1、STD-CEPT ERC REPORT 53-ENGL 3998 W 2326434 0033333 923 m ERC REPORT 53 European Radiocommunications Committee (ERC) L- within the European Conference of Postal and Telecommunications Administrations (CEPT) REPORT ON THE INTRODUCTION OF ECONOMIC CRITERIA IN SPECTRUM MANAGEMENT AND THE PRINCIPLES OF F
2、EES AND CHARGING IN THE CEPT Manchester, May 1998 Copyright 1998 the European Conference of Postal and Telecommunications Administrations (CEPT) STD-CEPT ERC REPORT 53-ENGL 3998 Z32bYL4 0033335 7Tb ERC REPORT 53 REPORT ON THE INTRODUCTION OF ECONOMIC CRITERIA IN SPECTRUM MANAGEMENT AND THE PRINCIPLE
3、S OF FEES AND CHARGING IN THE CEPT 1 INTRODUCTION 1 1.1 DEVELOPMENTS . 1 1.2 BACKGROUND 2 CEPT Policy, Reports and Recommendations . 2 1.2. I 1.2.2 ITU-R Report 3 2 OVERVIEW OF THIS REPORT . 4 3 THE PRINCIPLES OF FINANCING SPECTRUM MANAGEMENT 6 NATIONAL BUDGET FINANCING BUDGET . 6 SPECTRUM USAGE FEE
4、S 6 3.2.1 Simple fee . 7 3.2.2 Cost recovery 7 3.3 THE DIFFERENCE BETWEEN FEES AND TAXES . 8 3.4 DISTRIBUTION OF SPECTRUM MANAGEMENT COSTS ACROSS RADIO USERS . 8 3.5 SUPPORT IN FREQUENCY MANAGEMENT TASKS 9 3.6 OTHER FEES AND CHARGES 9 3.7 DISCUSSION 10 3.1 3.2 4 TRADITIONAL LICENSING MECHANISMS 12 4
5、.1 FIRST COME FIRST SERVED . 12 4.3 COMPARATIVE BIDDING 12 4.4 LOTTERIES 13 4.5 DISCUSSION 14 4.2 TENDER PROCEDURES OR BEAUTY CONTESTS . 12 5 SPECTRUM PRICING 15 5.1 ADMINISTRATIVE PRICING 15 5.2 AUCTIONS . 16 5.2. I Advantages of auctions . 17 5.2.2 Disadvantages of auctions 5.3 DISCUSSION 6 SPECTR
6、UM RIGHTS . 20 SECURITY OF TENURE AND LICENCE DURAON 20 6 .I . I Security of tenure . 6.1.2 Licence Duration 20 6 . 1 . 3 Licence fees 21 6.2 SPECTRUM RIGHTS . 21 6.2. I Spectrum Rights obtained by the Licensee . 6.2.2 The Spectrum Rights Retained by an Administration . 22 6.1 6.3 TRANSFERABLE OR FL
7、EXIBLE SPECTRUM RIGHTS 22 6.4 SECONDARY MARKET 23 6.5 DISCUSSION 23 SPECTRUM PRICING . FURTHER CONSIDERATIONS 24 7.1 SPECTRUM PRICING MCOME AND ITS POTENTIAL USE . 24 1.2 SPECTRUM REFARMING 25 7.2. i Why spectrum refarming is important 25 7.2.2 Potential solutions 26 7.3 DISCUSSION 26 7 STD-CEPT ERC
8、 REPORT 53-ENGL 1798 1111 232bLiL4 O033336 632 = ERC REPORT 53 8 MANAGING THE TRANSITION 27 WHY MANAGING THE TRANSITION IS IMPORTANT . 27 ISSUES FOR CONSDERATION . 27 8.2. I Legal . 27 8.2.2 International obligations . . 28 8.1 8.2 8.2.3 Formula development . 28 8.2.4 Funding implications 8.3 DISCUS
9、SION . 9 INTERNATIONAL PERSPECTIVE 30 9.1 THE EUROPEAN UNION . . 30 9.2 ITU DEVELOPMENTS 30 9.3 DEVELOPMENTS M MDIVIDUAL CEPT COUNTRIES 30 9.4 OPINIONS OF USER GROUPS . 31 9.4. I UMTS forum . . . 31 9.4.2 EBU . 32 9.4.3 ECTEL 33 9.4.4 International Amateur Radio Union (IARU) . 9.4.5 AirTouch Communi
10、cations 33 CONCLUSIONS AND PROPOSALS FOR FURTHER WORK . 36 10.1 SUMMING-UP . 36 10.2 CONCLUSIONS 36 10.3 PROPOSALS FOR FURTHER WORK . 38 . 10 ANNEX I ANNEX II ANNEX III ANNEX IV ANNEX V ANNEX VI ANNEX VI1 ANNEX VI11 RECOMMENDATIONS ERC PT8 REPORT 39 RECOMMENDATIONS DSI I AND II 41 SPECTRUM MANAGEMEN
11、T FUNCTIONS . 45 EXAMPLES OF CHARGING SYSTEMS IN CERTAIN ADMINISTRATION 47 ADMINISTRATIVE PRICING APPLIED TO DIFFERENT SERVICES . 49 DEVELOPMENTS WITH REGARD TO SPECTRUM PRICING IN INDIVIDUAL ADMINISTRATIONS . 55 GLOSSARY OF SPECTRUM PRICING . 61 SPECTRUM REFARMING ISSUES 63 ERC REPORT 53 Page I REP
12、ORT ON THE INTRODUCTION OF ECONOMIC CRITERIA IN SPECTRUM MANAGEMENT AND THE PRINCIPLES OF FEES AND CHARGING IN THE CEPT 1 INTRODUCTION The aim of this Report is to discuss an approach for CEPT administrations considering the introduction of economic criteria in spectrum management and to develop pro
13、posals on a possible fee structure for licences based on a proposed set of criteria. In both these areas the report examines the potential for developing a set of common rules and guidelines within the CEPT. The approach to economic criteria may take the form of new allocation procedures like auctio
14、ns, or the form of incentive licensing systems like administrative pricing. In the area of charging the criteria and the relationship between individual elements of the licence fee could form the basis for further harmonisation work at a CEPT level. However it is acknowledged that the potential for
15、harmonisation in the area of licensing and charging is limited because administrations different legislative systems, spectrum management requirements and wider political aims and policies, require a certain level of autonomy and flexibility in this process. In preparing this ERC Report use is made
16、of the information gathered and proposals made in two ER0 studies prepared as Work Orders for the European Commission: i) Licensing and Charging; ii) PMR and PAMR Licensing. 1.1 Developments Radiocommunications including the management of the radio spectrum has in recent years attained a high politi
17、cal profile. In part this is due to CEPT administrations policy of introducing “market forces” into various government controlled activities by the privatisation of state companies, putting them in the market place and creating competitors. The other major reason for the increase in radios political
