Complaints

Complaints Handling Procedure

4.1 Where the authorised person supplies a Relevant Consumer, the authorised person must at all times have in place a Complaints Handling Procedure and comply with its terms in respect of each Complaint it receives.

4.2 The authorised person must when receiving and handling Complaints take into consideration a Relevant Consumer's situation, including if they are in a Vulnerable Situation and must take such additional steps as it considers necessary or appropriate with a view to, as appropriate, assisting that person and resolving the relevant Complaint in an appropriate and prompt manner.

4.3 The authorised person must provide its Complaints Handling Procedure to a Relevant Consumer in Writing before it enters into a Supply Contract with the Relevant Consumer and the authorised person must provide a copy of its Complaints Handling Procedure, free of charge, to any Relevant Consumer who requests a copy.

4.4 The authorised person must ensure that its Complaints Handling Procedure appears or is signposted at a prominent and accessible location in each building it supplies, on its Website (where appropriate), and/or on in-premises meter display units. The Complaints Handling Procedure must also be sent to all Relevant Consumers in Writing not less than annually.

4.5 The Complaints Handling Procedure must:

4.5.1 be in plain and intelligible language;

4.5.2 allow for Complaints to be made by any reasonable means, including:

(a) orally (by telephone or in person at the authorised person's business premises);

(b) in Writing; and/or

(c) digitally;

4.5.3 allow for Complaints to be progressed through each stage of the Complaints Handling Procedure orally (by telephone or in person at the authorised person's business premises), in Writing and/or digitally;

4.5.4 describe the steps which the authorised person will take with a view to investigating and resolving a Complaint, including where that involves co- ordination with another authorised person, and the likely timescales for each of those steps;

4.5.5 provide for an internal review of an existing Complaint where a complainant indicates that they would like such a review to occur because they are dissatisfied with the handling of that Complaint;

4.5.6 inform a Relevant Consumer of the names and contact details of the main sources of independent help, advice and information that are available to them. For these purposes a source of help, advice and information shall be independent if it is independent of authorised persons, any Relevant Dispute Resolution Body and the Authority;

4.5.7 describe a Relevant Consumer's right to refer a Complaint to the Relevant Dispute Resolution Body:

(a) on and from the point at which the authorised person formally notifies a Relevant

Consumer that it is unable to resolve the Complaint to that Relevant Consumer's

satisfaction; or

89 Decision Heat networks regulation: authorisation conditions

(b) after the expiry of the applicable time period specified in paragraph 4.20 for

resolving the Complaint;

4.5.8 set out the different remedies that may be available to a Relevant Consumer under the Complaints Handling Procedure in respect of a Complaint, which remedies must include:

(a) an apology;

(b) an explanation;

(c) the taking of appropriate remedial action by the authorised person; and

(d) the award of compensation in appropriate circumstances.

Information to be provided to Relevant Consumers

4.6 Where a Complaint has not become a resolved Complaint by the end of the first Working Day after the day the Complaint was first received by the authorised person, the authorised person must as soon as reasonably practicable (unless it has already done so in respect of the relevant Complaint):

4.6.1 direct the complainant to the Complaints Handling Procedure on its Website (where appropriate) or other suitable alternative; and

4.6.2 offer to provide a copy of the Complaints Handling Procedure to the complainant free of charge.

4.7 If a Relevant Consumer reasonably requests that the information to be provided pursuant to paragraph 4.6 of this authorisation condition is delivered to them in a specific format, the authorised person must comply with such a request free of charge as soon as is reasonably practicable, having due regard to the Equality Act 2010 and a Relevant Consumer's Personal Characteristics.

Recording Complaints

4.8 Upon receipt of a Complaint the authorised person must record in an electronic format the following details:

4.8.1 the date that the Complaint was received;

4.8.2 whether the Complaint was made orally, in Writing and/or digitally;

4.8.3 the identity and contact details of the Relevant Consumer making the Complaint or on whose behalf the Complaint is made;

4.8.4 the account details of the Relevant Consumer making the Complaint or on whose behalf the Complaint is made;

4.8.5 a summary of the Complaint;

4.8.6 a summary of any advice given or action taken or agreed in relation to the Complaint;

4.8.7 whether the Complaint has become a resolved Complaint and, if so, the basis upon which the authorised person considers that the Complaint is a resolved Complaint; and

90 Decision Heat networks regulation: authorisation conditions

4.8.8 the method for future communication (if any) that has been agreed with the complainant.

