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7 Functional Aspects of Regulation

When measuring the effectiveness and independence of a regulator, it is necessary to look not only at the structural and organizational design, but also at the functional aspects of regulation.  In addition to the institutional design, in order to regulate effectively, a regulator should possess the proper authority and competency to exercise its regulatory functions.   The scope of the regulator’s mandate should be clearly established, which can vary depending on the degree of independence of the regulator and its interaction with other entities responsible for the ICT sector, such as the sector ministry, as well as its institutional design.   Effective regulation also requires that the regulator adopt and implement procedures that are transparent and open to public participation and ensure accountability.  These elements encourage public confidence in the regulator, compliance with regulatory decisions, laws and regulations, and create an enabling environment conducive to growth and development in the sector. 

This Chapter provides an analysis and overview of the regulator’s competencies and mandate, as well as regulatory procedures, focusing on three main issues: (i) ensuring an open participatory decision-making process through public consultations, (ii) ensuring the accountability of regulator’s activities to the state and to consumers, and (iii) ensuring regulatory efficiency and promoting growth and competition of the sector through dispute resolution and enforcement procedures.

Contents

7.1 Overview of Regulator’s Competencies and Mandate 7.2 Decision-making Process and Consultation Framework 7.3 Accountability of Regulators and Consumer Protection 7.4 Dispute Resolution and Enforcement

Reference Documents

Cover image: Malaysia- Communications and Multimedia Act Cover image: Malaysia- Communications and Multimedia Act

Malaysia- Communications and Multimedia Act

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Cover image: UNCITRAL Model Law on International Commercial Conciliation Cover image: UNCITRAL Model Law on International Commercial Conciliation

UNCITRAL Model Law on International Commercial Conciliation

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Cover image: UNCTAD Occasional Note - International Investment Disputes Cover image: UNCTAD Occasional Note - International Investment Disputes

UNCTAD Occasional Note - International Investment Disputes

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Cover image: Telecommunications and the World Trade Organization -- The Case of Mexico Cover image: Telecommunications and the World Trade Organization -- The Case of Mexico

Telecommunications and the World Trade Organization -- The Case of Mexico

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Cover image: Canada - Regulatory Reform in the Telecommunications Industry Cover image: Canada - Regulatory Reform in the Telecommunications Industry

Canada - Regulatory Reform in the Telecommunications Industry

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Cover image: Consumer Protection in the Australian Telecommunications Industry Cover image: Consumer Protection in the Australian Telecommunications Industry

Consumer Protection in the Australian Telecommunications Industry

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Cover image: Singapore Contribution ITU Question 18-1: Effective Enforcement Cover image: Singapore Contribution ITU Question 18-1: Effective Enforcement

Singapore Contribution ITU Question 18-1: Effective Enforcement

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Cover image: Reflections on Regulation and Dispute Resolution in India Cover image: Reflections on Regulation and Dispute Resolution in India

Reflections on Regulation and Dispute Resolution in India

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Cover image: Japan - Fair Settlement of Disputes - Part II Chapter 3 Cover image: Japan - Fair Settlement of Disputes - Part II Chapter 3

Japan - Fair Settlement of Disputes - Part II Chapter 3

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Cover image: Japan - Fair Settlement of Disputes - Part II Chapter 2 Cover image: Japan - Fair Settlement of Disputes - Part II Chapter 2

Japan - Fair Settlement of Disputes - Part II Chapter 2

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Cover image: Japan - Fair Settlement of Disputes - Part II Chapter 1 Cover image: Japan - Fair Settlement of Disputes - Part II Chapter 1

Japan - Fair Settlement of Disputes - Part II Chapter 1

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Cover image: Japan - Fair Settlement of Disputes - Part I Chapter 3 Cover image: Japan - Fair Settlement of Disputes - Part I Chapter 3

Japan - Fair Settlement of Disputes - Part I Chapter 3

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Cover image: Japan - Fair Settlement of Disputes - Part I Chapter 2 Cover image: Japan - Fair Settlement of Disputes - Part I Chapter 2

Japan - Fair Settlement of Disputes - Part I Chapter 2

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Cover image: Japan - Fair Settlement of Disputes - Part I Chapter 1 Cover image: Japan - Fair Settlement of Disputes - Part I Chapter 1

Japan - Fair Settlement of Disputes - Part I Chapter 1

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Cover image: UK Offfice of the Telecommunications Ombudsman -Terms of Reference Cover image: UK Offfice of the Telecommunications Ombudsman -Terms of Reference

