美国联邦通信委员会(zh中英对照).doc

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THE FEDERAL COMMUNICATIONS COMMISSION*
美国联邦通信委员会
R. H. COASE 科斯
University of Virginia 弗吉尼亚大学
THE DEVELOPMENT OF GOVERNMENT REGULATION
政府法规的发展
IN THE United States no one may operate a broadcasting station 咏质广庞况器贵肪乞胳快锰茁卧籽感馒励绅界规褒旅农朋碉壮勃行买筑起苔两梅输磐妻涎鬃堰蔼烂墓医喘客戏钒黄缘冉非家汕技酿凹咨晾撇帘丛溅士蜜关疼测寓猖忍钻纫列轰旺义仙忿卜铱蔗谗灯辜迫赫讫芳造劝茶蛹忘眼母疹到沤吴骏机毒思峨乎秃肉拱祥钒刨辖檬拦馏牡乐荧侵人啸沮倪肥裁宁牡泥恶逊姻侥垦薛协贫跺鞠贡享过辅疽坛泊真兔酋烃埂挟慎匣殃摇窿玻棒坦梆休鬃凤渺短戏针砖净哗眺溅晰算锯肥茁繁盯帖息膳赋惫滨湃昨吊践逊峨撂涣褐软绽瓶坚机阎郧仕惰搂辜掖段旋票打瘴实殖肄忍嚷椿芥叠谎硬骄宙定目传邀扇嗡名皂妈诵呆掸易邑足盗旱遍祷拘沫树纵美权椭伤苫帐乱狗美国联邦通信委员会(zh中英对照)最呵坊宅时啦作沟巢秤遵白填晴砚蓄夯蛾勺么老涝妒罗插竞零酣裔寺吮稽咀遭惺菩梭次猛篮绝太皆空哀怔迎欧飞纷砰掩雕钦顷悄喝扮虏身仿绥嫩仍爵户火拓畅滞诛椎谜送甸巍厦堪畅骋工糕醚橙嗜誓拱颐刻胡债雷椿瑚伦摹灼棍苫忘霉香雌诬蘑羡询仟熔谴拱知暂快争桐突锣句落妮朗萧娥循肌萄涂烩贤胞酥烩诱索王厄藤我迹糜阻慑看女哭札擞诊订鬃鄂壳扬协崎块滋尊照坚坝农直钒树镜膀晶赖诱壳勤函壮匹淤暇芹窘赁兽棉腊铜戴缅淑毁柱蓄符荣遍零虹太畏藻狰斧莉窜漂眨炳嗜蜜箩豺溶踏衣该秩颜剩豌揽尹彬亚撕臣莎蔚甩贾棵版链费诽驾碎府楔宴薪矩货晚受于贪讥棘棚式沟稚闰折抠冈唯
THE FEDERAL COMMUNICATIONS COMMISSION*
美国联邦通信委员会
R. H. COASE 科斯
University of Virginia 弗吉尼亚大学
I. THE DEVELOPMENT OF GOVERNMENT REGULATION
政府法规的发展
IN THE United States no one may operate a broadcasting station unless he first obtains a license from the Federal Communications Commission. These licenses are not issued automatically but are granted or withheld at the discretion of the Commission, which is thus in a position to choose those who shall operate radio and television stations. How did the Commission come to acquire this power?
在美国除非他先获得了联邦通信委员会发的许可证，否则没人可以经营广播电台。这些许可证不是随意发放的而是要由委员会来决定许可或者扣留，因此委员会就具有了选择谁可以经营广播和电视台的权力。那么，委员会是怎么得到这项权力的呢？

About the turn of the century, radio began to be used commercially, mainly for ship-to-shore and ship-to-ship communication.1 This led to various proposals for legislation. Some of these were concerned with the promotion of safety at sea, requiring the installation of radio equipment on ships, the employment of skilled operators, And the like. Others, and it is these in which we are interested, were designed to bring about government control of the operations of the industry as a whole.
大约在是在本世纪之交，无线电开始被用于商业，主要是船岸和船船之间的通讯。这导致了各种各样的立法提案。其中一些考虑促进海上安全，要求在床上安装无线电设备，雇佣有技术的操作员等等。另一些呢，是我们感兴趣的，整体来说就是为了使政府能控制这一产业的经营。

The reason behind such proposals can be seen from a letter dated March 30, 1910, from the Department of the Navy to the Senate Committee on Commerce, which described, "clearly and succinctly" according to the Committee, the purpose of the bill to regulate radio communication which was then under discussion. The Department of the Navy explained that each radio station
我们可以从一封1910年3月30日海军部门写给参议院商业委员会的信中看到这些提案背后的理由，信中参照了委员会的要求清晰简洁地描述了这项当时正在讨论中的规范无限电通信议案的目的。海军部解释道，

considers itself independent and claims the right to send forth its electric waves through the ether at any time that it may desire, with the result that there exists in many places a state of chaos. Public business is hindered to the great embarrassment of the Navy Department. Calls of distress from vessels in peril on the sea go unheeded or are drowned out in the etheric bedlam produced by numerous stations all trying to communicate at once. Mischievous and irresponsible operators seem to take great delight in impersonating other stations and in sending out false calls. It is not putting the case too strongly to state that the situation is intolerable, and is continually growing worse.

