Complaint Handling Procedures

1. Complaint handling stages

1.1 Initial Assessment

1.1.1 Jurisdictional assessment

The TIO assesses the jurisdiction of a complaint at the point of lodgement and continues to do so throughout the complaints process.

This ensures that the complaints being handled are within the TIO’s authority as outlined in the Terms of Reference.

The TIO takes an expansive and inclusive view of its jurisdiction to assist consumers and occupiers and address underlying issues and needs.

This approach ensures that the TIO can provide fair, independent, and effective dispute resolution services.

1.1.2 How the TIO ensures Fairness

The TIO pursues fairness through the delivery of our commitment to fairness.

Our commitment is comprised of key components and together these components confirm how we define, measure, enact and determine fairness. The Fairness Commitment is comprised of:

• Fairness Framework
• Quality Framework
• Complaint Handling Procedures
• Good Industry Practice Guides
• Guidance Documents

1.2 Early Case Management

The TIO facilitates the resolution of complaints through its referral process.

When a consumer or occupier contacts us, we may ask for information to clarify the circumstances of the consumer’s or occupier’s concerns.

1.2.2 Enquiries

We will register contact from a consumer or occupier or other person as an Enquiry if we do not have jurisdiction to consider the matter. This includes if:

• the complaint is outside the TIO’s jurisdiction
• the complaint has already been considered by a court, tribunal or other complaint handling body, or by the Telecommunications Industry Ombudsman
• the consumer or occupier became aware of the issues in the complaint more than 6 years prior to contacting the Telecommunications Industry Ombudsman
• the service provider is not a member of the Telecommunications Industry Ombudsman scheme
• if the service provider is not a member but should be. We will take steps to have the provider become a member and then refer the complaint.
• the consumer or occupier does not give us sufficient information to register a complaint, such as contact or complaint details.

We can also exercise discretion to register contact as an Enquiry if:

• we consider that the consumer or occupier does not meet our small business criteria
• we consider that another forum (such as a court or tribunal) is a more appropriate forum to handle the complaint
• we believe the consumer or occupier is making the complaint not in good faith.

1.2.4 First Contact Referral

If the consumer or occupier has not previously contacted the member about the complaint and we have registered an Enquiry, we may refer the complaint to the member and ask it to try to resolve the complaint with the consumer or occupier.

1.2.5 Referral

If the consumer or occupier has given the member a reasonable opportunity to consider the complaint, we will refer the complaint as a Referral.

Where the TIO considers that a consumer or occupier may not be able to or may be disadvantaged navigating their complaint independently, the TIO may assist by managing the Referral.

In these instances, all communication and responses will be channelled through the TIO.

1.3 Unresolved Complaints Steps

1.3.1. Complaints not resolved by Referral

We will contact the consumer or occupier after the Referral period to check if the complaint is resolved.

If the complaint is not resolved, we will ask the consumer or occupier to tell us:

• what the member’s response to their complaint was
• why they are not satisfied with the response
• what the outstanding issues are.

1.3.2 No contact

If the consumer or occupier tells us the member did not contact them after we referred the complaint, and the member has not demonstrated that they had trouble contacting the consumer or occupier, the TIO will progress the complaint to the next stage.

1.3.3 Deciding whether to continuing to handle an unresolved complaint

If a consumer or occupier tells us the complaint remains unresolved after we have referred it to the member, we will decide whether it is appropriate for us to continue to handle the complaint. We can decide to stop handling a complaint at any time, if it is reasonable to do so.

1.3.4 Continuing handling a complaint

If we decide we should continue to handle the complaint, we will identify the outstanding issues when progressing the complaint to Case Management.

1.3.5 Issues Notice

To prepare for Case Management we will notify the parties our understanding of:

• the complaint
• the outstanding issues after referral
• the consumer or occupier’s requested resolution.

We will request the parties respond to the Issues Notice within 10 business days providing all information they rely on to support their response. Members will be required to respond to urgent elements of a complaint within two business days.

The TIO requires active participation from both parties to a complaint. This may be the only occasion the parties will be able to provide information to support their position. Information that was available but not supplied at the time of initial or subsequent requests may not be accepted or relied upon.

If, on reviewing the information received by both parties, the TIO believe it requires further information a request will be made at that time.

