The First Responder Network (FirstNet) and
Next-Generation Communications for
Public Safety: Issues for Congress
Linda K. Moore
Specialist in Telecommunications Policy
March 12, 2014February 27, 2015
Congressional Research Service
7-5700
www.crs.gov
R42543
The First Responder Network and NextGeneration Communications for Public Safety
Summary
Since September 11, 2001, when communications failures contributed to the tragedies of the day,
Congress has passed several laws intended to create a nationwide emergency communications
capability. Yet the United States has continued to strive for a solution that assures seamless
communications among first responders and emergency personnel at the scene of a major disaster.
To address this problem, Congress included provisions in the Middle Class Tax Relief and Job
Creation Act of 2012 (P.L.
112-96) for planning, building, and managing a new, nationwide,
broadband network for public
safety communications (FirstNet), and assigned additional radio
, by creating the First Responder Network Authority (FirstNet). The act
assigned 10 MHz of additional radio frequency spectrum to accommodate the new network and
required that the Federal Communications Commission (FCC) assign a license to FirstNet,
comprising the newly assigned frequencies and 10 MHz previously assigned to states by the FCC
for public safety use. In addition, the act has designated federal
appropriations of over $7 billion
for the network and other public safety needs. These funds will
beare provided through new revenue from the auction of spectrum licenses. These and other public
safety and spectrum provisions of the act appear in Title VI, known as the Public Safety and
Spectrum Act, or Spectrum Act.
There are many challenges for public safety leaders and policy makers in establishing the
framework for a nationwide network that meets state, local, and tribal needs for robust,
interoperable emergency communications. For example, emergency communications networks
currently operate on separate networks using different technologies. Because public safety
planning has lagged behind commercial efforts to build next-generation wireless networks, the
work on design and development of technical requirements for a public safety broadband network
is incomplete. Furthermore, each state has its own laws and procedures for building, managing,
and funding its network. Establishing a governance model that accommodates current
investments and future needs without compromising the coherence of a national network is
another challenge. The cost of construction of a nationwide network for public safety is estimated
by experts to be in the tens of billions of dollars over the long term, with similarly large sums
needed for maintenance and operation. In expectation that private sector participation in building
the new network will reduce costs to the public sector, the law has provided some requirements
and guidelines for partnerships, access to spectrum, and shared use of infrastructure. Identifying
and negotiating with potential partners is another challenge for the new network, as is
establishing a revenue stream to fund operations and future investments.
These and other challenges are potential barriers to the success of the new network. To meet them
in a timely manner may require significant investments in human resources in the early stages of
the network. Therefore, yet another challenge to success may arise from federal hiring
requirements and the release of funds to cover salaries and expenses while FirstNet is in start-up
mode.
In addition to monitoring progress in building the new broadband network for public safety,
Congress may want to consider reviewing the role of commercial networks in emergency
response and recovery. Once commercial communications lines are compromised because of
infrastructure failures, interdependent public safety networks are threatened and the ability to
communicate vital information to the public is diminished. New policy initiatives may be needed
to identify critical gaps in communications infrastructure and the means to fund the investments
needed to close these gaps
from the auction of spectrum licenses to the commercial sector.
The establishment of FirstNet is an important step toward reaching what has been a widely shared
national goal since September 11, 2001: the provision of interoperable communications for first
responders. The immediate goal for FirstNet, however, is to provide a broadband network to carry
data, although it will provide an option for voice communications as well. Mission critical voice
communications will, in many states, be available over Land Mobile Radio (LMR) networks
operating on narrowband frequencies previously assigned by the FCC. States participating in
FirstNet may need to continue to invest in and maintain their narrowband networks and will
likely at the same time be required to fund some part of the build out of state Radio Area
Networks proposed by FirstNet, as required in the act. The cost of construction of a nationwide
network is estimated by experts to be in the tens of billions of dollars over the long term, with
similarly large sums needed for maintenance and operation. The law anticipates that some of
these costs will be covered by partnerships that permit access to FirstNet’s spectrum, and shared
use of infrastructure. How much of the benefit of these partnerships will accrue to FirstNet and
how much will be available to the states for state-owned and operated networks in their
jurisdictions is undetermined.
In addition to monitoring progress in building the new broadband network for public safety,
Congress may want to consider ways to ensure that FirstNet will be self-sustaining and that the
states will have adequate funds to participate in FirstNet and to maintain public safety
communications networks.
Congressional Research Service
The First Responder Network and NextGeneration Communications for Public Safety
Contents
Introduction...................................................................................................................................... 1
Key Provisions in the Spectrum Act to Improve Public Safety Communications ........................... 2
Spectrum Assignment Highlights of Progress Through 2014 ....................................................................................................................... 3
Expenditures and Revenue Sources........................................................................... 2
Announced Plans for 2015................ 4
Public Safety Trust Fund ..................................................................................................... 5
Network Construction Fund .... 4
State Participation: The Opt-Out Provision ............................................................................................ 5
FirstNet: Limit on Expenditures .......................................................................................... 6
FirstNet: Fee Income and Other Revenue ................... 4
Additional Provisions in the Spectrum Act to Improve Public Safety Communications ................ 7
Spectrum Assignment ........................................................ 6
State and Local Implementation Fund................................................................................. 6
Other Sources of Funds ............ 7
Expenditures and Revenue Sources........................................................................................... 7
Planning Authority................9
Public Safety Trust Fund ..................................................................................................... 7
FirstNet ..............9
Network Construction Fund .................................................................................................................. 7
State and Local Participation ...... 10
FirstNet: Limit on Expenditures ............................................................................................... 9
Federal Governance ........................................ 10
FirstNet: Fee Income and Other Revenue ......................................................................... 11
Statutory Obligations...........10
State and Local Implementation Fund.............................................................................................. 11
Public-Private Partnerships 11
Other Sources of Funds ..................................................................................................... 13
Infrastructure ........11
Planning Authority................................................................................................................... 14
Timeframe11
FirstNet ............................................................................................................................... 14
Next Generation 9-1-1 ..... 11
Federal Governance ........................................................................................................ 16
Technology and Standards ..................... 13
Statutory Obligations........................................................................................... 17
FirstNet ................... 13
Public-Private Partnerships ........................................................................................................... 18
FCC .. 15
Infrastructure ................................................................................................................................. 18
NIST .. 15
Timeframe ................................................................................................................................ 19
Need for Standards Development .......... 16
Next Generation 9-1-1 .................................................................................. 19
Roaming and Priority Access Within the 700 MHz Band ............................................................. 20
FirstNet Status Report for 201317
Technology and Standards ..................................................................................................... 22
Considerations for Congress.. 19
FirstNet .......................................................................................................... 23
Evolving Network Technologies ................................. 19
FCC ............................................................ 23
Governance .......................................................................... 19
NIST .................................................... 24
Amtrak............................................................................................................................... 24
Conrail ..................................................... 20
Roaming and Priority Access Within the 700 MHz Band .......................................................................... 25
FirstNet ... 21
Evolving Network Technologies ........................................................................................................................... 25 22
Assessment by the GAO .......................................................................................................... 2622
Contacts
Author Contact Information........................................................................................................... 2723
Congressional Research Service
The First Responder Network and NextGeneration Communications for Public Safety
Introduction
The importance of wireless communications in emergency response has expanded in parallel with
increasing reliance on mobile communications across all sectors of the American economy. The
consequences of failure in emergency communications networks have also grown, as the nation
witnessed on September 11, 2001, and in the days that followed, as first responders and other
emergency workers struggled to communicate with each other. The need for robust emergency
communications was again underlined by network failures in the wakes of Hurricanes Katrina
and Rita, in 2005. Fixing the problems of communications interoperability and operability that
hampered response and recovery in these and other catastrophic events has been and remains a
long-term goal of policy makers.
After September 11, many experts recognized that a first responder communications network with
national coverage would provide the standards and connectivity needed for interoperability and
survivability. The National Commission on Terrorist Attacks Upon the United States (9/11
Commission) also recognized the role of networks in providing interoperability, citing the Army
Signal Corps as a possible model in recommendations to Congress.1
From 2002 through 2007 Congress passed several laws intended to provide the Department of
Homeland Security with the tools to plan for a national network. Efforts fell short of
congressional expectations, however, in part because federal resources were directed to
maintaining local jurisdiction in decision-making at the expense of coordinating a nationwide
network.2
With the passage of the “Spectrum Act,” Title VI of the Middle Class Tax Relief and Job Creation
Act of 2012 (P.L. 112-96) on February 22, 2012, the Administration, Congress, the public safety
sector, and many other stakeholders have come together to begin the process of developing,
constructing, and operating a nationwide network designed to meet public safety communications
needs. The act has given government agencies and public safety officials new tools for providing
nationwide availability of state-of-the art communications capability for emergency response and
recovery. A new network is to be built to provide broadband communications “on a single,
national network architecture that evolves with technological advancements.”3 The act requires
that recommended minimum technology standards be based on commercial Long Term Evolution
1
Discussed in Congressional Research Service General Distribution Memorandum, “Communications Support for
Public Safety: The 9/11 Commission Report and Alternative Approaches,” by Linda K. Moore, August 25, 2004, and in
CRS Report RL31375, Emergency Communications: Meeting Public Safety Spectrum Needs by Linda K. Moore, 20022003 (out of print; available from the author).
2
Some of the actions by Congress and by federal agencies were summarized in testimony by Linda K. Moore,
Specialist in Telecommunications Policy, Congressional Research Service, before the House Committee on Homeland
Security, Subcommittee on Emergency Preparedness, Response, and Communications, “Ensuring Coordination and
Cooperation: A Review of Emergency Communications Offices Within the Department of Homeland Security,”
November 17, 2011. The GAO has also addressed these issues in reports such as Emergency Communications: Various
Challenges Likely to Slow Implementation of a Public Safety Broadband Network, February 2012, GAO-12-343 at
http://www.gao.gov/assets/590/588795.pdf. CRS reports on the topic include CRS Report R41842, Funding Emergency
Communications: Technology and Policy Considerations; CRS Report R40859, Public Safety Communications and
Spectrum Resources: Policy Issues for Congress; CRS Report RL34054, Public-Private Partnership for a Public Safety
Network: Governance and Policy; CRS Report RL33838, Emergency Communications: Policy Options at a
Crossroads, all by Linda K. Moore.
3
P.L. 112-96, Section 6202 (b).
Congressional Research Service
1
The First Responder Network and NextGeneration Communications for Public Safety
(LTE).4 LTE is a fourth-generation wireless technology that bases its operating standards on the
Internet Protocol (IP). IP-enabled networks and wireless devices provide higher capacity and
transmission speeds than earlier generations of technology. It is generally believed that the use of
LTE and IP standards will greatly enhance communications for emergency response and recovery.
The initial network features specified in the act are consistent with LTE network architectures but
might be applied to other technologies introduced for wireless communications. One of the
limitations of LTE standards is that they are based on earlier cellular networks and do not take full
advantage of the Internet.5 Therefore, although compatibility with current and evolving
commercial LTE technology is deemed by most to be essential for the early stages of its
development, FirstNet is not limited to LTE or LTE Advanced. The emphasis in the Spectrum Act
appears to be on tapping the innovative energy of the commercial sector to assure that the most
effective technologies are available to public safety agencies, to serve the safety of the public.
The initial phases of the FirstNet network deployment will most likely use LTE for transmitting
data and video content only. Mission critical voice communications using standards designed for
Land Mobile Radio (LMR) will be carried on separate networks. In time, many anticipate that IP
standards for radios will replace LMR, bringing new economies of scale and higher levels of
performance. The development of unified communications technologies to provide a national
network places the nation on the path to achieve the long-sought goal of robust, interoperable
communications for first responders.
Key Provisions in the Spectrum Act to Improve
First Responder Network Authority (FirstNet) is a federal agency that includes private sector
and other non-federal representation on its board of directors. FirstNet was created by Congress
with provisions in Title VI of the Middle Class Tax Relief and Job Creation Act of 2012 (P.L.
112-96) to ensure the deployment and operation of a nationwide, broadband network for public
safety communications. It is established as an “independent authority”1 within the National
Telecommunications and Information Administration (NTIA), part of the Department of
Commerce.
In addition to establishing the structure and goals for FirstNet, Congress provided $7 billion for
costs related to planning and deploying the network, and a $135 million grant program to assist
states with plans to connect their state radio area networks to FirstNet.2 These funds are provided
from revenue realized through the auction of licenses for radio frequency spectrum, as designated
in the act. The anticipated cost of building and operating a nationwide core broadband network
and the interoperable radio networks that connect to it is significantly in excess of the amount
appropriated; the act therefore provides for public-private partnerships with FirstNet and for fees
to states and other users to ensure that FirstNet becomes self-sustaining. To attract private sector
partners, FirstNet can offer access to its assets, including radio frequency spectrum capacity in
return for financial payment or other support. FirstNet holds a license for 20 MHz3 of federal
spectrum assigned by the Federal Communications Commission (FCC) for broadband use, as
required by the act. The act allows states that meet specified requirements to lease spectrum from
FirstNet and thereby negotiate their own partnerships to share spectrum in radio area networks for
their state or region. The viability of these partnerships depends in part on the amount of
spectrum that will be made available to the state.
There are many challenges for public safety leaders and policymakers in establishing the
framework for a nationwide network that meets state, local, and tribal needs for robust,
interoperable emergency communications. For example, emergency communications networks
currently operate on separate networks using different technologies. Furthermore, each state has
its own laws and procedures for building, managing, and funding its communications.
