the international and national spectrum management ... · ¾are essential for efficient national...

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InternationalTelecommunicationUnion

ITU-D Regional Development Forum for the Arabic Region“Access to Spectrum, including broadcasting services –

trends and technologies”Tunis, Tunisia, 1 – 3 June 2009

The International and national Spectrum Management Frameworks

andthe Next World

Radiocommunication Conference

Philippe AubineauCounsellor, Study Group Department,

ITU Radiocommunications Bureau

ITU-D Regional Development Forum for the Arabic Region, Tunis, Tunisia, 1-3 June 2009 2

The International Telecommunication Union

Headquarters in Geneva, Switzerland

UN specialized agency, concerned with the development of telecommunication networks and services worldwide

144 years old(founded on 17 May 1865)

191 Member States, 572 Sector Members, 153 Associates~750 staff / ~70 nationalitiesAnnual budget > $160,000,000Website: www.itu.int

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ITU Overview

ITU

ITU-TTelecommunication

standardization- network and service

aspects

ITU-DPromote and assist the

extension of ICTs to all the world’s inhabitants -

narrowing the digital divide

Committed to connecting the World

ITU-RGlobal radio spectrum management

and radiocommunicationstandardization


ITU Constitution and Radio Regulations Basic Principles on Spectrum Use

see at: http://www.itu.int/publ/S-CONF-PLEN-2007/en see at: http://www.itu.int/publ/R-REG-RR-2008/en

CS 195 (PP-02) (No. 0.2 of the Radio Regulations)Limit to minimum essential the number of frequencies and

the spectrum used. Apply the latest technical advances, “asap”

CS 196 (PP-98) (No. 0.3 of the Radio Regulations)Radio frequencies and any associated orbits are limited

natural resources ⇒ rational, efficient and economical useCS 197 (PP-98) (No. 0.4 of the Radio Regulations)

Not to cause harmful interference to the radio services of other Member States or of recognized or duly authorized operating agencies ⇒ equitable accessCS 198 (PP-98) Each Member State undertakes to require the operating agencies which it recognizes … to observe No. 197

CS Articles 44 & 45 – RR Preamble

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“To ensure rational, equitable, efficient and economical use of the radio-frequency spectrum by all radiocommunication services, including those using satellite orbits, and to carry out studies and adopt recommendations (standards) on radiocommunication matters.”

→ to facilitate equitable access to and rational use of the natural resources of the radio-frequency spectrum and the geostationary-satellite orbit;→ to ensure the availability and protection from harmful interference of the frequencies provided for distress and safety purposes;→ to assist in the prevention and resolution of cases of harmful interference between the radio services of different administrations;→ to facilitate the efficient and effective operation of all radiocommunication services;→ to provide for and, where necessary, regulate new applications of radiocommunication technology.

International regulatory framework :

ITU-R mission


• Advises on most efficient operation and use of spectrum & orbitresources • Maintains central data repository (e.g., MIFR) & essential documents and database records of the ITU-R Sector • Checks compliance with Radio Regulations• Provides assistance to administrations

WRCRA

SG & SC

CPMRadiocommunication Bureau

SPACE & TERRESTRIAL services

Technical examinations

Draft RoPHarm. Interf.

Director

SSD TSD IAPSGD

MIFRFindings

RRBRAGRec

RoP

RR

• Supports radio conferences, the RRB, the ITU-R Sector

Radiocommunication Bureau (BR)

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The Radio Regulations

The Radio Regulations (treaty status, CS 31) includes:•Articles (Volume 1), •Appendices (Volume 2), •WRC Resolutions and Recommendations(Volume 3),•ITU-R Recommendations incorporated by reference (Volume 4).Table of Frequency Allocations for all radio services (Article 5)

Regulatory procedures (coordination, plan modification, notification, recording) to implement frequency assignments


WRC Purposes

Updates the Radio Regulations (CS 89)(treaty status)

• Spectrum Allocation• Coordination and Notification procedures• Administrative and operational procedures

Adopts ResolutionsHeld every 3-4 years (CS 90)

WRC RR

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Carry out studies without limit of frequency range, adopting Recommendations (standards) on radiocommunication matters

