Sanctions
TL;DR
The Register applies sanctions to protect public interest, uphold standards, and maintain integrity. Sanctions range from warnings to suspension or permanent removal, depending on the seriousness of non-compliance. Decisions are made by the PCRC, may be published, and can be appealed.

The Register ensures that all practitioners comply with their Declaration of Compliance, the Ethical Basis of Best Practice, and defined Professional Standards.

This policy applies to all practitioners on the Register, who must be fully aware of its contents and the possible sanctions that may be applied against them. The purpose of the policy is to ensure the ethics and standards of the Register are upheld.

This policy identifies:

  • Failure to comply with the Declaration of Compliance, Ethical Basis of Best Practice, and Professional Standards.

  • Outcomes arising from decisions made by the Professional Conduct Review Committee (PCRC).

  • Actions the Register may take when non-compliance occurs.

  • How breaches of policies and procedures also constitute breaches of professional standards.

Approach to Sanctions

Sanctions are actions applied to individuals who contravene membership conditions, act against public interest, or threaten the integrity of the Register.

The decision to apply sanctions rests with the PCRC. The type of sanction depends on:

  • The seriousness of the situation.

  • The level and history of non-compliance.

  • The risk to clients, service users, or the Register.

Sanctions may be recommended and imposed if a registrant has:

  • Outstanding actions.

  • Poor records supporting assessment decisions.

  • An upheld complaint.

  • Breached requirements in their application or approval.

  • Repeatedly breached membership requirements.

The purpose of sanctions is to:

  • Protect public interest and safety in all aspects of Equine Assisted Services delivery.

  • Uphold the credibility and public confidence in the Register.

  • Allow time to investigate potential malpractice or maladministration.

  • Protect the Register and its members.

Possible Sanctions

Sanctions may:

  • Take from 10 working days to three months or more, depending on the investigation.

  • Depend on the nature of non-compliance and the risk to service users.

  • Include:

  1. Action plan.

  2. Written warning.

  3. Greater scrutiny.

  4. Additional compliance visits (at the member’s cost).

  5. Suspension of registration/membership.

  6. Increased risk rating and review of procedures.

  7. Full or partial withdrawal from the Register (temporary or permanent).

  • Be published on the Professional Conduct Notices page of the website.

Any additional site visits are at the registrant’s expense. All fees paid are non-refundable. See the Fees and Costs Policy for details.

Consistency of Application

The length of sanctions depends on the circumstances. The PCRC reviews sanctions regularly to ensure they are appropriate, consistent, and proportionate.

Failure to Meet Payment Terms

The Register reserves the right to suspend or terminate membership for failure to meet payment terms or where a registrant is deemed a financial risk.

Withdrawal

Members intending to withdraw must:

  • Ensure service users are not disadvantaged.

  • Support clients in finding alternative providers.

  • Remove all references to the Register or Athena Herd Foundation, including logos, from websites, literature, and materials.

Action will be taken against unauthorised use of the Register logo, which may include reporting to the PSA.

Publication of Findings

The PCRC is responsible for reviewing complaints and agreeing sanctions. Upheld complaints and sanctions will be published on the Professional Conduct Notices page. Publication conditions are defined in the PCRC Terms of Reference and the Professional Conduct Publication Policy.

Notifications to Regulators

The Register will inform the Professional Standards Authority or other accredited registers as required. Sanctions from other bodies will prompt a review, risk assessment, and possibly increased monitoring.

Appeals

Members can appeal sanctions. Appeals will be acknowledged within five working days. See the Appeals Policy for details.

Monitoring and Review

An annual sanctions report will be presented to the Advisory Board. The policy will be reviewed annually and updated as necessary, based on feedback, changes in practice, regulatory advice, legislation, or trends in malpractice or maladministration.

Related Policies

  • Professional Conduct Review Committee and Professional Standards Notices Policy

  • Athena Herd Foundation Terms and Conditions

  • Appeals Policy

  • Maladministration and Malpractice Policy

  • Whistleblowing Policy

 

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