1、 I n t e r n a t i o n a l T e l e c o m m u n i c a t i o n U n i o n ITU-T D.261 TELECOMMUNICATION STANDARDIZATION SECTOR OF ITU (10/2016) SERIES D: TARIFF AND ACCOUNTING PRINCIPLES AND INTERNATIONAL TELECOMMUNICATION/ICT ECONOMIC AND POLICY ISSUES General tariff principles Economic and policy fac
2、tors relevant to the efficient provision of international telecommunication services Principles for market definition and identification of operators with significant market power Recommendation ITU-T D.261 ITU-T D-SERIES RECOMMENDATIONS TARIFF AND ACCOUNTING PRINCIPLES AND INTERNATIONAL TELECOMMUNI
3、CATION/ICT ECONOMIC AND POLICY ISSUES TERMS AND DEFINITIONS D.0 GENERAL TARIFF PRINCIPLES Private leased telecommunication facilities D.1D.9 Tariff principles applying to data communication services over dedicated public data networks D.10D.39 Charging and accounting in the international public tele
4、gram service D.40D.44 Charging and accounting in the international telemessage service D.45D.49 Principles applicable to GII-Internet D.50D.59 Charging and accounting in the international telex service D.60D.69 Charging and accounting in the international facsimile service D.70D.75 Charging and acco
5、unting in the international videotex service D.76D.79 Charging and accounting in the international phototelegraph service D.80D.89 Charging and accounting in the mobile services D.90D.99 Charging and accounting in the international telephone service D.100D.159 Drawing up and exchange of internationa
6、l telephone and telex accounts D.160D.179 International sound- and television-programme transmissions D.180D.184 Charging and accounting for international satellite services D.185D.189 Transmission of monthly international accounting information D.190D.191 Service and privilege telecommunications D.
7、192D.195 Settlement of international telecommunication balances of accounts D.196D.209 Charging and accounting principles for international telecommunication services provided over the ISDN D.210D.260 Economic and policy factors relevant to the efficient provision of international telecommunication
8、services D.261D.269 Charging and accounting principles for next generation networks (NGN) D.270D.279 Charging and accounting principles for universal personal telecommunication D.280D.284 Charging and accounting principles for intelligent network supported services D.285D.299 RECOMMENDATIONS FOR REG
9、IONAL APPLICATION Recommendations applicable in Europe and the Mediterranean Basin D.300D.399 Recommendations applicable in Latin America D.400D.499 Recommendations applicable in Asia and Oceania D.500D.599 Recommendations applicable to the African Region D.600D.699 For further details, please refer
10、 to the list of ITU-T Recommendations. Rec. ITU-T D.261 (10/2016) i Recommendation ITU-T D.261 Principles for market definition and identification of operators with significant market power Summary Recommendation ITU-T D.261 proposes principles and guidelines to assist countries in defining and iden
11、tifying significant market power (SMP) in the telecommunications sector. History Edition Recommendation Approval Study Group Unique ID* 1.0 ITU-T D.261 2016-10-25 3 11.1002/1000/12829 Keywords Competition, relevant market, significant market power (SMP), wholesale. _ * To access the Recommendation,
12、type the URL http:/handle.itu.int/ in the address field of your web browser, followed by the Recommendations unique ID. For example, http:/handle.itu.int/11.1002/1000/11830-en. ii Rec. ITU-T D.261 (10/2016) FOREWORD The International Telecommunication Union (ITU) is the United Nations specialized ag
13、ency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a vie
14、w to standardizing telecommunications on a worldwide basis. The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. The approval of ITU-T Recommendat
15、ions is covered by the procedure laid down in WTSA Resolution 1. In some areas of information technology which fall within ITU-Ts purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. NOTE In this Recommendation, the expression “Administration“ is used for concisen
16、ess to indicate both a telecommunication administration and a recognized operating agency. Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendatio
17、n is achieved when all of these mandatory provisions are met. The words “shall“ or some other obligatory language such as “must“ and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. INT
18、ELLECTUAL PROPERTY RIGHTSITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, w
19、hether asserted by ITU members or others outside of the Recommendation development process. As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are
20、 cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at http:/www.itu.int/ITU-T/ipr/. ITU 2017 All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permissio
21、n of ITU. Rec. ITU-T D.261 (10/2016) iii Table of Contents Page 1 Scope . 1 2 Abbreviations and acronyms 1 3 Principles for market identification and definition . 1 4 Three-criteria test for markets susceptible to ex ante regulation 2 5 Identification of operators with significant market power (SMP)
22、 2 6 Obligations for operators with SMP . 2 iv Rec. ITU-T D.261 (10/2016) Introduction With the increased variety of commercial offers by operators, spanning across all regions and countries, the need to ensure a level playing field in the provision of international telecommunication services become
23、s very pertinent. This calls for the identification of the relevant markets for international services where the possibility of abuse of significant power by dominant operators is likely to occur. Member States and regulators continue to express concern about the possibility of abuse of market power
24、 and dominance in the provision of international telecommunications services. Market forces alone may not be effective enough to prevent abuse of market power and dominance in the provision of international telecommunication services. The issues at stake and their degree vary from region to region,
25、and also within regions, in terms of levels of economic development, market structures and regulatory frameworks. As such, there is need for a harmonized approach at the international level to ensure the competitive provision of international services on a fair and non-discriminatory basis. Along wi
26、th the considerations above, it is fundamental that the Member States and national regulatory authorities (NRAs) ensure the greatest possible level of transparency and legal certainty. Regulation as regards the definition of relevant markets and identification of operators with significant market po
27、wer (SMP) should be explicitly clear in its guiding principles. It is recommended that the following principles at least should be considered: i) The principle of minimum intervention: This guarantees that the regulatory authorities will intervene only at times when market conditions do not per se e
