Proposal for a Decision of the European Parliament and of the Council on a regulatory framework for radio spectrum policy in the European Community
Date: 2000-07-12
Institutions: European Commission
Subjects: EU policy, approximation of laws, broadcasting, telecommunications, waveband

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Official Journal of the European Communities

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Proposal for a Decision of the European Parliament and of the Council on a regulatory framework
for radio spectrum policy in the European Community

(2000/C 365 E/20)

(Text with EEA relevance)

COM(2000) 407 final (cid:15) 2000/0187(COD)

(Submitted by the Commission on 29 August 2000)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 95 thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of
Committee,

the Economic and Social

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

Acting in accordance with the procedure laid down in Article
251 of the Treaty,

Whereas:

to the European Parliament,

(1) On 10 November 1999 the Commission presented a
communication (1)
the
Council,
the Economic and Social Committee and the
Committee of the Regions proposing the next steps in
radio spectrum policy on the basis of the results of the
Public Consultation on the Green Paper on radio
spectrum policy in the context of European Community
policies
broadcasting,
transport and R & D (2). This communication received
the support of the European Parliament in a resolution
of 18 May 2000 (3). It underlined the need for action at
Community level to achieve a harmonised and balanced
approach on the use of radio spectrum in the Community
in order to fulfil internal market principles and to protect
Community interests at international level.

telecommunications,

such

as

(2) Where necessary, policy principles on the use of radio
spectrum need to be defined at Community level with a
view to meeting Community policy objectives,
in
particular in the areas of communications, broadcasting,
transport, research which all require, to various extents,
the use of radio spectrum, while maintaining a high
standard of citizen’s health. On the basis of these prin-
ciples, the use of radio spectrum should be coordinated
and harmonised at Community level, where necessary to
fulfill
these Community objectives. Community coor-
dination and harmonisation may also help achieving

(1) COM(1999) 538.
(2) COM(1998) 596.
(3) A5-0122/2000.

the
harmonisation and coordination of
spectrum at global
in certain cases. At the same
time, appropriate technical support can be provided at
national level.

the use of

level

and

political,

also needs

to take
health

(3) Spectrum policy cannot be based only on technical
into account
parameters but
economic,
social
cultural,
considerations. Moreover, the ever increasing scarcity of
available radio spectrum may increase the sources of
conflicts between the various groups of radio spectrum
users in sectors such as communications, broadcasting,
law enforcement, military and the scientific
transport,
community. Therefore, spectrum policy should take into
account all sectors and balance the respective needs. This
Decision should not affect the right of Member States to
impose restrictions necessary for public order and public
security purposes.

States

senior Member

(4) In order to define general policy objectives regarding the
use of spectrum, an appropriate consultative body should
be created which will gather together, under the chair-
manship of the Member State holding the Presidency of
the Council,
representatives
responsible for the various sectors using or affected by
the use of radio spectrum, such as communications,
broadcasting, audio-visual, transport, research and devel-
opment as well as of security policy, military defence and
police sectors, which may be indirectly affected. This
group should provide guidance to the Commission, both
the
and at
on its own initiative
Commission, on the need for harmonisation of the use
of radio spectrum in the general context of Community
policy and on regulatory and other issues related to the
use of radio spectrum which impact on Community
for example, methods for granting
policies,
rights to use spectrum,
information availability, avail-
ability of spectrum, refarming, relocation, valuation and
efficient use of radio spectrum as well as protection of
human health. For that purpose, each national delegation
should have a coordinated view of all policy aspects
affecting spectrum use in its Member State in relation
with the issues to be discussed in the group.

request of

including,

the

all users

involved, both commercial

(5) The group will take into account the views of the industry
and of
and
non-commercial, as well as of other interested parties
on technological, market and regulatory developments
which may affect the use of radio spectrum. Spectrum
users should be free to provide all input they believe is
necessary. The group may decide to hear representatives
of the spectrum users communities at group meetings
where necessary to illustrate the situation in a particular
sector.

