The National Telecommunications and
Information Administration (NTIA): An
An Overview of Programs and Funding
Linda K. Moore
Specialist in Telecommunications Policy
January 21April 1, 2015
Congressional Research Service
7-5700
www.crs.gov
R43866
The NTIA: An Overview of Programs and Funding
Summary
The National Telecommunications and Information Administration (NTIA), a bureau of the
Department of Commerce, is the executive branch’s principal advisory office on domestic and
international telecommunications and information policies. Its mandate is to provide greater
access for all Americans to telecommunications services; support U.S. efforts to open foreign
markets; advise on international telecommunications negotiations; and fund research for new
technologies and their applications. It is also responsible for managing spectrum use by federal
agencies and, as part of this responsibility, identifying federal radio frequency spectrum that can
be transferred to commercial use through the auction of spectrum licenses, conducted by the
Federal Communications Commission.
The NTIA plays an important role in representing U.S. interests in the Internet internationally,
including an active role in the Internet Corporation for Assigned Names and Numbers (ICANN).
ICANN is an international entity that develops policies to support the Internet worldwide. NTIA
actively participates in ICANN as a member of the Governmental Advisory Committee, which
provides advice to ICANN. NTIA also currently contracts with ICANN to manage the Internet
Assigned Numbers Authority (IANA) and to perform other duties. In March 2014, the NTIA
announced its intention to relinquish its authority over ICANN to a multi-stakeholder community
when its current contract expires in September 2015.
Title VI of the Middle Class Tax Relief and Job Creation Act of 2012 (P.L. 112-96) gives the
NTIA responsibilities for improving public safety communications. It is required to assist the
development of the First Responder Network Authority (FirstNet), created by Congress to deploy
a nationwide public safety broadband network. It is also required to assist in planning for Next
Generation 9-1-1 (NG 9-1-1) services, which refers to the transition to digital, Internet-based
systems to replace existing analog systems, the 9-1-1 technology currently prevalent throughout
the United States.
Between FY2010 and FY2011, the NTIA’s budget for administration, salaries, and expenses more
than doubled from $20 million to $41.6 million. This increase was largely attributed to its
responsibilities in administering grants for broadband network deployment, as required by the
American Recovery and Reinvestment Act (ARRA, P.L. 111-5). The enacted budget for FY2014
was $46.0 million. As the project for broadbandbroadband grants program comes to a close, the NTIA has transferred its
its requests for appropriations to new programs. For example, the FY2015 budget request included
included $7.5 million for a new Internet Policy Center.
The Administration’s budget request for FY2015
was $51.0 million. The enacted amount for FY2015 is $38.2 million
FY2015 is $38.2 million. This amount was supplemented by $4.7 million in unobligated balances
carried forward from the previous year, allowing for a FY2015 budget of nearly $42.9 million.
For FY2016, the budget request for the NTIA is $49.2 million, reflecting an increase in Full Time
Equivalent employees from 150 to 169, for programs covered by appropriations. The number of
employees for programs that are reimbursable remains stable at 155.
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The NTIA: An Overview of Programs and Funding
Contents
Overview.......................................................................................................................................... 1
Wireless Initiative and Broadband Deployment ........................................................................ 1
Grants and Public Safety ........................................................................................................... 21
Internet Leadership .................................................................................................................... 2
Appropriations and Budget RequestsSpectrum Management and Advanced Communications Research .......................................... 2
Grants and Public Safety .................................................... 3
Programs ....................................................... 4
Appropriations and Budget Request History ................................................................................... 4
Termination of the Public Telecommunications Facilities Program5
NTIA Programs and Policies .......................................... 5
Spectrum Act ..................................................................... 6
Termination of the Public Telecommunications Facilities Program .......................................... 8
Spectrum Act .................... 6
Public Safety............................................................................................................... 8
Public Safety............... 6
Spectrum Reallocation............................................................................................................... 78
Spectrum Policy ................Reallocation............................................................................................................... 7
Internet Policy ...........................9
Oversight Request by FirstNet ....................................................................................................... 9
Research....10
Funding for Oversight....................................................................................................................................... 9 11
Issues for the 114th Congress ........................................................................................................... 9
OIG Report on FirstNet ........................................................................................................... 11
Highlights of Recent Progress by FirstNet .............................................................................. 12
Tables
Table 1. NTIA Fiscal Year Appropriations 2010-2015 .................................................................... 36
Contacts
Author Contact Information........................................................................................................... 1413
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The NTIA: An Overview of Programs and Funding
Overview
The National Telecommunications and Information Administration (NTIA) is a bureau in the U.S.
Department of Commerce (DOC). The NTIA frequently works with other executive branch
agencies to develop and present the Administration’s position on key policy matters. It represents
the executive branch in both domestic and international telecommunications and information
policy activities. Policy areas in which the NTIA acts as a representative of the Administration
include international negotiations regarding global agreements on the Internet and spectrum
management, and domestic use of spectrum resources by federal agencies.
NTIA is headed by the Assistant Secretary of Commerce for Communications and Information,
who is appointed by the President and acts as a principal advisor to the President on
telecommunications and information policy matters; is the principal executive branch spokesman
to Congress, the industry, state and local governments, and the public on such matters; is the key
coordinator of the federal government’s own communication systems; and is responsible for the
formulation of the nation’s overall telecommunications and information policy.1
Wireless Initiative and Broadband Deployment
As part of President Obama’s Wireless Initiative, the NTIA is charged with identifying
electromagnetic spectrum that might be transferred from the federal sector to commercial wireless
use.2 This spectrum might be auctioned as licenses for exclusive commercial use, made available
for sharing between federal and commercial users, or repurposed in some other way that meets
the stated goal of the Wireless Initiative to add 500 MHz of spectrum for wireless broadband.3
Congress also has required the NTIA to take actions to release spectrum from federal to
commercial use and to ensure the efficient use of federal spectrum.4
The NTIA has announced that it will consolidate its efforts to assist community broadband
deployment under a new program, BroadbandUSA.5 This supports a new initiative for expanding
and improving broadband deployment, announced by the White House on January 13, 2015.6
Among other steps, the NTIA also released a public-private partnership primer, which provides a
1
As described in a job posting for Executive Director of FirstNet on USAJobs, https://www.usajobs.gov/GetJob/
ViewDetails/389363200.
2Broadband Deployment
Managing broadband programs and grants required by the American Recovery and Reinvestment
Act (ARRA, P.L. 111-5) has been a major thrust of the NTIA’s broadband deployment programs
since the law was enacted in 2009.2 ARRA grants must be closed out and funds returned to the
U.S. Treasury by September 30, 2015. Ongoing program features include outreach to improve
digital literacy; maintaining a map of broadband availability nationwide (Broadband Map);
research; and the development of case studies for deploying broadband in communities.
In January 2015, the NTIA announced that it will consolidate its efforts to assist community
broadband deployment under a new program, BroadbandUSA.3 This supports new initiatives for
expanding and improving broadband deployment, announced by the White House on January 13,
2015.4 Among other steps, the NTIA also released a public-private partnership primer, which
provides a basic introduction to a variety of partnership models for communities considering new
broadband projects.5
The FY2016 budget recommendation for broadband programs is $12,962 million for salaries and
expenses and 36 Full Time Equivalent (FTE) employees. Key activities include offering technical
1
As described in a job posting for Executive Director of FirstNet on USAJobs, https://www.usajobs.gov/GetJob/
ViewDetails/389363200.
