The National Psychology Training Consortium (NPTC) has established due process procedures to ensure the rights of its interns to receive fair and impartial treatment. This procedure is reviewed during the psychology intern orientation and is provided to all supervisors during the annual supervisor orientation. This policy is reviewed by NPTC staff on an annual basis to ensure the processes remain efficient and effective across years.
Definitions #
1. Due Process. This process is an internal process and should not be confused with due process rights under the U.S. Constitution and/or federal/state law.
2. Action Plan. Action Plans are for situations where the concern is related to factors not necessarily within the interns’ control (e.g. being behind in hours) and/or not directly related to intern performance. The action plan could also have a primary focus on the site’s responsibilities as appropriate. These areas include, but are not limited to, client contact or supervision hour deficits, or access to training activities that need to be addressed by the site. The intention of this plan is to determine the effectiveness of the steps put in place to remedy the concerns on a short-term basis. The formal oversight of the plan can be removed once the plan is established as effective.
3. LEVEL 1: Performance Improvement Plan. Level 1 PIPs indicate potential barriers to internship progress worthy of additional oversight and accountability. Such behaviors or performance would be areas of needed improvement but identified as substantially attainable and not related to significant deficits or concerns related to progress toward graduation. These areas include, but are not limited to, being behind in hours related to intern behavior and paperwork/task timeliness.
4. LEVEL 2: Performance Improvement Plan. Level 2 PIPs are considered more serious than Level 1 plans and indicate problematic performance and/or problematic conduct that pose significant barriers to graduation progress due to their severity and/or repetitive nature. These areas include, but are not limited to, privacy violation, unprofessional behaviors, or repeated failure to follow directives. If a Level 1 PIP is unsuccessful in remediating the cited concerns, a Level 2 PIP will be initiated.
5. Days. In any instance where action is required to be taken by this policy, reference to the word “days” shall mean business days (i.e. excluding weekends and holidays).
6. Respondent. “Respondent” is the person or persons responding to the appeal.
7. Review Officer. The “Review Officer” is a person appointed by the President/CEO for purposes of reviewing the appeal. This individual will be chosen based on their lack of involvement in the case at hand as well as a lack of conflict of interest to the situation/intern/site. Review Officers may be NPTC staff members, Board Members, or other Training Directors.
8. Notices. Any notices, requests or other communications required or permitted hereunder shall be in writing and shall be delivered by email to each party as follows:
a. To the Intern: to the listed preferred email address currently on record with NPTC. Failure by any of the individuals to check that email or to update NPTC with a change of email or any other technical difficulties shall not be construed to invalidate such notice.
b. To the Respondent(s) or any other employee or member of NPTC: to the last email address currently on record with NPTC. Failure by the Respondent(s) or any other employee or member of NPTC to check their email or update a change of email on record with NPTC or any other technical difficulties shall not be construed to invalidate such notice.
Any such notice, request or other communication shall be considered given, delivered or received, as the case may be, on either the date indicated on the time stamp of the email or the day following if the email was time stamped after 5:00 pm local time of the sender. Rejection or other refusal to accept or inability to deliver because of a changed address of which no notice was given shall be deemed to be receipt of the notice, request, or other communication. By giving at least five (5) days prior written notice thereof, any party may, from time to time, at any time, change its email address hereunder.
9. Record of the Case. The phrase “Record of the Case” shall mean all documents considered by persons who have considered any appeal at any stage of the due process review, including, but not limited to: each and every written request for review submitted by the Intern; each and every written decision on the appeal by any of these individuals; any evidentiary documentation submitted by any of these individuals or any other evaluator of the site’s compliance; and any evidence or documentation considered by the Review Officer or any member of a Review Committee.
