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Module 1: Regulating the Telecommunications Sector Module 2. Competition and Price Regulation Module 3. Authorization of Telecommunication/ICT Services Module 4. Universal Access and Service Module 5. Radio Spectrum Management Module 6. Legal and Institutional Framework Module 7. New Technologies and Impacts on Regulation Module 1: Regulating the Telecommunications Sector
1 Context
1.1 New Vocabulary, New Economy, New Regulation
1.2 ICTs and the Transformational Opportunity and Risks
1.3 Transition to Next Generation Networks
1.4 Innovative Technologies and Services
1.5 How Did We Get Here?
1.6 Regulatory Sequencing
2 The Regulator
2.1 Rationale for an Effective and Independent Regulator
2.2 What is “Independence” and How is it Fostered?
2.3 Accountability, Transparency, and Predictability
2.4 What is the Role of Regulators?
2.5 Convergence and Regulators
3 Authorization and Competition
3.1 Authorization
3.2 Competition
4 Interconnection
5 Universal Access
6 Radio Spectrum
7 New Technologies and Their Impact on Regulation
Module 2. Competition and Price Regulation
1 Overview: Putting ICT Regulation in Context
1.1 Challenges and Opportunities for Developing Countries
1.2 Policy Issues
1.3 Regulatory Issues
1.4 Key Developments in the ICT Sector
1.4.1 Technological Change
1.4.2 Emergence of New Services
1.4.3 Changes in Market Structure
1.4.4 Investment Issues in the Sector
1.5 Evolution of Competition
1.5.1 Impact of the Regulator on Competition
1.5.2 Impact of Technology on Competition
1.5.3 Level of Competition Globally
2 Anti-Competitive Conduct
2.1 Policy Issues
2.2 Key Concepts
2.2.1 Defining the Market
2.2.2 Market Power
2.2.3 Separation
2.3 Common Forms of Anti-Competitive Conduct
2.3.1 Abuse of Dominance
2.3.2 Refusal to Supply
2.3.3 Vertical Price Squeeze
2.3.4 Cross-Subsidisation
2.3.5 Misuse of Information
2.3.6 Customer Lock-In
2.3.7 Exclusionary or Predatory Pricing
2.3.8 Tying and Bundling
2.3.9 Non Discrimination and Net Neutrality
2.4 Mergers, Acquisitions and Joint Ventures
2.4.1 Mergers and Acquisitions
2.4.2 Joint Ventures
3 Access to Customers and Facilities
3.1 Policy Issues
3.1.1 Evolution of competition
3.1.2 IP Interconnection
3.2 Key Concepts
3.3 Interconnection
3.3.1 Forms of Interconnection
3.3.2 Interconnection Agreements and Dispute Resolution
3.4 Unbundling
3.5 Infrastructure Sharing and Colocation
4 Regulating Access Prices
4.1 Policy Issues
4.2 Key Concepts
4.2.1 Cost Based Prices
4.2.2 Cost Models
4.2.3 Regulatory Accounting
4.2.4 Benchmarking
4.3 Pricing Interconnection
4.4 Pricing Unbundled Access
4.5 Pricing Infrastructure Sharing
4.6 Pricing Resale
5 Regulating ‘Over-the-Top’ Services
5.1 Policy Issues
5.2 Key Concepts
5.3 VoIP
5.4 Other ‘Over-the-Top’ Services
6. Mobile and Wireless Network Regulation
6.1 Policy Issues
6.2 Key Concepts
6.3 Spectrum Policy
6.4 Interconnection
6.5 Roaming
6.6 Infrastructure Sharing
6.7 Enhancing Competition
7 Regulating Retail Prices
7.1 Policy Issues
7.2 Key Concepts
7.3 Price Caps
Module 3. Authorization of Telecommunication/ICT Services
Executive Summaries
1 Overview of ICT Authorization
1.1 Introduction to Licensing & Authorization
1.1.1 Authorization Terminology
1.1.2 ITU Trends in Telecommunication Reform
1.2 Authorization Trends
1.2.1 More on Authorization Trends
1.2.2 More on Authorization Trends: Recent Developments
1.3 Authorization Objectives and Policies
1.3.1 Common Authorization Objectives
1.4 International Trade Rules
1.4.1 Key GATS Authorization Obligations
1.4.2 Specific WTO Telecom Sector Commitments
1.4.3 WTO Regulation Reference Paper: Key Authorization Rules
1.5 Who Authorizes Telecommunications Services?
1.5.1 Who Authorizes Telecom Services?
1.6 Types of Authorization Regimes
1.6.1 Main Types of Authorization Regimes
1.7 The Legal Framework for Authorization
1.7.1 Administrative Authorizations, Agreements and Concessions
1.8 Developing Market Entry Policies
1.8.1 Defining Service Areas
2 General Authorizations and Open Entry Policies
2.1 Introduction
2.2 Advantages of General Authorizations and Open Entry Policies