1.4 Case Management

At Case Management, the TIO will consider the Issues Notice and the parties’ responses to the Issues Notice to decide next steps. Next steps may include:

• Conciliation
• Issuing a Fair and Reasonable Assessment of the complaint issues, or
• Issuing a Fair Offer Assessment of the complaint issues

1.4.1 Conciliation

Conciliation is a process in which the TIO works with the consumer or occupier and member to try to find a resolution. We can conciliate a complaint by conference call, by speaking to the consumer or occupier and the member in separate calls or in writing via post or email. During Conciliation, the Case Manager may:

• request further information from the parties
• propose suitable resolution options to the parties.

At the end of the conciliation process the Case Manager will either:

• close the complaint as resolved if the parties agree.
• commence a Fair and Reasonable Assessment.
• commence a Fair Offer Assessment, or
• otherwise decide to stop handling the complaint (giving reasons).

1.4.2 Fair and Reasonable Assessment

If a Complaint has not been, or is unlikely to be resolved by agreement, a Case Manager may recommend an outcome based on the information provided in response to the Issues Notice and any information requests the TIO makes.

A Fair and Reasonable Assessment may be provided verbally initially and then in writing. On communicating the Fair and Reasonable Assessment to the parties the TIO will ask the parties to respond.

The Case Manager can give their Fair and Reasonable Assessment verbally to the parties:

• if both accept the Fair and Reasonable Assessment the case will be resolved, and the Case Manager will confirm that in writing
• if either or both parties do not accept the verbal Fair and Reasonable Assessment or ask for it to be put in writing, the Case Manager will write to them setting out their Fair and Reasonable Assessment.

A written Fair and Reasonable Assessment sets out:

• the details of the complaint including the outstanding issues
• the TIO’s view on what a fair and reasonable outcome to the complaint is and how the complaint should be resolved
• the information the Case Manager has considered and relied on
• the reasons for reaching that view.

When we make a Fair and Reasonable Assessment, we consider relevant laws, industry guidelines and good industry practice and what is fair and reasonable in all the circumstances.

We send the Fair and Reasonable Assessment to the consumer or occupier and member and ask both to respond in writing within 10 business days, telling us whether they accept the Fair and Reasonable Assessment or reject it.

Next steps depend on the parties’ responses to the Fair and Reasonable Assessment.

Both parties accept the Fair and Reasonable Assessment

If the consumer or occupier and member both accept the Fair and Reasonable Assessment, we confirm the outcome in writing and expect that each party will carry out any actions recommended in the Fair and Reasonable Assessment. We will then close the Complaint as resolved.

Consumer or occupier does not respond to the Fair and Reasonable Assessment

If the consumer or occupier does not respond to the Fair and Reasonable Assessment within 10 business days, we will close the complaint. We will advise the consumer or occupier that the complaint has been closed and that the member does not have to carry out any actions recommended in the Fair and Reasonable Assessment (but may choose to). We will not consider the Complaint further unless Exceptional Circumstances are present. 

Either party rejects the Fair and Reasonable Assessment

If a party rejects a Fair and Reasonable assessment, they will be required to provide reasons why they disagree for the TIO to review the assessment. A party's disappointment with the outcome alone will not be a sufficient basis for review.

Reasons may include where the party has:

• new evidence has come to light that was not available during the initial investigation and the TIO deems it is more than likely to impact the outcome
• demonstrated that significant error was made in the decision-making process (e.g., misinterpretation of facts or procedural flaws)
• identified mistakes in the handling of the complaint that has impacted the decision
• there was bias or conflict of interest identified in the handling of the complaint.

Information on how to reject the assessment will be provided to both parties when issuing the Fair and Reasonable Assessment.

If sufficient reasons for rejection have been given by either party, the complaint will be referred for review.

1.4.3 Fair Offer Assessment

If a member has made an offer or responded in a way that the TIO considers reasonably resolves the complaint issues, the TIO will give a Fair Offer Assessment to both parties.

A Fair Offer Assessment explains why the Case Manager considers a member’s response is fair and reasonable and it is appropriate to stop handling the complaint.

A Fair Offer Assessment may be provided verbally or made in writing. On communicating the Fair Offer Assessment to the parties, the TIO will ask the parties to respond.

