1. Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 1 Prepared for: Monash University Subj: CSE5806 Telecommunications Management CSE5806 Telecommunications Management Lecturer: Ken Fletcher Lecture 2 Structure and Governance of the Australian Telecommunications Industry

2. 2 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Reference Sources n Dept of Communications, IT and the Arts (DCITA) –http://www.dcita.gov.au n Telecommunications Act 1997 n Telecommunications Industry Ombudsman –http://www.tio.com.au for general information –http://www.tio.com.au/other_orgs.htm good pointers to others n Australian Communications Authority –http://www.aca.gov.au n “Telecommunications Infrastructures in Australia 2001” –Prepared for ACCC by BIS Shrapnel - Technology Applications Group –Monash Library H384.306594 B623T 2001 These slides are based on material from these sources.

3. Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 3 Prepared for: Monash University Subj: CSE5806 Telecommunications Management NOTES This presentation contains ‘hidden slides’ Hidden slides will print in handouts, and can be viewed in ‘slide view’ and ‘slide sorter’ modes, but do not appear in ‘Slide show’ mode. The hidden slides contain more detail than can be covered in the lecture period

4. 4 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Legislation n Many pieces of legislation cover Telecommunications area. –Telecommunications Act 1997 is main one for this subject –for full list see DCITA website - most can be downloaded n Notes about legislation and terminology –Legislation under consideration by parliament is known as a ‘Bill’. Bills become ‘Acts’ when passed by the parliament Acts become law when given ‘royal assent’ by Governor General (usually quite soon after being passed). –Acts generally referenced by the title and date of the original act. As time goes by, amendments to the original act are passed by the parliament. Latest amendment to the Telecommunications Act 1997 (as of June 2003) is dated Feb 2003. If a very significant change is made, then the new Act will be given a new date and possibly a new title as well.

5. 5 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Telecommunications Act 1997 n Given Royal Assent 22 April 1997 (signed into law) n Has been amended several times since 1997 –ie is dynamic and current, not static and obsolete –Feb 2003 compilation about 530 pages in total n Telecommunications Act works with many other acts - eg –Radiocommunications Act 1992 –Trade Practices Act 1974 n Telecommunications Act covers all telecommunications of which any point is within Australian territory or control, including: –Australian continent, islands, and territorial waters –from undersea in Australian waters to stratosphere –specifically excludes a satellite above stratosphere,but covers the satellite earth stations or receivers in Australia

6. 6 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Objects of the 1997 Act n “The main object of this Act, when read together with Parts XIB and XIC of the Trade Practices Act 1974, is to provide a regulatory framework that promotes: (a) the long ‑ term interests of end ‑ users of carriage services or of services provided by means of carriage services; and (b) the efficiency and international competitiveness of the Australian telecommunications industry” n Other objects of this Act, …” Goes for two pages, and specifically includes –provision of basic services to all Australians –promotion of innovation and competiveness by industry –promotion of Australian industry –promotion of community safeguards –promotion of underground lines

7. 7 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Regulatory Policy 1997 n From Section 4 of Telecommunications Act 1997 n “4 Regulatory Policy The Parliament intends that telecommunications be regulated in a manner that: (a) promotes the greatest practicable use of industry self ‑ regulation; and (b) does not impose undue financial and administrative burdens on participants in the Australian telecommunications industry; but does not compromise the effectiveness of regulation in achieving the objects mentioned in section 3”. n (Sect 3 covered working with Trade Practices Act 1974 to provide a regulatory framework)

8. 8 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Regulation of Telecommunications (1) n The Act sets up a system for regulating telecommunications - summarised on this group of OHPs. (from Act Part 1 Sect 5) n Main entities regulated are carriers and service providers. n A carrier is the holder of a ‘carrier licence’ –“Owner of a network unit that is used to supply carriage services to the public must hold a carrier licence unless responsibility for the unit is transferred from the owner to a carrier.” –4 types of network unit (covered later in this presentation): –Carrier licences are subject to conditions. –There are 2 types of service provider: n The Australian Communications Authority (ACA) monitors significant matters relating to the performance of carriers and carriage service providers.

9. 9 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Regulation (2) - Industry Bodies Bodies and associations that represent sections of the telecommunications industry may develop industry codes. Industry codes may be registered by the ACA. Compliance with an industry code is voluntary unless the ACA directs a particular participant in the telecommunications industry to comply with the code. The ACA has a reserve power to make an ‘industry standard’ if there are no industry codes or if an industry code is deficient. Compliance with industry standards is mandatory.

