Figure 1-1. ITU Chart of Regions.
The National Telecommunications and Information Administration (NTIA) is the Executive Branch agency principally responsible for developing and articulating domestic and international telecommunications policy. NTIA acts as the principal adviser to the President on telecommunications policies pertaining to the Nation's economic and technological advancement and to the regulation of the telecommunications industry. Accordingly, NTIA conducts studies and makes recommendations regarding telecommunications policies and presents Executive Branch views on telecommunications matters to the Congress, the Federal Communications Commission (FCC), and the public. NTIA is responsible for managing the Federal Government's use of the radio spectrum. Management of the spectrum for the private sector, including state and local governments, is the responsibility of the FCC.
The NTIA Spectrum Policy Study,(1) published in 1991, recommended that NTIA and the FCC undertake a long-range spectrum planning effort that would forecast spectrum usage up to 15 years into the future. NTIA implemented this recommendation in the form of a Fiscal Year 1992 budget initiative for strategic spectrum planning. In appropriating funds for this effort, Congress tasked NTIA to provide strategic national spectrum planning to promote the effective and efficient use of the spectrum so that both near-term and long-term spectrum needs of the Federal Government and the private sector can be met. Strategic spectrum planning, in this context, involves 1) identifying a limited number of spectrum-use issues that require the attention of national-level spectrum-use regulators, and 2) developing a spectrum plan for implementation.
NTIA initiated the Strategic Spectrum Planning Program in response to this mandate from Congress to develop long-range spectrum plans. The program consists of three phases: (I) definition of long-term spectrum requirements, (II) development of spectrum availability and long-range planning options, and (III) development of spectrum allocation implementation plans. In March 1995, NTIA released a report U.S. National Spectrum Requirements: Projections and Trends(2) (hereinafter NTIA Requirements Study). The NTIA Requirements Study marked the completion of Phase I of the NTIA Strategic Spectrum Planning effort. The NTIA Requirements Study addressed 40 radio services, limiting the spectrum forecast to a 10-year period. This study
concluded that eight of these services needed access to additional spectrum in order to satisfy user requirements to the year 2004.
In October 1995, NTIA released the report Land Mobile Spectrum Planning Options,(3) the first in a series of reports that constitute Phase II of the spectrum planning effort addressing spectrum availability and long-range planning options. That report identified potential candidate frequency bands needed to satisfy the 204 MHz of spectrum shortfall identified in the NTIA Requirements Study.
Continuing with Phase II of the Strategic Spectrum Planning Program, this current report addresses the spectrum availability and long-range planning options for those services in need of additional high frequency (HF) spectrum (3-30 MHz) as identified in the NTIA Requirements Study:
Long-range spectrum planning is critical to the effective management of the radio spectrum. First, planning provides for the efficient development of spectrum-dependent telecommunications services. Before a service provider can offer the services, a license or authorization must be granted for the radiocommunications system. This system should operate in a frequency band that supports its function, and be relatively clear of potentially interfering stations. Forecasting the demand for these services, and allocating adequate spectrum for the radio service in advance will assure that the telecommunications services are provided in a timely and efficient manner. This is particularly true in the HF band whose propagation properties are such that signals can go well beyond the borders of the United States. The purpose of HF spectrum management is to allocate frequencies to satisfy various general telecommunications service requirements. Such a process should be orchestrated regionally, if not worldwide.
Second, early identification of spectrum for an intended use gives manufacturers adequate lead time to design and manufacture equipment for the planned frequency bands. In the Federal Government, funds for new radiocommunications equipment must be programmed two to three years in advance to correspond with government budget cycles. Failure to plan spectrum for new systems could lead to delays in deployment, and inefficient use of taxpayers' money.
Effective long-range spectrum planning helps ensure that spectrum-dependent telecommunications remain one of today's prime "leverage technologies." Throughout the Federal Government, the private sector, and state and local governments, the United States has relied on this technology to boost productivity, create jobs and investment opportunities, and improve services.
