Complaints and Concerns

Raising Concerns and Making a Complaint

On this webpage we give general guidance to the process of raising a concern or making a formal complaint.

I have a concern I would like to raise – how do I do that?

UKAHPP expects all registrants to work within and abide by the organisation’s Code of Practice and Ethical Principles when working with clients and with the general public. There may be an occasion where you feel a registrant has fallen short of these standards and you want some advice on what to do about this.

Anyone can raise concerns about a UKAHPP registered therapist or about the organisation as a whole see Section 1.4 of the Complaints Procedure.

There are two separate formal routes for raising a concern:

1. For anyone wanting to raise a concern about a UKAHPP registered therapist – UKAHPP Complaints Procedure

2. For anyone wanting to raise a concern about UKAHPP as an organisation –UKAHPP Organisational Complaints Procedure

Guidelines for raising a concern about a UKAHPP registered therapist

If you have a concern that you wish to raise regarding a UKAHPP registered therapist, we encourage you to speak with the therapist in the first instance to attempt to resolve the issue before a formal complaint is made to the UKAHPP. This will involve explaining to them your concern, the reasons why you have concerns and the outcome you expect from the discussion. Many concerns can be resolved in this way.

However, we appreciate that some complaints are more serious in nature and that speaking with the therapist may not always be possible or appropriate. If that is the case, you can contact the UKAHPP Administrator (by email at admin@ahpp.org.uk or by telephone: 0843 2895907), to discuss your concern or to get advice and guidance on how to make a formal complaint to the UKAHPP.

If you decide that you want to make a formal notification of your concerns, the full procedure is available here UKAHPP Complaints Procedure. You can also follow the procedure on the Complaints Procedure Flow Chart, This gives you a broad outline of the process and likely timescales of the process.

If you have any queries or wish to ask further questions about what to do next, please contact the UKAHPP Administrator (by email at admin@ahpp.org.uk or by telephone: 0843 2895907) and they will put you in touch with a member of the Ethics Committee. Please let us know if you need support to access this information and in what ways we may be able to help you.

These Guidelines and the Flow Chart are not a substitute for our full Complaints Procedure but are designed to work alongside it. Wherever possible we have cross-referenced to the relevant section of the Procedure so that you can cross-check with the full detail.

If the complaint is about the UKAHPP as an organisation, please see the UKAHPP Organisational Complaints Procedure.

Summary Guidelines of how to raise a concern about a UKAHPP registered therapist

The procedure for raising a concern has seven elements :

• Statement of Concern

• Risk Assessment

• Investigation

• Mediation

• Adjudication and Review

• Appeal

• Record-keeping

These are outlined below in more detail.

1. Statement of Concern

In order for the UKAHPP to start a Complaints Procedure, certain specific information and details of your concerns and the grounds on which the concern is based are required. Completing the UKAHPP ‘Raising a Concern’ Form provides this necessary information.

The more information you are able to provide at this stage, the quicker the UKAHPP can begin to progress your concerns. If the Form is not fully completed, it may cause a delay in dealing with your concern as we may need to return the form to you so that you can complete the information we need.

If you are unable to complete the ‘Raising a Concern’ form, you can contact the Administrator on telephone: 0843 2895907 to discuss the best way we can help you with this.

The ‘Raising a Concern’ form is available on-line at this link – Complaint Disclosure or from the UKAHPP Administrator at admin@ahpp.org.uk.

For more detail Complaints Procedure Section 1

Once received, the ‘Raising a Concern’ form and any supporting documents will be reviewed by the UKAHPP General Secretary (GS) within 10 working days. The GS will need to assess the grounds for the complaint with the UKAHPP’s Code of Practice and Ethical Principles.

Concerns about Registrants who have dual UKAHPP and UKCP Registration will be progressed through the UKCP Complaints and Conduct Process. The details will be forwarded to the UKCP within 10 working days from receipt of the complaint.

If an alleged breach of UKAHPP Code of Practice and Ethical Principles is identified which may give rise to a serious risk to public safety or, if a criminal offence has taken place, the UKAHPP may take the decision to issue a formal Interim Suspension to the practitioner. It may also be necessary to inform the appropriate authorities, i.e., the Police, Social Services etc. if it is appropriate to the circumstances. These steps are taken in the interests of public safety as a safeguarding measure.

The General Secretary will identify any breaches to the UKAHPP’s Code of Practice and Ethical Principles and will be responsible for writing a report of their findings, outlining where these breaches may have occurred and why they believe that the complaint needs to be escalated to a full investigation.

If the General Secretary finds that the UKAHPP Codes of Practice and Ethical Principles have not been breached following the Risk Assessment, this will be communicated to the complainant in writing within 10 working days of receipt of the complaint. The General Secretary will outline their findings and the reasons for their decision. The case will be closed with no further action.

2. Risk Assessment

Full details of this stage are given Complaints Procedure Section 2

The GS will identify any breaches to the UKAHPP’s Code of Practice and Ethical Principles and will be responsible for writing a report of their findings, outlining where these breaches may have occurred and why they believe that the complaint needs to be escalated to a full investigation.

If the GS finds that the UKAHPP Codes of Practice and Ethical Principles have not been breached following the Risk Assessment, this will be communicated to the complainant in writing within 10 working days of receipt of the complaint. The GS will outline their findings and the reasons for their decision. The case will be closed with no further action.