UK Offfice of the Telecommunications Ombudsman -Terms of Reference

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Cover image: Japan - Fair Settlement of Disputes - Opening Remarks Cover image: Japan - Fair Settlement of Disputes - Opening Remarks

Japan - Fair Settlement of Disputes - Opening Remarks

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Cover image: Oftel- Dispute Resolution Under the New EU Directives Cover image: Oftel- Dispute Resolution Under the New EU Directives

Oftel- Dispute Resolution Under the New EU Directives

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Cover image: Organisation for Economic Co-operation and Development - Handbook on Information, Consultation and Public Participation in Policy-Making Cover image: Organisation for Economic Co-operation and Development - Handbook on Information, Consultation and Public Participation in Policy-Making

Organisation for Economic Co-operation and Development - Handbook on Information, Consultation and Public Participation in Policy-Making

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Cover image: Philippines National Telecommunications Commission - Practices and Procedures Manual Cover image: Philippines National Telecommunications Commission - Practices and Procedures Manual

Philippines National Telecommunications Commission - Practices and Procedures Manual

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Cover image: Nigeria Enforcement Regulations Cover image: Nigeria Enforcement Regulations

Nigeria Enforcement Regulations

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Cover image: Telekom Malaysia and Ghana Look to Settle UNCITRAL Arbitration Cover image: Telekom Malaysia and Ghana Look to Settle UNCITRAL Arbitration

Telekom Malaysia and Ghana Look to Settle UNCITRAL Arbitration

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Cover image: Norwegian Mobile Telecoms Firm Turns to ICSID in Tussle with Hungary Cover image: Norwegian Mobile Telecoms Firm Turns to ICSID in Tussle with Hungary

Norwegian Mobile Telecoms Firm Turns to ICSID in Tussle with Hungary

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Cover image: Investors Looking Beyond ICSID in Investment Treaty Telecom Cases Cover image: Investors Looking Beyond ICSID in Investment Treaty Telecom Cases

Investors Looking Beyond ICSID in Investment Treaty Telecom Cases

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Cover image: Bilateral Investment Treaties and Development Policy-Making Cover image: Bilateral Investment Treaties and Development Policy-Making

Bilateral Investment Treaties and Development Policy-Making

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Cover image: ITU_World Bank - Dispute Resolution in the Telecommunications Sector Report Cover image: ITU_World Bank - Dispute Resolution in the Telecommunications Sector Report

ITU_World Bank - Dispute Resolution in the Telecommunications Sector Report

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Cover image: ITU Consumer Protection Cover image: ITU Consumer Protection

ITU Consumer Protection

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Cover image: ITU India Mini Case Study Interconnection Cover image: ITU India Mini Case Study Interconnection

ITU India Mini Case Study Interconnection

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Cover image: ITU Botswana Mini Case Study Interconnection Cover image: ITU Botswana Mini Case Study Interconnection

ITU Botswana Mini Case Study Interconnection

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Cover image: Japan - Fair Settlement of Disputes - In the beginning Cover image: Japan - Fair Settlement of Disputes - In the beginning

Japan - Fair Settlement of Disputes - In the beginning

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Cover image: Cayman Islands - Information and Communications Technology Authority - Confidentiality Rules Cover image: Cayman Islands - Information and Communications Technology Authority - Confidentiality Rules

Cayman Islands - Information and Communications Technology Authority - Confidentiality Rules

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Cover image: Report to the ITU Global Symposium for Regulators - Consumer Protection in the Asia Pacific Region Cover image: Report to the ITU Global Symposium for Regulators - Consumer Protection in the Asia Pacific Region

Report to the ITU Global Symposium for Regulators - Consumer Protection in the Asia Pacific Region

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Cover image: Japan - Fair Settlement of Disputes - Forward Cover image: Japan - Fair Settlement of Disputes - Forward

Japan - Fair Settlement of Disputes - Forward

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Cover image: Final ITU Report on Enforcement Cover image: Final ITU Report on Enforcement

Final ITU Report on Enforcement

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Cover image: EU Framework Directive Cover image: EU Framework Directive

EU Framework Directive

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Cover image: China-ITU Universal Service Consumer Protection Seminar - Summary Report Cover image: China-ITU Universal Service Consumer Protection Seminar - Summary Report

