Proposal for a European Parliament and Council Decision on the co-ordinated introduction of mobile and wireless communications (UMTS) in the Community
Date: 1998-02-11
Institutions: European Commission
Subjects: EU policy, communications systems, radio telecommunications, standardisation, telecommunications industry

29.4.98

EN

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II

(Preparatory  Acts)

COMMISSION

Proposal  for  a  European  Parliament  and  Council  Decision  on  the  co(cid:220)ordinated  introduction  of
mobile  and  wireless  communications  (UMTS)  in  the  Community

(98/C  131/05)

(Text  with  EEA  relevance)

COM(1998)  58  final  -  98/0051(COD)

(Submitted  by  the  Commission  on  3  March  1998)

THE  EUROPEAN  PARLIAMENT  AND  THE  COUNCIL
OF  THE  EUROPEAN  UNION,

Having  regard  to  the  Treaty  establishing  the  European
Community  and 
in  particular  Articles  57,  66,  100a
thereof,

Having  regard  to  the  proposal  of  the  Commission,

Having  regard  to  the  opinion  of  the  Economic  and
Social  Committee,

Having  regard  to  the  opinion  of  the  Committee  of  the
Regions,

(1)(cid:217)Whereas  the  Commission  presented  on  29  May
1997  to  the  European  Parliament,  to  the  Council,
the  Economic  and  Social  Committee  and 
the
Committee  of  the  Regions  a  Communication(cid:216)(˛)  on
the  further  development  of  mobile  and  wireless
communications;

(2)(cid:217)Whereas  after  consulting  the  industry  and  other
parties  concerned(cid:216)(ˇ),  and  considering  the  trade,
industry, 
standardisation  aspects
of  UMTS, 
the  Commission  has  presented  on
15  October  1997  a  Communication(cid:216)(—)  on  a  Strategy

frequency  and 

regulators, 

operators,  manufacturers, 
interested  parties  as  well  as 

(˛)(cid:217)COM(97)  217  final,  29.5.1997.
(ˇ)(cid:217)The  UMTS  Forum  has  been  set  up  on  16  December  1996
satellite
among 
operators  and  other 
the
European  Telecommunications  Standards  Institute  (ETSI),
the  European  Radiocommunications  Office  (ERO)  and  the
European  Telecommunications  Office 
the
support  of  the  Commission;  this  Forum  aims  at  developing
common  views  for  the  development  and  implementation  of
UMTS  and  advice  on 
the  development  of  a  policy
framework  relating  to  the  introduction  of  UMTS.

(ETO),  with 

(—)(cid:217)COM(97)  513  final,  15.10.1997.  Communication  from  the
Commission  to  the  Council,  the  European  Parliament,  the
Economic  and  Social  Committee  and  the  Committee  of  the
Regions  -  Strategy  and  policy  orientations  with  regard  to
the  further  development  of  mobile  and  wireless  communi(cid:220)
cations  (UMTS)  -  Outcome  of  the  public  consultation  and
proposals  for  creating  a  favourable  environment.

and  Policy  Orientation  with  regard  to  the  further
Development  of  Mobile  and  Wireless  Communi(cid:220)
cations  (UMTS)  and  proposed  policy  orientations
and  actions 
in
UMTS  and  to  prepare  the  necessary  regulatory
framework  so  as  to  promote  innovation  and  flexi(cid:220)
bility  by  industry;

investment  security 

increase 

to 

the  existing  Community 

(3)(cid:217)Whereas  on  1  December  1997,  the  Council  invited
the  Commission 
"to  submit  by  early  1998,  a
proposal  for  a  European  Parliament  and  Council
Decision  which  would  enable  orientations  to  be
established  on  the  substance  of  the  issue  and  will
facilitate  within 
legal
framework,  the  early  licensing  of  UMTS  services
and,  if  appropriate  and  on  the  basis  of  the  existing
of
competencies, 
of 
repartition 
respect 
co(cid:220)ordinated  allocation  of 
the
in 
Community 
roaming’(cid:216)((cid:209));
whereas  the  European  Parliament  has  adopted  on
29  January  1998  a  resolution(cid:216)((cid:210))  expressing 
its
strong  support  to  the  Commission’s  Communi(cid:220)
cation  on  the  "Strategy  and  Policy  Orientations
with  regard  to  the  Further  Development  of  Mobile
and  Wireless  Communications’;

in 
frequencies 

pan(cid:220)European 

and 

innovative 

systems  needs 

(4)(cid:217)Whereas  UMTS  is  not  a  single  system  or  network
but  a  modular  concept;  whereas  subsequent  to  the
current  second  generation  of  mobile  systems,  a  new
generation  of 
to  be
developed  for  the  provision  of  wireless  wideband
multimedia  services,  including  Internet  and  other
Internet  Protocol  (I/P)  based  services,  flexible  and
personalised  service  provision,  support  of  high
volume  data  rates  combining  the  use  of  terrestrial
fixed  and  mobile  as  well  as  satellite  components;
whereas 
satellite
components  without  prejudice  to  the  European
Parliament  and  Council  Decision  710/97/EC  of

this  decision 

shall  apply 

to 

((cid:209))(cid:217)Conclusions  of  the  Council  of  1  December  1997.
((cid:210))(cid:217)Resolution  of  the  European  Parliament  of  29  January  1998

-  A4(cid:220)0027/98.

