regulator performance framework performance assessment …

Regulator Performance Framework Performance assessment 2019–20

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Contents

acma | iii

Introduction 1

Our approach to assessing performance 2

The RPF and the Commonwealth Performance Framework 3

Our RPF validation 5

Self-assessment against the RPF 6

KPI 1 and 6: Regulatory efficiency and continuous improvement of regulatory frameworks 6

Results in 2019–20 6

Case study: Combating telco scams 12

Trends in improved timeliness 13

KPI 2 and 5: Communication, openness and transparency 14


Case study: International spectrum cooperation at WRC-19 17

Diversity of communication channels—snapshot 18

KPI 3 and 4: Proportionate actions and streamlined and coordinated compliance monitoring 19


Appendix A: Timeliness target performance, 2019–20 21

Appendix B: Improved average time frames in 2019–20, compared to 2018–19 25

Appendix C: Numbers of complaints and enquiries, 2019–20 26

acma | 1

Introduction

This is the fifth self-assessment report for the Australian Communication and Media Authority

(ACMA) under the Regulator Performance Framework (RPF) and covers regulatory performance

over the 2019–20 financial year. It provides an account of the extent to which we met the RPF’s key

performance indicators (KPIs) over the reporting period.

The RPF and its KPIs are designed to encourage regulators to improve regulatory operations,

reduce costs incurred by industry and consumers from the administration of regulation, and increase

public accountability and transparency.

The environment that we operated in during 2019–20 saw extreme bushfires and the emergence of

the COVID-19 pandemic. These events saw the telecommunications and media sectors play a

pivotal role in keeping Australians connected, and required us to respond swiftly and flexibly by

redirecting resources to support industry and the Australian community. However, this redirection of

resources ultimately impacted our performance against some of our KPIs.

We fully met 4 of the 6 KPIs. The remaining 2 KPIs were mostly met due to our response to the

COVID-19 pandemic, which included:

establishing an internal taskforce to address urgent requests from industry

postponing or extending consultation periods to enable stakeholders to focus on their critical

services

exercising forbearance for non-compliance with specific provisions of the Telecommunications

Consumer Protections (TCP) Code, as long as the relevant telco provider met agreed alternative

commitments

delaying enforcement of new obligations for mobile providers to enhance customer notifications

and expenditure caps for mobile services

extending forbearance for commercial television broadcasters for their annual quota obligations

for Australian drama, children’s and preschool drama, and Australian documentaries

providing temporary relief to subscription television broadcasters on their minimum levels of

expenditure on new eligible drama programs

providing regional commercial radio broadcasters with a deferral for compliance reporting and

temporary relief for local news, weather bulletins and community announcements quotas

providing rebates for commercial broadcasting taxes

providing the option to defer or pay licence fees by instalments.

A key element of the RPF performance assessment is engaging stakeholders to validate our self-

assessment. In November 2020, we invited feedback from key industry and consumer

representatives and received 3 responses. The feedback received is discussed under Our RPF

validation.

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Our approach to assessing performance

As a Commonwealth regulator, we must report against the 6 KPIs under the RPF. These KPIs reflect

the common activities of regulators.

As in the previous 4 cycles, we have structured our report into 3 sections that reflect complementary

pairings of our 6 KPIs.

We have developed a number of strategies to demonstrate our performance in meeting these KPIs.

Figure 1 shows the evidence that we have used to measure our performance and our overall rating

against the KPIs for 2019–20.

RPF KPIs and pairings

acma | 3

The RPF and the Commonwealth Performance Framework

As a Commonwealth regulator, we have reporting obligations under both the RPF and the broader

outcome reporting requirements of the Commonwealth Performance Framework. The

Commonwealth Performance Framework includes the ACMA’s corporate plan, Annual Performance

Statements and the Portfolio Budget Statements. The RPF is focused on the efficiency and

effectiveness of regulators in achieving results through better administration and the good design of

regulatory frameworks.

In September 2018, the Independent Review of the Public Governance, Performance and

Accountability Act 2013 (PGPA Act) and Public Governance, Performance and Accountability Rule,

was finalised. It recommended that duplicative performance reporting requirements – for example,

those under the RPF – should be reviewed and integrated to reduce the reporting burden and

improve clarity.

This recommendation was recently supported by the Hon Ben Morton, Assistant Minister to the

Prime Minister and Cabinet, in his address to the Business Council of Australia on 2 October 2020.

His address suggested that the RPF be integrated into the PGPA Act. This would ensure that the

performance of all regulators is subject to scrutiny by Parliament and the ANAO.

While these recommendations are being considered, we will continue to monitor the environment in

which we operate and be ready to implement them should they be instituted.

For the 2019–20 report, we have linked the RPF KPIs to our key activities as outlined in the

Corporate plan 2019–20. This demonstrates how the KPIs align to the activities we deliver as

reported on under the Commonwealth Performance Framework.

Figure 2 demonstrates the links between our key activities and the 6 KPIs.

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RPF KPI pairings and ACMA key activities

Corporate plan key activities

1.1 Deliver safeguards that meet the needs of Australians using media and communications services

✓

1.2 Promote compliance with communications and media safeguards and public interest outcomes through compliance monitoring, complaints-handling, investigating, enforcement and program delivery

✓ ✓ ✓

1.3 Build consumer, audience and industry understanding of risks, rights, responsibilities, and safeguards

✓

2.1 Plan the availability of Australia’s radiofrequency spectrum to optimise its value to the Australian community

✓

2.2 Allocate and license access to the radiofrequency spectrum, using both administrative and market-based methods, ensuring adequate provision for defence, public safety, and community purposes

✓

2.3 Manage the risk of interference and other harms through investigation and other compliance and enforcement activities and education programs

✓

3.1 Conduct qualitative and quantitative research to enhance the ACMA’s understanding of consumers and audiences

✓ ✓

3.2 Engage with stakeholders and government to support regulatory frameworks and obligations that are fit-for-purpose now, and as markets evolve

✓

3.3 Build ACMA capacity for data analysis to enable improved understanding of regulatory and market developments

✓

3.4 Improve regulatory practices to reduce regulatory burden, increase transparency and timeliness, and ensure actions are proportionate to risks

✓ ✓ ✓

acma | 5

Our RPF validation

Throughout the year, we use a variety of formal and informal mechanisms to inform the development

of our regulatory practices and outcomes and improve the transparency of our decision-making

processes. We value the feedback we receive from members of the community, industry and

consumer groups.