Other important Role of ITU-R:Radiocommunication Standardization

Need recognized in early days of radio:• Commercial (public correspondence with ships)• Safety and distress (maritime “watch” frequencies, SOS)

Importance for Governments• Meet international obligations• Stimulate national social and economic progress

Importance for Manufacturers • Reduced complexity, economies of scale, global market

Importance for Service providers• Interconnection, multiple equipment sources

Importance for Users• Lower costs, wider choice, dependability, global use


Technical characteristicsSharing criteria/assessment

Spectrum managementOperational aspects …

ITU Constitution,Convention

High level principles,rights and obligations Plenipot

Table of Frequency AllocationsSatellite orbit/terrestrial Plans

Frequency coordinationFrequency registration

Emergency procedures …

Radio RegulationsBi/multilateral Agreements

WRCRRC

ITU-RRecommendations

ITU-R Reports,Handbooks,

software tools

RA/Mail

StudyGroups

WPs, TGs

International SpectrumManagement Framework

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International regulationsITU Radio Regulations (RR)→ Master International Frequency Registry (MIFR)

Radio Conferences (WRC)Radio Regulations Board (RRB)→ Rules of Procedure (RoP)

StandardizationRadio standards & specificationsSpectrum identification & harmonizationGuidelines & best practices

→ Spectrum Management, IMT, satellite, emergency comms

PlanningRadio Conferences (RRC)

→ Digital Broadcasting Plan GE06

Coo

pera

tion

& g

ood

will

ITU-R activities & instruments


International regulatory framework & National Spectrum Management

Guidance on the regulatory framework for national spectrum management:Based on international principles to govern the spectrum use and on bi/multi-lateral agreements using ITU instruments (CS, CV, RR, ITU-R Recommendations, etc)Need also for regional harmonization and standardization(APT, ASMG, ATU, CEPT, CITEL, RCC)Linkage between international and national regulations(allocations, assignments, licensing, monitoring, interference) preserving States’ rights and obligationsNeed for national legal framework/regulation to take account of national specificities (geographical, geopolitical, cultural, social, economical, etc), especially when market forces influence Spectrum ManagementSee Report ITU-R SM.2093 (http://www.itu.int/publ/R-REP-SM.2093-2007/en)

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Need for Spectrum Management at the National Level

see at: http://www.itu.int/publ/R-HDB-21/en

To ensure availability of the Radio SpectrumFor its efficient and effective use in an interference-free environmentTo stimulate the social and economic progressKey areas of Spectrum Management:-Spectrum Management Fundamentals andSpectrum Engineering – Planning – Economics

-Frequency assignment (table) with licensing/authorizationor license-exempt frequency bands

-Spectrum monitoring (use/efficiency), inspection & investigation-Automation for SM activities-Use of ITU standard format for recording freq. assignmentsSee Recommendation ITU-R SM.1047-1 at:http://www.itu.int/rec/R-REC-SM.1047-1-200107-I/en

see at: http://www.itu.int/publ/R-HDB-23/enhttp://www.itu.int/publ/R-HDB-53/en


Concluding remarks from the National Spectrum Management Handbook

Effective and efficient use of the spectrum requires both:

National Regulations and the Radio Regulations of the ITU

Taking advantage of the spectrum resource would depend on the ability of the Spectrum Management activitiesto facilitate the implementation of radio systems, while ensuring an interference-free environment.Each ADM will manage the spectrum in its own manner, but basic processes are identical to all and described therein.Overview of the 2005 Edition of this Handbook as additional information (on-line at: http://www.itu.int/publ/R-HDB-21/en)

see at: http://www.itu.int/publ/R-HDB-21/en

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Examples of Spectrum Engineering Techniques studied by ITU-R SG 1

Limitation of radiation ISM equipment(Rec. ITU-R SM.1056, http://www.itu.int/rec/R-REC-SM.1056/en)Determination of coordination area around Earth sta. (Rec. ITU-R SM.1448, http://www.itu.int/rec/R-REC-SM.1448/en)Use of Ultra Wide Band devices and technologies(Rec. ITU-R SM.1754, SM.1755, SM.1756, SM.1757, Rep. ITU-R SM.2057)

Unwanted Emissions in Out of Band & spurious domains (Rec. ITU-R SM.329, SM.1535, SM.1539, SM.1540, SM.1541, SM.1542)

