Purpose

Introduction

1.0 Enquiry and Complaint Characteristics

2.0 Classification at First Contact

3.0 Standard Escalations

4.0 Exceptions to Standard Escalations

5.0 Discretion not to investigate, or not to investigate further

6.0 Member's right to Request Reclassification

Purpose

The purpose of these Procedures is to:

• provide a structure for classifying and resolving matters in a fair, just, economical, informal and expeditious manner
• set expectations for consumers and Members about reasonable timeframes for the resolution of Complaints, and
• ensure the TIO has suitable resources for the  efficient and effective management of Complaints at all levels of complexity. 

Introduction

A matter received by the TIO is classified either as an Enquiry, or a Complaint at one of four classification Levels.

A Complaint is an expression of grievance or dissatisfaction about a matter within the TIO's jurisdiction that the Member concerned has had an opportunity to consider.

An Enquiry is a matter that is not classified as a Complaint.

Where a Complaint remains unresolved, the TIO may escalate it to a higher Level until it is resolved, or until TIO involvement is no longer appropriate.

When a Complaint is escalated the Member will be given a reasonable opportunity to resolve it.

---

1.0 Enquiry and Complaint Characteristics

1.1

The TIO has different classification Levels for matters brought to it by consumers. Each Level can be identified by a number of characteristics, which informs the TIO's classification of matters.

1.2.1

Characteristics of an Enquiry include:

• The Enquiry

• has minimal documentation
• should not take more than an average of 10 minutes of a TIO Officer's time to handle, with an upper limit of 20 minutes, and
• is closed immediately once the work required to handle it is complete.

• The TIO

• will explain to the consumer how the matter will be handled
• will invite the consumer to return to the TIO with more information if it would be relevant to registering a Complaint, and indicate what information might be relevant
• can refer the consumer to a Member as a courtesy
• will refer the consumer to another organisation if it is in a better position to assist
• takes no part in any outcome, and
• does not require notification of an outcome from the consumer or Member.

1.3 Level 1

1.3.1

Characteristics of a Level 1 Complaint include:

• The Complaint

• has minimal documentation
• should not take more than an average of 10 minutes of a TIO Officer's time to handle, with an upper limit of 20 minutes, and
• is closed immediately once the work required to handle it is complete.

• The TIO

• may refer the consumer directly to the Member either by telephone or in writing
• expects the Member to contact the consumer within two business days of receiving any message or contact from the consumer, or to contact the TIO if requested
• expects the Member to resolve the Complaint with the consumer within 10 business days
• has limited input in the resolution process, and
• does not require notification of the outcome, but will accept and add it to the Complaint Record.

1.4.1

Characteristics of a Level 2 Complaint include:

• The Complaint

• should take no more than an average of 60 minutes of a TIO Officer’s time to handle, and
• can be classified directly without requiring a Level 1 Complaint to be registered first.
  

• The TIO

• notifies the Member in writing
• expects the Member to contact it within 10 business days with a proposed resolution to the Complaint
• takes an active role in the conciliation of a resolution, and
• exercises judgment in negotiating, conciliating and assessing the proposed resolution.

1.5.1

Characteristics of a Level 3 Complaint include:

• The Complaint

• should take no more than an average of 120 minutes of a TIO Officer's time to handle
• cannot be classified directly at this Level without first registering a Level 1 or Level 2 Complaint
• can involve substantial research by the TIO or the Member
• can involve complex issues and the need to gather evidence
• can have significant consequences for the consumer, and
• can require the collection of substantial documentation.

• The TIO

• notifies the Member in writing
• formally investigates the complaint
• expects the Member to research the matter and respond in writing within 20 business days, with all requested evidence and information
• in limited circumstances, may seek additional information from the Member, and if it does so, will advise the Member of the expected timeframe to respond, which will depend on the complexity of the information required, and
• may if the amount in dispute is less than $1,200 and if the TIO is able to recover the cost of doing so, make a binding decision or recommendation.

1.6.1

Characteristics of a Level 4 Complaint include:

• The Complaint can involve:

• complex issues or the repeated failure of a Member to resolve an ongoing Complaint at earlier Levels
• an Objection to a carrier exercising its statutory rights with respect to land entry, installation of a low impact facility or maintenance activity
• amounts in dispute of more than $1,200
• matters too complicated to finalise, or that will take longer to resolve than the time limit at Level 3
• a change of Complaint circumstances as a result of the Member's or consumer's actions or conduct during the Complaint process
• further requests for evidence and information that, although previously  requested, has not been provided, and
• substantial research and gathering of evidence and information by the TIO or the Member.