The Case Manager can give their Fair Offer Assessment verbally to the parties:

• if both accept the Fair Offer Assessment the case will be resolved, and the Case Manager will confirm that in writing
• if either or both parties do not accept the verbal Fair Offer Assessment or ask for it to be put in writing, the Case Manager will write to them setting out their Fair Offer Assessment.

A written Fair Offer Assessment sets out:

• the details of the complaint including the outstanding issues
• the reasons for the TIO’s view that the member’s offer or response reasonably resolves the complaint issues
• the information the Case Manager has considered and relied on.

When we make a Fair Offer Assessment, we consider relevant laws, industry guidelines and good industry practice and what is fair and reasonable in all the circumstances.

We send the Fair Offer Assessment to the consumer or occupier and member. The parties have the chance tell us in writing within 10 business days if they accept the Fair Offer Assessment or ask for an Appeal.

Next steps depend on the parties’ responses to the Fair Offer Assessment.

Both parties accept the Fair Offer Assessment

If the consumer or occupier and member both accept the Fair Offer Assessment, we confirm the outcome in writing, and:

• expect that each party will carry out any actions outlined in the Fair Offer Assessment
• close the complaint as resolved.

Consumer or occupier does not respond to the Fair Offer Assessment

If the consumer or occupier does not respond to the Fair Offer Assessment within 10 business days, we will close our file. We will advise the consumer or occupier that the file has been closed, and that the member does not have to carry out any actions outlined in the offer (but may choose to do so). We will not consider the complaint further unless Exceptional Circumstances are present.

Consumer or occupier asks for an Appeal

If the consumer or occupier asks for an Appeal of the Fair Offer Assessment they will be required to provide reasons to support their request. Their reasons must align with section 6.2 of these Operating Procedures and will be considered an appeal request under the Appeals Process.
If the consumer or occupier does not provide sufficient information to support their reasons, the TIO will stop handling the complaint. We will not consider the complaint further unless Exceptional Circumstances are present. 

1.4.4 Decision Process

The Decision Process includes the following types of Decisions:

• Decision
• Temporary Ruling
• Referrals for Non-Compliance.

1.4.5 Decision

If either party rejects an Assessment, the complaint may be referred for review or appeal and then to a Decision Maker.

The TIO will consider the information given by the parties and form a view about how the complaint should be handled or resolved.

In doing so, the TIO may:

• transfer the complaint to case management for further conciliation
• contact the parties to discuss their positions
• ask for more information
• conciliate either via a Conference Call, by speaking to the consumer or occupier and member in separate calls or in writing via email or post
• decide to stop handling the complaint
• decide the outcome of the complaint by issuing a Decision and give directions to the member

The TIO will send the Decision to the parties and ask them to respond within 10 business days. We may publish a Decision.

Next steps depend on the parties’ responses to the Decision.

The parties accept the Decision

• We close the case as resolved.
• The member must comply with all directions in the Decision, and the consumer or occupier must agree in writing not to take the complaint further, if the member complies with those directions.

Consumer or occupier accepts the Decision

• For the consumer or occupier to accept the Decision, they must agree in writing not to take the complaint further, if the member complies with the directions.
• If the consumer or occupier accepts the Decision, the Decision becomes binding on the member and the member must comply with all directions in the Decision.

Consumer or occupier rejects the Decision or does not respond

• If the consumer or occupier rejects the Decision or does not respond to it within 10 business days, we will close our case file and we will not consider the case further. We will only reopen the complaint in Exceptional Circumstances.
• The member will not be required to carry out any directions given in the Decision (but may choose to).

1.4.6 Temporary rulings

A Decision Maker may issue a Temporary Ruling in certain circumstances, while a complaint is being resolved, including the examples listed below. Members must comply with any Temporary Ruling that is made. Temporary Rulings last for 90 days. The TIO may decide to extend a temporary ruling, in this case each extension will be for no longer than a further 90 days.

The TIO might issue a temporary ruling to:

• lift a restriction on a service
• reconnect a service that was disconnected
• remove a default listing from the consumer's credit report
• buy back a debt
• stop legal proceedings to recover a debt
• stop credit management action.

If a member fails to comply with a Temporary Ruling, we will refer the member to the Australian Communications and Media Authority (ACMA) for enforcement action.

1.4.7 Referrals for Non-Compliance

If a member is required to do one or more things because of an agreed resolution or Decision, but does not, the TIO will write to the member requiring it to demonstrate that it has implemented the agreed resolution or the directions in the Decision within five business days.

