Unlicensed National Information Infrastructure (U-NII) Devices in the 5 GHz Band, 24569-24580 [2014-09279]

Agencies

• FEDERAL COMMUNICATIONS COMMISSION

[Federal Register Volume 79, Number 84 (Thursday, May 1, 2014)]
[Rules and Regulations]
[Pages 24569-24580]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-09279]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Parts 2 and 15

[ET Docket No. 13-49; FCC 14-30]


Unlicensed National Information Infrastructure (U-NII) Devices in 
the 5 GHz Band

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: This document amends the Commission rules governing the 
operation of unlicensed National Information Infrastructure (U-NII) 
devices in the 5 GHz band to make broadband technologies more widely 
available for consumers and businesses by increasing power and 
permitting outdoor use in the U-NII-1 band and by adding 25 megahertz 
to the U-NII-3 band; it also takes steps to reduce the potential for 
harmful interference to incumbent operations. The proceeding satisfies 
the requirements of the Spectrum Act, by which Congress required that 
the Commission begin a proceeding regarding U-NII devices in the 5 GHz 
band within a year if it determined, after consultation with NTIA, that 
incumbents will be protected and their missions will not be 
compromised.

DATES: Effective June 2, 2014 except for Sec.  15.407(j), which 
contains information collection requirements that have not been 
approved by OMB. The Commission will publish a document in the Federal 
Register announcing the effective date.

FOR FURTHER INFORMATION CONTACT: Aole Wilkins, Office of Engineering 
and Technology, 202-418-2406, Aole.Wilkins@fcc.gov.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's First 
Report and Order, ET Docket No. 13-49, FCC 14-30 adopted March 31, 
2014, and released April 1, 2014. 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. 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 First Report and Order

    1. In 2013, the Commission issued the Notice of Proposed Rule 
Making, 78 FR 21320, April 10, 2013, that initiated this proceeding, 
with the goal of supporting the growing needs of businesses and 
consumers for fixed and mobile broadband communications using 
Unlicensed National Information Infrastructure (U-NII) devices in the 
5.15-5.35 GHz and 5.47-5.85 GHz bands. At the same time, it recognized 
the need to modify its rules to better ensure that these devices do not 
cause harmful interference to authorized Federal and non-Federal users 
in these bands. U-NII devices are unlicensed intentional radiators, 
which use wideband digital modulation techniques to provide a wide 
array of high-data-rate mobile and fixed communications used by 
individuals, businesses, and institutions, particularly for wireless

[[Page 24570]]

local area networking--including Wi-Fi--and broadband access.
    2. U-NII devices already play an important role in meeting public 
demand for wireless broadband service, particularly wireless local area 
networking and broadband access. This foundation, coupled with 
increasing demand for wireless broadband applications and new Wi-Fi 
technology, signals a bright future for unlicensed operations in the 5 
GHz band. To meet continuing demand, in this First R&O the Commission 
takes a number of actions to increase the utility of the 550 megahertz 
of the 5 GHz band already available for U-NII operations, while 
protecting incumbent users from harmful interference.
    3. In this First R&O, the Commission modified the Part 15 rules for 
the U-NII-1 band by removing the indoor-only restriction and increasing 
the permitted power level. These changes provide more flexibility for 
providing broadband service, whether indoors or outdoors, and take 
advantage of the new 802.11ac standard to achieve higher data rate 
transmissions across multiple U-NII segments of the 5 GHz band. To 
protect Mobile Satellite Service in the U-NII-1 band from harmful 
interference, the Commission also created certain technical rules for 
U-NII-1 devices, principally requiring directionality in the antennas 
to limit emissions in the upward direction and requiring operators with 
more than 1000 outdoor access points to register information regarding 
their systems with the Commission.
    4. The Commission described circumstances which would facilitate 
waivers under its rules for converting existing U-NII-3 devices to 
incorporate the U-NII-1 band without having to comply with the new 
antenna rules.
    5. The Commission also modified its rules to require manufacturers 
to secure the software in all U-NII devices to prevent modifications 
that would allow the device to operate in a manner inconsistent with 
the equipment certification. This change will reduce the likelihood of 
harmful interference not only to Terminal Doppler Weather Radar (TDWR) 
systems, but to all authorized services in the 5 GHz bands.
    6. The Commission consolidated the provisions in Sec.  15.247 of 
the rules (applicable to digitally modulated devices for this band) 
with the rules in Sec.  15.407 (applicable to U-NII devices) so that 
all the digitally modulated devices operating in the 5 GHz band will 
operate under the combined rules and be subject to the new device 
security requirement. This change addresses a major cause of harmful 
interference to the TDWR: in which users have illegally modified 
devices certified to operate under Sec.  15.247 to operate in the 5.47-
5.725 GHz band without implementing Dynamic Frequency Selection (DFS). 
This rule consolidation also will reduce complexity and costs in 
authorizing technically similar devices under different rules.

Increasing the Utility of the U-NII-1 Band

    7. The majority of commenters support allowing outdoor operations 
in the U-NII-1 band, and some level of harmonization across the U-NII 
bands. The Commission concluded that it is in the public interest to 
permit outdoor operation of U-NII devices in the U-NII-1 band, and that 
it can do so while appropriately protecting MSS services from harmful 
interference. Specifically, the Commission revised its rules to permit 
transmitter power levels up to 1 W, as permitted in the U-NII-3 band, 
with safeguards to minimize the likelihood of harmful interference to 
Globalstar's MSS system.
    8. The Commission observed that NCTA's and Globalstar's initial 
analyses of the likelihood of harmful interference to Globalstar's 
system were based on fundamentally different assumptions about future 
factors such as the extent of deployments, the technical 
characteristics of the equipment, and the extent of the communications 
traffic, and that these assumptions are inherently uncertain. The 
Commission determined that it can minimize the significance of these 
assumptions with a technical resolution which restricts a device's 
emissions when operating above a certain elevation angle, coupled with 
a reporting requirement directed at large scale deployments, which will 
facilitate corrective measures should they become necessary.
    9. Since the noise floor increase seen by the satellite will be a 
function of the aggregated energy from U-NII-1 emissions at elevation 
angles above 30 degrees, the Commission addressed the likelihood of 
interference to the satellite by restricting upward emissions to 
sharply reduce the energy that will be received by the satellite from 
each individual access point. As a result, it is far less likely that 
harmful interference will occur, even for proliferation of access 
points greater than that presumed in either party's earlier analysis, 
making moot to a large degree the disagreements as to the number of 
access points that might be deployed.
    10. The Commission has concluded that generally allowing fixed 
access point outdoor operations at a conducted power level of up to 1 W 
(30 dBm), and a PSD of 17 dBm/MHz with an allowance for a 6 dBi antenna 
gain (i.e., a total 36 dBm EIRP), and limiting the maximum EIRP above 
30 degrees elevation to 125 mW (21 dBm) EIRP, provides reasonable 
protection from harmful interference to Globalstar's system. Both NCTA 
and Globalstar agree that this protocol would provide interference 
protection to Globalstar, while permitting access to the spectrum for 
U-NII users. The Commission believes that expressing a limit in terms 
of EIRP will provide U-NII manufacturers and operators with flexibility 
regarding how to design their equipment, while still achieving the 
required levels of protection. Manufacturers will be able to 
demonstrate compliance with the EIRP limit by reducing antenna gain in 
the upward direction, or by limiting the transmitter power, or a 
combination of the two, as best suits their particular purpose.
    11. In conjunction with this requirement, the Commission will 
continue to monitor developments in this band. Globalstar has expressed 
strong concerns in this proceeding that proposed unchecked, widespread 
deployments of outdoor access points may disrupt licensed services in 
the band. To provide a safeguard and require accountability for such 
large deployments, the Commission adopted the following filing 
requirement. Before deploying an aggregate total of more than one 
thousand outdoor access points within the U-NII-1 band, companies must 
submit a letter to the Commission acknowledging that, should harmful 
interference to licensed services in this band occur, they will be 
required to take corrective action.
    12. The Commission will permit current UN-II-3 devices to operate 
under the new U-NII-1 rules under two potential scenarios, but in both 
cases, the equipment must comply with the software security 
requirements that it adopted to prevent unauthorized device 
modifications. First, at any time manufacturers or equipment operators 
may file a request for a permissive change to their current equipment 
authorizations demonstrating compliance with the rules adopted. If 
manufacturers of the previously deployed equipment are able to 
demonstrate compliance with the EIRP requirement described, the 
Commission will allow a permissive change with up to 1 W of conducted 
power.
    13. Second, for outdoor U-NII-3 band systems installed prior to the 
effective date of the rules adopted are not able to

