Procedure for Processing Ethical Complaints

TABLE OF CONTENTS

Introduction

Procedures for Submitting Complaints

Procedures for Processing Complaints

Adjudication Panel

Disposition and/or Resolution Options

Appeal Procedures

Procedures for Submitting and Interpreting Questions of Ethical Conduct

Composition of the Adjudication Panel

A. Introduction

The Professional Association of Canadian Christian Counsellor (PACCC) promotes professional conduct and counselling practices that are consistent with its Code of Ethics .  If someone is not satisfied with the practices or behavior of a PACCC member they have the opportunity to bring their concerns forward to PACCC to assist in the arbitration and resolution of ethical complaints.

PACCC is not regulated by statute and therefore its disciplinary procedures are not subject to the same administrative principles as are tribunals established by legislation. PACCC is, however, committed to the principle of fairness and the procedures outlined herein are intended to ensure complaints are processed in an equitable fashion having regard to the interests of all parties.  The specific process may vary to account for geographical and financial limitations.

PACCC will not deal with complaints while the subject matter of the complaint is part of a legal proceeding or when such a proceeding is pending. However, a complaint may be appropriate after any such proceedings are concluded.

A complaint must be lodged within two (2) years of the event which forms the substance of the complaint. This limitation will not apply if legal proceedings have commenced within that time frame.

When PACCC is made aware of criminal charges against a member that involve the relationship with his or her clients, it may require the member to accept a limitation on his or her practice, accept supervision, or may impose other limitations deemed reasonable and appropriate under the circumstances and until the charges are dealt with.

When PACCC becomes aware that a member has been convicted of an offence under the Criminal Code or a similar penal statute of another country, or has been suspended by a governing body of an occupational group in a province or territory of Canada or another country for reason of professional misconduct, conduct unbecoming a member of the professional group or professional incompetence, this information shall be acted on as if it were a complaint.

Once a complaint has been received, PACCC will designate a Review Coordinator, usually a member of the Branch Executive where the complaint originated. The substance of the complaint will be communicated to the fewest people necessary to proceed with the complaint procedures, documentation will be confidential to those involved and destroyed after three (3) years from the completion of the complaint procedures.  This does not include removing documentation related to the complaint, investigation, decision and disciplinary action from the member file.

B. Procedures for Submitting Complaints

PACCC will act only on those complaints where the member complained against is also a member of PACCC or was a member at the time of the alleged violation.

Complaints can be made by, or in support of, a member of the public who has received services provided by a PACCC member.  PACCC members are also responsible to help maintain the high ethical and professional standards of the association and are encouraged to deal with fellow members including submitting complaints when necessary .  PACCC will act only on written, signed complaints, with one exception; an anonymous complaint could be acted on if the basis for such a complaint can be independently observed, such as, a complaint about a counsellor's website, print material, media presentation, and so forth.

The procedures for submission of complaints to PACCC are as follows:

1. Whenever feasible, and appropriate, the complainant is encouraged to approach the member directly to discuss and resolve the complaint.

2. PACCC members are certainly encouraged to approach fellow members in regards to professional and ethical concerns.

3. Members of the public and PACCC members are reminded that suspected statutory violations by a member, such as, child abuse, should be reported both to the appropriate local authorities and to PACCC.

4. In cases where a resolution is not forthcoming following personal contact with the PACCC member, and in instances when personal contact is not feasible and/or appropriate, the complainant should prepare a formal written statement of the complaint, stating the details of the alleged violation and submit it to the PACCC National Office.

Written statements must include:

a. the name of the individual being complained against;

b. a detailed and specific statement about the alleged unethical conduct; and

c. the dates of the alleged violation; and

d. a statement explaining the attempts made to resolve the issues personally or, if not, an explanation of why this step was not feasible or appropriate;

All complaints shall be mailed to the PACCC National Office. The enveloped should be marked Confidential .

C. Procedures for Processing Complaints

The procedures for processing complaints are as follows:

1. Within two weeks after a written complaint is received at the PACCC (National Office) an Ethics Review Coordinator is assigned and provided with a copy of the complaint.  The PACCC Administrator will verify that the person complained against is a member of PACCC to include in the documents sent to the Ethics Review Coordinator.