If the member does not respond or does not demonstrate to our satisfaction that it has done the required things, we will refer the member to the ACMA for enforcement action providing the consumer or occupier consents.

We may also publish the name of the member and details of the non-compliance.

2. Complaint handling processes

2.1 TIO Approaches

2.1.1 Urgent complaint handling

The TIO applies its Extra Support and Flexible Approach policy in situations where a consumer or occupier may be vulnerable or at risk.

In these cases, the TIO will prioritise the complaint and may set a shorter time period for the member to resolve the urgent issues, while observing normal complaint handling timeframes for other elements of the complaint.

Urgent complaints may include:

• medical risk
• safety risk
• business outage creating financial risk
• financial hardship
• loss of finance.

Detailed information can be found in the Extra Support and Flexible Approach Policy.

2.2 Stop handling a Complaint

2.2.1 Exercising Discretion

At any time during Case Management or the Decision process we will stop handling a complaint if:

• we form a view the complaint is outside our jurisdiction
• the consumer or occupier withdraws their complaint
• the consumer or occupier initiates a claim in a court or tribunal or lodges a complaint with another body while we are considering the same matter unless there are Exceptional Circumstances.

We may also decide to stop handling a complaint if we consider it reasonable to do so including where:

• the consumer or occupier dies
• the member ceases to trade
• the parties to the complaint have agreed to a resolution that fully resolves the issues in dispute
• the consumer’s or occupier’s conduct is unreasonable
• the complaint is not made in good faith
• the consumer or occupier does not respond to our request for information or for documents relevant to handling the complaint
• the value of the consumer’s or occupier’s claim for compensation exceeds $100,000
• the complaint is more appropriately dealt with by another body or in another forum
• we are satisfied the member has made a fair offer to resolve the complaint and the consumer or occupier has not accepted the offer.

If we decide to stop handling a complaint for any of these reasons, we will tell the consumer or occupier why.

A consumer, occupier or member may appeal our intention or decision to stop handling a complaint through the Appeal Process.

2.2.2 Insolvency or ceasing trade

The TIO can consider if it is appropriate to continue to handle complaints where a member has informed the TIO that they are ceasing trade due to insolvency.

In the instances where the TIO has been actively considering a complaint when a member notifies the TIO of the appointment of an administrator, liquidator or receiver the TIO will assess whether it is best to continue investigating complaints about this member or refer the consumer or occupier to the appointed party, the Australian Securities and Investments Commission (ASIC) or to seek legal advice. If the situation changes the TIO will contact the consumer or occupier to inform of next steps.

2.2.3 Complaint not made in good faith

The TIO treats all complaints seriously and in return expects those who engage with the TIO services to do so in good faith. Complaints not made in good faith can include complaints raised:

• with the intention of harassment
• with the intention of causing delays
• causing unnecessary expense
• intentionally misleading
• not pursued on genuine grounds.

If the TIO believes that a complaint is not made in good faith it may choose to stop handling the complaint. If the party disputes the TIO’s assessment they can do so through the Appeal Process.

2.2.4 Out of jurisdiction

The TIO handles all complaints in line with the TIO Terms of Reference (ToR). While the TIO makes every effort to determine whether a complaint is within jurisdiction when initially raising a complaint, on some occasions this is only determined once further information is received. Once the TIO has formed an opinion on jurisdiction it will communicate this to all parties.

In some circumstances there will be elements of a complaint that are within the TIO’s jurisdiction while other elements within the same complaint will be out of TIO’s jurisdiction. If this occurs the TIO will communicate with all parties the basis on which it will proceed and what cannot be included.

If either party disputes the TIO’s assessment they can do so through the Appeal Process.

2.2.5 Withdrawing a complaint

Consumers and occupiers can, at any stage of the TIO process, withdraw their complaint. This could be to pursue the complaint elsewhere or if they no longer wish to continue with the complaint.
If a consumer or occupier who has previously withdrawn a complaint returns requesting recommencement of their complaint, the TIO will only reopen the complaint in exceptional circumstances.

2.2.6 Complaint more appropriately dealt with by another body

As an alternative dispute resolution body investigating individual complaints, the TIO's approach may not suit all consumers or occupiers or the nature of the complaints they raise.

The TIO may therefore exercise its discretion not to handle or decline to handle a complaint further, where a complaint would be more conveniently or effectively dealt with by another body.

