Draft Enforcement Guidelines - Ofcom’s draft guidelines for the handling of competition complaints, and complaints and disputes concerning regulatory rules
Summary
Summary
1.1 Given Ofcom’s principal duty to further the interests of citizens and consumers, enforcement (-1-) is an important part of Ofcom’s overall strategic approach to regulation. Strategy and policy development alone are not sufficient to achieve Ofcom’s objectives, set in the light of Ofcom’s various duties. It is necessary to be prepared to take action to enforce those rules.
1.2 As the UK’s communications regulator, Ofcom has sectoral powers to establish regulatory policies and rules operating in UK communications markets and to take action to enforce those rules and to resolve disputes.
1.3 As one of UK’s national competition authorities, Ofcom also has specific powers under competition law to investigate complaints or concerns about anti-competitive conduct in communications or related markets.
1.4 Ofcom’s strategy regarding the use of competition law is set out in these Guidelines. In summary, Ofcom will approach the question of how to proceed with complaints or investigations raising competition issues by considering whether a more appropriate way of proceeding would be under competition law or under sectoral powers.
1.5 These Guidelines set out Ofcom’s approach to handling of complaints and disputes, and the procedures Ofcom uses in conducting investigations and resolving disputes. The purpose of these guidelines is to set out how Ofcom will seek to manage its enforcement resources to meet its statutory duties, and to set out clearly the processes we will adopt.
1.6 Two specific categories of Ofcom’s enforcement activity are not covered by these Guidelines: complaints relating to content issues, which are covered by separate Guidelines issued by Ofcom’s Content and Standards team (-2-) and also complaints in respect of issues relating to electromagnetic spectrum and harmful interference.
1.7 Although Ofcom has a primary role in enforcing regulatory rules and competition law in communications markets, it has limited resources and, in some circumstances, the interests of citizens and consumers are best served by referring matters to other agencies better placed to deal with those issues, or for parties to pursue private legal actions. These guidelines give those affected by Ofcom’s decisions about whether to take forward an investigation a clear sense of Ofcom’s approach to these questions.
1.8 Ofcom’s previous guidelines on the handling of competition investigations were published in July 2004. Since that time Ofcom has carried out a full review of its investigations function, and as a result of this review Ofcom has refined its approach in this area. These revised Guidelines also reflect Ofcom’s growing body of practice and established decisions, as well as the developing jurisprudence of the Competition Appeal Tribunal and the Community Courts.
1.9 In these revised Guidelines Ofcom sets out a number of changes to its existing processes for the handling of competition complaints, and complaints and disputes concerning regulatory rules, including the following:
- More information about Ofcom’s approach to consumer protection;
- Greater clarity about the handling of investigations, including the factors that Ofcom will consider in deciding whether to conduct an investigation;
- Changes to Ofcom’s timing for the handling of competition law investigations; and
- Information about Ofcom’s approach to enforcing BT’s Undertakings.
1.10 Ofcom is consulting on these revised Guidelines. Written views and comments on these Guidelines are requested by 14 September 2006. Following the end of the consultation period, Ofcom intends to publish the finalised version of these Guidelines.
Footnotes
1.- Note that, in these Guidelines, the term ‘enforcement’ is used in a broad sense to include, for example, the activity of resolving regulatory disputes referred to Ofcom.
2.-http://www.ofcom.org.uk/tv/ifi/guidance/standards/
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