1. General
1.1 Any person may complain to the Recruitment and Employment Confederation (REC) that a member’s conduct has breached the REC Code of Good Recruitment Practice for Corporate Members, any specialist REC Sector Group codes, or the REC Code of Ethics for Individual Members. Any such complaint will be considered under this Complaints and Disciplinary Procedure.

1.2 The REC may instigate an investigation if evidence or allegations in the public arena come to its attention that suggests that a member has breached the REC Code of Good Practice.

1.3 The REC will not under normal circumstances accept anonymous complaints but will require full disclosure from all
parties in a complaint investigation; with the exception of circumstances under clause 1.2 or at the discretion of the Managing Director or Deputy. Anonymous complaints may be referred to the relevant statutory authority as appropriate.

2. Introduction
2.1 The REC has an important role in raising and setting standards in the recruitment and staffing industry. As part of that role the REC investigates complaints against members that arise out of a breach of the REC Code of Good
Recruitment Practice and other relevant codes.
2.2 Complaints must be made to the Complaints Officer in writing.

2.3 A complaint must be made within one year of the incident complained about occurring unless it is not reasonably practicable to bring a complaint within that time frame. In the event that a complaint is brought after one year, the complainant must provide written reasons for the delay. If, in the reasonable opinion of the Complaints Officer, the reasons given do not reasonably justify the delay in bringing the complaint, the Complaints Officer shall have the discretion to refuse the complaint.

2.4 Criminal convictions, civil court judgements or Employment Tribunal decisions against members which come to the attention of the REC and which, in the opinion of the Complaints Officer are relevant and relate to the member’s operation within the recruitment industry, will automatically result in the matter being referred to the Professional
Standards Committee.

The Professional Standards Committee may, in these circumstances, offer the member the opportunity to submit further written evidence for consideration by the Committee and/or to attend a hearing before the Committee. The Committee will then consider the matter, reach a decision and agree on the appropriate sanction.

3. The Complaints Procedure
3.1 The REC Complaints and Disciplinary Procedure is set out below and should be considered in conjunction with the REC codes of practice for corporate members, individual members and those operating in a sector that has an applicable code.

3.2 Complaints that become subject to an investigation will only be dealt with in writing and will not be discussed by telephone.

3.3 It is recommended that the complainant should in the first instance raise the matter with the member concerned, preferably in writing. If no satisfactory response or explanation is provided the complaint may be referred to the REC.

3.4 The REC will not intervene to decide legal or contractual disputes, or disputes between members and their employees or employers, but may investigate such matters to the extent that they also involve a breach of an REC code or unprofessional conduct by a member.

3.5 Complaints should be submitted in writing to the REC which will then designate them to an appropriate officer (the Complaints Officer). Complainants must provide relevant documentation and any documentary evidence supporting the complaint to enable the REC to assess the basis of the complaint and its relevance to the REC codes of practice. Any relationship between the member concerned and the complainant should be divulged.

3.6 The Complaints Officer will notify the member concerned in writing of the nature of the complaint, along with a copy of the complainant’s letter of complaint and any supporting documentation, with a request that the member
responds within 10 working days of the date of sending out the notification. In appropriate circumstances with Complaints Officer may exercise discretion to mediate a settlement between the parties without instituting the formal
Complaints and Disciplinary Procedure. In these circumstances the Complaints Officer may contact either or both parties by telephone or in writing in order to reach an agreed settlement and will document the agreed outcome in writing to both parties within 5 working days of the outcome having been agreed.

3.7 A letter will also be sent to the complainant confirming the action taken and that a response will be sent as soon as possible once received from the member.
3.8 If there is any reasonable doubt about the complainant consenting to the letter of complaint being forwarded to the member, such consent will be sought by telephone or by letter before a copy of the complainant’s letter is forwarded. If the complainant will not give permission, the complainant will be asked to prepare a redraft of their complaint in such terms that they are willing to have sent to the member. If the complainant does not wish to do so the Complaints Officer may decline to take the matter further.

3.9 The REC member must respond to the complaint in writing within 10 working days of the REC’s letter of request to investigate the complaint. If the member is unable to do so, they must notify the REC in writing giving reasons. The REC will at their discretion either extend the period for response to a given date, which shall not be longer than 28 days after the original request to investigate the complaint, or, if in the REC’s opinion the reasons given for the delay do not reasonably justify the delay, it may refer the matter directly to the Professional Standards Committee.

