1、 Report ITU-R SM.2012-3(09/2010)Economic aspects of spectrum managementSM SeriesSpectrum managementii Rep. ITU-R SM.2012-3 Foreword The role of the Radiocommunication Sector is to ensure the rational, equitable, efficient and economical use of the radio-frequency spectrum by all radiocommunication s
2、ervices, including satellite services, and carry out studies without limit of frequency range on the basis of which Recommendations are adopted. The regulatory and policy functions of the Radiocommunication Sector are performed by World and Regional Radiocommunication Conferences and Radiocommunicat
3、ion Assemblies supported by Study Groups. Policy on Intellectual Property Right (IPR) ITU-R policy on IPR is described in the Common Patent Policy for ITU-T/ITU-R/ISO/IEC referenced in Annex 1 of Resolution ITU-R 1. Forms to be used for the submission of patent statements and licensing declarations
4、by patent holders are available from http:/www.itu.int/ITU-R/go/patents/en where the Guidelines for Implementation of the Common Patent Policy for ITU-T/ITU-R/ISO/IEC and the ITU-R patent information database can also be found. Series of ITU-R Reports (Also available online at http:/www.itu.int/publ
5、/R-REP/en) Series Title BO Satellite delivery BR Recording for production, archival and play-out; film for television BS Broadcasting service (sound) BT Broadcasting service (television) F Fixed service M Mobile, radiodetermination, amateur and related satellite services P Radiowave propagation RA R
6、adio astronomy RS Remote sensing systems S Fixed-satellite service SA Space applications and meteorology SF Frequency sharing and coordination between fixed-satellite and fixed service systems SM Spectrum management Note: This ITU-R Report was approved in English by the Study Group under the procedu
7、re detailed in Resolution ITU-R 1. Electronic Publication Geneva, 2011 ITU 2011 All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without written permission of ITU. Rep. ITU-R SM.2012-3 1 REPORT ITU-R SM.2012-3 Economic aspects of spectrum management (1997-
8、2000-2004-2010) TABLE OF CONTENTS Page Scope 9 CHAPTER 1 Introduction to economic considerations 10 1.1 Need for spectrum economic approach 10 1.2 Requirements for national spectrum management 10 1.3 Goals and objectives . 11 1.3.1 Radiocommunications law . 11 1.3.2 National allocation tables . 11 1
9、.4 Structure and coordination 11 1.5 Functional responsibilities 11 1.5.1 Spectrum management policy and planning/allocation of spectrum . 12 1.5.2 Frequency assignment and licensing 12 1.5.3 International cooperation . 12 1.5.4 Liaison and consultation 12 1.5.5 Spectrum engineering support . 12 1.5
10、.6 Computer support . 13 1.6 Performance of spectrum management functions . 13 CHAPTER 2 Strategies for spectrum financing mechanisms 13 2.1 Background . 13 2.2 Basic principles for financing national spectrum management 13 2.2.1 Legal principles 13 2.2.2 Economic principles . 14 2.2.3 Reality princ
11、iples . 14 2.2.4 Approaches by different administrations . 15 2.2.5 Advantages and disadvantages of these approaches 15 2.3 Economic approaches used to promote efficient national spectrum management 16 2 Rep. ITU-R SM.2012-3 Page 2.3.1 Spectrum assignment methods . 17 2.3.2 Transferable and flexible
12、 spectrum rights 18 2.3.3 Advantages and disadvantages of auctions and transferable spectrum rights . 19 2.3.4 Licence fees 20 2.3.5 Advantages and disadvantages of fee approaches . 24 2.4 Factors that could affect various economic approaches . 26 2.4.1 Auctions . 27 2.4.2 Transferable property righ
13、ts . 28 2.4.3 Licence fees 28 2.5 Managing a change in spectrum management funding 29 2.5.1 Legal . 29 2.5.2 International obligations 29 2.5.3 Funding implications 30 2.6 Summary . 30 CHAPTER 3 Assessment of the benefits of using the radio spectrum . 30 3.1 Background . 30 3.2 Methods of assessing
14、the spectrums economic benefits . 31 3.2.1 GDP and employment 31 3.2.2 Consumer and producer surplus . 34 3.2.3 The link between economic and social benefits . 35 3.2.4 Comparison of the methods for quantifying economic benefits 35 3.3 Potential uses for economic assessment . 37 3.3.1 Applications f
15、or funding spectrum management activities 37 3.3.2 National frequency assignment decisions 37 3.3.3 Changes in spectrum management national legislation . 38 3.3.4 Support to the spectrum manager on the operation of auctions . 38 3.3.5 Using economic assessment to monitor economic performance over ti
