Use of Spectrum Bands Above 24 GHz for Mobile Radio Services, 79894-79945 [2016-25765]
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Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
FEDERAL COMMUNICATIONS
COMMISSION
47 CFR Parts 1, 2, 15, 25, 30, and 101
[GN Docket No. 14–177, IB Docket Nos. 15–
256 and 97–95, RM–11664, WT Docket No.
10–112; FCC 16–89]
Use of Spectrum Bands Above 24 GHz
for Mobile Radio Services
Federal Communications
Commission.
ACTION: Final rule.
AGENCY:
In this document, the Federal
Communications Commission
(Commission or FCC) adopts rules for
specific millimeter wave (mmW) bands
above 24 GHz. This action is undertaken
to establish a regulatory framework for
the use of these bands for the
development of the next generational
evolution of wireless technology. Once
effective, these rules will promote the
development of highly beneficial
technologies, in particular the so-called
5G technology.
DATES: Effective December 14, 2016,
except for §§ 25.136 and 30.8 which
contain information collection
requirements that are not effective until
approved by the Office of Management
and Budget. The FCC will publish a
document in the Federal Register
announcing the effective date for those
sections.
FOR FURTHER INFORMATION CONTACT: John
Schauble of the Wireless
Telecommunications Bureau,
Broadband Division, at 202–418–0797
or John.Schauble@fcc.gov, Michael Ha
of the Office of Engineering and
Technology, Policy and Rules Division,
at 202–418–2099 or Michael.Ha@
fcc.gov, or Jose Albuquerque of the
International Bureau, Satellite Division,
at 202–418–2288 or Jose.Albuquerque@
fcc.gov. For information regarding the
PRA information collection
requirements contained in this PRA,
contact Cathy Williams, Office of
Managing Director, at (202) 418–2918,
or via email at Cathy.Williams@fcc.gov.
SUPPLEMENTARY INFORMATION: This is a
summary of the Commission’s Report
and Order GN Docket No. 14–177, FCC
16–89, adopted and released on July 14,
2016. The complete text of this
document is available for public
inspection and copying from 8 a.m. to
4:30 p.m. Eastern Time (ET) Monday
through Thursday or from 8 a.m. to
11:30 a.m. ET on Fridays in the FCC
Reference Information Center, 445 12th
Street SW., Room CY–A257,
Washington, DC 20554. The complete
text is available on the Commission’s
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SUMMARY:
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Web site at https://wireless.fcc.gov, or by
using the search function on the ECFS
Web page at https://www.fcc.gov/cgb/
ecfs/. Alternative formats are available
to persons with disabilities by sending
an email to fcc504@fcc.gov or by calling
the Consumer & Governmental Affairs
Bureau at 202–418–0530 (voice), 202–
418–0432 (tty).
Ex Parte Presentations
This proceeding shall continue to be
treated as a ‘‘permit-but-disclose’’
proceeding in accordance with the
Commission’s ex parte rules. Persons
making ex parte presentations must file
a copy of any written presentation or a
memorandum summarizing any oral
presentation within two business days
after the presentation (unless a different
deadline applicable to the Sunshine
period applies). Persons making oral ex
parte presentations are reminded that
memoranda summarizing the
presentation must (1) list all persons
attending or otherwise participating in
the meeting at which the ex parte
presentation was made, and (2)
summarize all data presented and
arguments made during the
presentation. If the presentation
consisted in whole or in part of the
presentation of data or arguments
already reflected in the presenter’s
written comments, memoranda or other
filings in the proceeding, the presenter
may provide citations to such data or
arguments in his or her prior comments,
memoranda, or other filings (specifying
the relevant page and/or paragraph
numbers where such data or arguments
can be found) in lieu of summarizing
them in the memorandum. Documents
shown or given to Commission staff
during ex parte meetings are deemed to
be written ex parte presentations and
must be filed consistent with
§ 1.1206(b). In proceedings governed by
§ 1.49(f) or for which the Commission
has made available a method of
electronic filing, written ex parte
presentations and memoranda
summarizing oral ex parte
presentations, and all attachments
thereto, must be filed through the
electronic comment filing system
available for that proceeding, and must
be filed in their native format (e.g., .doc,
.xml, .ppt, searchable .pdf). Participants
in this proceeding should familiarize
themselves with the Commission’s ex
parte rules.
Paperwork Reduction Act
The Report and Order contains new
information collection requirements
subject to the Paperwork Reduction Act
of 1995 (PRA), Public Law 104–13. It
will be submitted to the Office of
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Management and Budget (OMB) for
review under § 3507(d) of the PRA.
OMB, the general public, and other
Federal agencies will be invited to
comment on the new information
collection requirements contained in
this proceeding.
Comment Filing Procedures
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
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/ or the Federal
eRulemaking Portal: https://
www.regulations.gov. Filers should
follow the instructions provided on the
Web site for submitting comments and
transmit one electronic copy of the
filing to GN Docket No. 14–177. For
ECFS filers, in completing the
transmittal screen, filers should include
their full name, U.S. Postal Service
mailing address, and the applicable
docket number.
• 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
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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).
Congressional Review Act
The Commission will send a copy of
this Report and Order in a report to be
sent to Congress and the Government
Accountability Office pursuant to the
Congressional Review Act (CRA), see 5
U.S.C. 801(a)(1)(A).
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Synopsis
I. Introduction
1. In this Report and Order, the
Commission adopts new licensing,
service, and technical rules for three
bands. In so doing, the Commission
attempts to follow a consistent
framework across all of the bands that
can serve as a template for additional
bands in the future. The Commission
adopted 10 year license terms and
performance requirements that are
flexible to allow multiple use cases to
evolve over time. These basic building
blocks are modified in order to meet the
specific characteristics of a particular
band.
2. The Commission also took
significant steps forward on solutions to
spectrum sharing in the millimeter wave
(mmW) bands. The Commission
adopted rules that will allow both
satellite and terrestrial networks to
continue to expand in a flexible manner.
The Commission continues to facilitate
co-primary shared access to the 39.5–40
GHz band for Federal and non-Federal
users, and building off of recent policy
developments in spectrum sharing, it
also created a new approach to Federal
sharing in the 37 GHz band.
Specifically, instead of relying on static
exclusion zones, the Commission
created a space for both Federal and
non-Federal users to share on a coequal
basis and set out a process for defining
how that sharing will be implemented.
Finally, the Commission substantially
increases the amount of unlicensed
spectrum available by adding another
seven gigahertz to the existing 57–64
GHz band, and adopting flexible
technical rules.
A. 28 GHz Band
1. Suitability for Mobile Use
3. Some satellite operators, satellite
equipment suppliers and satellitefocused trade associations urge the
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Commission not to authorize terrestrial
mobile services in the 28 GHz band.
This perspective is by no means
unanimous or unqualified even among
that group, however. SES, for example,
says that it expects to support terrestrial
mobile services in bands above 24 GHz
by providing video distribution,
providing backhaul services, and by
extending terrestrial network coverage
to sea, air, and remote land masses.
EchoStar says that satellite operators
could coexist with mobile services in
the band by avoiding deployment of
gateway earth stations in large urban
centers. ViaSat estimates that the
compatibility distance between satellite
earth stations and terrestrial mobile in
the 28 GHz band would be in the range
of 160 meters, and could be further
reduced by additional mitigation
techniques. Nearly all other commenters
who address the topic emphatically
support mobile service authorization in
the 28 GHz band.
4. Perhaps more so than other mmW
bands, the 28 GHz band has been the
focus of academic research and industry
prototyping efforts to develop mobile
service technologies. The 28 GHz band
is attractive for research on enabling
mobility in mmW bands because, with
850 megahertz of contiguous
bandwidth, it has ample capacity to
accommodate a wide range of high datarate applications, and it has global coprimary allocations for fixed and mobile
services. There are no Federal
allocations in the band. Further, because
this is an active service with Local
Multipoint Distribution Service (LMDS)
licenses covering about 75 percent of
the U.S. population, it can be quickly
repurposed for new flexible uses,
including mobile. The ready availability
of the spectrum will also help drive the
development of a robust ecosystem at a
large scale.
5. Opponents of authorizing new
flexible and mobile use in the 28 GHz
band raise three basic objections: (1)
That there is no international consensus
to authorize mobile services in the band;
(2) that LMDS operators do not have an
equitable expectation of mobile rights in
the band; and (3) that mobile services in
the 28 GHz band would impair vital
satellite services. The Commission
discusses the first of those issues below,
reserving discussion of the second and
third issues for Section I.4.c (Aggregate
Interference to Satellite Receivers).
6. Regarding the alleged absence of
international consensus expressed by
some of the commenting parties, the
Commission notes that the 28 GHz band
already has a primary worldwide mobile
service allocation, which embodies a
previously agreed consensus among
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International Telecommunication Union
(ITU) members. Although World
Radiocommunication Conference (WRC)
2015 (WRC–15) omitted 27.5–28.35 GHz
from a list of mmW bands that it invited
ITU-Radiocommunication (ITU–R) to
study for mobile service, the record in
this proceeding makes it abundantly
clear that there are significant benefits
to authorizing mobile use in the 28 GHz
band regardless of that international
decision.
7. Administrations and wireless
industry representatives that have been
major leaders in the mobile industry
support authorization of mobile services
in the 27.5–28.35 GHz band. Verizon
notes that countries supporting mobile
use in the band include South Korea,
Japan, Sweden, Finland, and
Singapore—‘‘technology powerhouses
with their sights set on 5G’’—and argues
that this Commission should not delay
repurposing the 28 GHz band while its
counterparts in those countries support
their industries’ efforts to develop
mobile technologies for the band. Intel
says that major markets like the U.S.,
Japan, and Korea are moving
expeditiously, ‘‘blazing the trail for
mobile 5G services in the 28 GHz band,
in spite of the WRC–15 decision not to
study the 28 GHz band leading up to
WRC–19.’’ Ericsson contends that,
regardless of the outcome of WRC–15,
spectrum from this general range very
likely will be used for 5G around the
world, as evidenced by the fact that
Japan and Korea appear to be pressing
ahead to use frequencies in this range
for their Olympic Game deployments.
Nokia expresses disappointment with
the outcome of WRC–15, sees ‘‘great
potential’’ for the 28 GHz band and
urges the Commission to ‘‘unlock the
promise of that band for mobile use.’’
Internationally, Huawei and AlcatelLucent are also focusing on the 28 GHz
band as key spectrum for mobile use. TMobile USA, whose majority owner is
the flagship German
telecommunications company, Deutsche
Telekom, filed comments in this
proceeding expressing its support for
mobile services in the 28 GHz band.
Other comments reflect near-unanimous
support among carriers, equipment
suppliers, and associations that
represent them.
8. The Commission acknowledges the
comments of parties that emphasize the
importance of international
harmonization, but in this case, it
appears there is sufficient international
interest (including from Japan and
South Korea) for using the 28 GHz band
and adjacent bands to justify making the
28 GHz band available for mobile use.
Intel and Ericsson both state that the
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mobile industry could readily create
integrated circuits with tuning ranges
for various bands in that part of the
spectrum, and the Republic of Korea
submitted a proposal to WRC–15 stating
that the ‘‘frequency range from 24.25
GHz to 29.5 GHz proposed from regional
groups could be implemented by one
single device to facilitate global roaming
around the year 2020.’’ These kinds of
capabilities are already being reflected
in standards development. Microsoft
explains that 3GPP release 13 will allow
for carrier aggregation of multiple bands
of spectrum, both licensed and
unlicensed, in the 5 GHz band, and it
says that, once 5G service is defined, the
committee will likely extend its
standards to encompass the millimeter
wave bands. Microsoft argues that
carriers should ultimately be able to
aggregate low-, medium-, and high-band
spectrum. The significant domestic and
international interest in making the 28
GHz band available for new mobile uses
clearly supports taking action in this
Report and Order to create new flexible
use licenses.
2. Licensing the 28 GHz Band
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a. Use of Geographic Area Licensing
9. The Commission adopted its
proposal to implement geographic area
licensing throughout the 28 GHz band
because geographic area licensing will
expedite deployment, provide licensees
with the flexibility to provide a variety
of services, and is consistent with the
existing licensing scheme. One
significant advantage to this approach is
that the Commission can expedite use of
the band for advanced services because
it is consistent with the existing
framework in this band.
10. In contrast, if the Commission
adopted a separate framework for
mobile use of the band, the Commission
needs to develop a Spectrum Access
System (SAS), define the specific rights
held by the existing licensees, and work
out rules for coordination with the
existing licensees. Adopting geographic
area licensing for this band is also
consistent with the Commission’s goal
of adopting a balanced licensing
approach that includes licensed,
unlicensed, and innovative sharing
approaches across a variety of bands.
For these reasons, the Commission is
not adopting a 3.5 GHz-style SAS
framework for this band.
11. Similarly, the Commission
declines to adopt Microsoft’s proposal
to create an unlicensed portion of the
band. The Commission believes
splitting the band into unlicensed and
licensed segments would potentially
hinder deployment by making it more
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difficult for licensees to use the full 850
megahertz of spectrum. The
Commission nonetheless agrees that a
balance between licensed and
unlicensed usage is important, and as
described below, the Commission is also
making seven gigahertz of spectrum
available for use by unlicensed devices
in the 64–71 GHz band, and create an
opportunity for shared access in the 37–
37.6 GHz band segment.
b. License Area Size
12. The Commission adopted counties
as the license area size for Upper
Microwave Flexible Use Service
(UMFUS) licenses in the 28 GHz band.
The Commission also adopted its
proposal to subdivide existing LMDS
licenses on a county basis. As the
Commission explained in the Notice of
Proposed Rulemaking (NPRM), a
county-based license affords a licensee
the flexibility to develop localized
services, allows for targeted
deployments based on market forces
and customer demand, and facilitates
access by both smaller and larger
carriers. In the Commission views, the
claims of certain commenters that larger
license areas will better fit the services
contemplated for these bands lack
specificity and do not take into account
the potential need for targeted
deployment. It is unclear that providers
need to—or will want to—aggregate
nationwide licenses, as mobile
operations in the band may initially be
deployed. On a mobile basis, this band
is envisioned for mobile operations in
denser population centers or around
highway corridors. While it is true that
county-sized licenses will result in more
borders, the Commission adopted a
power flux density (PFD) limit at the
border that will facilitate coordination
between licensees. Furthermore, no
party offered evidence that there have
been problems providing service near
existing Basic Trading Area (BTA)
borders. The Commission notes that
licensees in other services regularly
coordinate their operations along shared
borders and have well established
procedures for conducting this
coordination. The Commission expects
that licensees will be able to apply these
same procedures in this band without
any undue burden. To the extent
existing BTA licensees do not believe it
is economically viable to build within
certain counties of a BTA, the
Commission believes it would be
appropriate to give other interested
parties an opportunity to license and to
make use of the spectrum. Finally,
establishing smaller license areas is fair
to existing licensees because those
licensees are also obtaining valuable
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new rights and they are keeping the
same bundle of rights they had
previously. Overall, the Commission
believes the benefits of smaller license
areas for this specific band outweigh
any administrative burden on licensees
and the Commission.
13. In this proceeding, the
Commission is endeavoring to create a
regulatory scheme that will suit the
development of innovative wireless
services for years to come. The
Commission in recent years has sought
greater consistency in its approach to
geographic license area sizes to help
providers aggregate licenses in a more
targeted and efficient manner,
gravitating toward license areas that are
derived from Economic Area (EA) units.
BTAs have only been used as the license
area for a few commercial wireless
services. Counties, however, are the
base unit that make up common
commercial wireless license sizes,
including EAs and the new Partial
Economic Area (PEA) license areas.
There is also a practical advantage to
issuing county-based licenses.
Specifically, the Commission would be
required to negotiate a new licensing
agreement with Rand McNally to use
BTAs in UMFUS. In recent years, the
Commission has avoided using license
areas controlled by third parties in order
to eliminate the time and expense
involved in negotiating such
agreements.
3. Mobile Rights for Incumbents
14. The Commission adopted its
proposal to grant mobile operating
rights to existing active LMDS licensees.
This grant is in fulfillment of the
Commission’s original mobile allocation
for 28 GHz and its stated expectation of
allowing mobile use in the band in
‘‘providing LMDS licensees with
maximum flexibility in designing their
systems.’’ The Commission adopted the
rules; therefore, licensees are able to
provide mobile services consistent with
part 30 licensing and technical rules.
Granting mobile operating rights to
existing licensees will expedite the
deployment of service, minimize the
difficulties involved in coordinating
fixed and mobile deployments, and
provide a uniform licensing scheme
throughout the United States. The
Commission remains concerned that
awarding fixed and mobile rights
separately would lead to disputes
between fixed and mobile licensees that
could make it more difficult for both
licensees to provide service.
