25. CLOSURE OF COMPLAINTS AND ENQUIRIES

25.1 Enquiries and Complaints not formally investigated

As Enquiries and Level 1 Complaints are not formally investigated by the TIO, they are closed as soon as they are dealt with. Where a Level 2 Complaint is raised for administrative purposes only, it too is closed after initial handling.

When the TIO formally investigates a complaint, the case stays open until the TIO has finalised its investigation.

25.2 Complaints resolved through conciliation

When a complaint is resolved through conciliation and the TIO is satisfied that all parties have agreed on a particular outcome, the TIO closes the complaint at that point. The TIO notifies both parties in writing.

If the TIO has TIO formed the view that a Member's response to a complaint may be fair and reasonable, it contacts the complainant to discuss the proposed resolution (and follows up in writing). The TIO allows the complainant a period of 21 (at Level 2) or 28 (at Level 3) days within which to respond to indicate their degree of satisfaction with the proposed resolution. If the complainant does not respond within that time-frame the TIO will close the complaint.

The TIO subsequently notifies the Member in writing that the complaint has been closed, and supplies a copy of the TIO's advice to the complainant.

25.3 Complaints where discretion exercised not to investigate further

Where the TIO has examined both parties' version of events and exercises its discretion not to investigate a complaint further, the TIO will write to the complainant and allow them 21 (at Level 2) or 28 (at Level 3) days within which to respond and present additional information or otherwise address whether he/she may be prejudiced by the TIO not proceeding with the complaint.

Where the complainant does not respond within the time-frame or, after consideration of the complainant's response, the TIO maintains the view that further investigation is not warranted, the complaint will be closed and the complainant will be notified in writing.

The Member is subsequently notified in writing that the complaint has been closed and supplied with a copy of the TIO's advice to the complainant.

25.4 Complaints resolved through determination or direction

Where the TIO makes a binding decision, a Release Form is sent to the complainant with a copy of the Determination. The complainant is provided with 28 days within which to accept, by signing the Release Form, or to decline to accept the TIO's decision. If the latter option is chosen, or in the absence of any response from the complainant, the case will be closed and the complainant is free to pursue the matter through another court or tribunal. A closure letter is sent to both the Member and complainant advising that no further action will be taken by the TIO.

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