2. Within two weeks of receipt of the written statement of the alleged violation of ethical practices, PACCC shall:

a. direct a letter to the complainant acknowledging receipt of the complaint, identifying the Ethics Review Coordinator, and outlining the procedures to be followed in the review;

b. direct a letter to the member complained against indicating that a complaint has been lodged against her or him, identifying the Ethics Review Coordinator , and outlining the procedures to be followed.     

3. In a timely fashion (maximum of sixty (60) days) of notification of the complaint, the Ethics Review Coordinator will proceed with one or more of the following options:

a. contact the complainant and member for further clarification of the problem and possible resolution; proceed with mediation and resolution if possible.

The assigned Coordinator can help determine the best course of action. Every situation is unique. It is therefore impossible to envision all possible resolution options. It is important to provide enough flexibility within the procedures that each situation be considered based on its distinctive circumstances. There are, however, two primary streams of options: informal and formal with the provision of moveing from an informal process to a formal one if the informal action is not bringing about the desired results. Barring significant findings which require further investigation or response, it is possible to move from a formal process to an informal one in the midst of an investigation.

Informal resolution options include but are not limited to:

1) helping the complainant gain confidence to make her/his discomfort known to the PACCC Member.

2) helping the complainant write a letter to the PACCC Member expressing her/his concern.

3 ) arranging for an Ethics Review Coordinator to speak with the PACCC Member to discuss the issue and assess the possibility of informal resolution.

4 ) arranging for an Ethics Review Coordinator to facilitate a conversation to help bring the two parties to an agreement upon resolution.

5 )  mediating a conversation toward resolution.

b. should a fact-finding investigation be deemed necessary, it will begin promptly; the Coordinator can request further information be submitted in a timely fashion (maximum of thirty (30) days).

c. convene an three member Ethics Review Committee to be made up of the Coordinator and two other members of PACCC.  Where appropriate a respected allied professional from the community who is not a PACCC member but who is agreeable to both parties could be asked to be part of the committee.  

d. conduct an investigation, by way of a teleconferenced meeting of members of the Ethics Committee. During such an investigation, the Ethics committee shall discuss the information received from the complainant and the member complained against, and, at their discretion, interview the complainant and the member complained against.  They shall attempt to reach a resolution to which both parties can agree.  The Committee may consider any of the sanctions as listed in the Disposition and/or Resolution Options section of this document. 

e. when the PACCC Ethics Committee is of the opinion there are no reasonable grounds to believe the member has acted unethically, the Committee shall dismiss the complaint and give notice in writing of the dismissal to the complainant and the member;

f. when the complaint is not dismissed by the Ethics Committee and when a satisfactory resolution cannot be reached, the Ethics Committee shall refer the complaint to the PACCC National Executive for adjudication.

NOTE: A member's response to the Coordinator pursuant to subparagraph 3(b) shall be in writing and signed by the member. The failure of a member to comply with a request by the Coordinator under subparagraph 3(b) may be acted on by the PACCC as a separate complaint.

D. Adjudication Panel

The President of PACCC or designate shall take steps to constitute a three (3) member Adjudication Panel including the Review Coordinator, a member of the PACCC Executive and another PACCC member. The Adjudication Panel shall conduct itself as follows:

1. It will require the member to participate in a hearing before the Panel, either in person or by way of teleconference, to answer the complaint;

2. Neither the member nor the complainant will be entitled to legal representation before the Panel, however, each will be entitled to have a support person.

3. The Panel hearing will normally follow this sequence:

a. the Chair of the Panel invites the complainant to present a short verbal summary;

b.the Chair invites the member complained against to present summary of his or her response to the complaint;

c. the complainant and the member complained against may benefit from being able to ask each other questions and this option should be offered if mutually agreeable;

d. the Panel members ask questions and seek clarification;

e. the Panel may hear witnesses for both the complainant and the member complained against and all present may question the witnesses;

f.  at the end, the complainant and member complained against have an opportunity to summarize their position;

g. following a hearing, the Adjudication Panel shall decide whether or not a member's conduct is unethical and dispose of the matter in accordance with the following Disposition and/or Resolution Options and shall communicate its decision to the member and the complainant within ten (10) days.

