Policy for Managing Vexatious, Persistent and Unreasonable Complaints and Correspondence

Policy status: Draft for Directors’ approval
Policy owner: LC&CTA Directors
Applies to: Directors, tutors, assessors, supervisors, administrative staff and other persons acting on behalf of LC&CTA
Approval date: 20th October 2026
Effective date: 20th October 2026
Review date: October 2028

Version: 1.0

1. Purpose

LC&CTA is committed to providing a professional, fair and accountable counselling and counsellor-training service. The organisation recognises the right of students, former students, clients, staff and other relevant individuals to raise concerns and make complaints without fear of unfair treatment or retaliation.

The majority of complaints are raised in good faith and provide an opportunity for reflection, improvement and resolution. However, in some circumstances, the nature, frequency or manner of complaints and associated correspondence may become unreasonable, disproportionate or obstructive.

This policy establishes a fair and consistent framework for identifying and managing such behaviour while ensuring that legitimate complaints, safeguarding concerns, professional conduct matters and other issues requiring investigation are not improperly dismissed or discouraged.

The policy is intended to:

• Protect the wellbeing, safety and professional dignity of those involved in receiving and responding to complaints.
• Ensure that LC&CTA’s time and resources are used fairly and effectively.
• Prevent the repeated reopening of matters that have been properly investigated and concluded, where no new material information is provided.
• Establish clear expectations for respectful and constructive communication.
• Ensure that decisions to restrict contact or complaint handling are evidence-based, proportionate and documented.
• Preserve LC&CTA’s responsibilities regarding safeguarding, student welfare, assessment, professional standards and external regulatory requirements.

2. Scope

This policy applies to complaints and related correspondence involving LC&CTA, including matters concerning:

• Student experience, teaching, assessment and course delivery.
• The Level 5 Higher Professional Diploma (HPD) and other training provision.
• Tutor, assessor, supervisor or administrative conduct.
• Organisational decisions, procedures and governance.
• Counselling services or other services delivered by LC&CTA, where applicable.
• Complaints made by current or former students, clients, representatives, staff or other relevant individuals.

This policy applies to conduct associated with a complaint, rather than being a separate route for deciding whether the original complaint is justified.

It does not replace LC&CTA’s existing complaints, appeals, safeguarding, student disciplinary, fitness-to-practise or other applicable procedures. Where a matter falls within another procedure, that procedure must be followed.

3. Definitions

3.1. Vexatious complaints

3.2.

A complaint may be considered vexatious where there is sufficient evidence that it is being pursued primarily to harass, intimidate, cause distress or otherwise impose an improper burden, rather than to seek a genuine resolution or raise a matter requiring consideration.

A complaint must not be classified as vexatious merely because it is critical, strongly expressed, uncomfortable, unsuccessful or directed against a Director, tutor or the organisation.

3.3. Unreasonably persistent complaints

3.4.

These are complaints or repeated representations that continue after the relevant issues have been properly considered and a final response provided, where no new material evidence, substantive issue or reasonable basis for further consideration has been identified.

Persistence alone does not make a complaint unreasonable. A person may reasonably challenge an incomplete response, identify procedural errors or provide further evidence.

3.3 Unreasonable complaint-related behaviour

This means conduct which, because of its nature, frequency or impact, materially obstructs the fair and effective handling of a complaint, significantly disrupts organisational functions or creates a legitimate concern about the safety or wellbeing of those involved.

3.5. Serial complaints

3.6.

These are substantially repetitive complaints concerning the same underlying events or issues, without sufficient new information to justify a further investigation.

The term must not be used to prevent a person from raising a genuinely new concern or using an available appeal or external review process.

4. Examples of behaviour that may fall within this policy

Depending on the circumstances, evidence and cumulative impact, examples may include:

• Repeatedly submitting substantially the same complaint after the matter has been fully investigated and a reasoned final response issued.
• Persistently demanding that a concluded decision be reversed without identifying new evidence, a material factual error or a relevant procedural failing.
• Sending excessive or duplicative correspondence to multiple members of staff or Directors after being given a clear, reasonable route for communication.
• Making demands for responses within unreasonable timescales, despite clear explanations of the applicable process and timescales.
• Repeatedly introducing unrelated matters into an existing complaint in a manner that prevents the original issues from being addressed.
• Refusing to identify the substance of a complaint or provide reasonably requested clarification despite appropriate assistance.
• Using threatening, intimidating, abusive or personally degrading language towards those handling the complaint.
• Making repeated contact through alternative channels to circumvent reasonable communication arrangements.
• Continuing to pursue contact in a manner that materially disrupts teaching, assessment, supervision, administration or the handling of other students’ concerns.

