REGULATORY AGENCIES ROUNDTABLE

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REGULATORY AGENCIES ROUNDTABLE

• WILLIAM A. LUTHER
• FEDERAL COMMUNICATIONS COMMISSION

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Presented by

• MOMCILO SIMIC
• DEPARTMENT DIRECTOR RTV SRBIJE
• CHAIRMAN OF SRG ITU-R 6E/SRG-9
• momcilo.simic_at_ties.itu.int

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EFFICIENT AND EQUITABLE FREQUENCY MANAGEMENT

• A PRESENTATION IN TWO PARTS
• THE SIX PRINCIPLES OF SPECTRUM MANAGEMENT
• BEST PRACTICES OF SPECTRUM MANAGEMENT

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THE SIX PRINCIPLES OFSPECTRUM MANAGEMENT

• 1. COMPETITION
• 2. MAXIMUM FLEXIBILITY OF USE
• 3. PUBLIC INTEREST
• 4. LICENSING AND FEE POLICIES
• 5. PROMOTE ADMINISTRATIVE CERTAINTY AND REDUCE
  DELAY
• NATIONAL DECISIONS IN GLOBAL MARKET CONTEXT
  MEETING INTERNATIONAL NEEDS
• PRINCIPLES

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1. COMPETITION

• RELY ON MARKET FORCES TO ENSURE ECONOMICALLY
  EFFICIENT USE OF SPECTRUM (PERMIT AND PROMOTE
  COMPETITION)
• AVOID MANDATING SPECIFIC SERVICES
• MINIMIZE REGULATIONS THAT LIMIT COMPETITION,
  OBSTRUCT INNOVATION, OR IMPEDE EFFICIENT
  INVESTMENT
• INTERVENE ONLY WHEN NECESSARY TO PRESERVE OR
  PROMOTE COMPETITION (CONSIDER SPECTRUM CAPS TO
  ENSURE COMPETITION)
• PRINCIPLES

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2. FLEXIBILITY

• MAXIMUM FLEXIBILITY TO RESPOND TO MARKET FORCES
  (ATTRIBUTES OF PROPERTY RIGHTS)
• SPECTRUM AVAILABLE FOR ADDITIONAL PURPOSES
• ALLOW FOR AUTHORIZATION TRANSFER
• FLEXIBLE SCOPE AND FREEDOM TO DETERMINE
• AMOUNT OF SPECTRUM TO BE OCCUPIED
• GEOGRAPHIC AREA SERVED
• ESTABLISH STANDARDS SPARINGLY
• PRINCIPLES

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3. PUBLIC INTEREST

• WHERE THE MARKET IS UNLIKELY TO PRODUCE ESSENTIAL
  PUBLIC BENEFITS IN ADEQUATE QUANTITIES, MINIMUM
  INTERVENTION MAY APPLY TO ENSURE THESE BENEFITS
  ARE ACHIEVED
• SPECTRUM SET ASIDES FOR PUBLIC SERVICES OR
  BENEFITS
• MARKETS DO NOT FUNCTION EFFECTIVELY WHERE A
  DOMINANT PRODUCER HAS SUBSTANTIAL MARKET POWER
  (DIVERSITY)
• INABILITY TO FULLY INCORPORATE COSTS OR BENEFITS
  INTO CONSUMER DECISION-MAKING
• PRINCIPLES

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4. LICENSING AND FEE POLICIES

• SUPPORT SPECTRUM VALUE
• ASSURANCE OF PUBLICLY BENEFICIAL USE (CONSIDER
  SPECIAL NEEDS, E.G., SMALL BUSINESSES)
• EXPEDITE SPECTRUM ASSIGNMENTS
• IN GENERAL, COMPETITIVE BIDDING HAS PROVEN TO BE
  AN EFFECTIVE MEANS BUT THERE MAY BE EXCEPTIONS,
  E.G., SATELLITE OR TRANSNATIONAL SERVICES
• ALTERNATIVELY, FIX FAIR MONETARY COMPENSATION BY
  FEES
• PRINCIPLES

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5. ADMINISTRATIVE CERTAINTY

• ESTABLISH FIRM GROUND RULES
• INTERFERENCE
• RANGE OF FLEXIBILITY
• ACCOMMODATION OF PREEXISTING USERS
• OTHER RULES AFFECTING RIGHTS AND OBLIGATIONS
  INCLUDING REASONABLE SERVICE OR TECHNICAL RULES
• AVOID DELAY IN ALLOCATING AND ASSIGNING
• EXPECTATION OF RENEWAL AT TERM END
• PRINCIPLES

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6. GLOBAL MARKET CONTEXT

• ENCOURAGE EFFICIENT WORLDWIDE SPECTRUM USE TO
  ENSURE SPECTRUM AVAILABILITY
• PROMOTE COMPETITION AND FLEXIBLE SPECTRUM USE
  WORLDWIDE, LIMITED AS NECESSARY TO ASSURE
  CONSISTENCY AND REASONABLE DEGREE OF GLOBAL
  INTEGRATION
• PROMOTE SEAMLESS, WORLDWIDE NETWORKS
• CONNECTIVITY TO WORLDS CITIZENS, ESPECIALLY
  DEVELOPING NATIONS
• PRINCIPLES

