NSW Telco Authority
Spectrum Management
Office Manual
Version: 1.1
Document owner:
File name: Spectrum Management Office Manual
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 1 of 30
Revision record
Please note significant document changes with a version increment of 1.0. Minor administrative
changes, where the meaning or intention of the document is not altered should increase by an
increment of 0.1.
Version
Date
0.1
Authors
Summary of Changes
Business Analyst
Initial Draft
SME
0.2
14/04/2014
Business Analyst
SME
0.3
28/04/2014
Business Analyst
SME
0.4
30/04/2014
Business Analyst
SME
0.5
20/05/2014
Business Analyst
SME
0.6
11/06/2014
Business Analyst
SME
1.0
24/06/2014
1.1
11/05/2015
Business Analyst
Draft following consultation with
Telco business units.
Draft following consultation with the
Executive Director and the CTO.
Draft following consultation and
suggested edits by the PMO
Draft following consultation and
suggested edits by the Steering
Committee
Draft following review by the CTO,
including a complete reformatting of
the document.
SME
Completed version following process
workshop.
Manager Spectrum
Updated terminology and references
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 2 of 30
Contents
1.
Introduction .................................................................................................................... 5
1.1. Purpose ........................................................................................................................... 5
1.2. Audience........................................................................................................................ 5
1.3. Definitions ....................................................................................................................... 5
2.
Guidelines and Procedures .......................................................................................... 7
2.1. Spectrum Management (Level 0)................................................................................ 7
2.1.1.
Monitoring and Review (Level 1)........................................................................... 8
2.1.1.1.
Review Compliance (Level 2) ............................................................................ 8
2.1.1.2.
Report on Compliance (Level 2) ....................................................................... 8
2.1.2.
Spectrum Planning (Level 1) .................................................................................. 9
2.1.2.1.
Define Planning Requirements (Level 2) ........................................................... 9
2.1.2.2.
Evaluate Planning Requirements and Feasibility (Level 2) .............................. 9
2.1.2.3.
Produce Spectrum Plan (Level 2) ...................................................................... 10
2.1.3.
Allocation and Assignment (Level 1) .................................................................... 10
2.1.3.1.
Application (Level 2) ........................................................................................... 11
2.1.3.2.
Assessment (Level 2) ........................................................................................... 12
2.1.3.3.
Proposal (Level 2) ................................................................................................ 13
2.1.3.4.
Licensing (Level 2) ............................................................................................... 14
2.1.3.5.
Dispute Resolution (Level 2) ................................................................................ 15
2.1.4.
Governance (Level 1) ............................................................................................ 16
2.1.4.1.
Manage SMO Relationships (Level 2) ................................................................ 16
2.1.4.2.
Manage SMO Performance (Level 2) ............................................................... 16
3.
Contact .......................................................................................................................... 17
4.
Document Library .......................................................................................................... 17
5.
Appendices.................................................................................................................... 19
5.1. Appendix 1 - SMO Relationships................................................................................... 19
5.1.1.
SMO Steering Committee ...................................................................................... 19
5.1.2.
Business Strategy Group (BSG) .............................................................................. 19
5.1.3.
Government Radio Users Group (GRUG) ............................................................. 19
5.1.4.
Technology Planning and Review Group (TPRG) ................................................ 19
5.1.5.
Australian Communications and Media Authority (ACMA) ............................... 20
5.1.6. National Coordinating Committee for Government Radiocommunications
(NCCGR) ............................................................................................................................... 20
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 3 of 30
5.1.7.
ACMA Accredited Persons .................................................................................... 20
5.2. Appendix 2 - Priority Tiers ............................................................................................... 20
5.2.1.
Tier 1 ......................................................................................................................... 20
5.2.2.
Tier 2 ......................................................................................................................... 21
5.2.3.
Tier 3 ......................................................................................................................... 21
5.3. Appendix 3 – Scoping Criteria ...................................................................................... 21
5.3.1.
Mandatory Criteria ................................................................................................. 21
5.3.2.
Subject to Approval ............................................................................................... 21
5.4. Appendix 4 - The ACMA Guidelines ............................................................................ 21
5.4.1.
RALI GS1 ................................................................................................................... 21
5.4.2.
Embargoes .............................................................................................................. 21
5.4.3.
Frequency Assignment Practises ........................................................................... 22
5.5. Appendix 5 – Level 3 Procedures ................................................................................. 22
5.5.1.
Monitoring and Review .......................................................................................... 22
5.5.1.1.
Review Compliance ........................................................................................... 22
5.5.1.2.
Report on Compliance ....................................................................................... 22
5.5.2.
Spectrum Planning ................................................................................................. 23
5.5.2.1.
Define Planning Requirements ........................................................................... 23
5.5.2.2.
Evaluate Planning Requirements and Feasibility .............................................. 23
5.5.2.3.
Produce Spectrum Plan ...................................................................................... 23
5.5.3.
Allocation and Assignment .................................................................................... 24
5.5.3.1.
Application .......................................................................................................... 24
5.5.3.2.
Assessment ........................................................................................................... 25
5.5.3.3.
Proposal ................................................................................................................ 26
5.5.3.4.
Licensing............................................................................................................... 27
5.5.3.5.
Dispute Resolution ............................................................................................... 27
5.5.4.
Governance............................................................................................................ 28
5.5.4.1.
Manage SMO Relationships ............................................................................... 28
5.5.4.2.
Manage SMO Performance ............................................................................... 28
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 4 of 30
1.
Introduction
The Spectrum Management Office (SMO) has been established in the Telco Authority to
ensure a coordinated, efficient and strategic approach to the management of
spectrum that supports government operations in NSW.
The NSW Treasury and Finance Circular OFS-2014-02-NSW Government Radio
Communications Strategy issued in September 2014, requires the Authority to ensure that
a coordinated and strategic approach to radio spectrum allocation is undertaken.
