U.S. Regulatory Structure

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U.S. Regulatory Structure

Tomas E. Gergely Summer School on Spectrum
Management and Radio Astronomy Green Bank,
June 2002
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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.
  
• 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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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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The Interdepartment Radio Advisory Committee
(IRAC)

• The IRAC Advises NTIAs 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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IRAC Structure
IRAC Spectrum Issues and Policies
RCS Government Preparations for WRCs
SPS Analyzes Major Systems for Spectrum
Availability
FAS Deals with Frequency Assignments and
Licenses
TSC Technical Issues and Standards
Ad-Hoc Committees on Specific Issues (e.g. WRC
Implementation)
TSC Technical Subcommittee
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An IRAC Agenda
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An IRAC Agenda (cont.)
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FCC Functions

• 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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FCC Org Chart
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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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Radio Astronomy in the US Spectrum Management
Process

• Government NSF Spectrum Manager
• Provides Input to NTIA, through
• 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
• 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
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Interconnections
State Department
International Telecommunication Union
FCC
ITU-R USNC
NTIA
ITU-R SGs
World Radiocommunications Conference
WP 7D
IRAC
US Allocation Table
ITU-R Recommendations
US SGs
Radio Regulations
NSF
US WP 7D
Spectrum Manager
National Academy of Sciences
CORF
ITU-R Handbook
IUCAF
US Radio Astronomers
International Astronomical Union
International Union of Radio Science
Committee on Space Research
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ITU Regions
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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

• 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
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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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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
  ProposedRulemaking (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

• 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 cant 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?