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6. GLOBAL MARKET- continued

• ENSURE DOMESTIC POLICIES CONSISTENT WITH WORLD
  SPECTRUM POLICIES
• COORDINATE DOMESTIC/INTERNATIONAL POLICIES
• COORDINATE WITH OTHER NATIONS (SATELLITES AND
  TERRESTRIAL)
• PROMOTE REVISION OF INTERNATIONAL PROCEDURES THAT
  CREATE ARTIFICIAL ORBIT/SPECTRUM SCARCITY
• PRINCIPLES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• ESTABLISHING AND MAINTAINING A NATIONAL SPECTRUM
  MANAGEMENT ENTITY RESPONSIBLE FOR MANAGING THE
  RADIO SPECTRUM IN THE PUBLIC INTEREST
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 2. PROMOTING TRANSPARENT, FAIR, ECONOMICALLY
  EFFICIENT, AND EFFECTIVE SPECTRUM MANAGEMENT
  POLICIES
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 3. MAINTAINING A STABLE DECISION-MAKING PROCESS
  THAT PERMITS CONSIDERATION OF THE PUBLIC INTEREST
  IN MANAGING THE RADIO FREQUENCY SPECTRUM
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 4. PROVIDING IN SPECIAL CASES, WHERE ADEQUATELY
  JUSTIFIED, FOR EXCEPTIONS TO SPECTRUM MANAGEMENT
  DECISIONS
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 5. HAVING A PROCESS TO SEEK RECLAMA FOR SPECTRUM
  MANAGEMENT DECISIONS
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 6. MINIMIZING REGULATIONS TO THE EXTENT
  PRACTICABLE
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 7. ENCOURAGING RADIOCOMMUNICATION LIBERALIZATION
  POLICIES
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 8. ASSURING OPEN AND FAIR COMPETITION IN THE
  MARKETPLACES FOR EQUIPMENT AND SERVICES, AND
  REMOVING ANY BARRIERS THAT ARISE TO OPEN AND FAIR
  COMPETITION
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 9. HARMONIZING, AS FAR AS PRACTICABLE, EFFECTIVE
  DOMESTIC AND INTERNATIONAL SPECTRUM POLICIES,
  INCLUDING OF RADIOFREQUENCY USE
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 10. ALLOCATING FREQUENCIES AND MAKING ASSIGNMENT
  FOR FLEXIBLE USE TO THE EXTENT PRACTICABLE TO
  ALLOW FOR THE EVOLUTION OF SERVICES AND
  TECHNOLOGIES
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 11. WORKING IN COLLABORATION WITH REGIONAL AND
  OTHER INTERNATIONAL COLLEAGUES TO DEVELOP
  SIMPLIFIED REGULATORY PRACTICES
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 12. ENCOURAGING FREE CIRCULATION AND GLOBAL
  ROAMING OF MOBILE TERMINAL AND RADIOCOMMUNICATION
  EQUIPMENT
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• USING INTERNATIONALLY RECOMMENDED DATA FORMATS
  AND DATA ELEMENTS FOR EXCHANGE OF DATA AND
  COORDINATION PURPOSES
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 14. USING PROJECT MANAGEMENT PROCEDURES TO
  MONITOR AND CONTROL LENGTHY RADIOCOMMUNICATION
  SYSTEM IMPLEMENTATION
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• USING AUCTIONS FOR THE ASSIGNMENT OF COMMERCIAL
  TERRESTRIAL LICENSES
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 16. ADOPTING DECISIONS THAT ARE TECHNOLOGICALLY
  NEUTRAL AND WHICH ALLOW FOR EVOLUTION TO NEW
  SERVICES
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• 17. FACILITATING TIMELY INTRODUCTION OF
  APPROPRIATE NEW SERVICES AND TECHNOLOGY WHILE
  PROTECTING EXISTING SERVICES FROM INTERFERENCE
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• FOSTERING BACKWARDS COMPATIBILITY OF NEW
  EQUIPMENT AND SERVICES, WHENEVER PRACTICABLE
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• PROMOTING SPECTRUM SHARING USING AVAILABLE
  TECHNIQUES (FREQUENCY, TEMPORAL, SPATIAL, AND
  MODULATION - - CODING AND PROCESSING) INCLUDING
  USING INTERFERENCE MITIGATION TECHNIQUES AND
  ECONOMIC INCENTIVES, TO THE EXTENT PRACTICABLE
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• USING ENFORCEMENT MECHANISMS, AS APPROPRIATE,
  UNDER RELEVENT JUDICIAL PROCESSES
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• UTILIZING REGIONAL AND INTERNATIONAL STANDARDS
  WHENEVER POSSIBLE IN LIEU OF SPECIFIC NATIONAL
  STANDARDS
• PRACTICES

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BEST PRACTICES OFSPECTRUM MANAGEMENT

• RELYING ON VOLUNTARY INDUSTRY STANDARDS IN LIEU
  OF GOVERNMENT MANDATES, TO THE EXTENT PRACTICABLE
• PRACTICES

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FEDERAL COMMUNICATIONS COMMISSIONWASHINGTON, D.C.

• WWW.FCC.GOV
• THE VIEWS EXPRESSED IN THIS PRESENTATION
• ARE THOSE OF THE AUTHOR AND DO NOT
• NECESSARILY REFLECT THE VIEWS OF THE FCC

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THANK YOU VERY MUCH FOR YOUR ATTENTION

• SPECIAL THANKS TO
• MR. WILLIAM LUTHER
• WHO IS THE AUTHOR OF THIS CONTRIBUTION
• MOMCILO SIMIC-RTS