NATIONAL COMMUNICATIONS COMMISSION REGULATORY PRACTICES WORKSHOP - 2006 MODULE: 4 INVESTIGATION

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N REGULATORY PRACTICES WORKSHOP - 2006

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


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Principles for Handling Investigations

When to go public

Correspondence Requirements

Discretion Not To Investigate


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When to Go Public

When the regulator issues the first official docume

nt stating that a violation has been discovered


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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


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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


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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


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Investigation Process Model

RESOLUTION

NO

YES

VIOLATION NO

YES

ST

OP

I NV

ES

TIG

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ION

ENFORCEMENT


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Conducting Investigations

Three investigation triggers:

Regulator Initiated

Consumer Complaint

Carrier to carrier Complaint


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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

:


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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


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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


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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


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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


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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.


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Gathering Information

Letter of inquiry

Inspections

Legal Orders


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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


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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

Documents

NATIONAL COMMUNICATIONS COMMISSION REGULATORY PRACTICES WORKSHOP - 2006 MODULE: 4 INVESTIGATION