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Complaints Policy

PTEN Research is committed to high standards of governance, ethics and transparency and to responding to complaints from those with whom we interact. We view complaints as an opportunity to learn and improve, in line with the Charity Governance Code 2025. 

This policy tells you how to lodge complaints with us, and how we respond.

 

Contact details

By post to:

  • The Director of Finance & Business Administration, PTEN Research Foundation, 4th Floor, St. James House, St. James Square, Cheltenham, Gloucestershire, GL50 3PR, United Kingdom.

By email to:

 

What this policy covers

This policy covers complaints about:

  • The Foundation’s activities, decisions, communications and staff and trustees’ behaviour.
  • The fairness and transparency of our grant‑making processes and adherence to our published criteria and procedures.
  • How we manage our relationships with funded institutions at a governance level (for example, whether concerns reported to us are taken seriously and escalated appropriately).

This policy does not cover:

  • Scientific disagreements about research findings or academic judgments made through peer review.
  • Issues that fall wholly within a host institution’s legal responsibilities (such as employment, clinical care or research misconduct investigations), which must be dealt with under that institution’s policies.

 

How to make a complaint

You can make a complaint by email or post using the contact details set out at the top of this policy:

  • Please tell us what happened, when it happened, who or what you are complaining about, and what outcome you are seeking; this helps us understand and respond effectively.
  • Complaints should normally be raised within three months of the event, so that information is still available and people’s recollections are clear, although this may be relaxed where it would be unfair to enforce strictly (for example, for patients and families or in other vulnerable situations).

 

Accessibility, confidentiality and data protection

  • Information will be handled in line with data protection law and the Foundation’s privacy notice and shared only with those who need it to handle the complaint or to meet legal, safeguarding or regulatory duties.
  • If your complaint suggests a risk to patient safety, research participants, staff or others, or raises serious concerns about research integrity or fraud, we may share relevant information with host institutions, regulators or other appropriate bodies and will explain this where it is safe to do so.
  • We can provide this policy and complaints information in alternative formats or with reasonable adjustments on request.

 

Stage 1 – Informal resolution

  • Where possible, we will try to resolve concerns quickly and informally, usually by the staff member best placed to help.
  • You will normally receive an acknowledgement within 3–5 working days and, where the matter can be resolved informally, a response as soon as reasonably practicable. 
  • If the issue cannot be resolved informally, or if it is serious or complex, you may ask for it to be treated as a formal complaint under Stage 2.

 

Stage 2 – Formal complaint

Formal complaints are logged by us and overseen by a designated senior staff member who is not directly involved in the events complained of:

  • We will normally acknowledge your formal complaint within 3–5 working days and aim to provide a written response within 20 working days, or will let you know if more time is needed and why.
  • Our response will explain:
    • What we have understood your complaint to be.
    • What enquiries have been made and what information has been considered.
    • The charity’s decision and any actions it will take or has taken.

 

Stage 3 – Review

If you remain dissatisfied with the Stage 2 outcome, you may request a review within 20 working days of our response, explaining why you think the complaint has not been resolved appropriately.:

  • The review will normally be carried out by the chief executive or another senior leader not previously involved; if the complaint concerns the chief executive or raises significant governance or conflict‑of‑interest issues, it will usually be reviewed by the chair or a small panel of trustees. If the complaint concerns the Chair or the board collectively, an independent trustee panel or external reviewer may be appointed.
  • You will receive a written outcome explaining whether the original decision is upheld or changed and the reasons for this.
  • This will normally be the final stage of our complaints process.
  • We aim to provide a Stage 3 review outcome within 20 working days.

 

Complaints about funded research and institutions


If your complaint is about how a funded project is being conducted (including alleged research misconduct, bullying or harassment in a research team, or concerns about how participants or patient representatives are treated), we will usually:

  • Explain our limited role and that legal accountability for the research and staff lies with the host institution under the grant contract.
  • Provide information (where known) on how to contact the institution’s complaints, research integrity or whistleblowing routes, or relevant regulators or professional bodies.

We may ask the institution to confirm that it has appropriate procedures in place and that it is addressing the concerns and may consider whether any action is needed in relation to current or future funding (for example, enhanced monitoring or, in serious cases, suspension or termination of a grant).

 

External escalation

If you have serious concerns that the charity is being mismanaged or that there is risk to its assets, reputation or beneficiaries, you can raise these with the Charity Commission using its “complain about a charity” or “raising concerns” routes.

 

Unacceptable behaviour

  • We understand that complaints may be made in difficult or distressing circumstances: staff will treat complainants with respect and we will not tolerate victimisation or retaliation against anyone who raises a complaint in good faith.
  • However, we may restrict or manage contact where behaviour is abusive, threatening or unreasonably persistent, while still considering any new and substantive issues raised.
  • Any such decision will be taken at an appropriate senior level and communicated to the complainant where safe to do so.

 

Learning and governance

  • We record complaints, including informal complaints that highlight significant issues, and review them periodically to identify themes, risks and opportunities for improvement.
  • Anonymised information on the volume and nature of complaints, and on learning and actions taken, is reported to the board so trustees can oversee trends, address root causes and ensure compliance with the Charity Governance Code’s expectations on accountability, integrity and inclusion.

 

Disclaimer

Nothing in this complaints policy is intended to, or shall, vary, waive or otherwise affect the terms of any grant agreement or other legal documentation entered into between the charity and any grant recipient institution or other third party, and in the event of any inconsistency those legal documents shall take precedence.

 

Last updated

December 2025