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TLEN 5230Spectrum ManagementJuly 7 - August 6, 2009

Tuesday, Wednesday, Thursday: 1:30-4:00 p.m.Professors: Dale Hatfield, Bryan Tramont and Brad Bernthal

1. Catalog Description

The radio spectrum is a natural resource that is increasingly crucial to the economic and social well being of all people. This course focuses on how this resource is managed in the face of escalating demand, changing technology, and increasing globalization.

2. Purpose of Course

The radio spectrum, that portion of the electromagnetic spectrum between 30 KHz and 300 GHz, is crucial to the economic and social well being of the United States and other nations. It is especially important to the safety of life and property and to the national defense and homeland security. In the past, this important natural resource has been managed on a centralized basis by the Federal government in a “wise man”-type role. However, rapidly increasing demand, changing technology (including advances in wireless capabilities), and increasing global interest has put stress on this traditional “command and control” approach. At the same time, such developments have also made novel spectrum management models increasingly technically and politically feasible.

Significantly, there are a plethora of recent studies and proposals that would dramatically alter how the spectrum resource is managed. These proposals range from expansion of “property-like” rights in spectrum, to improvements in the traditional engineering approaches to spectrum, to a greater reliance on a “spectrum commons” regime. Because of the potential impact of these proposed changes on the users of the spectrum resource (e.g., cellular providers, television broadcasters, and government agencies), it is important that students in the Interdisciplinary Telecommunications Program understand how the resource is managed and, furthermore, have a firm grasp on how the prospective changes would affect current or future employers and/or individual consumers. Moreover, due to the economic and political significance of the spectrum resource, the course should also be of interest to students in other disciplines (e.g., political science, public administration and law). The purpose of this course is to give students a solid grounding in the area of spectrum policy and management.

3. Work Required, Course Assignments, Professors and Grading

This is a demanding five week course. At the outset of the term, please review assignments and deadlines set forth on this Syllabus to be sure that you have adequate time and energy to dedicate to the class. If not, you are better served to take the course another year. Past students have reported that the workload and the learning experience are far greater than they anticipated.

3.1 Professors Hatfield, Tramont and Bernthal

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The course is unique insofar as it is co-taught by three professors – Dale Hatfield, Bryan Tramont and Brad Bernthal. Overall, the co-teacher structure brings different voices and perspectives into the classroom. It also creates unique classroom interaction. It is common for your professors to provide comments during one another’s lectures and – at times – disagree with one another during classes. While coordination difficulties can always arise where different instructors are involved, your professors have tried to minimize these issues by spending considerable time collaborating on the syllabus, topics for discussion, and the course’s format.

It is fine to reach out to any of your professors with questions on substantive issues relating to the course (e.g., if you have a question on a course lecture). However, please contact Professor Brad Bernthal (Brad.Bernthal@Colorado.Edu) for all course-related administrative items (e.g., a family emergency affecting a course deadline). Please note that individual exceptions to deadlines and assignments will be rare. Consider in advance whether you can make an arrangement work before requesting a waiver or exception.

3.2 Reading Assignments, Discussion, Deadlines and Special Dates

An extensive amount of research and reading is required. A Schedule of Classes and Assignments is set forth in Syllabus Part 5. The sources for readings (the “Items”) for each class session are listed under Syllabus Part 6 below. To the extent possible, your instructors will try to provide pin-point cites to specific sections of readings that are the most significant for your reading preparation prior to lectures.

Your thoughtful class participation is important to (and expected by) your instructors. It is expected that in-class students will be prepared to discuss and critique readings and other materials in the class indicated. All students must actively participate in on-line exchanges by commenting and exchanging views on the reading assignments and the in-class discussions. This participation is graded (10% of final course grade).

Important note for CAETE students: unless you arrange otherwise with Brad by Friday, July 10, deadlines in this course are the same for in-class and CAETE students. In years past, when lectures were mailed to distance students on videotape or DVD, distance student deadlines were moved back one week. Now that lectures can be watched via streaming video, this policy is anachronistic. Additionally, students will be paired for the Paper and Presentation project (elaborated on below) and it presents scheduling difficulties to have differing deadlines. While it is strongly preferred that CAETE students use the same deadlines, however, your instructors recognize that extenuating circumstances may dictate otherwise. If this is your case, reach out to Brad by July 10, explain your conflict, and a resolution will be reached.

There is not a lecture scheduled for the final day of class (August 6). This is instead the date for the final exam. There are three additional items which “make-up” for the August 6 class which you should plan to attend, join or watch via video (as appropriate). They are:

Guest lecture on telecommunications research on Wednesday, July 8 at noon (mandatory to view in person or watch via video)

Social event to discuss paper topics and visit with Bryan Tramont in Boulder at 4:45 p.m. on Thursday, July 16 (strong encouraged if you are in the Boulder/Denver area)

Individual presentation on Thursday, July 23 (details in Section 3.4 below)

3.3 Grading

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Grades will be determined as follows:

The Paper and Presentation (elaborated upon below) constitutes 40% of the final grade. The 40% is split as follows: a presentation and 1-2 page summary/outline is 10% of the final grade; and the final paper is 30% of the final grade.

In-class contributions and on-line participation constitute 10% of the final grade; and A final exam constitutes 50% of the final grade.

