Complaints & Concerns Procedure

We believe in both listening to the voices of all stakeholders in the therapeutic process and sharing both these views and opinions. We believe that each stakeholder will learn from both the positive experiences of therapy and when things have not worked out either as planned or hoped for.

PTUK believes that all complaints should be addressed in a proportionate, fair, and transparent matter in a way which protects the public.

PTUK tries to avoid a legalistic approach to complaints but is fully aware that a fair, transparent and clear policy must be in place. PTUK audits any complaints on an annual basis and this audit is carried out by an Independent Audit Assessor.

In order to mitigate any stress associated with a complaints process, we have set out an approximate outline of the timescales involved in the complaints process at the end of this document.

PTUK will, where appropriate, explore whether an informal resolution of a complaint is appropriate. This could include PTUK both informally discussing your concern or complaint with the Registrant and/or drawing the complainant’s attention to the option of a mediated resolution.

The steps of the complaints procedure are set out below.

1.1 Contact PTUK’s PCO

PTUK’s Professional Conduct Officer (the “PCO”) deals with all aspects of the practical management of any complaint.

You can either email pco@ptukorg.com for the attention of the PCO or telephone PTUK on 01825 761143 and/or to speak to the PCO.  You can also  write to: PCO, PTUK, The Coach House, Belmont Road, Uckfield, TN22 1BP. Please mark the envelope “Strictly Private and Confidential”.

As at today’s date the Professional Conduct Officer is Alison Weston.

PTUK understands that making a complaint can be difficult, and so if you want another person either to act on your behalf or support you during this process, please can you let the PCO know.

Please note that anything that you send to PTUK may be discussed with the Registrant.  However, we will inform you of this prior to the information being shared. Please speak to the PCO if you have any concerns about protecting either your identity or your child’s identity.

1.2 Recording details of your complaint or concern.

The PCO will communicate with you directly either by phone, in person or in writing to you. The PCO will listen to your complaint and notes will be taken, including names, dates, the location of where the therapy was received, the name of the referrer and the situation which has arisen. You do not need to provide a written account of the complaint, but may do if you wish to.

The PCO will electronically store all records of the complaint in line with Data Protection procedures.

1.3 The PCO will complete a membership data search and limitation.

The PCO will check the PTUK register to see if the complaint relates either to an existing Registrant or someone who was registered with PTUK at the time of working with the child when the complaint arose. The PCO will also decide if it will be in the public interest to pursue the complaint. The PCO must also consider whether there is a reasonable chance of being able to gather evidence if the Registrant is not registered but was registered at the time of the of the circumstances of the complaint.

PTUK cannot consider a complaint which relates to events which are over three years old.

1.4. Informal Resolution.

We hope that the parties can resolve any issue with the Registrant directly before a formal complaint is necessary. However, only if both the circumstances are appropriate and you feel comfortable to do so.

Our experience is that the majority of issues can be dealt with in this manner.

We draw the complainant’s attention to the option of either resolving the matter with the Registrant or through mediation.

1.5 Administration and recording

Confidentiality and record keeping of complaints are key as complaints can be of a sensitive nature. You will be informed who is handling the complaint. Both the Registrant and you will also be informed, in writing, how the information relating to the complaint, will both be shared and with whom and it will be shared. PTUK records all complaints electronically and the records are stored in a secure, password protected, online system in line with Data Protection procedures and will only be accessible to PTUK Executive Board of Directors. PTUK may duly share the details of the complaint if the complainant expressly consents.

1.6 The PCO will determine what you want to do and how you wish to proceed.

The complainant/you will be asked how you would like to proceed and the PCO will provide detailed information of the next steps.

At this stage you will be asked to provide a detailed statement which both outlines and sets out the evidence of the complaint. You will also be asked for signed permission to proceed to move to Stage 2.

1.7 Appealing Stage 1

Stage 1 requires the PCO both to fact find; ascertaining both if the Registrant is a member of PTUK and if the complaint is under 3 years old. Therefore, we do not consider that a right to appeal exists at this stage unless a factual mistake has been made by the PCO.

2.1 Reviewing Your Complaint

The PCO will review your complaint in detail.

