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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.
Subsequently, the NTIA announced that the contract has been extended through FY2016.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.
The act, sometimes referred to as the Spectrum Act, also gave the NTIA new responsibilities and requirements for spectrum management, especially as regards the reallocation of federal spectrum. The Spectrum Pipeline Act of 2025 ( P.L. 114-74, Title X) added further requirements for actions by the NTIA.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 by the NTIA 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 broadband grants program comes to a close, the NTIA has transferred its requests for appropriations to new programs. For example, the FY2015 budget request included $7.5 million for a new Internet Policy Center.
Enacted amounts remained above $40 million until FY2015.The Administration's budget request for FY2015 was $51.0 million. The enacted amount for FY2015 iswas $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 Administrationenacted budget requestamount for the NTIA is $49.2 million. The House-approved appropriations amount is $32.5 million; the committee-reported amount in the Senate is $38.2 million.
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
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 uncommitted funds returned to the U.S. Department of the 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 assistance to communities, including regional workshops, and guides and toolkits to encourage broadband access and adoption.
The FY2017 budget request for Domestic and International Policies is $15.832 million for salaries and expenses. This amount is comparable to the FY2016 request of $15.227 million. The enacted amount for FY2016 was $9.093 million. In its FY2017 budget request, the NTIA asks for an increase in funding of $6.607 million and an increase in staff from 35 FTE to 45 FTE, notably to deepen expertise for initiatives in Internet policy and the digital economy. Uses of the requested funds include supporting the Administration's Digital Economy Leadership Team; international negotiations regarding the future of the Internet Corporation for Assigned Names and Numbers (ICANN); the formulation of domestic Internet policy; and facilitating the transition of federal communications networks to technologies using the Internet Protocol (IP). The term digital economy, alternatively the Internet economy, refers in general to the impact of digital technologies and communications on business and the economy.2 The Department of Commerce has established a Digital Economy Agenda that focuses on four areas: In support of this agenda, the Department has created a Digital Economy Board of Advisors, with members of the inaugural board announced on March 29, 2016.3 The NTIA will provide assistance to the board, benefitting from its participation in the Digital Economy Leadership Team (DELT)—created in 2015 by the Secretary of Commerce—and a Digital Federal Advisory Committee. On April 6, 2016, the NTIA initiated a request for public comment on "The Benefits, Challenges, and Potential Roles for the Government in Fostering the Advancement of the Internet of Things."4 Since 1998, the NTIA has played a key oversight role in the Internet Corporation for Assigned Names and Numbers (ICANN). ICANN isFor budget purposes, the NTIA organizes its programs into four broad categories for salaries and expenses: Domestic and International Policies, Spectrum Management, Advanced Communications Research, and Broadband Programs. Its budget report to Congress also includes information about NTIA obligations to support public safety, notably for the administration of the First Responder Network Authority (FirstNet), an entity established by Congress to operate within the NTIA.
Domestic and International Policies
65 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).
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.8
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
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 Title VI of the Middle Class Tax Relief and Job Creation Act of 2012 (P.L. 112-96), generally referred to as the Spectrum Act, requires the NTIA to identify federal spectrum that may be released for commercial use and to manage the transfer process. The Bipartisan Budget Act of 2015 (P.L. 114-74) adds additional requirements in Title X, Spectrum Pipeline Act of 2015.11
Proposals from policymakers to use federal spectrum to provide commercial mobile broadband services include
14To support spectrum clearing, the NTIA, with input from the Policy and Plans Steering Group (PPSG),1615 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 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).17 IRAC membership comprises representatives of all branches of the U.S. military and a number of federal department agencies affected by spectrum management decisions.1918 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.2019 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 is FY2015. Other staff is assigned to manage federal spectrum resources for which the NTIA receives fee income from the agencies based on their spectrum holdings.
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
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).
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.23 New programs identified in the budget request included a Center for Advanced Communications, a cooperative effort with 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.24 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.