3.4 Paper and Presentation

In addition to active in-class and on-line participation, students are required to work on a project which will include (i) an individual presentation; and (ii) a well researched and thoughtfully considered paper. The project should be on a topic selected by the student with the approval of an instructor. The topic selected should represent a major, contemporary topic in spectrum policy/management. You will work on this project with at least one other student enrolled in the course. Partners will be assigned by end of day Saturday, July 11. You and your partner should select a topic no later than Tuesday, July 14. Combined, the individual presentation and paper comprise 40% of your final course grade. This is determined as follows:

Presentation and 1-2 Page Outline/Summary — Thursday, July 23 between 8:30 a.m. and 1:00 p.m. (10% of final course grade). On July 23, You will individually present a preliminary analysis of your research project to one of the course’s professors (viz., Hatfield, Tramont or Bernthal). Please make yourself available between 8:30 a.m. and 1:00 p.m. – we will confirm your 15 minute time slot the week of July 14. (It is fine for distance students to call in via phone conference.) The oral presentation must be no longer than 7 minutes in length followed by 5 minutes of Q&A and comments. The presentation should: (i) reflect student research sufficient to understand the issue and the primary arguments involved; (ii) provide a tentative statement of your paper’s central thesis; and (iii) provide an outline of the paper’s structure.

Final Paper – Due Monday, August 4 (30% of final course grade). This paper is 15-25 pages in length (double-spaced, Times New Roman 12 point font (page limit is exclusive of title page, appendices and references)). Please be certain to use page numbers on your submission. Additionally, the paper should be in an academic style (i.e., using an accepted academic format and a consistent method of citation) NOTE: These papers should be in MS Word or Acrobat reader format. Papers are to be submitted on-line through the course’s class-management software tool.

Your instructors will provide a specific list of potential paper topics early in the course. Students are urged to identify relevant topics that reflect their own interests and should not feel constrained to follow a topic created by the instructor; provided, however, you should obtain instructor approval prior to starting substantial work on a topic that is not suggested by a professor. In any event, the earlier you select a topic and begin working on the paper, the better positioned you’ll be to do well in the course. The following are illustrative examples of appropriate paper projects:

(i) study a recent, major spectrum issue/proceeding at the FCC (or other domestic or international agency) and analyze how the issue/proceeding might inform efforts to reform spectrum management;

(ii) students with a more technical background or interest could prepare a tutorial-style paper on the impact of one or more technological developments (e.g., software defined radios or cognitive radios) on spectrum management; or

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(iii) students with an interest in the political science, public administration or law and public policy might examine recent proposals to restructure responsibilities for spectrum management in the U.S. or other countries.

3.5 Miscellaneous Class Policies

3.5.1 Policy on Academic Honesty

Your research, analysis and writing in this course should reflect your own work. Your instructors take plagiarism seriously and, if you plagiarize, such action is grounds for failure of the course and referral to the Honor Council. A simple rule: if language is not your own, you need to set it off in quotes and provide attribution. Other questions concerning academic integrity are less bright-line: any questions about whether or not an act constitutes academic dishonesty are welcome. All incidents of academic misconduct shall be reported to the Honor Code Council (honor@colorado.edu; 303-725-2273). Students who are found to be in violation of the academic integrity policy will be subject to both academic sanctions from the faculty member and non-academic sanctions (including but not limited to university probation, suspension, or expulsion). See the University honor code at < http://www.colorado.edu/academics/honorcode/ > and < http://www.colorado.edu/policies/honor.html >.

3.5.2 Religious Obligations

Your instructor will make every effort to reasonably and fairly deal with all students who, because of religious obligations, have conflicts with scheduled exams, assignments or required attendance. Students with religious obligations that conflict with a test or other assignment should contact the instructor at least two weeks in advance to arrange an alternative time or assignment. See the University policy at < http://www.colorado.edu/policies/fac_relig.html >.

3.5.3 Classroom and Course-Related Behavior

Students who exhibit disruptive course-related behavior may be subject to disciplinary action. A quick word concerning an in-class pet peeve of your instructors: when you are in class, do not surf the Web, send e-mail or use Internet access in an abusive way. This applies irrespective of whether your instructors, a guest, or a student is speaking. Such actions are distracting to the instructor and to surrounding students. Violation of this policy will result in a lower class participation grade. Additionally, professional courtesy and sensitivity are important— particularly when relating to topics such as race, culture, religion, politics, sexual orientation, gender variance, and nationalities. For further information concerning classroom behavior, see the University policy at < http://www.colorado.edu/policies/class_behavior.html > and < http://www.colorado.edu/studentaffairs/judicialaffairs/code.html#student_code >.

3.5.4 Policy on Discrimination and Harassment

The University of Colorado at Boulder policy on Discrimination and Harassment (http://www.colorado.edu/policies/discrimination.html, the University of Colorado policy on Sexual Harassment, and the University of Colorado policy on Amorous Relationships applies to all students, staff and faculty.  Any student, staff or faculty member who believes s/he has been the subject of discrimination or harassment based upon race, color, national origin, sex, age, disability, religion, sexual orientation, or veteran status should contact the Office of Discrimination and Harassment (ODH) at 303-492-2127 or the Office of Judicial Affairs at 303-492-5550.  Information about the ODH and the campus resources available to assist individuals

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regarding discrimination or harassment can be obtained at http://www.colorado.edu/odh.

3.5.5 Students with Disabilities

If you qualify for accommodations because of a disability, please submit a letter from Disability Services (DS) to the instructor early in the course so that your needs may be addressed. DS determines accommodations based on documented disabilities (303-492-8671, Willard 322, www.colorado.edu/sacs/disabilityservices) Disability Services’ letters for students with disabilities indicate legally mandated reasonable accommodations.  The syllabus statements and answers to Frequently Asked Questions can be found at < www.colorado.edu/disabilityservices >.

3.5.6 Use of the Web in Paper Citations

In your papers, use citations that properly inform the reader of the actual source of information. A URL standing alone is almost never acceptable as a citation.  Copied below is an excerpt from Professor Tim Brown (with a few edits by Brad Bernthal) that provides an excellent overview concerning the purpose of citations and why a naked URL is unacceptable. Prior to writing your papers, please read the following.