In 2019–20, we sought feedback from approximately 100 key stakeholders across our regulated

communities on the validity of our self-assessment. We also published the validation process as an

issue for comment on our website.

We received 3 completed surveys through this validation process, all representing the amateur radio

sector. The ACMA appreciates and considers all feedback received and will incorporate it into its

future activities where appropriate.

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Self-assessment against the RPF

The following symbols are used to represent our assessment of our performance against the RPF

KPIs and strategies during 2019–20.

Achieved or exceeded

Substantially met

Not met

KPI 1 and 6 Regulatory efficiency and continuous improvement of regulatory frameworks

Results in 2019–20

KPI 1 – Regulators do not unnecessarily impede the efficient operation of regulated entities

Strategy 1 – Improve the efficiency of our transactions and processes

Strategy 4 – Apply evidence and

regulatory analysis to maintain a fit-for-

purpose regulatory framework

Summary of achievements

We facilitated the continuance of broadcasting services during the bushfires and COVID-19

pandemic by providing licensees affected by these events with the option to defer or pay their

licence fees by instalments. We received 161 enquiries and 75 applications to defer or pay by

instalments. Of these, 60 applications were approved. Fifteen applications were not approved

because either the applicant paid the fee before a deferral could be granted or the

circumstances were outside of the policy.

We offered additional assistance for licensees affected by the bushfires and the COVID-19

pandemic by:

identifying the licence number

updating their licence details

printing and sending a copy of a licence to the licensee.

We released our updated website in 2019–20, increasing the effectiveness and efficiency of

responding to enquiries and complaints, by providing consumers with consistent access to

multiple enquiry and complaints channels. Complaint web forms were available on average

99% of the time.

Our Customer Service Centre (CSC) responded to stakeholder enquiries promptly, actioning

93% of all enquiries within 3 business days.

Due to the impact of COVID-19 across industry sectors using spectrum, we provided a

consultation period of 8 weeks for the Five-year spectrum outlook 2020–24 (FYSO), extended

from the standard consultation timeframe of 4 weeks. Consultation closed at the end of June

acma | 7

2020 and submissions informed the final FYSO 2020–24, which was published on 30

September 2020, in line with the target completion date of Q1 2020–21.

To maintain fit-for-purpose regulation, we monitored the operation and effectiveness of rules

for gambling advertising during live sporting events, undertook a post-implementation review

measuring the effectiveness of the NBN consumer experiences rules as made in 2018–19,

assessed customer financial hardship in the telecommunications industries and reviewed the

implementation by industry of the credit assessment rules in the TCP Code.

We introduced new safeguards during 2019–20 that addressed consumer harms by:

establishing a 3-point action plan to reduce scam calls so people can trust the calls they

receive

blocking illegal offshore gambling websites

developing a new set of rules in the Telecommunications (Emergency Call Services)

Determination 2019 to help make our telecommunications networks more reliable

developing a new Standard to combat mobile phone porting scams, thereby protecting

consumers’ access to their phone services and data.

We actively contributed to the continuous improvement of regulatory frameworks through

stakeholder consultation and research. To inform the development of fit-for-purpose regulation,

we:

conducted our stakeholder survey, which helps us assess and improve our engagement

with key stakeholders

formally consulted with stakeholders through 42 consultation processes

participated in conferences, meetings and working groups, including the World

Radiocommunication Conference-19 (WRC)

conducted an annual customer service user satisfaction survey, which supports the ACMA

in continuing to be responsive to customer requirements and meet our required time

benchmarks

researched the experience of households and businesses across the full range of

telecommunications services in the Australian market

collected information from telecommunications industry about complaints and financial

hardship

considered international approaches, regulatory frameworks, and monitored new industry

developments to provide guidance on the development of a misinformation and news

quality code.

We met or exceeded 25 of our 44 timeliness performance targets, as detailed in Appendix A.

We mostly met a further 14 targets and did not meet 4 of our timeliness targets.

To improve our decision-making processes and assist with the efficency of our transactions,

we revised several of our targets for measured activities. Our average timeliness measures

that improved compared to 2018–19 are in Appendix B. In line with the Australian

Government's deregulation agenda, we conducted analyses of regulatory impacts from new

regulation and changes to existing legislation on businesses, community organisations and

individuals. Over 2019–20, we undertook 23 preliminary assessments, 2 independent reviews

and one regulatory impact statement as a result of a Ministerial Direction for regulations to be

made or tabled.

Exceptions

We identified unlicensed activity occurring in the 5.6 GHz band in northern New South Wales,

however, COVID-19 travel restrictions prevented completion of compliance action before the

end of the reporting period. This work will be finalised once COVID-19 travel restrictions are

eased.

8 | acma

The timeliness target for issuing nominated carrier declarations was not met, as 3 of the 5

nominated carrier declarations exceeded the benchmark timeframe of 20 days. In each case,

further information was required from the applicant before the declarations could be issued. All

applications were completed in accordance with the statutory process for issuing nominated

carrier declarations.

Three targets for timeliness were not met as a result of the reprioritisation of resources to

address industry forbearance requests during the COVID-19 pandemic and to enable the

release of a further round of the Regional and Small Publishers Innovation Fund to support the

media industry affected by the COVID-19 pandemic.