For example, where a consumer or occupier seeks the sort of remedies that are more appropriately pursued by a court, the TIO may suggest that the consumer or occupier consider seeking legal advice.

Where a consumer or occupier has what appears to be a legitimate complaint but primarily wants to see a member’s business practice investigated as a potential breach of the Australian Consumer Law, the TIO may refer the consumer or occupier to the Australian Competition and Consumer Commission.

If either party disputes the TIO’s assessment they can do so through the Appeal Process.

2.3 Member disputes

2.3.1 Members right to object

Members are entitled to ask the TIO to reconsider its classification of a complaint.

If a member is dissatisfied with the way in which its request or enquiry has been handled, it may lodge a reclassification request in the Member Portal.

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

This entitlement does not extend to complaints where TIO has exercised discretion to bypass referral. Complaints where referral bypass has been correctly raised will not be modified.

2.3.2 Charge Disputes

Members are entitled to dispute the case closure charge for a complaint. In handling this request the TIO will seek to ensure that its guidelines for changing have been appropriately and fairly applied.

While members are entitled to dispute case closure charges, we will generally not reconsider the exercise of discretion to bypass referral.

2.4 Timeframes and time limits

2.4.1 Case handling timeframes

The TIO handles complaints in an efficient and appropriate manner, to do so the TIO sets out timeframes for various steps and processes, these can be found throughout these procedures. In summary the TIO timeframes are:

Referral

Standard Referral

• Impacted Party: Member
• Response expected within: 10 business day

Complaint where there is an urgency identified

• Impacted Party: Member
• Response expected within:
  • 2 business days for the urgent issue
  • 10 business days for any other non-urgent issues

Complaint where consumer or occupier became aware of the issue more than two years previously (currently known as time limit referral)

• Impacted Party: Member
• Response expected within: 20 business days

First contact referral

• Impacted Party: Member
• Response expected within: 15 business days

Case Management Steps

Issues notice

• Impacted Party: Member and Consumer or occupier
• Response expected within: 10 business days

Further information requests

• Impacted Party: Member and Consumer or occupier
• Response expected within: 5 business days

TIO requests for response

• Impacted Party: Member and Consumer or occupier
• Response expected within: 5 business days

Fair and Reasonable Assessments and Fair Offer Assessments

• Impacted Party: Member and Consumer or occupier
• Response expected within: 10 business days

Decision

• Impacted Party: Member and Consumer or occupier
• Response expected within: 10 business days

Complaint where there is an urgency identified

• Impacted Party: Member
• Response expected within: 2 business days for the urgent issue

Appeal Requests

• Impacted Party: Member and Consumer or occupier
• Response expected within: within 10 business days of notification/decision to stop handling

No response follow up

• Impacted Party: Member and Consumer or occupier
• Response expected within: 5 business days

Directions to Implement

• Impacted Party: Member
• Response expected within: 5 business days

Case Management Process

Request for extensions of time - non urgent issues

• Impacted Party: Member and Consumer or occupier
• Time for request:
  • Within 5 business days of due date for a response due in 10 business days
  • Within 2 business days of due date for a response due in 5 business days

2.4.2 Time Limits

In line with our Terms of Reference the TIO can accept a complaint if the consumer or occupier complains to the TIO within two years of first discovering the issue or problem.

If a consumer or occupier complains to the TIO later than two years after discovering the issue or problem, the TIO may still accept the complaint if it is within six years of discovering the issue or problem.

In deciding whether to accept the complaint the TIO will consider the reason for the delay, when the consumer or occupier should have reasonably first discovered the issue or problem and any impact the delay may have on the member.

The TIO will not handle complaints where a consumer or occupier complains to the TIO more than six years after first discovering the issue or should have reasonably discovered the issue or problem.

2.5 Member obligations

2.5.1 Cooperating with TIO processes

The ToR outlines members’ obligations to comply with the TIO Scheme and the timeframes the TIO specifies. This includes responding to our requests in Early Case Management and Case Management, and compliance with TIO Decisions where a consumer or occupier accepts the decision.
Where a member does not cooperate with the TIO processes the TIO will consider what the most appropriate course of action is. This may include considering the systemic nature of issue, possible referral to ACMA for non-compliance or for failure to participate in our processes.