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(6) The Commission should report on a regular basis to the
European Parliament and the Council on the results
achieved under this Decision, on policy objectives for
radio spectrum in the Community as well as on
planned future actions. This will allow for the provision
of
the policy
objectives.

the appropriate political

support

for

(7) Radio spectrum technical management

includes

the
harmonisation and allocation of radio spectrum. Such
harmonisation should reflect the requirements of general
policy principles identified at Community level. Coor-
dinated introduction in the Community of systems using
radio spectrum is dependent on the various national
approaches to assignment and licensing including with
regard to spectrum pricing and license fees. These issues
should therefore be discussed and where appropriate be
harmonised at Community level.

(9) Appropriate information on present and future planning,
allocation and assignment of radio spectrum, as well as
the whole radio
conditions for access to and use of
spectrum are essential elements
investments and
for
policy making. So are technological developments which
will give rise to new spectrum allocation and management
techniques and frequency assignment methods. Devel-
long-term strategic aspects require proper
opment of
understanding of
the implications of how technology
evolves. Such information should therefore be made
accessible in the Community, without prejudice to confi-
information protection
dential business and personal
under Directive 97/66/EC of
the European Parliament
and of the Council of 15 December 1997 concerning
the processing of personal data and the protection of
sector (4). The
privacy
telecommunications
in
implementation of
spectrum policy
makes the availability of information on the whole radio
spectrum necessary. In view of the general purpose of
harmonising spectrum use in the Community and in
Europe, such information needs to be aggregated at a
European level in a user-friendly manner.

cross-sectoral

the

a

for

responsible

in the Community (3)

(8) The Community approach should also benefit from coop-
eration with radio spectrum experts from national auth-
orities
radio spectrum management.
Building on the experience of mandating procedures
gained in specific sectors, for example as a result of the
application of Decision No 710/97/EC of the European
Parliament and of the Council of 24 March 1997 on a
coordinated authorisation approach in the field of satellite
personal-communication services in the Community (1)
(the S-PCS Decision)
as amended by Decision No
1215/2000/EC (2) and Decision No 128/1999/EC of the
European Parliament
the Council of 14
and of
December 1998 on the coordinated introduction of a
third generation mobile and wireless communications
system (UMTS)
(the UMTS
Decision), a permanent, stable and uniform framework
needs
to ensure
harmonised availability of radio spectrum use and to
provide
Harmonisation
measures should be adopted as a result of mandates to
national
spectrum
management bodies including the European Conference
of Postal and Telecommunications administration (CEPT).
Where necessary, the Commission should be able to make
the results of such mandates compulsory for Member
States, and where the results of such mandates are not
acceptable, to take appropriate alternative action. This will
in particular provide for the harmonisation of frequency
spectrum necessary for the implementation of Directive
. . ./. . ./EC of
the European Parliament and Council
Directive [on the authorisation of electronic communi-
cations networks and services].

to be created at Community level

appropriate

certainty.

adequate

experts

acting

legal

in

(1) OJ L 105, 23.4.1997, p. 4.
(2) OJ L 139, 10.6.2000, p. 1.
(3) OJ L 17, 22.1.1999, p. 1.

(10)

is

to complement

therefore necessary

to mobile
(Dthe Mobile DirectiveE)

existing
It
requirements for publi-
Community and international
cation of information on use of radio spectrum. At inter-
level, the Reference Paper on Regulatory Prin-
national
ciples negotiated in the context of
the World Trade
Organisation by the Group on Basic Telecommunications
also requires that the existing state of allocated frequency
bands be made publicly available. Commission Directive
96/2/EC of 16 January 1996 amending Directive
and personal
90/388/EEC with regard
communications (5)
requires
Member States to publish every year or make available
on request the allocation scheme of frequencies, including
plans for future extension of such frequencies, but only
covers mobile and personal communications services.
European
Moreover, Directive
the Council of 9 March 1999 on
Parliament and of
terminal
radio
and
equipment
their
equipment
of
the mutual
conformity (6), as well as Directive 98/34/EC of
the
the Council of 22 June
European Parliament and of
1998 laying down a procedure for
the provision of
information in the field of technical standards and regu-
lations and of rules on Information Society services (7), as
amended by Directive 98/48/EC (8), require Member States
to notify to the Commission the interfaces which they
have regulated so as to assess their compatibility with
Community law.

telecommunications
recognition

1999/5/EC of

and

the

(4) OJ L 24, 30.1.1998, p. 1.
(5) OJ L 20, 26.1.1996, p. 59.
(6) OJ L 91, 7.4.1999, p. 10.
(7) OJ L 204, 21.7.1998, p. 37.
(8) OJ L 217, 5.8.1998, p. 18.