Establishing a governance model that accommodates current investments and future needs of its
state, local, and territorial clients, without compromising the coherence of a national network, is
among the challenges facing FirstNet.
Although progress has been made since the FirstNet board first met officially in September 2012,
their plans, as outlined in a September 2014 RFI, Request for Information for Comprehensive
Network Solution(s),4 are focused on providing the core service for a broadband network. Missing
so far from the planning process is the inclusion of plans to incorporate state and local
1
P.L. 112-96, Section 6204 (a).
P.L. 112-96, Section 6202 (b) (2) (B).
3
For purposes of allocation and assignment, spectrum is segmented into bands of radio frequencies measured in cycles
per second, or hertz. Standard abbreviations for measuring frequencies include kHz—kilohertz or thousands of hertz;
MHz—megahertz, or millions of hertz; and GHz—gigahertz, or billions of hertz. The designation can refer to an entire
band, such as the 700 MHz band, or to specific frequencies within a band.
4
First Net, Request for Information for Comprehensive Network Solution(s), September 17, 2014,
http://www.firstnet.gov/sites/default/files/
Request%20for%20Information%20for%20Comprehensive%20Network%20Solutions.pdf.
2
Congressional Research Service
1
The First Responder Network and NextGeneration Communications for Public Safety
narrowband (primarily voice) networks into FirstNet’s Public Safety Broadband Network. Since
September 11, 2001, state and local agencies have invested in improving the reliability and
interoperability of Land Mobile Radio (LMR) communications. The 2014 National Emergency
Communications Plan prepared by the Department of Homeland Security emphasizes the need to
continue investment in these networks to provide communication for first responders until such
time as FirstNet is deployed and capable of handling mission-critical voice communications.5
The responsibility for planning to upgrade existing voice networks for interoperability and
integrate them with FirstNet appears to fall to the states. The states also must fund existing
networks that provide mission critical voice communications while investing in connections to
FirstNet’s data network. As FirstNet moves from Requests for Information, to Requests for
Proposals, to the awarding of a contract or contracts to deploy and operate its broadband network,
it may become clear how the needed technical support and funding for state participation will be
supplied.
Highlights of Progress Through 2014
The complexities of setting up FirstNet as a federal agency are generally accepted as a primary
cause of slow progress in its initial months of operation.6 The pace of activity increased in 2014
and FirstNet was able to show measurable accomplishments by yearend. The planning vehicle
that has been shared with the public is an executive summary of a “Roadmap,”7 adopted by the
FirstNet board in March 2014.8 The Roadmap focuses on milestones needed to develop a
definitive business plan and complete state-based plans. The milestones are
•
Staff and resource the organization;
•
Complete an open, transparent, and complete process for comprehensive network
proposals based upon FirstNet LTE performance requirements, operating
standards, and certified devices;
•
Complete an open, transparent, and competitive process for network equipment
and services proposals based on detailed technical requirements, resulting in
multiple awards that could supplement or substitute for all or part of a
comprehensive network proposal;
•
In conjunction with each of the comprehensive network and network equipment
and services processes, obtain proposals for covered leasing agreements that will
provide value for our excess network capacity;
5
Department of Homeland Security, National Emergency Communications Plan, p7: “… the primary means to achieve
mission critical voice communications.” At http://www.dhs.gov/sites/default/files/publications/
2014%20National%20Emergency%20Communications%20Plan_October%2029%202014.pdf
6
Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology,
“Oversight of FirstNet and the Advancement of Public Safety Wireless Communications,” testimony of Samuel Ginn,
Chairman, FirstNet, November 21, 2013.
7
“FirstNet Program Roadmap Executive Summary,” at http://firstnet.gov/sites/default/files/
FirstNet%20Program%20Roadmap%20Executive%20Summary_03112014.pdf.
8
FirstNet News, “FirstNet Board of Directors Meets on Strategic Roadmap,” March 11, 2014, http://www.firstnet.gov/
news/firstnet-board-directors-meets-strategic-roadmap.
Congressional Research Service
2
The First Responder Network and NextGeneration Communications for Public Safety
•
Complete testing and validation of critical features and functionality of the
network;
•
Conduct state outreach and complete consultations9; and
•
Review aggregated information to determine pricing for approval by the NTIA.
At the June 2014 meeting10 of the FirstNet board the following actions in support of the Roadmap
were announced:
•
The charter for the Public Safety Advisory Committee (PSAC) was formally
adopted. By-laws for the PSAC, required by the act, were adopted at the
organizing meeting of the First Net Board of Directors on September 25, 2012.11
There are no requirements in the statute as to the composition of the committee.
•
The process for compliance with the National Environmental Policy Act was
approved.
In September 2014, the board approved resolutions “designed to generate valuable perspectives
from public safety, industry, and the general public on important foundational issues regarding the
development of the network.” At the same meeting, the board approved a FY2015 budget for
FirstNet, not to exceed $120 million. At a subsequent meeting,12 the Finance Committee approved
obligations of $86.2 million, including up to $42.5 million for a comprehensive Request for
Proposal (RFP) and some network development activities; $22.3 million on consultation,
planning, and outreach activities; and up to $21.4 million on FirstNet organizational
infrastructure, project support, and administrative functions. Development of the RFP and
consultation programs with states were identified as the “main thrusts” of activities for FY2015.
The Roadmap established four milestones to reach within a year. Actions taken are in brackets.
•
Initiate public notice and comment on certain program procedures, policies, and
statutory interpretations. [Public Notice on Statutory Interpretations, issued
September 2014.]
•
Release draft request for comprehensive network proposals for offeror
comments. [Comprehensive Network Request for Information and Statement of
Objectives,13 issued September 2014.]
•
Release draft requests for certain network equipment and services proposals for
offeror comments.
9
According to information supplied by the NTIA to CRS on January 12, 2015, FirstNet is conducting consultations that
are broader than just the states and the Roadmap has been modified to reflect this action.
10
FurstNet News, “FirstNet Moves Forward on Strategic Program Roadmap in Open Board Meeting,” June 3, 2014,
http://www.firstnet.gov/news/firstnet-moves-forward-strategic-program-roadmap-open-board-meeting.
11
Board Resolution 1, By-Laws, http://www.ntia.doc.gov/files/ntia/publications/
firstnet_resolution_no._1_on_bylaws_adopted_9.25.12.pdf.
12
FirstNet News, “FirstNet Finance Committee Gives Go-Ahead to Fund Key RFP, Consultation Activities in FY15,”
http://www.firstnet.gov/news/firstnet-finance-committee-gives-go-ahead-fund-key-rfp-consultation-activities-fy15.
13
Request for Information for Comprehensive Network Solution(s), September 17, 2014, http://www.firstnet.gov/sites/
default/files/Request%20for%20Information%20for%20Comprehensive%20Network%20Solutions.pdf; posted on
FedBizOpps.gov, https://www.fbo.gov/index?s=opportunity&mode=form&id=
291b788f075a806550ca9c19955793a8&tab=core&tabmode=list&=.
Congressional Research Service
3
The First Responder Network and NextGeneration Communications for Public Safety
•
Begin formal state consultations. [The first consultation was held with the State
of Maryland, July 2014.14]
Announced Plans for 2015
The FirstNet planning process is still evolving and subject to change as the procurement process
moves forward. An update of the Roadmap and other activities, including a tentative timeline for
2015, was provided on September 17, 2014, in presentations by FirstNet officials.15
The published timeline for 2015 shows two parallel tracks that are expected to converge by
yearend. Track One shows the ongoing state consultation process. The second, separate, track
shows the iterative progress from the RFI to a final Request for Proposal and the awarding of a
contract or contracts for the deployment of FirstNet. An important goal for 2015 is to complete
the first round of consultations between FirstNet and each state, as well as consultations with
tribal authorities, territories, and the District of Columbia. Completion of a full cycle of
consultations is currently cited as a pre-condition before moving into the final stages of contract
discussions with potential partners.
As currently envisioned, after the contract or contracts are awarded, the winning bidders will
provide individual proposals for each state for the deployment and operation of FirstNet’s
broadband service within that state. These proposals are to reflect the information gathered during
the state consultation process occurring in Track One. Negotiations between each state and
FirstNet may lead to contract modifications. The finalized contract terms for each state are then
likely to be submitted for final review by the state. The submission of the final proposals to state
governments will probably trigger the required 90-day decision period for each governor to
accept FirstNet’s proposal or to opt-out, in expectation of separately building a Radio Area
Network. The act’s opt-out requirements are discussed below.
State Participation: The Opt-Out Provision
Every state has one or more agencies that plan for public safety, homeland security, and
emergency communications. Most states have a Statewide Interoperability Coordinator (SWIC) to
administer its Statewide Communication Interoperability Plan (SCIP).16 SCIPs are written to
conform with federal guidelines and requirements, such as the National Emergency
Communications Plan. FirstNet is required to consult with regional, state, tribal, and local
authorities regarding decisions such as those concerning the costs of the policies it formulates, as
required in the law, including expenditures for the core network, placement of towers, coverage
areas, security, and priority access for local users. Consultation will be through a state-selected
coordinator as specified in the act.17 Appointment of an individual or governmental body as the
14
FirstNet News, ”FirstNet Holds First State Plan Consultation Meeting Maryland,” July 29, 2014,
http://www.firstnet.gov/news/firstnet-holds-first-state-plan-consultation-meeting-maryland.
15
“Strategic Roadmap Management Update,” http://www.firstnet.gov/sites/default/files/firstnet-strategic-roadmapmanagement-update_0.pdf
16
See “Statewide Interoperability Coordinators” at http://www.dhs.gov/files/programs/gc_1286986920144.shtm.
17
P.L. 112-96, Section 6206 (c) (2) (B).
Congressional Research Service
4
The First Responder Network and NextGeneration Communications for Public Safety
Single Point of Contact (SPOC) is also required as a condition of state participation and eligibility
to receive grants established by the act.18
States may decide to use the existing SWIC as the required single point-of-contact or may choose
to appoint a separate coordinator. Each state and other participants have successfully appointed a
coordinator to work directly with FirstNet.19 The coordinator (SPOC) is responsible for managing
FirstNet activities in his or her state. Often this includes revising the existing SCIP to include
broadband communications.
The governor of each state is to be notified by FirstNet when it has completed its requests for
proposals regarding construction, operation, maintenance, and improvement of a nationwide
network. The governor or his designee will receive the details of the proposed plans and
notification of the amount of funding available to the state if it participates in the FirstNet
program.20
The act only identifies two options for a state: join FirstNet or build a statewide radio access
network subject to the provisions of the act. The act does not include specific provisions for a
state that chooses to build its own radio access network without opting out of FirstNet, although
providing such an option may be within FirstNet’s charter. A state might, for example, choose to
build its own data management center or mobile access routers while also sharing FirstNet’s
infrastructure for regional and national coverage. The act also is silent on whether states may
choose to opt out of the broadband network entirely, choosing neither to join FirstNet nor to build
a broadband network on the frequencies assigned to FirstNet.21 Some states may prefer to
concentrate their resources on improving mission-critical voice networks and acquire broadband
access from a commercial provider or through other means.
A state that chooses to build its own radio access network must submit an alternative plan for
construction, operation, maintenance, and improvement of the radio access network within the
state. The state must demonstrate to the FCC, which the law requires to review the plan, that its
planned radio access network would comply with minimum technical requirements and be
interoperable with FirstNet. The state has 90 days to agree to participate or to notify FirstNet, the
NTIA, and the FCC of its intent to deploy its own part of the radio access network, and an
additional 180 days to provide its plan to the FCC.22
If the FCC does not approve the plan, the state might be obliged to participate in FirstNet.23 If a
state’s plan is approved it will be eligible to apply for a grant, administered by the NTIA, that will
be funded from the Network Construction Fund created by the act. The amount available may be
less than what would have been provided if the state had opted in to the FirstNet program,
18
P.L. 112-96, Section 6302 (d).
Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology,
“Oversight of FirstNet and the Advancement of Public Safety Wireless Communications,” testimony of Samuel Ginn,
Chairman, FirstNet, November 21, 2013. List of state contacts at http://www.firstnet.gov/sites/default/files/spoc-listdirectory-20150113.pdf.
20
P.L. 112-96, Section 6302 (e) (1).
21
A discussion of courses a state might choose appears in a blog post on medium com: Bill Schrier, “FirstNet: More
Choices than Just Opt-In/out,” February 7, 2015, https://medium.com/@BillSchrier/firstnet-more-choices-than-just-optin-out-cb47b306b62c.
22
P.L. 112-96, Section 6302 (e) (2) and (3).
23
P.L. 112-96, Section 6302 (e) (3) (C) (iv).
19
Congressional Research Service
5
The First Responder Network and NextGeneration Communications for Public Safety
because the grant will be applied only toward building the radio access network and may be
subject to matching grant requirements. Approval of the grant is contingent on meeting additional
requirements established by the NTIA, including sustainability, timeliness, cost-effectiveness,
security, coverage, and services that are comparable to FirstNet.24 The state would be required to
pay a user fee for access to FirstNet’s core network.25 It would not be permitted to enter
commercial markets or lease access to its network except through a public-private partnership.
Any revenue to the state from a partnership must be used only for costs associated with its
broadband network.26
Some industry observers have expressed concern about the impact on the success of the
nationwide broadband network if many states choose to build their own radio access networks.