In addition, the Circular directs the Telco Authority to conduct negotiations with the
Australian Communications and Media Authority (ACMA) in relation to radio frequency
allocation on behalf of NSW Government agencies.
In carrying out its spectrum management role, the SMO is guided by (but not
constrained to):
1. Nationally agreed policies, procedures and guidelines including the Government
Services Radiocommunications Assignment Licensing Instructions (RALI GS1)
2. ACMA produced procedures and instruments (e.g. RALI’s, Embargos, Frequency
Assignment Practices)
3. Relevant legislation including the Commonwealth Radiocommunications Act 1992.
These are referenced within this manual as well as being captured in the document
library and can be sourced if required.
1.1. Purpose
This Manual provides guidance around the processes and procedures used by the SMO
to ensure the efficient management of spectrum in NSW.
The guidelines and procedures that are defined in this Manual, together with the SMO
policy document, support the SMO capability with identified process flow, systemic
order, and structure. It enables the ability to trace, repeat, audit, report, and manage
the operations of the SMO.
Level 3 procedure descriptions are also included in the manual (see Appendix 5) to
support the SMO activities and provide some operational information for Telco Authority
business units and supporting staff.
1.2. Audience
This Manual should be read by NSW Telco Authority staff seeking to understand the SMO
purpose, function, structure and operation. It also presents the detailed SMO processes
for spectrum management to client groups.
1.3. Definitions
For the purpose of this Manual, the following terminology has been defined.
ACMA
The Australian Communications and Media Authority
(ACMA) is the Commonwealth regulator of spectrum for
use in Australia and responsible for broadcasting,
radiocommunications, telecommunications and online
content.
Accredited Person
An Accredited Persons (AP) is a spectrum engineer
accredited by the ACMA who provides specialist advice
and services including interference analysis on proposed
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 5 of 30
and existing licenced assignments and lodging licence
proposal applications with the ACMA.
Applicant
The applicant for a licence or their representative e.g. an
Accredited Person.
Bandwidth
The rate at which data may be transmitted through a
telecommunications system. Bandwidth is defined in bits
per second (e.g. 256kbps).
Frequency Assignment
The act of registering a discrete quantum of spectrum for
the use of a client at a specified location.
Frequency Band
The location in the spectrum continuum where an
allocation of spectrum will be assigned to support an
application e.g. 400 MHz Band for government services.
Government Controlled
Organisation
A government-owned corporation, state-owned
company, state-owned entity, state enterprise, publicly
owned corporation, government business enterprise,
commercial government agency, public sector
undertaking or parastatal is a legal entity created by a
government to undertake commercial activities on
behalf of an owner government.
HGS
The dedicated government allocation of 400 MHz
harmonised government spectrum.
Licensee
The holder of a licence, including a person authorised by
the licensee to operate a transmitter under the licence.
Milestone
An ACMA activity date with specific requirements to
meet the 400 MHz compliance regime.
Spectrum Engineer
Specialist spectrum assigner accredited by the ACMA
and referred to as an Accredited Person (AP).
Milestone
An ACMA activity date with specific requirements to
meet the 400 MHz compliance regime.
Spectrum Management
Spectrum management is the process of regulating the
use of radio frequencies to promote efficient use and
gain a net social benefit.
Spectrum Transition Plan (STP)
A controlled plan for the relocation and reallocation of
NSW Government spectrum into the HGS, by the ACMA
milestone dates.
Telco Authority (TA)
The NSW Government Telecommunications Authority is
the NSW Government entity responsible for the overall
coordination of radio telecommunication services for the
NSW Government.
Telecommunications
Network
A system, or series of systems, that carries, or is capable
of carrying, communications by means of guided or
unguided electromagnetic energy, or both.
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 6 of 30
2. Guidelines and Procedures
2.1. Spectrum Management (Level 0)
Monitor, manage, plan and administer the allocation and assignment of spectrum
assigned from the harmonised government segments (currently the 400 MHz HGS but not
restricted to it for future bands and opportunities) to support the operations of
government controlled organisations and organisations that provide a service to the
government or the community. Spectrum management includes governance of the
SMO, monitoring and review of compliance, spectrum planning and allocation, and
assigning licenced frequencies. The process is illustrated below:
Spectrum
Management
Required
Compliance
Monitoring
Required?
Yes
Monitoring
and
Review
No
Compliance
Report
Compliance
Achieved
Spectrum
Planning
Required?
Spectrum
Planning
Planning
Complete
Spectrum Plan
Licensing
Required?
Yes
Allocation
and
Assignment
No
ACMA
Licence
Licencing
Complete
Governance
Required?
Yes
Governance
Governance
Complete
SMO
Performance
Report
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 7 of 30
2.1.1. Monitoring and Review (Level 1)
Regularly monitor, review and report on spectrum use to ensure it is used in accordance
with rules and regulations that align to the Spectrum Plan for the HGS. The process is
illustrated below:
Compliance
Monitoring
Required
Review
Compliance
Compliance
Monitoring
Complete
Report on
Compliance
Compliance
Report
2.1.1.1.
Review Compliance (Level 2)
Monitor use of government spectrum in NSW and assess its use based on compliance to
spectrum rules, regulations and planning. The process is illustrated below:
Compliance
Monitoring
Required
Receive
Licensing Data
Query Data Against
Spectrum Rules,
Regulations and
Planning
Identify Current
State of Non
Compliant Licences
Lodge
Compliance
Exceptions
Compliance
Review
Complete
Assess
Compliance
Actor/s
Resources
Output
Frequency
SMO
Representative
ACMA RRL Download
Compliance
Assessment
Monthly
Relevant Instruments (NCGR
RALI GS1. ACMA RALIs, FAPs,
Embargoes)
Nationally Agreed Principles
Telco Authority Strategy, Policies
and Procedures
2.1.1.2.