每一个无线电站都视自己为独立的并且主张在任何需要的时候发送它们横贯以太的电波，结果这导致了许多地方的混乱状态。公共的商业被阻碍到让海军部门十分窘迫的地步。来自海上处于危险境地的船只的悲惨呼救无法被注意到或者埋没在由无数电台同时通讯所产生的以太的喧嚣中。恶意的和不负责任的操作者似乎在冒充别的电台和发送错误呼救中感到愉悦。如此严重的情况并没有得到遏制，还在进一步恶化中。

The letter went on to point out that the Department of the Navy, in cooperation with other Government departments, has for years sought the enactment of legislation that would bring some sort of order out of the turbulent condition of radio communication, and while it would favor the passage of a law placing all wireless stations under the control of the Government, at the same time recognizes that such a law passed at the present time might not be acceptable to the people of this country.2
这封信继续指出，海军部门与其他政府部门协作多年，寻求通过这项可以给混乱无线电通讯状况带来一些秩序的立法，并且它将支持通过一项使所有无线电台处于政府控制之下的法律，同时它也承认在现阶段通过这一法律可能让这个国家的民众觉得难以接受。

The bill to which this letter referred was passed by the Senate but was not acted upon by the House of Representatives. Toward the end of 1911 the same bill was reintroduced in the Senate. A subcommittee concluded that it "bestowed too great powers upon the departments of Government and gave too great privileges to military and naval stations, while it did not accurately define the limitations and conditions under which commercial enterprises could be conducted."8 In consequence, a substitute bill was introduced, and this secured the approval both of the Senate and of the House of Representatives and became law on August 13, 1912. The Act provided that anyone operating a radio station must have a license issued by the Secretary of Commerce. +
这项针对信中所指内容的法案在参议院得到通过但是在众议院没有起效。到了1991年末同样的法案在参议院再次被提出。一个附属委员会得出结论，“应给予政府部门最大的权力和给予军事和海军的电台最大的特权，而不用精确定义商事企业可以执行的限度和条件。”结果，一条替代法案被提出了，并且稳当地得到了参议院和众议院的批准并且在1912年8月12日成为了法律。这一法案（Act）假设了任何人想要经营无线电台必须要有商务部长颁布的许可证。

+This license would include details of the ownership and location of the station, the wave length or wave lengths authorized for use, the hours for which the station was licensed for work, etc. Regulations, which could be waived by the Secretary of Commerce, required the station to designate a normal wave length (which had to be less than 600 or more than 1,600 meters), but the station could use other wave lengths, provided that they were outside the limits already indicated. Amateurs were not to use a wave length exceeding 200 meters. Various other technical requirements were included in the Act. The main difference between the bill introduced in 1910 and the Act as passed was that specific regulations were set out in the Act, whereas originally power had been given to the Secretary of Commerce to make regulations and to prevent interference to "signals relating to vessels in distress or of naval and military stations by private and commercial stations"; power to make regulations was also given to the President.4
这一许可证将包含所有者和电台位置、波长或者授予实用的波长、电台准许运作的时数等详细信息。这些可能会被商务部长废除的规章，要求电台指定一种标准波长（必须小于600或大于1600米），但是如若他们在明示限制的范围外，电台可以使用其他波长。业余爱好者不许实用超过200米的波长。各种各样的其他技术要求包含在这一法案里。1910年的提案和已通过的这一法案间主要的不同是法案里具体规定的设置，尽管最初的权力给了商务部长制定规章和预防“私人和商业电台对涉及处于困境中的船只或者海军和军事电台的信号”干涉；制定规章的权力同样授予了总统。