2.5.3 Ceasing credit management on disputed charges

The member must stop all credit management for disputed charges while we are handling the complaint.
When the TIO refers a complaint to the member, it must stop credit management action on disputed charges for the duration of the Referral period, and while the TIO complaint is open.

If a member does not stop credit management after we ask it to, the TIO may issue a Temporary Ruling requiring the member to stop all debt collection and other credit management action for up to 90 days.

Further details on Temporary Rulings are set out in 1.4.6 above.

2.6 Engagement with the processes

2.6.1 Expectations of all parties to act and engage fairly (Engagement Charter)

The TIO expects all users of its services to engage with its processes respectfully and cooperatively to support fair and efficient complaint resolution.

This includes treating staff with courtesy, carefully reviewing information provided, responding within required timeframes and ensuring you are contactable.

The TIO encourages all parties to communicate any specific communication needs promptly. While the TIO is committed to engage respectfully and accommodate individual needs, the TIO must also ensure a safe and respectful environment for all staff.

In situations where the TIO considers a party’s behaviour is not respectful or is unreasonable we will take appropriate steps to address the behaviour.

Members are obliged to comply with the TIO ToR, including representatives and agents of members.

2.6.2 Unreasonable behaviour

The TIO may enact its Engagement Charter in circumstances where the TIO identifies a consumer's behaviour as unreasonable. Enacting the Charter may involve the TIO changing how we interact or restrict access to the TIO’s services. Reasonable attempts will be made to continue to handle the underlying complaint about the member while implementing strategies to manage behaviour.

Examples of unreasonable conduct are:

• unreasonable behaviour
• unreasonable persistence
• unreasonable demands
• unreasonable arguments
• unreasonable lack of cooperation.

If these efforts are not successful in addressing the unreasonable behaviour, the TIO, as a last resort, may decide to stop handling a complaint.

2.6.3 Information we may ask for

In the Issues Notice, the TIO will ask both parties to provide information they have that is relevant to the complaint issues. This may include information gathered historically, during the complaint or when forming an opinion of what is fair and reasonable in the circumstance.

The TIO may consider further information is required to form a view of the fair and reasonable outcome. The type of information required will depend on the nature of the complaint and the claim and may include:

• the member’s customer records
• fault reports and fault repair records
• billing information
• call records
• contracts
• statements of recollection from people involved in the issues in dispute (including member staff or agents)
• emails, text messages, letters, online chat and other communications between the parties
• financial information.

When the TIO asks a consumer, occupier or member for information, we will inform both parties when it is due.

The consumer, occupier and member must provide the information within the timeframe we give (usually five or 10 business days), unless:

• Providing the information would breach an obligation of confidentiality owed to a third party, and that party will not consent to its disclosure (we may ask for evidence of this)
• Providing the information would breach a court order or would breach a current law enforcement investigation
• The information does not exist, or the party cannot obtain it.

2.6.4 Handover of Complaints

The TIO seeks to keep complaints with the same TIO staff member if practicable. This minimises 'double handling' and ensures consumers and occupiers receive a consistent, personalised service.

Where a complaint warrants escalation, it may be necessary for the matter to be passed between TIO staff.

Where a staff member becomes unavailable to progress a complaint, the TIO may reallocate the complaint to another staff member.

Generally, the TIO will not reallocate a complaint to another staff member if a request from a consumer or occupier has been made.

Instead, the TIO offers a Feedback process for consumers or occupiers if they wish to raise service concerns about the handling of their complaint.

The TIO may exercise discretion to reallocate where we believe there is a risk to the staff member.

2.7 Requests for extension of time

2.7.1 TIO’s approach to requests for extension of time

The TIO will consider all requests for more time. In determining whether it is reasonable to provide an extension of time the TIO will consider the circumstances which led to the request. All requests for extension of time must be made before the end of the timeframe originally provided.

2.7.2 TIO considerations when granting extensions

The TIO will consider all requests for extensions of time to respond. In forming a view on whether it is reasonable to grant more time, the TIO will assess the reasons given for the request, the impact on the other party of granting additional time, the impact on the party requesting of not granting it.

2.8 Not providing information

2.8.1 Consequences of not providing the TIO with information requested

Where a consumer, occupier or member do not supply information in response to a request, we may progress the complaint with the information we have available to make an Assessment or Decision.