10. 10 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Regulation (3) Carriers and CSPs Carriers and carriage service providers must protect the confidentiality of communications. The ACA, carriers and carriage service providers must do their best to prevent telecommunications networks and facilities from being used to commit offences. A carrier or carriage service provider may be required to have an interception capability - (see next point) Carriers and carriage service providers must ensure that it is possible to execute a warrant issued under the Telecommunications (Interception) Act 1979.

11. 11 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Regulation (4) - Support of Crises Carriage service providers may be required to supply carriage services for defence purposes or for the management of natural disasters. A carrier or carriage service provider may be required to enter into an agreement with the Commonwealth about: (a)planning for network survivability; or (b)operational requirements in times of crisis.

12. 12 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Regulation (5) Miscellaneous The ACA must require certain carriers and carriage service providers to provide pre ‑ selection in favour of carriage service providers. Carriers and carriage service providers may be required to comply with certain international conventions. The Minister may make Rules of Conduct about dealings with international telecommunications operators. Provision is made for the technical regulation of customer equipment, customer cabling and cabling work. The ACA may regulate numbering by means of a numbering plan.

13. 13 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Regulation (6) Miscellaneous 2 Provision is made for standard agreements for the supply of carriage services. The ACA and the ACCC may hold public inquiries about certain matters relating to telecommunications. The ACA may investigate certain matters relating to telecommunications. Certain switching systems must be capable of providing calling line identification. Provision is made for the following ancillary matters: (a)information ‑ gathering powers; (b)powers of search, entry and seizure; (c)review of decisions; (d)injunctions.

14. 14 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Summary of Act: n Act is comprehensive and all embracing n Works with other Acts and regulations n Significant volume of the Act is definitions of various aspects n General thrust of the Act, in line with much of the world, is to: liberalise the previously over-restrictive regimes, bring Telcos under normal community laws and regulation promote industry self-regulation promote competition, innovation and user-choices, while ensure that the good points of previous regimes are not lost - eg good rural communications n Has it succeeded? Looking good, but needs fine tuning

15. 15 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Telecommunications Carriers From : “Liberalisation of the Telecommunications Sector - Australia's experience” ( August 2002 - available on DCITA website) “A unique feature of competition in the telecommunications industry is that competitors have no option but to use each other's networks. Telephone, facsimile, internet and other services require 'any-to-any connectivity’” (emphasis added) n This feature is reflected heavily throughout the governing legislation and organisations

16. Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 16 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Administrative, Regulatory and Industry Bodies Main organisations involved.

17. 17 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Administrative and Regulatory n The functions of these bodies are detailed in the various Acts, (which allow provision for name changes eg see DCITA) –Australian Competition and Consumer Commission (ACCC) –Department of Communication, Information Technology and the Arts (DCITA) Formerly known as “Department of Communications and the Arts (DOCA) - Telecommunications Industry Division” –Australian Communications Authority(ACA) –Australian Communications Industry Forum (ACIF) –Australian Communications Access Forum (ACAF) –Telecommunications Industry Ombudsman (TIO)

18. 18 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Administrative and Regulatory (2) n Australian Competition and Consumer Commission (ACCC) Statutory body responsible for economic and competition aspects of telecommunications regulation –with powers and responsibilities to enable promotion of competition, fair trading, consumer protection within the telecommunications sector (and elsewhere) n Department of Communication, Information Technology and the Arts (DCITA) A department of the Australian Commonwealth Government –Reports to the Minister for Communications, Information Economy and the Arts

19. 19 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Administrative and Regulatory (3) n Australian Communications Authority (ACA) The Australian Communications Authority (formed 1997) is responsible for regulating telecommunications and radio communications n Australian Communications Industry Forum (ACIF) Peak self-regulatory body established to develop codes and standards as per ACA Act Evolved from National Industry Interworking Forum (NIIF) established prior to 1997 regulatory scheme

20. 20 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Administrative and Regulatory (4) n Australian Communications Access Forum (ACAF) Body declared by the ACCC to perform role of Telecommunications Access Forum (TAF) under the powers of the Trades Practices Act Self regulatory body open to all carriers and carriage service providers to promote governments aim to have decisions on access rights to be made by the industry rather than imposed by government regulation

