Unlicensed National Information Infrastructure (U-NII) Devices in the 5 GHz Band, 21320-21337 [2013-08033]
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in December 2008 to approximately 48
percent in June 2012.7 Furthermore, the
regulations recently published to
implement Stage 2 of the EHR Incentive
Programs continue to encourage
physicians’ use of electronic prescribing
technology. 77 FR 53968, 53989 (Sept.
4, 2012); 77 FR 54163, 54198 (Sept. 4,
2012). Due to data limitations, however,
we are unable to accurately estimate the
level of impact the electronic health
records safe harbor has contributed to
the increase in electronic prescribing.
Therefore, we believe as a result of these
legislative and regulatory developments
advancing in parallel, the increase in
the adoption of electronic prescribing
using electronic health record
technology will continue without
making it necessary to retain the
electronic prescribing capability
requirement in the electronic health
records safe harbor.
The RFA requires agencies to analyze
options for regulatory relief of small
entities, if a rule has a significant impact
on a substantial number of small
entities. For purposes of the RFA, small
entities include small businesses,
nonprofit organizations, and small
governmental jurisdictions. Most
hospitals and most other providers and
suppliers are small entities, either by
nonprofit status or by having revenues
of $7.0 million to $34.5 million in any
1 year. Individuals and States are not
included in the definition of a small
entity. The Secretary has determined
that this proposed rule would not have
a significant economic impact on a
substantial number of small entities.
In addition, section 1102(b) of the Act
requires us to prepare a regulatory
impact analysis if a rule may have a
significant impact on the operations of
a substantial number of small rural
hospitals. This analysis must conform to
section 603 of the RFA. For purposes of
section 1102(b) of the Act, we define a
small rural hospital as a hospital that is
located outside a Metropolitan
Statistical Area for Medicare payment
regulations and has fewer than 100
beds. The Secretary has determined that
this proposed rule would not have a
significant impact on the operations of
a substantial number of small rural
hospitals.
Section 202 of the Unfunded
Mandates Reform Act of 1995 also
requires that agencies assess anticipated
costs and benefits before issuing any
rule whose mandates require spending
in any 1 year of $100 million in 1995
7 State Variation in E-Prescribing Trends in the
United States—available at: https://
www.healthit.gov/sites/default/files/us_eprescribingtrends_onc_brief_4_nov2012.pdf.
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dollars, updated annually for inflation.
In 2013, that threshold is approximately
$141 million. This rule will have no
consequential effect on State, local, or
tribal governments or on the private
sector.
Executive Order 13132 establishes
certain requirements that an agency
must meet when it promulgates a
proposed rule (and subsequent final
rule) that imposes substantial direct
requirement costs on State and local
governments, preempts State law, or
otherwise has Federalism implications.
Since this regulation does not impose
any costs on State or local governments,
the requirements of Executive Order
13132 are not applicable.
In accordance with Executive Order
12866, this regulation was reviewed by
the Office of Management and Budget.
IV. Paperwork Reduction Act
This document does not impose
information collection and
recordkeeping requirements.
Consequently, it need not be reviewed
by the Office of Management and
Budget under the authority of the
Paperwork Reduction Act of 1995.
List of Subjects in 42 CFR Part 1001
Administrative practice and
procedure, Fraud, Grant programs—
Health, Health facilities, Health
professions, Maternal and child health,
Medicaid, Medicare, Social Security.
Accordingly, 42 CFR part 1001 is
proposed to be amended as set forth
below:
PART 1001—[AMENDED]
1. The authority citation for part 1001
continues to read as follows:
■
Authority: 42 U.S.C. 1302, 1320a–7,
1320a–7b, 1395u(j), 1395u(k), 1395w–
104(e)(6), 1395y(d), 1395y(e),
1395cc(b)(2)(D), (E) and (F), and 1395hh; and
sec. 2455, Pub. L. 103–355, 108 Stat. 3327 (31
U.S.C. 6101 note).
2. Section 1001.952 is amended by
revising the introductory text, paragraph
(y) introductory text, and paragraphs
(y)(2) and (y)(13), and by removing and
reserving paragraph (y)(10).
The revisions read as follows:
■
§ 1001.952
Exceptions.
The following payment practices shall
not be treated as a criminal offense
under section 1128B of the Act and
shall not serve as the basis for an
exclusion:
*
*
*
*
*
(y) Electronic health records items
and services. As used in section 1128B
of the Act, ‘‘remuneration’’ does not
include nonmonetary remuneration
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(consisting of items and services in the
form of software or information
technology and training services)
necessary and used predominantly to
create, maintain, transmit, or receive
electronic health records, if all of the
following conditions are met:
*
*
*
*
*
(2) The software is interoperable at
the time it is provided to the recipient.
For purposes of this subparagraph,
software is deemed to be interoperable
if a certifying body authorized by the
National Coordinator for Health
Information Technology has certified
the software to any edition of the
electronic health record certification
criteria identified in the then-applicable
definition of Certified EHR Technology
in 45 CFR part 170, on the date it is
provided to the recipient.
*
*
*
*
*
(13) The transfer of the items and
services occurs, and all conditions in
this paragraph (y) have been satisfied,
on or before December 31, 2016.
*
*
*
*
*
Dated: January 22, 2013.
Daniel R. Levinson,
Inspector General.
Approved: March 7, 2013.
Kathleen Sebelius,
Secretary.
[FR Doc. 2013–08314 Filed 4–8–13; 4:15 pm]
BILLING CODE 4152–01–P
FEDERAL COMMUNICATIONS
COMMISSION
47 CFR Part 15
[ET Docket No. 13–49; FCC 13–22]
Unlicensed National Information
Infrastructure (U–NII) Devices in the 5
GHz Band
Federal Communications
Commission.
ACTION: Proposed rule.
AGENCY:
This document proposes to
amend the Commission’s rules
governing the operation of Unlicensed
National Information Infrastructure (U–
NII) devices in the 5 GHz band. The
Commission has gained much
experience with U–NII devices since it
first made spectrum available in the 5
GHz band for U–NII in 1997. The
Commission believes that the time is
now right to revisit the rules. The
initiation of this proceeding satisfies the
requirements of the ‘‘Middle Class Tax
Relief and Job Creation Act of 2012’’
which requires the Commission to begin
a proceeding to modify the rules to
SUMMARY:
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allow unlicensed U–NII devices to
operate in the 5350–5470 MHz band.
The Commission believes that an
increase in capacity gained from 195
megahertz of additional spectrum,
combined with the ease of deployment
and operational flexibility provided by
its U–NII rules would continue to foster
the development of new and innovative
unlicensed devices, and increase
wireless broadband access and
investment.
Comments must be filed on or
before May 28, 2013, and reply
comments must be filed on or before
June 24, 2013.
FOR FURTHER INFORMATION CONTACT: Aole
Wilkins, Office of Engineering and
Technology, (202) 418–2406, email:
Aole.Wilkins@fcc.gov, TTY (202) 418–
2989.
DATES:
You may submit comments,
identified by ET Docket No. 13–49, by
any of the following methods:
■ Federal Communications
Commission’s Web site: https://
fjallfoss.fcc.gov/ecfs2/. Follow the
instructions for submitting comments.
■ Mail: Aole Wilkins, Office of
Engineering and Technology, Room 7–
A431, Federal Communications
Commission, 445 12th SW.,
Washington, DC 20554.
■ People with Disabilities: Contact the
FCC to request reasonable
accommodations (accessible format
documents, sign language interpreters,
CART, etc.) by email: FCC504@fcc.gov
or phone: 202–418–0530 or TTY: 202–
418–0432.
For detailed instructions for submitting
comments and additional information
on the rulemaking process, see the
SUPPLEMENTARY INFORMATION section of
this document.
SUPPLEMENTARY INFORMATION: This is a
summary of the Commission’s Notice of
Proposed Rule Making, ET Docket No.
13–49; FCC 13–22, adopted February 20,
2013, and released February 20, 2013.
The full text of this document is
available for inspection and copying
during normal business hours in the
FCC Reference Center (Room CY–A257),
445 12th Street SW., Washington, DC
20554. The complete text of this
document also may be purchased from
the Commission’s copy contractor, Best
Copy and Printing, Inc., 445 12th Street
SW., Room, CY–B402, Washington, DC
20554. The full text may also be
downloaded at: www.fcc.gov.
Pursuant to §§ 1.415 and 1.419 of the
Commission’s rules, 47 CFR 1.415,
1.419, interested parties may file
comments and reply comments on or
before the dates indicated on the first
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page of this document. Comments may
be filed using the Commission’s
Electronic Comment Filing System
(ECFS). See Electronic Filing of
Documents in Rulemaking Proceedings,
63 FR 24121 (1998).
■ Electronic Filers: Comments may be
filed electronically using the Internet by
accessing the ECFS: https://
fjallfoss.fcc.gov/ecfs2/.
■ Paper Filers: Parties who choose to
file by paper must file an original and
one copy of each filing. If more than one
docket or rulemaking number appears in
the caption of this proceeding, filers
must submit two additional copies for
each additional docket or rulemaking
number.
Filings can be sent by hand or
messenger delivery, by commercial
overnight courier, or by first-class or
overnight U.S. Postal Service mail. All
filings must be addressed to the
Commission’s Secretary, Office of the
Secretary, Federal Communications
Commission.
■ All hand-delivered or messengerdelivered paper filings for the
Commission’s Secretary must be
delivered to FCC Headquarters at 445
12th St. SW., Room TW–A325,
Washington, DC 20554. The filing hours
are 8:00 a.m. to 7:00 p.m. All hand
deliveries must be held together with
rubber bands or fasteners. Any
envelopes and boxes must be disposed
of before entering the building.
■ Commercial overnight mail (other
than U.S. Postal Service Express Mail
and Priority Mail) must be sent to 9300
East Hampton Drive, Capitol Heights,
MD 20743.
■ U.S. Postal Service first-class,
Express, and Priority mail must be
addressed to 445 12th Street SW.,
Washington DC 20554.
People with Disabilities: To request
materials in accessible formats for
people with disabilities (braille, large
print, electronic files, audio format),
send an email to fcc504@fcc.gov or call
the Consumer & Governmental Affairs
Bureau at 202–418–0530 (voice), 202–
418–0432 (tty).
Summary of Notice of Proposed
Rulemaking
1. By the Notice of Proposed
Rulemaking (NPRM), the Commission
proposes to amend part 15 of its rules
governing the operation of Unlicensed
National Information Infrastructure (U–
NII) devices in the 5 GHz band. U–NII
devices are unlicensed intentional
radiators that operate in the frequency
bands 5.15–5.35 GHz and 5.47–5.825
GHz, and which use wideband digital
modulation techniques to provide a
wide array of high data rate mobile and
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fixed communications for individuals,
businesses, and institutions. Since the
Commission first made available
spectrum in the 5 GHz band for U–NII
in 1997, it has gained much experience
with these devices. The Commission
believes that the time is now right to
revisit the part 15 rules, and, in the
NPRM, proposes to modify certain
technical requirements for U–NII
devices to ensure that these devices do
not cause harmful interference and thus
can continue to operate in the 5 GHz
band and make broadband technologies
available for consumers and businesses.
2. The Commission also seeks
comment on making available an
additional 195 megahertz of spectrum in
the 5.35–5.47 GHz and 5.85–5.925 GHz
bands for U–NII use. This could
increase the spectrum available to
unlicensed devices in the 5 GHz band
by approximately 35 percent and would
represent a significant increase in the
spectrum available for unlicensed
devices across the overall radio
spectrum. The initiation of this
proceeding satisfies the requirements of
section 6406 (a) of the ‘‘Middle Class
Tax Relief and Job Creation Act of 2012’’
which requires the Commission to begin
a proceeding to modify part 15 of title
47, Code of Federal Regulations, to
allow unlicensed U–NII devices to
operate in the 5350–5470 MHz band.
The Commission believes that an
increase in capacity gained from 195
megahertz of additional spectrum,
combined with the ease of deployment
and operational flexibility provided by
its U–NII rules would continue to foster
the development of new and innovative
unlicensed devices, and increase
wireless broadband access and
investment.
Background
3. Part 15 of the Commission’s rules
permits the operation of radio frequency
devices without issuing individual
licenses to operators of these devices.
The Commission’s part 15 rules are
designed to ensure that there is a low
probability that these devices will cause
harmful interference to other users of
the same or adjacent spectrum.
Typically, unlicensed devices operate at
very low power over relatively short
distances, and often employ various
techniques, such as dynamic spectrum
access or listen-before-talk protocols, to
reduce the interference risk to others as
well as themselves. The primary
operating condition for unlicensed
devices is that the operator must accept
whatever interference is received and
must correct whatever interference it
causes. Should harmful interference
occur, the operator is required to
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immediately correct the interference
problem or cease operation.
4. In 1997, the Commission made
available 300 megahertz of spectrum at
5.15–5.25 GHz (referred to hereinafter as
U–NII–1), 5.25–5.35 GHz (referred to
hereinafter as U–NII–2A), and 5.725–
5.825 GHz (referred to hereinafter as U–
NII–3) for use by a new category of
unlicensed equipment, called U–NII
devices which are regulated under part
15, Subpart E of the Commission’s rules.
In 2003, the Commission made an
additional 255 megahertz of spectrum
available in the 5.47–5.725 GHz
(referred to hereinafter as U–NII–2C) for
U–NII devices. These actions align the
frequency bands used by U–NII devices
in the United States with the frequency
bands used by U–NII devices in other
parts of the world, thus decreasing
development and manufacturing costs
by allowing for the same products to be
used in most parts of the world.
5. The U–NII–1 band is allocated on
a primary basis to the Aeronautical
Radionavigation Service for both
Federal and non-Federal operations and
on a primary basis for Fixed Satellite
Service (Earth-to–space) for non-Federal
operations. The U–NII–2A band is
allocated on a primary basis to the Earth
Exploration Satellite (active),
Radiolocation, and Space Research
(active) Services for Federal operation,
and for non-Federal operation on a
secondary basis.
6. The U–NII–2C band is allocated on
a primary basis to the Radiolocation
Service for Federal operation. The subband at 5.47–5.65 GHz band is allocated
on a primary basis to the Radiolocation
Service for non-Federal operation, and
on a primary basis to the Maritime
Radionavigation Service for both
Federal and non-Federal operations.
The 5.47–5.570 GHz band segment is
allocated on a primary basis to the Earth
Exploration-Satellite (active) and Space
Research (active) Services for Federal
operation and on the secondary basis for
non-Federal operation. The 5.6–5.65
GHz band segment is allocated on a
primary basis to the Meteorological Aids
Service for both Federal and nonFederal operations. The band segment at
5.65–5.725 GHz is allocated on a
secondary basis to the Amateur Radio
Service for non-Federal operation.
7. The U–NII–3 band is allocated on
a primary basis to the Radiolocation
Service for Federal operation, and is
allocated on a secondary basis to the
Amateur Radio Service for non-Federal
operation.
8. In early 2009, Federal Aviation
Administration (FAA) reported
interference to their Terminal Doppler
Weather Radar (TDWR) that operates
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within the 5.60–5.65 GHz band. Early
field studies performed by the National
Telecommunications and Information
Administration’s (NTIA’s) Institute for
Telecommunications Sciences (ITS) and
FAA staff indicated the interference
sources were unlicensed U–NII devices
that incorporated dynamic frequency
selection (DFS), from different
manufacturers, and operated in the
same frequency band as these Federal
radar systems.
9. The Commission brought together
all of the principal parties including
NTIA, FAA, industry participants and
the FCC’s Enforcement Bureau and
Office of Engineering and Technology to
analyze the interference situation. Based
on these investigations, the Commission
has taken actions to mitigate the
interference situation, including issuing
enforcement advisories to heighten
users’ awareness of TDWR interference
issues, and the Office of Engineering
and Technology has placed conditions
on U–NII device certifications to curtail
the interference risk. The Commission
also has sent enforcement teams to work
with FAA staff in the field, and has
taken enforcement actions against
operators of U–NII devices that caused
interference to TDWR installations
including issuing Letters of Inquiry and
Notices of Apparent Liability for
Forfeitures to operators found to be
causing interference. Most of these
interference cases were caused by
devices not certified for operation in the
U–NII–2C band, which includes the
5.6–5.65 GHz band used by the TDWRs.
Instead, these devices had been certified
for operation in the U–NII–3 band,
either as U–NII devices under § 15.407
of the Commission’s rules or as digitally
modulated intentional radiators under
§ 15.247 of the Commission’s rules, and
which were operating at high power
levels in elevated locations. The
Commission’s investigations found that
most U–NII devices are manufactured to
enable operation across a wide range of
frequencies, extending down into the 4–
GHz bands and up to almost 6 GHz. In
many cases, the interference was caused
by third parties modifying software
configurations to enable operation in
frequency bands other than those for
which the device had been certified but
without meeting the technical
requirements for operation in those
frequency bands. There was also an
issue with devices that employed frame
based architectures that allowed
operators to reconfigure the talk/listen
ratio of their devices.
10. In recent years, there has been an
industry wide push to increase the
amount of spectrum available for
unlicensed use. In June 2010, the
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President issued an Executive
Memorandum that encouraged the
Commission to work closely with the
Department of Commerce, through
NTIA, to make available a total of 500
megahertz for commercial mobile and
fixed wireless broadband use by the
year 2020. The FCC’s 2010 National
Broadband Plan recommended that the
Commission make available 500
megahertz of new spectrum for wireless
broadband within 10 years. In analyzing
the need for broadband spectrum, the
Commission also concluded that nearly
300 megahertz of spectrum is needed by
2014, and that making available
additional spectrum for mobile
broadband would create value in excess
of $100 billion through avoidance of
unnecessary costs.
11. In addition, Congress has enacted
legislation that addresses unlicensed
use of the 5 GHz band. The Spectrum
Act requires the Commission to begin a
proceeding to modify part 15 title 47,
Code of Federal Regulations (CFR), to
allow unlicensed U–NII devices to
operate in the 5.35–5.47 GHz band
(referred to hereinafter as U–NII–2B) no
later than 1 year after the date of the
enactment of the Act if, in consultation
with the Assistant Secretary of
Commerce (i.e., the NTIA
Administrator), it determines that
licensees will be protected by technical
solutions and that the primary mission
of Federal spectrum users in the band
will not be compromised by the
introduction of unlicensed devices in
this band.
12. The Spectrum Act also requires
NTIA, in consultation with the
Department of Defense and other
impacted agencies, to conduct a study
evaluating known and proposed
spectrum sharing technologies and the
risks to Federal users if unlicensed U–
NII devices were allowed to operate in
the U–NII–2B band as well as in the
5.85–5.925 GHz band (referred to
hereinafter as U–NII–4). NTIA was
required to publish a report on the U–
NII–2B band no later than 8 months
after the date of enactment of the
Spectrum Act and a report on the 5.85–
5.925 GHz band (referred to hereinafter
as U–NII–4) no later than 18 months
after the date of enactment of the
Spectrum Act. NTIA published a report
(hereinafter referred to as ‘‘NTIA 5 GHz
Report’’) on both the U–NII–2B and U–
NII–4 bands on January 25, 2013.
Notice of Proposed Rulemaking
13. In the NPRM, the Commission
took the first steps towards ensuring the
U–NII bands continue to meet the
demand for broadband spectrum, while
ensuring protection of authorized
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operations, by proposing modifications
to the part 15 rules. In particular, the
Commission is proposing to align the
provisions for operation of digitally
modulated devices in the 5.725–5.85
GHz band, now permitted under
§ 15.247 of its rules, with the rules for
the U–NII–3 band under § 15.407. This
will expand the U–NII–3 band by 25
megahertz and provide consistent rules
across 125 megahertz of spectrum. The
Commission also seeks comment on
aligning the power limits and
permissible location for operations in
the U–NII–1 and U–NII–2A bands to
permit the introduction of a new
generation of wireless devices in 200
megahertz of contiguous spectrum.
14. The Commission also addresses
ways to ensure compliance with its
rules across all of the U–NII bands and,
in particular, the U–NII–2A and U–NII–
2C bands to curtail interference to
incumbent Federal operations (e.g.
TDWR installations). The Commission
seeks comment on various ways to
prevent unlawful modification and
operation of unlicensed devices in the
U–NII bands as well as compliance
issues that are likely to arise as the
Commission moves toward wider
bandwidth systems operating across
multiple U–NII bands. Although some
of the methods discussed would ensure
that manufacturers and users comply
with the Commission’s requirements
across any of the U–NII band segments,
the Commission also seeks comment on
some techniques that may be useful
mainly in curtailing interference to
incumbent Federal operations, such as
Terminal Doppler Weather radar
(TDWR) installations, in the U–NII–2A
and U–NII–2C bands, such as geolocation and database registration,
unwanted emissions limits, and guard
band requirements. The Commission
also seeks comment on several issues
specific to the U–NII–2A and U-NII–2C
bands regarding DFS functionality, the
sensing threshold for co-channel
operation, and revised DFS
measurement procedures. The
Commission asks that commenters
address the benefits of adopting any of
the proposals in the NPRM as well as
the costs to do so, and that they weigh
and compare the benefits and costs in
each case. This assessment should
address which costs should be borne by
U–NII device manufacturers, U–NII
device operators or other third parties,
as appropriate.
15. In the NPRM, the Commission also
seeks comment on modifying part 15
Subpart E of the Commission’s rules
governing the operation of U–NII
devices to make available an additional
195 megahertz of spectrum in the 5.350–
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5.470 GHz (U–NII–2B) and 5.850–5.925
GHz (U–NII–4) bands. This would
increase the spectrum available to
unlicensed devices in the 5 GHz band
by nearly 35 percent and would
represent a significant increase in
spectrum available for unlicensed
operations. Finally, The Commission
seeks comment on transition periods for
requiring compliance with any modified
rules that the Commission ultimately
adopts in this proceeding.
A. The Current U–NII Bands
1. Unlicensed Operations in the U–NII–
3 Band
16. The Commission believes that
now is an appropriate time to review its
rules to eliminate the disparity and
decrease the complexity associated with
interpreting its rules for digitally
modulated devices operating in the U–
NII–3 band under § 15.407 and in the
5.725–5.85 GHz band under § 15.247
The Commission believes the changes
proposed will ensure compliance with
requirements designed to protect
authorized services in the U–NII bands,
simplify the Commission’s
authorization procedures, and reduce
certification cost for manufacturers of
these devices. The spectrum ecosystem
has changed considerably since the
Commission allowed the certification of
‘‘digitally modulated’’ devices. For
example, the standards for wireless
broadband devices are now capable of
producing data rates in excess of 1
Gbits/s. In addition, devices are now
able to utilize advances in antenna
technology that allow the multiple data
streams to be transmitted over multiple
antennas. This provides an opportunity
for the Commission to reflect on recent
industry developments and propose
new rules that have the potential to
increase consistency in the process of
certifying 5 GHz wireless broadband
devices, while continuing to protect
authorized services.
17. The Commission is proposing two
changes that will eliminate the disparity
in its rules for 5.7 GHz digitally
modulated devices. First, the
Commission proposes to extend the
upper edge of the U–NII–3 band from
5.825 GHz to 5.85 GHz to match the
amount of spectrum available for
digitally modulated devices under
§ 15.247. The Commission believes that
this change would eliminate the
complexity and costs associated with
multiple rule part certifications for these
devices which are technically similar.
Adopting this proposal would not
increase the potential for harmful
interference because this 25 megahertz
segment is already available for devices
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certified under § 15.247. The
Commission seeks comment on the
potential benefits of expanding the U–
NII–3 band to include an additional 25
megahertz of spectrum at the upper
band edge. The Commission invites
comment on whether there are cost
advantages of this proposal. The
Commission asks that commenter’s
assessment of adopting the proposal
weigh and compare the benefits and
costs to do so. This assessment should
address which costs should be borne by
U–NII device manufacturers, U–NII
device operators or other third parties,
as appropriate.
18. Second, the Commission proposes
to consolidate all equipment
authorizations for digitally modulated
devices in the 5.725–5.85 GHz band
under the U–NII rules, while
maintaining many of the technical rules
that currently make equipment
authorization under § 15.247 more
attractive for equipment manufacturers.
The Commission also proposes to
remove the 5.725–5.85 GHz band for
digital modulation devices from
§ 15.247. By doing this, the Commission
will ensure that all digitally modulated
equipment, which is technically similar,
operates under a single rule part using
identical technical rules. The
Commission proposes to modify
§ 15.407 for digitally modulated devices
and it seeks comment on all of these
proposed rule changes. The Commission
invites comment on the benefits of
adopting any of the proposed rule
changes below as well as the costs to do
so. The Commission asks that
commenter’s assessment of adopting the
proposals weigh and compare the
benefits and costs to do so. This
assessment should address which costs
should be borne by U–NII device
manufacturers, U–NII device operators
or other third parties, as appropriate.
19. Frequency Band. Section 15.247
allows operation throughout the 5.725–
5.85 GHz band, while § 15.407 allows
operation only in the 5.725–5.825 GHz
band. The extra 25 megahertz of
spectrum that is allowed under § 15.247
provides incentive for device
manufacturers to certify devices under
that rule rather than under § 15.407. The
Commission proposes to expand the
frequency band of operation in § 15.407
to include the 5.825–5.85 GHz band.
This will allow U–NII–3 devices to
operate across the full range of spectrum
that can currently be accessed by
digitally modulated devices under
§ 15.247.
20. Power. Section 15.247 allows 1
Watt of total peak conducted power
(alternate measurement procedures are
permitted), whereas § 15.407 limits
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maximum conducted output power to
the lesser of 1 Watt or 17 dBm + 10 log
B (in MHz, alternate measurement
procedure in § 15.247 is required). In
addition to the 1 watt power limit, there
is a separate power spectral density
(PSD) limit in both §§ 15.247 and 15.407
such that 1 Watt of total power is
available only when the 6-dB
bandwidth is 500 kilohertz or more
under § 15.247 and when the 26-dB
bandwidth is 20 megahertz or more
under § 15.407. Because the
Commission is trying to accommodate
digitally modulated devices that are
currently permitted under both rules,
the Commission proposes to remove the
bandwidth dependent term (i.e., remove
17 + 10 log B) from § 15.407 so that the
power limit will be 1 Watt. The
Commission does not believe removing
the variable power limit in § 15.407
would increase any potential for
interference, because under current
rules manufacturers are able to certify
equipment that uses up to 1 Watt of
power under § 15.247.
