# Presentation: 731382

## National Communications System (NCS)ESF #2 Training ConferenceSPECTRUM MANAGEMENT

**Christopher Algiere**
**U.S. Dept of Commerce**
**Office of Spectrum Management**
**calgiere@ntia.doc.gov**
** ****	****202 482 5160**
** ****	****June 21, 2007**

**Ronald T. Repasi**
**Federal Communications Commission**
**Office of Engineering and Technology**
**Ronald.Repasi@fcc.gov**
** ****202 418 2470**
** ****June 21, 2007**

## Overview

- Terminology
- National Spectrum Management
- FCC and NTIA Coordination
- IRAC Frequency Assignment Process
- ESF #2 Frequency Assignment Process
- Summary
- Useful Websites

**Notes:**
Introduce the overview items

Objective of this presentation:  The student should be able to generally describe :
	-- The U.S. national spectrum management agencies
	-- The normal frequency assignment process 
	-- The alternative frequency assignment process

## Terminology

- Spectrum Management
- Frequency Band
- Frequency Assignment
- Temporary Frequency Assignment

**Notes:**
Definitions to set standards and clear up differences between the FCC terminology and the NTIA terminology for similar items

## Terminology

**Spectrum Management**
- Scientific evaluation, engineering processes, and administrative procedures which permit a variety of telecommunications operations to operate effectively, and share the radio spectrum without interference

**Notes:**
What we are supposed to be doing.

Emphasis placed on the sharing aspect and insuring there is no interference.  

If we don’t know you are there, we can’t protect you

## Terminology

**Frequency Band**
- The Radio Frequency Spectrum is allocated to various radio services (e.g.. fixed and mobile services) in *bands of frequencies*
**Example Frequency Bands for Fixed and Mobile Services:**
- 123.0875 – 123.5875 MHz: Aeronautical Mobile (Shared)
- 138.0000 – 144.0000 MHz: Fixed / Mobile (Federal)
- 162.0125 – 173.2000 MHz: Fixed / Mobile (Federal)
- 220.0000 – 222.0000 MHz: Private Land Mobile (Non-Federal)
- 406.1000 – 420.0000 MHz: Fixed / Mobile (Federal)
- 450.0000 – 454.0000 MHz: Land Mobile (Non-Federal)
- 764.0000 – 776.0000 MHz: Land Mobile (Non-Federal)
- 821.0000 – 824.0000 MHz: Land Mobile (Non-Federal)

**Notes:**
This list is a sample of band allocation.  The land mobile bands during an emergency response have the potential for the greatest level of congestion depending on the type of emergency being supported.

--Federal bands are managed by NTIA

--Non-Federal bands are managed by FCC

--Many of the bands that are primarily NTIA or FCC may have users from the other entity.  These assignments /  licenses are coordinated between the two agencies

## Terminology

**Frequency  Assignment**
- The authorization issued by NTIA for a government radio station or by the FCC for a non-federal radio station operate a radio transmitter on a discrete frequency or a frequency band at a particular location(s) under specified conditions
- Issued on a Primary, Secondary, or Non-interference Basis
- Varied expiration dates

**Notes:**
A frequency assignment in FCC terminology would be a license to operate.  

Assignments are
--Regular: Unspecified time period, but subject to periodic review of either 5 or 10 years

--Temporary: For a specific period of time based on expiration date

--Trial:  Renewable 2 year assignment used to find a suitable frequency but must not cause interference

--Group: Provides an assignment for planning purposes for either non-continuous operation authority or for protected planning not to exceed 3 years

## Terminology

**Temporary Assignments (NTIA)**
- For a specific period of time based on expiration date
- Trial:  Renewable 2 year assignment used to find a suitable frequency but must not cause interference
**Special Temporary Authority (STAs) (FCC)**
- Case-by-case, extraordinary circumstances
- Limited time duration (less than six months)

