1.1   The purpose of this document is to set out the procedures to be followed by the Hong Kong Association of Educational Psychologists Limited (“HKAEP”) on receipt of complaints, with the provision to promote ethical practice in the field of educational psychology, to manage and when
necessary, to enforce the ethical framework of educational psychology in Hong Kong, so as to protect interest of service users and the public by ensuring that quality professional educational psychology services are provided by accredited educational psychologists.

1.2   Any expression of concerns or complaints over the educational psychology profession are perceived as opportunities for its improvement. The workflow of complaint handling is illustrated in the flow chart as enclosed in Appendix I, and the details are set out in the following sections. Complaint handling procedures shall be reviewed every year to ensure fairness, transparency and consistency.

2.1   Complaints could be categorised as related to the operation of HKAEP and in relation to the professional ethics and practices of accredited educational psychologists.

2.2   All complaints should be made in writing. Complaints in relation to the professional ethics and practices of accredited educational psychologists should be submitted to the HKAEP using the Complaint Form as enclosed in Appendix II. No anonymous complaint shall be accepted. Upon receipt of a written complaint, an acknowledgement letter would be sent to the complainant within 14 days from the date of receipt of the written
complaint. The HKAEP may lodge a complaint on its own motion when a member appears to have breached the Code of Professional Conduct or has engaged in conduct which adversely affects the public or brings dispute to the HKAEP.

2.3   Any complaint against accredited educational psychologist shall only be considered under the circumstances that the alleged unethical conduct occurred within 6 years at the time of complaint and after the complainee was accredited.

3.1   Complaints related to the Standing Committees of HKAEP will be investigated by the Professional Council. The Professional Council will
inform the complainant about the outcome within 28 days from the date of investigation. If the complaint is substantiated, the Professional Council
will also advise the remedial actions.

3.2   Complaints related to the Professional Council of HKAEP will be investigated by the Board of Directors. The Board of Directors will inform the complainant about the outcome within 28 days from the date of
investigation. If the complaint is substantiated, the Board of Directors will also advise the remedial actions.

4.1   The Professional Council shall appoint 4 persons to form the Preliminary Investigation Committee (the “PIC”). The members of PIC compose of:

4.1.1   A chairperson who shall be a member of the Professional Council;
4.1.2   2 members of the HKAEP; and
4.1.3   1 lay person belonging to another profession at the invitation of the chairman of the Professional Council.

4.2   The complaint shall first be considered whether the complaint involves a possible breach of Code of Professional Conduct by the PIC.

4.3   The members of the PIC shall declare, if any, actual, potential, or perceived conflict of interest. The member shall be discharged from dealing with this complaint if he has any conflict of interests. If the PIC chairperson and/or a member is unable to consider the complaint, the Professional Council shall appoint another Professional Council member as the acting PIC chairperson, and/or member of the Disciplinary Board Panel to replace the discharged member. A name list of the current Disciplinary Board Panel members is enclosed in Appendix IV.

4.4   The PIC shall determine by a simple majority. When there is an equal number of votes in favour as there is against, the Chairperson shall exercise a casting vote.

4.5   The PIC shall make a recommendation to the Professional Council of the followings:

4.5.1   whether further information shall be collected from the complainant and/or the complainee.
4.5.2   whether it is a prima facie case that the complainee has breached the specific Code of Professional Conduct and whether the complaint merits further investigation.

4.6   If the Professional Council considers that further information is needed, PIC shall make a request to the complainant and/or the complainee.

4.7   If the Professional Council considers that the complaint is not substantiated, it may dismiss the complaint. The PIC will inform the complainant/and the complainee about the outcome within 28 days from the date of receipt of the complainant. The PIC may advise Alternative Dispute Resolution whenever appropriate. The purpose of ADR is to resolve complaints in an informal and cooperative manner and to find an acceptable resolution to the complainant and the complainee.

4.8   If the Professional Council considers that the complaint merits further action, a Disciplinary Board shall be set up to further investigate the complaint.

5.1   The Professional Council shall appoint 12 persons to be members of the disciplinary board panel (the “Disciplinary Board Panel”) in accordance with the following numbers and categories.

5.1.1   9 Accredited Educational Psychologists; and
5.1.2   3 lay persons belonging to another profession at the invitation of the chairman of the Professional Council.

5.2   On the direction of Professional Council, 4 members of the Disciplinary Board Panel shall be appointed to form a disciplinary board (the “Disciplinary Board”) to further investigate the complaint. The
Disciplinary Board shall be composed of:

5.2.1   A chairperson;
5.2.2   2 members;
5.2.3   1 lay person belonging to another profession at the invitation of the chairman of the Professional Council; and
5.2.4   A secretary appointed by the HKAEP solely as a recorder of the proceedings.