2.2.1 Services Often Subject to General Authorizations or Open Entry Policies
2.3 Issuing General Authorizations
2.3.1 Transitioning to General Authorization Regimes
2.3.2 Conditions of General Authorizations
2.4 Open Entry Notification Procedures
2.5 The EU Authorization Framework
2.5.1 The EU Regulatory Framework
2.5.2 EU Authorisation and Framework Directives: Authorization Requirements
3 Individual Licences
3.1 Individual Licences and Regulatory Certainty
3.1.1 Licensing Certainty in Developing Markets
3.2 Contents of a Detailed Individual Licence
3.2.1 Sample Contents of a Detailed PSTN Licence
4 The Competitive Licensing Process
4.1 Competitive Licensing Process
4.1.1 Features of a Multiple Round Auction: The Canadian Example
4.2 Phases of a Competitive Licensing Process
4.3 Scheduling the Licensing Process
4.3.1 Steps in the Licensing Schedule
4.4 The Guide to the Licensing Process
4.4.1 Contents of the Guide to the Licensing Process
4.5 The Public Notice of the Request for Applications
4.5.1 Licensing Process Public Notice
4.6 The Pre-Qualification Phase
4.6.1 Whether to Include a Pre-Qualification Phase
4.6.2 Pre-Qualification Criteria
4.7 Qualification Criteria and Selection Criteria
4.7.1 The Qualification Phase
4.8 The Selection Phase
4.8.1 Competitive Selection Mechanisms
4.8.2 Selection Criteria
4.8.3 The Selection Process
4.8.4 Choosing Selection Mechanisms and Criteria
5 Fees
5.1 Authorization and Other Fees
5.1.1 More on Authorization Fees
6 Authorization Practices & Procedures
6.1 Transparency
6.2 Public Consultation
6.2.1 The Public Consultation Process
6.3 Authorization Renewal, Amendment and Renegotiation
6.3.1 Transition to New Authorization Regimes
6.3.2 Termination of Monopolies
6.3.3 Renegotiation of Licences
6.4 Balancing Certainty and Flexibility
6.4.1 More on Balancing Certainty and Flexibility
6.5 Distinguishing Authorization from Procurement
6.5.1 More on Distinguishing Authorization from Procurement
6.6 Spectrum Authorizations
7 Special Authorization Situations
7.1 Public-Private Partnerships, Concessions and Similar Arrangements
7.1.1 Concessions and Licence Agreements
7.1.2 Public-Private Partnerships
7.2 Re-authorization of Incumbent Service Providers
7.2.1 Re-authorization of Incumbents: Some Considerations
7.3 Service-Specific Authorizations
7.3.1 Common Authorization Classifications
7.3.2 Sample Licences and Related Documents
8 Licensing for Convergence and Next Generation Networks
8.1 Convergence and Next Generation Networks
8.1.1 Regulatory Issues in a Converged and Next Generation Networks Environment
8.1.2 Adapting Authorization Regimes for Convergence and Next Generation Networks
8.2 Convergence & Authorization Policies
8.2.1 Lifting Restrictions on Licensees
8.3 Unified and Multi-service Licensing
8.3.1 Implementing Unified and Multi-service Licensing Regimes
8.3.2 Implementing a Unified or Multi-Service Licensing Regime – Some Considerations
8.3.3 Categories of Multi-Service Authorizations
8.3.4 The Licensing Process for Unified and Multi-Service Authorizations
8.3.5 Terms and Conditions of Unified and Multi-Service Authorizations
8.3.6 Transitioning Existing Licensees to the New Licensing Regime
8.3.7 Selecting the Sector Regulator
8.3.8 Consultation Processes
Toolkit Glossary
Module 4. Universal Access and Service
1 Universal Access: an overview
1.1 Concepts of universal access
1.1.1 Basic definitions
1.1.2 Universal access and service targets
1.1.3 The scope of universal access and service
1.1.4 Choosing services for inclusion in the universal access and service scope
1.1.5 Targeting special assistance
1.1.6 User communications capabilities
1.1.7 Regulatory intervention for universal access and service
1.2 Current status of universal access by world regions
1.2.1 Availability of telephone services
1.2.2 Accessibility and affordability of telephone services
1.2.3 Public access to telephone services
1.2.4 Internet usage
1.2.5 Public access to Internet services
1.2.6 Broadcasting usage
1.3 Rationale for a universal access policy
1.3.1 ICTs as social and economic enablers
1.3.2 Drivers for universal access and service policy
1.3.3 Market gaps and universal access policy