If there is any evidence of any criminal offence towards a child, the PCO will advise you to contact both the police and local safeguarding children’s team. The PCO will also inform you that he/she will be contacting both the police, the local safeguarding children’s team and the school’s Designated Safeguarding Lead (DSL). If an investigation is undertaken either by the police or the Safeguarding Children’s Partnership then the PTUK complaints process will pause until there is an outcome to those investigations. It is our general policy that, either upon conviction the Registrant will be removed from the PTUK register because they will no longer meet the terms of registration.

The PCO will also need to consider if the facts supporting the complaint amount to the basis of a contravention of the PTUK Ethical Framework which can be found at  https://playtherapy.org.uk/ethical-framework. It is not the PCO’s role to adjudicate if the PTUK Ethical Framework has been breached. The adjudication will take place further to the complaints process.

The role of the PCO is both to consider the complaint and ascertain if the complaint falls under one of the three main heads of complaint:

1. Professional misconduct: – where the Registrant has contravened either the ethical and/or behavioural standards which are reasonably expected as a registrant of PTUK.
2. Professional malpractice: – where the service provided have fallen below the standards what is reasonably expected of a practitioner.
3. Bringing the profession into disrepute:- where the Registrant has acted in a manner that the public’s trust in the profession might reasonably be undermined.

If the complaint does not fall into one of the above categories we do not consider that it can be processed through PTUK’s complaint process.

Examples of complaints that we cannot consider include but are not limited to: complaints about the Registrant’s private life; complaints around financial disputes, such as the Registrant being overpaid; complaints regarding false advertising.

2.2 Gathering evidence.

The role of the PCO is also to collect evidence regarding the complaint, and so the PCO can determine how the case will progress.

If evidence is unavailable, the PCO may not be able to continue. If you want to remain anonymous, the complaint may not progress because evidence cannot be shared.

Once the evidence has been gathered, the PCO will decide if the case is suitable for an Assessment Panel.

If your complaint relates to alleged discrimination, PTUK will ensure that you are given access to support, and you will be advised to contact the Equality Advisory Support Service (open Monday to Friday 9.00am to 7pm, Saturday 10.00am to 2.00pm), telephone 0808 8000082, http://www.equalityadvisoryservice.com for further advice and support.

2.3 Suspension for Serious Breach

Where the PCO both receives evidence of a very serious breach of the Ethical Framework and deems registration with PTUK could cause harm to the public, the PCO may issue an interim suspension order and temporarily remove the Registrant from the PTUK register.

This does not mean that the Registrant has automatically been found guilty of any breach of the Ethical Framework and the suspension will require ratification from the Professional Conduct Panel within three weeks of the suspension. The suspension order will remain in place until the conclusion of the complaints process.

2.4 Stage 2 – PCO Review Decision

The PCO will then both decide whether the complaint can progress and will circulate his/her decision. Further to the PCO’s decision, the complaint will either conclude at stage 2 or will continue to stage 3.

Appealing Stage 2

At this stage there will only be a right of appeal if the PCO has made a factual error with regards to the evidence that is available to the PCO at this stage.

If the PCO determines that the complaint should proceed, he/she will both contact the Registrant and provide the Registrant with details of the complaint. The Registrant will be required to respond to the complaint in writing.

If you want to move the matter to an Informal Resolution process the PCO will inform the Registrant of this. The Registrant will be asked if they would like to try to resolve the complaint using Informal Resolution or move to the more formal process. Both parties must agree to an Informal Resolution process.

An Informal Resolution can take place alongside the complaint process but the complaint will move to stage 4 once the Registrant has responded to the complaint.

4.1 Purpose of the Assessment Panel

The Assessment Panel is made up of three people who are both independent of your complaint and have no connection with either the complaint or the Registrant. The Chair of the Assessment Panel will be a very experienced Accredited Play Therapist. The remaining panel members will be “Lay Members” who are non-practicing professional therapists.

4.2 The role of the Assessment Panel

The Assessment Panel will review all the evidence provided to it and will decide if the matter can be determined with or without a full hearing.

Any decision will consider, but will not be limited to:

1. The evidence from both you and the Registrant;
2. If the Complaint breaches the PTUK Ethical Framework and falls under one of the following three headings:

Professional misconduct – where the Registrant has contravened either the ethical and/or behavioural standards as reasonably expected of a member of PTUK.