2
For a discussion of grant programs and broadband deployment, see CRS Report R41775, Background and Issues for
Congressional Oversight of ARRA Broadband Awards, by Lennard G. Kruger.
3
NTIA Blog, “NTIA Announces BroadbandUSA Effort to Assist Communities with Broadband Plans,” January 13,
2015, http://www.ntia.doc.gov/blog/2015/ntia-announces-broadbandusa-effort-assist-communities-broadband-plans.
4
The White House, Office of the Press Secretary, Fact Sheet: Broadband That Works: Promoting Competition and
Local Choice in Next-Generation Connectivity, January 13, 2015, http://www.whitehouse.gov/the-press-office/2015/
01/13/fact-sheet-broadband-works-promoting-competition-local-choice-next-gener.
5
Broadband USA: An Introduction to Effective Public-Private Partnerships for Broadband Investments, January 2015,
http://www.ntia.doc.gov/files/ntia/publications/ntia_ppp_010515.pdf.
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assistance to communities, including regional workshops, and guides and toolkits to encourage
broadband access and adoption.
Internet Leadership
Since 1998, the NTIA has played a key oversight role in the Internet Corporation for Assigned
Names and Numbers (ICANN). ICANN is an international, not-for-profit entity that develops
policies to support the Internet worldwide, notably through its coordination of the Internet naming
system: the Domain Name System (DNS). ICANN is currently under contract to NTIA to manage
the Internet Assigned Numbers Authority (IANA) for DNS and to perform other duties. In March
2014, the NTIA announced its intention to relinquish its existing authority over ICANN.6 The
current contract will expire in September 2015, although NTIA has the option of extending the
contract through 2019.7
Along with the Executive Office of the President, the Office of the Secretary of Commerce, the
National Institute for Standards and Technology (NIST), and the International Trade
Administration (ITA), the NTIA participates in the Internet Policy Task Force, created in 2010 by
the Secretary of Commerce.8
The FY2016 budget recommendation for Domestic and International Planning, which includes
Internet policy, is $15,227 million for salaries and expenses and 44 FTE employees. This
compares to $8,255 million and 33 FTE employees budgeted for FY2015. In addition to
international negotiations regarding the future of ICANN and the formulation of Internet policy,
the NTIA plans to devote resources to facilitate the transition of federal communications
networks to technologies using the Internet Protocol (IP).
Spectrum Management and Advanced Communications Research
As part of President Obama’s Wireless Initiative, the NTIA is charged with identifying
electromagnetic spectrum that might be transferred from the federal sector to commercial wireless
use.9 This spectrum might be auctioned as licenses for exclusive commercial use, made available
for sharing between federal and commercial users, or repurposed in some other way that meets
the stated goal of the Wireless Initiative to add 500 MHz of spectrum for wireless broadband.10
6
NTIA, Newsroom, “NTIA Announces Intent to Transition Key Internet Domain Name Functions,” March 14, 2014,
http://www.ntia.doc.gov/press-release/2014/ntia-announces-intent-transition-key-internet-domain-name-functions.
7
For a discussion of ICANN and related issues, see CRS Report 97-868, Internet Domain Names: Background and
Policy Issues, by Lennard G. Kruger.
8
See the Department of Commerce, Internet Policy Task Force, Commercial Data Privacy and Innovation in the
Internet Economy: A Dynamic Policy Framework, http://www.commerce.gov/sites/default/files/documents/2010/
december/iptf-privacy-green-paper.pdf.
9
The White House, Office of the Press Secretary, “Presidential Memorandum: Unleashing the Wireless Broadband
Revolution,” June 28, 2010, http://www.whitehouse.gov/the-press-office/presidential-memorandum-unleashingwireless-broadband-revolution; and “President Obama Details Plan to Win the Future Through Expanded Wireless
Access,” Fact Sheet, February 10, 2011, http://www.whitehouse.gov/the-press-office/2011/02/10/president-obamadetails-plan-win-future-through-expanded-wireless-access.
310
Spectrum is segmented into bands of radio frequencies and typically measured in cycles per second, or hertz. Standard
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.
4
P.L. 112-96, Sections 6401, 6410, and 6701.
5
NTIA Blog, “NTIA Announces BroadbandUSA Effort to Assist Communities with Broadband Plans,” January 13,
2015, http://www.ntia.doc.gov/blog/2015/ntia-announces-broadbandusa-effort-assist-communities-broadband-plans.
6
The White House, Office of the Press Secretary, Fact Sheet: Broadband That Works: Promoting Competition & Local
Choice in Next-Generation Connectivity, January 13, 2015, http://www.whitehouse.gov/the-press-office/2015/01/13/
fact-sheet-broadband-works-promoting-competition-local-choice-next-gener.
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basic introduction to a variety of partnership models for communities considering new broadband
projects.7
Grants and Public Safety
The NTIA administers some grant programs created by Congress, including the Broadband
Technology Opportunities Program (BTOP).8 BTOP grant projects are in the final stages of
completion. The NTIA also administers a $135 million grant program to help states plan for
participation in a new, nationwide public safety broadband network required by Title VI of the
Middle Class Tax Relief and Job Creation Act of 2012 (P.L. 112-96). To deploy the new network,
the act established the First Responder Network Authority, or FirstNet, as an independent
authority within the NTIA and assigned to the agency various responsibilities to support
FirstNet.9 FirstNet is funded through the Public Safety Trust Fund, established by Congress to
receive revenues from auctions of certain spectrum licenses. FirstNet has access to an advance of
nearly $2 billion from the U.S. Treasury against expected proceeds of sales of spectrum licenses.
Another $5 billion in funding is authorized from additional revenues as received. These funding
amounts were met by auctions conducted in 2014.10 Some of the $7 billion in funding may be
used for grant programs to assist states in building radio access networks, to be determined once
plans for FirstNet are finalized.
The act also provides for a grant program of $115 million to fund improvements in 9-1-1
networks. The program is to be administered by the NTIA and the National Highway Traffic
Safety Administration through an E-911 Implementation Coordination Office (ICO).
Internet Leadership
Since 1998, the NTIA has played a key oversight role in the Internet Corporation for Assigned
Names and Numbers (ICANN). ICANN is an international, not-for-profit entity that develops
policies to support the Internet worldwide, notably through its coordination of the Internet naming
system: the Domain Name System (DNS). ICANN is currently under contract to NTIA to manage
the Internet Assigned Numbers Authority (IANA) for DNS and to perform other duties. In March
2014, the NTIA announced its intention to relinquish its existing authority over ICANN.11 The
current contract will expire in September 2015, although NTIA has the option of extending the
contract through 2019.12
7
Broadband USA: An Introduction to Effective Public-Private Partnerships for Broadband Investments, January 2015,
http://www.ntia.doc.gov/files/ntia/publications/ntia_ppp_010515.pdf.
8
For a discussion of BTOP grants, see CRS Report R41775, Background and Issues for Congressional Oversight of
ARRA Broadband Awards, by Lennard G. Kruger.
9
For a discussion of FirstNet requirements, see CRS Report R42543, The First Responder Network (FirstNet) and
Next-Generation Communications for Public Safety: Issues for Congress, by Linda K. Moore.