[[Page 24571]]

comply with the new EIRP requirement,, the Commission suggested the 
kind of information that could be submitted to expedite consideration 
and grant of a waiver of the new antenna rules for existing devices. 
The Commission determined that providing the following about the waiver 
petitioner's existing deployments will be important to its ability to 
assess waiver requests: the number of devices installed, general 
location of each deployment, ability to reprogram the devices, and 
ability to adjust operating power from a central network management 
system. The Commission concluded that waiver requests meeting these 
parameters and made within 30 days of the effective date of its rules 
are likely to serve the public interest because granting them is highly 
unlikely to create any risk of harmful interference, given the small 
numbers involved and the limited departure from the new technical 
requirements for the U-NII-1 band. Moreover, having such waiver 
petitioners provide information about the numbers of installed devices 
that would be covered by the grant, as well as their general location, 
will help the Commission monitor the accuracy of its predictions in 
these regards and allow the Commission to alter course or take 
effective corrective action if necessary. The Commission has 
specifically delegated to the Office of Engineering and Technology the 
authority to grant waivers under these favorable conditions. Following 
the 30-day window, operators and manufacturers may continue to file 
petitions for waiver, but the Commission will decide such petitions 
without the assurances of good cause provided by the described 
approach.
    14. All parties receiving a waiver must then demonstrate compliance 
with the technical requirements through the equipment certification 
process by filing a permissive change request including the approved 
waiver. There is no deadline for filing for such a permissive change.
    15. The Commission will permit fixed point-to-point devices 
operating in the U-NII-1 band to employ transmitting antennas with 
directional gain up to 23 dBi without any corresponding reduction in 
the transmitter maximum output power or maximum power spectral density, 
and with no reduction of power in the vertical direction. It will not 
require these devices to reduce the antenna gain in the vertical 
direction. Such point-to-point operations are typically highly 
directional and aim their signals along the earth, and therefore are 
less likely to contribute significant energy to that received by the 
satellite. They are also relatively few in numbers as compared to the 
widespread distribution of access points examined by Globalstar and 
NCTA.
    16. The Commission will permit indoor access points operating in 
the U-NII-1 band at 1 W of conducted power with a 6 dBi antenna gain 
and no reduction in vertical antenna gain coupled with a requirement 
for a 1 dB reduction in conducted power for every 1 dB that the antenna 
gain exceeds 6 dBi. These types of consumer-oriented devices should not 
contribute to interference concerns, as the building materials used in 
indoor environments should sufficiently attenuate energy transmitted 
from indoor devices to prevent any significant contribution to any 
noise rise seen by Globalstar's satellite.
    17. The Commission will permit any client device which operates 
under control of an access point in the U-NII-1 band to operate at 
conducted power levels up to 250 mW and a PSD of 11 dBm/MHz with a 6 
dBi gain antenna without distinction to whether devices are located 
indoor or outdoor; power must be reduced by 1 dB for every dB that the 
antenna gain exceeds 6 dBi. These devices will not cause interference 
to Globalstar's MSS because of their nature of operation. A client 
device operates with an access point in a very asymmetric nature, in 
that very little data is transmitted in the uplink direction (i.e. 
transmitted from the client device) as compared to data transmitted in 
the downlink direction (i.e. transmitted from the access point). Client 
devices are typically mobile or portable, such as handsets or laptops 
and tablets. These devices are not typically installed in permanent 
outdoor locations, and due to their mobile nature the antenna gain in 
any particular direction cannot be guaranteed. Because client devices 
will most often be used in indoor locations with very low antenna 
heights any emissions will be shielded to some extent by buildings, 
foliage or other obstructions. While many such devices are able to 
operate in either a client mode, hotspot mode or a peer-peer mode, the 
Commission does not believe that such peer-to-peer modes will be used 
frequently or deployed as part of an outdoor network; and thus, it will 
permit mobile or portable client devices to operate in either mode 
without changing maximum power levels. Finally, many client devices 
incorporate power control features that cause the device to use as 
little power necessary to provide necessary communications. These 
factors compound each other and point to a very low impact from client 
devices and the Commission does not find a need to impose the antenna 
requirements described for access points.
    18. The Commission notes that Globalstar has the capability to 
monitor increases in noise levels at its satellites, and anticipates 
that Globalstar will report any significant changes in the noise levels 
and provide specific details as to how it is affecting its operations. 
The Commission also encourages all interested parties to continue to 
communicate regularly among each other and with Commission staff 
regarding developments in this band.

Security Features for All U-NII Bands

    19. Because the current and future use of the 5 GHz U-NII bands is 
heavily reliant on the successful implementation of the Commission's 
technical rules, the Commission proposed to require that manufacturers 
implement security features in any digitally modulated device capable 
of operating in any of the U-NII bands, so that third parties are not 
able to reprogram the device to operate outside the parameters for 
which the device was certified.
    20. Because 5 GHz U-NII devices are able to operate across such a 
wide swath of spectrum, any device could potentially be reprogrammed to 
operate outside of its certified frequency range. Accordingly, the 
Commission adopted its proposal in the NPRM that manufacturers must 
take steps to prevent unauthorized software changes to their equipment 
in all of the U-NII bands. It leaves the precise methods of ensuring 
the integrity of the software in a radio to the manufacturer, but 
requires the manufacturer to document those methods in its application 
for equipment authorization and declines to set specific security 
protocol or authentication requirements at this time, so as not to 
hinder the development of the technology used to provide such security, 
or to be unduly burdensome on manufacturers.
    21. The Commission acknowledges that it may have to specify more 
detailed security requirements at a later date as software driven radio 
technology develops. The Commission directed OET to provide guidance, 
through the Knowledge Data Base (KDB) on what types of security 
measures work effectively, and what types do not, as well as on the 
level of detail the FCC will typically need to evaluate the 
authorization request.
    22. The Commission reiterated its observation in the NPRM that some 
radios are designed so that they can communicate directly with each 
other,

[[Page 24572]]

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 also believes that it is important 
to ensure that client devices cannot be unlawfully reprogrammed to 
perform the functions of an access point. Thus, the Commission 
concludes that all devices that operate under the U-NII rules must be 
subject to the device security requirements.
    23. The Commission believes the enhanced security measures will be 
effective, and conclude that there is no need for a reactive scheme 
such as disabling devices that are modified or tampered with, as urged 
by some commenters. The Commission intends to enforce its security 
protocol requirement carefully and vigorously.
    24. Transmitter ID. The Commission declines to require U-NII 
devices to transmit identifying information. While the Commission's 
experience in the field has indicated that a transmitter ID requirement 
would help to more quickly identify and locate devices that cause 
harmful interference, the Commission is not persuaded that the benefits 
accrued from such a requirement would outweigh the costs to implement 
it at this time. One of its primary goals throughout this proceeding is 
to prioritize eliminating the occurrence of harmful interference in the 
first instance. The Commission's adoption of enhanced security 
requirements, directly addresses this priority, whereas a transmitter 
identification requirement does not. However, if harmful interference 
continues to be a problem the Commission will reevaluate the costs and 
benefits associated with a transmitter ID requirement, recognizing that 
it may be necessary to implement more costly solutions to eliminate the 
harmful interference if devices operating in the band continue to cause 
harmful interference.

U-NII-2 Bands

    25. In addition to the security requirements applicable to all U-
NII devices operating in the 5 GHz band described, the Commission 
revised the technical rules for operation in the U-NII-2A and U-NII-2C 
bands to further mitigate potential harmful interference to TDWR and 
other radar systems that operate in those bands. It also modified the 
rules and updated its U-NII compliance measurement procedures to 
improve testing for radar detection and eliminate certain outdated 
performance tests.

