Monday 14 March 2011 Windhoek, Namibia Sofie Maddens-Toscano ITU Expert

1. Validation Workshop Session 2.2: International and Regional Best Practice: Assessment of key elements for UAS in Africa and beyond Monday 14 March 2011 Windhoek, Namibia Sofie Maddens-Toscano ITU Expert

2. Introduction Key factors and regulatory trends relating to universal access and service (UAS) were identified A selection of best practice examples from around the world has been done

3. Legal Mandate and Institutional Framework • Legal Mandate: clear legal mandate in the law to support or address the concept of Universal Access and Service (UAS); • Good Governance: law provides for transparency, independence of UAS Agency, stakeholder consultation concerning definition, periodic review of Universal Access and Service targets and obligations; • Policy Co-ordination: law provides for co-ordination of policies at national level (UAS and ICT4D, ICT4E, national poverty reduction strategies, MDGs, cyber strategies, etc.);

4. Legal Mandate and Institutional Framework (2) • Range of Services: Internet, broadband and broadcasting services in addition to fixed and mobile voice services; • Consultation: the legal mandate clearly directs the ministry to develop a UAS Policy after consultation with relevant stakeholders; • Accountability: The law clearly mandates the regulator or identifies a designated agency for the implementation of the UAS Policy and clearly specifies its mandate.

5. Objectives, Principles and Scope • UAS Goals: clear definition in the law or other national policy document; • Access vs Service: a clear distinction is drawn; • Service Targets: a clear definition is given of specific ICT services and ICT applications that must be provided and to whom they must be provided;

6. Objectives, Principles and Scope (2) Range of Services: services beyond fixed and mobile voice are included, which could include Internet, broadband and broadcasting; Periodic Review: the periodic review of Universal Access and Service objectives, principles, scope, targets and obligations is provided for.

7. Variety of Strategies and Policies USOs: coverage and roll-out obligations on designated licensees Liberalisation: CPE, paging, ISPs, data communications, VANS, LLU, international gateways and undersea cables, and wholesale fibre;

8. Variety of Strategies and Policies (2) Strong Regulatory Framework: Flexible Spectrum Policy, Effective Competition Law/principles (control of dominance), Access and Interconnection (including local loop unbundling, asymmetric interconnection), Co-location and Infrastructure Sharing Funding: the definition of a range of UAS financing mechanisms, including the establishment of a Universal Service Fund;

9. Variety of Strategies and Policies (3) Supply-side Innovation: a mix of complementary and innovative strategies to create incentives for private sector to extend ICT networks, including through community participation; Demand-side Innovation: the establishment of a mix of complementary and innovative strategies to stimulate demand for access to ICT networks and services.

10. Monitoring, Enforcement and Sanctions • Key principles • Need for clarity • Need for parity • Need for Transparency • Need for Effective Monitoring and Enforcement

11. Monitoring, Enforcement and Sanctions (2) • Key elements • Scope of USOs: who • ReviewProcess: well-defined and regularprocess of review; • Differentiation: criteria are clearly provided for in the law (e.g. dominance); • Publication of Obligations • Monitoring: agency monitors progress;

12. Monitoring, Enforcement and Sanctions (3) • Key elements • Monitoring: agency monitors progress; • Publication of Progress • Enforcement: clear and proportionate enforcement mechanisms are in place as well as mechanisms by which operators can present their point of view

13. Financing of UAS • Range of Mechanisms • Funding Criteria • targeted and determined • transparent, non-discriminatory, inexpensive, and competitively neutral;

14. Financing of UAS (2) Clear Source of Funds Cross subsidies Implicit Funding: implicit (hidden) funding through fees and other indirect sources such as inter-carrier compensation fees / access deficit charges

15. Financing of UAS (3) Smart Subsidies: ‘smart subsidies’ encourage operators to enter the market rather than to creating an unending dependency on financing

16. Funds USF: the law provides for the establishment of a Fund, where one is required, and this decision is linked to a process of analysis of the market realities and consultation of stakeholders; Accountability: the law clearly identifies who is responsible and ensures independence

17. Funds (2) Financing of USF: all operators, paid at reasonable intervals, supplemented by alternative and collateral contributions; Transparency: the fund is audited bi-annually, and audits, and financial and activity reports are publicly available;

18. Funds (3) Project identification: the expenditure of funds prioritises public access points, telecentres, SMMEs, co-operatives or other projects – subject to a carefully-researched needs analysis; Project Selection: Competitive least subsidy bidding is used as the basis for selecting individual projects.

19. QoS QoS requirements: include clearly specified QoS components (supply of services, customer complaints and redress, faults, service quality, provision of designated USO services including free emergency calls, billing); QoS Monitoring: regular and independent assessment, and the results made publicly available;

20. QoS (2) Range of Services: QoS benchmarks are established in respect of all relevant services ; QoS Review: QoS components and benchmarks are regularly reviewed through a process of public stakeholder consultation.

21. Consumer Policy Charters: consumer protection requirements (e.g. customer service charters) are specified, publicised and binding; Channels: channels for consumer complaints are clearly specified, rest with the operator in the first instance, and include escalation procedures;

22. Consumer Policy (2) Information: operators are required to inform their customers of the rights as customers and consumers and of channels for complaints and escalation; Surveys: consumers are regularly surveyed in relation to QoS and complaints issues and level of satisfaction with operators and their services, and the results made publicly available;

23. Consumer Policy (3) Scope: consumer protection requirements exist in respect of all relevant services (fixed, mobile, Internet, broadband, broadcasting); Review: consumer protection criteria and requirements are subject to regular review with stakeholder participation.

24. Why Relevant? These key elements have been assessed in each of countries to provide Gap analysis – see next presentation Basis for revision of guidelines – checklist for tomorrow’s Group sessions to discuss Assessment Reports and Amendments to Guidelines

25. Thank You! Sofie Maddens Vice President, Regulatory Reform Director African Affairs sofie@tmgtelecom.com Telecommunications Management Group, Inc. 1600 Wilson Boulevard, Suite 710 Arlington, VA 22209 USA Tel: +1.703.224.1501 Fax: + 1.703.224.1511 www.tmgtelecom.com