21. 21 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Administrative and Regulatory (5) n Telecommunications Industry Ombudsman (TIO) An independent body acting as "last resort" for handling of complaints for customers of telecommunications services All carriers, carriage service providers and Internet service providers are required by legislation to join and fund the scheme TIO does not handle disputes between carriers and/or service providers, but only complaints lodged by consumers

22. 22 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Australian Industry Bodies n The organisations are voluntary industry associations Australian Telecommunications Users Group (ATUG) Australian Electrical & Electronic Manufacturers' Association (AEEMA) Australian Telecommunication Industry Association (ATIA) - a grouping with AEEMA Service Providers Industry Association (SPAN) Australian Information Industry Association (AIIA)

23. 23 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management ATUG n Australian Telecommunications Users Group A lobby group of predominantly corporate and business users of telecommunications services in Australia Membership open to any user of Australian telecommunications systems including private and public companies, carriers and service providers and individuals

24. 24 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management AEEMA and ATIA n Australian Electrical & Electronic Manufacturers' Association –Represents the Australian electrical and electronic industries on range of policy, technical/regulatory and commercial issues –Major Division (grouping) of AEEMA is Australian Telecommunications Industry Association (ATIA) ATIA brings together the AEEMA interests in the telecommunications / electronics sector. Membership includes both multinational and Australian- owned –AEEMA also has groupings representing the IT&T Security industry, the smart card industry (Asia Pacific Smart Card Forum) and t he Defence electronics industry

25. 25 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management SPAN n Service Providers Industry Association –A national industry association formed in 1993 to represent the service provider industry and organisations in related fields –Membership open to: organisations and individuals directly involved in the provision of telecommunication services to business and residential customers equipment manufacturers and suppliers, industry associations, government bodies, and anyone with a direct interest in the telecommunications industry –Policy is decided by a board of Directors elected by the membership

26. 26 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management AIIA n Australian Information Industry Association –National organisation representing the information technology and telecommunications (IT&T) industry of Australia –Telecommunications Committee including representatives from the carrier, service provider, equipment manufacturer, systems vendor, networking equipment vendor and software developer sectors deals with telecommunications related issues –Product Regulation & Standards Committee including member representative that deals with technical and regulatory matters

27. Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 27 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Telecommunications Carriers must have a Carrier Licence

28. 28 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Telecommunications Carriers n Chronology of Carriers of internal Australian telecommunications 1901 to 1975 PMG monopoly - supplier and regulator 1975 to 1990 Telecom monopoly - supplier and regulator 1990-1997 “Duopoly plus one” - –Duopoly (Telecom and Optus for fixed and mobile network) –One additional carrier (Vodaphone) for mobile network 1997 onwards - unlimited carriers without distinction between –technologies (radio, wireline, fibre etc), –fixed or mobile networks, –international or internal networks

29. 29 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Growth of Carriers: n Full list of Carriers and Nominated Carrier Declarations : http://www.aca.gov.au/aca_home/licensing/telcomm/list_of_licensed_carriers/carriers.htm http://www.aca.gov.au/aca_home/licensing/telcomm/list_of_licensed_carriers/carriers.htm Summary: –before 1 July 1997 Effectively two (or three), but under a different licensing regime –as at 1 July 2000 43 current Carrier Licences –as of 5 June 2003 94 current Carrier Licences (Year by year breakdown on next slide) (115 Carrier licenses issued, with 21 surrendered or withdrawn) 33 current ‘Nominated Carrier Declarations’ ie where someone else owns the equipment (39 declarations lodged, with 6 withdrawn or surrended) –See “Telecommunications licences June2003” on the subject ‘Resources’ web page for details and analysis

30. 30 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Carrier Licensing Concepts (1997+) n Open licensing regime - any body or organisation may apply n No distinction on basis of technology used –ie no licensing distinction between fixed, mobile, satellite, etc n No distinction between services which carry data or voice n A carrier licence must be held by the owner of network unit(s) used to supply carriage services to the public, unless: –a ‘nominated carrier declaration’ is in force; or –an exemption has been granted n Content Service providers are not individually licenced, but must comply with obligations specified in the Act n NOTE: Wireless LAN operators have certain obligations