21. Power Spectral Density. Section
15.247 requires a maximum PSD of 8
dBm/3 kHz (33 dBm/MHz), whereas
§ 15.407 requires a maximum PSD of 17
dBm/MHz. The only difference between
these two PSD limits is the bandwidth
at which the 1 Watt total power, rather
than the PSD, becomes the limiting
factor. Specifically, § 15.247 allows a
higher PSD when the device emission
bandwidth is between 0.5 to 20
megahertz. Above 20 megahertz
emission bandwidth, the 1 Watt power
limit becomes the limiting parameter,
and PSD is the same for both §§ 15.247
and 15.407. The Commission proposes
to modify § 15.407 to require the PSD
limit used in § 15.247 (i.e., 8 dBm/3 kHz
(33 dBm/MHz)), so that digitally
modulated devices designed to meet
this limit will continue to comply with
the new PSD requirement in § 15.407.
This will ease the transition of all
digitally modulated devices in the
5.725–5.85 GHz band to authorization
and compliance under § 15.407. The
only change for digitally modulated
devices will occur when emission
bandwidth is between 500 kilohertz and
20 megahertz. High-bandwidth devices
like those typically used in U–NII
applications will still be limited by 1
Watt total power, and thus the proposed
change in PSD limits would not increase
the risk of any potential interference.
However, the Commission does realize
that limiting the PSD to 8 dBm/kHz (33
dBm/MHz) would result in a PSD that
is higher than the total power limit of
1 watt (30dBm). In addition, the
Commission realizes that requiring
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devices that employ wider bandwidths
to utilize a measurement bandwidth of
3 kHz may unnecessarily increase the
time that it takes to complete
measurement tests. The Commission
seeks comment on whether it should
increase the measurement bandwidth to
1 megahertz to reduce the complexity in
measurement tests. The Commission
notes that changing the measurement
bandwidth would promote consistency
within the U–NII rules. Should the
Commission consider implementing a
different PSD limit and measure this
limit across differing bandwidths, e.g.
500 kHz or 100 kHz measurement
bandwidths?
22. Emission Bandwidth. Section
15.247 requires a minimum 6-dB
bandwidth of 500 kilohertz. No
minimum or maximum bandwidth is
required under § 15.407, but the
emission bandwidth is defined and
measured as the 26-dB down points of
the U–NII signal and is used to
determine the total power allowed
under that rule. Because the
Commission is proposing to eliminate
the bandwidth-dependent limit on total
power, the Commission proposes to
modify § 15.407 to eliminate the 26-dB
bandwidth requirement and to add the
minimum 6-dB bandwidth requirement
from § 15.247.
23. Antenna Gain. Under § 15.247, the
assumed antenna gain is 6 dBi, with a
1 dB reduction in power required for
every 1 dB that the antenna gain
exceeds 6 dBi. For fixed point-to-point
systems, no power reduction is
required. Section 15.407 assumes the
same antenna gain of 6 dBi, with 1 dB
reduction in power required for every 1
dB that gain exceeds 6 dBi. For fixed
point-to-point systems, a 1 dB reduction
in power is required for every 1 dB that
gain exceeds 23 dBi. The only difference
between the two rule parts is the
maximum antenna gain that can be
deployed without a penalty in
transmitter power. The Commission
proposes to apply the more stringent 23
dBi maximum antenna gain that is
currently required under § 15.407. The
Commission believes that using the
more stringent antenna gain
requirement will ensure that there is no
increase in the potential for interference
from unlicensed devices operating
under the new combined rule parts.
24. Unwanted Emissions. Section
15.247(d) requires 20 dB of attenuation
(30 dB if the alternate measurement
procedure detailed in § 15.247(b)(3) is
used). In restricted bands, emissions
must meet the § 15.209 general emission
limits. Section 15.407 requires
unwanted emissions to be below ¥17
dBm/MHz within 10 megahertz of the
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band edge, and below ¥27 dBm/MHz
beyond 10 megahertz of the band edge.
Also, all emissions below 1 GHz must
comply with the § 15.209 general
emission limits. The unwanted emission
limits in § 15.407 are somewhat more
restrictive than those in § 15.247.
Because unwanted emission can be
reduced without affecting the utility of
the device, and because using the more
stringent unwanted emissions
requirement will ensure that there is no
increase in the potential for interference
from unlicensed devices operating
under the new combined rule parts, the
Commission is proposing that the more
restrictive limits in § 15.407 be required
for digitally modulated devices.
25. Peak to Average Ratio. Section
15.407 contains a requirement to
maintain a peak-to-average ratio of no
more than 13 dB across any 1 megahertz
band, whereas § 15.247 does not contain
any peak-to-average ratio requirement.
The Commission believes that using the
more stringent peak-to-average
requirement will ensure that there is no
increase in the potential for interference
from unlicensed devices operating
under the new combined rule parts,
thus the Commission is proposing to
keep the peak-to-average ratio
requirement that is currently in
§ 15.407.
2. Unlicensed Operations in the U–NII–
1 Band
26. The Commission adopted
technical rules for the U–NII–1 band in
1997 that it believed would provide
sufficient flexibility for the introduction
of a variety of short-range
communication devices within
localized indoor settings. Although that
vision was reasonable at the time, the
Commission finds that today—over 15
years since those rules were adopted—
the wireless device market has changed
dramatically and the assumptions made
in 1997 may not be valid for today’s
market. Unlicensed communication
links are included in a wide variety of
devices which are increasingly mobile
or portable in nature, not easily limited
to indoor locations, and often needing
more power to link with other networks
at farther locations.
27. At the same time, the Commission
must protect incumbent authorized
services, both Federal and non-Federal.
A global network of satellite systems in
non-geostationary satellite orbit (NGSO)
in the mobile satellite service (MSS)
operates feeder links in the U–NII–1
band. These NGSO/MSS feeder links
require co-channel interference
protection. The Commission also needs
to consider the potential for interference
to services in the bands immediately
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adjacent to the U–NII–1 band.
Microwave landing systems operate
below 5.15 GHz, and the Commission
has proposed to add an allocation for
Aeronautical Mobile Telemetry at
5.091–5.15 GHz.
28. The Commission seeks comment
on whether the rules for the U–NII–1
band should be modified to harmonize
with the rules for the U–NII–2A band in
three areas. Specifically, the
Commission seeks comment on whether
it should increase the power limits to
those applicable in the U–NII–2A band,
i.e., 250 mW with a maximum EIRP of
30 dBm with 6 dBi antenna gain. The
Commission also invites comment on
whether the rules for the U–NII–1 band
should be modified to increase the PSD
limits to those applicable in the U–NII–
2A band, i.e., 11 dBm/MHz. Finally, the
Commission seeks comment on whether
the rules for the U–NII–1 band should
be modified to eliminate the restriction
on outdoor operation, and, if the
Commission were to do so, whether it
should allow outdoor operation only
under the current power and PSD limits
for the band or under the limits now
permitted only in the U–NII–2 bands.
The Commission believes that these
changes would permit a new generation
of wireless devices to be developed in
the U–NII bands, particularly if industry
develops wider bandwidth devices that
would operate across multiple U–NII
band segments. Harmonizing the power
and use conditions across the lower 200
megahertz of U–NII spectrum would
likely permit the introduction of a widerange of new broadband products
capable of operating at higher data rates
than is now possible. The Commission
seeks comment on these assumptions,
and on the potential impacts to
incumbent services, including any
suggestions for mitigating interference.
29. The Commission also seek
comment on whether the rules for the
U–NII–1 band should be modified to
harmonize with the rules for the U–NII–
3 band to: (a) increase the power limits
to 1 W with a maximum EIRP of 36 dBm
with 6 dBi antenna gain; (b) increase the
PSD limits to 17 dBm; and (c) limit outof-band emissions to an EIRP of ¥27
dBm/MHz and (d) eliminate the
restriction on outdoor operation. The
Commission believes that these changes
would permit for wider bandwidth
devices that would not rely on
contiguous spectrum under new Wi-Fi
standards, and would permit the
introduction of more outdoor access
points for broadband use. The
Commission seeks comment on these
assumptions, and on the potential
impacts to incumbent services,
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including any suggestions for mitigating
interference.
30. The Commission invites comment
on the benefits of adopting either of
these approaches as well as the costs of
doing so. The Commission asks that
commenter’s assessment of adopting
either approach weigh and compare the
benefits and costs to do so. This
assessment should address which costs
should be borne by U–NII device
manufacturers, U–NII device operators
or other third parties, as appropriate.
3. Ensuring Compliance With the Rules
for the U–NII Bands
31. The Commission’s Enforcement
Bureau working cooperatively with the
FAA has been successful in finding and
resolving a large number of interference
cases. In some cases, equipment that
met the Commission’s certification
standards nonetheless caused
interference, due to a variety of factors
such as the configuration of the
transmitter, its height and azimuth
relative to the TDWR, and the device’s
failure to detect and avoid the radar
signal. In many cases, however, the
Commission staff found that the
interfering devices were not certified or
otherwise were not compliant with the
Commission’s rules. For example, the
Commission found that devices that
were certified as digital devices under
§ 15.247 for operation in the 5.725–
5.850 GHz band had been unlawfully
modified to transmit in the U–NII–2C
band without demonstrating compliance
with the DFS and TPC requirements for
those bands. Typically, these
modifications are made by operators of
the devices, but manufacturers have
produced equipment that is easily
modified, especially through software
changes, to permit devices to operate in
non-compliant modes. The Enforcement
Bureau is continuing to take action
against companies for operating devices
that cause interference to the TDWRs.
The Commission notes that, while the
TDWRs have been the focus of
Commission investigations, DFS was
designed to protect all incumbent radar
operations and modification of devices
as described poses a risk of interference
to more than just TDWRs.
32. Interference studies conducted by
NTIA and the FAA indicate that there
may be some potential for interference
from U–NII devices operating in
frequencies occupied by or adjacent to
radar systems. In its Third Technical
Report regarding the interference into
the TDWRs, NTIA explores frequency
separations, distance separations, and
maximum U–NII emissions limits
needed to preclude harmful interference
into the TDWR. The report analyzes the
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distances at which U–NII transmissions
can be expected to routinely interfere
with TDWR receivers. U–NII devices on
rooftops, towers, and other high points
that are 153 m to 305 m (500 to 1000
ft.) above ground level, as NTIA
observed in San Juan, PR, will interfere
with a TDWR mainbeam at distances
within 25 km to 41 km (16 mi to 25 mi),
respectively, of a TDWR station. The
report also specifies frequency
separations necessary to protect TDWR
from interference due to unwanted
emissions from U–NII devices.
33. As a result of its ongoing
discussions with NTIA, FAA and
industry representatives, as well as the
results of investigations conducted by
the Commission, NTIA and FAA, and,
the Office of Engineering and
Technology has provided applicants for
certification a representative way for
demonstrating that their U–NII devices
should not cause harmful interference to
TDWR installations operating in the U–
NII–2C band and accordingly can be
authorized for manufacture and use.
Specifically, OET has advised
applicants that it will approve such
devices upon assurance by the applicant
that: (a) U–NII devices may not operate
co-frequency with TDWR operations at
5.6–5.65 GHz; (b) grantee will provide
owners, operators and installers of these
devices with instructions that a master
or client device within 35 km of a
TDWR location must be separated by at
least 30 megahertz (center-to-center)
from the TDWR operating frequency and
procedures for registering the devices in
an industry-sponsored database; (c) the
device does not include configuration
controls to change the frequency of
operation to any frequency other than
those specified in the grant of
certification; and (d) the device’s
software configurations do not allow for
ad hoc networking, country code
selection, or other mode of operation
that would disable the DFS
functionality of the U–NII device.
34. The interference cases the
Commission has seen to date raise
serious concerns with ensuring
compliance with the Commission’s
rules in the U–NII-2C band, but there
are other circumstances that also make
this an opportune time for the
Commission to consider compliance
issues across the 5 GHz U–NII bands.
For example, unlicensed wireless
broadband device manufactures are now
designing devices employing wider
bandwidths (e.g., IEEE 802.11ac
standard currently in development)
using transmitters that are capable of
operating across two or more U–NII
bands. When devices are designed to
operate across multiple frequency
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bands, the Commission’s rules require
that applicants demonstrate compliance
with the rules for each of the individual
frequency bands in which they intend to
operate in order to be certified for
operation in each band.
35. The Commission expects that
more and more devices with even wider
bandwidths will continue to be
introduced in the 5 GHz band in the not
too distant future as a result of new
technical standards. The introduction of
wider bandwidths under the IEEE
802.11ac standard presents complex
issues for emissions testing to
demonstrate compliance with the
various requirements in the different U–
NII bands. The Office of Engineering
and Technology has published two
guidance documents addressing these
issues for testing of devices designed
under this new standard as well as ‘‘preac’’ devices, taking into account the
current rules that permit authorization
of digitally modulated devices under
both §§ 15.407 and 15.247.
36. The Commission, NTIA, and the
FAA have been working with
manufacturers of U–NII devices and the
WISPA to fully understand the causes of
interference to TDWR systems and to
identify ways to mitigate and
significantly reduce the likelihood of
interference. The Commission believes
the rules proposed herein, in addition to
continuing enforcement efforts, will
enable us to achieve this goal while
allowing U–NII devices to continue to
operate successfully in the 5 GHz band.
37. Wireless networking devices that
operate within the 5 GHz band typically
have similar operational parameters, so
that a device certified for operation in
any one of the 5 GHz frequency bands,
whether a U–NII band or not, can be
easily tuned to another frequency band
in the same spectrum range through
software modifications. The
Commission’s experience with these
devices shows that some of these
devices are designed so that end-users
can modify them to operate in bands for
which they are not certified and thus do
not meet the specific requirements
intended to protect sensitive incumbent
services. For example, in some recent
interference cases investigated by the
Commission’s Enforcement Bureau,
operators of devices certified under
§ 15.247 were tuned down into the U–
NII–2C frequency band and operated
with a higher gain antenna than what is
permitted by the Commission’s U–NII
rules. The modification of devices in
this manner resulted in both in-band
and out-of-band emissions that were far
in excess of what § 15.407 allows in the
U–NII–2C band. Such unlawful
modification and operation of these
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devices could considerably increase the
distance at which these non-compliant
devices cause harmful interference to
incumbent services. The Commission
believes that its proposals, discussed to
authorize all digitally modulated
devices under identical rules in a
modified § 15.407 will allow the
Commission to more effectively and
efficiently address interference risk to
incumbent operations in the U–NII–2C
and U–NII–3 bands.
38. The Commission believes that it
should consider additional steps to
further reduce the likelihood of
interference not only to TDWR systems
but to all other incumbent services in
the 5 GHz bands as more composite and
wideband devices are introduced across
the 5 GHz band. The Commission
recognizes that one of the difficulties in
ensuring compliance with its current
rules comes from the fact that these
devices can easily be re-configured by
operators modifying the software that
controls the device’s operational
parameters, such as frequency band.
This makes it difficult for the
Commission not only to ensure
compliance with its rules but also to
enforce those rules.
39. Because the current and future use
of the 5 GHz bands is heavily reliant on
the successful implementation of the
Commission’s technical rules, the
Commission proposes to require that
manufacturers implement security
features in any digitally modulated
device capable of operating in the U–NII
bands, so that third parties are not able
to reprogram the devices to operate
outside the parameters for which the
device was certified. The Commission
proposes and seeks comment on
adopting this safeguard regardless of
whether or how it modifies § 15.247 or
§ 15.407. The Commission is
particularly concerned that U–NII
devices—which are not certified under
the rules as software defined radios
(SDRs) and thus may lack safeguards
that are required for certified SDRs—
may nevertheless be susceptible to
manipulation by third parties who can
modify the operating parameters of
country code, frequency range,
modulation type, maximum output
power or the circumstances under
which the transmitter has been
approved. Specifically, the Commission
seeks comment on whether it should
require manufacturers to make it
difficult for third parties to reprogram
the embedded transmitter chip in
certified devices. For example, should
the Commission require that
manufacturers ensure that modifying or
reconfiguring firmware or software will
make a device inoperable in certain
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bands? The Commission also seeks
comment on whether it should require
U–NII devices to transmit identifying
information so that, in the event
interference to authorized users occurs,
the Commission can identify the source
of interference and its location. What
type of information should be
transmitted and in what format?
40. Although the Commission
believes that requiring manufacturers to
secure the software in their radios to
prevent modifications by third parties
provides a clear public benefit in
ensuring that these devices comply with
the rules as more devices are introduced
and the number of users increases, the
Commission recognizes that this
requirement will add some cost to these
devices. The Commission seeks
comment on the proposals discussed,
particularly information on the costs to
manufacturers for implementing them.
The Commission invites comment on
the benefits of adopting these proposals
as well as the costs to do so. The
Commission asks that commenter’s
assessment of adopting the proposals
weigh and compare the benefits and
costs to do so. This assessment should
address which costs should be borne by
U–NII device manufacturers, U–NII
device operators or other third parties,
as appropriate.
41. The Commission believes that its
proposals to modify the technical rules
in the U–NII–3 band, along with its
proposal to enhance the security
requirements of all U–NII devices,
would have prevented most of the
interference cases that the Commission
has observed to date. The Commission
also notes, however, that the NTIA
Third Technical Report and its own
discussions with NTIA, FAA and
industry representatives have identified
additional techniques that could
mitigate in-band and adjacent band
interference to incumbents. These
include using a database registration
process combined with geo-location
technology to determine whether there
is any potential interference to radar
systems such as the TDWR; limiting the
unwanted emission levels of the U–NII
devices; or increasing the sensing
frequency range (e.g., detection
bandwidth) of U–NII devices operating
in the U–NII–2A and U–NII–2C bands.
These other techniques, could
supplement or replace the assurances
(described in paragraph 45 of the
NPRM) that OET has accepted from
certification applicants on an ad-hoc
basis as sufficient to address
interference concerns that might
otherwise warrant denial of equipment
certification requests for U–NII devices
in the U–NII–2C band. The Commission
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also observes that these techniques
would place responsibility on users,
rather than on manufacturers, for
mitigating interference. The
Commission invites comment on
whether the security requirements it is
proposing to place on U–NII devices,
along with the more stringent unwanted
emission limits that it is proposing for
devices that would previously have
been certified under § 15.247, are
sufficient to protect incumbent radar
operations, including TDWR
installations, from interference, or
whether the Commission should further
modify its rules to require
implementation of other techniques. In
particular, the Commission seeks
comment on the likely effectiveness of
each technique discussed in reducing
the incidence of interference to TDWR
systems or other incumbent operations
by ensuring compliance with and in
facilitating enforcement of its rules. The
Commission invites comment on
whether any of these techniques would
be beneficial in protecting other
incumbents from interference, not only
in the U–NII–2C band but also in other
segments of the 5 GHz band. The
Commission invites comment on the
benefits of adopting any of the methods
discussed as well as the costs to do so.
The Commission asks that commenters’
assessment of adopting any of the
methods weigh and compare the
benefits and costs to do so. This
assessment should address which costs
should be borne by U–NII device
manufacturers, U–NII device operators
or other third parties, as appropriate.
42. Geo-Location/Database: The NTIA
Third Technical Report specifies the
frequency separations and distance
separations needed to preclude
interference from U–NII devices into the
TDWR under the study conditions used
for NTIA’s investigation. The separation
requirements differ for the various types
of devices, but, in general, as the
frequency separation increases the
required separation distance between
the U–NII devices and the TDWR
decreases. For example, with mainbeam coupling and ±30 megahertz of
frequency separation from 20
megahertz-wide 802.11-based U–NII
devices operating at an EIRP of 17 dBm,
a TDWR needs a protection distance of
11 km. For 40 megahertz-wide 802.11
devices with a frequency separation of
±30 megahertz, the distance is 35 km;
that distance is reduced to 15 km at a
frequency separation of 50 megahertz
above the center frequency and 10 km
below the center frequency with a 50
megahertz frequency separation. As
noted, the Office of Engineering and
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Technology has implemented these
geographic and frequency separations as
part of its equipment authorization
program. Industry representatives have
recommended to Commission staff that
the Commission should implement
these protections for high power pointto-point systems, and have argued that
no additional limits or requirements are
necessary for lower power, indoor
systems. The Commission seeks
comment on whether it should require
these geographic and frequency
separations from TDWR and other
Federal radars operating in the U–NII–
2C band for high power outdoor U–NII
devices authorized for operation in this
band. How should the Commission
define and distinguish outdoor versus
indoor U–NII devices, or high power
versus low power U–NII devices? How
would the Commission enforce
compliance with these distinctions?
43. One way to implement frequency
and distance separation requirements is
to require geo-location and database
registration. Because the TDWR
locations are known and somewhat
limited in number, implementation of
geo-location and database registration
might be very straightforward and easy
to accomplish. With this interference
avoidance method, the location of an
unlicensed device could be determined
by a professional installer or by using
geo-location technology such as GPS
incorporated within the device. Using
either of these methods, a user could
determine from either an internal or
external database whether the
unlicensed device is located far enough
from the TDWR to avoid causing
harmful interference; if not, it could
transmit on a frequency farther away
from the TDWR’s center frequency.
CSMAC, for example, recommends
implementing a Dynamic Database
approach to device authorization. On a
going-forward basis, devices and
systems sharing a band would be
‘‘connected’’ devices and a geo-location/
database approach could enforce
permission and terms-of-use updates on
an automated basis. The concept of
database-enabled cognitive radios can
lend itself to many applications,
including ultimately sharing spectrum
with Federal users. As noted, a
voluntary database has been
implemented by WISPA, which
disseminates the location of TDWR to
WISPs and encourages operators that
install devices within 35 km or the lineof-sight of a TDWR, to operate at least
30 megahertz away from the TDWR
operation frequencies. WISPA has also
agreed to voluntarily provide a database
where WISPs can register the locations
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of the outdoor transmitters that they
use. The Commission seeks comment on
whether, given the limited number of
TDWR locations, a geo-location/
database approach could be effectively
implemented and maintained for
numerous U–NII devices that would
operate in the 5.6–5.65 GHz band. How
will this approach protect other
incumbent operations?
44. The Commission recognizes that
its rules already require radar avoidance
via the DFS mechanism. The
Commission further recognizes that
requiring the implementation of a
database for TDWR could increase the
complexity of U–NII devices if the
Commission were to require that they
include a geo-location capability.
Alternatively, the Commission could
modify its rules to specifically require
professional installation and permit
manufacturers to pass on this cost to the
user of the device. In addition, a
database for registering TDWR locations
and, perhaps, U–NII device users and
locations as well would entail some cost
to establish and maintain. The
Commission seeks comment on what
the cost would be to implement geolocation/database protection, what the
requirements should be, and how to
define ‘‘professional installation.’’ The
Commission also seeks comment on
whether requiring the implementation
of both DFS and geo-location
interference protection mechanisms
would be overly burdensome for
equipment manufacturers and whether
it is necessary to require both. Are there
alternative approaches that can be
implemented to protect the incumbent
radar systems? Because higher power
outdoor devices (such as those used by
Wireless Internet Service Providers) in
the U–NII–2C band have a greater
potential to cause harmful inference as
compared to lower power consumer
type devices, the Commission requests
comment on whether a geo-location/
database requirement should apply only
to those devices or to lower power
indoor U–NII devices as well.
45. Unwanted emission limits.
Emissions outside of the U–NII device’s
occupied bandwidth may have the
potential to cause harmful interference
into TDWR. Aside from increasing
frequency separation or distance
separation, U–NII devices may avoid
causing interference by lowering the
emissions on the radar’s fundamental
frequency. This equates to lowering all
emissions from U–NII devices at the
frequencies outside of the device’s
operating bandwidth. The Commission
seeks comment as to whether TPC also
contributes to reductions in unwanted
emissions. For example, if the TPC
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function reduces the fundamental
power level by 1 dB, is there a
corresponding 1 dB reduction in
unwanted emissions?
46. NTIA’s report details the
measurements and analysis that
determine the power levels at which
TDWR receivers experience interference
from U–NII emissions at an interferenceto-noise (I/N) ratio of ¥8 dB. In its
report, NTIA finds that the maximum
allowable co-channel interference
power that can be received in the TDWR
without exceeding the I/N level of ¥8
dB is shown to be ¥119 dBm/MHz at
the antenna terminals. This equates, for
example, to a mainbeam-to-mainbeam
interference power density of 43 dBm/
MHz between TDWR and U–NII
transmitters at a distance of 8 km, or an
interference power density of ¥22
dBm/MHz when the mainbeam of the
U–NII device is in the TDWR sidelobe
at a distance of 2 km. These power
density thresholds are a function of
separation distance between TDWR
receivers and U–NII transmitters as well
as the receive antenna gain of the TDWR
in the direction of the U–NII transmitter.
47. The Commission’s existing rules
for the U–NII–2C band specify that the
peak power spectral density shall not
exceed 11 dBm in any 1 megahertz
band. If transmitting antennas of
directional gain greater than 6 dBi are
used, both the maximum conducted
output power and the peak power
spectral density must be reduced by the
amount in dB that the directional gain
of the antenna exceeds 6 dBi. These
rules implicitly allow a maximum EIRP
of 17 dBm/MHz in the U–NII–2C band.
Additionally, for devices operating
within the U–NII–2C band, the
Commission’s rules specify that all
emissions transmitted outside of the U–
NII–2C band shall not exceed an EIRP
of ¥27 dBm/MHz. The Commission
recognizes, based on NTIA’s report, that
these two limits may not be sufficient to
protect the TDWR from adjacent
channel emissions from U–NII devices.
Accordingly, the Commission seeks
comment on whether requiring new
unwanted emission limits for U–NII
devices operating in the U–NII–2A and
UNII–2C bands is appropriate and
whether the Commission should modify
its emission limits to reflect NTIA’s
findings.
