[Federal Register Volume 69, Number 21 (Monday, February 2, 2004)]
[Notices]
[Pages 4923-4926]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-2054]


-----------------------------------------------------------------------

DEPARTMENT OF COMMERCE

National Telecommunications and Information Administration

[Docket No. 040127027-4027-01]


United States Spectrum Management Policy For the 21st Century

AGENCY: National Telecommunications and Information Administration, 
U.S. Department of Commerce

ACTION: Notice of Inquiry

-----------------------------------------------------------------------

SUMMARY: The United States Department of Commerce's National 
Telecommunications and Information

[[Page 4924]]

Administration (NTIA) seeks comments on policy reforms relative to the 
management of the natural resource known as the ``radio frequency 
spectrum.'' In the Executive Memorandum on Spectrum Policy in the 21st 
Century signed by President George W. Bush on May 29, 2003, the 
Administration announced its commitment to develop and implement a 
modernized United States spectrum policy.\1\ Pursuant to this 
commitment, the Secretary of Commerce is conducting a comprehensive 
review to develop recommendations for improving the United States' 
spectrum management policies regarding the organization, processes, and 
procedures affecting Federal government, State, local and private 
sector spectrum use.
---------------------------------------------------------------------------

    \1\ Presidential Memorandum on Spectrum Policy for the 21st 
Century, 69 FR 1568 (Jan. 9, 2004).

---------------------------------------------------------------------------
DATES: Comments are requested on or before March 18, 2004.

ADDRESSES: Written comments may be submitted by mail to Norbert 
Schroeder, Strategic Spectrum Planning and Reform Division, National 
Telecommunications and Information Administration, 1401 Constitution 
Avenue, NW., Room 4082, Washington, DC 20230. Paper submissions should 
include a three and one-half inch computer diskette in HTML, ASCII, 
Word or WordPerfect format (please specify version). Diskettes should 
be labeled with the name and organizational affiliation of the filer, 
and the name of the word processing program used to create the 
document. Alternatively, comments may be submitted electronically to 
[email protected]. Comments provided via electronic mail 
should also be submitted in one or more of the formats specified above. 
Comments will be posted on NTIA's website at http://spectrumreform.ntia.doc.gov.

FOR FURTHER INFORMATION CONTACT: For questions about this Notice, 
contact: Norbert Schroeder, National Telecommunications and Information 
Administration, U.S. Department of Commerce, 1401 Constitution Avenue, 
NW., Room 4082, Washington, DC 20230; telephone: (202) 482-6207; or e-
mail: [email protected]; or Derrick Owens, National 
Telecommunications and Information Administration, U.S. Department of 
Commerce, 1401 Constitution Avenue, NW. , Room 4099, Washington, DC 
20230; telephone: (202) 482-1850; or email: [email protected].

SUPPLEMENTARY INFORMATION: Background: On May 29, 2003, President 
George W. Bush signed an Executive Memorandum announcing the 
Administration's commitment to develop and implement a comprehensive 
United States Spectrum Policy for the 21st Century that will: (a) 
Foster economic growth; (b) ensure national and homeland security; (c) 
maintain U.S. global leadership in communications technology 
development and services; and (d) satisfy other vital U.S. needs in 
areas such as public safety, scientific research, Federal 
transportation infrastructure, and law enforcement.
    To promote these goals, the Executive Memorandum directed the 
Department of Commerce to prepare legislative and other recommendations 
to:
    (1) Facilitate a modernized and improved spectrum management 
system;
    (2) Facilitate policy changes to create incentives for more 
efficient and beneficial use of the spectrum and to provide a higher 
degree of predictability and certainty in the spectrum management 
process as it applies to incumbent users;
    (3) Develop policy tools to streamline the deployment of new and 
expanded services and technologies, while preserving national and 
homeland security, and public safety, and encouraging scientific 
research; and
    (4) Develop means to address the critical spectrum needs of 
national security, homeland security, public safety, Federal 
transportation infrastructure, and science.
    To develop a complete record as it prepares these reports, NTIA 
seeks comments on the state of the U.S. spectrum management policy.