• The TIO

• notifies the Member in writing
• can exercise discretion to expect the Member to respond within a stipulated timeframe depending on the complexity of the matter
• formally investigates the Complaint
• may seek external advice about the Complaint, and
• may make a binding decision or recommendation.

2.1

A matter received by the TIO is classified either as an Enquiry, or a Complaint at one of four classification Levels.

2.2 Enquiries

2.2.1

The TIO Officer will classify a matter as an Enquiry if it appears the consumer has not given the Member an opportunity to consider the matter before contacting the TIO.

2.2.2

The TIO Officer will have regard to the following circumstances when deciding if the consumer has given the Member an opportunity to consider the matter:

The consumer may have:

• attempted to call the Member's Customer Service telephone number and:
  • the number was engaged, or
  • they were kept waiting on hold for an unreasonable length of time

• telephoned, sent an email, fax or letter to their Member and he or she has not received a response within a reasonable period, or

• contacted an agent of the Member, including, but not limited to:
  • the store or dealership where they entered into the telecommunications contract
  • the door to door representative or telemarketing company with whom they entered into the telecommunications contract, or
  • a debt collection agency to whom a debt for a telecommunications service has been sold or assigned.

2.2.3

When assessing if any relevant timeframe is reasonable, the TIO will have regard to whether:

• a reasonable person would consider the timeframe to be appropriate given the circumstances
• the timeframe stated by the consumer meets standards of good industry practice, for example, performance standards under the Customer Service Guarantee, or  
• based on the circumstances, a faster response than what would otherwise be expected should have been given.

2.2.4

The TIO Officer will explain his or her decision to classify a matter as an Enquiry.

2.3.1

The TIO generally registers a Complaint in the name of the Member who is billing the consumer for the service relating to the Complaint.  

2.3.2

If the Complaint involves the transfer or connection of a service, in most circumstances the TIO Officer will register it in the name of the Member from whom the consumer has requested the service.

2.3.3

In exceptional circumstances, or when the Complaint concerns a carrier undertaking land access activity, the TIO Officer can register a Complaint against a Member who is neither billing the consumer, nor gaining their service.

Examples include, but are not limited to, where:

• the consumer is a small business receiving telemarketing from a third party Member, after it has requested that the telemarketing stop, or
• a third party Member has not removed internet codes that are preventing the connection of a new internet service.

2.3.4

Based on the circumstances of the Complaint, and in accordance with these procedures the TIO Officer may classify a Complaint as Urgent.

2.3.5

If the TIO Officer classifies a Complaint as Urgent, he or she will advise the Member when the Complaint is referred, and explain any changes to standard procedure that may apply.

2.4.1

If the matter brought to the TIO at first contact is an Objection or Complaint about:

• the way a carrier is engaging in land entry, installation of a low-impact facility, or maintenance activity
• damage to a carrier's network, or
• damage to a consumer's property or land as a result of a carrier's land entry, installation of a low impact facility, or maintenance activity,

the TIO Officer will decide if TIO involvement is appropriate.

2.4.2

Where TIO involvement is appropriate, the TIO Officer will classify the matter as an Objection or Complaint according to these procedures.

2.4.3

If the TIO Officer decides that TIO involvement is not appropriate, the TIO Officer will explain his or her decision.

3.1

The TIO will notify the Member when it escalates an Enquiry or Complaint to a higher Level and explain the reason for this escalation.

3.2

The TIO will make its best efforts to not escalate a Level 2 Complaint to Level 3 or a Level 3 Complaint to Level 4 for non-response without having first reminded the Member that a response is required.

3.3

When a Complaint is escalated the Member is given a reasonable opportunity to resolve it according to these procedures.

3.4

If the TIO Officer decides that TIO involvement is no longer appropriate he or she will explain this decision.

3.5.1

An Enquiry can be escalated as a Complaint for a number of reasons, including where:

• the consumer had not given the Member an opportunity to consider the matter but has since done so, and no resolution has been achieved
• circumstances have changed, and the matter is now within TIO jurisdiction
• the TIO Officer’s initial assessment in considering the matter to be out of jurisdiction has changed in light of further information
• the consumer provides evidence that the TIO Officer had requested before the matter could be classified as a Complaint, or
• a third party Member who is preventing a transfer of service has been given an opportunity to resolve the matter as a courtesy, but has not done so.