## National Spectrum Management

- COMMUNICATIONS ACT OF 1934

- The President

- The Judiciary

- The Congress

- National Telecommunications
- And
- Information Administration

- Federal
- Communications
- Commission

- FEDERAL
- USERS

- NON-FEDERAL
- USERS

- Coordination

**- ****National Defense**
**- Law Enforcement & Security**
**- Transportation**
**- Resource Mgt Control**
**- Emergency Resp.**

**- ****Business**
** ****- State and Local Government**
** ****- Commercial**
**Private**
**Public Safety**

## National Spectrum Management

**The FCC is an independent United States government agency, directly responsible to Congress **
**Established by the Communications Act of 1934**
- Charged with regulating interstate and international communications by radio, television, wire, satellite and cable
- Jurisdiction covers the 50 states, the District of Columbia, and U.S. possessions
- Chairman and four Commissioners
**Title III of the Act – Special Provisions Relating to Radio**
- Section 301 - “...No person shall use or operate any apparatus for the transmission of energy or communications or signals by radio...except under and in accordance with this Act and with a license in that behalf granted under the provision of this Act.”
- Section 303 - General Powers of the Commission
**FCC Rules contained in Title 47 **
**of the Code of Federal Regulations (47 CFR)**

## National Spectrum Management

**NTIA Performs spectrum management and assignment for all Federal spectrum use**** **
**Section 305 of the Act – Government Owned Stations**
- “Radio Stations belonging to and operated by the United States shall not be subject to the provision of sections 301 and 303 of this Act.  All such Government stations shall use such frequencies as shall be assigned to each or to each class by the President.”
**Established by Reorg. Plan No.1 (1977), EO 12046, March 1978**
- Part of Department of Commerce (DoC) in the Executive branch
- Headed by the Assistant Secretary reporting to the President and the Secretary of the DoC
**Regulations published in Manual of **
**Regulations and Procedures for**
**Federal Radio Frequency Management **
**(NTIA Manual)**

## National Spectrum Management

- Available at: http://www.ntia.doc.gov/osmhome/allochrt.html

**The entire range of usable radio frequency spectrum is divided into bands of frequencies called allocations**

## National Spectrum Management

**Frequency allocations determine the type of use allowed in the block or band of frequencies**
- Table Entry or Footnote Allocation
- Services: terrestrial and satellite, Fixed, Mobile, Broadcast, etc.
- Status: Primary, Secondary, Non-Interference Basis
**International allocations**
- Adopted at World Radio Conferences, Three Regions
- Bilateral and Multilateral Agreements
**Domestic allocations**
- Federal exclusive, Non-federal exclusive, Shared Allocations
- Large amount of spectrum is shared between federal and non-federal users

## National Spectrum Management

**ITU Radio Regulations**

**Non-Federal Use (FCC)**

**Federal use (NTIA)**

**Rule**
**Explanations**

- Table of Allocations, 47 C.F.R. §2.106, sample:  http://www.fcc.gov/oet/spectrum/table/fcctable.pdf

## National Spectrum Management

**Agencies conduct four major functions in regulating radio services**
**Allocate Spectrum** to various radio services
**Develop Service Rules** to provide administrative procedures, technical standards, and other operational requirements for shared intra- and inter-service use of the spectrum
**Assign Frequencies** to individual systems or authorize specific equipment use, assignments coordinated domestically and internationally
**Enforce Rules** and ensure compliance of radio equipment

## FCC and NTIA Coordination

**1940 agreement between FCC and NTIA (last updated January 2003)**
- Parties shall give notice of all proposed actions that could effect one another with sufficient time for the other agency to comment prior to final action
- FCC and NTIA will maintain up-to-date lists of their respective authorized transmitting frequency assignments
**FCC, NTIA and other Federal agencies coordinate spectrum matters through the Interdepartment Radio Advisory Committee (IRAC)**
**The IRAC advises and assists NTIA in assigning frequencies to federal government stations and in developing and executing policies, programs, procedures, and technical criteria for allocation, management, and use of spectrum**

