Client Complaints

Required permission: complaints.view (Compliance and Support groups); closing requires complaints.close (Compliance group)

Client complaints are governed by Regulation 16 of the Notaries Public Professional Practice Regulations 2026. All complaints must be handled within the prescribed timeframe and documented for regulatory purposes.

Complaint Flow

Client submits complaint (from their portal)
  → Complaint appears in admin queue with status: Open
  → Admin reviews and investigates
  → Admin closes complaint with outcome
  → Client is notified of the outcome

Opening a Complaint

Complaints arrive automatically when a client submits one through the platform. You cannot manually create a complaint on behalf of a client from the admin portal.

Investigating a Complaint

1. Go to Complaints in the sidebar
2. Open a complaint
3. Review:
   • Client's description and supporting evidence
   • The session in question (link to session detail)
   • Notary's response (if provided)
4. Use the session evidence pack and signing compliance view to corroborate facts

Closing a Complaint

1. Select an outcome:
   • Upheld — the complaint is valid; take remedial action
   • Not Upheld — the complaint is not substantiated
   • Resolved by Agreement — parties reached a settlement
2. Enter detailed closure notes — these are part of the regulatory record
3. Click Close Complaint

The client receives an email with the outcome and your notes.

Remedial Actions (when upheld)

Depending on the nature:

• Issue a refund (process via Billing)
• Suspend the notary pending further investigation
• Refer to NPN if the complaint alleges professional misconduct
• Escalate to legal counsel if litigation is threatened

Regulatory Timeframe

Record Retention

Complaint records are retained for 6 years per the platform data retention policy, even if the associated user account is later closed or anonymised.