Web Sources and Citations

The Web is like a large library building. It stores information and is not the information itself. Imagine I would reference articles as “That library item on the first floor, tenth book case, third shelf, fourth from the right.” This raises a host of questions. What kind of item is it— a book, a refereed journal article, a company's annual report, or a training manual? Who wrote and published it? When was it published? If someone adds or removes library items, will I still be able to find it? If it is in the magazine section, when I look will it have the same articles and information as when you looked? A Web address is not a reference; the reference is the actual item stored in that location.

For example, an acceptable reference is:

"Cisco Introduces the Cisco 12008 Gigabit Switch Router", Cisco Corporate press release, January 12, 1998 (available at http://www.cisco.com/warp/public/146/january98/6.html).

and not:

"Cisco Introduces the Cisco 12008 Gigabit Switch Router", http://www.cisco.com/warp/public/146/january98/6.html

or even worse:

http://www.cisco.com/warp/public/146/january98/6.html

Thus, the Web address is just a courtesy to help the reader find information. The reference is the underlying source; the reference should be valid even if you omit the URL address.

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. . .

The whole point of putting references in your paper is so that someone at a later time can look at them either to check your information or, more importantly, so that they can find sources of information for their research. Your results must be reproducible by others in order to be considered more than opinion. If others can not reasonably reproduce your arguments, it is not research.

In summary, the Web is not an information source. It is a way to find information sources. Know and reference the underlying source producing information.

4. Readings and Research Resources

There is not a required textbook for this class. However, several readings are from a book that you are encouraged to consider purchasing: Nuechterlein, Jonathan E. and Philip J. Weiser, Digital Crossroads: American Telecommunications Policy in the Internet Age, Cambridge: The MIT Press, 2005. A courtesy copy of this book is in the ITP Conference room. A paperback version is very affordable: it may be purchased at Amazon.com for $20 (http://www.amazon.com/Digital-Crossroads-American-Telecommunications-Internet/dp/026264066X/ref=ed_oe_p/103-8716535-9760641). This book is an excellent telecommunications policy resource that ITP students will find valuable for other coursework as well as in connection with professional work.

Additionally, instructors will post detailed lecture notes in the form of PowerPoint slides for nearly all lectures and guest lecturers have promised to do the same. (In the case of guest lectures, the course notes may not always be available in advance of the lecture.) A list of required and optional readings and other materials is included in Part 6, below.

4.1 Research Resources

Particularly in connection with your Paper and Presentation project, outside research is necessary in this course.

Helpful information re ITP-related resources is available at:  < http://ucblibraries.colorado.edu/engineering/telecommunications.htm >.

How to access databases from off-campus, etc. is available at < http://ucblibraries.colorado.edu/engineering/learn.htm >.

Finally, past students have found Jack Maness (Assistant Professor, Acting Associate Faculty Director, Gemmill Engineering Library) to be a terrific resource. There are several ways you can reach out to Jack and the Engineering Library for assistance: < http://ucblibraries.colorado.edu/engineering/forms/askus.htm >.

5. Schedule of Classes and Assignments

Note: the assignment Items listed below refer to their numeric references in Part 6.

WEEK ONE

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Tuesday, July 7, 2009 (Class No. 1)

Title: Introduction to the Course and to Spectrum Management

Lead Instructors: Bernthal, Hatfield

Description: (Bernthal) Introduction to the course and administrative overview; (Hatfield) brief introduction to telecommunications policy and regulation including institutions and processes; nature of the spectrum resource; overview of spectrum management including elements of spectrum management and importance of the resource; definitions/terminology

Assignment: Read this Syllabus closely. Read and be prepared to discuss Chapter 7 (“The Spectrum”) of Item 1 (clarification: this is Chapter 7 in the Weiser book; it is listed as “Chapter 8” on CU Learn (the chapters were re-ordered prior to printing)) and Item 2. Through on-line and other research, be prepared to discuss the importance of spectrum management as a component of Information Communications & Technology (“ICT”) policy and regulation

Wednesday, July 8, 2009 (Class No. 2)

Title: Technical Tutorial for Spectrum Management (for Non-Engineers)

Lead Instructor: Hatfield

Special note – 12:15-1:15 p.m. in Room 1B14: Jack Maness (Assistant Professor, Acting Associate Faculty Director, Gemmill Engineering Library) will lead a special “how to research in ITP” lecture on Wednesdays, July 8. You are encouraged to attend if possible. If not, the lecture will be recorded and please watch it if you have not yet completed Research Methods.

Description for “regular” (1:30-4:00) lecture: Technical tutorial for spectrum management (for non-engineers) including technical foundations/background, a short history of radio communications, radio wave propagation, and radio communications systems

Assignment: Attend or view video of Jack Maness July 8 lecture in Room 1B14 (12:15-1:15 p.m.). Read Chapter 1 in Item 34 and all of Item 5. Optionally, you may also want to read Item 4 (especially Chapter 2). Be prepared to discuss the nature of the spectrum resource.

Thursday, July 9, 2009 (Class No. 3)

Title: Thematic approaches to S M

Lead Instructor: Bernthal

Description: Discuss major policy paradigms and proposals dominating the regulation of spectrum; overview of command and control, commons and property-like approaches to regulation; analyze how the influence of varying spectrum management approaches has changed over time; high level introduction to federal spectrum reform analogues

Assignment: Read Item 13 pp. 15-23 and 35-49; read Item 44 pp. 270-322 and 359-372 (note: Item 44 will be challenging reading; however, time and energy invested in reading this article will serve you well in the remainder of the course); Optional reading -- pp. 4-12 of Item 50

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WEEK TWO

Tuesday, July 14, 2009 (Class No. 4)

Lead Instructor: Tramont

Topic: Domestic Spectrum Management Institutions and Processes 1: Introduction to the FCC

Description: How are domestic spectrum management decisions made and by whom? What are the legal and policy limits on this process? How do interested parties express their views and influence the process?

