PART 2 continued CHAPTER 1 continued
(4) A charge may be fixed so as to be referable to a time before it is fixed to the extent only that both—
(a) the imposition of the charge, and
(b) the amount of the charge,
are required by, and consistent with, the statement of charging principles in force at the beginning of the charging year.
(5) Before making or revising a statement of charging principles, OFCOM must consult such of the persons who, in OFCOM’s opinion, are likely to be affected by those principles as they think fit.
(6) The way in which a statement of charging principles must be made or may be revised is by the publication of the statement or revised statement in such manner as OFCOM consider appropriate for bringing it to the attention of the persons who, in their opinion, are likely to be affected by it.
(7) References in this section to a statement of charging principles are references to a statement by OFCOM of the principles that they are proposing to apply in fixing charges under section 38 for a charging year.
(8) In this section “charging year” has the same meaning as in section 38.
(1) OFCOM are not entitled to bring proceedings for the recovery from a person of an administrative charge fixed for any year under section 38 unless they have given that person a notification under this section with respect to the amount they are seeking to recover.
(2) Where OFCOM determine that there are reasonable grounds for believing that a person is in contravention (whether in respect of the whole or a part of a charge) of a requirement to pay such an administrative charge, they may give him a notification under this section.
(3) A notification under this section is one which—
(a) sets out the determination made by OFCOM; and
(b) specifies the period during which the person notified has an opportunity of doing the things specified in subsection (4).
(4) Those things are—
(a) making representations about the notified determination; and
(b) paying the unpaid charge or (as the case may be) the amount outstanding.
(5) Subject to subsections (6) to (8), the period for doing those things must be the period of one month beginning with the day after the one on which the notification was given.
(6) OFCOM may, if they think fit, allow a longer period for doing those things either—
(a) by specifying a longer period in the notification; or
(b) by subsequently, on one or more occasions, extending the specified period.
(7) The person notified shall have a shorter period for doing those things if a shorter period is agreed between OFCOM and the person notified.
(8) The person notified shall also have a shorter period if—
(a) OFCOM have reasonable grounds for believing that the contravention is a repeated contravention;
(b) they have determined that, in those circumstances, a shorter period would be appropriate; and
(c) the shorter period has been specified in the notification.
(9) A notification under this section—
(a) may be given in respect of contraventions of more than one requirement to pay an administrative charge; and
(b) if it is given in respect of a continuing contravention, may be given in respect of any period during which the contravention has continued.
(10) Where a notification under this section has been given to a person in respect of an amount outstanding, OFCOM may give a further notification in respect of the whole or a part of that amount if, and only if—
(a) the subsequent notification is in respect of so much of a period during which that amount was outstanding as falls after a period to which the earlier notification relates; or
(b) the earlier notification has been withdrawn without a penalty having been imposed in respect of the matters notified.
(11) For the purposes of this section a contravention is a repeated contravention, in relation to a notification with respect to that contravention, if—
(a) a previous notification under this section has been given in respect of the same contravention or in respect of another contravention of a requirement to pay an administrative charge; and
(b) the subsequent notification is given no more than twelve months after the day of the making by OFCOM of a determination for the purposes of section 41(2) that the contravention to which the previous notification related did occur.
(1) This section applies where—
(a) a person (“the notified charge payer”) has been given a notification under section 40;
(b) OFCOM have allowed the notified charge payer an opportunity of making representations about the notified determination; and
(c) the period allowed for the making of the representations has expired.
(2) OFCOM may impose a penalty on the notified charge payer if he—
(a) has, in one or more of the respects notified, been in contravention of a requirement to pay an administrative charge fixed under section 38; and
(b) has not, during the period allowed under section 40, paid the whole of the notified amount outstanding.
(3) Where a notification under section 40 relates to more than one contravention, a separate penalty may be imposed in respect of each contravention.
(4) Where such a notification relates to a continuing contravention, no more than one penalty may be imposed in respect of the period of contravention specified in the notification.