Interference Mitigation Techniques

    26. 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 in a way that users were able to disable the DFS mechanism. 
With the DFS mechanism inactive, the device could transmit on an active 
radar channel and cause harmful interference. In the NPRM the 
Commission therefore proposed that manufacturers prevent the DFS 
mechanism from being disabled in devices certified to operate in the U-
NII-2A and U-NII-2C bands. It also proposed that U-NII devices 
certified to operate in these bands must be operated with the DFS 
function on. The Commission also noted in the NPRM 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 increasing the sensing frequency range (e.g., detection 
bandwidth) of U-NII devices operating in the U-NII-2A and U-NII-2C 
bands; using a database registration process combined with geo-location 
technology to determine whether there is any potential harmful 
interference to radar systems such as the TDWR; and limiting the 
unwanted emission levels of the U-NII devices.
    27. DFS Functionality. No commenters opposed the Commission's 
proposal that DFS must be active for any devices operating in the U-
NII-2A and U-NII-2C bands. The technical rules for equipment authorized 
to operate in the U-NII-2A and U-NII-2C bands already require the 
implementation of DFS. The requirement to preclude software changes 
that would allow devices to operate outside of their authorized 
parameters includes the DFS functionality. That is, the devices must be 
designed to prohibit software changes that would disable the DFS 
functionality. The Commission also modified its rules to explicitly 
prohibit operators from using equipment without operational DFS in the 
U-NII-2 bands, and to require the DFS function to be turned on when 
operating in these bands. This explicit requirement will help the 
Commission's Enforcement Bureau eliminate harmful interference should 
they encounter modified equipment in the field.
    28. DFS Sensing Bandwidth. The Commission modified its rules to 
require U-NII devices to sense for radar signals at 100 percent of 
their emissions bandwidth in U-NII-2A and U-NII-2C bands, as proposed 
in the NPRM. The current rule for sensing bandwidth ensures co-channel 
interference protection only when the radar signal falls within 80 
percent of the U-NII device's occupied bandwidth, and it is thus 
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. This could result in 
transmissions from the U-NII devices that fall within the TDWR receiver 
bandwidth, which would increase the potential for harmful interference. 
Expanding the sensing requirement to the entire occupied bandwidth will 
prevent any and all co-channel operations between U-NII-2A, U-NII-2C 
band devices and radars.
    29. Geolocation/Database. The Commission declines to adopt a geo-
location database requirement that I proposed in the NPRM for several 
reasons. First, it is taking several actions in this First R&O that 
would have prevented most of the harmful interference cases that it has 
observed to date, and which will prevent future interference cases. 
Second, the Commission is making several changes to its part 15 rules 
and compliance measurement procedures to improve the DFS functionality, 
thus further reducing the harmful interference risk to TDWR and other 
radar systems, e.g. increasing the sensing bandwidth, modifying the 
sensing threshold, and testing DFS functions against a new radar 
waveform. These changes will be sufficient for U-NII devices to avoid 
radar systems operating in these bands. Given these considerations, the 
Commission agrees with commenters that the incremental benefit provided 
by implementing a geo-location/database approach as a supplement to DFS 
is not sufficient to justify the expense of doing so. Additionally, 
permitting a geo-location/database approach as an alternative to 
requiring DFS functionality would also present some practical concerns 
in overall management of the interference environment, since two 
different types of devices would be operating under different 
authorization procedures and operating rules.
    30. The Commission notes that although it is not adopting a 
database requirement, WISPA maintains a database accessible to the 
public which contains TDWR system locations and the Commission actions 
in this First R&O will not prevent the use of any voluntary databases 
such as the one implemented by WISPA.

[[Page 24573]]

    31. Out-of-Band Emissions in the U-NII-2 Bands. In the NPRM, the 
Commission noted that emissions outside of the U-NII device's occupied 
bandwidth may have the potential to cause harmful interference to 
TDWRs. Aside from increasing frequency separation or distance 
separation, U-NII devices may avoid causing harmful 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 sought 
comment on whether requiring lower unwanted emission limits for U-NII 
devices operating in the U-NII-2A and UNII-2C bands was appropriate, 
and whether it should modify the emission limits based on findings in 
NTIA Third Technical Report.
    32. The Commission also sought comment on modifying its rules to 
adopt out-of-channel limits for indoor versus outdoor U-NII devices, 
including how it should define the terms ``indoor'' and ``outdoor,'' 
and how different operating requirements for indoor versus outdoor 
operations can be accommodated through its equipment authorization and 
enforcement procedures.
    33. The Commission declined to adopt the proposals in the NPRM that 
would have required reductions in out-of-band emissions below the 
levels currently allowed under Sec.  15.407. In the harmful 
interference cases that it has investigated, it has not seen evidence 
that problems are being caused by unwanted emissions from properly 
certified and properly functioning equipment. Instead, the majority of 
cases have been caused by devices that have been modified to operate in 
frequency bands in which they are not certified to operate, or by 
devices in which DFS had been disabled. Consolidating the technical 
rules in the U-NII-3 band, along with enhancing the software security 
requirements of all U-NII devices, would have prevented most of the 
harmful interference cases that has been observed to date. Accordingly, 
the Commission agrees with commenters that a reduction in unwanted 
emissions from properly certified and properly functioning equipment 
would be overly restrictive and would not provide any long-term 
interference mitigation and that the benefits of applying reduced 
emission limits would be speculative, while the costs imposed on 
manufacturers and users are real and would result in decreased 
equipment capabilities.

Other U-NII-2 Rules and Measurement Procedures

    34. Sensing Threshold. 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, using 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 [mu]s. The difference is due to the lesser 
range at which the lower power devices can potentially cause harmful 
interference. In order to ensure that the potential for harmful 
interference does not increase with the use of the relaxed sensing 
threshold, the Commission proposed in the NPRM to apply a reduction in 
EIRP spectral density for devices that use the -62 dBm sensing 
threshold.
    35. The Commission adopted the proposal it advanced in the NPRM to 
revise the DFS sensing rules by introducing a Power Spectral Density 
(PSD) limit for devices that meet the requirements for this relaxed 
sensing threshold. It modified the rules to require that devices 
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 Commission also noted 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 to 23 dBm (200 mW) and 10 dBm/MHz (10 mW/MHz), 
respectively. This change will further enhance protection for radars 
from co-channel interference by reducing both the range and the in-band 
spectral density of the U-NII devices that use the relaxed sensing 
threshold.
    36. Bin 1 Waveforms. U-NII devices that operate in the U-NII-2A and 
the U-NII-2C bands are certified using a testing regime that considers 
how the U-NII equipment responds to sample waveforms that simulate 
typical parameters that are used by radars that operate in these bands. 
The radar parameters are divided up into several ``bins,'' each 
representing a different category of radar system. The Commission is 
adopting its proposals from the NPRM, to use an updated set of ``Bin-
1'' radar waveforms to be used in certifying U-NII equipment. The new 
waveforms are expected to account for current and, to the extent 
possible, future TDWR characteristics, and the modifications in the 
Bin-1 radar simulating waveform used in its measurement procedures will 
reduce the potential for co-channel interference to the TDWR and other 
radar systems. The Commission believes that these changes will reduce 
the potential for co-channel interference to the TDWR and other radar 
systems, and directed OET to modify the Bin-1 radar simulating waveform 
used in the 2006 DFS Compliance Measurement Procedures. Based on the 
reported co-channel interference to TDWR, and its investigations into 
complaints, the Commission believes the modifications to the test 
waveforms in the measurement procedures are required. The test 
waveforms proposed in the NPRM were created by NTIA with input from a 
number of agencies and with the industry stakeholders after a long 
evaluation period. The tests are a generalized procedure and are not 
intended to cover every radar device exactly. In fact, all the test 
waveforms were created by ``mixing'' a number of radar types. Thus, 
they are not exact representations, but a generalized view of pulse 
types to be detected. In practice, a U-NII device is expected to detect 
any radar types and not just the parameters used for test purposes and 
thus, the Commission does not need to include the specific parameters 
requested by Baron Services.
    37. Channel Spreading. With the support of all commenters 
addressing the issue, the Commission modified its rules, as proposed in 
the NPRM, to eliminate the last portion of Sec.  15.407(h)(2) that 
requires that the DFS process provide a uniform spreading of the 
loading over all of the available channels, and directed OET to update 
the 2006 DFS Compliance Measurement Procedures to remove the channel 
spreading requirement. The Uniform Channel Spreading requirement on DFS 
is outdated and does not reflect the current state and trajectory of 
wireless technology, which is turning toward U-NII devices which 
operate with ever wider bandwidths such as contained in the new 
802.11ac standard. 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, reducing the 
utility

[[Page 24574]]

of uniform channel-spreading requirement. This rule modification will 
give U-NII equipment manufacturers significant flexibility to design 
and develop radar avoidance methods, while increasing effective use of 
the spectrum.
    38. Channel Loading. With the support of all parties that commented 
on channel loading, the Commission determined to remove the requirement 
for using the MPEG test file (streaming full motion video at 30 frames 
per second) for testing of channel loading. Given that there are a 
number of affected devices that are not designed for video use and 
therefore cannot be effectively tested with a video-based process, the 
Commission concluded that a more flexible approach is warranted, which 
permits channel-loading testing to be performed using means appropriate 
to the data types that are used by the unlicensed device at issue.

