If compliance advice or mediation is recommended
For many complaints, we recommend compliance advice or mediation.
Compliance advice is considered the best way to deal with a complaint when little or no detriment has resulted from the behaviour, it is not ongoing, the licensee has no history of compliance problems and there are no wider public interest issues arising from the behaviour.
If we recommend compliance advice
You will be sent a compliance advice letter that lets you know that an issue has been raised. The letter will outline where you went wrong and what you need to do to comply with the Act and the Code of Conduct.
We will also send a copy of the letter to the complainant and to your employer.
We aim to send the compliance advice letter within 2-3 weeks of receiving the complaint.
Mediation is considered to be the best approach when the complaint does not involve issues of wider public interest and is about something that could be resolved between you and the complainant. Both parties must agree to mediation.
There are two types of mediation:
- REA facilitation
- External mediation
Lower level and less complex issues are referred to our in-house facilitation team who assist the complainant and licensee to resolve the complaint. This is done over the phone and will take 2-4 weeks.
Higher level and more complex matters may be referred to external mediators.
Mediation is a process where you and the complainant, with the assistance of an independent mediator, identify the issues, develop options, and consider alternatives to reach an agreement.
If we recommend external mediation
We will inform you in writing about the complaint and you and the complainant will be asked if you agree to mediation. We will organise the mediation and there is no cost to you or the complainant.
We aim to have the complaint resolved through mediation within 5-6 weeks.
If a resolution is agreed
We will write to you and the complainant confirming the outcome of the mediation.
If a resolution cannot be agreed
If no agreement is reached at mediation, we will have another look at the complaint and consider the best way to proceed.