3. Investigation

Full details of this stage are given in Complaints Procedure Section 3

Where the General Secretary identifies that the concern raised indicates a breach of the UKAHPP’s Codes of Practice and Ethical Principles, (including any public safety and/or safeguarding action to be taken) the ‘Raising a Concern’ form together with any supporting documents will be sent to the UKAHPP Ethics Committee for investigation.

The Ethics Committee will appoint a Complaints Co-ordinator. The Complaints Co-ordinator role is to provide administrative support during the Complaints process. Once appointed, the CC will make contact with you and they will be your main point of contact throughout the investigation.

The Ethics Committee will review the ‘Raising a Complaint’ form together with the report from the General Secretary and make a decision about whether the case is suitable for mediation or needs to be investigated through the Adjudication Stage of the procedure.

In most cases, the Ethics Committee will explore with both parties whether Mediation may provide the best way forward. Mediation will be explored in all cases EXCEPT where there may be serious concerns about public safety. In those cases, Mediation cannot be an option and the complaint will progress straight to the Adjudication Stage of the Procedure.

It is the role of the Ethics Committee to continue to assess and manage the complaint through to its completion.

4. Appointment of Companions

Full details are to be found in Section 4 of the Complaints Procedure

The Complaints Co-ordinator will help all parties involved in the complaint to identify and appoint a suitable person to act as their companion during the complaints process, if they wish. The role of the companion is to informally support individual parties to the complaint and to help them explore the possibility of resolving the issues through Mediation. This will include:

• Companion discussing the reasons for the complaint with their party, ensuring confidentiality is maintained

• listening to the point of view of their own party

• If both parties agree, discussing the reasons for the complaint with the companion of the other party, maintaining confidentiality and impartiality at all times.

• Considering what might make need to happen in order to make any improvements in the situation

• Consider what outcome parties can agree on which might resolve the complaint through the mediation process.

Anyone acting as a companion for either party to the complaint must declare any conflict of interest if they realise that they know any other person involved in the process especially, but not only, the other party to the complaint.

5. Mediation

Details about Mediation are found in Section 5 of the Complaints Procedure

Mediation is a structured, interactive process where an impartial third party assists those involved in a dispute to resolve conflict. All participants are encouraged to actively participate in the process.

Where both parties give consent to proceed via a Mediation process, the Ethics Committee will appoint an experienced Mediator, agreeable to both parties.

Mediation is an independent process which will be managed by the Mediator themselves. The Complaints Co-ordinator will assist with arranging meetings, circulating any documents and liaise with all parties to assist in the process. All records of the Mediation will be held confidentially by the Mediator. The Mediator will report back to the Ethics Committee on the agreed outcomes of the mediation, any remedial actions and timescales that have been agreed with completion dates.

The aim of the Mediation process is to achieve an agreement between both parties on what needs to happen to resolve the complaint informally. The intention is to arrive at an agreement that is suitable to all parties. The Mediator is responsible for all documentation throughout the process and for drawing up the final agreement, which will be signed by the complainant and the registered practitioner.

If an agreement cannot be reached or signed off by both parties through Mediation, the case will progress to a formal Adjudication Procedure.

6. Adjudication Procedure

For details consult Sections 6-8 of the Complaints Procedure

Once the Complaints Procedure begins this stage, UKAHPP will act as arbiter on the case and both the complainant and the registrant become equal witnesses to the matters under consideration.

The UKAHPP will appoint an Adjudication Panel at this stage of the Complaints Procedure. Their role is to review all available documentation including witness statements and set up an Adjudication Hearing.

At the Adjudication Hearing, both parties to the complaint will be provided with the opportunity to explain their case in full. Witness statements will be considered and witnesses may be asked to attend in person where appropriate. The Hearing will be closed and the Adjudication Panel will meet after the Hearing to discuss the evidence of the case.

The Adjudication Panel will review all the evidence that both parties and any witnesses presented at the Hearing together with all evidence and information provided to the Panel prior to the Hearing. The Panel will also refer to the UKAHPP’s Code of Practice and Ethical Principles in order to make their decision about the case.

It is the responsibility of the Adjudication Panel to decide what outcomes might be appropriate and what action to take next, to include any previous suspension of practice. Once the Adjudication Panel has reached its decision, the Panel Chair will communicate the outcome to both parties in writing within 10 working days, outlining the reasons why they have reached their decision.

Both parties have the right to appeal the decision of the Adjudication Panel once they have received the Panel’s written outcome and decision.

7. Appeal Process

For full detail, consult Section 9 of the Complaints Procedure

Either party to the complaint may Appeal the decision of the Adjudication Panel if they believe that due process was not followed or where sanctions are thought to be unfair and disproportionate.

Appeals must be submitted in writing to the General Secretary within 28 days of the Panel’s ruling, detailing their reasons for the Appeal.

An Appeal process will be led by an External Moderator working with a newly appointed Appeal Panel. Members of the Appeal Panel must have had no prior involvement with the complaints procedure or know any of the parties involved.

The purpose of an Appeal Panel is not to re-investigate the complaint but to review the proceedings to date and determine whether these have been carried out in line with the published Complaints Procedure and whether any corrective measures have been applied fairly. It is not an opportunity for the appellant(s) to disagree with the findings of the Adjudication Panel or to ask for a second opinion on the outcome of the complaint.

Once this review has been carried out, the decision of the Appeal Panel is final and there is no further right of appeal.

The External Moderator provides the General Secretary with a written report of the appeal and the outcome. The General Secretary will write to the complainant and the registrant to inform them of the outcome of the Appeal and will ensure that any sanctions required are carried out. If the sanctions are not acted upon by the registrant, then further action may be taken by UKAHPP.

May 2024