31. 31 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management The 'General Rule’ n Before 1997 carriers were exempted from many laws Since 1997, carriers must comply with State and Territory laws –ie they must generally comply with building laws heritage and environment preservation etc There are some limited exceptions 'standing exemptions’ see Facility installation permits Telecommunications specific n Telecommunications Act 1997 Schedule 3—Carriers’ powers and immunities

32. 32 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Who MUST Hold a Carrier Licence? n Carriers and Carriage Service Providers (CSPs) must hold Carrier Licence –CSPs may the delivery agents for services from carriers (distinction for financial and legal reasons) n Owner of a network unit must not use or allow unit to be used to supply telecommunications carriage services to public unless –owner holds carrier licence; or –nominated carrier declaration is in force in relation to unit (effectively a legal statement that Party A owns the equipment which is being used by Party B to provide telecommunications services to the public) Organisations may apply to be a “nominated carrier” in relation to a particular network unit

33. 33 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management What is a Network Unit? n Generally - a ‘Network Unit” is one that has any of: Individual line links exceeding 500m each Multiple links exceeding 5km in total Designated radiocommunications links Mobile service base stations Satellite base stations Wireless local loop base stations Satellite-based facilities Double-ended interconnected fixed links Other links determined by the Minister n And is used for “supply to the public” (ie carriage service provided to the public for a fee)

34. 34 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management “Supply to the Public” n Means: Supply of Telecommunications Carriage Services to end- users outside ‘immediate circle of owner’ of unit. “Immediate circle of owner” includes –employees (but does this include ‘contracted organisations’ or ‘contract staff’?) –for a body corporate - officers of the body corporate and any related body corporate; and –a government body - special provisions apply

35. 35 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Service Providers n From Telecommunications Act 1997 Part 4, Section 85 A service provider is: (a)a carriage service provider; or (b)a content service provider. A carriage service provider is a person who supplies, or proposes to supply, certain carriage services. (see Telecommunications Act 1997, section 87) A content service provider is a person who supplies, or proposes to supply, certain content services. (see Telecommunications Act 1997, section 97) Service providers must comply with the service provider rules.

36. 36 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Carriage Service Providers (CSPs) n A person who supplies a carriage service to the public using a network unit is a “carriage service provider” and must have a Carrier Licence n Exemptions for: customers located on same premises; sole or principal use of a carriage service by –defence, –intelligence operations, –transport authority (eg railways and civil aviation authorities), –broadcaster or –electricity supply body

37. 37 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Data and/or Voice CSPs n 1997 Act makes no distinction between service providers which carry data or voice n Service providers which carry data or voice over network units are Carriage Service Providers and must have a licence

38. 38 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Content Service Providers n An organisation or person using a carriage service to supply content service to public is Content Service Provider n A content service is a broadcasting service or an on-line information, entertainment or other ‘content’ service The primary aim is to provide some content, not to provide carriage of communications from A to B Examples –Internet Access Network –1900 Network n Content Service Providers need not have a discrete Carrier licence, but are covered by a Class licence, which brings them under the requirements of the Act

39. 39 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Service Provider Regulation n No formal licensing requirements for Content Service Providers n Must comply with Service Provider Rules in Schedule 2 to the Telecommunications Act 1997 including: –other obligations in the Act on service providers (eg. compliance with industry codes) –to provide directory assistance, operator services and itemised billing to customers using standard telephone service; and –complying with access obligations n ACA can impose additional service provider rules –ACA must consult with ACCC before doing so

40. 40 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Service Provider Access Rights n All service providers have equal rights under access regime –Telstra does not have any legal or regulatory advantages n Any service provider can request and be supplied with services necessary from other service providers to enable them to supply carriage or content services n Access regime provided for under Trade Practices Act 1974 and administered by the ACCC n These rights are to facilitate competition

41. 41 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Sanctions - Service Providers n For a breach of service provider rules: –ACA may issue formal warning –ACA may give a written direction requiring remedy of the breach n Civil penalties under Part 31 –if Federal court satisfied that contravention occurred, service provider may be fined up to $250,000 if it is a body corporate, or $50,000 if it is an individual

42. 42 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Carrier Licensing: Exemptions n Exemptions granted pre 1997 will be broadly continued for: –defence, intelligence organisations –transport authorities, –electricity supply bodies –broadcasters (on more limited grounds) –under previous laws n Exemptions allow purpose-based use and sale of remaining capacity to carriers only eg a Carrier may sell excess capacity to other carriers and CSPs