10
Auctions 96 and 97 (concluded January 2015); information at http://wireless.fcc.gov/auctions/default.htm?job=
auctions_home.
11
NTIA, Newsroom, “NTIA Announces Intent to Transition Key Internet Domain Name Functions,” March 14, 2014,
http://www.ntia.doc.gov/press-release/2014/ntia-announces-intent-transition-key-internet-domain-name-functions.
12
See CRS Report 97-868, Internet Domain Names: Background and Policy Issues, by Lennard G. Kruger.
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Appropriations and Budget Requests
millions of hertz; and GHz—gigahertz, or billions of hertz.
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Congress also has required the NTIA to take actions to release spectrum from federal to
commercial use and to ensure the efficient use of federal spectrum.11
To meet growing demand for wireless connectivity, the Administration and Congress have taken
steps to increase the amount of radio frequency spectrum available for mobile services such as
access to the Internet.12 Proposals from policymakers to use federal spectrum to provide
commercial mobile broadband services include
•
clearing federal users from designated frequencies for transfer to the commercial
sector through a competitive bidding system;
•
sharing federal frequencies with specific commercial users;13
•
improving the efficiency of federal spectrum use and management;14 and
•
using emerging technologies that allow multiple users to share spectrum as
needed.15
To support spectrum clearing, the NTIA, with input from the Policy and Plans Steering Group
(PPSG),16 has produced a 10-year plan and timetable that identifies bands of spectrum that might
be available for commercial wireless broadband service. As part of its planning efforts, the NTIA
prepared a “Fast Track Evaluation” of spectrum that might be made available in the near future.17
NIST and the NTIA have jointly established a Center for Advanced Communications, in Boulder,
CO. A key focus of the center is to promote interdisciplinary research, development, and testing
in wireless technology and spectrum sharing for public safety and commercial broadband
communications. The Center will also provide test beds for advanced communications
technologies.
The Institute for Telecommunication Sciences (ITS), located in Boulder, CO, is the research and
engineering arm of the NTIA. ITS provides core telecommunications research and engineering
services to promote enhanced domestic competition and new technology deployment; advanced
11
P.L. 112-96, Sections 6401, 6410, and 6701.
For a discussion of spectrum demand, technology, innovation, and competition, see CRS Report R43595, Mobile
Technology and Spectrum Policy: Innovation and Competition, by Linda K. Moore.
13
The Government Accountability Office (GAO) provided testimony on the topic of sharing: Spectrum Management:
Federal Government’s Use of Spectrum and Preliminary Information on Sharing, September 13, 2012, GAO-121018T; and a report: Spectrum Management: Incentives, Opportunities, and Testing Needed to Enhance Spectrum
Sharing, November 14, 2012, GAO-13-7.
14
The Government Accountability Office (GAO) issued a report: Spectrum Management: NTIA Planning and
Processes Need Strengthening to Promote the Efficient Use of Spectrum by Federal Agencies, April 2011, GAO-11352.
15
The NTIA has made the development of spectrum-sharing methods a priority. Information on specific actions is at
NTIA, “Spectrum Sharing,” http://www.ntia.doc.gov/category/spectrum-sharing.
16
Created in response to Department of Commerce recommendations to improve spectrum efficiency through better
management, see http://www.ntia.doc.gov/legacy/reports/specpolini/factsheetspecpolini_06242004.htm.
17
NTIA, “An Assessment of Near-Term Viability of Accommodating Wireless Broadband Systems in the 1675-1710
MHZ, 1755-1780 MHz, 3500-3650 MHz, and 4200-4220 MHz, 4380-4400 MHZ Bands (President’s Spectrum Plan
Report),” November 15, 2010, http://www.ntia.doc.gov/report/2010/assessment-near-term-viability-accommodatingwireless-broadband-systems-1675-1710-mhz-17. See also NTIA, “Fourth Interim Progress Report on the Ten-Year
Plan and Timetable and Plan for Quantitative Assessments of Spectrum Usage,” June 2014, http://www.ntia.doc.gov/
files/ntia/publications/fourth_interim_progress_report_final.pdf.
12
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telecommunications and information services; foreign trade opportunities for American
telecommunication firms; and more efficient use of spectrum.
Many decisions regarding the use of federal spectrum are made with the participation of the
Interdepartmental Radio Access Committee, IRAC.18 IRAC membership comprises
representatives of all branches of the U.S. military and a number of federal department agencies
affected by spectrum management decisions.19 The NTIA is also advised by the Commerce
Spectrum Management Advisory Committee (CSMAC). The committee was created by the
Department of Commerce in 2004 and is composed of experts from outside the federal
government.20 Both IRAC and CSMAC address spectrum-clearing and shared-spectrum
solutions, and technology research through their committees. The Office of Management and
Budget also influences agency spectrum management through budget planning and
recommendations.
The FY2016 budget recommendation for Advanced Communications Research is $12,555 million
and 50 FTE employees. This includes an increase of $4,828 million and 8 FTE employees for the
Center for Advanced Communications Research. The recommended budget for spectrum
management programs is $8,488 million and 39 FTE employees. This compares to $9,398 million
for the same number of employees FY2015. Additional staffing is assigned to manage federal
spectrum resources for which the NTIA receives fee income from the agencies based on their
spectrum holdings.
Grants and Public Safety
The NTIA administers some grant programs created by Congress, including the Broadband
Technology Opportunities Program (BTOP). BTOP grant projects are in the final stages of
completion. The NTIA also administers a $135 million grant program to help states plan for
participation in a new, nationwide public safety broadband network required by Title VI of the
Middle Class Tax Relief and Job Creation Act of 2012 (P.L. 112-96). To deploy the new network,
the act established the First Responder Network Authority, or FirstNet, as an independent
authority within the NTIA and assigned to the agency various responsibilities to support
FirstNet.21 $7 billion in funding is authorized for expenses primarily related to the operation of
FirstNet and deployment of its network. Some of the $7 billion in funding may be used for grant
programs to assist states in building radio access networks, to be determined once plans for
FirstNet are finalized. FirstNet is funded through the Public Safety Trust Fund, established by
Congress to receive revenues from auctions of certain spectrum licenses Funding amounts were
met by auctions conducted in 2014.22
18
See http://www.ntia.doc.gov/category/irac.
Members are listed at http://www.ntia.doc.gov/page/irac-functions-and-responsibilities.
20
See http://www.ntia.doc.gov/category/csmac.
21
For a discussion of FirstNet requirements, see CRS Report R42543, The First Responder Network (FirstNet) and
Next-Generation Communications for Public Safety: Issues for Congress, by Linda K. Moore.
22
Auctions 96 and 97 (concluded January 2015); information at http://wireless.fcc.gov/auctions/default.htm?job=
auctions_home.
19
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The act also provides for a grant program of $115 million to fund improvements in 9-1-1
networks. The program is to be administered by the NTIA and the National Highway Traffic
Safety Administration through an E-911 Implementation Coordination Office (ICO).