Request for Comments

    The questions below are only intended to assist in identifying the 
issues and should not be construed as a limitation on comments that may 
be submitted. If policy reforms requiring enactment of legislation are 
recommended, please provide the nature and scope thereof. When 
references are made to studies, research, and other empirical data that 
are not widely published, please provides copies of the referenced 
materials with the submitted comments.

First Objective: Facilitate a Modernized and Improved Spectrum 
Management System

Federal Government Organizational Issues

    The spectrum management activities in the Federal government are 
conducted primarily by NTIA, the Federal Communications Commission 
(FCC), and the Department of State. The NTIA manages the spectrum used 
by Federal government agencies, the FCC manages the spectrum used by 
non-Federal entities, and the Department of State is responsible for 
coordinating United States participation in international fora where 
spectrum management issues are addressed. The policies for seeking 
authorization from the NTIA are found in the ``Manual of Regulations 
and Procedures for Federal Radio Frequency Management.''\2\ The 
policies for seeking authorization from the FCC are found in Title 47 
of the Code of Federal Regulations.\3\ In cases where authorization is 
sought for the use of a portion of spectrum for which the NTIA and the 
FCC have shared spectrum management responsibility, the prospective 
spectrum user is required to satisfy both sets of policies.
---------------------------------------------------------------------------

    \2\ Manual of Regulations and Procedures for Federal Radio 
Frequency Management, National Telecommunications and Information 
Administration, U.S. Department of Commerce, Chapters 4, 8 and 9 
(2003), available at http://www.ntia.doc.gov/osmhome/redbook/redbook.html. See also, 47 CFR 300.1 (2002).
    \3\ 47 CFR part 1 (2002).
---------------------------------------------------------------------------

    1. Does the bifurcated spectrum management system currently used by 
the United States present obstacles to the most efficient and benefical 
use of the spectrum? Should the Federal government consider 
establishing a centralized organization to perform these functions?
    2. What are the benefits and risks of combining the common 
administrative processing functions performed by the NTIA and the FCC?

Spectrum Allocation Issues

    3. Published versions of the United States Table of Frequency 
Allocations compiled by NTIA\4\ and FCC\5\ differ in several ways 
(e.g., different priorities, different document printing schedules, 
etc.). NTIA seeks comments on the feasibility, benefits, and risks of 
replacing the existing tables with a single national policy document.
---------------------------------------------------------------------------

    \4\ See id.
    \5\ 47 CFR 2.106 (2002).
---------------------------------------------------------------------------

    4. The table of allocations divides the spectrum into various 
categories: government exclusive, non-government exclusive, and shared. 
Are the current exclusive allocations justified?

Frequency Coordination

    5. The FCC has delegated specific portions of its spectrum 
management authority to certified frequency advisory committees that 
are authorized to receive applications for spectrum uses from a 
selected group of users,

[[Page 4925]]

coordinate the applications among the affected incumbent spectrum 
users, and submit the coordinated applications to the FCC for approval. 
NTIA seeks your comments on improving this process or expanding this 
management concept to other bands.

State, Local, and Tribal Government Issues

    6. Currently the responsibility for managing the spectrum used by 
State, local, and tribal governments rests with the FCC. Because of the 
need for Federal government agencies to work closely with State, local 
and tribal governments located near Federal installations throughout 
the States, and because of the need for close coordination among the 
homeland security activities of Federal, State, local, and tribal 
governments, the interoperability of the radiocommunication facilities 
used by all of these agencies is essential.
    a. What are the barriers to achieving interoperability among the 
different levels of government entities?
    b. What would be necessary to achieve improved standardization of 
the radiocommunication facilities used by State, local, and tribal 
governments to enhance interoperability among the assets used by these 
entities?
    c. What, if any, technical assistance is most needed by State, 
local, and tribal governments for radiocommunication facilities 
planning for effective and efficient use of the spectrum?

International Issues

    7. The Department of State serves as the lead negotiator of the 
United States in making arrangements relative to spectrum use: (1) with 
neighboring foreign administrations regarding operations of radio 
systems near borders; and (2) with other countries globally or 
regionally in regards to such areas as regulations, accommodations of 
new technologies, standards, and revised and new allocations via 
meetings with international telecommunications bodies such as the 
International Telecommunication Union (ITU) and the Inter-American 
Telecommunications Commission (CITEL). The FCC, NTIA, and the 
International Telecommunication Advisory Committee-Radiocommunication 
Activity (ITAC-R) have roles in these preparations and negotiations. 
NTIA seeks comment on methods to improve the effectiveness and 
efficiency of the U.S. national process (preparation through 
implementation) that results in these arrangements.

