Audit of frequency assignment certificates issued by accredited persons
June2012
Canberra
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PO Box 78
Belconnen ACT 2616
T +61 2 6219 5555
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PO Box 13112
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Amendment History
Version / Date of Effect / Comments
1.0 / 20 June 2012 / Initial release
© Commonwealth of Australia 2012
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Published by the Australian Communications and Media Authority
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Accredited persons must read the Disclaimer in conjunction with the procedures set out below.
Purpose
This business operating procedure (BOP) outlinesthe ACMA’s approach to the auditing of frequency assignment certificates issued by accredited persons.
Background
Section 263 of the Radiocommunications Act 1992 (the Act) provides for the Australian Communications and Media Authority (ACMA) to accredit persons to perform certain activities related to the use of the radiofrequency spectrum. The Radiocommunications (Accreditation - Prescribed Certificates) - Principles 2003 is the legal instrument which defines the principles that govern the accreditation process and specifies the matters for which accreditation may occur.
The ACMA currently accredits persons to issue two kinds of certificates:
frequency assignment certificates (FACs) under section 100(4A) of the Act, relating to the operation of radiocommunications transmitters and receivers covered under apparatus licensing arrangements; and
interference impact certificates (IICs) under section 145(3) of the Act, relating to the operation of radiocommunications transmitters in spectrum subject to spectrum licensing.
The ACMA’s intent with the Accredited Persons Scheme is to encourage a market based approach to frequency assignmentand interference impact certification with the objective of maximising the amount of frequency coordination activity undertaken by accredited persons.Notwithstanding this, the ACMA has responsibility for ensuring the scheme operates effectively and that the radiofrequency spectrum is managed in accordance with therequirements of the Act, relevantlegislative instruments andpolicy documents.
To ensure the scheme’s effectiveness, the ACMA has implemented anaudit program of FACs and IICs to identify any deficiencies in the issue of certificates, and if required, takeremedial action to ensure certificates are issued in accordance with prescribed arrangements.
This business operating procedure deals with the ACMA’s approach to the auditing of FACs.
Conditions to be met for issue of a frequency assignment certificate
The general conditions to be met for the issue of a FAC are specified in the Radiocommunications (Frequency Assignment Certificates) Determination 2003. Amongst other things, the determination provides that:
an assignment must not be made that is inconsistent with the Act, the Australian Radiofrequency Spectrum Plan, afrequency bandplan or a procedural document, including:
Radiocommunications Assignment and Licensing Instruction (RALI);
Advisory Guideline;
Policy Information Paper (PIP);
Spectrum embargo;and
Business Operating Procedure (BOP).
where documented criteria for a frequency band do not exist in the form of a RALI, PIP, BOP or other procedural document, the accredited person must have regard to:
the ITU Radio Regulations and ITU-R Recommendations; and
provide the ACMA with a supplementary statement setting out the interference management criteria used by the accredited person in issuing the certificate.
in deciding whether to issue a certificate, an accredited person must have regard to whether there would be an adverse effect on licensed radiocommunications because of the proposed operation of radiocommunications devices that would be authorised under a licence for a device to which the certificate relates; and
an accredited person must not issue a certificate unless he/she reasonably believes that the proposed device, when operated in accordance with the characteristics specified in the certificate, would normally be apparatus licensed by the ACMA.
Keeping of records relating to the issue of frequency assignment certificates
The Radiocommunications (Frequency Assignment Certificates) Determination 2003 requires that adequate records be kept in relation to an issued certificate. An accredited person who issues a certificate must retain recordsshowing:
the interference management criteria used in issuing the certificate; and
the method used by the accredited person to applythe criteria; and
a rationale for the use of the criteria and the method.
The accredited person is required tokeep these records for a period of 5 years during which time he/she may be required to make the records available to the ACMA on request.
Auditing of frequency assignment certificates
The ACMA adopts a risk-based approach to its FAC audit program. In this approach, new or less experienced accredited persons can expect their certificates to be audited more often than experienced accredited persons with an established record of compliance. Nevertheless, the ACMA reserves the right to audit all certificates of accredited persons, irrespective of their experience.
In the normal course of business, the ACMA uses both automatic triggers and targeted arrangements to identify certificates for audit. Automatic triggers provide for the auditing of a percentage of FACs based on a sliding scale determined by the ACMA for each accredited person individually. The level of audit is set having regard to the accredited persons experience, track record and activity level. Targeted auditing – directed at individual accredited persons or certain assignment types – may also be used in response to issues identified by the regular audit program or through the conduct of normal business.
In addition to the above arrangements every FAC, whether submitted in paper format or using the online submission system, is currently subject to review as part of the lodgement clearance process. This also provides an opportunity to refer an assignment for audit if anything out of the ordinary is noted.
If, in the audit of a FAC, the ACMA has reason to believe the certificate was issued in contravention of the above mentioned requirements, the ACMA will contact the accredited person to discuss the matter. The ACMA’s experienceis that most issues are resolved quickly, either through the accredited person providing clarifying statements or forwarding additional information in support of the certificate. Where the supplied information is insufficient, or in cases where major deficienciesare identified (as an example, not complying with the purpose of a band segment in a legislated band plan), the accredited person will be informed in writing that the ACMA is notprepared to issue an apparatus licence on the basis of the supplied certificate.
Withdrawal of accreditation
In some circumstances, the ACMA will consider whether the withdrawal of a person's accreditation is appropriate.
Consideration of withdrawal of Accreditation is undertaken in accordance with the procedures set out in Principle 11 of the Radiocommunications (Accreditation - Prescribed Certificates) - Principles 2003.
If the ACMA believes that consideration of withdrawal of accreditation is appropriate, a formal notice of that intention will be forwarded to the accredited person. The accredited person will then be given the opportunity to show cause as to why his/her accreditation should not be withdrawn. A decision to withdraw a person's accreditation is a reviewable decision under Part 5.6 of the Act.
Review of decision
Where a person has had their accreditation withdrawn, he/she may apply for a review of that decision. A written request should be made to the ACMA for reconsideration under section 288 of the Act. Any such request should:
be made on ACMA form Application for review of decision (R051);
state the reasons why accreditation should not be withdrawn;
be sent within 28 days of receipt of the decision; and
be addressed to:
Executive Manager
Operations Branch
Australian Communications & Media Authority
PO Box 78
Belconnen ACT 2616
The review will be conducted by a person not involved in the original decision.
If the applicant is dissatisfied with the ACMA's decision after its reconsideration, application may, subject to the Administrative Appeals Tribunal Act 1975, be made to the Administrative Appeals Tribunal for further review.
Further information
Please contact the Radiocommunications Licensing and Telecommunications Deployment Section.
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