Description of Monte Carlo simulation methodology for use in sharing & compatibility studies (Report ITU-R SM.2028)

Production and mitigation of Inter-modulation products in the transmitter (Report ITU-R SM.2021)


Spectrum Monitoring Handbook (Ed. 2005 + Supplement (2008)

Provides latest detailed information on all aspects of spectrum monitoring (tasks in Recommentation ITU-R SM.1050)- Tasks, structure, operation and management of the monitoring service- Characteristics: monitoring antenna, receivers, Direction Finding (DF)

specific and other peripheral equipments (see 2008 Supplement)- How to perform measurements of Frequency, Field strength and PFD,

Spectrum occupancy, Bandwidth, Modulation, DF and location, Identification, Signal analysis

- Specific equipments and measurements, e.g. Space emissions (Suppl.)- Background fundamentals and System planning and Tender (Suppl.)

Help establishing and operating monitoring facilities, an essential tool of efficient S/M activities for the performance of networks in an interference-free environment.Next complete Edition under preparation to update other parts(e.g. measurements and specific radio applications)

New Report ITU-R SM.2130: Inspection of Radio Stations

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Economic aspects of Spectrum Management (1)

General use of a completely free market approach not feasible due to technical, economic, and social reasons

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However, economic approaches (auctions, transferable and flexible spectrum rights, well designed spectrum fees)

are essential for efficient national spectrum managementcan also help to fund national spectrum management programmes (e.g. spectrum monitoring, development of new services, international representation),to ensure operation of radio services on a non-interference basis

Few frequency bands are used on a license-exempt basis (e.g. ISM bands for WiFi, Bluetooth, etc) due to power limitations and short-range transmissions, but without afforded protection


Auctions and Transferable and flexible spectrum rights appear best-designed to promote and ensure efficient useof spectrum when there are several competing applicants

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Economic aspects of Spectrum Management (2)

Indeed, auctions may not be appropriate forservices in which there is limited competitionsocially desirable services: safety of life, climate change, etc.for international services such as satellite services

For some of these services, fees may be more appropriate. Fees can promote efficient use of the spectrum providedthat they incorporate the correct economic incentives:

not set too low , so as to be negligible in the eyes of spectrum users, ornot set too high, so as to exceed what a market would set, in which case spectrum will sit idle and generate no benefits.

See Report ITU-R SM.2012-2 at http://www.itu.int/pub/R-REP-SM.2012-2-2005/en

See also joint activities with ITU-D on WTDC Resolution 9 (Rev.Doha, 2006)

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Need to preserve some Spectrum Resources

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In parallel to the increasing interest in spectrum pricing, there is still a need to preserve some spectrum resources for non-commercial type of applications, important for mankind, such as:

Emergency radiocommunications for Public Protection and Disaster Relief, Further information at: http://www.itu.int/ITU-R/go/emergency, see also Resolutions 644 (Rev.WRC-07), 646 (WRC-03), 647 (WRC-07)

Safety of life in maritime and aeronautical services:- new services capable of delivering maritime safety information,

Resolutions 351 (Rev.WRC-07) and 357 (WRC-07), - safety and regularity of flights in civil air transportation, Resolutions

222 (Rev.WRC-07), 413 (Rev.WRC-07), 417 (WRC-07), 420 (WRC-07), 421 (WRC-07)

Climate change: use of ICT for weather and climate change monitoring, prediction, detection and mitigation of hurricanes, typhoons, thunderstorms, earthquakes, tsunamis, man-made disasters, etc, see also at: http://www.itu.int/themes/climate/ and http://www.itu.int/ITU-R/go/climate-change


Meeting new Challenges

Evolving and emerging technologies:a) Digitalization - how to deal with the digital dividend

(e.g. see ITU RRC-06 Final Acts - Digital Terrestrial Broadcasting)b) Spread spectrum, Ultra-Wide Band technologies

(see Rec. ITU-R SM.1055, SM.1754, SM.1755, SM.1756, SM.1757 and Report ITU-R SM.2057)

c) Development of software defined radio and cognitive radio systems

d) Use of smart antennase) Increasing use of Short-Range radio Devices

(RFID, etc) (see Recommendation ITU-R SM.1538-2).⇒ Items c) and e) are on WRC-11 Agenda

2020

Meeting new Challenges (1)

Convergence of radio services (FSS & BSS, Fixed & Mobile, Broadcasting & Mobile, etc.);⇒ Also on WRC-11 Agenda in term of enhancing the

international regulatory framework

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Meeting new Challenges (Cont’d)

Increasing use of economical methods in spectrum management:

Spectrum fees;Auctioning,Etc.