3.10 Upon receiving a response from the member, the Complaints Officer may contact both the complainant and the member to seek further information or clarification of any matters raised. Responses to all correspondence should
be requested and received within a period of 10 working days of the date of the correspondence, or by the date agreed with the Complaints Officer. A member’s failure to respond or co-operate with an investigation may result in
disciplinary action.

3.11 All responses and enclosures received from the member during the course of an investigation will be forwarded to the complainant; and all responses and enclosures received from complainants during the course of an investigation
will be forwarded to the member.

3.12 Upon receiving adequate information with which to make a finding, the Complaints Officer will act in one of the following ways:

i) If the Complaints Officer is satisfied there is no breach of an REC code, a reply to this effect will be sent to both the complainant and the member concerned.

ii) If the Complaints Officer makes a finding that any of the REC codes have been breached, the Complaints Officer will write to both parties to confirm this and to require a specific response from the member concerned in respect of evidence and/or assurances about future conduct. If the member responds with adequate evidence and/or assurances and is reasonably satisfied that standards are in place or improved as a result of the complaint, the Complaints Officer may consider the matter satisfactorily resolved and will write to both parties stating this and that no further action is proposed. If the member’s response is not forthcoming or satisfactory the matter may be referred directly to the Professional Standards Committee.

iii) If the Complaints Officer considers it appropriate to endeavour to resolve the matter informally between the parties, the parties will be given a period of 28 days to reach a resolution with the assistance of the Complaints Officer or independently.

iv) If the Complaints Officer finds that the matter has been resolved between the parties or is near resolution the Complaints Officer may, with the agreement of the REC Managing Director or Deputy, issue a Compliance Order formally requiring the member to take a specific course of action or to give a written undertaking as to the member’s future conduct. If the member fails to respond within 5 working days, the Complaints Officer may without further notice to the parties refer the matter to the Professional Standards Committee for consideration. The Complaints Officer may make recommendations to the Committee who shall act in accordance with this procedure as set out below. In addition, if appropriate, the member concerned may be advised on how the problem might be avoided in the future.

v) If the parties agree on a resolution and the Complaints Officer is satisfied that the complaint has been resolved and that there are no remaining issues relating to the REC codes of practice, the Complaints Officer will write to both parties stating this and that no further action is proposed. Alternatively the Complaints Officer may at his/her discretion pursue any remaining issues relating to REC codes of practice arising from the complaint and not resolved.

vi) If the matter has not been resolved within the period of 28 days from the date of the REC member’s initial response the Complaints Officer may without further notice to the parties refer the matter to the Professional Standards Committee for consideration. The Complaints Officer may make recommendations to the Committee who shall act in accordance with this procedure as set out below.

3.13 If the complainant is not satisfied with the decision of the Complaints Officer in respect of 3.12 above, he/she should state the reasons in writing within 10 working days of the decision and request that the matter be submitted to the Professional Standards Committee which will consider the complaint on the basis of the evidence submitted.

3.14 If found in breach of any of the REC codes, the member should comply with the findings of the Complaints Officer and any requests to provide further evidence of compliance within a period of 10 working days from the date of the Complaints Officer’s final letter. If the member does not accept the findings of the Complaints Officer and wishes to request that the matter be referred to the Professional Standards Committee, the member must appeal in writing within a period of 10 working days from the date of the Complaints Officer’ final letter. The matter will then be referred directly to the Professional Standards Committee and the Committee shall act in accordance with this procedure as set out below.

3.15 No member against which a complaint has been made under the REC Complaints and Disciplinary Procedure will be permitted to resign its membership of the REC prior to the outcome of any investigation under the procedure or prior to the expiry of any disciplinary sanction brought against that member by either the Complaints Officer or the Professional Standards Committee under the Complaints and Disciplinary Procedure. Refusal to co-operate with the Complaints Officer or the Professional Standards Committee may result in further and more serious sanctions under this procedure and/or the matter being referred to the Employment Agencies Standards Inspectorate at the Department of Trade and Industry or other authority as appropriate.