## FCC and NTIA Coordination

**Main Committee**
- NTIA Chairs the IRAC and holds Executive Secretary position
- Members appointed from federal agencies with spectrum interests
- Defense Departments: Army, Navy, Air Force
- Commerce, Justice, Homeland Security, Treasury and State Departments
- NASA, NSF, FAA, Transportation, Energy, BBG, Postal
- FCC Liaison
**Six Subcommittees**
- Frequency Assignment Subcommittee
- Emergency Planning Subcommittee
- SPS, SSS, RCS, TSC
**Ad Hoc working groups (as needed)**
- AH 214 (Public Safety Communications)
- Few others

## IRAC Frequency Assignment Process

**Frequency Assignment Subcommittee (FAS) of the Inter-department Radio Advisory Committee (IRAC) **
- The IRAC/FAS consists of 20+ Federal Agencies (including the FCC)
- Departments/Agencies submit proposals through designated chain to NTIA/FAB for coordination and authorization of frequencies in federal, non-federal and shared frequency bands
- FAB processes all coordination requests submitted for approval by D/As, validates technical and administrative information
- D/As review proposals in the IRAC/FAS to ensure incumbent systems are protected from harmful interference
- After IRAC/FAS review, FAB authorizes D/A frequency assignments, approved assignments are entered into the Government Master File
- GMF is not accessible to the public

## IRAC Frequency Assignment Process

**FCC is an IRAC/FAS member**
- Non-federal applicants file electronically with FCC using Universal Licensing System, International Bureau Filing System, and Experimental Licensing System
- FCC/OET submits proposals to NTIA/FAB for coordination of frequencies in federal and shared frequency bands
- OET reviews D/A coordination requests in the IRAC/FAS to ensure incumbent non-federal systems are protected from harmful interference
- IRAC/FAS records sent back by OET for FCC Bureau/Office for action
- FCC Bureaus/Offices grants or dismisses non-Federal applications using ULS, IBFS or ELS
- ULS, IBFS and ELS are accessible to the public

## IRAC Frequency Assignment Process

**Special Temporary Authority (STAs)**
- Case-by-case, extraordinary circumstances, limited time duration Equipment Authorizations
**Waivers**
- Case-by-case, rules may not yet be established, risk of interference is low

## ESF #2 Frequency Assignment Process

**Planning Assumptions**
- In situations of NS/EP, all normal spectrum management functions will continue to operate as usual
- In the case of a national emergency and the activation of ESF #2, the FCC and the NTIA will continue normal processing of all frequency assignment requests for the declared emergency
- The U.S. Northern Command (USNORTHCOM) deploys, as appropriate, spectrum managers to the JTF/TF Joint Spectrum Management Element (JSME) to serve as the single USNORTHCOM point of contact (POC) for JTF/TF spectrum requirements

**Notes:**
As much as possible the intent is for the spectrum management process to continue as normal regardless of the situation at hand.  This may be done from several different locations as necessary in order to adapt to the situation.

NORTHCOM becomes involved should a Joint Task Force be established in order to coordinate the DoD response to a situation.  As part of the effort to maintain routine operations, the NORTHCOM JTF spectrum manager would use the standard DoD coordination channels.  

The JTF spectrum and ESF spectrum teams will coordinate their efforts in order to limit the potential of unwanted interference.

## ESF #2 Frequency Assignment Process

**Spectrum dependant systems that will be brought into the area will be coordinated prior to arrival or activation.**
**This includes: **
- Area assignments that their agency intends to use in the affected emergency area. (Federal users)
- Existing systems operating in the emergency area that require additional frequency authorizations or changes to current authorization

**Notes:**
Collectively we need to realize that with many responding packages there are internal communications systems that come along.  If there is a search and rescue team, there will probably be associated communications.  If there is a convoy moving in or any other relief effort there will more than likely be some form of communications associated.  

Responders need to be asked the right questions in order to ensure they can accomplish the task that they have come in to execute.