U-NII-3 Band Features

    39. The Commission's rules permit the certification of devices that 
operate in 5.725-5.85 GHz band under two different rule sections. 
Section 15.247 was originally adopted in 1985 to govern spread spectrum 
operations. The U-NII rules were adopted in 1997 and were designed to 
accommodate new digital modulation technologies. In 2002, the 
Commission modified the original spread spectrum rules to allow 
digitally-modulated devices under Sec.  15.247, but were not fully 
aligned with the U-NII rules. The differences in these rules has 
persisted and led to the situation where devices were authorized under 
the frequencies permitted under Sec.  15.247 and then illegally 
modified to operate on frequencies permitted only for U-NII devices 
without complying with the rules designed to prevent interference to 
other radio services, resulting in harmful interference to TDWRs.
    40. To provide for simplicity and clarity in the rules and to 
eliminate the scheme whereby unlicensed devices authorized under the 
unlicensed rules rather than the U-NII rules could then be (illegally) 
modified to operate on U-NII bands without U-NII compliance and 
protection protocols, the Commission adopted the NRPM proposals for the 
U-NII-3 band with one exception, it did not adopt an antenna gain limit 
for point-to-point devices. It adopted a single set of rules for all 
devices in the U-NII-3 band, it adopted the provisions from each 
respective rule regimen which provides for the most effective and 
efficient use of spectrum while protecting incumbents.
    41. First, the Commission extended 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. Second, 
it consolidated Sec.  15.247 technical rules for digitally-modulated 
devices in the 5.725-5.85 GHz band with Sec.  15.407 U-NII rules, while 
maintaining many of the technical rules that currently make equipment 
authorization under Sec.  15.247 more attractive for equipment 
manufacturers. It removed the 5.725-5.85 GHz band for digital 
modulation devices from Sec.  15.247 to ensure that all digitally 
modulated equipment that are technically similar operate under a single 
set of technical rules in this band.
    42. The Commission also adjusted the rules for technical parameters 
such as the frequency band of operation, the power and power spectral 
density limits, emission bandwidth, antenna gain, unwanted emission 
limits, and the peak to average ratio permitted in its rules. It 
adopted a modified version of its proposed rule for antenna gain to 
retain the provisions for high-gain point-to-point operations.
    43. The Commission adopted its proposal to consolidate the 
provisions for operation in the 5.725-5.85 GHz band into the U-NII 
rules under Sec.  15.407. It expects this rule change to decrease 
unnecessary complexity in the equipment authorization process and 
eliminate the incentives for gaming the rules. More importantly, this 
change, combined with the software security changes the Commission 
adopted, should help eliminate potential harmful interference from 
unlicensed devices to other spectrum users.

Power

    44. Section 15.247 allows 1 Watt of total peak conducted power 
whereas Sec.  15.407 limits maximum conducted output power to the 
lesser of 1 Watt or 17 dBm + 10 log B (where B is bandwidth in MHz). In 
addition to the 1 Watt power limit, there are different PSD limits in 
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, it 
proposed in the NPRM to remove the bandwidth dependent term (i.e., 
remove 17 + 10 log B) from Sec.  15.407, so that the power limit would 
be 1 Watt.
    45. The Commission modified its rules to remove the bandwidth-
dependent term from Sec.  15.407(a)(3) of its rules, as proposed. As 
the Commission initially suggested and the majority of commenters 
agreed, utilizing the 1 Watt power limit will not increase the 
potential for harmful interference because unlicensed devices are 
already allowed to operate without the bandwidth-dependent term under 
Sec.  15.247.

Power Spectral Density

    46. Section 15.247(e) permits a maximum PSD of 8 dBm/3 kHz (33 dBm/
MHz), whereas Sec.  15.407(a)(3) permits a maximum PSD of 17 dBm/MHz. 
The difference between these two PSD limits is the bandwidth at which 
the device reaches the 1-Watt total power limit. Specifically, Sec.  
15.247(e) allows a higher PSD when the device emission bandwidth is 
between 0.5 and 20 megahertz. Whenever devices use an emission 
bandwidth above 20 megahertz, the 1 Watt power limit becomes the 
limiting parameter, and the effective PSD at which the device operates 
is the same under both Sec.  15.247 and 15.407. A PSD of 8dBm/3kHz 
(33dBm/MHz) is equivalent to a PSD that is higher than a total power 
limit of 1 Watt (30dBm).
    47. The Commission did not adopt the proposed PSD limit of 33dBm/
MHz because it would exceed the conducted power limit of 1 Watt 
specified in Sec.  15.247(b)(3), which it is incorporating into the 
consolidated rule; the Commission instead calculates a PSD limit that 
can be practically measured and would not be higher than the conducted 
power limit of 30 dBm. The Commission adjusts the 33 dBm/MHz proposed 
in the NPRM by simply converting the PSD into a smaller bandwidth such 
that the power allowed in that bandwidth does not exceed 30 dBm. The 
Commission modifies the PSD limit by decreasing the power by 3 dB, and 
at the same time reduces the bandwidth by half, making the PSD that it 
adopted 30 dBm/500 kHz. Assuming that emission levels are evenly 
distributed throughout the bandwidth, this is equivalent to the 8 dBm/3 
kHz (33 dBm/MHz) that was proposed in the NPRM.
    48. The Commission continues to believe that the 3 kilohertz 
measurement bandwidth is unnecessary, as it creates an exceedingly long 
time for labs to complete the measurements for devices that use 20 
megahertz or even wider channels. With the introduction of 80 and 160 
megahertz channels with the IEEE 802.11 ac standard, the time to 
complete a single measure would increase significantly. Because the

[[Page 24575]]

Commission adopted a PSD limit in a 500 kHz bandwidth, it modified the 
measurement procedures to correspondingly be performed using a 500 kHz 
reference bandwidth. Likewise, the Commission modified Sec.  
15.407(a)(5) to specify a 500 kHz reference bandwidth for the U-NII-3 
band. This will allow measurements of unlicensed devices being 
certified for operation in the U-NII-3 band to be performed in a timely 
manner, resulting in efficiencies and cost savings for manufacturers, 
test facilities, and ultimately to consumers.

Emission Bandwidth

    49. Section 15.247(a)(2) requires a minimum 6 dB bandwidth of 500 
kilohertz. Section 15.407 has no minimum or maximum bandwidth, but the 
emission bandwidth is defined and measured at the 26 dB down points of 
the U-NII signal and is used to determine the total power allowed under 
that rule.
    50. The Commission concludes that using a minimum 6 dB bandwidth of 
500 kilohertz will continue to provide sufficient flexibility to foster 
development, frequency sharing and frequency reuse in the band, and it 
modified Sec.  15.407 to include that minimum-bandwidth requirement, in 
order to help ensure that the band does not become congested with 
narrow-bandwidth applications for which other spectrum could be 
available.

Antenna Gain

    51. Under the antenna gain requirements in Sec.  15.247, a 1 dB 
reduction in power is required for every 1 dB that the antenna gain 
exceeds 6 dBi, except for fixed point-to-point systems, for which no 
power reduction is required. Under Sec.  15.407, a 1 dB reduction in 
power is similarly required for every 1 dB that the antenna gain 
exceeds 6 dBi, but for fixed point-to-point systems, a 1 dB reduction 
in power is required for every 1 dB that the antenna gain exceeds 23 
dBi.
    52. The Commission declined to adopt its initial proposal to 
conform to the provisions of Sec.  15.407 which restrict require 
reduced power for high-gain antennas, and instead will conform the 
rules for U-NII-3 devices to those presently in Sec.  15.247 to 
continue to permit the use of unlicensed high-gain point-to-point 
antennas. This will allow service providers to deploy cost-effective 
wireless links in what would otherwise be considered high cost areas, 
and allow for the quick setup and transitioning of unlicensed and 
licensed microwave links.
    53. The Commission finds that Fastback's proposal to permit higher 
antenna gain for point-to-multipoint systems would be an expansion of 
usage in the U-NII-3 band, and is beyond the scope of the rulemaking.

