Compliance With TCF Codes

Overview

The TCF is a membership-based industry body focused on regulatory and self-regulatory matters in the telecommunications sector and operates under its Rules. 

The TCF is recognised by the government and the Commerce Commission as the “Telecommunications Industry Forum” referred to in the Telecommunications Act 2001.

Regulated Codes 

The TCF’s statutory role revolves around the production of codes of practice relating to regulated services, which, once approved by the Commission, become binding on all parties to whom they relate.  Within the TCF such codes are referred to as “regulated codes”.  Examples include the Customer Transfer Code and the Mobile Co-location Code.

Self-Regulated Codes

In recent years the TCF has produced a number of codes that do not fall under the scheme of the Act.   They have been variously described as non-regulated, voluntary or self-regulated codes.  For clarity they are referred to here as “self-regulated codes”.  Self-regulated codes are binding on signatories and subject to the compliance and enforcement procedures outlined in each code.  Examples include the Disconnection Code, Emergency Services Code, Premium Messaging Code, Customer Complaints Code and Co-siting Code.

Self-Regulated Code Principles 

The TCF recognises the following general principles relating to self-regulated codes:

1. Subscription to self-regulated TCF codes is entirely voluntary.  The approval by the TCF of a self-regulated code does not impose an obligation on any TCF member to sign the code. 
2. A signatory to a code is making a commitment to the industry and its customers that it will abide by the requirements of the code.  This includes being subject to any compliance or enforcement regime contained in that code.
3. The compliance framework purpose is to encourage faithful adherence to self-regulated codes and to ensure that any material departures are managed in an appropriate way.
4. The TCF Board and management will hold members and non-members to account for actions or omissions under any code to which the member/non-member is a signatory.

Complaint Handling Procedures

• minor complaints by a code signatory against another code signatory;
• complaints (major or minor) relating to compliance with a code that the TCF receives from a customer of a code signatory;
• when the TCF becomes aware of possible non-compliance by any other means.

1. If the complaint is serious and from a code signatory
• it will be recorded by the Code Compliance Co-ordinator (CCC).
• it will be referred back to the complainant to be processed through the relevant code’s procedure.
2. If the complaint is from a customer and relates to a code signatory who is also a member of the Telecommunications Dispute Resolution (TDR) service:
• it will be recorded by the CCC.
• the complainant will be advised to lodge a complaint in accordance with the TDR regime. 
• in the event that the complaint is not covered by the TDR scheme it will be processed in accordance with 3 or 4 below.
3. If the complaint is not covered under 1 or 2 and is serious:
• it will be referred immediately to the TCF CEO who will raise it with the relevant code signatory(ies) at the earliest opportunity.
• the CEO/CCC will follow-up the complaint to ensure that a satisfactory resolution is reached.
• the resolution will be recorded.
• the CEO/CCC may discuss follow-up actions with the code signatory(ies) that appear necessary in light of the events surrounding the complaint.
• any learnings from the event that are of general benefit to code signatories will be recorded and communicated.
• any learnings that indicate a need for the code to be modified will be recorded and used in the next review of that code.
4. If the complaint is not covered under 1 or 2 and is minor:
• it will be recorded by the CCC.
• the CCC will advise the code signatory(ies) of the complaint and a response will be sought.
• the response will be recorded.
• if the history of minor complaints against a code signatory(ies) suggest a systemic or ongoing compliance problem the CEO may refer the matter to the relevant Enforcement Agent or initiate the procedures outlined in 3 as the circumstances dictate.  The TCF will take responsibility for the Enforcement Agents costs in the event a complaint referred to an Enforcement Agent is not upheld.
5. Complaints about TCF members that do not relate to their performance under a code:
• will be recorded by the CCC.
• will be referred to the relevant member if the CEO thinks it is appropriate to do so.
• will be followed up by the CEO in the manner they consider appropriate in the circumstances.

Throughout all of the above processes, the CEO and CCC will be sensitive to issues of confidentiality and exercise appropriate discretion when passing information between parties.

Code Compliance Co-ordinator

The Code Compliance Co-ordinator (CCC) is accountable to the TCF CEO for the performance of their duties.

The CCC will:

• establish and maintain mechanisms through the TCF website and email for the lodging of complaints;
• receive and process complaints;
• maintain a register of complaints and their resolution; and
• report regularly to the TCF CEO and Board on all and any matters arising from the exercise of their duties.

For further further information or to lodge a compliance complaint please contact the Code Compliance Co-ordinator.