RadiocommunicationsCompliance

Tony GeorgeManager Compliance Governance and PlanningACMA

ACMA/ITU International Training ProgramSpectrum Management Module4-8 September 2006Canberra

Introduction

• Legislation• Compliance governance and operations• Radio transmitter licensing regulation and

compliance• Standards regulation and compliance• Compliance activities

– Compliance monitoring

– Compliance investigations and enforcement

– Industry compliance awareness

Regulation

Radiocommunications is regulated through the Radiocommunications Act 1992

Radiocommunications Act 1992

• All radiocommunications transmitters must be licensed and operated in accordance with licence conditions

• Most transmitters must comply with equipment standards

• Criminal offences for non-compliance

• Range of enforcement options

Compliance Activities

• Awareness (information -preventative)

• Monitoring (inspections and audits)

• Investigation of suspected contraventions

• Interference investigation and conciliation

• Enforcement (warnings, infringements, prosecutions)

Compliance Operations

• Compliance Operations are undertaken in ACMA Regional Offices and Operations Centres

ACMA Regional Presence

• Brisbane– Darwin, Cairns, Townsville, Rockhampton

• Sydney– Coffs Harbour, Newcastle, Canberra

• Melbourne– Wodonga, Hobart, Adelaide

• Perth

Locations

Compliance Governance and Planning

Compliance Activity Plan

• Compliance Activity Plan identifies the proposed compliance activities for year for the following regulatory arrangements:– Cabling

– Standards (Radio device, EMR device, EMC, Telecommunications)

– EMR Installed transmitter

– General Radiocommunications regulatory arrangements (eg Licensing & interference management)

Compliance Resource AllocationCompliance Activities - Hours

Investigations28%

Interference41%

Compliance Monitoring

24%

Awareness7%

Licensing Offences

• Unlicensed Operation– Possession for the purpose of operation of an unlicensed

radiocommunications transmitter

– Maximum Penalty: $165,000 or 2 years prison

• Contravention of Licence Conditions– Maximum Penalty: $11,000

Typical Licensing Offences

• Unlicensed Operation– Usually due to failure to renew the licence

• Breach of Licence Conditions– Overpowered services (particularly broadcasting)

– Breach of service roll out provision (“use it or lose it” obligations)

Other Transmitter Offences

• Causing substantial interference• Interference to vessel or aircraft• Interference to emergency services• Posses or supply or operate a prohibited device

Standards

• Electromagnetic compatibility standards (EMC)– For incidental emitters

• Radio device standards and EMR standards– For intentional transmitters

• Responsibility on manufacturer or importer to ensure compliance

• Device must be labelled with c-tick • Supplier must keep documentation to demonstrate

compliance

Standards Offences

• Supply of devices without labelling with compliance marks

• Supply of devices with compliance marks that do not meet requirements

• Supply of non-standard devices• Operation of non-standard devices

Electromagnetic Compatibility (EMC) Standards

• Incidental emitters• Electrical or electronic devices supplied to the Australian

market• Minimise unintentional emissions and interference to users of

the Radiofrequency Spectrum.• Compliant devices are labelled with the C-Tick• Three compliance levels

Radiocommunications Device Standards

• Intentional transmitters• Two way radios• Short range devices

• Compliant devices are labelled with the C-Tick• Three compliance levels

Electromagnetic Radiation (EMR) Standards

• Applies to transmitters with in-built antennas• Prevent any adverse health effects of transmitter use• Compliant device is labelled with the C-Tick label• Three compliance levels• EMR standards are also imposed on installed transmitters like

base stations through licence conditions

Demonstrating Standards Compliance

To demonstrate compliance a supplier must:• Register with ACMA to use C-Tick mark• Establish sound technical evidence for

compliance with applicable standard/s• Prepare and retain a ‘Compliance Folder’• Label the compliant equipment with C-Tick

mark and supplier identification

• Compliance level 1 (low-risk device)– Description of device– Declaration of conformity

• N.B. labelling of level 1 devices is voluntary• Compliance level 2 (medium-risk device)

– Requirements of Compliance level 1 met plus – Test report (can be from in-house testing facility)

• Compliance Level 3– Test report from an accredited body

Compliance Levels

Compliance Monitoring

• Assesses the degree to which participants in the communications sector comply with the requirements of their regulatory obligations. – Audit and inspection

Compliance Monitoring- Standards

• ACMA selects suppliers who have not been audited in last five years from ACMA supplier database

• Suppliers submit documentation for a sample of products

• ACMA examines the documentation for compliance with the relevant compliance level

Compliance Monitoring - transmitters

• Records Audit for EMR (similar to standards audit process)

• Modest program of inspections of transmitter sites with co-operation of licensees

Interference Resolution

• Formal conciliation provisions – rarely used• Most matters resolved by negotiation• Most interference is accidental.• Enforcement powers occasionally used

Interference Resolution Techniques

• Signal Monitoring– High Frequency Direction Finding (HFDF)

– International HFDF and interference coordination

– International signal reference monitoring (signal quality)

– Spectrum occupancy research (scans)

• Monitoring Stations• Direction Finding

Direction Finding

ACMA Interference Vehicle

Compliance Investigation

• A process undertaken to ascertain the facts about an instance of suspected non-compliance.

Investigation Triggers

Investigations may be initiated:

• Due to interference attributed to a specific device.• Where ACMA receives a complaint • A discrepancy not resolved as part of ACMA’s routine auditing

programs

Investigation Tools

• General powers of inspectors to request documents• Directions to licensees in relation to the installation,

operation and maintenance of transmitters for the prevention of interference

• Search Warrants• Power to enter premises and adjust transmitters in an

emergency• Power to require the operation of a transmitter

Enforcement

• Advice Notice (if there is no clear evidence of an offence)

• Warning Notice (prima facie evidence of a contravention)• Direction to adjust transmitter or installation• Escalated action:

– Infringement Notice

– Licence suspension

– Licence cancellation

– Criminal prosecution

Graduated Approach

ADVICE ON COMPLIANCE OBLIGATIONS

(encouragement and education)

FORMALWARNINGS

INFRINGEMENT NOTICE

DIRECTION TO COMPLY

ADMINISTRATIVE ACTION

(eg. licence suspension or cancellation)

COURTor

TRIBUNAL

The availability of these options depends on the regulatory arrangements

The ACMA may choose any of these enforcement actions at any stage or follow the graduated approach from least to most interventionist

Compliance Awareness

• Ensuring the regulated know their obligations• Can take place:

– Before non-compliance is detected as part of awareness programs. Examples of these include:

• Marine operator certification publicity campaign.

• Education of suppliers about the standards regulatory arrangements.

– After non-compliance is detected as part of the graduated approach to enforcement through the issue of advice notices.

Compliance Metrics

• Efficiency– Measurement of compliance monitoring outputs against targets and

service agreement criteria.– Measurement of efficiency of resource utilisation.

• Effectiveness– Measurement of the effectiveness of outcomes, through detailed trend

analysis of the frequency and type of non-compliance.– Benchmarking

• Feedback– Modify regulatory arrangements and/or compliance strategies

following analysis of effectiveness.

CAMS

Compliance Activities Management System

Contact information

The Australian Communications and Media Authority

Phone: + 61 2 6219 5555

Email: cgaps@acma.gov.au

Internet: www.acma.gov.au