Report on Compliance (Level 2)
Summarise and report on compliance, available channels and other useful spectrum
related information for planning. The process is illustrated below:
Compliance
Assessment
Complete
Summarise
Compliance
Assessment
Prepare
Compliance Report
Socialise
Compliance Report
Compliance
Reporting
Complete
Compliance
Report
Actor/s
Resources
Output
Frequency
SMO
Representative
Compliance Assessment
Compliance
Report
Monthly
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 8 of 30
2.1.2. Spectrum Planning (Level 1)
Maintain a Spectrum Transition Plan (STP) by evaluating government agency spectrum
needs in accordance with rules and regulations for harmonised government segments
(currently the 400 MHz HGS but not restricted to it for future bands and opportunities)
ensuring that government spectrum is provisioned for current and future use and is
maximised for public benefit. The process is illustrated below:
No
Spectrum
Planning
Required
Evaluate
Planning
Requirements
and Feasibility
Define
Planning
Requirements
Planning
Approved?
Yes
Produce
Spectrum Plan
Spectrum
Planning
Complete
Spectrum Plan
2.1.2.1.
Define Planning Requirements (Level 2)
Evaluate government agency spectrum needs in accordance with spectrum rules and
regulations and clearly specify what is actually being planned for, in alignment with the
strategic direction for spectrum. The process is illustrated below:
Spectrum
Planning
Required
Evaluate Agency
Spectrum Needs
Define
Strategic Direction
Specify Planning
Requirements
Spectrum
Planning
Defined
Planning
Requirements
Specification
Actor/s
Resources
Output
Frequency
SMO
Representative
Government Agency Spectrum
Needs
Planning
Requirements
Specification
As required
Strategic Direction
Compliance Report
Spectrum Rules and Regulations
2.1.2.2.
Evaluate Planning Requirements and Feasibility (Level 2)
Evaluate the planning requirements and determine what the impacts, costs and benefits
will be, in an effort to determine whether the spectrum planning initiative is feasible as
well as viable. The process is illustrated below:
Spectrum
Planning
Defined
Evaluate Planning
Requirements
Determine
Planning Feasibility
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Planning
Feasibility
Determined
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 9 of 30
Actor/s
Resources
Output
Frequency
SMO
Representative
Planning Requirements
Specification
Feasibility
Analysis and
Business Case
Whenever a
planning
requirements
specification is
produced
2.1.2.3.
Produce Spectrum Plan (Level 2)
Specify the future state, timeframe for compliance and assigned frequencies for those
licences with a compliance requirement that are supporting government radiocommunications in NSW (e.g. for 400 MHz HGS). The process is illustrated below:
Planning
Approved
Identify
Spectrum Bands
Assess Spectrum
Availability
Increase Spectrum
Availability
Specify
Target State
Formulate
Spectrum Plan
Planning
Complete
Spectrum Plan
AP
Actor/s
Resources
Output
Frequency
Accredited Person
Planning Requirements
Specification
Spectrum Plan
Whenever a
planning
business case
is approved
SMO
Representative
Business Case
2.1.3. Allocation and Assignment (Level 1)
Facilitate, manage and administer the application, assessment, assignment and
submission of all licence applications to the ACMA that support NSW Government
agency operations and Government controlled organisations in NSW. The licensing
administration activities and process flow are as follows:
Surrender or Renew
License
1. Licensing
Required
Application
3. Application
To Be
Assessed
Invalid
Applicant
Assessment
Invalid
Requirements
4. Application
Assessed
Proposal
Licensing
6. License Issued
Insufficient
Spectrum Available
2. Application
Not Approved
Decision
Upheld
5. Application
To Be
Licensed
License
Not Approved
Dispute
Dispute
Resolution
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Dispute
Resolved
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 10 of 30
2.1.3.1.
Application (Level 2)
Facilitate the capture and evaluation of requests for licenced spectrum in order to
ensure that applications are filtered/processed according to established TA Scoping
Criteria (see Appendix 3) and prioritised according to nationally endorsed Priority Tiers
(see Appendix 2) prior to a more detailed assessment. The process is illustrated below:
Consult with
Other State
Representatives
Advise
Applicant of the
Nominated
Representative
State / Jurisdiction
Applicant
Is the NSW
SMO the Nominated
Representative?
No
Assist Nominated
Representative
to Provide
a Consolidated
Proposal
Yes
5. Application
To Be
Licensed
Yes
3. Application
To Be
Assessed
System
SMO
No
1. Licensing
Required
Apply for Spectrum
Capture Application
Application Receipt
Notification
Notification to
Contact ACMA
for Commercial
Spectrum
Is Applicant
a Supplier to NSW
Government or a notfor-profit entity which
serves the community
or a private
organisation with
special case?
Are the
Frequency
Assignments
for NSW only?
Yes
No
No
Is Applicant
a Government
Controlled
Organisation?
Yes
Yes
2. Application
Not Approved
Notification of
Application
Re-direction
Submit Application
to TA Networks
and Services
(Fee for Service)
Yes
Can a
Shared Network
Meet the Applicants
Requirements?
Yes
No
Are Frequency
Assignments for the
400MHz HGS?
Surrender
and /or Renew
Frequency
Assignments
Only?
Yes
No
No
Notification to
Contact ACMA
for Commercial
Spectrum
No
Will SMO
Manage Licensing
for the Required
Frequency
Assignments?
Yes
Evaluate
Application
Priority
No
Is the Applicant a
Tier 1 Organisation?
Actor/s
Resources
Output
Frequency
SMO
Representative
Spectrum Application
Requirements
Filtered and
prioritised
application
ready to be
assessed.
Whenever a
request for
licenced
spectrum has
been
submitted to
the SMO.
Applicant
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 11 of 30
2.1.3.2.
Assessment (Level 2)
Detail and qualify the applicant’s requirements according to spectrum planning, rules
and regulations so that a best fit solution can be proposed. The process is illustrated
below:
3. Application
To Be Assessed
Request Detailed
Requirements
from Applicant
Is
Site aligned
to Strategic
Asset Plan?