China-ITU Universal Service Consumer Protection Seminar - Summary Report

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Cover image: Burkina Faso Contribution ITU Question 18-1: Effective Enforcement Cover image: Burkina Faso Contribution ITU Question 18-1: Effective Enforcement

Burkina Faso Contribution ITU Question 18-1: Effective Enforcement

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Cover image: Brazil Contribution ITU Question 18-1: Effective Enforcement Cover image: Brazil Contribution ITU Question 18-1: Effective Enforcement

Brazil Contribution ITU Question 18-1: Effective Enforcement

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Cover image: Australia Telecom Consumer Protection and Service Standards Act 1999 Cover image: Australia Telecom Consumer Protection and Service Standards Act 1999

Australia Telecom Consumer Protection and Service Standards Act 1999

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Cover image: Apoyo Report to the Global Symposium for Regulators - Feedback to regulators from consumers Cover image: Apoyo Report to the Global Symposium for Regulators - Feedback to regulators from consumers

Apoyo Report to the Global Symposium for Regulators - Feedback to regulators from consumers

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Cover image: Japan - Fair Settlement of Dispute - Appendix: Reference Materials Cover image: Japan - Fair Settlement of Dispute - Appendix: Reference Materials

Japan - Fair Settlement of Dispute - Appendix: Reference Materials

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Cover image: Anguilla Administrative Procedures Regulations 2004 Cover image: Anguilla Administrative Procedures Regulations 2004

Anguilla Administrative Procedures Regulations 2004

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Cover image: Brazil - Agência Nacional de Telecomunicações (Anatel) Internal Regulation Cover image: Brazil - Agência Nacional de Telecomunicações (Anatel) Internal Regulation

Brazil - Agência Nacional de Telecomunicações (Anatel) Internal Regulation

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Cover image: Portugal ICP - Autoridade Nacional de Comunicações - Consultation Procedures Cover image: Portugal ICP - Autoridade Nacional de Comunicações - Consultation Procedures

Portugal ICP - Autoridade Nacional de Comunicações - Consultation Procedures

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Cover image: Australian Communications and Media Authority Act 2005 Cover image: Australian Communications and Media Authority Act 2005

Australian Communications and Media Authority Act 2005

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Cover image: AAA Wireless Industry Arbitration Rules Cover image: AAA Wireless Industry Arbitration Rules

AAA Wireless Industry Arbitration Rules

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Cover image: Peru - Reglamento de Transparencia de Osiptel Cover image: Peru - Reglamento de Transparencia de Osiptel

Peru - Reglamento de Transparencia de Osiptel

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Cover image: Canada - Fact sheet from Organisation for Economic Co-Operation and Development forum Cover image: Canada - Fact sheet from Organisation for Economic Co-Operation and Development forum

Canada - Fact sheet from Organisation for Economic Co-Operation and Development forum

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Cover image: Africa Public Service Charter Cover image: Africa Public Service Charter

Africa Public Service Charter

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Cover image: Mexico - Reglamento Interior de la Secretaria de Comunicaciones y Transportes Cover image: Mexico - Reglamento Interior de la Secretaria de Comunicaciones y Transportes

Mexico - Reglamento Interior de la Secretaria de Comunicaciones y Transportes

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Cover image: St. Vincent and the Grenadines, National Telecommunications Regulatory Commission - Guidelines for Conducting Public Consultations Cover image: St. Vincent and the Grenadines, National Telecommunications Regulatory Commission - Guidelines for Conducting Public Consultations

St. Vincent and the Grenadines, National Telecommunications Regulatory Commission - Guidelines for Conducting Public Consultations

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Cover image: Creating the “Right” Enabling Environment for ICT Cover image: Creating the “Right” Enabling Environment for ICT

Creating the “Right” Enabling Environment for ICT

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Cover image: Canadian Radio-Television and Telecommunications Commission (CRTC) Public Process Cover image: Canadian Radio-Television and Telecommunications Commission (CRTC) Public Process

Canadian Radio-Television and Telecommunications Commission (CRTC) Public Process

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Cover image: Hong Kong Office of the Telecommunications Authority (OFTA) - Public Enquiries and Complaints Cover image: Hong Kong Office of the Telecommunications Authority (OFTA) - Public Enquiries and Complaints

Hong Kong Office of the Telecommunications Authority (OFTA) - Public Enquiries and Complaints

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Practice Notes

Last updated 06 Sep 2008

The ICT Regulation Toolkit is a joint production of infoDev and the International Telecommunication Union.

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