Performance Improvement Plans #
In some cases, appropriate intern training may include a need to remediate or correct either training deficiencies, problematic intern behaviors, and/or problematic performance or conduct. NPTC encourages all sites to document interactions and keep in constant communication with members of the NPTC Administrative Office when intern issues arise so that the Consortium can provide additional resources and support as necessary to both the site and intern in question. This policy does not replace the NPTC Evaluation Process above, but, rather, is in addition to the listed processes and defines the policy when a site implements an action plan or performance improvement plan (PIP) as a means to formalize a plan of action and/or correct problem behaviors and/or problematic performance or conduct. It is encouraged that the implementation of any action plans or PIPs happen by the mid-point of the internship year so that there are adequate opportunities for training, growth, and intern evaluation to demonstrate compliance with the plan. It is the goal of NPTC and all Member sites to support each intern through their year to reach competency in all required areas by graduation.
Action Plans or PIPs can be initiated by either the site or NPTC, but in either case, the plan is developed in coordination with members of the NPTC Administrative Office and the Training Site as appropriate. The following are the three plan options (defined above):
- Action Plan
- Level 1 PIP
- Level 2 PIP
Depending on the nature, severity or frequency of the incident(s) or circumstances, an intern may progress from a Level 1 plan to a Level 2 plan if it is not successfully completed. Action Plans could also progress into a Level 1 or Level 2 PIP if the concerns transition into intern behavior or performance concerns. Interns may also be placed directly on a Level 2 PIP at the sole discretion of the NPTC Administrative Office and Training Site depending on the severity of the concern.
PIPs need to be completed using the NPTC online form and, at minimum, need to include the following:
- level of concern
- identification of the issues
- detailed attempts to address the issues
- listed identifiable and measurable expectations of the intern (i.e. without the use undefined or vague terminology)
- a deadline to meet expectations
The process for all plans should also include regular review of the Action Plan or PIP during the set time frame to determine whether or not the intern is progressing appropriately toward successful completion of the plan. If new issues arise during the course of the PIP process, a new process should be initiated rather than changing/revising the pre-existing PIP. The process is completed under the sole discretion of NPTC and the Training Site and they reserve the right to deviate from the stated policy as needed.
Timeline #
While there may be some variations to this timeline as needed from time to time, the following provides the basic timeline expectations for Action Plans and PIPs.
Action Plan #
Typically an action plan is completed by request of an NPTC Staff member during an hour audit. If the action plan is site/supervisor initiated, then they should reach out to Operations Support for the link and resource materials.
- Supervisor is provided with a link to the form. Action plan should be created/submitted within two weeks of the request.
- Action plan should include the date for a follow-up meeting (typically one month out from initial submission).
- Operations Support will provide links to the follow-up survey ahead of the scheduled follow-up meeting.
- Process will continue until it is determined that the plan put into place is effective (hours do not have to be completely caught up at that time).
Level 1 or 2 PIPs #
Typically Level 1 or Level 2 PIP’s are site initiated. Site supervisors should discuss PIP’s with the site Training Director prior to implementing any PIPs. If a Level 2 PIP is necessary, the site Training Director must contact the Regional Training Director to discuss concerns prior to starting this process.
- Supervisor or site Training Director contacts Operations Support informing NPTC of desire to start a PIP process.
- Operations Support sends link and PIP resources.
- Supervisor/Training Director complete draft of PIP by using the save and continue later feature in FormPlus and contacts Operations Support to send draft to Regional Training Director and Sr. Vice President of Clinical Operations for review.
- Please note: Date for review meeting should be no sooner than 7 days after the submission of the draft PIP for review.
- Interns are allowed to be part of the drafting process so long as a) NPTC staff AND the Regional Training Director are in support of implementation of the PIP and b) the intern is aware that the draft is not finalized and there may be changes made based on feedback from NPTC.
- No one should sign the document until it has been formally approved.
- PIPs should also include date for follow-up meeting after implementation (typically one month out from initial submission).
- Regional Training Director and Sr. Vice President of Clinical Operations will review and provide feedback on the draft within 72 hours of submission.
- If edits are needed, the intern review meeting may need to be postponed until the plan is finalized and approved.
- Once approved, Operations Support will notify the supervisor/Training Director that the form is approved for signatures and final submission.
- Operations Support will provide links to the follow-up survey ahead of the scheduled follow-up meeting.