48. If the Commission were to impose
new limits on U–NII devices, as
suggested, the Commission believes that
different limits can be set for lower
power indoor and higher power outdoor
devices. For indoor devices, the
Commission believes that setting an outof-channel emissions limit of ¥27dBm/
MHz maximum EIRP may be
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appropriate because building materials
would likely further attenuate these
emissions. When measured outside of
the building, the emissions from an
indoor device would likely drop to a
level that would appear as no more than
¥41dbm/MHz. An out-of-channel
emissions limit of ¥41 dBm/MHz for
outdoor devices may be appropriate as
well. The Commission seeks comment
on modifying its rules to adopt these
out-of-channel limits for indoor versus
outdoor U–NII devices, including how
the Commission should define the terms
‘‘indoor’’ and ‘‘outdoor’’, and how
different operating requirements for
indoor versus outdoor operations can be
accommodated through the
Commission’s equipment authorization
and the Commission’s enforcement
procedures.
49. As an alternative, if the
Commission determines that reductions
in unwanted emissions are necessary,
the Commission could allow outdoor
devices to operate with an out-ofchannel emissions limit of ¥27 dBm/
MHz peak EIRP as long as the separation
distance between the device and the
TDWR is at least 53 km. Should the
Commission impose this new out-ofchannel limit based on the maximum
power levels of the devices rather than
whether a device is based indoor or
outdoor? For instance, the Commission
recognizes that lower power device
devices provide short-range
communications, such as those between
computing devices within a very local
area and therefore pose less of a
potential risk to TDWR operations.
Higher power devices, however, are
intended to be used in an outdoor
environment for longer-range
communications. The Commission
seeks comment on the assumptions
made in its analysis.
50. Sensing. If the Commission
decides to require that a U–NII device
move more than 30 megahertz in
frequency from the TDWR, one way to
enable this is to require the U–NII
device to sense for radar in the channels
adjacent to its occupied bandwidth.
This will ensure that the unwanted
emissions from U–NII devices are
placed far enough away in frequency
from the TDWR fundamental frequency
to preclude harmful interference. The
Commission seeks comment on this
alternative approach.
51. The DFS mechanism is designed
to avoid co-channel interference to the
TDWR by dynamically detecting radar
signals and avoiding co-channel
operation with those systems. The
efficacy of the DFS mechanism is
dependent upon the U–NII device’s
ability to detect and avoid a radar pulse
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within a region of its occupied
bandwidth. Specifically, the current
measurement procedures require that a
U–NII device sense for radar across 80
percent of its occupied bandwidth. With
respect to the remaining 20 percent, the
Commission does not require sensing in
a 10 percent region above or below the
occupied bandwidth. The Commission
recognizes that currently
implementation of the sensing
bandwidth will ensure co-channel
interference protection only when the
radar signal falls within 80 percent of
the U–NII device’s occupied bandwidth.
Therefore, it is possible for the U–NII
device to transmit on the same
frequency as the radar when the radar
signal falls within the 20 percent of
occupied bandwidth that does not
require sensing. When the radar signal
falls within the region of occupied
bandwidth that does not require
sensing, the U–NII device will continue
to transmit. This could result in
simultaneous and overlapping
transmissions from the U–NII device
and the TDWR, which would increase
the potential for harmful interference.
52. In addition, NTIA’s Third
Technical Report suggests that adjacent
channel interference is possible when
the frequency separation between the
radar and the U–NII device is less than
a specified amount. For example, when
a radar signal falls outside of the sensing
bandwidth and occupied bandwidth,
and is within 30 megahertz from the U–
NII devices’ fundamental frequency, the
unwanted emissions from the U–NII
devices could still cause harmful
interference to the TDWR. If the
Commission requires that U–NII devices
sense for radar on the frequencies
immediately adjacent to the occupied
bandwidth, the Commission would
ensure that the fundamental frequency
is more than 30 megahertz away from
the radar.
53. The Commission seeks comment
on whether it should implement a rule
requiring that U–NII devices sense for
radar signals at or exceeding 100
percent of its occupied bandwidth, or
whether the Commission should
continue to reference this, as it does
now, as part of the U–NII measurement
procedures. The Commission believes
that expanding the sensing bandwidth
will prevent the co-channel operations
between U–NII devices and radars
receiver and thus will reduce the
potential for harmful interference. The
Commission also invites comment on
the technical difficulty and cost of
implementing this capability in U–NII
devices.
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4. The U–NII–2A and U–NII–2C Bands
54. DFS is an essential element
allowing U–NII devices to share the UNII-2A and U–NII–2C bands
successfully with vital government and
military radar systems. As the
Commission has gained experience with
these devices and the implementation of
DFS in the field, it is proposing changes
in three areas to improve the utility and
reliability of this function, thus ensuring
that incumbent services in these bands
are protected from interference. These
changes include lowering the permitted
PSD for lower power devices that use
the relaxed sensing threshold, and
modifying the Bin-1 radar simulating
waveform used in the measurement
procedures. The Commission believes
that these changes will reduce the
potential for co-channel interference to
the TDWR and other radar systems. The
Commission is also proposing to remove
the uniform channel loading
requirement found in the U–NII
measurement procedures.
55. DFS Functionality. To be certified
for operation in the U–NII–2A and U–
NII–2C bands, devices must include a
DFS radar detection function. In its field
investigations, the Commission’s
Enforcement Bureau found that certain
models of devices certified for use in
these bands were designed so that users
could disable the DFS mechanism by
setting the device’s operating mode to
‘‘Compliance test.’’ In other cases, the
device’s DFS mechanism could be
turned off by manually changing the
‘‘Country Code’’ for the device. If the
DFS mechanism is not active, the device
could transmit on an active radar
channel and cause harmful interference.
The Commission therefore proposes that
manufacturers prevent the DFS
mechanism from being disabled in
devices certified to operate in the U–
NII–2A and U–NII–2C bands. The
Commission also proposes that U–NII
devices certified to operate in these
bands must be operated with the DFS
function on.
56. Recently, the Office of Engineering
and Technology has had to clarify
which types of U–NII devices are
required to demonstrate compliance
with the DFS requirement. The
Commission knows that many U–NII
devices operate in a master-client
configuration, i.e., the master device
controls the operational parameters of
the client devices. Typically, DFSenabled master devices would include
both the radar sensing and DFS
functions, but new configurations are
being designed. For example, radios can
operate in a network configuration with
the sensing function distributed among
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various ‘‘client’’ devices. Also, some
radios are designed so that they can
communicate directly with each other,
rather than through a control point, and
thus they could function as either a
‘‘master’’ that initiates a network or as
a ‘‘client’’ device within the network.
The Commission proposes that any U–
NII device that is subject to the DFS
requirements in § 15.407 that is capable
of initiating a network must have radar
detection functionality and must be
approved with that capability.
57. The Commission believes that
responsible operation of U–NII devices
in these bands is a joint responsibility
of both manufacturers and users. The
Commission seeks comment on these
proposals regarding DFS functionality
as well as information on costs to
implement them. The Commission also
invites comment on whether the DFS
requirement has limited in any way the
types of applications that have been or
could be implemented in the U–NII–2A
and U–NII–2C bands, particularly if
wider bandwidth devices are deployed
in this spectrum. The Commission
invites comment on the benefits of
adopting this proposal as well as the
costs to do so. The Commission asks
that commenters’ assessments of
adopting the proposal weigh and
compare the benefits and costs to doing
so. This assessment should address
which costs should be borne by U–NII
device manufacturers, U–NII device
operators or other third parties, as
appropriate.
58. Sensing Threshold for Co-channel
operation: The current rules require that
the DFS mechanism continuously
monitor the device’s environment for
the presence of radar, both prior to and
during operation. The Commission
further requires that U–NII devices
certified under the rules use two
detection thresholds to ascertain
whether radar signals were present. The
required threshold levels are:
(a) 62 dBm for lower power devices
with a maximum EIRP less than 200
mW (23 dBm), and (b) ¥64 dBm for
higher power devices with a maximum
EIRP between 200 mW (23 dBm) and 1
W (30 dBm), averaged over 1 ms. The
Commission also requires that the
conducted peak power spectral density
shall not exceed 11 dBm in any 1
megahertz band. If transmitting
antennas of directional gain greater than
6 dBi are used, the Commission requires
that both the maximum conducted
output power and the power spectral
density be reduced by the amount in dB
that the directional gain of the antenna
exceeds 6 dBi. Thus, the implicit limit
on the EIRP spectral density is 17 dBm
in any 1 megahertz band.
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59. The lower power U–NII devices
are permitted to use the relaxed sensing
threshold because the range at which
these devices can potentially cause
interference is reduced and thus they
are allowed to operate closer to the
radar. In order to ensure that
interference potential does not increase
with the use of the relaxed sensing
threshold, the Commission believes that
applying a reduction in EIRP spectral
density for devices that use the ¥62
dBm sensing threshold is appropriate.
The Commission proposes that devices
must operate with both an EIRP of less
than 200 mW (23 dBm), and an EIRP
spectral density of less than 10 dBm/
MHz (10 mW/MHz), in order to use the
relaxed sensing detection threshold of
¥62 dBm. Devices that do not meet the
proposed EIRP and EIRP spectral
density requirements must use the ¥64
dBm sensing threshold. The proposed
changes will further enhance protection
for radars from co-channel interference
by reducing both the range and the inband spectral density emissions of the
U–NII device. The Commission seeks
comment on this proposal, including
the cost to manufacturers to implement
it. The Commission notes that a
reduction in the EIRP spectral density
limit would be consistent with recent
actions taken by European
Telecommunications Standards Institute
(ETSI). Specifically, ETSI chose to
restrict a device’s use of the relaxed
sensing threshold by reducing both the
EIRP and the EIRP spectral density by
7 dB to 23 dBm (200 mW) and 10 dBm/
MHz (10 mW/MHz), respectively. The
Commission invites comment on the
benefits of adopting this proposal as
well as the costs to do so. The
Commission asks that commenter’s
assessment of adopting the proposal
weigh and compare the benefits and
costs to do so. This assessment should
address which costs should be borne by
U–NII device manufacturers, U–NII
device operators or other third parties,
as appropriate.
60. Measurement and Testing
Procedures. Under § 2.947(a) of the
rules, the Commission will accept data
that is measured in accordance with (1)
procedures or standards set forth in
bulletins or reports prepared by the
Commission’s Office of Engineering and
Technology (OET), (2) procedures or
standards that are acceptable to the
Commission and are published by a
national engineering society, or (3) any
other measurement procedure
acceptable to the Commission. With
respect to the first option, OET’s most
recent bulletin on measurement
procedures for U–NII devices with DFS
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capabilities was published in 2006.
NTIA has recommended modifications
to these 2006 measurement procedures,
to further enhance protection for the
TDWR. The Commission invites
interested parties to comment on these
modifications to the measurement
procedures, which are set forth in
Appendix B of the NPRM, and to
propose any additional modifications
that are appropriate. Consistent with the
Commission’s rules and prior practice,
the Office of Engineering and
Technology will evaluate comments on
the recommended changes to the
measurement procedures and will issue
updated measurement procedures in the
future as needed.
61. The Commission’s current rules
and measurement procedures require
that the DFS function provide a uniform
spreading of loading over all available
channels. The measurement procedure
further explains this provision by
stating that ‘‘Uniform Channel
Spreading’’ is the spreading of U–NII
devices operating over the DFS bands to
avoid dense clusters of devices
operating on the same channel. Some
manufacturers comply with this
requirement by using random channel
selection, but the Commission believes
that similar benefits could be obtained
by manual selection of channels and
may actually result in better spectrum
usage at a given location. In particular,
the Commission notes that enhanced
spectrum use may be possible when
devices use a very high bandwidth and
the number of usable channels is small.
The Commission also notes that the
trend for U–NII devices is to operate
with ever wider bandwidths. Operation
over wider bandwidths causes U–NII
energy to be spread throughout the
frequency band in which the device is
operating, rather than concentrated in a
narrow bandwidth. This potentially
makes the uniform channel spreading
requirement unnecessary. The
Commission proposes to remove the
‘‘Uniform Channel Spreading’’
requirement from the rules and
measurement procedures. The
Commission also proposes to permit
either random channel selection or
manual selection of the initial channel.
For example, should the Commission
permit a device to create a master list of
available channels that it would use if
they continue to be available? The
Commission seeks comment on whether
these changes will, in any way,
negatively impact spectrum reuse or
potentially increase interference to
incumbent users. In addition, the
Commission’s measurement procedures
require that system testing be performed
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with an MPEG test file that streams full
motion video at 30 frames per second
for channel loading. Experience
certifying U–NII devices has indicated
that not all U–NII devices are designed
for video transmission or support the
specific coding format, and so other
methods of channel loading are used.
The Commission seeks comment on
whether specifying video streaming as
the preferred channel loading method
for compliance measurements is as
appropriate today as it was when the
measurement procedures were created,
or whether the channel loading
requirement in the Commission’s test
procedures should be specified in a
more general manner so as only to
specify that measurements be conducted
with the device under test operating in
a loaded condition. The Commission
seeks comments on how it should
specify alternate means of channel
loading for measurement purposes.
Additionally, the Commission seeks
comment on the effects of wider U–NII
device bandwidths on channel loading
requirements.
B. Future Unlicensed Operations at 5
GHz
62. The 5.35–5.47 GHz (U–NII–2B)
and 5.85–5.925 GHz (U–NII–4) bands
have great potential for fostering
ongoing technological innovation,
expanding broadband access, and
encouraging competitive entry. The
additional spectrum also would expand
opportunities for innovative spectrum
access models by creating new avenues
for opportunistic and unlicensed use of
spectrum and increasing research into
new spectrum technologies. Creating
ways to access spectrum under a variety
of new models, including unlicensed
uses, increases opportunity for
entrepreneurs and other new market
entrants to develop wireless innovations
that may not have otherwise been
possible under licensed spectrum
models.
63. These bands currently are used for
various Federal and non-Federal
services, and the Spectrum Act requires
that the Commission begin a proceeding
to modify the part 15 rules to permit
unlicensed devices in the U–NII–2B
band if, in consultation with NTIA, it
determines that licensed users will be
protected by technical solutions and
that the primary mission of Federal
spectrum users will not be
compromised by the introduction of
unlicensed devices in these bands.
Thus, the Commission’s goal in this
proceeding is to promote efficient use of
radio spectrum through spectrum
sharing. As part of this collaborative
effort and as required by the Spectrum
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Act, NTIA has published a report,
prepared in consultation with
Department of Defense and other
impacted Federal agencies, evaluating
spectrum-sharing technologies and the
risk to Federal users of unlicensed
operations in the U–NII–2B and U–NII–
4 bands.
64. The Commission explores the
potential for future unlicensed
operations in the 5 GHz band,
incumbent operations in the U–NII–2B
and U–NII–4 bands, and the technical
requirements and sharing technologies
and techniques that could be used to
protect Federal and non-Federal
incumbent operations. The Commission
also invites comments on the NTIA 5
GHz Report itself, including its
underlying assumptions and risk
assessments.
1. Future Unlicensed Operations at 5
GHz
65. The current U–NII bands are
already being used for a variety of
different commercial uses such as
wireless internet services, cordless
phone, scientific and medical
applications, etc. In this proceeding, the
Commission seeks comment on what
types of uses could be deployed in the
U–NII–2B and U–NII–4 bands, used
either independently of the current U–
NII bands or in conjunction with them.
The Commission is interested in
knowing how companies of different
types might deploy U–NII devices, what
types of services they might offer, and
where they might deploy them. The
Commission is particularly interested in
gathering information on ongoing
industry standards activity and
international efforts to harmonize uses
of the 5 GHz band to make more
efficient use of the 5 GHz spectrum.
66. The Commission knows, for
example, that unlicensed and licensed
broadband networks often complement
one another in important ways. The
availability of unlicensed Wi-Fi
networks in many locations enables
licensed wireless providers to take data
traffic off of their networks, thus
reducing network congestion and
delivering a better overall quality of
service. Wi-Fi technology also can be
‘‘networked’’ to provide wider
geographic coverage and, when
configured this way, may be used by
some service providers in offering
broadband service.
67. The introduction of the IEEE
802.11ac standard, can open new
windows to wireless broadband for
many users. The deployment of wide
channel bandwidths with higher data
rates in the 5 GHz band can help meet
the challenge that rapid growth in
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demand has posed for the wireless
industry which has called for more
spectrum to increase network capacity.
The new standard has the potential to
create new avenues for opportunistic
use of spectrum in diverse broadband
services. Some forecasts predict that in
2015, shipments of mobile phones with
embedded Wi-Fi are projected to
approach 800 million and by the same
time 100 percent of mobile hotspot
shipments will be 802.11ac enabled.
Infonetics forecasts the global carrier
Wi-Fi equipment market to grow
significantly at least through 2016,
when it will hit $2.1 billion. The
Commission seeks comment on how the
introduction of this new standard might
be implemented in the U NII bands and
how these developments should inform
the Commission’s consideration of
technical requirements for these bands
and sharing technologies and
techniques. The Commission also
invites comment on whether some
technologies or techniques, such as
DFS, might limit the types of
applications that could be implemented
in the U–NII bands, particularly if wider
bandwidth devices are deployed in this
spectrum.
68. Also, at the 2012 World Radio
Conference, the United States along
with other countries agreed that the next
World Radio Conference in 2015 (WRC–
15) should consider additional spectrum
allocations to the mobile service for the
development of terrestrial mobile
broadband applications. In preparation
for WRC–15, the International
Telecommunications Union initiated
spectrum sharing studies that consider
possible expansion of the existing
international allocations to the mobile
services in the 5 GHz band which are
used primarily by the radio local area
network (RLAN) devices. The
Commission seeks comment on how
these activities should inform the
Commission’s consideration of technical
requirements for these bands and
sharing technologies and techniques in
the following paragraphs. The
Commission also seeks comment on
importance and benefits of
harmonization between the
Commission’s U–NII rules and the
international radio regulations.
2. Incumbent Services in the U–NII–2B
Band
69. The 5.35–5.47 GHz band is
allocated on a primary basis to the Earth
Exploration Satellite, Space Research,
and Radiolocation Services for Federal
operations and on a secondary basis for
non-Federal operations. The 5.35–5.46
GHz band segment is allocated on a
primary basis to the Aeronautical
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Radionavigation Service for both
Federal and non-Federal operations.
The 5.46–5.47 GHz band segment is
allocated on a primary basis to the
Radionavigation Service for both
Federal and non-Federal operations.
a. Overview of Federal Systems
70. RADAR Systems. The DoD uses
the 5.35–5.47 GHz band for a wide
variety of ground-based, shipborne, and
airborne radars. These military radars
have the operational capability to tune
across the entire 5.25–5.725 GHz
frequency range and can operate on a
fixed frequency or can employ
frequency hopping techniques. In the
past, these radars have operated on or
near military installations. However,
situations may arise where these radars
have to be used more widely in support
of homeland security. One of the areas
of concern in assessing interference to
military radars stems from future radar
deployments and the expanding role of
military radars in support of homeland
defense. This expanded role could
result in a requirement to deploy
military radars in cities and
metropolitan areas where unlicensed
devices will have their highest usage. In
addition to DoD, several other agencies
operate radar systems in the band. The
Coast Guard operates shipborne radars,
which are vital sensors for safe
navigation of waterways. NASA uses
this band for test and launch range
instrumentation radars to track rockets,
missiles, satellites, launch vehicles, and
other targets. NOAA operates radar
systems in this band on ‘‘Hurricane
Hunter’’ aircraft. The Department of
Energy operates radar systems and
associated transponders in the band at
two test ranges in the United States.
71. Spaceborne Altimeter Radar
Systems. NASA, in joint ventures with
the French agency, Centre National
d’Etudes Spatiales (CNES), operates a
space-based altimeter system in the
5.14–5.46 GHz band that is used to
obtain measurements of the Earth’s
ocean surface height.
72. Earth Exploration Satellite.
Synthetic aperture radar (SAR) systems
in the 5.35–5.47 GHz band perform
space-based observations and
measurements of surface topography,
soil moisture, and sea surface height.
The higher quality data collected using
wideband SARs allow scientists to gain
new insights into the prediction of
climatic changes. These wideband SARs
also provide the higher resolution
necessary for commercial applications,
such as high-resolution surface
mapping. Canada operates an Earth
exploration-satellite, known as
RADARSAT, in the 5.35–5.47 GHz band
to provide mission critical data in
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support of national security, public
safety, law enforcement, and civilian
applications in Canada and the United
States. These applications include
disaster management, response and
recovery for safety of life, ice
monitoring, surveillance, hydrology,
mapping, and geology, safety of
navigation, agriculture, and forestry. For
example, the United States Coast Guard
International Ice Patrol uses
RADARSAT data operationally to detect
and track icebergs.
73. Unmanned aircraft systems
(UAS). DoD utilizes this band for the
testing and operation of unmanned
aircraft system (UAS) datalinks from
aircraft-to-ground and from ground-toaircraft. The command link, a ground
data terminal transmitter, operates at
5.625–5.85 GHz and the return link
(UAS transmitter) transmits at 5.25–
5.475 GHz. The Army, Navy, and Air
Force operate UASs in the 5 GHz
frequency range for intelligence,
surveillance, and reconnaissance;
combat search and rescue; and real-time
full-motion video for target
development. The Department of
Homeland Security also operates UASs
in this band for drug interdiction and
border surveillance operations. In
addition, NASA also operates a limited
number of systems in the 5.35–5.47 GHz
band that are used for downlink
transmissions of data to ground control
receivers.
b. Overview of Non-Federal Systems
74. The types of Federal and nonFederal systems in the 5.35–5.47 GHz
band are similar except that non-Federal
users in the Earth Exploration Satellite,
Space Research, and Radiolocation
Services operate on a secondary basis.
Broadcast and media entities use radars
operating in the 5.35–5.47 GHz band for
tracking storms and providing weather
radar information to the public via news
and weather reporting. Weather radars
are employed by broadcasters
throughout the USA and used to detect
supercell storms capable of developing
tornados and severe weather. Local TV
stations throughout the country utilize
5.35–5.47 GHz band providing viewers
with weather maps, weather pictures,
and informing the public on a range of
local and regional weather warnings.
Part 90 of FCC rules permit the
operation of weather radar services in
the 5.35–5.47 GHz band.
3. Incumbent Services in the U–NII–4
Band
75. The 5.85–5.925 GHz band is
allocated on a primary basis to the
Radiolocation Service for Federal
operations and to the Fixed Satellite
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(Earth to space) and Mobile Services for
non-Federal operations. This band is
also allocated on a secondary basis to
the Amateur Service for non-Federal
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a. Overview of Federal Systems
76. The radars that operate in the
5.825–5.925 GHz band are primarily
military surveillance and test range
instrumentation systems and can be
either mobile or transportable. In
addition to the DoD operation, NASA,
NOAA, and Department of Energy
operate radar systems in the 5.85–5.925
GHz band throughout the United States.
b. Overview of Non-Federal Systems
77. Fixed Satellite Services (FSS). The
C-band is divided into a heavily-used
‘‘conventional’’ segment (3.7–4.2 GHz
downlink and 5.925–6.425 GHz uplink)
and a lightly-used ‘‘extended’’ segment
(3.6–3.7 GHz downlink and 5.85–5.925
GHz and 6.425–7.075 GHz uplink). The
non-Federal fixed-satellite service
allocation in the extended C-band FSS
(5.85–5.925 GHz) is limited to
international inter-continental systems
and is subject to case-by-case
electromagnetic compatibility analysis.
Earth stations in stationary locations
communicate uplink with geostationary
satellites such as Intelsat, Inmarsat,
JCSAT–2, Mabuhay, New Skies, and
Galaxy. The earth stations and satellites
use directional antennas which, along
with the separation between the
satellites, prevent interference with
earth stations communicating with
adjacent satellites. The FSS operations
in the 5.85–5.925 GHz band are
authorized under Part 25 of the FCC
rules.
78. The FSS is widely used to provide
a variety of commercial services
domestically and internationally. For
example, the FSS supports video
distribution both on point-to-point basis
and point-to-multipoint bases. The FSS
also provides network services
consisting of ‘‘backbone’’ capacity for
point-to-point trunking for voice, data or
Internet traffic; backhaul of
communications services; and
redundancy and restoration of
communications services when other
primary technologies fail. Further, the
FSS is used to provide corporate,
government, and military voice and data
communications, as well as broadband
and video services directly to the home.
79. Intelligent Transportation Service
(ITS). The non-Federal Mobile
allocation is limited to Dedicated Short
Range Communications Service (DSRC)
systems operating in the Intelligent
Transportation System radio service.
ITS is a national program aimed at using
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state-of-the-art communications system
to make travel more efficient, safer and
convenient for motorists, transit riders,
commercial vehicle operators and
public safety providers. Through the use
of technologies such as roadside and/or
overhead Variable Message Signs,
Closed Circuit TV, Highway Advisory
Radio transmitters, traffic counter loops
and Transcom’s System for Managing
Incidents and traffic flow monitors, realtime traffic information is collected and
conveyed to the traveling public. This
multi-modal information then allows
motorists to make smarter choices about
how, when and where to travel.
80. DSRC is a wireless ITS system
designed for automotive use. In October
1999, the FCC allocated 75 megahertz of
spectrum in the 5.85–5.925GHz band for
DSRC to be used by ITS. DSRC is a twoway short- to- medium-range wireless
communications capability that permits
very high data transmission critical in
communications-based active safety
applications. DSRC which involves
vehicle-to-vehicle (V2V) and vehicle-toinfrastructure (V2I) communications can
save lives by warning drivers of an
impending dangerous condition or
event in time to take corrective or
evasive actions. Vehicle safety
applications that use V2V and V2I
communications need secure, wireless
interface dependability in extreme
weather conditions, and short time
delays; all of which are facilitated by
DSRC. FCC grants licenses for state and
regional transportation agencies to
operate DSRC roadside units, while
DSRC onboard units are licensed by rule
under Part 95.
81. Amateur Radio. Amateur service
stations are permitted to transmit in the
5.85–5.925 GHz frequency segment on a
secondary basis. Operation of these
stations in this frequency segment must
not cause harmful interference to, and
must accept interference from,
authorized stations in the fixed-satellite
(earth to space) and mobile services
(DSRC) and also stations authorized by
other nations in the fixed service. The
FCC does not have detailed information
on use of this band by amateur service
stations.
4. Technical Requirements for U–NII–2B
and U–NII–4 Bands
82. The technical requirements for U–
NII devices operating in the U–NII–2B
and U–NII–4 bands will depend
ultimately on a determination of the
types of unlicensed operations that can
be supported while maintaining
interference protection to incumbent
Federal and non-Federal users.
