18. COMPLAINT ESCALATION

18.1 Introduction

Unresolved Complaints may be escalated (or 'upgraded') to a higher level in accordance with the Complaint Escalation Guidelines; these are summarised in section 18.2 below. By way of example, escalation may occur where referral back to the Member has failed to resolve a complaint, or where a previous investigation has failed to bring about a resolution that is satisfactory to both parties.

Complaint escalation need not be cumulative, with the exception of Level 4 Complaints which can only be escalated from Level 3 unless the complaint relates to a land access objection. By way of example, a Level 1 Complaint can be escalated to Level 3, whereas a Level 4 Complaint must be escalated from Level 3 unless it pertains to a company exercising its land access powers.

A Member is billed for all Complaints logged against it, regardless of how many times the complaint is escalated.

18.2 Complaint Escalation Guidelines

Complaints may be escalated to a higher level for one or more of the following reasons:

1. a Member has not responded to a Complaint within the given timeframe and the complaint remains unresolved, and/or
2. a Member does not address all questions presented to it by the TIO and this information is necessary for the TIO to understand and/or resolve the complaint, and/or
3. the Member has not provided documentation requested of it by the TIO and this information is necessary for the TIO to understand and/or resolve the complaint, and/or
4. after assessment of the available information, the TIO does not agree that the Member's response, or the outcome achieved so far, is fair and reasonable in all the circumstances, and/or
5. the initial investigation reveals further circumstances that need to be explored or considered, and/or
6. the cost of the investigative work, including the time spent on a complaint, justifies escalating to the next level.

The Complaint Escalation Guidelines form part of a broader document called the TIO Complaint Classification and Escalation Guidelines.

• Complaint Classification and Escalation Guidelines (html)
• Complaint Classification and Escalation Guidelines (PDF)

18.3 Handover of Complaints

The TIO has a policy of keeping complaints with the same TIO Officer if practicable. This minimises 'double-handling' and also ensures complainants receive a consistent, personalised service. Where a complaint warrants escalation it may be necessary for the matter to be passed from an Enquiry Officer to an Investigation Officer.

To ensure the TIO is able to provide both an efficient call-handling service and a high level of expertise in its investigation of complaints, the investigations area is divided into Enquiry and Investigation Staff. Both types of Officers work together in multi-skilled workgroups to allow for the seamless handover of complaints as required.

Both Enquiry and Investigation Officers handle Enquiries and Level 1 Complaints. With the exception of 'urgent delay' Complaints, Enquiry Officers hand over to Investigation Officers complaints that warrant escalation (or classification higher than Level 1) once they have received and assessed all necessary information and documentation. In such cases it is the Investigation Officer who determines the level to which a complaint should be raised.

Investigation Officers retain ownership of complaints as they are escalated from one level to another unless they are handed over exclusively to the Systemic Complaints Officer as 'systemic issue' complaints, or to the Disputes Officer or Ombudsman as Level 4 Complaints. 'Systemic issue' Complaints are explained below in section 18.5.

18.4 "Urgent delay" Complaints

Failure to resolve "urgent delay" complaints within 48 hours of referral of Level 1 complaints to a Member will result in the escalation of complaints against the Gaining Service Provider to Level 2 or 3. The only exception to this is where the Member concerned is still operating within the applicable industry time-frames for the particular type of service change.

The TIO will not escalate complaints about "delays" that fall within the following timeframes:

Nature of transfer request	Time-frame*
Landline services (where both the local and long distance parts of the service are transferring)	15 business days
Long distance component of a landline service only	5 business days
Mobile services/numbers	2 business days
Connect outstanding	8 business days**

*from the date the application is made
**from the date "proof of occupancy" is provided

When the TIO does escalate "urgent delay" complaints to Level 2, we ask Members to try to resolve complaints and to contact us within 48 hours of receiving notification of the complaint. If necessary, the TIO will provide the Member with contact details for the losing service provider to facilitate resolution of the complaint.

Unlike other complaints, "urgent delay" complaints can be escalated to Level 2 by both Enquiry Officers and Investigation Officers, who retain ownership of cases until resolution. (Any associated claims for compensation are usually handled as separate complaints after the delay is rectified.)

Further escalation of "urgent delay" complaints is in accordance with standard escalation guidelines. Complaints that are escalated to Level 3 are handled by an Investigation Officer.

18.5 Requests for additional information from Member

If additional information is required from a Member for the TIO to complete its investigation, the TIO will usually upgrade the complaint if it is at Level 2. However, if the complaint is at Level 3, the TIO will usually submit a request for additional information from the Member which does not involve an additional charge but requires a response within 7 days.

18.6 Recharging

18.6.1 Enquiry/Level 1 complaints

Where a complainant re-contacts the TIO in relation to the same complaint and:

• the amount of time spent by the TIO as a result of the additional contact is greater than 5 minutes; and
• the complaint does not warrant immediate escalation in accordance with the Complaint Escalation Guidelines,

the Enquiry or Level 1 Complaint will be re-charged to account for the additional time spent by the TIO. Where contact is greater than 40 minutes, consideration is given to reclassifying a Level 1 complaint to Level 2. The Member will be formally notified where reclassification occurs.

Generally, no recharging occurs where a Member contacts the TIO about an existing Level 1 complaint. However, where such contact (and any additional time spent by the TIO as a result) takes more than 20 minutes, the complaint will be recharged at Level 1. Where contact is greater than 40 minutes, consideration will be given to reclassifying the complaint to Level 2. Again, the Member will be formally notified where reclassification occurs.

Recharging should never occur for Level 2/3/4 complaints whether they are open or closed.

18.6.1 Complaints referred at Level 2

Complaints referred at Level 2 (because of the amount of time spent by the TIO in handling the matter) may be recharged at level 2 or upgraded to Level 3 to allow for a formal investigation to proceed.

18.7 Members' rights to object

Members are entitled to ask the TIO to reconsider its classification or escalation of a complaint. These requests should in the first instance be directed to the Enquiry or Investigation Officer handling the complaint and will be considered on a case-by-case basis.

If a Member is dissatisfied with the way in which its request or enquiry has been handled, it may ask that the matter be referred to the Member Communications Adviser for consideration.

In handling requests for downgrade, the TIO seeks to ensure that its guidelines for classification and escalation have been appropriately and fairly applied.

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