1、 Rep. ITU-R SM.2130 1 REPORT ITU-R SM.2130 Inspection of radio stations (2008) TABLE OF CONTENTS Page 1 Introduction 2 1.1 Role and organization of inspection activities 2 1.2 Organization of the Report . 3 2 Questions addressed in the Report . 4 2.1 Inspection techniques 4 2.2 Equipment complement
2、6 2.3 Technical parameters 7 2.4 Records reviewed 8 3 Detailed procedures and information for the optimization and rationalization of inspections activities. 9 3.1 A formal structure for inspection activities planning . 9 3.2 Statistical criteria for determination of inspection sample size 10 3.3 De
3、cision criteria for inspection methods and spectrum monitoring versus on-site inspections 10 3.4 Integrated software and hardware for improvement and standardization of inspection data collection . 11 4 Conclusion 12 5 Specific inspection procedure examples. 12 5.1 Example of a formal structure for
4、the inspection activities used in Brazil. 12 5.2 Example of a of a sampling method for inspections planning 12 5.3 Use of “measurement assistant”software 12 5.4 Example of national inspection methods used in Brazil. 12 5.5 Example of national inspection methods used in France 12 5.6 Example of natio
5、nal inspection methods used in New Zealand . 13 5.7 Example of national inspection methods used in Brazil. 13 Annexes Annex 1 Structure for inspection activities management as used in Brazil 13 Annex 2 Criteria for determination of sample size for inspections planning . 19 Annex 3 The measurement as
6、sistant implementation in Brazil 24 Annex 4 Inspection procedures for AM broadcast in Brazil 27 Annex 5 Example of inspection methods used in France . 41 Annex 6 Example of inspection methods used in New Zealand. 44 Annex 7 Inspection procedures for earth stations in Brazil 56 2 Rep. ITU-R SM.2130 1
7、 Introduction This Report presents an overview of Inspections Procedures in response to Question ITU-R 225/1 regarding inspection techniques and procedures. The Question relates to how administrations proceed in planning and conducting radio station inspections. The purpose of this Report is to prov
8、ide general guidelines for planning and performing inspection activities on various types of radio stations. Inspection activities often include review and verification of both technical and administrative conditions assigned to a radio station or other spectrum user. Although the term “licensed” is
9、 used throughout the document, this term can be considered here to include not only stations with licences issued by the regulatory authority, but also other authorized spectrum users (such as those operating with “licence exempt” devices like low-power radios and RF devices operating under equipmen
10、t standards approval). The primary focus of this report is to consider inspections that are conducted “on-site”, by visiting the transmitter location. Included in Annexes are some specific examples in certain services, to provide examples of how the general guidelines can be applied. This Report sho
11、uld be considered a general guidance document for inspections planning. 1.1 Role and organization of inspection activities The value of radio spectrum has become increasingly important to the economic and social development of many countries. Control of the radio spectrum by telecommunication regula
12、tory authorities has become even more important, as national administrations seek to maximize the efficient use of spectrum, control interference, and promote new technologies without adversely affecting existing ones. A few administrations for various reasons do not conduct radio inspections. In th
13、e long term, however, the absence of an inspection programme can lead to several negative consequences. Without inspections, the completeness and reliability of a national frequency assignment register cannot be guaranteed, since one purpose of the inspection is to verify that the radio station is a
14、ctually installed and operating in accordance with its assigned parameters. Valuable reference data for subsequent spectrum monitoring (such as reference field-strength values) often cannot be easily obtained. These two factors considerably decrease the effectiveness of automated spectrum management
15、 systems in detecting infringements and unauthorized use. From an administrative point of view absence of inspections provides a corrupting influence on spectrum users because they may come to believe that they can ignore compliance with their licensed parameters since the risk of detection is lower
16、 without on-site inspections. In this respect even limited inspections can considerably increase spectrum users responsibility. The technical and administrative radio regulations of an administration help ensure that radio services can operate on a non-interference basis. Spectrum users who operate
17、outside their authorized parameters can generate interference to other users by various methods (such as co-channel and adjacent channel interference, harmonics and other spurious emissions). Regulatory authorities typically use various methods to help ensure that the spectrum is used properly and e
18、fficiently. These methods include spectrum monitoring/measurements made at a distance, radio station on-site inspections/measurements, and enactment of compliance specifications for certain equipment (both radio and non-radio equipment which generates RF spectral energy). Some combination of these m
19、ethods, followed by the application of enforcement sanctions (formal notice of violations) to problems discovered, have been used successfully by administrations to help control the efficient use of spectrum. Depending on the administration, all these functions may be: all in one unit of the regulat
20、ory authority/organization (such as a field enforcement force who conducts monitoring, conducts inspections, and issues enforcement sanctions), and Rep. ITU-R SM.2130 3 in different parts of the same regulatory authority/organization (with a separate monitoring unit, an inspections unit and a sancti
21、ons unit), or sometimes in different organizations (for example, broadcast inspections may be carried out by a totally different authority/ organization than inspections and monitoring for other services). How this is organized within an administration is often determined by national regulations, th
22、e number of licence holders or other authorized spectrum users, the number of private versus government-operated stations and for other reasons. In addition, inspection activities should be supported by relevant legislative acts and officially approved regulations that provide detailed implementatio
23、n of the legislative acts. The regulations should include coverage of the organization, technology, and procedures of inspections, the rights and obligations of inspectors and spectrum users, and provisions for resolving disputes between inspection authorities and spectrum users, etc. Obligations of
24、 spectrum users should include provisions to ensure free access to radio installations by inspectors and measures to prevent any obstacles to their work. These provisions are usually part of national regulations. The credentials an inspector carries to identify himself as authorized to conduct inspe
25、ctions on behalf of the regulatory authority are usually based on these regulations. The inspection function, at least during the initial stage of its implementation can be effectively combined with the “over-the-air” (distance) monitoring function based on the uniformity of the monitoring and measu
26、rement equipment and other facilities used for both the monitoring and on-site inspection tasks. While some efficiency can be achieved if all of these functions are in the same unit or sub-unit, the most important factor is that the different parts of the organization responsible for each area commu
27、nicate and coordinate with each other on identifying, prioritizing, conducting and reporting the work. The remainder of this Report focuses primarily on the planning details and conduct of radio spectrum user inspections conducted on-site. 1.2 Organization of the Report The Report is organized into
28、the following sections: Section 2 Questions addressed in the Report identifies four main points which are the basis for inspections planning, and discusses the factors that influence each area. The goal of 2 is to provide a general outline of the factors that need to be considered in an inspections
29、plan. Where appropriate material was contributed, brief examples are included in the main body of 2, with the intention that the main document could be used by some administrations that have minimal requirements due to the number of licences they administer. Additional, more detailed, material which
30、 may be appropriate for larger administrations is discussed here, but the detailed contributions have been placed in an annex for further reference. Section 3 Detailed procedures and information for the optimization and rationalization of inspections activities discusses the use of a formal structur
31、e for inspection activities management, a statistical method for inspection activity planning, and criteria for spectrum monitoring versus on-site inspections. The body of the document contains an overview, with details provided in the annex. Section 4 Conclusions provides some general conclusions.
