TELECOM

COMPLIANCE

2015 ICT WEEK

CA - Vision and Purpose

Communications Authority of Kenya (CA) is the Information, Communication and Technology (ICT) regulator in the country.

CA is IS0 9001:2008 certified.

Our Vision - Access to and use of Information and Communication Services by all in Kenya by 2018

Our Purpose - Facilitate the Transformation of Lives through progressive Regulation of the Information and Communication Technology Sector

CA - Establishment

Communications Authority of Kenya (CA) is established by the act of parliament; KICA of 1998 and as amended.

Communications Authority of Kenya- CA Succeeded Communications Commission of Kenya - CCK in June 2014 as a requisite of the Constitution 2010.

License conditions- The CA Engages its stakeholders via issuance of Licenses. The Licenses carry a specific conditions that must be adhered to by all.

The CA Carries out Compliance checks and Enforcement of the licence, Conditions, the Regulations and the Act.

CA MANDATE Licensing

communications services

Promote, develop, enforce fair Competition

Protection of consumers

Regulation of Broadcasting

Manage radio spectrum & Numbering

Resources

Enforcement of Regulations &

Licence conditions Universal Access

Type approval of Equipment Electronic Commerce

The Legal Mandate

Kenya information and Communications Act

Kenya information and Communication regulations 2010

License Conditions

Statutory compliance Application and Reporting tools – Returns Forms

Methodologies and Frameworks

Guidelines and standards including best practices

Licenses issued by the CA

Telecom Licenses

ASP

CSP/BPO

TEC/TP

NFP/IGS OTHER LICENSES

Postal and

Courier

Frequency

Licenses

E-Commerce

Broadcastin

g

Why License?

A license allows an entity to provide services and/or operate networks. It provides certainty for investors and service providers A license enables control over market entry and ensures minimum level of suitability and capacity A license enables promotion of public service provisioning and network development– USO A license Creates a level playing field – universal rules of engagement and fair competition.

• Compliance Returns

• Inspections

• Monitoring

• Enforcement

Assessment of Compliance

• New forms loaded on the CA website.

• Quarterly and annual reporting

• Basis for renewal and compliance clearance

• Based on Act, Regulations and License

• Its mandatory and a key source of statistics

Compliance Reporting

THE KENYA INFORMATION AND COMMUNICATIONS

(COMPLIANCE MONITORING, INSPECTIONS AND

ENFORCEMENT) REGULATIONS, 2010 Regulation 7.

(1) Every licensee shall, after every quarter and at the end of its financial year, prepare and submit to the Commission in the prescribed form, an annual report of its operations.

(2) Every licensee shall prepare and submit to the Commission a quarterly report of its operations and the extent to which the conditions of their licence have been adhered to.

Regulation 8.

(3) A licensee shall keep proper records in such manner as the Commission may prescribe, and shall allow the Commission to access the records for purposes of carrying out its mandate under the Act.

(4) The Commission may request a licensee to periodically submit reports, statistics, data and any other information that it considers necessary.

Annual Compliance Certificates shall be issued after;

• Submission of all quarterly compliance returns in hard copy.

• Payment of all fees including Spectrum fees and the Universal Service Fund levy.

• Submission of a copy of the audited financial statement for the previous financial year.

• Submission of a current certificate of shareholding.

• Submission of a valid tax compliance certificate.

• Submission of duly completed “Service Approval Application Form” in hard copy for each service offered; where this has previously not been submitted.

Categories of Inspections and QoS Monitoring

1. Inspection of systems and installations

2. Verification of data - Annual Submissions

3. Monitoring of Voice quality of service

4. Monitoring of Data quality of service.

5. Data Aggregation and reporting

Definitions

Inspections – direct visit to license premises and installations to verify the physical and technical systems and information gathered.

Monitoring – direct field and indoor visit to the sites and premises to collect information and data using tools and machines.

Services Monitored

Covers both Fixed and wireless systems

• Voice

• Data

• Internet

• (MMS and SMS)

Methodology

2007/2008 Developed Initial QoS Methodology for Voice via a consultative process.

Key performance indicators were identified and their Thresholds set out.

2014/2015 Developing a new methodology for Voice, Data and Internet.

Frameworks on methodology – reviewed and ready for adoption in July 2015.

New Frameworks

3 Frameworks have been developed;

1. Inspection and data verification framework.

2. Quality of Service monitoring for voice services

3. Quality of service monitoring for Data and

Internet services.

Inspections and Monitoring work plan

The country has been divided in clusters using county boundary maps;

1. 3 clusters for the Inspection and data

verification framework.

2. 6 clusters for the Quality of Service monitoring

framework.

Cluster Design

Inspection & Data Verification

• Nairobi and Central;

• Western and North Rift

• Coastal and North Eastern

QoS Monitoring:

•Nairobi Environs;

•Nyanza /Western

•North Rift Region

•Nakuru Region

•Central Region

•Coast and NE

ACTIVATION OF THE FRAMEWORKS

The Frameworks shall be activated by the Authority and its approved subcontractors.

The CA shall play overall audit on all the parameters countrywide and shall take responsibility of reporting.

The CA shall engage contractors, allocate clusters and categories for inspections & Monitoring.

There shall be a central entity to aggregate data and process reports for use and release by CA There shall be a pilot period to test the frameworks

Responsibility matrix

Stakeholders in Compliance

CA Shall

Provide the operational guideines and standards

Manage the inspections and monitoring

Communicate the performance.

Licensees Shall

To submit returns and basic information.

To facilitate access to sites.

To provide relevant test terminals for use.

Consumers shall

To consume the services.

To insist on SLAs and quality of service.

To report any failures and poor quality.

COMPLIANCE

Inspections

• Need technical and comprehensive skills.

Monitoring;

Need technical skills, tools and periodic upgrades;

Inspections and Monitoring

Routine and adhoc inspections to verify accuracy of information in returns as filed.

Quality of service independent monitoring to get the customers experience

Enforcement on reported and suspected illegal and non-compliant operations.

Measured KPIs (Parameters)

Definition Basis – ITU-T Y1540/1

Voice

Dropped calls.

Speech Quality

Rx level

CSSR

Set UpTime

Data and Internet

Latency

Jitter.

Throughput

Packet Loss

Data Transfer failure

Others

MMS and SMS

- Success Ratio

- Completion Ratio

- End to end Delivery

Sequence of events

Compliance assessment

Inspections and

Monitoring Enforcement

Benefits of Monitoring Compliance

Simultaneous assessment countrywide

Increased professionalism and independence

Detailed and advised regulatory interventions.

Reduced strain on the regulatory team and equioment.

Inspections and monitoring quality of

ICT services:

Inspections and

Monitoring Routine and adhoc inspections to verify accuracy of information in returns as filed.

Quality of service independent monitoring to get the customers experience

Enforcement on reported and suspected illegal and non-compliant operations.

Consequences of Non-Compliance

Notice and Warning

Penalties and Advisories

Revocation and

Prosecution

Conclusion

Effective regulations and

compliance monitoring is

critical in liberalized

communications sector!.

The Regulator must therefore

play a catalytic role!

Communications Authority of Kenya. Waiyaki Way, Westlands Nairobi.

P,O Box 14448 Nairobi 00800 Tel: 0204242000

Email: info@ca.go.ke Website: www.ca.go.ke

THANK YOU