Assignment: Read and be prepared to discuss Chapter 13 (“The Future of Telecommunications Policy”) of Item 1. Read Item 57 (summary of Telecom: FCC- relevant Statutes and CFR— available on CU Learn). Read Item 58 (Cybertelecom, FCC 101 (available at < http://www.cybertelecom.org/faqs/Fcc101.htm#pet >).

Wednesday, July 15, 2009 (Class No. 5)

Lead Instructor: Tramont

Topic: Domestic Spectrum Management, Institution and Processes 2: External Influences on the FCC

Description: How are domestic spectrum management decisions affected by external actors? Who are the key government players? What is the role of the other branches of government, including the President, Congress and the Courts? Who are the other key players?

Assignment: Review: Letter to Chairman Kevin Martin re: formal investigation (Jan. 8, 2008), available at: http://energycommerce.house.gov/Press_110/110-ltr.010808.FCC.Martin.pdf ; Chairman Martin’s Response to Dec. 3, 2007 Letter, available at: http://energycommerce.house.gov/Press_110/110-ltr.FCC.respto120307.pdf ; Rep. Dingell letter to Chairman Kevin Martin re: breakdown of FCC Process (Dec. 3, 2007), available at: http://energycommerce.house.gov/Press_110/110-ltr.120307.FCC.Martin.transparency.pdf ; Selections from the FCC CPNI Order (2008), pp 1-7, http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-07-22A1.pdf ; Telephone Records Protection and Privacy Act, Pub. L. No. 109-476 (2007), available at http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=109_cong_public_laws&docid=f:publ476.109.pdf ; AmericaBlog, “AmericaBlog just bought General Wesley Clark’s cell phone records for $89.95”, available at: http://www.americablog.com/2006/01/americablog-just-bought-general-wesley.html .

Thursday, July 16, 2009 (Class No. 6)

Lead Instructor: Tramont

Topic: Domestic Spectrum Management Policy Including Rights Distribution in Spectrum

Description: Discussion and analysis of past and present Federal Communications Commission policies relating to spectrum including allocation, service rules and rights distribution. This class

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will consider: the evolution from first-come, first served, comparative hearings, and lotteries to auctions; the Policy Statement of 1999; the Spectrum Policy Task Force and its report; subsequent developments; the role of property rights and the commons, licensed and unlicensed approaches.

Assignment: Review and be prepared to discuss Chapter 7 (“The Spectrum) of Item 1; read and be prepared to discuss Chapter 8 (“Mobile Wireless Service”) of Item 1. Read Item 35 (Commissioner Abernathy’s speech), Executive Summary of Item 13 (the Spectrum Policy Task Force Report), and Item 36 (the FCC’s Spectrum Policy Statement of 1999).

**4:45-6:15 P.M. SPECTRUM MANAGEMENT CLASS GET TOGETHER: Location in the Boulder area – TBD. Following today’s class, please plan to meet with your professors and classmates for a beverage, appetizers, and to discuss your paper topics.

WEEK THREE

Tuesday, July 21, 2009 (Class No. 7)

Topic: The Landscape of the Spectrum Marketplace

Lead Instructors: Tramont

Description: The use of spectrum is a key input for vast sectors of the economy and essential to our national economic growth. Where has investment been most pronounced? Where is spectrum being most intensively used? Who are the key players in the spectrum debate?

Assignment:

Selections from the 2007 CMRS Competition Report, pp. 5-12, available at: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-08-28A1.pdf, Selections from the 2006 Video Competition Report, pp. 1-8, available at: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-06-11A1.doc, Selections from the Fifth Section 706 Broadband Report (2008), pp. 2-4, 31 – 37, available at: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-08-88A1.doc

Wednesday, July 22, 2009 (Class No. 8)

Topic: Hot Topics in Spectrum Policy: AWS-3, D-Block and Spectrum Inventory

Lead Instructor: Tramont

Description: Today’s battles in the spectrum wars center on the fate of the failed D Block from the recent 700 MHz auction as well as the fate of AWS-3 spectrum. The much-hyped D Block failed to garner a winning bid in the 700 MHz auction. In turn, doubt has been cast upon the hopes for a public-private partnership for building an interoperable broadband public safety network. The class will examine the history and present policy debate surrounding how to move forward with this spectrum block. In addition, the Commission has recently ignited a firestorm of activity with recent movement toward finalizing an order for AWS-3 spectrum. Open access, free

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broadband, child-proof filtering and the potential for harmful interference are all part of a struggle that is coalescing before the FCC right now. We will examine these timely and important case studies in the spectrum wars.

Assignment: Office of Inspector General Report on D Block Investigation, available at: http://hraunfoss.fcc.gov/edocs_public/attachmatch/DOC-281791A1.doc (SKIM); D Block FNPRM, pp 1-11, available at: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-08-128A1.doc ; CTIA D Block Comments, http://fjallfoss.fcc.gov/prod/ecfs/retrieve.cgi?native_or_pdf=pdf&id_document=6520031005 ; National Public Safety Telecommunications Council Comments, pp 1-13, available at: http://fjallfoss.fcc.gov/prod/ecfs/retrieve.cgi?native_or_pdf=pdf&id_document=6520031049 ; AWS-3 FNPRM, available at: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-08-158A1.doc ; News Release re: AWS-3 NPRM, available at: http://hraunfoss.fcc.gov/edocs_public/attachmatch/DOC-276521A1.doc AWS-3 FNPRM Comments to be added after completion of comment cycle

Thursday, July 23, 2009 (Class No. 9)

A.M. – Student Presentation and 1-2 Page Outline/Summary —between 8:30 a.m. and 1:00 p.m. (10% of final course grade). On July 24, You will individually present a preliminary analysis of your research project to one of the course’s professors (viz., Hatfield, Tramont or Bernthal). Please make yourself available between 8:30 a.m. and 1:00 p.m. – we will confirm your 15 minute time slot by end of day July 22. (It is fine for distance students to call in via phone conference.) The oral presentation must be no longer than 7 minutes in length followed by 5 minutes of Q&A and comments. The presentation should: (i) reflect student research sufficient to understand the issue and the primary arguments involved; (ii) provide a tentative statement of your paper’s central thesis; and (iii) provide an outline of the paper’s structure.