Australian content quota and sub-quota compliance assessments (including children’s

television quota assessments): Commercial television licensees reported in January and

February 2020, providing 566 returns. These are typically finalised in April each year,

however 2019 results were delayed until May and June 2020 to enable ACMA resources to

focus on Australian content sub-quota forbearance activities during April and May. This was

to support industry through the COVID-19 pandemic.

New Eligible Drama Expenditure annual compliance: We completed our initial assessments

of annual compliance returns within 28 days; however, further information was requested

from 2 channel providers. This significantly delayed the completion of these 2 assessments

and as a result, the aggregated compliance results were published outside the benchmark

timeframe of 60 days. Amended results were provided on 22 April 2020, with assessments

finalised on 2 June 2020.

Long-term community radio broadcasting licences – renewal applications processed: We

processed 32 renewal applications for long-term community radio broadcasting licences in

the period and 21 of these assessments exceeded 90 days for completion. For 18 of the 21

assessments, we requested additional information and, in many cases, granted extensions

for the submission of the outstanding material.

KPI 6 – Regulators actively contribute to the continuous improvement of regulatory frameworks

Strategy 2 – Streamline and

enhance flexibility of our regulations

Strategy 3 – Expand our evidence

base to inform improvements and

reforms


We responded flexibly to the growing COVID-19 pandemic and established the ACMA COVID-

19 Taskforce. The taskforce advised the Authority on COVID-related requests from industry to

relieve the regulatory burden and exercise forbearance on a range of matters. The taskforce

tracked, prioritised, assessed and responded to a large number of industry requests for urgent

action to ensure that decisions for regulatory relief or forbearance reflected a considered and

consistent approach across the agency.

Instruments that were due to sunset were reviewed to assess their continued relevance and/or

identify opportunities to streamline compliance requirements:

sunsetting of 5 legislative instruments was deferred to allow for further consideration of

whether they should be left to sunset, remade with amendments, remade without

amendments, or revoked by the ACMA

2 instruments were revoked and replaced.

We gathered evidence through research to inform our regulatory responses. As part of our

research functions, we:

acma | 9

published research in our communications report that revealed market and consumer

trends and tabled it in Parliament

commenced research into topics including artificial intelligence (AI), Internet of Things (IoT)

and best practice regulatory theory

started work to measure media diversity and local news

collaborated with Screen Australia to develop an options paper for government on potential

interventions for Australian and children’s screen content

released a position paper to guide digital platforms in their code(s) of practice dealing with

online misinformation and news quality

conducted research in a number of areas – including news on television and radio, and the

experience of telecommunications consumers – to inform our understanding of the impact

of development these sectors had on public interest outcomes

examined the experience of households and businesses across the range of

telecommunications services in the Australian market to understand emerging risks and

harms and the effectiveness of existing regulations.

Our regulatory futures work initiates research programs and engagement with stakeholders on

best practice regulatory design approaches. This informs the continuous improvements to the

regulatory framework. In 2019–20, our research was designed under 4 key themes:

emerging technologies and regulatory pressure points,

emerging regulatory issues

best practice regulatory theory, policy, approaches and application

international engagement and collaboration.

We developed the 2019 to 2023 spectrum work program in consultation with stakeholders.

Forty-three stakeholder submissions were considered in its development, which led to

adjustments in our planning priorities, updates to the FYSO and inclusion of planned

consultations over the period. In addition to the work program, the progress report also

covered:

international engagement

planning and optimising established spectrum frameworks

spectrum management practice improvements

licensing

pricing

compliance and enforcement.

We undertook 42 consultations in 2019–20. Of these, 5 remained open at the end of the year.

Some consultations were extended or suspended during the COVID-19 pandemic and all

consultations enhanced and informed our regulatory responses. The 42 consultations covered:

spectrum and radiocommunications: standards, licence conditions and determinations,

spectrum planning, sharing, access and pricing, FYSO work program, licence area plans

(LAPs), principles for deeming of community broadcasting licence areas in regional

Australia for digital radio, taxes and charges, licensing

content: remaking the Primary TV Services Declaration, remaking the Parental Lock

Standard, record-keeping by broadcasters, impartiality and commercial influence in

broadcast news

telecommunications: standards and determinations, exemptions, customer cabling, new

rules to prevent mobile number fraud, and consumer protections and safeguards.

Current and emerging spectrum management issues in Australia were discussed with industry

experts at spectrum sharing tune-ups. In August 2019, we held a spectrum sharing tune-up to

10 | acma

explore recent international developments in spectrum sharing and discuss why, how, and

under what circumstances similar arrangements could be adopted in Australia.

We worked with Communications Alliance in a workshop with relevant industry stakeholders

and the electrical safety regulators to discuss the convergence of communications and power

cabling and the implications on regulation.

To support the introduction of new satellite services into Australia, we consulted on a range of

proposals to improve spectrum access and pricing arrangements. In February 2020, we made

decisions that improved spectrum access and pricing arrangements for satellite services,

which included:

making an extra 2.6 GHz bands of spectrum available

decreasing licence taxes for space licences in the 10.7–11.7 GHz, 18.2–18.8 GHz and

19.3–19.7 GHz to the minimum amount.

The new safeguards we introduced in 2019–20 improved regulatory activities by addressing

consumer harms through:

establishing a 3-point action plan to reduce scam calls so people can trust the calls they

receive

blocking illegal offshore gambling websites

establishing new rules related to reliability of telecommunications networks and responding

to significant network outages in connection with the emergency call service

combating mobile phone porting scams to protect consumers’ access to their phone

services and data

revising rules dealing with international mobile roaming to enable consumers using mobile

devices that do not support SMS to receive required notifications via other means. Due to

the COVID-19 pandemic and the significant reduction in international travel, we will not be

enforcing the revised rules until January 2021.