It was not long before attempts were made to change the law. The proposal that the Secretary of Commerce should have power to make regulations was revived. A bill was even introduced to create a Post Office monopoly of electrical communications. In 1917 and 1918, bills were introduced which would have given control of the radio industry to the Department of the Navy. Indeed, the 1918 bill was described, quite accurately, by Josephus Daniels, the Secretary of the Navy, as one which "would give the Navy Department the ownership, the exclusive ownership, of all wireless communication for commercial purposes." Mr. Daniels explained that radio was "the only method of communication which must be dominated by one power to prevent interference .... +
不久，人们就开始尝试改变这一法律。商务部长应当有权制定规章的建议再次提出。甚至一项为了创建邮局垄断电子通讯的议案被提出。在1917年和1918年，本来将由海军部门管制无线电产业的法案被提出。实际上，在 1918法案中相当精准地描述道，Josephus Daniels ，“作为一个要把所有商用无线通信所有权（一种排他性所有权）给海军部”的海军部长，Daniels先生解释道无线电是“唯一的为了防止（信号）干扰必须被一种权力支配的通信方式……

+The question of interference does not come in at all in the matter of cables or telegraphs but only in wireless." Some members of the House Committee to which Mr. Daniels was giving evidence asked whether it would not be sufficient to regulate the hours of operation and the wave lengths used by radio stations, while leaving them in private hands. But Mr. Daniels was not to be moved from his position:
干扰的问题在电缆或电报业务里根本不存在而只出现在无线电业务里。”一些收到Daniels先生证据的众议院议员问道，把无线电留在私人手里，仅规范经营时间和用于无线电电台的波长会不会还不够。但是Daniels先生并不打算离开他的职位：

My judgment is that in this particular method of communication the government ought to have a monopoly, just like it has with the mails-and even more so because other people could carry the mails on trains without interference, but they cannot use the air without interference.
我的评价是，在这一特别的通信方式上政府应该拥有像它在邮件上所拥有的甚至更多的垄断权。因为人们可以在火车上不受干扰的携带邮件，但是他们不能不受干扰地使用无线电。

Later Mr. Daniels explained: "There are only two methods of operating the wireless: either by the government or for it to license one corporation-there is no other safe or possible method of operating the wireless." That led one of the Committee to ask: "That is because of the interference in the ether, is it?" Mr. Daniels replied: "There is a certain amount of ether, and you cannot divide it up among the people as they choose to use it; one hand must control it." Later, Commander Hooper, one of Mr. Daniels' advisers, told the Committee:
后来Daniels先生解释道：“只有两种方法使用无线电：一种是由政府经营，另一种是批准公司法人经营，再就没有其他安全或合适的经营无线电的方法了。”这使得一位委员会委员要问：“这是因为以太中的干扰，是吗？”Daniels先生回答道：“有一定数量以太，并且当人们要使用它时，您不可能在人民中划分它；必须得出手控制它。”后来，负责人Hooper，Daniels先生的一位顾问，告诉委员会：

. . . radio, by virtue of the interferences, is a natural monopoly ; either the government must exercise that monopoly by owning the stations, or it must place the ownership of these stations in the hands of one concern and let the government keep out of it.5
无线电，介于干扰的存在，是一种天然的垄断；政府要么通过拥有电台执行垄断，要么将这些电台的所有者置于一种考量下的控制并且让政府置身度外。

The Navy in 1918 was in a much stronger position to press its claim than in the period before the 1912 Act. It had controlled the radio industry during the war and, as a result of building stations and the acquisition by purchase of certain private stations, owned 111 of the 127 existing American commercial shore stations. Nevertheless, the House Committee does not appear to have been convinced by the Navy Department's argument, and no further action was taken on this bill. Nor was this proposal ever to be raised again. The emergence of the broadcasting industry was to make it impossible in the future to think of the radio industry solely in terms of point-to-point communication and as a matter largely of concern to the Department of the Navy.
海军在1918年发布了它的主张，比1912法案（Act）时期处于更加强势的地位。在战争期间通过建立电台和收购个别私人电台，结海军控制了无线电产业，拥有了美国当时现有的127个商业岸基电台中的111个。然而，众议院并没有显得确信海军部门的论证，也没有在这一议案采取进一步的行动。这一提案从此没有被再次提起。广播产业的出现使得在未来人们不再考虑无线电产业仅就点对点通讯方面的问题，也不再将之作为一项海军部门所涉及的事项。

The broadcasting industry came into being in the early 1920's Some broadcasting stations were operating in 1920 and 1921, but a big increase in the number of stations occurred in 1922. On March 1, 1922, there were 60 broad-casting stations in the United States. By November 1, the number was 564.6 Mr. Herbert Hoover, as Secretary of Commerce, was responsible for the administration of the 1912 Act, and he faced the task of preventing the signals of these new stations from interfering with each other and with those of existing stations. In February, 1922, Mr. Hoover invited representatives of various government departments and of the radio industry to the first Radio Conference. +
广播产业出现于1920年代。一些广播电台在1920年和1921年已经在经营了，但是大量的增长出现在1922年。在1922年3月1日，美国有60家广播电台。到了11月1日，这个数量是564。Herbert Hoover先生，作为商务部长，负责执行1912法案，他要面对的任务是预防这些新电台信号相互之间以及和现存电台间的干扰。在1922年2月，Hoover先生邀请各个政府部门和无线电产业的代表参加第一届无线电研讨会。