Appropriations and Budget Request History
For FY2015, Congress appropriated $38.2 million for NTIA salaries and expenses. The
Administration had proposed $51.0 million. This would have been an increase of $5 million
(10.9%) over the enacted FY2014 budget amount of $46 million. The increase was attributed by
the NTIA to an increased focus on policy oversight in two key areas: formulating domestic and
international policies and expanding the availability of broadband communications.1323 New
programs identified in the budget request includeincluded a Center for Advanced Communications, a
cooperative effort with the National Institute for Standards and Technology (NIST)NIST to advance
spectrum sharing and innovation. Further, the NTIA
proposed $7.5 million to fund an Internet
Policy Center to provide analysis and recommendations
related to all aspects of the Internet.1424 The enacted amount for FY2015 was supplemented by $4.7
million in unobligated balances carried forward from the previous year, allowing for a FY2015
budget of nearly $42.9 million.
In FY2010, the Public Telecommunications Facilities Program (PTFP) represented half of the
NTIA’s budget appropriations. In FY2011, the total enacted budget appropriations amount for the
NTIA increased by 4% to $41.6 million, entirely for administrative expenses and salaries; funding
for the PTFP was eliminated.
According to the NTIA, the increase of $21.6 million from FY2010 to FY2011 in funding for
salaries and expenses was largely attributable to the costs of administration of a $4.7 billion
program for broadband deployment, as required by the American Recovery and Reinvestment Act
of 2009 (P.L. 111-5).1525 In FY2012 requests for funding to administer grant programs totaled $32.3
million, 70% of the fiscal year budget request.1626 For FY2013, $25.8 million in funding was
designated to administer the remaining broadband grant programs, primarily BTOP. The FY2014
request for broadband grant program oversight was for $24.7 million, roughly 40% of the total
budget request.
Table 1. NTIA Fiscal Year Appropriations 2010-2015
(in millions of dollars)
FY2010
FY2011
FY2012
FY2013a
FY2014
FY2015
NTIA total
$40.0
$41.6
$45.6
$42.8
$46.0
$38.2
Administration,
salaries and
expenses
$20.0
$41.6
$45.6
$42.8
$46.0
$38.2
PTFP
$20.0
0
0
0
0
0
Source: Annual Reports, Department of Commerce and Congressional Appropriations, as enacted.
a.
Total budget authority.
The enacted budget for FY2015 eliminates $12.3 million associated with the conclusion of the
BTOP grant award program but includes up to $3 million to provide broadband technical
13The enacted budget for FY2015 eliminated $12.3 million associated with the conclusion of the
BTOP grant award program but included up to $3 million to provide broadband technical
assistance to communities. The FY2015 budget agreement requires the NTIA to provide at least
45 days’ notice to the appropriate congressional committees regarding actions taken related to its
role in ICANN or IANA, among other reporting requirements, and places constraints on
spending.27
23
U.S. Department of Commerce, National Telecommunications and Information Administration, FY2015 Budget as
Presented to Congress, March 2014, executive summary.
1424
Ibid., p. 63.
1525
This amount was later reduced by Congress to $4.4 billion.
1626
U.S. Department of Commerce, National Telecommunications and Information Administration, FY2013 Budget as
Presented to Congress, February 2012.
27
For additional information see CRS Report R42351, Internet Governance and the Domain Name System: Issues for
Congress, by Lennard G. Kruger.
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assistance to communities. The FY2015 budget agreement requires the NTIA to provide at least
45 days’ notice to the appropriate congressional committees regarding actions taken related to its
role in ICANN or IANA, among other reporting requirements, and places constraints on
spending.17
Table 1. NTIA Fiscal Year Appropriations 2010-2015
(in millions of dollars)
FY2010
FY2011
FY2012
FY2013a
FY2014
FY2015
NTIA total
$40.0
$41.6
$45.6
$42.8
$46.0
$38.2
Administration,
salaries and
expenses
$20.0
$41.6
$45.6
$42.8
$46.0
$38.2
PTFP
$20.0
0
0
0
0
0
Source: Annual Reports, Department of Commerce and Congressional Appropriations, as enacted.
a.
Total budget authority.
In addition to appropriations, the NTIA also receives funding from sources such as fees charged
to federal agencies for spectrum management services and reimbursable projects in
telecommunications technology research, as well as management fees from FirstNet.
Reimbursable funding for FY2013 was $36.3 million, of which spectrum management fees from
federal agencies were $28.1 million. The fees for FY2014 were reported as $59.4 million and
$42.0 million, respectively. The estimate for FY2015 is $40.6 million and $32.0 million.18
Programs28
For FY2016, the Administration requests $49.2 million for salaries and expenses. An additional
$42.6 million is estimated for reimbursable obligations. Categories established for directed
obligations in FY2016 are budgeted (in millions) for Domestic and International Policies ($15.2);
Spectrum Management ($8.5); Advanced Communications Research ($12.6) and Broadband
Programs ($13).
NTIA Programs and Policies
The NTIA fulfills many responsibilities for different constituencies. As the agency responsible for
managing spectrum used by federal agencies, the NTIA often works in consultation with the
Federal Communications Commission (FCC) on matters concerning spectrum access, technology,
and policy. The FCC regulates private sector, state, local, and tribal spectrum use. Because many
spectrum issues are international in scope and negotiated through treaty-making, the NTIA and
the FCC collaborate with the Department of State in representing American interests. The NTIA
also participates in interagency efforts to develop Internet policy and to ensure that Internetfocused initiatives across the government are coordinated. The NTIA and NIST have adjoining
facilities on the Department of Commerce campus in Boulder, CO, where they collaborate on
research projects with each other and with other federal agencies, such as the FCC.
The NTIA worked with the Rural Utilities Service in coordinating grants made through BTOP.
The NTIA collaborates with NIST, the FCC, and the Department of Homeland Security (DHS) in
providing expertise and guidance to grant recipients using BTOP funds to build new wireless
networks for broadband communications.
As described by the NTIA,19
28
U.S. Department of Commerce, National Telecommunications and Information Administration, FY2015 Budget as
Presented to Congress, March 2014, p. 43.
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As described by the NTIA,29 its policies and programs are administered through
•
The Office of Spectrum Management (OSM), which formulates and establishes
plans and policies that ensure the effective, efficient, and equitable use of the
spectrum both nationally and internationally. Through the development of longrange spectrum plans, the OSM works to address future federal government
spectrum requirements, including public safety operations and the coordination
and registration of federal government satellite networks. The OSM also handles
the frequency assignment needs of the federal agencies and provides spectrum
certification for new federal agency radio communication systems.
•
The Office of Policy Analysis and Development (OPAD), which is the domestic
policy division of the NTIA. OPAD supports the NTIA’s role as principal adviser
17
For additional information see CRS Report R42351, Internet Governance and the Domain Name System: Issues for
Congress, by Lennard G. Kruger.
18
U.S. Department of Commerce, National Telecommunications and Information Administration, FY2015 Budget as
Presented to Congress, March 2014, p. 43.
19
See http://www.ntia.doc.gov/about.
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to the executive branch and the Secretary of Commerce on telecommunications
and information policies by conducting research and analysis and preparing
policy recommendations.
•
The Office of International Affairs (OIA), which develops and implements
policies to enhance U.S. companies’ ability to compete globally in the
information technology and communications (ICT) sectors. In consultation with
other U.S. agencies and the U.S. private sector, OIA participates in international
and regional fora to promote policies that open ICT markets and encourage
competition.