Nonetheless, the Commission believes
that because the types of incumbent
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services across the 5 GHz spectrum
share similar characteristics, the
technical requirements for unlicensed
devices also could share similar
characteristics.
83. U–NII–2B Band. The U–NII–2B
band falls between the existing U–NII–
2A and U–NII–2C bands. Most
significantly, all three bands are
allocated for Federal Earth Exploration
Satellite, Space Research and
Radiolcoation Services on a primary
basis, and sensitive services such as
Federal radar systems operate across all
three bands. This suggests that U–NII
devices could likely operate under the
same technical framework specified in
rule § 15.407 in all three bands ranging
from 5.25–5.725 GHz. Thus, U–NII
devices could operate across 475
megahertz either indoors or outdoors
under the following power and emission
limits: maximum output power limit is
the lesser of 250 milliwatts and
11dBm+10 Log (B), where B is 26 dB
emission bandwidth; antenna gain
requirement is 6 dBi for non-point topoint systems and 23 dBi for point-topoint system; and power and power
spectral density reduction is applied if
the antenna gain exceeds these values.
The maximum power spectral density
should not exceed 11 dBm in any 1
megahertz band, and the out-of-band
emission limit shall not exceed an EIRP
limit of ¥27 dBm/MHz. The out-ofchannel emissions limit for an outdoors
device should not exceed ¥41 dBm/
MHz. The Commission invites comment
on these technical parameters for U–
NII–2B devices.
84. U–NII–4 Band. The U–NII–4 band
is situated 25 megahertz above the U–
NII–3 band. A primary Federal
allocation for Radiolocation Services
and a non-Federal secondary allocation
for Amateur Services range across the
U–NII–3 and U–NII–4 bands, including
the 25 megahertz located between them
at 5.825-5.85 GHz. This suggests that U–
NII devices should operate under the
same framework and technical
requirements specified in § 15.407 in all
three bands ranging from 5.725–5.925
GHz. The Commission proposes that the
U–NII–3 rules be applied to the upper
adjacent 25 megahertz band segment at
5.825-5.85 GHz. If the Commission
adopts this proposal, it believes that the
same framework and technical
requirements specified in § 15.407
should apply across the expanded U–
NII–3 and the U–NII–4 bands. Thus, U–
NII devices could operate across 200
megahertz either indoors or outdoors
under the following power and emission
limits: maximum output power limit is
the lesser of 1Watt and 17dBm+10 Log
(B) where B is 26 dB emission
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bandwidth; antenna gain requirements
is 6 dBi for non-point to-point systems
and 23 dBi for point-to-point systems;
and power and power spectral density
reduction is applied if the antenna gain
exceeds these values. The maximum
power spectral density should not
exceed 17 dBm in any 1 megahertz
band, and out-of-band emissions within
the frequency range from the band edge
to 10 megahertz above or below the
band edge should not exceed an EIRP
limit of ¥17 dBm/MHz, and for
frequencies 10 megahertz or greater, the
emissions should not exceed an EIRP of
¥27 dBm/MHz. The Commission
invites comment on these technical
parameters for U–NII–4 devices.
85. Spectrum Sensing/DFS and TPC.
The rules require that U–NII devices
operating in the U NII-2A and U–NII–2C
bands employ Dynamic Frequency
Selection (DFS) in order to avoid
causing interference to Federal radar
systems. The Commission seeks
comment whether and how to integrate
a DFS algorithm into U–NII–2B and U–
NII–4 bands. What are the advantages
and/or disadvantages of utilizing DFS in
these bands? What are the technical
challenges of DFS technology
implementation in the U–NII–2B and
U–NII–4 bands? What changes are
necessary in the existing DFS model to
mitigate possible interference with
incumbent radar system in the new
bands? What radar parameters/signal
detection threshold should be used for
DFS to avoid assigning the occupied
radar channel to U–NII device? If the U–
NII device would have to perform
sensing outside its occupied bandwidth
(adjacent channel sensing), what would
be the technical and cost implications of
such deployment? Should the radar
signal detection be sensed by base/fix
stations, mobile stations or all? Are
there technical solutions other than DFS
that would prevent interference to
Federal radar systems? Could database
access offer any benefits for providing
access to this spectrum while protecting
incumbent services against harmful
interference?
86. The signal detection technology
currently used by U–NII–2A and U–NII–
2C DFS devices senses radar signals
whose parameters (such as pulsewidth,
pulse repetition interval, and the
number of pulses per burst) are wellknown and can be used to improve
signal detection. To improve range
resolution and accuracy, some radar
systems operating in the U–NII–2B and
U–NII–4 bands employ short (submicrosecond) pulse widths. The
smallest pulsewidth used in the
development of the existing U–NII DFS
regulations was 1 microsecond. A
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narrower radar pulsewidth used in
conjunction with the higher data rates
associated with the 802.11ac standard
could affect a device’s ability to detect
pulsed radar signals. The Commission
seeks comment on the ability of signal
sensing spectrum-sharing technologies
to detect sub-microsecond pulses and
whether the current DFS mechanism
would protect the current and future
radars that employ sub-microsecond
pulses. Are there other detection
mechanisms that could be considered?
87. In addition, some fielded and indevelopment radar systems in the U–
NII–2B and U–NII–4 bands include lowpower modes or are designed to avoid
detection to meet their mission
requirements. The Commission seeks
comment on whether DFS or any other
spectrum-sharing technology would be
capable of protecting such radar systems
from possible interference.
88. Finally, what measures should be
taken to protect non-radar systems that
operate in the U–NII–2B and U–NII–4
bands and what is the cost implication
for manufacturers, vendors and
consumers? The Commission seeks
comment on what types of sharing
technology or techniques could be used
to protect non-radar systems, such as
the DSRCS which includes both road
side units (RSU-fixed) and on board
units (OBU-mobile) operating under a
primary allocation. For example, U–NII
signal detection technologies used for
DFS may not be able to detect signals
from incumbents other than radar
systems. Could U–NII devices detect
signals from both DSRC fixed and
mobile stations? The Commission seeks
comments on evolving technologies that
may help to detect non-radar signals
and to protect those operations from
harmful interference.
5. NTIA 5 GHz Report
89. NTIA has published a report of its
initial study on the potential for U–NII
devices to share the U–NII–2B and U–
NII–4 bands with incumbent Federal
operations. The report includes an
initial evaluation of known and
proposed spectrum-sharing technologies
and also completed a high-level
evaluation of the risk to Federal users if
the Commission allows U–NII devices to
operate in the U–NII–2B and U–NII–4
bands.
90. NTIA, in collaboration with the
Federal agency members of the Policy
and Plans Steering Group (PPSG),
developed a work plan for evaluating
the risks to Federal systems operating in
the U–NII–2B and U–NII–4 bands. The
plan outlined the technical and
operational information necessary to
perform the evaluation. Several Federal
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agencies also conducted preliminary
electromagnetic compatibility and
interference analyses to begin to
quantify risks to their systems. NTIA
also used input from industry
stakeholders related to their projected
technical and deployment parameters
for U–NII devices, and reviewed
domestic and international technical
studies used in the development of the
existing U–NII regulations in performing
their study. For the study, NTIA
assumed that the FCC’s existing U–NII
TPC and DFS regulations would be
extended to the U–NII–2B and U–NII–4
bands, and that the Federal agencies
will not have to alter their systems or
operations to accommodate U–NII
devices. The report concludes that
additional analysis is needed to
determine the feasibility of introducing
U–NII devices into these two bands and
includes a tentative schedule and
milestones for quantitative study
consistent with the ongoing work for
WRC–15.
91. The Commission seeks comments
on all aspects of the NTIA 5 GHz Report,
particularly the spectrum sharing
technologies and risk analysis described
in the following paragraphs.
a. Spectrum Sensing Technologies
92. The report addresses three
spectrum sharing technologies that
might be used as reference models in
the U–NII–2B and U–NII–4 bands.
These are classified as sensing based,
geo-location based, and beaconing/pilot
channel technologies.
93. Sensing based technology. Sensing
based spectrum sharing approaches
enable radio devices to identify unused
spectrum by assessing and determining
current use of a particular frequency
through, for example, transmitter
detection, cooperative sensing, or
interference detection. Transmitter
detection is the capability of
determining if a signal from another
transmitter is using a frequency nearby
by correlating a known signal with an
unknown signal (matched filter
detection), measuring signal energy
(signal detection), or utilizing statistical
means. Cooperative sensing
incorporates information about the
spectral environment from multiple
sensing devices to accurately determine
if spectrum is in use. Interference
detection refers to sensing changes in
the local noise floor to determine if
additional traffic can be tolerated by
primary users.
94. Geo-Location based technology.
This approach requires the development
of a database infrastructure that contains
information about incumbent spectrum
users which, when used in combination
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with a geo-location system (e.g., the
Global Positioning System (GPS)) and
an interference-free location-data
communications link, provides a
mechanism to facilitate spectrum
sharing with incumbents operating at
fixed or known locations with known
technical parameters. Geo-location
spectrum-sharing technologies can be
used in conjunction with a well
maintained updated database to define
geographic areas where device operation
will and will not be permitted, or where
limitations should be placed on the
operating parameters to enable spectrum
sharing.
95. Beaconing/pilot channel
technology. In a beacon spectrum
sharing approach, a new entrant’s
transceiver must have the ability to
receive a control signal sent
continuously by incumbent systems at
times when transmissions by the new
entrant are permitted. The new entrant
may not commence transmissions if
beacon signals are not received. If any
beacon signal is present but then stops
while the new entrant is transmitting,
transmissions must cease within a
specified time interval. The beacons
could be a radio frequency signal sent
by incumbents on designated control
frequencies, or they may be signals
received over a physical connection
such as fiber, copper, or coaxial cable.
Transmission by the new entrant would
cease if any beacon signal suffers from
unfavorable propagation conditions or
the physical connection is lost such that
the beacon signals are not properly
received by the new entrant. In other
words, if the new entrant cannot hear
the beacon signal, it must cease
transmission.
b. Risk Analysis
96. The NTIA 5 GHz Report provides
an overview of the risk elements to each
type of Federal operation and suggests
some mitigation strategies associated
with each risk element for further
investigation.
97. Description of risk elements in U–
NII–2B band. The report indicates that
changes in radar signal parameters may
impact U–NII device detection of radar
and changes in U–NII device
deployment and technical parameters
may result in harmful interference into
radar systems. The report also
emphasizes that the current U–NII
regulations may introduce hidden node
interference and may not adequately
protect current and future radar systems
while changes in the existing U–NII DFS
detection parameters, including channel
response time, may not sufficiently
shield current and future radar systems
from serious degradation. The report
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2. Transition Periods
establish a 2 year timetable after the
effective date of any new or modified
rules for requiring that any U–NII
devices manufactured in or imported
into the United States for sale comply
with the new or modified rules. The
Commission believes that a 12-month
transition period should provide
sufficient time for manufacturers to
design equipment that complies with
any new or modified rules and to obtain
equipment certification. Therefore, the
Commission would provide transitional
provisions in its rules to allow for the
certification of U–NII devices under the
current rules for up to 12 months after
the new or modified rules are published
in the Federal Register. Beginning 12
months after the effective date of the
new or modified rules, equipment
certification could no longer be obtained
for U–NII devices that do not meet the
new requirements. However, until the
end of the 2 year transition period, the
Commission would permit Class II
permissive changes for equipment
certified prior to the 12-month
transition date as well as their
continued manufacture, marketing,
installation, and importation. After the
end of the 2-year transition period, Class
II permissive changes for such devices
would not be permitted nor would their
manufacture, marketing, installation, or
importation. The Commission finds that
these requirements would facilitate the
transition to new requirements without
unduly impairing the availability or cost
of U–NII devices or imposing undue
burdens on manufacturers, translation
services providers, or the public.
Comments are requested on these
proposed transition provisions.
102. The Commission also proposes
that U–NII devices that are already
installed or in use should be
grandfathered for the life of the
equipment. Requiring the immediate
upgrade or replacement of existing U–
NII devices would be a financial burden
on operators of these devices. The
Commission believes that
grandfathering equipment that is
installed and operating will ensure that
entities will be permitted to operate
their existing U–NII devices until
replacement is necessary or desired due
to age, malfunction, or other concerns.
The Commission seeks comments on
this proposal.
101. The Commission proposes to
establish a 12-month timetable after the
effective date of any new or modified
rules that the Commission eventually
decides to adopt in this proceeding for
manufacturers to produce U–NII devices
that comply with new or modified rules.
The Commission also proposes to
Initial Regulatory Flexibility Analysis
103. As required by the Regulatory
Flexibility Act of 1980, as amended
(RFA), the Commission has prepared
this present Initial Regulatory
Flexibility Analysis (IRFA) of the
possible significant economic impact on
small entities by the policies and rules
extends the risk element to the U–NII
devices operating on an adjacent
channel and states this may cause
harmful interference into radar systems.
The report also specifies that the radar
receiver interference protection criteria
used to develop existing U–NII DFS
regulations may not address low-level
interference effects.
98. The report states that the existing
U–NII signal detection technologies may
not be capable of detecting UAS signals
because the existing U–NII regulations
were not developed to detect such
signals (there is no UAS signal in the
bands governed by the existing U–NII
regulations) and changes to U–NII DFS
detection parameters may not protect
UAS operations from performance
degradation. The report also points out
that existing U–NII regulations were not
developed to protect spaceborne
receivers. The report also states that the
density of U–NII devices is one of the
key parameters in determining the
amount of potential interference to the
incumbent Federal systems.
99. Description of risk elements in U–
NII–4 band. The report cites the same
risks to radar systems operating in the
U–NII–4 band as it cites for the U–NII–
2B band discussed above. The report
also states that the existing U–NII signal
detection technologies may not be
capable of detecting DSRC signals
because the existing U–NII regulations
were not originally developed to detect
such signals (there is no DSRC signal in
the bands governed by the existing U–
NII regulations) and changes to U–NII
DFS detection parameters may not
protect DSRC operations from
performance degradation.
C. Other Issues
1. Miscellaneous Rule Modifications
100. The Commission also believes
that there are a number of other changes
that need to be considered to simplify
and clarify part 15 of the rules. The
Commission’s analysis revealed several
sections of the rules that reference
procedures or provisions that are no
longer in use and therefore, may no
longer be necessary. The Commission
has also identified sections of the rules
that need to be updated with minor
revisions.
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proposed in this Notice of Proposed
Rule Making (NPRM). Written public
comments are requested on this IRFA.
Comments must be identified as
responses to the IRFA and must be filed
by the deadlines specified in the NPRM
for comments. The Commission will
send a copy of this NPRM, including
this IRFA, to the Chief Counsel for
Advocacy of the Small Business
Administration (SBA). In addition, the
NPRM and IRFA (or summaries thereof)
will be published in the Federal
Register.
A. Need for, and Objectives of, the
Proposed Rules
104. This NPRM proposes to amend
part 15 of the FCC’s rules governing the
operation of unlicensed National
Information Infrastructure (U–NII)
devices in the 5 GHz band. U–NII
devices are unlicensed intentional
radiators that operate in the frequency
bands 5150–5350 MHz and 5470–5825
MHz that use wideband digital
modulation techniques to provide a
wide array of high data rate mobile and
fixed communications for individuals,
businesses, and institutions. The NPRM
proposes to modify certain technical
requirements for U–NII devices to
ensure that these devices can continue
to operate successfully while protecting
incumbent spectrum users.
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B. Legal Basis
105. This action is authorized under
Sections 1, 4(i), 302, 303(f) and (r), 332,
and 337 of the Communications Act of
1934, as amended, 47 U.S.C. 1, 4(i),
154(i), 302, 303(f) and (r), 332, 337.
C. Description and Estimate of the
Number of Small Entities to Which the
Proposed Rule Will Apply
106. The RFA directs agencies to
provide a description of, and, where
feasible, an estimate of, the number of
small entities that may be affected by
the rules adopted herein. The RFA
generally defines the term ‘‘small
entity’’ as having the same meaning as
the terms ‘‘small business,’’ ‘‘small
organization,’’ and ‘‘small governmental
jurisdiction.’’ In addition, the term
‘‘small business’’ has the same meaning
as the term ‘‘small business concern’’
under the Small Business Act. A ‘‘small
business concern’’ is one which: (1) Is
independently owned and operated; (2)
is not dominant in its field of operation;
and (3) satisfies any additional criteria
established by the Small Business
Administration (SBA).
107. Radio and Television
Broadcasting and Wireless
Communications Equipment
Manufacturing. The Census Bureau
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defines this category as follows: ‘‘This
industry comprises establishments
primarily engaged in manufacturing
radio and television broadcast and
wireless communications equipment.
Examples of products made by these
establishments are: transmitting and
receiving antennas, cable television
equipment, GPS equipment, pagers,
cellular phones, mobile
communications equipment, and radio
and television studio and broadcasting
equipment.’’ The SBA has developed a
small business size standard for Radio
and Television Broadcasting and
Wireless Communications Equipment
Manufacturing, which is: all such firms
having 750 or fewer employees.
According to Census Bureau data for
2007, there were a total of 939
establishments in this category that
operated for part or all of the entire year.
Of this total, 912 had less than 500
employees and 17 had more than 1000
employees. Thus, under that size
standard, the majority of firms can be
considered small.
D. Description of Projected Reporting,
Record Keeping, and Other Compliance
Requirements
108. The NPRM proposes to establish
a 12-month timetable after the effective
date of any new or modified rules that
we eventually decide to adopt in this
proceeding for manufacturers to
produce U–NII devices that comply
with new or modified rules. We also
propose to establish a 2-year timetable
after the effective date of any or
modified rules for requiring that any U–
NII devices manufactured in or
imported into the United States for sale
comply with the new or modified rules.
We believe that a 12-month transition
period should provide sufficient time
for manufacturers to design equipment
that complies with any new or modified
rules and to obtain equipment
certification. Therefore, we would
provide transitional provisions in our
rules to allow for certification of U–NII
devices under the current rules for up
to 12 months after the new or modified
rules are published in the Federal
Register. Beginning 12 months after the
effective date of the new or modified
rules, equipment certification could no
longer be obtained for U–NII devices
that do not meet the new requirements.
However, until the end of the 2-year
transition period, we would permit
Class II permissive changes for
equipment certified prior to the 12month transition date as well as their
continued manufacture, marketing,
installation, and importation. After the
end of the 2-year transition period, Class
II permissive changes for such devices
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would not be permitted nor would their
manufacture, marketing, installation, or
importation. We find that these
requirements would facilitate the
transition to new requirements without
unduly impairing the availability or cost
of U–NII devices or imposing undue
burdens on manufacturers, translation
services providers, or the public.
E. Steps Taken To Minimize Significant
Economic Impact on Small Entities, and
Significant Alternatives Considered
109. The RFA requires an agency to
describe any significant alternatives that
it has considered in reaching its
proposed approach, which may include
the following four alternatives (among
others): (1) The establishment of
differing compliance or reporting
requirements or timetables that take into
account the resources available to small
entities; (2) the clarification,
consolidation, or simplification of
compliance or reporting requirements
under the rule for small entities; (3) the
use of performance, rather than design,
standards; and (4) an exemption from
coverage of the rule, or any part thereof,
for small entities.
110. The proposals contained in this
Notice of Proposed Rulemaking (NPRM)
are aimed at improving the sharing of
the spectrum between U–NII devices
and other spectrum users. This NPRM
proposes to amend Part 15 of our rules
governing the operation of Unlicensed
National Information Infrastructure (U–
NII) devices in the 5 GHz band. U–NII
devices are unlicensed intentional
radiators that operate in the frequency
bands 5.15–5.35 GHz and 5.47–5.825
GHz, and which use wideband digital
modulation techniques to provide a
wide array of high data rate mobile and
fixed communications for individuals,
businesses, and institutions. Since the
Commission first made available
spectrum in the 5 GHz band for U–NII
in 1997, we have gained much
experience with these devices. We
believe that the time is now right for us
to revisit our rules, and, in this NPRM,
we propose to modify certain technical
requirements for U NII devices to ensure
that these devices do not cause harmful
interference and thus can continue to
operate in the 5 GHz band and make
broadband technologies available for
consumers and businesses.
111. We also seek comment on
making available an additional 195
megahertz of spectrum in the 5.35–5.47
GHz and 5.85–5.925 GHz bands for U–
NII use. This could increase the
spectrum available to unlicensed
devices in the 5 GHz band by
approximately 35 percent and would
represent a significant increase in the
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Federal Register / Vol. 78, No. 69 / Wednesday, April 10, 2013 / Proposed Rules
spectrum available for unlicensed
devices across the overall radio
spectrum. The initiation of this
proceeding satisfies the requirements of
§ 6406 (a) of the ‘‘Middle Class Tax
Relief and Job Creation Act of 2012’’
which requires the Commission to begin
a proceeding to modify part 15 of title
47, Code of Federal Regulations, to
allow unlicensed U–NII devices to
operate in the 5350–5470 MHz band.
We believe that an increase in capacity
gained from 195 megahertz of additional
spectrum, combined with the ease of
deployment and operational flexibility
provided by our U–NII rules, would
continue to foster the development of
new and innovative unlicensed devices,
and increase wireless broadband access
and investment.
F. Federal Rules That May Duplicate,
Overlap, or Conflict With the Proposed
Rule
112. None.
Ordering Clauses
113. Pursuant to sections 1, 4(i), 7(a),
301, 303(f), 303(g), 303(r), and 307(e) of
the Communications Act of 1934, as
amended, 47 U.S.C. 151, 154(i), 157(a),
301, 303(f), 303(g), 303(r), and 307(e),
and section 6406(a) of the Middle Class
Tax Relief and Job Creation Act of 2012,
Public Law 112–96, § 6406(a), 126 Stat.
156, 231 (2012), the Notice of Proposed
Rule Making is adopted.
114. The Commission’s Consumer and
Governmental Affairs Bureau, Reference
Information Center, shall send a copy of
the Notice of Proposed Rule Making,
including the Initial Regulatory
Flexibility Analysis, to the Chief
Counsel for Advocacy of the Small
Business Administration.
List of Subjects in 47 CFR Part 15
Communications equipment.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
For the reasons discussed in the
preamble, the Federal Communications
Commission proposes to amend 47 CFR
part 15 as follows:
mstockstill on DSK4VPTVN1PROD with PROPOSALS
PART 15—RADIO FREQUENCY
DEVICES
1. The authority citation for Part 15
continues to read as follows:
■
Authority: 47 U.S.C. 154, 302a, 303, 304,
307, 336, 544a, and 549.
2. Section 15.215 is amended by
adding a second sentence to paragraph
(c) to read as follows:
■
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16:39 Apr 09, 2013
Jkt 229001
§ 15.215 Additional provisions to the
general radiated emission limitations.
*
*
*
*
*
(c) * * * In the case of intentional
radiators operating under the provisions
of Subpart E, the emission bandwidth
may span across multiple frequency
bands identified in that Subpart. * * *
■ 3. Section 15.247 is amended by:
■ a. Revising the first sentence of
paragraphs (a)(2) and (b)(3);
■ b. Removing paragraphs (b)(4)(i)
through (iii);
■ c. Revising paragraph (c)(1)(ii) and the
last sentence of paragraph (f) to read as
follows:
§ 15.247 Operation within the bands 902–
928 MHz, 2400–2483.5 MHz, and 5725–5850
MHz.
*
*
*
*
*
(a) * * *
(2) Systems using digital modulation
techniques may operate in the 902–928
MHz, and 2400–2483.5 MHz bands.
* * *
(b) * * *
(3) For systems using digital
modulation in the 902–928 MHz, and
2400–2483.5 MHz bands: 1 Watt. * * *
*
*
*
*
*
(c) * * *
(1) * * *
(ii) Frequency hopping systems
operating in the 5725–5850 MHz band
that are used exclusively for fixed,
point-to-point operations may employ
transmitting antennas with directional
gain greater than 6 dBi without any
corresponding reduction in transmitter
conducted output power.
*
*
*
*
*
(f) * * * The power spectral density
conducted from the intentional radiator
to the antenna due to the digital
modulation operation of the hybrid
system, with the frequency hopping
operation turned off, shall not be greater
than 8 dBm in any 3 kHz band during
any time interval of continuous
transmission.
*
*
*
*
*
■ 4. Section 15.403 is amended by
revising paragraph (m) to read as
follows:
§ 15.403
Definitions.
*
*
*
*
*
(m) Maximum Power Spectral
Density. The maximum power spectral
density is the maximum power in the
specified measurement bandwidth,
within the U–NII device operating band.
*
*
*
*
*
■ 5. Section 15.407 is amended by:
■ a. Revising paragraphs (a)(3) through
(6) and (b)(4);
■ b. Redesignating paragraphs (f)
through (h) as paragraphs (g) through (i),
and;
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Frm 00062
Fmt 4702
Sfmt 4702
c. Adding new paragraph (f) and
paragraph (j) to read as follows:
■
§ 15.407
General technical requirements.
(a) * * *
(3) For the band 5.725–5.850 GHz, the
maximum conducted output power over
the frequency band of operation shall
not exceed 1 W. In addition, the
maximum power spectral density shall
not exceed 8 dBm in any 3–kHz band.
If transmitting antennas of directional
gain greater than 6 dBi are used, both
the maximum conducted output power
and the maximum power spectral
density shall be reduced by the amount
in dB that the directional gain of the
antenna exceeds 6 dBi. However, fixed
point-to-point U–NII devices operating
in this band may employ transmitting
antennas with directional gain up to 23
dBi without any corresponding
reduction in the transmitter peak output
power or maximum power spectral
density. For fixed, point-to-point U–NII
transmitters that employ a directional
antenna gain greater than 23 dBi, a 1 dB
reduction in peak transmitter power and
maximum power spectral density for
each 1 dB of antenna gain in excess of
23 dBi would be required. Fixed, pointto-point operations exclude the use of
point-to-multipoint systems,
omnidirectional applications, and
multiple collocated transmitters
transmitting the same information. The
operator of the U–NII device, or if the
equipment is professionally installed,
the installer, is responsible for ensuring
that systems employing high gain
directional antennas are used
exclusively for fixed, point-to-point
operations.
Note To Paragraph (a)(3): The Commission
strongly recommends that parties employing
U–NII devices to provide critical
communications services should determine if
there are any nearby Government radar
systems that could affect their operation.
(4) The maximum conducted output
power must be measured over any
interval of continuous transmission
using instrumentation calibrated in
terms of an rms-equivalent voltage.