Effects of National and International Planning Policies on Spectrum Availability
Under current regulations, spectrum used by licensed or unlicenced user devices is first allocated for a particular use. These regulations are either the FCC's regulations contained in Title 47 of the Code of Federal Regulations, or the regulations governing Federal use of the spectrum contained in the Manual of Regulations and Procedures for Federal Radio Frequency Management (NTIA Manual). At the present time, the spectrum from 9 kHz to 300 GHz is completely allocated to one or more radio services.
As a basic plan for usage, the radio spectrum is allocated to various radio services in blocks of frequencies. The concept of the block allocation system is that a band of contiguous frequencies is dedicated to one or more radio services, depending on the technical and operational characteristics of the service(s). A block so dedicated is said to be allocated to the radio service(s) associated with that block. Further, within a block, the radio services may have a hierarchical structure (Primary, Permitted or Secondary) that grants rights or imposes limitations on the services relative to other services in the same block. Within the United States, the assemblage of these spectrum blocks, along with associated footnotes, is called the National Table of Frequency Allocations,(5) and is used for general spectrum planning. The Table also further separates those allocation blocks that are managed by NTIA from those managed by the FCC.(6) For the allocation of frequencies internationally, the world has been divided into three regions as contained in the International Telecommunication Union (ITU) Table of Frequency Allocations of Article 8 of the ITU Radio Regulations. The United States is within Region 2 as shown in Figure 1-1.
There is, however, considerable flexibility in the block allocation system. Footnotes to the allocation blocks may permit operation of additional radio services in the spectrum block, restrict the operation of services allocated in the block, specify or clarify the relative status of services in a block, or stipulate other requirements for operation. Other footnotes may permit multi-mode operation, where the transmitted signal is used for more than one purpose, and would otherwise be separate radio services.
To comply with treaty obligations, radio systems are generally permitted to use only spectrum that is allocated to the radio service associated with that system. Revisions to the international allocation table resulted from decisions at ITU world radiocommunication conferences (WRC's, previously known as world administrative radio conferences: WARC's). WARC's have been held periodically since 1947, with major allocation conferences (General WARC) held in 1959 and 1979 (WARC-59 and WARC-79) and the most recent WRC having been convened in 1995. Since WARC-79, ITU conferences have addressed only selected bands for reallocation. Consequently, many decisions of past conferences remain in force.(7) WARC's with limited agendas considered space and radio astronomy matters in 1963, 1971, and 1977; aeronautical mobile (R) matters in 1966 and 1978; HF broadcasting in 1984 and 1987 (HFBC-84 and HFBC-87); maritime mobile matters in 1967 and 1974; mobile matters in 1983 and 1987 (MOB-83 and MOB-87); space matters in 1985 and 1988 (ORB-85 and ORB-88); and mobile, HF broadcasting, and new space matters in 1992 (WARC-92).
Advanced technologies have allowed radio operation at higher frequencies, spawning new radiocommunications services. Further, consumers are demanding additional spectrum-dependent services at an ever-increasing rate, to the degree that there is no longer a firm correlation between future spectrum requirements and many current spectrum allocations. As an example, some mobile systems are capable of operating in portions of the spectrum once the sole domain of fixed microwave systems. Failure to adequately plan for future radio system usage has resulted in a mismatch between demand for services and the availability of appropriately allocated spectrum.
The HF spectrum is a part of the radio spectrum that has been difficult and frustrating to manage ever since the band was first allocated to radio services back in the 1920's. Initially, the HF spectrum was used extensively by the amateurs, followed by maritime mobile, broadcasters, fixed services, and international aviation users. The services provided by the fixed radio service were primarily international in scope for such uses as international news services, diplomatic communications, radiotelegraphs, etc.(8) Yet it was not until after the late 1940's that HF came to flourish as the long-distance medium for international broadcasting, maritime mobile and aeronautical mobile uses. As these service requirements increased so did their need for more HF spectrum. Usually, it came at the expense of allocations to the fixed radio services. Conflicts arose between the various Administrations.(9) There were some who needed the HF spectrum for domestic communications. Others wanted to expand their international broadcasting operations while no longer relying on HF domestic communications because of the availability of alternative and more reliable means of communications.(10) As the succeeding WARC's convened to address HF allocation issues, some additional spectrum was allocated for broadcasting, maritime and aeronautical mobile services, again at the expense of the fixed radio service. This was especially true of the General WARC-79.