15. The Commission recognizes that
awarding mobile rights to incumbent
licensees could be viewed as a windfall
to those licensees, although the
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Commission contemplated granting
mobile rights when it first created
LMDS. Here, the benefits of expediting
service and ease of coordinating fixed
and mobile service outweigh any
foreseeable disadvantages of granting
mobile rights to incumbents. In this
instance, the Commission finds that
expedition is particularly important
because of the need to make mmW
spectrum available for innovative and
novel issues.
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4. Satellite Terrestrial Sharing
a. Sharing With FSS (Fixed Satellite
Service) Earth Stations
16. The record demonstrates that FSS
earth stations in the 28 GHz band can
share the band with minimal impact on
terrestrial operations. For example,
EchoStar argues that 28 GHz Earth-tospace stations would not curtail the
deployment of 5G systems outside a few
very small non-urban areas. EchoStar
and ViaSat both estimate that terrestrial
mobile stations could be deployed as
close as 170 meters to their Earth-tospace transmitters in the 28 GHz band.
SES Americom suggests ‘‘carving out
some rural areas where future gateway
earth stations can be licensed for use in
the 28 GHz band.’’ With respect to
terrestrial operations, AT&T, Nokia,
Samsung, T-Mobile, and Verizon
estimate that the necessary separation
distances between FSS earth stations
and terrestrial deployments are between
50 and 400 meters depending on the
type of earth stations. Therefore, the
Commission finds that it is in the public
interest to create rules that allow for
continued and expanded sharing
between terrestrial operations and FSS
earth stations in the 28 GHz band.
17. The Commission recognizes that
sharing may be more difficult for nongeostationary satellite systems, such as
the system operated by O3b. While O3b
argues that it needs multiple sites in a
county in order to serve customer
locations, it ignores the Commission’s
decision that it was allowing FSS to
access the 28 GHz band solely for the
purpose of providing limited Earth-tospace gateway-type services. O3b had
no reasonable expectation that the
Commission would grant earth stations
designed to serve customer locations
priority over fixed LMDS services and
mobile services that the Commission
contemplated would become part of
LMDS. O3b estimates that the
preclusive distance for its gateway earth
stations with respect to mmW mobile
stations is between 1.2 and 13.8
kilometers. Nonetheless, the
Commission believes that sharing is
feasible for O3b. First, as discussed
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below, the Commission is
grandfathering O3b’s existing earth
stations in Texas and Hawaii. Second,
O3b has the option of locating future
earth stations in relatively remote areas.
Third, O3b can obtain protection by
purchasing an exclusive use terrestrial
license at auction or by working with a
licensee in the secondary market to
partition a license area with sufficient
size to allow it to deploy additional
earth stations without impacting
terrestrial operations, or enter into a
different type of negotiated sharing
arrangement. Fourth, O3b can take
advantage of shielding or other
mitigation techniques. Comsearch
characterizes satellite operators’ use of
naturally occurring terrain features as
follows:
Before the great explosion of satellite
communications for all types of uses, earth
station sites were carefully selected with
protection from interference the primary
consideration. Most locations were many
miles from the cities that they were serving,
with the ideal earth station site being
naturally shielded by terrain at a spot, which
was calculated to be virtually free of
interfering signals. For most types of
communication, this type of isolation is not
required, although it is still true that the most
important aspect of a site is its shielding.
There are many naturally occurring
terrain features that are capable of
providing terrain shielding for NGSO
gateway stations and shielding can also
be provided by creating berms or other
man-made barriers.
18. In short, while allowing new earth
stations in the 28 GHz band is not
without cost to terrestrial licensees, the
Commission believes that the small area
encumbered by a new earth station
(with the limits noted below) will
minimize such costs and will allow both
satellite and terrestrial services to
expand and coexist. Furthermore,
satellite operators deployed in this band
knowing that they were secondary
licensees with respect to LMDS, that the
Commission had chosen to allow only
limited satellite use, and that the
Commission had long envisioned
allowing mobile use in the band.
Despite these facts, below the
Commission creates a path to further
expand satellite gateways that could add
thousands of new sites because the
Commission believes the relatively
small protection zones will have little
impact on terrestrial use.
b. Licensing of FSS Earth Stations
19. The Commission maintains the
current status of FSS, and as described
below, creates new opportunities for
continued expansion of FSS earth
stations on a protected basis. Upgrading
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the FSS designation to co-primary
status, even if limited to individually
licensed earth stations, would be
inconsistent with terrestrial use of this
band and the Commission’s decision to
facilitate expanded terrestrial use, and
would not effectively facilitate sharing
in the band. The Commission believes
the 28 GHz band will play a vital role
in the deployment of advanced mmW
services, and fully upgrading FSS under
the Commission’s service rules to coprimary status would be inconsistent
with this goal and would be
unnecessary to meet the FSS
community’s needs.
20. The Commission recognizes,
however, that FSS operators rely on this
band for gateway connectivity and have
invested significant capital in the band
and will continue to do so in the future.
The Commission believes there is value
in creating meaningful, targeted
opportunities to deploy additional FSS
earth stations in the band without
harming terrestrial operations. The
NPRM’s proposals encouraging satellite
operators to participate in county-sized
(or smaller) market transactions were
predicated in part on the vast protection
zones that satellite operators have
traditionally claimed were necessary,
either to protect their operations or to
protect others from them. Here, there is
a consensus that much smaller
protection zones are needed. EchoStar
and ViaSat have both estimated that
terrestrial mobile stations could be
deployed as close as 170 meters to their
Earth-to-space transmitters in the 28
GHz band. Most other satellite operators
either support those specific
calculations, agree in general terms that
the necessary preclusive zones can be
very small, or state that gateway earth
stations can be located in rural areas far
away from the urban cores where mmW
mobile operations will be most viable.
21. The ability of satellite earth
stations and terrestrial operations to
coexist in close proximity to each other
has two significant ramifications. First,
it should be possible for satellite and
terrestrial services to share the 28 GHz
band with de minimis impairment of
each other’s operations. Second, the
disparity between the county-sized
license areas the Commission has
established for 28 GHz UMFUS
licensees and the extremely small areas
required for FSS earth stations makes it
inappropriate for the Commission to
rely exclusively on a market-based
mechanism for assigning rights to FSS
earth stations, although the Commission
retains this option as one means through
which FSS operators may expand.
22. In addition to acquiring the
terrestrial license rights, the
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Commission also concludes that it
would be efficient to continue to
authorize gateway satellite earth stations
under the existing part 25 first-come,
first-served basis. The Commission
adopts a mechanism under which FSS
earth stations will, so long as they
comply with conditions noted below, be
able to deploy new gateways in limited
circumstances without being required to
take any additional actions to provide
interference protection to UMFUS
licensees. The Commission builds this
upon record support for several
different approaches to sharing in the 28
GHz band.
23. The authorization of FSS earth
stations in the 27.5–28.35 GHz band that
will not be required to take any
additional actions to provide
interference protection to UMFUS
licenses is subject to the following
conditions. First, the Commission will
authorize no more than three locations
in each county where FSS may deploy
earth stations on a protected basis.
Second, an FSS applicant must
demonstrate in its license application
that the permitted interference zone
around its earth station, which the
Commission will define as the contour
within which FSS licensees generate a
PFD, at 10 meters above ground level, of
no more than ¥77.6 dBm/m2/MHz,
together with any preexisting earth
stations located in the same county on
a protected basis, will, in the aggregate,
cover no more than 0.1 percent of the
population of the county license area
where the earth station is located.1
Third, the applicant must show that the
permitted interference zone does not
infringe upon any major event venue,
arterial street, interstate or U.S.
highway, urban mass transit route,
passenger railroad, or cruise ship port.
The Commission notes that Verizon
supports prohibiting siting earth
stations near athletic and/or
entertainment venues, interstate and
U.S. highways, and port facilities. The
Commission believes the other locations
the Commission has identified are
similarly areas where the Commission
could expect to have high demand for
wireless services. Fourth, prior to filing
its application, if there is an existing 28
GHz UMFUS licensee in the county
1 The International Bureau will issue a public
notice seeking comment on the appropriate
methodology to calculate the 0.1 percent population
limit and further details regarding earth station
interference zone calculation (including
propagation models, e.g. free space versus
probabilistic), and will also seek comment on best
practices for earth station siting to minimize the
impact on UMFU services, colocation of earth
stations, and accommodating multiple earth station
interference zones without exceeding 0.1 percent of
population in a given county.
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where it is proposing to locate its earth
station, the earth station applicant must
coordinate its operation with the
existing UMFUS licensees using the
coordination procedures contained in
§ 101.103(d) of the Commission’s rules.
The purpose of the coordination is to
ensure that the earth station will not
interfere with existing facilities
operating under the UMFUS license.
The Commission expects that UMFUS
licensees will cooperate in good faith in
the coordination process and only raise
objections if there is a legitimate
concern about interference to existing
UMFUS facilities or failure to comply
with the criteria listed above.
24. These conditions are designed to
provide FSS licensees with substantial
opportunities to expand their limited
use of the 28 GHz band to deploy earth
stations that do not have to protect
terrestrial services, while minimizing
the impact on terrestrial operations.
Since there are over 3,000 counties in
the United States, with a potential for
up to three locations in each county,
FSS licensees would have many choices
for earth station locations. Furthermore,
even with the conditions the
Commission has imposed, FSS
operators will have great flexibility in
selecting earth station locations that
meet their needs. Taking ViaSat’s 160meter radius estimate as a point of
departure, the typical interference zone
for terrestrial operations around a
gateway earth station would cover about
0.08 square kilometers. As ViaSat notes,
this zone could be reduced further by
reducing the preclusive distance around
the earth station, using mitigation
techniques such as shielding. Even
without such reductions, the
interference zone would represent only
about 0.0033 percent of the area of an
average U.S. county. If one were to
assume an even population distribution
throughout every county, ViaSat’s
interference zone would cover no more
than 0.1 percent of the population of
any county that covers more than 80
square kilometers. There are only four
counties in the United States that cover
less than 80 square kilometers. In
addition, any interference zone will be
allowed to accommodate multiple FSS
earth stations that could, for instance, be
serving different satellites in the
geostationary orbit, as long as these
earth stations, in the aggregate, do not
cause the interference zone to exceed
the limits the Commission adopted in
this Report and Order.
25. Conversely, the Commission
believes that allowing FSS earth stations
to share the 28 GHz band under these
conditions will not unduly hinder
terrestrial deployment in the band. The
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Commission notes that existing LMDS
licensees are obtaining valuable mobile
rights, and the value of those rights far
outweighs any impairment imposed by
this sharing mechanism. In addition,
under the rules the Commission
adopted, the Commission believes that
FSS operations will encumber only a
small geographic area and a small
portion of the population of the license
area. While the Commission maintains
flexibility for FSS operators to choose
the areas that fit within these
conditions, current and future licensees
will have some ability to predict the
potential impact on the license area.
26. Other than applying those
conditions, the Commission does not
propose to designate the locations of
any county’s satellite permitted
interference zones in advance—i.e., the
Commission will leave the choices of
locations to the discretion of the
satellite operators, conditional upon the
licensees constructing and activating
their earth stations within 12 months,
pursuant to § 25.133 of the
Commission’s rules.
27. The Commission also notes that
FSS operators will have other
mechanisms available to deploy earth
stations that do not have to protect
terrestrial services. The Commission
will adopt its proposal to grant such
rights to any FSS earth stations for
which the FSS operator also holds the
UMFUS license that covers the earth
station’s permitted interference zone. To
the extent FSS operators and UMFUS
licensees enter into private agreements,
their relationship will be governed by
those agreements. Finally, FSS earth
stations may continue to be authorized
without the benefit of an interference
zone. In this respect, taking into account
the small size of the area around an
earth station where terrestrial operations
would not be protected, the Commission
encourages UMFUS licensees to be
flexible in providing certainty to the
operation of FSS earth stations in areas
where they do not intend to deploy
terrestrial services. The Commission
emphasizes that these FSS earth stations
will have no expectation of interfering
rights and will have to cease operation
if requested by UMFUS licensees at any
time on the basis of harmful interference
to their services.
28. The Commission also modifies its
proposal in the NPRM for treatment of
existing FSS gateway earth stations.
Since the Commission is no longer
requiring FSS operators to obtain an
UMFUS license in order to obtain the
right to interfere, the Commission will
not grant UMFUS licenses to existing
FSS earth station holders. Instead, the
Commission will grandfather all
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existing 28 GHz FSS earth stations
authorized as of the adoption date (July
14, 2016) of this Report and Order and
grant them the right to operate under the
terms of their existing authorizations
without taking into account possible
interference to UMFUS operations. The
Commission will also grandfather
pending applications for 28 GHz earth
stations filed prior to the adoption date
of this Report and Order if such
applications are subsequently granted
pursuant to the existing part 25 rules
(i.e., without regard to the criteria the
Commission adopted). The Commission
notes that in many instances, these earth
stations are used to provide valuable
services to customers. In areas where
there is no existing LMDS licensee, a
new UMFUS licensee will have the
ability to take the existing FSS earth
station into account before it acquires
the license or plans deployment. Even
in areas where there is an existing
LMDS licensee, Samsung’s analysis
demonstrates that existing earth stations
will have a small impact on the
terrestrial licensee. Finally, the
Commission notes that AT&T and
Verizon support grandfathering existing
earth stations.
29. In adopting these rules, the
Commission acknowledges with
appreciation the efforts that AT&T and
EchoStar have made to forge a
compromise proposal that would be
acceptable to other parties. The
Commission declines to adopt their
compromise proposal because it would
have provided less predictability
regarding the locations of future earth
stations, and it would have limited the
ability of FSS to deploy near population
centers even if the deployment affected
a small percentage (or even none) of the
population. By contrast, the sharing
mechanism that the Commission
adopted will provide predictability to
terrestrial licensees while giving FSS
the opportunity to greatly expand their
operations to over 9,500 locations. The
Commission believes the rules that the
Commission adopted will encourage
intensive use of the band by both
UMFUS and FSS licensees.
concerns about aggregate interference
are raised in ex parte presentations by
O3b, SES, ViaSat, and a group referring
to themselves as Satellite Operators. For
the reasons noted below, the
Commission concludes that the
potential for aggregate interference
rising to the level of harmful
interference is unlikely and thus is not
a basis for refusing to authorize mobile
service in the 28 GHz band, and the
Commission declines to establish any
regulatory limit on aggregate power
levels.
31. Under the Commission’s rules,
FSS is secondary to LMDS fixed and
mobile operations in the 28 GHz band.
The Commission’s rules specifically
state, ‘‘FSS is secondary to LMDS in [the
27.5–28.35 GHz] band.’’ Internationally,
this band is allocated to the FSS and the
fixed and mobile services on a coprimary basis. The Commission
recognizes that there are non-U.S.
licensed FSS networks in this band, and
that the United States needs to protect
those systems consistent with its
relevant international obligations. This
framework exists in other bands where
FSS shares spectrum with terrestrial
services internationally, such as the Cband. Contrary to Lockheed Martin’s
assertions, the Commission is not
violating U.S. international treaty
obligations by adopting rules that will
enable the provision of UMFUS in the
28 GHz band without first resolving
potential aggregate interference issues.
As discussed below, the Commission
concludes that the risk of aggregate
interference is low. In the event,
however, that there is an instance where
a non-U.S.-licensed FSS network
receives harmful interference, the
Commission intends to address such
interference in accordance with
applicable U.S. international treaties,
and will monitor industry developments
to that end. The Commission rejects
ViaSat’s argument that the Commission
granted FSS primary status over mobile
operations. ViaSat relies in part on the
following passage from the LMDS First
Report and Order:
c. Aggregate Interference to Satellite
Receivers
30. The second issue that must be
considered with respect to satelliteterrestrial system coexistence is
aggregate skyward interference to
satellite receivers. There is a concern on
the record that upward transmissions
from large numbers of terrestrial stations
will, in the aggregate, generate enough
power to be received at the satellite’s
receiver, thus degrading the satellite’s
performance. The most detailed
We are designating discrete spectrum
bands for specific types of systems. Services
designated for domestic licensing priority are
specified in capital letters in the graphic
depiction of the band plan. These services
`
have licensing priority vis-a-vis any other
type of service allocated domestically or
internationally in the band. Lower-case
letters indicate services in a particular band
segment which also have licensing priority
`
vis-a-vis any third service allocated
domestically or internationally in the band,
but have no licensing priority over the
service in capital letters in the band segment
and must operate on a non-interference basis
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`
and must accept interference vis-a-vis that
service.