E. Disposition and/or Resolution Options

1. Where the Adjudication Panel is of the opinion there are no reasonable grounds to believe the member has acted unethically, it shall dismiss the complaint and give notice in writing of the dismissal to the complainant, the member, and the Board of PACCC.

2. Where the Adjudication Panel is of the opinion that the complaint is justified and that the member's conduct is unethical, the Panel shall notify the member and the complainant of this determination, and direct the member accordingly either with or without the imposition of further sanctions. Should the Panel determine that further sanctions are necessary, such sanctions could include:

a. the issuance of a time-limited reprimand with recommendations for corrective action, subject to review by the Adjudication Panel;

b. the placement of the member on probation for a specified period of time, subject to review by the Adjudication Panel;

c. the placement of the member on probation and the specification of conditions that must be met before the probation is lifted. These conditions could include one or more of the following:

i. make restitution to the complainant or other persons affected by the conduct of the member;

ii obtain appropriate help, that may include medical treatment, counselling, treatment for substance abuse, and so forth;

iii. engage in a continuing education program;

iv. restrict the member's counselling practice or permit continuing practice under certain conditions, such as supervision;

v. require the member to report on compliance with the condition and to authorize others involved in his or her treatment or supervision to report on it.

d. the imposition of other conditions that are just and reasonable in the circumstances;

e. the withdrawal of membership in PACCC, and/or certification for a specified period of time;

f. the expelling of the member from PACCC permanently.

At the conclusion of the deliberations of the Adjudication Panel, the Chairperson shall notify the member, the complainant, and the Board of PACCC, of the Panel's decision, in writing. All of the written evidence and a summary of the decision of the Panel, as well as that of the Ethics Committee, shall be forwarded to, and secured at, the PACCC National Office.

F. Appeal Procedures

Both the member, as well as the complainant, have the right to appeal decisions of the PACCC Ethics Committee and the Adjudication Panel. However, appeals will be heard only when substantive evidence is presented that could call into doubt the appropriateness of a decision and/or that there could have been a failure with procedures consistent with the principles of natural justice.

The following procedures shall govern appeals:

1. A three (3) member Appeal Committee is established, composed of the PACCC President and members of the National or Branch executive.

2. The appeal, with supporting documentation, must be made in writing to the President of PACCC and indicate the basis upon which it is made.

3. The Appeal Committee shall review all materials considered by the PACCC Ethics Committee or the Adjudication Panel. The Appeal Committee can, at its discretion, interview the member complained against and the complainant.

4. Within sixty (60) days the Appeal Committee shall submit a written decision regarding the appeal from the following alternatives:

a. support the decision of the PACCC Ethics Committee or Adjudication Panel;

b. reverse the decision of the PACCC Ethics Committee or Adjudication Panel;

c. impose a different disposition or resolution.

The parties to the appeal shall be advised of the action in writing.

G. Composition of the Adjudication Panel

The President of PACCC or his/her designate will appoint PACCC members who agree to serve on an Adjudication Panel when requested to do so by the Chair of the PACCC Ethics Committee.

The Adjudication Panel will be constituted by any three members appointed and agreeing to serve.

Persons appointed to serve on the Adjudication Panel may be reappointed.

H. Procedures for Clarifying Questions of Ethical Conduct

For clarification on questions of ethical conduct the PACCC website will serve as the first line of inquiry. Additionally, questions may be directed to a member of PACCC or the PACCC Administrators.


I. Complaint Investigation Report Guidelines

This format is provided to guide report writing by the Ethics Review Coordinator.

Date of Report

Date Complaint received

Statement of Complaint

Scope of Investigation

Name of complainant, name of counsellor

Portion of PACCC Code of Ethics that is affected

Members of Review Committee

Summary of Facts Found

Major points of discussions with complainant and with PACCC member

Conclusion

Summary statement of action taken

Summary recommendation to PACCC member

Recommendation to PACCC National Executive


Addendum

Attach summary of all communications with the involved parties

Contact the National Administration office for further details.