4. The Professional Standards Committee
4.1 The Professional Standards Committee shall consist of not less than four members of the REC delegated by the REC Board to consider complaints against members which cannot be resolved to the satisfaction of the complainant and/or member involved, and/or where disciplinary action appears to be appropriate. The Committee may co-opt up to three additional members. The Chair of the Committee will be appointed by the REC Board.

4.2 REC staff shall attend as appropriate and advise the Committee and shall be responsible for recording the decisions of the Committee. The Committee shall have full power to investigate complaints against members in whatever manner it deems appropriate. The Committee will have a quorum of three members including co-opted members and the Chair.

4.3 The Professional Standards Committee will consider all information and evidence already submitted in a complaint investigation by both parties and the written reasons for an appeal of the Complaints Officer’s findings. All documentation will be sent to Committee members no later than 10 working days before the Committee meeting. The Committee will not or cannot guarantee that they will consider additional information submitted after this point unless this has been specifically requested.

5. Professional Standards Committee - Procedure For Consideration Of Complaints
5.1 The Professional Standards Committee may upon referral of the complaint to the Committee or at any time pending the outcome of the Committee’s consideration of the complaint, require a member to provide a written undertaking not to engage in a particular course of conduct and/or suspend the REC member’s membership if they consider there is sufficient evidence of a breach of the REC codes of practice or the law. Failure to provide an undertaking when requested may result in the Professional Standards Committee, at its discretion, expelling the member from REC membership forthwith. The REC reserves the right to inform the Employment Agencies Standards Inspectorate at the Department of Trade and Industry, or other authority as appropriate, of the matter under investigation at any stage in this process.

5.2 The Professional Standards Committee shall consider the complaint on the basis of any documentary evidence already produced. It may also request further evidence from either the complainant or member concerned and may require the attendance of either or both parties to give evidence in person at the next scheduled meeting of the Committee. The Committee meets quarterly on fixed dates prearranged at the beginning of each year. Where such attendance is required each party is entitled to be represented and may ask questions of any other party present. The procedure to be adopted at such a hearing will be communicated to the parties attending on or before the day of the hearing.

5.3 Alternatively either the complainant or the member may request that the Professional Standards Committee consider the matter at a hearing attended by either or both parties, at the next appropriate meeting of the Committee. Again either party is entitled to be represented and may ask questions of the other parties present. The procedure to be adopted at such a hearing will be communicated to the parties attending on or before the day of the hearing.

5.4 A hearing date will be notified to the parties by the Complaints Officer within 10 working days of the Professional Standards Committee receiving the Complaints Officer’s referral of the complaint under any of the circumstances above. Hearing dates will normally be the next meeting of the Committee. In exceptional circumstances and at the discretion of the Committee a hearing date may be sooner and authority given to not less than three Committee members including the Chair to attend and make decisions as appropriate. Hearings will take place at a venue and at a time to be decided by the Committee. If either party is unable to attend the hearing at the appointed date they must notify the Complaints Officer within 5 working days of the notice of the hearing with written reasons. The Chair of the Committee may at his or her discretion agree to adjourn the hearing to a later date and the Complaints Officer will notify the parties accordingly within 5 working days of this decision. If either party cannot or declines to attend, the Chair of the Committee may at his or her discretion determine that the hearing should proceed in their absence or that if both parties are unable or decline to attend, that the matter will be referred to the next scheduled meeting of the Professional Standards Committee for a decision without a hearing taking place.

5.5 Having reached their conclusion, whether or not at a hearing, the Committee will agree upon the action to be taken against the member, if any. The decision of the Committee shall be agreed by a simple majority of members of the Committee including co-opted members. In the event of a tie the Chair of the Committee shall have a casting vote.

5.6 The Committee may decide the matter in one or more of the following ways:
• That there is no evidence of a breach of the REC codes
• That the complaint is not proven
• That by way of a Compliance Order the member be required to take a specified course of action and/or give a written undertaking as to the member’s future conduct
• That by way of a Reprimand the member should be given a warning about future conduct
• That the member’s resignation should be called for
• That the member should be expelled

5.7 In addition the Committee may require, by means of a Compliance Order or otherwise, that the member consent to an REC Audit being carried out with a view to ensuring compliance with industry regulation and REC codes of practice and determining any corrective action that may be required. The audits will be carried out by a third party appointed by the REC and charged at cost to the member, at a rate per audited branch. An REC Audit when applied as a sanction does not lead to accreditation with REC Audited status.

