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Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
Overseeing compliance with the Do Not Call Register Act 2006 ...
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Overseeing compliance with the Do Not Call Register Act 2006 ...

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  • 1. International Training Program Overseeing compliance with the Do Not Call Register Act 2006
  • 2. Telemarketing regulation in Australia Pre-Do Not Call Register > No industry-specific regulation > Voluntary Code of Practice > Some general, inconsistent state-based legislation > Australian Direct Marketing Association “Do Not Contact Register” (voluntary) ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 3. Establishment of Do Not Call Register DNCR established in response to: > Community concern about volume and inconvenience of telemarketing > Industry and consumer confusion about the rules Objectives of DNCR Scheme: > Provide a more consistent regulatory environment for industry > Reduce inconvenience for consumers > Provide an effective complaint handling mechanism ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 4. Operation of the Register Current arrangements > “Opt Out” scheme > Numbers must be primarily for private or domestic use > Telemarketers submit contact lists for checking (“washing”) prior to dialling > “Washed” lists are valid for 30 days > Exemptions Proposal to extend Register to all numbers (incl. business, fax, emergency services) in 2010 ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 5. Do Not Call Register Act 2006 > Requires the ACMA to establish the Register > Sets out two key rules (civil penalty provisions) > A person must not make or cause a telemarketing call to be made to a number on the Register (s.11(1)) – some exceptions > Agreements for the making of telemarketing calls must require compliance with the DNCR Act (s.12(1)) ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 6. “Causing” a call to be made > Extended definition of “cause” applies where: > Person A enters into an agreement with another person (Person B) > Under the agreement, Person B undertakes to make (or cause any or all of its employees/agents to make) telemarketing calls > Person B, or an employee/agent of Person B, gives effect to the agreement by making a telemarketing call > Both Person A and Person B may be liable for calls made in contravention of the Act ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 7. Complaints received > Steady drop in complaint numbers since June 2007 18,000 16,000 14,000 12,000 10,000 8,000 Complaints Received 6,000 4,000 2,000 0 July - Dec Jan - June July - Dec Jan - June 07 08 08 09 ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 8. Compliance approach > Focus is on reducing the number of telemarketing calls people on the Register receive > Level of regulatory intervention tied to the scale and severity of the compliance issue ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 9. Compliance approach > 3-stepped approach to compliance: > Businesses complained about receive an advisory letter in the first instance, advising them of their legal obligations > If further complaints are received, a warning letter is sent > Complaints received after a warning letter is sent may be subject to a full investigation ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 10. Enforcement options > Formal warnings > Enforceable undertakings > Infringement notices ($2,200 per call/$110K per day) > Injunctions > Federal Court (pecuniary penalties - $11K per call/$220K per day) ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 11. Compliance and Enforcement: Challenges > No discrete “telemarketing industry” > Wide range of different industries make “telemarketing calls” > Outsourcing arrangements > Offshore telemarketing > Limitations of call tracing capabilities ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 12. Investigation Case Study: Dodo Australia ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 13. Dodo: Pre-investigation June-September 2007 > Three informal notifications sent > Continuing high complaint numbers (129 complaints from June-Sept 2007) > Investigation commenced October 2007 ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 14. Dodo: Decision to Investigate The problem > Large-scale, systemic non-compliance across the telco industry - 55% of all complaints > High level of consumer frustration The approach > Telco compliance campaign encompassing: > Education > Targeted investigations spread across each level of the telco industry (incl. Dodo) > Publicity ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 15. Dodo: The Investigation Process The investigations process > Commencement > Evidence-gathering > Opportunity for submissions > Decision by delegate > Publicity of outcome ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 16. Dodo: Commencement > Investigation focused on three month period in 2007 > Obligation to notify respondent of commencement (Telco Act) > Statutory notice issued to Dodo seeking information and documents (Telco Act s.521) ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 17. Dodo: Evidence gathering > Evidence relied upon > Dialler disposition records > Call tracing records > Consumer complaints > Call centre contracts > Call centre scripts > Evidence ordinarily gathered using statutory powers ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 18. Dodo: Opportunity for Submissions > Obligation to provide respondent with opportunity for submissions prior to adverse finding > Dodo investigation: > Written allegations by the ACMA > Meetings to discuss options > Formal submissions by respondent > Offer of enforceable undertaking ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 19. Dodo: Decision by Delegate > Acceptance of enforceable undertaking > Engagement of external compliance consultant > Record keeping > Auditing > Use and oversight of outsourced call centres > Infringement notice issued > $147,400 ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 20. Dodo: Publicity > Media release announcing outcome > Press coverage > Radio interviews > 30% drop in overall complaints following announcement ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 21. Dodo: Post-investigation > Very few complaints received > Significantly improved compliance practices > Record keeping > Complaint handling > Auditing > Oversight of third party call centres > Overall, representative of “best practice” compliance ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 22. DNCR Investigation Challenges > Evidence gathering > Technical limitations > Availability of information > Cooperation of respondents > Cooperation of offshore entities ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 23. Telco Compliance Campaign > The campaign: > Industry specific education > 19 formal investigations > 5 infringement notices > 8 enforceable undertakings > 6 formal warnings > Publicity > Creating an environment of accountability ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 24. Telco Compliance Campaign - outcomes > Drop in complaints about telcos > From 55% down to 35% of all complaints > From 2,500 per quarter to 500-600 per quarter 5,000 4,500 4,000 3,500 3,000 2,500 2,000 Complaints about Telcos 1,500 1,000 500 0 Jan - June July - Dec Jan - June 08 08 09 ACMA—ITU International Training Program 2009 Melbourne, Australia
  • 25. Compliance and Enforcement: 2010 Industry focus: > Real estate industry > Call centre industry > Financial services > Small businesses Other activities: > International engagement > Transition to expanded Register ACMA—ITU International Training Program 2009 Melbourne, Australia

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