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Decision

Committee

(11) The Mobile Directive was at the origin of the adoption of
a first set of measures by CEPT such as European Radio-
communications
(ERC/DEC/
(97)01) (1) on the publication of national tables of radio
spectrum allocations. It is necessary to ensure that CEPT
solutions reflect the needs of Community policy and are
given the appropriate legal basis so as to be implemented
in the Community. For that purpose, specific measures
have
adopted in the Community both on
procedure and substance.

to be

(12) Community

fair

obtain

should

undertakings

and
non-discriminatory treatment on access to spectrum in
third countries. As access to radio spectrum is a key
factor
for business development and public interest
activities, it is also necessary to ensure that Community
requirements for radio spectrum are reflected in inter-
national planning.

(13)

It

is

and

closely

satellite

services.

communications

Implementation of Community policies may require coor-
dination of radio spectrum use, in particular the provision
of communications services including Community-wide
roaming facilities. Moreover, certain types of spectrum
use entail a geographical coverage which goes beyond
the borders of a Member State and allow for transborder
services without requiring the movement of persons, such
as
therefore
necessary that the Community be adequately represented
in the activities of all relevant international organisations
and conferences related to radio spectrum management
matters, such as within the International Telecommuni-
cations Union and its World Radiocommunications
Conferences (2).
In international negotiations, Member
States and the Community should develop a common
action
the whole
cooperate
negotiations process so as to safeguard the unity of the
international
the Community. As a
consequence, Member States should support the request
by the Community in view of
in such
negotiations, based in particular on the procedures
which had been agreed in the Council conclusions of 3
February 1992 for
the World Administrative Radio
Conference and as confirmed by the Council conclusions
of 22 September 1997 and 2 May 2000. For such inter-
the
national negotiations,
objectives to be achieved in the context of Community
policies, in view of obtaining endorsement by Council on
the positions to be taken by Member States at
inter-
national
level. Member States accompany any act of
acceptance of any agreement or regulation within inter-
national fora in charge of or concerned with spectrum
management by a joint declaration stating that they will
apply such agreement or regulation in accordance with
their obligations under the Treaty.

the Commission sets out

representation of

involvement

during

(14) The inherent international nature of spectrum issues may
require the adoption of a number of agreements with
third countries which also affect frequency bands usage

(1) www.ero.dk.
(2) The Commission reported on the Community issues at stake in
WRC in COM(1997) 304, COM(1998) 298 and COM(2000) 86.

free

in view in particular of

circulation and use of

trade and
and sharing plans,
market access, including in the World Trade Organisation
framework,
equipment,
communications systems of regional or global coverage
such as satellites, safety and distress operations, transpor-
tation systems, broadcasting technologies, and research
applications such as radio-astronomy and earth obser-
vation.

(15)

It is necessary, due to the potential commercial sensitivity
of information which may be obtained by national auth-
orities in the course of their action relating to spectrum
policy and management, to establish common principles
applicable to these national regulatory authorities in the
field of confidentiality.

(16) Taking into account international trade obligations of the
Community and its Member States, Member States should
implement this common framework for spectrum policy,
through their national authorities and
in particular
information required to the Commission to
provide all
assess
the
Community.

implementation throughout

the proper

(17) The existing UMTS and S-PCS Decisions should remain in
force until they reach their date of expiry as they provide
for a legal basis for ongoing harmonisation measures and
specific solutions for UMTS and S-PCS.

(18)

for

the exercise of

In accordance with Article 2 of Council Decision
1999/468/EC of 28 June 1999 laying down the
implementing powers
procedures
conferred on the Commission (3), measures
the
implementation of this Decision should be adopted by
use of the advisory procedure provided for in Article 3
of that Decision or the regulatory procedure provided for
in Article 5 of that Decision, as appropriate,

for

HAVE ADOPTED THIS DECISION:

Article 1

Aim

The aim of this Decision is to:

taking

(a) create a policy framework to address the strategic planning
and harmonisation of the use of radio spectrum in the
Community
particular
economic, health, public policy, cultural, scientific, social
and technical aspects of Community policies as well as
the various interests of radio spectrum users communities
with the aim of optimising the use of spectrum and of
avoiding harmful interference;

consideration

into

in

(3) OJ L 184, 17.7.1999, p. 23.