1.4 Changing contexts and trends for universal access policy
1.4.1 Trends in universal access policy
1.4.2 The future evolution of universal access: e-inclusion
1.5 International developments
1.5.1 The World Summit on the Information Society objectives
1.5.2 The Millennium Development Goals
1.6 Integration with other national programmes
1.6.1 Education
1.6.2 E-government
1.6.3 Electricity
1.6.4 Micro-finance and e-banking
2 Regulatory Reform & Universal Access and Service
2.1 Reform first
2.1.1 Technology neutral, unified licensing or general authorizations
2.1.2 Open access and regulating dominant markets
2.1.3 Interconnection and tariffs
2.1.4 Radio spectrum regulation
2.1.5 Taxes, import duties and other fees
2.1.6 The removal of pre-liberalization obligations
2.1.7 Timing of a universal access and service programme
2.2 Impact and importance of competition on Universal Access
2.2.1 Competition and coverage
2.2.2 Achieving affordability and improved service
2.2.3 Market Segmentation and servicing the poorest
2.3 The UA market and how operators are addressing it
2.3.1 Sources of operator revenues in rural areas
2.3.2 Low ARPUs are not an insurmountable barrier for operators
2.4 Regulatory measures to improve UAS
2.4.1 Designing licence awards to promote universal access and service
2.4.2 Revising the licensing regime or issuing new licences
2.4.3 Other licence incentives to promote universal access and service
2.4.4 Freer use of spectrum in rural areas
2.4.5 Tariff flexibility
2.4.6 Geographically asymmetric interconnection
2.5 Enabling regulation for broadband
2.5.1 Market liberalization and incentives for network deployment
2.5.2 International bandwidth, gateway liberalization and national peering
2.5.3 Planning for converged services and stimulating demand
3 Overview of approaches to universal access and service
3.1 Traditional incumbent obligations
3.1.1 Universal service at the time of monopoly
3.1.2 Administrative USO designation after market opening
3.1.3 Administrative allocation of universal service funding
3.1.4 Access Deficit Charges
3.2 Competing for subsidies from Universal Access and Service Funds
3.2.1 First generations of competitive UASFs – fixed line services
3.2.2 Second generation of UASFs in existence today
3.2.3 Advantages of UASFs as compared to other approaches
3.2.4 Performance of funds to date
3.3 Non-central government actors in universal access and service
3.3.1 Village Phone Programs
3.3.2 Community and municipal broadband networks
3.3.3 Public and community Internet access, telecentres and cybercafés
3.4 Open access, shared access and ICT backbones
3.4.1 Incumbent network access
3.4.2 Backbone network enhancement
3.4.3 Emerging alternative network options
3.4.4 Specially constituted network operator
3.4.5 Network operators in a consortium
3.4.6 Current and Emerging Forms of Mobile Network Sharing
3.4.7 Funding of backbone initiatives
3.5 Other approaches and initiatives promoting UAS
3.5.1 Rural co-operatives
3.5.2 Regional or rural operator licensing
3.5.3 Community radio and local radio
4 Universal Access and Service Policy
4.1 Universal access and service policy framework
4.1.1 Scope of policy
4.1.2 UAS policy in context
4.1.3 Relationship to broadband policy
4.1.4 Integrated or separate UAS policy
4.1.5 UAS institutional framework
4.1.6 Basic structure and key principles of UAS Policy
4.2 Universal access and service policy development
4.2.1 Sector review and market analysis
4.2.2 Policy formulation
4.2.3 The priority of regulatory measures
4.2.4 Financial considerations and analysis
4.2.5 Economic appraisal of UAS options
4.2.6 Consultation
4.3 Legal modifications and regulations
4.3.1 Legal amendments
4.3.2 Detailed regulations
5 Financing Universal Access and Service
5.1 General trends in ICT development and UAS finance
5.2 Universal Access and Service Funds
5.2.1 Sources of funds
5.2.2 Industry levy – who should contribute?
5.2.3 Appropriate industry contribution
5.3 Institutional issues: managing and organizing a UASF
5.3.1 Targeting commercial viability after subsidy
5.3.2 UASF management