5.8 If the Committee considers that a decision to expel or call for the resignation of the member may be likely or appropriate
it will invite the member and its representatives to attend a hearing in person at the next scheduled meeting of the Committee or other date as appropriate and as outlined in clause 5.4 above.

5.9 In addition the Committee may make recommendations to avoid a similar complaint in the future and may decide whether to publicise its decision once the period for appeal has elapsed. Decisions of the Committee may be published in the REC membership publications as well as the general recruitment industry press, local press and national press, or by way of a general press release. The publications or methods chosen in any particular case will be at the absolute discretion of the Committee. If the Committee decides to publicise a decision, the parties will be notified of the publications or methods chosen in accordance with clause 5.10 below. If the Committee decides to publicise a decision in which they found there was no evidence of a breach or the complaint was not proven, they will not name the parties to the dispute.

5.10 The decision of the Professional Standards Committee will be notified to the member and the complainant in writing and shall set out the Committee’s reasons for the decision.

6. Appeals
6.1 Either the complainant or the member concerned may appeal the decision of the Committee within 10 working days of the date of the written notification of the decision, if they have grounds to do so on the basis of additional information or evidence not previously submitted or on the basis of a substantiated challenge to the operation of this procedure.

6.2 The appeal shall be heard by an Appeal Panel which shall be appointed from amongst the Fellows of the REC. The Appeal Panel shall consist of not less than 3 REC Fellows who shall nominate one of their number to act as Chair of the Panel.

6.3 Appeals to the Appeals Panel shall be dealt with as follows:

i) Notification of an appeal together with written reasons for the appeal shall be submitted in writing to the Complaints Officer by the party bringing the appeal within 10 working days of the date of the written notification of the decision of the Professional Standards Committee.

ii) Written appeals must set out clearly the grounds for appeal, which must be on the basis of additional information
or evidence not previously submitted or available, or on the basis of a substantiated challenge to the operation of this procedure.

iii) The Complaints Officer will circulate copies of the written reasons for appeal together with any supporting documents to the Appeal Panel and both parties to the appeal, such being the Chair of the Professional Standards Committee or nominated representative and the party submitting the appeal of the Committee’s decision.

iv) The Appeal Panel will consider all information and evidence already submitted during the course of the complaint investigation by all parties and the written reasons for an appeal of the Committee’s findings. All documentation will be sent to Panel members and the relevant parties no later than 10 working days before the Appeal hearing. The Panel will not or cannot guarantee that they will consider additional information submitted after this point unless this has been specifically requested.

v) The Complaints Officer will arrange a hearing date with the appointed REC Fellows upon receiving the written appeal submitted as above and will give both parties to the appeal at least 15 working days’ notice of the date selected. If either party to the appeal is unable to attend the hearing on the date appointed they must notify the Complaints Officer within 5 working days of the date of the notice of the hearing together with written reasons why they are not able to attend on the appointed date. The Appeal Panel may, at its
discretion, agree to adjourn the hearing to a later date and the Complaints Officer will notify the parties accordingly within 5 working days of this decision.

vi) Hearings will take place at a venue and time to be decided by the Appeal Panel and REC staff. The procedure to be adopted at the Appeal Hearing will be communicated to the parties attending on or before the day of the hearing.

vii) The Appeal Panel may at its absolute discretion and by prior appointment visit any office or address connected with the member against whom the complaint has been made. In such circumstances the final decision of the Panel will be deferred until after such visit.

viii)The decision of the Appeal Panel shall be by simple majority vote and shall be final and binding. Where a simple majority cannot be reached the Chair of the Panel shall have the casting vote.

ix) The Appeal Panel may uphold the decision of the Professional Standards Committee, overturn that decision, and/or vary it to any of the alternative sanctions available as outlined in section 5 of this procedure.

6.3 The parties to the appeal and the original complaint will be notified of the decision of the Panel in writing within 10 working days of the decision and of any decision to publicise it. The extent and method of publication will be at the discretion of the Appeal Panel.