(5) The maximum power spectral
density is measured as a conducted
emission by direct connection of a
calibrated test instrument to the
equipment under test. If the device
cannot be connected directly,
alternative techniques acceptable to the
Commission may be used.
Measurements are made over a
bandwidth of 1 MHz or the 26-dB
emission bandwidth of the device,
whichever is less. A resolution
bandwidth less than the measurement
bandwidth can be used, provided that
the measured power is integrated to
E:\FR\FM\10APP1.SGM
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Federal Register / Vol. 78, No. 69 / Wednesday, April 10, 2013 / Proposed Rules
show total power over the measurement
bandwidth. If the resolution bandwidth
is approximately equal to the
measurement bandwidth, and much less
than the emission bandwidth of the
equipment under test, the measured
results shall be corrected to account for
any difference between the resolution
bandwidth of the test instrument and its
actual noise bandwidth.
(6) The ratio of the maximum peak
excursion of the modulation envelope
(measured in a 1 MHz bandwidth using
a peak hold function) to the maximum
power spectral density during an
interval of continuous transmission
(measured in a 1 MHz bandwidth) shall
not exceed 13 dB. Each of the two
maxima shall be separately determined
across the full emission bandwidth. If
the emission bandwidth is less than 1
MHz, the measurement may be
performed in a resolution bandwidth
narrower than 1 MHz but wider than or
equal to the emission bandwidth.
(b) * * *
(4) For transmitters operating in the
5.725–5.850 GHz band: all emissions
within the frequency range from the
band edge to 10 MHz above or below the
band edge shall not exceed an e.i.r.p. of
¥17 dBm/MHz; for frequencies 10 MHz
or greater above or below the band edge,
emissions shall not exceed an e.i.r.p. of
¥27 dBm/MHz.
*
*
*
*
*
(f) Within the 5.725–5.85 GHz band,
the minimum 6 dB bandwidth of U–NII
devices shall be at least 500 kHz.
*
*
*
*
*
(j) All U–NII Devices must contain
security features to protect against
modification of software by
unauthorized parties.
[FR Doc. 2013–08033 Filed 4–9–13; 8:45 am]
BILLING CODE 6712–01–P
FEDERAL COMMUNICATIONS
COMMISSION
47 CFR Part 73
[MB Docket No. 13–316; RM–11693; DA 13–
52]
Radio Broadcasting Services;
Matagorda, TX
Federal Communications
Commission.
ACTION: Proposed rule.
mstockstill on DSK4VPTVN1PROD with PROPOSALS
AGENCY:
In this document the
Commission requests comment on a
SUMMARY:
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16:39 Apr 09, 2013
Jkt 229001
petition filed by Tejas Broadcasting Ltd.,
LLP (‘‘Petitioner’’), licensee of FM
Station KMJR, Channel 252C2, Odem,
Texas. Petitioner proposes to amend the
FM Table of Allotments by substituting
Channel 291A for vacant Channel 252A,
at Matagorda. The proposal is part of a
contingently filed ‘‘hybrid’’ application
and rule making petition. Channel 291A
can be allotted at Matagorda, Texas, in
compliance with the Commission’s
minimum distance separation
requirements, at city reference
coordinates of 28–41–25 NL and 95–58–
02 WL, without site restriction.
Concurrence by the Government of
Mexico is required because Matagorda,
Texas, is located within 320 kilometers
(199 miles) of the U.S.-Mexican border.
See Supplementary Information infra.
DATES: Comments must be filed on or
before April 22, 2013, and reply
comments must be filed on or before
May 7, 2013.
ADDRESSES: You may submit comments,
identified by MB Docket No 13–52, by
any of the following methods:
• Federal Communications
Commission’s Web site: https://
fjallfoss.fcc.gov/ecfs2/. Follow the
instructions for submitting comments.
• People with disabilities: Contact the
FCC to request reasonable
accommodations (accessible format
documents, sign language interpreters,
CART, etc.) by email: FCC504@fcc.gov
or phone: 202–418–0530 or TTY: 202–
418–0432.
For detailed instructions for
submitting comments and additional
information of the rulemaking process,
see the SUPPLEMENTARY INFORMATION
sections of this document. In addition to
filing comments with the FCC,
interested parties should serve counsel
for petitioner as follows: Robert B.
Jacobi, Esq., Cohn and Marks LLP, 1920
N Street NW., Suite 300, Washington,
DC 20036.
FOR FURTHER INFORMATION CONTACT:
Deborah A. Dupont, Media Bureau (202)
418–7072.
SUPPLEMENTARY INFORMATION: This is a
synopsis of the Commission’s Notice of
Proposed Rule Making, MB Docket No.
13–52, adopted February 28, 2013, and
released March 1, 2013. The full text of
this Commission decision is available
for inspection and copying during
normal business hours in the FCC
Reference Information Center (Room
CY–A257), 445 12th Street SW.,
Washington, DC 20554. The complete
PO 00000
Frm 00063
Fmt 4702
Sfmt 9990
21337
text of this decision may also be
purchased from the Commission’s copy
contractor, Best Copy and Printing, Inc.,
445 12th Street SW., Room CY–B402,
Washington, DC 20554, (800) 378–3160,
or via the company’s Web site,
www.bcpiweb.com. This document does
not contain proposed information
collection requirements subject to the
Paperwork Reduction Act of 1995,
Public Law 104–13. In addition,
therefore, it does not contain any
proposed information collection burden
‘‘for small business concerns with fewer
than 25 employees,’’ pursuant to the
Small Business Paperwork Relief Act of
2002, Public Law 107–198, see 44 U.S.C.
3506(c)(4).
The Provisions of the Regulatory
Flexibility Act of 1980 do not apply to
this proceeding. Members of the public
should note that from the time a Notice
of Proposed Rule Making is issued until
the matter is no longer subject to
Commission consideration or court
review, all ex parte contacts are
prohibited in Commission proceedings,
such as this one, which involve channel
allotments. See 47 CFR 1.1204(b) for
rules governing permissible ex parte
contacts.
For information regarding proper
filing procedures for comments, see 47
CFR 1.415 and 1.420.
List of Subjects in 47 CFR Part 73
Radio, Radio broadcasting.
Federal Communications Commission.
Nazifa Sawez,
Assistant Chief, Audio Division, Media
Bureau.
For the reasons discussed in the
preamble, the Federal Communications
Commission proposes to amend 47 CFR
Part 73 as follows:
PART 73—RADIO BROADCAST
SERVICES
1. The authority citation for part 73
continues to read as follows:
■
Authority: 47 U.S.C. 154, 303, 334, 336 and
339.
§ 73.202
[Amended]
2. Section 73.202(b), the Table of FM
Allotments under Texas, is amended by
removing 252A and adding 291A at
Matagorda.
■
[FR Doc. 2013–08282 Filed 4–9–13; 8:45 am]
BILLING CODE 6712–01–P
E:\FR\FM\10APP1.SGM
10APP1
Agencies
[Federal Register Volume 78, Number 69 (Wednesday, April 10, 2013)]
[Proposed Rules]
[Pages 21320-21337]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-08033]
=======================================================================
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 15
[ET Docket No. 13-49; FCC 13-22]
Unlicensed National Information Infrastructure (U-NII) Devices in
the 5 GHz Band
AGENCY: Federal Communications Commission.
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: This document proposes to amend the Commission's rules
governing the operation of Unlicensed National Information
Infrastructure (U-NII) devices in the 5 GHz band. The Commission has
gained much experience with U-NII devices since it first made spectrum
available in the 5 GHz band for U-NII in 1997. The Commission believes
that the time is now right to revisit the rules. The initiation of this
proceeding satisfies the requirements of the ``Middle Class Tax Relief
and Job Creation Act of 2012'' which requires the Commission to begin a
proceeding to modify the rules to
[[Page 21321]]
allow unlicensed U-NII devices to operate in the 5350-5470 MHz band.
The Commission believes that an increase in capacity gained from 195
megahertz of additional spectrum, combined with the ease of deployment
and operational flexibility provided by its U-NII rules would continue
to foster the development of new and innovative unlicensed devices, and
increase wireless broadband access and investment.
DATES: Comments must be filed on or before May 28, 2013, and reply
comments must be filed on or before June 24, 2013.
FOR FURTHER INFORMATION CONTACT: Aole Wilkins, Office of Engineering
and Technology, (202) 418-2406, email: Aole.Wilkins@fcc.gov, TTY (202)
418-2989.
ADDRESSES: You may submit comments, identified by ET Docket No. 13-49,
by any of the following methods:
[squf] Federal Communications Commission's Web site: https://fjallfoss.fcc.gov/ecfs2/. Follow the instructions for submitting
comments.
[squf] Mail: Aole Wilkins, Office of Engineering and Technology,
Room 7-A431, Federal Communications Commission, 445 12th SW.,
Washington, DC 20554.
[squf] People with Disabilities: Contact the FCC to request
reasonable accommodations (accessible format documents, sign language
interpreters, CART, etc.) by email: FCC504@fcc.gov or phone: 202-418-
0530 or TTY: 202-418-0432.
For detailed instructions for submitting comments and additional
information on the rulemaking process, see the SUPPLEMENTARY
INFORMATION section of this document.
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice
of Proposed Rule Making, ET Docket No. 13-49; FCC 13-22, adopted
February 20, 2013, and released February 20, 2013. The full text of
this document is available for inspection and copying during normal
business hours in the FCC Reference Center (Room CY-A257), 445 12th
Street SW., Washington, DC 20554. The complete text of this document
also may be purchased from the Commission's copy contractor, Best Copy
and Printing, Inc., 445 12th Street SW., Room, CY-B402, Washington, DC
20554. The full text may also be downloaded at: www.fcc.gov.
Pursuant to Sec. Sec. 1.415 and 1.419 of the Commission's rules,
47 CFR 1.415, 1.419, interested parties may file comments and reply
comments on or before the dates indicated on the first page of this
document. Comments may be filed using the Commission's Electronic
Comment Filing System (ECFS). See Electronic Filing of Documents in
Rulemaking Proceedings, 63 FR 24121 (1998).
[squf] Electronic Filers: Comments may be filed electronically
using the Internet by accessing the ECFS: https://fjallfoss.fcc.gov/ecfs2/.
[squf] Paper Filers: Parties who choose to file by paper must file
an original and one copy of each filing. If more than one docket or
rulemaking number appears in the caption of this proceeding, filers
must submit two additional copies for each additional docket or
rulemaking number.
Filings can be sent by hand or messenger delivery, by commercial
overnight courier, or by first-class or overnight U.S. Postal Service
mail. All filings must be addressed to the Commission's Secretary,
Office of the Secretary, Federal Communications Commission.
[squf] All hand-delivered or messenger-delivered paper filings for
the Commission's Secretary must be delivered to FCC Headquarters at 445
12th St. SW., Room TW-A325, Washington, DC 20554. The filing hours are
8:00 a.m. to 7:00 p.m. All hand deliveries must be held together with
rubber bands or fasteners. Any envelopes and boxes must be disposed of
before entering the building.
[squf] Commercial overnight mail (other than U.S. Postal Service
Express Mail and Priority Mail) must be sent to 9300 East Hampton
Drive, Capitol Heights, MD 20743.
[squf] U.S. Postal Service first-class, Express, and Priority mail
must be addressed to 445 12th Street SW., Washington DC 20554.
People with Disabilities: To request materials in accessible formats
for people with disabilities (braille, large print, electronic files,
audio format), send an email to fcc504@fcc.gov or call the Consumer &
Governmental Affairs Bureau at 202-418-0530 (voice), 202-418-0432
(tty).
Summary of Notice of Proposed Rulemaking
1. By the Notice of Proposed Rulemaking (NPRM), the Commission
proposes to amend part 15 of its rules governing the operation of
Unlicensed National Information Infrastructure (U-NII) devices in the 5
GHz band. U-NII devices are unlicensed intentional radiators that
operate in the frequency bands 5.15-5.35 GHz and 5.47-5.825 GHz, and
which use wideband digital modulation techniques to provide a wide
array of high data rate mobile and fixed communications for
individuals, businesses, and institutions. Since the Commission first
made available spectrum in the 5 GHz band for U-NII in 1997, it has
gained much experience with these devices. The Commission believes that
the time is now right to revisit the part 15 rules, and, in the NPRM,
proposes to modify certain technical requirements for U-NII devices to
ensure that these devices do not cause harmful interference and thus
can continue to operate in the 5 GHz band and make broadband
technologies available for consumers and businesses.
2. The Commission also seeks comment on making available an
additional 195 megahertz of spectrum in the 5.35-5.47 GHz and 5.85-
5.925 GHz bands for U-NII use. This could increase the spectrum
available to unlicensed devices in the 5 GHz band by approximately 35
percent and would represent a significant increase in the spectrum
available for unlicensed devices across the overall radio spectrum. The
initiation of this proceeding satisfies the requirements of section
6406 (a) of the ``Middle Class Tax Relief and Job Creation Act of
2012'' which requires the Commission to begin a proceeding to modify
part 15 of title 47, Code of Federal Regulations, to allow unlicensed
U-NII devices to operate in the 5350-5470 MHz band. The Commission
believes that an increase in capacity gained from 195 megahertz of
additional spectrum, combined with the ease of deployment and
operational flexibility provided by its U-NII rules would continue to
foster the development of new and innovative unlicensed devices, and
increase wireless broadband access and investment.
Background
3. Part 15 of the Commission's rules permits the operation of radio
frequency devices without issuing individual licenses to operators of
these devices. The Commission's part 15 rules are designed to ensure
that there is a low probability that these devices will cause harmful
interference to other users of the same or adjacent spectrum.
Typically, unlicensed devices operate at very low power over relatively
short distances, and often employ various techniques, such as dynamic
spectrum access or listen-before-talk protocols, to reduce the
interference risk to others as well as themselves. The primary
operating condition for unlicensed devices is that the operator must
accept whatever interference is received and must correct whatever
interference it causes. Should harmful interference occur, the operator
is required to
[[Page 21322]]
immediately correct the interference problem or cease operation.
4. In 1997, the Commission made available 300 megahertz of spectrum
at 5.15-5.25 GHz (referred to hereinafter as U-NII-1), 5.25-5.35 GHz
(referred to hereinafter as U-NII-2A), and 5.725-5.825 GHz (referred to
hereinafter as U-NII-3) for use by a new category of unlicensed
equipment, called U-NII devices which are regulated under part 15,
Subpart E of the Commission's rules. In 2003, the Commission made an
additional 255 megahertz of spectrum available in the 5.47-5.725 GHz
(referred to hereinafter as U-NII-2C) for U-NII devices. These actions
align the frequency bands used by U-NII devices in the United States
with the frequency bands used by U-NII devices in other parts of the
world, thus decreasing development and manufacturing costs by allowing
for the same products to be used in most parts of the world.
5. The U-NII-1 band is allocated on a primary basis to the
Aeronautical Radionavigation Service for both Federal and non-Federal
operations and on a primary basis for Fixed Satellite Service (Earth-
to-space) for non-Federal operations. The U-NII-2A band is allocated on
a primary basis to the Earth Exploration Satellite (active),
Radiolocation, and Space Research (active) Services for Federal
operation, and for non-Federal operation on a secondary basis.
6. The U-NII-2C band is allocated on a primary basis to the
Radiolocation Service for Federal operation. The sub-band at 5.47-5.65
GHz band is allocated on a primary basis to the Radiolocation Service
for non-Federal operation, and on a primary basis to the Maritime
Radionavigation Service for both Federal and non-Federal operations.
The 5.47-5.570 GHz band segment is allocated on a primary basis to the
Earth Exploration-Satellite (active) and Space Research (active)
Services for Federal operation and on the secondary basis for non-
Federal operation. The 5.6-5.65 GHz band segment is allocated on a
primary basis to the Meteorological Aids Service for both Federal and
non-Federal operations. The band segment at 5.65-5.725 GHz is allocated
on a secondary basis to the Amateur Radio Service for non-Federal
operation.
7. The U-NII-3 band is allocated on a primary basis to the
Radiolocation Service for Federal operation, and is allocated on a
secondary basis to the Amateur Radio Service for non-Federal operation.
8. In early 2009, Federal Aviation Administration (FAA) reported
interference to their Terminal Doppler Weather Radar (TDWR) that
operates within the 5.60-5.65 GHz band. Early field studies performed
by the National Telecommunications and Information Administration's
(NTIA's) Institute for Telecommunications Sciences (ITS) and FAA staff
indicated the interference sources were unlicensed U-NII devices that
incorporated dynamic frequency selection (DFS), from different
manufacturers, and operated in the same frequency band as these Federal
radar systems.
9. The Commission brought together all of the principal parties
including NTIA, FAA, industry participants and the FCC's Enforcement
Bureau and Office of Engineering and Technology to analyze the
interference situation. Based on these investigations, the Commission
has taken actions to mitigate the interference situation, including
issuing enforcement advisories to heighten users' awareness of TDWR
interference issues, and the Office of Engineering and Technology has
placed conditions on U-NII device certifications to curtail the
interference risk. The Commission also has sent enforcement teams to
work with FAA staff in the field, and has taken enforcement actions
against operators of U-NII devices that caused interference to TDWR
installations including issuing Letters of Inquiry and Notices of
Apparent Liability for Forfeitures to operators found to be causing
interference. Most of these interference cases were caused by devices
not certified for operation in the U-NII-2C band, which includes the
5.6-5.65 GHz band used by the TDWRs. Instead, these devices had been
certified for operation in the U-NII-3 band, either as U-NII devices
under Sec. 15.407 of the Commission's rules or as digitally modulated
intentional radiators under Sec. 15.247 of the Commission's rules, and
which were operating at high power levels in elevated locations. The
Commission's investigations found that most U-NII devices are
manufactured to enable operation across a wide range of frequencies,
extending down into the 4-GHz bands and up to almost 6 GHz. In many
cases, the interference was caused by third parties modifying software
configurations to enable operation in frequency bands other than those
for which the device had been certified but without meeting the
technical requirements for operation in those frequency bands. There
was also an issue with devices that employed frame based architectures
that allowed operators to reconfigure the talk/listen ratio of their
devices.
10. In recent years, there has been an industry wide push to
increase the amount of spectrum available for unlicensed use. In June
2010, the President issued an Executive Memorandum that encouraged the
Commission to work closely with the Department of Commerce, through
NTIA, to make available a total of 500 megahertz for commercial mobile
and fixed wireless broadband use by the year 2020. The FCC's 2010
National Broadband Plan recommended that the Commission make available
500 megahertz of new spectrum for wireless broadband within 10 years.
In analyzing the need for broadband spectrum, the Commission also
concluded that nearly 300 megahertz of spectrum is needed by 2014, and
that making available additional spectrum for mobile broadband would
create value in excess of $100 billion through avoidance of unnecessary
costs.
11. In addition, Congress has enacted legislation that addresses
unlicensed use of the 5 GHz band. The Spectrum Act requires the
Commission to begin a proceeding to modify part 15 title 47, Code of
Federal Regulations (CFR), to allow unlicensed U-NII devices to operate
in the 5.35-5.47 GHz band (referred to hereinafter as U-NII-2B) no
later than 1 year after the date of the enactment of the Act if, in
consultation with the Assistant Secretary of Commerce (i.e., the NTIA
Administrator), it determines that licensees will be protected by
technical solutions and that the primary mission of Federal spectrum
users in the band will not be compromised by the introduction of
unlicensed devices in this band.
12. The Spectrum Act also requires NTIA, in consultation with the
Department of Defense and other impacted agencies, to conduct a study
evaluating known and proposed spectrum sharing technologies and the
risks to Federal users if unlicensed U-NII devices were allowed to
operate in the U-NII-2B band as well as in the 5.85-5.925 GHz band
(referred to hereinafter as U-NII-4). NTIA was required to publish a
report on the U-NII-2B band no later than 8 months after the date of
enactment of the Spectrum Act and a report on the 5.85-5.925 GHz band
(referred to hereinafter as U-NII-4) no later than 18 months after the
date of enactment of the Spectrum Act. NTIA published a report
(hereinafter referred to as ``NTIA 5 GHz Report'') on both the U-NII-2B
and U-NII-4 bands on January 25, 2013.
Notice of Proposed Rulemaking
13. In the NPRM, the Commission took the first steps towards
ensuring the U-NII bands continue to meet the demand for broadband
spectrum, while ensuring protection of authorized
[[Page 21323]]
operations, by proposing modifications to the part 15 rules. In
particular, the Commission is proposing to align the provisions for
operation of digitally modulated devices in the 5.725-5.85 GHz band,
now permitted under Sec. 15.247 of its rules, with the rules for the
U-NII-3 band under Sec. 15.407. This will expand the U-NII-3 band by
25 megahertz and provide consistent rules across 125 megahertz of
spectrum. The Commission also seeks comment on aligning the power
limits and permissible location for operations in the U-NII-1 and U-
NII-2A bands to permit the introduction of a new generation of wireless
devices in 200 megahertz of contiguous spectrum.
14. The Commission also addresses ways to ensure compliance with
its rules across all of the U-NII bands and, in particular, the U-NII-
2A and U-NII-2C bands to curtail interference to incumbent Federal
operations (e.g. TDWR installations). The Commission seeks comment on
various ways to prevent unlawful modification and operation of
unlicensed devices in the U-NII bands as well as compliance issues that
are likely to arise as the Commission moves toward wider bandwidth
systems operating across multiple U-NII bands. Although some of the
methods discussed would ensure that manufacturers and users comply with
the Commission's requirements across any of the U-NII band segments,
the Commission also seeks comment on some techniques that may be useful
mainly in curtailing interference to incumbent Federal operations, such
as Terminal Doppler Weather radar (TDWR) installations, in the U-NII-2A
and U-NII-2C bands, such as geo-location and database registration,
unwanted emissions limits, and guard band requirements. The Commission
also seeks comment on several issues specific to the U-NII-2A and U-
NII-2C bands regarding DFS functionality, the sensing threshold for co-
channel operation, and revised DFS measurement procedures. The
Commission asks that commenters address the benefits of adopting any of
the proposals in the NPRM as well as the costs to do so, and that they
weigh and compare the benefits and costs in each case. This assessment
should address which costs should be borne by U-NII device
manufacturers, U-NII device operators or other third parties, as
appropriate.
15. In the NPRM, the Commission also seeks comment on modifying
part 15 Subpart E of the Commission's rules governing the operation of
U-NII devices to make available an additional 195 megahertz of spectrum
in the 5.350-5.470 GHz (U-NII-2B) and 5.850-5.925 GHz (U-NII-4) bands.
This would increase the spectrum available to unlicensed devices in the
5 GHz band by nearly 35 percent and would represent a significant
increase in spectrum available for unlicensed operations. Finally, The
Commission seeks comment on transition periods for requiring compliance
with any modified rules that the Commission ultimately adopts in this
proceeding.
A. The Current U-NII Bands
1. Unlicensed Operations in the U-NII-3 Band
16. The Commission believes that now is an appropriate time to
review its rules to eliminate the disparity and decrease the complexity
associated with interpreting its rules for digitally modulated devices
operating in the U-NII-3 band under Sec. 15.407 and in the 5.725-5.85
GHz band under Sec. 15.247 The Commission believes the changes
proposed will ensure compliance with requirements designed to protect
authorized services in the U-NII bands, simplify the Commission's
authorization procedures, and reduce certification cost for
manufacturers of these devices. The spectrum ecosystem has changed
considerably since the Commission allowed the certification of
``digitally modulated'' devices. For example, the standards for
wireless broadband devices are now capable of producing data rates in
excess of 1 Gbits/s. In addition, devices are now able to utilize
advances in antenna technology that allow the multiple data streams to
be transmitted over multiple antennas. This provides an opportunity for
the Commission to reflect on recent industry developments and propose
new rules that have the potential to increase consistency in the
process of certifying 5 GHz wireless broadband devices, while
continuing to protect authorized services.
17. The Commission is proposing two changes that will eliminate the
disparity in its rules for 5.7 GHz digitally modulated devices. First,
the Commission proposes to extend the upper edge of the U-NII-3 band
from 5.825 GHz to 5.85 GHz to match the amount of spectrum available
for digitally modulated devices under Sec. 15.247. The Commission
believes that this change would eliminate the complexity and costs
associated with multiple rule part certifications for these devices
which are technically similar. Adopting this proposal would not
increase the potential for harmful interference because this 25
megahertz segment is already available for devices certified under
Sec. 15.247. The Commission seeks comment on the potential benefits of
expanding the U-NII-3 band to include an additional 25 megahertz of
spectrum at the upper band edge. The Commission invites comment on
whether there are cost advantages of this proposal. The Commission asks
that commenter's assessment of adopting the proposal weigh and compare
the benefits and costs to do so. This assessment should address which
costs should be borne by U-NII device manufacturers, U-NII device
operators or other third parties, as appropriate.
18. Second, the Commission proposes to consolidate all equipment
authorizations for digitally modulated devices in the 5.725-5.85 GHz
band under the U-NII rules, while maintaining many of the technical
rules that currently make equipment authorization under Sec. 15.247
more attractive for equipment manufacturers. The Commission also
proposes to remove the 5.725-5.85 GHz band for digital modulation
devices from Sec. 15.247. By doing this, the Commission will ensure
that all digitally modulated equipment, which is technically similar,
operates under a single rule part using identical technical rules. The
Commission proposes to modify Sec. 15.407 for digitally modulated
devices and it seeks comment on all of these proposed rule changes. The
Commission invites comment on the benefits of adopting any of the
proposed rule changes below as well as the costs to do so. The
Commission asks that commenter's assessment of adopting the proposals
weigh and compare the benefits and costs to do so. This assessment
should address which costs should be borne by U-NII device
manufacturers, U-NII device operators or other third parties, as
appropriate.
19. Frequency Band. Section 15.247 allows operation throughout the
5.725-5.85 GHz band, while Sec. 15.407 allows operation only in the
5.725-5.825 GHz band. The extra 25 megahertz of spectrum that is
allowed under Sec. 15.247 provides incentive for device manufacturers
to certify devices under that rule rather than under Sec. 15.407. The
Commission proposes to expand the frequency band of operation in Sec.
15.407 to include the 5.825-5.85 GHz band. This will allow U-NII-3
devices to operate across the full range of spectrum that can currently
be accessed by digitally modulated devices under Sec. 15.247.