•
The Institute for Telecommunication Sciences (ITS), which is the research and
engineering laboratory of the NTIA. ITS provides technical support to the NTIA
in advancing telecommunications and information infrastructure development,
enhancing domestic competition, improving U.S. telecommunications trade
opportunities, and promoting more efficient and effective use of the radio
spectrum.
•
The Office of Telecommunications and Information Applications (OTIA), which
administers grant programs that further the deployment and use of technology in
America, and the advancement of other national priorities. In the past, the OTIA
has awarded grants from the Public Telecommunications Facilities Program,
which was terminated by Congress in FY2011. The OTIA has administered
BTOP grants since 2009.
•
The Office of Public Safety Communications, which was created by the NTIA at
the end of 2012 to administer some provisions of the Middle Class Tax Relief
and Job Creation Act of 2012, Title VI, also known as the Spectrum Act.
For budget purposes, the category of salaries and expenses is organized into five sub-activities:
Domestic and International Policies; Spectrum Management; Telecommunication Sciences
Research; Broadband Programs; and Spectrum Sharing and Monitoring.2030
29
See http://www.ntia.doc.gov/about.
U.S. Department of Commerce, National Telecommunications and Information Administration, FY2015 Budget as
Presented to Congress, March 2014, pp. 49-50.
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Termination of the Public Telecommunications Facilities Program
Effective FY2011, Congress terminated grant funding for the Public Telecommunications
Facilities Program (PTFP). In FY2010, the program received $20 million in funding to support
broadcast and non-broadcast projects. Approximately half of the grant monies went to public
radio and television stations to replace equipment. Another 25% of grant funds were awarded to
bring radio and television services to unserved or underserved communities. Other awards
included grants to 16 public television and radio stations to cover costs of converting from analog
to digital broadcasting. These grants helped the Public Broadcasting Service to maintain and
improve its critical role in the current Emergency Alert System (EAS) and new initiatives for
Wireless Emergency Alerts (also known as commercial mobile alerts).2131 For example, the satellite
communications network that supports EAS is operated by the National Public Radio, public
television stations provide backup for Wireless Emergency Alerts to mobile devices, and public
20
U.S. Department of Commerce, National Telecommunications and Information Administration, FY2015 Budget as
Presented to Congress, March 2014, pp. 49-50.
21
Background information on FEMA and FCC websites, such as http://www.fema.gov/emergency-alert-system-eas.
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television and radio stations provide emergency alerts and information to otherwise unserved
communities.
Spectrum Act
The most recent legislative action to provide more spectrum for commercial services was
included in provisions of Title VI of the Middle Class Tax Relief and Job Creation Act of 2012
(P.L. 112-96).2232 Title VI is generally referred to as the Spectrum Act, or the Public Safety and
Spectrum Act.
Public Safety
The Spectrum Act gives the NTIA responsibilities to support the First Responder Network
Authority (FirstNet) in planning, building, and managing a new, nationwide, broadband network
for public safety communications.2333 Among the act’s provisions for FirstNet in planning and
deploying the new network is a requirement “to promote integration of the network” with 9-1-1
call centers (usually known as Public Safety Answering Points, or PSAPS).2434
Some of the auction revenues designated for the Public Safety Trust Fund are placed in the
Network Construction Fund, which is to be established as an account in the Treasury. The fund is
to be used by FirstNet for expenditures on construction, maintenance, and related expenses to
build the nationwide network required in the act, and by the NTIA for grants to those states that
qualify to build their own radio access network links to FirstNet. The NTIA is also to facilitate
payments to states that participate in the deployment of the network.
The act establishes a State and Local Implementation Fund and requires the NTIA, in
consultation with FirstNet, to establish grant program requirements. Grants from this fund are
available to all 56 states and territories to support planning, consultation, data collection,
education, and outreach activities. Grants totaling over $116 million were awarded to 54 states
and territories in FY2013.25
The NTIA has created an Office of Public Safety Communications to oversee the State and Local
Implementation Fund grant process. It also has been assigned other statutory responsibilities such
as developing and administering the state opt-out program. The Office will manage service-level
agreements for the agency to supply administrative, technical, staffing, and other resources, as
requested, to FirstNet.
22
31
Background information on FEMA and FCC websites, such as http://www.fema.gov/emergency-alert-system-eas.
Provisions in Title VI of the act are discussed in CRS Report R43256, Spectrum Policy: Provisions in the 2012
Spectrum Act, by Linda K. Moore.
2333
Actions taken by the NTIA in establishing and assisting FirstNet are documented in the U.S. Department of
Commerce, National Telecommunications and Information Administration, FY 2014 Budget as Presented to Congress,
April 2013, http://www.osec.doc.gov/bmi/budget/FY14CJ/NTIA_FY_2014_CJ_Final_508_Compliant.pdf.
24
P.L. 112-96, §6206 (b) (2) (c).
25
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. See also NTIA
Blog, “NTIA Grant Program Ensuring States are Planning for FirstNet,” by Mike Dame, Program Director, State and
Local Implementation Grant Program (SGLIP), December 23, 2014, http://www.ntia.doc.gov/blog/2014/ntia-grantprogram-ensuring-states-are-planning-firstnet.
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34
P.L. 112-96, §6206 (b) (2) (c).
32
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The act establishes a State and Local Implementation Fund and requires the NTIA, in
consultation with FirstNet, to establish grant program requirements. Grants from this fund are
available to all 56 states and territories to support planning, consultation, data collection,
education, and outreach activities. Grants totaling over $116 million were awarded to 54 states
and territories in FY2013, to be distributed in two phases.35
The NTIA has created an Office of Public Safety Communications to oversee the State and Local
Implementation Fund grant process. It also has been assigned other statutory responsibilities such
as developing and administering the state opt-out program. The Office will manage service-level
agreements for the agency to supply administrative, technical, staffing, and other resources, as
requested, to FirstNet.
The act reestablishes the federal 9-1-1 Implementation Coordination Office (ICO) to plan for
next-generation 9-1-1 systems (NG 9-1-1) and to administer a grant program of $115 million.2636
Funds for the grant program will likely be available in 2015, following the successful auction of
spectrum licenses intended to provide the funding. ICO is to be jointly administered by the NTIA
and the National Highway Traffic Safety Administration (NHTSA). Other responsibilities of ICO
include preparing a report on costs for requirements and specifications of Next Generation 9-1-1
(NG 9-1-1) services, including an analysis of costs, and assessments and analyses of technical
uses. The act requires the report be prepared and submitted within one year of enactment.2737
Since the NTIA has responsibilities for both ICO and FirstNet, the agency is in a position to
encourage interoperability between PSAPs and first responders as they move to common IPbased platforms. NTIA might, for example, place responsibility for the agency’s participation in
ICO within the Office of Public Safety Communications, bolstering its ability to coordinate with
FirstNet.
Spectrum Reallocation
The Spectrum Act updates existing and specifies new procedures for spectrum to be reallocated
from federal government to commercial use. Under the act, the NTIA is required to work with the
FCC to identify radio frequency bands for release to commercial use.
The act also addresses how spectrum resources might be repurposed from federal to commercial
use through auction or sharing, and how the cost of such reassignment would be defined and
compensated, among other provisions. Although spectrum sharing to facilitate the transition from
federal to commercial use is supported in the act’s provisions, the NTIA is required to give
priority to reallocation options that assign spectrum for exclusive, non-federal uses through
competitive bidding.