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29.4.98

24  March  1997  on  satellite  personal  communi(cid:220)
cations(cid:216)(˛);  whereas  there  is  a  need  to  ensure  rapid
market  access  for  a  ubiquitous  coverage  and  low
cost,  and 
innovative  service  offering  through  a
sufficient  level  of  competition;

(5)(cid:217)Whereas 

identified 

(WARC  92) 

the  ITU  World  Administrative  Radio
Conference 
in  1992
frequency  spectrum  for  the  development  of  both  the
satellite  and  terrestrial  parts  of  Future  Public  Land
Mobile  Telecommunications  System 
(FPLMTS),
later  renamed  IMT(cid:220)2000;  whereas  according  to
ITU  Resolution  212  and  to  the  World  Radiocom(cid:220)
munications  Conference  in  1995  (WRC  95),  the
initial 
terrestrial  element
should  take  place  around  the  year  2000;

implementation  of 

the 

(6)(cid:217)Whereas  UMTS  in  the  Community  needs  to  be
compatible  with  the  third  generation  mobile  system
concept  called  International  Mobile  Telecommuni(cid:220)
cations(cid:220)2000  (IMT(cid:220)2000)  developed  by  the  Inter(cid:220)
(ITU)  at
national  Telecommunications  Union 
world  level  on  the  basis  of  ITU  Resolution  212;

has 

the  Commission 

Information  Society  as  well  as 

(7)(cid:217)Whereas  mobile  and  wireless  communications  are
of  strategic  importance  both  for  the  development  of
industry  and
the  Community  telecommunications 
the 
the
for 
Community  economy  and  employment  as  a  whole;
on
adopted 
whereas 
3  December  1997  a  Green  Paper  on 
the
convergence  of  the  telecommunications,  media  and
information 
impli(cid:220)
technology  sectors,  and 
cations  for  regulation(cid:216)(ˇ);  whereas  on  the  basis  of
the  consultation  which  will  result  from  that  Green
Paper,  the  Commission  will  take  into  consideration
the  impact  of  convergence  on  UMTS  considering  in
particular  the  review  of  Community  telecommuni(cid:220)
cations  regulation  by  1999;  whereas  early  decisions
on  harmonisation  of  authorisations  and  co(cid:220)ordi(cid:220)
nation  of  the  introduction  of  UMTS  services  should
aim  at  creating  a  favourable  climate  for  investment
and  deployment  of  UMTS;

the 

(8)(cid:217)Whereas  this  requires  specific  regulatory  action  at
Community  level  on  licensing  procedures,  spectrum
availability  and  harmonisation  and  standardisation;
whereas  in  order  to  ensure  the  development  of
Community(cid:220)wide  as  well  as  pan(cid:220)European  and
global  services  with  the  widest  possible  territorial
coverage,  Member  States  should  ensure  the  rapid
and 
compatible
UMTS  services  in  the  Community  on  the  basis  of
internal  market  principles  by  means  of 
a
co(cid:220)ordinated  approach;  whereas  diverging  national
laws,  regulations  and  administrative  action  would
hinder  or  prevent  the  provision  of  Community(cid:220)wide

introduction  of 

simultaneous 

and  global  UMTS  services,  and  the  free  movement
of  related  equipment;

rules, 

(9)(cid:217)Whereas  existing  Community  legislation  including
competition 
particular  Commission
in 
Directive  96/2/EC  of  16  January  1996  on  mobile
and  personal  communications(cid:216)(—)  and  Commission
Directive  96/19/EC  of  13  March  1996(cid:216)((cid:209))  on  full
competition,  as  well  as  Directive  97/13/EC  of
10  April  1997  of  the  European  Parliament  and  of
the  Council  on  a  common  framework  for  general
authorisations  and  individual  licences  in  the  field
(Licensing
of 
Directive) 
the
European  Parliament  and  the  Council  on  Intercon(cid:220)
nection 
to
ensuring  Universal  Service  and 
interoperability
through  application  of  the  Principles  of  ONP(cid:216)((cid:211))
(the  Interconnection  Directive)  apply  to  this  sector;

in  Telecommunications  with  regard 

telecommunications 

and  Directive 

97/33/EC  of 

services(cid:216)((cid:210)) 

(10)(cid:217)Whereas  UMTS  service  providers  should  be  able  to
enter  the  market  without  unnecessary  constraints  to
allow 
for  a  dynamic  market  and  a  broad
competitive  service  offering;  whereas  where  an
authorisation  procedure 
is  considered  necessary,
general  authorisations  or  declarations  should  be  the
rule;