5.3   The members and the secretary of the Disciplinary Board shall declare, if any, actual, potential, or perceived conflict of interest. Member shall discharge duties if one has any conflict of interests in dealing with the matter. The Professional Council shall appoint another member of the Disciplinary Board Panel to replace the discharged member. None of the members of the Disciplinary Board shall be a member of the PIC.

5.4   The Professional Council may appoint an advisor to give advice on any issues arising from the complaint and invite an expert in the field to give expert opinion.

5.5   Once the Disciplinary Board is set up, the Disciplinary Board shall inform the complainee and the complainant of (i) the decision of the Professional Council to refer the complaint to a Disciplinary Board; (ii) the allegation, quoting the relevant provisions in the Code of Professional Conduct; (iii) brief facts of the complaint; (iv) the composition of members of the Disciplinary Board; and (v) the procedures of the Disciplinary Board Hearing. The complainee and the complainant must be given 28 days’ notice of the date, time and place of the disciplinary board hearing (the “Hearing”).

5.6   When a date for the Hearing has been fixed, both the complainant and the complainee shall be invited to submit further materials and correspondence to the Professional Council as they deem appropriate. If they wish to call any witness to testify before the Disciplinary Board and/or be accompanied by a representative, they shall inform the Professional Council at least 14 days before the date of the Hearing and provide the identity of the witness(es) to be called and/or the representative.

5.7   The Disciplinary Board shall provide the complainant and the complainee full and fair opportunities of being heard and of calling and cross-examining witness(es) testifying before the Hearing. The Disciplinary Board shall consider all written information which is provided by the complainant and the complainee, and other relevant information including but not limited to an expert opinion provided before or at the Hearing.

6.1   The Hearing shall be conducted in close doors.

6.2   If the complainee fails to attend the Hearing and was duly given advance notice thereof, the Disciplinary Board shall proceed in the absence of the complainee.

6.3   The Chairperson should identify all those taking part and either introduce them or ask them to introduce themselves. The Chairperson should verify and be satisfied with the identity of the complainee.

6.4   If the complainee attends the Hearing, the complaint shall be read out to the complainee with evidence in support of the claim. The Chairperson shall ask whether the complainee admits or denies the allegation. Such admission should be unequivocal and from the complainee.

6.5   If the complainee admits the allegation, the Chairperson may proceed to hear any plea of mitigation or any representation from the complainee or representative.

6.6   If the complainee denies the allegation, the complainee shall have the right to present the case.

6.7   During the presentation of the case, every witness shall be examined by the calling party and may then be cross-examined by the other party. The Chairperson and members of the Disciplinary Board may put forward such questions to the parties or to any witness as they think desirable.

6.8   Both parties may make a closing submission, with the complainee the right to make the last words. When the Disciplinary Board has considered all the relevant information and evidence presented to them, the Chairperson shall bring the proceedings to a close.

6.9   The Disciplinary Board shall determine by a simple majority, whether the complainee has infringed any provision of the HKAEP’s Code of Professional Conduct.

6.10   The Chairperson shall forward a report to the Professional Council signed by all members, stating its findings of facts, the reasons for the decision with dissenting views, if any, and its recommendation for sanction within 14 days of the Hearing.

7.1   Depending on the seriousness of the breach, the sanction may consist of the imposition of one of the following action(s):

7.1.1   Warning Letter may be appropriate if there has been a breach of the Professional Conduct which was not likely to cause harm to another person, HKAEP or the profession, and the breach was not otherwise of sufficient gravity as to warrant a more severe sanction.
7.1.2   Suspension may be appropriate if there has been a breach of the Professional Conduct which was likely to cause more than marginal harm to another person, HKAEP or the profession, but not likely to cause substantial harm to another person or HKAEP or the profession, and was not otherwise of sufficient gravity as to warrant a more severe sanction.
The complainee may be suspended for a period of not more than 5 years from the date of determination and the period of suspension must be specified in that determination.
The name of the suspended accredited educational psychologist will be removed from the Register of HKAEP and his/her access to HKAEP as a registrant will be denied during the period of suspension. S/he will be eligible to have his/her registration reinstated at the end of the period of suspension.
7.1.3   Expulsion may be appropriate if there has been a breach of the Professional Conduct which was likely to cause substantial harm to another person, HKAEP or the profession, or was otherwise of sufficient gravity as to warrant such action.
The name of the expelled accredited educational psychologist will immediately be removed from the Register of HKAEP and his/her access to HKAEP as a registrant will be denied during the period of expulsion. S/he may make an re-application of registration of HKAEP no sooner than 5 years after the date of their expulsion.
7.1.4   Training requirement is a written directive to an accredited educational psychologist requiring him/her to engage in training activity within a specified time frame.
7.1.5   Supervision requirement is a written directive to an accredited educational psychologist to engage in supervision of their professional psychological practice for a specified time frame.
7.1.6   Probation requirement is a written directive to an accredited educational psychologist to be placed on probation and monitored to ensure compliance with the Disciplinary Board’s determination during the period for not less than twelve calendar months.