4.9 Where any subsequent contact is made with the authorised person in relation to an existing Complaint that authorised person must, upon receipt of that subsequent contact, record:

4.9.1 the date of that contact;

4.9.2 whether the subsequent contact was made orally, in Writing and/or digitally;

4.9.3 whether the complainant making the subsequent contact is the same complainant as, or different to, the complainant who made the original contact regarding an existing Complaint and, where different, the identity and contact details of the complainant making the subsequent contact;

4.9.4 a summary of that contact;

4.9.5 a summary of any advice given or action taken or agreed in response to any points raised in that contact;

4.9.6 whether the Complaint has become a resolved Complaint and, if so, the basis upon which the authorised person considers that the Complaint is a resolved Complaint; and

4.9.7 the method for future communication (if any) that has been agreed with the complainant.

4.10 All details recorded in accordance with paragraph 4.9 must be clearly linked to an existing Complaint.

4.11 For the purposes of paragraphs 4.8 and 4.9, a Complaint or any subsequent contact shall be treated as having been received by the authorised person:

4.11.1 where the Complaint or subsequent contact is made orally (by telephone or in person at the authorised person's business premises), at the time at which it is received by that authorised person; and

4.11.2 where the Complaint or subsequent contact is made in Writing and/or digitally and:

(a) it is received before 1700 hours on a Working Day, on the Working Day that it is

received by that authorised person; or

(b) it is received by the authorised person after 1700 hours on a Working Day or at

any time on a day that is not a Working Day, on the first Working Day

immediately following the day upon which it is received by that authorised person.

4.12 Where a complainant claims to have made a Complaint in respect of a matter but it is not possible to identify a relevant existing Complaint, the authorised person must record the fact that it is unable to trace the existing Complaint.

4.13 Where the authorised person has recorded that a Complaint is a resolved Complaint but subsequent contact from a complainant in relation to that Complaint indicates that it is not a resolved Complaint, the authorised person:

4.13.1 must record details of this change in the Complaint's status in its recording system;

4.13.2 must as soon as reasonably practicable after becoming aware of the fact that the Complaint is not a resolved Complaint:

91 Decision Heat networks regulation: authorisation conditions

(a) direct the complainant to the Complaints Handling Procedure on its Website

(where appropriate), in Writing or, if requested, provide a hard copy; and

(b) offer to provide a copy of the Complaints Handling Procedure to the complainant

free of charge; and

4.13.3 shall not otherwise be entitled to treat that Complaint as a resolved Complaint for the purposes of this authorisation condition until that Complaint is demonstrably a resolved Complaint.

Referral of Consumer Complaints

4.14 The authorised person must put in place appropriate arrangements to deal effectively with Complaints from a Relevant Consumer where it is not reasonable to expect them to pursue the Complaint on their own behalf.

4.15 If a third party, including a Relevant Consumer Advice Body, refers a Consumer who is:

4.15.1 a Relevant Consumer in circumstances in which paragraph 4.14 applies;

4.15.2 a Domestic Consumer in a Vulnerable Situation; or

4.15.3 a complainant on behalf of a Domestic Consumer in a Vulnerable Situation,

to the authorised person, that authorised person must take such additional steps as it considers necessary or appropriate with a view to, as appropriate, assisting such a person and resolving the relevant Complaint in an appropriate and prompt manner.

4.16 The authorised person must put in place appropriate arrangements to deal effectively with referrals from a third party, including a Relevant Consumer Advice Body, of Complaints and, if appropriate, complainants.

4.17 The arrangements required by paragraph 4.16 must set out a process by which consumer advisory bodies, including Relevant Consumer Advice Bodies, may make such referrals to the authorised person.

Signposting to third party support

4.18 The authorised person must notify the Relevant Consumer of the matters set out in paragraph 4.19 in the circumstances set out in paragraph 4.20.

4.19 A notice sent in accordance with paragraph 4.18 must notify the Relevant Consumer:

4.19.1 of their right to refer the Complaint to a Qualifying Redress Scheme and, where applicable, the First-Tier Tribunal;

4.19.2 that the Qualifying Redress Scheme and, where applicable, the First-Tier Tribunal process is independent of the authorised person;

4.19.3 that the Qualifying Redress Scheme is free of charge to the Relevant Consumer and to any other category of complainant;

4.19.4 of the types of redress that may be available under a Qualifying Redress Scheme and, where applicable, the First-Tier Tribunal;

4.19.5 that the Complaint may be handled as a group Complaint in accordance with the terms of the Qualifying Redress Scheme and/or First-Tier Tribunal;

4.19.6 how group Complaints are handled pursuant to the terms of that Qualifying Redress Scheme and/or First-Tier Tribunal; and

92 Decision Heat networks regulation: authorisation conditions

4.19.7 that any outcome of the Qualifying Redress Scheme and, where applicable, the First-Tier Tribunal process is binding upon the authorised person but not upon the Relevant Consumer or any other category of complainant.