32、Section 5 Specific inspection procedure examples provides short descriptions of specific inspection procedures used by some administrations, and where they can be found in the annexes. The remainder of this Report will: discuss the four parts of the ITU Question, summarizing the items recommended fo
33、r inclusion in an inspection programme, and outlining the factors related to these items which are taken into account in planning; 4 Rep. ITU-R SM.2130 present overviews of a formal inspections activities planning structure, statistical methods for sample selection, and various measurement procedure
34、s that can be used either “over-the-air” or on-site to streamline inspections planning; and provide some examples of inspection procedures used for specific services by some administrations. 2 Questions addressed in the Report The following questions are addressed in this section (see Question ITU-R
35、 225/1): What inspection techniques are used by administrations to determine compliance by the users of the spectrum with national or international requirements? What equipment complement would be required to perform technical measurements at an inspection? What technical parameters are measured whe
36、n an administration inspects a radio system? What station records are reviewed when inspecting a radio station? These four points are discussed below. 2.1 Inspection techniques The inspection techniques used by administrations can generally be defined as the decision factors, planning steps and impl
37、ementation methods used by administrations to plan and conduct station inspections. Several decisions must be made about inspections, including what radio services need to be inspected, how many to inspect, how frequently they need to be inspected, and what level of detail to collect at each inspect
38、ion. Some of these factors may be defined in national regulations. Several factors are generally considered, including: national and international regulations or other requirements; work priorities set by administration; past compliance history; interference complaints/interference potential; densit
39、y, location and number of stations; class of station (e.g. private mobile, broadcast service); newly licensed stations as compared to existing stations (those which had licence renewed); station licence terms. There are a range of techniques used by administrations in organizing their inspections pl
40、ans, ranging from inspecting all stations to inspecting a few or none. The techniques could be grouped into five groups: “all stations” inspections, triggered inspections, sampling, “limited” inspections, or “risk-based” inspections. All stations inspected Some administrations set as a goal (or have
41、 as a requirement in regulations or policies) the inspection of all stations in selected or sometimes all services. This requirement is often further limited in the following ways: inspecting only “newly licensed” stations (prior to starting operations), inspecting all stations annually, or inspecti
42、ng stations at least once during their licence term (which could be more than one year). One administration reported that they inspect all new business/private land mobile stations for compliance with national regulations and also to ensure that the radio equipment meets national approvals. Triggere
43、d inspections Triggered inspections are initiated by specific impetus such as interference complaints, non-compliant parameters discovered by spectrum monitoring or any other indications Rep. ITU-R SM.2130 5 of possible infringements. Furthermore, inspections may be triggered by special events (for
44、example major sport events) or by the need to determine the compliance level of one particular item (for example, tower coordinate accuracy). This would also serve requests from other departments of the regulatory authority that have an interest in this item. Sampling Inspection selection by samplin
45、g is based on statistical measures. In its simplest form, by inspecting a small sample of all stations, the overall compliance can be inferred by the compliance rate in the sample. Some administrations use statistical methods and risk analysis to estimate overall compliance rates, with the results b
46、eing used to plan future inspection levels. For example, a high rate of compliance might result in fewer inspections (lower sampling) in that radio service in the next year. A further discussion of sampling criteria for inspections planning is found in 3 Detailed procedures. Limited inspections Limi
47、ted inspections may check only a specific item which is of interest to the regulatory authority, e.g. a certain station administrative record, or the transmitter output power. Also, some administrations restrict their inspection programme and the verification of station licence parameters to spectru
48、m monitoring activities. Although no visit to the station is made, several key technical parameters, e.g. frequency, bandwidth, frequency deviation and e.i.r.p., can be measured by just monitoring the emissions. Some parameters like the e.i.r.p. may possibly be measured even more accurately from an
49、appropriate distance. Non-compliance of monitored parameters could then be a trigger for conducting a more detailed on-site inspection. Risk based inspections Some licences can be considered “high risk”. These licences are related to radio stations having a greater potential to create interference than others. Such “high-risk” licences could include those at sites with a high concentration of RF transmitters, licences on frequencies adjacent to safety services or licences in spectrum with both high and low-power level
