TIO Annual Report 2003/04

Summary of Complaint Handling Performance

Classifying and Escalating Complaints

The TIO uses a four-tier complaints classification system.

Level One Complaints

As an alternative to the courts and more formal legal processes, the TIO aims to assist disputing parties work together to resolve their complaints. Often this will involve the oral referral of a complainant to a TIO liaison area within the Member company. These are classed as Level 1 complaints, which the Member has two weeks to resolve with the complainant directly.

Level Two, Three and Four Complaints

If a complaint cannot be resolved informally and the TIO decides that it warrants further investigation, a Level 2 complaint is raised. This requires written notice to and a response from the Member, along with evidence to support any positions held, and a proposal for resolving the complaint. Until recently the TIO could raise a Level 3 complaint directly without it going through Level 2 if a matter remained unresolved when a complainant first sought the TIO’s assistance. In the second half of this year the TIO amended its case-escalation guidelines so that formal complaints must be raised as Level 2 in the first instance.

These can only progress to Level 3 if the TIO determines that the Level 2 has not resulted in the resolution of the complaint in a manner that is fair and reasonable, or where cost-recovery issues require escalation. This change is seen as more equitable and ensures that Members are given every reasonable opportunity to resolve a matter without the TIO having to make a binding determination.

A complaint can be escalated to Level 4 only with the approval of the Ombudsman, and on the recommendation of the Deputy Ombudsman, Disputes Officer and Investigations Officer handling the case. Generally, Level 4 complaints will be raised for one or more of three reasons:

• attempts at resolution have failed and the preliminary view is that the Ombudsman should make a Determination in favour of the complainant;
• the amount of investigative resources already invested at Level 3 exceed cost-recovery; and
·

• the TIO Member has failed to respond or has not responded within the appropriate timeframe at Level 3.