3.5.2

When assessing if an Enquiry could be escalated to a Complaint, the TIO Officer will have regard to various factors, including any of the following:

• the jurisdiction of the TIO
• the circumstances surrounding the Enquiry
• if the consumer is a business, the size of the business
• any new information provided by the consumer or the Member
• the extent to which the consumer has given the Member an opportunity to resolve the matter that gave rise to the Enquiry, or
• the actions of the Member since it was given the opportunity to consider the matter that gave rise to the Enquiry.

3.6 Criteria for Escalation of Complaints

3.6.1

A Complaint can be escalated to a higher Level for various reasons, including where:

• the Member has not suspended credit management on disputed amounts at the TIO’s  request
• the Member has not responded within the appropriate timeframe (below) and the matter remains unresolved
• the Member has responded within the appropriate timeframe at Level 1 but not offered to resolve the Complaint in a fair and reasonable way, and has made it clear that it will not negotiate a different outcome
• the Member is not actively participating in the conciliation process at Level 2
• an agreement between consumer and Member on a resolution to a Complaint at Level 2 cannot be reached and, in the TIO’s view, investigation is required
• the Member has not addressed all questions, or not provided all information asked for by the TIO Officer, and this information is necessary to determine if a fair and reasonable outcome has been offered
• assessment of available information reveals further circumstances that need to be considered
• after assessment of available information the TIO Officer cannot determine that the proposed outcome is fair and reasonable, and the consumer is dissatisfied with the proposed outcome
• the consumer has accepted a Member’s offer to resolve the Complaint, but the Member has not actioned the offer within an appropriate timeframe
• the Member has asked the TIO to escalate the Complaint if, for example, it predicts that the timeframe for resolution is not sufficient or it would prefer the TIO to investigate the Complaint, or
• the Complaint is unresolved, and the time spent or estimated to be spent handling it has exceeded the acceptable limits of the current Complaint Level.

3.6.2

When assessing whether a Complaint could be escalated to a higher Level, the TIO Officer will have regard to various factors, including any of the following:

• the circumstances surrounding the Complaint
• the jurisdiction of the TIO
• any new information provided by the consumer or the Member
• the amount in dispute
• the complexity of the Complaint
• the length of time the Complaint has been ongoing
• the time spent, or predicted time to be spent by the TIO Officer in handling the Complaint
• the number of opportunities the Member has already had to consider or resolve the Complaint, or
• the conduct of the consumer and Member while the Complaint has been in progress.

3.6.3

The following timeframes apply:

• Level 1:
  • when a consumer leaves a voice message at the Member's resolution department, the Member must return this call within two business days
  • the Member must respond to the consumer within two business days of a referral of an Urgent Complaint, and
  • 10 business days in all other circumstances.

• Level 2:
  • 15 business days after the TIO Officer sends written notice to the Member.

• Level 3:
  • 20 business days after the TIO Officer sends written notice to the Member.

3.7.1

When a matter has been classified as an Enquiry or a Complaint, and after further contact from the consumer the TIO Officer decides that the criteria for escalation have been met, he or she may escalate the Enquiry or Complaint.

4.1.1

The TIO Officer may classify a Complaint directly at Level 2 at first contact if he or she considers that:

• the consumer has made several attempts to resolve the matter with the Member
• the Complaint is such that a referral to the Member's resolution department would not contribute to its resolution
• the Complaint is complex
• the Complaint is considered to be Urgent, and involves a degree of immediate action, or
• the Complaint is such that the time the TIO Officer has spent (or predicts he or she will spend) will sufficiently exceed the recommended Level 1 time limit of 10 minutes, with an upper limit of 20 minutes.

4.2.1

When the TIO identifies a number of potential Systemic Problem Complaints, one of the Complaints may be chosen to be a Systemic test case. The Systemic test case can be escalated to Level 3 directly from Level 1.

4.3.1

Objections to the way a carrier engages in land entry, low-impact facility, or maintenance activity that are wholly or in part, within the TIO's jurisdiction to investigate, can be classified directly to Level 4.

5.1

At any time, the TIO Officer can exercise discretion not to investigate a matter, or not to investigate a matter further.

5.2

When the TIO Officer exercises discretion not to investigate the matter at first contact, the TIO Officer will set the consumer's expectations that the matter will not be considered further.

5.3

When the TIO Officer exercises discretion not to investigate a Complaint further at any classification Level, the Complaint remains at that classification Level.

5.4

When the TIO Officer exercises discretion not to investigate, or not to investigate further, the TIO Officer will explain his or her decision to the consumer.

6.1

Members are entitled to ask the TIO to reconsider its classification or escalation of a Complaint, in accordance with the TIO Complaint Handling Procedures - Reclassification Requests.

 

Effective Date: 5 July, 2010

Updated on: 12 January, 2012