Contrary to ViaSat’s view, the
Commission can, and in fact did,
establish priority for mobile services
through its service rules. ViaSat claims
that FSS retains primary status over any
new mobile service, because the
Commission established priority only
for LMDS. This argument fails because
mobile service is part of LMDS, and is
not a ‘‘third service’’ or a ‘‘new service.’’
The mobile allocation already existed at
the time of the LMDS First Report and
Order, but the Commission made no
distinction between fixed and mobile
service in terms of priority—it
established priority for a terrestrial
service over a satellite service. The
Commission contemplated that LMDS,
the designated primary service, could
eventually obtain mobile rights. Indeed,
it ‘‘kn[e]w of no reason why we would
not allow mobile operations if they are
proposed and we obtain a record in
support’’ thereof. It declined to
authorize mobile operations ‘‘for now,’’
not because of concerns about
coexistence with FSS (which it had
already designated as secondary due to
the infeasibility of sharing at that time),
but because it was unclear that the
technology existed to facilitate mobile
operations and whether mobile
operations could share with fixed
operations. The actions, the
Commission is taking, are precisely the
actions the Commission contemplated
when it established service rules for
LMDS—adding mobile rights to existing
LMDS licenses.
32. The Commission also notes that if
the Commission had intended to make
mobile operations secondary to FSS, it
could have very clearly done so by
explicitly stating that FSS had priority
over the mobile allocation. In the LMDS
First Report and Order, when the
Commission intended to discuss the
mobile allocation, it specifically referred
to the mobile allocation. If the
Commission intended to make mobile
secondary to FSS, it could have
specifically referred to mobile instead of
a ‘‘third service.’’ Indeed, when the
Commission talked of mobile services in
the 28 GHz band, it said that authorizing
such services ‘‘would be consistent with
the Commission’s goal of providing
LMDS licensees with maximum
flexibility in designing their systems.’’ If
the Commission intended to treat
mobile services independently of
LMDS, it would not have referred to
providing flexibility to LMDS licensees.
33. FSS operators received multiple
notices of their secondary status.
Indeed, in the LMDS First Report and
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Order, the Commission specifically
rejected a request from GE Americom to
provide some protection to FSS
gateways as ‘‘inconsistent with the
designation of FSS for secondary
licensing priority in the 27.5–28.35 GHz
band.’’ As ViaSat recognizes, FSS
license conditions in the 28 GHz band
explicitly state that FSS operations in
the 28 GHz band are on an
‘‘unprotected, non-harmful interference
basis relative to LMDS.’’ The NPRM in
this proceeding noted, ‘‘Twenty stations
are licensed for Earth-to-space
transmissions on a secondary basis in
the 28 GHz band. . . .’’ That much
being said, the Commission recognizes
that FSS operators use the 28 GHz band
to provide services and intend to
provide additional services in the
future.
34. However, the record in this
proceeding does not demonstrate that
the rules that the Commission adopted
would significantly risk harmful
interference to satellite operations
because of aggregate interference
received at the satellite receiver. Under
the existing rules, LMDS stations have
a maximum authorized transmit power
of 55 dBW (85 dBm), versus the 75 dBm
the Commission adopted. Furthermore,
LMDS can operate in either point-topoint or point-to-multipoint mode, and
there are no existing limits on upward
emissions. In contrast, the Commission
adopted lower power limits for basestation and mobile operations in
UMFUS. Furthermore, the systems
contemplated for these bands have
several characteristics that will tend to
limit transmissions towards satellite
receivers. As noted in the NPRM, most
industry evaluations of potential mmW
mobile base station deployments appear
to assume that such stations’ antennas
will be tilted downward at a slight
angle, typically from a street lamp pole
or a location on a building at a similar
height. Intel explains that this
configuration is necessary not only to
direct transmissions toward user
equipment but also to limit interference
between adjacent cellular base stations.
In fact, says Intel, failure to adopt this
downtilt configuration would impair
throughput to users at cell edges by
about 60 percent. Although ViaSat
expresses concern that in some limited
locations mobile base stations might be
directed skyward to provide coverage to
users in the upper floors of tall
buildings, because of this need for
downward coverage such mobile
providers can rely on wired in-building
facilities where necessary. Mobile base
stations in this band will probably use
antenna systems that employ dynamic
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beamforming techniques to produce
beams as narrow as 1.0 degree, which
will substantially reduce the likelihood
that such beams will point directly at
satellite receivers. User equipment will
also employ antenna arrays to generate
dynamic beamforming, varying both
azimuth and elevation in order to
maintain signal connections with their
base stations. Again, terrestrial operators
are likely to deploy this technology of
their own accord: By Intel’s analysis,
choosing not to use dynamic
beamforming technology would reduce
throughput at cell edges by about 70
percent. Base stations and user
equipment will also likely employ
dynamic power control, both to avoid
draining batteries and to limit
intersystem interference. In fact, both
base stations and user equipment could
be entirely silent much of the time;
terrestrial operators report that, in
current deployments, network loading
rarely exceeds 30 percent. All of these
features will limit the extent of skyward
transmissions from terrestrial mobile
systems.
35. In addition, it is important to
recognize that most mmW transmissions
will likely not occur in environments
that have line of sight to satellites. By
some estimates, as much as 80 percent
of smartphone use occurs indoors, with
much of the remainder occurring in
vehicles. Because mmW signals are
heavily attenuated by exterior walls,
roofs and windows, signals originating
from handheld smartphones will be
largely confined within any buildings or
vehicles where they are used, and
would need to be relayed to mobile base
stations by other devices with exterior
antennas that will likely have sufficient
beamforming ability to limit skyward
transmissions. In principle, spilling
signal power uselessly into outer space
would represent a source of
inefficiency, so it is likely that
dynamically beamformed signals will be
aimed at receivers on the ground or not
far above it. The most vulnerable
satellites—those situated at elevations
close to the horizon—will be protected
further by the path losses that terrestrial
signals will encounter in the cluttered
environments of street canyons,
suburban foliage, and other obstacles.
36. The Commission has reviewed the
studies submitted by the various parties,
including the satellite operators. As
discussed in the Technical Rules
section, infra, the Commission
concludes that the various studies
submitted by the parties do not support
establishment of an aggregate
interference limit. From the satellite
operators’ perspective, part of the
challenge is that mmW mobile is a new,
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rapidly evolving technology, and the
terrestrial mobile industry is still
developing system designs and
propagation models. Even so, there has
been substantial progress in that regard,
and the interference models submitted
by satellite operators in this proceeding
do not take into account prospective
features of mmW mobile systems that
are readily accessible on the public
record. O3b, for example, assumes that
mmW mobile user equipment will
employ no beamforming at all, and will
generate omnidirectional signals.
Interference models submitted by other
parties do not adequately account for,
and in some cases do not take into
account at all, antenna beamwidths,
downtilts, beamforming, power control,
traffic patterns, number of
simultaneously transmitting stations,
the obstruction losses that terrestrial
signals are likely to encounter before
reaching satellites at low elevations, and
the fact that the majority of
transmissions will occur indoors.
Terrestrial operators have every
incentive to design networks that direct
the signals they are transmitting to the
locations of the receivers—either
another fixed point on a vertical
structure, or a mobile unit within a
couple of meters of the ground—
especially given the propagation
characteristics of these frequencies.
Furthermore, mobile units, which are
likely to be transmitting at angles more
skyward, are operating at powers
significantly lower than base stations.
These are both true regardless of the
types of systems that are ultimately
deployed in these bands. Nonetheless,
given the wide variety of deployments
and uses the Commission expects to see
in these bands, it would be
inappropriate to universally mandate
these design features in every
deployment, in the absence of more
credible support for the proposition that
satellite systems will receive harmful
interference from mmW mobile systems.
37. The Commission’s decision not to
set specific limits on aggregate
interference is consistent with the
Commission’s treatment of that issue in
other bands. In AWS–3, the Commission
declined to establish aggregate power
limits to protect Federal satellites in the
1761–1780 MHz band because it was
unlikely that aggregate interference was
likely to occur. Similarly, in the 10.7–
11.7 GHz band, which is shared
between FSS and Fixed Service (FS), the
Commission held with respect to
concerns regarding a different type of
aggregate interference: ‘‘[W]e view rule
changes that would allow greater FS use
of the 11 GHz band as beneficial to the
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public interest, so long as existing users
would not be harmed.’’ Similarly, the
Commission sees great public benefit to
more intensive terrestrial use of the 28
GHz band where terrestrial use is the
primary designated service in the band.
38. The Commission has concluded
that the satellite industry has not shown
that it has a legal right to protection
from aggregate interference or that
harmful aggregate interference is likely
to occur from the mobile operations
now being authorized for LMDS. The
Commission also recognizes that SES,
EchoStar, and ViaSat believe that
satellite and mobile operations can
coexist. Nonetheless, the Commission is
sensitive to the concerns raised. The
Commission notes that the satellite and
wireless industries have begun the
process of modeling the terrestrial
systems under consideration for this
band to provide further information
concerning their potential impact on
satellites. The Commission encourages
both industries to continue working
cooperatively on this issue, including by
submitting any relevant data
demonstrating changes in the amount of
aggregate interference on record as
UMFUS services are deployed. The
Commission directs the International
Bureau (IB), the Office of Engineering
and Technology (OET), and the Wireless
Telecommunications Bureau (WTB) to
jointly establish a separate docket that
parties can use to file the relevant data
and analyses, and the Commission
reserves the right to revisit this issue
should additional information or other
circumstances warrant further
Commission review or action.2
5. Band Plan
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39. The Commission will license the
28 GHz band as two 425 megahertz
blocks. The Commission believes 425
megahertz channels will be sufficient
for a licensee to provide the type of high
data rate services and other innovative
uses and applications contemplated for
this spectrum. The fact that several
carriers support dividing the bands into
multiple blocks supports that
conclusion. The Commission also agrees
with T-Mobile that there are benefits to
competition in allowing multiple
licensees to provide service in the 28
GHz band.
2 In the NPRM, the Commission also sought
comment on the possibility of repealing the
prohibition on FSS user equipment in the 28 GHz
band. While there has been considerable comment
on this issue, in light of the evolving nature of
technology and deployment in the band, the
Commission does not believe the issue is ripe for
action at this time. Accordingly, the Commission
will consider this issue in the future, either in this
proceeding or in a separate proceeding.
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40. The Commission emphasizes that
existing LMDS Channel A1 licensees
will receive licenses for both channels,
so they will maintain their existing
license rights. To the extent licensees
are interested in having a contiguous
block of 850 megahertz of spectrum,
they are free to acquire both licenses,
subject to compliance with the
Commission’s spectrum aggregation
policies.
B. 39 GHz Band (38.6–40 GHz)
41. In the NPRM, the Commission
proposed to develop service rules for
mobile operations in the 38.6–40 GHz
band (the ‘‘39 GHz Band’’). This band is
currently allocated to the fixed, fixed
satellite (space-to-Earth), and mobile
services on a primary basis for nonFederal use. There are Federal FSS
(space-to-earth) and Mobile Satellite
Service (MSS) (space-to-Earth)
allocations in the 39.5–40 GHz band,
limited to military systems.
42. The 39 GHz band is licensed by
EA and consists of 14 blocks of 50 by
50 megahertz channels. Out of the 2,464
possible terrestrial fixed service EA
licenses available in this band (14
channel pairs for each of 176 EAs) only
870 licenses currently exist. Other
licenses were voluntarily cancelled or
terminated for failure to meet
substantial service requirements. In
addition, there are currently 229 active
Rectangular Service Area (RSA) licenses
that predate the creation of the EA
licenses in which the licensees selfdefined their service area, and where
they retain the exclusive right to
operate. The populations in licensed
areas (both EA and RSA licenses) vary
by channel, but in aggregate they cover
about 49 percent of the U.S. population.
The Commission has previously
indicated that licensees of the band
could have the flexibility to provide
mobile service and stated the belief that
‘‘the issue of technical compatibility of
fixed and mobile operations within a
service area is one that can and should
be resolved by the licensee.’’ The
Commission declined, however, to
permit mobile operations until it
conducted a separate proceeding to
resolve any inter-service and interlicensee interference issues. As a result,
no mobile operations currently exist in
the 39 GHz band. To accommodate
high-density fixed terrestrial systems
under a ‘‘soft segmentation’’ band plan,
the Commission has established lower
PFD limits for satellite transmissions in
the 37.5–40 GHz band than in other
satellite bands. The Commission notes
that there are no commercial satellite
operations in the band.
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1. Suitability for Mobile Service
43. The Commission will authorize
mobile operation in the 39 GHz band
(38.6–40 GHz), and the Commission will
issue new licenses granting existing and
new 39 GHz licensees both fixed and
mobile rights. The Commission believes
that the significant bandwidth available
in this band will help to accommodate
the expected continued rise in demand
for mobile data. Commenters, including
incumbent terrestrial licensees,
overwhelmingly support opening the
band for mobile use and expanding their
reach to mobile. The Commission agrees
and believes the band can be used by
both mobile and satellite because
satellite use can be accommodated with
minimal impact on terrestrial service.
The Commission created the service
rules to enable such mobile use, and the
Commission detailed the means by
which satellite must cooperate with new
mobile services in these bands to reduce
interference and improve service.
2. Licensing the 39 GHz Band
a. Use of Geographic Area Licensing
44. The Commission adopted
geographic area licenses that will grant
licensees the flexibility to provide fixed
and mobile services. As with the 28 GHz
band, the Commission finds that in this
band, geographic area licensing will
expedite deployment, provide licensees
with the flexibility to provide a variety
of services, and is consistent with the
existing licensing scheme in the band.
The Commission will maintain the
current co-primary Federal FSS and
MSS allocations and associated
regulations in this band. The
Commission also finds that the presence
of incumbent geographic area licenses
in a large part of the country renders the
39 GHz band a poor candidate for
implementing an SAS-based sharing
model.
b. License Area Size
45. The Commission will license the
39 GHz band using PEAs, because the
Commission finds that use of this
license area size will facilitate access to
spectrum and the rapid deployment of
service in the band. PEAs are smaller
than BTAs or EAs, and therefore are
more realistically obtainable by smaller
bidders, yet are larger than counties
which various commenters deem too
small. Licensing the 39 GHz band on a
PEA basis strikes the appropriate
balance between facilitating access to
spectrum by both large and small
providers and simplifying frequency
coordination while incentivizing
investment in, and rapid deployment of,
new technologies. PEAs also nest into
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EAs but can also be broken down into
counties, allowing operators to combine
or partition their PEAs into the license
areas of their choice. The Commission
believes that the size and ability to
combine/partition will aid in the rapid
deployment of these licenses. The
Commission’s decision to license the 39
GHz band on a PEA basis is
distinguishable from the Commission’s
decision to use counties as the license
area in the 28 GHz band, because, as
previously discussed, the latter band is
currently licensed by BTAs and cannot
readily be reformed into either EAs or
PEAs.
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3. Mobile Rights for Incumbents
46. The Commission adopted its
proposal to grant mobile operating
rights to existing active 39 GHz
licensees for the same reasons the
Commission granted mobile operating
rights to LMDS incumbent licensees.
Granting mobile operating rights to
existing licensees will expedite the
deployment of service, minimize the
difficulties involved in coordinating
fixed and mobile deployments, and
provide a uniform licensing scheme
throughout the United States. In
contrast, separating fixed and mobile
rights through assignment of overlay
licenses would delay the
implementation of mobile service. The
Commission remains concerned that
awarding fixed and mobile rights
separately would lead to disputes
between fixed and mobile licensees that
could make it more difficult for both
licensees to provide service.
47. The Commission recognizes that
awarding mobile rights to incumbent
licensees could be viewed as a windfall
to those licensees, although the
Commission contemplated granting
mobile rights when it first created
LMDS. Here, the benefits of expediting
service and facilitating the coordination
of fixed and mobile service outweigh
any potential disadvantages of granting
mobile rights to incumbents.
4. Non-Federal Satellite Terrestrial
Sharing—Licensing of Gateway Earth
Stations
48. The NPRM invited comments on
three issues relating to FSS use of the
radiofrequency spectrum from 37.5 GHz
to 40 GHz, encompassing both the 38.6–
40 GHz (39 GHz) band and the 37–38.6
GHz (37 GHz) band. The first question
was whether the Commission should
make any changes to its treatment of
gateway earth station applications; the
second, whether it would be reasonable
to eliminate the prohibition against
ubiquitous deployment of user
equipment; and the third question,
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whether it would be feasible to allow
satellite operators to increase their PFDs
above existing limits during heavy rain
storms. In none of those cases did the
Commission foresee any reason to
differentiate between the 37 GHz and 39
GHz bands with respect to satellite
sharing issues.