1:30-4:00 REGULAR CLASS MEETING

Topic: International Radio Regulation; World Radio Conference; Coase and Property-like Approaches to Spectrum Regulation

Lead Instructors: Tramont; Mindel De La Torre

Description: An Overview of international spectrum management and the World Radio Conference Process. International aspects of spectrum management; definitions; concept of harmonization; international institutions involved in spectrum management (e.g., ITU); international processes for allocating spectrum and developing associated recommendations; critique of international institutions and processes; World Radio Conference preparatory processes (e.g., U.S.) and critiques thereof; reform at the international level

Assignment: To be provided. As background, visit the ITU website and read through the ITU overview located at http://www.itu.int/aboutitu/overview/index.html. Read Item 12 (report).

Optional reading: Read Items 6 and Item 7 (especially Recommendation 3 of the latter) and pages 19 – 24 (inclusive) of Item 8; Review the material from Item 12, especially the “Briefing Memo.”

WEEK FOUR

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Tuesday, July 28, 2009 (Class No. 10)

Topic: Commercial approaches to spectrum; Coase and Property-like Approaches to Spectrum Regulation

Lead Instructors: Bernthal and Hatfield [PENDING invitation for business/commercial perspective – ideally, Rick Rotundo]Description: This class period will also examine Coase’s conclusions concerning market based presumptions for allocation of scarce resources (including spectrum). We will consider and discuss the concepts of transaction costs and externalities (positive and negative) as they relate to spectrum regulation.

Assignment: Carefully read Executive Summary of Item 76 (2007 Report) and pp. 12-25 of Item 51 (Coase’s FCC). Skim pp. 1-10 of Item 52 (Coase’s Social Costs). [ADD HATFIELD/WEISER article.]

Wednesday, July 29, 2009 (Class No. 11)

Topic: Technological Enablers of Spectrum Management Reform

Lead Instructors: John Chapin and Doug Sicker [PENDING invitiation]Description: Constraints on spectrum management reform, including technical and non-technical considerations; rigidities associated with the allocation, allotment and assignment of spectrum; spectrum efficiency; spread spectrum; OFDM, UWB, equipment approvals of Part 15 devices; technological enablers of spectrum management reform including traditional frequency reuse, development of software defined radios, cognitive radios, dynamic frequency selection; utilization of “white space,” overlays and underlays; recent technological developments and on-going research.

Assignment:

Introduction to SDR and CR:http://www.sdrforum.org/pages/aboutSdrTech/SoftwareDefinedRadio.pdf

FCC Report&Order for authorization of Software Defined Radios.Recommend reading para's number 1-8, 30-32, and 40-42.http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-01-264A1.pdf

Overview of the policy issues and progress of CR:http://www.ofcom.org.uk/research/technology/research/emer_tech/cograd/cograd_summary.pdf

(optional) John Chapin and Bill Lehr, paper on policy/economic issues around dynamic spectrum access: http://www.vanu.com/wp-content/uploads/2007/06/chapin-lehr-market-success.pdF

Thursday, July 30, 2009 (Class No. 12)

Topic: Radio Propagation and “Day-to-Day” Spectrum Management Operations

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Lead Instructor: Hatfield [possible place for ½ day guest]

Description: Introduction to radio wave propagation including free space loss, absorption, propagation modes, reflection, refraction, and diffraction, role of the ionosphere and the solar cycle, troposcatter, rain and vegetation effects, radio noise, link budgets and propagation models. Managing interference including in-band (co-channel and adjacent channel) and out-of-band (near band edge and far from band edge) interference and implications for spectrum management reform. Practical, day-to-day aspects of spectrum management including organization of the spectrum management function, developing band plans and frequency allotments, roles and processes associated with frequency coordination, licensing, the role of spectrum monitoring and enforcement.

Assignment: Read Item 18 (Paul Margie on Interference Temperature) and Item 19 (Dr. McKenna’s paper). Optionally, read Item 78 (Propagation Issues for CR), Item 42 (Radio Signal Propagation) and/or Item 56 (Radio Propagation Tutorial.

WEEK FIVE

Tuesday, August 4, 2009 (Class No. 13)

[Topic: Spectrum Enforcement

Lead Instructor: David Solomon

Description: Enforcement of spectrum disputes; enforcement priorities of FCC; procedural aspects of enforcement; challenges of enforcement processes

Assignment: To be provided.

Wednesday, August 5, 2009 (Class No. 14)

Topic: Modern Spectrum Management Alternatives

Lead Instructor: Robert Matheson

Description: The traditional “command and control” regime used extensively by the FCC and NTIA provides specific bands of frequencies to be used by specific licensees for a specific type of service.   On the other hand, nonlicensed rules assume that spectrum will be shared in common, as needed, among any user, using signals with low transmitted power.  Flexible-use spectrum rights treats well-described parcels of spectrum as a marketable, propertized, commodity, with a set of rules that allow the licensee to build a very wide range of systems.  Finally, there are a variety of opportunistic (or dynamic) spectrum use techniques, whose basic principle is, “If my transmission won’t cause interference to any licensed user, why shouldn’t I transmit?” Each of these regulatory regimes have some highly useful features, as well as some major problems that may prevent their wider use.

Assignment: Read paper by Evci et al. (Item 29), Item 45, Item 46 and Item 71. Optional: Items 47, and 48. Skim Item 55.