Planning

    8. Should the U.S. spectrum management system include long-range 
planning activities by NTIA, the FCC, and other Federal agencies?
    a. What should be the nature, scope, and objective of these 
planning activities?
    b. What should be the nature and scope of the public involvement in 
these planning activities?
    c. What approaches can be used to identify and project the future 
spectrum requirements of the Federal agencies?
    d. What approaches can be used to identify and project the future 
spectrum requirements of non-Federal entities?
    e. What approaches, including legislative provisions, are 
recommended for ensuring the availability of adequate resources in the 
Federal agencies for performing such planning activities?
    9. NTIA seeks comment on whether the current long-range spectrum-
planning mechanisms in place at the NTIA, the FCC, and the ITU provide 
appropriate assurances to consumers, service providers, and government 
institutions that sufficient spectrum will be available to satisfy 
projected requirements.

Second Objective: Facilitate Policy Changes to Create Incentives for 
Achieving More Efficient and Beneficial Use of the Spectrum, and 
Provide a Higher Degree of Predictability and Certainty in the Spectrum 
Management Process as It Applies to Incumbent Users

    10. Efficiency has been defined in a number of ways, e.g., 
technical efficiency (bandwidth, frequency reuse, geographical 
coverage, etc.), economic efficiency (revenue, profit, added value, 
etc.), and functional efficiency (reliability, quality, ease of use, 
etc). Depending on the balance of these types of efficiency metrics, 
there could be different benefits to users, taxpayers, various 
stakeholders, the economy, and society. NTIA seeks comment on the 
definitions of these terms and how they may be used in developing 
spectrum policy.
    11. Considering these economic, technical, and functional metrics, 
how should the term ``spectrum efficiency'' be defined to provide 
useful tools in managing the spectrum resource? What metrics can be 
used to apply the definition?
    12. What incentives or changes in policy should be imposed on the 
Federal and private sector spectrum users or potential users to use the 
spectrum more effectively and efficiently?
    13. What mechanisms could be established for promoting improved 
spectrum sharing between Federal agencies and the private sector?
    14. How could the general spectrum management oversight of Federal 
users be improved?
    15. Should the fee structure and budget processes for Federal users 
be reformed to reflect opportunity cost of the spectrum resource?
    16. What should NTIA and the Federal agencies do with temporarily 
unused Federal spectrum?
    17. Should NTIA establish a pilot secondary lease program whereby 
the Federal government can lease temporary and/or preemptable access to 
Federal government spectrum to non-government users?
    18. What would be the commercial demand for temporary and/or 
preemptable usage rights or spectrum commons? What would be the demand 
by state and local government users of such a resource?
    19. Are there commercial applications for short term spectrum 
rights, such as overnight data caching, special event, or seasonal use?
    20. Are there liability or technological issues that arise if 
spectrum leases are to be preemptable in an emergency by a governmental 
agency?
    21. What issues arise for appropriators and Federal budget managers 
if user fees or leases are implemented?
    22. What improvements are recommended to the Office of Management 
and Budget's budget development process and what guidance should be 
provided to the Federal agencies in performing cost-benefit analyses of 
planned spectrum use to increase spectrum sharing among Federal 
agencies?
    23. How could NTIA best facilitate spectrum sharing among Federal 
agencies?
    24. Discussions on efficient use of the spectrum may focus on 
receiver performance standards. Most spectrum uses involve at least one 
electromagnetic emission and at least one receiver/detector to recover 
the information contained in the emission. In activities such as radio 
astronomy and a variety of ``electromagnetic'' sensing activities (such 
as those of the National Aeronautics and Space Administration and 
Department of Commerce), only the receivers can be controlled because 
the emissions come from nature or space. In most other spectrum uses, 
the opportunity exists for controlling, through design, the operational 
performance of both the receiver and the emitter. NTIA seeks comments 
on how receiver performance

[[Page 4926]]

standards can be employed to increase spectrum efficiency and minimize 
harmful interference.