These examples are illustrative, not exhaustive. Each case must be assessed on its own facts.

5. Matters that must not automatically be treated as vexatious

LC&CTA will not classify a complaint as vexatious solely because:

• The complaint is not upheld.
• The complainant disagrees with a Director’s or tutor’s decision.
• The complaint concerns a senior member of staff or a Director.
• The complainant has sought advice from a professional body, regulator, legal adviser or other external organisation.
• The complainant has referred a matter to an external body or exercised a lawful right to do so.
• The complainant raises a serious or sensitive concern.
• The complainant has a disability, communication difficulty or other circumstance requiring reasonable adjustments.
• The complainant is distressed, dissatisfied or requires additional explanation.
• The complaint identifies a possible failure in LC&CTA’s own processes.

A complaint may be mistaken, unsupported or outside LC&CTA’s remit without necessarily being vexatious.

6. Safeguarding, professional conduct and regulatory matters

Nothing in this policy removes or limits LC&CTA’s responsibilities to consider and respond appropriately to safeguarding concerns, allegations of abuse, risks of harm, professional misconduct, fitness-to-practise concerns, discrimination or other matters requiring formal consideration.

Where a complaint contains both repetitive or unreasonable correspondence and a substantive safeguarding or professional concern, LC&CTA will distinguish between:

1. The underlying concern, which must be assessed through the appropriate procedure; and
2. The manner or frequency of communication, which may be managed under this policy.

A complaint must not be closed solely because the complainant’s communication is difficult, repetitive or inappropriate if a substantive issue requiring assessment remains unresolved.

Where a concern relates to a Director, a conflict of interest must be identified and managed. The person who is the subject of the complaint must not determine its merits or be the sole decision-maker on whether the complainant should be restricted under this policy.

External reporting obligations, applicable awarding-body requirements, BACP requirements and relevant legal obligations must be considered where appropriate.

7. Procedure for managing unreasonable complaint behaviour

Stage 1: Early intervention and clarification

Where appropriate, LC&CTA will seek to resolve difficulties informally by:

• Clarifying the issues that remain outstanding.
• Explaining which matters have already been considered and the outcome reached.
• Identifying any new information that requires consideration.
• Explaining the appropriate procedure, communication channel and expected response timescale.
• Requesting that future correspondence is relevant, respectful and appropriately organised.

Informal intervention will not be required where the conduct presents an immediate safety risk or is sufficiently serious to warrant a more formal response.

Stage 2: Written warning

Where the behaviour continues, LC&CTA may issue a written warning explaining:

• The specific conduct giving rise to concern, with dates or examples where practicable.
• Why the behaviour is considered unreasonable in the circumstances.
• What changes are expected.
• The communication arrangements that will apply.
• The potential consequences if the behaviour continues.
• How the individual may respond or request a review of the proposed arrangements.

The warning should provide a reasonable opportunity for the individual to modify their behaviour, unless the seriousness of the conduct makes immediate protective measures necessary.

Stage 3: Formal management decision

Where the behaviour continues or is sufficiently serious, an authorised decision-maker may determine that formal restrictions are necessary.

Possible measures include:

• Requiring communication through a single designated email address or named contact.
• Limiting duplicate correspondence or requests for repeated explanations of a concluded matter.
• Setting reasonable response timescales and contact arrangements.
• Requiring appointments for non-urgent discussions.
• Declining to respond to repetitive correspondence that raises no new substantive issue.
• Restricting a particular method of contact where it is being misused.
• Taking appropriate steps in response to threats, harassment or safety concerns.

Restrictions must be tailored to the circumstances. They must not prevent the person from raising new substantive complaints, reporting safeguarding concerns, responding to an active investigation or exercising an applicable appeal or external referral right.

8. Decision-making authority and conflicts of interest

A decision to formally classify behaviour as vexatious or unreasonably persistent, or to impose significant restrictions, must be made by an authorised Director or another appropriately delegated person.

Where the complaint concerns a Director, or that Director has a significant personal involvement in the dispute, the decision must be referred to an uninvolved Director or an independent person where practicable.

Where the usual decision-making arrangements cannot provide a sufficiently impartial review, LC&CTA should consider obtaining independent advice or appointing an independent reviewer.