18、 profile has been a growth in demand for spectrum which has in some geographical areas, in some frequency bands and particularly for some services, exceeded the available supply. The latter development has been exacerbated by the liberalisation of telecommunications and rapid changes in technology.
19、The experience of many CEPT administrations has shown the existing licensing mechanisms and charging policies are not sufficient to cater for these developments in the radiocommunications global environment. In particular the increased demand for spectrum and its scarcity have generated a requiremen
20、t for greater transparency in the spectrum management process and its associated procedures. The rising demand for spectrum has led to the development of new approaches to spectrum management. These new approaches have included, among other things, economic criteria as a new spectrum management tool
21、 for certain services and as an instrument for calculating licence fee structures. The economic criteria are used, together with other more traditional spectrum management tools, with the aim of improving spectrum management and allowing the radio spectrum to be managed on a more equitable basis for
22、 the benefit of all radio users. Economic criteria are not being introduced in order to create revenue for the administrations. 1 Including the EU programme of liberalisation of telecommunications by 1 January 1998. STDmCEPT ERC REPORT 53-ENGL 1998 M 2326434 0033339 341 = ERC REPORT 53 Page 2 In mos
23、t CEPT countries, licence fee structures are strictly controlled and to change the process may require significant legislative or even constitutional changes, and these constraints have influenced the approach taken by each country. Currently, several different licence fee regimes are in operation,
24、or plans for their introduction are being made. In these regimes the fees are set: i) ii) iii) iv) at zero and the radio user is not charged at all; that do not reflect the cost of regulating the spectrum; to reflect the direct costs and/or the indirect costs of spectrum management; at a variable ra
25、te based on the service and a set of predefined criteria. The operation of some of these systems may mean that the taxpayer subsidises spectrum management. In some countries legislation is being prepared in order to introduce either the possibility of differentiation of fees for certain services acc
26、ording to a set number of criteria, or the introduction of spectrum auctions. It is considered beneficial that exchange of information takes place within the CEPT to where harmonisation is possihle and how this might be achieved. 1.2 Background This report investigates the introduction of economic c
27、riteria into spectrum management and the licence fee structures used within the CEPT. The work is based on developments in spectrum management within CEPT countries and changes in the global telecommunications environment. In particular, the report examines CEPT Policy, Reports and Recommendations t
28、hat are applicable to licence fee structures to determine: i) any impact from changes in spectrum management within the CEPT countries; i) the extent to which they remain relevant. The report also examines developments within the International Telecommunications Union (ITU) to ascertain the relevanc
29、e of the IT-R Report SM.2012 on “Economic Aspects of Spectrum Management” to the CEPT countries and the lessons that may be leamed from the changes in the approach to spectrum management outside of the CEPT. 1.2.1 CEPT Policy, Reports and Recommendations Some years ago the ERC developed policy goals
30、 for the long and short term. Some of these goals dealt with the topic of fees and charges, for example the recommendation “to study new mechanisms for spectrum management and the exchange of information on the principles of financing the work of the administrations” with a view to finding a common
31、basis for fees. This recommendation was recently confirmed again by the ERC Reflection group3, which examined the ERC PT8 policy goals and recommendations with the aim of bringing them up to date. An extract of the ERC report dealing with the relevant policy goals and recommendations is included in
32、Annex 1. In the Detailed Spectrum Investigations4, although primarily dealing with the harmonisation of certain fiequency ranges, recommendations were also given with regard to regulatory issues regarding spectrum management and its funding. 2 ERC Long Term Strategy and Policy, Nicosia March 1994 An
33、nex 1 to Doc CEPTERC (94) 13. 3 Final Report of the ERC Reflection Group CEPT/ERC(97)113. 4 DSI I3400 MHz - 105 GHz March 1993 ISBN 92-9135-001-3 DSI II 29.7- 960 MHzMarch 1995 ISBN 92-9135-007-9. STD-CEPT ERC REPORT 53-ENGL 1998 = 2320434 00133YR Ob3 m ERC REPORT 53 Page 3 The DSI I report conclude