- The purpose of the follow-up survey is to provide updates on progress and effectiveness of the plan including either completion of the plan or continuation of the plan with a next review date if necessary.
- If new issues arise, they should not be added to the follow-up form, but rather a start to a new PIP process if deemed necessary.
- Process will continue until it is determined that the intern has met the requirements of the plan.
In the event the intern issues become increasingly problematic or it is determined that the site needs additional support completing the PIP, NPTC may assign an additional licensed psychologist from outside the site organization to assist in the supervision and performance improvement process. Additional meetings between site and NPTC leadership would also be scheduled to ensure all parties are on the same page with regard to intern support and training. If it is determined that the site evaluation process and/or procedures are not in alignment with the NPTC mission, aims, goals, or objectives, or that through additional supervision and training the NPTC special reviewer does not find the same training concerns and/or deficits indicated by the site, NPTC reserves the right to alter any scores on the intern’s quarterly evaluation as applicable, and/or change the PIP. This action would only take place with direct communication with the Regional Training Director, Site Training Director, and any other appropriate people, and would include documentation of how the intern is meeting core competencies as required by the NPTC aims, goals, and objectives.
Appeals Policy #
While every effort should be made to handle conflicts directly and informally as listed out in the Evaluation Process above, NPTC recognizes there may be circumstances in which an intern may wish to file a written appeal if they believe any aspect of the program is unfair, biased, unprofessional or not consistent with other policies or procedures of NPTC.
Appeal Documentation #
When submitting a formal appeal, the Intern must follow the approved NPTC appeal document format as provided on the resources page on the NPTC website and ensure the following information is included in the request:
- Name and preferred contact information for the Intern.
- Names and roles of all individuals who are a part of the decision being appealed.
- Document or process for which the appeal pertains (if applicable).
- Summary with facts that support the Intern’s position.
- Summary of specific concerns with the Review Officer’s determination (only when requesting a Review Committee).
- Description of the relief sought.
- Copies of any documents that support the Intern’s position as appropriate.
All Respondent(s) responses to an appeal should follow the following approved NPTC format (template provided on the resources page on the NPTC website):
- Name and preferred contact information for the individual.
- Summary of the situation with facts that support their position.
- Copies of any documents that support their position as appropriate.
All reports of determination should include at least the following information:
- Name and preferred contact information for the individual writing the report.
- Listing of documents reviewed and interviews conducted throughout the investigation.
- Summary of the situation from all points of view.
- Recommendations for how to address listed concerns from all parties involved.
- Final determination.
- Intern and/or Respondent(s)’s right to appeal the determination (only for Review Officer report)
Review Process
Appeal of any decisions or actions resulting from application of a policy or procedure (e.g., determinations of a performance improvement plan, removal of interns from site, or removal from the Consortium) is subject to the following criteria and processes.
Appeal to Review Officer:
In the event the informal conflict resolution process as listed previously in the Training Manual, does not address concerns by the Intern, they may submit a formal appeal to a Review Officer. The formal appeal shall follow the format as listed in the Appeal Documentation section above and be delivered to the Vice President of Operations via email within ten (10) days of the occurrence of the matter giving rise to the appeal. The President/CEO or designee shall then appoint a Review Officer to examine all documentation submitted, including, but not limited to, the Record of the Case. The Vice President of Operations will forward the appeal documentation to the Review Officer and the Respondent(s) for review. The Respondent(s) will have the opportunity to respond to any accusations in writing following the guidelines listed in the Appeal Documentation section and their responses will be sent to the Review Officer as part of the Record of the Case. These individuals shall submit their responses to the appeal within ten (10) days from their receipt of the appeal documentation from the Vice President of Operations. Once all of the case documents have been received, the Review Officer will meet separately with the Intern, the Respondent(s) and other individuals deemed necessary in determining the facts of the matter at hand. The final determination of the Review Officer shall follow the guidelines listed in the Appeal Documentation section and sent via email to the Intern, the Respondent(s), and NPTC within twenty (20) days following all interviews and final submission of any evidence to be considered.
