Guidelines for Consultative Processes with Stakeholders

Spectrum management Module: Best Practice Guidelines

Guidelines for Consultative Processes with Stakeholders.

This Guideline describes:

§         options for consultative processes in support of spectrum management activities. These include spectrum planning, authorization, setting of fees and development of technical standards.

§         various formal and informal processes designed to involve the various stakeholders;

§         steps on implementation of the various options;

Stakeholders include operators, consumers (users), industry participants, government agencies and the general public.

Guidelines: Consulting stakeholders allows improved:

§         short-term planning of spectrum usage;

§         assignment of spectrum which better reflect the value of spectrum to the public and improved transparency in decision-making.

Consulting stakeholders is part of a broader discussion on the extent to which industry and other stakeholders might gainfully participate in the efficient usage of spectrum for the greater public good. Action based on involvement of current and future users of all kinds is a cost-efficient way of reducing inefficient spectrum use. By giving those participants a direct stake in the process, it also gives them an interest in intelligent use of spectrum.

Consultative processes occur on at least three distinct levels - international, national and industry-specific. Processes can be formal or informal, as well as permanent or ad hoc. Subjects can include policy and regulatory issues, forecasting of demand, technology application and procedural issues such as channel planning for broadcast frequencies.

The existing mechanisms providing for, or allowing consultation between the spectrum manager and stakeholders can be grouped as follows:

1.      Legislation – Sector legislation creates obligations which include preparation of the National Frequency Allocation Table, (See Section 2.1.4). To prepare that document, the spectrum manager must gather information on current and prospective spectrum usage from the public through public hearings. The spectrum manager will likely also receive petitions or memoranda from the public on spectrum usage, which will contribute to the process.

2.      Regulation - The general requirements for conduct of consultations with public stakeholders are often laid out in national regulations. These may lay out detailed rules of procedure regarding the admission and participation of observers. Even where regulations make no specific provision, the spectrum authority’s general powers are normally entirely sufficient for the conduct of a wide variety of public modes of consultation.

3.      Formal Bodies – The ITU World Radio Conference (WRC) and regional bodies  such as Asia Pacific Telecom (APT), CITEL are examples of official forums for consultation between governments and regulators at the international-regional level. These ITU-lead bodies provide direction for long-term plans.

General Considerations – The consultative approach is one that recognizes the essential contribution of market forces to efficient allocation. Accordingly, the spectrum manager must understand or seek advice on the market forces driving the demand for services. Similarly, the consultative framework should include forecasts and allow contributions on demand, service, and technology direction.  Beyond the harnessing of the market’s efficiency, the consultative process assists the spectrum manager by promoting impartial, transparent and fair outcomes on the use, assignment and licensing of spectrum. It can also contribute to bolster consumer, industry and public support and confidence in the process.

The framework for consultation should thus include processes to inform the public and obtain input from stakeholders.

Improved flows of information - Effective information flows will be vital to the effective operation of the consultative process. The organizing body should ensure speedy dissemination of and improved access to documents.  Improved information dissemination is a major factor in strengthening consultative mechanisms. Users will seek fast and easy access to documents prior to meetings, and access to draft negotiating documents during sessions. In particular, the role of the Internet and electronic mail is key. A Secretariat could consider putting official documents on hypertext-marked language (html) on the Internet (in addition to adobe portable document format (pdf)), as well as develop an electronic mailing list for fast-forwarding of documents. The planning for the acquisition of Spectrum Management Information Systems should take this into account.

Access to Workshops and other Meetings – Participants may be involved in inter-agency workshops and discussion. 

Right of Intervention- Stakeholders should be given a right to make submissions and intervention in the form of memoranda.

External Institutional Mechanisms – Industry associations and the frequency authority provide a basis for receiving insight into public views on spectrum related subjects. Example terms of reference for an industry association or radio advisory board can be found in a related reference document below: Radio Advisory Board of Canada – Terms of Reference.

Related Reference Documents

1)      Consultation on Radio License Fees - Phase I – Industry Canada 2003

2)      Radio Advisory Board of Canada – Terms of Reference (www.rabc.org)

Radio Advisory Board of Canada –Terms of ReferencE

A radio advisory board is a formal mechanism that supports an effective consensus among business and industry on principles pertaining to a business consultative mechanism for spectrum management related issues. The board provides a vehicle for communication, additional needed information, and exchange of views. This would facilitate communication between business and industry stakeholders and the functional units within the regulator.  These activities would complement, not supplant, national or other international input mechanisms. Similarly, the process for consultation would not be an exclusive mechanism that would preclude additional inputs direct from business and industry stakeholders, and that there should be a continued ability for other groups to provide input in their own right as separate entities with special interests.

The process could be embodied in not-for-profit advisory and consultative group called the Radio Advisory Board (RAB).  The principles guiding the RAB would be:

§         Provide stakeholders with a convenient, direct and effective additional channel of communication;

§         Provide the spectrum manager with an effective means of capturing relevant information on technical matters connected with preparing technical standards and spectrum release plans;

§         Enable stakeholders to both volunteer information to and respond to questions from, all bodies established under the spectrum manager, in a timely manner;

§         Enable stakeholders to provide information to all of parties and intergovernmental organizations participating in the spectrum manager process;

§         Enable stakeholders to provide their views on the full range (policy, socio-economic, technological, etc.) of issues being addressed by the spectrum manager;

§         Open to all business, consumer and major users associations who wish to participate and are important users of spectrum.  Membership should be limited to government and private sector user associations within the country and their association should represent individual members.  Incumbents and new entrants should participate through industry associations;

§         This is not a process for negotiation of commitments from business, or for the selection of technology "winners and losers. Instead the information should be used to improve the level of understanding the direction of market and technology developments;

§         Subject to and consistent with national laws and regulations on telecommunications and competition.

The spectrum manager and the RAB would examine ways in which to conduct workshops and working paper preparation and review largely run on the World Wide Web. This would facilitate the flow of information, and work to enhance the use of existing resources. The spectrum manager and industry groups could then place some emphasis on an electronic mail facility provided to all participants.