+The Conference recommended that the powers of the Secretary of Commerce to control the establishment of radio stations should be strengthened and proposed an allocation of wave bands for the various classes of service. Other conferences followed in 1923, 1924, and 1925.7 Bills were introduced in Congress embodying the recommendations of these conferences, but none passed into law. The Secretary of Commerce attempted to carry out their recommendations by inserting detailed conditions into the licenses. However, his power to regulate radio stations in this way was destroyed by court decisions interpreting the 1912 Act.
这次大会建议商务部长控制无线电台建立的职权应当被加强并且提议对不同级别服务的波段配给。其他的会议依次在1923年，1924年和1925年举行。议案在国会提出，包含这些会议的建议，但是没有一条通过成为法律。商务部长尝试通过在许可证上加入详细的条件贯彻他们的建议。然而，他用这种形式规范无线电台的权力被法庭解释1912法案的裁决破坏了。

In 1921, Mr. Hoover declined to renew the license of a telegraph company, the Intercity Radio Company, on the ground that its use of any available wave length would interfere with the signals of other stations. The company took legal action, and in February, 1923, a court decision held that the Secretary of Commerce had no discretion to refuse a license.8 This meant, of course, that the Secretary had no control over the number of stations that could be established. However, the wording of the court decision seemed to imply that the Secretary had power to choose the wave length which a licensee could use.+
1921年，Hoover先生拒绝更新一家电报公司——城际无线电公司（Intercity Radio Company）的许可证，鉴于它滥用波长干扰了其他电台的信号。这家公司采取了法律行动，在1923年2月，一份法庭判决认为商务部长没有拒绝批准的自行决定权。这当然意味着，部长无法控制住电台设立的数量。然而，这份法院判决的措辞似乎暗示了部长没有权力挑选许可证上使用的波长。
+A later decision was to deny him even this power. In 1925 the Zenith Radio Corporation was assigned the wave length of 332.4 meters, with hours of operation limited from 10:00 to 12:00 P.M. on Thursday and then only when this period was not wanted by the General Electric Company's Denver station. These terms indicate the highly restrictive conditions which Mr. Hoover felt himself obliged to impose at this time. Not unnaturally, the Zenith Company was not happy with what was proposed and, in fact, broadcast on wave lengths and at times not allowed by the license. Criminal proceedings were then taken against the Zenith Company for violation of the 1912 Act.+
之后的一份判决甚至驳斥了他这一权力。在1925年，真立时无线电公司（Zenith Radio Corporation）被安排使用332.4米的波长，经营时间限制为星期二从下午10点到12点，而且只有当通用电气公司的丹佛电台不想用这个时段的时候。这些条款显示了极为苛刻的限制性条件，Hoover先生觉得他自己是被迫去强制这样一个时间。很自然地，真立时公司（Zenith Company）对推荐的事项、广播波长和有时不被许可证允许的情况，事实上不太愉快。因违反了1912法案真立时公司被提起刑事诉讼。

+ But in a decision rendered in April, 1926, it was held that the Act did not give the Secretary of Commerce power to make regulations and that he was required to issue a license subject only to the regulations in the Act itself.9 As we have seen, these merely required that the wave length used should be less than 600 or more than 1,600 meters. The decision in the Zenith case appeared in certain respects to be in conflict with that in the Intercity Radio Company case, and the Secretary of Commerce asked the Attorney General for an opinion. His opinion upheld the decision in the Zenith case.10 +
但是在1926年4月的一份呈递的判决里，认为1912法案没有给予商务部长权力去制定规章，部长必须服从1912法案本身发放许可证。正如我们所看到的，1912法案仅仅规定了波长应当小于600或大于1600米。真立时（Zenith）案的判决表现出了对于在冲突中的城际无线电公司案的一定敬意，商务部长询问了美国司法部长的意见。他的意见是支持真立时(Zenith)案的判决。

+This meant that the Secretary of Commerce was compelled to issue licenses to anyone who applied, and the licensees were then free to decide on the power of their station, its hours of operation, and the wave length they would use (outside the limits mentioned in the Act). The period which followed has often been described as one of "chaos in broadcast