7.2   Once a report of the Disciplinary Board is received by the Professional Council, the Disciplinary Board shall be dissolved. Upon endorsement of the Professional Council on the report of the Discipline Board, the Professional Council shall inform the complainant and the complainee of the decision within 14 days from the date of the report.

8.1   Within 28 days of the report, the complainee may appeal against the decision and/or sanction of the Professional Council. The appeal notice shall be made in writing and shall state full reasons. An acknowledgement letter would be sent to the appellant within 14 days from the date of receipt of the appeal notice.

8.2   Board of Directors shall review the rationale for appeal to decide whether the appeal merits further consideration. If Board of Directors consider to dismiss the appeal, they shall inform appellant and the Professional Council.

8.3   If Board of Directors consider the appeal merits further consideration, Board of Directors shall appoint 4 members to form an Appeal Board to review the case without conducting a hearing, and to decide whether the decision of the Disciplinary Board should stand or not within 28 days from the date of notice of appeal.

8.4   The Appeal Board of the following composition shall be formed:

8.4.1   A chairperson;
8.4.2   2 members;
8.4.3   1 lay person belonging to another profession; and
8.4.4   A secretary appointed by the HKAEP solely as a recorder of the proceedings.

8.5   The members and the secretary of the Appeal Board shall declare, if any, actual, potential, or perceived conflict of interest. Member shall discharge duties if one has any conflict of interests in dealing with the matter. The Board of Directors shall appoint another member to replace the discharged member. None of the members of the Appeal Board shall be a member of the Disciplinary Board Hearing nor the member of the PIC.

8.6   Once a report of the Appeal Board is forwarded to the Board of Directors, the Appeal Board shall be dissolved. Upon endorsement of the Board of Directors on the report of the Appeal Board, the Board of Directors shall inform the appellant and the Professional Council of the decision within 14 days from the date of the report.

8.7   The decision of the Board of Directors shall be final.

9.1   Once a decision on the complaints is finalised, the Professional Council may take appropriate steps to implement its decisions and where necessary, to bring up to date the HKAEP’s list of accredited educational psychologists.

9.2   If the accredited educational psychologist is found guilty of infringing the Code of Professional Conduct, the public shall be adequately informed of the decision through the HKAEP’s website which shall include:

9.2.1   A brief of the complaint and date(s) of commission;
9.2.2   Code of Professional Conduct breached; and
9.2.3   Disciplinary actions.

9.3   The full judgment will be published for a fixed period of 3 years after the expiry of the 28 days appeal period or after the final decision of the appeal is made.

10.1   The PIC will maintain a complaints register to document all complaints handled and the respective disciplinary actions taken. The format of the complaint register could be referred to in Appendix III.

10.2   Investigation files shall be kept in the office of the HKAEP during the investigation and for 6 years after the investigation has been completed.

11.1   American Psychological Association (2012). Ethics Complaint Form – APA Ethics Office. Washington, USA.

11.2   Australian Health Practitioner Regulation Agency (2016). Complaint and Concern. Retrieved from:
https://www.ahpra.gov.au/documents/default.aspx?record=WD10%2f1285%5Bv7%5D&dbid=AP&chksum=xvMQ9ReeagXIUU1WlgT2zA%3d%3d

11.3   California Board of Psychology (2015). Consumer Complaint Form. Retrieved from: www.psychology.ca.gov/forms_pubs/form.pdf

11.4   College of Physicians and Surgeons of British Columbia (n.d.). Complaint Form. Retrieved from: https://www.cpsbc.ca/files/pdf/Complaint-Form.pdf

11.5   The Australian Psychological Society. (2013). APS Code of Ethics. Victoria, Australia.

11.6   The Australian Psychological Society Limited. (2011). Rules and Procedures, Standing orders of the Board of Directors – Rules and Procedures of the Ethics Committee and the Ethics Appeals Committee. Victoria, Australia.

11.7   The College of Psychologists of Ontario (n.d.). Complaint Form. Retrieved from: www.cpo.on.ca/workarea/downloadasset.aspx?id=763.

11.8   The Hong Kong Psychological Society (2014). By-Laws. Hong Kong.

11.9   UK Council for Psychotherapy (2016). Alternative Dispute Resolution. Retrieved from: https://www.psychotherapy.org.uk/wp-content/uploads/2016/08/alternative-dispute-resolution.docx.