5.3.3 Ensuring accountability, transparency and efficiency
5.3.4 Risks of high charges and high cost UAS orientation
5.3.5 Faster commercial expansion than UASF implementation pace
5.3.6 The smart subsidy zone is hard to predict
5.3.7 Evaluation and re-appraisal of UASF operation
5.3.8 NGN, ICTs and future role of Universal Service and Access Funds
5.4 Other approaches to UAS funding
5.4.1 Public-Private Partnerships (PPPs)
5.4.2 Municipal network alternatives and funding approaches
5.4.3 Village phone, operator outreach and partnership programmes
5.4.4 Collaborative initiatives financed by OECD governments
5.4.5 World Bank and other International Finance Institutions
5.4.6 Non-government & philanthropic sources
6 UAS Programme Development and Prioritization
6.1 ICT Sector Analysis and Assessing Demand
6.1.1 ICT sector review
6.1.2 Per capita and household expenditure on communications
6.1.3 Incoming call revenue
6.1.4 Demand for Internet services
6.1.5 Field demand studies
6.2 Modelling costs, viability and subsidy analysis
6.2.1 Revenue and cost estimation for public access telephony
6.2.2 Revenue and cost estimation for public access internet
6.3 Economic impact of UAS projects
6.3.1 Economic impacts of communications
6.3.2 Economic impacts of broadband Internet & ICT service deployment
6.4 Prioritization of USA projects
6.4.1 Qualitative approach
6.4.2 Quantitative socio-economic analysis using NPV
6.4.3 Ranking using the findings of a financial subsidy analysis
6.4.4 Subsidy cost per beneficiary
7 Competing for UAS subsidies
7.1 Design of the UAS bidding strategy
7.1.1 Determining eligibility for UAS competitions
7.1.2 Developing UAS bidding strategy and deciding on bidding lots
7.1.3 Design of bidding process
7.1.4 Competition and application procedures for smaller ICT projects
7.1.5 Competition and application procedures for smaller ICT projects
7.2 Bidding & subsidy distribution process
7.2.1 Publicizing the opportunity
7.2.2 Pre-bid meeting
7.2.3 Bid evaluation, selection of winning bid and bid award
7.2.4 Business or sustainability plans as pre-requisite for fund allocation
7.3 Inspection, payment, monitoring and evaluation
7.3.1 Inspection, payment and technical auditor
7.3.2 Monitoring and reporting requirements
7.3.3 Strategic reviews & evaluation studies
8 Technologies for Universal Access and Service
8.1 Technology and service neutrality
8.2 Technology choices
8.2.1 Optical fibre
8.2.2 Wireline networks
8.2.3 Terrestrial Radio
8.2.4 Mobile networks
8.2.5 Fixed and other non-Mobile Wireless Access
8.2.6 Satellite
8.3 Broadband and the implications of using IP
8.3.1 Next Generation Networks
8.3.2 Contribution to universal access funds
8.3.3 Substitution for telephony
8.3.4 Substitution for broadcasting
8.3.5 Provision of content
8.4 Terminals
8.4.1 Handsets: Phones and PDAs
8.4.2 Computers
8.5 Relationship with the environment
8.5.1 Reuse of equipment
8.5.2 Recycling of equipment
8.5.3 Alternative power sources
8.5.4 Contributions of Information and Communication Technologies
Module 5. Radio Spectrum Management
Executive Summaries
1 Spectrum Management Overview
1.1 Introduction to Spectrum Management Overview
1.2 Spectrum as a Resource
1.2.1 Spectrum as an Economic Resource
1.2.2 Spectrum as a Technical Resource
1.2.3 Spectrum Scarcity
1.2.4 Spectrum Access
1.2.4.1 Spectrum Access - The Digital Dividend
1.3 Objectives of Spectrum Management
1.3.1 High-Level Economic Efficiency Objectives
1.3.2 High-Level Technical Efficiency Objectives
1.3.3 High-Level Policy Objectives
1.4 Stakeholders
1.5 Fundamental Management Approach
1.5.4 Regulating Cellular and Mobile Broadband Services
1.5.1 The Administrative Method
1.5.2 Market Methods
1.5.3 Unlicensed Spectrum
1.5.5 Striking a balance
1.6 Governance and Outsourcing
1.6.1 Institutional arrangements
1.6.2 Management Rights Systems and Band Managers
1.6.3 Outsourcing
1.6.4 Spectrum Trading Systems
2 Spectrum Policy and Planning
2.1 Introduction
2.2 Institutional Framework for Spectrum Management
2.3 Spectrum Policies and Principles
2.3.1 Spectrum Policy Review
2.4 Spectrum Planning
2.4.1 Planning Timeframes
2.4.2 Knowledge of Current Spectrum Use