Assess Detailed
Requirements
Applicant
System
SMO
No
Notification of Site
Non Alignment and
of Site Preferred by
Telco Authority
Yes
Applicant
Agrees to Preferred
Site?
Yes
No
Written Advise
with Proposed
Remediation Plan
2. Application
Not Approved
Notification of
Non Approval with
Reason & Suggested
Alternatives
No
Applicant
Agrees to
Remediation
Plan?
Yes
Validate Compliance
to NSW Telco
Authority Policy and
ACMA Regulation
(incl. FAP’s, RALI,
Embargo’s)
Compliance
Authorised
by SMO?
Yes
Capture
Assessment
4. Application
Assessed
No
Non Compliance
Notification with
Proposed
Remediation Plan
Actor/s
Resources
Output
Frequency
SMO
Representative
Filtered and prioritised
application
Applicant
Spectrum planning, policies and
regulations.
Application
assessed and
ready for
proposal.
Whenever an
application
has been
filtered and
prioritised
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 12 of 30
2.1.3.3.
Proposal (Level 2)
Identify the available options in relation to the spectrum band / frequencies and then
recommend the best fit solution based on the applicant’s requirements. The process is
illustrated below:
Yes
4. Application
Assessed
Evaluate the
Requested Band
and Frequencies
Against Spectrum
Planning
2. Application
Not Approved
No
Requested
Spectrum Band
and Frequencies
Align with Spectrum
Planning?
Notification of
Insufficient
Spectrum Available
with Suggested
Alternatives
No
No
Identify and
Recommend a
Spectrum Band
Identify Available
Frequencies within
the Recommended
Spectrum Band
Yes
Yes
Another
Spectrum Band
Available?
No
Test
Frequency
Interference
Sufficient
Spectrum
Available within
Band?
Pass ACMA
Interference
Criteria?
No
No
5. Application
To Be Licensed
Proposal
Endorsement
by SMO
Capture
Proposal
Yes
Yes
Proposal
Accepted by
Applicant?
Propose
Best Fit
Solution
Allocate
Available
Frequencies
System
SMO
AP
Applicant
Actor/s
Resources
Output
Frequency
SMO
Representative
Assessed Application
Best fit proposal
endorsed and
captured by
SMO
Whenever an
application
has been
assessed
Spectrum Plan
Accredited Person
Applicant
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 13 of 30
2.1.3.4.
Licensing (Level 2)
Submit the proposal details to the ACMA for approval and capture the issued licence
within the ACMA RRL – where appropriate, the licence will be registered in the relevant
Telco Authority licence holding. The process is illustrated below:
5. Application
To Be Licensed
Authorise
ACMA Submission
2. Application
Not Approved
Notification
of Non Approval
with Reason and
Suggested
Alternatives
Submit
R057 / R077 Form
Or Surrender Email
Or Licence Renewal
Review
Submission
No
Approve?
Yes
6. License Issued
Send
License and / or
Written Advice
Capture
License Details
(Telco Authority )
Load
License Details
(ACMA RRL)
License
Notification
Applicant
System
SMO
ACMA
Actor/s
Resources
Output
Frequency
SMO
Representative
Proposed Licensing Details
Licence advice
sent to the
applicant and
captured within
ACMA RRL
Whenever a
proposal has
been
endorsed by
the SMO
ACMA
Applicant
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 14 of 30
2.1.3.5.
Dispute Resolution (Level 2)
Facilitate and govern the resolution of any disputes that may arise as a result of SMO
decisions or actions. The process is illustrated below:
2. Application
Not Approved
Request
Review of Decision
Review Applicant’s
Case and Supporting
Information
Provide Rationale
for Decision
Yes
Decision Upheld?
No
6. Licence Issued
Complete
Licencing Process
Yes
Dispute Resolved?
No
No
Escalate to TARG for
Complete Review of
Dispute
Decision Upheld?
Provide
Determination to
the Applicant
Yes
Applicant
SMO
SMO
Steering
Committee
Actor/s
Resources
Output
Frequency
SMO
Representative
Dispute
Dispute
Determination
Applicant
Supporting Information
Steering
Committee
Application Details
Whenever a
dispute arises
as a result of
an SMO
decision or
action
Rationale for Decision
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 15 of 30
2.1.4. Governance (Level 1)
Manage SMO operational and strategic relationships (see Appendix 1 - SMO
Relationships) in order to identify spectrum requirements and influence national strategic
initiatives, as well as report on performance to the SMO Steering Committee. The
process is illustrated below:
Relationship
Management
Required?
Governance
Required
Yes
Manage SMO
Relationships
Yes
Manage SMO
Performance
No
SMO
Performamce
Management
Required?
SMO
Performance Report
Governance
Complete
No
2.1.4.1.
Manage SMO Relationships (Level 2)
Engage with strategic and operational bodies (see Appendix 1 - SMO Relationships) in
order to identify radiocommunication needs that support the operational requirements
of NSW Government Agencies and ensure that NSW requirements are well represented
in the development of nationally agreed principles, strategies and regulations. The
process is illustrated below:
Relationship
Management
Required
Identify and Assess
NSW Spectrum
Requirements
Assist in
Development of
Spectrum
Strategy and Policy
Communicate
Spectrum
Strategy and Policy
Relationship
Management
Complete
Actor/s
Resources
Output
Frequency
SMO
Representative
NSW Government Spectrum
Requirements
Spectrum
strategy & policy
As required
2.1.4.2.
Manage SMO Performance (Level 2)
Report and monitor SMO performance based on compliance status and progress,
licensing activity, current issues and foreseeable risks so that necessary changes can be
made in a timely manner. The process is illustrated below:
Performance
Management
Required
Report on SMO
Performance
Review SMO
Performance
If Action
is Required?