20. Power. Section 15.247 allows 1 Watt of total peak conducted
power (alternate measurement procedures are permitted), whereas Sec.
15.407 limits
[[Page 21324]]
maximum conducted output power to the lesser of 1 Watt or 17 dBm + 10
log B (in MHz, alternate measurement procedure in Sec. 15.247 is
required). In addition to the 1 watt power limit, there is a separate
power spectral density (PSD) limit in both Sec. Sec. 15.247 and 15.407
such that 1 Watt of total power is available only when the 6-dB
bandwidth is 500 kilohertz or more under Sec. 15.247 and when the 26-
dB bandwidth is 20 megahertz or more under Sec. 15.407. Because the
Commission is trying to accommodate digitally modulated devices that
are currently permitted under both rules, the Commission proposes to
remove the bandwidth dependent term (i.e., remove 17 + 10 log B) from
Sec. 15.407 so that the power limit will be 1 Watt. The Commission
does not believe removing the variable power limit in Sec. 15.407
would increase any potential for interference, because under current
rules manufacturers are able to certify equipment that uses up to 1
Watt of power under Sec. 15.247.
21. Power Spectral Density. Section 15.247 requires a maximum PSD
of 8 dBm/3 kHz (33 dBm/MHz), whereas Sec. 15.407 requires a maximum
PSD of 17 dBm/MHz. The only difference between these two PSD limits is
the bandwidth at which the 1 Watt total power, rather than the PSD,
becomes the limiting factor. Specifically, Sec. 15.247 allows a higher
PSD when the device emission bandwidth is between 0.5 to 20 megahertz.
Above 20 megahertz emission bandwidth, the 1 Watt power limit becomes
the limiting parameter, and PSD is the same for both Sec. Sec. 15.247
and 15.407. The Commission proposes to modify Sec. 15.407 to require
the PSD limit used in Sec. 15.247 (i.e., 8 dBm/3 kHz (33 dBm/MHz)), so
that digitally modulated devices designed to meet this limit will
continue to comply with the new PSD requirement in Sec. 15.407. This
will ease the transition of all digitally modulated devices in the
5.725-5.85 GHz band to authorization and compliance under Sec. 15.407.
The only change for digitally modulated devices will occur when
emission bandwidth is between 500 kilohertz and 20 megahertz. High-
bandwidth devices like those typically used in U-NII applications will
still be limited by 1 Watt total power, and thus the proposed change in
PSD limits would not increase the risk of any potential interference.
However, the Commission does realize that limiting the PSD to 8 dBm/kHz
(33 dBm/MHz) would result in a PSD that is higher than the total power
limit of 1 watt (30dBm). In addition, the Commission realizes that
requiring devices that employ wider bandwidths to utilize a measurement
bandwidth of 3 kHz may unnecessarily increase the time that it takes to
complete measurement tests. The Commission seeks comment on whether it
should increase the measurement bandwidth to 1 megahertz to reduce the
complexity in measurement tests. The Commission notes that changing the
measurement bandwidth would promote consistency within the U-NII rules.
Should the Commission consider implementing a different PSD limit and
measure this limit across differing bandwidths, e.g. 500 kHz or 100 kHz
measurement bandwidths?
22. Emission Bandwidth. Section 15.247 requires a minimum 6-dB
bandwidth of 500 kilohertz. No minimum or maximum bandwidth is required
under Sec. 15.407, but the emission bandwidth is defined and measured
as the 26-dB down points of the U-NII signal and is used to determine
the total power allowed under that rule. Because the Commission is
proposing to eliminate the bandwidth-dependent limit on total power,
the Commission proposes to modify Sec. 15.407 to eliminate the 26-dB
bandwidth requirement and to add the minimum 6-dB bandwidth requirement
from Sec. 15.247.
23. Antenna Gain. Under Sec. 15.247, the assumed antenna gain is 6
dBi, with a 1 dB reduction in power required for every 1 dB that the
antenna gain exceeds 6 dBi. For fixed point-to-point systems, no power
reduction is required. Section 15.407 assumes the same antenna gain of
6 dBi, with 1 dB reduction in power required for every 1 dB that gain
exceeds 6 dBi. For fixed point-to-point systems, a 1 dB reduction in
power is required for every 1 dB that gain exceeds 23 dBi. The only
difference between the two rule parts is the maximum antenna gain that
can be deployed without a penalty in transmitter power. The Commission
proposes to apply the more stringent 23 dBi maximum antenna gain that
is currently required under Sec. 15.407. The Commission believes that
using the more stringent antenna gain requirement will ensure that
there is no increase in the potential for interference from unlicensed
devices operating under the new combined rule parts.
24. Unwanted Emissions. Section 15.247(d) requires 20 dB of
attenuation (30 dB if the alternate measurement procedure detailed in
Sec. 15.247(b)(3) is used). In restricted bands, emissions must meet
the Sec. 15.209 general emission limits. Section 15.407 requires
unwanted emissions to be below -17 dBm/MHz within 10 megahertz of the
band edge, and below -27 dBm/MHz beyond 10 megahertz of the band edge.
Also, all emissions below 1 GHz must comply with the Sec. 15.209
general emission limits. The unwanted emission limits in Sec. 15.407
are somewhat more restrictive than those in Sec. 15.247. Because
unwanted emission can be reduced without affecting the utility of the
device, and because using the more stringent unwanted emissions
requirement will ensure that there is no increase in the potential for
interference from unlicensed devices operating under the new combined
rule parts, the Commission is proposing that the more restrictive
limits in Sec. 15.407 be required for digitally modulated devices.
25. Peak to Average Ratio. Section 15.407 contains a requirement to
maintain a peak-to-average ratio of no more than 13 dB across any 1
megahertz band, whereas Sec. 15.247 does not contain any peak-to-
average ratio requirement. The Commission believes that using the more
stringent peak-to-average requirement will ensure that there is no
increase in the potential for interference from unlicensed devices
operating under the new combined rule parts, thus the Commission is
proposing to keep the peak-to-average ratio requirement that is
currently in Sec. 15.407.
2. Unlicensed Operations in the U-NII-1 Band
26. The Commission adopted technical rules for the U-NII-1 band in
1997 that it believed would provide sufficient flexibility for the
introduction of a variety of short-range communication devices within
localized indoor settings. Although that vision was reasonable at the
time, the Commission finds that today--over 15 years since those rules
were adopted--the wireless device market has changed dramatically and
the assumptions made in 1997 may not be valid for today's market.
Unlicensed communication links are included in a wide variety of
devices which are increasingly mobile or portable in nature, not easily
limited to indoor locations, and often needing more power to link with
other networks at farther locations.
27. At the same time, the Commission must protect incumbent
authorized services, both Federal and non-Federal. A global network of
satellite systems in non-geostationary satellite orbit (NGSO) in the
mobile satellite service (MSS) operates feeder links in the U-NII-1
band. These NGSO/MSS feeder links require co-channel interference
protection. The Commission also needs to consider the potential for
interference to services in the bands immediately
[[Page 21325]]
adjacent to the U-NII-1 band. Microwave landing systems operate below
5.15 GHz, and the Commission has proposed to add an allocation for
Aeronautical Mobile Telemetry at 5.091-5.15 GHz.
28. The Commission seeks comment on whether the rules for the U-
NII-1 band should be modified to harmonize with the rules for the U-
NII-2A band in three areas. Specifically, the Commission seeks comment
on whether it should increase the power limits to those applicable in
the U-NII-2A band, i.e., 250 mW with a maximum EIRP of 30 dBm with 6
dBi antenna gain. The Commission also invites comment on whether the
rules for the U-NII-1 band should be modified to increase the PSD
limits to those applicable in the U-NII-2A band, i.e., 11 dBm/MHz.
Finally, the Commission seeks comment on whether the rules for the U-
NII-1 band should be modified to eliminate the restriction on outdoor
operation, and, if the Commission were to do so, whether it should
allow outdoor operation only under the current power and PSD limits for
the band or under the limits now permitted only in the U-NII-2 bands.
The Commission believes that these changes would permit a new
generation of wireless devices to be developed in the U-NII bands,
particularly if industry develops wider bandwidth devices that would
operate across multiple U-NII band segments. Harmonizing the power and
use conditions across the lower 200 megahertz of U-NII spectrum would
likely permit the introduction of a wide-range of new broadband
products capable of operating at higher data rates than is now
possible. The Commission seeks comment on these assumptions, and on the
potential impacts to incumbent services, including any suggestions for
mitigating interference.
29. The Commission also seek comment on whether the rules for the
U-NII-1 band should be modified to harmonize with the rules for the U-
NII-3 band to: (a) increase the power limits to 1 W with a maximum EIRP
of 36 dBm with 6 dBi antenna gain; (b) increase the PSD limits to 17
dBm; and (c) limit out-of-band emissions to an EIRP of -27 dBm/MHz and
(d) eliminate the restriction on outdoor operation. The Commission
believes that these changes would permit for wider bandwidth devices
that would not rely on contiguous spectrum under new Wi-Fi standards,
and would permit the introduction of more outdoor access points for
broadband use. The Commission seeks comment on these assumptions, and
on the potential impacts to incumbent services, including any
suggestions for mitigating interference.
30. The Commission invites comment on the benefits of adopting
either of these approaches as well as the costs of doing so. The
Commission asks that commenter's assessment of adopting either approach
weigh and compare the benefits and costs to do so. This assessment
should address which costs should be borne by U-NII device
manufacturers, U-NII device operators or other third parties, as
appropriate.
3. Ensuring Compliance With the Rules for the U-NII Bands
31. The Commission's Enforcement Bureau working cooperatively with
the FAA has been successful in finding and resolving a large number of
interference cases. In some cases, equipment that met the Commission's
certification standards nonetheless caused interference, due to a
variety of factors such as the configuration of the transmitter, its
height and azimuth relative to the TDWR, and the device's failure to
detect and avoid the radar signal. In many cases, however, the
Commission staff found that the interfering devices were not certified
or otherwise were not compliant with the Commission's rules. For
example, the Commission found that devices that were certified as
digital devices under Sec. 15.247 for operation in the 5.725-5.850 GHz
band had been unlawfully modified to transmit in the U-NII-2C band
without demonstrating compliance with the DFS and TPC requirements for
those bands. Typically, these modifications are made by operators of
the devices, but manufacturers have produced equipment that is easily
modified, especially through software changes, to permit devices to
operate in non-compliant modes. The Enforcement Bureau is continuing to
take action against companies for operating devices that cause
interference to the TDWRs. The Commission notes that, while the TDWRs
have been the focus of Commission investigations, DFS was designed to
protect all incumbent radar operations and modification of devices as
described poses a risk of interference to more than just TDWRs.
32. Interference studies conducted by NTIA and the FAA indicate
that there may be some potential for interference from U-NII devices
operating in frequencies occupied by or adjacent to radar systems. In
its Third Technical Report regarding the interference into the TDWRs,
NTIA explores frequency separations, distance separations, and maximum
U-NII emissions limits needed to preclude harmful interference into the
TDWR. The report analyzes the distances at which U-NII transmissions
can be expected to routinely interfere with TDWR receivers. U-NII
devices on rooftops, towers, and other high points that are 153 m to
305 m (500 to 1000 ft.) above ground level, as NTIA observed in San
Juan, PR, will interfere with a TDWR mainbeam at distances within 25 km
to 41 km (16 mi to 25 mi), respectively, of a TDWR station. The report
also specifies frequency separations necessary to protect TDWR from
interference due to unwanted emissions from U-NII devices.
33. As a result of its ongoing discussions with NTIA, FAA and
industry representatives, as well as the results of investigations
conducted by the Commission, NTIA and FAA, and, the Office of
Engineering and Technology has provided applicants for certification a
representative way for demonstrating that their U-NII devices should
not cause harmful interference to TDWR installations operating in the
U-NII-2C band and accordingly can be authorized for manufacture and
use. Specifically, OET has advised applicants that it will approve such
devices upon assurance by the applicant that: (a) U-NII devices may not
operate co-frequency with TDWR operations at 5.6-5.65 GHz; (b) grantee
will provide owners, operators and installers of these devices with
instructions that a master or client device within 35 km of a TDWR
location must be separated by at least 30 megahertz (center-to-center)
from the TDWR operating frequency and procedures for registering the
devices in an industry-sponsored database; (c) the device does not
include configuration controls to change the frequency of operation to
any frequency other than those specified in the grant of certification;
and (d) the device's software configurations do not allow for ad hoc
networking, country code selection, or other mode of operation that
would disable the DFS functionality of the U-NII device.
34. The interference cases the Commission has seen to date raise
serious concerns with ensuring compliance with the Commission's rules
in the U-NII-2C band, but there are other circumstances that also make
this an opportune time for the Commission to consider compliance issues
across the 5 GHz U-NII bands. For example, unlicensed wireless
broadband device manufactures are now designing devices employing wider
bandwidths (e.g., IEEE 802.11ac standard currently in development)
using transmitters that are capable of operating across two or more U-
NII bands. When devices are designed to operate across multiple
frequency
[[Page 21326]]
bands, the Commission's rules require that applicants demonstrate
compliance with the rules for each of the individual frequency bands in
which they intend to operate in order to be certified for operation in
each band.
35. The Commission expects that more and more devices with even
wider bandwidths will continue to be introduced in the 5 GHz band in
the not too distant future as a result of new technical standards. The
introduction of wider bandwidths under the IEEE 802.11ac standard
presents complex issues for emissions testing to demonstrate compliance
with the various requirements in the different U-NII bands. The Office
of Engineering and Technology has published two guidance documents
addressing these issues for testing of devices designed under this new
standard as well as ``pre-ac'' devices, taking into account the current
rules that permit authorization of digitally modulated devices under
both Sec. Sec. 15.407 and 15.247.
36. The Commission, NTIA, and the FAA have been working with
manufacturers of U-NII devices and the WISPA to fully understand the
causes of interference to TDWR systems and to identify ways to mitigate
and significantly reduce the likelihood of interference. The Commission
believes the rules proposed herein, in addition to continuing
enforcement efforts, will enable us to achieve this goal while allowing
U-NII devices to continue to operate successfully in the 5 GHz band.
37. Wireless networking devices that operate within the 5 GHz band
typically have similar operational parameters, so that a device
certified for operation in any one of the 5 GHz frequency bands,
whether a U-NII band or not, can be easily tuned to another frequency
band in the same spectrum range through software modifications. The
Commission's experience with these devices shows that some of these
devices are designed so that end-users can modify them to operate in
bands for which they are not certified and thus do not meet the
specific requirements intended to protect sensitive incumbent services.
For example, in some recent interference cases investigated by the
Commission's Enforcement Bureau, operators of devices certified under
Sec. 15.247 were tuned down into the U-NII-2C frequency band and
operated with a higher gain antenna than what is permitted by the
Commission's U-NII rules. The modification of devices in this manner
resulted in both in-band and out-of-band emissions that were far in
excess of what Sec. 15.407 allows in the U-NII-2C band. Such unlawful
modification and operation of these devices could considerably increase
the distance at which these non-compliant devices cause harmful
interference to incumbent services. The Commission believes that its
proposals, discussed to authorize all digitally modulated devices under
identical rules in a modified Sec. 15.407 will allow the Commission to
more effectively and efficiently address interference risk to incumbent
operations in the U-NII-2C and U-NII-3 bands.
38. The Commission believes that it should consider additional
steps to further reduce the likelihood of interference not only to TDWR
systems but to all other incumbent services in the 5 GHz bands as more
composite and wideband devices are introduced across the 5 GHz band.
The Commission recognizes that one of the difficulties in ensuring
compliance with its current rules comes from the fact that these
devices can easily be re-configured by operators modifying the software
that controls the device's operational parameters, such as frequency
band. This makes it difficult for the Commission not only to ensure
compliance with its rules but also to enforce those rules.
39. Because the current and future use of the 5 GHz bands is
heavily reliant on the successful implementation of the Commission's
technical rules, the Commission proposes to require that manufacturers
implement security features in any digitally modulated device capable
of operating in the U-NII bands, so that third parties are not able to
reprogram the devices to operate outside the parameters for which the
device was certified. The Commission proposes and seeks comment on
adopting this safeguard regardless of whether or how it modifies Sec.
15.247 or Sec. 15.407. The Commission is particularly concerned that
U-NII devices--which are not certified under the rules as software
defined radios (SDRs) and thus may lack safeguards that are required
for certified SDRs--may nevertheless be susceptible to manipulation by
third parties who can modify the operating parameters of country code,
frequency range, modulation type, maximum output power or the
circumstances under which the transmitter has been approved.
Specifically, the Commission seeks comment on whether it should require
manufacturers to make it difficult for third parties to reprogram the
embedded transmitter chip in certified devices. For example, should the
Commission require that manufacturers ensure that modifying or
reconfiguring firmware or software will make a device inoperable in
certain bands? The Commission also seeks comment on whether it should
require U-NII devices to transmit identifying information so that, in
the event interference to authorized users occurs, the Commission can
identify the source of interference and its location. What type of
information should be transmitted and in what format?
40. Although the Commission believes that requiring manufacturers
to secure the software in their radios to prevent modifications by
third parties provides a clear public benefit in ensuring that these
devices comply with the rules as more devices are introduced and the
number of users increases, the Commission recognizes that this
requirement will add some cost to these devices. The Commission seeks
comment on the proposals discussed, particularly information on the
costs to manufacturers for implementing them. The Commission invites
comment on the benefits of adopting these proposals as well as the
costs to do so. The Commission asks that commenter's assessment of
adopting the proposals weigh and compare the benefits and costs to do
so. This assessment should address which costs should be borne by U-NII
device manufacturers, U-NII device operators or other third parties, as
appropriate.
41. The Commission believes that its proposals to modify the
technical rules in the U-NII-3 band, along with its proposal to enhance
the security requirements of all U-NII devices, would have prevented
most of the interference cases that the Commission has observed to
date. The Commission also notes, however, that the NTIA Third Technical
Report and its own discussions with NTIA, FAA and industry
representatives have identified additional techniques that could
mitigate in-band and adjacent band interference to incumbents. These
include using a database registration process combined with geo-
location technology to determine whether there is any potential
interference to radar systems such as the TDWR; limiting the unwanted
emission levels of the U-NII devices; or increasing the sensing
frequency range (e.g., detection bandwidth) of U-NII devices operating
in the U-NII-2A and U-NII-2C bands. These other techniques, could
supplement or replace the assurances (described in paragraph 45 of the
NPRM) that OET has accepted from certification applicants on an ad-hoc
basis as sufficient to address interference concerns that might
otherwise warrant denial of equipment certification requests for U-NII
devices in the U-NII-2C band. The Commission
[[Page 21327]]
also observes that these techniques would place responsibility on
users, rather than on manufacturers, for mitigating interference. The
Commission invites comment on whether the security requirements it is
proposing to place on U-NII devices, along with the more stringent
unwanted emission limits that it is proposing for devices that would
previously have been certified under Sec. 15.247, are sufficient to
protect incumbent radar operations, including TDWR installations, from
interference, or whether the Commission should further modify its rules
to require implementation of other techniques. In particular, the
Commission seeks comment on the likely effectiveness of each technique
discussed in reducing the incidence of interference to TDWR systems or
other incumbent operations by ensuring compliance with and in
facilitating enforcement of its rules. The Commission invites comment
on whether any of these techniques would be beneficial in protecting
other incumbents from interference, not only in the U-NII-2C band but
also in other segments of the 5 GHz band. The Commission invites
comment on the benefits of adopting any of the methods discussed as
well as the costs to do so. The Commission asks that commenters'
assessment of adopting any of the methods weigh and compare the
benefits and costs to do so. This assessment should address which costs
should be borne by U-NII device manufacturers, U-NII device operators
or other third parties, as appropriate.
42. Geo-Location/Database: The NTIA Third Technical Report
specifies the frequency separations and distance separations needed to
preclude interference from U-NII devices into the TDWR under the study
conditions used for NTIA's investigation. The separation requirements
differ for the various types of devices, but, in general, as the
frequency separation increases the required separation distance between
the U-NII devices and the TDWR decreases. For example, with main-beam
coupling and 30 megahertz of frequency separation from 20
megahertz-wide 802.11-based U-NII devices operating at an EIRP of 17
dBm, a TDWR needs a protection distance of 11 km. For 40 megahertz-wide
802.11 devices with a frequency separation of 30 megahertz,
the distance is 35 km; that distance is reduced to 15 km at a frequency
separation of 50 megahertz above the center frequency and 10 km below
the center frequency with a 50 megahertz frequency separation. As
noted, the Office of Engineering and Technology has implemented these
geographic and frequency separations as part of its equipment
authorization program. Industry representatives have recommended to
Commission staff that the Commission should implement these protections
for high power point-to-point systems, and have argued that no
additional limits or requirements are necessary for lower power, indoor
systems. The Commission seeks comment on whether it should require
these geographic and frequency separations from TDWR and other Federal
radars operating in the U-NII-2C band for high power outdoor U-NII
devices authorized for operation in this band. How should the
Commission define and distinguish outdoor versus indoor U-NII devices,
or high power versus low power U-NII devices? How would the Commission
enforce compliance with these distinctions?
43. One way to implement frequency and distance separation
requirements is to require geo-location and database registration.
Because the TDWR locations are known and somewhat limited in number,
implementation of geo-location and database registration might be very
straightforward and easy to accomplish. With this interference
avoidance method, the location of an unlicensed device could be
determined by a professional installer or by using geo-location
technology such as GPS incorporated within the device. Using either of
these methods, a user could determine from either an internal or
external database whether the unlicensed device is located far enough
from the TDWR to avoid causing harmful interference; if not, it could
transmit on a frequency farther away from the TDWR's center frequency.
CSMAC, for example, recommends implementing a Dynamic Database approach
to device authorization. On a going-forward basis, devices and systems
sharing a band would be ``connected'' devices and a geo-location/
database approach could enforce permission and terms-of-use updates on
an automated basis. The concept of database-enabled cognitive radios
can lend itself to many applications, including ultimately sharing
spectrum with Federal users. As noted, a voluntary database has been
implemented by WISPA, which disseminates the location of TDWR to WISPs
and encourages operators that install devices within 35 km or the line-
of-sight of a TDWR, to operate at least 30 megahertz away from the TDWR
operation frequencies. WISPA has also agreed to voluntarily provide a
database where WISPs can register the locations of the outdoor
transmitters that they use. The Commission seeks comment on whether,
given the limited number of TDWR locations, a geo-location/database
approach could be effectively implemented and maintained for numerous
U-NII devices that would operate in the 5.6-5.65 GHz band. How will
this approach protect other incumbent operations?
44. The Commission recognizes that its rules already require radar
avoidance via the DFS mechanism. The Commission further recognizes that
requiring the implementation of a database for TDWR could increase the
complexity of U-NII devices if the Commission were to require that they
include a geo-location capability. Alternatively, the Commission could
modify its rules to specifically require professional installation and
permit manufacturers to pass on this cost to the user of the device. In
addition, a database for registering TDWR locations and, perhaps, U-NII
device users and locations as well would entail some cost to establish
and maintain. The Commission seeks comment on what the cost would be to
implement geo-location/database protection, what the requirements
should be, and how to define ``professional installation.'' The
Commission also seeks comment on whether requiring the implementation
of both DFS and geo-location interference protection mechanisms would
be overly burdensome for equipment manufacturers and whether it is
necessary to require both. Are there alternative approaches that can be
implemented to protect the incumbent radar systems? Because higher
power outdoor devices (such as those used by Wireless Internet Service
Providers) in the U-NII-2C band have a greater potential to cause
harmful inference as compared to lower power consumer type devices, the
Commission requests comment on whether a geo-location/database
requirement should apply only to those devices or to lower power indoor
U-NII devices as well.
45. Unwanted emission limits. Emissions outside of the U-NII
device's occupied bandwidth may have the potential to cause harmful
interference into TDWR. Aside from increasing frequency separation or
distance separation, U-NII devices may avoid causing interference by
lowering the emissions on the radar's fundamental frequency. This
equates to lowering all emissions from U-NII devices at the frequencies
outside of the device's operating bandwidth. The Commission seeks
comment as to whether TPC also contributes to reductions in unwanted
emissions. For example, if the TPC
[[Page 21328]]
function reduces the fundamental power level by 1 dB, is there a
corresponding 1 dB reduction in unwanted emissions?
46. NTIA's report details the measurements and analysis that
determine the power levels at which TDWR receivers experience
interference from U-NII emissions at an interference-to-noise (I/N)
ratio of -8 dB. In its report, NTIA finds that the maximum allowable
co-channel interference power that can be received in the TDWR without
exceeding the I/N level of -8 dB is shown to be -119 dBm/MHz at the
antenna terminals. This equates, for example, to a mainbeam-to-mainbeam
interference power density of 43 dBm/MHz between TDWR and U-NII
transmitters at a distance of 8 km, or an interference power density of
-22 dBm/MHz when the mainbeam of the U-NII device is in the TDWR
sidelobe at a distance of 2 km. These power density thresholds are a
function of separation distance between TDWR receivers and U-NII
transmitters as well as the receive antenna gain of the TDWR in the
direction of the U-NII transmitter.
47. The Commission's existing rules for the U-NII-2C band specify
that the peak power spectral density shall not exceed 11 dBm in any 1
megahertz band. If transmitting antennas of directional gain greater
than 6 dBi are used, both the maximum conducted output power and the
peak power spectral density must be reduced by the amount in dB that
the directional gain of the antenna exceeds 6 dBi. These rules
implicitly allow a maximum EIRP of 17 dBm/MHz in the U-NII-2C band.
Additionally, for devices operating within the U-NII-2C band, the
Commission's rules specify that all emissions transmitted outside of
the U-NII-2C band shall not exceed an EIRP of -27 dBm/MHz. The
Commission recognizes, based on NTIA's report, that these two limits
may not be sufficient to protect the TDWR from adjacent channel
emissions from U-NII devices. Accordingly, the Commission seeks comment
on whether requiring new unwanted emission limits for U-NII devices
operating in the U-NII-2A and UNII-2C bands is appropriate and whether
the Commission should modify its emission limits to reflect NTIA's
findings.
