These are the Terms of Reference approved by the Board, in line with the Articles of Association of the Company (herein “The Energy Ombudsman”).
1.1 The main purpose of The Energy Ombudsman is:
2.1 A Potential Partner Company shall be eligible to become a member of the The Energy Ombudsman scheme upon;
3.1 A Partner Company shall accept and be subject to the jurisdiction of The Energy Ombudsman in relation to eligible Complaints.
3.2 The Energy Ombudsman shall only have jurisdiction in relation to a Complaint against a Partner Company that satisfies the criteria laid down in these Terms of Reference and its Annexes.
3.3 The Energy Ombudsman shall have jurisdiction in relation to cross-border disputes brought by Customers, as defined in these Terms of Reference, against Participating Companies.
3.4 The Energy Ombudsman shall have jurisdiction in relation to domestic disputes brought by Customers, as defined in these Terms of Reference and its Annexes, against Participating Companies.
3.5 Complainants shall retain the absolute right to withdraw or discontinue their complaint at any stage.
4.1 The Energy Ombudsman will make no charge to Complainants for the consideration of their complaints.
5.1 The Energy Ombudsman is governed in accordance with its Articles of Association (“the Articles”).
5.2 The services provided to Complainants and to Participating Companies by The Energy Ombudsman are governed in accordance with these Terms of Reference and any applicable Annex.
5.3 The Chief Ombudsman (hereinafter referred to as “the Ombudsman”) is appointed by, and responsible to, the Board, in accordance with the Articles.
5.4 In determining eligible Complaints made in accordance with these Terms of Reference and its Annexes, the Ombudsman shall act independently of the Board, any Regulator, Trade Body, Sector Liaison Panel, the Participating Company and Complainants.
6.1 The Ombudsman has an absolute discretion to decide whether a complaint is within Ombudsman Service’s jurisdiction, as prescribed within these Terms of Reference and Annexes.
6.2 The Ombudsman will accept a complaint for consideration if:
7.1 The Ombudsman shall not accept a complaint about a matter:
7.2 The Ombudsman shall also not accept or consider;
7.3 In the event of a dispute or disagreement, the Ombudsman has absolute discretion to determine the application of paragraphs 7.1 and 7.2, above.
7.4 Notwithstanding the provisions of paragraph 7.1(a), above, the Ombudsman has discretion to accept, or continue to handle, a complaint made outside of any time limit imposed by these Terms of Reference or Annexes if satisfied that there are exceptional reasons to justify the delay.
8.1 Upon accepting a complaint for consideration, the Ombudsman shall;
8.2 If the Participating Company fails to provide information, as provided for in 8.1(b), above, the Ombudsman will deem the information provided by the Complainant alone as constituting the complete case file and will proceed to handle the complaint based upon a consideration of it.
8.3 The Ombudsman may require the Participating Company to disclose any documents and to provide any information that the Ombudsman may lawfully and reasonably request relating to his or her consideration of the complaint.
8.4 The Ombudsman may additionally require a Complainant to disclose any documents and to provide any information that the Ombudsman may lawfully and reasonably request relating to the consideration of a complaint.
8.5 The Ombudsman may make additional requests to either party to disclose additional documentation or information while handling the complaint as and when they consider it appropriate to do so.
8.6 Any information or documentation that is passed to the Ombudsman by the Complainant or the Participating Company will be taken account of and may be;
8.7 Complainants and Participating Companies shall be afforded a reasonable opportunity, of not less than seven days duration, to consider and to provide their comments about any information or documentation that has been disclosed to them pursuant to 8.6 (a), above.
9.1 The Ombudsman will seek to achieve an early resolution of a complaint wherever practical and appropriate.
9.2 If the complaint cannot be resolved by an early resolution the Ombudsman may conduct an investigation of the complaint.
9.3 The procedure for an investigation will be as the Ombudsman considers appropriate in the particular circumstances of the case.
9.4 In exceptional circumstances, where the Ombudsman considers it necessary, as a matter of their sole discretion, a site visit, expert report or face-to-face or remote meeting (or hearing) may be arranged (a fee may be applicable).
9.5 The Ombudsman may request such assistance from the Complainant and Participating Company to the complaint (including in relation to access, information and submissions and written or oral submissions) as the Ombudsman may consider reasonable and appropriate.
9.6 The Ombudsman will inform, in a durable medium, the Complainant and the Participating Company concerned of the proposed conclusion and suggested remedies and, in each case, the reasons for them, and will invite their comments thereon.