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(b) establish a procedural framework to ensure the effective
in
the
general
radio

implementation
Community,
methodology for harmonisation of
spectrum;

spectrum policy
a

the use of

particular

establish

radio

and

of

in

(c) ensure the coordinated and timely provision of information
on radio spectrum use and availability in the Community;

(d) safeguard Community interests in international negotiations
where radio spectrum use affects Community policies.

This Decision is without prejudice to the specific rules adopted
by Member States or the Community governing the content of
audio-visual programmes intended for the general public, to
the provisions of Directive 1999/5/EC and to the right of
Member States to organise their radio spectrum for public
order and public security purposes.

Article 2

Definitions

For the purposes of this Decision:

(a) DRadio spectrumE includes at least radio waves in frequencies
between 9 KHz and 3 000 GHz; radio waves are electro-
magnetic waves propagated in space without artificial
guide;

(b) DAllocation of a radio frequency bandE means the entry of a
radio frequency band in a table of radio frequency allo-
cations for the purpose of its use by one or more types
of services under specified conditions;

(c) DAssignment of a radio frequencyE means the authorisation
given by an authority to use a radio frequency under
specified conditions.

Article 3

Senior Official Radio Spectrum Policy Group

With a view to the strategic planning and harmonisation of use
of radio spectrum in the Community, the Commission shall be
assisted by a consultative group to be called the Senior Official
Radio Spectrum Policy Group.

The Group shall be composed of senior representatives from
the Member States and a representative of the Commission,
and shall meet at least twice a year under the chairmanship
of the representative of the Member State holding the Council
Presidency. The Group’s secretariat shall be provided by the
Commission.

The Group shall consult, as it may deem appropriate, represen-
sectors of activities and citizen
tatives

from the various

requiring the use of
representatives affected by or
spectrum in the Community and in the rest of Europe.

radio

Article 4

Function of the Senior Official Radio Spectrum Policy
Group

The Senior Official Radio Spectrum Policy Group shall
contribute to the formulation, preparation and implementation
of a radio spectrum policy by delivering opinions to the
Commission either at
the Commission’s request or on its
own initiative, and shall contribute to the preparation of the
Commission’s report referred to in Article 11.

The Group shall in particular:

(a) monitor the evolution of the use of and access to radio
spectrum in the Community as well as at national, regional,
and global levels;

(b) review current needs and anticipate future needs for radio
spectrum for commercial as well as non-commercial
applications in the Community, based in particular on
strategic, economic, technological, political, health, social
and cultural aspects of radio spectrum use, in view of the
fulfilment of Community policy objectives; advise the
Commission on strategic planning of radio spectrum use,
and where necessary, balance the various requirements for
radio spectrum of different users;

(c) advise

the Commission on regulatory,

international,
technical, economic and political developments affecting
the use of spectrum, as well as on the need for harmon-
isation measures at Community level for radio spectrum
use to implement Community policies;

(d) assess the need for European common proposals to be

developed in view of international negotiations;

(e) assist in the preparation of the Commission annual report
on the developments impacting on existing and future use
of radio spectrum in the Community;

(f) encourage the exchange of

information among Member
States on the evolution of the use of radio spectrum in
the Community.

Article 5

Committee

The Commission shall be assisted by a committee
1.
composed of
the Member States and
chaired by the representative of the Commission (Dthe Radio
Spectrum CommitteeE).

representatives of

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2. Where reference is made to this paragraph, the advisory
procedure laid down in Article 3 of Decision 1999/468/EC
shall apply, in compliance with Article 7 and Article 8 thereof.

3. Where reference is made to this paragraph, the regulatory
procedure laid down in Article 5 of Decision 1999/468/EC
shall apply, in compliance with Article 7 and Article 8 thereof.

The period provided for
1999/468/EC shall be three months.

in Article 5(6) of Decision

Article 6

Harmonisation measures

Where appropriate, and taking into account where
1.
the Senior Official Radio Spectrum
possible the advice of
Policy Group,
the Commission shall propose measures to
harmonise the use of radio spectrum, assignment methods,
conditions
the availability of
information related to the use of radio spectrum.

such use, as well as

for

Article 8

Relations with third countries and international organi-
sations

The Commission shall monitor developments regarding
1.
radio spectrum in third countries and in international organi-
sations, which may have implications for the implementation
of this Decision.

