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MODULE: 7

Enforcement. MODULE: 7. Critical Questions 1. What is enforcement in the context of a deregulated telecommunications regime? 2. Why is an enforcement regime needed? 3. What are the features of an effective enforcement regime?. Topic 1 - Principles and Procedures. Module 7 – Pages 7-8.

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MODULE: 7

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  1. Enforcement MODULE: 7

  2. Critical Questions 1. What is enforcement in the context of a deregulated telecommunications regime? 2. Why is an enforcement regime needed? 3. What are the features of an effective enforcement regime? Topic 1 - Principles and Procedures Module 7 – Pages 7-8

  3. Fair A system that is perceived as fair would abide the regulators decisions. A system that is perceived as unfair creates uncertainty leading to reduced investment. Transparency creates certainty with known procedures. Commercial confidentiality is essential. Enforcement Principles Module 7 – Page 9

  4. Fast Prompt decisions allow companies to continue with their business plans. Swift decisions and timely penalties deter future violations. Pre- established deadlines keep the process moving. Enforcement Principles Module 7 – Page 10

  5. Firm Regulator needs adequate sanction authority to give companies incentives to follow the rules. Penalties must be severe enough to deter violations. Enforcement Principles Module 7 – Page 10

  6. Flexible Regulator needs a range of tools with more than just formal litigation to resolve enforcement. Compliance not punishment Enforcement Principles Module 7 – Page 10

  7. Purpose of Enforcement is to ensure Compliance NOT punishment Enforcement Principles

  8. Requires: The power to investigate the actions and records of all telecommunications providers. The authority to impose sanctions and penalties for violation of regulations with authority based in law. Independent Regulator Module 7 – Page 11

  9. Procedures should take account of: The principles of fast, fair, firm and flexible Fit the economy’s legal system to make the process familiar and to facilitate the appeals process Ensure procedures are clear and well defined That each step in the process has a clear timeline Enforcement Procedures Module 7 – Page 11

  10. The enforcement regime must provide for: 1. Regulator-initiated investigation 2. Consumer’s complaints 3. Carrier complaints against other carriers 4. A mechanism for the outcome to be appealed. 5. Alternative dispute resolution options Enforcement Procedures Module 7 – Page 11

  11. Discussion points Are these enforcement features in use in your country? Which are not? List three features that are working well and three that need improvement How could improvements be made? Enforcement Procedures Module 7 – Page 12

  12. Three types of complaint Regulator Initiated Investigations Consumer Complaints Carrier to carrier Complaints Topic 2 – Applying Procedures Module 7 – Page 14

  13. Letter of Inquiry Inspections Legal Order Tools for Gathering Information Module 7 – Pages 15-16

  14. Penalties Module 7 – Page 17

  15. Warnings Violation Notice Order to cease non-compliance Penalties • Fines • Seizure • Licence revocation • Criminal Proceedings Module 7 – Pages 17-20

  16. Regulator Initiated Investigation How effective the ACCC was in applying the principles of fast, firmness, fairness and flexibility in its enforcement approach? Did the actions taken matched the violation? List 2 suggestions to improve the ACCC approach Case Study

  17. Resolved quickly Simple and inexpensive Do not require an attorney The regulator keeps statistics of informal complaints A pattern of complaints can initiate an investigation Ombudsman - another option Features of a Complaints Process

  18. Consumer letter initiates complaint The regulator sends letter to the carrier Voluntary “satisfaction” by the carrier is most common resolution. The complainant can file a formal complaint. Carriers don’t ignore a consumer complaint, because the regulator can pursue it on its own motion. Managing Customer Complaints Module 7 – Page 20

  19. Telecommunications Industry Ombudsman (TIO) – Australia Set up under the Telecommunications Act & totally independent from government, regulator and operators Funded by industry, had 1043 members in 2003/2004, fixed line & mobile operators and internet service providers Budget of $A 6.6 for 2003/2004 with 65 staff. Received 76,000 customer complaints in same year from a base of 32 million customers Features of a Complaints Process

  20. Discussion points The adequacy of the response? Was the outcome reasonable for the customer in this instance? Customer Complaint - Case Study

  21. Upon receipt of complaint, the regulator determines if it complies with the lodgment rules. If the complaint complies it is forwarded to the carrier, who must file an answer. The defendant is permitted to file an answer responding to the allegations in the complaint. Managing Carrier to Carrier Complaints Module 7 – Page 30

  22. Features Detailed rules and timelines Complainant fully informs the regulator of the law or rules allegedly violated Complainant needs to establish violation with evidence The regulator does not gather information; it is an adjudicator Decisions serve as precedent Carrier to Carrier Complaints Process Module 7 – Page 31

  23. Discussion points List the features of the Carrier to Carrier complaints process that works well? Also list those you believe are not working so well Describe the possible difficulties for a regulator to be independent from an incumbent operator in these kind of complaints Carrier to Carrier Complaints Process Module 7 – Page 32

  24. Features Decisions by regulator’s staff - appealed to the head regulator Decisions by head regulator - appellant requests regulator to reconsider Parties not be able to raise new arguments Next step appeals to next in the hierarchy – court system or Ministry. Appeals consistent with court system: no multiply avenues for appeal Topic 3 – Appeals Module 7 – Pages 33-34

  25. Discussion points What are the appeals processes that operate in an economy you know? How well are these working? What could be improved Customer Complaint - Case Study

  26. In small groups consider and comment on: The adequacy of the appeals provisions in Hong Kong China Appeals - Case Study

  27. Mediation Private settlements Alternative Dispute Resolution

  28. Features Carriers exchange letters Regulator’s staff meets with both sides Regulator would find areas of agreement Disputes resolved quickly It narrows the issues in dispute Some cases reflect the unequal power of the parties Mediation Process

  29. Aggravating Penalties or judgments could be harsher Violation resulted in injury to persons, property, business Previous history of violations Mitigating Discovered the violation before it was reported and acted Voluntarily disclosed the contravention to the regulator Aggravating and Mitigating Factors

  30. Discussion Point In the Case Studies from Japan, United States, Korea and Singapore Identify the escalation processes, and any Alternative dispute resolution processes Appeals practices in APEC economies

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