We undertook a post-implementation review of the NBN consumer experience rules made in

2018–19. Coupled with our ongoing compliance work, we identified that improvements to the

rules would further strengthen and clarify their operation. Consultation on the following matters

(among others) started in 2019–20 and continued into 2020–21:

clarifying the definition of ‘complaint’ in the Complaints Handling Standard

revising the definition of ‘consumer’ to align with the Australian Consumer Law

fine-tuning the type of information telcos must give consumers in their key facts sheet in the

Consumer Information Standard.

The Consumer Consultative Forum held on 25 October 2019 assisted us in performing our

consumer protection functions. The forum brought together consumer organisations,

telecommunications industry and government and focused on consumer education about 5G,

financial hardship, fraudulent mobile number porting and missed appointment rebates for

customers. Information from that forum also assisted us in our preparation of the financial

hardship ‘state of play’ report and in formulating the ACMA’s compliance priorities.

We released a position paper in June 2020 to guide digital platforms in the development of

their code(s) of practice dealing with misinformation and news quality. The position paper,

Misinformation and news quality on digital platforms in Australia—A position paper to guide

code development included a model code framework for consideration, and an outline of

objectives and outcomes to be achieved for the benefit of consumers. Our position paper was

informed by:

consulting with major digital platforms (social media sites, search engines and online news

aggregators), relevant government agencies, academics, and industry groups

assessing international approaches, such as the EU Code of Practice on Disinformation

acma | 11

considering different regulatory frameworks, such as outcomes-based regulation and

self-regulation

monitoring new industry developments and recent policy and regulatory responses by

digital platforms.

We established the cross-agency Scam Technology Project with the Australian Competition

and Consumer Commission (ACCC) and the Australian Cyber Security Centre (ACSC) to

explore ways to reduce scam activity – refer to the case study on the following page.

The ACMA’s Numbering Advisory Committee (NAC) met on 11 March 2020 and discussed

local number porting, industry-managed numbering and the ACMA’s scam reduction work.

The NAC brings together telecommunications industry stakeholders to provide advice and

recommendations on issues related to the ACMA's numbering functions with the objective of

improving the benefits to suppliers and users of carriage services and facilitating competition.

Two forums on defining localism and diversity in news with ACMA staff, academics and other

government agencies were held in August and September 2019. These have informed work on

how the commercial broadcast news industry has changed due to digital disruption and

whether the current regulatory arrangements are fit-for-purpose.

Exceptions

Significant progress was made on the following activities, however, due to the COVID-19

pandemic, work was suspended or delayed:

our annual research program was put on hold

our work on the ACMA news project, which explores whether current community

safeguards are delivering news and journalist content to meet community expectations and

support an open, pluralistic democracy in Australia, was significantly progressed prior to

suspension. This will be continued in late 2020 and will focus on developing and testing a

measurement framework for diversity and localism in news

the development of the occasional papers on AI in communications and media, and the

ACMA’s role in IoT regulation delayed. These occasional papers will build on our

understanding of the opportunities and challenges presented by these technologies, and

how they could impact the regulatory framework we oversee. This research will ensure the

ACMA continues to be an informed and responsive regulator that advocates for

appropriate, fit-for-purpose regulatory settings and safeguards. Further work will take place

in 2020–21.

The following activities were also impacted due to COVID-19 and, as a result, were postponed

or cancelled:

RadComms, our 2-day spectrum management event, was unable to proceed in June as

scheduled

the Consumer Consultative Forum in March 2020 was cancelled

research on the impact of digital platforms on news was suspended.

Our research on telecommunications consumer experiences is expected to inform future

reviews of telecommunications consumer safeguards, including the ACMA’s contributions to

the government’s Consumer Safeguards Review and its implementation of recommendations.

While initially scheduled for publishing in 2019–20, the research project encountered delays as

resourcing was redirected to the ACMA’s COVID-19 response. The research will now be

completed and published in 2020–21.

12 | acma

Case study: Combating telco scams

In 2019–20, the ACMA took forward several initiatives to further protect consumers

from scams perpetrated over telecommunications networks.

In response to the Scam Technology Project findings, the ACMA developed a 3-point action plan to

form a joint government-industry taskforce, develop new enforceable obligations and immediately

trial new scam reduction initiatives.

Action 1: Establish a taskforce to provide government and industry coordination and oversight of telecommunications scam minimisation strategies

In February 2020, we convened the first meeting of the Scam Telecommunications Action Taskforce.

Representatives from government and law enforcement agencies and the telco and financial

services industry attended to discuss scam reduction strategies and progress of the action plan

implementation. The taskforce met again on 23 June 2020.

Action 2: Develop a range of enforceable obligations for telco providers to protect their customers from scams by quarter 2 2020

In March 2020, Communications Alliance, the telco peak industry body, released for public comment

the first industry code in Australia dedicated to reducing scam activity. The draft reducing scam calls

industry code proposes enforceable obligations on telcos to identify, trace and block scam calls.

These are targeted at reducing scam activity and building consumer and industry confidence in

calling line identification. Subject to lodgement by industry and satisfaction of regulatory

requirements, we anticipate registration of the code in the next reporting period.

Action 3: Trial industry scam reduction initiatives

The ‘Do Not Originate’ trial, the first of the initiatives to be realised, has significantly reduced the

incidence of scammers presenting as legitimate ATO phone numbers.

The code being developed by industry will place obligations on telcos to identify and block high

volume and short duration scam calls, which are the key characteristics of a ‘Wangiri’ scam call. The

draft code also contains rules to prevent international scam call traffic using Australian numbers from

reaching Australian consumers.