48. If the Commission were to impose new limits on U-NII devices,
as suggested, the Commission believes that different limits can be set
for lower power indoor and higher power outdoor devices. For indoor
devices, the Commission believes that setting an out-of-channel
emissions limit of -27dBm/MHz maximum EIRP may be appropriate because
building materials would likely further attenuate these emissions. When
measured outside of the building, the emissions from an indoor device
would likely drop to a level that would appear as no more than -41dbm/
MHz. An out-of-channel emissions limit of -41 dBm/MHz for outdoor
devices may be appropriate as well. The Commission seeks comment on
modifying its rules to adopt these out-of-channel limits for indoor
versus outdoor U-NII devices, including how the Commission should
define the terms ``indoor'' and ``outdoor'', and how different
operating requirements for indoor versus outdoor operations can be
accommodated through the Commission's equipment authorization and the
Commission's enforcement procedures.
49. As an alternative, if the Commission determines that reductions
in unwanted emissions are necessary, the Commission could allow outdoor
devices to operate with an out-of-channel emissions limit of -27 dBm/
MHz peak EIRP as long as the separation distance between the device and
the TDWR is at least 53 km. Should the Commission impose this new out-
of-channel limit based on the maximum power levels of the devices
rather than whether a device is based indoor or outdoor? For instance,
the Commission recognizes that lower power device devices provide
short-range communications, such as those between computing devices
within a very local area and therefore pose less of a potential risk to
TDWR operations. Higher power devices, however, are intended to be used
in an outdoor environment for longer-range communications. The
Commission seeks comment on the assumptions made in its analysis.
50. Sensing. If the Commission decides to require that a U-NII
device move more than 30 megahertz in frequency from the TDWR, one way
to enable this is to require the U-NII device to sense for radar in the
channels adjacent to its occupied bandwidth. This will ensure that the
unwanted emissions from U-NII devices are placed far enough away in
frequency from the TDWR fundamental frequency to preclude harmful
interference. The Commission seeks comment on this alternative
approach.
51. The DFS mechanism is designed to avoid co-channel interference
to the TDWR by dynamically detecting radar signals and avoiding co-
channel operation with those systems. The efficacy of the DFS mechanism
is dependent upon the U-NII device's ability to detect and avoid a
radar pulse within a region of its occupied bandwidth. Specifically,
the current measurement procedures require that a U-NII device sense
for radar across 80 percent of its occupied bandwidth. With respect to
the remaining 20 percent, the Commission does not require sensing in a
10 percent region above or below the occupied bandwidth. The Commission
recognizes that currently implementation of the sensing bandwidth will
ensure co-channel interference protection only when the radar signal
falls within 80 percent of the U-NII device's occupied bandwidth.
Therefore, it is possible for the U-NII device to transmit on the same
frequency as the radar when the radar signal falls within the 20
percent of occupied bandwidth that does not require sensing. When the
radar signal falls within the region of occupied bandwidth that does
not require sensing, the U-NII device will continue to transmit. This
could result in simultaneous and overlapping transmissions from the U-
NII device and the TDWR, which would increase the potential for harmful
interference.
52. In addition, NTIA's Third Technical Report suggests that
adjacent channel interference is possible when the frequency separation
between the radar and the U-NII device is less than a specified amount.
For example, when a radar signal falls outside of the sensing bandwidth
and occupied bandwidth, and is within 30 megahertz from the U-NII
devices' fundamental frequency, the unwanted emissions from the U-NII
devices could still cause harmful interference to the TDWR. If the
Commission requires that U-NII devices sense for radar on the
frequencies immediately adjacent to the occupied bandwidth, the
Commission would ensure that the fundamental frequency is more than 30
megahertz away from the radar.
53. The Commission seeks comment on whether it should implement a
rule requiring that U-NII devices sense for radar signals at or
exceeding 100 percent of its occupied bandwidth, or whether the
Commission should continue to reference this, as it does now, as part
of the U-NII measurement procedures. The Commission believes that
expanding the sensing bandwidth will prevent the co-channel operations
between U-NII devices and radars receiver and thus will reduce the
potential for harmful interference. The Commission also invites comment
on the technical difficulty and cost of implementing this capability in
U-NII devices.
[[Page 21329]]
4. The U-NII-2A and U-NII-2C Bands
54. DFS is an essential element allowing U-NII devices to share the
U-NII-2A and U-NII-2C bands successfully with vital government and
military radar systems. As the Commission has gained experience with
these devices and the implementation of DFS in the field, it is
proposing changes in three areas to improve the utility and reliability
of this function, thus ensuring that incumbent services in these bands
are protected from interference. These changes include lowering the
permitted PSD for lower power devices that use the relaxed sensing
threshold, and modifying the Bin-1 radar simulating waveform used in
the measurement procedures. The Commission believes that these changes
will reduce the potential for co-channel interference to the TDWR and
other radar systems. The Commission is also proposing to remove the
uniform channel loading requirement found in the U-NII measurement
procedures.
55. DFS Functionality. To be certified for operation in the U-NII-
2A and U-NII-2C bands, devices must include a DFS radar detection
function. In its field investigations, the Commission's Enforcement
Bureau found that certain models of devices certified for use in these
bands were designed so that users could disable the DFS mechanism by
setting the device's operating mode to ``Compliance test.'' In other
cases, the device's DFS mechanism could be turned off by manually
changing the ``Country Code'' for the device. If the DFS mechanism is
not active, the device could transmit on an active radar channel and
cause harmful interference. The Commission therefore proposes that
manufacturers prevent the DFS mechanism from being disabled in devices
certified to operate in the U-NII-2A and U-NII-2C bands. The Commission
also proposes that U-NII devices certified to operate in these bands
must be operated with the DFS function on.
56. Recently, the Office of Engineering and Technology has had to
clarify which types of U-NII devices are required to demonstrate
compliance with the DFS requirement. The Commission knows that many U-
NII devices operate in a master-client configuration, i.e., the master
device controls the operational parameters of the client devices.
Typically, DFS-enabled master devices would include both the radar
sensing and DFS functions, but new configurations are being designed.
For example, radios can operate in a network configuration with the
sensing function distributed among various ``client'' devices. Also,
some radios are designed so that they can communicate directly with
each other, rather than through a control point, and thus they could
function as either a ``master'' that initiates a network or as a
``client'' device within the network. The Commission proposes that any
U-NII device that is subject to the DFS requirements in Sec. 15.407
that is capable of initiating a network must have radar detection
functionality and must be approved with that capability.
57. The Commission believes that responsible operation of U-NII
devices in these bands is a joint responsibility of both manufacturers
and users. The Commission seeks comment on these proposals regarding
DFS functionality as well as information on costs to implement them.
The Commission also invites comment on whether the DFS requirement has
limited in any way the types of applications that have been or could be
implemented in the U-NII-2A and U-NII-2C bands, particularly if wider
bandwidth devices are deployed in this spectrum. The Commission invites
comment on the benefits of adopting this proposal as well as the costs
to do so. The Commission asks that commenters' assessments of adopting
the proposal weigh and compare the benefits and costs to doing so. This
assessment should address which costs should be borne by U-NII device
manufacturers, U-NII device operators or other third parties, as
appropriate.
58. Sensing Threshold for Co-channel operation: The current rules
require that the DFS mechanism continuously monitor the device's
environment for the presence of radar, both prior to and during
operation. The Commission further requires that U-NII devices certified
under the rules use two detection thresholds to ascertain whether radar
signals were present. The required threshold levels are:
(a) 62 dBm for lower power devices with a maximum EIRP less than
200 mW (23 dBm), and (b) -64 dBm for higher power devices with a
maximum EIRP between 200 mW (23 dBm) and 1 W (30 dBm), averaged over 1
[micro]s. The Commission also requires that the conducted peak power
spectral density shall not exceed 11 dBm in any 1 megahertz band. If
transmitting antennas of directional gain greater than 6 dBi are used,
the Commission requires that both the maximum conducted output power
and the power spectral density be reduced by the amount in dB that the
directional gain of the antenna exceeds 6 dBi. Thus, the implicit limit
on the EIRP spectral density is 17 dBm in any 1 megahertz band.
59. The lower power U-NII devices are permitted to use the relaxed
sensing threshold because the range at which these devices can
potentially cause interference is reduced and thus they are allowed to
operate closer to the radar. In order to ensure that interference
potential does not increase with the use of the relaxed sensing
threshold, the Commission believes that applying a reduction in EIRP
spectral density for devices that use the -62 dBm sensing threshold is
appropriate. The Commission proposes that devices must operate with
both an EIRP of less than 200 mW (23 dBm), and an EIRP spectral density
of less than 10 dBm/MHz (10 mW/MHz), in order to use the relaxed
sensing detection threshold of -62 dBm. Devices that do not meet the
proposed EIRP and EIRP spectral density requirements must use the -64
dBm sensing threshold. The proposed changes will further enhance
protection for radars from co-channel interference by reducing both the
range and the in-band spectral density emissions of the U-NII device.
The Commission seeks comment on this proposal, including the cost to
manufacturers to implement it. The Commission notes that a reduction in
the EIRP spectral density limit would be consistent with recent actions
taken by European Telecommunications Standards Institute (ETSI).
Specifically, ETSI chose to restrict a device's use of the relaxed
sensing threshold by reducing both the EIRP and the EIRP spectral
density by 7 dB to 23 dBm (200 mW) and 10 dBm/MHz (10 mW/MHz),
respectively. The Commission invites comment on the benefits of
adopting this proposal as well as the costs to do so. The Commission
asks that commenter's assessment of adopting the proposal weigh and
compare the benefits and costs to do so. This assessment should address
which costs should be borne by U-NII device manufacturers, U-NII device
operators or other third parties, as appropriate.
60. Measurement and Testing Procedures. Under Sec. 2.947(a) of the
rules, the Commission will accept data that is measured in accordance
with (1) procedures or standards set forth in bulletins or reports
prepared by the Commission's Office of Engineering and Technology
(OET), (2) procedures or standards that are acceptable to the
Commission and are published by a national engineering society, or (3)
any other measurement procedure acceptable to the Commission. With
respect to the first option, OET's most recent bulletin on measurement
procedures for U-NII devices with DFS
[[Page 21330]]
capabilities was published in 2006. NTIA has recommended modifications
to these 2006 measurement procedures, to further enhance protection for
the TDWR. The Commission invites interested parties to comment on these
modifications to the measurement procedures, which are set forth in
Appendix B of the NPRM, and to propose any additional modifications
that are appropriate. Consistent with the Commission's rules and prior
practice, the Office of Engineering and Technology will evaluate
comments on the recommended changes to the measurement procedures and
will issue updated measurement procedures in the future as needed.
61. The Commission's current rules and measurement procedures
require that the DFS function provide a uniform spreading of loading
over all available channels. The measurement procedure further explains
this provision by stating that ``Uniform Channel Spreading'' is the
spreading of U-NII devices operating over the DFS bands to avoid dense
clusters of devices operating on the same channel. Some manufacturers
comply with this requirement by using random channel selection, but the
Commission believes that similar benefits could be obtained by manual
selection of channels and may actually result in better spectrum usage
at a given location. In particular, the Commission notes that enhanced
spectrum use may be possible when devices use a very high bandwidth and
the number of usable channels is small. The Commission also notes that
the trend for U-NII devices is to operate with ever wider bandwidths.
Operation over wider bandwidths causes U-NII energy to be spread
throughout the frequency band in which the device is operating, rather
than concentrated in a narrow bandwidth. This potentially makes the
uniform channel spreading requirement unnecessary. The Commission
proposes to remove the ``Uniform Channel Spreading'' requirement from
the rules and measurement procedures. The Commission also proposes to
permit either random channel selection or manual selection of the
initial channel. For example, should the Commission permit a device to
create a master list of available channels that it would use if they
continue to be available? The Commission seeks comment on whether these
changes will, in any way, negatively impact spectrum reuse or
potentially increase interference to incumbent users. In addition, the
Commission's measurement procedures require that system testing be
performed with an MPEG test file that streams full motion video at 30
frames per second for channel loading. Experience certifying U-NII
devices has indicated that not all U-NII devices are designed for video
transmission or support the specific coding format, and so other
methods of channel loading are used. The Commission seeks comment on
whether specifying video streaming as the preferred channel loading
method for compliance measurements is as appropriate today as it was
when the measurement procedures were created, or whether the channel
loading requirement in the Commission's test procedures should be
specified in a more general manner so as only to specify that
measurements be conducted with the device under test operating in a
loaded condition. The Commission seeks comments on how it should
specify alternate means of channel loading for measurement purposes.
Additionally, the Commission seeks comment on the effects of wider U-
NII device bandwidths on channel loading requirements.
B. Future Unlicensed Operations at 5 GHz
62. The 5.35-5.47 GHz (U-NII-2B) and 5.85-5.925 GHz (U-NII-4) bands
have great potential for fostering ongoing technological innovation,
expanding broadband access, and encouraging competitive entry. The
additional spectrum also would expand opportunities for innovative
spectrum access models by creating new avenues for opportunistic and
unlicensed use of spectrum and increasing research into new spectrum
technologies. Creating ways to access spectrum under a variety of new
models, including unlicensed uses, increases opportunity for
entrepreneurs and other new market entrants to develop wireless
innovations that may not have otherwise been possible under licensed
spectrum models.
63. These bands currently are used for various Federal and non-
Federal services, and the Spectrum Act requires that the Commission
begin a proceeding to modify the part 15 rules to permit unlicensed
devices in the U-NII-2B band if, in consultation with NTIA, it
determines that licensed users will be protected by technical solutions
and that the primary mission of Federal spectrum users will not be
compromised by the introduction of unlicensed devices in these bands.
Thus, the Commission's goal in this proceeding is to promote efficient
use of radio spectrum through spectrum sharing. As part of this
collaborative effort and as required by the Spectrum Act, NTIA has
published a report, prepared in consultation with Department of Defense
and other impacted Federal agencies, evaluating spectrum-sharing
technologies and the risk to Federal users of unlicensed operations in
the U-NII-2B and U-NII-4 bands.
64. The Commission explores the potential for future unlicensed
operations in the 5 GHz band, incumbent operations in the U-NII-2B and
U-NII-4 bands, and the technical requirements and sharing technologies
and techniques that could be used to protect Federal and non-Federal
incumbent operations. The Commission also invites comments on the NTIA
5 GHz Report itself, including its underlying assumptions and risk
assessments.
1. Future Unlicensed Operations at 5 GHz
65. The current U-NII bands are already being used for a variety of
different commercial uses such as wireless internet services, cordless
phone, scientific and medical applications, etc. In this proceeding,
the Commission seeks comment on what types of uses could be deployed in
the U-NII-2B and U-NII-4 bands, used either independently of the
current U-NII bands or in conjunction with them. The Commission is
interested in knowing how companies of different types might deploy U-
NII devices, what types of services they might offer, and where they
might deploy them. The Commission is particularly interested in
gathering information on ongoing industry standards activity and
international efforts to harmonize uses of the 5 GHz band to make more
efficient use of the 5 GHz spectrum.
66. The Commission knows, for example, that unlicensed and licensed
broadband networks often complement one another in important ways. The
availability of unlicensed Wi-Fi networks in many locations enables
licensed wireless providers to take data traffic off of their networks,
thus reducing network congestion and delivering a better overall
quality of service. Wi-Fi technology also can be ``networked'' to
provide wider geographic coverage and, when configured this way, may be
used by some service providers in offering broadband service.
67. The introduction of the IEEE 802.11ac standard, can open new
windows to wireless broadband for many users. The deployment of wide
channel bandwidths with higher data rates in the 5 GHz band can help
meet the challenge that rapid growth in
[[Page 21331]]
demand has posed for the wireless industry which has called for more
spectrum to increase network capacity. The new standard has the
potential to create new avenues for opportunistic use of spectrum in
diverse broadband services. Some forecasts predict that in 2015,
shipments of mobile phones with embedded Wi-Fi are projected to
approach 800 million and by the same time 100 percent of mobile hotspot
shipments will be 802.11ac enabled. Infonetics forecasts the global
carrier Wi-Fi equipment market to grow significantly at least through
2016, when it will hit $2.1 billion. The Commission seeks comment on
how the introduction of this new standard might be implemented in the U
NII bands and how these developments should inform the Commission's
consideration of technical requirements for these bands and sharing
technologies and techniques. The Commission also invites comment on
whether some technologies or techniques, such as DFS, might limit the
types of applications that could be implemented in the U-NII bands,
particularly if wider bandwidth devices are deployed in this spectrum.
68. Also, at the 2012 World Radio Conference, the United States
along with other countries agreed that the next World Radio Conference
in 2015 (WRC-15) should consider additional spectrum allocations to the
mobile service for the development of terrestrial mobile broadband
applications. In preparation for WRC-15, the International
Telecommunications Union initiated spectrum sharing studies that
consider possible expansion of the existing international allocations
to the mobile services in the 5 GHz band which are used primarily by
the radio local area network (RLAN) devices. The Commission seeks
comment on how these activities should inform the Commission's
consideration of technical requirements for these bands and sharing
technologies and techniques in the following paragraphs. The Commission
also seeks comment on importance and benefits of harmonization between
the Commission's U-NII rules and the international radio regulations.
2. Incumbent Services in the U-NII-2B Band
69. The 5.35-5.47 GHz band is allocated on a primary basis to the
Earth Exploration Satellite, Space Research, and Radiolocation Services
for Federal operations and on a secondary basis for non-Federal
operations. The 5.35-5.46 GHz band segment is allocated on a primary
basis to the Aeronautical Radionavigation Service for both Federal and
non-Federal operations. The 5.46-5.47 GHz band segment is allocated on
a primary basis to the Radionavigation Service for both Federal and
non-Federal operations.
a. Overview of Federal Systems
70. RADAR Systems. The DoD uses the 5.35-5.47 GHz band for a wide
variety of ground-based, shipborne, and airborne radars. These military
radars have the operational capability to tune across the entire 5.25-
5.725 GHz frequency range and can operate on a fixed frequency or can
employ frequency hopping techniques. In the past, these radars have
operated on or near military installations. However, situations may
arise where these radars have to be used more widely in support of
homeland security. One of the areas of concern in assessing
interference to military radars stems from future radar deployments and
the expanding role of military radars in support of homeland defense.
This expanded role could result in a requirement to deploy military
radars in cities and metropolitan areas where unlicensed devices will
have their highest usage. In addition to DoD, several other agencies
operate radar systems in the band. The Coast Guard operates shipborne
radars, which are vital sensors for safe navigation of waterways. NASA
uses this band for test and launch range instrumentation radars to
track rockets, missiles, satellites, launch vehicles, and other
targets. NOAA operates radar systems in this band on ``Hurricane
Hunter'' aircraft. The Department of Energy operates radar systems and
associated transponders in the band at two test ranges in the United
States.
71. Spaceborne Altimeter Radar Systems. NASA, in joint ventures
with the French agency, Centre National d'Etudes Spatiales (CNES),
operates a space-based altimeter system in the 5.14-5.46 GHz band that
is used to obtain measurements of the Earth's ocean surface height.
72. Earth Exploration Satellite. Synthetic aperture radar (SAR)
systems in the 5.35-5.47 GHz band perform space-based observations and
measurements of surface topography, soil moisture, and sea surface
height. The higher quality data collected using wideband SARs allow
scientists to gain new insights into the prediction of climatic
changes. These wideband SARs also provide the higher resolution
necessary for commercial applications, such as high-resolution surface
mapping. Canada operates an Earth exploration-satellite, known as
RADARSAT, in the 5.35-5.47 GHz band to provide mission critical data in
support of national security, public safety, law enforcement, and
civilian applications in Canada and the United States. These
applications include disaster management, response and recovery for
safety of life, ice monitoring, surveillance, hydrology, mapping, and
geology, safety of navigation, agriculture, and forestry. For example,
the United States Coast Guard International Ice Patrol uses RADARSAT
data operationally to detect and track icebergs.
73. Unmanned aircraft systems (UAS). DoD utilizes this band for the
testing and operation of unmanned aircraft system (UAS) datalinks from
aircraft-to-ground and from ground-to-aircraft. The command link, a
ground data terminal transmitter, operates at 5.625-5.85 GHz and the
return link (UAS transmitter) transmits at 5.25-5.475 GHz. The Army,
Navy, and Air Force operate UASs in the 5 GHz frequency range for
intelligence, surveillance, and reconnaissance; combat search and
rescue; and real-time full-motion video for target development. The
Department of Homeland Security also operates UASs in this band for
drug interdiction and border surveillance operations. In addition, NASA
also operates a limited number of systems in the 5.35-5.47 GHz band
that are used for downlink transmissions of data to ground control
receivers.
b. Overview of Non-Federal Systems
74. The types of Federal and non-Federal systems in the 5.35-5.47
GHz band are similar except that non-Federal users in the Earth
Exploration Satellite, Space Research, and Radiolocation Services
operate on a secondary basis. Broadcast and media entities use radars
operating in the 5.35-5.47 GHz band for tracking storms and providing
weather radar information to the public via news and weather reporting.
Weather radars are employed by broadcasters throughout the USA and used
to detect supercell storms capable of developing tornados and severe
weather. Local TV stations throughout the country utilize 5.35-5.47 GHz
band providing viewers with weather maps, weather pictures, and
informing the public on a range of local and regional weather warnings.
Part 90 of FCC rules permit the operation of weather radar services in
the 5.35-5.47 GHz band.
3. Incumbent Services in the U-NII-4 Band
75. The 5.85-5.925 GHz band is allocated on a primary basis to the
Radiolocation Service for Federal operations and to the Fixed Satellite
[[Page 21332]]
(Earth to space) and Mobile Services for non-Federal operations. This
band is also allocated on a secondary basis to the Amateur Service for
non-Federal operations.
a. Overview of Federal Systems
76. The radars that operate in the 5.825-5.925 GHz band are
primarily military surveillance and test range instrumentation systems
and can be either mobile or transportable. In addition to the DoD
operation, NASA, NOAA, and Department of Energy operate radar systems
in the 5.85-5.925 GHz band throughout the United States.
b. Overview of Non-Federal Systems
77. Fixed Satellite Services (FSS). The C-band is divided into a
heavily-used ``conventional'' segment (3.7-4.2 GHz downlink and 5.925-
6.425 GHz uplink) and a lightly-used ``extended'' segment (3.6-3.7 GHz
downlink and 5.85-5.925 GHz and 6.425-7.075 GHz uplink). The non-
Federal fixed-satellite service allocation in the extended C-band FSS
(5.85-5.925 GHz) is limited to international inter-continental systems
and is subject to case-by-case electromagnetic compatibility analysis.
Earth stations in stationary locations communicate uplink with
geostationary satellites such as Intelsat, Inmarsat, JCSAT-2, Mabuhay,
New Skies, and Galaxy. The earth stations and satellites use
directional antennas which, along with the separation between the
satellites, prevent interference with earth stations communicating with
adjacent satellites. The FSS operations in the 5.85-5.925 GHz band are
authorized under Part 25 of the FCC rules.
78. The FSS is widely used to provide a variety of commercial
services domestically and internationally. For example, the FSS
supports video distribution both on point-to-point basis and point-to-
multipoint bases. The FSS also provides network services consisting of
``backbone'' capacity for point-to-point trunking for voice, data or
Internet traffic; backhaul of communications services; and redundancy
and restoration of communications services when other primary
technologies fail. Further, the FSS is used to provide corporate,
government, and military voice and data communications, as well as
broadband and video services directly to the home.
79. Intelligent Transportation Service (ITS). The non-Federal
Mobile allocation is limited to Dedicated Short Range Communications
Service (DSRC) systems operating in the Intelligent Transportation
System radio service. ITS is a national program aimed at using state-
of-the-art communications system to make travel more efficient, safer
and convenient for motorists, transit riders, commercial vehicle
operators and public safety providers. Through the use of technologies
such as roadside and/or overhead Variable Message Signs, Closed Circuit
TV, Highway Advisory Radio transmitters, traffic counter loops and
Transcom's System for Managing Incidents and traffic flow monitors,
real-time traffic information is collected and conveyed to the
traveling public. This multi-modal information then allows motorists to
make smarter choices about how, when and where to travel.
80. DSRC is a wireless ITS system designed for automotive use. In
October 1999, the FCC allocated 75 megahertz of spectrum in the 5.85-
5.925GHz band for DSRC to be used by ITS. DSRC is a two-way short- to-
medium-range wireless communications capability that permits very high
data transmission critical in communications-based active safety
applications. DSRC which involves vehicle-to-vehicle (V2V) and vehicle-
to-infrastructure (V2I) communications can save lives by warning
drivers of an impending dangerous condition or event in time to take
corrective or evasive actions. Vehicle safety applications that use V2V
and V2I communications need secure, wireless interface dependability in
extreme weather conditions, and short time delays; all of which are
facilitated by DSRC. FCC grants licenses for state and regional
transportation agencies to operate DSRC roadside units, while DSRC
onboard units are licensed by rule under Part 95.
81. Amateur Radio. Amateur service stations are permitted to
transmit in the 5.85-5.925 GHz frequency segment on a secondary basis.
Operation of these stations in this frequency segment must not cause
harmful interference to, and must accept interference from, authorized
stations in the fixed-satellite (earth to space) and mobile services
(DSRC) and also stations authorized by other nations in the fixed
service. The FCC does not have detailed information on use of this band
by amateur service stations.
4. Technical Requirements for U-NII-2B and U-NII-4 Bands
82. The technical requirements for U-NII devices operating in the
U-NII-2B and U-NII-4 bands will depend ultimately on a determination of
the types of unlicensed operations that can be supported while
maintaining interference protection to incumbent Federal and non-
Federal users. Nonetheless, the Commission believes that because the
types of incumbent services across the 5 GHz spectrum share similar
characteristics, the technical requirements for unlicensed devices also
could share similar characteristics.
83. U-NII-2B Band. The U-NII-2B band falls between the existing U-
NII-2A and U-NII-2C bands. Most significantly, all three bands are
allocated for Federal Earth Exploration Satellite, Space Research and
Radiolcoation Services on a primary basis, and sensitive services such
as Federal radar systems operate across all three bands. This suggests
that U-NII devices could likely operate under the same technical
framework specified in rule Sec. 15.407 in all three bands ranging
from 5.25-5.725 GHz. Thus, U-NII devices could operate across 475
megahertz either indoors or outdoors under the following power and
emission limits: maximum output power limit is the lesser of 250
milliwatts and 11dBm+10 Log (B), where B is 26 dB emission bandwidth;
antenna gain requirement is 6 dBi for non-point to-point systems and 23
dBi for point-to-point system; and power and power spectral density
reduction is applied if the antenna gain exceeds these values. The
maximum power spectral density should not exceed 11 dBm in any 1
megahertz band, and the out-of-band emission limit shall not exceed an
EIRP limit of -27 dBm/MHz. The out-of-channel emissions limit for an
outdoors device should not exceed -41 dBm/MHz. The Commission invites
comment on these technical parameters for U-NII-2B devices.