(5) The amount of a penalty imposed under this section is to be such amount, not exceeding twice the amount of the charge fixed for the relevant year, as OFCOM determine to be—
(a) appropriate; and
(b) proportionate to the contravention in respect of which it is imposed.
(6) In making that determination OFCOM must have regard to—
(a) any representations made to them by the notified charge payer; and
(b) any steps taken by him towards paying the amounts that he was notified under section 40 were outstanding.
(7) Where OFCOM impose a penalty on a person under this section, they shall—
(a) within one week of making their decision to impose the penalty, notify that person of that decision and of their reasons for that decision; and
(b) in that notification, fix a reasonable period after it is given as the period within which the penalty is to be paid.
(8) A penalty imposed under this section—
(a) must be paid to OFCOM; and
(b) if not paid within the period fixed by them, is to be recoverable by them accordingly.
(9) In this section “the relevant year”, in relation to a contravention of a requirement to pay the whole or a part of the administrative charge fixed for any year, means that year.
(10) The provisions of this section do not affect OFCOM’s power, apart from those provisions, to bring proceedings (whether before or after the imposition of a penalty under this section) for the recovery of the whole or part of an amount due to them under section 38(1).
(1) OFCOM may give a direction under this section to a person who is a communications provider or who makes associated facilities available (“the contravening provider”) if they are satisfied—
(a) that he is or has been in serious and repeated contravention of requirements to pay administrative charges fixed under section 38 (whether in respect of the whole or a part of the charges);
(b) that the contraventions are not contraventions relating only to charges in respect of the application to the contravening provider of SMP apparatus conditions;
(c) that the bringing of proceedings for the recovery of the amounts outstanding has failed to secure complete compliance by the contravening provider with the requirements to pay the charges fixed in his case, or has no reasonable prospect of securing such compliance;
(d) that an attempt, by the imposition of penalties under section 41, to secure such compliance has failed; and
(e) that the giving of the direction is appropriate and proportionate to the seriousness (when repeated as they have been) of the contraventions.
(2) A direction under this section is—
(a) a direction that the entitlement of the contravening provider to provide electronic communications networks or electronic communications services, or to make associated facilities available, is suspended (either generally or in relation to particular networks, services or facilities); or
(b) a direction that that entitlement is restricted in the respects set out in the direction.
(3) A direction under this section—
(a) must specify the networks, services and facilities to which it relates; and
(b) except so far as it otherwise provides, takes effect for an indefinite period beginning with the time at which it is notified to the person to whom it is given.
(4) A direction under this section—
(a) in providing for the effect of a suspension or restriction to be postponed may provide for it to take effect only at a time determined by or in accordance with the terms of the direction; and
(b) in connection with the suspension or restriction contained in the direction or with the postponement of its effect, may impose such conditions on the contravening provider as appear to OFCOM to be appropriate for the purpose of protecting that provider’s customers.
(5) Those conditions may include a condition requiring the making of payments—
(a) by way of compensation for loss or damage suffered by the contravening provider’s customers as a result of the direction; or
(b) in respect of annoyance, inconvenience or anxiety to which they have been put in consequence of the direction.
(6) OFCOM are not to give a direction under this section unless they have—
(a) notified the contravening provider of the proposed direction and of the conditions (if any) which they are proposing to impose by that direction;
(b) provided him with an opportunity of making representations about the proposals and of proposing steps for remedying the situation; and
(c) considered every representation and proposal made to them during the period allowed by them for the contravening provider to take advantage of that opportunity.
(7) That period must be one ending not less than one month after the day of the giving of the notification.
(8) If OFCOM consider it appropriate to do so (whether or not in consequence of any representations or proposals made to them), they may revoke a direction under this section, or modify its conditions—
(a) with effect from such time as they may direct;
(b) subject to compliance with such requirements as they may specify; and
(c) to such extent and in relation to such networks, services or facilities, or parts of a network, service or facility, as they may determine.
