1. U.S. Regulatory Structure
Tomas E. Gergely
Summer School
on Spectrum Management
and Radio Astronomy
Green Bank, June 2002

2. 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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3. 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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4. 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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5. IRAC

6. 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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7. An IRAC Agenda
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8. An IRAC Agenda (cont.)
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9. 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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10. FCC Org Chart
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11. 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 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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12. 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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13. CORF Agenda
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14. Telecommunication Union
Interconnections
State Department
International
Telecommunication Union
NTIA
FCC
ITU-R
USNC
World
Radiocommunications
Conference
ITU-R
SGs
WP 7D
IRAC
US Allocation
Table
ITU-R
Recommendations
Radio
Regulations
US SGs
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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15. ITU Regions
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16. 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
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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17. The US Allocation Table
In the U.S., bands may be allocated to:
the Government, e.g. the MHz band allocated to the Fixed and Mobile Services
the Private Sector (also referred to as the non-government) e.g. the 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 MHz, MHz, and 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 Hz (space-to-Earth) and 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 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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18. A Page From the Allocation Table
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19. 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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20. 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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21. Problems and Advantages of US Process
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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22. 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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23. 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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