(11)(cid:217)Whereas  pursuant  to  Community  law,  in  particular
Directive  97/13/EC  of  the  European  Parliament
and  the  Council  and  Directive  96/2/EC  of  the
Commission:  i)  individual  licenses  should  be  limited
to  the  operation  of  UMTS  networks,  ii)  the  number
of  UMTS  licenses  may  only  be  limited  for  reasons
of  demonstrated 
spectrum
capacity,  iii)  licenses  should  be  made  accessible  to
any  organisation  and  should  not  be  reserved  for
existing  operators  of  other  systems;

frequency 

lack  of 

(12)(cid:217)Whereas  conditions  to  be  attached  to  authorisations
should  be  defined  in  such  a  way  as  to  secure
Community(cid:220)wide  and  pan(cid:220)European  services  as
well  as  roaming  capabilities  through  co(cid:220)ordinated
introduction;  whereas  Europe(cid:220)wide  roaming  will
enable  industry  to  meet  user  and  societal  needs;
whereas  the  conditions  listed  in  the  Annex  of  the
Licensing  Directive  may  be  imposed  on  a  UMTS
system  by  a  Member  State  even  where  no  part  of
that  system  is  located  within  the  territory  of  that

(—)(cid:217)Commission  Directive  96/2/EC  of  16 

January  1996
amending  Directive  90/388/EEC  with  regard  to  mobile  and
personal  communications,  OJ  L  20,  26.1.1996,  p.  59.

((cid:209))(cid:217)Commission  Directive  96/19/EC  of  13  March  1996
amending  Directive  90/388/EEC  with 
the
implementation  of  full  competition  in  telecommunications
markets,  OJ  L  74,  22.3.1996,  p.  13.

regard 

to 

(˛)(cid:217)OJ  L  105,  23.4.1997,  p.  4.
(ˇ)(cid:217)COM(97)  623.

((cid:210))(cid:217)OJ  L  117,  7.5.1997,  p.  15.
((cid:211))(cid:217)OJ  L  199,  26.7.1997,  p.  32.

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in  co(cid:220)operation  with  ECTRA 

Member  State;  whereas  national  licensing  regimes
and  harmonisation  of 
licensing  conditions  and
procedures  among  telecommunications  authorities
should  be  adopted  without  delay  in  the  context  of
for
the  CEPT 
the  one(cid:220)stop(cid:220)
UMTS;  whereas 
shopping  procedure  provided 
the  Licensing
Directive  should  apply  to  the  granting  of  individual
licenses  and  for  notifications  in  the  case  of  general
authorisations  to  facilitate  the  granting  of  UMTS
services  authorisations  to  undertakings  in  more  than
one  Member  State;

in  particular 
in 

(13)(cid:217)Whereas  the  amount  of  spectrum  made  available
will  have  a  direct  impact  on  how  competitive  the
marketplace  will  be;  whereas  estimated  demand
should  therefore  determine  the  amount  of  spectrum
to  be  allocated;  whereas  sufficient  spectrum  must  be
allocated  and  cleared  sufficiently 
in  advance  to
foster  a  broad  competitive  offering  of  mobile
multi(cid:220)media  services;

in 

is  most  efficiently
(14)(cid:217)Whereas  spectrum  allocation 
the
the  CEPT  by 
the  context  of 
pursued 
European 
Committee
Radiocommunications 
(ERC);  whereas  according  to  CEPT  rules,  CEPT
country  members  which  also  include  Community
Member  States,  are  free  to  commit  themselves  to
implement  ERC  decisions;  whereas 
should
therefore  be  ensured  that  appropriate  and  timely
regulatory  measures  are  taken  in  the  Community  to
achieve  the  implementation  of  ERC  decisions  if
necessary;  whereas  Member  States  shall  provide  the
Commission  with  regular 
information  as  to  the
implementation  of  ERC  measures;  whereas  comple(cid:220)
mentary  Community  action  may  be  required  to
ensure 
implementation  of  CEPT
decisions  within  Member  States;

timely 

the 

it 

to 

2110(cid:220)2170  MHz 

and 
terrestrial  UMTS
applications,  and  accommodates  UMTS  satellite
component  applications  within  the  bands  1980(cid:220)2010
MHz  and  2170(cid:220)2200  MHz;  whereas 
it  already
appears  that  additional  frequency  spectrum  capacity
will  be  necessary  to  meet  the  demand 
in  the
Community  and  to  ensure  introduction  of  UMTS
in  Europe  even  before  1  January  2002;  whereas
sufficient  spectrum  must  be  allocated  within  the
bands  identified  by  WARC  92  according  to  the
increasing  needs  therefore  before  UMTS  services
are  commercially  deployed;  whereas  additional
frequency  spectrum  may  become  necessary  by  2005
and  therefore  the  900,  1800  and  1900  MHz  bands
would  also  need  to  be  freed  or  refarmed  as  far  as
possible;