2.4.3 Planning for Future Spectrum Use
2.4.4 Spectrum in Transition
2.4.5 The Radio Regulations
2.4.6 National Frequency Allocation Table
2.4.7 National Legislation and Regulations Governing Spectrum Use
2.4.8 Public Use Spectrum
2.4.9 Re-allocating and Refarming Spectrum
2.4.10 Consultation with Stakeholders
2.4.11 Dispute Resolution
2.4.12 Financing of Spectrum Management
2.5 Technical Standards
2.5.1 Objectives of Technical Standards
2.5.2 Spectrum Use Standards
2.5.3 Coping with Congestion in Unlicensed Spectrum – No Standards?
2.5.4 Radiocommunication Equipment Standards
2.5.5 Radiation Standards
2.5.6 Other Standards
2.5.7 Standards Development and Application
2.5.8 Certification
2.6 Allocating Spectrum
2.6.1 Radio Services
2.6.2 Frequency Allocation Tables
2.6.3 Spectrum Use Designations
3 Authorization
3.1 Introduction to Authorization
3.2 Assigning Frequencies
3.2.1 Methods for Assigning Frequencies
3.2.2 Relation to Other Authorizations
3.2.3 Liberalization and the Impact on Authorization
3.2.4 Technological Innovation and the Impact on Authorization
3.2.5 Engineering Support
3.2.6 Administrative Support
3.3 Certification of Radio Operators
3.4 Equipment Authorization
3.4.1 Equipment Certification
3.4.2 Laboratory Certification
4 Spectrum Sharing
4.1 Introduction
4.2 Access to Spectrum
4.2.1 Forms of Spectrum Sharing
4.2.2 Which bands can be shared?
4.2.3 Administrative sharing
4.2.4 Market-based sharing
4.2.5 Technically enabled sharing
4.2.6 Emerging Technology Enablers
4.3 International Trends in Spectrum Sharing
4.3.1 Trends in reform
4.3.2 Interference Management
4.3.3 Leading practices
4.3.4 Spectrum Sharing in Practice
4.4 Implementing Spectrum Sharing
4.4.1 Market structure
4.4.2 Practical steps
4.4.3 Information and administrative procedures for spectrum transfer
5 Spectrum Pricing
5.1 Introduction to Spectrum Pricing
5.2 Spectrum Valuation
5.2.1 Measuring Spectrum Values
5.3 Spectrum Pricing Objectives
5.4 Spectrum Management Cost Recovery
5.4.1 The Structure of Costs in a Spectrum Management Agency
5.4.2 Setting Fees and Prices to Recover Costs in Practice
5.5 Spectrum Usage Fees
5.5.1 Spectrum Usage Fees in Practice
5.6 Spectrum Royalties and Lotteries
5.7 Spectrum Auctions
5.7.1 Types of Spectrum Auctions
5.7.2 Specifying Rights and Obligations
5.7.3 Rules and Procedures for Spectrum Auctions
5.7.4 Spectrum Auctions in Practice
5.8 Secondary Markets
5.8.1 Defining Property Rights for Spectrum Trading
5.9 Administered Incentive Prices (AIP)
5.9.1 Introduction to Administered Incentive Prices
5.9.2 The Opportunity Cost of Spectrum
5.9.3 Administered Incentive Prices in Practice
5.9.4 Adjusting AIP spectrum prices
6 Spectrum Monitoring and Compliance
6.1 Spectrum Monitoring
6.1.1 Spectrum Monitoring Objectives
6.1.2 Emissions, Interference and Spectrum Use
6.1.3 Spectrum Monitoring Activities
6.1.4 International Spectrum Monitoring Cooperation
6.2 Spectrum Monitoring Technology
6.2.1 Monitoring Equipment
6.2.2 Monitoring System Architecture
6.3 Enforcing Compliance
6.3.1 Monitoring Compliance with Technical Standards
6.3.2 Solving Interference Problems
6.3.3 Inspections
6.3.4 Equipment Seizure and other Enforcement Actions
7 International Affairs
7.1 Introduction to International Affairs
7.2 Project Activities
7.2.1 ITU Related Project Activities
African Telecommunications Union
Asia-Pacific Telecommunity
Caribbean Telecommunications Union
CEPT European Conference of Postal and Telecommunications Administrations
CITEL - Inter-American Telecommunication Commission
GCC - Cooperation Council for the Arab States of the Gulf
RCC - Regional Commonwealth in the field of Communications
7.2.2 Recent ITU World Radio (WRC) and Regional Radio Conferences (RRC)
7.2.3 Project Activities Related to Other Global Inter-governmental Organizations
7.2.4 Other Bilateral and Multilateral Project Activities
7.3 Transactional Activities
7.3.1  ITU Related Transactional Activities
7.3.2 International Borderline Frequency Coordination
7.3.3 Other Transactional Activities
8 Developing Spectrum Management Capacity
8.1 Introduction to Developing Capacity
8.2 Organization
