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U.S. Regulatory Structure

Tomas E. Gergely

Summer School on Spectrum Management

and Radio AstronomyGreen Bank, June 2002

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ion U.S. Telecommunications

Authority • The 1934 Telecommunications Act Provides for Regulation of

Telecommunications in the U.S.A. Establishes Dual Structure, Unique to the U.S.A.:

Government Telecommunications Functions Delegated to the Assistant Secretary of Commerce and the National Telecommunications and Information Agency (NTIA)

NTIA Is Assisted by the Interdepartment Radio Advisory Committee (IRAC)

Private Sector Telecommunications Regulated by the Federal Communications Commission (FCC)

• The Dept. of State Has Ultimate Authority in Any Formal U.S. Representation Outside the U.S.

• Spectrum policy regarding scientific research is contained in the US Government Telecommunications Policy statement:

> “The United States is vitally dependent upon the use of the radio spectrum to carry out national policies and achieve national goals.”…..

> “Specifically, in support of national policies and the achievement of national goals, the primary objectives are:

…i) to promote scientific research, development and exploration..”> “ Priorities among these areas of interest are normally determined on a case by-case

basis, and are dependent upon many factors, including past and foreseen political and administrative decisions.”

(Manual of Regulations and Procedures for Federal Radio Frequency Management, Chapter 2.1)

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ion NTIA - Functions

• Serves as the President's principal advisor on telecommunications policies

• Develop (in cooperation with the Federal Communications Commission) a comprehensive plan for management of all electromagnetic spectrum resources, including jointly determining the National Table of Frequency Allocations

• Develop (in coordination with the Secretary of State and other interested agencies) plans, policies, and programs which relate to international telecommunications issues, conferences, and negotiations

• Assign frequencies to radio stations belonging to and operated by the United States

• Acquire, analyze and disseminate data and perform research on the description and prediction of electromagnetic wave propagation and the conditions which affect propagation, on the nature of electromagnetic noise and interference, and on methods for the more efficient use of the electromagnetic spectrum for telecommunications purposes

• Conduct research and analysis of radio systems characteristics, and operating techniques affecting the utilization of the electromagnetic spectrum, in coordination with specialized, related research and analysis performed by other Federal agencies in their areas of responsibility

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ion The Interdepartment Radio Advisory

Committee (IRAC)The IRAC Advises NTIA’s Office of Spectrum Management on the Federal

Government Agencies Spectrum Requirements, and Related Issues Meets Twice Monthly, Chaired by the Deputy Assistant Administrator,

NTIA/OSM

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IRAC

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SPSAnalyzes Major Systemsfor Spectrum Availability

FAS Deals with Frequency

Assignments and Licenses

Ad-Hoc Committees on Specific Issues

(e.g. WRC Implementation)

IRAC Spectrum Issues and

Policies

RCS Government

Preparations for WRCs

IRAC Structure

TSCTechnical Subcommittee

TSCTechnical Issues and

Standards

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An IRAC Agenda Doc. 32416/1

Agenda - 1729th - Meeting - May 14, 2002. Room 1605, Herbert C. Hoover Building 1401 Constitution Avenue, N.W. Washington D.C. 20230 09:30 a.m. 1. Chairman’s Comments 2. Doc. 32401/1, Draft Summary Minutes - 1708th Meeting - May 8, 2001. (Tabled one

meeting April 9, 2002) 3. Doc. 32402/1, Draft Summary Minutes - 1709th Meeting - May 22, 2001. (Tabled one

meeting April 9, 2002) 4. NTIA Status Report: IMT 2000 (Slye). 5. NTIA Status Report: Cost Reimbursement (Hurt) 6. Doc. 32351/1, NTIA Mandatory Rules for Frequency Band or Geographic Relocation of

Federal Spectrum-Dependent Systems. (Tabled one meeting April 9, 2002.) 7. NTIA Status Report: Ultra Wideband Issues (Roosa). 8. Doc. 32187/6, Draft FCC Report and Order Revising Part 15 of the Commission's Rules

Regarding Ultra-Wideband Transmission Systems, ET Docket 98-153. (Tabled one meeting April 9, 2002.)

