TIO Annual Report 2005/06

Classifying and escalating complaints

The TIO’s Enquiry and Investigation Officers routinely exercise the Ombudsman’s powers to investigate complaints under delegation. The guidelines are intended to regulate the exercise of these discretionary powers and are developed by the Ombudsman in consultation with the TIO Council. The guidelines are published on the TIO’s website.

Complaints classification system

The TIO continues to use a four-tier complaints classification system - Levels 1 through to 4. The TIO’s approach to complaint handling, particularly in relation to Level 2 complaints, underwent a significant change during the latter part of 2005/06. The classification and escalation of complaints is governed by guidelines developed by the TIO and approved by Council.

Level 1 complaints
The majority of complaints to the TIO are initially classed as Level 1 complaints and are referred back to the member, either orally or in writing, to give the disputing parties a final opportunity to resolve the complaint through discussion and negotiation without formal TIO intervention. Once a member is notified of a Level 1 complaint, either by the TIO directly or by the complainant, the member has two weeks to resolve the complaint by liaising with the complainant directly. Most complaints to the TIO are resolved in this way. In 2005/06, 91.1% of complaints to the TIO were resolved at Level 1, a pleasing one percentage point increase on last year.

Level 2 complaints (a last chance at resolution)
If a complaint cannot be resolved at Level 1, either because the TIO determines that the proposed outcome is not fair or reasonable, or because the TIO has not sighted enough evidence to determine whether the proposed outcome is fair or reasonable, a complaint is raised to Level 2. In the past Level 2 complaints have been investigation focused, involving the preparation of detailed correspondence to members and complainants requesting specific evidence, asking targeted questions, and highlighting potential Australian Communications Industry (ACIF) code breach issues.

However, in the latter half of 2005/06, after an internal review of investigations procedures, the TIO decided to adopt a more consultative cum conciliatory approach to Level 2 complaints, focusing on liaising with members and complainants and directed towards complaint resolution rather than issue analysis and evidence gathering. The TIO’s view was that in many cases the latter served only to complicate issues, allocate blame and not address resolution of the complaint. The new procedure still involves the preparation of written correspondence to the complainant and member, but it focuses on the member proposing a resolution to the complaint and involves the TIO actively facilitating resolution through conversations with the member and complainant.

To date the process seems to be progressing well and feedback from staff, members and complainants has been positive. It is important to note that the new process does not rule out the TIO’s decision-making or evidence-gathering role, which comes into play if a proposed resolution is not fair and reasonable. In assessing the latter, the TIO still has regard to the law, TIO position statements, what is fair and reasonable given the individual circumstances of a complaint, and ACIF codes. However, ACIF codes are no longer formally investigated at Level 2 to determine whether breaches are confirmed. Only possible ACIF code breaches are recorded at Level 2.

In 2005/06, 7.3% of all complaints to the TIO were raised to Level 2, a figure slightly below that of last year (7.7%).

> Classifying and escalating complaints continued