Transcript U.S. Regulatory Structures

National Science Foundation
U.S. Regulatory Structure
Tomas E. Gergely
Summer School
on Spectrum Management
and Radio Astronomy
Green Bank, June 2002
National Science Foundation
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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.:
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 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:
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“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:
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…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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NTIA - Functions
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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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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
National Science Foundation
IRAC Structure
IRAC
Spectrum Issues and
Policies
SPS
Analyzes Major Systems
for Spectrum Availability
RCS
Government
Preparations for WRCs
TSC
Technical Issues and
TSC
Standards
Technical Subcommittee
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FAS
Deals with Frequency
Assignments and Licenses
Ad-Hoc Committees
on Specific Issues
(e.g. WRC Implementation)
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An IRAC Agenda
Doc. 32416/1
to GPS Receivers from Ultra-Wideband Transmission Systems. (Tabled pending recall, March
13, 2001)
1.
Doc. 31840/1, NTIA Special Publication 01-45, Assessment of Compatibility Between
Ultra-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, ET
Docket 98-153. (Tabled pending recall, November 14, 2001)
3.
Doc. 32190/1, State Department's Request for Extension of Time to Prepare Comments to
the FCC Draft Report and Order on Ultra-Wideband. (Tabled pending recall, November
14, 2001)
4.
Doc. 32191/1, U.S. Department of Transportation Comments to FCC’s Draft Report and
Order Revising Part 15 of the Commission's Rule Regarding Ultra-Wideband
Transmission 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 the
Commission's Rules Regarding Ultra-Wideband Transmission Systems, ET Docket
98-153. (Tabled pending recall, November 14, 2001)
6.
Doc. 32198/1, Department of Commerce Comments to FCC’s Draft Report and Order
Revising Part 15 of the Commission's Rules Regarding Ultra-Wideband Transmission
Systems, 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 and
Order Revising Part 15 of the Commission's Rule Regarding Ultra-Wideband
Transmission 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 Order
Revising Part 15 of the Commission's Rules Regarding Ultra-Wideband Transmission
Systems, ET Docket 98-153. (Tabled pending recall, December 11, 2001)
9.
Doc. 32215/1, Secretary of Commerce (Evans) Letter to Chairman of the Federal
Communications Commission (Powell) Comments on the FCC's Draft Report and Order
Revising Part 15 of the Commission's Rule Regarding Ultra-Wideband Transmission
Systems, 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 the
Commission's Rules Regarding Ultra-Wideband Transmission Systems, ET Docket
98-153.(Tabled pending recall, December 11, 2001)
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Agenda - 1729 - 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.)
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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 Rule
Making Regarding the 4.9 GHz Band Transferred From the Federal Government, WT
Docket No. 00-32. (Tabled one meeting, April 9, 2002.)
2.
Doc. 32298/1, Coast Guard Memorandum Regarding Terrestrial Operations in the MSS
Upper and Lower "L" Bands: FCC IB Docket 01-185, ET Docket 95-18. (Tabled one
meeting, April 9, 2002.)
3.
Doc. 32353/1, Draft FCC Second Report and Order (Proceeding Terminated) Regarding
the 1998 Biennial Regulatory Review Amending Part 18 of the Commission's Rules to
Update Regulations for RF Lighting Devices, ET Docket No. 98-42. (Tabled one
meeting, April 9, 2002.)
4.
Doc. 32376/1, FAS Memorandum Regarding Electronic Dissemination of FAS
Documents. (Tabled one meeting, April 9, 2002.)
5.
Doc. 32397/1, IRAC Memorandum Regarding Electronic Dissemination of Documents to
the 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 Permit
Unlicensed 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 for
the IRAC Supplement to the Manual of Regulations and Procedures for Federal Radio
Frequency 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 of
the 71 - 76, 81 - 86, and 92 - 95 GHz Bands, Gen Docket No. 02-XX; Loea
Communications Corporation Petition for Rulemaking, RM-10288.
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* 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 Docket
No. 02-XX; Loea Communications Corporation Petition for Rulemaking, RM-10288.
1.
Doc. 31632/2, FCC Notice of Proposed Rule Making Regarding the Reallocation
of the 216-220 MHz, 1390-1395 MHz,1427-1429 MHz, 1429-1432 MHz,
1432-1435 MHz, 1670-1675 MHz, and 2385-2390 MHz Government Transfer
Bands, Et Docket No. 00-221 RM-9267 RM-9692 RM-9797 RM-9854. (Tabled
pending recall February 27, 2002)
2.
* Doc. 32411/1, Draft FCC Report and Order Amending Parts 1, 2, 27, and 90 of
the Commission's Rules to License Services in the 216 - 220, 1390 - 1395, 1427 1429, 1429 - 1432, 1432 - 1435, 1670 - 1675, and 2385 - 2390 MHz Government
Transfer Bands, WT Docket No. 02-8 RM-9267 RM-9692 RM-9797 RM-9854
RM-9882.
3.
* Doc. 32302/2, FCC Report and Order and Further Notice of Proposed Rule
Making Regarding the Establishment of Policies and Service Rules for the
Non-Geostationary Satellite Orbit, Fixed Satellite in the KU-Band, IB Docket
01-96 FCC 02-123.
4.
* Doc. 32414/1, Draft NTIA (Nebbia) Letter to FCC (Ableson) Requesting the
FCC to Identify a point-of-contact for the discussion of adjacent band
Compatibility below 17.3 GHz.
5.
* Doc. 32415/1, NTIA (Hurt) Memorandum Soliciting IRAC Support for a
Spectrum Resource Assessment (SRA) on the 4400 - 4940 MHz Band.
6.
* Doc. 32417/1, Ad Hoc 170 Memorandum Regarding a Draft U. S. - Mexico
Protocol to Share the 406.1 - 420 MHz Band.