28、nsure effective and sustainable competition among the different competitors in the relevant market. ii) The principle of proportionality: This means that the regulatory authorities undertake not to impose obligations entailing costs greater than the possible benefits of applying the ex ante regulati
29、on. Rec. ITU-T D.261 (10/2016) 1 Recommendation ITU-T D.261 Principles for market definition and identification of operators with significant market power1 1 Scope This Recommendation proposes principles and guidelines to be considered by Member States in defining, identifying and assessing the degr
30、ee of abuse of market power and dominance by international telecommunication service providers in the various markets for international telecommunication services and obligations on such service providers with significant market power (SMP). 2 Abbreviations and acronyms This Recommendation uses the
31、following abbreviations and acronyms: NRA National Regulatory Authorities SMP Significant Market Power SSNIP Small but Significant Non-Transitory Increase in Price 3 Principles for market identification and definition 3.1 Identifying relevant markets is a critical first step in any competition analy
32、sis. Markets shall be identified with reference to their product and geographical dimensions, but may also consider other dimensions, as set out below: a) Product dimension: Characteristics, prices and intended use of products and services in question. b) Geographic dimension: Geographic area in whi
33、ch products and services are supplied. c) Temporal dimension: Time period over which products and services are supplied. d) Functional dimension: Position in the supply chain, i.e. retail or wholesale. 3.2 For each of the dimensions above, the relevant market must then be defined through the concept
34、 of substitutability. Substitutability refers to the ability of a customer or supplier to switch from one product or service to an alternative in response to a change in the relative price, service or quality of the first product or service. For example, under the product dimension, products and ser
35、vices are considered substitutable if customers and suppliers consider the products or services to be close alternatives in terms of characteristics and usage. _ 1 In accordance with clause 9.5.4 of WTSA Resolution 1, it was requested that the following reservations be appended to this Recommendatio
36、n: The following country has expressed a reservation with respect to this Recommendation: Australia The following countries have expressed a reservation and will not apply this Recommendation: Canada and United States of America This Recommendation is not applicable for Finland, Norway, Switzerland
37、and Sweden This Recommendation is not applicable to Germany, Poland, Portugal and the United Kingdom 2 Rec. ITU-T D.261 (10/2016) 3.3 In view to identify and evaluate substitution possibilities, the national regulatory authorities (NRAs) can be used for the small but significant non-transitory incre
38、ase in price (SSNIP) test. This test identifies the narrowest possible set of products and/or a geographic region and then asks the question as to whether a hypothetical monopolist supplier could profitably impose a small but significant non-transitory increase in price. If the answer of the test is
39、 “Yes“, the product and/or geographic region in question (i.e. to which customers or suppliers are likely to switch) is considered to be part of the relevant market. 4 Three-criteria test for markets susceptible to ex ante regulation 4.1 A relevant market, as defined above, will be subject to ex ant
40、e regulation2 by Member States and NRAs, only if all the three criteria given below are met: i) High and non-transitory structural, legal or regulatory barriers to entry are present; ii) Market structure does not tend towards effective competition within the relevant time horizon (having regard to t
41、he state of other competition behind the barriers to entry); iii) Competition law alone is insufficient to adequately address market failure(s). 5 Identification of operators with significant market power (SMP) 5.1 Once a relevant market is deemed to be subject to ex ante regulation, Member States a
42、nd NRAs should identify operators with significant market power (SMP). An operator shall be deemed to have SMP if, either individually or jointly with others, it enjoys a position equivalent to dominance, that is to say a position giving it the power to behave independently of other competitors, buy
43、ers and, ultimately, consumers, to a significant extent. 5.2 The existence of SMP is found by reference to a number of criteria and its assessment is based on a forward-looking market analysis based on existing market conditions. Member States or NRAs should consider a combination of the following c
44、riteria, inter alia, as determinative of SMP: market share; control of essential facilities; barriers to entry; potential competition; easy access to financial resources; strength of the countervailing power of consumers; economies of scale; economies of scope; vertical integration. 6 Obligations fo
45、r operators with SMP Member States and NRAs are encouraged to consider imposing on operators with SMP a number of obligations which may include but are not limited to: transparency; isonomic and non-discriminatory treatment; wholesale price control; _ 2 Ex ante regulation refers to preventive or ant
46、icipatory intervention. Ex post regulation is remedial intervention, following inappropriate conduct. Rec. ITU-T D.261 (10/2016) 3 interconnection and open access; reference offers obligation; functional and accounting separation. Printed in Switzerland Geneva, 2017 SERIES OF ITU-T RECOMMENDATIONS S
47、eries A Organization of the work of ITU-T Series D Tariff and accounting principles and international telecommunication/ICT economic and policy issues Series E Overall network operation, telephone service, service operation and human factors Series F Non-telephone telecommunication services Series G
48、 Transmission systems and media, digital systems and networks Series H Audiovisual and multimedia systems Series I Integrated services digital network Series J Cable networks and transmission of television, sound programme and other multimedia signals Series K Protection against interference Series
49、L Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant Series M Telecommunication management, including TMN and network maintenance Series N Maintenance: international sound programme and television transmission circuits Series O Specifications of measuring equipment Series P Telephone transmission quality, telephone installations, local line networks Series Q Switching a
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