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Ofcom: the effectiveness
of converged regulation
Emily Scraggs, Jonathan Cave, Christian van Stolk,
Dimitris Potoglou, Simo Goshev, Mihaly Fazekas,
Siobhán Ní Chonaill, Barbara Janta, Laura Brereton
Prepared for the Naional Audit Office
EUROPE
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Published 2012 by the RAND Corporation
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The research described in this document was prepared for the National Audit Office.
iii
Preface
As part of a wider study to evaluate the effectiveness of Ofcom as a converged regulator,
the National Audit Office commissioned RAND Europe to undertake comparative
research on Ofcom in relation to communications regulators in other jurisdictions. This
work began in February 2010 and was completed in July 2010. This report presents the
findings of the research conducted on five case study areas as follows:
Next generation access networks (NGAN)
Access in the context of local loop unbundling (LLU)
Access to emergency services over voice-over internet protocol (VOIP)
Spectrum planning at the Olympics
Management of mobile mis-selling.
The report consists of the following parts:
Executive summary which focuses on the key findings and conclusions
Synthesis and analysis of the key themes emerging from the case study analysis
Detailed description of the key findings in each of the case studies (in the appendices).
The findings are based on a review of the relevant literature in each country and follow-up
interactions with experts in those countries.
The study will be of interest to those researching communications regulation in the UK
and internationally.
RAND Europe is an independent not-for-profit policy-research organisation whose
mission is to help improve policy and decision-making through research and analysis. We
realise our mission by undertaking objective, balanced, relevant research and analysis,
sharing insights and information widely, working in partnership with our clients and
working collaboratively. This report has been peer reviewed in accordance with RAND’s
quality assurance standards (see: http://www.rand.org/standards).
Ofcom: the Effectiveness of Converged Regulation RAND Europe
i
v
For more information about RAND Europe or this document, please contact:
Dr Emily Scraggs or Dr Christian van Stolk
RAND Europe
Westbrook Centre
Milton Road
Cambridge CB4 1YG
United Kingdom
Tel. +44 (1223) 353 329
escraggs@rand.org
v
Contents
Preface iii
List of figures and tables vii
Summary ix
CHAPTER 1 Introduction 1
CHAPTER 2 Methodology 6
CHAPTER 3 Synthesis of key findings in case studies 9
3.1 Introduction 9
3.2 Next generation access (NGA) 9
3.3 Local loop unbundling 13
3.4 Voice-over internet protocol access to emergency services 19
3.5 Spectrum planning for the 2012 London Olympics 23
3.6 Mobile mis-selling 28
REFERENCES 33
List of references 35
APPENDICES 43
Appendix A: Acronyms, glossary, regulators and other organisations 45
Appendix B: Methodology 53
Appendix C: Background and context 57
Appendix E: Access – local loop unbundling case study 71
Appendix F: Voice-over internet protocol case study 77
Appendix G: Spectrum Olympics case study 85
Appendix H: Mobile mis-selling case study 93
vii
List of figures and tables
Table 1.1: Separation of communication regulation functions in main case study
countries 3
Table 2.1: Benchmarks for each case study area 6
Table 3.1: Summary of next generation access networks case study 13
Figure 3.1: Evolution of local loop unbundling in the EU case studies 17
Figure 3.2: Number of unbundled lines 17
Table 3.2: Summary of local loop unbundling case study 19
Table 3.3: Summary of voice-over internet protocol emergency service access case
study 22
Table 3.4: Summary of Olympic spectrum policy case study 28
Table 3.5: Summary of mobile mis-selling case study 31
Table A.1: Acronyms and glossary 52
Table A.2: Regulators and other international/domestic
organisations…………………………………………………………
……… 57
Table B.1: Case studies and countries 53
Table B.2: Characteristics of potential case studies 54
Table B.3: Topics covered within templates 55
Table D.1: Next generation fixed-line access network technologies 63
Table D.2: Next generation wireless access network technologies 65
Figure E.1: Evolution of local loop unbundling in the EU case studies 72
Figure E.2: Number of unbundled lines 72
[...]... reallocation of responsibilities since 2006 4 These are multi-sector rather than converged regulators 3 Ofcom: the Effectiveness of Converged Regulation RAND Europe Italy, The Netherlands, the USA and the mandate of the Information Society and Media Directorate General of the European Commission (EC DGINFSO) itself The United States Federal Communications Commission (FCC) has always been a converged regulator,... February and April 2010.1 The main focus of this research was to provide an assessment of the success with which Ofcom has delivered regulatory outcomes by comparing them with the activities of other communications regulators in other countries The purpose of the research was to put the performance of Ofcom in an international context and to see whether Ofcom can draw any lessons from the approaches taken... regulators in other countries The purpose of the research was to put the performance of Ofcom in an international context and to see whether Ofcom can draw any lessons from the approaches taken and operational capacities developed by other regulators The findings of the report are based on a series of specific case studies reflecting particular policy areas These were jointly selected by the NAO, the study... cashback offers, in which the customer is promised refunds after the purchase that are impossible to get Looking at the extent of these mis-selling problems, in the UK we can see that there has been a dramatic reduction in the number of instances between 2007 and 2009 From the perspective of the consumer, in the UK mobile mis-selling is a reducing problem and therefore the public is less exposed to these... have been included in the study The long list was developed on the basis of the areas of interest of the NAO, technological developments in the sector, public interest and the potential future impact of the area The case studies that were chosen were selected on the basis of additional criteria, including the likelihood of accessing interesting data, considerations around the NAO audit programme in this... communities 3.3 Local loop unbundling Focus of the case study The local loop is the local access network which provides a set of wires going into people’s houses and other premises, thereby enabling the use of communication technologies LLU provides access to 13 Ofcom: the Effectiveness of Converged Regulation RAND Europe the local loop for alternative providers to offer services to end users LLU can take... further the interests of consumers in relevant markets where appropriate through competition The NAO published a study in 20062 on the costs and challenges arising from the creation of Ofcom That study reviewed the decisionmaking process behind the creation of Ofcom and how the merger was carried out, and undertook an early review of the extent to which it had achieved its high-level objectives The. .. planning for the 2012 London Olympics Mobile mis-selling In terms of the methodological processes applied to the development of these case studies, a number of steps were taken, as follows: 6 Ofcom: the Effectiveness of Converged Regulation RAND Europe Clarification meeting with NAO, RAND Europe and Ofcom: Once a short list of case studies had been developed, a meeting was held with the NAO, RAND... indications of the performance of Ofcom compared to other national communications regulators This report sets out the findings of research commissioned by the National Audit Office (NAO) and undertaken by RAND Europe between February and July 2010 The main focus of this research was to provide an assessment of the success with which Ofcom has delivered regulatory outcomes by comparing them with other national... France, 2004-4 0 France, 2004-3 1,000,000 Ofcom: the Effectiveness of Converged Regulation 3.3.5 RAND Europe The UK compares favourably to other countries on penetration and price In terms of broadband penetration, in 2008 the OECD set out the numbers of broadband subscribers per 100 inhabitants The UK was marginally higher in terms of penetration than the other countries included in this comparative . analysis of the key themes emerging from the case study analysis Detailed description of the key findings in each of the case studies (in the appendices). The findings are based on a review of the. Germany, The Netherlands, France and Sweden there has been a reallocation of responsibilities since 2006. 4 These are multi-sector rather than converged regulators. Ofcom: the Effectiveness of Converged. advantages and drawbacks of these approaches depend on the scope of the change required, the range of parties involved, the speed of response required and the importance of different parties’
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