Complaints and Complaints Handling

The Register and Complaints Handling

Whilst we work with practitioners to establish and maintain professional standards, we recognise that there may sometimes be practitioners who do not meet the standards expected.

The Register's Compliments and Complaints Policy encourages service users and members of the public to resolve their concerns directly with practitioners under their own processes. However, we recognise that there are often circumstances where clients, service users, members of the public and other practitioners may need to bring complaints about poor or unethical practice directly to our attention so we can take appropriate action.

Bringing these situations to our attention serves to protect both the public and the reputation of the profession.

The Compliments and Complaints Policy is the framework under which we will address any complaint received about poor or unethical practice by a member of the Register. Complaints received will be addressed by the Register's Professional Conduct Review Committee.

What we can/cannot deal with?

We can deal with complaints about:

• The delivery of Equine Assisted Services (in support of therapeutic, mental health or wellbeing-related activities) provided by a member of the Register
• Concerns over a practitioner's conduct are raised under another accredited register which is not related directly to Equine Assisted Services. For example, if the practitioner has been convicted of a crime or behaves inappropriately
• Concerns or complaints about the activities of The Register

We can't deal with complaints about:

• Practitioners who are not on the Register
• Practitioners who were not on the Register at the time of the event
• Matters of a legal nature or claims for compensation

Who can raise a complaint?

We can accept complaints from:

• Clients or service users
• A client or service user's representative
• A parent, carer or guardian representing a child under 16
• A representative for an adult who lacks mental capacity

If you are making a complaint on behalf of someone else, we may need their consent to consider the complaint.

Sometimes we may raise investigations against practitioners if we receive information that makes us question a member's conduct or whether they should remain on the Register, or if we become aware of complaints being upheld by other accredited registers.

Making a complaint and the complaints process

Members of the public that wish to raise a complaint against practitioners can contact the Register directly. Should you wish to raise a complaint, please complete and submit it by email or post our form: 

Complaints received are reviewed by the Professional Conduct Review Committee (PCRC), who will carry out an initial triage. PCRC will consist of not less than three persons, including at least one lay person.

PCRC decisions will be made on a majority basis.

Investigation, Assessment and the proceedings test

The PCRC will consider the matter in the papers presented (unless it considers that fairness requires an interview). Both the complainant and the practitioner will be expected to make written representations to ensure a balanced and objective consideration of the complaint.

The PCRC may request further information or conduct further investigations as it considers appropriate, including interviewing the complainant and/or the practitioner. All available information deemed appropriate can be considered whether the complainant has specifically referred to it as a matter of complaint.

Interviews will only be undertaken if it is not possible to reach an objective decision based on the written information provided. Interviews wherever possible online using video conferencing tools.

The PCRC will assess whether the conditions presented warrant investigation, or the complaint should be dismissed.

If the PCRC considers that a complaint should be dismissed, it will notify the parties and provide reasons for its decision.

If the PCRC finds grounds for proceeding the complaint, it will set out the formal allegations based on the findings of the proceedings test is met, and specify whether it is an allegation of professional misconduct. In this situation, the case will be handled under the Malpractice and Maladministration Policy. The PCRC shall own the complaint process from receipt to decision, including any subsequent disciplinary recommendation.

Where there are no allegations of professional misconduct, the PCRC will consider the need to undertake a less formal practice review.

Notifying practitioners of formal allegations

Where the PCRC deems it appropriate to proceed with the complaint, it will notify the practitioner and the complainant of the formal allegations in writing.

Both parties will at this time be asked whether they require additional support or assistance through the procedure, and whether they wish to supply any additional information. Where additional support is requested, the PCRC will consider the most appropriate solution and advise the party/parties accordingly.

The practitioner must formally respond to the allegations in writing within 28 days of notification. The complainant will be provided with a copy of the Member's formal response to the allegations.

The practitioner may, in their response, request that the complaint be dealt with directly between themselves and the PCRC by way of consensual disposal. The PCRC shall consider whether it is appropriate to deal with the complaint in this way; it may also recommend handling via this process, subject to the agreement by all parties.

The PCRC may also make a recommendation for handling by consensual disposal. In this case, it will invite the practitioner to consider this approach.

Where the Practitioner does not provide a formal response in accordance with the above, the PCRC may add another allegation that the Practitioner has failed to co-operate with their obligations to The Register.

The Disciplinary Hearing process

If no agreement is reached to proceed with consensual disposal, or in the process no outcome is agreed, or where the outcome of tests (1) to (3) under "Investigation and Assessment" have confirmed proceeding, then the complaint shall be referred to a formal hearing.

