, which is accessible to others. Any other notes taken during mediation, whether by mediators or the disputing parties, are destroyed.

Stage 6 – Follow-up

The mediators inform the complaints manager whether the process has resulted in agreement. No further information is disclosed. About one month after completion of the mediation process, the complaints manager contacts both parties to obtain feedback about their experience, in order to assess the effectiveness of mediation and to improve the service for future users.

If the mediation has been successful, the complaint is recorded as resolved. If it is unsuccessful, it will be investigated via the formal procedure.

The formal procedure

When the complaints manager receives notice of a formal complaint, or the situation has been assessed as requiring a formal hearing (see above), the therapist concerned will be informed within two working days.

Initial assessment and precautionary suspension

If a risk assessment, based upon the outline details received, indicates safety concerns, the complaints manager, at the earliest opportunity, contacts two or more members of the RPSC, to include a co-chair, who shall decide on how best to mitigate the identified risk.

The submission of evidence

The complaints manager asks the complainant to present their full case clearly, along with all supporting evidence, within 14 days. This submission is seen as final. In the event that the complainant is unable to meet the 14-day deadline, an extension may be granted (see ‘Extensions’ below). In such a case, the therapist concerned will be notified of the delay and the length of extension granted.

What the complainant can expect

The complaints manager acknowledges receipt of the complaint and contacts the complainant to explain what will happen, and complete a support assessment. This assessment, which will be regularly reviewed, is to ensure that appropriate support is available to the complainant. Complainants are also provided with a factsheet, setting out the complaints process and signposting support resources available to them. The complaints manager remains as their one point of contact for the duration of the process.

What the therapist can expect

The therapist receives a ‘notice of complaint’ email, telling them that a client or third party has made a complaint about them. They also receive a factsheet entitled “What I Need to Know”, which, among other things, advises them to contact their HG supervisor for emotional support as soon as possible and to notify their professional indemnity insurers that a complaint has been made.

The complaints manager contacts the therapist to complete an assessment, to ensure that the therapist receives the support they need. Therapists are also provided with a fact sheet, setting out the complaints process and signposting the support resources open to them, including their supervisor or another HGI-registered therapist.

The complaints manager asks them to present their full defence against the complaint clearly, and with all supporting evidence, within 14 days. This submission is seen as final. In the event that the therapist is unable to meet the 14-day deadline, an extension may be granted (see ‘Extensions’ below). In such a case, the complainant is notified of the delay and the length of extension granted.

Extensions

As formal complaints can be extremely stressful for both complainant and therapist, to avoid any unnecessary additional uncertainty for all parties, established deadlines must be met. If the complainant or therapist misses a deadline for submission without being granted a formal extension, the panel will proceed to make a formal decision on the basis of the evidence available at the time.

Extensions are granted only in exceptional circumstances. These are judged on a case-by-case basis by the panel, but generally cover only major life events such as serious illness, personal injury or bereavement. Planned holidays, caregiving or work responsibilities will not usually be sufficient justification for an extension.

Where an extension is granted, official documentary evidence must be provided (e.g. doctor’s note, evidence of bereavement) before the time set for the panel’s decision. Late submission is not allowed.

Only in very rare cases is an application for a second extension is likely to be granted.

Determination of a case to answer

Upon receipt of the respective submissions, the RPSC chairs assess whether there is a case to answer, which involves a review of all submissions, using the ‘balance of probability’ standard. This determines whether there is a realistic prospect of a breach of the Code of Ethics and Conduct policy being proven against the therapist.

If it is determined that there is a case to answer, the matter proceeds either to a formal hearing before a panel drawn from RPSC members or, if found to be more appropriate, dealt with by other means.

Should it be determined that there is no case to answer, the respective parties are informed.

Abridged hearing

If the therapist admits the alleged breach of HGI’s Code of Ethics and Conduct, then an ‘abridged hearing’ is held. At an abridged hearing, the complaints manager presents to the panel a summary of the case and a complainant impact statement, should the complainant wish to make one. The therapist can then respond, if they wish, presenting any mitigating circumstances and/or evidence of character. The panel then retires to consider the imposition of measures and/or sanctions (see ‘If the complaint is upheld’ paragraph below). As the therapist has admitted to the breach of the Code of Ethics and Conduct under consideration, there is no requirement for the complainant to attend an abridged hearing.

Before a formal complaints hearing

If it is determined that a formal hearing should be held, the panel writes to both parties, within seven days of receipt of the therapist’s evidence in response to the complaint, to set the date for a hearing, which should usually be held within 28 days. In exceptional circumstances, a panel can change this date at the request of the complainant and/or therapist (types of circumstance which justify an extension are similar to those set out in the section on ‘Extensions’, above).

The panel determines whether the hearing should be held in person or online, taking into account individual circumstances, including ability to travel to a hearing. Both parties may, if they wish, bring for support one person or adviser, who may also speak on their behalf during the hearing. Both parties are asked for consent for the hearing to be recorded, so that the panel can review evidence before arriving at a decision.