SMO
Performance Report
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Performance
Management
Complete
Take Action
SMO
Telco in Confidence
SMO
Steering
Committee
Updated 9/02/2016
Printed 9/02/2016
Page 16 of 30
Actor/s
Resources
Output
Frequency
SMO
Representative
Progress of Milestones
Fortnightly
SMO Steering
Committee
Licensing Activity
SMO
Performance
Managed
Compliance Status
Issues and Risks
3. Contact
Telco Authority Spectrum Management Office: telco.spectrum@finance.nsw.gov.au
4. Document Library
The following documents support the operations of the SMO are referenced in this
manual.
Cwlth
Govt
SMO Policy Document
Spectrum Transition Plan
RALI LMB
RALI MS22
RALI GS1
Radiocommunications Act
Embargo 60
Embargo 53
Embargo 50
NCCGR
SMO
ACMA
SMO Guidelines and Procedures
Frequency
Assignment
Practice
Guideline No.5
Frequency
Assignment
Practice
Guideline No.4
Guideline for
400 MHz
Spectrum
400 MHz transition-Guideline
for exceptions to transition
deadlines MS2 & MS3
ID
Supporting Document
Description
Author
Date
D1
SMO Policy Document
Contains policies which ensure
that there is a coordinated
and strategic sector-wide
framework for the
management of government
radio spectrum allocations.
Telco
Authority
2014
D2
SMO Manual
Manual with guidelines,
processes and procedures that
support the SMO activities and
provide operational
information for other Telco
Authority business units,
supporting staff and clients
Telco
Authority
2014
Telco
Authority
2014
.
D3
Spectrum Transition
Plan
A plan which outlines noncompliant ACMA licensees,
allocations required to ensure
compliance to ACMA rules
and regulations, as well as
transition timeframes to ensure
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 17 of 30
scheduled alignment of
transitioning activities and
continuity of government
services.
D4
Radiocommunications
Act
Contains legislative framework
that underpins spectrum
management in Australia and
contains the policy and
regulatory requirements.
Cwlth Govt
1992
D5
RALI LM8
Radiocommunications
Assignment Licensing
Instructions (RALI) for the Land
Mobile Service
ACMA
2010
D6
RALI GS1
Frequency assignment
requirements for Government
Services in the 400 MHz Bands
NCCGR
2011
D7
Guideline for 400 MHz
Spectrum Allocation
A set of guiding principles for
assigning against the
government 400 MHz spectrum
allocation
NCCGR
2012
D8
RALI MS22
Radiocommunications
Assignment Licensing
Instructions (RALI) for the
400 MHz Band
ACMA
2012
D9
Frequency Assignment
Practice (FAP)
Guideline No.4
Assigning harmonised
government spectrum (HGS) in
the 400 MHz band
ACMA
2013
D10 Frequency Assignment
Practice (FAP)
Guideline No.5
Use of voting systems in the
land mobile radio service
ACMA
2013
D11 Embargo 50
Embargo on new frequency
assignments to support
arrangements for harmonised
government spectrum
primarily to support national
security, law enforcement and
emergency services
ACMA
2010
D12 Embargo 53
Embargo on new frequency
assignments to national
security, law enforcement and
emergency services
ACMA
2012
D13 Embargo 60
Embargo on new frequency
assignments to support
formalising arrangements for
the rail industry
ACMA
2012
D14 400 MHz transitionGuideline for
exceptions to transition
Guideline outlining the
circumstances and factors
under which the ACMA will
ACMA
2014
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 18 of 30
deadlines MS2 & MS3
5.
provide a temporary
exception to a milestone (MS)
and renew an apparatus
licence on conditions that do
not comply with the 400 MHz
Plan.
Appendices
5.1. Appendix 1 - SMO Relationships
The SMO is managed by a Steering Committee and guided through its strategic
relationships with the ACMA, the Business Strategy Group (BSG), the Technology Planning
and Review Group (TPRG), the Government Radio User’s Group (GRUG) and the
National Coordinating Committee for Government Radiocommunications (NCCGR).
5.1.1. SMO Steering Committee
The SMO Steering Committee comprises of senior managers from Telco Authority Business
Units as well as the Managing Director. Its role is to:



Manage the performance of the SMO
Provide it with a forum for reviewing and gaining input for the management of
spectrum to support the current and future operational requirements of
government.
Play a functional role for escalation as part of the dispute resolution process.
5.1.2. Business Strategy Group (BSG)
The BSG:


is a representative committee of NSW Government radiocommunications
stakeholders, acting in the capacity of a sector wide leadership group
provides business policy, objectives and strategy direction to the SMO and the
SMO provides reporting and advice on current and future direction of spectrum
initiatives.
5.1.3. Government Radio Users Group (GRUG)
The GRUG provides:


a regular forum for interaction government radio using agencies and the Telco
Authority. The forum provides a means of allowing feedback on government
radio performance and strategy, as well as addressing users’ enquiries, needs and
concerns
the SMO with operational requirements for assessing against the need for the
provision of spectrum; the SMO provides reporting and advice on current and
future direction of spectrum initiatives.
5.1.4. Technology Planning and Review Group (TPRG)
The TPRG provides technical


advice to the Telco Authority and the BSG including appropriate technology
architectures, standards and solutions to meet current and future requirements
the TPRG provides technical requirements to the SMO and the SMO provides
technical options/solutions to spectrum needs.
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 19 of 30
5.1.5. Australian Communications and Media Authority (ACMA)
The ACMA is an independent Australian Government statutory authority and is
responsible for licensing the use of spectrum, developing and implementing
radiocommunications policy and carrying out a range of functions associated with the
Radiocommunications Act 1992 and Telecommunications Act 1997.
The SMO conducts negotiations and agreements with the ACMA and contributes to the
review and development of strategies, plans, compliance procedures and instruments
(e.g. regional interoperability, spectrum band planning etc.) for and on behalf of the
NSW Government.