16、me . 38 3.4 Factors affecting benefits 39 3.4.1 Frequency availability 39 3.4.2 Demand 40 3 Rep. ITU-R SM.2012-3 Page 3.4.3 The countrys geography . 40 3.4.4 Variation from country to country . 41 3.4.5 Factors which may be taken into account in an international comparison of fee levels 41 3.5 Summa
17、ry . 45 CHAPTER 4 Guidelines on methodologies for the establishment of spectrum fees formula and system . 45 4.1 Formula development . 45 4.2 Guidelines for the establishment of administrative fees (or administrative charges) . 45 4.2.1 Observations and general approaches 45 4.2.2 Rule for the alloc
18、ation of administrative costs Example 1 . 46 4.2.3 Rule for the allocation of administrative costs Example 2 . 46 4.3 Guidelines for the establishment of spectrum fees . 47 4.3.1 Defining the goals of the spectrum fees . 47 4.3.2 Demand assessment for the spectrum 47 4.3.3 Cost assessment for the sp
19、ectrum 47 4.3.4 Choosing the fees approach . 47 4.3.5 Determining the fees 48 4.4 Examples of formulas for fee calculation . 48 4.4.1 Notations and definitions of coefficients . 48 4.4.2 Fee applied to a point-to-point fixed-service assignment 48 4.4.3 Fee applied to a point-to-point fixed-service a
20、llotment . 48 4.4.4 Fee applied to a wireless local loop allotment in the fixed service 48 4.4.5 Fee applied to an assignment to an earth station in the fixed or mobile-satellite service 49 4.4.6 Fee applied to an allotment in the fixed or mobile-satellite service 49 4.4.7 Fee applied to an assignme
21、nt for private networks in the mobile service 49 4.5 Spectrum fees for frequencies used in the provision or marketing of services intended for a consumer market . 49 4.5.1 Observations and general approaches 49 4.5.2 Example of fees applied to the 2G mobile service . 49 4 Rep. ITU-R SM.2012-3 Page 4
22、.5.3 Example of fees applied to the 3G mobile service . 49 4.5.4 Another example of fees applied to the fixed wireless local loop service 50 4.5.5 Example of fees applied to a television programme producer . 50 4.6 An analytical model for calculating license fees on the basis of specified incentives
23、 that are designed to promote efficient spectrum use . 50 4.6.1 General purpose of the model 51 4.6.2 Steps in the model formulation 52 4.6.3 General principles for the model development 52 4.6.4 Expenditures and income of a state concerning spectrum management . 53 4.6.5 Determination of the used s
24、pectral resource value 54 4.6.6 Determination of a time resource used by an emission 55 4.6.7 Determination of a territorial resource used by an emission 55 4.6.8 Determination of a frequency resource used by an emission . 56 4.6.9 Determination of weighting coefficients 57 4.6.10 Determination of t
25、he whole value of the used spectral resource . 58 4.6.11 Price for the qualified unit of the used spectral resource . 59 4.6.12 Annual fees for particular frequency assignment 59 4.7 Procedures and examples of used spectral resource calculations in application to different radio services . 59 4.7.1
26、VHF/UHF sound and TV radio broadcasting calculation procedures . 60 4.7.2 Example of calculations . 71 4.7.3 LF-HF sound broadcasting . 72 4.7.4 Mobile radio services . 72 4.7.5 Maritime mobile radio service . 77 4.7.6 Aeronautical mobile, radionavigation and radiolocation services . 81 4.7.7 Exampl
27、es of calculations . 81 4.7.8 Earth stations of satellite communications . 85 4.8 Guidelines on applying new fees system 87 CHAPTER 5 Administrations experience regarding the economic aspects of spectrum management 88 5.1 Experience with auctions and transferable property rights . 88 5 Rep. ITU-R SM
28、.2012-3 Page 5.1.1 Australia . 88 5.1.2 Canada 89 5.1.3 The Russian Federations experience with auctions 90 5.1.4 New Zealand 102 5.1.5 United States of America . 103 5.2 Experience with fees . 107 5.2.1 Australias experience with licence fees 107 5.2.2 Canadas experience with licence fees . 107 5.2
29、.3 Chinas experience with licence fees . 108 5.2.4 Germanys experience with spectrum usage fees 109 5.2.5 Israels experience with licence fees 111 5.2.6 Experience of the Kyrgyz Republic on application of licence fees . 112 5.2.7 The Russian Federations experience with licence fees . 120 5.2.8 The U
30、nited Kingdoms experience with licence fees 120 5.2.9 United States of Americas experience with licence fees 121 5.2.10 Brazils experience with spectrum fees . 126 5.2.11 Experience with spectrum fees Republic of Korea . 129 5.3 Experience with using alternative resources . 135 5.3.1 Canada 135 5.3.
