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Summary of a Forum on Spectrum Management Policy Reform (2004)
Computer Science and Telecommunications Board (CSTB)

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Summary of a Forum on Spectrum Management Policy Reform Committee on Wireless Technology Prospects and Policy Options Computer Science and Telecommunications Board THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. Support for this project was provided by the Department of Commerce, National Telecommunications and Information Administration, under Contract No. DG133504CN0054. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the organization that provided support for the project. International Standard Book Number 0-309-09243-4 (Book) International Standard Book Number 0-309-53290-6 (PDF) Cover designed by Jennifer M. Bishop. Copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, D.C. 20055; (800) 624-6242 or (202) 334-3313 in the Washington metropolitan area. Internet, . Copyright 2004 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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COMMITTEE ON WIRELESS TECHNOLOGY PROSPECTS AND POLICY OPTIONS DAVID E. LIDDLE, U.S. Venture Partners, Chair YOCHAI BENKLER, Yale Law School DAVID BORTH, Motorola Labs ROBERT W. BRODERSEN, University of California at Berkeley DAVID D. CLARK, Massachusetts Institute of Technology THOMAS E. DARCIE, University of Victoria, British Columbia ANDREA GOLDSMITH, Stanford University DALE N. HATFIELD, University of Colorado at Boulder MICHAEL KATZ, University of California at Berkeley PAUL J. KOLODZY, Stevens Institute of Technology LARRY LARSON, University of California at San Diego DAVID P. REED, Massachusetts Institute of Technology and Hewlett-Packard Labs GREGORY L. ROSSTON, Stanford University DAVID SKELLERN, Cisco Systems Staff JON EISENBERG, Study Director and Senior Program Officer JULIE ESANU, Program Officer KRISTEN BATCH, Research Associate MARGARET MARSH HUYNH, Senior Program Assistant iv

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COMPUTER SCIENCE AND TELECOMMUNICATIONS BOARD DAVID D. CLARK, Massachusetts Institute of Technology, Chair ERIC BENHAMOU, 3Com Corporation ELAINE COHEN, University of Utah THOMAS E. DARCIE, University of Victoria, British Columbia MARK E. DEAN, IBM Research JOSEPH FARRELL, University of California at Berkeley JOAN FEIGENBAUM, Yale University HECTOR GARCIA-MOLINA, Stanford University RANDY H. KATZ, University of California at Berkeley WENDY A. KELLOGG, IBM T.J. Watson Research Center SARA KIESLER, Carnegie Mellon University BUTLER W. LAMPSON, Microsoft Corporation, CSTB member emeritus DAVID LIDDLE, U.S. Venture Partners TERESA H. MENG, Stanford University TOM M. MITCHELL, Carnegie Mellon University DANIEL PIKE, GCI Cable and Entertainment ERIC SCHMIDT, Google Inc. FRED B. SCHNEIDER, Cornell University BURTON SMITH, Cray Inc. WILLIAM STEAD, Vanderbilt University ANDREW J. VITERBI, Viterbi Group, LLC JEANNETTE M. WING, Carnegie Mellon University CHARLES BROWNSTEIN, Director KRISTEN BATCH, Research Associate JENNIFER M. BISHOP, Program Associate JANET BRISCOE, Administrative Officer JON EISENBERG, Senior Program Officer RENEE HAWKINS, Financial Associate PHIL HILLIARD, Research Associate MARGARET MARSH HUYNH, Senior Program Assistant ALAN S. INOUYE, Senior Program Officer HERBERT S. LIN, Senior Scientist LYNETTE I. MILLETT, Program Officer DAVID PADGHAM, Research Associate CYNTHIA A. PATTERSON, Program Officer JANICE SABUDA, Senior Program Assistant BRANDYE WILLIAMS, Staff Assistant STEVEN WOO, Dissemination Officer For more information on CSTB, see its Web site at , write to CSTB, The National Academies, 500 Fifth Street, N.W., Washington, DC 20001, call at 202-334-2605, or e-mail CSTB at cstb@nas.edu. v