(9) For the purposes of this section there are repeated contraventions by a person of requirements to pay administrative charges to the extent that—
(a) in the case of a previous notification given to that person under section 40, OFCOM have determined for the purposes of section 41(2) that such a contravention did occur; and
(b) in the period of twelve months following the day of the making of that determination, one or more further notifications have been given to that person in respect of the same or different failures to pay administrative charges.
(1) A person is guilty of an offence if he provides an electronic communications network or electronic communications service, or makes available any associated facility—
(a) while his entitlement to do so is suspended by a direction under section 42; or
(b) in contravention of a restriction contained in such a direction.
(2) A person guilty of an offence under subsection (1) shall be liable—
(a) on summary conviction, to a fine not exceeding the statutory maximum;
(b) on conviction on indictment, to a fine.
(3) The duty of a person to comply with a condition of a direction under section 42 shall be a duty owed to every person who may be affected by a contravention of the condition.
(4) Where a duty is owed by virtue of subsection (3) to a person—
(a) a breach of the duty that causes that person to sustain loss or damage, and
(b) an act which—
(i) by inducing a breach of the duty or interfering with its performance, causes that person to sustain loss or damage, and
(ii) is done wholly or partly for achieving that result,
shall be actionable at the suit or instance of that person.
(5) In proceedings brought against a person by virtue of subsection (4)(a) it shall be a defence for that person to show that he took all reasonable steps and exercised all due diligence to avoid contravening the condition in question.
(6) Sections 94 to 99 apply in relation to a contravention of conditions imposed by a direction under section 42 as they apply in relation to a contravention of conditions set under section 45.
(1) It shall be the duty of OFCOM to establish and maintain a register for the purposes of section 33.
(2) OFCOM must record in the register—
(a) every designation by them for the purposes of section 33 or 38;
(b) every withdrawal by them of such a designation;
(c) every notification given to them under section 33; and
(d) every notification treated as given to them under that section by a transitional provision made under subsection (12) of that section.
(3) Information recorded in the register must be so recorded in such manner as OFCOM consider appropriate.
(4) It shall be the duty of OFCOM to publish a notification setting out—
(a) the times at which the register is for the time being available for public inspection; and
(b) the fees that must be paid for, or in connection with, an inspection of the register.
(5) The publication of a notification under subsection (4) must be in such manner as OFCOM consider appropriate for bringing it to the attention of the persons who, in their opinion, are likely to be affected by it.
(6) OFCOM must make the register available for public inspection—
(a) during such hours, and
(b) on payment of such fees,
as are set out in the notification for the time being in force under subsection (4).
(1) OFCOM shall have the power to set conditions under this section binding the persons to whom they are applied in accordance with section 46.
(2) A condition set by OFCOM under this section must be either—
(a) a general condition; or
(b) a condition of one of the following descriptions—
(i) a universal service condition;
(ii) an access-related condition;
(iii) a privileged supplier condition;
(iv) a significant market power condition (an “SMP condition”).
(3) A general condition is a condition which contains only provisions authorised or required by one or more of sections 51, 52, 57, 58 or 64.
(4) A universal service condition is a condition which contains only provisions authorised or required by section 67.
(5) An access-related condition is a condition which contains only provisions authorised by section 73.
(6) A privileged supplier condition is a condition which contains only the provision required by section 77.
(7) An SMP condition is either—
(a) an SMP services condition; or
(b) an SMP apparatus condition.
(8) An SMP services condition is a condition which contains only provisions which—
(a) are authorised or required by one or more of sections 87 to 92; or
(b) in the case of a condition applying to a person falling within section 46(8)(b), correspond to provision authorised or required by one or more of sections 87 to 89.
(9) An SMP apparatus condition is a condition containing only provisions authorised by section 93.