The cost to FirstNet of building the nationwide network may go up, for example, if anticipated
economies of scale are diminished. It may be more difficult for FirstNet to negotiate the
partnerships that are expected to provide much of the needed funding for the network. A state that
has its plans approved by the FCC may not be able to meet stipulated requirements when its
network is built; absent any action by the FCC to enforce technical requirements, the goal of
seamless interoperability across all broadband systems may be jeopardized. States operating
within and outside the FirstNet deployment plan may, over time, have difficulty in finding the
funds to complete radio access network build-outs, leaving significant gaps in what is intended to
be nationwide coverage.
On the other hand, there are many benefits for independent action by individual states and
regional partnerships of two or more states. For example, LTE networks are relying increasing on
small cell architectures27 that are organized around local nodes. This configuration might
correspond with local jurisdictions, potentially providing better interoperability with the core
network, while reducing capital investment in infrastructure. One advantage for states building
their own radio access networks on FirstNet spectrum is that they may be granted spectrum rights
to part of the public safety license held by FirstNet. Control of this valuable resource strengthens
the state’s position in negotiating partnerships to provide communications services and to control
expenditures within their states. Although the act requires states to use any revenue from
partnerships only to cover costs associated with the state’s network, the states will be able to
make their own decisions about priorities, with more confidence that revenues will be available
when needed.
Although there are potential benefits for states to participate in FirstNet, there are also a number
of risks, especially if FirstNet fails to deliver promised benefits. States may have to pay for
features that they term essential but are not provided through the FirstNet comprehensive network
plan. The success of FirstNet as an accepted planning authority and leader may depend on
whether it makes a compelling business case in the requests for proposals required by the act.
24
P.L. 112-96, Section 6302 (e) (3) (D).
P.L. 112-96, Section 6302 (f).
26
P.L. 112-96, Section 6302 (g).
27
Small cells are low-powered radio access nodes that are used to boost capacity and manage network interference and
connectivity. They can support LTE cellular networks in configurations that include or emulate other standards for
Wide Area Networks (WAN).
25
Congressional Research Service
6
The First Responder Network and NextGeneration Communications for Public Safety
Additional Provisions in the Spectrum Act to
Improve Public Safety Communications
A national program to provide nationwide coverage for public safety communications is to be
developed and managed by a new federal entity, the First Responder Network Authority, or
FirstNet. FirstNet has been established by the act and given broad powers to ensure that the
nationwide public safety broadband network is built, maintained, and kept up-to-date as
technology evolves. In consultation with federal, state, local, and tribal authorities, FirstNet will
develop proposals to construct and manage the network with partners from the private sector,
among others. Following is a discussion of major provisions in the act that pertain to public safety
communications, including provisions to improve the nation’s 911 emergency call system.
Among federal agencies designated by the act to provide consultation and support are the Federal
Communications Commission (FCC), the National Telecommunications and Information
Administration (NTIA), the National Institute of Standards and Technology (NIST), and the
Office of Emergency Communications (OEC). The FCC manages commercial and non-federal
spectrum use, including spectrum allocated to public safety. The NTIA manages federal spectrum
resources and, along with NIST, is an agency within the Department of Commerce. OEC is part
of the Office of Cybersecurity and Communications, Department of Homeland Security.
4
P.L. 112-96, Section 6203 (c) (2).
“Directions for future cellular mobile network architecture,” by Byoung-Jo J. Kim and Paul S. Henry, First Monday:
Peer-Reviewed Journal on the Internet, December 3, 2012, http://firstmonday.org/ojs/index.php/fm/article/view/4204.
5
Congressional Research Service
2
The First Responder Network and NextGeneration Communications for Public Safety
Spectrum Assignment
Radio frequency spectrum is an essential resource for wireless communications. The energy in
electronic telecommunications transmissions converts airwaves into signals to deliver voice, text,
and images. These signal frequencies are allocated for specific purposes, such as television
broadcasting or WiFi,628 and assigned to specific users through licenses. Allocating sufficient
spectrum for wireless emergency communications has long been a concern for Congress. The
Balanced Budget Act of 1997 (P.L. 105-33), for example, directed the FCC to allocate 24 MHz7MHz29
of spectrum in the 700 MHz band for public safety use.830
With the passage of the Spectrum Act, some existing public safety licenses in the 700 MHz band9
band31 and an additional license for commercial use (known as the D Block),1032 –– together totaling
22 MHz, –– have been
re-designated by Congress to support a broadband communications network for public safety. As
for a federal license. As required by the act, the
initial, 10-year license to use these frequencies was assigned by the FCC
to FirstNet. It is
renewable for an additional 10 years, on condition that FirstNet has met its duties
and obligations
under the act.11
33
28
WiFi, for wireless fidelity, operates on unlicensed frequencies that are not assigned to a specific owner but instead
are available to support any device approved by the FCC.
29
Spectrum is segmented into bands of radio frequencies and typically measured in cycles per second, or hertz.
Standard abbreviations for measuring frequencies include kHz—kilohertz or thousands of hertz; MHz—megahertz, or
millions of hertz; and GHz—gigahertz, or billions of hertz. The 700 MHz band includes radio frequencies from 698
MHz to 806 MHz.
30
47 U.S.C. §309 (j) (14).
31
763-768 MHz, 793-798 MHz, 768-769 MHz and 798-799 MHz.
32
758-763 MHz and 788-793 MHz; P.L. 112-96, Section 6001, (2).
33
P.L. 112-96, Section 6201.
Congressional Research Service
7
The First Responder Network and NextGeneration Communications for Public Safety
A total of 34 MHz of spectrum capacity will therefore be available for public safety networks
within the 700 MHz band: the 22 MHz designated for broadband, and 12 MHz allocated for
narrowband communications, primarily voice.1234 Additionally, there are public safety networks on
adjacent frequencies within the 800 MHz band. Time and technological advances may someday
bring these spectrum assets together, but at present there are three distinct public safety network
technologies in use or planned within the 700 MHz and 800 MHz bands. These are: broadband
communications at 700 MHz; interoperable narrowband communications at 700 MHz; and
narrowband communications at 800 MHz. Some of the narrowband networks at 700 MHz and
800 MHz can share infrastructure and radios but older narrowband networks at 800 MHz are
often not easily integrated with narrowband networks being built on 700 MHz frequencies.
All of the 700 MHz band spectrum allocated for public safety use can support broadband
networks. At present, however, there is no tested technology to deliver voice communications
over LTE broadband that meets first responder requirements. New technology that provides pushto-talk voice connections over LTE is likely to be available through FirstNet by the end of 2016.35
The act also The act gives the FCC the authority
to “... allow the narrowband spectrum to be used in a
flexible manner, including usage for public
safety broadband communications.... ” subject to technical and interference protection measures.13
This provision might open an opportunity for early broadband network build-outs by public
safety agencies that want to be in the vanguard of using LTE voice communications technology.
6
WiFi, for wireless fidelity, operates on unlicensed frequencies that are not assigned to a specific owner but instead are
available to support any device approved by the FCC.
7
Spectrum is segmented into bands of radio frequencies and typically measured in cycles per second, or hertz. Standard
abbreviations for measuring frequencies include kHz—kilohertz or thousands of hertz; MHz—megahertz, or millions
of hertz; and GHz—gigahertz, or billions of hertz. The 700 MHz band includes radio frequencies from 698 MHz to 806
MHz.
8
47 U.S.C. §309 (j) (14).
9
763-768 MHz, 793-798 MHz, 768-769 MHz and 798-799 MHz.
10
758-763 MHz and 788-793 MHz; P.L. 112-96, Section 6001, (2).
11
P.L. 112-96, Section 6201.
12
769-775 MHz and 799-805 MHz.
13
P.L. 112-96, Section 6102.
Congressional Research Service
3
The First Responder Network and NextGeneration Communications for Public Safety
technical and interference protection measures.36 States, therefore, might be able to convert some
existing narrowband networks to broadband use in addition to service from FirstNet.
The act requires that public safety users return frequencies known as the T-Band.1437 These are
frequencies between 470 and 512 MHz allocated for television that have been made available for
public safety use in 11 urban areas.1538 Since the transition to digital television, radio transmissions
on some of these frequency assignments have experienced interference and the public safety
agencies that use them are considering moving to new networks at 700 MHz. Other areas have
recently invested to upgrade networks built on the T-Band frequencies and are concerned about
the loss of this communications capacity. The act requires that the FCC act by February 2021 to
establish a relocation plan that would free up the T-Band for reassignment through competitive
bidding. Proceeds from the auctions of T-Band frequencies are to be available for grants to cover
relocation costs.1639 There are no requirements in the law as to how the NTIA, the designated grants
administrator, is to structure the grant program or determine eligible costs, although the agency
might decide to follow procedures for reallocating federal spectrum.
Some of the earliest spectrum assignments for public safety are in channels below 512 MHz.
Public safety and other license-holders in designated channels below 512 MHz are required to
reband their holdings to conform to an FCC mandate to improve spectrum efficiency.17 This
narrowbanding requirement, as it is called, requires that assigned channels be reduced from a
width of 25 khz to 12.5 khz, thereby freeing up new spectrum capacity for public safety and other
uses. The deadline to meet the narrowbanding requirement was January 1, 2013. To accommodate
public safety license holders in the T-Band that now fall under requirements established in the act,
the FCC has ruled to exempt them from the narrowbanding requirements.18
Although not specifically required by the act, several federal agencies have broad powers to
undertake research and development that might further goals for improved performance of
emergency communications systems, as well as more efficient and effective use of all spectrum
resources allocated for public safety use. Many policy makers believe that additional
technological development and planning should be undertaken, although FirstNet’s mandate
appears to limit it to the public safety broadband network to be operated on the spectrum licensed
to it.
Expenditures and Revenue Sources
The cost of building a new wireless communications network is likely to be in the tens of billions
of dollars.19 To meet these costs, the expectation is that FirstNet will have access to existing
infrastructure for some of the network’s components and that it will be able to invest through
partnerships—with commercial wireless carriers or other secondary users of its spectrum and
infrastructure—that generate revenue.
14
P.L. 112-96, Section 6103.
34
769-775 MHz and 799-805 MHz.
Push-to-talk—walkie-talkie—provides the capability for group communications. 3GPP, the international standards
group for LTE, has announced that mission-critical voice communications will be available over LTE networks in
2016. See Donny Jackson, “LTE Standards Group Targeting Mission-Critical Push-to-Talk Voice Spcifications for
Early 2016,” Urgent Communications, February 12, 2015, http://urgentcomm.com/3gpp/lte-standards-group-targetingmission-critical-push-talk-specifications-early-2016?NL=UC-03&Issue=UC-03_20150212_UC-03_140&sfvc4enews=
42&cl=article_2_b&YM_RID=CPEQW000001101112&YM_MID=2611.
36
P.L. 112-96, Section 6102.
37
P.L. 112-96, Section 6103.
38
Metropolitan areas: Boston, MA, Chicago, IL, Dallas/Fort Worth, TX, Houston, TX, Los Angeles, CA, Miami, FL,
New York, NY/Newark NJ, Philadelphia, PA, Pittsburgh, PA, San Francisco/Oakland, CA, and Washington, DC.
1639
The National Public Safety Telecommunications Council (NPSTC) prepared a report that provided an overview of TBand assignments, some of the problems created by the act’s requirements, and possible alternative solutions. NPSTC,
T-Band Report, March 15, 2013; link to PDF at http://www.npstc.org/, “NPSTC Releases T Band Report.”
17
Details at http://transition.fcc.gov/pshs/public-safety-spectrum/narrowbanding.html.
18
FCC, “Waiver of Narrowbanding Deadlines for T-Band (470-512 MHz) Licenses,” Docket No. WT 99-87, released
April 26, 2012.
19
Some cost estimates for building and operating a public safety broadband network are provided in CRS Report
R41842, Funding Emergency Communications: Technology and Policy Considerations, by Linda K. Moore.
15
Congressional Research Service
4
The First Responder Network and NextGeneration Communications for Public Safety
35
Congressional Research Service
8
The First Responder Network and NextGeneration Communications for Public Safety
reband their holdings to conform to an FCC mandate to improve spectrum efficiency.40 This
narrowbanding requirement, as it is called, requires that assigned channels be reduced from a
width of 25 khz to 12.5 khz, thereby freeing up new spectrum capacity for public safety and other
uses. The deadline to meet the narrowbanding requirement was January 1, 2013. To accommodate
public safety license holders in the T-Band that now fall under requirements established in the act,
the FCC has ruled to exempt them from the narrowbanding requirements.41
Expenditures and Revenue Sources
The cost of building a new wireless communications network is likely to be in the tens of billions
of dollars.42 To meet these costs, the expectation is that FirstNet will have access to existing
infrastructure for some of the network’s components and that it will be able to invest through
partnerships—with commercial wireless carriers or other secondary users of its spectrum and
infrastructure—that generate revenue.
The Spectrum Act provides over $7 billion in funding directed to FirstNet and to states, either as
direct transfers or as grants. There is an initial loan of $2 billion (repayable from spectrum-license
auction proceeds) to set up FirstNet and begin its operation.2043 The remaining $5 billion will
become available as auctions for spectrum licenses are concluded and the revenues deposited in
the Public Safety Trust Fund.
