1. INTRODUCTION

• 1.1 Purpose and scope of document
• 1.2 Structure of document
• 1.3 Maintenance of document

1.1 Purpose and scope of document

The purpose of TIO Policies and Procedures is to document and formalise the TIO's policies and procedures relating to the functions and operations of the TIO. This provides a practical framework for the effective operation of the Office of the TIO and sets clear directives for its management and staff. Effective operation is defined as the provision of an alternative dispute resolution mechanism that satisfies the needs of consumers of telecommunications services and operates in a cost effective manner.

The policies outlined in this document have been based upon:

• the Memorandum and Articles of Association of Telecommunications Industry Ombudsman Limited;
  
• the TIO Constitution;
  
• directions by the TIO Board, Council and Ombudsman;
  
• the TIO's historical work practices;
• the Telecommunications (Consumer Protection and Service Standards) Act 1999 and the Telecommunications Act 1997.

1.2 Structure of document

The document is divided into three parts. The purpose and structure of each part is as follows:

Part A- Outline of Scheme

This part serves as an introduction to the Office of the TIO. It outlines the nature and function of the TIO, and explains where the TIO gets its powers and how it is funded. It also examines the TIO's relationships with the telecommunications industry stakeholders and its reporting functions and priorities.

Part B - Complaint handling procedures

This part focuses on the TIO's internal procedures for handling enquiries and complaints. It aims to provide comprehensive details of all aspects of the TIO's complaint handling procedures, including its guidelines for classifying and escalating complaints. This section also looks at the TIO's decision-making process as regards the fair and reasonable resolution of complaints.

Part C - Position statements

This part introduces particular types of complaints received by the Ombudsman's Office, and provide guidelines about the TIO's approach to the investigation and resolution of these complaints, including - where appropriate - the sorts of documentation it seeks to obtain, the factors it considers in the course of any investigation, and the TIO's view as to what constitutes a fair and reasonable outcome in a particular set of circumstances.

1.3 Maintenance of document

In order to ensure the continued effectiveness of operations of the Office of the TIO, there are times when policies need to be reviewed and updated to meet new and changing circumstances both within the Office of the TIO and the industry in general. Such revision and updates are subsequently binding upon staff within the office of the TIO.

• Submissions in regard to changes or additions to the document are to be made in writing to the Ombudsman. The Ombudsman is to review and evaluate submissions received. Submissions considered worthwhile are to be referred, together with comments and recommendations, to the Council for consideration and approval.
  
• Notification of substantial amendments (where these directly impact consumers or stakeholders) are to be communicated by the Ombudsman to all interested stakeholders prior to publication. This is to enable feedback to be received from those stakeholders and consideration to be given to recommended amendments and addendums.
  

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