Consultation on a Renewed Spectrum Policy Framework for Canada and Continued Advancements in Spectrum Management (sf08400)

12. Reference Documents

(Listed in the order in which they appear in this document.)

13. Call for Comments and Plan for the Revision of Other Departmental Policies and Procedures

Part B of this consultation has been prepared to indicate how the Department plans to address a number of related issues in spectrum management over the next five to seven years. Public comment is invited on the proposals, questions contained herein, as well as any other relevant aspects. The issues included in Part B have been presented in the context of the proposal to revise the Framework which is discussed in detail in Part A.

Future action is dependent on the outcome of this process of public consultation. Nevertheless, the decisions made as a result of this consultation will likely lead to two paths of further action. The first path will be the development of a revised Framework based on the decisions made subsequent to this process of public consultation.

A second path will be the further development and implementation of modified policies and system standards, as well as regulatory and operational procedures. Some of these consultations will take place in parallel with the revision of the Framework. Other consultations on specific policies and standards will follow the review of the issues raised in this consultation. All of these further actions will be subject to public consultation, as appropriate.

Issued under the authority
of the Radiocommunication Act

Larry Shaw
Director General
Telecommunications Policy Branch

Robert W. McCaughern
Director General
Spectrum Engineering Branch

Jan Skora
Director General
Radiocommunication and Broadcasting
Regulatory Branch

Appendix A — Extract of Core Objectives from 2002 Framework

To promote and support the orderly development and efficient operation of radiocommunication systems and services to provide economic, social and cultural benefits for Canadians while meeting Canada's sovereignty and security needs. In carrying out this function, the Department will respect the government's Regulatory Policy ensuring that federal government intervention is justified in those instances where regulation is seen as the best alternative and that adverse impacts on the economy are minimized.

To plan and manage the utilization of the spectrum resource in accordance with legislative and public policy objectives and international agreements by the powers conferred by theRadiocommunication Act and, with due regard to the objectives of the Telecommunications and Broadcasting Acts, through continuing review and improvement of the spectrum management process.

To further improve efficient and optimum use of the spectrum resource through adoption of advanced spectrum allocation, management techniques and licensing processes based on operational requirements and technical and economic viability.

To ensure flexibility and adaptability and ease of access to the spectrum resource in response to technological advances, and economic, social and market factors.

To ensure Canadian interests are protected when harmonizing and coordinating Canada's spectrum policies and utilization with other countries, regional and international organizations and with treaty obligations, including those of the ITU.

To support and promote innovation, research and development in new radiocommunication techniques and spectrum-based services and applications.

To coordinate and establish well balanced national spectrum and radiocommunication policies and plans by widely consulting with all interested parties and the general public.

Appendix B — Extract of Policy Guidelines from 2002 Framework

Policy Guideline 1 — Spectrum Resource Principles

The Department will apply these basic spectrum resource principles as an overall guidance for good planning and management of the radiofrequency spectrum. These principles will be adapted as necessary to meet evolving requirements.

Allocation of Bands to Radio Services — Bands of spectrum are allocated in Canada to particular radio services to accommodate radiocommunication systems with compatible coexistence characteristics, serving the largest number of users possible. These domestic allocations are normally a subset of the International Frequency Allocations. The Department will employ flexibility in their application as appropriate.

Designation to Usage — To promote efficient and optimal utilization by grouping together systems of similar characteristics, spectrum is designated on the basis of use, rather than type of user. The Department will provide licensees the flexibility to adapt their service offerings to meet demand within the practical limits of the allocation and designation.

Interference Mitigation and Frequency Coordination — The effects of interference are minimized or managed to acceptable limits. Coordination is normally required for licensees such as to permit service availability to users in adjacent service areas. The Department encourages the holders of area licences to coordinate amongst themselves.

Conformance to Standards and Frequency Plans — Conformance to common standards and frequency plans are normally required to ensure orderly development, to avoid harmful interference and to facilitate operational compatibility of radio systems, both in Canada and in the global market. Coexistence of multiple standards in certain frequency bands may be permitted.

Appropriate Use of Spectrum — The need and the appropriateness of use of the spectrum must generally be evident to ensure maximum utilization of resources.

Timely Release of Spectrum - The Department's intent is to release spectrum for licensing in a timely manner so that it can be used and produce benefits for all Canadians. The Department will continue to forecast when, and in what situations, additional spectrum and satellite orbital positions will be released. Spectrum will not be withheld, except when specific policy issues advocate it.

Orderly Growth of Radiocommunications — The proposed usage of the spectrum must be in harmony with the overall core objectives of spectrum usage in Canada.

Fostering of New Technologies and Innovation — The use of emerging technologies and innovation in service offerings which enhances the use of the spectrum resource is encouraged.