The action plan has placed an increased emphasis on scam reduction activities on telco

networks. Since March 2020, the ACMA has been providing de-identified scam call complaint data to

the 5 largest telcos by market share to assist in verifying numbers associated with scam calls. The

telcos involved indicate they have been identifying and blocking a significant number of scam calls

as a result.

acma | 13

Trends in improved timeliness

Figure 3 shows improvements in the average time taken for several of our processes

over the last 5 years.

Average number of days for completion, 2015–16 to 2019–20

0

1

2

3

4

5

6

7

8

9

10

11

12

13

2015–16 2016–17 2017–18 2018–19 2019–20

Days

Media Control Register– confirm or cancel entry, alteration or removal

Telemarketing complaints

Radiocommunicationsinterference complaints

14 | acma

KPI 2 and 5 Communication, openness and transparency


KPI 2 – Communication with regulated entities is clear, targeted, and effective

Strategy 5 – Tailor communication to

reach our stakeholders and support

understanding of regulatory obligations


We released consumer information on our website and via social media on how to stay

connected during COVID-19 in recognition of the vital importance of communications and

media services. Topics included:

dealing with telcos during the pandemic

receiving financial hardship help from a telco

safeguarding the reliability of Triple Zero and priority assistance calls

increasing awareness of rules relating to the accuracy of broadcast news

recognising false coronavirus information online, including COVID-19 scams

reducing the risks associated with online gambling.

Separately, we released information on our website to our industry stakeholders, providing

information about the ACMA’s COVID-19 response and the assistance we were providing to

each industry sector.

We provided information on licence deferrals on our website for those licensees impacted by

COVID-19 and the bushfires. Licensees were encouraged to contact us directly for assistance.

If we didn’t receive a response from a licensee before their licence expired, we contacted them

to check whether the licence was still required before it was cancelled.

We published information on our website for the communications and media sectors about

their responsibilities. Please refer to the Introduction for further detail.

We published the Communications report 2018–19 on the ACMA website in February 2020.

The report informed a range of our regulatory activities, including the development of the

Supporting Australian stories on our screens—options paper. Highlights from the report

include:

Australians are using fixed internet connections for data-hungry applications like video

streaming. 83% of internet users viewed video content online

investment in infrastructure continued, with more than 400 5G-capable base stations

installed. 5.5 million homes and businesses were connected to the NBN

over-the-top and digital platforms are challenging revenue models. 71% of Australians with

a home TV had one or more subscription or paid streaming service

new high-speed networks are enabling services like the IoT and cloud technology.

During November 2019 to February 2020, we conducted a survey that was designed to explore

perceptions of how well we communicate, consult and interact with stakeholders. It provided us

with practical information to help us assess and improve our engagement. We contacted 127

stakeholders and 60 responses were received. While the sample was small, the survey

provided valuable insights into the views of various stakeholders and a reasonable basis to

assess key stakeholder trends. Key findings included:

an overall improvement in satisfaction from the government segment, this group was. more

satisfied than industry stakeholders. More positive ratings were found when partnering or

working on joint projects

acma | 15

satisfaction with our staff remains positive. Satisfaction with interactions with Authority

members is also positive, particularly for clarity of communication and being accessible

satisfaction with our overall compliance and enforcement processes was generally

comparable to previous findings. A slight decrease was observed in those satisfied with the

administrative work involved, along with a slight increase in efficiency of decision-making

our publications were rated positively, with similar levels of satisfaction to previous years.

We provided timely information to industry and consumers about the rules and regulations we

administer via our refreshed website, which went live in October 2019, and was re-designed to

help us deliver our services more efficiently in a manner consistent with the government’s

digital transformation strategy, and through social media.

We ran a consumer awareness-raising campaign during August and September 2019 to

educate Australians about what interactive gambling services are provided legally in Australia

and the risks of using offshore services. Second and third campaigns ran from December 2019

to February 2020 and April to June 2020 respectively, and aimed to reduce the use of illegal

services, and the resulting harm they cause. The campaigns included digital display

advertising, a Google search component, and mobile ads. A campaign toolkit including digital

advertising material was distributed to associated federal, state and territory stakeholders for

their information and use. This was of particular importance during the COVID-19 pandemic,

when online searches for gambling websites reportedly increased significantly following

nation-wide closures of pubs, clubs and legal casinos.

We issued consumer alerts for the following scams:

Apple/iPhone 11: 9 October 2019

ATO: 1 November 2019

Bushfire appeal: 6 January 2020

Amazon impersonation: 3 February 2020

ATO SMS impersonation: 16 February 2020

Online gambling SMS: 17 March 2020

COVID-19: 16 March and 22 March 2020.

In April 2020, we provided a report to the minister on the impact of the 2019–20 bushfires on

the telecommunications network. The report was published in May 2020. The report was based

on information obtained from carriers and offered observations (where possible) about network

resilience and the restoration of services. It provided a factual base for use by industry and

government in considering options to improve network resilience and continuity of services to

Australians.

16 | acma

KPI 5 – Regulators are open and transparent in their dealings with regulated entities

Strategy 6 – Enhance transparency of key information to promote accountability


In September 2019, we announced our FYSO 2019–23 spectrum management work program,

which included a forward allocation work-plan. The plan took into consideration stakeholder

feedback and provides information about the planning status, timing and sequencing of major

spectrum allocations to better support strategic network planning by spectrum users,

technology deployment planning and capital raising. We continually monitor the environment to

identify opportunities for improvement in spectrum management arrangements and

accommodate new and changed uses of spectrum while ensuring the continuation of existing

uses of spectrum that are of value to the community. We also released our draft FYSO 2020–

24 work program for consultation in April 2020.

The 2019–20 reporting period was the first complete year we adopted an agency-wide

strategic approach in prioritising our compliance work and publishing the priorities before the

start of the year. The annual compliance priorities for 2019–20 were published in April 2019,

with compliance activities undertaken during the year reported in quarterly web reports. In

developing the compliance priorities for 2020–21, we built on the successes of 2019–20 and

introduced an external consultation process to seek input on, and generate greater

understanding of, our proposed compliance priorities. This provided greater transparency,

clarity and certainty for industry and consumers.

