ITU-R REPORT SM 2093-1-2010 Guidance on the regulatory framework for national spectrum management《国家频谱管理的监管框架指南》.pdf

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1、 Report ITU-R SM.2093-1(09/2010)Guidance on the regulatory frameworkfor national spectrum managementSM SeriesSpectrum managementii Rep. ITU-R SM.2093-1 Foreword The role of the Radiocommunication Sector is to ensure the rational, equitable, efficient and economical use of the radio-frequency spectru

2、m by all radiocommunication services, 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 Co

3、nferences and Radiocommunication 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 statement

4、s and licensing declarations 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 onl

5、ine at http:/www.itu.int/publ/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

6、 P Radiowave propagation RA Radio 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

7、Study Group under the procedure 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.2093-1 1 REPORT ITU-R SM.2093-1 Guidance on the r

8、egulatory framework for national spectrum management (2007-2010) TABLE OF CONTENTS Page 1 The international context 2 1.1 International principles governing spectrum use 3 1.2 Multilateral agreements 4 1.2.1 International Telecommunication Union (ITU) . 4 1.2.2 Regional harmonization . 5 1.2.3 Speci

9、alized international organizations . 10 1.2.4 The World Trade Organization (WTO) . 11 1.3 Standardization at the international, regional and national levels which might have implications on the regulatory framework for national spectrum management 12 1.3.1 The structure of international standardizat

10、ion . 12 1.3.2 An example of standardization at a regional level: the structure of European standardization . 12 1.3.3 The global level according to WTO rules 14 1.4 Multilateral agreements 14 2 The national context . 15 2.1 Principles of national spectrum use 15 2.1.1 Rights and obligations with re

11、gard to the spectrum . 15 2.1.2 Examples of possible approaches to management of national spectrum organization 17 2.1.3 Transparent management . 18 2.1.4 Economic aspects . 19 2.2 The linkage between international and national regulations 20 2.2.1 Allocations . 20 2.2.2 Assignments . 20 2.2.3 Autho

12、rizations (or licences) . 21 2.2.4 Monitoring the spectrum 21 2.2.5 Interference 22 2.2.6 International representation 22 2 Rep. ITU-R SM.2093-1 Page 2.3 Factors affecting legal approaches 22 2.3.1 Objectives, scope of spectrum management 22 2.3.2 Legal framework, regulation 22 2.3.3 Geography, geop

13、olitical environment 23 2.3.4 Society, administrative and legal culture . 23 2.3.5 Level of economic development 23 3 Conclusion 24 Annex 1 Possible approaches to management of national spectrum organizations 24 Annex 2 Extract from the Handbook on National Spectrum Management Best practices for nat

14、ional spectrum management. 38 Annex 3 GATS: Article VI Domestic Regulation 40 1 The international context The telecommunication sector, including radiocommunications, is organized internationally within the framework of the International Telecommunication Union (ITU), which provides the basic framew

15、ork for the global coordination and management of the radio-frequency spectrum (see 1.2.1). In between ITU and the national administrations, two other kinds of organizations, regional organizations and specialized international organizations, are also involved in spectrum management, at either regio

16、nal or global level. At the regional level, organizations have been founded that bring together administrations, in some cases associating industry or radiocommunication operators. Their aim is to establish common positions in preparation for ITU decisions, to harmonize national frequency allocation

17、s within the relatively flexible framework set by ITU so as to facilitate the coordinated introduction of new services, and to harmonize the standards and procedures for certification of equipment with a view to its free circulation and use in the countries concerned. This is the case in particular

18、for the European Conference of Postal and Telecommunications Administrations (CEPT), and to a lesser extent for the Inter-American Telecommunication Commission (CITEL), the Asia-Pacific Telecommunity (APT) and the Arab Council of Ministers for Telecommunication and Information, which in pursuing the

19、se objectives intend to promote the emergence of regional markets and hence to accelerate the development of radiocommunication services. At the global and regional levels, specialized international organizations also exist in sectors of activity that use radiocommunications and are therefore depend

20、ent on spectrum availability: civil aviation, the maritime sector, meteorology, broadcasting, radio amateurs, radio astronomy and research. Section 1.2.3 contains an overview of those organizations, which have close ties with ITU. The World Trade Organization, within the framework of the General Agr

21、eement on Trade in Services (GATS) (see 1.2.4), while recognizing the sovereign right of States to manage the frequency spectrum in terms of their own objectives, works to develop the instruments required so that exercise of that right does not in fact result in barriers to trade in services between

22、 its members. Rep. ITU-R SM.2093-1 3 In this context, the establishment of standards at regional and global levels constitutes one of the fundamental means of promoting efficient and economical use of the spectrum and the development of radio services. Standardization is discussed in 1.3. 1.1 Intern

23、ational principles governing spectrum use The radio-frequency spectrum is a non-depletable but limited natural resource available in all countries and in outer space. Since any transmitting radio station may cause harmful interference to spectrum uses on Earth or in space, the spectrum is a common r

24、esource of mankind that requires rational management by a treaty level agreement among all countries. In that spirit, ITU has been drawing up legal instruments for over a century, so that spectrum use is based on the following fundamental principles set forth in the ITU Constitution (CS): a) “while

25、fully recognizing the sovereign right of each State to regulate its telecommunication.” (ref CS-1), “. to avoid harmful interference between the radio stations of different countries” ref CS-11); b) “ to improve the use made of the radio-frequency spectrum for radiocommunication services and of the

26、geostationary-satellite and other satellite orbits” (ref CS-12); c) to “facilitate the worldwide standardization of telecommunications, with a satisfactory quality of service” (ref CS-13), and “. to harmonize the development of telecommunication facilities, . with a view to full advantage being take

