Record Keeping and Protection of Information
2.0 Creating a new Record for the same Complaint
3.0 Information recorded at first contact
6.0 Sharing of Information and Protection of Personal Information
7.0 Requests from Consumers to keep Information Confidential
8.0 Requests from Members to keep Information Confidential
9.0 Requests for the Release of Information
10.0 Publishing Binding Decisions, Directions and Recommendations
11.0 Complying with a Subpoena
The purpose of these Procedures is to ensure that the TIO collects, records and uses information relating to Enquiries, Complaints or Objections in a fair, just, economical, informal and expeditious manner.
For each Enquiry, Complaint or Objection, the TIO keeps a record of:
- contact with the consumer and the Member
- verbal or written authority given for another person to speak on behalf of the consumer
- correspondence received and sent by the TIO
- evidence received from the consumer and the Member
- issues raised and information discussed, both internally and externally
- decisions made about the issues and the reasons for the decisions, and
- any evidence, TIO Position Statements, laws or industry codes that the TIO Officer has considered to be relevant to a fair and reasonable outcome to the issues in dispute.
The TIO records this information in electronic form in a Complaint Management System and in hard copy for some Level 1 and 2 Complaints, for all Complaints classified at Level 3 or above, and for all Objections.
The TIO allocates Keywords to the Record, based on the type of service under consideration, and the nature of the Enquiry, Complaint or Objection.
The TIO keeps records of contact and other details of each Member where this may be relevant to the resolution of complaints. Members are required to promptly provide the TIO with updated information about these details if changes occur or upon request by the TIO.
The TIO handles information about Enquiries, Complaints or Objections in a manner consistent with relevant law including privacy legislation, and the TIO’s privacy policy.
The TIO compiles and provides Complaint data on a regular basis, without personal information of consumers, to regulators on request.
The TIO provides some Complaint and Enquiry information to other agencies, but will only provide a consumer’s personal information to these agencies in accordance with relevant law or privacy legislation and the TIO’s privacy policy.
The TIO promotes the disclosure and sharing of information between the parties to a matter where, in the view of the TIO, this will assist in the investigation and resolution of the matter. Any information released by the TIO to either party is on the condition that it will only be used by the party who receives it, and only for the purpose of investigating and resolving the matter.
The TIO considers requests from parties to keep information confidential, on a case by case basis.
In order to facilitate resolution and fair and reasonable outcomes, the TIO expects that Members will generally not assert that material Members provide to the TIO is commercial-in-confidence and cannot be provided or explained to a consumer. These issues are considered by the TIO on a case by case basis depending on the relevance and importance of the information to resolving any issue in the matter.
Each party to a matter is given the opportunity to respond to any information where, in the view of the TIO, the information will assist in the resolution of the matter.
The TIO expects Members to remove any reference to third parties in correspondence or documents it provides to the TIO unless it is directly relevant to an unresolved issue in the matter.
In all circumstances the TIO has regard to its public interest obligation as an Ombudsman’s Office.
1.1
When a consumer contacts the TIO for the first time the TIO Officer will create a new Record which is allocated a specific reference number.
1.2
When a consumer contacts the TIO again about the same Enquiry or Complaint the TIO Officer will ask the consumer for the reference number, and reopen the same Record.
2.1
The TIO Officer will create a new Record, and issue a new reference number if:
- the consumer presents new information that cannot be included within an existing Enquiry or Complaint, for example, if new issues are presented that were not raised in a written notification to the Member at Level 2
- the Record was allocated to a Member by mistake, and must be registered again in another Member’s name, or
- the TIO Officer considers the length of time since the original Record was created is extensive, and creating a new record will be more practical and efficient.
2.2
When a new Record is created a cross reference to the original Record is included.
3.1
The TIO Officer aims to include as much of the following information from the consumer as possible to the Record at first contact:
- the consumer’s name, address and contact details
- if the consumer is the account holder of the service
- if the consumer is not the account holder of the service, confirmation that the account holder has given consent for the consumer to speak on his or her behalf
- the account holder’s name, address and contact details
- if the consumer identifies itself as a small business, information about the size of the business
- an identifier for the service the matter relates to, including but not limited to:
- a telephone number
- an internet username
- an order, account, or reference number
- a billing or service address, or
- an account or reference number from a debt collection or credit reporting agency
- the Member’s name, if the matter is about that Member
- confirmation that the consumer has either attempted or not attempted to contact the Member to resolve the issue
- a summary of the matter giving rise to the Enquiry or Complaint
- a summary of the response to the matter so far from the Member, according to the consumer
- the total of any amount in dispute
- how the consumer heard about the TIO and whether the Member referred him or her to the TIO, and
- the consumer’s preferred resolution of the matter.
3.2
The TIO Officer adds a summary to the Record of:
- the information he or she gave to the consumer
- any action taken by the TIO, and
- the reasons for any exception to standard Classification procedure.
3.3
The TIO Officer attaches to the Record all correspondence and documentation provided by the consumer.
4.1
For the purposes of collecting Enquiry, Complaint and Objection data, the TIO identifies and records matters according to a set of Keywords, grouped by service type, for example:
- Internet
- Land Line
- Mobile, and
- Mobile Premium Services.
4.2
When the TIO Officer registers an Enquiry, Complaint or Objection, he or she will select the most relevant Keywords to match the individual circumstances of the Enquiry, Complaint or Objection.