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Thursday, August 6, 2009 (Class No. 15)

Final Exam (1:30-4:00 p.m. – 50% of course’s final grade)

6. Materials

Required and Optional Reading:

1. Nuechterlein, Jonathan E. and Philip J. Weiser, Digital Crossroads: American Telecommunications Policy in the Internet Age, Cambridge: The MIT Press, 2005 (Chapter 7 “The Spectrum” is available on CU Learn).

2. Eric Lie, “Background Paper: Radio Spectrum Management for a Converging World,” International Telecommunications Union, Workshop on Radio Spectrum Management for a Converging World, February 2004, Document RSM/07 (Available at: http://www.itu.int/osg/spu/ni/spectrum/RSM-BG.doc).

3. [no longer available on-line] e-Learning Course on Spectrum Management, Telecommunications Research Project, Hong Kong (Available at http://www.trp.hku.hk/e_learning/spectrum/section1.html).

4. Hatfield, Dale N., “Technological Trends in Wireless Communications,” especially Chapter 2, The Fundamentals of Wireless Communications (available on CU Learn).

5. Hatfield, Dale N., “The Current Status of Spectrum Management,” Balancing Policy Options in a Turbulent Telecommunications Market, Communications and Society Program, The Aspen Institute, Washington, DC, 2003 (Available at http://www.aspeninstitute.org/atf/cf/%7BDEB6F227-659B-4EC8-8F84-8DF23CA704F5%7D/BALANCETURBTELECOM.PDF).

6. Jakhu, Ram S., “International Regulatory Aspects of Radio Spectrum Management.” (Document is available on CU Learn.)

7. “Spectrum Management for the 21st Century,” A report of the CSIS Commission on Spectrum Management, Center for Strategic and International Studies, Washington, DC (2003) (Available at: http://www.ntia.doc.gov/osmhome/spectrumreform/responses/documents/A14-%20CSIS%20Report.pdf).

8. “Telecommunications: Better Coordination and Enhanced Accountability Needed to Improve Spectrum Management,” U.S. General Accounting Office (September 2002) (Available at http://www.gao.gov/new.items/d02906.pdf). (Document is available on CU Learn.)

9. Bauer, Johannes M. “A Comparative Analysis of Spectrum Management Regimes,” paper presented at the 30th Communications and Internet Research Conference, Alexandria, Virginia, September 28–30, 2002. (Available at: http://intel.si.umich.edu/tprc/papers/2002/85/SpectrumManagement.pdf).

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10. “Telecommunications: Comprehensive Review of U.S. Spectrum Management with Broad Stakeholder Involvement Is Needed,” U.S. General Accounting Office (January 2003) (Available at: http://www.gao.gov/new.items/d03277.pdf). (Document is available on CU Learn.)

11. “Spectrum Management: Better Knowledge Needed to Take Advantage of Technologies That May Improve Spectrum Efficiency,” U.S. General Accounting Office (May 2004) (Available at: http://www.gao.gov/new.items/d04666.pdf). (Document is available on CU Learn.)

12. Briefing memo, testimony, and other materials from a Hearing on “U.S. Preparation for the World Radio Conferences: Too little, too late? before the Subcommittee on National Security, Emerging Threats, and International Relations of the Committee on Government Reform of the U.S. House of Representatives, March 17, 2004. (Available at:http://a257.g.akamaitech.net/7/257/2422/05oct20031230/www.access.gpo.gov/congress/house/pdf/108hrg/95268.pdf ).

13. Spectrum Policy Task Force (2002). Report of the Spectrum Policy Task Force: Federal Communications Commission. (Available at: http://www.fcc.gov/sptf/reports.html).

14. SPTF Staff Working Group (2002). Report of the Spectrum Rights and Responsibilities Working Group.: Federal Communications Commission. (Available at: http://www.fcc.gov/sptf/reports.html).

15. SPTF Staff Working Group (2002). Report of the Interference Protection Working Group: Federal Communications Commission. (Available at: http://www.fcc.gov/sptf/reports.html).

16. SPTF Staff Working Group (2002). Report of the Spectrum Efficiency Working Group: Federal Communications Commission. (Available at: http://www.fcc.gov/sptf/reports.html).

17. SPTF Staff Working Group (2002). Report of the Unlicensed Devices and Experimental Licenses Working Group.: Federal Communications Commission. (Available at: http://www.fcc.gov/sptf/reports.html).

18. Margie, R. Paul (2003). Can You Hear Me Now? Getting Better Reception from the FCC's Spectrum Policy. Stanford Technology Law Review 5. (Available at: http://stlr.stanford.edu/STLR/Articles/03_STLR_5/index.htm).

19. McKenna, Paul and Gregory Hand (2004). Radio Propagation Models. Mission Critical Communications, 19(5), 36-43. (Document is available on CU Learn.)

20. Hazlett, Thomas W. (2001). The Wireless Craze, the Unlimited Bandwidth Myth, the Spectrum Auction Faux Pas and the Punchline to Ronald Coase's 'Big Joke': An Essay on Airwave Allocation Policy. Harvard Journal of Law & Technology, 14(Spring), 335 (Available at http://www.aei-brookings.org/admin/authorpdfs/page.php?id=463).

21. Rosston, Gregory L. and Jeffrey S. Steinberg (1997). Using Market-Based Forces to Promote the Public Interest. Washington, DC: Federal Communications Commission.

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(Available at: http://www.fcc.gov/Bureaus/Engineering_Technology/Informal/spectrum.txt).

22. Rosston, Gregory L. and Thomas W. Hazlett (2001). Comments of 37 Concerned Economists. (Available at: http://www.aei-brookings.org/admin/authorpdfs/page.php?id=417 ).

23. Memorandum of Understanding Between the Federal Communications Commission and the National Telecommunications and Information Administration, January 31, 2003 (Available at: http://www.ntia.doc.gov/ntiahome/fccfilings/2003/fccntiamou_01312003.pdf).