roaming  of 

(17)(cid:217)Whereas  at  ITU  level  the  review  of  spectrum  and
regulatory  issues  relating  to  UMTS  and  the  facili(cid:220)
terminal  operation  and
tation  of  multimode 
IMT(cid:220)2000  have  been
world(cid:220)wide 
included  in  the  WRC  99  agenda  in  order  to  identify
additional  frequency  spectrum  to  satisfy  market
demand  by  2005(cid:220)2010;  whereas  therefore  European
common  positions  need 
to  be  developed  and
promoted  at  global  level  with  the  participation  of
all  parties  interested;

(18)(cid:217)Whereas 

spectrum  availability  and  appropriate
pricing,  coverage  and  quality  will  be  essential
aspects  to  the  success  of  UMTS  development;
whereas  any  spectrum  pricing  method  should  not
adversely  impact  on  the  competitive  structure  of  the
interest,
market, 
guarantee 
ensuring
efficient  use  of  the  spectrum  as  a  valuable  resource;

the 
public 
capabilities  while 

roaming 

respect 

should 

(15)(cid:217)Whereas  measures  adopted  by 

the  ERC  and
ECTRA  are,  if  consistent  with  Community  law,  a
basis  for  the  use  of  the  relevant  frequencies  and  for
the  preparation  of  the  criteria  for  the  authorisation
of  UMTS;  whereas  sufficient  spectrum  will  be
necessary  to  foster  the  development  of  a  market
with  a  broad  competitive  offering  of  mobile
multi(cid:220)media  services;  whereas  the  European  Radio(cid:220)
communications  Committee  (ERC)  has  adopted  on
30  June  1997  Decision  ERC/DEC/(97)07  on  the
frequency  bands  for  the  introduction  of  Universal
Mobile  Telecommunications 
(UMTS)
which  entered  into  force  by  1  October  1997;

Systems 

(19)(cid:217)Whereas  Europe(cid:220)wide  roaming  of  UMTS  services
is  essential  to  the  development  of  pan(cid:220)European
UMTS  services  as  a  basis  for  the  internal  market
specific
for 
co(cid:220)operation 
also
necessary  to  provide  coverage  of  less  populated
areas;

among  operators  may  be 

telecommunications; 

whereas 

the  Commission 

(20)(cid:217)Whereas  a  proposal  has  been  presented  on  4  June
for  a  Council  and
1997  by 
European  Parliament  Directive  on  connected  tele(cid:220)
communications  equipment  and  the  mutual  recog(cid:220)
nition  of  the  conformity  of  equipment(cid:216)(˛)  to  amend
the  Council  Directive  91/263/EEC  of  29  April

(16)(cid:217)Whereas  this  ERC  decision  has  designated  the
frequency  bands  1900(cid:220)1980  MHz,  2010(cid:220)2025  MHz

(˛)(cid:217)OJ  C  248,  14.8.1997,  p.  4.

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29.4.98

laws 
in  the
1991  on  the  approximation  of  the 
Member  States 
telecommunications
concerning 
terminal  equipment,  including  the  mutual  recog(cid:220)
nition  of  their  conformity(cid:216)(˛);  whereas  appropriate
harmonised  standards  developed  by  ETSI  and
recognised  under  Directive  91/263/EEC  will
ensure  free  movement  of  terminals  and  will  allow
the  putting 
the
Community(cid:216)(ˇ);

service  of  UMTS 

into 

in 

(21)(cid:217)Whereas  as  provided 

in 

the 

Interconnection
Directive,  interconnection  to  public  telecommuni(cid:220)
cations  networks  and  publicly  available  telecom(cid:220)
munications 
services  provided  by  organisations
having  significant  market  power  shall  follow  the
principles  of  non(cid:220)discrimination  and  transparency;

industry 

(25)(cid:217)Whereas  the  UMTS  aims  at  a  global  market  and
therefore  should  be  placed  in  a  global  context  on
the  basis  of  a  coherent  plan  for  the  Community;
whereas  the  creation  of  a  common  standard  in  the
in
Community  would  help  European 
competing  on  global  markets;  whereas  compatibility
with  other  standards  of  the  ITU  IMT(cid:220)2000  family
would  facilitate  interworking  and  roaming  at  global
level;  whereas  the  ITU  has  set  the  deadline  of  May
1998  for  the  adoption  of  the  "IMT(cid:220)2000  Family
submitting
Concept’, 
candidates 
the
radio 
"IMT(cid:220)2000  Family  Concept’  of  standards  and  to
end  1999  for  the  adoption  of  IMT(cid:220)2000  standard
final  recommendation  by  ITU;  whereas  this  Family
Concept  supports  a  set  of  air  interfaces  and  of  core
network  standards;  whereas  a  common  European
UMTS  standard  should  be  adopted  and  proposed
as  a  member  of  that  Family  in  order  to  increase  the
chances  of  UMTS  to  be  adopted  on  markets
outside  Europe;  whereas  these  deadlines  therefore
need  to  be  met  within  the  Community;

