Level 1 FAQs

Q: What is a Level 1 complaint?
A: If a customer contacts the TIO and advises that they have not been able to resolve their complaint with their provider, as long as the complaint is within the TIO’s jurisdiction, this will be deemed to be a Level 1 complaint.

Q: How do I know it is a Level 1 complaint?
A: If you receive a call from a customer who states that they have been referred by the TIO, or if you receive automatic email notification of a complaint, you can assume that the complaint is a Level 1 complaint.

Q: How do I respond to a Level 1 complaint?
A: The TIO does not formally investigate Level 1 complaints. For this reason, once the member receives a Level 1 complaint, either verbally, by email notification or by a written Level 1 letter, the TIO expects the member to contact the complainant within 48 hours of receiving the complaint and attempt to resolve the complaint.

Q: What happens if I do not contact the complainant within 48 hours of receiving the complaint?
A: If the complainant contacts the TIO claiming that the member has not contacted them, the TIO may escalate the complaint to Level 2.

Q: Once I receive a Level 1 complaint, how long do I have to resolve the complaint?
A: You have 14-days to resolve a Level 1 complaint, whether it is made in writing or received over the telephone.

Q: Do I need to advise the TIO of the outcome of the complaint
A: No. The TIO expects the member to negotiate a resolution to the complaint directly with complainant.
Unless the complainant contacts the TIO again, the TIO will assume that the matter has been resolved, or that the complainant does not wish to pursue the complaint.
Please note that if the TIO is required to invest further time either dealing with the complainant or with the member, the TIO may consider escalating the complaint to Level 2.

Q: If I do respond to the TIO after I receive a Level 1 complaint, will this prevent the matter from being escalated to Level 2
A: Although you may choose to send the TIO any correspondence that you send the complainant, or advise the TIO of the outcome of the complaint, this may not prevent the complaint from being escalated.
This is because if the complainant contacts the TIO and advises that they have not been able to resolve their complaint, the TIO may seek information at Level 2 from the member to assist it in resolving the complaint.
It is also noted, and in accordance with the TIO’s case escalation guidelines, that if the TIO is required to invest time assessing information provided by the member then the TIO may classify the complaint as a Level 2 complaint.

Last updated: 28 December 2005