34、d that currently in some countries major users do not contribute to the actual cost of spectrum management. The report recommended that in order to improve the efficiency of spectrum management in CEPT countries the direct and indirect costs involved should be reflected in licence fees and charges t
35、o all spectrum users, including those that still retain monopoly privileges. It further recommended that consideration be given to the establishment of radio regulatou agencies DSI II raised the question of new methods of fiequency management and touched upon the item of spectrum pricing including d
36、ifferential pricing where licensing is used as a tool to either encourage or discourage users and operators to apply for andor operate in particular frequency bands. Another item in the DSI II report is the reimbursement to users of a particular fiequency band where that band needs to be recovered f
37、or another service or other users. It was proposed either to establish a fund raised from interested parties (industry and operators) or the new user of the spectrum should reimburse the old user. The DSI II report further recommended that a time table with a date for transfer, to be confirmed by al
38、l parties, for major refarming projects be agreed on a European basis. On new approaches to spectrum management DSI I1 recommended retaining the existing first come, fmt served system with some improvements like delegating responsibility for frequency planning to user groups. When competitive licens
39、ing is necessary because of lack of frequencies the administrative comparative approach should be used rather than lotteries or auctions. A proposal for a differential licence fee structure was put forward and it was considered preferable to harmonise on the use of this fee structure. This was howev
40、er recognised to be impractical but some merit was seen in agreeing the basic criteria on which a fee is based and the relationship between individual elements of the licence fee. In the public consultation on DSI II the comments received supported, in general, the administrative pricing approach to
41、 licensing and the delegation of frequency planning to specialised interest groups. On the refarming proposals there were mixed opinions, specifically with regard to the practicalities of the proposed process and the possibility to harmonise this European wide. Alternatives to the fmancial mechanism
42、 proposed were suggested, such as futed term licences and the early identification of new spectrum. Another suggestion was that the transfer process could be funded by all radio users. The text of these recommendations can be found in Annex II. The ERC, in its reaction to the DSI II recommendations
43、concluded that the area these recommendations covered was subject to change and therefore no conclusions could be drawn. All above mentioned reports call for further studies and investigations into the possibility of harmonisation in the areas of spectrum management and fee structures, together with
44、 the publication of guidelines by the ERC for member administrations. 1.2.2 ITU-R Report The IT-R report was developed to provide all administrations with a common understanding of economic criteria in spectrum management and guidance on the funding of the spectrum management process. Although the r
45、eport was written in response to a specific request for information from the Development Sector of the ITU, the IT-R had already recognised the need to provide information on this aspect of spectrum management and had started work in 1994. Work had commenced because administrations were concerned th
46、at changes in the telecommunications environment and rapid changes in technology, were impacting on management of the radio spectrum to the extent that it was necessary to investigate whether guidance on new spectrum management techniques needed to be developed. In presenting information on these ne
47、w spectrum management techniques the ITU-R were concerned that some countries might assume that the report was attempting to promote the use of economic criteria. This concern (together with the recognition that all of the countries that were using economic criteria considered the methodology was st
48、ill subject to rapid development) determined that the IT-R report should not at this stage contain any specific conclusions for their use. STD-CEPT ERC REPORT 53-ENGL By98 D 2326434 0033337 579 - ERC REPORT 53 Page 4 2 OVERVIEW OF THIS REPORT There would be little point in repeating the work of the
49、ITU-R Report SM.2012 on “Economic Aspects of Spectrum Management”. This Report therefore concentrates on providing the background to these issues putting them into a CEPT context and attempting to identi a common approach to spectrum pricing. This report might therefore be read in conjunction with the IT-R report to obtain the detailed information on the economic aspects. As the previous section indicated, there are many distinct but closely related subjects to be addressed in relation to charging principles. The Report will give an overview of existing charging princip
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