Third Objective: Develop Policy Tools To Streamline the Deployment of 
New and Expanded Services and Technologies, While Preserving National 
and Homeland Security and Public Safety, and Encouraging Scientific 
Research

    25. What objective principles, standards, or processes are 
appropriate to timely evaluate proposed spectrum uses for new 
technologies and services to determine whether the limited spectrum 
resource should be used for implementing a proposed spectrum use?
    26. What are the benefits and risks of establishing an 
organizational mechanism for designating, funding, and operating test 
platforms to be used in performing reasonably large-scale operational 
testing of proposed new and expanded radiocommunication services and 
technologies?
    a. Discuss whether the establishment of such an organizational 
mechanism may expedite the implementation of new services and 
technology.
    b. Would such a mechanism reduce the risk of causing unacceptable 
interference to incumbents? Are there other approaches to determine the 
potential impact that new and expanded radiocommunication services and 
technologies may have on incumbent users?
    27. Should one, or more, Federal laboratories be designated and 
certified to perform this testing?
    28. Should a mechanism be established for certifying both Federal 
and non-Federal laboratories to perform this testing?
    29. Should a mechanism be established to authenticate or certify 
the interference protection required by incumbent spectrum users? If 
so, provide recommendations for an approach that would establish 
appropriate interference protection criteria.
    30. Since the implementation of some new and expanded 
radiocommunication services and technologies may require the 
reallocation of spectrum, discuss whether and the extent to which 
auctions for spectrum licenses in given frequencies or bands of 
frequencies could constrain future reallocations of those frequency 
bands.

Fourth Objective: Develop Means To Address the Critical Spectrum Needs 
of National Security and Homeland Security, Public Safety, Federal 
Transportation Infrastructure, and Science

    31. Are the current U.S. requirements for spectrum use (domestic or 
international) being satisfied?
    a. If not, identify those requirements that are not satisfied.
    b. Discuss whether actions consistent with existing policies by the 
spectrum managers could be taken to satisfy the unmet requirements.
    c. Are there policies that contribute to or cause these 
requirements to remain unsatisfied?
    d. NTIA seeks comment on policy reforms that may facilitate 
satisfying these requirements.
    32. Some requirements for spectrum use by Federal government 
agencies and non-Federal entities are critical only during emergencies 
or while specific mission operations are performed. These 
communications channels remain unused during non-emergency periods. 
NTIA seeks comment on the feasibility and advisability of establishing 
a spectrum-sharing arrangement in which both Federal users and non-
Federal users could be assured ``priority access'' to satisfy their 
critical spectrum requirements during emergencies or specific mission 
operations.
    33. What policy reforms are needed to satisfy spectrum access, 
interoperability, and interference protection requirements?
    34. The terrorists' attacks against the United States on September 
11, 2001, raised serious national concerns regarding the ability of 
Federal, State, local, and tribal entities to maintain continuity of 
their critical governmental activities during future attacks as well as 
during unexpected natural disasters.
    a. What identifiable problems or deficiencies exist in accessing 
adequate spectrum resources for governmental or municipal continuity of 
operations plans under current spectrum policies?
    b. What is the proper Federal role in developing and coordinating 
(between the Federal, State, local, and tribal entities) the spectrum 
management elements relative to government continuity of operation 
plans?
    c. What approaches could be used to improve planning at the State, 
local, and tribal level to ensure that adequate access to spectrum is 
available to first responders to an emergency situation?
    35. The FCC has granted waivers authorizing certain non-public 
safety and public safety entities to jointly build and operate systems 
that operate on both private land mobile and public safety frequency 
allocations. In combining physical resources and spectrum, both the 
public safety and non-public safety entities realize economic and 
spectrum efficiencies. NTIA seeks comment on whether Federal government 
and non-Federal government systems could be similarly combined as a way 
to conserve physical and spectrum resources.

    Dated: January 28, 2004.
Kathy D. Smith,
Chief Counsel, National Telecommunications and Information 
Administration.
[FR Doc. 04-2054 Filed 1-30-04; 8:45 am]
BILLING CODE 3510-60-S