Sunday 5 February 2012

Contents of module

Section 7: Complaints

Introduction

In a highly competitive situation, complaints can be expected. Regulators must anticipate that this will happen and should set up a suitable process to deal with them. Some of the considerations that should be taken into account are included in this Section.

Sources of Complaints

With telecoms being an issue that affects all sectors of the community, most governments allow complaints from as wide a section of the community as possible. This includes:

  • telecoms operators;
  • telecoms suppliers;
  • government agencies;
  • industry groups; and
  • individual users.

Method of Complaint

Most countries lay down a procedure by which complaints can be made. Often, this involves the completion of a form that elicits standard information together with an invitation to provide further information specific to the complaint.

Dealing With Complaints

It is considered important by most jurisdictions that the procedure for dealing with a complaint is not only set out clearly but is also strictly adhered to. For the convenience of all concerned, many jurisdictions produce a flow chart showing the procedure, and this is made widely available4.

When dealing with a complaint, the regulator may need access to documents from any of the parties involved. Frequently, these documents are confidential and/or commercially valuable. The regulator must ensure that such documents remain privileged and are not disclosed to third parties.

Formulating Decisions

Having been provided with all the relevant information relating to the complaint, the regulator must formulate a decision based on the documentation provided, relevant market information and the relevant legislation. However, it is common practice to inform the parties of a preliminary view first, together with the reasoning that led to that view, for their comment.

When such comment has been received and considered, the regulator is in a position to make a final decision, based upon all available information.

Right of Appeal

Despite measures taken to ensure that all relevant evidence is available, and decisions are made on a sound legal basis, regulators are inevitably subject to criticism for the decisions that they take. With so much at stake, it is not surprising that organisations will object to decisions that are not in their favour.

There is therefore a need for a right of appeal so that the matter can be reviewed by an independent party to ensure that the regulator’s decision is reasonable. This appeal process, like every other aspect of the complaints procedure, should be conducted in an open and transparent manner. It must not, however, be such that the players are allowed to use it as a delaying tool or as a means to cause delay and thus to stifle competition.

Case Study

OFTA operates an open and transparent complaints procedure where the stages are all clearly set out. A flowchart showing the procedure is included at Appendix II

Further Reading

A comprehensive description of a complaints mechanism is produced by Tasmania’s Government Prices Oversight Commission (GPOC)under the title National Competition Policy - Competitive Neutrality Principles - Complaints Mechanism Guidelines.

This document is written to support the country’s National Competition Policy, and deals with its complaints mechanism for alleged violations of competitive neutrality principles. However, the process is equally applicable to other circumstances.

Of particular interest is the flowchart at Appendix 5 of that document which gives a graphical representation of the procedure. A similar flowchart could be developed for other types of complaint, with appropriate amendment of the detail.