5.1.6. National Coordinating Committee for Government
Radiocommunications (NCCGR)
The NCCGR consists of representatives from all State, Territory and Commonwealth
government jurisdictions who manage or use radiocommunications networks. It is the
national peak body responsible for improving spectrum harmonisation and
radiocommunications interoperability, as well as being the author of the Government
RALI GS1 for the HGS.
The Telco Authority is the NSW representative on the NCCGR and ensures NSW complies
with endorsed national policy and procedures, as well as providing input into the
national strategic initiatives.
5.1.7. ACMA Accredited Persons
Accredited Persons (APs) are spectrum engineers accredited by the ACMA who provide
the SMO with specialist advice and services including interference analysis on proposed
and existing licenced assignments and lodging licence proposal applications for
spectrum with the ACMA.
5.2. Appendix 2 - Priority Tiers
The priorities for assigning licenced spectrum from the 400 MHz HGS will be in line with the
Radiocommunications Act and the nationally endorsed “Guideline for 400 MHz
Spectrum Allocation – a set of guiding principles for assigning against the government
400 MHz spectrum allocation”.
The priority tiering for assigning of spectrum is based on the nature of the service
provided to government and are referred nationally as Tier 1, Tier 2 or Tier 3. Where a
service is used to support a range of activities, it is classified according to the most
critical activity it supports. This ensures that the regulatory requirements of the
Radiocommunications Act are adhered to and each organisation will be prioritised in
order to ensure spectrum needs to support operational requirements can be
provisioned. These Tiers are outlined in the nationally endorsed guideline referenced
above and are summarised below.
5.2.1. Tier 1
Tier 1 incorporates agencies that provide services that directly support public protection
and disaster relief and include NSW Police Force, Ambulance Service of NSW, Rural Fire
Service, Fire and Rescue NSW and State Emergency Service. Under the requirements of
the Radiocommunications Act, this group must have access to spectrum to support their
operational requirements.
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 20 of 30
5.2.2. Tier 2
Tier 2 covers agencies that provide services that support provision of essential services
though at times may support Tier 1 response and if spectrum is available, will be assigned
to meet operational requirements. Tier 2 includes energy utilities, health services, water
utilities and transport.
5.2.3. Tier 3
Tier 3 covers agencies and organisations that support the work of government through
the provision of non-emergency/essential services. Once spectrum is assigned to
support Tier 1 and Tier 2, Tier 3 can be assigned. Through the use of network control this
Tier 3 may lose access to spectrum if it is required to support Tier 1 and or Tier 2 response
to emergencies.
5.3. Appendix 3 – Scoping Criteria
5.3.1. Mandatory Criteria
1.
2.
3.
4.
5.
6.
7.
8.
Frequencies support services in NSW.
Applicant is a government controlled organisation.
A shared network cannot meet the applicant’s requirements.
Frequency assignments are for a Government Agency private network.
Frequency assignments are from the 400 MHz HGS.
Site is aligned to the Telco Authority Rationalisation Plan.
Spectrum band and frequencies align with the Spectrum Transition Plan.
Spectrum band and frequency assignments comply with relevant ACMA instruments
(e.g. FAPs, RALIs)
9. Spectrum band and frequency assignments comply with the RALI GS1
5.3.2. Subject to Approval
1. Commercial applications in support of a specific function that supports government
operations and is not currently provided by an agency.
2. Frequency assignments for non 400 MHz HGS that are in support of NSW Government
operations.
5.4. Appendix 4 - The ACMA Guidelines
Documents such as Frequency Assignment Practices, Embargoes and the
Radiocommunications Assignment and Licensing Instructions (RALIs), provide advice on
frequency assignment policy and coordination procedures with the view to minimising
interference and maximising spectrum efficiency.
5.4.1. RALI GS1
RALI GS1 is a nationally agreed and endorsed Band Plan and associated licensing
instructions for the 400 MHz HGS. It is managed by the NCCGR in consultation with
jurisdictional stakeholders that includes the NSW Telco Authority.
5.4.2. Embargoes
Spectrum embargoes are an ACMA administrative tool used to facilitate orderly
spectrum planning. Embargoes are a notice of intention by the ACMA to restrict the
allocation of new licences in a band, pending its replanning. They also alert industry to
the start of a planning process.
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 21 of 30
An embargo includes details of the frequency band, date of effect, coverage area,
time frame, instructions, reasons and supplementary comments.
Embargoes are used in conjunction with other administrative and planning tools.
5.4.3. Frequency Assignment Practices
Frequency assignment practices (FAPs) provide guidance on specific frequency
assigning issues. FAPs provide background information on an issue, explain relevant
interference and/or spectrum considerations and detail the ACMA’s position in relation
to assigning and licensing identified radiocommunications services. FAP 4 - assigning
harmonised government spectrum (HGS) in the 400 MHz band and FAP 5 - Use of voting
systems in the land mobile radio service are a part of the SMO decision making process.
5.5. Appendix 5 – Level 3 Procedures
5.5.1. Monitoring and Review
5.5.1.1.
Review Compliance
ID
Procedure Name
Description
Actor/s
Rev1
Receive Licensing
Data
Receive and capture periodic ACMA
RRL data in format suitable for
interrogation.
SMO
Representative
Rev2
Query Data Against
Spectrum Rules,
Regulations and
Planning
Interrogate and review the ACMA RRL
data using predefined criteria based
on spectrum rules and regulations.
SMO
Representative
Rev3
Identify Current State
of Non-Compliant
Licences
Extract relevant data for all licences
with a current transition requirement.
SMO
Representative
Rev4
Lodge Compliance
Exceptions
Review compliance exception
requests from NSW Government
Agency against exception policy and
lodge with the ACMA if request is valid.
SMO
Representative
Rev5
Assess Compliance
Analyse and assess use of Government
spectrum based on compliance to
spectrum rules, regulations.