Each quarter we published enforcement actions, investigation outcomes, complaint data and

trends and compliance contacts for the telecommunications, broadcasting, spam and

telemarketing sectors. Analysis of complaints data informs the selection of future compliance

priority areas and potential regulatory interventions. It also assists us to evaluate the success

of our education activities in encouraged industry compliance, and if our compliance activities

have been appropriate in addressing non-compliance.

During the reporting period, we published a range of reports on the ACMA website, including

investigation and enforcement outcomes:

Action on telco safeguards: April to June 2019

Action on telco consumer protections: October to December 2019

Action on telco consumer protections: January to March 2020

The ACMA investigation into coverage of the Christchurch terrorist attack, July 2019

NBN Wi-Fi modem study, July 2019

Action on telco consumer protections: July to September 2019

Telecommunications complaints-handling 2018–19 report, October 2019

Mobile-only Australia: living without a fixed line at home interactive report, October 2019

Combating scams—Action plan summary report, November 2019

Kids and mobiles: how Australian children are using mobile phones interactive report,

November 2019

Gambling advertising research report, November 2019

Australians and news—impartiality and commercial influence, January 2020

Communications report 2018–19, February 2020

The future delivery of radio, March 2020

Customer financial hardship in the telco industry—State of play report 2018–19,

March 2020

acma | 17

Impacts of the 2019–20 bushfires on the telecommunications network, April 2020

Telco complaints-handling performance: September and December 2019, April 2020

Misinformation and news quality on digital platforms in Australia—A position paper to guide

code development, June 2020

Telco consumer credit checks—findings of shadow shopping study, June 2020.

We used a range of social media and other digital channels to engage with consumers and

industry. In 2019–20, we sent 199 e-bulletins to our 19,705 subscribers and engaged with

stakeholders on Twitter, Facebook and LinkedIn via 945 posts.

Over 2019–20, work progressed to develop occasional papers that examine trends and

developments in the communications and media markets and whether the ACMA regulatory

settings remain fit-for-purpose. These papers included:

AI technologies in the media and communications sector, published on our website on

5 August 2020

IoT roadmap, published on our website on 5 August 2020.

Following the release of the government’s response to the Digital Platforms Inquiry Final

Report in December 2019, we released a position paper in June 2020 outlining expectations

for a voluntary code(s) of practice on misinformation and news quality to be developed by

digital platforms. The position paper identified 3 key objectives to be achieved through the

code:

reducing the impact of harmful misinformation

empowering people to better judge the quality of news and information

enhancing the transparency and accountability of platforms’ practices.

In 2019–20, we developed a data strategy and governance framework to grow our data and

analytics capabilities, moving us beyond traditional business intelligence. This multi-year

commitment will improve the use of data for decision-making and accountability and provide

valuable insight into the communications and media sectors we regulate. It will also allow

stakeholders to effectively use our data assets.

Case study: International spectrum cooperation at WRC-19

The WRC is hosted by the International Telecommunication union (ITU), a United Nations

agency made up of 193 member states. The ITU's focus is international cooperation in the use of

telecommunications and radio frequency spectrum. The Australian Government is a signatory to the

ITU constitution and convention treaty and maintains overall policy responsibility for Australia's ITU

membership and involvement.

In collaboration with the Department of Infrastructure, Transport, Regional Development and

Communications, which heads Australia’s delegation, we actively participated in the work of the ITU

to develop regulatory arrangements for radiocommunications that are in Australia’s national interest.

Six ACMA staff were among the 3,000 participants representing 160 ITU member states, that

attended the WRC-19, in Sharm el-Sheikh, Egypt from 28 October to 22 November 2019.

The agenda for WRC-19 included important considerations of spectrum and/or regulatory

arrangements for millimetre-wave 5G services, satellite earth stations in motion (ESIM), high altitude

platform stations (HAPS), intelligent transport systems (ITS), small satellites and expanded wi-fi

services.

18 | acma

In the lead-up to WRC-19, Australian stakeholders from both government and industry spent nearly

4 years participating in several international and regional meetings, including key meetings of the

ITU Radiocommunication Sector (ITU-R) and Asia Pacific Telecommunity (APT). These meetings

served to develop technical and regulatory material in preparation for WRC-19, and, ultimately,

Australia’s preliminary views on the 33 agenda items being considered at the conference.

The work carried out both in preparation for and at this conference, is imperative, and will form the

basis of international allocation revisions of the ACMA’s spectrum plan for the next 4 years.

Diversity of communication channels – snapshot

Online content – our website had more than 3.9 million page views.

Consultations – we conducted 42 public consultations.

Targeted emails – we sent a range of e-bulletins about telecommunications, telemarketing,

e-marketing, radiocommunications, spectrum, research, consultations and updates about our

activities to 19,705 subscribers.

Social media – we engaged with a range of stakeholders via our Twitter, Facebook and LinkedIn

accounts, with 945 posts across these channels. Campaigns included:

scam alerts

tips and advice when migrating to services delivered by retail service providers over the NBN

information about the rules for the broadcasting and advertising of gambling content, political

matters and elections

updates on investigation and enforcement activities

promotion of our consultations

general advice and information for consumers and industry.

Media engagement – we issued 54 media releases and disseminated information to mainstream

media through journalist briefings, interviews, radio grabs and subscriber distribution lists.

acma | 19

KPI 3 and 4 Proportionate actions and streamlined and coordinated compliance monitoring


KPI 3 – Actions undertaken by regulators are proportionate to the regulatory risk being managed

Strategy 7 – Use risk-based and

graduated compliance and enforcement

approaches


The onset of the COVID-19 pandemic required us to respond swiftly and flexibly to redirect

resources. This action enabled us to support the media and communications industry in

playing its pivotal role in keeping the Australian community connected. Refer to Introduction for

further detail on the actions undertaken.