The Disciplinary Hearing Process

Disciplinary hearings are formal hearings. They are generally held in private unless the PCRC decides this is not in the public interest. They will be held by a designated subgroup (minimum of 3 individuals, not including the Chair) from the PCRC.

The complainant is invited to attend as a witness and may be asked to give details of the complaint or answer questions.

The practitioner may be accompanied by an independent companion who may support or speak on their behalf.

Both parties may call witnesses, if agreed beforehand.

Both parties will be advised by email at least two weeks in advance of such hearings, whether they are invited to attend or not. Attendance is not an obligation. Where parties choose not to attend the meeting, they will continue in their absence and decisions reached on the information available.

If the case is between the Register and a practitioner, a representative of the Register will present the complaint.

During the Hearing

The PCRC (or a representative thereof) should:

• Explain what is understood of the complainant's case
• Go through the supporting evidence presented
• Make sure that all sessions are minuted

The practitioners shall be given the chance to:

• Set out their case
• Answer any allegations
• Ask questions
• Show evidence
• Call relevant witnesses (with appropriate advance notice)
• Respond to any information given by witnesses

The practitioner's companion shall be allowed to:

• Support their case
• Respond for the practitioner where appropriate to any points made at the meeting
• Talk with the complainant during the hearing
• Take notes

At the end of the hearing, the PCRC will adjourn to consider its decision.

All parties will be made aware of the next steps and the intended timetable for reaching a decision. All parties will thereafter be advised in line with that decision.

In the event that additional information proves to be required, then all parties shall be informed.

Decisions and the publication of findings

Depending on the nature of the complaint and the outcome of either any practice review or disciplinary hearing, a number of actions are available for recommendation in-line with the Sanctions Policy, as follows:

• Advise the practitioner on how they can resolve or develop their practice and support them by issuing improvement plans including SMART objectives.
• Publish details of the complaint and any sanctions (see our Publication policy) on our Professional Conduct Notices page.
• Withdraw or remove them from The Register
• Or, if they fail or refuse to comply with the outcome of the complaints process or impose sanctions, we may also withdraw their membership.
• Notification of findings to other accredited registers, organisations or agencies where it is deemed appropriate and or in the public interest.

All final decisions by the PCRC will be made in line with the terms of the Complaints and Malpractice and Maladministration Policies.

The decisions reached are adjudicated independently by uninvolved members of the PCRC, or the Chair where appropriate or necessary.

The PCRC shall confirm all proposed sanctions and publications in line with the Sanctions Policy, and specific conditions relating to Professional Conduct Notices.

If a complaint is dismissed, or the complainant is unsatisfied with the outcome, they may make a written request under the terms of the Appeals Policy.

In the handling of your personal data, the Register will at all times adhere to the conditions outlined in the Athena Herd Foundation Data Protection Policy.

Support through the Complaints Process

Complainants can request support with their complaint. In such cases, the Professional Conduct Review Committee will assign an independent individual to provide necessary assistance.

Find out more about getting support through the complaints process.

Reasonable adjustments

The Register aims to provide an accessible and easy-to-use complaints process, but it recognises that raising a complaint can be challenging, particularly for groups such as the neuro diverse, or some of those represented by the protected characteristics, defined in the Equality Act (2010).

In this context, the Register is willing to consider reasonable adjustments to support those who feel that they cannot work with or express themselves easily within the standard practice.

Adjustments can be considered throughout the complaints process, including within the formal hearing process as required.

Anyone requiring such considerations can submit a request by email to the Professional Conduct Review Committee.

What action can we take?

Our aim is to ensure that practitioners address the poor practice that leads to complaints.

Complaints received will be reviewed and assigned by the Professional Conduct Review Committee to a designated review panel.

Where it is considered that the complaint should be investigated, it will be reviewed under the terms of our Malpractice and Maladministration Policy. If that complaint is upheld, then our Sanctions Policy outlines the actions that can be taken.

We can:

• Advise the practitioner on how they can resolve or develop their practice and support them by issuing improvement plans including SMART objectives.
• Publish details of the complaint and any sanctions (see our Publication policy) on our Professional Conduct Notices page.
• Withdraw or remove them from the Register
• Or, if they fail or refuse to comply with the complaints process sanctions, we may also withdraw their membership of the Register and publish an appropriate Professional Conduct Notice.

Timescales

Appeals

Should any related party be unhappy with, or wish to contest, the outcome of any complaint an appeal can be raised in line with our Appeals Policy.