9. * Doc. 32187/7, FCC First Report and Order Revising Part 15 of the Commission's Rules

Regarding Ultra-Wideband Transmission Systems, ET Docket 98-153. 10. Doc. 32330/1, NTIA (Hatch) Letter to FCC (Thomas) Response to Draft FCC First Report

and Order Revising Part 15 of the Commission's Rules Regarding Ultra-Wideband Transmission Systems. (Tabled one meeting April 9, 2002.)

to GPS Receivers from Ultra-Wideband Transmission Systems. (Tabled pending recall, March13, 2001)

1. Doc. 31840/1, NTIA Special Publication 01-45, Assessment of Compatibility BetweenUltra-Wideband (UWB) Systems and Global Positioning System (GPS) Receivers. (Tabled pending recall, March 13, 2001)

2. Doc. 32189/1, NTIA (Roosa) E-Mail Regarding FCC's Ultra-Wideband Proceedings, ETDocket 98-153. (Tabled pending recall, November 14, 2001)

3. Doc. 32190/1, State Department's Request for Extension of Time to Prepare Comments tothe FCC Draft Report and Order on Ultra-Wideband. (Tabled pending recall, November14, 2001)

4. Doc. 32191/1, U.S. Department of Transportation Comments to FCC’s Draft Report andOrder Revising Part 15 of the Commission's Rule Regarding Ultra-WidebandTransmission Systems, ET Docket 98-153. (Tabled pending recall, November 14, 2001)

5. Doc. 32192/1, NASA Comments to FCC's Draft Report and Order Revising Part 15 of theCommission's Rules Regarding Ultra-Wideband Transmission Systems, ET Docket98-153. (Tabled pending recall, November 14, 2001)

6. Doc. 32198/1, Department of Commerce Comments to FCC’s Draft Report and OrderRevising Part 15 of the Commission's Rules Regarding Ultra-Wideband TransmissionSystems, ET Docket 98-153. (Tabled pending recall, November 27, 2001)

7. Doc. 32211/1, U.S. Department of Transportation Comments to FCC’s Draft Report andOrder Revising Part 15 of the Commission's Rule Regarding Ultra-WidebandTransmission Systems, ET Docket No. 98-153. (Tabled pending recall, December 11,2001)

8. Doc. 32212/1, Department of Energy Comments to FCC’s Draft Report and OrderRevising Part 15 of the Commission's Rules Regarding Ultra-Wideband TransmissionSystems, ET Docket 98-153. (Tabled pending recall, December 11, 2001)

9. Doc. 32215/1, Secretary of Commerce (Evans) Letter to Chairman of the FederalCommunications Commission (Powell) Comments on the FCC's Draft Report and OrderRevising Part 15 of the Commission's Rule Regarding Ultra-Wideband TransmissionSystems, ET Docket No. 98-153. (Tabled pending recall, December 11, 2001)

10. Doc. 32220/1, DoD Comments to FCC's Draft Report and Order Revising Part 15 of theCommission's Rules Regarding Ultra-Wideband Transmission Systems, ET Docket98-153.(Tabled pending recall, December 11, 2001)

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An IRAC Agenda (cont.)Revising Part 15 of the Commission's Rules Regarding Ultra-Wideband Transmission Systems,

ET Docket 98-153. (Tabled pending recall, December 11, 2001)

1. Doc. 32284/2, FCC Second Report and Order and Further Notice of Proposed RuleMaking Regarding the 4.9 GHz Band Transferred From the Federal Government, WTDocket No. 00-32. (Tabled one meeting, April 9, 2002.)

2. Doc. 32298/1, Coast Guard Memorandum Regarding Terrestrial Operations in the MSSUpper and Lower "L" Bands: FCC IB Docket 01-185, ET Docket 95-18. (Tabled onemeeting, April 9, 2002.)

3. Doc. 32353/1, Draft FCC Second Report and Order (Proceeding Terminated) Regardingthe 1998 Biennial Regulatory Review Amending Part 18 of the Commission's Rules toUpdate Regulations for RF Lighting Devices, ET Docket No. 98-42. (Tabled onemeeting, April 9, 2002.)

