Complaints and disciplinary process
What the exam tests
The exam tests the route a complaint takes, the difference between unsatisfactory conduct and misconduct, and the branch manager's role in prevention and response.
Process
A complaint is made to the Real Estate Agents Authority (REAA). It may be referred to a Complaints Assessment Committee (CAC). The CAC can dismiss, find unsatisfactory conduct, or refer serious matters to the Real Estate Agents Disciplinary Tribunal. The Tribunal can impose heavier penalties, including suspension or cancellation. The client care agreement must explain the complaints process and the REAA route.
Penalties
CAC outcomes can include censure, fines, training orders, and orders to rectify. The Tribunal deals with misconduct and can suspend or cancel a licence. Branch managers should cooperate, preserve files, and not pressure a complainant to withdraw.
Worked example
A buyer complains that a salesperson failed to disclose a leak. The branch manager investigates, preserves the listing file and correspondence, and responds factually. If the CAC finds unsatisfactory conduct, the branch manager should treat it as a supervision failure and change the pre-listing checklist. Telling the buyer 'we'll fix it if you drop the complaint' is itself a disciplinary risk.
Traps
- Thinking an internal complaint replaces the REAA process.
- Destroying or 'tidying' files after a complaint.
- Promising an outcome the CAC or Tribunal must decide.
- Failing to record supervision and corrective action.