24. Benkler, Yochai (2002). Some Economics of Wireless Communications. Harvard Journal of Law & Technology, 16(1), 25-83. (Available at: http://jolt.law.harvard.edu/articles/pdf/v16/16HarvJLTech025.pdf).

25. Buck, S. (2002). Replacing Spectrum Auctions with a Spectrum Commons. Stanford Technology Law Review (Available at: http://stlr.stanford.edu/STLR/Articles/02_STLR_2/index.htm).

26. Reed, David P. (2001). Why Spectrum is Not Property, The Case for an Entirely New Regime of Wireless Communications Policy (Available at: http://www.reed.com/dprframeweb/dprframe.asp?section=paper&fn=openspec.html ).

27. Werbach, Kevin (2004). Supercommons: Toward a Unified Theory of Wireless Communication. Texas Law Review, 82(4), 863-973. (Document is available on CU Learn.)

28. Matheson, Robert, “Modern Spectrum Management Alternatives.” (Document is available on CU Learn.)

29. Evci, Cengiz and Bernard Fino (2001). Spectrum Management, Pricing, and Efficiency Control in Broadband Wireless Communications. Proceedings of the IEEE, 89(1), 105-115. (Document is available on CU Learn.)

30. Xavier, Patrick (2001). Licensing of Third Generation (3G) Mobile: Briefing Paper. Geneva: International Telecommunications Union. (Available at: http://www.itu.int/osg/spu/ni/3G/workshop/Briefing_paper.doc).

31. (2000). Economic Aspects of Spectrum Management. Geneva: International Telecommunications Union. (Report No. ITU-R SM.2012-1). (Document is available on CU Learn.)

32. Strategy and Policy Unit (2004). Advanced Wireless Technologies and Spectrum Management. Geneva: International Telecommunications Union. (Available at: http://www.itu.int/osg/spu/ni/spectrum/RSM-AWT.pdf).

33. Luther, William A. (2003). Spectrum Management in the Global Village.: Federal Communications Commission. (Available at: http://www.fcc.gov/ib/speeches/ ).

34. Stine, John A. and David L. Portigal (2004), Spectrum 101: An Introduction to Spectrum

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Management, The Mitre Corporation. (Available at: http://www.mitre.org/work/tech_papers/tech_papers_04/04_0423/04_0423.pdf).

35. Abernathy Licensed Speech: http://www.fcc.gov/Speeches/Abernathy/2002/spkqa219.html

36. Spectrum Policy Statement 1999: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-99-354A1.pdf

37. President’s Spectrum Policy: http://www.whitehouse.gov/news/releases/2003/06/print/20030605-4.html http://www.ntia.doc.gov/reports/specpolini/presspecpolini_report2_06242004.htm

38. Revision re-setting licensing sizes: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-05-149A1.pdf

39. DE NPRM and Order: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-06-52A1.pdf

40. Rural R&O and FNPRM: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-04-166A1.pdf

41. White Spaces NPRM: http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-04-113A1.pdf

42. Radio Signal Propagation: http://www.radio-electronics.com/info/propagation/index.php

43. Strategy and Policy Unit (2004). Radio Spectrum Management for a Changing World, Geneva: International Telecommunications Union. (Available at: http://www.itu.int/osg/spu/ni/spectrum/RSM-BG.pdf)

44. Goodman, Ellen P. (2004). Spectrum Rights for the Telecosm to Come. San Diego Law Review, 41(269). (Available at: http://papers.ssrn.com/sol3/cf_dev/AbsByAuth.cfm?per_id=333377)

45. Addendum to 2003 ISART Conference, "The Electrospace Model as a Frequency Management Tool," R. J. Matheson. (Available on CU Learn).

46. NTIA Report 94-311, "A Survey of Relative Spectrum Efficiency of Mobile Voice Communication Systems," July 1994, R. J. Matheson. (Available on CU Learn).

47. Original ISART 2004 Tutorial: < http://www.its.bldrdoc.gov/isart/art04/slides04/mat_r/tutorial_b_slides.pdf >.

48. Spectrum Stretching: Adjusting to an Age of Plenty: http://www.its.bldrdoc.gov/pub/spectrum_01-94/spectrum_01-94.pdf

49. CTIA, Wireless Glossary of Terms (available at http://files.ctia.org/pdf/Telecom_Glossary_of_Terms.pdf).

50. FCC’s OSP Working Paper Series, Unlicensed and Unshackled: A Joint OSP-OET White Paper on Unlicensed Devices and their Regulatory Issues (May 2003) (available at

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http://hraunfoss.fcc.gov/edocs_public/attachmatch/DOC-234741A1.pdf )

51. R.H. Coase, The Federal Communications Commission, 2 J.L. & Econ. 1 (1959) (available as ITEM 62 on CU Learn)

52. R.H. Coase, The Problem of Social Cost (Journal of Law & Economics) (October 1960) (available at: < http://www.sfu.ca/~allen/CoaseJLE1960.pdf >).

53. Brad Bernthal, Timothy X. Brown, Dale N. Hatfield, Douglas C. Sicker, Peter A. Tenhula  & Philip J. Weiser, Trends and Precedents Favoring a Regulatory Embrace of Smart Radio Technologies, IEEE INT’L SYMPOSIUM ON NEW FRONTIERS IN DYNAMIC SPECTRUM ACCESS NETWORKS, Apr. 17-20, 2007 (available on CU Learn).

54. Charles Jackson, Raymond Pickholtz, and Dale Hatfield, Spread Spectrum Is Good—But it Does Not Obsolete NBC v. U.S.! (Fed. Comm. L.J. 2006) (available at http://www.law.indiana.edu/fclj/pubs/v58/no2/Jackson.pdf ).

55. Dale Hatfield and Phil Weiser, Property Rights in Spectrum: Taking the Next Step (2005) (available at http://papers.ssrn.com/sol3/papers.cfm?abstract_id=818624 ).