SMO
Representative
5.5.1.2.
Report on Compliance
ID
Procedure Name
Description
Actor/s
Rep1
Summarise
Compliance
Assessment
Provide a summary of findings related
to spectrum compliance such as
changes in licencing volumes and
compliance levels.
SMO
Representative
Rep2
Prepare Compliance
Report
Report on compliance, available
channels and other useful spectrum
related information for planning.
SMO
Representative
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 22 of 30
Rep3
Socialise
Compliance Report
Ensure that compliance information is
communicated and reported as
required.
SMO
Representative,
Communications
5.5.2. Spectrum Planning
5.5.2.1.
Define Planning Requirements
ID
Procedure Name
Description
Actor/s
Def1
Evaluate Agency
Spectrum Needs
Evaluate NSW Government spectrum
requirements in accordance with
spectrum rules and regulations.
SMO
Representative
and
Government
Agencies
Def2
Define Strategic
Direction
Define and review strategies for NSW
spectrum planning.
SMO
Representative
and
SMO Steering
Committee
Def3
Specify Planning
Requirements
5.5.2.2.
Clearly specify what is actually being
planned for in alignment with the
strategic direction for spectrum.
SMO
Representative
Evaluate Planning Requirements and Feasibility
ID
Procedure Name
Description
Actor/s
Eva1
Evaluate Planning
Requirements
Facilitate the review and evaluation of
the planning requirements by SMO
Steering Committee and other
stakeholders as required.
SMO
Representative
Determine what the impacts, costs
and benefits will be, in an effort to
determine whether the spectrum
planning initiative is feasible for
approval.
SMO
Representative
and
Eva2
Determine Planning
Feasibility
5.5.2.3.
and
Steering
Committee
Steering
Committee
Produce Spectrum Plan
ID
Procedure Name
Description
Actor/s
Pro1
Identify Spectrum
Band/s
Identify suitable target state spectrum
band/s on a per client basis.
Accredited
Person
Pro2
Assess Spectrum
Availability
Assess the availability of replacement
frequencies for non-compliant
licences.
Accredited
Person
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 23 of 30
Pro3
Increase Spectrum
Availability
Identify redundant spectrum as well as
opportunities for additional spectrum in
order to increase spectrum availability
/usability.
Accredited
Person
Pro4
Specify Target State
Recommend a target state for noncompliant licences subject to approval
by the SMO.
Accredited
Person
Develop a schedule for compliance to
ensure that the compliance activities
and timeframes required for all licenses
that underpin NSW Government
operations are identified and
communicated effectively.
Accredited
Person
Pro5
Formulate Spectrum
Plan
And SMO
Representative
And SMO
Representative
5.5.3. Allocation and Assignment
5.5.3.1.
Application
ID
Procedure Name
Description
Actor/s
App1
Apply for Spectrum
Facilitate the submission of a request
for spectrum together with the
applicant’s requirements.
Applicant
App2
Capture Application
Facilitate the storage of the SMO
application form and applicants basic
requirements.
SMO
Representative
App3
Application Receipt
Notification
Notify the applicant of application
receipt, result of initial assessment,
expected response times if approved
and other options available if not
approved, within two weeks of
receiving the application.
SMO
Representative
App4
Consult with Other
State Representatives
If the license assignments in the
application are located in more than
one state or territory, assess the impact
and nominate a state representative
for applications which require licensing
across borders.
SMO
Representative
App5
Advise Applicant of
the Nominated
Representative
Communicate and advise the
applicant of the representative that
has been nominated.
SMO
Representative
App6
Assist Nominated
Representative to
Provide a
Consolidated
Proposal
Provide information and support to the
nominated representative.
SMO
Representative
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 24 of 30
App7
Notification to
Contact ACMA for
Commercial
Spectrum
Validate the application (government
controlled organisation or commercial
organisation that is not covered by a
Telco Authority special case
agreement). Notify the applicant that
the application has not been
approved and that they must contact
the ACMA for Commercial Spectrum.
SMO
Representative
App8
Submit Application to
TA Networks and
Services
Facilitate the redirection of an
application with requirements that can
be met through the use of shared
services to TA Networks and Services.
SMO
Representative
App9
Notification of
Application
Redirection
Notify the applicant that the
application has been redirected and
submitted to TA Networks and Services.
SMO
Representative
Filter and prioritise an application prior
to a detailed assessment to support
Tier 1 users so that their operations are
not compromised.
SMO
Representative
App10 Evaluate Application
Priority
5.5.3.2.
Assessment
ID
Procedure Name
Description
Actor/s
Ass1
Request Detailed
Requirements from
Applicant
Obtain detailed requirements from the
applicant.
SMO
Representative
Ass2
Assess Detailed
Requirements
Evaluate and qualify applicant’s
detailed requirements to determine if
the applicant’s site is strategically
aligned to Telco Authority planning.
SMO
Representative
Ass3
Notification of Site
Non Alignment and
Site Preferred by
Telco Authority
Where the request for spectrum is to
support the development of a new site
or to increase capacity at an existing
site that is not aligned to Telco Authority
strategic asset planning, notify the
applicant that their site is not
strategically aligned to Telco Authority
planning and inform them of the Site
Preferred by the Telco Authority.
SMO
Representative
Ass4
Written Advice with
Proposed
Remediation Plan
Where the applicant does not agree to
the preferred site, provide the applicant
with a remediation plan.
SMO
Representative
Ass5
Notification of Non
Approval with Reason
and Suggested
Alternatives
Where the remediation plan is not
accepted by the applicant, notify the
applicant that their application has not
been approved and inform them with
the reason together with suggested
alternatives.
SMO
Representative
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 25 of 30
Ass6
Validate Compliance
to NSW Telco
Authority Policy and
ACMA Regulation
If an applicant’s requirements are
assessed as best met by the allocation
of dedicated spectrum, qualify the
application and validate it against NSW
Telco Authority policy and ACMA
regulation.