49. The U.S. Table of Frequency
Allocations accords co-primary status to
FSS earth stations in the 37.5–40 GHz
frequencies, but Commission rules
provide that gateway earth stations in
the 39 GHz band may be deployed only
if the FSS licensee obtains a 39 GHz
license for the area where the earth
station will be located, or if it enters
into an agreement with the
corresponding 39 GHz licensee. The
Commission mentioned the changes that
the NPRM was proposing for the
licensing of satellite operations in the 28
GHz band and sought comment on
whether similar changes should be
adopted for the 37.5–40 GHz channel
groups. The NPRM asked whether the
Commission should establish a waiver
process by which non-Federal FSS earth
stations in the 37.5–40 GHz bands could
acquire co-primary status in areas where
there is no geographic service area
licensee, if they can demonstrate that
doing so would not have a negative
impact on future terrestrial service. The
Commission asked if the fact that 37.5–
40 GHz FSS operations are space-toEarth, rather than Earth-to-space as in
the 28 GHz band, should lead to
different answers to these questions.
The Commission also sought comment
on any other changes it should make to
the existing rules.
50. Commenters acknowledge that the
space-to-Earth nature of satellite
operations in the 37.5–40 GHz bands
means that it is earth stations that need
protection against interfering signals
from terrestrial operations rather than
the opposite situation that applies for
Earth-to-space operations in the 28 GHz
band. EchoStar calculates that satellite
earth stations in the 37.5–40 GHz band
will need exclusion zones with radii
extending no more than about two
kilometers. EchoStar states this radius
in the 37.5–40 GHz bands is about 12
times the radius (170 meters)
circumscribing the exclusion zone that
EchoStar says is required for earth
stations in the 28 GHz band. The areas
required for the resulting exclusion
zones would be about 138 times as
large—12.6 square kilometers (4.9
square miles) for the 37.5–40 GHz bands
versus 0.09 square kilometers (0.03
square miles) for the 28 GHz band. By
comparison with the 28 GHz band,
therefore, accommodating satellite earth
stations in the 39 GHz band is
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approximately two orders of magnitude
more difficult.
51. The smallest counties mentioned
in the Commission’s discussion of
satellite interference zones for the 28
GHz band each cover about 80 square
kilometers. The exclusion area that
EchoStar says is required for the 37.5–
40 GHz frequencies would cover about
16 percent of such a county—a
proportion that could seriously impair
the growth prospects for mmW mobile.
The challenge is less daunting when the
Commission considers the possibility of
authorizing earth station sites on a PEA
basis rather than a county basis. The
average PEA in the 48 contiguous U.S.
states covers about 18,692 square
kilometers (7,217 square miles).
Therefore, the requisite exclusion zone
would cover about 0.0674 percent of the
average PEA’s land mass in the
contiguous U.S. If people were evenly
distributed across this hypothetical
average PEA, substantially less than 0.1
percent of its population would fall in
the earth station’s exclusion zone.
52. These calculations show that some
PEAs should be able to host a 39 GHz
earth station without placing more than
0.1 percent of the PEA’s population in
the earth station’s exclusion zone. Most
PEAs cover substantially less territory
than the average PEA does; i.e., even for
some PEAs, a five square-mile exclusion
zone might affect an unacceptably high
proportion of their populations. But
satellite operators will not necessarily
need to deploy 39 GHz earth stations in
the smaller, more densely populated
PEAs. For satellite gateway earth
stations in particular, the sine qua non
is not proximity to population centers,
per se, but access to long-haul, high
data-rate Internet facilities. Direct access
to long-haul Internet nodes is available
not just in major population centers but
also in some of the more remote parts
of the U.S. Many of those nodes are in
places with comparatively low
population densities—i.e., near areas
where it should be possible to deploy
earth stations without creating
exclusion zones that affect unacceptably
high proportions of the population. In
addition, as the Commission suggested
for the 28 GHz band, satellite operators
can substantially reduce the sizes of the
exclusion zones that they require by
constructing artificial site shields or by
taking advantage of naturally occurring
terrain features. Spatial analysis
software can process digital elevation
data to identify geographic depressions,
which are capable of providing natural
site-shielding in all directions. For earth
stations that communicate only with
geosynchronous satellites, more limited
site shielding would typically suffice. In
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addition, satellite operators may
continue to protect their earth stations
from interference using any of four
market-oriented mechanisms:
Purchasing geographic area licenses at
auction, acquiring licenses from existing
licensees, obtaining partitioned
segments of existing geographic area
licenses from existing licensees, or
obtaining contractual agreements from
nearby licensees not to interfere into
their earth station operations.
53. Based on those considerations, the
Commission will authorize non-Federal
satellite earth stations in the 39 GHz
band on a first-come, first-served basis
that will entitle them to protection from
terrestrial transmissions subject to the
following conditions.3 First, the earth
station applicant must define a
protection zone in its application
around its earth station where no
terrestrial operations may be located.
The FSS applicant may self-define this
protection zone, but it must demonstrate
using reasonable engineering methods
that the designated protection zone is no
larger than necessary to protect its earth
station. Second, the Commission will
authorize a maximum of three
protection zones in each PEA, so the
applicant must demonstrate that there
are no more than two existing protection
zones in the PEA or demonstrate that its
protection zone will be contiguous to
any preexisting satellite protection zone.
Third, the applicant must demonstrate
the existing and proposed protection
zones, in the aggregate, will not cover
more than 0.1 percent of the PEA’s
population.4 Fourth, the applicant must
show that the protection zone does not
infringe upon any major event venue,
arterial street, interstate or U.S.
highway, urban mass transit route,
passenger railroad, or cruise ship port.
Finally, the earth station applicant must
coordinate with terrestrial fixed and
mobile licensees whose license areas
overlap with the protection zone, in
order to ensure that the protection zone
does not encompass existing terrestrial
operations. The coordination
requirements will be based on the
Commission’s existing requirements
contained in § 101.103(d) of the
Commission’s rules. If the earth station
3 The Commission adopted a new footnote, NG63,
to the Allocation Table that reflects the existing
limitation to gateway earth stations. See 47 CFR
25.202(a)(1) n.3.
4 The IB will issue a public notice seeking
comment on the appropriate methodology to
calculate the 0.1 percent population limit and will
also seek comment on best practices for earth
station siting to minimize impact on UMFU
services, colocation of earth stations, and
accommodating multiple earth station interference
zones without exceeding 0.1 percent of population
in a given PEA.
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is authorized, UMFUS licensees will be
prohibited from placing facilities within
the protection zone absent consent from
the FSS operator, and the FSS operator
must respond in good faith to requests
to place facilities within a protection
zone.
5. Band Plan
54. The Commission will create seven
200 megahertz bands out of the 39 GHz
band (38.6–40 GHz). The Commission
finds that this channel size is large
enough to take advantage of the data
throughput capacity of these bands yet
yields a sufficient quantity of channels
in the band to provide access to
multiple operators simultaneously. The
Commission agrees with the comment
that next generation 5G networks are
expected to depend in part on higher
frequencies, increased spectral
efficiency and greater density of cell
deployments and that these factors
alone may be insufficient to meet the
expected tenfold increases in peak data
rates and user throughput without using
ultra-wide channel bandwidths of at
least 200 MHz. These wider channels
available at higher frequencies could
allow for higher data rates in
environments constrained by power or
signal-to-noise ratios. By facilitating
higher throughput, wideband channels
will thereby permit more users to
simultaneously use the band.
55. The Commission also modified
the current band plan that is based on
paired spectrum blocks in favor of
larger, unpaired channels to enable
Time Division Duplexing (TDD) which
commenters believe will best enable a
5G mobile service environment. Straight
Path asserts that TDD is preferable in
these frequencies given the current lack
of adequate frequency duplexers
capable of meeting the performance,
cost or form factor requirements
necessary to facilitate Frequency
Division Duplexing (FDD) at these
higher wavelengths. TDD does not
require a frequency duplexer and allows
flexible downlink-uplink ratios that
depend on traffic and result in efficient
utilization of spectrum. While these and
other commenters note the benefits of
TDD in the context of 5G, commenters
overwhelmingly support rules that
allow for flexible duplexing schemes,
and the rules the Commission adopted
will allow any type of duplexing.
Licensees may also continue to offer
FDD service by acquiring and pairing
multiple spectrum blocks. Because the
existing channel plan favors FDD
operation and limits flexibility to
accommodate other duplexing schemes,
reconfiguring the channel plan will
remove obstacles to TDD schemes while
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still allowing for flexibility to
accommodate FDD. Furthermore, larger
bandwidths may optimize traffic
management and improve system
performance because a single, wide
carrier permits centralized spectrum
management whereas aggregation and
use of various narrow bandwidth
channels requires greater power
consumption and equipment
complexity. Finally, 200 megahertz
channels will potentially create several
empty channels for new entrants after
incumbent licensees swap or repack
their existing systems into consecutive
or adjacent channels. Given all of the
considerations above, the Commission
finds that 200 MHz channels are the
best band size for 39 GHz.
6. Pre-Auction License Reconfiguration
56. Straight Path’s proposal contains
the clearest delineation of rules and
steps necessary to align adjacent
spectrum tranches to create contiguous
bands—the goal advocated by
commenters. The Commission agrees
with Straight Path that in EAs where
only it holds licenses, the Commission
should accept any exchange application
in which Straight Path or others propose
to acquire the same amount of spectrum
in the market that it proposes to
relinquish as long as it meets the end
goal of creating a contiguous block or
blocks of spectrum. In instances where
there are multiple geographic area
licensees, Straight Path advocates that
the Commission should first accept any
band plan mutually acceptable to the
various licensees as long as it also
increases the amount of contiguous
spectrum for at least one of the
licensees. If licensees do not agree on a
band plan, Straight Path argues the
Commission should accept applications
in which an incumbent geographic area
licensee seeks to acquire any contiguous
spectrum blocks adjacent to spectrum
blocks it already holds subject to two
limitations (i) the target spectrum block
is not already occupied by another
incumbent geographic area licensee; and
(ii) the target spectrum block could not
be requested by another incumbent
geographic area licensee on the grounds
that it is adjacent to a block it holds or
that it could hold. A licensee should be
able to continue to add contiguous
unused blocks in a row until it reaches
a prohibited block—i.e., a spectrum
block that could also be claimed by
another incumbent licensee. Straight
Path suggests that in this way,
contiguous occupied bands could be
aligned starting at the lower edge of the
band—at 38.6 GHz—and moving up
toward 40 GHz. Because the
Commission adopted a band plan for the
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37 GHz band that provides for
continuity of commercial operations
across the 37 GHz and 39 GHz bands,
when the bands are viewed together,
Straight Path’s swapping plan results in
occupied spectrum in the middle of the
combined bands. One alternative might
be to push incumbents to the upper end
of the band near 39.5 GHz, in order to
create larger available swathes of
spectrum by combining the lower
frequencies with the open bands in the
37 GHz band. However, in the interest
of addressing mobile data demand as
quickly as possible, 39 GHz licensees at
the bottom of the band will provide the
first market for mmW mobile equipment
as soon as it becomes available, and this
will further the goal of interoperability
by allowing fixed licensees to more
rapidly foster the development of
mobile in their bands.
57. Some of the 200 MHz spectrum
blocks offered at auction will also
contain at least one incumbent RSA
licensee occupying some portion of the
spectrum. Straight Path argues that
where the incumbent geographic license
holder is also the RSA licensee, the RSA
license will be deemed not to exist and
will be cancelled upon an exchange.
Otherwise, incumbent licensees will
only be permitted to elect to add
contiguous channels with greater
encumbrances than vice versa;
accordingly, a geographic area licensee
can always opt to exchange a block
without an RSA for an adjacent block
with an RSA whose operations it will
have to protect, and similarly it can
always opt to take a license area with a
more encumbered RSA over a block it
holds with a less encumbered RSA, but
it cannot ‘‘upgrade’’ to an RSA-free
block or a license with an embedded
RSA that is less encumbered. Overall,
although Intel and Straight Path have
argued that EAs are the appropriate
geographic area for new licenses given
their historical use and the complexity
of the swap process, as discussed above,
the Commission’s preferred license area
size for the 39 GHz band are PEAs, and
such PEAs neatly fit into the EAs they
comprise. Accordingly, once
incumbents’ spectrum swapping has run
its course at the EA level, the resulting
license area/band combinations should
be further broken down into PEAs,
which ‘nest’ into EAs.
58. The Commission believes this
reconfiguration process will yield a
band, and licenses, that are more
useable by incumbents as well as new
entrants for the new flexible use
services, including mobile broadband
that the Commission is authorizing in
this Report and Order. Straight Path
currently holds 931 licenses out of
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1,098. If Straight Path voluntarily
reconfigures its rights as it has
advocated, this will substantially reduce
encumbrances (i.e., remaining RSAs or
blocks within EAs that have not been
reconfigured) that might exist in new
license areas before a future auction.
While the Commission adopted a
voluntary reconfiguration approach, it is
its hope and expectation that all
licensees will take advantage of this
opportunity to convert their licenses to
the new flexible use licensing scheme
and band plan. Furthermore, while the
Commission adopted a voluntary
approach, the Commission notes that
under Section 316 of the Act the
Commission retains the right to modify
any license consistent with the public
interest.
C. 37 GHz Band (37–38.6 GHz)
59. The 37 GHz band presents a
number of opportunities because, other
than a limited number of existing
Federal uses that need protection, the
band is a greenfield—there are no
existing non-federal operations,
terrestrial or mobile. In addition, it is
adjacent to the 39 GHz band, which
presents an opportunity to create a
larger, contiguous 37/39 GHz band,
subject to similar technical and
operational rules. Also, the Federal
fixed and mobile service allocations are
lightly used. The approach the
Commission adopted takes full
advantage of these opportunities.
60. Specifically, the Commission can
meet the twin goals of expanding
commercial access in this band while
facilitating continued and expanded
Federal use. Because there are both
Federal and non-Federal fixed and
mobile rights and there are minimal
incumbency issues (or an installed base
of equipment), the approach the
Commission adopted in this band can
significantly further the regulatory,
policy, and technical approaches to
Federal and non-Federal sharing. As
discussed in greater detail below, the
Commission adopted a band plan that
allows for continuity of commercial
operations between the 37 and 39 GHz
bands, the Commission protects a
limited number of Federal military sites
across the full 37 GHz band, and the
Commission identifies 600 megahertz of
spectrum that will be available for
coordinated coequal shared access
between Federal and non-Federal users.
Through this structure, additional
proposals in the Further Notice of
Proposed Rulemaking (FNPRM), and the
collaborative industry/government
process that will take place to further
define the sharing process and
paradigm, the Commission will take
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substantial strides forward on Federal
and non-Federal sharing in the mmW
bands while also making a significant
amount of spectrum available for
wireless broadband.
1. Suitability for Mobile Use
61. The Commission adopted rules to
permit fixed and mobile terrestrial
operation in the 37 GHz band to enable
as wide a range of services as possible.
The Commission finds that there are
several important characteristics of the
37 GHz band that make the provision of
fixed and mobile terrestrial operations
especially promising: It contains 1.6
gigahertz of contiguous spectrum, which
could support ultra-high data rates; it is
contiguous with the 39 GHz band,
which will permit operators to aggregate
spectrum across both bands; and it has
global co-primary fixed and mobile
allocations, which could enable
operators to achieve economies of scale.
Cisco urges us to proceed cautiously,
and Boeing urges the Commission to
wait until the studies called for by the
WRC–15 are completed, the
Commission is persuaded that fixed and
mobile terrestrial services can be
provided in the 37 GHz band. In this
regard, in analyzing the suitability of the
37 GHz band for mobile service, the
band is very similar to the 39 GHz band.
It has an existing mobile allocation, the
propagation characteristics are very
similar to the 39 GHz band, and the
Commission does not see any
inconsistency with other allocations
that would make the band unsuitable for
mobile service. In terms of timing of the
Commission’s action, considering the
potential benefit for 5G services and the
significant lead time that will be
necessary to develop the services in this
band, the Commission believes that the
Commission should move forward and
develop fixed and mobile terrestrial
services rules for the 37 GHz band.
Moreover, as discussed more fully
below, the rules the Commission
adopted accommodate the needs of
National Aeronautics and Space
Administration (NASA), National
Science Foundation (NSF), the military,
and FSS operations in the 37 GHz band
as well as Earth Exploration Satellite
Service (EESS) (passive) and Space
Research Service (SRS) (passive)
operations in the adjacent 36–37 GHz
band.