Request for a Review Committee Proceeding:
If the Intern feels there was an unfair ruling (such as conflict of interest or bias) with the decision of the Review Officer, the Intern may submit a written appeal to the Vice President of Operations within ten (10) days from the date of receipt of notice of the Review Officer’s decision. Such notice should follow the guidelines listed in the Appeal Documentation section above and include a summary of their concern with the Review Officer’s determination and/or process. The Vice President of Operations will forward the Record of the Case to the Review Committee and any new Respondent(s) if necessary. The Review Officer will also be notified of the request for appeal and given the opportunity to respond. Any additional responses or documentation will need to be provided to the Vice President of Operations no later than ten (10) days after the notice of appeal. The Review Committee Chair or her/his designee will select the date, time, and place for the meeting and will make a reasonable attempt to accommodate the schedules for the Intern, Respondent(s), and Review Officer. The Intern, Respondent(s), Review Officer, and NPTC will be notified via email a minimum of ten (10) days prior to the meeting and will be provided with all necessary information.
1. Review Committee Composition
A Review Committee proceeding is conducted by three persons appointed by the President/CEO at the beginning of the training year to serve one year. In the event of the inability of any person so appointed to serve, the President/CEO may appoint either a temporary or a permanent replacement. Composition of the Review Committee shall consist of one board member, a site Training Director, and one Psychology Intern. In addition to the appointed members, the President/CEO or his/her designee shall serve as the Chair of the Review Committee and as a non-voting member. The role of the Chair is to exercise impartial control over the Review Committee Proceeding in order to achieve an equitable, orderly, timely, and efficient process. The Chair is authorized to make decisions and rulings as necessary and proper to achieve that end, including such decisions and rulings as pertain to scheduling.
2. Attendance During Review Committee Meeting
As Review Committee Proceedings are closed and are confidential investigations, no outside individuals are allowed. However, at the Intern’s request, the Chair will permit a parent or legal guardian, spouse, or disabilities support person as appropriate to observe the proceedings in a support capacity only. If a documented disability prevents a party from speaking, a non-attorney advisor may speak on behalf of a party. This does not preclude a party from being directed to testify and to reply to questions directed to him or her.
If the Intern who initiated a Review Committee proceeding has been properly notified of the proceeding, but fails to appear, the proceeding may take place in his or her absence and the decision of the Review Committee will be binding. Only under exceptional circumstances (to be determined by the Chair of the Review Committee) will a new proceeding be granted on the basis of absence.
All of the individuals listed below, with the exception of witnesses, have the right to be present during all stages of the Review Committee Proceeding except during the deliberations of the Review Committee. Witnesses will only participate in the meeting during their individual testimony and through any Review Committee questions.
Those in attendance may include:
- Review Committee Chair
- Review Committee
- Psychology Intern
- One designated support person (as needed)
- Respondent(s)
- Review Officer
- Any other individual named in the appeal as appropriate
- Witnesses for the Psychology Intern and/or Respondent(s) as approved by the Review Committee
A Review Committee Proceeding will not, as a general practice, be delayed due to the unavailability of a witness or support person, except for any support persons required due to documented disabilities.
It is the responsibility of the persons desiring the testimony of a witness before a Review Committee Proceeding to ensure that the witness appears or that a written statement is made available. Any written statement must be dated, signed by the person making it, shall contain the name, address and telephone number of the person making the statement, and contain a statement of the reasons that the witness cannot, or reasonably should not, be expected to appear. Written statements shall be witnessed by a notary, delivered to the Vice President of Operations, and received by the Chair and any other interested party at least five (5) days prior to the time the proceeding will commence. Written statements become part of the “Record of the Case” distributed to interested parties prior to the proceeding.
The Chair may remove from the Review Committee hearing any person who disrupts or impedes the investigation or who fails to adhere to the rulings of the Chair. The Chair may direct that persons, other than a party, who are to be called upon to provide information be excluded from the Review Committee Proceeding except for the purpose of providing information.