9.7 The Ombudsman will provide details of the conclusion reached or decision made, as required in paragraph 9.7, above;
9.8 If, after investigation, the Ombudsman considers that the Participating Company (against which a complaint has been made) is already offering (and continues to offer) a fair and reasonable settlement (even if it is not acceptable to the Complainant), or if the Ombudsman considers that no settlement is required, the Ombudsman may exercise discretion to terminate consideration of the complaint.
9.9 In handling complaints, carrying out investigations and reaching any Final Decision (as provided for hereunder) it shall be the duty of the Ombudsman:
10.1 If at any stage during the process of the Ombudsman’s investigation both the Complainant and the relevant Participating Company accept any conclusion reached or decision made, having being afforded chance to reflect upon it of up to seven calendar days, then such will become the binding settlement of the complaint.
10.2 If either the complainant or the relevant Participating Company or both do not accept any conclusion reached or decision made, then the Ombudsman will issue a Final Decision. Such Final Decision shall be made after considering any representations the Complainant or the relevant Participating Company or both may make in relation to the proposed conclusion, decision or remedies.
10.3 When a binding settlement of the complaint is issued (as under paragraph 10.1, above) or the Ombudsman issues a Final Decision (as under 10.2, above) which concludes that the Participating Company has not acted fairly or reasonably, the Ombudsman will set out the reasons in writing and may, subject to paragraphs 10.5 and 10.6, below, impose any of the following Remedies requiring the Participating Company to:
10.4 The Ombudsman may also, as a result of considering a complaint, make recommendations to the Participating Company about changing its policies or procedures, including in relation to the provision of its services.
10.5 The total value of all Remedies to be provided or complied with by a Participating Company to or for the direct benefit of a Complainant in respect of a complaint shall not exceed the limit detailed in the annex.
10.6 No Award or Remedy shall;
10.7 The Ombudsman will determine which Participating Company will pay the case fee and provide the Remedy.
10.8 No Award or Remedy will be made against a Complainant.
10.9 The Final Decision shall be issued in a durable medium and shall state the Remedies to be provided and a summary of the Ombudsman’s reasons for reaching the Final Decision. A copy of the Final Decision shall be given to the Complainant and the relevant Participating Company. The Complainant shall be required to confirm their acceptance or rejection of the Remedies within 14 calendar days of the date of the Final Decision (the Acceptance Period). The Final Decision shall state that if, within the Acceptance Period (or such longer period as the Ombudsman may consider reasonable), the complainant replies to and accepts the Final Decision in full and final settlement of the subject matter of the complaint (by duly completing, signing and returning the relevant Acceptance Form), the Final Decision shall, save in the event of proven fraud or manifest error, be binding on the complainant and the relevant Participating Company.
10.10 If the Complainant does not reply to the Final Decision within the Acceptance Period (or such longer period as the Ombudsman may consider appropriate), then the Final Decision will not be binding on the Complainant or the relevant Participating Company and it will be open to the Complainant to initiate any other proceedings to which the Complainant is entitled in pursuit of the complaint.
10.11 If within the Acceptance Period (or such longer period as the Ombudsman may consider reasonable) the Complainant replies to the Final Decision but does not accept it in full and final settlement of the subject matter of the complaint, then the Final Decision will not be binding on the complainant or the relevant Participating Company and it will be open to the Complainant to initiate any other proceedings to which the Complainant is entitled in pursuit of the complaint.
10.12 If the Final Decision becomes binding on the Complainant and the relevant Participating Company in accordance with paragraph 10.9, the Ombudsman shall notify the relevant Participating Company of such fact within 14 calendar days of receipt of the Complainant’s duly completed and signed Acceptance Form. The relevant Participating Company shall then provide the Remedy (including any Award) to the complainant within 28 calendar days of the Ombudsman’s notification.
10.13 Should the Participating Company fail to provide the Remedy (including any Award) to the Complainant within 28 days of the Ombudsman’s notification, the Ombudsman may take further action to bring about implementation, including, but not limited to; (a) referring the Participating Company to any relevant Regulator or Trade Body; (b) notifying the Complainant of any right they may have to pursue implementation of the remedy directly; or (c) applying the remedy implementation policy as provided for in the relevant Annex.
10.14 If the Final Decision does not become binding on the Complainant and the relevant Participating Company(ies) in accordance with paragraph 10.10 or 10.11, then the Ombudsman shall notify the Complainant and the relevant Participating Company of such fact within 14 calendar days following the end of the Acceptance Period (or such longer period as the Ombudsman may consider reasonable).