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, 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.
The FY2017 budget request is for $13.212 million, compared to the enacted amount of $10.075 million in FY2016. The FY2016 budget recommendation for Advanced Communications Research was $12.555 million, including an increase of $4.828 million and 8 FTE new employees for the Center for Advanced Communications Research. Total FTEs would increase from 50 to 58.
Broadband DeploymentManaging 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 2009.20 ARRA (notably BTOP) grants must be closed out and uncommitted funds returned to the U.S. Department of the 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.21 This supports new initiatives for expanding and improving broadband deployment, announced by the White House on January 13, 2015.22 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.23
The FY2017 budget recommendation for broadband programs is $12.913 million for salaries and expenses. This would be an increase of approximately $1 million over the FY2016 enacted amount for these programs. The increase would go primarily to enlarge the BroadbandUSA program, which would also benefit from $3.178 million redirected from the BTOP grant program. The number of FTEs would remain constant at 36.
Public Safety Trust FundProceeds from auctions of spectrum licenses as specified in the Spectrum Act are directed first into a Public Safety Trust Fund, created by the act. Some revenue in the Public Safety Trust Fund is designated for specific purposes, primarily public safety.24
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. The law provides for specific transfers from the Public Safety Trust Fund to be used for FirstNet.
All of the funding obligations of the Spectrum Act have been met with proceeds from auctions held in 2014-2015. Balances remaining in any fund created by the act are to revert to the Treasury in 2022 to be used "for the sole purpose of deficit reduction."25
Appropriations and Budget Request HistoryThe FY2017 budget request for the NTIA is $50.841 million for salaries and expenses. For FY2016, the Administration had proposed $49.2 million. Congress appropriated $39.5 million
In FY2010, the Public Telecommunications Facilities Program (PTFP) represented half of the NTIA's budget appropriations. In FY2011, funding for the PTFP was eliminated, but the total enacted budget appropriations amount for the NTIA increased by 4% to $41.6 million, entirely for administrative expenses and salaries.
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).2526 In FY2012 requests for funding to administer grant programs totaled $32.3 million, 70% of the fiscal year budget request.26 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.
The 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 Specifically, the NTIA is required
"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."28
Table 1. NTIA Fiscal Year Appropriations 2010-2015
The FY2015 request of $51.0 million would have been an increase of $5 million 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. New programs identified in the budget request included a Center for Advanced Communications, a cooperative effort with NIST to advance spectrum sharing and innovation. Further, for FY2015, the NTIA proposed $7.5 million to fund an Internet Policy Center to provide analysis and recommendations related to all aspects of the Internet. For FY2015, Congress appropriated $38.2 million for NTIA salaries and expenses.
Significant increases were also proposed for Advanced Communications Research and for Domestic and International Policies in the FY2016 and FY2017 budget recommendations. The FY2017 budget request for Advanced Communications Research is for $13.212 million, compared to the enacted amount of $10.075 million in FY2016. The $12.555 million proposed for FY2016 included an increase of $4.828 million and 8 FTE new employees for the Center for Advanced Communications Research.
The FY2017 budget request for Domestic and International Policies is $15.832 million for salaries and expenses. This amount is comparable to the FY2016 request of $15.227 million. The enacted amount for FY2016 was $9.093 million.
In FY2015, the number of FTE employees in programs requiring appropriations was 121; in FY2016 the number had increased to 160 FTEs. The requested budget for FY2017 for salaries and expenses includes 177 FTEs. The rate of increase in FTEs suggests a reduction of expenses covered by appropriations.