to  September  1998 
for 

interface 

the 

for 

for 

(22)(cid:217)Whereas,  without 

roaming 

prejudice 

to  Community
law,  organisations  providing  UMTS
competition 
to
networks  must  have  rights  and  obligations 
negotiate 
sharing
and 
agreements  with  other  telecommunications  organi(cid:220)
sations  to  ensure  seamless  Community(cid:220)wide  service
coverage;  whereas  such  negotiation  needs  to  occur
on  the  basis  of  a  common,  open  and  internationally
competitive  air(cid:220)interface  standard;

infrastructure 

(23)(cid:217)Whereas  urgent  and  specific  action  at  Community
level  is  required  in  order  to  reach  co(cid:220)ordinated
introduction  of  UMTS  on  the  basis  of  common,
open  and  internationally  competitive  standards,  in
order  to  secure  Community(cid:220)wide  roaming  of  future
UMTS  services  at  low  cost  as  well  as  early  licensing
of  UMTS  services  in  the  Community  in  the  bands
identified  by  the  CEPT;

(24)(cid:217)Whereas 

the  Community  should  build  on 

the
success  of  the  current  generation  of  mobile  digital
technology  including  GSM  both  in  Europe  and  in
the  world  taking  into  consideration  interworking
between  UMTS  and  second  generation  systems;
whereas  there  should  be  no  discrimination  between
GSM  operators  and  new  entrants  on  UMTS
markets;

(˛)(cid:217)OJ  L  128,  23.5.1991,  p.  1.
(ˇ)(cid:217)A  consensus  agreement  has  been  reached  on  29  January
1998  within  ETSI  in  view  of  the  elaboration  of  a  common
radio  interface  standard  for  UMTS  called  UTRA.

for 

(26)(cid:217)Whereas  while  voluntary  application  of  standards
remains  the  gerenal  rule,  recourse  to  mandatory
standards  may  be  required 
interfaces  and
situations  where  necessary  to  ensure  interoperability
and  facilitate  roaming  of  mobile  networks  and
services;  whereas  harmonised  standards  are  adopted
by  standardisation  bodies  such  as  the  European
Telecommunications  Standards 
(ETSI)
which  facilitates  regulatory  action;  whereas  the
proposals  for  common  technical  regulations  are,  as
a  general  rule,  drawn  up  on  the  basis  of  harmonised
standards  and  of  additional  consultations;

Institute 

(27)(cid:217)Whereas 

in  order  to  allow  for  effective  service
competition  and  innovation,  the  UMTS  standard(cid:220)
is
isation  process 
necessary  for  systems  development  while  allowing
for  service  provision  differentiation;

should  be 

to  what 

limited 

(28)(cid:217)Whereas  common  and  open  European  standards
are  essential  for  the  critical  interfaces,  in  particular
the  air  interface  (UMTS  Terrestrial  Radio  Access
-  UTRA)  and  for  the  UMTS  core  network  in
order  to  foster  a  strong  start  of  UMTS  in  the
Community  and  to  ensure  end(cid:220)to(cid:220)end  interoper(cid:220)
ability  in  a  pan(cid:220)European  environment  and  open
competition  for  roaming  traffic  and  to  avoid  market
fragmentation  in  Europe,  increased  costs  of  UMTS
systems  and  loss  of  competitiveness;

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(29)(cid:217)Whereas  the  Commission  has  granted  in  1995  to
ETSI  a  general  standardisation  mandate  related  to
UMTS  pursuant  to  Council  Directive  83/189/EEC
of  28  March  1983(cid:216)(˛)  and  Council  Decision
87/95/EEC  of  22  December  1986;

alia,  interconnection,  roaming,  free  movement  and
use  of  equipment  at  global  level  through  multi(cid:220)
lateral  rules,  access  to  third  countries’  networks  and
markets;  whereas 
these  agreements  are  closely
related  to  market  access  arrangements;

(30)(cid:217)Whereas  the  ETSI  mechanism  dealing  with  intel(cid:220)
lectual  property  rights  (IPRs)  in  the  context  of
standardisation  should  be  followed;  whereas  ETSI
members  should  make  every  attempt  to  unveil  intel(cid:220)
lectual  property  rights  applicable  to  UMTS  in  the
world;

(31)(cid:217)Whereas  adequate  support  should  be  provided
within  the  Community  R&D  programmes  with  the
objective  of  further  developing  the  technological
basis  for  UMTS;  whereas  this  would  involve  further
research  into  technical  solutions  for  UMTS  such  as
software  radio;