The act requires the establishment of a Technical Panel within the NTIA to review transition plans
that each federal agency must prepare in accordance with provisions in the act. The Technical
Panel is required to have three members qualified as a radio engineer or technical expert. The
Director of the Office of Management and Budget, the Assistant Secretary of Commerce for
Communications and Information, and the Chairman of the FCC have been required to appoint
one member each. A discussion and interpretation of provisions of the act as regards the technical
panel and related procedural requirements such as dispute resolution have been published by the
NTIA as part of the rulemaking process.28
Spectrum Policy
To meet growing demand for wireless connectivity, the Administration and Congress have taken
steps to increase the amount of radio frequency spectrum available for mobile services such as
26
Previous legislation for NG 9-1-1 is discussed in CRS Report R41208, Emergency Communications: Broadband and
the Future of 911 , by Linda K. Moore.
27
P.L. 112-96, §6508.
28
NTIA, Notice of Proposed Rulemaking, July 17, 2012, and replies, docket no. 110627357-2209-03 at
http://www.ntia.doc.gov/federal-register-notice/2012/technical-panel-and-dispute-resolution-board-nprm.
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access to the Internet.29 Proposals from policy makers to use federal spectrum to provide
commercial mobile broadband services include
•
Clearing federal users from designated frequencies for transfer to the commercial
sector through a competitive bidding system.
•
Sharing federal frequencies with specific commercial users.30
•
Improving the efficiency of federal spectrum use and management.31
•
Using emerging technologies that allow multiple users to share spectrum as
needed.32
The NTIA supports the Administration’s policy goal of increasing spectrum capacity for mobile
broadband by 500 MHz.33 To this purpose, the NTIA, with input from the Policy and Plans
Steering Group (PPSG),34 has produced a 10-year plan and timetable that identifies bands of
spectrum that might be available for commercial wireless broadband service. As part of its
planning efforts, the NTIA prepared a “Fast Track Evaluation” of spectrum that might be made
available in the near future.35
Many decisions regarding the use of federal spectrum are made with the participation of the
Interdepartmental Radio Access Committee, IRAC.36 IRAC membership comprises
representatives of all branches of the U.S. military and a number of federal department agencies
affected by spectrum management decisions.37 The NTIA is also advised by the Commerce
Spectrum Management Advisory Committee (CSMAC). The committee was created by the
Department of Commerce in 2004 and is composed of experts from outside the federal
29
For a discussion of spectrum demand, technology, innovation, and competition, see CRS Report R43595, Mobile
Technology and Spectrum Policy: Innovation and Competition, by Linda K. Moore.
30
The Government Accountability Office (GAO) provided testimony on the topic of sharing: Spectrum Management:
Federal Government’s Use of Spectrum and Preliminary Information on Sharing, September 13, 2012, GAO-121018T; and a report: Spectrum Management: Incentives, Opportunities, and Testing Needed to Enhance Spectrum
Sharing, November 14, 2012, GAO-13-7.
31
The Government Accountability Office (GAO) issued a report: Spectrum Management: NTIA Planning and
Processes Need Strengthening to Promote the Efficient Use of Spectrum by Federal Agencies, April 2011, GAO-11352.
32
The NTIA has made the development of spectrum-sharing methods a priority. Information on specific actions is at
NTIA, “Spectrum Sharing,” http://www.ntia.doc.gov/category/spectrum-sharing.
33
Broadband refers here to the capacity of the radio frequency channel. A broadband channel can quickly transmit live
video, complex graphics, and other data-rich information as well as voice and text messages, whereas a narrowband
channel might be limited to handling voice, text, and some graphics.
34
Created in response to Department of Commerce recommendations to improve spectrum efficiency through better
management, see http://www.ntia.doc.gov/legacy/reports/specpolini/factsheetspecpolini_06242004.htm.
35
NTIA, “An Assessment of Near-Term Viability of Accommodating Wireless Broadband Systems in the 1675-1710
MHZ, 1755-1780 MHz, 3500-3650 MHz, and 4200-4220 MHz, 4380-4400 MHZ Bands (President’s Spectrum Plan
Report),” November 15, 2010, http://www.ntia.doc.gov/report/2010/assessment-near-term-viability-accommodatingwireless-broadband-systems-1675-1710-mhz-17. See also NTIA, “Fourth Interim Progress Report on the Ten-Year
Plan and Timetable and Plan for Quantitative Assessments of Spectrum Usage,” June 2014, http://www.ntia.doc.gov/
files/ntia/publications/fourth_interim_progress_report_final.pdf.
36
See http://www.ntia.doc.gov/category/irac.
37
Members are listed at http://www.ntia.doc.gov/page/irac-functions-and-responsibilities.
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government.38 The Office of Management and Budget also influences agency spectrum
management through budget planning and recommendations.
Internet Policy
Working with other stakeholders, the NTIA leads and participates in interagency efforts to
develop and coordinate Internet policy. In addition, the NTIA works with other governments and
international organizations to discuss and reach consensus on relevant Internet policy issues.
Along with the Executive Office of the President, the Office of the Secretary of Commerce, and
department bureaus NIST and the International Trade Administration (ITA), the NTIA plays a
role in the Internet Policy Task Force, created in 2010 by the Secretary of Commerce.39 One of
the NTIA’s functions on the task force is to assist in the establishment of privacy codes of conduct
on mobile application transparency and facial recognition technology.40
The NTIA is the lead executive branch agency on issues relating to the Domain Name System
(DNS) and supports a multi-stakeholder approach to the coordination of the DNS to ensure the
long-term viability of the Internet as a force for innovation and economic growth.
Research
The Institute for Telecommunication Sciences (ITS), located in Boulder, CO, is the research and
engineering arm of the NTIA. ITS provides core telecommunications research and engineering
services to promote enhanced domestic competition and new technology deployment; advanced
telecommunications and information services; foreign trade opportunities for American
telecommunication firms; and more efficient use of spectrum. NIST and the NTIA have
established a Center for Advanced Communications, in Boulder, Colorado. A key focus of the
center is to promote interdisciplinary research, development, and testing in wireless technology
and spectrum sharing for public safety and commercial broadband communications.
Issues for the 114th Congress
The Assistant Secretary of Commerce for Communications and Information—the administrator of
the NTIA—has set three major priorities for the agency for 2015.41
38
See http://www.ntia.doc.gov/category/csmac.
See the Department of Commerce, Internet Policy Task Force, Commercial Data Privacy and Innovation in the
Internet Economy: A Dynamic Policy Framework, http://www.commerce.gov/sites/default/files/documents/2010/
december/iptf-privacy-green-paper.pdf.
40
Details at http://www.ntia.doc.gov/other-publication/2013/privacy-multistakeholder-process-mobile-applicationtransparency.
41
NTIA, Newsroom, “Remarks by Lawrence E. Strickling, Assistant Secretary of Commerce for Communications and
Information, PLI/FCBA,” Telecommunications Policy and Regulation Institute, Washington, DC, December 4, 2014,
http://www.ntia.doc.gov/speechtestimony/2014/remarks-assistant-secretary-strickling-plifcba-telecommunicationspolicy-regula.
39
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•
Promote spectrum sharing as a key part of ongoing efforts to find more spectrum
for commercial wireless broadband.