Table 1. NTIA Fiscal Year Enacted or Requested Appropriations 2010-2017(in millions of dollars)
|
FY2010 |
FY2011 |
FY2012 |
FY2013a |
FY2014 |
FY2015 b
|
FY2017c
FY2016 |
||||||||||||||||
|
NTIA total |
|
|
|
|
|
|
| $39 | .5 |
| $50 | .8 |
Administration, salaries and expenses
| $20 | .0 |
| $41 | .6 |
| $45 | .6 |
| $42 | .8 |
| $46 | .0 |
| $38 | .2 |
| $39 | .5 |
| $38 | .2 |
PTFP
| $20 | .0 |
| 0 |
| 0 |
| 0 |
| 0 |
| 0 |
| 0 |
| 0 |
Source: Annual Reports, Department of Commerce and Congressional Appropriations, as enacted.
a.
Total budget authority.
b.
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.
c.
Requested. 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.29 FY2016 projections for reimbursable funding total $42. 6 million (155 FTE employees) with almost $34 million (109 FTE's) expected from spectrum management fees.
For FY2016, the Administration requests $49.2 million for salaries and expenses, reflecting a proposed increase in Full Time Equivalent employees from 150 to 169, for programs covered by appropriations. The projected number of employees for programs that are reimbursable remains stable at 155. 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).30
The House-reported bill (H.R. 2578) for FY2016 is $35.2 million. Referring to language included with appropriations for FY2015, the Committee Report states:
"The Committee remains concerned by NTIA's announcement of its intent to transition certain Internet domain name functions to the global multistakeholder community. Any such transition represents a significant public policy change and should be preceded by an open and transparent process. In order for this issue to be considered more fully by the Congress, the Committee maintains section 536 prohibiting funding for the transition."
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 Internet-focused 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,3127 its policies and programs are administered through
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.32
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 rolein the current Emergency Alert System (EAS) and new initiatives for Wireless Emergency Alerts (also known as commercial mobile alerts). Author Contact Information Duties of the Assistant Secretary as described in a job posting for Executive Director of FirstNet on USAJobs, https://www.usajobs.gov/GetJob/ViewDetails/389363200. Department of Commerce, "The Commerce Department's Digital Economy Agenda," November 9, 2015, https://www.commerce.gov/news/blog/2015/11/commerce-departments-digital-economy-agenda. Department of Commerce, "U.S. Secretary of Commerce Penny Pritzker Announces Appointees to Inaugural Digital Economy Board of Advisors," March 29, 2016, https://www.commerce.gov/news/press-releases/2016/03/us-secretary-commerce-penny-pritzker-announces-appointees-inaugural. Federal Register, Vol. 81, No. 66, April 6, 2016, "Notices," p. 19956, https://www.gpo.gov/fdsys/pkg/FR-2016-04-06/pdf/2016-07892.pdf. 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. For a discussion of ICANN and related issues, see CRS Report R42351, Internet Governance and the Domain Name System: Issues for Congress, by [author name scrubbed]. Also, see CRS Report R44022, The Future of Internet Governance: Should the United States Relinquish Its Authority over ICANN?, by [author name scrubbed]. 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. For a discussion of spectrum demand, technology, innovation, and competition, see CRS Report R43595, Mobile Technology and Spectrum Policy: Innovation and Competition, by [author name scrubbed]. 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-unleashing-wireless-broadband-revolution. See also "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-obama-details-plan-win-future-through-expanded-wireless-access; and "Presidential Memorandum: "Expanding America's Leadership in Wireless Innovation," June 14, 2013, https://www.whitehouse.gov/the-press-office/2013/06/14/presidential-memorandum-expanding-americas-leadership-wireless-innovatio. 3328 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 television and radio stations provide emergency alerts and information to otherwise unserved communities.
Footnotes
1.
2.
3.
4.
5.
6.
7.
8.
9.
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 television and radio stations provide emergency alerts and information to otherwise unserved communities.
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).34 Title VI is generally referred to as the Spectrum Act, or the Public Safety and Spectrum Act.
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.35 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).36
Some of the auction revenues designated for the Public Safety Trust Fund are placed in the Network Construction Fund, established as an account in the Department of 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, to be distributed in two phases.37
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.38 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.39
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.40
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)
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.... "41
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."42
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.