Professional malpractice – where the service/s provided have fallen below the standards that would reasonably be expected of a practitioner exercising reasonable care and skill.

Bringing the profession into disrepute – where the Registrant has acted in a manner that the public’s trust in the profession might reasonably be undermined when considering all the circumstances of the case.

4.3 The way the Assessment Panel works.

In using the Assessment Panel process, PTUK hopes to be able to bring many complaints to a timely successful conclusion.

PTUK maintains the Accredited Register, https://playtherapyregister.org.uk.  All PTUK registrants, as part of their annual membership renewal, are audited to confirm they abide by PTUK’s standards.

PTUK’s standards are arranged in consideration of both professional responsibility and skills and career development. This will include  maintaining adequate clinical supervision for the grade that the Registrant  holds, undertaking adequate CPD, holding a valid Enhanced DBS/Police Check, Professional and Public Liability insurance and  ICO registration.

The PCO’s audit outcome will determine if the Registrant has continued to meet PTUK requirements for registration or membership. This information is available to the Assessment Panel to assist them in understanding any public assurance risk in the registrant’s practice, given the nature of the complaint.

For example, this may include whether the Registrant has failed to renew their Enhanced DBS/Police Check (required to renew every three years when working with children).

4.4 Evidence

All the evidence that the PCO receives will be submitted to the Assessment Panel. The Assessment Panel will thoroughly review all the evidence provided and will give their decision in adjudicating the complaint. The Assessment Panel will only base its decision on the evidence provided.

Neither you nor the Registrant will be asked to attend this panel meeting.

4.5 The Assessment Panel Process

The Assessment Panel will consider the evidence from both you and the Registrant very carefully.

The Assessment Panel may request further information from either the PCO, you, or the Registrant before they are able to reach a decision. The Assessment Panel may also decide to put the complaint process on hold and ask for an expert’s report which would help the Assessment Panel in making its decision; for example, on whether the Registrant had the expertise to work with your child.

The Assessment Panel, once they have considered all the evidence, will then make a decision, which may be one of the following outcomes:

1. Complaint upheld:

The Assessment Panel decides that the Registrant has breached either one or more of the three headings of complaint within the Ethical Framework. The Panel will set out the details of the breach(es)and order the appropriate sanctions. Sanctions can be:  i. removal or suspension from the PTUK register, or ii. the Registrant will either undertake further training or receive increased clinical supervision.

2. Complaint not upheld:

The Assessment Panel may decide, once all the evidence has been considered from both you and the Registrant, that the complaint should be rejected. This is because, after considering all the evidence, the Assessment Panel has decided the Registrant has neither breached the PTUK Ethical framework nor presented a public safety. The decision will be reported to both parties.

The Assessment Panel may reject all or part of the complaint and they will give their reasons for this.  If the complaint is not upheld the case will be closed.

3. Membership terms breached:

Where the Assessment Panel identifies that the PTUK membership requirements have been breached appropriate sanctions will be imposed on the Registrant.

4. Referral for a Formal Complaints Hearing:

The Assessment Panel may decide that the complaint warrants further scrutiny. If so, they will recommend that a Formal Complaints Hearing is required.

4.5 Appealing Stage 4

Once you have received the Assessment Panels decision (the “Decision”), you have 7 days of receipt of the Decision to appeal it. Within your request to appeal you must state why you are appealing this decision.

Any grounds for appeal will be considered however, as a general guideline, an appeal will only be considered if there has been:

1. An error in the interpretation of the guidelines or rules; and/or
2. An error of material fact; and/or
3. New evidence becomes available which could not have been obtained through a reasonable search.

The PCO will endeavour to help you understand the Decision and will administer the corresponding documents to an appeal.

If the Assessment Panel decides that a Professional Conduct Panel Hearing is required, you are unable to appeal this decision.

Where no request for an appeal is received within 7 days of the Decision, the case concludes at Stage 4 and is considered closed.

4.6 Appealing the Assessment Panel’s decision.

If the Registrant both appeals the Assessment Panel’s decision and there are grounds for an appeal, the complaint will be referred to a Professional Conduct Panel Hearing (Stage 5).

