Regulation 4 Recording complaints upon receipt
Upon receipt of a consumer complaint a regulated provider must record in a written, electronic format the following details:
the date that the consumer complaint was received;
whether the consumer complaint was made orally or in writing;
the identity and contact details of the relevant consumer making the consumer complaint or on whose behalf the consumer complaint is made;
where the regulated provider who receives the consumer complaint holds a licence under section 7A(1) of the Gas Act 1986 or under section 6(1)(d) of the Electricity Act 1989 or both, the account details of the relevant consumer making the consumer complaint or on whose behalf the consumer complaint is made;
a summary of the consumer complaint;
a summary of any advice given or action taken or agreed in relation to the consumer complaint;
whether the consumer complaint has become a resolved complaint and, if so, the basis upon which the regulated provider considers that the consumer complaint is a resolved complaint; and
the method for future communication (if any) that has been agreed with the complainant.
Where any subsequent contact is made with the regulated provider in relation to an existing consumer complaint that regulated provider must, upon receipt of that subsequent contact, record:
the date of that contact;
whether the subsequent contact was made orally or in writing;
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 consumer complaint and, where different, the identity and contact details of the complainant making the subsequent contact;
a summary of that contact;
a summary of any advice given or action taken or agreed in response to any points raised in that contact;
whether the consumer complaint has become a resolved complaint and, if so, the basis upon which the regulated provider considers that the consumer complaint is a resolved complaint; and
the method for future communication (if any) that has been agreed with the complainant.
All details recorded in accordance with paragraph (2) must be clearly linked to an existing consumer complaint.
For the purposes of paragraphs (1) and (2) and Regulation 5, a consumer complaint or any subsequent contact shall be treated as having been received by a regulated provider:
where the consumer complaint or subsequent contact is made orally (by telephone or in person at the regulated provider's business premises), at the time at which it is received by that regulated provider;
where the consumer complaint or subsequent contact is made in writing (including by email) and it is received before 1700 hours on a working day, on the working day that it is received by that regulated provider;
where the consumer complaint or subsequent contact is made in writing (including by email) and it is received by the regulated provider 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 regulated provider.
Where a complainant claims to have made a consumer complaint in respect of a matter but it is not possible to identify a relevant existing consumer complaint, the regulated provider must record the fact that it is unable to trace the existing consumer complaint.
Where a regulated provider has recorded that a consumer complaint is a resolved complaint but subsequent contact from a complainant in relation to that consumer complaint indicates that it is not a resolved complaint, the regulated provider:
must record details of this change in the consumer complaint's status in its recording system;
must as soon as reasonably practicable after becoming aware of the fact that the consumer complaint is not a resolved complaint:
direct the complainant to the complaints handling procedure on its website; and
offer to provide a copy of the complaints handling procedure to the complainant free of charge;
must take account of that consumer complaint in any report which it is obliged to prepare and publish in accordance with Regulation 11; and
shall not otherwise be entitled to treat that consumer complaint as a resolved complaint for the purposes of these Regulations until that consumer complaint is demonstrably a resolved complaint.