(32)(cid:217)Whereas  social  and  societal  effects  should  be  taken
into  account  in  the  transition  towards  the  wireless
information  society;  whereas  UMTS  development
should  be  co(cid:220)ordinated  with  related  efforts  such  as
the  development  of  a  Community(cid:220)wide  information
society,  support  of  training  on  UMTS  related  tech(cid:220)
nologies,  access  for  elderly  and  disabled  persons,
research  on  possible  hazards  of  mobile  communi(cid:220)
cations;

(33)(cid:217)Whereas  the  implementation  of  UMTS  systems  and
services  should  take  into  consideration  the  needs  of
potential  groups  of  users  working  in  services  of
public 
transport,
the
environment,  etc.)  and  pay  attention 
requirements  that  have  already  been  incorporated
into  European  standards;

education, 

(health, 

interest 

to 

(36)(cid:217)Whereas  Community  undertakings 

should 

fully
benefit  from  international  trade  agreements  such  as
agreements  signed  within  the  World  Trade  Organi(cid:220)
sation  (WTO)  and  have  effective  market  access  in
the  specific  terms  and  conditions,  including  national
treatment,  binding  on  those  countries  within  the
WTO;

tariff  agreements  entered  by 

(37)(cid:217)Whereas  UMTS  equipment  would  be  covered  by
international 
the
Community  such  as  the  Information  Technology
Agreement  signed  in  the  framework  of  the  World
Trade  Organisation(cid:216)(ˇ)  and  the  Istanbul  Convention
on  the  elimination  of  customs  duties  on  personal
effects  and  professional  equipment(cid:216)(—);

to 

implement 

(38)(cid:217)Whereas  the  Community  may  take  all  necessary
actions 
international  agreements;
whereas  the  Commission  may  start  further  multi(cid:220)
lateral  and  bilateral  negotiations  on  aspects  of
UMTS  on  the  basis  of  specific  mandates  from  the
Council,  which  should  make  it  possible  to  conclude
balanced  agreements  ensuring 
further  effective
access  for  Community  operators  in  third  countries
as  well  as  mutual  recognition  arrangements  for
global  circulation  of  terminals;

(39)(cid:217)Whereas  the  results  of  the 

international  consul(cid:220)
in  the  situation  may
tations  and  other  changes 
require 
this
Decision  be  amended  or  other  appropriate  measures
be  undertaken;

taken  pursuant 

that  decisions 

to 

(34)(cid:217)Whereas  market  access  and  free  circulation  of
UMTS  systems  and  terminals  to  the  global  market
should  be  promoted;  whereas 
interoperability  of
UMTS  services  at  Community  and  global  levels
should  be  encouraged  among  the  industry,  stan(cid:220)
dardisation  bodies  and  Member  States;

(35)(cid:217)Whereas  the  need  to  ensure  the  introduction  of
interoperable  UMTS  at  both  pan(cid:220)European  and
global 
levels  may  require  the  conclusion  of  a
number  of  agreements  with  third  countries  on,  inter

(40)(cid:217)Whereas  in  the  implementation  of  this  Decision,  the
Commission  should  be  assisted  by  the  Licensing
Committee  established  by  Directive  97/13/EC;
whereas  the  Committee  should  act  as  a  consultative
committee  according  to  the  procedure  laid  down  in
Article  16  or  as  a  management  committee  type  II(cid:216)b
according  to  the  procedure  laid  down  in  Article  17
of  Directive  97/13/EC;

(ˇ)(cid:217)Agreement  on  Trade  in  Information  Technology  Products,

Council  Decision  97/359/EC  of  24.3.1997.

(—)(cid:217)Council  Decision  93/329/EEC  of  15.3.1993,  OJ  L  130  of

(˛)(cid:217)OJ  L  109,  26.4.1983,  p.  8.

27.5.1993,  p.  1.

C  131/14

EN

Official  Journal  of  the  European  Communities

29.4.98

HAVE  ADOPTED  THIS  DECISION:

Article  1

Purpose

The  aim  of  this  Decision  shall  be  to  facilitate  the  rapid
introduction  of  compatible  UMTS  networks  and  services
in  the  Community  on  the  basis  of  internal  market  prin(cid:220)
ciples  and  in  accordance  with  commercial  demand  by
means  of  co(cid:220)ordination  of  national  licensing  regimes.

4.(cid:218)(cid:217)In  the  case  of  incompatibility  of  potential  systems
and  if  it  is  established  in  accordance  with  the  procedure
laid  down  in  Article  17  of  Directive  97/13/EC  and  in
conjunction  with  CEPT  that  it  is  necessary  to  limit  the
number  of  UMTS  services  authorisations,  Member  States
shall  coordinate  their  authorisation  procedures  with  a
view  to  authorising  compatible  UMTS  services  in  the
Community.