4.20 The authorised person must send a notice to a Relevant Consumer in accordance with paragraph 4.18 on the earlier of:

4.20.1 the first Working Day after the day (if any) upon which that authorised person becomes aware that it is not able to resolve a Complaint to that Relevant Consumer's satisfaction; and

4.20.2 the date which is:

(a) eight (8) weeks after the relevant Complaint was first made, if unresolved, unless

that date falls on a day that is not a Working Day, in which case the first Working

Day thereafter, for referrals to the Energy Ombudsman; or

(b) twelve (12) weeks after the relevant Complaint was first made, if unresolved,

unless that date falls on a day that is not a Working Day, in which case the first

Working Day thereafter, for referrals to the Housing Ombudsman or;

(c) within a reasonable period of time after the relevant Complaint was first made if it

remains unresolved, for referrals to the First-Tier Tribunal.

Allocation and maintenance of adequate resources for handling Complaints

4.21 The authorised person must:

4.21.1 receive, handle and process Complaints in an efficient and timely manner; and

4.21.2 allocate and maintain such level of resources as may reasonably be required to enable that authorised person to receive, handle and process Complaints in an efficient and timely manner and in accordance with this authorisation condition.

4.22 The authorised person must ensure that there are sufficient and suitably qualified staff to manage Complaints in accordance with their Complaints Handling Procedure. Complaints handling staff must:

4.22.1 have access to staff at all appropriate levels to facilitate prompt resolution of Complaints;

4.22.2 have appropriate authority and autonomy to resolve Complaints promptly and fairly; and

4.22.3 be able to explain in plain and intelligible language to a Relevant Consumer what the Complaints Handling Procedure entails.

Recording and publication of Complaints data

4.23 In addition to recording information in accordance with paragraph 4.8, the authorised person must keep an electronic record of the matters specified in paragraph 4.24 below for each Complaint which it receives where that Complaint has not become a resolved Complaint by the end of the Working Day after the day on which the Complaint was first received.

4.24 The matters which must be recorded in accordance with paragraph 4.23 are:

4.24.1 the steps the authorised person has taken in response to each such Complaint, including any steps it has taken to resolve that Complaint;

4.24.2 the date (if any) upon which any such Complaint became a resolved Complaint;

93 Decision Heat networks regulation: authorisation conditions

4.24.3 the date (if any) upon which the specified time period for resolving the Complaint expired; and

4.24.4 the date (if any) upon which the Relevant Consumer who made the Complaint, or on whose behalf the Complaint was made, was informed of their right to refer the Complaint to a Qualifying Redress Scheme and/or First-Tier Tribunal in accordance with paragraph 4.18.

4.25 All information recorded pursuant to this authorisation condition must:

4.25.1 be categorised in a clear and precise way such that the Authority may review and audit the recorded information in an efficient manner; and

4.25.2 retained for at least five (5) years from the date of recording such information.

Interactions by third parties with the authorised person in respect of Complaints

4.26 Where the authorised person believes that a Complaint is the fault of or otherwise arises from or is attributable to the standards of service, actions or inactions of one or more other authorised persons, the authorised person must refer it to such other person(s) and provide to them as soon as reasonably practicable:

4.26.1 sufficient information and data regarding the relevant Complaint to allow the Complaint to be fully investigated and resolved; and

4.26.2 a copy of its Complaints Handling Procedure.

4.27 Where paragraph 4.26 applies, the authorised person must:

4.27.1 use all reasonable endeavours to co-operate with other relevant authorised persons to provide a complete response to the relevant Complaint in accordance with its Complaints Handling Procedure; and

4.27.2 at all times remain the single point of contact for the Relevant Consumer in relation to the relevant Complaint.

When a Complaint becomes a resolved Complaint

4.28 For the purposes of this authorisation condition, a Complaint becomes a resolved Complaint when there remains no outstanding action to be taken by the authorised person in respect of that Complaint and the Complaint been resolved to the satisfaction of the Relevant Consumer who made that Complaint or on whose behalf that Complaint was made.

94 Decision Heat networks regulation: authorisation conditions