2. Licensing the 37 GHz Band
62. The Commission adopted a
licensing approach that makes five 200
megahertz blocks available on a
geographic area-licensed basis in the
37.6–38.6 GHz portion of the band
(upper band segment). The Commission
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will make the 37–37.6 GHz block (lower
band segment) available for coordinated
co-primary sharing between Federal and
non-Federal users, where non-Federal
rights are granted by rule. The
Commission notes that the entire band
is subject to Federal co-primary fixed
and mobile allocations. The
Commission declines to adopt the
hybrid authorization licensing scheme
because it is unsupported by the record.
Specifically, commenters oppose it
because they do not believe that the 37
GHz band is appropriate for this
particular scheme, though it could be
used for other bands. In addition, the
satellite industry expresses concern that
the hybrid licensing approach does not
provide satellite operators with any
meaningful certainty that they will be
able to expand into the 37 GHz band.
63. Of the three licensing options that
the Commission sought comment on in
the NPRM, the Commission finds that a
variation of the Commission’s
alternative proposal best enables the
band to be used for new commercial
uses while simultaneously allowing
fixed and mobile Federal use to expand.
Although there is support in the record
to license the entire 37 GHz band by
geographic area, the Commission finds
that it is in the public interest to license
a portion of this band on a nonexclusive shared basis, and to license
the remainder of the band by geographic
area to give potential licensees
additional opportunity to access large
blocks of spectrum or to use 37 GHz
spectrum in combination with, and
similarly to, 39 GHz spectrum. Allowing
part of the band to be made available on
a non-exclusive, shared basis will
promote access to spectrum by a wide
variety of entities, support innovative
uses of the band, and help ensure that
spectrum is widely utilized. Adopting
geographic area licensing for the other
portion of the band will expeditiously
make spectrum available and allow
common development of the 37 GHz
and 39 GHz bands. Furthermore, users
in the shared portion of the band will
benefit from efforts by equipment
manufacturers and licensees to develop
equipment for the portion of the band
licensed on a geographic area basis.
Thus, the Commission finds that
adopting the alternative proposal, as
modified below, should promote
investment and deployment in both
bands. As explained below, the
Commission agrees that there are
benefits to adopting the same
geographic area licensing framework for
the 37 GHz and 39 GHz spectrum bands.
Also, the Commission finds that
adopting the alternative proposal, in
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addition to other decisions made by the
Commission, provides satellite
operators the certainty they need to be
able to expand their operations into the
37 GHz band in the future.
64. The Commission adopted a
modified version of the alternative
proposal as follows: The Commission
will create a band plan with a 600
megahertz shared block in 37–37.6 GHz
and a geographically-licensed portion in
37.6–38.6 GHz. The lower band segment
will be fully available for use by both
Federal and non-Federal users on a
coordinated co-equal basis. Non-Federal
users, which the Commission will
identify as Shared Access License
(SAL), will be authorized by rule.
Federal and non-Federal users will
access the band through a coordination
mechanism, including exploration of
potential dynamic sharing through
technology in the lower 600 megahertz,
which the Commission will more fully
develop through the FNPRM and
through government/industry
collaboration. The Commission
envisions this segment serving as a
proving ground for Federal and nonFederal sharing in the mmW bands, as
a way to facilitate expanded Federal use
in the band, an opportunity to facilitate
lower-cost access to mmW bands, and a
means for all providers to gain
additional capacity where and when it
is needed.
65. As described below, the
Commission adopted the same technical
rules for the shared band segment as the
Commission does for the rest of the 37
GHz band. These technical rules are also
consistent with the 39 GHz band. The
Commission also adopted an operability
requirement that will ensure equipment
developed for the 37 and 39 GHz bands
is able to operate across the entire 37–
40 GHz band. This will help drive scale
in the development and access to the
equipment, and allow users in the
shared portion of the band, including
Federal users, to benefit. In order to
ensure a sharing environment in 37–
37.6 GHz that is predictable,
manageable, and efficient, the
Commission strongly encourages
Federal users to comply with the same
technical rules, and will work with
National Telecommunications and
Information Administration (NTIA) to
explore establishment of guidance in its
regulations.
66. Following the adoption of this
Report and Order, the WTB and OET
will, in collaboration with NTIA and
Federal stakeholders, work with
industry stakeholders and other
interested parties to further define the
sharing framework. The Commission
will hold one or more public meetings
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to examine the state of innovative
sharing techniques and technologies
and to have an open dialogue about how
sharing can best be implemented and
achieved in the 37–37.6 GHz band. The
Commission strongly encourages both
industry and Federal stakeholders to use
new and existing experimental testbeds
to develop sharing approaches and
technologies. Based on stakeholder
feedback, the WTB and OET may,
jointly with NTIA, issue a public notice
seeking comment on a refined and
detailed 37 GHz sharing framework. In
response to the record developed, the
Commission, jointly with NTIA, will
establish the 37 GHz sharing
mechanism. The Commission believes
this inclusive and collaborative process
ensures that all parties’ needs are met
and that an effective and robust sharing
mechanism will be developed.
67. In the upper band segment (37.6–
38.6 GHz), the Commission will use
geographic area licensing with PEAs as
the licensing unit, which is consistent
with the licenses in the 39 GHz band.
In this band, there will be Federal coprimary use coordination zones around
14 military sites where the military will
have the right to operate fixed and
mobile operations, and the three SRS
sites as described below. Non-Federal
users will be able to access these
locations through a coordination
mechanism that will be developed and
established by WTB and OET in
conjunction with NTIA and announced
via Public Notice. The Commission also
recognizes that there are existing
Federal and non-Federal fixed and
mobile allocations in the upper band
segment, and in the FNPRM, the
Commission seeks comment on
developing additional criteria under
which Federal users can obtain access to
the upper band segment.
68. The Commission believes
licensing the 37 GHz band in this
manner has many benefits. In the lower
band segment, the Commission is
creating an innovative shared space that
can be used by a wide variety of Federal
and non-Federal users. SALs will be
widely available to provide easy access
to spectrum, including for new
innovative uses and for targeted access
where and when providers need
additional capacity. It will help further
efforts to facilitate sharing between
Federal and non-Federal users, and will
give Federal users and consumers an
opportunity to take advantage of speedto-market and lower cost of broadly
deployed commercial technologies, and
provide Federal users opportunities for
current use and future growth. In the
upper band segment, the Commission
notes that the 37 GHz band and the 39
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GHz band will be licensed under the
same framework, with identical
technical and licensing rules. They will
both be licensed by PEAs, which will
allow licensees in the 37 GHz and 39
GHz bands to aggregate blocks of
spectrum or to pair blocks of spectrum.
69. Below, the Commission discusses
in further detail some of the decisions
the Commission has made concerning
the 37 GHz band. In the FNPRM, the
Commission seeks comment on refining
the sharing framework the Commission
adopted.
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3. License Area Size
70. The Commission is presented with
a unique opportunity to adopt a
licensing scheme that will apply to
2,400 megahertz of contiguous
spectrum, the upper segment from 37.6–
38.6 GHz together with the 38.6–40 GHz
band. In the shared band segment, the
Commission will authorize fixed and
mobile users on a site-based coordinated
basis. The Commission believes this
approach will allow users to access
spectrum where and when it is needed,
which will help maximize spectrum by
providing opportunities for each user to
target just the areas it needs. The
Commission is licensing the 39 GHz
band by PEA. The Commission’s
reasons for adopting PEAs as the
geographic area for the 39 GHz band
apply here as well. Specifically, as the
Commission noted with respect to the
39 GHz band, after reviewing the record,
the Commission now believes that PEAs
strike the appropriate balance between
facilitating access to spectrum by both
large and small providers and
simplifying frequency coordination
while incentivizing investment in, and
rapid deployment of, new technologies.
Thus, the Commission adopts the same
geographic license structure for both the
upper band segment of the 37 GHz band
and the 39 GHz band. This decision will
give licensees the flexibility that they
need and will encourage investment in
a wide variety of services and
technologies.
4. Band Plan for Upper Band Segment
71. The Commission will divide the
upper band segment into five blocks of
200 megahertz each for non-Federal
users. As explained in this Report and
Order, the Commission is attempting to
create a consistent and coherent
licensing framework that can be applied
throughout the mmW bands, with
modifications based on the
characteristics of a particular band. The
Commission’s decision to choose 200
megahertz channels rather than 533
megahertz channels also stems, in part,
from the Commission’s previous
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decision to create two licensing
segments for the 37 GHz band: A 600
megahertz lower band segment licensed
by rule, and a 1,000 megahertz upper
segment, which will be licensed
geographically by PEA. Adopting 200
megahertz channel sizes for the upper
band segment is consistent with the 200
megahertz channels the Commission
adopted for the 39 GHz band. Because
the Commission licenses the upper band
segment of the 37 GHz band and the 39
GHz band by PEA, licensees will have
the flexibility to pair their 37 GHz
license with a 39 GHz license.
72. In addition, the provision of fixed
and mobile terrestrial operations at this
frequency will depend upon large
blocks of spectrum and a single 200
megahertz block provides a sufficient
amount of spectrum for the provision of
high-capacity wireless broadband.
Those licensees needing more spectrum
than a 200 megahertz channel can
combine channels to create contiguous
blocks of 200 megahertz channels, either
within the 37 GHz band or by
combining 37 GHz spectrum with 39
GHz spectrum. Licensees also have the
option of acquiring 425 megahertz
channels in the 28 GHz band.
D. 64–71 GHz Band
73. The Commission is making
available the 64–71 GHz frequency band
for use by unlicensed devices pursuant
to the same technical standards as in the
57–64 GHz frequency band under
§ 15.255 of the Commission’s rules, with
slight modifications. As the Commission
has consistently stated, it is optimal to
include a balance of licensed rights and
opportunities to operate on an
unlicensed basis in order to meet the
country’s wireless broadband needs.
The Commission’s action here creates a
14-gigahertz segment of contiguous
spectrum in these frequency bands to
encourage the development of new and
innovative unlicensed applications, and
promote next-generation high-speed
wireless links with higher connectivity
and throughput, while alleviating
spectrum congestion from carrier
networks by enabling mobile data offloading through Wi-Fi and other
unlicensed connections.
74. The Commission is adopting rules
to allow for unlicensed operations in the
64–71 GHz band, subject to the
technical standards in § 15.255, thus
creating a contiguous spectrum segment
with the 57–64 GHz band. The
Commission observes that unlicensed
WiGig devices using the 57–64 GHz
band are just beginning to be marketed
and these products are standardized
pursuant to an internationally
harmonized channelization scheme,
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which should promote their growth and
usage. Making available additional
spectrum contiguous to the existing 57–
64 GHz band may enable higher
throughputs and enhanced use of
present spectrum, as well as to permit
an increase in the number of
simultaneous high-bandwidth users.
The Commission agrees with Intel that
a lesser amount of spectrum would limit
the growth potential of 60 GHz
applications. The Commission also
agrees with the WISPA that ‘‘because
ITU may study a band is an insufficient
reason for the Commission to delay
making a valuable spectrum resource
available for unlicensed use.’’ The
Commission acknowledges that
eventual harmonization with
international requirements will benefit
consumers by promoting a global
marketplace and enhancing the
international competitiveness of U.S.
manufacturers. However,
notwithstanding a desire for
harmonization with international
standards, the Commission determines
to make these frequencies available for
unlicensed use based on the
Commission’s analysis of U.S.-specific
factors. Here, the Commission
determines that the Commission should
not wait for the outcome of the ITU
study of this band, contrary to what TMobile advocates, because that could
take years, leaving 5 gigahertz of
spectrum to lie fallow in the meantime,
when unlicensed applications are ready
in the very near future to make use of
this spectrum, given current planned
deployments of WiGig products in the
adjacent 57–64 GHz band.5 In addition,
note that spectrum characteristics vary
at different frequencies, due to different
propagation losses and other
atmospheric and sharing conditions,
thus a strict linear comparison per
frequency unit of the Commission
amounts in different frequency bands as
‘‘gigahertz parity’’ (e.g., 3.85 gigahertz of
spectrum in lower bands vs. 14
gigahertz of spectrum in upper bands) is
not a valid comparison. Based on the
above, the Commission is permitting use
of the 57–71 GHz band by unlicensed
devices pursuant to the technical rules
in § 15.255.
75. With respect to the additional
requests from Microsoft et al to extend
5 The Commission also notes that the ‘‘study’’ of
a frequency band by the ITU does not mean
necessarily that the band will be automatically
designated for licensed use, because licensing of
spectrum is deferred to ‘‘the sovereign right of each
State to regulate its telecommunication’’. See
International Telecommunication Union,
Constitution and Convention (https://www.itu.int/
en/history/Pages/
ConstitutionAndConvention.aspx).
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the band up to 72.5 GHz, and to allow
indoor use of the 72.5–76 GHz band by
unlicensed devices, the Commission
does not find that additional spectrum
above and beyond the very large 14gigahertz of contiguous spectrum in the
57–71 GHz band that the Commission is
providing for unlicensed operations
herein is warranted at this time, due to
the presence of the numerous existing
fixed links in the 71–76/81–86 GHz
bands. When the Commission adopted
rules for licensed operations in these
bands in 2003, it did not permit
unlicensed sharing of these bands
because ‘‘an underlay of unlicensed
devices in the bands could
detrimentally affect the quality and
buildout of service.’’ In addition, the
fixed point-to-point equipment that has
been developed for deployment in the
71–76 GHz and 81–86 GHz bands were
not engineered to operate in a part 15
unlicensed environment. Subsequently,
in 2014, the Commission adopted part
15 rules to permit a special type of
unlicensed device, level probing radars
(LPR), to share the 75–85 GHz band;
these devices, however, must be
operated in a vertically downward
position at fixed locations with severe
limitations on antenna beamwidth. In
contrast, the 5G unlicensed transmitters
envisioned here would be both mobile
and fixed and would not have such
limitations. The Commission finds that
parties requesting to extend the band
beyond 71 GHz for unlicensed operation
did not submit any persuasive technical
arguments to prove that unlicensed
sharing with the 71–76/81–86 GHz
licensed services is feasible at this time.
Accordingly, the Commission denies
these requests at this time.
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E. Federal Sharing Issues
76. Many bands above 24 GHz have
Federal allocations on a primary basis.
As the Commission continues to
increase flexibility in the non-Federal
use of these bands, the Commission
must consider appropriate mechanisms
and tools to share these bands that
recognize the co-primary rights in these
bands. In this Report and Order, the
Commission facilitates sharing in the
39.5–40 GHz band and 37–38.6 GHz
band, including through new sharing
schemes that promote dynamic and
flexible access in the 37–37.6 GHz band.
In order to continue to evolve spectrum
access and sharing regimes that meet
both Federal and non-Federal needs, it
will be imperative for all stakeholders,
including wireless and satellite
industries, to engage proactively to help
shape these solutions.
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1. 39.5–40 GHz
77. The 39.5–40 GHz portion of the 39
GHz band is allocated to the Federal
FSS and MSS a primary basis, limited
to space-to-Earth (downlink) operations.
However, Federal MSS earth stations in
this band may not claim protection from
non-Federal fixed and mobile stations in
this band.
78. In the NPRM, the Commission
explained that when the 39 GHz Report
and Order was adopted, Federal use of
the band was limited to military systems
in the 39.5–40 GHz band segment, that
the Department of Defense (DoD) stated
that it had plans to implement satellite
downlinks at 39.5–40 GHz in the future,
and that the NASA identified 39.5–40
GHz as a possible space research band
to accommodate future Earth-to-space
wideband data requirements. The 39
GHz Report and Order expressed
optimism that such plans would not
affect the continued development of the
39 GHz band for non-Federal use, but
the Commission said that it intended to
address those interference issues in a
future, separate proceeding that would
focus on developing inter-licensee and
inter-service standards and criteria. At
present, the U.S. Table of Frequency
Allocations provides that Federal
satellite services in the 39.5–40 GHz
band are limited to military systems.
79. Although only four commenters
responded to the Commission’s
questions on these issues, all four
agreed that it is possible for Federal and
non-Federal operations to share the 39
GHz band. They also agreed that the
Commission should adopt coordination
zones to mitigate interference between
Federal and non-Federal operations. For
instance, AT&T argues that the
Commission should adopt coordination
zones rather than novel spectrum
sharing techniques because
coordination zones balance the twin
goals of efficient spectrum utilization
and the prevention of harmful
interference to incumbents. Intel argues
that portions of the band that are strictly
Federal use could be separated from
those for commercial use. Cisco states
that while coordination will have to be
done by the Commission staff and their
counterparts at NTIA, co-existence is
achievable. Finally, Nokia argues that
the Commission should continue work
with NTIA and other Federal agencies to
minimize Federal coordination zones,
which would maximize the value of the
spectrum.