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Meeting new Challenges (2)

Improving frequency planning (spectrum sharing and redeployment (Rec. ITU-R SM.1132 & SM.1603))and new Electro-Magnetic Compatibility (EMC) assessment methods.

With technological innovations and improved regulatory mechanism, it is expected to satisfy the increasing demands for spectrumITU and Next WRC can help in that respect …


Some WRC-11 related Issues

Software defined Radio & Cognitive Radio Systems Frequency spectrum congestion, mainly in urban areas, leads to development of new radio technologies (SdR & CRS)⇒ could provide more flexible and efficient use of the spectrum⇒ so far, no changes are expected to the Radio Regulations

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Some WRC-11 related Issues

Use of Short Range radio Devices (SRD)Study the impact on radio services of the increasing use of SRD (incl. ISM), proliferating across various frequency bandsConvergence of radio technologies / Def. of servicesGrowing demand of new applications based on a convergence of radio technologies, combining elements of different historical radio services⇒ need to review and enhance the international

regulatory framework⇒ could have also significant impact on national

spectrum management

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Enhancing the international regulatory framework at WRC-11 (1)

Background Common interest in rational, efficient and economic use of the frequency spectrumChanges to accommodate converging services rely on a combination of radiocommunication service definitions, allocations and procedures ⇒ need for additional studies prior to WRC-11

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4 possible Options identified by WRC-07 see Resolution 951 (Rev.WRC-07)1) continue to use the current practice2) review the radiocommunication service definitions3) enable radiocommunication service substitution4) use of composite radiocommunication services



WRC-07 ask for more studies based on 3 steps, to:i) evaluate options; ii) develop concepts and procedures including sharing studies on a band-by-band basis; iii) prepare technical and regulatory solutions for WRC-11

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- Change RR definitions of FS and of Fixed, M & LM Stations- Examine, band by band, how to accommodate convergence- Examine difficulties to introduce applications with same

characteristics for different purposes in different radio services

- Consideration of changes to satellite services def. & allocat.- Study allocations based on classes of radio environment

- Proposals to study regulatory procedures for satellite services - Provide principles to be used to satisfy this agenda item- Views from industry on introduction of new technologies


On-going ITU-R studies for WRC-11:

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Other Topics on WRC-11 Agenda

Aeronautical issues

Maritime & Amateur issues

Scientific issues

Other Science & Satellite issues

IMT and other Radiocom. Services issues


Increase and high-priority of Aeronautical Route communications by satellite for safety and regularity of flights in civil air transportation

Aeronautical issues

Aeronautical community needs for safety-critical radiocommunication data links and new applications / concepts in air traffic management

Unmanned Aircraft Systems: Increasing radio-communications for UAS systems in same environment as manned aircrafts, as well as in specific environments not accessible to manned aircrafts

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Maritime & Amateur issues

Maritime issuesIntroduction of new digital technologies better responding to emerging demand for new services capable of delivering maritime safety informationIncreasing need to enhance ship and cargo identification, tracking, surveillance and ship and port security and safety

Amateur issuesProvide ultra-reliable regional communications to the Amateur Radio Service to enable it to serve in cases of natural emergency situations as a backup to public communication channels


Scientific issues

Radiolocation issuesEmerging requirements for increased resolution of radars operations, enabling space object detectionUse of HF oceanographic radars for environmental, oceanographic, meteorological, climatological, maritime and disaster mitigation operationsScience issuesProtection of spectrum use by passive services for climatological and meteorological purposes as well as for Radio astronomy (in bands from 275 to 3 000 GHz)

Needs for future high-resolution sensors at 8GHz, for weather forecast, climate changes, hazard predictions

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Other Science & Satellite issues

