Making a Complaint about the FRC
Complaints to which this procedure applies must be directed against the FRC rather than any other organisation or firm; and about the way we have exercised or failed to exercise our functions.
This procedure does not apply to complaints about our relationship with employees or about contractual or commercial disputes involving us.
We might not investigate complaints that could or would more appropriately be dealt with in another way e.g. at a Tribunal or through the courts. We might defer investigating a complaint if it arises from any form of continuing action (such as an investigation by the Professional Discipline team or monitoring by the Audit Quality Review team which is still in progress). In such cases, we will normally wait until the relevant procedures have been concluded.
Who do I complain to?
There are a variety of ways in which you can complain. You can: contact the member of staff with whom you have already had contact. This can be done informally and, depending on the nature of your complaint, that person may be in a position to resolve your complaint quickly. If the matter cannot be resolved in this informal way or if you would prefer to make a formal complaint or would prefer not to deal with the member of staff with whom you have already had contact you can: write to the Chief Executive; or e-mail us at email@example.com. Your letter or email should set out the basis for your complaint, providing as much information as possible.
Is there a time limit for complaining?
No. We will do all we can to look into your complaint regardless of when the complaint is made. However, delays in making a complaint may affect our ability to investigate the complaint e.g. where documents have been destroyed in accordance with records management policies or where relevant staff members have left our employment.
What happens to my complaint?
Once you have made a formal complaint, we aim to send you an acknowledgement within 5 working days. That acknowledgement will confirm who will be responsible for investigating your complaint and responding to you. He or she will be appointed by the Chief Executive and will be a senior member of staff who has not previously been involved in the matter about which you are complaining. We will give serious consideration to the issues you raise.
Where we identify mistakes on the part of the FRC we will acknowledge those mistakes and explain what we intend to do about those mistakes. In certain circumstances an appropriate remedy may be proposed. We expect to respond to complaints within 20 working days of receiving the complaint. The time taken to respond will vary depending on the urgency and complexity of the complaint. If we are unable to respond within 20 working days because, for example, the matters you raise require more detailed work, we will (i) let you know, and (ii) provide updates at periodic intervals.
What if I still disagree?
Once the Chief Executive or one of his appointees has considered your complaint and sent you a response, that represents the FRC’s final position and unless you ask for an external review of their response by the FRC’s Independent Complaints Reviewer, the complaint will be deemed closed. We will acknowledge any further correspondence from you but, unless it raises new issues that we consider significant, we will not send further replies.
You can ask for an external review of our response by the FRC’s Independent Complaints Reviewer (ICR) by emailing firstname.lastname@example.org.
Such requests must be made within one month of the FRC response which is the subject of your request and must relate to a complaint which has been pursued through the FRC’s internal complaints procedure.
The ICR is an external appointee, whose role is to review the way complaints have been handled by the FRC. Matters that the ICR will consider include: poor service delivery (including failure to follow published policies or comply with appropriate standards in respect of speed and accuracy); the way the FRC has investigated a complaint; and a decision by the FRC not to investigate a complaint under its internal complaints procedure. The ICR will (i) consider whether the FRC has acted appropriately and in accordance with its policies in respect of your complaint, and (ii) make recommendations where appropriate regarding how complaints should be dealt with in future cases.