43. 43 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Carrier Licensing - Fees n Fees are based on a ‘User pays’ principle (ie recovery of costs by the government) –Feb 2002 Carrier Licence application fee $10,000 –June 2002 Carrier Licence annual fee larger of $10,000 or Carrier’s share of CoA costs in governing the industry (ACA, AAAC, DOCITA, ITU etc) (ACA costs effectively about $18.5M in 2001-2002) (other CoA costs not considered in this lecture) “Carrier’s Share” is based on (carrier telecommunications income) / (total for all licence holders) –Annual fees (FY 2000/20001) range from $10,000 for a licence holder with no income, to estimated $13M+ for Telstra

44. 44 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Carrier Licensing: Benefits Right to use own facilities to provide public services Powers and immunities (planning laws and tort) Facilities access rights

45. 45 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Sanctions - Carriers n Cancellation of carrier licence –failure to pay annual charge, universal service levy –carrier becomes `disqualified’ n Breach of carrier licence condition –ACA may issue formal warning –ACA may give written direction requiring remedy of the breach n Civil penalties under Part 31 –f Federal court satisfied that contravention occurred, carrier may be fined up to $10million for each contravention

46. Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 46 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Pre-Selection and Numbering Issues 1. Pre-selection is the concept that a consumer may use a particular carrier by default when dialing 2. A National Numbering Plan is used to provide consistency of approach for all telephone numbering in Australia. 3. An Integrated Public Number Data Base must be maintained 4. Number Portability

47. 47 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Preselection n Obligations on carriers and CSPs –must permit an end-user to preselect preferred CSP and change that selection at will –only required to provide preselection for preselectable services –on a 'single basket' basis –must permit use of over-ride dial codes for standard telephone service on a call by call basis n ACA requires each carrier and CSP to provide preselection –determination gazetted (commenced) July 1997 –only applies to standard telephone service (excluding calls to and from mobile networks) –ACA may exempt carriers and CSPs from requirement to provide preselection –Terms and conditions for preselection transfers to be agreed between carriers and CSPs

48. 48 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Numbering n Public numbers of a CSP customer are kept in a Database –Name, address, phone no –Location of phone, if practicable use of phone - government, business or private other information required by ACA –Database must show that a number is unlisted –Includes payphones –Regulatory and law enforcement bodies have access to Database n ACA Manages Numbers for telecommunications services through National Numbering Plan ACA made a new Numbering Plan from 1 January 1998 –adopts elements of previous National Numbering Plan –additional features and functions

49. 49 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Numbering Plan n ACA has Number plans for geographic, mobile, data and special service numbers n Number change schedules for geographic and special service numbers - eg recent change to 8 digit numbers - are managed by ACA n ACA sets rules for management of numbers: number allocation to carriage service providers customers' and carriage service providers' rights of use to allocated numbers management of number migrations and reservations

50. 50 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Number Portability n Portability is the ability of a customer to keep same phone number at same location when changing between carriage service providers n ACCC has directed number portability for local, freephone (1 800) and local rate (13xxxx and 1300xxxxxx) services n ACA has included rules on portability in Numbering Plan n ACA set dates for Local Number Portability interim from 1 May 1997 full portability from 1 January 2000

51. Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 51 Prepared for: Monash University Subj: CSE5806 Telecommunications Management National Interest Matters Privacy of Communications Law Enforcement matters Crisis Management

52. 52 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management National Interest Matters n Carriers & CSPs must do their best to prevent telecommunications networks from being used to commit offences - including unlawful interception and manipulation n Carriers & CSPs must give government officers and authorities such help as reasonably necessary for: law enforcement, including interception of communications; protecting public revenue; and safeguarding national security

53. 53 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Interception n Telecommunications (Interception) Act 1979 deals with when interception is allowed and how intercepted product can be used; n Telecommunications Act 1997 deals with extent of obligations of CSPs to make their service interceptible n Recent technological changes have created some issues eg mobiles and computerised exchanges

54. 54 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Law Enforcement Cooperation n Carriers & CSPs must comply with any Attorney-General’s determination about interception or provision of special assistance to law enforcement agencies n Exemptions from compliance may be granted in certain circumstances n Carriers & nominated CSPs must lodge Interception Capability plan with ACA n Carriers & nominated CSPs must notify ACA of technological changes affecting interception