Decisions must be based on documented evidence and the application of this policy, not on personal disagreement, reputational concerns or a desire to avoid scrutiny.

9. Written notification of restrictions

The individual will normally receive written notification of a formal decision. The notification will set out:

• The decision and its reasons.
• The conduct and evidence considered.
• The restrictions imposed and their intended duration.
• The arrangements for raising new complaints or substantive concerns.
• The arrangements for requesting a review.
• The circumstances in which the restrictions may be varied or withdrawn.

Where immediate action is necessary to address a credible safety risk, temporary measures may be implemented before a full written explanation is provided. The reasons must be recorded and communicated as soon as reasonably practicable.

10. Review and appeal

An individual may request a review of a formal decision on the basis that:

• Relevant information was overlooked or not considered.
• The decision was not supported by the available evidence.
• The policy was applied incorrectly.
• The restrictions are disproportionate or unnecessarily broad.
• Circumstances have materially changed.
• Reasonable adjustments or other relevant circumstances were not adequately considered.

Requests should normally be submitted within 10 working days of notification, with an explanation of the grounds for review. Late requests may be considered where reasonable.

The review should be undertaken by someone who was not the original decision-maker and who has no material conflict of interest, where practicable.

The reviewer may uphold, amend, suspend or withdraw the restrictions. A written outcome should be provided, explaining the reasons for the decision.

This review process does not replace any separate right of appeal, external complaint or referral available under another applicable procedure.

11. Duration and review of restrictions

Formal restrictions will be proportionate and subject to review.

Unless there is a documented reason for a different period, restrictions should initially be reviewed within three months and thereafter at reasonable intervals.

Restrictions may be withdrawn or varied where the behaviour improves, circumstances change or the original justification no longer applies.

Any continuing restriction must have a recorded rationale. A formal classification must not become a permanent label that prevents future concerns from receiving proper consideration.

12. Record-keeping and confidentiality

LC&CTA will maintain an appropriate record of:

• The relevant complaint and correspondence.
• Attempts to resolve difficulties.
• Warnings and communications issued.
• The evidence and reasoning supporting the decision.
• Any conflicts of interest and how they were managed.
• The restrictions imposed and their review dates.
• Requests for review and the outcomes.

Records must be accurate, relevant, proportionate and retained in accordance with LC&CTA’s applicable data protection and retention arrangements.

Information will be shared only with those who need it for legitimate organisational, safeguarding, legal or professional purposes. Confidentiality must be maintained as far as reasonably practicable, subject to applicable disclosure obligations.

13. Staff wellbeing and safety

LC&CTA recognises that persistent, abusive or threatening complaint-related behaviour can place significant pressure on those responsible for responding.

Directors and staff should not be expected to tolerate threats, harassment or abusive conduct as a condition of carrying out their roles.

Where necessary, LC&CTA may arrange support, change the designated complaint handler, use written communication instead of direct meetings, or take appropriate safety measures.

Threats or suspected criminal conduct may be referred to the relevant authorities where appropriate. Any such decision will be based on the circumstances and applicable obligations.

14. Responsibilities

Directors are responsible for ensuring that this policy is implemented fairly, that conflicts of interest are managed and that formal decisions are properly authorised.

Tutors, assessors, supervisors and administrative staff must refer concerns about unreasonable complaint behaviour through the appropriate internal route rather than independently applying formal restrictions.

Complaint handlers must distinguish between the merits of a complaint and the behaviour associated with it, maintain accurate records and continue to consider substantive issues that require attention.

All persons acting on behalf of LC&CTA are expected to communicate professionally and to avoid retaliatory, discriminatory or obstructive conduct.

15. Monitoring and policy review

LC&CTA will review the operation of this policy periodically, including whether restrictions have been proportionate, consistently applied and appropriately documented.

The policy will be reviewed at least annually, or sooner if required by changes in law, regulatory expectations, awarding-body requirements or organisational practice.

Any amendments must be approved through LC&CTA’s governance arrangements and communicated to relevant staff and stakeholders.

16. Related policies and procedures

This policy should be read alongside, where applicable:

• LC&CTA Complaints Policy and Procedure.
• Student Appeals and Assessment Appeals Procedure.
• Safeguarding Policy and Procedures.
• Student Disciplinary Procedure.
• Fitness-to-Practise or Professional Suitability Procedures.
• Equality, Diversity and Inclusion Policy.
• Data Protection and Records Retention arrangements.
• Relevant BACP and CPCAB requirements.