56. Mike Willis, Propagation Tutorial. (Available at: http://www.mike-willis.com/Tutorial/PF1.htm ).

57. West's Federal Administrative Practice, Applicable statutes, rules and regulations (available as ITEM 57 on CU Learn).

58. Cybertelecom, FCC 101 (available at < http://www.cybertelecom.org/faqs/Fcc101.htm#pet >).

59. Brautigan & Owen, Chapter 1 (Introduction), The Regulation Game: Strategic Use of the Administrative Process (1978 Balligner Publishing) (available on CU Learn).

60. Google Reform Proposal, available at http://gullfoss2.fcc.gov/prod/ecfs/retrieve.cgi?native_or_pdf=pdf&id_document=6519412642

61. Chapin and Lehr, Path to Market Success for Dynamic Spectrum Access Technology (available on CU Learn).

62. 2006 CMRS Competition Report (available as ITEM 62 on CU Learn)

63. 2006 Video Competition report (available as ITEM 63 on CU Learn)

64. 2004 Section 706 Broadband Report (available as ITEM 64 on CU Learn)

65. 700 MHz FNPRM (available as ITEM 65 on CU Learn)

66. Ad Hoc Public Interest Group Comments (available as ITEM 66 on CU Learn)

67. Excerpts, Verizon Wireless Comments (available as ITEM 67 on CU Learn)

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68. Excerpts, Frontline Comments (available as ITEM 68 on CU Learn)

69. Excerpts, MoveOn.org letter (available as ITEM 69 on CU Learn)

70. John Edwards Letter (available as ITEM 70 on CU Learn)

71. Phil Weiser and Dale Hatfield, SPECTRUM POLICY REFORM AND THE NEXT FRONTIER OF PROPERTY RIGHTS, 15 Geo. Mason L. Rev. 549 (2008) (available at http://www.law.gmu.edu/gmulawreview/issues/15-3).

72. Thomas Hazlett contra Phil Weiser and Dale Hatfield, RESPONSE & REPLY, 15 Geo. Mason L. Rev. 975 (available at http://www.law.gmu.edu/gmulawreview/issues/4522).

73. THE GENESIS OF UNLICENSED WIRELESS POLICY : An Information Economy Project Conference (George Mason University School of Law April 4, 2008) (papers available at http://www.iep.gmu.edu/UnlicensedWireless.php).

74. Thomas W. Hazlett, Giancarlo Ibarguen (Francisco Marroquin University), and Wayne Leighton (Federal Communications Commission), Property Rights to Radio Spectrum in Guatemala and El Salvador: An Experiment in Liberalization (George Mason Law & Economics Research Paper No. 06-07) (March 10, 2006) http://papers.ssrn.com/sol3/papers.cfm?abstract_id=889409

75. Phoenix Center Policy Bulletin No. 15, Unnecessary Regulations and the Value of Spectrum: An Economic Evaluation of Lease Term Limits for the Educational Broadband Service.  (Phoenix Center Policy Bulletin No. 15 may be downloaded free from the Phoenix Center’s web page at: www.phoenix-center.org/PolicyBulletin/PCPB15Final.doc)

76. United States Delegation Report: World Radio Conference 2007 (Geneva, Switzerland – October 22 – November 16, 2007).

77. Kathleen Abernathy, Why the WRC Continues to be Relevant Today, 56 Fed. Comm L.J. 287 (2004).

78. Andreas F. Molisch, Larry J. Greenstein, and Mansoor Shafi, Propagation Issues for Cognitive Radio (Vol. 97, 2009 IEEE No. 5, May 2009).

Noteworthy Books on Spectrum Management:

Martin Cave, Chris Doyle and William Webb (2007). Essentials of Modern Spectrum Management, Cambridge University Press; Cambridge.

Amit K. Maitra (2004). Wireless Spectrum Management, McGraw-Hill, New York (2004).

Jennifer A. Manner (2003). Spectrum Wars: The Policy and Technology Debate. Norwood, MA: Artech House. (Recent policy-oriented book on spectrum management. Recommended.)

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David Withers (1999). Radio Spectrum Management. London: The Institute of Electrical Engineers. (A mostly technical – rather than policy – treatment of spectrum management.)

Web Sites: (Incomplete)

www.fcc.govhttp://www.ntia.doc.gov/www.itu.int http://www.marcus-spectrum.com/links.htmhttp://www.atis.org/tg2k/ (glossary of telecom terms)

7. Guest Speakers (2008)

Richard Russell Robert J. Matheson David Solomon John Chapin Jennifer Manner (tentative)

8. Potential Student Projects

List to be supplied during first week of course.

9. Instructors’ Office Hours and Contact Information

Dale N. Hatfield

University Address:

Dale HatfieldExecutive DirectorSilicon Flatirons Center for Law, Technology, and EntrepreneurshipUniversity of Colorado at Boulder401 UCB - Office 404Boulder, CO 80309Office: +1 303 492 6648Email: dale.hatfield@colorado.edu

Home/Business Address:

8908 Sage Valley RoadLongmont, CO 80503Tel: +1 303 449 1706Fax: +1 303 440 8664Cellphone: +1 303 589 4546Email: dale.hatfield@ieee.org

Bryan Tramont

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Office Hours: By AppointmentEmail: BTramont@wbklaw.comMobile: 202-841-3828

Wilkinson Barker Knauer2300 M Street NW #700Washington, D.C. 20037202-783-4141Direct: 202-383-3331

Administrative Coordinator: James AstorgaJAstorga@wbklaw.com202-383-3404

J. Brad Bernthal

Office Hours: 4:00-5:00 p.m. Tuesdays and Thursdays in LAWS 105R (or by appointment)Email (preferred): Brad.Bernthal@colorado.eduOffice: 303-492-0610Mobile: 303-819-9015

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