What is the legislative and regulatory background to CISAS?

The Communications Act 2003:

S. 52 Conditions relating to customer interests; (1) It shall be the duty of OFCOM to set such general conditions (if any) as they consider appropriate for securing that—

a. public communications providers, or

b. such descriptions of them as OFCOM consider appropriate,

establish and maintain procedures, standards and policies with respect to the matters mentioned in subsection (2).

(2) Those matters are—

a. the handling of complaints made to public communications providers by any of their domestic and small business customers;

b. the resolution of disputes between such providers and any of their domestic and small business customers;

c. the provision of remedies and redress in respect of matters that form the subject-matter of such complaints or disputes;

d. the information about service standards and about the rights of domestic and small business customers that is to be made available to those customers by public communications providers;

e. any other matter appearing to OFCOM to be necessary for securing effective protection for the domestic and small business customers of such providers.

(3) It shall be the duty of OFCOM, in setting conditions in accordance with subsection (1), to secure so far as they consider appropriate—

a. that the procedures established and maintained for the handling of complaints and the resolution of disputes are easy to use, transparent and effective;

b. that domestic and small business customers have the right to use those procedures free of charge; and

c. that where public communications providers are in contravention of conditions set in accordance with the preceding provisions of this section, the providers follow such procedures as may be required by the general conditions.

(4) Subject to section 55, OFCOM’s duties under subsections (1) and (3) so far as relating to procedures for the handling of complaints are to be performed, to such extent as they consider appropriate, by the setting of general conditions requiring public communications providers to establish and maintain procedures that conform with a code of practice which is—

a. applicable to the providers to whom the conditions apply; and

b. for the time being approved by OFCOM for the purposes of this subsection.

(5) Subject to section 55, OFCOM’s duties under subsections (1) and (3) so far as relating to procedures for resolving disputes are to be performed, to such extent as they consider appropriate, by the setting of general conditions requiring public communications providers—

a. to establish and maintain procedures for resolving disputes; and

b. to secure that those procedures are, and continue to be, approved by OFCOM.

(6) In this section “domestic and small business customer”, in relation to a public communications provider, means a customer of that provider who is neither—

a. himself a communications provider; nor

b. a person who is such a customer in respect of an undertaking carried on by him for which more than ten individuals work (whether as employees or volunteers or otherwise).

S. 54 Approval of dispute procedures for the purposes of s. 52

(1) Before giving their approval to any dispute procedures, OFCOM must consult the Secretary of State.

(2) OFCOM are not to approve dispute procedures unless they are satisfied that the arrangements under which the procedures have effect are –

a. administered by person who is for practical purposes independent (so far as decisions in relation to disputes are concerned) of both OFCOM and the communications providers to whom the arrangements apply;

b. give effect to procedures that are easy to use, transparent and effective;

c. give, in the case of every communications provider to whom the arrangements apply, a right to each of his domestic and small business customers to use the procedures free of charge;

d. ensure that all information necessary for giving effect to the procedures is obtained;

e. ensure that disputes are effectively investigated;

f. include provision conferring power to make awards of appropriate compensation; and

g. are such as to enable awards of compensation to be properly enforced.

(3) OFCOM may approve dispute procedures subject to such conditions (including conditions as to the provision of information to OFCOM) as they may think fit.

(4) It shall be the duty of OFCOM to keep under review the dispute procedures for the time being approved by them.

(5) OFCOM may at any time, by a notification given or published in such manner as they consider appropriate—

a. modify the conditions of their approval of any dispute procedures or withdraw such an approval; or

b. give notice that the modification of those conditions, or the withdrawal of such an approval, will take effect from such time as may be specified in the notification unless the procedures (or the arrangements under which they have effect) are modified before that time in the manner required by the notification.

(6) In considering—

a. whether to approve dispute procedures, or

b. whether or in what manner to exercise their powers under subsections (3) to (5), OFCOM must have regard to the matters mentioned in subsection (7).

(7) Those matters are—

a. the need to secure that customers are able readily to comprehend dispute procedures;

b. the need to secure that there is consistency between the different procedures for the time being approved by OFCOM; and

c. the need to secure that the number of different sets of procedures so approved is kept to a minimum.

(8) In this section—

• “approval” means approval for the purposes of subsection (5) of section 52 and “approve” and “approved” are to be construed accordingly;
• “dispute procedures” means any such procedures as may fall to be approved for the purposes of that subsection;
• and “domestic and small business customer” has the same meaning as in section 52.

Ofcom General Condition C4.3

Regulated Providers must:

(a) be a member of an approved Alternative Dispute Resolution (‘ADR’) Scheme;

(b) comply with the ADR Scheme, including abiding by any final decision of the body which administers the ADR Scheme, within the time period specified in that final decision;

(c) ensure that Relevant Customers have the right to use the ADR Scheme free of charge; and

(d) provide information in Bills about the ADR Scheme in conformity with Section 4 of the Ofcom Approved Complaints Code.