31、2 Germany . 136 5.3.3 Israel . 136 5.3.4 Russian Federation . 136 5.3.5 United States of America . 137 5.3.6 Chinas experience with alternative resources . 138 5.4 Other experiences . 139 5.4.1 Amateur services 139 5.4.2 Area and high density systems . 140 5.4.3 Space services, orbital use and spect
32、rum fees 140 6 Rep. ITU-R SM.2012-3 Page References 140 GLOSSARY. 141 Annex 1 143 7 Rep. ITU-R SM.2012-3 PREFACE The initial version of Report ITU-R SM.2012 Economic aspects of spectrum management, was issued in 1998 and revised in 2001 and 2002 in order to include summaries of experiences obtained
33、on this subject by a number of administrations. As with the previous version, this new revision of the Report describes the different economic approaches for spectrum management activities based on new experiences of administrations. However, it now also includes the factors to be taken into account
34、 in an international comparison of fee levels, as well as guidelines on methodologies for the establishment of spectrum fees formula and system. It is the result of successful cooperation between ITU-R and ITU-D work on spectrum fees. The Report is intended for the use by administrations of both dev
35、eloping and developed countries in formulating strategies on economic approaches to national spectrum management and financing this activity. In addition, the Report presents an analysis of the benefits of strategic development and the methods of technical support for national spectrum management. T
36、hese approaches not only promote economic efficiency but can also promote technical and administrative efficiency. Franois Rancy Director Radiocommunication Bureau 8 Rep. ITU-R SM.2012-3 FOREWORD As we begin the second decade of the Twenty-first Century, many nations face significant economic challe
37、nges. The potential of information and communications technology (ICT) to stimulate national economic growth, along with the present worldwide demand for wireless services, makes this a fitting time for publication of a new revision of the ITU-R Report on the economic aspects of spectrum management.
38、 ITU-R Study Group 1 was not alone in the development of this revision, as ITU-D Study Group 2 and the Joint Group on WTDC Resolution 9 also played a significant role. Study Group 1 is pleased to continue this cooperation on WTDC Resolution 9 and in other efforts providing spectrum management assist
39、ance to developing countries. Though a number of administrations contributed to the development of this revision, I would like to specifically recognize Mr. Sergey Pastukh (Russian Federation), Vice-Chairman of Study Group 1 and Chairman of Working Party 1B, and Mr. Hasan Sharif (United Arab Emirate
40、s), Chairman of the Working Party 1B Correspondence Group, for their leadership in this effort. Robin H. Haines Chairman, Radiocommunication Study Group 1 9 Rep. ITU-R SM.2012-3 Scope The objective of this economic study is to respond to the following issues which are divided into three categories:
41、Category 1: Strategies for economic approaches to national spectrum management and their financing 1. What are the underlying principles that have been taken into consideration by various administrations in their approaches to financing the maintenance and development of national spectrum management
42、? 2. What economic approaches have been, or are intended to be used to promote efficient national spectrum management in different frequency bands? 3. What are the advantages and disadvantages of these various economic approaches to national spectrum management? 4. What are the factors (e.g. geograp
43、hical, topographical, infrastructural, social, legal) that could affect these approaches and how would they vary with the use of radio in a country and the level of that countrys development? Category 2: Assessment, for spectrum planning and strategic development purposes, of the benefits arising fr
44、om the use of the radio spectrum 1. What are the benefits that accrue to an administration from the use of radio within its country and how can they be quantified, allowing them to be represented in an economic form so as to enable a comparison of the benefits and costs of particular spectrum manage
45、ment options (e.g. in terms of employment or Gross Domestic Product)? 2. What models can be used to represent these benefits in an economic form and how can they be validated? 3. What factors could affect the benefits accruing to an administration from the use of the radio-frequency spectrum, includ
46、ing by national safety services? 4. How would the factors in 3 vary from country to country? Category 3: Alternative methods of national spectrum management 1. What are alternative spectrum management approaches including the use of non-profit making user groups and private sector spectrum managemen
47、t organizations? 2. How can these approaches be categorized? 3. Which of these alternative spectrum management approaches would be responsive to the needs of the developing countries as well as for the least developed ones? 4. What measures, of a technical, operational and regulatory nature, would i
48、t be necessary for an administration to consider implementing when adopting one or more of these spectrum management approaches in the context of: the countrys infrastructure; national spectrum management; regional and international aspects (e.g. notification, coordination, monitoring)? Further info
49、rmation is likely to be submitted that is relevant to this Report and that information will be included in future revisions as appropriate. 10 Rep. ITU-R SM.2012-3 CHAPTER 1 Introduction to economic considerations 1.1 Need for spectrum economic approach The increasing use of new technologies has produced tremendous opportunities for improving the communications infrastructure of a country and the countrys economy. Further, the ongoing technological developments have opened the door to a va