4.3
As a matter progresses the TIO Officer may add more Keywords if the TIO Officer considers them to be relevant, and may change existing Keywords.
5.1
The TIO Officer adds the following information to the Record, as it is received by the TIO during the course of the matter:
- any updates to information that has already been recorded, for example a change in the total of a disputed amount
- verbal statements from the consumer and the Member
- correspondence received and sent by the TIO about the matter
- a summary of issues discussed and information given by the TIO Officer
- decisions made by a TIO Officer, and the reasons for the decisions
- evidence asked for from the consumer or the Member
- evidence received from the consumer and the Member
- an assessment of evidence received from the consumer or the Member
- any further evidence required following the TIO Officer’s assessment of evidence received
- any further questions for the consumer or the Member
- where appropriate, a summary of the TIO Officer’s current view of the Complaint, and
- any TIO Position Statements, laws or industry codes that the TIO Officer considers may be relevant to achieving a fair and reasonable outcome to the issues in dispute.
5.2
When the TIO Officer adds any evidence or written correspondence to the Record, he or she will include a brief summary of the information.
6.1
The TIO expects that the parties to a matter will communicate with the TIO and with each other in a professional, courteous and non-threatening manner. The TIO takes a serious view of communications that contain offensive, rude, abusive or threatening material. In these cases the TIO may take a number of steps, including:
- requiring the party to communicate only in writing
- editing material that the TIO has received to remove offensive or abusive comments
- not responding to such communications
- exercising discretion to not investigate a matter further, or
- reporting issues of concern to a higher level of management or to an external agency or regulator including the police or a law enforcement agency.
6.2
If the TIO Officer considers that correspondence or other evidence from a consumer includes unnecessary or irrelevant reference to a third party, or to sensitive information such as a person’s racial or ethnic origin, criminal record or health, the TIO Officer will delete this reference before forwarding the correspondence or evidence to the Member.
6.3
If correspondence from one party is written in such a way that the TIO Officer considers that forwarding a copy of this to the other party would not contribute to the resolution of the matter, the TIO Officer may choose not to forward the correspondence, and may instead:
- provide his or her own summary of the correspondence,
- ask the party to rewrite the correspondence, or
- forward the correspondence to the other party with part of it removed.
6.4
The TIO Officer may choose to keep any information confidential from a party, whether the parties have asked for this or not.
6.5
If the consumer or the Member provides personal information that the TIO Officer considers is necessary to be disclosed to an external agency such as the police, the TIO Officer, in accordance with privacy obligations, will not ask the party’s permission before disclosing the information. This may include, for example, where serious threats to the life, health or safety of an individual or the public have been made or possible unlawful activity may be committed.
7.1
When the consumer requests that any information be kept confidential, the TIO Officer will inform the consumer of any impact this may have on the resolution of the matter, including where, in the view of the TIO Officer, the matter cannot be considered further.
7.2
When the consumer presents information that indicates, in the TIO Officer’s view, that the consumer is:
- not acting in good faith, or in accordance with principles of alternative dispute resolution
- threatening the safety of any representative of the Member or the TIO
- breaking the law, or
- planning to cause harm to a person, or themselves,
the TIO Officer may decline any confidentiality request, and may provide the information to the Member, or appropriate external agency.
8.1
When a Member requests that any information be kept confidential, the TIO Officer will generally only grant the request if the TIO Officer considers that information:
- discloses personal information about a third party, or
- discloses commercially sensitive information about the Member’s relationships with retailers, wholesalers, dealers or another party with which it has a commercial relationship.
8.2
The TIO Officer may still decide to disclose the information to the consumer on the basis that the consumer will treat the information as confidential, if the TIO Officer considers that this disclosure will contribute to the resolution of the matter.
8.3
The TIO Officer will generally not agree to a confidentiality request from a Member about information that should be readily available to any customer of the Member, such as customer care notes, or itemised call statements.
9.1
When a party to a matter requests information from the Record, the TIO Officer will have regard to the following considerations when deciding whether to release it:
- whether release of the information will assist in the resolution of the matter
- whether the party making the request has a legitimate purpose for requesting the information
- whether the information contains legal or other advice obtained by the TIO for its own purposes, and
- whether the party that originally supplied the information has requested that the information be treated as confidential.
9.2
When the TIO Officer gives the consumer information from the Record, personal details of Member representatives and TIO staff are removed, unless the information is directly relevant to the matter.
9.3
When the TIO Officer gives the Member information from the Record, he or she will remove any information that has been agreed with the consumer will be kept confidential.
9.4
Any information released by the TIO to either party is on the condition that the information will only be used by the party who receives it, and only for the purpose of investigating and resolving the matter.
10.1
When the TIO releases a binding decision, direction or recommendation for public viewing, the binding decision, direction or recommendation is fully anonymised.
10.2
When it is clear that despite the best efforts of the TIO the parties can still be identified, for example when the service in dispute is unique to one Member, the TIO may not publish the binding decision or recommendation.
10.3
When the name of a Member that has not followed a recommendation of the TIO is published in the TIO Annual Report, the recommendation is not released for public viewing.
11.1
Before complying with a subpoena or other legally binding order or direction for the TIO to provide any information contained in a Record, where it is practicable to do so and where it is legally entitled to do so, the TIO will notify the party that originally provided the information to the TIO.
Effective Date: 5 July, 2010
Updated on: 12 January, 2012