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"43 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 Counsel officials were still debating [the monitoring] of potential conflicts of interest."44 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.... "45
The Department of Commerce, Office of Inspector General has requested $1.4 million in FY2016 to provide oversight of FirstNet.46 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 transferred47
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.48 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.
The FY2014 Annual Report to Congress,49 from FirstNet shows operating expenses for the year of $24.4 million, of which $6.2 million was attributed to administrative expenses. The report notes that the Spectrum Act caps administrative expenditures at $100 million for the first 10 years of operation and states the "cap has been identified as a future barrier for FirstNet progress because it is projected to limit administrative costs to impractical levels. Management estimates that to operate within this limitation, FirstNet and the public will have to accept risks to FirstNet operations.... " The funding guidance for FY2015 allows for a budget of as much as $120 million, of which up to $21.4 million is anticipated for expenditures on organizational infrastructure, project support, and administrative functions. An additional $22.3 million is projected for planning, consultation, and outreach activities.50
The FY2016 budget proposal limit for all expenses is $160 million, which includes funding for approximately 150 Full Time Equivalent employees as well as additional contracting and administrative support.51
The Assistant Secretary of Commerce for Communications and Information—the administrator of the NTIA—has set three major priorities for the agency for 2015.52
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 decision-making, planning, and performance. In response to separate requests from Congress, the Government Accountability Office preparing a report on the planning and implementation of FirstNet,53 and is preparing a report on NTIA's proposed transition of its authority over ICANN.
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 the GAO submits its report on the proposed transition.
| 1. |
As described in a job posting for Executive Director of FirstNet on USAJobs, https://www.usajobs.gov/GetJob/ViewDetails/389363200. |
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| 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 [author name scrubbed]. |
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| 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. |
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| 4. |
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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| 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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| 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. |
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| 7. |
For a discussion of ICANN and related issues, see CRS Report 97-868, Internet Domain Names: Background and Policy Issues, by [author name scrubbed]. |
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| 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. |
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| 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-unleashing-wireless-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-obama-details-plan-win-future-through-expanded-wireless-access. |
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| 10. |
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. |
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| 11. |
P.L. 112-96, Title VI (Spectrum Act), Sections 6401, 6410, and 6701. |
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| 12. |
For a discussion of spectrum demand, technology, innovation, and competition, see CRS Report R43595, Mobile Technology and Spectrum Policy: Innovation and Competition, by [author name scrubbed]. |
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| 10.
|
|
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. 11.
|
|
The provisions in these laws and the actions of the NTIA are discussed in CRS Report R44433, Framing Spectrum Policy: Legislative Initiatives, by [author name scrubbed]. |
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-12-1018T; and a report: Spectrum Management: Incentives, Opportunities, and Testing Needed to Enhance Spectrum Sharing, November 14, 2012, GAO-13-7. |
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|
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-11-352. |
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|
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. |
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|
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. |
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|
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-accommodating-wireless-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. |
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|
Members are listed at http://www.ntia.doc.gov/page/irac-functions-and-responsibilities. |
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|
For a discussion of | |||||||||||
| 22. |
Auctions 96 and 97 (concluded January 2015); information at http://wireless.fcc.gov/auctions/default.htm?job=auctions_home. |
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| 23. |
U.S. Department of Commerce, National Telecommunications and Information Administration, FY 2015 Budget as Presented to Congress, March 2014, executive summary. |
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| 24. |
Ibid., p. 63. |
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| 25. |
This amount was later reduced by Congress to $4.4 billion. |
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| 26. |
U.S. Department of Commerce, National Telecommunications and Information Administration, FY 2013 Budget as Presented to Congress, February 2012. |
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| 27. |
For additional information see CRS Report R42351, Internet Governance and the Domain Name System: Issues for Congress, by [author name scrubbed]. |
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| 28. |
|
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|
|
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. 22.