84. U-NII-4 Band. The U-NII-4 band is situated 25 megahertz above
the U-NII-3 band. A primary Federal allocation for Radiolocation
Services and a non-Federal secondary allocation for Amateur Services
range across the U-NII-3 and U-NII-4 bands, including the 25 megahertz
located between them at 5.825-5.85 GHz. This suggests that U-NII
devices should operate under the same framework and technical
requirements specified in Sec. 15.407 in all three bands ranging from
5.725-5.925 GHz. The Commission proposes that the U-NII-3 rules be
applied to the upper adjacent 25 megahertz band segment at 5.825-5.85
GHz. If the Commission adopts this proposal, it believes that the same
framework and technical requirements specified in Sec. 15.407 should
apply across the expanded U-NII-3 and the U-NII-4 bands. Thus, U-NII
devices could operate across 200 megahertz either indoors or outdoors
under the following power and emission limits: maximum output power
limit is the lesser of 1Watt and 17dBm+10 Log (B) where B is 26 dB
emission
[[Page 21333]]
bandwidth; antenna gain requirements is 6 dBi for non-point to-point
systems and 23 dBi for point-to-point systems; and power and power
spectral density reduction is applied if the antenna gain exceeds these
values. The maximum power spectral density should not exceed 17 dBm in
any 1 megahertz band, and out-of-band emissions within the frequency
range from the band edge to 10 megahertz above or below the band edge
should not exceed an EIRP limit of -17 dBm/MHz, and for frequencies 10
megahertz or greater, the emissions should not exceed an EIRP of -27
dBm/MHz. The Commission invites comment on these technical parameters
for U-NII-4 devices.
85. Spectrum Sensing/DFS and TPC. The rules require that U-NII
devices operating in the U NII-2A and U-NII-2C bands employ Dynamic
Frequency Selection (DFS) in order to avoid causing interference to
Federal radar systems. The Commission seeks comment whether and how to
integrate a DFS algorithm into U-NII-2B and U-NII-4 bands. What are the
advantages and/or disadvantages of utilizing DFS in these bands? What
are the technical challenges of DFS technology implementation in the U-
NII-2B and U-NII-4 bands? What changes are necessary in the existing
DFS model to mitigate possible interference with incumbent radar system
in the new bands? What radar parameters/signal detection threshold
should be used for DFS to avoid assigning the occupied radar channel to
U-NII device? If the U-NII device would have to perform sensing outside
its occupied bandwidth (adjacent channel sensing), what would be the
technical and cost implications of such deployment? Should the radar
signal detection be sensed by base/fix stations, mobile stations or
all? Are there technical solutions other than DFS that would prevent
interference to Federal radar systems? Could database access offer any
benefits for providing access to this spectrum while protecting
incumbent services against harmful interference?
86. The signal detection technology currently used by U-NII-2A and
U-NII-2C DFS devices senses radar signals whose parameters (such as
pulsewidth, pulse repetition interval, and the number of pulses per
burst) are well-known and can be used to improve signal detection. To
improve range resolution and accuracy, some radar systems operating in
the U-NII-2B and U-NII-4 bands employ short (sub-microsecond) pulse
widths. The smallest pulsewidth used in the development of the existing
U-NII DFS regulations was 1 microsecond. A narrower radar pulsewidth
used in conjunction with the higher data rates associated with the
802.11ac standard could affect a device's ability to detect pulsed
radar signals. The Commission seeks comment on the ability of signal
sensing spectrum-sharing technologies to detect sub-microsecond pulses
and whether the current DFS mechanism would protect the current and
future radars that employ sub-microsecond pulses. Are there other
detection mechanisms that could be considered?
87. In addition, some fielded and in-development radar systems in
the U-NII-2B and U-NII-4 bands include low-power modes or are designed
to avoid detection to meet their mission requirements. The Commission
seeks comment on whether DFS or any other spectrum-sharing technology
would be capable of protecting such radar systems from possible
interference.
88. Finally, what measures should be taken to protect non-radar
systems that operate in the U-NII-2B and U-NII-4 bands and what is the
cost implication for manufacturers, vendors and consumers? The
Commission seeks comment on what types of sharing technology or
techniques could be used to protect non-radar systems, such as the
DSRCS which includes both road side units (RSU-fixed) and on board
units (OBU-mobile) operating under a primary allocation. For example,
U-NII signal detection technologies used for DFS may not be able to
detect signals from incumbents other than radar systems. Could U-NII
devices detect signals from both DSRC fixed and mobile stations? The
Commission seeks comments on evolving technologies that may help to
detect non-radar signals and to protect those operations from harmful
interference.
5. NTIA 5 GHz Report
89. NTIA has published a report of its initial study on the
potential for U-NII devices to share the U-NII-2B and U-NII-4 bands
with incumbent Federal operations. The report includes an initial
evaluation of known and proposed spectrum-sharing technologies and also
completed a high-level evaluation of the risk to Federal users if the
Commission allows U-NII devices to operate in the U-NII-2B and U-NII-4
bands.
90. NTIA, in collaboration with the Federal agency members of the
Policy and Plans Steering Group (PPSG), developed a work plan for
evaluating the risks to Federal systems operating in the U-NII-2B and
U-NII-4 bands. The plan outlined the technical and operational
information necessary to perform the evaluation. Several Federal
agencies also conducted preliminary electromagnetic compatibility and
interference analyses to begin to quantify risks to their systems. NTIA
also used input from industry stakeholders related to their projected
technical and deployment parameters for U-NII devices, and reviewed
domestic and international technical studies used in the development of
the existing U-NII regulations in performing their study. For the
study, NTIA assumed that the FCC's existing U-NII TPC and DFS
regulations would be extended to the U-NII-2B and U-NII-4 bands, and
that the Federal agencies will not have to alter their systems or
operations to accommodate U-NII devices. The report concludes that
additional analysis is needed to determine the feasibility of
introducing U-NII devices into these two bands and includes a tentative
schedule and milestones for quantitative study consistent with the
ongoing work for WRC-15.
91. The Commission seeks comments on all aspects of the NTIA 5 GHz
Report, particularly the spectrum sharing technologies and risk
analysis described in the following paragraphs.
a. Spectrum Sensing Technologies
92. The report addresses three spectrum sharing technologies that
might be used as reference models in the U-NII-2B and U-NII-4 bands.
These are classified as sensing based, geo-location based, and
beaconing/pilot channel technologies.
93. Sensing based technology. Sensing based spectrum sharing
approaches enable radio devices to identify unused spectrum by
assessing and determining current use of a particular frequency
through, for example, transmitter detection, cooperative sensing, or
interference detection. Transmitter detection is the capability of
determining if a signal from another transmitter is using a frequency
nearby by correlating a known signal with an unknown signal (matched
filter detection), measuring signal energy (signal detection), or
utilizing statistical means. Cooperative sensing incorporates
information about the spectral environment from multiple sensing
devices to accurately determine if spectrum is in use. Interference
detection refers to sensing changes in the local noise floor to
determine if additional traffic can be tolerated by primary users.
94. Geo-Location based technology. This approach requires the
development of a database infrastructure that contains information
about incumbent spectrum users which, when used in combination
[[Page 21334]]
with a geo-location system (e.g., the Global Positioning System (GPS))
and an interference-free location-data communications link, provides a
mechanism to facilitate spectrum sharing with incumbents operating at
fixed or known locations with known technical parameters. Geo-location
spectrum-sharing technologies can be used in conjunction with a well
maintained updated database to define geographic areas where device
operation will and will not be permitted, or where limitations should
be placed on the operating parameters to enable spectrum sharing.
95. Beaconing/pilot channel technology. In a beacon spectrum
sharing approach, a new entrant's transceiver must have the ability to
receive a control signal sent continuously by incumbent systems at
times when transmissions by the new entrant are permitted. The new
entrant may not commence transmissions if beacon signals are not
received. If any beacon signal is present but then stops while the new
entrant is transmitting, transmissions must cease within a specified
time interval. The beacons could be a radio frequency signal sent by
incumbents on designated control frequencies, or they may be signals
received over a physical connection such as fiber, copper, or coaxial
cable. Transmission by the new entrant would cease if any beacon signal
suffers from unfavorable propagation conditions or the physical
connection is lost such that the beacon signals are not properly
received by the new entrant. In other words, if the new entrant cannot
hear the beacon signal, it must cease transmission.
b. Risk Analysis
96. The NTIA 5 GHz Report provides an overview of the risk elements
to each type of Federal operation and suggests some mitigation
strategies associated with each risk element for further investigation.
97. Description of risk elements in U-NII-2B band. The report
indicates that changes in radar signal parameters may impact U-NII
device detection of radar and changes in U-NII device deployment and
technical parameters may result in harmful interference into radar
systems. The report also emphasizes that the current U-NII regulations
may introduce hidden node interference and may not adequately protect
current and future radar systems while changes in the existing U-NII
DFS detection parameters, including channel response time, may not
sufficiently shield current and future radar systems from serious
degradation. The report extends the risk element to the U-NII devices
operating on an adjacent channel and states this may cause harmful
interference into radar systems. The report also specifies that the
radar receiver interference protection criteria used to develop
existing U-NII DFS regulations may not address low-level interference
effects.
98. The report states that the existing U-NII signal detection
technologies may not be capable of detecting UAS signals because the
existing U-NII regulations were not developed to detect such signals
(there is no UAS signal in the bands governed by the existing U-NII
regulations) and changes to U-NII DFS detection parameters may not
protect UAS operations from performance degradation. The report also
points out that existing U-NII regulations were not developed to
protect spaceborne receivers. The report also states that the density
of U-NII devices is one of the key parameters in determining the amount
of potential interference to the incumbent Federal systems.
99. Description of risk elements in U-NII-4 band. The report cites
the same risks to radar systems operating in the U-NII-4 band as it
cites for the U-NII-2B band discussed above. The report also states
that the existing U-NII signal detection technologies may not be
capable of detecting DSRC signals because the existing U-NII
regulations were not originally developed to detect such signals (there
is no DSRC signal in the bands governed by the existing U-NII
regulations) and changes to U-NII DFS detection parameters may not
protect DSRC operations from performance degradation.
C. Other Issues
1. Miscellaneous Rule Modifications
100. The Commission also believes that there are a number of other
changes that need to be considered to simplify and clarify part 15 of
the rules. The Commission's analysis revealed several sections of the
rules that reference procedures or provisions that are no longer in use
and therefore, may no longer be necessary. The Commission has also
identified sections of the rules that need to be updated with minor
revisions.
2. Transition Periods
101. The Commission proposes to establish a 12-month timetable
after the effective date of any new or modified rules that the
Commission eventually decides to adopt in this proceeding for
manufacturers to produce U-NII devices that comply with new or modified
rules. The Commission also proposes to establish a 2 year timetable
after the effective date of any new or modified rules for requiring
that any U-NII devices manufactured in or imported into the United
States for sale comply with the new or modified rules. The Commission
believes that a 12-month transition period should provide sufficient
time for manufacturers to design equipment that complies with any new
or modified rules and to obtain equipment certification. Therefore, the
Commission would provide transitional provisions in its rules to allow
for the certification of U-NII devices under the current rules for up
to 12 months after the new or modified rules are published in the
Federal Register. Beginning 12 months after the effective date of the
new or modified rules, equipment certification could no longer be
obtained for U-NII devices that do not meet the new requirements.
However, until the end of the 2 year transition period, the Commission
would permit Class II permissive changes for equipment certified prior
to the 12-month transition date as well as their continued manufacture,
marketing, installation, and importation. After the end of the 2-year
transition period, Class II permissive changes for such devices would
not be permitted nor would their manufacture, marketing, installation,
or importation. The Commission finds that these requirements would
facilitate the transition to new requirements without unduly impairing
the availability or cost of U-NII devices or imposing undue burdens on
manufacturers, translation services providers, or the public. Comments
are requested on these proposed transition provisions.
102. The Commission also proposes that U-NII devices that are
already installed or in use should be grandfathered for the life of the
equipment. Requiring the immediate upgrade or replacement of existing
U-NII devices would be a financial burden on operators of these
devices. The Commission believes that grandfathering equipment that is
installed and operating will ensure that entities will be permitted to
operate their existing U-NII devices until replacement is necessary or
desired due to age, malfunction, or other concerns. The Commission
seeks comments on this proposal.
Initial Regulatory Flexibility Analysis
103. As required by the Regulatory Flexibility Act of 1980, as
amended (RFA), the Commission has prepared this present Initial
Regulatory Flexibility Analysis (IRFA) of the possible significant
economic impact on small entities by the policies and rules
[[Page 21335]]
proposed in this Notice of Proposed Rule Making (NPRM). Written public
comments are requested on this IRFA. Comments must be identified as
responses to the IRFA and must be filed by the deadlines specified in
the NPRM for comments. The Commission will send a copy of this NPRM,
including this IRFA, to the Chief Counsel for Advocacy of the Small
Business Administration (SBA). In addition, the NPRM and IRFA (or
summaries thereof) will be published in the Federal Register.
A. Need for, and Objectives of, the Proposed Rules
104. This NPRM proposes to amend part 15 of the FCC's rules
governing the operation of unlicensed National Information
Infrastructure (U-NII) devices in the 5 GHz band. U-NII devices are
unlicensed intentional radiators that operate in the frequency bands
5150-5350 MHz and 5470-5825 MHz that use wideband digital modulation
techniques to provide a wide array of high data rate mobile and fixed
communications for individuals, businesses, and institutions. The NPRM
proposes to modify certain technical requirements for U-NII devices to
ensure that these devices can continue to operate successfully while
protecting incumbent spectrum users.
B. Legal Basis
105. This action is authorized under Sections 1, 4(i), 302, 303(f)
and (r), 332, and 337 of the Communications Act of 1934, as amended, 47
U.S.C. 1, 4(i), 154(i), 302, 303(f) and (r), 332, 337.
C. Description and Estimate of the Number of Small Entities to Which
the Proposed Rule Will Apply
106. The RFA directs agencies to provide a description of, and,
where feasible, an estimate of, the number of small entities that may
be affected by the rules adopted herein. The RFA generally defines the
term ``small entity'' as having the same meaning as the terms ``small
business,'' ``small organization,'' and ``small governmental
jurisdiction.'' In addition, the term ``small business'' has the same
meaning as the term ``small business concern'' under the Small Business
Act. A ``small business concern'' is one which: (1) Is independently
owned and operated; (2) is not dominant in its field of operation; and
(3) satisfies any additional criteria established by the Small Business
Administration (SBA).
107. Radio and Television Broadcasting and Wireless Communications
Equipment Manufacturing. The Census Bureau defines this category as
follows: ``This industry comprises establishments primarily engaged in
manufacturing radio and television broadcast and wireless
communications equipment. Examples of products made by these
establishments are: transmitting and receiving antennas, cable
television equipment, GPS equipment, pagers, cellular phones, mobile
communications equipment, and radio and television studio and
broadcasting equipment.'' The SBA has developed a small business size
standard for Radio and Television Broadcasting and Wireless
Communications Equipment Manufacturing, which is: all such firms having
750 or fewer employees. According to Census Bureau data for 2007, there
were a total of 939 establishments in this category that operated for
part or all of the entire year. Of this total, 912 had less than 500
employees and 17 had more than 1000 employees. Thus, under that size
standard, the majority of firms can be considered small.
D. Description of Projected Reporting, Record Keeping, and Other
Compliance Requirements
108. The NPRM proposes to establish a 12-month timetable after the
effective date of any new or modified rules that we eventually decide
to adopt in this proceeding for manufacturers to produce U-NII devices
that comply with new or modified rules. We also propose to establish a
2-year timetable after the effective date of any or modified rules for
requiring that any U-NII devices manufactured in or imported into the
United States for sale comply with the new or modified rules. We
believe that a 12-month transition period should provide sufficient
time for manufacturers to design equipment that complies with any new
or modified rules and to obtain equipment certification. Therefore, we
would provide transitional provisions in our rules to allow for
certification of U-NII devices under the current rules for up to 12
months after the new or modified rules are published in the Federal
Register. Beginning 12 months after the effective date of the new or
modified rules, equipment certification could no longer be obtained for
U-NII devices that do not meet the new requirements. However, until the
end of the 2-year transition period, we would permit Class II
permissive changes for equipment certified prior to the 12-month
transition date as well as their continued manufacture, marketing,
installation, and importation. After the end of the 2-year transition
period, Class II permissive changes for such devices would not be
permitted nor would their manufacture, marketing, installation, or
importation. We find that these requirements would facilitate the
transition to new requirements without unduly impairing the
availability or cost of U-NII devices or imposing undue burdens on
manufacturers, translation services providers, or the public.
E. Steps Taken To Minimize Significant Economic Impact on Small
Entities, and Significant Alternatives Considered
109. The RFA requires an agency to describe any significant
alternatives that it has considered in reaching its proposed approach,
which may include the following four alternatives (among others): (1)
The establishment of differing compliance or reporting requirements or
timetables that take into account the resources available to small
entities; (2) the clarification, consolidation, or simplification of
compliance or reporting requirements under the rule for small entities;
(3) the use of performance, rather than design, standards; and (4) an
exemption from coverage of the rule, or any part thereof, for small
entities.
110. The proposals contained in this Notice of Proposed Rulemaking
(NPRM) are aimed at improving the sharing of the spectrum between U-NII
devices and other spectrum users. This NPRM proposes to amend Part 15
of our rules governing the operation of Unlicensed National Information
Infrastructure (U-NII) devices in the 5 GHz band. U-NII devices are
unlicensed intentional radiators that operate in the frequency bands
5.15-5.35 GHz and 5.47-5.825 GHz, and which use wideband digital
modulation techniques to provide a wide array of high data rate mobile
and fixed communications for individuals, businesses, and institutions.
Since the Commission first made available spectrum in the 5 GHz band
for U-NII in 1997, we have gained much experience with these devices.
We believe that the time is now right for us to revisit our rules, and,
in this NPRM, we propose to modify certain technical requirements for U
NII devices to ensure that these devices do not cause harmful
interference and thus can continue to operate in the 5 GHz band and
make broadband technologies available for consumers and businesses.
111. We also seek comment on making available an additional 195
megahertz of spectrum in the 5.35-5.47 GHz and 5.85-5.925 GHz bands for
U-NII use. This could increase the spectrum available to unlicensed
devices in the 5 GHz band by approximately 35 percent and would
represent a significant increase in the
[[Page 21336]]
spectrum available for unlicensed devices across the overall radio
spectrum. The initiation of this proceeding satisfies the requirements
of Sec. 6406 (a) of the ``Middle Class Tax Relief and Job Creation Act
of 2012'' which requires the Commission to begin a proceeding to modify
part 15 of title 47, Code of Federal Regulations, to allow unlicensed
U-NII devices to operate in the 5350-5470 MHz band. We believe that an
increase in capacity gained from 195 megahertz of additional spectrum,
combined with the ease of deployment and operational flexibility
provided by our U-NII rules, would continue to foster the development
of new and innovative unlicensed devices, and increase wireless
broadband access and investment.
F. Federal Rules That May Duplicate, Overlap, or Conflict With the
Proposed Rule
112. None.
Ordering Clauses
113. Pursuant to sections 1, 4(i), 7(a), 301, 303(f), 303(g),
303(r), and 307(e) of the Communications Act of 1934, as amended, 47
U.S.C. 151, 154(i), 157(a), 301, 303(f), 303(g), 303(r), and 307(e),
and section 6406(a) of the Middle Class Tax Relief and Job Creation Act
of 2012, Public Law 112-96, Sec. 6406(a), 126 Stat. 156, 231 (2012),
the Notice of Proposed Rule Making is adopted.
114. The Commission's Consumer and Governmental Affairs Bureau,
Reference Information Center, shall send a copy of the Notice of
Proposed Rule Making, including the Initial Regulatory Flexibility
Analysis, to the Chief Counsel for Advocacy of the Small Business
Administration.
List of Subjects in 47 CFR Part 15
Communications equipment.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
For the reasons discussed in the preamble, the Federal
Communications Commission proposes to amend 47 CFR part 15 as follows:
PART 15--RADIO FREQUENCY DEVICES
0
1. The authority citation for Part 15 continues to read as follows:
Authority: 47 U.S.C. 154, 302a, 303, 304, 307, 336, 544a, and
549.
0
2. Section 15.215 is amended by adding a second sentence to paragraph
(c) to read as follows:
Sec. 15.215 Additional provisions to the general radiated emission
limitations.
* * * * *
(c) * * * In the case of intentional radiators operating under the
provisions of Subpart E, the emission bandwidth may span across
multiple frequency bands identified in that Subpart. * * *
0
3. Section 15.247 is amended by:
0
a. Revising the first sentence of paragraphs (a)(2) and (b)(3);
0
b. Removing paragraphs (b)(4)(i) through (iii);
0
c. Revising paragraph (c)(1)(ii) and the last sentence of paragraph (f)
to read as follows:
Sec. 15.247 Operation within the bands 902-928 MHz, 2400-2483.5 MHz,
and 5725-5850 MHz.
* * * * *
(a) * * *
(2) Systems using digital modulation techniques may operate in the
902-928 MHz, and 2400-2483.5 MHz bands. * * *
(b) * * *
(3) For systems using digital modulation in the 902-928 MHz, and
2400-2483.5 MHz bands: 1 Watt. * * *
* * * * *
(c) * * *
(1) * * *
(ii) Frequency hopping systems operating in the 5725-5850 MHz band
that are used exclusively for fixed, point-to-point operations may
employ transmitting antennas with directional gain greater than 6 dBi
without any corresponding reduction in transmitter conducted output
power.
* * * * *
(f) * * * The power spectral density conducted from the intentional
radiator to the antenna due to the digital modulation operation of the
hybrid system, with the frequency hopping operation turned off, shall
not be greater than 8 dBm in any 3 kHz band during any time interval of
continuous transmission.
* * * * *
0
4. Section 15.403 is amended by revising paragraph (m) to read as
follows:
Sec. 15.403 Definitions.
* * * * *
(m) Maximum Power Spectral Density. The maximum power spectral
density is the maximum power in the specified measurement bandwidth,
within the U-NII device operating band.
* * * * *
0
5. Section 15.407 is amended by:
0
a. Revising paragraphs (a)(3) through (6) and (b)(4);
0
b. Redesignating paragraphs (f) through (h) as paragraphs (g) through
(i), and;
0
c. Adding new paragraph (f) and paragraph (j) to read as follows:
Sec. 15.407 General technical requirements.
(a) * * *
(3) For the band 5.725-5.850 GHz, the maximum conducted output
power over the frequency band of operation shall not exceed 1 W. In
addition, the maximum power spectral density shall not exceed 8 dBm in
any 3-kHz band. If transmitting antennas of directional gain greater
than 6 dBi are used, both the maximum conducted output power and the
maximum power spectral density shall be reduced by the amount in dB
that the directional gain of the antenna exceeds 6 dBi. However, fixed
point-to-point U-NII devices operating in this band may employ
transmitting antennas with directional gain up to 23 dBi without any
corresponding reduction in the transmitter peak output power or maximum
power spectral density. For fixed, point-to-point U-NII transmitters
that employ a directional antenna gain greater than 23 dBi, a 1 dB
reduction in peak transmitter power and maximum power spectral density
for each 1 dB of antenna gain in excess of 23 dBi would be required.
Fixed, point-to-point operations exclude the use of point-to-multipoint
systems, omnidirectional applications, and multiple collocated
transmitters transmitting the same information. The operator of the U-
NII device, or if the equipment is professionally installed, the
installer, is responsible for ensuring that systems employing high gain
directional antennas are used exclusively for fixed, point-to-point
operations.
Note To Paragraph (a)(3): The Commission strongly recommends
that parties employing U-NII devices to provide critical
communications services should determine if there are any nearby
Government radar systems that could affect their operation.
(4) The maximum conducted output power must be measured over any
interval of continuous transmission using instrumentation calibrated in
terms of an rms-equivalent voltage.
(5) The maximum power spectral density is measured as a conducted
emission by direct connection of a calibrated test instrument to the
equipment under test. If the device cannot be connected directly,
alternative techniques acceptable to the Commission may be used.
Measurements are made over a bandwidth of 1 MHz or the 26-dB emission
bandwidth of the device, whichever is less. A resolution bandwidth less
than the measurement bandwidth can be used, provided that the measured
power is integrated to
[[Page 21337]]
show total power over the measurement bandwidth. If the resolution
bandwidth is approximately equal to the measurement bandwidth, and much
less than the emission bandwidth of the equipment under test, the
measured results shall be corrected to account for any difference
between the resolution bandwidth of the test instrument and its actual
noise bandwidth.
(6) The ratio of the maximum peak excursion of the modulation
envelope (measured in a 1 MHz bandwidth using a peak hold function) to
the maximum power spectral density during an interval of continuous
transmission (measured in a 1 MHz bandwidth) shall not exceed 13 dB.
Each of the two maxima shall be separately determined across the full
emission bandwidth. If the emission bandwidth is less than 1 MHz, the
measurement may be performed in a resolution bandwidth narrower than 1
MHz but wider than or equal to the emission bandwidth.
(b) * * *
(4) For transmitters operating in the 5.725-5.850 GHz band: all
emissions within the frequency range from the band edge to 10 MHz above
or below the band edge shall not exceed an e.i.r.p. of -17 dBm/MHz; for
frequencies 10 MHz or greater above or below the band edge, emissions
shall not exceed an e.i.r.p. of -27 dBm/MHz.
* * * * *
(f) Within the 5.725-5.85 GHz band, the minimum 6 dB bandwidth of
U-NII devices shall be at least 500 kHz.
* * * * *
(j) All U-NII Devices must contain security features to protect
against modification of software by unauthorized parties.
[FR Doc. 2013-08033 Filed 4-9-13; 8:45 am]
BILLING CODE 6712-01-P