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Complaints procedure
COMPLAINTS, ARBITRATION AND DISCIPLINARY RULES AND PROCEDURES
December 2005
The principal objective of APPC is to promote high professional standards. A key mechanism for this is the publication of a Code of Conduct for professional lobbying and ensuring members’ compliance with the Code. APPC investigates complaints against members and takes appropriate disciplinary action in the event that the Code has been breached
CAUSES OF COMPLAINTS
1. APPC will investigate and determine a complaint brought against any member firm of APPC, alleging that the firm has:
(a) Acted in breach of the Code of Conduct or any other standards of professional conduct as APPC may establish under the provisions of the Memorandum or Articles of Association; or
(b) Acted in breach of any rule of the Memorandum or Articles or any regulation made by the management committee under the provisions of the Articles; or
(c) Brought or has been likely to bring discredit upon the profession or the Association; or
(d) Acted in such a way, having regard to the letter and the spirit of the Code, to give cause for complaint; or
(e) Knowingly caused or allowed its staff or non-executive consultants to act as described above, in which case the firm is a party to such action and shall be deemed itself to have acted in such manner.
COMPLAINANTS
2. The Association has the power to investigate complaints made by any of the following:
(a) Members of either House of the United Kingdom Parliament;
(b) Members of the Scottish Parliament, Welsh Assembly, Northern Ireland Assembly or European Parliament;
(c) Civil or public servants;
(d) Elected local or regional government representatives;
(e) Local authority officers;
(f) Clients of any member;
(g) Any member;
(h) The management committee; or, in the case of a complaint involving a member of the management committee, the secretary;
(i) Any individual.
COMPLAINTS PROCEDURE
3. Any complaint must be made in accordance with the rules made from time to time by the management committee. Such rules may regulate the consideration of complaints by the professional practices panel and the hearing and adjudication by the professional practices panel of complaints or applications.
4. Complaints may not be initiated while a remedy is being sought, or is in contemplation, through civil or criminal legal action.
5. Any complaint against a member must be submitted in writing to the secretary.
6.1 On receipt of a formal complaint, the secretary shall, if necessary, correspond with the complainant in order to clarify any matters of uncertainty and to identify the specific clause(s) of the Code or the Memorandum or the Articles of Association which relate to the complaint.
6.2 The secretary shall then send details of the complaint to the member.
6.3 If a member wishes to resign his membership of the Association when a complaint against him has been received by the secretary, his resignation will not become effective until such complaint has been disposed of.
7.1 Within two weeks of receipt of a formal complaint, the secretary shall place the complaint before the management committee. The management committee shall decide whether the complaint falls within the causes of complaint accepted by the Association.
7.2 If the complaint is accepted, the management committee will appoint the professional practices panel to investigate and determine the complaint.
7.3 If the complaint is accepted, the secretary shall inform the complainant in writing of the Association’s complaints, arbitration and disciplinary rules and procedures and in particular explain that the member firm will be notified of the complaint.
8.1 The complainant will be asked to confirm in writing that it will submit to and be bound by the rules in force at the time the complaint is made. The complainant agrees, by his participation in the complaints procedure that he will not have any further right of complaint or appeal beyond the decision of the professional practices panel, nor will he have any other rights or remedies of whatsoever nature against the Association.
8.2 The member who is the subject of complaint is, by virtue of his membership of the Association, bound by the rules and procedures in force at the time the complaint is made.
9. If, within three months from receipt of a complaint by the Association, a complainant has without due cause not provided sufficient information (as determined by the secretary or chairman) for a case to be heard by the professional practices panel or by external assessors or for the Association’s secretary or chairman to determine that the complaint does not fall within the causes of complaint, the complaint will be deemed to have lapsed.
MEDIATION
10.1 Following acceptance of a complaint by the management committee, the secretary (or, in the case of a complaint relating to the secretary, the chairman) shall offer the option of mediation. If both parties consent, the mediation shall be effected by no more than two external assessors to be appointed by the secretary (or, in the case of a complaint relating to the secretary, the chairman).
10.2 The result of the mediation may include an apportionment of costs of the external assessors between the parties.
ARBITRATION PROCEDURE AND TIMING
11. In the event that mediation is declined, the secretary must as soon as practicable ask the professional practices panel to determine the complaint. The purpose of the panel is to investigate a complaint, make a determination and, if appropriate, carry out or recommend any disciplinary procedures.
12. Any complaint must be placed before the panel in session as soon as possible but no longer than eight weeks after the complainant has confirmed his acceptance of the complaints rules and procedures, except in exceptional circumstances.
13. The panel shall decide whether it appears that the complaint discloses a prima facie cause for investigation. The decision to act upon or reject a complaint shall be at the sole discretion of the panel.
14. The proceedings of the panel shall be held in private unless otherwise agreed by all parties. The decisions of the panel shall be made by a majority vote. The panel’s decision shall be final and binding on all concerned (subject to the member’s right of appeal).