Article  4

Roaming  Rights  and  Obligations

Article  2

Definition

For  the  purpose  of  this  Decision,  Universal  Mobile  Tele(cid:220)
communications  System  (UMTS)  shall  mean  a  third
generation  mobile  communications  system  capable  of
innovative  wireless  multimedia
providing 
services,  beyond 
second
generation  systems  such  as  GSM,  and  combining  the  use
of  terrestrial  and  satellite  components.  It  shall  include  the
characteristics  referred  to  under  Annex  I.

the  capability  of  current 

in  particular 

shall  ensure 

1.(cid:218)(cid:217)Member  States 
that  organisations
providing  UMTS  networks  have  rights  and  obligations  to
negotiate  roaming  agreements  with  other  organisations
providing  UMTS 
seamless
Community(cid:220)wide  service  coverage.

networks 

ensure 

to 

2.(cid:218)(cid:217)Member  States  may  where  necessary  take  action,
including 
agreements  between
operators  in  accordance  with  Community  law,  to  ensure
the  coverage  of  less  populated  areas.

the  promotion  of 

Article  3

Co(cid:220)ordinated  authorisation

Article  5

Co(cid:220)operation  with  CEPT

1.(cid:218)(cid:217)Member  States  shall  take  all  actions  necessary  in
order  to  allow  the  harmonised  provision  of  the  UMTS
services  on  their  territory  by  1  January  2002  at  the  latest
and  in  particular  shall  establish  an  authorisation  system
for  UMTS  no  later  than  1  January  2000.

2.(cid:218)(cid:217)When  preparing  and  applying  their  authorisation
systems  Member  States  shall  ensure

-(cid:217)that  the  provision  of  UMTS  services  is  organised  in
frequency  bands  which  are  harmonised  by  CEPT
in  accordance  with  the  procedure 
in
Article(cid:217)5,

laid  down 

-(cid:217)and  pursuant  to  European  standards  developed  by
in  particular  a
ETSI  where  available, 
common,  open 
competitive
and 
air(cid:220)interface  standard.  Member  States  shall  ensure
that 
the
Community.

including 
internationally 

throughout 

roaming 

support 

licenses 

3.(cid:218)(cid:217)When  authorising  UMTS  services,  Member  States
shall  ensure  that  the  specific  characteristics 
in
Annex  I  are  implemented.

listed 

16 

down 

Article 

II,  give  CEPT/ERC 

1.(cid:218)(cid:217)The  Commission  shall, 
in  accordance  with  the
of
laid 
procedure 
in 
Directive  97/13/EC  pursuant  to  the  timetable  set  out  in
Annex 
and  CEPT/ECTRA
mandates  to  harmonise  frequency  use  and  the  conditions
attached  to  authorisations  for  UMTS  networks  and
the
services  without  prejudice 
Licensing  Directive  regarding  individual  licences.  Those
mandates  shall  define  the  tasks  to  be  performed  and  lay
down  a  timetable.

the  provisions  of 

to 

2.(cid:218)(cid:217)On  the  completion  of  the  mandates,  it  shall  be
decided  in  accordance  with  the  procedure  laid  down  in
Article  17  of  Directive  97/13/EC  whether  the  result  of
the  work  done  pursuant  to  the  mandates  shall  be  made
applicable  in  the  Community.

3.(cid:218)(cid:217)Notwithstanding  Article  5(2),  if  the  Commission  or
any  Member  State  considers  that  work  done  pursuant  to
the  mandate  given  to  the  CEPT/ECTRA  or  CEPT/ERC
is  not  processing  satisfactorily  having  regard  to  the
timetable  laid  down,  it  may  refer  the  matter  to  the
Licensing  Committee,  which  shall  act  in  accordance  with
the 
of
down 
procedure 
Directive  97/13/EC.

in  Article 

laid 

17 

29.4.98

EN

Official  Journal  of  the  European  Communities

C  131/15

Article  6

Co(cid:220)operation  with  ETSI

Article  10

Notification

The  Commission  shall  take  all  necessary  measures  where
appropriate  in  co(cid:220)operation  with  ETSI  to  promote  a
the  provision  of
standard 
common  and  open 
in
compatible  UMTS 
services 
accordance  with  market 
into
account  the  need  to  present  a  common  standard  to  the
International  Telecommunications  Union  (ITU)  as  an
option  for  the  world(cid:220)wide  ITU  IMT(cid:220)2000  standard.

throughout  Europe, 

requirements, 

taking 

for 

Article  7

The  Committee

In  the  implementation  of  this  Decision,  the  Commission
shall  be  assisted  by  the  Licensing  Committee  set  up  by
Article  14  of  Directive  97/13/EC.

