Date: March 2025

Complaints Policy and Procedure

R3 is committed to providing a quality service for its members and works in a transparent, open and accountable way that builds the trust and respect of all of our stakeholders.

One of the ways in which we can continue to improve our service is by listening, and responding to, the views of our members, customers and stakeholders and, in particular, by responding positively to complaints and by seeking to put matters right.

The R3 complaints policy and procedure is intended to ensure that all complaints are handled fairly and consistently.

We take all complaints seriously; if there are times when you feel that R3 has fallen short of our usual high standards of service we will follow the defined procedure set out below whenever we receive any expression of dissatisfaction about our work or a member of R3 staff.

Complaints may also be made under this policy regarding the work of any R3 committee or committee member.

R3 operates with the support and co-operation of our network of volunteer regional and national committees. If you wish to make a complaint about the behaviour of a volunteer, R3 member or an attendee at an R3 event or training course please follow the separate complaints process as set out in Appendix 1.

Please note that R3 is not a regulator. If you wish to make a complaint about the work or professional practice of any member of R3 please refer firstly to their employer's complaints policy and their regulatory body (if there is one).

The scope of our complaints procedure

Although we are happy to receive your feedback we may choose not to respond to complaints that are:

-          About something to which we have no connection.

-          Pursued unreasonably. If we have already responded we will provide information on the next stage of the escalation process but may choose not to reply again.

-          Clearly abusive, prejudiced or offensive in their manner.

-          Incoherent or illegible.

-          Clearly sent to us and numerous other organisations as part of a bulk mailing or email.

-          Made anonymously. There may be instances however where we will undertake further investigations into complaints submitted anonymously and use the information to improve in any way that we can.

We also appreciate that in certain circumstances a complaint should be stopped if it has become unhelpful to you as the complainant and to us.

Complaints process

Stage 1:

We recognise that many concerns will be raised informally, and it is our aim to deal with these informal concerns in a timely manner.

In the first instance you should write (or email) the member of staff who dealt with you, or their line manager, so that they have an opportunity to put things right. Full details of all staff may be found on the R3 website https://www.r3.org.uk/about-r3-insolvency-restructuring/about-r3/meet-the-team/

Full details of R3 regional and national committees may be found on the R3 website https://www.r3.org.uk/community/ . If your complaint is about the work of a volunteer committee, or committee member, please write (or email) in the first instance to the relevant committee chair.

In your communication you should set out the details of your complaint, who has been involved and the consequences for you as a result.

If concerns cannot be satisfactorily resolved informally, please submit a formal complaint to [email protected] . Please provide details of your complaint, including any attempts to resolve matters informally.

You may be contacted to provide further information or clarification to support your complaint.

You can expect your complaint to be acknowledged within 5 working days of receipt. You should get a response and an explanation within 15 working days, excluding Bank Holidays.

Where a complaint has been raised with a volunteer committee chair and they consider that the complaint should be forwarded to an R3 member of staff to consider then you will be notified of that fact. The member of staff will then have 15 working days from receipt of the forwarded complaint to respond to you.

Should you wish to make a complaint about the R3 CEO, please note that such matters will, upon receipt, be referred directly to the R3 President.

Stage 2:

If you are not satisfied with the initial response to the complaint, then you can write to the R3 CEO and ask for your complaint and the response to be reviewed. You can expect an acknowledgement of your request within 5 working days of receipt and a response from the CEO within 15 working days, excluding Bank Holidays.

Stage 3:

If you are not satisfied with the subsequent reply from the CEO, then you have the option of requesting an escalation of your complaint to the R3 President, stating why you are dissatisfied with the outcome. You must do this within 10 days of receiving the written response from the CEO.

The R3 President will normally respond within 10 working days of receipt, excluding Bank Holidays.

In dealing with the complaint the R3 President may bring the matter to the attention of R3 Council. The R3 President's decision, or of Council if referred to Council, is final.

A complainant's responsibility under this policy is to:

-          Bring their complaint, in writing by letter or email, to R3's attention within 8 weeks of the issue arising.

-          Explain the problem as clearly and fully as possible, including any action taken to date.

-          Accept the time period stated by R3 in dealing with the matters.

-          Recognise that some circumstances may be beyond R3's control.

R3's responsibility will be to:

-          Acknowledge the formal complaint in writing by letter or email.

-          Respond within a stated period of time.

-          Deal reasonably and sensitively with the complaint.

-          Take action where appropriate.

Confidentiality

Except in exceptional circumstances every attempt will be made to ensure that both the complainant and R3 maintain confidentiality. However, the circumstances giving rise to the complaint may be such that it may not be possible to maintain confidentiality (with each complaint judged on its own merit). Should this be the case, the situation will be explained to the complainant.

Monitoring and reporting

R3 Council will receive an annual report of complaints made and their resolution.

Appendix 1

Making a complaint about the behaviour of an R3 member or attendee at an R3 event or training course

Please be aware that R3 cannot deal with complaints about a members' work or professional practice. Complaints of this nature should be directed in the first instance to their employer or professional regulatory body.

