Guidelines
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Case Handling, Investigation and Resolution Guidelines
The Public Transport Ombudsman (PTO) has developed Case Handling, Investigation and Resolution Guidelines (the Guidelines) to assist PTO officers, scheme members’ staff and persons who make complaints.
The purpose of the Guidelines is to provide a commonly understood framework for how the PTO will handle cases. The Guidelines encourage informality and the prompt resolution of complaints. They also provide fair procedures for handling complaints. Included in the Guidelines is information about:
- - how the PTO assesses what is fair and reasonable when dealing with a complaint
- - the steps PTO officers will take to assist persons with special needs to participate in PTO investigations, including
young persons, persons with disabilities and persons who have a low English proficiency - - how the PTO promotes privacy and confidentiality in dealing with complaints.
There are 12 Guidelines – a summary of each is set out below. If you require further information about any Guideline, or would like a full copy of a Guideline, please contact the PTO.
GUIDELINE 1 – RECORDING CASES: This Guideline sets out recording rules for PTO cases, to make sure the PTO has accurate and reliable data on complaints.
GUIDELINE 2 – NON-MEMBER CASES: This Guideline provides information about how the PTO refers persons to other organisations where their complaint is not about public transport services of PTO scheme members.
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GUIDELINE 3 – REFER TO MEMBER CASES: Sometimes a person will make a complaint to the PTO without first approaching a public transport operator. When this happens, the PTO must refer the person to the operator, so that the operator has the first opportunity to resolve the complaint. This Guideline provides a procedure for these referrals.
GUIDELINE 4 – OTHER CASES NOT INVESTIGATED BY THE PTO: The PTO is not permitted to investigate some specific types of cases, including about ticket prices, complaints under the consideration of a court or tribunal, or infringement notice appeals. This Guideline sets out how these matters are handled. It also includes:
- - how the PTO will decide whether out of time complaints (those that are received more than 6 months after the
public transport operator’s decision) will be accepted for investigation - - the circumstances where the PTO may decline to investigate a complaint – for example, because the complaint
has not been made in good faith. - - the person making the complaint must be contacted by the public transport operator within 24 hours to
acknowledge receipt of the referred complaint - - a substantive response must be provided to the person within 7 working days
- - a copy of the response must be provided to the PTO
- - if the person remains dissatisfied with the operator’s response, or if no response is provided, the PTO may
investigate the complaint.
GUIDELINE 5 – REFER TO MEMBER FOR INTERNAL ESCALATION: Sometimes, where a person is not satisfied with the response they have received to their complaint, the best approach is to have the matter reviewed directly by a senior manager. The PTO has established a protocol to refer some complaints, with the agreement of the persons making the complaint, to senior managers within public transport operators. For these matters:
GUIDELINE 6 – PTO INVESTIGATIONS: This Guideline outlines how the PTO investigates complaints. It includes how the PTO obtains information, assesses responses, and makes decisions. It also outlines how complaints are settled, and what happens when a complaint cannot be resolved. The PTO has developed an information sheet, Public Transport Ombudsman Investigations, which includes much of the information in this Guideline.
GUIDELINE 7 – RE-OPENING AND REVIEWING CASES: The PTO will re-open and review cases in some circumstances, including at the request of scheme members and persons who make complaint. This Guideline set out when and how reviews are conducted.
GUIDELINE 8 – CONCILIATION CONFERENCE: Sometimes, the best way to resolve a complaint may be for the parties to meet in a formal conciliation conference facilitated by the PTO conciliator. A conciliation conference allows the person making the complaint and the operator to put their perspectives, explore resolution options and reach an agreed outcome. This Guideline outlines the procedures and rules for conciliation conferences.
GUIDELINE 9 – BINDING DECISIONS: Where at the end of an investigation a complaint is not resolved, the Ombudsman may resolve a complaint by making a binding decision. This Guideline sets out when and how binding decisions are made, including procedures to make sure each party has an opportunity to put all information before the Ombudsman.
GUIDELINE 10 – SYSTEMIC ISSUES: This Guideline – which is currently being revised – sets out the procedures for dealing with complaints which affect, or may affect, persons other than the person who has made the complaint.
GUIDELINE 11 – CASE ESCALATION: Public transport operators are required to provide information to assist in PTO investigations. Where operators fail to provide timely or complete information, a case may be escalated, and an additional payment levied on the operator. This Guideline sets out when and how cases are escalated.
GUIDELINE 12 – AUTHORISED OFFICER COMPLAINTS: We have developed a Guideline to assist in dealing with some very particular issues for complaints about authorised officers – including ticket inspectors and revenue protection officers. This Guideline includes procedures for:
- - consulting with other agencies such as Ombudsman Victoria and Victoria Police
- - securing all relevant information, include CCTV records, as promptly as possible.
Public Transport Ombudsman Code of Conduct
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Complaints about the Public Transport Ombudsman
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