Article  8

Exchange  of  Information

the
shall 
1.(cid:218)(cid:217)The  Commission 
committee  of  the  outcome  of  consultations  with  the
representatives  of 
telecommunications  organisations,
users,  consumers,  manufacturers,  services  providers  and
trade  unions.

regularly 

inform 

taking 

into  account 

2.(cid:218)(cid:217)The  committee  shall, 
the
Community’s  telecommunications  policy,  encourage  the
exchange  of  information  between  the  Member  States  and
the  Commission  on  the  situation  and  the  development  of
regulatory  activities 
the  authorisation  of
regarding 
UMTS  services.

Member  States 
information  as 
verifying  the  implementation  of  this  Decision.

it  may  require  for 

shall  give 

the  Commission 

such
the  purpose  of

Article  11

Confidentiality

1.(cid:218)(cid:217)Neither  the  Commission  nor  the  national  regu(cid:220)
latory  authorities  shall  disclose  any  information  covered
by  the  obligation  of  professional  secrecy,  in  particular
information  about  undertakings,  their  business  relations
or  their  cost  components.

2.(cid:218)(cid:217)Paragraph  1  shall  be  without  prejudice  to  the  right
of  national  regulatory  authorities  to  undertake  disclosure
where  it  is  essential  for  the  purposes  of  fulfilling  their
duties, 
shall  be
proportionate  and  shall  have  regard  to  the  legitimate
interests  of  the  undertakings  in  the  protection  of  their
business  secrets.

such  disclosure 

in  which 

case 

3.(cid:218)(cid:217)Paragraph  1  shall  not  preclude  the  publication  of
information  on 
licensing  conditions  which  does  not
include  information  of  a  confidential  nature.

Article  12

Duration

This  Decision  shall  enter  into  force  on  the  20th  day  after
its  publication  in  the  Official  Journal  of  the  European
Communities  and  shall  remain  in  force  for  four  years
after  that  date.

Article  13

Report

Article  9

International  Aspects

The  Commission  shall  keep  developments  in  the  field  of
UMTS  under  review  and  report 
the  European
Parliament  and  to  the  Council  on  the  effectiveness  of
action  taken  pursuant  to  this  Decision  after  two  years.

to 

1.(cid:218)(cid:217)The  Commission  shall  take  all  necessary  measures
to  faciliate  the  introduction  of  UMTS  services  in  third
countries  and  the  free  circulation  of  UMTS  equipment.

Article  14

Implementation

this  purpose, 

implementation  of 

the  Commission  shall  make
2.(cid:218)(cid:217)For 
proposals  to  take  all  necessary  actions  to  seek  the
effective 
international  agreements
applicable  to  UMTS,  and  shall,  in  particular  and  where
necessary,  submit  proposals  to  the  Council  for  appro(cid:220)
priate  mandates  for  the  negotiation  of  bilateral  and
multilateral  agreements  with  third  countries  and  inter(cid:220)
national  organisations.  The  Council  shall  decide  by
qualified  majority.

Member  States  shall  take  all  measures  necessary,  by  law
or  administrative  action,  for  the  measures  provided  for
in,  or  agreed  on  pursuant  to  this  Decision  to  be  imple(cid:220)
mented.

Article  15

Addressees

This  Decision  is  addressed  to  the  Member  States.

C  131/16

EN

Official  Journal  of  the  European  Communities

29.4.98

ANNEX  I

CHARACTERISTICS  OF  UMTS

Services

1.(cid:217)Multimedia  capability  with  wide  area  mobility

2.(cid:217)Efficient  access  to  the  Internet,  Intranets  and  other  Internet  Protocol  (I/P)  based  services

3.(cid:217)High  quality  speech  commensurate  which  that  of  fixed  networks

4.(cid:217)Service  portability  across  distinct  UMTS  environments

5.(cid:217)Indoor,  outdoor  and  far  outdoor  operation  of  GSM/UMTS  in  one  seamless  environment  including  full

roaming  with  GSM  as  well  as  between  the  terrestrial  and  satellite  components  of  UMTS  networks

Terminals

-(cid:217)Dual  mode/band  GSM/UMTS  terminals,  where  appropriate

-(cid:217)Dual  mode  terrestrial/satellite  UMTS  terminals,  where  appropriate

Radio  Access  Networks

-(cid:217)New  air  interface  for  access  to  all  services  including  to  packet  data  based  services

-(cid:217)Good  overall  spectral  efficiency

Core  network

-(cid:217)Evolution  from  GSM  system  family;  call  control  mobility  management 

including  full  roaming

functionality  based  on  core  GSM  network  standard

-(cid:217)Mobile/fixed  convergence  elements

ANNEX  II

TIMETABLE

Mandates  to  CEPT  on  further  spectrum  allocation  including  availability  of  additional
spectrum  beyond  WARC(cid:216)92  FPLMTS  bands  and  freeing  or  refarming  of  the  900,
1800,  1900  MHz  bands  for  UMTS

February  1999

Mandates  to  CEPT  for  harmonisation  of  conditions  attached  to  authorisations

February  1999

One(cid:220)stop(cid:220)shopping  procedure  ready  for  services  where  necessary

End  1999