|
|
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. |
U.S. Department of Commerce, National Telecommunications and Information Administration, FY 2015 Budget as Presented to Congress, March 2014, p. 43. |
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| 30. |
U.S. Department of Commerce, National Telecommunications and Information Administration, FY 2016 Budget as Presented to Congress, February 2015, at http://www.ntia.doc.gov/files/ntia/publications/ntia_2016_cj_final_2-5-15-508_checked.pdf. |
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| 31. | |||||||||||
| 32. |
U.S. Department of Commerce, National Telecommunications and Information Administration, FY 2015 Budget as Presented to Congress, March 2014, pp. 49-50. |
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| 33. |
Background information on FEMA and FCC websites, such as http://www.fema.gov/emergency-alert-system-eas. |
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| 34. |
Provisions in Title VI of the act are discussed in CRS Report R43256, Spectrum Policy: Provisions in the 2012 Spectrum Act, by [author name scrubbed]. |
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| 35. |
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. |
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| 36. |
P.L. 112-96, §6206 (b) (2) (c). |
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| 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. 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-grant-program-ensuring-states-are-planning-firstnet. |
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| 38. |
Previous legislation for NG 9-1-1 is discussed in CRS Report R41208, Emergency Communications: Broadband and the Future of 911, by [author name scrubbed]. |
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|
|
U.S. Department of Commerce, NTIA, "BroadbandUSA: An Introduction to Effective Public-Private Partnerships for Broadband Investments," January 2015, http://www.ntia.doc.gov/files/ntia/publications/ntia_ppp_010515.pdf. 24.
|
|
P.L. 112-96, §6413, 126 Stat. 235. 25.
|
|
P.L. 112-96, §6413, 126 Stat. 236. 26.
|
|
This amount was later reduced by Congress to $4.4 billion. 27.
|
|
28.
|
Background information on FEMA and FCC websites, such as http://www.fema.gov/emergency-alert-system-eas. |
P.L. 112-96, §6508. |
| 40. |
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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| 41. |
Ibid., cover memorandum. |
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| 42. |
Ibid., p. 36. |
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| 43. |
Ibid., p. 5. |
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| 44. |
Ibid., p. 6. |
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| 45. |
Ibid., p. 12. |
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| 46. |
U.S. Department of Commerce, FY 2016 Budget in Brief, Office of the Inspector General, p. 21. |
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| 47. |
U.S. Department of Commerce, Office of the Inspector General, FY 2015 Congressional Submission, p. 58. |
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| 48. |
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. |
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| 49. |
FirstNet, U.S. Department of Commerce, FY2014: Annual Report to Congress, at http://www.firstnet.gov/sites/default/files/Annual%20Report_FY2014_FINAL_3_3_15.pdf. |
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| 50. |
FirstNet News, "FirstNet Finance Committee Gives Go-Ahead to Fund Key RFP, Consultation Activities in FY15," November 17, 2015, at http://www.firstnet.gov/news/firstnet-finance-committee-gives-go-ahead-fund-key-rfp-consultation-activities-fy15. |
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| 51. |
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 the Honorable Todd J. Zinser, Inspector General, U.S. Department of Commerce, at http://www.commerce.senate.gov/public/index.cfm?p=Hearings&ContentRecord_id=25dedd7c-815b-4b3d-a420-4f4324d01041&Statement_id=ec8d2396-ecd6-4787-bcc6-6c0152203066&ContentType_id=14f995b9-dfa5-407a-9d35-56cc7152a7ed&Group_id=b06c39af-e033-4cba-9221-de668ca1978a&MonthDisplay=3&YearDisplay=2015. |
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| 52. |
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-telecommunications-policy-regula. |
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| 53. | GAO, Public-Safety Broadband Network: FirstNet Should Strengthen Internal Controls and Evaluate Lessons Learned, GAO-15-407, April 2015, at http://www.gao.gov/assets/670/669861.pdf. |