2.
The Member States shall inform the Commission of any
difficulties created, de jure or de facto, by third countries or
international organisations
this
for
Decision.

the implementation of

3.
The Commission shall report regularly on the results of
the application of paragraphs 1 and 2 to the European
Parliament and the Council and may propose measures with
the aim of securing the implementation of the principles and
this Decision, where appropriate. Whenever
objectives of
shall be agreed to ensure
necessary, common positions
Community coordination among Member States.

2.
For these purposes, the Commission shall give mandates
to the CEPT, setting out the tasks to be performed and the
timetable therefor. The Commission shall act in accordance
with the procedure referred to in Article 5(2).

4. Measures taken pursuant to this Article shall be without
prejudice to the Community’s and Member States’ rights and
obligations under relevant international agreements.

On the basis of

the work completed pursuant

to
3.
paragraph 2, the Commission shall decide whether the results
of the mandate are acceptable and, if so, may decide to make
such results mandatory for the Member States, which shall
them in a deadline to be determined. These
implement
Decisions shall be published in the Official
the
European Communities. For the purpose of this paragraph, the
Commission shall act
in accordance with the procedure
referred to in Article 5(3).

Journal of

4.
Notwithstanding paragraph 3, if the Commission or any
Member State considers that the work done on the basis of a
mandate granted pursuant to paragraph 2 is not progressing
satisfactorily having regard to the set timetable or if the results
of the mandate are not acceptable, the Commission may adopt
measures to achieve the objectives of the mandate, acting in
accordance with the procedure referred to in Article 5(3).

Article 9

Notification

Member States shall give the Commission such information as
it may require for the purpose of verifying the implementation
of this Decision. In particular, Member States shall immediately
inform the Commission about
the
results of the mandates pursuant to Article 6(3).

the implementation of

Article 10

Confidentiality

1. Member States shall not disclose information covered by
the obligation of professional secrecy, in particular information
about undertakings,
their cost
components.

their business

relations or

Article 7

Availability of

information on spectrum allocation and

assignment

Member States shall publish without delay the information as
defined in the Annex and shall keep this information up to
date.

to undertake disclosure where

Paragraph 1 shall be without prejudice to the right of
2.
is
it
national authorities
essential for the purposes of fulfilling their duties,
in which
case such disclosure shall be proportionate and shall have
regard to the legitimate interests of undertakings
in the
protection of their business secrets.

Moreover, Member States shall take measures to develop an
appropriate data base in order to make such information
available to the public in a harmonised way.

3.
Paragraph 1 shall not preclude publication of information
on conditions linked to the granting of rights to use spectrum
which does not include information of a confidential nature.

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Article 11

Report

Article 13

Entry into Force

report on an annual basis to the
The Commission shall
activities
European Parliament
to this
developed and the measures
Decision, on the results of
the work done by the Senior
Official Radio Spectrum Policy Group as well as on future
actions envisaged pursuant to this Decision.

and the Council on the
adopted pursuant

Article 12

Implementation

Member States shall take all measures necessary, by law or
administrative action, for the implementation of this Decision
and all resulting measures.

This Decision shall enter into force on the twentieth day
following that of its publication in the Official Journal of the
European Communities.

Article 14

Addressees

This Decision is addressed to the Member States.

ANNEX

Pursuant to Article 7, and without prejudice to notification obligations under Directives 1999/5/EC and 98/34/EC, the
following information shall be published:

1. Information regarding frequency allocation and assignment includes the following:

I existing allocations and assignments of radio spectrum as well as conditions for the use of radio spectrum,

including where practicable, operating power, emission and any other technical constraints;

I plans for changes to existing allocations for the next two years at least, including relocation plans and review date

of allocation;

I locations and geographical coverage linked to allocation plans;

I service actually operated, if different from allocated, and effective use of spectrum;

I reserved bands for new services.

2. Without prejudice to the provisions of specific legislation relating to communications networks and services,
publication shall include procedures for granting rights to use spectrum, and planned changes to spectrum use
conditions. These shall
include all types of obligations, charges and financial costs related to the use of radio
spectrum,
including administrative charges, usage fees and procedures for assignment of spectrum (including
auctions).