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Preface Pursuant to a May 29, 2003, executive memorandum, which established a Federal Government Spectrum Task Force and an associated public outreach program, the National Telecommunications and Information Administration convened a series of public forums to bring together a variety of stakeholders to present their views on spectrum management policy. The Computer Science and Telecommunications Board (CSTB) of the National Research Council was asked to convene one of these forums. CSTB organized a public forum on February 12-13, 2004, at which a variety of government and private sector stakeholders were asked to present their views on spectrum policy (the agenda appears in Appendix A). The forum was organized and this summary report was prepared under the auspices of CSTB's Committee on Wireless Technology Prospects and Policy Options, which is currently also carrying out a comprehensive assessment of wireless technology and application trends and their implications for spectrum management and policy. Speakers at the forum were given roughly 10 minutes to provide their views on issues identified in the executive memorandum (Box P-1). A brief period was provided at the end of each session for discussion among panelists and for questions from the organizing committee and attendees. Many speakers prepared slides for use in their presentations; copies of most are available from CSTB's Web site, . This report provides the committee's summary of a number of the remarks made by panelists. Although the summary was prepared by the National Academies based on presentations and discussion at the forum, the comments do not necessarily reflect the view of the committee, nor are they findings or recommendations of the National Academies. The committee's broader consideration of spectrum policy and its findings and recommendations will appear in its final report, to be released in early 2005. The committee would like to thank all the participants in the forum for their thoughtful presentations. It would also like to thank the National Telecommunications and Information Administration (NTIA) for sponsoring the event, and it extends special thanks to Norbert Schroeder at NTIA for all his help in making the forum possible. David E. Liddle, Chair Committee on Wireless Technology Prospects and Policy Options vii

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BOX P-1 Mission and Goals of the Department of Commerce's Spectrum Policy Initiative Sec. 2. Mission and Goals. The Initiative shall undertake a comprehensive review of spectrum management policies (including any relevant recommendations and findings of the study conducted pursuant to section 214 of the E-Government Act of 2002) with the objective of identifying recommendations for revising policies and procedures to promote more efficient and beneficial use of spectrum without harmful interference to critical incumbent users. The Department of Commerce shall prepare legislative and other recommendations to: (a) facilitate a modernized and improved spectrum management system; (b) facilitate policy changes to create incentives for more efficient and beneficial use of spectrum and to provide a higher degree of predictability and certainty in the spectrum management process as it applies to incumbent users; (c) develop policy tools to streamline the deployment of new and expanded services and technologies, while preserving national security, homeland security, and public safety and encouraging scientific research; and (d) develop means to address the critical spectrum needs of national security, homeland security, public safety, the federal transportation infrastructure, and science. ___________________________ SOURCE: Executive Office of the President (EOP), 2003, Executive Memorandum: Spectrum Policy for the 21st Century, Washington, D.C., May 29, available online at . viii

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Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council's Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: Gerald R. Faulhaber, University of Pennsylvania, Kevin C. Kahn, Intel Corporation, Dipankar Raychaudhuri, Rutgers University, and Steven S. Wildman, Michigan State University. Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by James J. Mikulski, Motorola (retired). Appointed by the National Research Council, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. ix

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Contents 1 SUMMARY OF REMARKS MADE BY FORUM PANELISTS 1 Federal Spectrum Users: Defense, Justice, Transportation, and Aviation, 1 Federal Spectrum Users: Scientific Uses, 2 State and Local Government Users, 4 Federal Spectrum Management Authorities, 5 Frequency Managers and Amateur Radio, 6 Consumer Advocacy Organizations, 8 Cellular Carriers, 8 Broadcasting Services, 9 Commercial and Government Services and Applications, 10 Technology, Standards, and Commercial R&D, 11 Wi-Fi and Broadband Wireless Access Technologies, 12 Government and Academic Research and Development, 13 APPENDIXES A Forum Agenda 17 B List of Slide Presentations 22 C Biographies of Speakers 24 D Biographies of Committee and Staff Members 39 xi

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