*
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Distributed with this agenda.
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FCC Functions
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Responsible for Managing the Spectrum to Meet the Needs of
the Private Sector and State and Local Governments
Through:
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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:
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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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FCC Org Chart
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The International Telecommunications
Advisory Committee (ITAC)
• Permanent Advisory Committee to the Dept. of State on
telecom matters
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> 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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National Science Foundation
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Radio Astronomy in the
US Spectrum Management Process
Government: NSF Spectrum Manager
> Provides Input to NTIA, through:
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 IRAC and Subcommittees
 Directly
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
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 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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CORF Agenda
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
AGENDA
4:15 p.m.
Western Hemisphere Frequency Issues, Ken Tapping, Canada, Alfredo Torres Fortiz
and 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
FORTY-SIXTH MEETING OF THE
COMMITTEE ON RADIO FREQUENCIES
June 17-18, 2002
National Research Council
Green Building, Room 118
2001 Wisconsin Avenue, N.W.
Washington, D.C.
Tuesday, June 18th
Monday, June 17
OPEN SESSION
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CLOSED SESSION
8:00 a.m.
Continental breakfast served
7:30 a.m.
Continental breakfast served
8:30 a.m.
Review recent CORF activities and upcoming issues, Paul Feldman, Esq., Fletcher,
Heald & Hildreth
8:00 a.m.
Convene, Donald Backer, Chair
Goals for the meeting and additional topics for discussion
Membership composition and balance discussion
9:30 a.m.
Industry and informal working group activities on satellite out-of-band emissions,
Paul Steffes, Past Chair, and Paul Feldman
OPEN SESSION
9:25 a.m.
Introductions, Donald Backer
9:30 a.m.
Report from the NSF Spectrum Management Office, Tomas Gergely, NSF
National regulatory actions
WP 7D and TG 1/7 matters
Preparations for WRC-03
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 Groups
Plans for moving to two meetings per year
11:45 a.m. Lunch
CLOSED SESSION
10:45 a.m. Ultrawide-band issues and possible concerns for CORF action, Dan Smythe,
Haystack Observatory, and Gary Gallian, Aerospace Corp.
12:30 p.m. Draft scientific boilerplate to use in future Comments (especially remote sensing text)
12:00 p.m. Lunch
2:00 p.m.
Plans for finishing up CORF Handbook
12:45 p.m. NASA Radio Spectrum Issues, David Struba and Charles Wende, NASA/HQ, and John
Zuzek, NASA/Glenn
2:45 p.m.
Break
3:00 p.m.
Possible dates and agenda items for the next CORF meeting
Other upcoming frequency management meetings of interest
Meetings with FCC commissioners and staff
Review action items
Any other business
2:00 p.m.
Federal Communications Commission Issues, Thomas Derenge, Spectrum Policy
Branch
3:00 p.m.
Break
4:00 p.m.
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Adjourn
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Interconnections
International
Telecommunication Union
World
Radiocommunications
Conference
State Department
ITU-R
SGs
NTIA
FCC
ITU-R
USNC
WP 7D
IRAC
ITU-R
US Allocation
Table
Recommendations
Radio
Regulations
ITU-R
Handbook
Spectrum
Manager
NSF
US WP 7D
CORF
National Academy
of Sciences
US SGs
IUCAF
US Radio Astronomers
International
Astronomical
Union
International
Union of
Radio Science
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Committee
on
Space Research
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20°
0°
B
20° 40° 60° 80° 100° 120° 140° 160° 180°
170°
170°
160° 140° 120° 100° 80° 60° 40°
C
A
75°
75°
60°
60°
REGION 1
REGION 2
40°
30°
20°
40°
30°
20°
0°
0°
20°
30°
40°
20°
30°
40°
REGION 3
C
60°
160° 140° 120° 100° 80° 60° 40°
B
20°
A
0°
20° 40° 60° 80° 100° 120° 140° 160° 180°
60°
170°
REGION 3
170°
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ITU Regions
The shaded part represents the Tropical Zones as defined in Nos. 5.16 to 5.20 and 5.21.
5-01
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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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The US Allocation Table
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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)
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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
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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 the17ITU
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Table
National Science Foundation
A Page From the Allocation Table
International Table
United States Table
Region 1
Region 2
1350-1400
FIXED
MOBILE
RADIOLOCATION
1350-1400
RADIOLOCATION
Region 3
Federal Government
1350-1390
1350-1390
FIXED
MOBILE
RADIOLOCATION G2
S5.149 S5.334 S5.339 US311
G27 G114
S5.149 S5.338 S5.339
Remarks
Non-Federal Government
S5.149 S5.334 S5.339
S5.149 S5.334 S5.339
1390-1395
1390-1395
RADIOLOCATION G2
Fixed
Mobile
S5.149 S5.339 US311 US351
G27 G114
1395-1400
LAND MOBILE US350
Note: 1390-1395 MHz
became non-Federal
Government exclusive
spectrum in January 1999
S5.149 S5.339 US351
1395-1400
LAND MOBILE US350
Personal (95)
S5.149 S5.339 US311 US351
S5.149 S5.339 US311 US351
1400-1427
EARTH EXPLORATION-SATELLITE (passive)
RADIO ASTRONOMY
SPACE RESEARCH (passive)
1400-1427
EARTH EXPLORATION-SATELLITE (passive)
RADIO ASTRONOMY US74
SPACE RESEARCH (passive)
S5.340 S5.341
S5.341 US246
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How Does the Dual Track (or Triad)
Process Work: WRC Preparations
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Three Track Process:
> Government proposals developed within
TG 200/300
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
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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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Problems and Advantages of US
Process
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Advantage:
Isolates Government and Private Sector
Interests 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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•
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 or
b) 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?
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