8.3 Human Resources and Training Development
8.3.1 Human Resources
8.3.2 Training Development
8.4 Business Processes
8.5 Consultative Practices
Module 6. Legal and Institutional Framework
Executive Summaries
1 Introduction
2 Why Regulate?
2.1 Evolution of Regulatory Reforms
2.2 Regulation in Transition to Competitive Market
2.3 Regulation in a Fully Competitive Environment
2.4 Benefits of Regulation
3 Legal Context of Regulatory Reform
3.1 Impact of Different Legal Traditions on the Regulatory Framework
3.1.1 Snapshot of Different Legal Traditions
3.1.2 Regulatory Frameworks in Different Legal Systems
3.1.3 Implementation of Regulatory Design
3.2 Impact of Multilateral and Regional Commitments
3.2.1 Role of the World Trade Organization
3.2.2 Regional Frameworks
3.2.3 Multilateral ICT Organizations
3.3 Maturity of the Market - Relationship between Telecommunications Legislation and Competition Policy
3.3.1 The Evolution from Sector-Specific Regulation to Competition-Based Regulation
3.3.2 Analysis of Jurisdictional Division of Power between Competition Authorities and Regulatory Institutions
3.3.3 Practical Lessons for Developing Countries
3.4 Impact of Other Legislation
3.4.1 Tax Law
3.4.2 Foreign Ownership
3.4.3 Consumer Protection Law
3.4.4 Property Law
4 Impact of Convergence
4.1 What is Convergence?
4.2 Different Approaches in Implementing ICT Regulation
4.2.1 Legislative Approach
4.2.2 Regulatory Approach
4.2.3 Self-Regulation Process
4.3 Modifications to Telecommunications Legislation to Address Convergence
4.3.1 Licensing
4.3.2 Spectrum
4.3.3 Interconnection
4.3.4 Numbering and Internet Protocol Addressing
4.3.5 Universal Service
4.4 Modification to Broadcasting and ICT Legislation to Address Convergence
4.4.1 Media and Broadcasting Legislation
4.4.2 Content
4.4.3 Intellectual Property Laws
4.4.4 Data Protection/Privacy Laws
4.5 Case Studies of Converged Legislation
4.5.1 European Union New Regulatory Framework (NRF)
4.5.2 Hong Kong (SAR)
4.5.3 Malaysia
5 Elements for an Effective Regulator
5.1 Establishing an Effective Regulator
5.1.1 Structural Independence
5.1.2 Financial Independence
5.1.3 Functionality
5.2 Insitutional Design Options
5.2.1 Overview and Comparison of Different Institutional Designs
5.2.2 Overview and Comparison of Different Organizational and Administrative Structures
5.3 Administrative Structures: Staffing and Renumeration
5.3.1 Staffing Process (staff retention and resource development)
5.3.2 Staffing Design
5.3.3 Job Descriptions
5.3.4 Remuneration Principles
5.3.5 Contracting of Consultants
5.4 Legal Status of Regulatory Authorities
5.4.1 Corporate Body vs. Administrative Body
5.5 Ethics Rules and Conflicts of Interest
5.5.1 Acceptance of Gifts
5.5.2 Personal and Financial Conflicts of Interest
5.5.3 Post-employment Prospects
5.6 Accountability of Regulators and Judicial Review
6 Functional Aspects of Regulation
6.1 Overview of Regulator's Functions and Responsibilities
6.1.1 Overview and Comparison of Different Institutional Designs
6.1.2 Overview and Comparison of Different Organizational and Administrative Structures
6.2 General Functions
6.2.1 Rulemaking Function
6.2.2 Oversight Functions: Overview of Dispute Resolution and Enforcement
6.2.3 Dispute Resolution among ICT Providers
6.2.4 Process for Resolving Consumer Complaints: Accountability for Consumers
6.2.5 Enforcement Authority
6.3 Core Responsabilities
6.3.1 Licensing
6.3.2 Competition Policy and Competitive Safeguards
6.3.3 Tariff Regulation
6.3.4 Interconnection
6.3.5 Spectrum Management
6.3.6 Quality of Service - Regulatory Roles and Responsibilities
6.3.7 Universal Access/Services
6.4 Non-core Responsibilities
6.4.1 Cybersecurity
6.4.2 ICTs and Climate Change
6.4.3 ICTs and Financial Services
6.5 Decision-Making Process and Constitutional Framework
6.5.1 Natural Justice/Procedural Fairness
6.5.2 Transparency
6.5.3 Avoiding Perceptions of Bias
6.6 Overview of the Public Consultation Process
6.7 Media Relations
7 Functional Aspects of Regulation
7.1 Overview of Regulator’s Competencies and Mandate
7.1.1 Rulemaking Function
7.1.2 Oversight Function
7.1.3 Licensing
7.1.4 Competition Policy and Competitive Safeguards