If a consumer, occupier or member does not give a reasonable explanation for not giving us information we ask for, the TIO may draw inferences from a party’s failure to provide information, including that the party does not have information to support its position, or its information supports the other party’s position.

In some instances where requested information is not provided, we may decide to stop handling the complaint.

If a consumer or occupier or member repeatedly fail to comply with our requests for information during Case Management and the Case Manager has issued an Assessment, we may decide that it is not fair to accept any further information that was reasonably available but not provided at the time of the request.

2.9 Multi-party complaints

2.9.1 Complaints involving more than one member

Some complaints involve more than one member. Examples of these include:

• Problems transferring services from one member to another, such as delays or lost numbers
• Complaints that services have been transferred without the consumer’s authorisation
• Complaints relating to the connection of premises, supply of broadband services and minimum broadband speeds under the Statutory Infrastructure Member rules (in Part 19 of the Telecommunications Act 1997)
• Complaints where an occupier’s property is damaged by a carrier who attends the property at the request of a member
• Complaints about unsafe carrier infrastructure on an occupier’s land, where the member is not the carrier.

Usually, we will register the complaint with the consumer’s current service member (that is the service member who bills the customer), but where we consider that this is not appropriate, we will decide which member is most appropriate to deal with the issues raised.

In some cases, we may decide that a complaint needs to be registered to two members.

2.9.2 Complaints involving more than one individual

TIO broadly defines a consumer as an individual person or a company who is a small business or not for profit. As such, we typically only handle complaints raised by one individual.

2.10 Representation in case handling – third party authorisation

2.10.1 Third party authorisation

The TIO accepts complaints from authorised representatives on behalf of individuals or businesses. An authorised representatives is someone who has permission from the consumer or occupier to deal with a complaint for them. The TIO can accept written and verbal authorisation and will inform the party of the appropriate method in their circumstance.

The TIO does not require an individual’s or business’s permission for third party authorisation at the Referral stage of the TIO processes except for credit report agencies.

Before Investigating a complaint, the TIO will confirm:

• The person contacting the TIO is authorised by the consumer or occupier
• The consumer or occupier knows that the representative will share personal and complaint information with us, which we will then pass onto the service member.

In circumstances where a person is unable to authorise a representative due to incapacity or death the TIO will generally request official documentation prior to proceeding to satisfy ourselves that representation is sufficient.

2.10.2 How long can representation last?

Representation only covers the individual complaint. If further complaints are raised new authorisation paperwork will be required.

2.10.3 Revoking representation, consumer or occupier’s requests or TIO decision

A consumer or occupier may revoke third party representation at any time. The TIO requests that this is requested in writing and should clearly state the consumer or occupier’s decision to revoke representation and where applicable, nominate an alternative representative or confirm their intention to handle the complaint personally.

The TIO may also revoke third party representation, at its discretion, if there are concerns about misconduct, behaviour of the representative, conflict of interest or if the TIO believes the representative is not acting in the consumer’s or occupier’s best interests. In such cases the consumer or occupier will be informed in writing and provided an opportunity to nominate another representative if required.

2.10.4 Persons with legal standing of the consumer or occupier

The TIO can accept complaints from consumers or occupiers and any person authorised to act on their behalf. This may include but is not limited to:

• A person appointed as an attorney (under Power of Attorney)
• Executor or Administrator of a Deceased Estate
• Administration or liquidator or Receiver for a business
• Bankruptcy Trustee
• State Trustee
• Legal Guardian
• Body Corporate.

2.10.5 Deceased estates

The TIO can handle complaints regarding deceased estates. Generally, the TIO will deal with executors of administrators in complaints regarding deceased estates or any other person who has been nominated by the executor or administrator through the TIO’s Third Party Authorisation processes.

To progress a complaint, the TIO will generally seek to obtain any of the following documentation before proceeding to evaluation:

• Grant of Probate
• Administration Orders
• Death Certificate and proof of next of kin
• A Will listing the representative as the executor.

The TIO recognises that in some communities, when a death occurs, decision making for that person may rest with elders, religious leaders or family consensus rather than formally appointed executors. The TIO is also mindful that some cultures observe specific mourning periods or rituals that may delay formal estate administration. The TIO will afford flexibility and consideration in these circumstances.