Public Safety Trust Fund
The law provides for transfers from a Public Safety Trust Fund, which is established in the
Treasury by the act, to receive revenues from designated auctions of spectrum licenses.2144 The
designated amounts are to remain available through FY2022, after which any remaining funds are
to revert to the Treasury, to be used for deficit reduction. Auction proceeds are to be distributed in
the following order of priority:
•
To the NTIA, to reimburse the Treasury for funds advanced to cover the
initial costs of establishing FirstNet: not to exceed $2 billion.
•
To the State and Local Implementation Fund for a grant program: $135
million.
•
To the Network Construction Fund for costs associated with building the
nationwide network and for grants to states that qualify to build their own
networks: $7 billion, reduced by the amount advanced to establish FirstNet.
•
To NIST for public safety research: $100 million.
•
To the Treasury for deficit reduction: $20.4 billion.
40
Details at http://transition.fcc.gov/pshs/public-safety-spectrum/narrowbanding.html.
FCC, “Waiver of Narrowbanding Deadlines for T-Band (470-512 MHz) Licenses,” Docket No. WT 99-87, released
April 26, 2012.
42
Some cost estimates for building and operating a public safety broadband network are provided in CRS Report
R41842, Funding Emergency Communications: Technology and Policy Considerations, by Linda K. Moore.
43
P.L. 112-96, Section 6207.
44
P.L. 112-96, Section 6413.
41
Congressional Research Service
9
The First Responder Network and NextGeneration Communications for Public Safety
•
To the NTIA and the National Highway Traffic Safety Administration for a
grant program to improve 911 services: $115 million.
•
To NIST for public safety research, phase two: $200 million.
•
To the Treasury for deficit reduction: any remaining amounts from
designated auction revenues.
In compliance with the act, the FCC conducted two auctions in 2014-2015 (Auction 96 and 97)
that generated sufficient revenue to meet funding requirements of the act.45
Network Construction Fund
The Network Construction Fund is established in the Treasury to be used by FirstNet for
expenditures on construction, maintenance, and related expenses to build the nationwide network
required in the act; by the NTIA to make payments to states that are participating in FirstNet; and
by the NTIA for grants to those states that qualify to build their own radio access network links.22
20
P.L. 112-96, Section 6207.
P.L. 112-96, Section 6413.
22
P.L. 112-96, Section 6206 (e).
21
Congressional Research Service
5
The First Responder Network and NextGeneration Communications for Public Safety46
FirstNet: Limit on Expenditures
The act caps FirstNet’s administrative expenses at $100 million in total over the first 10 years of
operation. Costs attributed to oversight and audits are not included in the expense cap.2347
FirstNet: Fee Income and Other Revenue
Congress gave FirstNet the authority to obtain grants, and to receive payment for the use of
network capacity licensed to FirstNet and of network infrastructure “constructed, owned, or
operated” by FirstNet.2448 Specifically, FirstNet is authorized to collect network user fees from
public safety and secondary users25users49 and to receive payments under leasing agreements in publicprivate partnerships.2650 These partnerships may be formed between FirstNet and a secondary user
for the purpose of constructing, managing, and operating the network. The agreements may allow
access to the network on a secondary basis for services other than public safety. 2751 The act
requires requires
that these fees be sufficient each year to cover annual expenses of FirstNet to carry out
required required
activities,2852 with any remaining revenue going to network construction, operation,
maintenance,
and improvement.2953 There is a prohibition on providing service directly to
consumers; this does
not impact the right to collect fees from a secondary user or enter into
leasing agreements.3054
45
For additional information on the auctions, see CRS Report R43256, Spectrum Policy: Provisions in the 2012
Spectrum Act, by Linda K. Moore.
46
P.L. 112-96, Section 6206 (e).
47
P.L. 112-96, Section 6207 (b).
48
P.L. 112-96, Section 6206 (b) (4).
49
P.L. 112-96, Section 6208 (a) (1).
50
P.L. 112-96, Section 6208 (a) (2).
51
P.L. 112-96, Section 6208 (a) (2) (B).
52
P.L. 112-96, Section 6208 (b).
53
P.L. 112-96, Section 6208 (d).
54
P.L. 112-96, Section 6212.
Congressional Research Service
10
The First Responder Network and NextGeneration Communications for Public Safety
State and Local Implementation Fund
The State and Local Implementation Fund was allocated $135 million from the Public Safety
Trust Fund. The NTIA, which administers the grant program for this fund, may borrow up to the
full amount.31 The grants are to be made available to all 56 states and territories to develop a plan
on how to use a nationwide public safety broadband network to meet their emergency
communications needs. The program is to be established as a matching grant program. Federal
grants from the fund are not to exceed 80% of the projected cost to the state, however, the NTIA
may make the decision to waive the matching funds requirement.32 The distribution of available
funds among the states will be established by the NTIA in consultation with FirstNet.33
The NTIA subsequently decided to plan for funding in two phases. The first phase will provide
funding for initial planning and related activities. The deadline for completed applications for
phase one was March 19, 2013. The second phase will address states’ needs in preparing for
additional consulting with FirstNet, and for planning to undertake data collection activities.34
23
P.L. 112-96, Section 6207 (b).
P.L. 112-96, Section 6206 (b) (4).
25
P.L. 112-96, Section 6208 (a) (1).
26
P.L. 112-96, Section 6208 (a) (2).
27
P.L. 112-96, Section 6208 (a) (2) (B).
28
P.L. 112-96, Section 6208 (b).
29
P.L. 112-96, Section 6208 (d).
30
P.L. 112-96, Section 6212.
31
P.L. 112-96, Section 6301.
32
P.L. 112-96, Section 6302 (b).
33
P.L. 112-96, Section 6302 (a).
34
Announcement of Federal Funding Opportunity at http://www.ntia.doc.gov/files/ntia/publications/
(continued...)
24
Congressional Research Service
6
The First Responder Network and NextGeneration Communications for Public Safety
Expenditures by the NTIA from the State and Local Implementation Fund were reported at
$300,000 for FY2012 for administrative costs. Disbursements for administrative costs and grants
funding are estimated at $124,958,000 (base) for FY2013 and $9,700,000 for FY2014.35
The provided
funding for initial planning and related activities. The announced amount available for the first
phase of grants from the fund iswas $121.5 million.36
Grants totaling over $116 million were
awarded to 54 of the 56 eligible states and territories in
FY2013.37 The state of Louisiana and the
territory of the Northern Mariana Islands did not
receive grants.38 Many of the grants will be used
to bolster existing state programs for public
safety communications and interoperability, and for outreach and education.
outreach and education. The second phase will address states’ needs in preparing for additional
consulting with FirstNet, and for planning to undertake data collection activities. The amount
available for grants in the second phase is $10.1 million.
Other Sources of Funds
The construction of this new network represents a significant investment for all participants. State
public safety agencies have multiple obligations to build, upgrade, and equip other networks and
may not be in a position to contribute to building and maintaining the new broadband network.
The ability of FirstNet to procure funding from the private sector may be crucial to its success.
Planning Authority
The Spectrum Act created FirstNet as an independent entity within the NTIA. FirstNet is required
to plan for and establish an interoperable broadband network for public safety. The act requires
that state and local agencies and tribal authorities have a consulting role in the development,
deployment, and operation of the nationwide network. The act further provides an opportunity for
states to plan and build their own radio access networks within the framework of the nationwide
broadband network.3955
FirstNet
When Congress creates an independent entity within the federal government, it may have the
obligation to achieve a specific goal, usually within a specific time frame.4056 As an independent
entity, FirstNet—the First Responder Network Authority—has been given both goals and
timeframes. It has been instructed by Congress to exercise all powers specifically granted by the
(...continued)
sligp_ffo_02062013.pdf.
35
U.S. Department of Commerce, National Telecommunications and Information Administration, FY2014 Budget as
Presented to Congress, April 2013; State and Local Implementation Fund, Exhibit 10.
36
NTIA, “NTIA Announces Availability of $121.5 Million in State Grants to Assist with FirstNet Planning,” February
6, 2013 (http://www.ntia.doc.gov/press-release/2013/ntia-announces-availability-1215-million-state-grants-assistfirstnet-planning) and “State and Local Implementation Grant Program Federal Funding Opportunity,” February 6,
2013 (http://www.ntia.doc.gov/other-publication/2013/sligp-federal-funding-opportunity).
37
NTIA Press release, “More than $116 Million Awarded to Assist States in FirstNet Planning,” September 26, 2013,
http://www.ntia.doc.gov/press-release/2013/more-116-million-awarded-assist-states-firstnet-planning.
38
NTIA, SLIGP Awards, http://www.ntia.doc.gov/sligp/sligp-awards.
39
55
Current information on FirstNet’s activities, including network design and state planning, is available at
http://www.firstnet.gov.
4056
For examples, see CRS Report RS22230, Congressional or Federal Charters: Overview and Enduring Issues, by
Kevin R. KosarHenry B. Hogue.
Congressional Research Service
711
The First Responder Network and NextGeneration Communications for Public Safety
act and “such incidental powers as shall be necessary”4157 to create a nationwide broadband
network for public safety. Unless renewed, this authority expires in 2027.4258 The law requires
FirstNet to become a self-funding entity, independent of government subsidies.4359 FirstNet is to
take “all actions necessary to ensure the building, deployment, and operation” of the network in
consultation with federal, state, tribal, and local public safety entities, the Director of NIST, the
FCC, and the public safety advisory committee.4460 FirstNet appears therefore to be an autonomous
organization, with broad powers to carry out its mandate, within the requirements established by
the law. It has, for example, sole power to select the program’s manager and its agents,
consultants, and other experts subject to the requirement that they be chosen “in a fair,
transparent, and objective manner.”4561 However, FirstNet, except for certain exemptions provided
in the act, must follow federal agency requirements, notably in hiring and procurement, slowing
down the process for establishing FirstNet as a going concern.4662
FirstNet is to be headed by a board of 15 members of which 12 are appointed by the Secretary of
Commerce according to criteria established by the law, which are intended to provide both
representation from key stakeholders and expertise. The other three members of the board are
designees of the Secretary of the Department of Homeland Security, the Attorney General of the
United States, and the Director of the Office of Management and Budget. The Secretary of
Commerce is required to appoint a chairman of the board for an initial term of two years.47 Initial
appointments to the board were announced on August 20, 2012.4863
As part of its management of the network, FirstNet is required, at a minimum:
•
To establish network policies, including development of detailed requests for
proposals to build the network, and operational matters such as terms of
service and billing practices.4964
•
To consult with states on network-related expenditures, as part of the
preparation of policies and requests for proposals.5065
•
To enter into agreements to use existing communications infrastructure,
including commercial and federal infrastructure, “to the maximum extent
economically desirable.”51
4166
•
To ensure the construction, maintenance, operation, and improvement of the
broadband network, taking into account new and evolving technologies.67
57
P.L. 112-96, Section 6206 (a) (1).
P.L. 112-96, Section 6206 (f).
4359
P.L. 112-96, Section 6208.
4460
P.L. 112-96, Section 6206 (b) (1).
4561
P.L. 112-96, Section 6205 (b) (1).
4662
Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology,
“Oversight of FirstNet and the Advancement of Public Safety Wireless Communications,” testimony of Samuel Ginn,
Chairman, FirstNet, November 21, 2013.
47
P.L. 112-96, Section 6204.
48
Announcement and background information at http://www.ntia.doc.gov/other-publication/2012/acting-secretaryrebecca-blank-announces-board-directors-first-responder-netw.
4963
P.L. 112-96, Section 6204.
64
P.L. 112-96, Section 6206 (c) (1).
65
P.L. 112-96, Section 6206 (c) (1).
502).
66
P.L. 112-96, Section 6206 (c) (2).
513).
67
P.L. 112-96, Section 6206 (c) (3).
424).
58
Congressional Research Service
812
The First Responder Network and NextGeneration Communications for Public Safety
•
To ensure the construction, maintenance, operation, and improvement of the
broadband network, taking into account new and evolving technologies.52
•
To enter into agreements with commercial networks to allow public safety
roaming on their networks.5368
•
To represent the interests of the network’s users before standards-setting
boards, in consultation with NIST, the FCC, and its own Public Safety
Advisory Committee.5469
FirstNet is required to create a public safety advisory committee to assist in carrying out its
mandate.5570 There are no requirements in the statute as to the composition of the committee. Bylaws adopted at the organizing meeting of the First Net Board of Directors on September 25,
2012 created a Public Safety Advisory Committee.5671 It was further agreed that the members of the
committee would be chosen from the Advisory Committee to SAFECOM, within the Department
of Homeland Security, to be chosen in consultation with the Secretary of Homeland Security. The
organizations chosen to be represented on the committee were announced on February 20, 2013.57
State and local government interests are represented through a subcommittee of PSAC.
State and Local Participation
Every state has one or more agencies that plan for public safety, homeland security, and
emergency communications. Most states have a Statewide Interoperability Coordinator (SWIC) to
administer its Statewide Communication Interoperability Plan (SCIP).58 SCIPs are written to
conform with federal guidelines and requirements, such as the National Emergency
Communications Plan. FirstNet is required to consult with regional, state, tribal, and local
authorities regarding decisions such as those concerning the costs of the policies it formulates, as
required in the law, including expenditures for the core network, placement of towers, coverage
areas, security, and priority access for local users. Consultation will be through a state-selected
coordinator as specified in the act.59 Appointment of an individual or governmental body as the
point-of-contact is also required as a condition of state participation and eligibility to receive
grants established by the act.60
States may decide to use the existing SWIC as the required single point-of-contact or may choose
to appoint a separate coordinator. Each state and other participants have successfully appointed a
coordinator to work directly with FirstNet.61
52
P.L. 112-96, Section 6206 (c) (4).