(10) OFCOM’s power to set a condition under this section making provision authorised or required by this Chapter includes each of the following—
(a) power to impose a requirement on the person or persons to whom the condition is applied to comply with such directions with respect to the matters to which the condition relates as may be given from time to time by OFCOM or by another person specified in the condition;
(b) power to impose an obligation with respect to those matters that is framed by reference to, or is conditional upon, the giving of a consent or of an approval, or on the making of a recommendation, by OFCOM or by another person so specified;
(c) power, for the purposes of provision made by virtue of either of the preceding paragraphs, to confer a discretion exercisable from time to time by OFCOM or by another person specified in the condition or determined in accordance with provision contained in it;
(d) power (subject to section 51(3)) to set different conditions for different cases (including different conditions in relation to different parts of the United Kingdom); and
(e) power to revoke or modify the conditions for the time being in force.
(11) The directions that may be authorised by virtue of subsection (10) do not include directions withdrawing, suspending or restricting a person’s entitlement—
(a) to provide, in whole or in part, any electronic communications network or electronic communications service; or
(b) to make available, in whole or in part, any associated facilities.
(1) A condition set under section 45 is not to be applied to a person except in accordance with the following provisions of this section.
(2) A general condition may be applied generally—
(a) to every person providing an electronic communications network or electronic communications service; or
(b) to every person providing such a network or service of a particular description specified in the condition.
(3) A universal service condition, access-related condition, privileged supplier condition or SMP condition may be applied to a particular person specified in the condition.
(4) A privileged supplier condition may also be applied generally—
(a) to every person to whom such a condition is required to apply under section 77; or
(b) to every such person who is of a particular description specified in the condition.
(5) The particular person to whom a universal service condition is applied—
(a) except in the case of a condition relating to matters mentioned in subsection (3) of section 66, must be a communications provider designated in accordance with regulations under that section; and
(b) in that excepted case, must be a communications provider so designated or a person who is not such a provider but who is so designated for the purposes only of conditions relating to those matters.
(6) The particular person to whom an access-related condition is applied—
(a) in the case of a condition falling within section 74(1), may be any person whatever; and
(b) in any other case, must be a person who provides an electronic communications network or makes associated facilities available.
(7) The particular person to whom an SMP services condition is applied must—
(a) be a communications provider or a person who makes associated facilities available; and
(b) fall within subsection (8).
(8) A person falls within this subsection if—
(a) he is a person whom OFCOM have determined to be a person having significant market power in a specific market for electronic communications networks, electronic communications services or associated facilities (a “services market”); or
(b) it appears to OFCOM that he is a person on whom it is necessary, for the purpose of securing compliance with an international obligation of the United Kingdom, to impose a condition containing provision that corresponds to provision which, in the case of a person falling within paragraph (a), must be made (or may be made) under any of sections 87 to 89.
(9) The particular person to whom an SMP apparatus condition is applied must be—
(a) a person who supplies electronic communications apparatus; and
(b) a person whom OFCOM have determined to be a person having significant market power in a specific market for electronic communications apparatus (an “apparatus market”).
(1) OFCOM must not, in exercise or performance of any power or duty under this Chapter—
(a) set a condition under section 45, or
(b) modify such a condition,
unless they are satisfied that the condition or (as the case may be) the modification satisfies the test in subsection (2).
(2) That test is that the condition or modification is—
(a) objectively justifiable in relation to the networks, services, facilities, apparatus or directories to which it relates;
(b) not such as to discriminate unduly against particular persons or against a particular description of persons;
(c) proportionate to what the condition or modification is intended to achieve; and
(d) in relation to what it is intended to achieve, transparent.
(1) Subject to the following provisions of this Chapter—
(a) the way in which conditions are to be set or modified under section 45 is by the publication of a notification setting out the conditions or modifications; and
(b) the way in which such a condition is to be revoked is by the publication of a notification stating that the condition is revoked.