27、n of their possibilities” (ref CS-15); d) to “foster international cooperation and solidarity .” (ref CS-14). The ITU Radio Regulations (RR)1constitutes the principle regulatory framework within which States undertake to operate radio services and the basic tool for international spectrum use. They

28、have international treaty status and are periodically reviewed (about every three years) by World Radiocommunication Conferences (WRC), which are attended by most ITU Member States. The RR specify, inter alia, the frequency bands allocated to radio services and the regulatory conditions and procedur

29、es that administrations must follow for implementing radio stations providing those services. The guiding principle underlying all RR provisions is that new uses must avoid causing harmful interference to the services provided by stations using frequencies assigned to them in accordance with the RR

30、and recorded favourably in the Master International Frequency Register (MIFR). The RRs, as drawn up by successive WRCs in the past years, aims to allow each country the greatest possible flexibility with regard to spectrum use. In particular, the Table of Frequency Allocations (RR Article 5) authori

31、zes several radiocommunication services in each band; those services are not necessarily compatible locally, but each country can select those it wishes to implement on its territory. The RRs regulatory provisions and procedures then enable each country to coordinate, as required, the stations provi

32、ding the services selected with those of other countries that may be affected, thus maximizing the efficient utilization of the spectrum. This relatively flexible framework has the advantage of respecting the wide range of countries spectrum needs and their sovereign right to meet those needs as lon

33、g as it does not place undue constraints on other countries. It has the disadvantage of limiting economies of scale and the capacity for interoperability required to develop radiocommunications, in particular within the framework of worldwide services or those intended for the general public (e.g. m

34、obile telephony, satellite broadcasting). For this reason, a major effort has been made in the past years to harmonize 1In the following text, the acronym RR when using the singular refers to the document itself (the ITU Radio Regulations). 4 Rep. ITU-R SM.2093-1 spectrum use at regional, or even gl

35、obal level, in particular with regard to mobile telephony. The activity towards harmonization has been to identify specific frequency bands for applications, corresponding to specific standards (see 1.2.2 and 1.3). The purpose of this harmonization is to increase economy of scales and decrease inter

36、ference and incompatibilities. 1.2 Multilateral agreements 1.2.1 International Telecommunication Union (ITU) The agreements, which in fact are a treaty binding the Member States within the framework of ITU, lay the foundation for spectrum management worldwide. ITU international agreements recognize

37、that utilization of the radio-frequency spectrum is a matter of State sovereignty, but that to be efficient it must be regulated. They are the basic global instruments with which, States, in ratifying such a work, undertake to respect common rules for sharing and using the spectrum, the goal being e

38、fficient utilization and equitable access. The ITU instruments relevant to spectrum management are the Constitution (CS), the Convention (CV) and, mainly, the Radio Regulations (RR). These instruments are only binding on the Member States among themselves. Article 6 No. 37 of the CS states “The Memb

39、er States are bound to abide by the provisions of this Constitution, the Convention and the Administrative Regulations in all telecommunication offices and stations established or operated by them which engage in international services or which are capable of causing harmful interference to radio se

40、rvices of other countries, except in regard to services exempted from these obligations in accordance with the provisions of Article 48 of this Constitution”. And further, No. 38 of the same article states “The Member States are also bound to take the necessary steps to impose the observance of the

41、provisions of this Constitution, the Convention and the Administrative Regulations upon operating agencies authorized by them .” Compliance with these instruments therefore presupposes that each State may also take, to the extent outlined above, the measures necessary (legislation, regulations, clau

42、ses in licences and authorizations) to extend into the domestic regime the obligations of such instruments to other spectrum users (operators, administrations, individuals, etc.). 1.2.1.1 The ITU Constitution: General organization and basic principles The Constitution is the basic instrument of the

43、Union. It deals essentially with matters of organization, Article 4 (CS 31) giving the RR international treaty status and Chapter II dealing with the Radiocommunication Sector. It also sets forth the basic principles for spectrum management, in particular in Article 1 (purposes of the Union), Nos. 1

44、1 and 12, and Chapter VII. Thus, each State is free to regulate radiocommunications as it sees fit, provided it does not interfere with the rights of other States. Those rights, and their respective priority, are defined in the RR. In that context, the Constitution entrusts ITUs Radiocommunication S

45、ector (ITU-R) with the task of ensuring “rational, equitable, efficient and economical use of the radio-frequency spectrum by all radiocommunication services” (CS-78). 1.2.1.2 The ITU Convention: A complement to the Constitution The Convention essentially complements the Constitution in terms of how

46、 the Unions institutions function. In particular, 5 describes the functioning of the Radiocommunication Sector, inter alia, the study groups, the Radiocommunication Bureau (BR) and the Radio Regulations Board (RRB), all of which play a major role in international spectrum management: the study group

47、s develop Recommendations and reports that are recognized worldwide (only Recommendations incorporated Rep. ITU-R SM.2093-1 5 by reference into the RR are binding); the BR manages (initiating procedures, verifying compliance with the rules, registering assignments thus establishing priorities) reque

48、sts for usage rights made by the States; and the RRB approves when needed the Rules of Procedure to be used by BR in applying the Radio Regulations and examines any problem concerning the application that cannot be resolved by applying those Regulations. 1.2.1.3 The Radio Regulations (RR) The RR con

49、tains detailed provisions on frequency use. They are the basic treaty document establishing the relative rights of States when differing uses may give rise to mutual interference. The RR specifies, in particular, compiled in relative Articles and Appendices, among other regulations: the Table of frequency allocations for the different radio services and their relative status (Article 5). The table was drawn up with a view to allowing each frequency band to be shared by a maximum number of services whose operation by the countries concerned is consi