The Complaints Committee The Complaints Committee evaluates the merit of the investigated complaints that are presented to them by the Complaints and Investigations Department. Initially, the department responds to questions and complaints regarding brokers' conduct from the public, other brokers, lawyers, insurance companies and law enforcement agencies. The department also reviews and evaluates the financial reports submitted by brokers, and will carry out random spot checks of every brokerage. (The spot check provides the brokers with the opportunity to receive some helpful accounting and general business information). Every office should be visited at least once over a three to five year period. When a non-financial complaint is received in writing it is handled by the Consumer Complaints Officer. Often the situation is the result of poor communication and is resolved quickly with a few phone calls. In cases that are not resolved by the Consumer Complaints Officer, the file is passed on to a RIBO Investigator. Written notification of complaint is sent to the broker. In the case of employees, notice is also given to the Principal Broker, however, no details of the complaint are released to this person, by reason of confidentiality provisions in the Act. If the Committee believes that the complaint is not supportable, the broker and the consumer are advised and the case is closed. A complaints meeting is informal A complaints panel, which is made up of two brokers and a Public Member, reviews the facts surrounding the complaint and decides if there is sufficient evidence to refer the matter to a Discipline Committee. This Committee can make no other decision. Sometimes the broker will consent to a guilty finding and agree to a penalty. The Discipline Committee must approve any agreement reached on consent.