Should either you or the Registrant wish to appeal a decision the appealing party (the “Appellant”) must take the following action within the corresponding timeframe.

• Within 7 days of the Decision, the Appellant must notify the (PCO) of your wish to appeal.
• Within 21 days of the Decision, the Appellant must put in writing their reasons for appeal. The Appellant must clearly state both why the Appellant is appealing and why the Appellant believes the complaint should go to a Professional Conduct Panel Hearing. Further evidence can be included at this stage, but the Appellant  must state why this evidence was not submitted at the earlier stage of the complaints process. The Panel will decide whether any new evidence is admissible.
• The appeal will be sent to the other party who will have 14 days to respond to the appeal.
• The appeal will then be assessed by an Independent Assessor, who has not seen the case before and is independent of the parties involved. It is a separate role within the PTUK Complaints structure and is not linked to the British Council for Therapeutic Interventions with Children.

The Independent Assessor will then both review the Assessment Panel’s decision and will try to reach a decision within 28 days. Additional information can be requested from either party by the Independent Assessor at any point of their assessment.

The Independent Assessor’s decision will make one of the following outcomes:

1. The appeal may be upheld either in full or in part. The Independent Assessor may find that the sanctions are either inappropriate or disproportionate or incorrect.
2. The Independent Assessor may find that there has not been a breach of the Ethical Framework.
3. The Independent Assessor may not be able to reach a conclusion and so will refer the case to a Professional Conduct Panel Hearing.

4.7 What happens after an Assessment Appeals Decision?

If the appeal is not upheld the case will be closed.

If your appeal is upheld the Independent Assessor will update and send the Registrant an amended decision which includes the Assessor’s proposed amendments. The Appellant will either accept the revised decision and the case will conclude or the Appellant can ask for the case to go to a Professional Conduct Panel Hearing (the “Hearing”).

5.1 Professional Conduct Panel (The “Panel”)

The Panel’s role is to hear complaints by way of formal process in cases where a further appeal process is required.

If either a fitness to practice or public safety issue is identified then PCO can refer the case directly to the Professional Conduct Panel.

The Panel is an independent group which will comprise of no fewer than three external professionals who will both assess, adjudicate and decide the outcome of the Complaint.

The Panel will consist of:

• An Independent Lay Chair (who is not a Play Therapist, but will be a person with a legal background); and
• Two professional members (Accredited Play Therapists, who have no connection to the complaint).

The Panel will hold a “live hearing” (“the “Hearing”) which you, the Registrant, and any other appropriate parties will be asked both to attend, give evidence and face cross-examination.

The Hearing may be either face to face at a mutually agreed venue or via a mutually agreed virtual platform.

1. The Hearing will proceed in the following way:

i. The PCO will coordinate the Hearing.

ii. Evidence and/or submissions must be both submitted to the PCO and subsequently circulated to all by no later than 14 days prior to the Hearing.

iii. All evidence submitted for the purpose of the Hearing, by either party, shall be made available to both you and the Registrant.

iv. Both parties will have an opportunity to respond to the information that has been circulated. The PCO will collate all evidence in a case folder.

v. The PCO will set out directions with regards to the use of the evidence, which may include withholding evidence from the Professional Conduct Panel which could breach a third parties’ confidentiality.

vi. The PCO will lay out the evidence in sections which identifies where the Code of Ethics may have been breached.

2. The PCO will set a date for the Hearing which will be sent to both you, the Registrant, and the Panel. Details of the face-to-face venue or virtual meeting will then be agreed. The Hearing date can only be moved if there are either extenuating circumstances (illness) or new evidence comes to light.
3. The Chair of the Panel will both review all the paperwork to ensure the file is complete and will discuss the case with the panel members. Once the evidence has been reviewed, the Panel may either request further information or additional clarity of the evidence submitted by the parties. Once the Panel is satisfied that it has all the evidence, the Independent Chair will inform the PCO that it is ready to proceed.
4. The Hearing will then take place. The Panel will then make decisions on complaints about its Registrants. An administrator will be present to make notes of the Hearing. 