We managed the risk of interference and other harms to the legitimate use of spectrum and

protected public safety by:

responding to complaints about interference to mobile and non-mobile networks

targeting potential sources of interference, including solar inverters

conducting monitoring and site audits of licensees in the 5.6 GHz and 400 MHz bands

taking action for the unlicensed use of spectrum

auditing electromagnetic energy (EME) compliance in response to community queries about

the use of small cells for 5G

investigating equipment standards and customer cabling issues.

Our annual compliance priorities guide our efforts to deliver effective compliance and, where

necessary, targeted enforcement activity. The priorities are identified because they are of

public interest or represent developing areas where we can encourage compliance and boost

public confidence. The annual compliance priorities for the 2019–20 period were:

telecommunications consumer safeguards

small cell base stations for 4G and 5G and base station compliance

unsolicited communications: solar telemarketing and lead generation

broadcast news – focusing on practices of the broadcasters and whether the current

regulatory framework (including the broadcasters’ codes of practice) is fit-for-purpose today

gambling – focusing on gambling advertising during broadcasts and online, credit betting

and offshore unlicensed gambling

solar inverter interference and unlicensed activity in the 5.6 GHz and 400 MHz spectrum

bands.

In April 2020, after stakeholder consultation, we released 7 priorities for 2020–21:

protecting telco customers

a better move to the NBN

5G and EME

phone scams

financial services marketing

online casinos targeting Aussies

interference from unlicensed mobile phone repeaters in the construction and resources

industries.

20 | acma

We completed 50 investigations into broadcasters’ compliance with, licence conditions and

standards related to the Broadcasting Services Act 1992 and with industry codes of practise,

with 48 of these being finalised within our 6-month benchmark. We completed 2 investigations

into compliance with online content rules that restrict gambling advertising during sporting

events.

We continued to respond to broadcasting, telecommunications and radiocommunications

complaints. Appendix C includes the numbers of complaints and enquiries that we received

and responded to.

KPI 4 – Compliance and monitoring approaches are streamlined and coordinated

Strategy 8 – Avoid unnecessary

compliance information requirements

and remove duplication


We monitored industry compliance with the rules designed to help consumers move to the

NBN. We utilised complaints data received under our Telecommunications (Consumer

Complaints) Record-Keeping Rules 2018 (record-keeping rules) and data from other sources

such as the Telecommunications Industry Ombudsman (TIO) to focus our compliance

activities. These activities included compliance audits, investigations of potential

non-compliance and enforcement action (where necessary). Our investigations resulted in 11

findings of non-compliance. Enforcement actions included 2 remedial directions and one

infringement notice.

We raised awareness of compliance activities by publishing and reporting on our compliance

priority activities. We monitored compliance issues using complaints and other intelligence

including stakeholder feedback, consumer research and trends, and information provided by

other regulators and consumer groups. Our monitoring activities informed targeted audits and

investigations, leading to non-compliance being addressed through prompt action. A number of

these actions were aimed at reducing the risk of non-compliance in the future by addressing

systemic causes of breaches.

We conducted internal reviews of requests for information to telcos that were the subject of an

investigation. This was to provide assurance that the requests were appropriate to the

investigation and not in excess of what was required to carry out of the investigation.

In gathering information from industry in connection with our reporting activities, such as for our

financial hardship ‘state of play’ report and our report to the minister on the impact of the 2019–

20 bushfires on the telecommunications network, we consulted with the affected telcos on the

scope of the data we were seeking from them.

In 2019–20, we finalised 16 investigations into Carriage Service Provider (CSP) compliance

with IPND obligations under the Telecommunications Act 1997 and the Industry Code

555:2020 Integrated Public Number Database (the IPND industry code). These built on the

investigations into 11 CSPs undertaken in the previous reporting period. These investigations

resulted in a total of 30 breach findings (15 breaches of the Telecommunications Act and 15

breaches of the IPND industry code). Identifying these breaches will enable CSPs to correct

their actions, resulting in the overall quality of the IPND being improved and an increased

awareness of IPND obligations.

We monitored the delivery and administration of our regulation to identify improvements in our

regulatory practice through:

our annual customer service user satisfaction survey

achieving an average of 93% of enquiries received by our Customer Service Centre being

actioned within 3 working days.

acma | 21

Appendix A: Timeliness target performance, 2019–20

Activity Process Target Result Performance

Compliance

Spam complaints activities 90% actioned within 15 business days 100% actioned within 15 business days Exceeded

Telemarketing complaints activities 90% actioned within 15 business days 100% actioned within 15 business days Exceeded

Spectrum licensing

Assigned apparatus licences – allocation 90% within 90 days 90% allocated within 90 days Met

Assigned apparatus licences – renewal 90% within 90 days 90% renewed within 90 days Met

Non-assigned apparatus licences – allocation 90% within 90 days 90% allocated within 90 days Met

Non-assigned apparatus licences – renewal 90% within 90 days 90% renewed within 90 days Met

Radio and TV broadcasting retransmission

licences 90% issued within 90 days 90% issued within 90 days Met

Radio and TV apparatus licences – variations 90% issued within 90 days 90% issued within 90 days Met

Special event broadcasting licences Issued prior to event 100% issued prior to event Met

Commercial radio broadcasting licences –

renewal Prior to expiry 100% renewed prior to expiry Met

Commercial television broadcasting licences

– renewal Prior to expiry 100% renewed prior to expiry Met

Media control and

content assessment

Media control registers – entry, alteration or

removal Completed within 2 business days 100% completed within 2 business days Met