Unwanted Emissions

    54. 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) 
for unwanted emissions. 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. These unwanted emission limits are somewhat more 
restrictive than those in Sec.  15.247.
    55. The Commission adopted the more restrictive unwanted emissions 
limits in Sec.  15.407 for the combined new rule, rather than the more 
lenient unwanted emissions limit currently in Sec.  15.247 for several 
reasons. The more stringent unwanted emissions requirement will ensure 
that there is no increase in the potential for harmful interference 
from unlicensed devices operating under the new combined rule parts. 
Additionally, this decision is consistent with the determination to 
apply the Sec.  15.407 out-of-band emission levels in the U-NII-2 
bands, and having a single limit for devices that operate in any U-NII 
band will provide clarity and simplicity. The record shows broad 
support for adopting the tighter unwanted-emissions limits of Sec.  
15.407 limits. The Commission recognizes that high gain point-to-point 
system certified under Sec.  15.247 may have to be modified to comply 
with the lower out-of-band emissions limit from Sec.  15.407. 
Manufacturers have the flexibility to determine how they should meet 
the lower out-of-band emissions limit.

Peak-to-Average Power Ratio

    56. Section 15.407 contains a requirement to maintain a peak-to-
average power ratio of no more than 13 dB across any 1 megahertz band, 
whereas Sec.  15.247 contain no peak-to-average ratio requirement. The 
Commission did not adopt the proposal in the NPRM to keep the peak-to-
average ratio requirement, agreeing with commenters that this 
measurement is no longer necessary.

Hybrid Devices

    57. The Commission will continue to authorize under Sec.  15.247 
frequency hopping spread spectrum devices and the frequency hopping 
spread spectrum portion of hybrid devices in the 5725-5850 MHz band. 
The digitally modulated portion of hybrid devices will have to meet the 
modified U-NII rules for this band.

Adoption of Miscellaneous Rule Modifications

    58. The NPRM proposed several rule modifications to simplify and 
clarify various Part 15 rules. The Commission determines that several 
sections of the rules referenced procedures or provisions that are no 
longer in use and therefore, are no longer necessary and others with 
inconsistent terminology. In Sec.  15.403(m) the Commission replaced 
``Peak Power Spectral Density'' with ``Maximum Power Spectral 
Density.'' In addition, the Commission deleted ``peak or'' from Sec.  
15.403(o) for clarity. It also deleted ``peak or'' from Sec.  15.403(o) 
for clarity. The Commission also deleted Sec.  15.247(b)(4)(i) through 
(b)(4)(ii) to eliminate repetitive language that was found in Sec.  
15.247(c)(1)(i) through (c)(1)(iii).
    59. In Sec.  15.407 the Commission deleted the second sentence in 
paragraph (a)(4) because it contains language that is no longer 
relevant. It also corrected the wording in paragraphs (a)(2) and (a)(5) 
by replacing ``peak'' with ``maximum.'' The Commission also corrected 
the wording in paragraph (b)(8) by replacing ``block edges'' with 
``band edges.'' The Commission also clarified rule Sec.  15.215(c) to 
allow the operation of a U-NII device over multiple channels/bands. U-
NII Band straddling in the 5 GHz region of U-NII spectrum is allowed 
and applies to 802.11ac bonded 80 megahertz and 160 megahertz channels. 
It also modified Sec.  15.407(h)(2) to clarify the language for DFS 
requirements once the emission bandwidth of a U-NII device is straddled 
across multiple U-NII bands.

Transition Periods

    60. The Commission adopted its proposal to require that 12 months 
after the effective date of this First R&O, applications for 
certification of devices must meet the new and modified rules adopted. 
The manufacture, marketing, sale and importation into the United States 
of devices that do not meet the new or modified rules adopted must 
cease two years after the effective date of this First R&O. While the 
Commission is sympathetic to the arguments that the more restrictive 
unwanted emission limits for digital modulation devices may present 
design challenges for some manufacturers, the Commission finds that it 
is in the public interest to implement the changes as

[[Page 24576]]

soon as possible to eliminate the potential of harmful interference to 
incumbents.
    61. Grandfathered devices must continue to employ DFS as required 
in Sec.  15.407(h)(2). Devices operating in the U-NII-2A or U-NII-2C 
bands that do not have DFS or that have DFS turned off are not 
compliant with the part 15 rules, and any operators who use such 
devices may be subject to a f forfeiture. Large numbers of 5 GHz U-NII 
devices are already in the marketplace and pose no threat of harmful 
interference unless they are modified in violation of the Commission's 
rules. However, should these devices be modified and cause harmful 
interference to TDWR or any other incumbent systems, the FCC 
Enforcement Bureau will continue its aggressive approach to ensuring 
compliance with the Commission's rules.
    62. Since 2010, the Commission has been certifying U-NII-2C devices 
under interim procedures which require that the 5.6-5.65 GHz band be 
notched out, and that certain devices within 35 km of a TDWR location 
be separated by at least 30 MHz (center-to-center) from the TDWR 
operating frequency. The Commission will permit U-NII-2C, i.e., devices 
operating in the 5470-5725 MHz band, to be certified either under these 
interim procedures or the new rules adopted herein for 12 months after 
the effective date of this First R&O. After 12 months, all U-NII-2C 
devices must meet the new rules in order to be certified.
    63. The Commission adopted its proposal to no longer allow Class II 
permissive changes for devices certified under either the old rules, or 
the U-NII-2C interim procedures, after two years unless they meet the 
new rules adopted here. Devices may continue to apply for Class II 
permissive changes that demonstrate compliance with the old rules for 
only up to two years after the effective date of the new rules. 
However, the Commission feels that it is in the public interest to 
continue to allow indefinitely Class II permissive changes to devices 
certified under the old rules in some instances. The Commission will 
therefore allow devices certified under the old rules, or U-NII-2C 
interim procedures, prior to the 12-month effective date of the new 
rules, to demonstrate compliance with the new or modified rules through 
Class II permissive changes.
    64. The Commission will continue to allow digital modulation 
equipment and the digital modulation portion of hybrid devices, i.e., 
those that can function as either spread spectrum or digitally 
modulated systems, operating in the 5.725-5.85 GHz band to be certified 
to meet the Sec.  15.247 requirements for 12 months after the effective 
date of the new rules. After 12 months, digital modulation devices and 
the digital modulation portion of hybrid devices must meet the new 
Sec.  15.407 U-NII-3 rules in order to be FCC certified. The frequency 
hopping spread spectrum portion of hybrid devices will continue to be 
certified under the Sec.  15.247 spread spectrum rules. The 
manufacture, marketing, sale and importation into the United States of 
digitally modulated and hybrid devices certified under Sec.  15.247 
operating in the 5.725-5.85 GHz band must cease two years after the 
effective date of this 1st R&O. Additionally, for up to two years after 
the effective date of these new rules they may apply for Class II 
permissive changes to demonstrate compliance with the old rules. After 
two years, these devices must be certified to meet the new rules and 
Class II permissive changes may only be made if these devices meet the 
new rules as well.

Procedural Matters

    65. Paperwork Reduction Analysis. This document contains modified 
information collection requirements subject to the Paperwork Reduction 
Act of 1995 (PRA), Public Law 104-13. It will be submitted to the 
Office of Management and Budget (OMB) for review under section 3507(d) 
of the PRA. OMB, the general public, and other Federal agencies are 
invited to comment on the new or modified information collection 
requirements contained in this proceeding. This collection of 
information will be covered under (OMB 3060-0057 Equipment 
Authorization).