P.L. 112-96, Section 6206 (c) (5).
54
P.L. 112-96, Section 6206 (c) (7).
55
P.L. 112-96, Section 6205 (a).
5672
State and local government interests are represented through a subcommittee of PSAC.
Federal Governance
Federal governance of the nationwide public safety broadband network, as required by the
Spectrum Act, is primarily through consultation and oversight. Planning, investment, operations,
and other related decisions are to be made by the FirstNet board and the experts it is to hire on a
permanent or consultative basis.
Statutory Obligations
Examples of statutory obligations for Congress and the Administration in the direction of FirstNet
include the following.
Membership on FirstNet board. The members of the FirstNet board are to be chosen by the
Secretary of Commerce, within the parameters established in the act. The Department of
Homeland Security, the Attorney General, and the Office of Management and Budget each have
one member on the board in permanence. The Secretary of Commerce is required to appoint a
chairman of the board for an initial term of two years.73
Grant programs for planning. The NTIA is to establish and administer the State and Local
Implementation Fund. Grant provisions are to be decided in consultation with FirstNet,74 but not
necessarily in accordance with decisions made by the FirstNet board and executive management.
68
P.L. 112-96, Section 6206 (c) (5).
P.L. 112-96, Section 6206 (c) (7).
70
P.L. 112-96, Section 6205 (a).
71
Board Resolution 1, By-Laws, http://www.ntia.doc.gov/files/ntia/publications/
firstnet_resolution_no._1_on_bylaws_adopted_9.25.12.pdf.
5772
NTIA, “FirstNet Names members of Public Safety Advisory Committee,” February 20, 2013,
http://www.ntia.doc.gov/press-release/2013/firstnet-names-members-public-safety-advisory-committee.
58
See “Statewide Interoperability Coordinators” at http://www.dhs.gov/files/programs/gc_1286986920144.shtm.
59
P.L. 112-96, Section 6206 (c) (2) (B).
60
P.L. 112-96, Section 6302 (d).
61
Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology,
(continued...)
53
Congressional Research Service
9
The First Responder Network and NextGeneration Communications for Public Safety
The governor of each state is to be notified by FirstNet when it has completed its requests for
proposals regarding construction, operation, maintenance, and improvement of a nationwide
network. The governor or his designee will receive the details of the proposed plans and
notification of the amount of funding available to the state if it participates in the FirstNet
program.62
A state that does not want to participate in FirstNet’s deployment plan for radio access networks
must submit an alternative plan for construction, operation, maintenance, and improvement of the
radio access network within the state. The state must demonstrate to the FCC, which the law
requires to review the plan, that its planned radio access network would comply with minimum
technical requirements and be interoperable with FirstNet. The state has 90 days to agree to
participate or to notify FirstNet, the NTIA, and the FCC of its intent to deploy its own part of the
radio access network, and an additional 180 days to provide its plan to the FCC.63
If the FCC does not approve the plan, the state might be obliged to participate in FirstNet.64 If a
state’s plan is approved it will be eligible to apply for a grant, administered by the NTIA, that will
be funded from the Network Construction Fund created by the act. The amount available may be
less than what would have been provided if the state had opted in to the FirstNet program,
because the grant will be applied only toward building the radio access network and may be
subject to matching grant requirements. Approval of the grant is contingent on meeting additional
requirements established by the NTIA, including sustainability, timeliness, cost-effectiveness,
security, coverage, and services that are comparable to FirstNet.65 The state would be required to
pay a user fee for access to FirstNet’s core network.66 It would not be permitted to enter
commercial markets or lease access to its network except through a public-private partnership.
Any revenue to the state from a partnership must be used only for costs associated with its
broadband network.67
Some industry observers have expressed concern about the impact on the success of the
nationwide broadband network if many states choose to build their own radio access networks.
The cost to FirstNet of building the nationwide network may go up, for example, if anticipated
economies of scale are diminished. It may be more difficult for FirstNet to negotiate the
partnerships that are expected to provide much of the needed funding for the network. A state that
has its plans approved by the FCC may not be able to meet stipulated requirements when its
network is built; absent any action by the FCC to enforce technical requirements, the goal of
seamless interoperability across all broadband systems may be jeopardized. States operating
within and outside the FirstNet deployment plan may, over time, have difficulty in finding the
funds to complete radio access network build-outs, leaving significant gaps in what is intended to
be nationwide coverage.
(...continued)
“Oversight of FirstNet and the Advancement of Public Safety Wireless Communications,” testimony of Samuel Ginn,
Chairman, FirstNet, November 21, 2013. List of state contacts at http://firstnet.gov/sites/default/files/
SPOC_list_03102014.pdf.
62
P.L. 112-96, Section 6302 (e) (1).
63
P.L. 112-96, Section 6302 (e) (2) and (3).
64
P.L. 112-96, Section 6302 (e) (3) (C) (iv).
65
P.L. 112-96, Section 6302 (e) (3) (D).
66
P.L. 112-96, Section 6302 (f).
67
P.L. 112-96, Section 6302 (g).
Congressional Research Service
10
The First Responder Network and NextGeneration Communications for Public Safety
The act only identifies two options for a state: join FirstNet or build a statewide radio access
network subject to the provisions of the act. The act does not include specific provisions for a
state that chooses to build its own radio access network without opting out of FirstNet, although
providing such an option may be within FirstNet’s charter. A state might, for example, choose to
build its own data management center or mobile access routers while also sharing FirstNet’s
infrastructure for regional and national coverage. The act also is silent on whether states may
choose to opt-out of the broadband network entirely, choosing neither to join FirstNet nor to build
a broadband network on the frequencies assigned to FirstNet. Some states may prefer to
concentrate their resources on improving mission-critical voice networks and acquire broadband
access from a commercial provider or through other means.
On the other hand, there are many benefits for independent action by individual states and
regional partnerships of two or more states. For example, LTE networks are relying increasing on
small cell architectures68 that are organized around local nodes. This configuration might
correspond with local jurisdictions, potentially providing better interoperability with the core
network, while reducing capital investment in infrastructure. One advantage for states building
their own radio access networks on FirstNet spectrum is that they will have greater control over
any partnerships formed and on expenditures within their states. Although the act requires states
to use any revenue from partnerships only to cover costs associated with the state’s network, the
states will be able to make their own decisions about priorities, with more confidence that
revenues will be available when needed.
Although there are many potential benefits for states to participate in a nationwide network, such
as economies of scale, more secure and robust communications, and a unified base for
collaborative efforts, there are also a number of risks, especially if FirstNet fails to deliver
promised benefits. The success of FirstNet as an accepted planning authority and leader may
depend on whether it makes a compelling business case in the requests for proposals required by
the act.
FirstNet’s plans for partnerships with the private sector and the nature of the network
development plans proposed to each state may be of particular interest to Congress as an early
indicator of the viability of FirstNet in meeting the goals required by the act.
Federal Governance
Federal governance of the nationwide public safety broadband network, as required by the
Spectrum Act, is primarily through consultation and oversight. Planning, investment, operations,
and other related decisions are to be made by the FirstNet board and the experts it is to hire on a
permanent or consultative basis.
Statutory Obligations
Examples of statutory obligations for Congress and the Administration in the direction of FirstNet
include the following.
68
Small cells are low-powered radio access nodes that are used to boost capacity and manage network interference and
connectivity. They can support LTE cellular networks in configurations that include or emulate unlicensed WiFi
standards for Wide Area Networks (WAN).73
P.L. 112-96, Section 6204.
74
P.L. 112-96, Section 6302 (a).
69
Congressional Research Service
1113
The First Responder Network and NextGeneration Communications for Public Safety
Membership on FirstNet board. The members of the FirstNet board are to be chosen by the
Secretary of Commerce, within the parameters established in the act. The Department of
Homeland Security, the Attorney General, and the Office of Management and Budget each have
one member on the board in permanence. The Secretary of Commerce is required to appoint a
chairman of the board for an initial term of two years.69
Grant programs for planning. The NTIA is to establish and administer the State and Local
Implementation Fund. Grant provisions are to be decided in consultation with FirstNet,70 but not
necessarily in accordance with decisions made by the FirstNet board and executive management.
Grant programs for state networks. The NTIA is to administer grants from the Network
Construction Fund to states that qualify to build their own radio access networks and choose to
apply for a grant.7175
Funding for FirstNet and participating states through the Network Construction Fund. The NTIA
is to determine the funding level available to each state for the buildout of the nationwide
broadband network, if the state chooses to participate in FirstNet.7276
Spectrum leases for state networks. The NTIA sets the terms and is responsible for enforcing the
requirement that states qualifying to build their radio access networks must sublease spectrum
through FirstNet, the assigned license-holder.7377
License review. The FCC is required to review the initial 10-year license assigned to FirstNet and
consider its renewal based on performance criteria.7478
Performance review. The Government Accountability Office (GAO), within 10 years, is to
prepare a report providing recommendations on “what action Congress should take” regarding the
mandated termination of authority of FirstNet in 2027.7579
Fee schedule. The NTIA is to review and approve the annual schedule of fees charged to public
safety agencies and other users for access to FirstNet’s resources.7680
Annual audit. The Secretary of Commerce is to contract for an annual audit of FirstNet’s finances
and activities. The reports are to be submitted to Congress, the President, and FirstNet.7781
Report to Congress. FirstNet is required to submit annual reports to Congress on its “operations,
activities, financial conditions, and accomplishments.”78
69
P.L. 112-96, Section 6204.
P.L. 112-96, Section 6302 (a).
71
P.L. 112-96, Section 6302 (e) (3) (C) (iii) (I).
72
P.L. 112-96, Section 6302 (e) (1) (C).
73
P.L. 112-96, Section 6302 (e) (3) (C) (iii) (II).
74
P.L. 112-96, Section 6201 (b).
75
P.L. 112-96, Section 6206 (g).
76
P.L. 112-96, Section 6208 (c).
77
P.L. 112-96, Section 6209.
78
P.L. 112-96, Section 6210.
70
Congressional Research Service
12
The First Responder Network and NextGeneration Communications for Public Safety
82
The designated appropriate congressional committees are, in the Senate, the Committee on
Commerce, Science, and Transportation; in the House, the Committee on Energy and
Commerce.7983 These committees and other committees with jurisdiction are likely to take an active
role in oversight, many believe.
Although there are several platforms for oversight and guidance provided in the act, it seems
likely that the primary, day-to-day responsibility for monitoring progress will fall to the NTIA.
Agency discretion for funding states that participate in FirstNet and for providing grants to states
that opt out is authorized by the act. The $7 billion grant to the Network Construction Fund is
implicitly divided into three parts: one funding FirstNet to establish the network; one funding
states that participate in FirstNet; and one funding states that choose to opt out. Clauses that may
75
P.L. 112-96, Section 6302 (e) (3) (C) (iii) (I).
P.L. 112-96, Section 6302 (e) (1) (C).
77
P.L. 112-96, Section 6302 (e) (3) (C) (iii) (II).
78
P.L. 112-96, Section 6201 (b).
79
P.L. 112-96, Section 6206 (g).
80
P.L. 112-96, Section 6208 (c).
81
P.L. 112-96, Section 6209.
82
P.L. 112-96, Section 6210.
83
P.L. 112-96, Section 6001 (3).
76
Congressional Research Service
14
The First Responder Network and NextGeneration Communications for Public Safety
have been intended to oversee state expenditures might be construed by the NTIA to include
FirstNet. The act, however, does not provide guidance to the NTIA on how to balance fiduciary
caution with entrepreneurial initiative in assuring a flow of funds to FirstNet.
Public-Private Partnerships
Partnerships are expected to play a critical role in building and operating the network. Electric
utility companies, for example, are upgrading their networks to meet Smart Grid requirements,8084
and some companies have expressed an interest in partnering with FirstNet or state authorities.
Some commercial wireless service providers have also expressed an interest in working in
partnership with public safety entities to develop and operate new broadband networks.
The Spectrum Act requires FirstNet to issue “open, transparent, and competitive” requests for
proposals to private sector entities for building, operating, and maintaining the network81network85 that
leverage to the extent “economically desirable” existing commercial wireless infrastructure, in
order to expedite network deployment.8286 It is charged with managing and overseeing the resulting
contracts or agreements. As part of a separate requirement to assure substantial rural coverage
during all phases of deployment, the act requires that industry proposals and contracts include, if
possible, partnerships with existing commercial mobile providers.8387
Decisions by FirstNet about the network’s design, construction, and operation are likely to have a
significant impact on commercial participation in a public safety broadband network or networks.
These decisions may also influence decision-making by states as to whether or not to pursue radio
area network construction independently or through their own partnerships.
Congress may be interested in the composition of private sector partnerships formed by FirstNet
and individual states, not only for their business plans but also for the inclusion of a wide variety
of stakeholders. For example, are rural and tribal wireless carriers included as business partners?
Do secondary access agreements support services that meet social goals, such as for telemedicine,
79
P.L. 112-96, Section 6001 (3).or are they exclusively for commercial purposes? Is competition in providing wireless services
being enhanced or hindered?