(2) Before setting conditions under section 45, or modifying or revoking a condition so set, OFCOM must publish a notification—
(a) stating that they are proposing to set, modify or revoke the conditions that are specified in the notification;
(b) setting out the effect of those conditions, modifications or revocations;
(c) giving their reasons for making the proposal; and
(d) specifying the period within which representations may be made to OFCOM about their proposal.
(3) That period must end no less than one month after the day of the publication of the notification.
(4) In the case of a notification under subsection (2) with respect to an SMP condition, the applicable requirements of sections 79 to 86 must also be complied with.
(5) OFCOM may give effect, with or without modifications, to a proposal with respect to which they have published a notification under subsection (2) only if—
(a) they have considered every representation about the proposal that is made to them within the period specified in the notification; and
(b) they have had regard to every international obligation of the United Kingdom (if any) which has been notified to them for the purposes of this paragraph by the Secretary of State.
(6) The publication of a notification under this section must be in such manner as appears to OFCOM to be appropriate for bringing the contents of the notification—
(a) in the case of a notification setting general conditions, to the attention of such persons as OFCOM consider appropriate; and
(b) in any other case, to the attention of the persons who, in OFCOM’s opinion, are likely to be affected by the contents of the notification.
(7) Nothing in the following provisions of this Chapter imposing a duty on OFCOM to set or modify a condition shall be taken as dispensing with any of the requirements of this section.
(1) This section applies where—
(a) a condition set under section 45 has effect by reference to directions, approvals or consents given by a person (whether OFCOM themselves or another); and
(b) that person is proposing to give a direction, approval or consent that affects the operation of that condition or to modify or withdraw a direction, approval or consent so as to affect the condition’s operation.
(2) A person must not give, modify or withdraw the direction, approval or consent unless he is satisfied that to do so is—
(a) objectively justifiable in relation to the networks, services, facilities, apparatus or directories to which it relates;
(b) not such as to discriminate unduly against particular persons or against a particular description of persons;
(c) proportionate to what it is intended to achieve; and
(d) in relation to what it is intended to achieve, transparent.
(3) In giving, modifying or withdrawing the direction, approval or consent, a person other than OFCOM shall be under the same duty as OFCOM to act in accordance with the six Community requirements set out in section 4.
(4) Before the direction, approval or consent is given, modified or withdrawn, a notification must be published—
(a) stating that there is a proposal to give, modify or withdraw it;
(b) identifying the person whose proposal it is;
(c) setting out the direction, approval or consent to which the proposal relates;
(d) setting out the effect of the direction, approval or consent or of its proposed modification or withdrawal;
(e) giving reasons for the making of the proposal; and
(f) specifying the period within which representations may be made about the proposal to the person whose proposal it is.
(5) That period must be one ending not less than one month after the day of the publication of the notification.
(6) But, where—
(a) the person giving the notification is satisfied that there are exceptional circumstances justifying the use of a shorter period, and
(b) the notification is not one that is required to be sent to the European Commission under section 50(4) or (5),
the period specified as the period for making representations may be whatever shorter period that person considers reasonable in those circumstances.
(7) In a case in which—
(a) a person other than OFCOM are proposing to give, modify or withdraw a direction, approval or consent, and
(b) the condition for the purposes of which the direction, approval or consent has effect, or will have effect, provides for notifications of proposals for the purposes of that condition to be given by that person,
the obligation of publishing the notification for the purposes of subsection (4) of that proposal falls on that person.
(8) In any other case, the obligation of publishing a notification for the purposes of subsection (4) falls on OFCOM.
(9) The person who is authorised to give the direction, approval or consent may give effect, with or without modifications, to a proposal with respect to which a notification has been given under subsection (4) only if—
(a) he has considered every representation about the proposal that is made to him within the period specified in the notification; and
(b) he has had regard to every international obligation of the United Kingdom (if any) which has been notified to OFCOM for the purposes of this paragraph by the Secretary of State.
(10) The publication of a notification under this section must be in such manner as appears to the person publishing it to be appropriate for bringing the contents of the notification to the attention of such persons as he considers appropriate.