80. In 2016, NTIA sent a letter to the
Commission addressing issues raised in
the NPRM, regarding, in part, military
operations in the 39.5–40 GHz portion
of the 38.6–40 GHz band. NTIA
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explained that the 39.5–40 GHz band is
allocated to military MSS and FSS earth
stations. Federal MSS earth stations
cannot claim protection from nonFederal fixed and mobile stations as
specified in footnote US382 of the table
of frequency allocations. However,
Federal earth stations in the MSS are
not required to protect non-Federal
fixed and mobile services. NTIA stated
that given the existing regulatory
constraints in the 39.5–40 GHz band,
the NPRM’s proposed non-Federal fixed
and mobile operations will not impact
Federal satellite operations in the 39.5–
40 GHz band.
81. The Commission concludes that it
is possible for Federal operations to
share the band with non-Federal fixed
and mobile terrestrial operations
because the protections offered by
footnote US382 are sufficient to protect
both Federal and non-Federal
operations in this band. Thus, no
changes to the Commission’s rules are
necessary.
2. 37–38.6 GHz
82. The Commission concludes that
non-Federal fixed and mobile
operations can share the 37–38 GHz
band with SRS downlink operations
under certain conditions. First, as a
result of discussions between NTIA and
the Commission, NTIA indicated that it
would request protection for only three
SRS earth station sites: Goldstone,
California; White Sands, New Mexico;
and Socorro, New Mexico. Second, to
address NTIA’s recommendations, the
Commission will establish coordination
zones for these three sites by adding a
footnote to the US Table of Allocations
listing the locations to be protected and
their respective coordination zones.
Third, with respect to operations, at
Green Bank, West Virginia, NTIA
indicated that since Green Bank, West
Virginia is located in an existing quiet
zone, any new or modified stations
including in the fixed and mobile
services, within the zone are required by
§ 1.924(a) of the Commission’s rules to
notify the National Radio Astronomy
Observatory (NRAO), and thus Green
Bank would not be included in the
footnote. Therefore, the Commission
adopted footnote US151, which requires
that, in the 37–38 GHz band, fixed and
mobile stations not cause harmful
interference to Federal SRS earth station
at three sites and that non-Federal
applications for such use be coordinated
with NTIA in accordance with new
§ 30.205 of the Commission’s rules.
83. The Commission concludes that
non-Federal fixed and mobile
operations can share the 37–38.6 GHz
band with DoD operations. With regard
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to Federal co-primary access to the 37
GHz band, the Commission will adopt
rules that entail the coordination zones
recommended by NTIA for the 14
military sites, and the ability for Federal
agencies to add future sites on a
coordinated basis. The Commission will
make the 37–37.6 GHz block (lower
band segment) available for coordinated
co-primary sharing between Federal and
non-Federal users, where non-Federal
rights are granted by rule. This
framework will facilitate access by DoD
and other Federal users. In the FNPRM,
the Commission seeks comment on
defining the sharing framework in
greater detail. In the upper band
segment, the Commission seeks
comment on facilitating Federal
coordination with licensees for access to
licensed areas.
84. The Commission also does not
believe that it is necessary to take action
to protect the weather satellites, which
according to Committee on Radio
Frequency (CORF), will operate above
37 GHz until at least 2020 because it
will take a significant amount of time
for mmW devices to be developed and
deployed in the 37 GHz band.
Therefore, the Commission expects that
relatively few mmW devices will be
operating in the band while the weather
satellites are still in use.
85. Under the plan the Commission
adopted, the Commission enables the
deployment of new commercial services
while protecting Federal agency
missions. This balances the needs of
commercial operators with the needs of
Federal agencies for protection and
future growth by creating an
environment where Federal and nonFederal users can share the band on a
co-primary basis and providing enough
certainty to future commercial users to
stimulate investment in the spectrum.
3. Passive Services Below 37 GHz
86. The Commission believes that the
out-of-band emission (OOBE) limit that
the Commission adopts in this Report
and Order will provide adequate
protection to the passive sensors in the
adjacent 36–37 GHz band. The OOBE
limit will keep emissions from an
UMFUS device into the 36–37 GHz
band well below the ¥10 dBW level
specified by footnote US550A. The
Commission notes that the ¥10dBW
power limit was adopted to protect
passive sensors in the 36–37 GHz band
in accordance with ITU Resolution 752
(WRC–07). Because this limit was
adopted by the ITU to protect passive
sensors from harmful interference from
fixed and mobile transmitters in the 36–
37 GHz band, the Commission
concludes that it will provide
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appropriate protection to the passive
sensors from transmitters in the adjacent
band.
87. The Commission will not adopt a
guard band at 37 GHz to protect the
EESS and SRS in the 36–37 GHz band
as suggested by CORF and IEEE
Frequency Allocations in Remote
Sensing (FARS). Neither CORF nor IEEE
FARS make a specific recommendation
on the necessary size of the guard band,
although CORF requests a guard band of
at least 100 MHz. Because a guard band
will reduce the spectrum available for
mmW devices, the Commission does not
want to take this step without
compelling evidence that it is necessary.
No one has provided information on the
specific benefits and necessity of
adopting a guard band of at least 100
MHz to protect EESS and SRS. Given
the lack of data supporting adoption of
a guard band, the Commission believes
that the out-of-band emission limit that
the Commission has adopted will
provide adequate protection to the EESS
and SRS without the need for a guard
band at 37 GHz.
88. With regard to protecting radio
astronomy at the three locations
specified by CORF, the Commission is
not convinced that additional measures
are needed to protect radio astronomy.
The radio astronomy observations that
CORF is concerned about will be
conducted in the 36.43–36.5 GHz band,
which is 500 megahertz from the 37
GHz band, so the emission limits that
the Commission is adopting for mmW
devices should sufficiently protect radio
astronomy.
F. Licensing, Operating, and Regulatory
Issues
1. Creation of New Rule Service and
Part
89. The Commission adopted in its
proposal to create a new service, the
UMFUS under a new part 30 of the
Commission’s rules to include the 28
GHz, 39 GHz, and 37 GHz bands.
Licensing the millimeter wave bands
under part 27, as CTIA suggests, would
produce a less flexible regime than the
Commission intend while the rules the
Commission adopted in part 30 will
provide much of the flexibility present
in the part 27 rules. Part 27 would be
a poor fit for the point-to-point services
currently operating in the 28 and 39
GHz bands, and for the backhaul uses
other licensees may wish to include in
their services. Part 96, which Google
suggests, is designed for a specific
regime of intensive, three-tier sharing.
As the Commission is not adopting this
type of sharing regime for these bands
at this time, using this rule part would
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be inappropriate. The Commission
concludes that establishing a new rule
part will allow us to have one unified
set of rules governing the various types
of operations the Commission
contemplates licensees will offer, which
will provide more clarity to licensees
and more accurately reflect the nature of
these licenses.
2. Regulatory Status
90. The Commission adopted in its
proposal from the NPRM to implement
a flexible regulatory framework for the
UMFUS. As the Commission proposed,
UMFUS licensees in the 28, 39, and 37
GHz bands will be able to choose the
regulatory status (common carrier, noncommon carrier, or both) that best fits
their business models and the services
they seek to provide. This approach will
maintain an open and flexible
framework that will allow the business
judgments of individual applicants and
licensees in these bands to shape the
nature of the services offered pursuant
to their licenses.
91. The Commission also adopts its
proposal to rely on the applicant’s
designation of its common carrier or
non-common carrier status, to enable us
to fulfill our obligations to enforce the
common carrier requirements contained
in statutes and the Commission’s
regulations. An election to provide
service on a common carrier basis
requires that the elements of common
carriage be present, and the applicant is
in the best position to ascertain the
presence of these elements. This
approach is consistent with the
Commission’s past decisions regarding
the classification of mobile services.
3. Foreign Ownership Reporting
92. Certain foreign ownership and
citizenship requirements are imposed
by subsections (a) and (b) of Section 310
of the Act, as modified by the 1996 Act.
These provisions prohibit the issuance
of licenses to certain applicants. For
current LMDS, 37 GHz, and 39 GHz
licensees, these statutory provisions are
adopted in part 101 of the Commission’s
rules at § 101.7 of the Commission’s
rules. Specifically, § 101.7(a) prohibits
the granting of any license to be held by
a foreign government or its
representative. Section 101.7(b)
prohibits the granting of any common
carrier license to be held by individuals
that fail any of the four citizenship
requirements listed.
93. In the NPRM, the Commission
tentatively concluded that the Section
310 requirements would apply to any
applicants in the UMFUS. Based on this
interpretation of the requirements of
Section 310, the Commission proposed
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in the NPRM to include a provision in
the new part 30 that would mirror the
current § 101.7 of the Commission’s
rules. In addition, the Commission
proposed that all applicants for part 30
licenses be required to report the same
foreign ownership information,
regardless of the specific type of service
they sought to provide. An applicant
requesting authorization for broadcast,
common carrier, aeronautical en route,
or aeronautical Fixed Services, alone or
in combination with other services,
would be prohibited from holding a
license if it met any of the criteria in
Section 310(b). If the applicant
requested authorization for services
other than for broadcast, common
carrier, aeronautical en route, or
aeronautical Fixed Services, it could
hold a license if it met the single alien
ownership requirement in Section
310(a), regardless of whether it would
otherwise be disqualified for a common
carrier authorization. No commenters
addressed the issue of foreign
ownership reporting requirements, or
opposed the Commission’s proposals.
94. The Commission adopted in its
proposals from the NPRM to require the
same foreign ownership reporting from
all applicants for part 30 licenses,
regardless of the specific type of service
they seek to provide, and to implement
this requirement by including a
provision in part 30 that mirrors § 101.7
of the Commission’s current rules. This
approach will properly implement the
restrictions contained in Sections 310(a)
and (b) of the Act, and is consistent with
the Commission’s treatment of flexible
use services regulated under part 27 of
the Commission’s rules.
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4. Eligibility
95. In the NPRM, the Commission
adopted an open eligibility standard for
the UMFUS. The Commission noted
that an open eligibility approach would
not affect citizenship, character, or other
generally applicable qualifications that
may apply under the Commission’s
rules. Cisco and CTA support this
proposal, citing uncertainty as to how
the UMFUS bands will develop, and the
need to allow innovation from all
parties. No commenters opposed the
Commission’s proposal.
96. The Commission adopted its
proposal to implement an open
eligibility standard for the UMFUS. This
approach is in keeping with the
flexibility of the other licensing rules
the Commission adopted in this Report
and Order, as well as the Commission’s
treatment of other flexible use services,
and will encourage innovation and
efficient use of spectrum in these bands.
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5. License Term
97. The Commission adopted its
proposal to establish a 10-year license
term for all UMFUS licenses, and the
Commission’s proposal to award a
renewal expectancy for subsequent
license terms if the licensee continues to
provide at least the initially-required
level of service. While the Commission
has pursued shorter license terms and
non-renewable licenses in other bands,
and continue to believe there are
circumstances where those structures
are appropriate, here the Commission
adopted a 10 year license term that can
be renewed. The Commission believes a
10-year license term will give licensees
sufficient certainty to invest in their
systems, particularly as the new
technology is still nascent and will
require time to fully develop. If the
standards for mobile service in the
mmW bands are established by, at the
latest, 2020, new licensees would still
have the majority of the license term
after that point to plan and to deploy
service. Neither XO nor any other
commenter has presented facts that
would justify a longer license term. A
10-year license term is also consistent
with existing license terms in a wide
variety of services.
98. The Commission also adopted in
its proposal to award a renewal
expectancy for subsequent license terms
if the licensee continues to provide at
least the initially-required level of
service through the end of any
subsequent license terms. That
treatment is consistent with the
Commission’s treatment of many other
licensed services and will provide
incentives for licensees to continue to
provide service.
6. Mobile Spectrum Holdings Policies
99. The Commission found it essential
to establish clear and transparent mobile
spectrum holdings policies that will
promote competition in the future,
including competition in the
development of 5G services, as well as
promote the efficient use of mmW
spectrum, and avoid an excessive
concentration of licenses. As mentioned
in the NPRM, demand for mobile service
that mmW spectrum is expected to
enhance and improve has been
increasing, and the Commission’s
predictive judgment is that interest in
the spectrum will be high. Thus, the
Commission finds that it would provide
regulatory certainty, flexibility in
planning, and expedited deployment if
the Commission supplies guidance on
application of these policies at this stage
when the Commission authorizes
mobile service in these bands and adopt
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related rules governing the terms of
service, rather than at some later stage.
In the Commission’s consideration of
whether to adopt a mobile spectrum
holdings limit for the licensing
spectrum through competitive bidding
and, if so, what type of limit to apply,
the Commission’s evaluation includes,
among other things, the promotion of
competition in relevant markets, the
acceleration of private sector
deployment of advanced services, and
generally managing the spectrum in the
public interest. The Commission
evaluates how a limit would likely
affect the quality of communications
services or result in the provision of
new or additional services to
consumers, as well as any other
statutory goals and directives applicable
to a particular spectrum band being
licensed by competitive bidding.
100. As the Commission noted in the
Mobile Spectrum Holdings Report and
Order, the mobile wireless marketplace
is highly concentrated, and with
continually increasing consumer
demand for mobile broadband, ‘‘in order
for there to be robust competition,
multiple competing service providers
must have access to or hold sufficient
spectrum to be able to enter a
marketplace or expand output rapidly in
response to any price increase or
reduction in quality, or other change
that would harm consumer welfare.’’ In
addition, the Commission has found
that holding a mix of spectrum bands is
advantageous to providers and that
consumers’ benefit when multiple
providers have access to a mix of
spectrum bands. The Commission
concludes here that with, the rapid rate
of technological advance, mmW
spectrum is likely to be a critical
component in the development of 5G,
and the Commission must take steps to
ensure its optimal use to the benefit of
all American consumers. For these
reasons, the Commission adopted an ex
ante spectrum aggregation limit of 1250
megahertz that will apply to licensees
acquiring spectrum in the 28 GHz, 37
GHz, and/or 39 GHz bands, through
competitive bidding in auction. The
Commission adopted for these same
reasons a spectrum threshold of 1250
megahertz for proposed secondary
market transactions in these three
bands.6
101. Historically, mmW frequencies
have been considered unsuitable for
6 The Commission notes that this 1250 megahertz
spectrum threshold helps to identify those markets
that provide particular reason for further
competitive analysis, but that the Commission’s
consideration of potential competitive harms would
not be limited solely to those markets identified by
the threshold.
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mobile applications because of
propagation losses at such high
frequencies and the inability of mmW
signals to propagate around obstacles.
As noted in the NPRM, bands above 24
GHz were not typically considered for
stand-alone mobile services but rather
as supplementary channels to deliver
ultra-high speed data in specific places.
Due to technological advances, the
mmW bands could potentially be used
for mobile broadband and are likely to
serve as an important supplement to
lower-band spectrum. Specifically, the
mmW bands potentially will be used for
supporting very high capacity networks
in areas that require such capacity, as
well as for machine-to-machine
communications, and in the
development of various Internet of
Things (IoT) applications including
wearables, fitness and healthcare
devices, autonomous driving cars, and
home and office automation.
102. The Commission finds that
grouping the 28 GHz, 37 GHz, and 39
GHz bands together for purposes of
applying these spectrum holdings
policies, either at auction or in the
secondary market, is appropriate in
view of the interchangeability of the
spectrum in these bands, i.e., similar
technical characteristics and potential
uses of this spectrum that are unique to
the mmW bands. While certain
differences across the mmW bands exist,
the Commission finds these technical
differences are not sufficient to
significantly affect how these spectrum
bands might be used and to require
separate band-specific limits. This
approach mirrors the Commission’s
existing Commercial Mobile Radio
Service (CMRS) spectrum screen, which
applies across a number of bands that
do not have the same technical
characteristics and not on a bandspecific basis. Even assuming that more
37 GHz to 39 GHz spectrum would be
needed to provide the same
performance, there will be 2400
megahertz of 37 GHz and 39 GHz
spectrum available for service providers’
use, almost three times as much as in
the 28 GHz band. And, in any event, all
the particular facts of any proposed
secondary market transaction will be
carefully evaluated on a case-by-case
basis to ensure that the public interest
is served. For these reasons, the
Commission does not find that adopting
a band-specific spectrum aggregation
limit is necessary, and the Commission
finds that the spectrum holdings
policies adopted in the Report and
Order will best support its objective of
ensuring that multiple providers have
access to this high band spectrum that
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is likely to be critically important in the
development of 5G services moving
forward. The Commission anticipates
that applying these spectrum holdings
policies to spectrum with similar
technical characteristics that may
become available in the future is also
likely to be appropriate.