Media control registers – confirm or cancel

entry, alteration or removal Completed within 28 days 100% completed within 28 days Met

Captioning exemption orders/target reduction

orders Completed within 90 days 100% completed within 90 days Met

Children’s and pre-school program

classification assessments Completed within 60 business days

100% completed within 60 business

days Met

22 | acma


Customer Service

Centre

Broadcasting total 95% of enquiries resolved in 3 business

days or less

95% of enquiries resolved in 3 business

days or less Met

Other total 95% of enquiries resolved in 3 business

days or less


days or less Met

Telecommunications

licensing and

numbering

Telecommunications numbering allocations

(application for mobile and geographic

number resources)

Instantaneous (fully automated process) 100% Met

Compliance

Integrated Public Number Database

complaints

*includes complaints concerning research

authorisations, public directory publishers,

carriage service providers and the IPND

Manager

Actioned within 7 business days 100% actioned within 7 business days Met

Interactive gambling complaints/enquiries

activities Actioned within 2 business days 100% actioned within 2 business days Met

Radio communications complaints/enquires

activities

Public safety: initial response within 3.5

hours 100% response within 3.5 days Met

All complaints completed in an average

of 45 days

100% completed in an average of 45

days Met

Compliance investigations completed in

an average of 90 days1 Nil n/a

Compliance

investigations

Integrated Public Number Database

investigations completed

Completed within 6 months with an

average time for completion of 4 months

100% completed within 6 months with an

average time for completion within 4

months

Met

Community

broadcasting

licensing

Long-term community radio broadcasting

licences allocations – applications processed Completed within 6 months 100% completed within 6 months Met

1 No formal radiocommunications compliance investigations commenced during the 2019–20 reporting period.

acma | 23


Compliance Broadcast content complaints/enquiries

activities Actioned within 7 business days 100% actioned within 7 business days Met

Compliance

investigations Interactive gambling investigations completed





months

Mostly met

Telecommunications

licensing and

numbering

Carrier licences issued Within 20 business days 97% issued within 20 business days Mostly met

Compliance

investigations Broadcast content investigations completed





months

Mostly met

Customer Service

Centre

Total enquiries 95% of enquiries resolved in 3 business

days or less


days or less Mostly met

Radiocommunications total 95% of enquiries resolved in 3 business

days or less



Telecommunications total 95% of enquiries resolved in 3 business

days or less



Spam total 95% of enquiries resolved in 3 business

days or less



Spectrum licensing Actioned complaints about access to VAST Within 8 weeks 89% complaints were actioned within 8

weeks Mostly met

Compliance

Telecommunications complaints/enquiries

activities

*includes complaints about consumer

protections, mobile phone base station

deployments, carriers’ powers and

immunities, installation of fibre-ready pits and

pipes and emergency call services

Initial response to other complaints and

enquiries: within 3 days 88% had initial response within 3 days Mostly met

Compliance

investigations Telemarketing investigations completed





months

Mostly met

24 | acma


Telecommunication investigations completed Completed within 6 months with an


87% within 6 months with an average

time for completion within 4 months Mostly met

Community

broadcasting

licensing

Temporary community broadcasting

allocations (new) Issued within 90 days 75% issued within 90 days Mostly met

Temporary community broadcasting

allocations (subsequent) Issued within 30 days 74% issued within 30 days Mostly met

Compliance

investigations Spam investigations completed





months

Mostly met

Telecommunications

licensing and

numbering

Nominated carrier declarations issued Issued within 20 business days 40% issued within 20 business days Not met2

Community

broadcasting

licensing

Long-term community radio broadcasting

licences – renewal applications processed Completed within 90 days 35% completed within 90 days Not met

Media control and

content assessment

Australian content quota and sub-quota

compliance assessments (including children’s

television quota assessments)

Completed within 90 business days 0% completed within 90 days Not met

New Eligible Drama Expenditure annual

compliance Completed within 60 business days 0% completed within 90 days Not met

2 Refer to exceptions under KPI 1 for further detail on targets that were not met.

acma | 25

Appendix B: Improved average time frames in 2019–20, compared to 2018–19

Activity Target

Average completion time

2018–19 2019–20

Media Control Register – confirm or cancel entry, alteration or removal Completed within 28 days 8.4 days 3.7 days

Captioning exemption orders/target reduction orders Completed within 90 days 86.5 days 74.5 days

Telemarketing complaints 90% within 15 business days 4.8 days 4.1 days

Telemarketing investigations Completed within 6 months with an average

time for completion of 4 months 3.9 months 3.8 months

Radiocommunications interference complaints Not listed 3 days 2 days

26 | acma

Appendix C: Numbers of complaints and enquiries, 2019–20

Description (complaints and

enquiries by financial year) Process 2015–16 2016–17 2017–18 2018–19 2019–20

Complaints and enquiries Actioned complaints about access to VAST 251 207 100 131 231

Customer Service Centre – resolution of

enquiries

Broadcasting 866 1,147 968 1,561 1,885

Telecommunications 4,807 4,482 2,869 5,061 4,652

Spam 597 1,084 1,000 1,023 1,028

Radiocommunications 36,656 37,303 25,785 25,794 25,282

Other 7,404 7,246 6,974 6,999 7,577

Total enquiries 50,330 51,337 37,596 40,438 40,424

Complaints and enquiries

Broadcasting content 1,232 1,028 1,166 1,430 1688

Telecommunications 305 688 878 474 341

Radiocommunications 1,557 1,417 1,194 825 727

IGA matters 198 283 252 288 468

Total enquiries 3,292 3,416 3,490 3,017 3,224

Complaints – telemarketing and fax

marketing Complaints received from the public 23,056 28,259 40,134 36,583 30,603

Complaints – spam Complaints received from the public 1,737 2,389 3,309 6,333 6,858

regulator performance framework performance assessment …

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