2.11 Reopening complaints

2.11.1 Reopening a complaint

Where the TIO has told a consumer or occupier that we intend to stop handling a complaint, requests for appeal must be made within 10 business days. We will only consider appeal requests on limited grounds.

If a consumer or occupier does not request an appeal, we will not reopen the case unless the consumer or occupier can demonstrate Exceptional Circumstances for reopening the case.

2.12 Legal actions

2.12.1 Legal actions during a TIO complaint

Once a member is advised that a complaint has been raised with the TIO, the member must not take legal action about the complaint in a court, tribunal or alternative dispute resolution forum unless we have told the member we are no longer handling the complaint, we did not handle the complaint within a reasonable time, or legal action is likely to prevent significant harm or damage to property.

2.12.2 Legal actions following a TIO complaint

Once the TIO has finalised its complaint the member is free to commence or recommence legal actions if the complaint is not resolved.

2.12.3 Legal representation

Parties are entitled to, but not required to, obtain legal representation. Where consumers or occupiers do obtain legal representation, the TIO will deal directly with the legal representative where that is the consumer or occupier’s preference. The TIO will not cover the legal costs incurred by a consumer or occupier if they choose to engage legal representation to participate in the TIO process.

Consumers or occupiers should not feel disadvantaged because they do not have legal representation.

2.13 Information requests and sharing

2.13.1 TIO approach to information sharing

The TIO will make the information it relied upon in our decisions available to all parties and expect that information requested and provided by each party can be shared upon request or in the event of making a decision. We may not collect or share information where the information provided is not relevant to the complaint or the TIO’s decision.

A member should consider all information provided to the TIO for purposes outlined in the ToR will be shared with the consumer or occupier on request or if a decision is being made.

2.13.2 Personally and commercially sensitive information

The TIO's complaint handling procedures are designed to ensure that consumers and occupiers and providers can participate effectively in the complaint resolution process. This includes being given a reasonable opportunity to review and respond to any evidence or information that may affect the way in which the TIO assesses the complaint.

However, the TIO must balance the need to provide transparency in its case handling with the legitimate concerns of parties that certain information be treated as confidential, and therefore not be provided to the other party to the dispute. The TIO will consider any request that information be treated confidentially on a case-by-case basis, having regard to all the circumstances of the case.

On occasion, the TIO receives documentation from members that is marked “commercial in confidence”, or words to that effect. In deciding whether to share such information with a consumer or occupier, the TIO will have regard to any “commercial in confidence” markings, or other requests to keep information confidential.

If a member is not prepared to agree to the TIO sharing the information they provide, the TIO may choose to not consider it as part of its Fair and Reasonable Assessment or Decision where TIO considers not allowing the other party to respond to the information would be unfair.

2.13.3 Privacy Policy and requests for information

The TIO’s Privacy Policy includes information about how we handle personal information as part of our functions and activities, which are: 

• resolving phone and internet complaints
• handling land access objections
• sharing our insights on the telecommunications industry.

The privacy policy also sets out how we handle personal information as part of our business activities, how we keep personal information secure, and how our website collects information.

Consumer and occupiers can request access to personal information the TIO holds about them. This can be done by:

• making the request through the case manager
• calling 1800 062 058
• emailing [email protected]

2.13.4 When the TIO will accept information

To ensure the TIO is performing its role and meeting its obligations in an efficient way we require all information to be relied upon by either party is provided and exchanged as early in the complaint process as possible. The TIO will generally ask for all information to be supplied to us during the period of Issues Notice. Any information that was available at the time of the initial request for information via an Issues Notice but not shared at that time may not be accepted or relied upon. Exceptions to this requirement will only include requests for information made by the TIO deemed as necessary through investigation or any information that was not reasonably available at the time of request.

2.14 Special circumstances and flexible approach

2.14.1 Flexibility and accessibility

The TIO is committed ensuring our service is inclusive and that we tailor the handling of complaints to suit the individual circumstances of each case. The ToR confirms that we are to deliver a service that is accessible, independent, fair, accountable, efficient and effective and in accordance with the Benchmarks for Industry-Based Customer Dispute Resolution.

2.14.2 How TIO applies flexible approaches

The TIO demonstrates flexibility in special circumstances by modifying or tailoring standard processes. Examples of this may include:

• bypassing referrals
• modifying or extending timeframes
• communicating in alternate ways

This ensures staff are trained to be identify individual circumstances and act accordingly.