•
Continue to expand broadband access and adoption to help close the digital
divide.
•
Support and strengthen the bottom-up, consensus-based approach to Internet
governance through the multi-stakeholder process.
Congress, however, is likely to focus on NTIA leadership: leadership in Internet policy—
specifically its role in ICANN and IANA—and leadership in support of public safety
communications.
Provisions related to the FY2015 appropriations bill (P.L. 113-235) direct the NTIA
to inform appropriate Congressional committees not less than 45 days in advance of any such
proposed successor contract or any other decision related to changing NTIA’s role with
respect to ICANN or IANA activities. In addition, NTIA shall submit a report to the
Committees on Appropriations within 45 days of enactment of this Act regarding any
recourse that would be available to the United States if the decision is made to transition to a
new contract and any subsequent decisions made following such transfer of Internet
governance.42
The 113th Congress, among other actions, held a hearing on NTIA’s oversight of ICANN and
related activities.43
The intent of Congress, therefore, appears to be for a vigorous and probing oversight of NTIA
actions regarding, especially, NTIA’s proposed relinquishment of its authority over ICANN, and
whether NTIA’s contract with ICANN should be allowed to expire.
Congress, also, may likely examine the NTIA’s role in supporting public safety communications,
for example, with follow-up oversight regarding the December 2014 report on FirstNet prepared
by the Office of Inspector General (OIG) of the Department of Commerce.44
Members of Congress have taken some steps to gather information about the NTIA’s decisionmaking, planning, and performance. In response to separate requests from Congress, the
Government Accountability Office is preparing reports on the planning and implementation of
FirstNet, and on NTIA’s proposed transition of its authority over ICANN. In May 2014, several
Senators wrote the NTIA requesting information on the status of a report on NG 9-1-1 to have
been completed in spring 2013, as required by the act.45 The response, in summary, was that $1.5
million was needed to meet the act’s provisions but that funding had not been provided by
42
Congressional Record, December 11, 2014, Vol. 160, No. 151, Book II, p. H9342.
Hearing, House Committee on the Judiciary, Subcommittee on Courts, Intellectual Property, and the Internet,
“Should the Department of Commerce Relinquish Direct Oversight over ICANN,” April 10, 2014.
44
U.S. Department of Commerce, Office of Inspector General, Office of Audit and Evaluation, First Responder
Network Authority: FirstNet Must Strengthen Management of Financial Disclosures and Monitoring of Contracts,
December 5, OIG-15-013-A, http://www.oig.doc.gov/OIGPublications/OIG-15-013-A.pdf.
45
“Sens. Casey, Collins, King Request 911 System Update from NTIA in Wake of Timothy Davison’s Murder,” May
30, 2014, http://www.casey.senate.gov/newsroom/releases/sens-casey-collins-king-request-911-system-update-fromntia-in-wake-of-timothy-davisons-murder.
43
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Congress.46 The NTIA apparently assumed that the funding for ICO would be provided from the
NG 9-1-1 grant program. A request for separate funding was presented to Congress in the FY2013
and FY2015 proposed budgets for NHTSA. NHTSA is co-chair of ICO and has in the past had a
role in 9-1-1 advocacy and research activities, as part of the Department of Transportation’s
Intelligent Transportation Systems Research program.
OIG Report on
35
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. See also NTIA
Blog, “NTIA Grant Program Ensuring States are Planning for FirstNet,” by Mike Dame, Program Director, State and
Local Implementation Grant Program (SGLIP), December 23, 2014, http://www.ntia.doc.gov/blog/2014/ntia-grantprogram-ensuring-states-are-planning-firstnet.
36
Previous legislation for NG 9-1-1 is discussed in CRS Report R41208, Emergency Communications: Broadband and
the Future of 911, by Linda K. Moore.
37
P.L. 112-96, §6508.
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The act requires the establishment of a Technical Panel within the NTIA to review transition plans
that each federal agency must prepare in accordance with provisions in the act. The Technical
Panel is required to have three members qualified as a radio engineer or technical expert. The
Director of the Office of Management and Budget, the Assistant Secretary of Commerce for
Communications and Information, and the Chairman of the FCC have been required to appoint
one member each. A discussion and interpretation of provisions of the act as regards the technical
panel and related procedural requirements such as dispute resolution have been published by the
NTIA as part of the rulemaking process.38
Oversight Request by FirstNet
Criticism by a member of the board of FirstNet, in April 2013—regarding a lack of transparency
in information provided to the board, and other issues—led to a review of practices by the OIG.
The primary focus of the review had two main objectives, to determine whether the Department
of Commerce (DOC)
•
Had adequate processes in place to ensure that FirstNet Board members properly
filed financial disclosures and identified potential conflicts of interest.
•
Used appropriate contracting processes and requirements.
The overall finding is that some monitoring procedures were inadequate, including, for example,
a finding that “FirstNet contracting practices lacked transparent award competition, sufficient
oversight of hiring, adequate monitoring, and procedures to prevent erroneous costs.... ”4739
In its review, the OIG looked at the roles of the NTIA, the DOC Office of General Counsel, and
two agencies within DOC that were assigned direct responsibilities to assist FirstNet; the Bureau
of Census and NIST were asked to award and manage contracts with outside entities to provide
assistance to FirstNet. The OIG did not specifically review activities of the NTIA Office of Public
Safety Communications, created to assist FirstNet with administrative tasks, including staffing.
The OIG review determined that nearly $11 million had been inappropriately spent, much of it
going for consulting work that did not meet contractual definitions of deliverables. The OIG
referred to this consulting work as “work products” and questioned the expenditures. The DOC
responded that it conducted relevant contracting activities in accordance with federal procurement
laws and regulations and monitored performance, and that the contracts produced “first-rate
feasibility research, technical analysis, strategic planning, and outreach services from highly
specialized consultants, whose work product has laid the groundwork for executing FirstNet’s
mission.”4840
The OIG made recommendations to the Secretary, the General Counsel, the Chair of FirstNet, and
the DOC’s Senior Procurement Official regarding various procedures and responsibilities. A joint
response from FirstNet, the NTIA, and the General Counsel concurred with the specific
recommendations from the OIG, although not all the findings. In general, they defended their
actions in the context of unique requirements and time constraints in setting up FirstNet.
46
Joint letter from David L. Strickland, Administrator, NHTSA, and Lawrence J. Strickling, NTIA, to Senator Robert
P. Casey, Jr., June 16, 2014, “funding for the new grant program and other activities called for in the legislation will
not be available to the agencies until after many other statutory funding priorities are met.... ”
47
Ibid., cover memorandum.
48
38
NTIA, Notice of Proposed Rulemaking, July 17, 2012, and replies, docket no. 110627357-2209-03 at
http://www.ntia.doc.gov/federal-register-notice/2012/technical-panel-and-dispute-resolution-board-nprm.
39
Ibid., cover memorandum.
40
Ibid., p. 36.
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recommendations from the OIG, although not all the findings. In general, they defended their
actions in the context of unique requirements and time constraints in setting up FirstNet.