Final Regulatory Flexibility Analysis

    66. As required by the Regulatory Flexibility Act (RFA),\1\ an 
Initial Regulatory Flexibility Analysis (IRFA) was incorporated in the 
Notice of Proposed Rulemaking (NPRM) in ET Docket No. 13-49.\2\ The 
Commission sought written public comment on the proposals in the NPRM, 
including comment on the IRFA. This present Final Regulatory 
Flexibility Analysis (FRFA) conforms to the RFA.
---------------------------------------------------------------------------

    \1\ See 5 U.S.C. 603. The RFA, see 5 U.S.C. 60-612, has been 
amended by the Small Business Regulatory Enforcement Fairness Act of 
1966 (SBREFA), Public Law 104-121, Title II, 110 Stat. 857 (1996), 
and the Small Business Jobs Act of 2010, Public Law 111-240, 124 
Stat. 2504 (2010).
    \2\ See Revision of part 15 of the Commission's rules to Permit 
Unlicensed National Information Infrastructure (U-NII) Devices in 
the 5 GHz Band in ET Docket No. 13-49, Notice of Proposed 
Rulemaking, 28 FCC Rcd. 1769 (2013) (NPRM).
---------------------------------------------------------------------------

A. Need for, and Objectives of, the Report and Order

    67. The First Report and Order amends the regulations for 
Information Unlicensed National Information Infrastructure (U-NII) 
devices which operate in the 5 GHz band.\3\ U-NII devices are 
unlicensed intentional radiators which use wideband digital modulation 
techniques to provide a wide array of high data rate mobile and fixed 
communications used by individuals, businesses, and institutions.\4\ As 
discussed, the Commission modified certain technical requirements in 
its rules for all U-NII devices to ensure that these devices do not 
cause harmful interference to Terminal Doppler Weather Radar (TDWR) 
systems and other radar systems that operate in the 5 GHz band. It is 
also extending the upper edge of the 5.725-5.825 GHz U-NII band from 
5.825 GHz to 5.85 GHz and consolidating the provisions formerly 
applicable to digitally modulated devices under Sec.  15.247 of the 
rules for this band with the U-NII rules in Sec.  15.407. This change 
will eliminate a loophole in the former rules that allowed devices to 
be certified under the Sec.  15.247 rules and then modified to operate 
as U-NII devices without complying with all of the technical 
requirements of the U-NII rules--a practice that was shown to be a 
major source of harmful interference to TDWRs. Finally, the Commission 
is removing the indoor only restriction and increasing the permitted 
power for U-NII devices in the 5.15-5.25 GHz band thus increasing the 
amount of spectrum available for next generation Wi-Fi services by 100 
megahertz.
---------------------------------------------------------------------------

    \3\ See 47 CFR part 15 Subpart E--Unlicensed National 
Information Infrastructure Devices.
    \4\ See 47 CFR 15.403(s).
---------------------------------------------------------------------------

B. Significant Issues Raised by Public Comments in Response to the IRFA

    68. There were no public comments filed that specifically addressed 
the rules and policies proposed in the IRFA.

C. Response to Comments by the Chief Counsel for Advocacy of the Small 
Business Administration

    69. Pursuant to the Small Business Jobs Act of 2010, the Commission 
is required to respond to any comments filed by the Chief Counsel for 
Advocacy of the Small Business Administration, and to provide a 
detailed statement of any change made to the proposed rules as a result 
of those comments. The Chief Counsel did not file any comments in 
response to the proposed rules in this proceeding.

[[Page 24577]]

D. Description and Estimate of the Number of Small Entities to Which 
the Rules Will Apply

    70. 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 proposed rules, if adopted.\5\ The RFA defines the term 
``small entity'' as having the same meaning as the terms ``small 
business,'' ``small organization,'' and ``small business concern'' 
under section 3 of the Small Business Act.\6\ Under the Small Business 
Act, a ``small business concern'' is one that: (1) is independently 
owned and operated; (2) is not dominant in its field of operations; and 
(3) meets may additional criteria established by the Small Business 
Administration (SBA).\7\
---------------------------------------------------------------------------

    \5\ See 5 U.S.C. 603(b)(3).
    \6\ Id. 601(3).
    \7\ Id. 632.
---------------------------------------------------------------------------

E. Small Businesses, Small Organizations, and Small Governmental 
Jurisdictions

    71. The Commission's action may, over time, affect small entities 
that are not easily categorized at present. It therefore describes 
here, at the outset, three comprehensive, statutory small entity size 
standards that encompass entities that could be directly affected by 
the proposals under consideration.\8\ As of 2009, small businesses 
represented 99.9% of the 27.5 million businesses in the United States, 
according to the SBA.\9\ Additionally, a ``small organization'' is 
generally ``any not-for-profit enterprise which is independently owned 
and operated and is not dominant in its field.'' \10\ Nationwide, as of 
2007, there were approximately 1,621,315 small organizations.\11\ 
Finally, the term ``small governmental jurisdiction'' is defined 
generally as ``governments of cities, counties, towns, townships, 
villages, school districts, or special districts, with a population of 
less than fifty thousand.'' \12\ Census Bureau data for 2007 indicate 
that there were 89,527 governmental jurisdictions in the United 
States.\13\ The Commission estimates that, of this total, as many as 
88,761 entities may qualify as ``small governmental jurisdictions.'' 
\14\ Thus, the Commission estimates that most governmental 
jurisdictions are small.
---------------------------------------------------------------------------

    \8\ See 5 U.S.C. 601(3)-(6).
    \9\ See SBA, Office of Advocacy, ``Frequently Asked Questions,'' 
available at https://web.sba.gov/faqs/faqindex.cfm?areaID=24 (last 
visited Aug. 31, 2012).
    \10\ 5 U.S.C. 601(4).
    \11\ Independent Sector, The New Nonprofit Almanac & Desk 
Reference (2010).
    \12\ 5 U.S.C. 601(5).
    \13\ U.S. CENSUS BUREAU, STATISTICAL ABSTRACT OF THE UNITED 
STATES: 2011, Table 427 (2007).
    \14\ The 2007 U.S Census data for small governmental 
organizations are not presented based on the size of the population 
in each such organization. There were 89,476 local governmental 
organizations in 2007. If the Commission assumes that county, 
municipal, township, and school district organizations are more 
likely than larger governmental organizations to have populations of 
50,000 or less, the total of these organizations is 52,095. If the 
Commission makes the same population assumption about special 
districts, specifically that they are likely to have a population of 
50,000 or less, and also assume that special districts are different 
from county, municipal, township, and school districts, in 2007 
there were 37,381 such special districts. Therefore, there are a 
total of 89,476 local government organizations. As a basis of 
estimating how many of these 89,476 local government organizations 
were small, in 2011, the Commission notes that there were a total of 
715 cities and towns (incorporated places and minor civil divisions) 
with populations over 50,000. CITY AND TOWNS TOTALS: VINTAGE 2011--
U.S. Census Bureau, available at https://www.census.gov/popest/data/cities/totals/2011/. If the Commission subtracts the 715 
cities and towns that meet or exceed the 50,000 population 
threshold, the Commission concludes that approximately 88,761 are 
small. U.S. CENSUS BUREAU, STATISTICAL ABSTRACT OF THE UNITED STATES 
2011, Tables 427, 426 (Data cited therein are from 2007).
---------------------------------------------------------------------------

    72. The adopted rules pertain to manufacturers of unlicensed 
communications devices. The appropriate small business size standard is 
that which the SBA has established for 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.'' \15\ The SBA has developed a small 
business size standard for firms in this category, which is: all such 
firms having 750 or fewer employees.\16\ 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, 784 had less than 500 employees and 155 had more than 100 
employees.\17\ Thus, under this size standard, the majority of firms 
can be considered small.
---------------------------------------------------------------------------

    \15\ U.S. Census Bureau, 2007 NAICS Definitions, ``334220 Radio 
and Television Broadcasting and Wireless Communications Equipment 
Manufacturing''; https://www.census.gov/naics/2007/def/ND334220.HTM#N334220.
    \16\ 13 CFR 121.201, NAICS code 334220.
    \17\  https://factfinder.census.gov/servlet/IBQTable?_bm=y&-fds_name=EC0700A1&-geo_id=&-_skip=300&-ds_name=EC0731SG2&-_lang=en.
---------------------------------------------------------------------------

F. Description of Projected Reporting, Record keeping and Other 
Compliance Requirements

    73. The Report and Order contains a non-substantial modification to 
the information collection requirements. The rules adopted in this 
First Report and Order will apply to small businesses that choose to 
use, manufacture, design, import, or sell part 15 U-NII devices. There 
is no requirement, however, for any entity to use, market, or produce 
these types of products. Small businesses are already subject to the 
existing rules with regard to reporting, record keeping and other 
compliance requirements related to U-NII devices. The rules adopted in 
this First Report and Order do not add substantial additional 
compliance burden on small businesses.