Application of Economic Principles — Since the publication of the Frameworkin 1992, the Department has increasingly incorporated economic principles and a reliance on market forces in the management of spectrum. Spectrum managers will strive to apply the most appropriate economic principles, as well as, policy, regulatory, technical and operational principles, to maximize the benefits to society through the use of the spectrum resource. They will manage the spectrum in a manner that supports fair competition, using market forces to capture resource rents where they exist and recovering spectrum management costs where such rents do not exist.

Policy Guideline 2 — Spectrum Resource Allocation

The radiofrequency spectrum, as a national public resource, will be allocated and planned to advance public policy objectives, while ensuring a balance between public and private radiocommunication use to benefit Canadians. The reallocation of, and access to, the spectrum resource will be adapted to meet changing user requirements, to provide spectrum that best meets the needs of the user and to facilitate the deployment of new and innovative services.

Policy Guideline 3 — Priority Support Areas

Radiocommunication systems vital to sovereignty and national security, National Defence, law enforcement, public safety and emergency will be granted high priority and support in the access and use of the radiofrequency spectrum.

Policy Guideline 4 — Socio-economic Factors

Socio-economic factors will be an important component in all aspects of spectrum policy and management, particularly within the scope of the Radiocommunication Act, where the Minister may give regard to the policy objectives of the Telecommunications Act.

Policy Guideline 5 — Spectrum Efficiency

Due regard will be given to efficient spectrum use in spectrum policy formulation and spectrum management practices, particularly when market forces do not align with certain important public interests.

Policy Guideline 6 — Spectrum Sharing

Spectrum sharing among various services and users based on appropriately defined criteria and conditions is required in order to satisfy the growing needs for radiofrequency spectrum resources. The Department will continue to promote spectrum sharing while considering the impact on spectrum efficiency and operational requirements of the services.

Policy Guideline 7 — Systems or Services Displacement

The Department will reallocate spectrum only when there is a compelling requirement to do so and will continue to provide reasonable notice to inform users of any conditions or circumstances which could result in displacement of services or systems. There is no liability or responsibility or intent by the Department to financially compensate spectrum users being displaced.

Policy Guideline 8 — Licensing Process

The use of the First-Come, First-Served licensing process will continue where the Department believes spectrum supply is adequate to meet demand or a reasonable accommodation of all applications can be managed.

In situations where there is, or could be, excess spectrum demand relative to supply or there is a need to pursue certain telecommunication policy objectives, a competitive licensing process, using either a comparative selection or auction licensing approach, will be initiated.

The Department will continue to ensure the necessary general policies are in place to effectively respond to evolving public policy objectives in telecommunications and broadcasting, and to protect existing users and services from harmful interference. Furthermore, the Department will continue to authorize radiocommunication system trials and new technology experiments.

As well, once radio systems have been authorized, the Department may ensure that these systems are implemented within a reasonable time and radio frequencies are efficiently utilized. In order to ensure that the radio system is implemented in a timely fashion, the Department may establish as terms and conditions of licence a reasonable period for radio station installation to take place and service to begin.

Policy Guideline 9 - Licence Fees

Licence fees will be based on spectrum management costs where resource rents do not exist. When resource rents do exist, fees will ensure a fair economic return to the public in addition to recovering spectrum management costs.

Policy Guideline 10 — Research and Development

The Department recognizes R&D as necessary for the maintenance and development of the radiocommunication infrastructure and products and services in Canada, and to support a strong Canadian industry. The Department will continue to establish radiocommunication R&D requirements whenever appropriate. These requirements will be developed in consultation with industry prior to licensing.

Policy Guideline 11 — Radiocommunication Standards

Standards and conformity assessment procedures facilitate compatibility and interoperability, avoid interference and promote efficient spectrum management and utilization. The objective is to align Canadian standards and conformity assessment procedures to the greatest extent possible with international standards. Harmonization of radio system standards is an important consideration in this process.

Mandatory standards and conformity assessment procedures should be compatible with international agreements and arrangements to which Canada is a signatory and they should include only those requirements which can be demonstrated to be necessary for good spectrum management.

Policy Guideline 12 — Spectrum Resource Planning

Planning of spectrum resources will continue to be a prime activity of the Department to support the process of allocating adequate spectrum for various existing and new services. The Department will publish on a regular basis a forecast of spectrum resources and associated time frames of making additional spectrum and satellite orbital positions available for the benefit of all Canadians.

The Department will continue to exercise a leadership role in planning and consultation at a national and international level to judiciously plan the spectrum resource.

Policy Guideline 13 — Public Consultation

The Department will continue to use the most modern means to disseminate and collect information and ensure that appropriate mechanisms are in place to allow interested parties to provide input to the Department on spectrum matters.

Policy Guideline 14 — International

The Department will continue to exercise leadership and commitment to Canadian involvement in regional and international spectrum matters, including those involving national security and economic/market considerations. The marketing of Canadian expertise and products will be done in concert with private industry.

Policy Guideline 15 — New Approaches for Spectrum Policy Development and Spectrum Management

The Department will encourage new approaches to spectrum policy development and spectrum management, and will endeavour to assess these on a continuing basis and implement where warranted.