TIO Annual Report 2004/05

Classifying and escalating complaints

The TIO uses a four-tier complaints classification system.

Level 1 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. Usually 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, and the member has two weeks to resolve them. Most complaints to the TIO are resolved this way.

Level 2 and 3 complaints
If a complaint cannot be informally resolved and it warrants investigation, a formal complaint is raised. A formal complaint requires a written response from the member, along with evidence to support any positions held, and a proposal for resolving the complaint. Formal complaints must be raised at level 2, and usually only progress to level 3 if it is determined that the level 2 has not resulted in a fair and reasonable resolution.

Level 4 complaints
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 Investigation Officer handling the case.

Generally, level 4 complaints will be raised for one or more 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
• the TIO member has failed to respond or has not responded within the appropriate time frame at level 3.

> NEXT Resolving complaints and deciding what is fair and reasonable