G. Steps Taken To Minimize Significant Economic Impact on Small 
Entities and Significant Alternatives Considered

    74. 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.\18\
---------------------------------------------------------------------------

    \18\ 5 U.S.C. 603(c).
---------------------------------------------------------------------------

    75. In this First Report and Order, the Commission modified its 
rules for Unlicensed National Information Infrastructure (U-NII) 
devices which operate in the 5 GHz band.\19\ U-NII devices are 
unlicensed intentional radiators which use wideband digital modulation 
techniques to provide a wide array of high data rate mobile and fixed 
communications used by individuals, businesses, and institutions.\20\ 
As discussed, the Commission is modifying certain technical 
requirements in its rules for all U-NII devices to ensure that these 
devices do not cause harmful interference to Terminal Doppler Weather 
Radar (TDWR) systems and other radar systems that operate in the

[[Page 24578]]

5 GHz band. The Commission also extends the upper edge of the 5.725-
5.825 GHz U-NII band from 5.825 GHz to 5.85 GHz and consolidates the 
provisions formerly applicable to digitally modulated devices under 
Sec.  15.247 of the rules for this band with the U-NII rules in Sec.  
15.407. This change will eliminate a loophole in the former rules that 
allowed devices to be certified under the Sec.  15.247 rules and then 
modified to operate as U-NII devices without complying with all of the 
technical requirements of the U-NII rules--a practice that was shown to 
be a major source of harmful interference to TDWRs. Finally, the 
Commission is removing the indoor only restriction and increasing the 
permitted power for U-NII devices in the 5.15-5.25 GHz band thus 
increasing the amount of spectrum available for next generation Wi-Fi 
services by 100 megahertz.
---------------------------------------------------------------------------

    \19\ See 47 CFR part 15 Subpart E--Unlicensed National 
Information Infrastructure Devices.
    \20\ See 47 CFR 15.403(s).
---------------------------------------------------------------------------

Report to Congress

    76. The Commission will send a copy of the Report and Order, 
including this FRFA, in a report to be sent to Congress pursuant to the 
Congressional Review Act.\21\ In addition, the Commission will send a 
copy of the Report and Order, including this FRFA, to the Chief Counsel 
for Advocacy of the SBA. A copy of the Report and Order and FRFA (or 
summaries thereof) will also be published in the Federal Register.\22\
---------------------------------------------------------------------------

    \21\ See 5 U.S.C. 801(a)(1)(A).
    \22\ See 5 U.S.C. 604(b).
---------------------------------------------------------------------------

Congressional Review Act

    77. The Commission will send a copy of this Report and Order to 
Congress and the Government Accountability Office pursuant to the 
Congressional Review Act, see 5 U.S.C. 801(a)(1)(A).

Ordering Clauses

    78. Pursuant to sections 4(i), 301, 302, 303(e), 303(f), 303(g), 
and 303(r) of the Communications Act of 1934, as amended, 47 U.S.C. 
154(i), 301, 302a, 303(e), 303(f), 303(g), and 303(r), this First 
Report and Order is hereby adopted and parts 2 and 15 of the 
Commission's rules are amended as set forth in Final rules, effective 
June 2, 2014, except for Sec.  15.407(j), which contains information 
collection requirements subject to the Paperwork Reduction Act of 1995, 
Public Law 104-13, that are not effective until approved by the Office 
of Management and Budget. The Federal Communications Commission will 
publish a document in the Federal Register announcing OMB approval and 
the effective date of this rule.
    79. The Office of Engineering and Technology is delegated authority 
to grant waivers of the antenna requirements adopted herein consistent 
with the terms of this Order.
    80. The Commission's Consumer and Governmental Affairs Bureau, 
Reference Information Center, shall send a copy of this First Report 
and Order, including the Final Regulatory Flexibility Analysis, to the 
Chief Counsel for Advocacy of the Small Business Administration.
    81. The Office of Engineering and Technology shall publish, 
consistent with the terms of this Report and Order, measurement 
procedures that will be used for certifying equipment that will operate 
in the 5.15-5.35 GHz and 5.47-5.85 GHz bands.

List of Subjects in 47 CFR Parts 2 and 15

    Communications equipment, Radio.

    Federal Communications Commission.
Sheryl D. Todd,
Deputy Secretary.

Final Rules

    For the reasons set forth in the preamble, the Federal 
Communications Commission amends 47 CFR parts 2 and 15 of the Code of 
Federal Regulations to read as follows:

PART 2--FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL 
RULES AND REGULATIONS

0
1. The authority citation for part 2 continues to read as follows:

    Authority: 47 U.S.C. 154, 302a, 303, and 336, unless otherwise 
noted.


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2. Section 2.1033 is amended by adding paragraph (b)(13) to read as 
follows:


Sec.  2.1033  Application for certification.

* * * * *
    (b) * * * * *
    (13) Applications for certification of U-NII devices in the 5.15-
5.35 GHz and the 5.47-5.85 GHz bands must include a high level 
operational description of the security procedures that control the 
radio frequency operating parameters and ensure that unauthorized 
modifications cannot be made.
* * * * *

PART 15--RADIO FREQUENCY DEVICES

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3. 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.

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4. Section 15.37 is amended by adding new paragraph (h) to read as 
follows:


Sec.  15.37  Transition provisions for compliance with the rules.

* * * * *
    (h) Effective June 2, 2015 devices using digital modulation 
techniques in the 5725-5850 MHz bands will no longer be certified under 
the provisions of Sec.  15.247. The technical requirements for 
obtaining certification after this date for digitally modulated devices 
and the digitally modulated portion of hybrid devices are found in 
subpart E of this part. The provisions for the frequency hopping spread 
spectrum portion of hybrid devices will remain in Sec.  15.247. 
Effective June 2, 2016 systems using digital modulation techniques in 
the 5725-5850 MHz band certified under the provisions of Sec.  15.247 
may no longer be imported or marketed within the United States.

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5. Section 15.215 is amended by revising paragraph (c) to read as 
follows:


Sec.  15.215  Additional provisions to the general radiated emission 
limitations.

* * * * *
    (c) Intentional radiators operating under the alternative 
provisions to the general emission limits, as contained in Sec. Sec.  
15.217 through 15.257 and in subpart E of this part, must be designed 
to ensure that the 20 dB bandwidth of the emission, or whatever 
bandwidth may otherwise be specified in the specific rule section under 
which the equipment operates, is contained within the frequency band 
designated in the rule section under which the equipment is operated. 
In the case of intentional radiators operating under the provisions of 
subpart E, the emission bandwidth may span across multiple contiguous 
frequency bands identified in that subpart. The requirement to contain 
the designated bandwidth of the emission within the specified frequency 
band includes the effects from frequency sweeping, frequency hopping 
and other modulation techniques that may be employed as well as the 
frequency stability of the transmitter over expected variations in 
temperature and supply voltage. If a frequency stability is not 
specified in the regulations, it is recommended that the fundamental 
emission be kept within at least the central 80% of the permitted band 
in order to minimize the possibility of out-of-band operation.

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6. Section 15.247 is amended by removing paragraphs (b)(4)(i), (ii) and 
(iii), and by revising paragraph (f) to read as follows:

[[Page 24579]]

Sec.  15.247  Operation within the bands 902-928 MHz, 2400-2483.5 MHz, 
and 5725-5850 MHz.

* * * * *
    (f) For the purposes of this section, hybrid systems are those that 
employ a combination of both frequency hopping and digital modulation 
techniques. The frequency hopping operation of the hybrid system, with 
the direct sequence or digital modulation operation turned-off, shall 
have an average time of occupancy on any frequency not to exceed 0.4 
seconds within a time period in seconds equal to the number of hopping 
frequencies employed multiplied by 0.4. 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.

    Note to paragraph (f): The transition provisions found in Sec.  
15.37(h) will apply to hybrid devices beginning June 2, 2015.

* * * * *

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7. Section 15.401 is revised to read as follows:


Sec.  15.401  Scope.