Parties at the Hearing

Registrants may either be accompanied by a 3^rd party, colleague, or Insurance Representative, or represented generally. The Registrant must  provide the details of the 3^rd party to the PCO 7 days prior to the Hearing.  Due to the nature of working with children, any representative must hold a current (less than three years old) Enhanced DBS/Police Check.

The representative cannot be a member of or be employed by another Play Therapy or psychological organisation (such as BAPT or BACP) and they cannot be barred from working with children.

Hearing Evidence

If new evidence has come to light, the Panel will decide if the new evidence can be accepted or not. The Panel will, generally, only accept new evidence if it is both new evidence which could not have been uncovered from a reasonable search.

The Panel may decide to adjourn the Hearing in order to enable the Panel and so it can review any new evidence.

Cases files will, generally, be arranged into sections with the following information:

1. The Complaint, Ethical Framework, Registrant’s details, membership number and date of registration;
2. Complaint log or letter;
3. Evidence in chronological date order;
4. Witness Statements;
5. All other complaint correspondence.

Witnesses

The witnesses may or may not be ordered to attend hearings. In most cases, witnesses will not be required to give evidence in person and both parties will be asked if they accept the witness statement as evidence.

Witnesses who do give evidence will not be privy to the entire hearing; they will be called when required.

Length of the Hearing

The Hearing will normally last no longer than ½ a day.

If the Hearing cannot be concluded in the allotted time, the Hearing will only be partly heard and will be adjourned to a future date.

Conduct of the Hearing

During face-to-face hearings everyone will be seated. If the Hearing takes place via a virtual platform, a confidentiality statement will be agreed and signed by all parties. An administrator will make notes of the entire proceedings.

The Panel will set out any specific directions of the Hearing.

Findings

The Panel will usually reach a decision on the day of the Hearing, but may need further time to make its decision. The Panel Chair will both report the outcome and provide the full reasons for the conclusion it has reached.

The Panel must be fully satisfied that a civil law standard of proof has been achieved. i.e. The Registrant has, on the balance of probabilities, breached the Ethical Framework.

The Professional Conduct Panel Hearing decision can be one of the following:

Complaint upheld.

The Panel finds the Registrant has breached PTUK’s Ethical Framework either partly or fully. Where the Assessment Panel has previously made a decision the Panel may uphold this ruling in either the same or amended form.

Complaint not upheld.

The Panel does not uphold part or all the complaint.

Breach of Membership terms

The Panel may determine that the Registrant has not met either all or part of their clinical governance and they may impose appropriate sanctions to ensure the Registrant’s standards of practice can improve.

This action can be applied if either all or part of the complaint is upheld.

Sanctions

If the complaint is upheld, the Panel will decide what sanction/s will be imposed taking into consideration both the interest of the Registrant and the public interest.

The Panel may make a number of sanctions, which include but are not limited to:

• An advisory letter which contains learning points.
• Conditions on the Registrant for continued registration.
• Suspension from the PTUK register.
• Removal from the PTUK register.

Once the Panel has made a decision, the PCO will bring to the Panel’s attention any previous disciplinary findings against the Registrant so that they can be taken into consideration in imposing sanctions.

Full details of sanctions that are available to the Panel can be found in the Sanctions Guidance Document.

Publication of any findings

PTUK has a responsibility to protect the public.

All findings are a matter of public record and will be published on the PTUK Register to do so.

Publication of any findings will be made in accordance with the PTUK’s Publications Guidance and once the deadline for appeal has passed.

For the avoidance of doubt, details of a rejected complaint will not be published on the website).

The PCO will notify the PTUK Registrar of the Panel’s decision and the PTUK Registrar will publish the findings.

5.2 Appealing Stage 5

Either party has  the right to appeal the Panel’s decision in certain circumstances. To do so, you must contact the PCO within 7 days of receiving the Panel’s decision.

Any grounds for appeal will be considered however, as a general guideline, an appeal will only be considered if there has been:

1. An error in the interpretation of the guidelines or rules; and/or
2. An error of material fact; and/or
3. New evidence becomes available which could not have been obtained through a reasonable search.

You cannot appeal the Professional Conduct Panel’s decision regarding any alleged breach of the PTUK membership.

5.3 Appealing the Professional Conduct Panel’s decision

If either party appeals the Panel’s decision, your case may go to an Appeals Panel.

