NATIONAL COMMUNICATIONS COMMISSION REGULATORY PRACTICES WORKSHOP - 2006 MODULE: 4 INVESTIGATION.
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Transcript of NATIONAL COMMUNICATIONS COMMISSION REGULATORY PRACTICES WORKSHOP - 2006 MODULE: 4 INVESTIGATION.
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MODULE: 4
INVESTIGATION
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Topic 2 – Principles
Investigation is a critical step in the broader enforce
ment process.
Any investigation needs to be conducted under the s
ame principles that apply to enforcement generally.
Module 4 – Page 9
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Overview of Investigation ProcessEvery investigation needs:
to be fast, fair, firm and flexible
to be suited to the country’s legal system
to have a clear timeline
to have well-defined procedures
to have clear confidentiality guidelines
Module 4 – Page 9
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Notification of an Investigation
Level of Complaint
Reasons for investigation
Information to identify the complainant
Investigation reference number
Name of the investigation officer
Issue(s) in dispute
Information and/or documentation required
Interim requirements
Date for carrier’s response
Module 4 – Page 10
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Obligation to Supply Documentation
Legislation or regulations normally provide that the carri
er or service provider is obliged,
within a fixed period (perhaps 21 days) after receiving
notification of an investigation,
to provide all documentation relevant to the complaint
Module 4 – Page 10
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Principles for Handling Investigations
When to go public
Correspondence Requirements
Discretion Not To Investigate
Module 4 – Page 11
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When to Go Public
When the regulator issues the first official docume
nt stating that a violation has been discovered
Module 4 – Page 11
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Discretion Not To Investigate
Investigation is frivolous or vexatious or not in
good faith
Complainant does not have a sufficient interes
t
Not warranted on the merit evidence to hand
Better handled by another authority
Module 4 – Page 12
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Topic 3 – Process Models
Regulator open lines of communication
Regulator obtains information
Information is used to seek a resolution
If a resolution is not reached the matter moves o
n to become an enforcement issue
Module 4 – Page 12
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Investigation Process Model
START AN
INVESTIGATION
REGULATOR INITIATION
CONSUMER
COMPLAINT
CARRIER TO CARRIER DISPUTE
COMPLIANCE MONITORING
GATHER
INFORMATION
LEGAL ORDER
INSPECTION
LETTER OF ENQUIRY
Module 4 – Page 14
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Investigation Process Model
RESOLUTION
NO
YES
VIOLATION NO
YES
ST
OP
I NV
ES
TIG
AT
ION
ENFORCEMENT
Module 4 – Page 14
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Conducting Investigations
Three investigation triggers:
Regulator Initiated
Consumer Complaint
Carrier to carrier Complaint
Module 4 – Page 15
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Regulator Initiated Investigations
Regulator has complete control over investigation
Regulator initiates the investigation
Proceeds following due processes
Ends the investigation when the regulator deems it appropr
iate
:
Module 4 – Page 15
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Carrier to Carrier Complaints
“Formal” complaints can be filed by a licensee, a comp
etitor, or other interested party.
Useful for companies taking another party to court, but
would like the expertise of the regulator.
Where carrier-to-carrier complaints have detailed lodg
ment requirements, the regulator simply acts as a medi
ator
Module 4 – Page 15
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Consumer Complaints
Consumers can bring complaints to the regulator.
If the regulator sees a pattern of abuse the regula
tor could start an investigation
Module 4 – Page 15
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Range of ComplaintsDiscussion points: Which of the three triggers are most common
that you are aware of?
How have these been dealt with?
What were the outcomes?
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Common Investigation Methods Investigation plan
Collection and analysis of documentation
Review and analysis of the complainant's case and documentation
Testing and collection and analysis of test results
Communication and consultation with carrier
Module 4 – Page 16
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Common Investigation Methods Communication and consultation with the com
plainant
Consideration of Law or Codes of Practice
Legal or other specialist advice
Decisions based on the evidence
Documenting the investigation
Module 4 – Page 16
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Complaint Classification
Complaints are classified at one of four levels
and can be classified at levels 1 to 3 at the out
set.
Level 4 Complaints must be escalated from Le
vel 3.
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Complaint ClassificationFactors which determine how to classify
The prior opportunities to resolve the complaint
The length of time the complaint has been ongoing
The length of time required to investigate and respond
The complexity of the complaint The amount of money in dispute
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Complaint Classification Table
FACTOR LEVEL 1 LEVEL 2 LEVEL 3 LEVEL 4 Opportunities to resolve
Previously considered Not at high level
Previously considered Sometimes by high level
Previously considered High level
Previously considered at level 3
Length of time Short Short to medium Relatively long Usually long Regulator involvement
Minimal Some but not substantial
Substantial involvement
Substantial involvement No upper time limit
Time to resolve, or investigate
Up to 30 days Up to 60 days Up to 90 days No upper limit
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Investigation Planning Statement of purpose
Relevant laws or rules
Statement of the matter to be investigated
Operations and personnel to be involved
Expertise required to complete the investigation
Timelines and costs for the investigation
Milestones or reference points within the timeline
Possible outcomes
Possible appeal processesModule 4 – Page 18
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Investigation Planning
The level of planning will vary according
the scale of the investigation.
Module 4 – Page 19
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Gathering Information
Letter of inquiry
Inspections
Legal Orders
Module 4 – Page 19
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Types of Information Test results
Customer care records
Carrier or dealer statements
Statements by the complainant
Call data
Contracts
Correspondence
Complainant record
Financial records
Copies of advertisements
Module 4 – Pages 20-21
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Investigation Records Complainant's name and
details
Any co-complainant details
Date and time
Category or level of the investigation
The carrier or service provider details
Details of the service identifier
A summary of the complaint
Details of advice
Time taken
The outcome
Module 4 – Pages 21-22
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Outcomes of Investigations
Investigations produce evidence that can be used in a number of ways:
Complaint handling
Dispute resolution and arbitration
Enforcement
Module 4 – Page 22
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Rules of EvidenceThe Rules of Evidence are dependent on the legal
system of an economy & may include:
1. Types of Evidence
Real evidence – material & physical objects
Documentary evidence – primary & secondary
Corroborating evidence
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Rules of Evidence2. Sources of evidence
Exhibits
Searches or inspections
Information from reliable sources
Inspection of records
Surveillance
Interviews
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Rules of Evidence3. Validity
Party who made or signed it
Witness to party who made or signed it
Recognition of handwriting
Expert (forensic) testimony
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Rules of Evidence4. Relevance
5. Admissible
Hearsay
Similar acts or facts
Opinion
Character
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Rules of Evidence6. Inadmissible
Evidence from children, insane or senile persons
Where a person could incriminate themselves
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Topic 4 – Case study 3Mobile number portability dispute Industry developed rules for transfer of a custome
r• 95% in three hours• 100% in two days
Regulator supervision of rules & monitoring of performance (2 years satisfactory performance)
Complaints from three operators about poor performance from one operator
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Topic 4 – Case study 3
Regulator actions: Regulator investigation Regulator requested & attempted negotiati
ons to comply Regulator Direction to operator to comply
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Topic 4 – Case study 1: Outcomes
Complete the Case Study activity by working through the Discussion points
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Topic 5 – Application OptionWorking with a more experienced regulator – a mentor - in your organisa
tion
Step through the methods outlined in this module
Ask which of the principles and processes are used in your economy
Ask what other principles and processes are used
Ask your mentor for examples of these principles and processes in past cases
Ask your mentor which of the principles or processes could be adopted
Discuss how they could be adopted or strengthened