module 2 slide 1 national communications commission regulatory practices workshop - 2006 module: 2 a...
TRANSCRIPT
Module 2 Slide 1
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MODULE: 2 A
The Independent Regulator
Module 2 Slide 2
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Topic 1 – Independent RegulatorAn effective competitive telecommunications market
depends on an independent body capable of:
establishing and enforcing
transparent and impartial
regulatory rules and decisions, and
Promoting fair and reasonable competition
Module 2 – Page 8
Module 2 Slide 3
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Features of effective market placeThe market place is likely to work better if:
Roles of government policy makers & the regulator are clear & in harmony
The regulator is independent with adequate financial & human resources
Benefits of effective interconnection & pre-competition cooperation is recognized
How regulator deals with incumbent operator
Fair & reasonable interconnection occurs
The regulator promotes an environment of willingness for parties to effectively negotiate
Module 2 – Page 8
Module 2 Slide 4
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Features independent regulators1. The regulator must be functionally and legally sepa
rate from all market participants.
With explicit legal authority
With a legal framework
Module 2 – Page 9
Module 2 Slide 5
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Features independent regulatorsA legal framework which provides for:
A telecommunications regulatory body
General powers and duties to regulate
Authority to issue directives, rules and regulations
Authority to obtain full and complete information
Authority to adjudicate disputes
Authority to enforce telecommunications laws and regulations
Module 2 – Page 9
Module 2 Slide 6
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Features independent regulators
Discussion point:
Compare and contrast these critical features of independence of a regulator with those of an economy you are familiar with
Module 2 – Page 9
Module 2 Slide 7
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Features independent regulators
Common model for the separation of power
Public Telecommunications Operators (Private or commercially operated)
Network Operations/Service Provision
Separate Regulatory Authority or Government Ministry
Regulation and Rules
Government Ministry or Executive Branch
Policy Development
Responsible OrganizationFunction
Module 2 – Page 10
Module 2 Slide 8
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Features independent regulators2. The financial interests of the regulator should be in
dependent from all market participants.
The regulator should: Address obvious and subtle conflicts when interests overlap
Ensure government financial interests do not influence decisions
Employees of the regulator should: Not hold stock/interest in suppliers
Not participate officially in suppliers
Not serve on a board of directors of suppliers
Module 2 – Page 10
Module 2 Slide 9
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Features independent regulators3. The regulatory body must demonstrate credibility b
y having the structure, funding, and human resources adequate to enable it to implement its regulatory mandate.
An organizational structure that is flexible and adaptable
Staff who are highly skilled and multi-disciplinary
Adequate funding from reliable and predictable sources
Module 2 – Page 11
Module 2 Slide 10
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Features independent regulators4. Policies should be adopted to govern the conduct
of employees to ensure independence and impartiality.
Regulatory agencies should adopt policies that address:
Employees with prior industry experience
Gifts from industry members
Post-government employment restrictions
Competitive salaries for regulatory officials
Module 2 – Page 11
Module 2 Slide 11
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Features independent regulatorsEffective Regulators often take the LEAD
L - Listen
E - Evaluate
A - Analyze
D - Decide
Module 2 – Pages 11-12
Module 2 Slide 12
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Features independent regulators
Discussion point:
Compare and contrast the role of the Independent Regulator by listing
two supporting factors and
two inhibiting factors
Module 2 – Page 12
Module 2 Slide 13
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Topic 2 – PrinciplesPrinciples of Proper Decision Making
Decisions must be within legal authority of regulator
The regulator must consider all relevant matters and disregard irrelevant ones
Decisions must be made in good faith and for proper purposes
Factual underpinnings of decisions must be based on evidence
Module 2 Slide 14
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PrinciplesPrinciples of Proper Decision Making
Decisions must be reasonable & publicized
Those affected by a decision must be accorded procedural fairness (including the right to respond to prejudicial agreements and evidence that may be taken into account).
Government policy must be properly applied
Independent regulators must not act on the direction of other persons
Module 2 – Page 16
Module 2 Slide 15
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MODULE: 2 B
Public Communication & Inquiry
Module 2 Slide 16
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Topic 3 – Public Processes
Where possible use Public Processes to ensure
TRANSPARANCY
Help to make better decisions
Module 2 – Page 17
Module 2 Slide 17
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Public ProcessesPublic Communication Processes Brochures
Reports
Regular newsletters
Media releases and articles
Fact sheets
Speeches & presentations
Information resources
Websites
Module 2 – Page 19
Module 2 Slide 18
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Public Processes
Public communication processes
Direct requests for inputs
Electronic lodgment of inputs
Inputs from public seminars, fora, meetings and workshops
Module 2 – Pages 20-21
Module 2 Slide 19
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Public ProcessSUMMARY OF TRANSPARANT PRACTICES
Publishing all laws, regulations, rules and guidelines
Providing interested parties with advanced notice
Publishing and archiving
Providing an avenue to appeal decisions
Promote concept of equal access to information
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Module 2 Slide 20
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Topic 4 – Procedural ModelsSteps Model One - Government InitiativeSTEPS ACTIONS
1 Government directs regulator to initiate or review laws or regulations
2 Regulator researches and prepares a draft paper
3 Regulator publicises public enquiry
4 Interested parties attend hearings
5 Regulator revises the paper and may consult government
Steps 3,4 and 5 can be repeated a number of times before a final position is reached that the government is prepared to accept
Where the regulator has no authority over the decision
6 (a) Regulator finalises the recommendations
7 (a) Government enacts the appropriate legislation, law, acts or regulations
Where the regulator does already have the legal authority to act
6 (b) Regulations or rules are enacted
7 (b) The regulator publicises the outcomes and prepares to monitor
Module 2 – Pages 22-23
Module 2 Slide 21
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Procedural ModelsSteps for a Government Authority
STEPS ACTIONS
1 Government directs regulator to initiate or review laws or regulations
2 Regulator researches and prepares a draft paper
3 Regulator publicises public enquiry
4 Interested parties attend hearings
5 Regulator revises the paper and may consult government
Steps 3,4 and 5 can be repeated a number of times before a final position is reached that the government is prepared to accept
Where the regulator has no authority over the decision
6 (a) Regulator finalises the recommendations
7 (a) Government enacts the appropriate legislation, law, acts or regulations
Where the regulator does already have the legal authority to act
6 (b) Regulations or rules are enacted
7 (b) The regulator publicises the outcomes and prepares to monitor
Module 2 – Page 23
Module 2 Slide 22
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Procedural ModelsStep Model Two – Regulator initiativeSTEPS ACTIONS
1 Government directs regulator to initiate or review laws or regulations
2 Regulator researches and prepares a draft paper
3 Regulator publicises public enquiry
4 Interested parties attend hearings
5 Regulator revises the paper and may consult government
Steps 3,4 and 5 can be repeated a number of times before a final position is reached that the government is prepared to accept
Where the regulator has no authority over the decision
6 (a) Regulator finalises the recommendations
7 (a) Government enacts the appropriate legislation, law, acts or regulations
Where the regulator does already have the legal authority to act
6 (b) Regulations or rules are enacted
7 (b) The regulator publicises the outcomes and prepares to monitor
Module 2 – Pages 24-26
Module 2 Slide 23
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Procedural ModelsSteps for a Regulator Authority
6 Regulations or rules are enacted
7 The regulator publicises the outcomes and prepares to monitor
Module 2 – Page 26
Module 2 Slide 24
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Procedural Models
Discussion point:
Compare and contrast the Step Models with procedures that you are familiar with.
How do these differ from what you know?
How would you refine these Step Models in your country?
Module 2 – Page 26