103. Competitive Bidding. The
Commission concludes that an approach
based on limiting an entity’s holding to
approximately one-third of the relevant
spectrum will help to ensure that
multiple providers are able to access a
sufficient amount of spectrum to the
benefit of consumers. In the
Commission’s consideration of the
appropriate limit to set at auction, the
Commission notes that as a result of the
various license sizes in these bands,
setting a limit at approximately onethird would as a practical matter result
in a limit notably lower than a one-third
limit.7 Given the varied license sizes of
spectrum blocks in each band, as well
as the total amount of mmW spectrum
available, the Commission finds that
permitting licensees to acquire
somewhat more than one-third of the
spectrum available in these bands at
auction is appropriate. The Commission
therefore will not permit licensees to
acquire more than 1250 megahertz
across the three bands at auction.8 The
Commission finds that the spectrum
aggregation limit the Commission
adopted will help ensure that multiple
providers will be able to access a
sufficient amount of mmW spectrum to
facilitate the deployment of new
services and innovation that will benefit
consumers, while guarding against the
excessive concentration of licenses. The
7 The total available amount of the mmW
spectrum in the 28 GHz, 37 GHz, and 39 GHz bands
today is equal to 3250 megahertz, approximately
one-third of which is 1100 megahertz. Given the
sizes of the spectrum blocks in these bands,
however, no entity could hold more than 1050
megahertz, and an entity interested in holding only
licenses in the 37 and 39 MHz bands could hold
no more than 1000 megahertz. More specifically,
the latter entity would be able to hold no more than
five licenses of 200 megahertz each across the 37
GHz and 39 GHz bands for a total of 1000
megahertz. An entity interested in holding some 28
GHz spectrum could hold either two 28 GHz
licenses and one license of 200 megahertz for a total
of 1050 megahertz, or one 425 megahertz license in
the 28 GHz band and three licenses of 200
megahertz for a total of 1025 megahertz.
8 The Commission recognizes that there are
incumbent licensees in the 28 GHz and 39 GHz
bands that currently hold varying amounts of
spectrum. These licensees would be able to bid in
the auction to an amount that would be no more
than 1250 megahertz in total, taking existing
spectrum holdings into account. Service providers’
existing spectrum holdings across the 28 GHz, 37
GHz, and 39 GHz bands therefore will be counted
for purposes of the Commission’s application of the
1250 megahertz limit.
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Commission asks for comment below on
how this limit might be implemented.
104. Secondary Market. The
Commission adopted its proposal to
exclude mmW spectrum from the
current spectrum screen that includes
those spectrum bands that the
Commission has determined are suitable
and available for the provision of mobile
telephony/broadband services. As the
Commission has previously explained,
spectrum is considered ‘‘available’’ if it
is ‘‘fairly certain that it will meet the
criteria for suitable spectrum in the near
term, an assessment that can be made at
the time the spectrum is licensed or at
later times after changes in technology
or regulation that affect the
consideration.’’ The Commission does
not find that the mmW bands are
suitable and available for the provision
of mobile telephony/broadband services
in the same manner as other spectrum
bands that are currently included in the
Commission’s spectrum screen as
applied to secondary market
transactions. The Commission makes
this finding based on the unique
characteristics of these bands as
described above. Accordingly, the
Commission does not include the mmW
bands in the spectrum screen.
105. However, the Commission
recognizes that this frontier spectrum is
likely to become increasingly valuable
to the advent of 5G services. In its
competitive analysis of wireless
transactions, the spectrum screen
applicable to lower-band spectrum has
been one tool used to help identify
particular markets for further
competitive analysis; it is applied on a
county-by-county basis and identifies
local markets where an entity would
hold approximately one-third or more of
the total spectrum suitable and available
for the provision of mobile telephony/
broadband services, post-transaction.
Similarly, for proposed secondary
market transactions that would result in
an entity holding 1250 megahertz or
more of the total spectrum in the 28
GHz, 37 GHz, and 39 GHz bands, the
Commission will apply its threshold on
a county-by-county basis, and subject
such transactions to the Commission’s
case-by-case review in order to ensure
that the public interest is served. As
noted above, while this 1250 megahertz
spectrum threshold helps to identify
those markets that provide particular
reason for further competitive analysis,
the Commission’s consideration of
potential competitive harms will not be
limited solely to those markets
identified by the threshold. Establishing
this spectrum aggregation threshold in
the secondary market context recognizes
the specific characteristics of the
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spectrum while helping to ensure that
multiple entities have an opportunity to
obtain mmW spectrum for deployment
of innovative mobile technologies.
106. Summary. The Commission
finds, on balance, that the potential
public interest benefits of adopting a
1250 megahertz limit for auctions of this
spectrum, and a 1250 megahertz
threshold for secondary market
transactions for these unique spectrum
bands outweigh any potential public
interest harms. Further, adopting these
spectrum holdings policies is consistent
with the Commission’s previous
determination that an ‘‘approximately
one-third threshold for total spectrum
that the Commission uses to identify
those holdings in local markets that may
raise particular competitive concerns’’ is
an effective analytical tool in the
secondary market context. The
Commission anticipates that the
potential costs of adopting such
spectrum holdings policies will be low.
The Commission disagrees with
commenters who argue that it is
premature for the Commission to
establish any spectrum aggregation
policies in these bands and that such
policies will undermine the potential
use of this spectrum. On the contrary,
the Commission finds that establishing
such policies that will apply as mmW
spectrum is introduced into the
marketplace will help promote
competition from the outset. The
Commission has explained that mmW
spectrum holds the potential for a range
of uses from supporting high capacity
networks to use with various IoT
applications. While the Commission
cannot be certain at this time how this
spectrum will be used, the Commission
finds that its anticipated value to the
future of 5G makes it critical that
multiple providers have access to it. The
spectrum holdings policies the
Commission adopted will guard against
consolidation of this spectrum by one or
two providers and will encourage the
development of innovative services to
the benefit of the American consumer.
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7. Performance Requirements
a. Performance Metrics and Milestones
107. The Commission declines to
adopt a unified performance metric at
this time. Based on the criticisms and
alternative suggestions in the record, the
Commission concludes that such an
approach would not provide the
flexibility necessary to support
innovative uses of the spectrum, as it
would favor one deployment approach
over another. A unified approach might
also deter investment and deployment
in these bands. The Commission also
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declines to adopt a ‘‘substantial service’’
standard of performance for the
UMFUS. The Commission determines
that such a standard, with no firm
minimum requirements, would not
adequately safeguard effective use of
spectrum in these bands. The
Commission also declines to adopt a
usage-based metric for performance
requirements because it is not clear that
there is a workable method of measuring
or enforcing such a requirement.
Instead, the Commission adopted a
series of metrics, tailored for each type
of service a licensee might choose to
offer. Licensees may fulfill their
performance requirements by showing
that they meet their choice of any one
of the below standards, or a
combination of several. This framework
is intended to provide enough certainty
to licensees to encourage investment
and deployment in these bands as soon
as possible, while retaining enough
flexibility to accommodate both
traditional services and new or
innovative services or deployment
patterns. Its increased level of firmness
over a substantial service metric is also
consistent with the Commission’s recent
approach in other services.
108. The Commission notes that this
list of metrics is not intended to be
exhaustive. The Commission recognizes
that the metrics the Commission
adopted does not cover all possible
types of service that licensees may seek
to offer in these bands, and that new,
innovative services may be developed
with different characteristics that the
Commission cannot foresee at this time.
The Commission therefore seeks further
comment in the FNPRM on additional
metrics that should be applied to these
innovative services.
109. The Commission adopted these
performance requirements only in
relation to the end of the initial license
terms in these bands. Because the
Commission believes it is taking action
with significant lead time before the full
development of the technology, the
Commission believes an interim
benchmark might be difficult to meet
and may result in a substantial number
of waiver and extension requests. While
the Commission does not adopt any
ongoing or subsequent performance
requirements at this time, the
Commission strongly encourages
licensees to deploy networks and
services in a timely manner consistent
with the development of the technology
for these bands. The Commission
emphasizes, however, that the Renewal
and Service Continuity proceeding (WT
Docket No. 10–112), which addresses
this issue, remains open, and that
licensees may be subject to any
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requirements adopted as part of that
proceeding at some later date.
110. Mobile and point-to-multipoint.
For mobile and point-to-multipoint
services in the 28 GHz, 37 GHz
(geographic area licenses only), and 39
GHz bands, the Commission adopted a
modified version of the Commission’s
proposal in the NPRM. In order to meet
the standards for license renewal, a
licensee providing mobile service must
provide coverage to 40 percent of the
population of the license area and must
be using the facilities to provide service.
This is a lower portion of the population
than is the standard for lower frequency
bands because this level of coverage
strikes the appropriate balance between
ensuring sufficient use of the spectrum
and allowing licensees flexibility to
deploy an emerging technology which
may be more suitable for smaller
coverage areas. The Commission views
the current safe harbor of 20 percent
population coverage as inappropriate
going forward because the new
technologies being developed will
dramatically increase the opportunities
to use these bands. Since the
Commission is not requiring service
demonstrations until the end of the
license term, the Commission believes
licensees will have more than adequate
time to meet this benchmark. Similarly,
the Commission does not believe CTIA’s
suggestions of 10 ‘‘connections’’ per
10,000 population, or 50 connections
per county, will result in robust build
out in these bands. Under CTIA’s
proposed definition of a ‘‘connection,’’
these 10 connections could represent as
little as one subscriber accessing the
network 10 times in one month. This is
a particularly low benchmark for mobile
operations, which is one of the primary
target use cases for this new service. The
Commission does not believe this
standard represents a sufficient level of
service to justify renewal.
111. The Commission declines to
adopt the measurement method the
Commission proposed in the NPRM and
concludes that requiring a specific
methodology is unnecessary. Instead,
the Commission will provide licensees
with flexibility in terms of how they
make their service showings, but
Commission staff will continue to
review showings to ensure that they
accurately reflect coverage.
112. Fixed. The Commission does not
adopt its proposed method of ‘‘keyhole
contours’’ for assigning fixed links a
population equivalent. Instead, the
Commission adopted a more traditional
method of demonstrating fixed service:
the number of links per population in
the license area. Specifically, the
Commission adopted a requirement that
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geographic area licensees providing
Fixed Service in the 28 GHz, 39 GHz, or
37 GHz bands must construct and
operate at least four links in license
areas with less than 268,000 population,
and at least one link per 67,000
population in license areas with greater
population. This standard is similar to
the standard the Commission
established for fixed point-to-point
services in the 2.3 GHz band. While
links in mmW bands will presumably be
shorter because of the propagation
characteristics, the higher frequencies
will allow more reuse of spectrum in a
given area. These links must be part of
a network that is actually providing
service, whether to unaffiliated
customers or private, internal uses, and
all links must be present and
operational at the end of the license
term. As with the mobile performance
milestone, for bands licensed by areas
larger than counties the number of links
and the size of the population will be
calculated over the entire license area,
not county by county.
113. Satellite. The Commission
adopted it proposal from the NPRM. A
licensee who purchases a 28 GHz
UMFUS license may fulfill build-out
requirements for the license by
deploying an earth station in the license
area that is operational and providing
service. The Commission notes that a
licensee may not fulfill this requirement
by leasing a portion of its license area
to a satellite operator that builds and
operates an earth station within the
leased area. In 37 and 39 GHz, because
the Commission adopted significantly
larger geographic license areas than
counties, constructing and operating an
earth station will fulfill the performance
requirement only for the county in
which it is constructed, and not for the
entire license area. Satellite operators
who develop earth stations under the
satellite sharing mechanisms the
Commission adopted for the 28 GHz and
39 GHz bands will continue to be
subject to the applicable part 25 buildout requirements.
114. Combination. Licensees whose
deployments contain a mix of services,
for example mobile service combined
with fixed backhaul may meet the
relevant fixed or mobile/point-tomultipoint standard separately. The
Commission declines to establish a
specific formula for evaluating such
buildouts on a combined basis. Instead,
the Commission will evaluate such
showings on a case-by-case basis, as the
Commission has done for LMDS.
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b. Failure To Meet Buildout
Requirements
115. The Commission adopted a
modified version of its proposal,
tailored to the different license area
sizes the Commission adopted for each
band. For all bands, the Commission
adopted its proposal to terminate
licenses (or portions of licenses, as
appropriate) automatically if a licensee
fails to meet the applicable performance
requirements, which is widely applied
in many wireless services. The bandspecific approaches to license renewal
and termination are explained in more
detail below. In the accompanying
FNPRM, the Commission seeks to
further develop the record on use-orshare obligations.
116. 28 GHz. The 28 GHz band will
be licensed by county because
partitioning licenses in these bands into
license areas smaller than counties
would be administratively burdensome
without providing any off-setting
benefits to licensees or service
providers. Accordingly, if a licensee in
the 28 GHz band fails to meet the
applicable performance requirements at
the end of its license term, the license
for that county will terminate
immediately in its entirety. As the
Commission is reissuing the licenses in
these band by county rather than by
BTA, the Commission declines to
implement EchoStar’s proposal to
continue to evaluate incumbent
licensees’ performance on a BTA-wide
basis.
117. 37 and 39 GHz. The 39 GHz
band, as well as the 37.6–38.6 GHz
band, will be licensed by PEAs, rather
than counties. In order to balance the
need to ensure productive use of
spectrum with the need to encourage
investment and deployment, the
Commission adopted a modified
approach to performance requirements
in this band.
118. A licensee who meets the
applicable performance requirements
for the entire PEA, taken as a whole,
will be eligible to renew the entire
license. A licensee who does not meet
the requirements for the entire license
area will have two options: (1)
automatic termination of the entire
license, or (2) partition the license at the
county level, and return a portion of the
license to the Commission such that the
applicable performance requirements
are met for the remaining non-forfeited
area. For example, a licensee of a PEA
containing five counties of 100,000
people each, who deployed mobile
service covering 60 percent of the
population in each of two counties, and
made no deployments in the other three
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counties, would be covering only 24
percent of the total population of the
license area. This would not be enough
to meet performance requirements
across the entire license. However, the
licensee could forfeit the portion of the
license covering the three un-deployed
counties, and retain and renew the
portion of the license covering the
remaining two counties. Similarly, a
licensee of the same hypothetical PEA
who deployed mobile service covering
80 percent of one county, and 30
percent of another, could retain and
renew the portion of the license for
those two counties because the resulting
two-county license area would have
coverage of 55 percent of its population,
which exceeds the 40 percent
requirement.
c. Treatment of Incumbents
119. The Commission declines to
adopt its proposal from the NPRM. For
license terms concluding before 2020,
licensees may be unable as a practical
matter to meet the new, more rigorous
requirements the Commission adopted
for these bands at the end of their
current license terms because of the
nascent state of technology. Moreover,
providing for additional time will
provide more effective opportunities for
licensees to use the spectrum in ways
that maximize the flexibility now
afforded by the Commission’s new
rules. For example, the transition
toward providing innovative mobile
services is likely to require complex
business decisions and changes in
plans. In short, it is the Commission’s
intent to encourage deployment of new
and innovative services—particularly
mobile service—as efficiently and
effectively as possible.
120. Thus, the Commission slightly
modifies and extends the deadline for
meeting the performance requirements
pertaining to licensees’ current licenses
for licenses expiring after the adoption
date of the rules in this proceeding.
Specifically, current licensees in the 28
GHz and 39 GHz bands who, under the
current rules, face a deadline for
demonstrating substantial service after
the adoption date of this Report and
Order will not be required to
demonstrate substantial service at
renewal. Instead, those licensees will be
required to fulfill the performance
requirements the Commission adopted
for their respective licenses by June 1,
2024. This approach will allow current
licensees to focus on growing and
transitioning their networks in line with
new and developing industry standards,
which will support earlier and more
robust deployment of next-generation
services in these bands.
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d. Alternatives to Performance
Requirements
121. The Commission declines to
adopt either of these alternatives for
these bands. The Communications Act
contemplates that the Commission will
take measures ‘‘to prevent stockpiling or
warehousing of spectrum by licensees.’’
The Commission believes the foregoing
performance requirements are feasible
in these bands, and the best method to
prevent warehousing in this context.
O3b argues that such ‘‘consecutive
license terms with recurring payments’’
would simply change the financial
calculation underpinning warehousing:
while the initial bid would be smaller
and discounted less, the lower price of
entry could encourage warehousing by
reducing the amount initially needed to
hold on to the spectrum. In the absence
of any discussion of the ‘‘option
payment’’ concept, the Commission will
not adopt the proposal at this time.
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8. Permanent Discontinuance of
Operations
122. Under § 1.955(a)(3) of the
Commission’s rules, an authorization
will automatically terminate, without
specific Commission action, if service is
‘‘permanently discontinued.’’ In the
NPRM, the Commission proposed that
for UMFUS licensees that identify their
regulatory status as common carrier or
non-common carrier, ‘‘permanently
discontinued’’ should be defined as a
period of 180 consecutive days during
which the licensee does not provide
service to at least one subscriber that is
not affiliated with, controlled by, or
related to, the provider in the service
area of its license (or smaller service
area in the case of a partitioned license).