7.1.5 Tariff Regulation
7.1.6 Interconnection
7.1.7 Quality of Service – Regulatory Roles and Responsibilities
7.1.8 Consumer Protection
7.1.9 Establishment and Management of Universal Service Funds
7.2 Decision-making Process and Consultation Framework
7.2.1 Overview of the Public Consultation Process
7.2.2 Media Relations
7.2.3 Brief Summary
7.3 Accountability of Regulators and Consumer Protection
7.3.1 Accountability of Regulators
7.3.2 Accountability for Consumers
7.4 Dispute Resolution and Enforcement
7.4.1 Dispute Resolution
7.4.2 Enforcement
Module 7. New Technologies and Impacts on Regulation
Executive Summaries
1 Technology Trends
1.1 Fundamental Technological Changes
1.1.1 Digitalization
Compression
Modulation
Forward Error Correction (FEC)
1.1.2 Computerization
1.1.3 Packet based switching
1.2 The Internet
1.2.1 Internet Protocol (IP)
1.2.2 Internet design principles
Separation of networks and services
End-to-End architecture
Scalability
Distributed design & decentralized control
1.2.3 QoS
1.2.4 Security
1.2.5 Mobility and Nomadicity
1.2.6 IPv6
1.2.7 Peer 2 Peer
1.3 Mobile Communication
1.3.1 Mobile Standards
First Generation (1G)
Second Generation (2G)
Evolution of 2G (2.5G)
Third Generation (3G)
1.3.2 Mobile Services
Voice Services
Location Based Services
Multimedia Services
Corporate Services
Mobile Internet Access
1.3.3 Future Technologies
Software Defined Radio (SDR)
Cognitive Radio
1.4 Next Generation Networks (NGN)
1.4.1 Next Generation Core Networks (NGCN)
1.4.2 Next Generation Access Networks (NGAN)
ADSL
ADSL2, ADSL2+ & RE-ADSL2
VDSL & UDSL
Cable TV
PLC
FTTx
WiFi
WiMAX
Satellite
Digital Broadcast Infrastructures
Wireless Mesh networks
1.5 Convergence
1.5.1 Mobile Broadcast Convergence
1.5.2 Fixed Mobile Convergence
1.5.3 Converged Services
VoIP
IPTV
1.6 Information Society Technologies
1.6.1 The role of ICTs in other sectors
Marketed Services
Virtual Organizations
1.7 Disruptive Technologies
2 Market and Regulation
2.1 Direct and indirect technology implications
2.2 Implications of technology for the economics of the overall Market Structure
2.2.1 Service innovations
Internet
Key points and recommendations
Mobile communication
2.2.2 Network innovations
Copper-based telecom network
Cable TV networks (HFC)
Optical fibre networks
Power line communication
Mobile networks
Wireless networks (other than mobile)
Satellite
Key points and recommendations
2.2.3 Vertical Separation – the Scope for new Business Models
Internationalisation
Key points and recommendations
2.2.4 Horizontal integration
Key points and recommendations
2.3 Price regulation
2.3.1 The objective of price regulation
2.3.2 Current approaches to price regulation
Discretionary Price Setting
Rate of Return
Price Cap
Cost-Based Price Setting
2.3.3 Technology implications for price setting
2.3.4 Key points and recommendations
2.4 Interconnection
2.4.1 The objective of interconnection regulation
2.4.2 Interconnection products/service offerings
Circuit switched interconnection products
Unbundled network components
Packet switched interconnection products
2.4.3 Comparison of existing regimes for interconnection
2.4.4 Regulatory implications
Mobile communication
Development of next generation access network infrastructures
Increasing use of IP and other packet switching infrastructures
Convergence
Implications caused by in market structure
2.4.5 Key points and recommendations
2.5 (Re) Licensing
2.5.1 Objectives and current regulation
2.5.2 Implications of technology trends
Mobile communication
Development of next generation network infrastructures
Increasing use of IP and other packet switching infrastructures
Convergence
Implications caused by changes in market structure
2.5.3 Key points and recommendations
2.6 Universal Access
2.6.1 Objectives and current regulation
Universal Service Obligation
Universal Service Fund
2.6.2 Implications of technology trends
Mobile communication
Development of next generation network infrastructures
Increasing use of IP and other packet switching infrastructures
Convergence
Implications caused by changes in market structure
2.6.3 Key points and recommendations