By the time of WARC-79, it was recognized that revisions of the radio regulations were necessary to meet the requirements of the mobile services. Subsequently, two WARC's were convened in 1983 and 1987, MOB-83 and MOB-87, to consider mobile matters. MOB-83 primarily dealt with distress and safety matters. It provided frequencies for the Future Global Maritime Distress and Safety System. It also established a channeling plan, using 3 kHz channel spacing, for ship maritime mobile radiotelephony in the 4 MHz and 8 MHz bands shared with the fixed service. MOB-87 addressed a wide range of mobile telecommunications matters. It created provisions for frequency use, channel plans, communications, and personnel in the aeronautical and maritime mobile services. The ability of MOB-87 to increase the amount of available HF spectrum for use by the maritime mobile service was a result of more efficient use of the HF spectrum by new technology; and the implementation of additional frequency bands made available by WARC-79.(11)
The high frequency broadcasting proposals submitted by the United States achieved mixed results at WARC-92: a number of countries did not support any additional allocations for broadcasting, while numerous other countries proposed the allocation of considerably more HF spectrum for this service. In the end, the conference allocated 790 kHz of additional HF spectrum to broadcasting primarily from the fixed services, including 200 kHz below 10 MHz (the most congested portion of the HF bands). Two limitations were placed on the new broadcasting allocations: 1) broadcasters using this additional HF spectrum must operate in the single-sideband mode; and 2) that it not come into operation until April 2007.(12)
(1)National Telecommunications and Information Administration, U.S. Department of Commerce, NTIA Special Publication 91-23, U.S. Spectrum Management Policy: Agenda for the Future (1991) [hereinafter NTIA Spectrum Policy Study].
(2)National Telecommunications and Information Administration, U.S. Department of Commerce, NTIA Special Publication 94-31, U.S. National Spectrum Requirements: Projections and Trends (1995), [hereinafter NTIA Requirements Study].
(3)National Telecommunications and Information Administration, U.S. Department of Commerce, Land Mobile Spectrum Planning Options, NTIA Special Publication 95-34 (1995).
(4)In the NTIA Requirements Study, the amateur community also expressed a need for spectrum above 30 MHz, but that requirement will be addressed in a separate report.
(5)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 of Frequency Allocations.
(6)Copies of the NTIA new spectrum wall chart, the NTIA Manual, the extract of the NTIA Manual containing the U.S. Table of Frequency Allocations and the FCC Rules (Parts 1 to 19) containing the U.S. Table of Frequency Allocations are available from the Government Printing Office. For ordering information and GPO address, contact Norbert Schroeder, Director, NTIA's Openness Program (ph: 202-482-3999, fax: 202-501-6198, or email: nschroeder@ntia.doc.gov).
(7)To obtain complete allocation information (internationally), the current version of Article 8 of the ITU Radio Regulations must be examined.
(8)George Arthur Codding, Jr., The International Telecommunication Union, 108-130, (ed 1972).
(9)The term "Administrations" used in this report refers to a nation's spectrum management authority(ies).
(10)James G. Savage, The Politics of International Telecommunications Regulation, 36-55, (1989).
(11)W.B. Grant et al., National Telecommunications and Information Administration, NTIA Report 89-141, Spectrum Resource Assessment of Government Use of the HF (3-30 MHz) Band, at 16-22 (June 1989).
(12)The 790 kHz of additional HF broadcasting spectrum is from the following HF bands: 5900-5950, 7300-7350, 9400-9500, 11600-11650, 12050-12100, 13570-13600, 13800-13870, 15600-15800, 17480-17550, 18900-19020 all kHz. The conditions for use will be fulfilled or modifications to the conditions will be made at a future WRC. For a more detailed discussion of WARC-92 allocation decisions, in particular with regard to HF broadcasting, see U.S. Department of State, U.S. Delegation Report, World Administrative Radio Conference for Dealing with Frequency Allocations in Certain Parts of the Spectrum, 17-19, (July 10, 1992).