    This subpart sets out the regulations for unlicensed National 
Information Infrastructure (U-NII) devices operating in the 5.15-5.35 
GHz, 5.47-5.725 GHz and 5.725-5.85 GHz bands.

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8. Section 15.403 is amended by revising paragraphs (m), (o) and (s) to 
read as follows:


Sec.  15.403  Definitions.

* * * * *
    (m) Maximum Power Spectral Density. The maximum power spectral 
density is the maximum power spectral density, within the specified 
measurement bandwidth, within the U-NII device operating band.
* * * * *
    (o) Power Spectral Density. The power spectral density is the total 
energy output per unit bandwidth from a pulse or sequence of pulses for 
which the transmit power is at its maximum level, divided by the total 
duration of the pulses. This total time does not include the time 
between pulses during which the transmit power is off or below its 
maximum level.
* * * * *
    (s) U-NII devices. Intentional radiators operating in the frequency 
bands 5.15-5.35 GHz and 5.470-5.85 GHz that use wideband digital 
modulation techniques and provide a wide array of high data rate mobile 
and fixed communications for individuals, businesses, and institutions.

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9. Section 15.407 is amended by revising paragraphs (a)(1) through 
(a)(5), (b) introductory text, (b)(1) through (b)(4), (b)(8), (e), and 
(h)(2), and removing paragraph (a)(6) and by adding new paragraph (i) 
and (j) to read as follows:


Sec.  15.407  General technical requirements.

    (a) * * *
    (1) For the band 5.15-5.25 GHz.
    (i) For an outdoor access point operating in the band 5.15-5.25 
GHz, the maximum conducted output power over the frequency band of 
operation shall not exceed 1 W provided the maximum antenna gain does 
not exceed 6 dBi. In addition, the maximum power spectral density shall 
not exceed 17 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 maximum power spectral density shall be 
reduced by the amount in dB that the directional gain of the antenna 
exceeds 6 dBi. The maximum e.i.r.p. at any elevation angle above 30 
degrees as measured from the horizon must not exceed 125 mW (21 dBm).
    (ii) For an indoor access point operating in the band 5.15-5.25 
GHz, the maximum conducted output power over the frequency band of 
operation shall not exceed 1 W provided the maximum antenna gain does 
not exceed 6 dBi. In addition, the maximum power spectral density shall 
not exceed 17 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 maximum power spectral density shall be 
reduced by the amount in dB that the directional gain of the antenna 
exceeds 6 dBi.
    (iii) For fixed point-to-point access points operating in the band 
5.15-5.25 GHz, the maximum conducted output power over the frequency 
band of operation shall not exceed 1 W. Fixed point-to-point U-NII 
devices may employ antennas with directional gain up to 23 dBi without 
any corresponding reduction in the maximum conducted output power or 
maximum power spectral density. For fixed point-to-point transmitters 
that employ a directional antenna gain greater than 23 dBi, a 1 dB 
reduction in maximum conducted output power and maximum power spectral 
density is required for each 1 dB of antenna gain in excess of 23 dBi. 
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.
    (iv) For mobile and portable client devices in the 5.15-5.25 GHz 
band, the maximum conducted output power over the frequency band of 
operation shall not exceed 250 mW provided the maximum antenna gain 
does not exceed 6 dBi. In addition, the maximum 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 maximum power spectral density 
shall be reduced by the amount in dB that the directional gain of the 
antenna exceeds 6 dBi.
    (2) For the 5.25-5.35 GHz and 5.47-5.725 GHz bands, the maximum 
conducted output power over the frequency bands of operation shall not 
exceed the lesser of 250 mW or 11 dBm 10 log B, where B is the 26 dB 
emission bandwidth in megahertz. In addition, the maximum 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 maximum power spectral 
density shall be reduced by the amount in dB that the directional gain 
of the antenna exceeds 6 dBi.
    (3) For the band 5.725-5.85 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 30 dBm in any 500-
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 greater than 6 dBi without any 
corresponding reduction in transmitter conducted power. 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

[[Page 24580]]

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 in the 5.725-5.85 GHz band are made over a reference 
bandwidth of 500 kHz or the 26 dB emission bandwidth of the device, 
whichever is less. Measurements in the 5.15-5.25 GHz, 5.25-5.35 GHz, 
and the 5.47-5.725 GHz bands are made over a bandwidth of 1 MHz or the 
26 dB emission bandwidth of the device, whichever is less. A narrower 
resolution bandwidth can be used, provided that the measured power is 
integrated over the full reference bandwidth.
    (b) Undesirable emission limits. Except as shown in paragraph 
(b)(7) of this section, the maximum emissions outside of the frequency 
bands of operation shall be attenuated in accordance with the following 
limits:
    (1) For transmitters operating in the 5.15-5.25 GHz band: All 
emissions outside of the 5.15-5.35 GHz band shall not exceed an 
e.i.r.p. of -27 dBm/MHz.
    (2) For transmitters operating in the 5.25-5.35 GHz band: All 
emissions outside of the 5.15-5.35 GHz band shall not exceed an 
e.i.r.p. of -27 dBm/MHz.
    (3) For transmitters operating in the 5.47-5.725 GHz band: All 
emissions outside of the 5.47-5.725 GHz band shall not exceed an 
e.i.r.p. of -27 dBm/MHz.
    (4) For transmitters operating in the 5.725-5.85 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.
* * * * *
    (8) When measuring the emission limits, the nominal carrier 
frequency shall be adjusted as close to the upper and lower frequency 
band edges as the design of the equipment permits.
* * * * *
    (e) Within the 5.725-5.85 GHz band, the minimum 6 dB bandwidth of 
U-NII devices shall be at least 500 kHz.
* * * * *
    (h) * * *
    (2) Radar Detection Function of Dynamic Frequency Selection (DFS). 
U-NII devices operating with any part of its 26 dB emission bandwidth 
in the 5.25-5.35 GHz and 5.47-5.725 GHz bands shall employ a DFS radar 
detection mechanism to detect the presence of radar systems and to 
avoid co-channel operation with radar systems. Operators shall only use 
equipment with a DFS mechanism that is turned on when operating in 
these bands. The device must sense for radar signals at 100 percent of 
its emission bandwidth. The minimum DFS detection threshold for devices 
with a maximum e.i.r.p. of 200 mW to 1 W is -64 dBm. For devices that 
operate with less than 200 mW e.i.r.p. and a Power Spectral Density of 
less than 10 dBm in a 1 MHz band, the minimum detection threshold is -
62 dBm. The detection threshold is the received power averaged over 1 
microsecond referenced to a 0 dBi antenna. For the initial channel 
setting, the manufacturers shall be permitted to provide for either 
random channel selection or manual channel selection.
* * * * *
    (i) Device Security. All U-NII devices must contain security 
features to protect against modification of software by unauthorized 
parties.
    (1) Manufacturers must implement security features in any digitally 
modulated devices capable of operating in any of the U-NII bands, so 
that third parties are not able to reprogram the device to operate 
outside the parameters for which the device was certified. The software 
must prevent the user from operating the transmitter with operating 
frequencies, output power, modulation types or other radio frequency 
parameters outside those that were approved for the device. 
Manufacturers may use means including, but not limited to the use of a 
private network that allows only authenticated users to download 
software, electronic signatures in software or coding in hardware that 
is decoded by software to verify that new software can be legally 
loaded into a device to meet these requirements and must describe the 
methods in their application for equipment authorization.
    (2) Manufacturers must take steps to ensure that DFS functionality 
cannot be disabled by the operator of the U-NII device.
    (j) Operator Filing Requirement: Before deploying an aggregate 
total of more than one thousand outdoor access points within the 5.15-
5.25 GHz band, parties must submit a letter to the Commission 
acknowledging that, should harmful interference to licensed services in 
this band occur, they will be required to take corrective action. 
Corrective actions may include reducing power, turning off devices, 
changing frequency bands, and/or further reducing power radiated in the 
vertical direction. This material shall be submitted to Laboratory 
Division, Office of Engineering and Technology, Federal Communications 
Commission, 7435 Oakland Mills Road, Columbia, MD 21046. Attn: U-NII 
Coordination, or via Web site at https://www.fcc.gov/labhelp with the 
SUBJECT LINE: ``U-NII-1 Filing''.

[FR Doc. 2014-09279 Filed 4-30-14; 8:45 am]
BILLING CODE 6712-01-P