Appeals panel:

The Appeals Panel will consist of both a Lay Chairperson and two Accredited Play Therapists who have not previously been associated with the complaint. No member of the Panel may sit on the Appeals Panel. The role of the Appeals Panel will be to review the Appeal

If you decide to appeal the decision:

1. You must notify the PCO that you want to appeal within 7 days of receiving the Panel’s decision. You are not required to provide any supporting documentation for your appeal within this timeframe.
2. Within 21 days you must send the PCO the details of your Appeal. You will not be able to submit any evidence, which does relate to the original complaint.
3. If you submit new evidence it will be shared with the Registrant who will have 14 days to respond.
4. The Appeals Panel will consider the appeal and will reach a decision within 28 days. The Appeals Panel may request further information from either you or the Registrant. The Appeals Panel may also commission an independent expert if they deem it necessary. The Panel will generally reach a decision based on the documents that have been submitted, and there will be no need for a further hearing.
5. The Appeals Panel will decide to either:

i. Appeal upheld – The Appeals Panel will amend either the decision and/or associated sanctions.

ii. Appeal not upheld – The Appeals Panel may decide to not uphold part or all your appeal.

What happens after an Appeals Panel Decision.

The decision of the Appeals panel is final and binding to both you and the Registrant.

As an Accredited Register holder, PTUK is bound by the standards of accreditation as determined by the Professional Standards Authority.

If you are dissatisfied with any aspect of our complaints process, you can raise this with the PCO.

What happens if a registrant does not renew their PTUK membership or refuses to comply or attend a hearing?

If the Registrant either does not renew their membership or refuses to comply with sanctions imposed on them, the complaints process will continue if it is in the public’s interest to do so. Where a Registrant does not renew their membership or has breached the PTUK membership requirements, the PTUK register, which is available to the public, will reflect this.

What happens if I change my mind and do not want to progress my complaint?

If you decide that you no longer wish to pursue your complaint, , it is likely your file will be closed and no further action will be taken. If, however, the complaint concerns the safety of the public, the PCO has a duty to progress the complaint in the interest of public safety. In the event of a safeguarding concern the PCO will follow safeguarding protocols.

How long will the complaints process take

Complaints vary due to the complex nature which can make the process lengthy, one or both parties may request additional time to gather evidence or take legal advice. PTUK aims to work in both a cohesive and time efficient way within the boundaries of reaching a fair and ethical outcome. The PCO will keep all parties informed of the process and update accordingly, so all parties are aware of timescales and deadlines to be met.

Is the process reviewed?

As per the governance that PTUK is required to follow from the Professional Standards Authority, PTUK has an independent advisor who will undertake an annual review. This review may also include a meeting with either the PCO or panel members. The Independent Advisor will highlight areas for improvement. Their report will be disclosed to the PSA during the annual check/Re-validation.

• Acknowledgement of receipt of a complaint within 1 week.
• Gathering and reviewing of information from the complainant – 3 weeks.
• Gathering and reviewing of information from the relevant parties – 3 weeks.
• Overall review of complaint, and decision regarding next steps – 2 weeks.
• Review by Assessment Panel – 6 weeks.
• Appeal by complainant following Assessment Panel – 4 weeks.
• If the matter is referred to the Professional Conduct Panel up to 6 months from the date of the Assessment Panel Decision.
• If there is an appeal process following the Professional Conduct Panel hearing this can take up to a further 3 months.

We cannot guarantee the above timescales are met.

Appeals Panel: is responsible for reviewing the case and making a final decision following an appeal at Stage 5.

Assessment Panel: is responsible for reviewing all the evidence provided and will decide if the matter should progress to a full hearing or conclude.

Independent Assessor: is responsible for reviewing the Assessment Panel’s decision following an appeal at Stage 4.

Independent Audit Assessor is responsible for auditing complaints on an annual basis.

Professional Conduct Hearing Panel: is responsible for hearing complaints via a fully formal process in cases where Informal Resolution or Consensual Disposal have not been successful.

PCO: is responsible for dealing with all aspects of raising a complaint or concern.

Professional Standards Authority is responsible for determining standards of accreditation of the PTUK register.

PTUK Registrar is responsible for publishing the findings of the Professional Conduct Panel Hearing.