Non-attendance at the hearing

If, on the day, the complainant does not appear at the hearing, the formal procedure must be postponed until the panel has investigated the reasons for non-attendance. Thereafter, the panel determines whether to proceed with the hearing or end the procedure, thereby dismissing the complaint.

At the hearing

A case presentation officer (CPO), who must be a member of the Human Givens Institute with no previous connection to the case, outlines the circumstances of the complaint and alleged breach of the HGI’s Code of Ethics and Conduct, and formally calls upon the complainant to present their case, ensuring (through questioning, where relevant) that the necessary facts are presented and considered.

The complainant and therapist are asked not to interact with each other during the hearing.

Once the complainant has made their case, the therapist and/or their representative may ask questions of the complainant through the chair of the panel, in order to reduce the potential for an adversarial proceeding.

The therapist then presents their response. The CPO and/or complainant may then ask questions of the therapist, again through the chair. The panel may also ask for further clarification from the complainant or the therapist on any points raised.

The CPO will then ‘close’ their presentation of information by summarising the case and the therapist, or their representative, does likewise.

The panel retires to adjudicate, considering all the information that has been raised at the hearing and how it relates to any potential breach of the Code of Ethics and Conduct.

Adjudication

The panel decides on the validity of the complaint by weighing up the evidence on both sides, according to the balance of probabilities. It communicates its decision in writing to both parties within 10 days, setting out their findings and describing next steps.

If the complaint is not upheld

If the panel decides not to uphold the complaint, it advises, in a final adjudication letter, that the matter is closed.

It, however, despite not upholding the complaint, the panel decides, in light of the facts presented, that the therapist should improve their practice, the letter will include advice for doing so, such as seeking additional training or supervision.

If the complaint is upheld

If the complaint is upheld, the panel must decide what measures or sanctions it deems appropriate to impose, and give their justification. For example, the panel may:

• require the therapist to comply with certain conditions while practising as an HGI registered therapist
• suspend the therapist from the register for a specified period
• remove the therapist’s name from the register.

Full details of the measures and/or available sanctions are set out in the HGI’s Indicative Sanctions Guidance.

View the HGI’s policy on the publication of sanctions against therapists here.

If the proposed sanction will affect the future professional standing of the therapist, the panel must give the therapist seven days to set out any mitigating evidence. The final sanction is decided upon and communicated in a final adjudication letter within seven days of receipt of the mitigating evidence.

Appeals against decisions of the panel

The purpose of the appeal procedure is to avoid unfair outcomes arising from poor application of the complaints procedure. It is not an opportunity for either party to ask for a second consideration on matters of fact or challenge the judgment.

The grounds for appeal are therefore limited to demonstration that:

1. the RPSC or the panel has not followed the complaints procedure properly and that this process failure might have led to a materially unfair outcome
2. the sanction applied was disproportionate to the findings of the adjudication
3. the panel could in no reasonable way have come to the decision made on the evidence presented.

The appeal procedure

Either party may appeal. Applications and grounds for appeal must be received within 28 days of receipt of the final adjudication letter. They should be marked ‘Private and Confidential’ and sent via e-mail to [email protected] Alternatively, applications and grounds for an appeal may be posted to the Membership Secretary, Human Givens Institute, Church Farm, Church Farm Lane, Chalvington, East Sussex, BN27 3TD, with the envelope marked ‘Private and Confidential’.

The decision whether to grant an appeal is made by the chairs of RPSC and communicated within seven days of the application being received. If an appeal is granted, the party appealing will have a further 14 days to provide full evidence supporting their grounds for appeal.

In the event of a successful application for appeal, the complaints manager appoints an appeal panel comprising HGI registered therapists and at least one lay member, who have volunteered to consider appeals when they arise and have no knowledge of the case so far. They are not members of the RPSC.

The appeal panel reviews whether the procedure followed was in line with policy and/or whether the sanction applied was proportionate, depending on the grounds for appeal.

It considers and communicates its decision within 28 days of receiving the full evidence from the appealing party.

The decision of the appeal panel is final. Any further recourse must be pursued through the legal system.

Sanctions while the appeal is being carried out

If the sanction in the final adjudication letter includes minor redress actions (e.g. an apology) or longer-term improvements to professional practice (e.g. retraining, increased supervision requirements, etc), the sanction is put on hold and enacted only if the appeal is successful.

If the sanction in the final adjudication letter includes removal or suspension of the therapist from the register, this happens immediately and is reversed only if the appeal is successful.

Outcomes that are made public

If a complaint is upheld and there is no appeal, details of the complaint decision are published in the public section of the Human Givens Institute website (view here). If the sanction includes suspension or removal of the therapist from the register, this is also made public through the updating of the therapist’s entry on the HGI’s complete register list and their register page to show that they are currently suspended from practising.

If an appeal against the decision is made and precautionary suspension is deemed necessary, a therapist is recorded in the public register as suspended, pending resolution of a complaint. If the complaint is upheld after appeal, details of the complaint decision are published in the public section of the Human Givens Institute website (view here) and also made public through updating the therapist’s entry on the HGI’s complete register list to show that they are currently suspended from practising or have been removed from the register.

The HGI appeals procedure can be viewed here: HGI Appeal Panel Guidelines