1. New structure of the COMPLIANCE DIRECTORATE Heather Clayton July 2002 Slide 1

2. Slide 2 Why Change Now? Key Changes –New Structures –New Roles Contents COMPLIANCE DIRECTORATE FRAMEWORK FOR 2002-3

3. Slide 3 Continued pressure to meet and improve on casework and CRS targets –New Directive requirement of four month case resolution Increasing pressure on compliance resources –Market reviews and non-case activity Continued development and implementation of regulatory framework for Broadband Preparations for Ofcom KEY PRIORITIES AND CHALLENGES

4. Slide 4 Programme Manager Broadband cases OLD STRUCTURE Programme Manager Networks/ interconnection Programme Manager (Other) Case Mangers Case workers Case Mangers Case workers Case Mangers Case workers Each team had a pre-determined technology area Team split made it difficult to move staff around quickly to deal with overloads Staff were also becoming ‘pigeon holed’

5. Slide 5 International Role for Reg Pol Director Broadband 1-4 Jim Niblett Director of Investigations 5,6 Heather Clayton Director Services & Dev Trevor Wood 7,8,9,10 Case Management Office & QA ACTs Secretariat Paul Rogers Broadband Co-ordinator Alistair Bridge Broadcasting Margaret Doherty Case Leaders, Sponsors & Executive Support working on: 1. Broadband Co-ordination 2.Broadband Policy Development 3.Broadband and Leased Lines Market Reviews 4.Broadband Cases (including PPCs) 5.Interconnect Dispute Resolution 6.Non-Broadband T ACT and C ACT Cases 7.Systems and Practice Development 8.Mergers 9.UK & EC Competition Law Development 10.Ongoing Compliance work Case Leaders, Sponsors & Executive Support working on: 1. Broadband Co-ordination 2.Broadband Policy Development 3.Broadband and Leased Lines Market Reviews 4.Broadband Cases (including PPCs) 5.Interconnect Dispute Resolution 6.Non-Broadband T ACT and C ACT Cases 7.Systems and Practice Development 8.Mergers 9.UK & EC Competition Law Development 10.Ongoing Compliance work NEW STRUCTURES - Management of Work

6. Slide 6 New Roles Case Leader and Case Sponsor New roles (not just new job titles) Case Leader: –Draws up and maintains case plan –Identifies key issues and commissions and co- ordinates work –Looks for linkages across Oftel –“Project Management”/audit trail –Brings in senior staff early for advice/decision where necessary

7. Slide 7 Case Sponsor –Regularly checks on progress –Acts as mentor and strategic adviser –Seeks to manage priority conflicts and wider linkages where Case Leader cannot No direct read-across to current roles Same principles apply to non-casework KEY ACTIVITIES - New Roles