Infrastructure
Infrastructure for the new network includes operations centers, towers, antennae, base stations,
routers, small cell nodes, and other communications equipment, as well as radios and the software
that links them to the network. For wireless communications, an important infrastructure
component is the connection between base stations and communications backbones. These
networks, which usually operate over fiber-optic cable or microwave connection, are typically
referred to as backhaul.
84
“Smart Grid” is the name given to the evolving electric power network as new information technology systems and
capabilities are incorporated. See also CRS Report R41886, The Smart Grid and Cybersecurity—Regulatory Policy and
Issues, by Richard J. Campbell.
8185
P.L. 112-96, Section 6206 (b) (1) (B).
8286
P.L. 112-96, Section 6206 (b) (1) (C).
8387
P.L. 112-96, Section 6206 (b) (3).
80
Congressional Research Service
1315
The First Responder Network and NextGeneration Communications for Public Safety
or are they exclusively for commercial purposes? Is competition in providing wireless services
being enhanced or hindered?
Infrastructure
Infrastructure for the new network includes operations centers, towers, antennae, base stations,
routers, small cell nodes, and other communications equipment, as well as radios and the software
that links them to the network. For wireless communications, an important infrastructure
component is the connection between base stations and communications backbones. These
networks, which usually operate over fiber-optic cable or microwave connection, are typically
referred to as backhaul.
The Spectrum Act requires FirstNet to establish a nationwide, interoperable public safety
network.8488 Network infrastructure components that are specifically required include
•
Core network of national and regional data centers and other elements, all
based on commercial standards.
•
Connectivity between the radio access network and the public Internet or the
Public Switched Telephone Network, or both.
•
Network cell site equipment, antennas, and backhaul equipment, based on
commercial standards, to support wireless devices operating on frequencies
designated for public safety broadband.8589
FirstNet is required to leverage existing infrastructure by entering into agreements to use
commercial or other communications infrastructure, including federal, state, tribal, or local
infrastructure.8690 Planned phases for infrastructure deployment are to include “substantial rural
coverage.”8791
FirstNet’s ability to build the required network may depend on the timeliness, scope, and outcome
of its negotiations to share infrastructure with other parties in order to focus resources on
providing elements deemed essential for public safety use of broadband communications.
Timeframe
The requirements of the Spectrum Act must be substantially met and the viability of the project
demonstrated no later than the end of FY2022, if not sooner. The State and Local Implementation
Fund and the Network Construction Fund expire in 2022, with any balances reverting to the
Treasury. By 2022, the GAO must have assessed the performance of FirstNet and provided a
report to Congress; and the FCC must decide whether or not to renew the licenses for the public
safety broadband network. Within this 10-year timeframe, there are few deadlines beyond
requirements for the initial establishment of the planning and implementation framework.
84
P.L. 112-96, Section 6202 (a).
P.L. 112-96, Section 6202 (b).
86
P.L. 112-96, Section 6206 (c) (3).
87
P.L. 112-96, Section 6206 (b) (3).
85
Congressional Research Service
14
The First Responder Network and NextGeneration Communications for Public Safety
Many of the important steps for building the network have no required deadline. Some
milestones, such as rural coverage, are mandated in the act, but the deadlines are not specified.
There are, for example, no deadlines in provisions that require FirstNet to:
•
Develop requests for proposals that include a requirement for timetables.8892
•
Consult with states on establishing state and local planning processes.8993
•
Complete the request for proposal process that is to be given to each state
governor regarding the request for proposal and its details, and the funding
level for each state as determined by the NTIA.9094
88
P.L. 112-96, Section 6202 (a).
P.L. 112-96, Section 6202 (b).
90
P.L. 112-96, Section 6206 (c) (3).
91
P.L. 112-96, Section 6206 (b) (3).
92
P.L. 112-96, Section 6206, (c) (1).
93
P.L. 112-96, Section 6206, (c) (2).
94
P.L. 112-96, Section 6302 (e) (1).
89
Congressional Research Service
16
The First Responder Network and NextGeneration Communications for Public Safety
Mandated deadlines for states include
•
Within 90 days of receipt of notice from FirstNet, the governor shall choose
either to participate in deployment of FirstNet or to conduct its own radio
access network deployment within the state.9195
•
Within 180 days of giving notice to opt out of FirstNet, the governor shall
complete requests for proposals for a state network.9296
No deadline is established in the statute for the FCC to approve or disapprove state proposals for
their own portion of the nationwide broadband network.9397 There are also no specified deadlines
for a state to apply to the NTIA for a grant to construct the radio access network and to lease
spectrum capacity from First Net, if FCC approval is received for a state network.9498 However, one
condition of eligibility for a grant to a state to build its own radio access network is that the state’s
plan must demonstrate “the ability to complete the project within specified comparable
deadlines.... ”95
FirstNet and the FCC may need to be expeditious in completing all steps for the preparation,
review, and acceptance of requests for proposals so that construction of the required core network
begins in a timely manner. Too many delays in administrative processes may erode the feasibility
of the project.
The FirstNet Board may opt to provide additional requirements for timelines and goals that
coordinate their own efforts with those of the FCC, the NTIA, state agencies, and other
stakeholders. In particular, consideration may be given to modifying timelines to accommodate
states’ own time lines, for example, for budget approvals.
88
P.L. 112-96, Section 6206, (c) (1).
P.L. 112-96, Section 6206, (c) (2).
90
P.L. 112-96, Section 6302 (e) (1).
91
P.L. 112-96, Section 6302, (e) (2).
92
P.L. 112-96, Section 6302, (e) (3) (B).
93
P.L. 112-96, Section 6302 (e) (3) (C) (i).
94
P.L. 112-96, Section 6302, (e) (3) (C) (iii).
95
P.L. 112-96, Section 6302, (e) (3) (D) (i) (III).
89
Congressional Research Service
15
The First Responder Network and NextGeneration Communications for Public Safety99
Next Generation 9-1-1
Today’s 911 system is built on an infrastructure of analog technology that does not support many
of the features that most Americans expect to be part of an emergency response. Efforts to splice
newer, digital technologies onto this aging infrastructure have created points of failure where a
call can be dropped or misdirected, sometimes with tragic consequences. Callers to 911, however,
generally assume that the newer technologies they are using to place a call are matched by the
same level of technology at the 911 call centers, known as Public Safety Answering Points
(PSAPs). However, this is not always the case. To modernize the system to provide the quality of
service that approaches the expectations of its users will require that the PSAPs and state, local,
and possibly federal emergency communications authorities invest in new technologies. As
envisioned by most stakeholders, these new technologies—collectively referred to as Next
Generation 911 or NG9-1-1—should incorporate Internet Protocol standards. An IP-enabled
emergency communications network that supports 911 will facilitate interoperability and system
resilience; improve connections between 911 call centers; provide more robust capacity; and offer
flexibility in receiving and managing calls. The same network can also serve wireless broadband
communications for public safety and other emergency personnel, as well as other purposes.
Recognizing the importance of providing effective 911 service, Congress has previously passed
three major bills supporting improvements in the handling of 911 emergency calls. The Wireless
Communications and Public Safety Act of 1999 (P.L. 106-81) established 911 as the number to
call for emergencies and gave the Federal Communications Commission (FCC) authority to
regulate many aspects of the service. The most recent of these laws, the NET 911 Improvement
Act of 2008 (P.L. 110-283), required the preparation of a National Plan for migrating to an IPenabled emergency network. Responsibility for the plan was assigned to the E-911
Implementation Coordination Office (ICO), created to meet requirements of an earlier law, the
95
P.L. 112-96, Section 6302, (e) (2).
P.L. 112-96, Section 6302, (e) (3) (B).
97
P.L. 112-96, Section 6302 (e) (3) (C) (i).
98
P.L. 112-96, Section 6302, (e) (3) (C) (iii).
99
P.L. 112-96, Section 6302, (e) (3) (D) (i) (III).
96
Congressional Research Service
17
The First Responder Network and NextGeneration Communications for Public Safety
ENHANCE 911 Act of 2004 (P.L. 108-494). Authorization for the ICO terminated on September
30, 2009. ICO was jointly administered by the National Telecommunications and Information
Administration and the National Highway Traffic Safety Administration.
Spectrum Act provisions re-establish the federal 9-1-1 Implementation Coordination Office (ICO)
to advance planning for next-generation systems and to administer a grant program.96100 ICO is to
provide matching grants to eligible state or local governments or tribal organizations for the
implementation, operation, and migration of various types of 911 and IP-enabled emergency
services, and for public safety personnel training.97101 States that have diverted fees collected for 911
services are not eligible for grants under the program.98 Based on the act’s prioritized plan for
funding programs with spectrum license auction revenue, the funds for the grant program will be
made available only after $27.635 billion of available auction revenue has been applied to other
purposes.
Provisions in the act regarding 911 programs include
•
The GAO is required to study how states assess fees on 911 services and how
those fees are used.99
96
P.L. 112-96, Section 6503, “Section 158 “(a).
P.L. 112-96, Section 6503, “Section 158 “(b).
98
P.L. 112-96, Section 6503, “Section 158 “(c).
99
P.L. 112-96, Section 6505.
97
Congressional Research Service
16
The First Responder Network and NextGeneration Communications for Public Safety
911 services are not eligible for grants under the program.102
Provisions in the act regarding 911 programs include
•
The GAO is required to study how states assess fees on 911 services and how
those fees are used.103
•
The General Services Administration is required to prepare a report on 911
capabilities of multi-line telephone systems in federal facilities and the FCC
is to seek comment on the feasibility of improving 911 identification for calls
placed through multi-line telephone systems.100104
•
The FCC is to assess the legal and regulatory environment for development
of NG9-1-1 and barriers to that development, including state regulatory
roadblocks.101105 The FCC is also to (1) initiate a proceeding to create a
specialized Do-Not-Call registry for public safety answering points, and (2)
to establish penalties and fines for autodialing (robocalls) and related
violations.102106
•
ICO, in consultation with NHTSA and DHS is to report on costs for
requirements and specifications of NG9-1-1 services, including an analysis
of costs, and assessments and analyses of technical uses.103107
•
Immunity and liability protections are provided—to the extent consistent
with specified provisions of the Wireless Communications and Public Safety
Act of 1999—for various users and providers of Next Generation 911 and
related services, including for the release of subscriber information.104108
The act also requires FirstNet to promote integration of the nationwide public safety broadband
network with PSAPs.105109 Since the NTIA has responsibilities for both ICO and FirstNet, the
100
P.L. 112-96, Section 6503, “Section 158 “(a).
P.L. 112-96, Section 6503, “Section 158 “(b).
102
P.L. 112-96, Section 6503, “Section 158 “(c).
103
P.L. 112-96, Section 6505.
104
P.L. 112-96, Section 6504.
105
P.L. 112-96, Section 6509.
106
P.L. 112-96, Section 6507.
107
P.L. 112-96, Section 6508.
108
P.L. 112-96, Section 6506.
109
P.L. 112-96, Section 6206 (b) (2) (C).
101
Congressional Research Service
18
The First Responder Network and NextGeneration Communications for Public Safety
agency is in a position to encourage interoperability between PSAPs and First Responders as they
move to common IP-based platforms.
Technology and Standards
Standardization of network components, including radios, is generally considered essential to
achieving interoperability, improving service, and reducing operating costs. Technical
requirements for FirstNet are to be based on commercial standards for LTE.106110 The commercial
sector has begun the transition to operating on IP-enabled networks such as LTE. Wireless
carriers around the world are installing LTE networks for consumers and planning for the next
generation of LTE: LTE Advanced.107111 LTE Advanced technologies will be able to operate across
noncontiguous spectrum bands, thereby increasing channel widths for greater capacity and
performance. Most experts agree that LTE Advanced will facilitate the transition to new
technologies by making it easier and less expensive to phase out older infrastructure.
To expedite the expansion of LTE, commercial carriers have often relied on Wide Area Network
(WAN) installations and configurations of small cells to create what are commonly referred to as
100
P.L. 112-96, Section 6504.
P.L. 112-96, Section 6509.
102
P.L. 112-96, Section 6507.
103
P.L. 112-96, Section 6508.
104
P.L. 112-96, Section 6506.
105
P.L. 112-96, Section 6206 (b) (2) (C).
106
P.L. 112-96, Section 6203 (c) (2).
107
Also known as 3GPP Release 10, see http://www.3gpp.org/LTE-Advanced.
101
Congressional Research Service
17
The First Responder Network and NextGeneration Communications for Public Safety
micro networks. The micro networks operate on standards for LTE and IEEE (Institute of
Electrical and Electronics Engineers) 802.11 for WiFi. Micro networks may become a key
component of FirstNet, as they represent an opportunity to add capacity at a local level in times of
emergency.
FirstNet
The Spectrum Act requires FirstNet to assure nationwide standards for use of and access to the
network it is tasked with developing. The act specifies the use of commercial standards for some
of the network components.108112
To promote competition, devices for public safety network radios and other wireless devices are
required to be built to open, non-proprietary, commercially available standards, “capable of being
used by any public safety entity and by multiple vendors across all broadband networks operating
in the 700 MHz band” and backward compatible with existing commercial networks where
necessary and reasonable.109113
FCC
The act required the FCC to establish a Technical Advisory Board for First Responder
Interoperability, and set out criteria for the selection and participation of board members.110114 The
primary purpose of the board was to agree on minimum technical requirements for nationwide
interoperability on the public safety broadband network. The Interoperability Board was required
to develop these technical recommendations in consultation with the NTIA, NIST, and the
OEC.111110
P.L. 112-96, Section 6203 (c) (2).
