Hello David and all,

A list of unacceptable actions would be useful, however my "vision" (if you
like) would be for the IT industry in general, though specifically for the
purpose of .au administration, to adopt codes similar to those in use by
most other major industrial groups. I do not really see a need to reinvent
the wheel when the most of the legal and business ethics issues have already
been long addressed - however yes, there are specific issues relevant to the
IT industry that should be incorporated.

Some excellent examples of industry codes of conduct in practice can be
found within the apparel, food, toy, automotive, and retail industries (to
name but a few) - the following is an excerpt from the Retail Grocery
Industry Code of Conduct as it relates to resolving disputes between
industry partners (note the incorporation of a specific Industry
Ombudsman) - this may seem excessive and verbose, (and the extract forms
only a small component of the total code of conduct), however descriptors of
this type are essential if a workable industry self-regulation process is to
be realised - plus of course it is designed to protect all parties to a
dispute.

Rgds Don

(extract)
9. Dispute Resolution Scheme
Principle:  All industry participants support a dispute resolution scheme
which:

considers all vertical supply disputes arising between industry
participants;
gives all industry participants an opportunity to resolve disputes, in the
first instance, under internal procedures;
encourages unresolved disputes to be referred to the Industry Ombudsman as
an alternative to litigation;
considers all disputes fairly and impartially;
will not jeopardise the underlying commercial relationship;
respects the confidentiality of applicants and respondents; and
encourages an equitable and timely resolution of disputes.

9.1  This Code promotes a two-stage dispute resolution scheme:

Stage 1 encourages applicants to raise disputes with the respondent; and
Stage 2 encourages unresolved disputes to be raised with the Industry
Ombudsman.

10. Dispute resolution procedure

Principle: All industry participants support a dispute resolution procedure
in which:

retailers will promote the existence of any applicable internal procedures
in a genuine effort to resolve disputes;
retailers and suppliers will participate in the mediation process in a
spirit of goodwill and good faith; and
matters discussed and documents produced in the course of mediation will be
treated as confidential and without prejudice.

10.1   Where a dispute arises, the following procedures will apply:

Stage 1 - Internal procedures

10.1.1 Applicants will raise the matter in dispute with the respondent, in
accordance with the respondent's internal procedures.

10.1.2 Applicants and respondents will use their best efforts to resolve the
matter in good faith and in accordance with the internal procedures (if any)
in a climate giving respect to the ongoing commercial relationship and
conducted on a confidential and without prejudice basis.

10.1.3 Applicants and respondents will endeavour to exhaust all internal
appeal procedures.

Stage 2 - Industry Ombudsman

10.1.4 Stage 1 disputes may be referred to the Industry Ombudsman by either
the applicant or the respondent where:

the respondent has failed to respond to the matter in dispute within a
reasonable period or within that period stipulated in the internal
procedures;
the applicant and respondent are unable to resolve the matter under the
internal procedures
the applicant or respondent is dissatisfied with the outcome of the internal
procedures; or
the applicant is dissatisfied with the respondent's internal processes or
procedures in considering the matter or in reaching its decision.

10.2  Disputes may be directly referred to the Industry Ombudsman by either
the applicant or the respondent (without having first attempted Stage 1
procedures) where:

there are no internal procedures; or

the applicant or the respondent applies to the Industry Ombudsman for a
direct referral of their dispute and the Industry Ombudsman determines that
the circumstances warrant direct referral.

10.3  Once the Industry Ombudsman establishes his or her jurisdiction to
mediate a directly-referred dispute under Clause 10.2, the Industry
Ombudsman will contact the respondent and advise that a referral has been
received.

10.4  Advising the respondent that a referral has been received under Clause
10.2. will not involve the release of the applicant's name, unless the
applicant consents.

10.5  A Stage 2 dispute must be referred to the Industry Ombudsman by
application.

10.6  Application may be made to the Industry Ombudsman by telephone, fax,
letter, email or personal attendance (see Part 5 - Key Contacts).

10.7  An application fee of $50 is payable.

10.8  An applicant may apply to the Industry Ombudsman for waiver of the
application fee on the grounds of serious financial hardship. If the
Industry Ombudsman determines that payment of the application fee will
result in serious financial hardship for the applicant, the Industry
Ombudsman may waive the application fee.

10.9  Following receipt of both the application and the application fee
(where payable), the Industry Ombudsman will contact the applicant and the
respondent to discuss the application and agree on a time, date and venue
for the mediation conference.

10.10 The Industry Ombudsman has jurisdiction to mediate any dispute arising
between industry participants in their vertical relationships with one
another provided that the dispute:

occurs on or after the date of public release of the Code; and is less than
12 months old.

In mediating a dispute under Clause 10.10, the Industry Ombudsman may have
regard to circumstances arising before the date of public release of the
Code.

10.12  Neither the applicant nor the respondent may be legally represented
before the Industry Ombudsman.

10.13  The preclusion of a legal representative in Clause 10.12 does not
preclude the attendance of a support person but must include a person
authorised to settle a dispute.

10.14  The Industry Ombudsman may, in his or her absolute discretion,
summarily dispose of any application on the grounds that the dispute is:

frivolous;
vexation;
repetitive;
lacking in substantive merit; or
a dispute which has been substantially previously dealt with

10.15  The Industry Ombudsman will assist the applicant and the respondent
explore options for and, if possible, achieve the timely resolution of the
dispute by agreement.

10.16  In exploring options for the timely resolution of the dispute, the
Industry Ombudsman will not:

be bound by any resolution that might be achieved by negotiation or a
contested trial; or
 impose a solution on the applicant or the respondent.

10.17  If mediation does not result in an outcome acceptable to both the
applicant and the respondent or the dispute proves incapable of resolution
by mediation, the Industry Ombudsman will issue a certificate to the
applicant and the respondent setting out:

the parties to the dispute;
an outline of the dispute; and
a list of the unresolved issues.

10.18  Any certificate issued under Clause 10.17 (including any information
contained in the certificate) must remain confidential between the
applicant, the respondent, the Industry Ombudsman and any attending support
person/s.

10.19  Disclosure of any certificate issued under Clause 10.17 (including
any information contained in the certificate) to a third party requires the
express consent of both the applicant and the respondent, except where the
disclosure is required under law.

10.20  The applicant and the respondent must pay their own costs of
attending mediation.

(end snip)



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