4. Doc. 32376/1, FAS Memorandum Regarding Electronic Dissemination of FASDocuments. (Tabled one meeting, April 9, 2002.)

5. Doc. 32397/1, IRAC Memorandum Regarding Electronic Dissemination of Documents tothe IRAC its Subcommittees and Ad Hoc Groups. (Tabled one meeting, April 9, 2002.)

6. Doc. 32337/1, Wireless Ethernet Compatibility Alliance Petition for Rulemaking to PermitUnlicensed National Information Infrastructure (UNII) Devices to Operate in the 5.470 -5.725 GHz Band, RM-XXXX. (Tabled to the April 9, 2002 meeting March 12, 2002)

7. Doc. 32251/1, NTIA (Crandall) Letter Regarding Updating Downgrading Instructions forthe IRAC Supplement to the Manual of Regulations and Procedures for Federal RadioFrequency Management. (Tabled to the April 23, 2002 meeting February 26, 2002)

8. * Doc. 32410/1, Draft FCC Notice of Proposed Rule Making; Service Rules for Use ofthe 71 - 76, 81 - 86, and 92 - 95 GHz Bands, Gen Docket No. 02-XX; LoeaCommunications Corporation Petition for Rulemaking, RM-10288.

9. * Doc. 32413/1, Draft NTIA Comments to FCC Draft Notice of Proposed Rule Making;Service Rules for the Use of the 71 - 76, 81 - 86, and 92 - 95 GHz Bands, Gen DocketNo. 02-XX; Loea Communications Corporation Petition for Rulemaking, RM-10288.

1. Doc. 31632/2, FCC Notice of Proposed Rule Making Regarding the Reallocationof the 216-220 MHz, 1390-1395 MHz,1427-1429 MHz, 1429-1432 MHz,1432-1435 MHz, 1670-1675 MHz, and 2385-2390 MHz Government TransferBands, Et Docket No. 00-221 RM-9267 RM-9692 RM-9797 RM-9854. (Tabledpending recall February 27, 2002)

2. * Doc. 32411/1, Draft FCC Report and Order Amending Parts 1, 2, 27, and 90 ofthe Commission's Rules to License Services in the 216 - 220, 1390 - 1395, 1427 -1429, 1429 - 1432, 1432 - 1435, 1670 - 1675, and 2385 - 2390 MHz GovernmentTransfer Bands, WT Docket No. 02-8 RM-9267 RM-9692 RM-9797 RM-9854RM-9882.

3. * Doc. 32302/2, FCC Report and Order and Further Notice of Proposed RuleMaking Regarding the Establishment of Policies and Service Rules for theNon-Geostationary Satellite Orbit, Fixed Satellite in the KU-Band, IB Docket01-96 FCC 02-123.

4. * Doc. 32414/1, Draft NTIA (Nebbia) Letter to FCC (Ableson) Requesting theFCC to Identify a point-of-contact for the discussion of adjacent bandCompatibility below 17.3 GHz.

5. * Doc. 32415/1, NTIA (Hurt) Memorandum Soliciting IRAC Support for aSpectrum Resource Assessment (SRA) on the 4400 - 4940 MHz Band.

6. * Doc. 32417/1, Ad Hoc 170 Memorandum Regarding a Draft U. S. - MexicoProtocol to Share the 406.1 - 420 MHz Band.

* Distributed with this agenda.