Other science issuesMetAids/Passive systems used for lightning detection and locations, and for Operational and safety-of-life services providing warnings of extreme weather events (systems using VLF bands)Growing interest in space exploration with both robotic and manned missions (particularly towards and around the Moon: examining terrain, environment and potential landing sites)Satellite issuesNeed for worldwide spectrum allocation for position & time radio-determination by Satellite, offering great societal benefits


Use of the digital dividend resulting from the analogue to digital television transition – Spectrum opportunities for new applications (IMT-Advanced, 3D-TV, …)

IMT and other services issues

Need for additional spectrum allocation(s) to meet the requirements for satellite component of IMT as well as those of other mobile communications by satellite

Development of high-speed data fixed wireless applications in spectrum above 70 GHzUse of high altitude platform stations (HAPS)

Increase harmonization of spectrum use for coverage of international events (ENG), including emergencies, natural disasters, breaking news

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Preparation pursuant to Resolution 72 (Rev. WRC-07)Six regional groups:

For the preparation of common and coordinated proposals

WRC Regional Preparation


WRC-11 Regional PreparationsRegional group meetings:

•APG2011-1, 06 – 08 March 2008, Bangkok, Thailand•APG2011-2, 22 – 26 June of 2009, Hangzhou, PR China

•CPG11-3, 21 – 23 April 2009, Prague, Czech Republic•[CPG11-4, 14 – 16 October 2009, Greece]

•ITU meeting, in collaboration with ATU, Geneva, 14-16 Sept. 2009

•XII PCC.II, 16 – 19 Sep. 2008, Mar Del Plata, Argentina•XIII PCC.II, 2 – 5 June 2009, Ottawa, Canada

•WG-3: 10 – 13 Mar. 2009, Moscow, Russian Federation•COMs: 7 – 9 April 2009, Tashkent, Uzbekistan •[not yet communicated]

Regional Commonwealth in the field of Communications

Asia Pacific Telecommunity

African Telecommunications Union

European Conference of Postal and Telecommunications Administrations

Inter-American Telecommunication Commission

•12th ASMG, 8 – 12 March 2009, Dubai, UAE•13th ASMG, [March 2010, Tunis, Tunisia]

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WRC-11 Web Pages (1)http://www.itu.int/ITU-R/go/wrc-11


http://www.itu.int/ITU-R/go/wrc-11-regionalWRC-11 Web Pages (2)

http://www.itu.int/ITU-R/go/wrc-11-cept

http://www.itu.int/ITU-R/go/wrc-11-asmg

http://www.itu.int/ITU-R/go/wrc-11-atuhttp://www.itu.int/ITU-R/go/wrc-11-citel

http://www.itu.int/ITU-R/go/wrc-11-rcc

http://www.itu.int/ITU-R/go/wrc-11-apt

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Main Steps towards WRC-11

WRC-07: Draft Agenda (Resolution 805 (WRC-07))

Council-08: Agenda (Resolution 1291 (C08))

Last Meetings of regional groups→ Member States’ proposals to WRC-11

Conference Preparatory Meeting (CPM):→ CPM11-1: 19 – 20 Nov. 2007 (Results @CA/171 of 20.12.07)

→ CPM11-2: 14 – 25 Feb. 2011


PublicationCPM Report1 April 2011

Deadline fordraft texts16 Jul. 2010

CPM-11Management Team, 26-30

Jul. 2010

PublicationDraft CPM

Report3 Dec. 2010

CPM11-1 19-20 Nov.

2007

Study Group preparatory work21 Nov. 2007 16 Jul. 2010

CA/171 onCPM11-1 Results,

20 Dec. 2007

Nov. – Dec. 2007

January – December 2008



C-08(12-21Nov.08)

adopt WRC-11 agenda

CPM-11 Steering

Committee

January – September 2011

CPM-11 Steering

Committee

CPM11-214-25 Feb.

2011

~ 2.5 years of studies

Timetable towards WRC-11

Situationas of today

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Additional information

Overview of the ITU-R Handbook on National Spectrum Management

Overview of the ITU-R Handbook on Spectrum Monitoring and its Supplement


The National Spectrum Management Handbook (1)

Chapter 1: Spectrum Management Fundamentals

National laws, regulations and procedureS/M functional responsibilities and requirementsDevelopment of a S/M organizational structure

Chapter 2: Spectrum PlanningExplanations of what it is, why it is important for an efficient S/M and how best it could be implemented.