11.1 The Ombudsman shall have the following powers and duties:
11.2 The Ombudsman shall have the power to delegate, subject (where necessary) to the approval of the Board, any of the Ombudsman’s powers and duties to members of staff provided that, in delegating any such powers and duties, the Ombudsman shall exercise all reasonable care and skill to ensure that the delegate discharges all such powers and duties in accordance with the standards expected of the Ombudsman himself/herself.
12.1 The Board will complete a review of these Terms of Reference periodically at intervals of not more than three years.
12.2 Substantial amendments to the Terms of Reference (together with any definitions used within such paragraphs) may only be made by the Board and after consulting with and taking due account of the views of the Sector Liaison Panel and Participating Companies and such other bodies as the Board considers appropriate.
12.3 Participating Companies will be notified of any amendments to the Terms of Reference that are made to reflect changes in Government policy and legislation.
13.1 The definitions, below, apply to these Terms of Reference and its Annexes. Additional definitions are set out within each of the Annexes to the Terms of Reference. These additional definitions apply to the Terms of Reference and the individual Annex in relation to complaints The Energy Ombudsman has received pursuant to the relevant Annex.
“Annex” and “Annexes” means the addendum documents to these Terms of Reference, which set out additional rules and procedures for specific sectors, industries or markets that The Energy Ombudsman provides dispute resolution services to;
“Articles” means the Articles of Association of the Company; “Board” means the board of directors of the Company;
“Chief Ombudsman” means the Chief Ombudsman and Chief Executive of the Company, appointed in accordance with the Articles of Association;
“Company” means The Ombudsman Service Limited, herein referred to as “The Energy Ombudsman”;
“Complainant” means a customer who has brought a complaint to The Energy Ombudsman for resolution;
“Complete complaint file” will comprise of information provided by the Complainant and the Participating Company about the complaint. It will typically consist of
“Concluded complaint” means a complaint that has been investigated and a Final Decision has been issued; “Customer” means either a customer of a Participating Company, in the ordinary sense, or as further defined in an applicable Annex to these Terms of Reference.
“Cross-border dispute” means a dispute concerning contractual obligations arising from a sales contract or a service contract where, at the time the consumer orders the goods or services, the Participating Company is established in the United Kingdom and the consumer is resident in another member state of the European Union;
“Domestic dispute” means a dispute concerning contractual obligations arising from a sales contract or service contract where both parties to the complaint are resident in, or established in, the United Kingdom; “Durable format” means a letter or an email delivered either by post, facsimile or electronic medium.
“Eligible Complaint” means a complaint that The Energy Ombudsman is able to handle on the basis that it is made against a Participating Company in the manner prescribed within these Terms of Reference and any relevant Annex;
“Final Decision” means a Final Decision made by the Ombudsman pursuant to and as referred to in these Terms of Reference;
“Person” includes any body, body corporate, government, state or agency of any government or state, or any joint venture, association or partnership, and references (express or implied) to person or it, shall be construed so as to include references to such persons, to any natural or legal person and to a person’s legal personal representatives and successors;
“Ombudsman Service” means The Energy Ombudsman which the Company administers in accordance with the Articles and the Terms of Reference;
“Participating Company/Companies” means a person who has subscribed to participate in the Service in respect of a Service Sector and has joined the Service in accordance with the relevant Terms of Reference (and (as the context so requires) each and/or any of its subsidiary undertakings from time to time) and which has put relevant services and/or products under the jurisdiction of the Chief Ombudsman and the Service Person including any body, body corporate, government, state or agency of any government or state, or any joint venture, association or partnership, and references (express or implied) to person, he, she or it, shall be construed so as to include references to such persons, to any natural or legal person and to a person's legal personal representatives and successors;
“Regulator” means a body or organisation that is provided for by statute, or is otherwise empowered by government, to act as regulator in some capacity;
"Remedy" and "Remedies" shall have the meaning attributed to them in paragraph 10 above;
“Sector Liason Panel” means a forum or advisory panel through which representatives from The Energy Ombudsman, Participating Companies, regulators and Trade Bodies can convene to identify trends and issues and promote effective complaint handling;
“Services” means services provided by Participating Companies which will be covered by, and fall within the jurisdiction of, the Ombudsman and The Energy Ombudsman are the services as defined in the annex of these Terms of Reference;
“Subsidiary undertaking” has the meaning given in s.1159(1) of the Companies Act 2006.
“Trade Body” means a body or an association that acts to promote the interests of, and to set standards within, a sector or industry or within a faction of a sector or industry, and whose members become Participating Companies as a requirement or condition of their membership of the trade body.
13.2 A reference to a statute or statutory provision is a reference to it as amended, extended or re-enacted from time to time.
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