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• Responsible for Managing the Spectrum to Meet the Needs of the Private Sector and State and Local Governments

• Through:> Use of Advisory Committees of limited duration and responsibility (e.g. The

WRC Advisory Committee (WAC), set up to prepare for a WRC) > Public rulemakings (as prescribed by the APA)

• In the U.S., Spectrum Is Divided Into:> Government exclusive, (e.g. > Non-government exclusive, and > Shared (govt - non-govt) bands (Most are in this category)

• Spectrum Related Issues Require Actions by the NTIA, the FCC or Both

• The FCC and the NTIA “coordinate” on spectrum decisions involving shared bands (This extends to WRC proposals involving such bands)

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10 05/07/23

FCC Org Chart

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ion The International Telecommunications

Advisory Committee (ITAC)• Permanent Advisory Committee to the Dept. of State on telecom

matters> Mirrors the ITU Sector Structure> Operates under the Federal Advisory Committee Act (FACA)> This means that meetings have to be open to all

• ITAC-R mirrors the ITU-R Study Group Structure> SG 7 (Science Services) (NASA)

WP 7D (Radio Astronomy) (NSF)4-6+ meetings/year, accessible by phone

• Documents must be approved by the US National Committee prior to being forwarded to the ITU SGs> USNC composed by ~ 100 individuals> Papers posted on website for comments for 10-14 days> In case of disagreement, decision is made jointly by NTIA, FCC and

DoS > This happened several times with papers of interest to radio

astronomy

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ion Radio Astronomy in the

US Spectrum Management Process• Government: NSF Spectrum Manager

> Provides Input to NTIA, through: IRAC and SubcommitteesDirectly

• Non-government: Committee on Radio Frequencies (CORF) of the National Academy of Sciences (NAS)

Funded by NSF and NASA

Chairman and members selected by NAS > Provides input to the FCC through

Filings, in Response to NPRM, NOI, etc. Advice to NSF and NASA Spectrum Managers

• ITAC-R: US WP 7D> Provides Input through US Documents to WP 7D

meetings

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ion CORF Agenda

AGENDA

FORTY-SIXTH MEETING OF THECOMMITTEE ON RADIO FREQUENCIES

June 17-18, 2002

National Research CouncilGreen Building, Room 118

2001 Wisconsin Avenue, N.W.Washington, D.C.

Monday, June 17th

CLOSED SESSION

7:30 a.m. Continental breakfast served

8:00 a.m. Convene, Donald Backer, ChairGoals for the meeting and additional topics for discussionMembership composition and balance discussion

OPEN SESSION

9:25 a.m. Introductions, Donald Backer

9:30 a.m. Report from the NSF Spectrum Management Office, Tomas Gergely, NSFNational regulatory actionsWP 7D and TG 1/7 mattersPreparations for WRC-03

10:45 a.m. Ultrawide-band issues and possible concerns for CORF action, Dan Smythe,Haystack Observatory, and Gary Gallian, Aerospace Corp.

12:00 p.m. Lunch

12:45 p.m. NASA Radio Spectrum Issues, David Struba and Charles Wende, NASA/HQ, and JohnZuzek, NASA/Glenn

2:00 p.m. Federal Communications Commission Issues, Thomas Derenge, Spectrum PolicyBranch

3:00 p.m. Break

3:15 p.m. Activities of the European Science Foundation’s Committee on Radio Astronomy Frequencies(CRAF), Wim van Driel, Chairman, and Titus Spoelstra, Secretary

4:15 p.m. Western Hemisphere Frequency Issues, Ken Tapping, Canada, Alfredo Torres Fortizand Eduardo Mendoza Torres, Mexico

5:15 p.m. Optical interference issues and the International Dark-Sky Association, Chris Walker,Steward Observatory

5:45 p.m. Reception for CORF members and guests

6:30 p.m. Dinner

Tuesday, June 18th

OPEN SESSION

8:00 a.m. Continental breakfast served

8:30 a.m. Review recent CORF activities and upcoming issues, Paul Feldman, Esq., Fletcher,Heald & Hildreth

9:30 a.m. Industry and informal working group activities on satellite out-of-band emissions,Paul Steffes, Past Chair, and Paul Feldman

10:00 a.m. Break

10:15 a.m. Issues arising from the Green Bank Summer School

10:45 a.m. Issues in future Comments and CORF Participation in Working GroupsPlans for moving to two meetings per year

11:45 a.m. Lunch

CLOSED SESSION

12:30 p.m. Draft scientific boilerplate to use in future Comments (especially remote sensing text)