Also known as 3GPP Release 10, see http://www.3gpp.org/LTE-Advanced.
112
P.L. 112-96, Section 6202 (b).
113
P.L. 112-96, Section 6206 (b) (2) (B).
114
P.L. 112-96, Section 6203.
111
Congressional Research Service
19
The First Responder Network and NextGeneration Communications for Public Safety
OEC.115 The board’s technical recommendations were required to be based on commercial
standards for LTE.112116 The establishment of minimum technical requirements has a two-fold
purpose. One, the requirements are to be presented to the Board of Directors of FirstNet as
recommended requirements for interoperability.113117 Two, the minimum technical requirements are
to be used by the FCC as a standard of interoperability for evaluating state plans in cases where
states have asked to build their own radio access networks.114118
In the report it submitted,115119 the Interoperability Board, in addition to minimum technical
standards, also provided additional considerations that it judged to be important for achieving
interoperability.
108
P.L. 112-96, Section 6202 (b).
P.L. 112-96, Section 6206 (b) (2) (B).
110
P.L. 112-96, Section 6203.
111
P.L. 112-96, Section 6203 (c) (1).
112
P.L. 112-96, Section 6203 (c) (2).
113
P.L. 112-96, Section 6203 (c) (3).
114
P.L. 112-96, Section 6302 (e) (3) (C).
115
Recommended Minimum Technical Requirements to Ensure Nationwide Interoperability for the Nationwide Public
Safety Broadband Network, prepared by the Technical Advisory Board for First Responder Interoperability, Final
Report, May 22, 2012, at http://www.fcc.gov/document/recommendations-interoperability-board.
109
Congressional Research Service
18
The First Responder Network and NextGeneration Communications for Public Safety
NIST
The Director of NIST, in consultation with the FCC, DHS, and the National Institute of Justice,
Department of Justice, is to “conduct research and assist with the development of standards,
technologies and applications to advance wireless public safety communications.”116120 More
specifically, in consultation with FirstNet and the Public Safety Advisory Committee, NIST is to
•
Document technical requirements for public safety wireless communications.
•
Accelerate the development of interoperability between currently deployed
systems and the public safety broadband network.
•
Establish a research plan and direct research for next-generation wireless
public safety needs.
•
Accelerate the development of broadband network features such as missioncritical voice, prioritization, and authentication.
•
Accelerate the development of communications equipment and technology to
facilitate the eventual migration of public safety narrowband
communications to the public safety broadband network.117121
Furthermore, the Director of NIST, in consultation with FirstNet and the FCC, “shall ensure the
development of a list of certified devices and components meeting appropriate protocols and
standards for public safety and commercial vendors.”118
Need for Standards Development
Narrowband and broadband networks for public safety will by most accounts be incompatible
with each other and with other networks for the foreseeable future.119 Only a small part of the
existing public safety infrastructure is expected to be usable in the development of new networks
at 700 MHz. To maximize the utility of new investments in infrastructure and radios, many
believe that standards that support public safety applications for IP-enabled technologies must be
completed in the early stages of planning and building. Just as access to the Internet has
revolutionized business and social cultures worldwide, the transition to IP-enabled networks is
likely to expand the capability and scope of emergency communications.
The act variously requires NIST, the FCC, and the NTIA120 to develop standards and take steps to
improve spectrum efficiency and support the development of the next generation of wireless
technology. These agencies already have a number of initiatives in place, notably the Public
Safety Communications Research program (PSCR). PSCR provides research, development, and
testing to advance public safety communications interoperability. The program is a joint effort
116
P.L. 112-96, Section 6303 (a).
P.L. 112-96, Section 6303 (b) (1 – 5).
118
P.L. 112-96, Section 6206 (c) (6).
119
Discussed in GAO report, Emergency Communications: Various Challenges Likely to Slow Implementation of a
Public Safety Broadband Network, February 2012, GAO-12-343.
120
In addition to assigning NTIA responsibilities to develop public safety broadband communications, the act also
specifies the NTIA’s responsibility to promote efficient use of spectrum by the federal government. P.L. 112-96,
Section 6410.
117
Congressional Research Service
19
The First Responder Network and NextGeneration Communications for Public Safety
between NIST’s Office of Law Enforcement Standards and NTIA’s Institute for
Telecommunication Sciences and is sponsored by the Office for Interoperability and
Compatibility at DHS, and the Department of Justice Community Oriented Policing Services.121
The funding for the federal research and development efforts described in the act is provided from
spectrum license auction revenue. The timing of the auctions and the prioritization for distributing
auction revenues are such that the funds designated for research and development may not be
available for several years, if at all. Some of the act’s provisions require the FCC to auction
designated spectrum within three years.122 The first of these auctions, Auction 96, was completed
on February 27, 2014, with a total winning bid of $1.564 billion.123 The first round of funding for
NIST ($100 million) would occur once the proceeds from spectrum license auctions deposited in
the Public Safety Trust Fund surpass $7.135 billion. The second funding round for NIST would
occur after deposits reach $27.75 billion. Although resources in existing federal programs may be
shifted to give priority to the implementation of the Middle Class Tax Relief and Job Creation Act
of 2012,124 the federal government may not be able to fund all of the standards and other
technological research that is required by the act or needed for public safety. Timely development
of public safety applications and standards may come primarily from the private sector, where
some vendors are developing components needed for the broadband network and its devices. To
meet its responsibilities under the act, FirstNet may choose to allocate some of the funding
provided to it by the act, or raise additional funds, to facilitate standards development.
If no solution is found to coordinate private and public work on standards development and new
technologies for emergency communications, the development of IP-enabled technologies for
public safety may continue to lag behind that of the commercial sector, perpetuating the high
costs and inefficiencies that have plagued first responder communications for decades.
122
115
P.L. 112-96, Section 6203 (c) (1).
P.L. 112-96, Section 6203 (c) (2).
117
P.L. 112-96, Section 6203 (c) (3).
118
P.L. 112-96, Section 6302 (e) (3) (C).
119
Recommended Minimum Technical Requirements to Ensure Nationwide Interoperability for the Nationwide Public
Safety Broadband Network, prepared by the Technical Advisory Board for First Responder Interoperability, Final
Report, May 22, 2012, at http://www.fcc.gov/document/recommendations-interoperability-board.
120
P.L. 112-96, Section 6303 (a).
121
P.L. 112-96, Section 6303 (b) (1 – 5).
122
P.L. 112-96, Section 6206 (c) (6).
116
Congressional Research Service
20
The First Responder Network and NextGeneration Communications for Public Safety
Roaming and Priority Access Within the 700 MHz
Band
In its National Broadband Plan, the FCC indicated that it wanted to make commercial networks
in the 700 MHz band available for public safety use and requested that Congress confirm the
FCC’s authority to act.125 The Spectrum Act provides the FCC with statutory authority to
121
More information is available at the PSCR website at http://www.ntia.doc.gov/category/public-safety. PSCR
activities were discussed in testimony by Mary H. Saunders, Director, Standards Coordination Office, NIST before the
House Committee on Homeland Security, Subcommittees on Emergency Preparedness, Response, and
Communications and Cybersecurity, Infrastructure Protection, and Security Technologies, “First Responder
Technologies: Ensuring a Prioritized Approach for Homeland Security Research and Development,” May 9, 2012.
122
P.L. 112-96, Section 6401 (b).
123
FCC Public Notice, “Winning Bidder Announced for Auction 96,” DA 14-279, February 28, 2014,
http://transition.fcc.gov/Daily_Releases/Daily_Business/2014/db0228/DA-14-279A1.pdf.
124
The PSCR, for example, has changed its plans for testing public safety interoperability in response to provisions in
the act, http://www.pscr.gov/about_pscr/press/broadband/pscr_to_focus_on_publicsafety_broadband_interoperability_tests_042012-mission_critical.pdf.
125
FCC, Connecting America: The National Broadband Plan, http://www.broadband.gov/download-plan/.
Congressional Research Service
20
The First Responder Network and NextGeneration Communications for Public Safety
123 The Spectrum Act provides the FCC with statutory authority to
establish rules in the public interest to improve the ability of public safety networks to roam on
commercial space and to gain priority access.126124
FirstNet is empowered by the act to enter into agreements with commercial providers that would
allow public safety network users to roam on partnering networks.127125 The act does not state
whether roaming agreements may be negotiated by states that opt-out and receive spectrum leases
from the NTIA to operate their own radio access networks. Agreements might also cover rules for
priority access in times of high demand for network capacity. Priority access can take several
forms, such as “ruthless pre-emption,” in which non-public-safety transmissions are immediately
terminated to make way for emergency communications, or negotiated priority agreements that
might, for example, place public safety users at the head of the line for network access as capacity
becomes available. The act stipulates that the FCC’s authority may not require roaming or priority
access unless (1) the public safety and commercial networks are technically compatible; (2) the
commercial network is reasonably compensated; and (3) access does not preempt or otherwise
terminate or degrade existing traffic on the commercial network.128126 Within these limits, the FCC
appears to have some leeway to use its regulatory authority to support public safety in
negotiations with partners. The FCC cannot, under the act, mandate ruthless pre-emption,
although the act does not preclude contractual negotiations that would allow it.
The act’s provisions for roaming and priority access do not require a commercial vendor to make
additional investments to insure technical compatibility, and the act’s language might be
interpreted as precluding an FCC mandate to that effect. Interpretation and enforcement of the
compatibility provision may pose an obstacle to achieving desired levels of network
interoperability and cross-network roaming because existing technical standards for the 700 MHz
band might preclude affordable full-spectrum roaming, that is, the ability of any network within
the 700 MHz to roam on any other network within the 700 MHz band. Full-spectrum roaming is
considered by many to provide advantages for public safety and also for the public at large. For
example, it makes more network capacity available for shared emergency communications of all
types, not just for first responders. Many believe that full-spectrum access supports
competitiveness among wireless carriers—in particular assisting small wireless carriers serving
rural areas to offer new broadband services—by providing access to all customers within the
band.
Achieving full-spectrum roaming on the 700 MHz band requires modifications of technical
requirements for LTE, the preferred technology for mobile broadband within the 700 MHz band.
The FCC has taken actions in support of full-spectrum roaming,129 including steps to implement a
voluntary industry agreement to establish interoperability for LTE in the lower 700 MHz band.130
Establishing additional standards to enable full-spectrum interoperability will permit
interoperability among all commercial carriers and public safety agencies.
126
123
FCC, Connecting America: The National Broadband Plan, http://www.broadband.gov/download-plan/.
P.L. 112-96, Section 6211.
125
P.L. 112-95, Section 6206 (c) (5).
128
P.L. 112-96 Section 6211.
129
FCC, “Promoting Interoperability in the 700 MHZ Commercial Spectrum,” Notice of Proposed Rulemaking, WT
Docket No. 12-69, released March 21, 2012.
130
FCC, “Report and Order and Order of Proposed Modification,” WT Docket No. 12-69, released October 29, 2013.
127
Congressional Research Service
21
The First Responder Network and NextGeneration Communications for Public Safety
FirstNet Status Report for 2013
The Chairman of FirstNet, Samuel Ginn, provided testimony on FirstNet’s progress at a hearing
on November 21, 2013.131 Mr. Ginn prefaced his testimony with a strong statement that FirstNet
holds full responsibility for its own success. He went on to describe the efforts of the board
members who did double duty to compensate for the delayed hiring of key employees. Senior
management positions that were filled beginning in spring 2013 include a General Manager,
Deputy General Manager, Chief Financial Officer, Chief Counsel, Chief of Staff, and Chief
Administrative Officer. During the interim period, the board focused, in particular, on outreach to
states, negotiations with BTOP grant recipients, and development of policies and practices for
self-governance. These activities continue and expand as new staff are brought on board.
In June 2013, Requests for Information regarding separate aspects of FirstNet technical
requirements and strategies for implementation were issued. The information provided by the 285
responses is providing a resource for developing partnerships and preparing the Requests for
Proposals that will lead to the building of FirstNet.
Mr. Ginn provided Congress with a list of FirstNet’s priorities for FY2014. These were described
as:
•
Network Partnerships. Explore and validate a wide variety of partnership
opportunities.
•
Requests for Information. Evaluate the responses to 10 RFIs that covered topics
in two main categories: Radio Access Networks, which includes network
partnering and providers, antenna systems, microwave backhaul equipment,
mobile network solutions, satellites; and Core Network, which includes enhanced
packet core, transmission/transport, data center, network management
center/operations management center, network service platforms.
•
Core Network. Assure that the core network meets high standards for security,
operations, and business support.
•
State Consultation and Plans. Identify full service and support opportunities,
device procurement, and network service fees. Explain the role of FirstNet and its
responsibilities to each state.
•
Integration of BTOP Projects. Leverage BTOP’s public safety grant programs to
establish market-based deployments of the nationwide network that will
demonstrate its benefits and capabilities to public safety jurisdictions across the
country.
•
Mobile Network Solutions. Evaluate and plan for deployable network
infrastructure to supplement or replace fixed infrastructure such as cell towers.
Explore the potential of a variety of deployable infrastructure technologies, that
might include satellite, microwave, balloons, and Unmanned Aerial Vehicles
(drones).
131
Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology,
“Oversight of FirstNet and the Advancement of Public Safety Wireless Communications,” testimony of Samuel Ginn,
November 21, 2013.
