10.1.1 All provisions of this section apply to Facilities-based Licensees, Service-based Licensees and Telecommunication Equipment Dealer Licensees. In this section, the term “Licensee” refer to Facilities-based, Services-based and Equipment Dealer Licensees.
Over-view
10.1.2 Whilst IDA intends to place maximum reliance on competitive market forces and industry self-regulation, IDA recognises the need for strong enforcement procedures that will detect and deter contraventions of this Code. Enforcement actions can be brought by IDA, either on its own motion or at the request of a private party.
Specific Regulatory Principles
10.2.In addition to the general principles set forth in section 1 of this Code, IDA’s enforcement procedures will be subject to the following specific regulatory principles:
Timeliness
10.2.1 Any enforcement action must be timely. IDA will not bring any enforcement action more than 2 years after the date of occurrence of the action that constitutes the alleged contravention of this Code. If the contravention could not reasonably be discovered at the time it was committed, IDA will bring the action within 2 years of the earlier of the date on which the conduct was or reasonably should have been discovered.
Open and Reasoned Decision Making
10.2.2 IDA will provide adequate notice to any Licensee against which an enforcement action is brought, and will provide the Licensee with a full and fair opportunity to respond to any adverse claims. All decisions will be based on the merits of the case. Licensees will have an opportunity to seek review from the Minister. IDA generally will publicly disclose the basis for, and the extent of, any enforcement action taken against a Licensee. IDA will not take any enforcement action unless it has determined, based on the evidence, that the Licensee has failed to act in accordance with the provisions of this Code.
Proportionality
10.2.3 Whilst the enforcement process is designed to provide a significant deterrent to impermissible conduct, any sanction imposed by IDA will be proportionate to the severity of the contravention.
IDA Enforcement Actions
10.3.Where appropriate, IDA will initiate enforcement procedures against a Licensee that it believes has contravened this Code.
Procedures
10.3.1 IDA will use the following procedures in any enforcement proceedings:
Notification of Licensee
(10.3.1.1)
IDA will provide a written notification to the Licensee. The notification will clearly indicate the specific provisions of this Code that IDA believes the Licensee has contravened, and will describe in reasonable detail the basis for IDA’s belief.
Opportunity to Respond
(10.3.1.2)
A Licensee will have 15 days to respond, in writing, to IDA’s notification. IDA may extend this period in appropriate cases. The Licensee’s response must provide a clear statement, supported by documents, affidavits, or other relevant material, providing the basis on which the Licensee disputes IDA’s allegation.
Request for Further Information
(10.3.1.3)
After reviewing the material submitted by the Licensee, IDA may request the Licensee to provide additional information. Such requests shall be limited to information necessary to resolve those issues that remain in dispute. IDA will seek to issue a decision within 60 days of receiving all necessary information.
Interim Direction to Cease and Desist
(10.3.1.4)
At any time during an enforcement proceeding, IDA may issue an interim order directing the Licensee to cease and desist from specified conduct if IDA concludes that: (a) there is prima facie evidence that the Licensee has contravened the provisions of this Code; (b) continuation of the Licensee’s conduct is likely to cause serious harm to other Licensees, End Users or the general public; (c) the potential anti-competitive harm from allowing the Licensee to continue its conduct outweighs the burden on the Licensee; or (d) issuance of the order is in the public interest.
Enforcement Actions
10.3.2 Under section 8 of the Telecommunications Act, in the event that IDA concludes that the Licensee has contravened any provisions of this Code, IDA may take the following enforcement actions:
Warnings
(10.3.2.1)
IDA can issue a warning to the Licensee. The warning will contain a statement of IDA’s basis for concluding that the Licensee has acted in contravention of any provision of this Code, but will impose no further sanction.
Orders to Cease and Desist
(10.3.2.2)
Where appropriate, IDA will direct the Licensee to cease engaging in conduct that is, or if continued will constitute, a contravention of any provision of this Code.
Directions by IDA
(10.3.2.3)
Where appropriate, IDA will direct the Licensee to take specific remedial action.
Financial Penalties
(10.3.2.4)
IDA may impose financial penalties on any Licensee that contravenes the provisions of this Code up to the statutory maximum of S$1,000,000 per contravention.
(10.3.2.4.1)
Aggravating Factors
In imposing financial penalties, IDA will consider any aggravating factors. These factors include: the severity of the contravention; the duration of the contravention; whether the contravention resulted in injury to persons and property; whether the Licensee acted knowingly, recklessly, or in a grossly negligent manner; whether the Licensee has a previous history of contraventions; and whether the Licensee made any effort to conceal the contravention.
(10.3.2.4.2)
Mitigating Factors
In imposing financial penalties, IDA also will consider any mitigating factors. These factors include: whether the contravention was minor; whether the adverse consequences from the violation were minor; whether the Licensee took prompt action to correct the contravention; whether the contravention was accidental; and whether the Licensee voluntarily disclosed the contravention to IDA.
Suspension or Cancellation of the Licence
(10.3.2.5)
In cases in which IDA is satisfied that a Licensee is likely to again contravene any provision of this Code, IDA may temporarily suspend (in whole or in part), reduce the period of or cancel the Licensee’s licence.
Private Requests for Enforcement
10.4.Licensees or End Users that have been injured as a direct result of the contravention of any provision of this Code by a Licensee may file a request asking IDA to take enforcement actions.
Procedures
10.4.1 Any party that requests IDA to take enforcement action must submit a written Request for Enforcement. The Request for Enforcement must cite the specific provisions of this Code that the Party Requesting Enforcement alleges the Licensee has contravened and must allege facts that, if proven to be true, would demonstrate a contravention. Each claim and each supporting allegation of fact must be contained in a separate paragraph. Whenever possible, the Party Requesting Enforcement should attach to the Request for Enforcement copies of all relevant documents necessary to prove the allegations of facts contained in the request. Where this is not possible, the Party Requesting Enforcement must provide a statement explaining why it could not provide the supporting documentation. The Request for Enforcement must include a signed statement that: the Party Requesting Enforcement has used reasonable diligence in collecting the facts; the facts alleged are true to the best of the Party Requesting Enforcement’s knowledge; the Party Requesting Enforcement has a good faith belief that, if proven, the facts alleged would constitute a contravention of the provisions of this Code cited in the request; and the Party Requesting Enforcement has made a good faith effort to resolve the underlying dispute through direct negotiation with the Licensee against which enforcement is sought. In an appropriate case, IDA may require a statutory declaration attesting to the facts that provide the basis for the Request for Enforcement.
Enforcement Action
10.4.2 If IDA concludes that the Licensee has contravened any provision of this Code, IDA will take enforcement action under subsections 10.3.2-10.3.2.5 of this Code.
Made this 15th day of September 2000.
LAM CHUAN LEONG
Chairman,
Info-communications Development Authority of Singapore,