SMO
Representative
Ass7
Non Compliance
Notification with
Proposed
Remediation Plan
Where the application does not qualify,
notify the applicant that their
application has not been approved
due to non-compliance and provide
them with a remediation plan.
SMO
Representative
Ass8
Capture Assessment
Capture the applicant's detailed
requirements together with the results of
the assessment.
SMO
Representative
5.5.3.3.
Proposal
ID
Procedure Name
Description
Actor/s
Pro1
Evaluate the
Requested Band and
Frequencies Against
Spectrum Planning
Evaluate the applicant's requested
spectrum band and the requested
frequencies against the Telco Authority
Spectrum Transition Plan
Accredited
Person
Pro2
Identify and
Recommend a
Spectrum Band
Recommend a suitable spectrum band
that is aligned to TA spectrum planning.
Accredited
Person
Pro3
Identify Available
Frequencies within
the Recommended
Spectrum Band
Identify available frequencies within the
recommended spectrum band.
Accredited
Person
Pro4
Test Frequency
Interference
Test the available frequencies for
interference against ACMA interference
criteria.
Accredited
Person
Pro5
Notification of
Insufficient Spectrum
Available with
Suggested
Alternatives
If the SMO recommended spectrum is
not available or there are interference
issues, notify the applicant that there is
insufficient spectrum available together
with suggested alternatives.
Accredited
Person
Pro6
Allocate Available
Frequencies
If spectrum is available and there are
no interference issues, allocate
frequencies to the application from
those that have passed interference
testing.
Accredited
Person
Pro7
Propose Best Fit
Solution
Propose a best fit solution to the
applicant which includes the allocated
frequencies, if possible in the name of
the Telco Authority and then 3rd party
provision to the user.
Accredited
Person
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 26 of 30
Pro8
Proposal
Endorsement by SMO
Authorise and endorse the proposal
that has been accepted by the
applicant.
SMO
Representative
Pro9
Capture Proposal
Capture and store the proposal that
has been endorsed by the SMO.
SMO
Representative
5.5.3.4.
Licensing
ID
Procedure Name
Description
Actor/s
Lic1
Authorise ACMA
Submission
Obtain authorisation from the applicant
prior to the submission of the proposal to
the ACMA.
Applicant
Lic2
Submit R057 / R077
Form or Surrender
Email or Licence
Renewal
Facilitate the submission of the
proposed licensing details in the
required format.
SMO
Representative
Lic3
Review Submission
Review the SMO endorsed proposal and
approve or not approve the licence.
ACMA
Lic4
Notification of Non
Approval with
Reason and
Suggested
Alternatives
Where there is an issue and licence
proposal is not approved, the SMO will
work with the AP to address the issue
and resubmit or notify the applicant
that the application has not been
approved together with the reason and
suggested alternatives.
ACMA
Lic5
Load Licence Details
(ACMA RRL)
Load the approved licence details
within the ACMA RRL.
ACMA
Lic6
Licence Notification
Notify the Telco Authority of approved
licence details.
ACMA
Lic7
Capture Licence
Details (Telco
Authority)
Capture and store the details for the
licence.
SMO
Representative
Lic8
Send Licence and /
or Written Advice
Send the licence information together
with the written advice to the applicant.
ACMA
5.5.3.5.
Dispute Resolution
ID
Procedure Name
Description
Actor/s
Dis1
Request Review of
Decision
Request a review of a disputed decision
made by the SMO.
Applicant
Dis2
Provide Rationale for
Decision
Address the dispute and provide the
reasons for making the decisions by
outlining the basis and rationale for the
original decision.
SMO
Representative
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 27 of 30
Dis3
Review Applicant's
Case and Supporting
Information
Undertake a review and further
investigate the disputed decision using
supporting information.
SMO
Representative
Dis4
Complete Licensing
Process
Where the review process resolves the
dispute and the decision is reversed,
complete the licensing process.
SMO
Representative
Dis5
Escalate to Steering
Committee for a
Complete Review of
the Dispute
Where the original decision is upheld
and the applicant is still not satisfied,
escalate the dispute to the SMO
Steering Committee.
Steering
Committee
Dis6
Provide
Determination to the
Applicant
Review all relevant information and the
decision made by the SMO and then
make a determination that will be
provided to the applicant.
Steering
Committee
5.5.4. Governance
5.5.4.1.
Manage SMO Relationships
ID
Procedure Name
Description
Actor/s
Rel1
Identify and Assess
NSW Spectrum
Requirements
Identify, assess and capture the
spectrum demand needed to
support operational requirements of
NSW Government Agencies.
SMO
Representative
and SMO
Relationships
Rel2
Assist in
Development of
Spectrum Strategy
and Policy
Engage with strategic and
operational bodies in order to ensure
that NSW Government requirements
are represented in the development
of nationally agreed principles,
strategies and regulations.
SMO
Representative
and SMO
Relationships
Rel3
Communicate
Spectrum Strategy
and Policy
Ensure that nationally agreed
principles, strategies and regulations
are communicated to all relevant
parties.
SMO
Representative
5.5.4.2.
and
Communications
Manage SMO Performance
ID
Procedure Name
Description
Actor/s
Per1
Report on SMO
Performance
Report on SMO performance such as
progress against agreed milestones,
status of compliance, licensing activity,
current issues and foreseeable risks.
SMO
Representative
Per2
Review SMO
Performance
Review SMO performance reporting on
a periodic basis.
SMO Steering
Committee
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
Updated 9/02/2016
Printed 9/02/2016
Page 28 of 30
Per3
Take Action
Take action on escalations, address
escalated risks / issues and make
necessary changes that improve SMO
performance.
Document owner: Spectrum Management Office
File name: Document1
TRIM ref:
Telco in Confidence
SMO Steering
Committee
Updated 9/02/2016
Printed 9/02/2016
Page 29 of 30