Congressional Research Service
22
The First Responder Network and NextGeneration Communications for Public Safety
•
Wireless Devices. Assure that public safety agencies will have a portfolio of
broadband LTE devices, built to open standards. Leverage FirstNet’s national
scale and open standards to significantly reduce device price points.
Mr. Ginn testified that the issue of controlling costs is a key factor in the success of the network.
This means, for example, competitive pricing for FirstNet’s services to states and tribal nations,
low-cost mobile devices, and leveraging investments in infrastructure through partnerships.
Mr. Ginn stated that FirstNet’s “objective is to develop long-standing relationships with public
safety at every level.” To support state local, and tribal emergency response and recovery
communications needs, FirstNet plans to establish 10 regional offices that align with the regional
offices of the Federal Emergency Management Agency.132
FirstNet engages with its federal partners through the Emergency Communications Preparedness
Center133 and individual agencies.
Considerations for Congress126
P.L. 112-96 Section 6211.
124
Congressional Research Service
21
The First Responder Network and NextGeneration Communications for Public Safety
The FCC has taken actions in support of full-spectrum roaming,127 including steps to implement a
voluntary industry agreement to establish interoperability for LTE in the lower 700 MHz band.128
Establishing additional standards to enable full-spectrum interoperability will permit
interoperability among all commercial carriers and public safety agencies.
Congress may wish to examine the environment in which FirstNet is operating to see if it can be
improved to help assure FirstNet’s success in the efficient establishment of a nationwide network,
such as assuring continuity of operations, and establishing self-funding measures for investment
and operations.
Evolving Network Technologies
In the two years since the Spectrum Act was passed, communications technologies have evolved
in ways not fully anticipated at the time.134129 Advances in small cell technology, in particular, are
moving traffic management away from the core of cell tower infrastructure and toward micro
networks built on the principles of Wide Area Networks. These micro networks are local in nature
but fully interoperable across wide geographic areas.
FirstNet’s decision to create ten regional offices meets both governance needs and the likely
organization of FirstNet’s nationwide infrastructure. The regional structure takes advantage of
new networking solutions that can build on existing deployments of broadband networks. Every
firehouse, 911 call center, police station, and other public structure, including lampposts and
traffic lights, might be a link in a micro network. In this environment, the integration of Next
Generation 911 infrastructure with FirstNet becomes a crucial part of network deployment
strategy.135
132
Informations on FEMA’s Regional Centers at http://www.fema.gov/regional-operations.
Information at https://www.dhs.gov/emergency-communications-preparedness-center.
134
4G Americas, Meeting the 100X Challenge: The Need for Spectrum, Technology and Policy Innovation, October
2013, http://www.4gamericas.org/documents/
2013_4G%20Americas%20Meeting%20the%201000x%20Challenge%2010%204%2013_FINAL.pdf.
135
Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology,
“Oversight of FirstNet and the Advancement of Public Safety Wireless Communications,” testimony of Samuel Ginn,
November 21, 2013.
133
Congressional Research Service
23
The First Responder Network and NextGeneration Communications for Public Safety
Governance
Congress may also wish to address concerns about who is responsible for deploying the
broadband network. Some of the reported confusion among potential partners about FirstNet’s
plans for the future136 may stem from the different positions about network development taken by
FirstNet’s management and the NTIA. Both have expressed views about the nature of FirstNet,
with the NTIA favoring centralized control of the network, led by the Department of Commerce,
and FirstNet moving toward a network structure that treats states as equal partners.
In helping to stand up FirstNet, NTIA administrators have, apparently, chosen to treat FirstNet as
if it were to exist within the Department of Commerce in perpetuity.137 Treating FirstNet as a
division of the Department of Commerce might be described as setting a course for FirstNet to
become “another Amtrak,” a term used by many, within and outside Congress,138 to denote overdependence on federal subsidies, as in the case of financial support for Amtrak.139 However, the
governance structure of Amtrak is not the source of Amtrak’s financial woes. Most policy makers
believe that weak consumer demand and market regulations have contributed to Amtrak’s failure
to be a profitable corporation, even though it was intended as such at the time of its formation.
Amtrak
Amtrak, originally known as the National Railroad Passenger Corporation (NRPC), was created
by the Rail Passenger Service Act of 1970 (P.L. 91-518). The purpose of the act was “to provide
financial assistance for, and establishment of, a national rail passenger system, to provide for the
modernization of railroad passenger equipment ...” and related purposes,140 in response to a
perceived “threat that railroad passenger service might disappear throughout the country.”141
The NRPC was established by Congress as a private, for-profit corporation, not as an entity of the
federal government. Nonetheless, eight of the 15 members of the board of directors were to be
appointed by the president, with the remainder chosen to represent shareholders. The corporation
was required to issue both common and preferred stock. A 15-member advisory panel was
established to advise the board on ways to increase capitalization. The NRPC received a
combination of direct appropriations and loan guarantees, including direct loans or guarantees to
railroads entering into contracts with the NRPC, in order to be relieved of their obligations to
provide passenger service. Subsequent legislation – in 1972, 1973, 1974, and 1975 – created a
136
Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology,
“Oversight of FirstNet and the Advancement of Public Safety Wireless Communications,” Opening Statement of
Chairman Walden, November 21, 2013.
137
In a meeting with CRS on January 29, 2014, NTIA officials noted that FirstNet is within the Department of
Commerce, justifying steps such as the inclusion of “Department of Commerce” with the FirstNet logo, and repeatedly
asserted that NTIA was in charge of FirstNet because it was the NTIA that would be held responsible by Congress for
FirstNet’s success or failure. The NTIA has created an Office of Public Safety Communications specifically to
administer the public safety responsibilities outlined to the NTIA in the act, including the administration of grants,
among other responsibilities.
138
The term has been used, for example, by Rear Admiral (ret.) Jamie Barnett, former head of the FCC’s Public Safety
and Homeland Security Bureau, in discussions of FirstNet.
139
See CRS Report R42889, Issues in the Reauthorization of Amtrak, by David Randall Peterman and John Frittelli.
140
CRS Report 70-299 E, The Rail Passenger Service Act of 1970: Public Law 91-518, by Thomas E. McCardell,
December 1, 1970. Available upon request from the author of this report.
141
Ibid.
Congressional Research Service
24
The First Responder Network and NextGeneration Communications for Public Safety
form of public service corporation whose primary objective is to serve the public convenience
and necessity.142
Conrail
To address continuing problems in the railroad industry, the Regional Rail Reorganization Act of
1973 (P.L. 93-236) created the Consolidated Rail Corporation (Conrail) as a for-profit
corporation. Conrail was authorized and directed by Congress, in brief:143
•
To acquire rail properties.
•
To operate rail service.
•
To rehabilitate and improve rail properties.
•
To maintain adequate and efficient rail service.
To capitalize the business, Conrail was authorized to issue common stock, among other
provisions in the act that addressed financing. As long as 50% or more of Conrail’s debt was
owed to or backed by the federal government, it was obliged to maintain federal representation on
its board and was subject to the Government Corporation Control Act for auditing purposes.
Beginning in 1987, Conrail sold its assets to the private sector, with the proceeds going to the
Treasury. The private sector also acquired Conrail’s public obligations as a common carrier.
Although there are some differences between the governance structures, Conrail succeeded where
Amtrak struggled in large part due to growing demand for freight traffic contrasted with
diminishing demand for passenger rail service.
FirstNet
Although public safety communications are considered essential, as was rail passenger service
when the NRPC was created, the wireless communications industry is vibrant and growing,
whereas the railroad industry was in a chaotic state after the bankruptcy of the Penn Central
Railroad.
To fund its operations, FirstNet is encouraged by the act to create public-private partnerships. The
language of the Spectrum Act appears to have given FirstNet a mandate to have established itself
as an ongoing, self-funding organization by 2022. These provisions, among others, suggest that
Congress was seeking to establish an entity that might be more like Conrail than Amtrak. Absent
specific instructions, stakeholders would appear to have some influence in deciding whether
FirstNet—a unique hybrid—will be closer to being an Amtrak or a Conrail.
The act’s provisions regarding FirstNet’s operations are consistent with Congress’s decision to
provide a goal—the creation of a new communications network service for public safety—and set
a deadline for the achievement of the goal. To achieve this goal, FirstNet might benefit from the
142
Arnold Adams, “The National Railroad Passenger Corporation—A Modern Hybrid Corporation Neither Private nor
Public,” The Business Lawyer, Vol. 31, January 1976.
143
Regional Rail Reorganization Act of 1973, House of Representatives Conference Report, No. 93-744, December 20,
1973.
Congressional Research Service
25
The First Responder Network and NextGeneration Communications for Public Safety
maximum leeway in its operations, consistent with twin mandates for inclusive governance (such
as states and public safety agencies at all levels) and private sector partnerships that invest in the
network by making available infrastructure and other capital investments.
Assessment by the GAO
Before the end of FY2022, GAO is to recommend to Congress what actions should be taken in
regard to the end of FirstNet’s authority, which the act mandated to occur in 2027, 15 years after
the passage of the act.
Options for GAO recommendations regarding governance may include:
•
Federal corporation with the authority to issue bonds not backed by the federal
government, and that, in time, becomes self-sustaining; the Tennessee Valley
Authority (TVA) might provide an example of how such a charter might
evolve.144
•
Hybrid corporation established by the federal government, relying on a
combination of earned income and federal funding, such as Amtrak.
•
Corporation established by the federal government, such as Conrail. The federal
presence on the Conrail board was tied to repayment of federal obligations.
•
Federal corporation established as a transition vehicle to transfer to the private
sector, such as the U.S. Enrichment Corporation.
•
Federal agency in perpetuity either as an entity within the NTIA or through some
other federal governance structure.
These potential choices will likely be influenced by decisions made by FirstNet’s board and
management team, and by the NTIA through the grant process and the policies it establishes.
In its oversight of FirstNet, Congress may wish to consider the impact of decisions made today on
the probable future outcome for FirstNet. Business organization and technology choices are often
closely linked; businesses that revise their management and production structures to incorporate
new technology tend to be more productive.145 Therefore, governance choices for FirstNet may
help the authority to be more efficient and effective if they fully accommodate new technologies.
An example is the announcement by AT&T of plans that are predicted to “transform the wide area
network” and reduce capital expenditures.146
In light of what is likely to become a significant shift in wireless network technology, a
preliminary analysis of FirstNet by the GAO might lead to recommendations for how to mesh
current business plans for the new network with a transition strategy for possible future
governance structures.
144
The Administrative Budget for FY2014 proposed privatizing the TVA and required the Office of Management and
Budget to perform a strategic review.
145
The Second Machine Age: Work, Progress and Prosperity in a Time of Brilliant Technologies, by Erik Byrnjolfsson
and Andrew McAfee, W.W. Norton and Company Ltd., January 20, 2014.
146
Paul Taylor, “AT&T Shifts to ‘Virtualised’ Hardware,” Financial Times, February 26, 2014.
Congressional Research Service
26
The First Responder Network and NextGeneration Communications for Public Safety
Author Contact Information
Linda K. Moore
Specialist in Telecommunications Policy
lmoore@crs.loc.gov, 7-5853
Congressional Research Service
27130
Assessment by the GAO
Before the end of FY2022, GAO is to recommend to Congress what actions should be taken in
regard to the end of FirstNet’s authority, which the act mandated to occur in 2027, 15 years after
the passage of the act.
Options for GAO recommendations regarding governance may include the following:
•
Federal corporation with the authority to issue bonds not backed by the federal
government, and that, in time, becomes self-sustaining; the Tennessee Valley
Authority (TVA) might provide an example of how such a charter might
evolve.131
127
FCC, “Promoting Interoperability in the 700 MHZ Commercial Spectrum,” Notice of Proposed Rulemaking, WT
Docket No. 12-69, released March 21, 2012.
128
FCC, “Report and Order and Order of Proposed Modification,” WT Docket No. 12-69, released October 29, 2013.
129
4G Americas, Meeting the 100X Challenge: The Need for Spectrum, Technology and Policy Innovation, October
2013, http://www.4gamericas.org/documents/
2013_4G%20Americas%20Meeting%20the%201000x%20Challenge%2010%204%2013_FINAL.pdf.
130
Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology,
“Oversight of FirstNet and the Advancement of Public Safety Wireless Communications,” testimony of Samuel Ginn,
November 21, 2013.
131
The Administrative Budget for FY2014 proposed privatizing the TVA and required the Office of Management and
(continued...)
Congressional Research Service
22
The First Responder Network and NextGeneration Communications for Public Safety
•
Hybrid corporation established by the federal government, relying on a
combination of earned income and federal funding, such as Amtrak.
•
Corporation established by the federal government, such as Conrail. The federal
presence on the Conrail board was tied to repayment of federal obligations.
•
Federal corporation established as a transition vehicle to transfer to the private
sector, such as the U.S. Enrichment Corporation.
•
Federal agency in perpetuity either as an entity within the NTIA or through some
other federal governance structure.
These potential choices will likely be influenced by decisions made by FirstNet’s board and
management team, and by the NTIA through the grant process and the policies it establishes.
In light of what is likely to become a significant shift in wireless network technology, a
preliminary analysis of FirstNet by the GAO might lead to recommendations for how to mesh
current business plans for the new network with a transition strategy for possible future
governance structures.
Author Contact Information
Linda K. Moore
Specialist in Telecommunications Policy
lmoore@crs.loc.gov, 7-5853
(...continued)
Budget to perform a strategic review.
Congressional Research Service
23