Attending an R3 event or training course should be an inclusive and enjoyable experience. R3 seeks to ensure that this is the experience of all as far as possible, however there is a collective responsibility to contribute to a safe and supporting environment at these events. All attendees, whether an R3 member or a guest, are expected to familiarise themselves with, and adhere to, R3's Behaviour at events policy. This policy is made available to all attendees prior to an event, whether organised nationally by R3 staff or regionally through a regional committee.

The R3 Behaviour at events policy applies to all R3 events, whether ticketed or free to attend.

Attendees are expected at all times to act in a way that is consistent with R3's commitment to the application and promotion of equity, diversity and inclusion at all R3 events or training courses.

Attendees are expected to always maintain a level of professionalism during R3 events and training courses. All events, regardless of the nature of the event are within a professional environment and attendees are representing their workplace and the profession. The standards of behaviour expected are therefore those of the profession within which our members operate.

This complaints policy sets out the process to be followed should you wish to make a complaint about the behaviour of an attendee at an R3 event or training course.

Complaints under this process may only be made if you attended the event yourself and consider that you were impacted by the behaviour of the individual complained of.

Scope of this complaints policy

R3 is a membership body. The remedies open to us include the following::

-          Verbal or written warning to the perpetrator of the behaviour.

-          Request for them to leave the event or training course.

-          Limitations on future attendance at R3 events or training courses.

-          Removal of R3 membership, where this is applicable.

Please note that should the individual whose behaviour is being complained of not be an R3 member, the remedies available to R3 are limited.

The venue where the R3 event or training course is being held may have additional requirements as to expected standards of behaviour.

Should the behaviour complained of involve any perceived criminal activity the police should be contacted directly at the time of the incident. If appropriate the matter may be reported by R3 to the Police or other relevant authorities.

The sort of complaints which we are able to deal with would include the following:

-          Bullying, harassment or sexist, racist or exclusionary comments

Harassment includes (but is not limited to):

-          Offensive or belittling comments related to sex, gender identity, sexual orientation, disability, age, physical appearance, body size, race, ethnicity, nationality or religion/beliefs.

-          Inappropriate physical contact, sexual attention or innuendo.

-          Violence

-          Aggression

-          Sustained disruption of talks or other events or training

-          Deliberate intimidation

-          Stalking

-          Photographing or recording of an individual in an inappropriate manner.

Process for making a complaint regarding an attendee's behaviour at an R3 event or training course

In the first instance the individual should make a member of the event or training course organising committee aware of the incident at the time. If an R3 member of staff is present they should be the first contact for the complainant. If no R3 member of staff is present or available then a committee member present should be contacted. We aim to initially address any complaints informally and promptly, ideally at the time and place they arise.

Full details of the behaviour complained of should be given to the R3 member of staff or committee member facilitating the event, including the name and contact details of the individual making the complaint.

The R3 member of staff or committee member will decide on immediate steps to take which may include asking the attendee complained of to leave the event. Full details of the attendee should be obtained first by the R3 member of staff or committee member.

In any event, the complaint should be made within 2 weeks of the R3 event or training course. If made after the event the complaint should be emailed to [email protected]  Full details of the event or training course should be given and also full details of the behaviour complained of. Any relevant details of the impact of the behaviour or steps taken post the event should also be given.

We will acknowledge your complaint within 5 working days and provide an estimated timeline for a full response.

You may be approached and asked to provide further information about the incident or clarification of any matters.

A full response will be provided in any event within 15 working days of the complaint being received, excluding Bank Holidays.

If you remain dissatisfied with our response you have the option to escalate the matter by submitting a formal complaint to the R3 CEO.

Appeal:

If you are still not satisfied with the outcome after the CEO consideration then you can appeal the decision. Such appeals should be made to the R3 President. Where there is considered to be a conflict of interest the President may refer the matter another member of Council. An appeal should set out why you believe relevant matters were not taken into consideration, or how the proposed outcome does not resolve the matter. The President's (Council members') decision is final.

You may ask for your complaint to be withdrawn at any time.

Confidentiality

Except in exceptional circumstances every attempt will be made to ensure that both the complainant and R3 maintain confidentiality. However the circumstances giving rise to the complaint may be such that it may not be possible to maintain confidentiality (with each complaint judged on its own merit). Should this be the case the situation will be explained to the complainant.

Removal of R3 membership

R3 has a process in place by which the R3 Membership Committee considers issues which may affect an individual member's fitness to continue their membership of R3. This may include situations where the member's behaviour is considered to have brought R3 and/or the restructuring, turnaround and insolvency profession into disrepute. The R3 Membership Committee may request full details of complaints received about an R3 member's behaviour at an event or training course and this may be considered when looking into an individual's continued membership. Recommendations may be made to R3 Council which will make the ultimate decision as to whether an individual's membership be terminated or not. It should be noted that such consideration may not be considered to be appropriate to share with a complainant under this policy.