## ESF #2 Frequency Assignment Process

**Support the Federal Emergency Communications Coordinator (FECC)**
**Deconflict/Coordinate prior to deployment**
**Identify sources of frequency interference, mitigate the interference, and resolve interference problems**
**At the deployed location, serve as a liaison when requests or questions arise, and direct the requirement to the appropriate decision-maker(s) or individual(s) in accordance with established spectrum management rules, regulations and policies**

**Notes:**
The best way to avoid having issues within the operational area is to clear all frequencies for use if they were not already in-use prior to the incident. Statewide assignments should still be noted if they are being pulled into a specific point.  Nationwide assignments need to be reported also.  

If there is an issue of interference, the Spectrum Management Team will work to resolve the issue.

## ESF #2 Frequency Assignment Process

**Communications equipment and spectrum Authorization:**
-  External to the JFO, representatives request through the ESF Spectrum Management Team if unable to access their normal agency process
- Internal JFO, representatives request through the DHS Wireless Management Office on-site representative

**Notes:**
Responsibilities:
  Normally any internal JFO communications will be handled by the DHS WMO personnel on site.  If there is coordination or support required the spectrum management team will accomplish this task as necessary. 

  All other communications  will initially be handled through the specific agencies chain with the ESF Spectrum team available if the D/A is unable to reach back to its normal channels.

Ideally most of these issues would be taken care of prior to entry into the area.

## ESF #2 Frequency Assignment Process

**Coordinate with state and local government, private sector entities concerning frequency requirements prior to deployment or operation**
**Assist in processing Special Temporary Authorizations (STAs) and waiver requests utilizing normal processing procedures or expedited procedures established for the incident**
**Serve as an FCC liaison for deployed field elements and assist in coordinating with the FCC Headquarters as appropriate the processing of all spectrum licensing requests for use in the emergency area of operations**

## ESF #2 Frequency Assignment Process

**Notify Federal department and agency spectrum managers concerning their responsibility to identify their agency’s spectrum requirements prior to deployment or operation in the emergency area**
**Notify Federal department and agency spectrum managers concerning their responsibility to identify the operational status of spectrum-dependent systems in the affected emergency area**
**Provide normal spectrum management services for Federal government agencies including DHS and DoD**

**Notes:**
In order to make best use of the available spectrum in an area it is important to have a good baseline of operations in the area.  As part of our operating procedures we would need to know of any incumbent systems that are off-line due to the current incident.  After proper coordination this would allow the reuse of frequencies until such time as the incumbent system is ready to resume operations

Any changes to systems should be reported through your D/A in order to maintain a current operational picture.

## ESF #2 Frequency Assignment Process 

**Notes:**
Generally speaking the flow of spectrum support / frequency request will follow what is laid out in this diagram.

All roads lead to the national level for clearance.  

The take-away from this is that the ESF team works together and coordinates at multiple levels.  Resolution is sought with focus on mission accomplishment for the end user.

## Summary

- Terminology
- National Spectrum Management
- FCC and NTIA Coordination
- IRAC Frequency Assignment Process
- ESF #2 Frequency Assignment Process

**Notes:**
Summary Items

Objective of this presentation:  The student should be able to generally describe :
	-- The U.S. national spectrum management agencies
	-- The normal frequency assignment process 
	-- The alternative frequency assignment process

## Useful Websites 

**Main NTIA Website**
- www.ntia.doc.gov
**NTIA Manual**
- _http://www.ntia.doc.gov/osmhome/redbook/redbook.html_
**Main FCC Website**
-  www.fcc.gov
**FCC Online Table**
- _http://www.fcc.gov/oet/spectrum/table/fcctable.pdf_
**Electronic Documents Management Site For finding Rulemakings, public notices and news release information**
- _http://hraunfoss.fcc.gov/edocs_public/SilverStream/Pages/edocs.html__ _
**Title 47 of the Code of Federal Regulations (CFR) – GPO**
- _http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=%2Findex.tpl_