3. Review Committee Procedure
It is the responsibility of the Review Committee to review the Record of the Case in advance of the Review Committee hearing. That being the case, in no testimony or summary should any individual read documents to the Committee that are already a part of the case. The Review Committee may request additional material or require additional witnesses to appear before the committee to present evidence in cases in which the committee deems it appropriate, both prior to and during the proceeding. The members of the Review Committee may also conduct private deliberations at such times and places as they deem proper. The procedure for all Review Committee Proceedings shall be as follows:
a. The Chair will rule on all requests and points of order and shall preside at the hearing. Chair will call the hearing to order by:
i. Calling the roll of the committee in attendance
ii. Ascertaining the presence or absence of the individuals listed above
iii. Reading the notice of hearing and the reason for the appeal
b. First, the Intern shall present to the Review Committee a summary of the incident and an analysis upon which the grievance is based.
c. If the Intern has requested witness testimonies, each witness will then provide their feedback separately in support of the Intern’s position.
d. Second, the Respondent(s) will present to the Review Committee a summary of the incident from their points of view.
e. If the Respondent(s) have requested witness testimonies, each witness will then provide their feedback separately in support of the Respondent’s position.
f. Finally, the Review Officer will present to the Review Committee a summary of their review process and the outcome of their determination.
g. The Review Committee will have the opportunity to ask clarifying questions following each summary and/or testimony. These questions may be in regard to the summary statements, any witness testimonies, or the Record of the Case.
h. Only the Intern and Respondent(s) may make summary statements to close the proceeding for such period of time as permitted by the Chair.
i. After the close of the hearing, the Review Committee may meet privately to discuss the case. The committee’s finding will be by a simple majority vote and shall communicate its decision in writing to all parties via email within ten (10) days of the date of the Review Committee Proceeding.
j. Any request for continuance or extension of the time deadlines shall be made in writing to the Chair, who shall have the authority to continue the hearing or to extend a time deadline if the request is made prior to the passage of the time deadline and if made for good cause. The Chair shall notify all parties of the new date for the hearing or other new time deadline. Request for continuance or for extensions of any time deadline shall include all reasons for the request.
k. Any other procedural questions which arise during the hearing not covered by these general rules shall be determined by the Chair, whose rulings shall be final.
The standard of review is de novo. The determination of the Review Committee shall be made on the basis of a preponderance of the evidence (whether it is more likely than not). In cases such as this, the determination of the committee, as well as prior notices to and from the Psychology Intern that have been issued in the matter prior to appeal to the Review Committee, shall become the “Final Record of the Case” and shall be accessible at reasonable times and places to all parties as determined by the Chair.
Miscellaneous #
Maintenance of the Intern File #
The Record of the Case including a copy of the Committee’s report will be maintained in the NPTC Administrative Office according to the NPTC Maintenance of Records policy. All documentation of due process proceedings are maintained separately from the Intern’s Training File. Intern Status Pending Appeal An intern who is appealing any matter has the right to continue to provide clinical services. However, when, in the opinion of the Review Officer or Review Committee, a Psychology Intern’s conduct presents a threat to the safety of other members of the institutional community, either may issue an immediate interim suspension from all or part of the program. Interim suspensions should be issued in writing, stating clearly the privileges that are being suspended (ability to see patients or access to some/all site facilities), and should inform the Psychology Intern of his or her due process rights and rights to file a formal grievance or complaint. The Psychology Intern may appeal issuance of the interim suspension to the President/CEO. The President/CEO or Board of Directors may lift or modify the interim suspension during the appeal process. If a matter is pending at the end of a training year, the Psychology Intern will be allowed to extend their internship until the matter is resolved.
Notifying the Site Training Director of Finding #
The President/CEO will notify the intern’s Site Training Director when an appeal process begins and provide regular updates throughout the process. However, the formal Record of the Case including information obtained from the Review Officer and/or Review Committee will not be sent to the Site Training Director unless the Training Director is directly implicated in the appeal, the information is needed to facilitate intern training, and/or is beneficial to the site process.