55. 55 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Additional Obligations on CSPs n Consult with law enforcement about plans to introduce new technology - eg new technology must permit law enforcement access to information about phone numbers and locations Internet Service Providers may also be affected by this n Ensure possible to execute warrant issued under Telecommunications (Interception) Act 1979 –See Service Provider Rule (Part 4 of Schedule 2 to the Act) n Provision of information for the Integrated Public Number Database

56. 56 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Consultation Arrangements n CSPs to consult law enforcement agencies about new technology - useful for intercepting agencies n ACA runs a committee which is the vehicle for consultation n In the past, this has worked well with major carriers –less well with service providers and minor carriers - probably because they lack understanding of the law

57. 57 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Emergency Call Services n ACA may impose requirements on any or all of the following, in relation to emergency call services: carriers carriage service providers emergency call person n Telstra is the ‘Emergency Call Person’ Operates the emergency call service: –answering calls to 000 –transferring those calls to the relevant Emergency Service Organisation (ESO) for the caller's geographical area –forwarding data to the ESO - eg calling number and location

58. Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 58 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Customer Service Guarantee (CSG) CSG is the basic service standard to be met. Past performance on service requests has led to the establishment of the CSG

59. 59 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Customer Service Guarantee (CSG) n What it is –Minimum set of performance standards - for connections, fault resolution, site visits –Covers standard phone service & specific call handling features –Legally binding on CSPs providing these services n Why it is needed –Designed to improve poor customer service in some areas –Drive improvement where there is little or no competition eg rural n How it works –Financial compensation to customers –Implemented by carriage service providers –No specific enforcement provisions in original Act ACA monitors and reports performance TIO handles unresolved individual complaints

60. 60 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Specified Customer Services n The types of services affected are: Connections (includes re-connections) –In-place - ie re-connection of a previously existing service –New connections where there is available infrastructure where there is no available infrastructure Fault repairs Appointment times for any service call

61. 61 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management CSG Standards n In-place connections - –3 working days from customer request n New connections, where close to available infrastructure –1 week for communities above 10,000 –2 weeks for communities between 2,500 and 10,000 –8 weeks for communities less than 2,500 n Standards also exist for fault repairs & information provision n Half-day appointments must be offered for site attendance –ie the CSP must propose a half day window –Full day appointments can only be offered if a half day appointment has been offered and is not acceptable Appointments missed by more than 15 minutes attract a penalty payment

62. 62 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Penalties n Example: For failing to reinstate an acceptable service within the time window –$11.65 per day first 5 days - residential –$20.00 per day first 5 days - business –$40.00 per day after 5 days a 'day' is a working day, Monday-Friday n Note the term ‘re-instate an acceptable service’ In some cases this could allow the CSP to provide a temporary mobile or satellite phone (at fixed line rates) where it cannot establish or repair a fixed line within the CSG period.

63. 63 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management CSG - Main Areas of Concern n Areas of concern regarding the CSG –Connection definitions and times –Waiver arrangements –Faults blamed on ‘another network’ –Appointments being ignored, not met, changed arbitrarily –Exemptions being claimed for inadequate or marginal reasons –Compliance reporting is sometimes biased n Some elements of CSPs are behind current community expectations –A boy died of an asthma attack (2002) because parents could not call for help as phone was out of service n CSG is under constant review

64. 64 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Further information on CSG your phone company the TIO - www.tio.com.au the ACA - www.aca.gov.au

65. Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 65 Prepared for: Monash University Subj: CSE5806 Telecommunications Management ACA Internal Organization Telecommunications Standards Group Telecommunications Standards and Compliance International Liaison and Cabling Promotion Coordination

66. 66 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Standards and Compliance n Provides high level technical services n Represent ACA's interests in development and maintenance of technical standards n Develop and maintenance of compliance regimes and mutual recognition arrangements (MRAS) n Manage delegated responsibilities (certification body, issuing of connection permits)

67. 67 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management International Liaison & Cabling n Provide high level advice on international and regional activities n Act as a cabling technical reference point for the industry n Manage delegated responsibilities (Cabling provider rules)

68. 68 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Promotion Coordination Stream n Manage industry and public information (publicity & promotion) on Group IS functions and activities n Develop & co-ordinate Group's input to the ACA's Web Site n Assist in the development/implementation of policies/practices for effective industry awareness of regulatory requirements n Hold/represent ACA in conferences and seminars

69. Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 69 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Technical Regulation - Overview Based on policy of industry self regulation, where reasonable Formation of ACA (AUSTEL & SMA) Transfer of certain responsibilities to the Australian Competition and Consumer Commission (ACCC) Formation of Aust. Communications Industry Forum (ACIF)

70. 70 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Self-Regulation with a Safety Net 1997 Section 4 Regulatory Policy “The Parliament intends that telecommunications be regulated in a manner that: (a) promotes the greatest practicable use of industry self ‑ regulation; and (b) does not impose undue financial and administrative burdens on participants in the Australian telecommunications industry; but does not compromise the effectiveness of regulation in achieving the objects mentioned in section 3”. n (Sect 3 covered working with Trade Practices Act 1974 to provide a regulatory framework)

71. 71 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Aust. Comms Industry Forum (ACIF) n ACIF's objectives include: developing –communications standards (mandatory & voluntary) and –codes of practice; addressing issues affecting communications facilities and services; –technical, –consumer and –operational being an information source for its members, government agencies etc.; and promoting industry progress and harmony with minimal regulatory or legislative intervention.

72. 72 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Technical Standards n ACA does, or may delegate, to the ACIF: Preparation of.. –Section 376 Technical Standards, –Section 380 Disability Standards –Connection Rules, and –Cabling Provider Rules. Provision of support for international standardisation Licensing of cablers and related functions.

73. 73 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Technical Standards (2) n Scope –health & safety protection, –network integrity protection, –interoperability - standard telephone service only, –access to emergency services, and –achieving objectives specified in the regulations n By 1999, 21 ACA Technical Standards made n Compliance mandated by the Labeling Instrument n Type approval regime replaced by a compliance labeling regime

74. 74 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Technical Standards (2) n Currently ACIF is : –developing various technical standards –reviewing ACA Technical Standards, and –developing industry voluntary standards or codes n Examples of requirement covered by AUSTEL technical standards but not ACA technical standards: –voice quality i.e. frequency response and distortion requirements; –EMI or EMC requirements, but covered by an amendment to the Radiocommunications Act 1992; and –digital standards equipment interoperability requirement;

75. 75 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Compliance Labeling Instrument n Determined by ACA under s. 407 of the Act n specifies: –which customer equipment (CE) or customer cabling (CC) must be labeled as compliant or non-compliant, –applicable technical standards, –requirements for labeling of authorised or permitted items, –nature, content, physical characteristics of labels. –compliance and non-compliance symbols and conditions for use. requirements to be met before compliance label applied: –test report or test report from Recognised Testing Authority, or –written statement from a Certification Body, or –written statement from a Competent Body, or –evidence of a recognised overseas type approval, or –EU-MRA TTE Annex compliance certification

76. 76 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Compliance Labeling (2) n The Compliance Labeling Instrument also specifies: requirements to be met after a compliance label is applied –maintaining defined records of compliance, in a Compliance folder, –records to be made available for auditing by the ACA. If item is non-compliant, –mark item packaging with a prescribed cautionary note, and –include a prescribed cautionary note with the item n Customer equipment (CE) coming under the ACA EMC Framework, unless exempted under that framework, must also be labeled with the C-Tick symbol to indicate compliance with that framework.

77. 77 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Lawful Connection of CE & CC n Where item not required to be labeled, it may be connected n Where required to be labeled: if labeled as compliant, it may be connected, or if labeled as non-compliant, it cannot be connected. Exceptions apply: eg –Connection Rule, or –Connection Permit, –Network or facility manager consent (in writing) n Connection not to be refused unless carrier or carriage service provider has reasonable grounds to refuse. "Reasonable grounds" are defined in the Act, and relate to potential to cause harm to the network or persons.

78. 78 Copyright Ken Fletcher 2004 Australian Computer Security Pty Ltd Printed 30-Jun-15 01:01 Prepared for: Monash University Subj: CSE5806 Telecommunications Management Summary n Self regulation where possible, with regulator safety net n ACIF established by industry to facilitate self regulation. n Permit process replaced by a labeling regime, but existing permits accommodated for interim period (to 1999). n New telecommunications compliance and non-compliance symbols, and C-Tick use still required. n Customer cabling products now to be labeled n Australian manufacturers and importers now bear the compliance labeling responsibilities, not the suppliers per se n Graded compliance demonstration approach n Lawful connection possible where item is labeled non- compliant