2:00 p.m. Plans for finishing up CORF Handbook

2:45 p.m. Break

3:00 p.m. Possible dates and agenda items for the next CORF meetingOther upcoming frequency management meetings of interestMeetings with FCC commissioners and staffReview action itemsAny other business

4:00 p.m. Adjourn

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ion Interconnections

International Telecommunication Union

State Department

World Radiocommunications

Conference

FCC ITU-RUSNC

IRAC

NSF

Spectrum Manager

National Academy of Sciences

US SGsCORF

US WP 7D

US Radio Astronomers

IUCAF

InternationalAstronomical

Union

InternationalUnion of

Radio Science

Committeeon

Space Research

NTIAITU-R SGs

WP 7D

Radio

Regulations ITU-R

Handbook

ITU-R

Recommendations

US Allocation

Table

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ITU Regions

5-01

75°

60°

40°30°20°

0°

20°30°40°

60°

75°

60°

40°30°

20°

0°

20°30°40°

60°

170° 140°160° 100°120° 60°80° 20°40° 0° 20° 40° 60° 80° 100° 120° 140° 160° 180°

170°

170°

140°160° 100°120° 60°80° 20°40° 0° 20° 40° 60° 80° 100° 120° 140° 160° 180° 170°

ABC

ABC

The shaded part represents the Tropical Zones as defined in Nos. 5.16 to 5.20 and 5.21.

REGION 1

REGION 2

REGION 3 REGION 3

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ion The Allocation Table (Art. 5 of the RR)

• Frequencies are:> allocated to services > allotted to areas or countries> assigned to stations

• Spectrum Allocations to the various radio services can be:> Primary

Table Allocations Footnote Allocations

> Secondary Table Allocations

Footnote Allocations stations of a secondary service shall not cause harmful interference

to stations of primary services cannot claim protection from from stations of a primary service stations of a secondary service CAN claim protection from stations of

a secondary service to which frequencies are assigned at a later date > Unprotected

Some bands are allocated to the radio astronomy service on an unprotected basis. In this case, footnotes to the allocated frequency band urge administrations to take all practicable steps to protect these observations from harmful interference either from in-band radio services or from unwanted emissions from adjacent band radio services.

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ion The US Allocation Table

• In the U.S., bands may be allocated to:> the Government, e.g. the 267-322 MHz band allocated to the Fixed and

Mobile Services> the Private Sector (also referred to as the non-government) e.g. the 88-

108 MHz Broadcasting bands> Jointly to the government and the privates sector (most bands)> All Radio Astronomy bands are govt/non-govt. ( NRAO and NAIC are

government operations, while University facilities are not) • Allocations may be qualified by footnotes:

> Government (applies to govt. only) G126--Differential-Global-Positioning-System (DGPS) Stations may be authorized on a primary basis

in the bands 108-117.975 MHz, 1559-1610 MHz, and 5000-5150 MHz for the specific purpose of transmitting DGPS information intended for aircraft navigation.

> Non-Government (applies to non-govt. only) NG104--The use of the bands 10.7-11.7 Hz (space-to-Earth) and 12.75-13.25 GHz (Earth-to-space) in the

fixed-satellite service in the geostationary-satellite orbit shall be limited to international systems, i.e., other than domestic systems.

> Joint US256--Radio astronomy observations may be made in the band 1718.8-1722.2 MHz on an

unprotected basis. Agencies providing other services in this band in the geographic areas listed below should bear in mind that their operations may affect those observations, and those agencies are encouraged to minimize potential interference to the observations insofar as it is practicable.