15. If the professional practices panel concludes that no prima facie case has been established, it shall report its findings in writing to the secretary or the chairman, who will communicate them to the member and complainant. The secretary or chairman shall not disclose the report or its contents to members or the public at large, whether through the press or broadcasting media or otherwise.
PROCEEDINGS OF THE PROFESSIONAL PRACTICES PANEL
16.1 In the event that the professional practices panel decides that a prima facie case has been established, it will proceed as follows.
16.2 The professional practices panel is empowered to suspend the membership of a member during the course of its investigation.
16.3 The panel will fix a time and place for a hearing of both parties. It shall hear all evidence placed before it by the complainant and by the member, and of any witness each party may consider necessary, together with any additional evidence which it considers desirable to enable it to reach a just decision.
16.4 Both the complainant and the member may, if they so wish, but subject to the rules, be represented before the panel by a solicitor, barrister or any other person whom he may nominate for the purpose of the hearing.
16.5 Any party may, by notice in writing at any time not later than nine days before the day fixed for the hearing, call upon any other party to admit any document and, if such other party desires to challenge the authenticity of the document, he shall within six days after service of such notice give notice that he does not admit the document and requires that it be proved at the hearing.
17.1 The panel shall as soon as possible and in any event within 21 days of its determination, report its findings in writing to the secretary or chairman together with (if appropriate) an order as to how the costs of the disciplinary proceedings should be apportioned.
17.2 The determination and orders as to costs made by the professional practices panel shall be final and binding on all parties, subject to the member’s right of appeal.
17.3 If the panel finds that the complaint has been substantiated, it shall inform the secretary or chairman as to whether and in what way it intends to exercise its disciplinary powers.
18.1 A copy of the panel's findings and its recommendation, if any, shall within seven days be supplied to both parties, who shall regard the findings as confidential until they have been published. The notice supplied to both parties shall refer to the member’s right of appeal.
DISCIPLINARY ACTION
19. The professional practices panel is empowered to warn or reprimand a member, to suspend the membership of a member, or to require remedial action.
20.1 If the professional practices panel decides that the correct sanction is one of termination, then it shall recommend this decision to the management committee which shall consider the report and confirm, amend or overrule the recommendation.
20.2 Membership may be terminated provided that not less than three-fourths of the members of the management committee present at the meeting vote in favour of such termination, the quorum of such meeting being two-thirds of the management committee membership.
RIGHT OF APPEAL BY A MEMBER
21. A member has a right of appeal against any determination by the professional practices panel, including but not limited to any disciplinary action taken or recommended by the panel.
22.1 Any appeal must be lodged in writing to the management committee within two weeks of the professional practices panel’s decision being notified to the member in question.
22.2 The management committee shall furnish the complainant with a copy of any such appeal and shall consider any response that may be made by the complainant provided such response is received within 14 days from transmission of the copy appeal submission to the complainant.
23.1 The management committee shall furnish the professional practices panel with a copy of any such appeal and with any response made by the complainant, and shall consider any response from the professional practices panel that is received within 14 days from transmission to the panel.
23.2 The management committee may resolve to revoke or modify any determination or disciplinary action, subject to such terms and conditions as the management committee shall think fit and taking into account any response from the complainant and from the professional practices panel.
23.2 The resolution must be passed at a meeting of the management committee convened with notice of the resolution. The quorum shall be one half of the membership of the management committee or three members of the management committee (whichever is the greater) and for which resolution not less than two-thirds of those present shall vote.
23.3 In cases where the management committee has acted as complainant, the secretary and a person nominated by the chairman will be empowered to consider appeals against the findings and directions of the professional practices panel.
24. If a member wishes to resign his membership of the Association when a complaint against him has been referred to the professional practices panel, his resignation will not become effective until such complaint has been disposed of.
PUBLICATION
25. Upon the conclusion of any investigation, including any appeal by a member, and at its discretion, the management committee (or, where the management committee is a party to a complaint, the secretary) may cause wider publication of the decision of the professional practices panel and the reasons therefor, including particulars of the complaint with the findings and direction of the professional practices panel.
26. Where suspension or termination of membership is the outcome then, following appeal, that decision will always be published.
APPOINTMENT AND CONSTITUTION OF PROFESSIONAL PRACTICES PANEL
27. The professional practices panel is appointed by the Association’s management committee. Unless otherwise determined, the panel will consist of three persons, each from outside the profession and appointed on the basis of their knowledge and reputation, assisted by the secretary of the Association.
PUBLIC RELATIONS CONSULTANTS’ ASSOCIATION (PRCA)
28. The APPC professional practices panel will inform the professional practices committee of the PRCA of the outcome of any complaint.
29. In the event of a complaint being substantiated against a member who is also a member of PRCA, the APPC professional practices panel will consult the PRCA professional practices committee before a final decision is made on the nature of any disciplinary action.