Chapter 3: Frequency Assignment and Licensing

Explanations of the Regulatory and Technical aspects of the FA process, the central part of the S/M processLicensing: needs for, licence-exempt cases, practices

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Chapter 4: Spectrum monitoring, Spectrum inspection and investigation

General descriptions to stress the importance of these activities for better spectrum planning & freq. sharing aiming at an usable and interference free spectrumMore details in the Spectrum Monitoring Handbook

Chapter 5: Spectrum engineering practicesBrief overview of the technical aspects of:Equipment specifications & certifications, Propagation models, Interference analysis, Sharing of frequencies



Chapter 6: Spectrum economicsFinancing of national spectrum management programSpectrum licensing

(1stcome - 1stserve / Beauty contest / Comparative bidding / Lotteries),

Spectrum rights, Spectrum pricing (fees/auctions)Other details in Report ITU-R SM.2012-2

Chapter 7: Automation for SM activitiesProvides general introduction of this subject,covered in details in the Handbook on Computer-aided Techniques for S/M andduring BR Radiocommunication Seminars

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Chapter 8: Measures of Spectrum utilization and Spectrum utilisation efficiency

Presents analytical methods to assess spectrum usage and suggest measures to increase its efficiency

Annex 1: Spectrum Management trainingDescribes the needs for this essential element of SM activities, must be a continuous and on-going process.

Annex 2: Best practices for national SMList of 21 important points related to SM activities

For the 2005 Edition, see at: http://www.itu.int/publ/R-HDB-21/en


Additional information

Overview of the ITU-R Handbook on National Spectrum Management

Overview of the ITU-R Handbook on Spectrum Monitoring and its Supplement

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ITU-R Handbook onSpectrum Monitoring

Provides latest detailed information on all aspects of spectrum monitoring Would help establishing and operating monitoring facilities, an essential tool of efficient spectrum management activities for the performance of radio-communication networks in an interference-free environment.

Objectives



Overview of its contents (1)

Chapter 1: Spectrum monitoring, a key function of a spectrum management system

Explains this key function for the various SM activities, the national and international monitoring as well as the collaboration between different countries

Chapter 2: Organization, physical structures and personnel

Provides details on the tasks and structure of the monitoring service, its operation and management,the types of monitoring stations, the installation facilities, etc.

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Chapter 3: Monitoring equipment and automation(Supplement) of monitoring operations

Significant update of details about characteristics and use of various monitoring antenna, receivers, Direction Finding (DF) specific and other peripheral equipments

Chapter 4: MeasurementsDescribes the various types of measurements:• Frequency, • Field strength and PFD, • Spectrum occupancy, • Bandwidth, • Modulation, • DF and location, • Identification, • Signal analysisand how to perform those measurements.




Chapter 5: Specific monitoring systems and procedures

Describes specific equipments and measurements for:• Spacecraft emissions (Supplement): major revisions on

factors to be considered, types of interference, geo-location, measurement methods, operational features and examples of tech. solutions and results

• Multimedia and broadcast • Wireless and personal radio systems

(mobile & fixed) • Spread spectrum communications• Microwave links including satellite up-links

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Chapter 6: Fundamentals (Supporting tools)Provides additional background information on:• Global Positioning by Satellite, • Maps, • e.i.r.p. calculations, • propagation models,• Intermodulation/harmonic products,• FFT




Annex 1: Monitoring system planning and tenders(Supplement)

Describes the technical and non-technical aspects to be considered in order to assess the needs for a national spectrum monitoring systemProvides information on how to• define the operation/tasks/equipment specifications • carry out tests/evaluations of the elements providedBriefly explains how to establish international tenders for national spectrum monitoring system, andhow to evaluate the proposals

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ConclusionsNext edition under preparation to updateother parts not covered in the 2008 Supplement:

Include new technological developments for equipments and measurementsExplain new spectrum monitoring requirements and tasks associated with new specific radiocommunication applications

BR publishes in List VIII (see last 2009 Edition) Information from all stations part of the International Monitoring System –(see also Articles 16 & 20 of the Radio Regulations)

the international and national spectrum management ... · ¾are essential for efficient national...

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