• The National Table of Frequency Allocations is comprised of the U.S.Government Table of Frequency Allocations and the FCC Table of Frequency Allocations.The National Table indicates the normal national frequency allocation planning and the degree of conformity with the ITU Table

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A Page From the Allocation Table

1350-1400FIXEDMOBILERADIOLOCATION

S5.149 S5.338 S5.339

1350-1400RADIOLOCATION

S5.149 S5.334 S5.339

1350-1390FIXEDMOBILERADIOLOCATION G2

S5.149 S5.334 S5.339 US311G27 G114

1350-1390

S5.149 S5.334 S5.339

1390-1395RADIOLOCATION G2FixedMobile

S5.149 S5.339 US311 US351G27 G114

1390-1395

S5.149 S5.339 US351

Note: 1390-1395 MHzbecame non-FederalGovernment exclusivespectrum in January 1999

1395-1400LAND MOBILE US350

S5.149 S5.339 US311 US351

1395-1400LAND MOBILE US350

S5.149 S5.339 US311 US351

Personal (95)

1400-1427EARTH EXPLORATION-SATELLITE (passive)RADIO ASTRONOMYSPACE RESEARCH (passive)

S5.340 S5.341

1400-1427EARTH EXPLORATION-SATELLITE (passive)RADIO ASTRONOMY US74SPACE RESEARCH (passive)

S5.341 US246

International TableUnited States Table Remarks

Region 1 Region 2 Region 3 Federal Government Non-Federal Government

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ion How Does the Dual Track (or Triad)

Process Work: WRC Preparations• Three Track Process:

> Government proposals developed within the Radio Conference Subcommittee (RCS) of the IRAC with and/or based on Agency (e.g. NSF) inputs > Private Sector Proposals are developed by the FCC

* FCC Convenes WRC (Industry) Advisory Committee (WAC) to Provide Private Sector Input* WAC Develops Proposals* FCC Publishes Notice of Inquiry (NoI) Regarding Proposals

> Govt. and NTIA proposals often differ and have to be reconciled > This is sometimes (usually?) a lengthy and painful process!> U.S. Radiocommunication Sector SGs, WPs and TGs

Develop Technical Input to ITU-R SGs, Input to CPM Report

• Final Set of U.S. Proposals Developed by NTIA, FCC and DoS

TG 200/300

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ion How Does the Dual Track Process

Work: WRC Implementation• Govt. Implementation of WRC actions:

(usually a fairly straightforward process)> IRAC AH committee considers WRC actions and how to

incorporate them into the US Government Table> Once agreement is reached, proposal forwarded to IRAC for

approval> Upon IRAC approval, NTIA sends package to the FCC

• FCC Implementation> Implementation proposal put together by International Bureau> Circulated to other Bureaus for coordination and approval> Circulated to Commissioners> Put out for Public comment through a Notice of Proposed

Rulemaking (NPRM) > After public comment, FCC coordinates with NTIA and

adopts changes through a Report & Order

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ion Problems and Advantages of US

Process• Advantage:

Isolates Government and Private SectorInterests and Procedures

• Disadvantage: “Dual spectrum jurisdiction has become

fertile ground for internecine squabbles within government that has industry increasingly asking who's in charge.”

(Recent newspaper article)

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ion How To Get Involved With

ITU-R SGs WPs, and the rest• In the U.S.:

> Membership in US ITU-R SGs, WPs, etc. is open, as provided by the Federal Advisory Committee Act (FACA), that regulates their functioning

> SG Meeting Dates and Places have to be announced in the Federal Register 30 days in advance of the meeting

WP meetings do not need to be similarly advertised, as they are considered subcommittees of the main group

> If someone desires to participate, he/she needs to:a) contact the Chair of the SG/WP orb) simply show up at the meeting

> Membership in CORF is by invitation of the National Academy of Sciences/National Research Council

> Membership in WP Delegations is up to the Chair> Membership in SG Delegations is up to the State Dept.

(hardly anyone is ever refused!)> Membership in WRC Delegations is determined by the State Dept.,

acting on Recommendation of NTIA and/or FCC

• Elsewhere: ?

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TIES Account and how to get one? • What is TIES?

> The ITU Telecom Information Exchange Services (TIES) is a set of networked information services and resources for the global telecommunications community.

• What can you access? > Study Group documents> Conference documents

• What can’t you access? > ITU documentation that requires payment (Handbooks,

Recommendations, Final Acts, etc. )

• Who can have access? > Government Telecommunication Administrations of Member States

and Sector Members• How to go about getting one?

> In U.S., through NTIA and FCC (ask me) > IUCAF (ask Darrel) > Elsewhere?