2.7 Spectrum Management
2.7.1 Objectives for spectrum management
2.7.2 Regulatory framework for spectrum management
Allocation
Allotment
Assignment
2.7.3 Implications of technology trends
Development of next generation of network infrastructures
Mobile Communication
Convergence
Increasing use of IP and other packet switched infrastructures
Convergence
Implications mediated via changes in market structure
2.7.4 Key points and recommendations
2.8 Numbering
2.8.1 Objectives of numbering
2.8.2 Regulatory framework for allocation of numbers
2.8.3 Implications of technology trends
2.8.4 Key points and recommendations
2.9 Summary of regulatory implications
2.9.1 Regulatory implications from mobile communication
2.9.2 Regulatory implications from NGN
2.9.3 Regulatory implications from IP
2.9.4 Regulatory implications from convergence
2.9.5 Regulatory implications caused by changes in market structure
2.10 Key points and recommendations
3 New Regulatory Paradigm
3.1 The development so far and the new paradigm
3.1.1 The telecom reform process
3.1.2 The natural monopoly thesis
3.1.3 Transition phases
3.1.4 Consolidation and further development
3.1.5 Key points and recommendations
3.2 Technology and market trends
3.2.1 Regulation of convergence and divergence
Convergence
Divergence
Key points and recommendations
3.2.2 Changed relations between national and international level
International tariffs
Internationalization of telecom markets
Key points and recommendations
Public sector influence
3.2.3 Technology leapfrogging
Factors affecting leapfrogging
Key points and recommendations
Technology examples
3.3 Regulatory implications
3.3.1 Sector specific and/or general competition regulation
Key points and recommendations
Present discourse
Regulatory areas
3.3.2 Technology neutrality
Implications
Interpretations of the concept
Key points and recommendations
3.3.3 Infrastructure vs. service competition
Access competition
Key points and recommendations
New access infrastructures
The ‘ladder’ theory
3.3.4 Cost-based regulation
Cost-based pricing
Costs as a basis for technology choice
Key points and recommendations
3.3.5 Alternative business models
Diversifying participation
Focus of regulation
Key points and recommendations
3.3.6 Quality of Service (QoS)
Key points and recommendations
Regulation
Transition to packet-switching
3.4 Policy Integration
3.4.1 Integration of different categories of public policy intervention
Key points and recommendations
Modes of intervention
The broader policy context
3.4.2 Focus on innovation
Open the sector for innovations
Competition and innovation
Networks and services
Key points and recommendations
3.4.3 Standardization
Application and service standards
Intra- and inter-standard competition
Key points and recommendations
Network standards
3.4.4 Public-private partnership
Key points and recommendations
PPP in communications
The PPP discourse
3.4.5 Network and information security
Importance of security issues
Key points and recommendations
Protection measures
3.5 Organizational aspects
3.5.1 Organizational dimensions
3.5.2 Organizational issues
3.5.3 Organizational leapfrogging
3.5.4 Key points and recommendations
3.6 Key Points and Recommendations
3.6.1 Diversification of participation
3.6.2 Policy integration
3.6.3 Convergence and regulation
3.6.4 International outlook
3.6.5 Organizational change
4 Hot Topics
4.1 NGN
4.2 Wi-Fi
4.3 WiMAX
4.4 VoIP
4.5 IPTV
4.5.1 What is IPTV?
4.5.2 Classification of IPTV
4.5.3 Applying content regulation to IPTV providers
4.5.4 Licensing IPTV providers
4.5.5 Network unbundling
4.6 Mobile TV
4.6.1 What is mobile TV?
4.6.2 Classification of mobile TV
4.6.3 Applying content regulation to mobile TV
4.6.4 Licensing mobile TV providers
4.6.5 Spectrum issues
4.7 Other legal and regulatory issues impacting IPTV and mobile TV
4.7.1 Legal issues related to acquiring content
4.7.2 Vertical integration in content markets
4.7.3 Standards
4.7.4 Quality of service issues
4.7.5 Ownership issues
4.7.6 Regulatory authorities responsible for IPTV and mobile TV
4.7.7 Checklist for regulators introducing IPTV and mobile TV
Abbreviations