The OIG review covered a limited range of issues linked to oversight procedures. Although it did
not go into detail, the OIG noted “inconsistent administration”4941 and several instances of
significant time lags in the performance of DOC officials. For example, “6 months after the
Board began regular meetings, senior NTIA and Office of General ConselCounsel officials were still
debating [the monitoring] of potential conflicts of interest.”5042 OIG found that most of the lapses
occurred in the year after the FirstNet board held its first official meeting in September 2012. The
review observed that “neither a business plan nor a network plan were completed or delivered to
FirstNet during the 1-year performance period of the contracts.... ”51
Highlights of Recent Progress by FirstNet
Congress may choose to consider whether achievements recently identified by FirstNet meet
expectations for progress toward achieving a self-sustaining nationwide network with the levels
of coverage and service identified in the act.
The planning vehicle that has been shared with the public is an executive summary of a
“Roadmap,”52 adopted by the FirstNet board in March 2014.53 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;
•
complete testing and validation of critical features and functionality of the
network;
•
conduct state outreach and complete consultations;54 and
•
review aggregated information to determine pricing for approval by the NTIA.
49
Ibid., p. 5.
Ibid., p. 6.
51
Ibid., p. 12.
52
“FirstNet Program Roadmap Executive Summary,” at http://firstnet.gov/sites/default/files/
FirstNet%20Program%20Roadmap%20Executive%20Summary_03112014.pdf.
53
FirstNet News, “FirstNet Board of Directors Meets on Strategic Roadmap,” March 11, 2014, http://www.firstnet.gov/
news/firstnet-board-directors-meets-strategic-roadmap.
54
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.
50
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At the June 2014 meeting55 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, 2012.56
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,57 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,58 issued
September 2014.]
•
Release draft request for comprehensive network proposals for offer or
comments. [“Comprehensive Network Request for Information and Statement of
Objectives,”59 issued September 2014.]
•
Release draft requests for certain network equipment and services proposals for
offer or comments.
•
Begin formal state consultations. [The first consultation was held with the State
of Maryland, July 2014.]60
55
FirstNet 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.
56
Board Resolution 1, By-Laws, http://www.ntia.doc.gov/files/ntia/publications/
firstnet_resolution_no._1_on_bylaws_adopted_9.25.12.pdf.
57
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.
58
Published in the Federal Register, September 24, 2014, http://www.ntia.doc.gov/files/ntia/publications/
fr_firstnet_rfc_09242014.pdf.
59
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&=.
60
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.
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An update of the Roadmap and other activities, including additional information on the FY2015
budget, was provided on September 17, 2014, by FirstNet Acting General Manager, T. J.
Kennedy.61
Author Contact Information
Linda K. Moore
Specialist in Telecommunications Policy
lmoore@crs.loc.gov, 7-5853
61
“Strategic Roadmap Management Update,” http://www.firstnet.gov/sites/default/files/firstnet-strategic-roadmapmanagement-update_0.pdf.
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1443
Funding for Oversight
The Department of Commerce, Office of Inspector General has requested $1.4 million in FY2016
to provide oversight of FirstNet.44 The FY2015 budget requested $2.2 million for this purpose.
According to the FY2015 budget request document,
The Secretary’s allowance for OIG did not provide funding for FirstNet oversight, stating
that the Department is working to identify a funding solution for oversight. OIG had
previously requested $1.9 million for FY 2014 for oversight of FirstNet, which the
Department also did not support. The Department deferred a funding decision for FirstNet,
and it is our understanding that an agreement in principle between the Department and
FirstNet was reached where FirstNet would provide a transfer to OIG to fund FirstNet
oversight. However, no agreement has been reached between OIG and FirstNet for FY 2014
or FY 2015 oversight of FirstNet and no funds have been transferred.45
Testimony by a Department of Commerce official at a Senate hearing on March 11, 2015,
confirmed that the Department prefers that FirstNet provide the funding for oversight.46 The issue
of whether funds will be available for oversight during key years of FirstNet activity remains
unclear. Oversight tasks would include an audit of NTIA grant programs for FirstNet participants
and the federal procurement practices of FirstNet in awarding contracts to deploy and manage the
network. OIG received $10 million in no-year funding for BTOP oversight from American
Recovery and Reinvestment Act funds.
41
Ibid., p. 5.
Ibid., p. 6.
43
Ibid., p. 12.
44
U.S. Department of Commerce, FY 2016 Budget in Brief, Office of the Inspector General, p. 21.
45
U.S. Department of Commerce, Office of the Inspector General, FY 2015 Congressional Submission, p. 58.
46
Hearing, Senate Committee on Commerce, Science, and Transportation, “Three Years Later: Are We Any Closer to
a Nationwide Public Safety Network,” March 11, 2015, testimony of Bruce Andrews, Deputy Secretary, U.S.
Department of Commerce.
42
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The NTIA: An Overview of Programs and Funding
Issues for the 114th Congress
The Assistant Secretary of Commerce for Communications and Information—the administrator of
the NTIA—has set three major priorities for the agency for 2015.47
•
Promote spectrum sharing as a key part of ongoing efforts to find more spectrum
for commercial wireless broadband.
•
Continue to expand broadband access and adoption to help close the digital
divide.
•
Support and strengthen the bottom-up, consensus-based approach to Internet
governance through the multi-stakeholder process.
Congress, however, is likely to focus on NTIA leadership: leadership in Internet policy—
specifically its role in ICANN and IANA—and leadership in support of public safety
communications.
Members of Congress have taken some steps to gather information about the NTIA’s decisionmaking, planning, and performance. In response to separate requests from Congress, the
Government Accountability Office is preparing reports on the planning and implementation of
FirstNet,48 and on NTIA’s proposed transition of its authority over ICANN.
Provisions related to the FY2015 appropriations bill (P.L. 113-235) direct the NTIA
to inform appropriate Congressional committees not less than 45 days in advance of any such
proposed successor contract or any other decision related to changing NTIA’s role with
respect to ICANN or IANA activities. In addition, NTIA shall submit a report to the
Committees on Appropriations within 45 days of enactment of this Act regarding any
recourse that would be available to the United States if the decision is made to transition to a
new contract and any subsequent decisions made following such transfer of Internet
governance.49
Introduced in the 114th Congress, the DOTCOM Act of 2015 (H.R. 805) would prohibit the NTIA
from relinquishing responsibility for the Internet domain name system until GAO submits its
report on the proposed transition.
47
NTIA, Newsroom, “Remarks by Lawrence E. Strickling, Assistant Secretary of Commerce for Communications and
Information, PLI/FCBA,” Telecommunications Policy and Regulation Institute, Washington, DC, December 4, 2014,
http://www.ntia.doc.gov/speechtestimony/2014/remarks-assistant-secretary-strickling-plifcba-telecommunicationspolicy-regula.
48
Preliminary findings were introduced at a hearing of the Senate Committee on Commerce, Science, and
Transportation, “Three Years Later: Are We Any Closer to a Nationwide Public Safety Network,” March 11, 2015:
Testimony of Mark L. Goldstein, Director, Physical Infrastructure Issues, GAO, at http://www.commerce.senate.gov/
public/?a=Files.Serve&File_id=782a6761-b54b-4e6b-918d-6bd28b287f34.
49
Congressional Record, December 11, 2014, Vol. 160, No. 151, Book II, p. H9342.
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The NTIA: An Overview of Programs and Funding
Author Contact Information
Linda K. Moore
Specialist in Telecommunications Policy
lmoore@crs.loc.gov, 7-5853
Congressional Research Service
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