123. The Commission proposed a
different approach for licensees that use
their licenses for private, internal
communications. For these services, the
Commission proposes to define
‘‘permanent discontinuance’’ as a period
of 180 consecutive days during which
the licensee does not operate any
facilities under the license. The
Commission proposed that licensees not
be subject to this requirement until one
year after their initial license period
ends, to allow them adequate time to
construct their networks.
124. The Commission also proposed
that when 28 GHz, 37 GHz, or 39 GHz
licensees permanently discontinue
service, the licensee must notify the
Commission of the discontinuance
within 10 days, by filing FCC Form 601
and requesting license cancellation. The
Commission further proposed that an
authorization automatically terminates
without specific Commission action if
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service is permanently discontinued,
even if a licensee fails to file the
required form. No commenters discuss
the permanent discontinuance of service
proposals.
125. The Commission adopted its
proposals from the NPRM related to
permanent discontinuance of
operations. Specifically, the
Commission adopted the two separate
proposed definitions of ‘‘permanent
discontinuance,’’ for common carrier
and non-common carrier service, and
for private communications services.
The Commission also adopted its
proposal to wait to implement this
requirement until one year after the
initial license period ends. This
approach is consistent with the
definitions the Commission has adopted
for other spectrum bands that are
licensed for mobile use, including the H
Block, AWS–3, and AWS–4 bands.
126. The Commission also adopted its
proposal that a licensee who
permanently discontinues service must
notify the Commission within 10 days,
and the Commission’s proposal that
such licenses terminate automatically
even if a licensee fails to appropriately
notify the Commission. This approach
to permanent discontinuance is
consistent with § 1.955(a)(3) of the
Commission’s rules. The permanent
discontinuance rule is intended to
provide operational flexibility while
ensuring that spectrum does not lie idle
for extended periods, and the rules the
Commission adopted support those
goals.
9. Secondary Markets Policies
a. Partitioning and Disaggregation
127. The Commission’s part 101 rules
generally allow for geographic
partitioning and spectrum
disaggregation in the LMDS and 39 GHz
service. Geographic partitioning refers
to the assignment of geographic portions
of a license to another licensee along
geopolitical or other boundaries.
Spectrum disaggregation refers to the
assignment of discrete amounts of
spectrum under the license to another
entity. Disaggregation allows for
multiple transmitters in the same
geographic area operated by different
companies on adjacent frequencies in
the same band.
128. In 1997, the Commission
determined that all LMDS licensees
would generally be permitted to
disaggregate and partition their licenses.
The Commission later adopted specific
procedural, administrative, and
operational rules to govern the
disaggregation and partitioning of LMDS
licenses. Similarly, in the same year, the
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Commission concluded that partitioning
and disaggregation would be permitted
in the 39 GHz band and adopted
partitioning and disaggregation rules in
this band as well. The rules require the
spectrum to be disaggregated by FDD
pair in the 39 GHz band.
129. In the NPRM, the Commission
proposed to continue to allow
partitioning and disaggregation in the 28
and 39 GHz bands, and to permit 37
GHz licensees to partition and
disaggregate their licenses as well. The
Commission also proposed to require all
parties to a partitioning or
disaggregation agreement to
independently fulfill the applicable
performance and renewal requirements,
which is consistent with the current
requirements.
130. Commenters overwhelmingly
support allowing secondary market
transactions in general, and partitioning
and disaggregation in particular. Intel
supports expanding disaggregation in
the 39 GHz band by also permitting
pair-splitting. No commenters oppose
allowing secondary market transactions
generally, or partitioning or
disaggregation specifically. No
commenters discuss performance
requirements for parties to a partition or
disaggregation.
131. The Commission adopted its
proposal in the NPRM to allow
partitioning and disaggregation of
licenses in the 28, 37, and 39 GHz
bands. As the Commission noted when
first establishing partitioning and
disaggregation rules, allowing such
flexibility could facilitate the efficient
use of spectrum by enabling licensees to
make offerings directly responsive to
market demands for particular types of
services, increasing competition by
allowing new entrants to enter markets,
and expediting provision of services
that might not otherwise be provided in
the near term. This policy would leave
the decision of determining the correct
size of licenses to the licensees and the
marketplace. Allowing this flexibility is
consistent with the record, and with the
flexible approach to licensing these
bands that the Commission adopted in
this Report and Order. Because the band
plan the Commission adopted for the 39
GHz band does not use paired spectrum
blocks, the current rule that licenses in
that band must be disaggregated in pairs
will no longer apply.
132. The Commission also adopted its
proposal to require all parties to a
partitioning or disaggregation agreement
to independently fulfill applicable
performance and renewal requirements.
According to the performance
requirements framework the
Commission adopted, individual
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licensees may choose which metric they
fulfill (e.g., fixed, mobile, or satellite),
but each licensee must make a showing
that independently satisfies the
requirements. This requirement will
facilitate efficient spectrum use, while
enabling service providers to configure
geographic area licenses and spectrum
blocks to meet their operational needs.
b. Spectrum Leasing
133. In 2003, in order to promote
more efficient use of terrestrial wireless
spectrum through secondary market
transactions and in order to eliminate
regulatory uncertainty, the Commission
adopted the Secondary Markets First
Report and Order, which contained a
comprehensive set of policies and rules
to govern spectrum leasing
arrangements between terrestrial
licensees and spectrum lessees. These
policies and rules enabled terrestriallybased Wireless Radio Service licensees
holding ‘‘exclusive use’’ spectrum rights
to lease some or all of the spectrum
usage rights associated with their
licenses to third party spectrum lessees.
Those third party lessees were then
permitted to provide wireless services
consistent with the underlying license
authorization.
134. This 2003 Order excluded a
number of wireless radio services from
the spectrum leasing rules and policies,
including part 101 services. A year later,
the Commission extended the spectrum
leasing policies to a number of
additional wireless services, including
part 101 services. At that time, the
Commission also built upon the
spectrum leasing framework by
establishing immediate approval
procedures for certain categories of
terrestrial spectrum leasing
arrangements.
135. In the NPRM, the Commission
proposed to apply these spectrum
leasing policies to the new part 30 radio
service governing UMFUS’s, including
all 28 GHz, 37 GHz, and 39 GHz
terrestrial licenses. The Commission
proposed to apply these policies in the
same manner that they apply to part 101
services.
136. Many commenters support
allowing secondary market transactions
generally and spectrum leasing
specifically. Commenters cite the
additional flexibility afforded by leasing
spectrum, and the market certainty
granted by using established rules.
Several commenters also mention that
spectrum leasing allows a broader range
of entities to access licensed spectrum
and provides additional competition in
the marketplace. No commenters oppose
allowing spectrum leasing
arrangements.
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137. The Commission adopted its
proposal to allow spectrum leasing in
the 28 and 39 GHz bands, as well as the
portion of the 37 GHz band licensed on
a geographic area basis. Allowing
spectrum leasing in these bands will
promote more efficient, innovative, and
dynamic use of the spectrum, expand
the scope of available wireless services
and devices, enhance economic
opportunities for accessing spectrum,
and promote competition among
providers. In addition, spectrum leasing
policies in a particular band generally
follow the same approach as the
partitioning and disaggregation policies
for that band. Thus, the Commission’s
adoption of spectrum leasing rules for
the 28 GHz, 39 GHz, and 37 GHz bands
is consistent with the Commission’s
decision above to allow partitioning and
disaggregation in these bands as well.
10. Other Operating Requirements
138. The Commission adopted its
proposal in the NPRM to require
UMFUS licensees to comply with other
rule parts that pertain generally to
wireless communications services, and
with any applicable service-specific
rules. This approach will maintain
general consistency among various
wireless communications services.
Consistent with the Commission’s
proposal, the Commission will add
UMFUS to the definitions of Wireless
Radio Service and Wireless
Telecommunications Service in § 1.907
of the Commission’s rules. The
Commission refrains from modifying
other existing rules in other rule parts
at this time, as no commenter has
identified any incompatibilities or
inconsistencies between the UMFUS
Service and the existing service-specific
or generally applicable rules. To
consolidate the technical rules for all of
the types of flexible uses that might be
deployed by UMFUS licensees under a
single rule part, and to maintain
consistency between the rules that the
Commission adopted and the current
technical requirements that existing
LMDS and 39 GHz licensees are subject
to, the Commission will move the
existing part 101 technical rules for
traditional point-to-point and point-tomultipoint operations into part 30.
11. Competitive Bidding Procedures
a. Applicability of Part 1 Competitive
Bidding Rules
139. The Commission proposed in the
NPRM to conduct any spectrum auction
of UMFUS licenses in conformity with
the general competitive bidding
procedures set forth in part 1 subpart Q
of the Commission’s rules. No
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commenters proposed any alternative or
objected. Given the Commission’s
experience in successfully conducting
auctions using these procedures, the
Commission adopted its proposed
approach. The Commission will employ
the part 1 rules governing competitive
bidding design, designated entity
preferences, unjust enrichment,
application and payment procedures,
reporting requirements and the
prohibition on certain communications
between auction applicants—including
those updates made in the Competitive
Bidding Update Report and Order. The
Commission notes however, that the
Commission could modify these
procedures at a later time.
140. In discussing the competitive
bidding rules, one commenter urges that
if the Commission adopts county-level
licenses, it would be critical to permit
‘package bidding’ so that operators
could assemble larger footprints by
bidding on multiple counties at one
time. In response, two commenters
argue that the Commission should not
permit any form of package bidding
because such bidding procedures may
make it more difficult for small bidders
to acquire specific licenses that are
included in larger packages. Issues
involving such bidding procedures are
more appropriately addressed in a preauction proceeding that will seek public
input on the competitive bidding
procedures to be used for a particular
auction of UMFUS licenses.
Accordingly, the Commissions defer
consideration of such matters to such
proceeding(s) where interested parties
are likely to have a more informed
context for such input.
b. Small Business Provisions for
Geographic Area Licenses
141. In authorizing the Commission to
use competitive bidding, Congress
mandated that the Commission ‘‘ensure
that small businesses, rural telephone
companies, and businesses owned by
members of minority groups and women
are given the opportunity to participate
in the provision of spectrum-based
services.’’ One of the principal means by
which the Commission fulfills this
mandate is through the award of
bidding credits to small businesses. In
the Competitive Bidding Second
Memorandum Opinion and Order, the
Commission stated that it would define
eligibility requirements for small
businesses on a service-specific basis,
taking into account the capital
requirements and other characteristics
of each particular service in establishing
the appropriate threshold. Further, in
the Part 1 Third Report and Order and
the more recent Competitive Bidding
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Update Report and Order, the
Commission, while standardizing many
auction rules, determined that it would
continue a service-by-service approach
to defining small businesses. The
Commission recently updated its
standardized schedule of small business
definitions to reflect the capital
challenges small businesses face in the
current wireless industry, and in the
NPRM the Commission sought comment
on whether to apply those updated
definitions for auctions of spectrum in
the UMFUS bands.9
142. Based on the Commission’s prior
experience with the use of bidding
credits in spectrum auctions, the
Commission believes that the using
bidding credits is an effective tool to
achieve the statutory objective of
promoting participation of designated
entities in the provision of spectrumbased service.
143. In adopting competitive bidding
rules for the 39 GHz band, the
Commission included provisions for
designated entities to promote
opportunities for small businesses, rural
telephone companies, and businesses
owned by members of minority groups
and women to participate in the
provision of spectrum-based services.
Specifically, the Commission adopted
bidding credits for applicants qualifying
as small businesses. For auction of
licenses in the 39 GHz band, the
Commission adopted two small
business definitions. These two small
business definitions were later adopted
as the highest two of three thresholds in
the Commission’s standardized
schedule of bidding credits. In the
NPRM, the Commission proposed to
adopt for the UMFUS the two small
business definitions with higher gross
revenues thresholds reflecting the
recently adopted updates to the part 1
schedule of small business definitions
in the Competitive Bidding Update
Report and Order. The Commission
adopted its proposal to apply the two
small business definitions with higher
9 Under the new standardized schedule,
businesses with average annual gross revenues for
the preceding three years not exceeding $4 million
would be eligible for a 35 percent bidding credit,
businesses with average annual gross revenues for
the preceding three years not exceeding $20 million
would be eligible for a 25 percent bidding credit,
and businesses with average annual gross revenues
for the preceding three years not exceeding $55
million would be eligible for a 15 percent bidding
credit. The Commission also adopted a monetary
cap on the total amount of bidding credits that an
eligible small business or rural service provider
may be awarded in any particular auction.
Specifically, the amount of the bidding credit cap
for a small business in any particular auction will
not be less than $25 million and the bidding credit
cap for the total amount of bidding credits that a
rural service provider may be awarded will not be
less than $10 million.
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gross revenues thresholds to auctions of
UMFUS licenses in the 28, 37, and 39
GHz bands and any other spectrum
bands that the Commission may
subsequently designate for inclusion in
the UMFUS. Accordingly, an entity with
average annual gross revenues for the
preceding three years not exceeding $55
million will qualify as a ‘‘small
business,’’ while an entity with average
annual gross revenues for the preceding
three years not exceeding $20 million
will qualify as a ‘‘very small business.’’
While the capital requirements of the
services to be deployed in these bands
is not yet known, the Commission
believes that using these gross revenue
thresholds will enhance the ability of
small businesses to acquire and retain
capital and thereby complete
meaningfully at auction. The
Commission also believes that these
thresholds are not overly inclusive, and
prevents designated entity benefits from
flowing to entities for which such
credits are not necessary. The
Commission believes that the various
spectrum bands included in the
UMFUS—spectrum that will be utilized
under the same or similar technical
rules—will be deployed for the same
types of service, and therefore the two
small business definitions with higher
gross revenues thresholds should apply
to all of the bands in the UMFUS.
144. The Commission also adopted its
proposal to provide qualifying ‘‘small
businesses’’ with a bidding credit of 15
percent and qualifying ‘‘very small
businesses’’ with a bidding credit of 25
percent, consistent with the
standardized schedule in part 1 of the
Commission’s rules. This proposal was
modeled on the small business size
standards and associated bidding credits
that the Commission adopted for a range
of other services, including Advanced
Wireless Services in the AWS–1 band.
The Commission believes that this twotiered approach has been successful in
the past, and will once again utilize it.
The Commission uses the existing 39
GHz service rules as a starting point, but
adjusts the bidding credit levels to be
consistent with the schedule in part 1 of
the Commission’s rules. The
Commission believes that use of the
small business definitions and
associated bidding credits set forth in
the part 1 bidding credit schedule will
provide consistency and predictability
for small businesses. No commenter
provides any alternative or reason why
the Commission’s bidding credit
thresholds or small business definitions
would not work in this service.
Accordingly the Commission adopted
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its proposals regarding small business
definitions and bidding credits.
c. Rural Service Provider Provisions for
Geographic Area Licenses
145. The rural service provider
bidding credit awards a 15 percent
bidding credit to those servicing
predominantly rural areas and that have
fewer than 250,000 combined wireless,
wireline, broadband and cable
subscribers. In the NPRM, the
Commission stated that in the absence
of comments to the contrary, the
Commission would leave open the
option for future bidding applicants to
apply for rural service provider bidding
credits in lieu of a small business
bidding credits. The Commission now
decides that the Commission will apply
the rural service provider bidding credit
to auctioning the 28 GHz, 37 GHz and
39 GHz bands. Although the
Commission has not received comments
about this issue, the Commission
believes that a targeted bidding credit
will better enable rural service providers
to compete for spectrum licenses at
auction and in doing so, will increase
the availability of 5G service in rural
areas.
d. Small Business and Rural Service
Provider Bidding Credit Caps
146. In the Competitive Bidding
Update Report and Order, the
Commission adopted a process for
establishing a reasonable monetary limit
or cap on the amount of bidding credits
that an eligible small business or rural
service provider may be awarded in any
particular auction. The Commission
established the parameters to implement
a bidding credit cap for future auctions
on an auction-by-auction basis.
Consistent with the Commission’s
longstanding approach, after adoption of
all of the necessary service rules for the
UMFUS, the Commission will initiate a
public notice process to solicit public
input on certain details of auction
design and the auction procedures for
the initial auction of UMFUS licenses.
As part of that process, the Commission
will solicit public input on the
appropriate amount of the bidding
credit cap and subsequently establish
the cap that will apply for that auction,
based on an evaluation of the expected
capital requirements presented by the
particular spectrum being auctioned and
the inventory of licenses to be
auctioned.
e. Tribal Lands Bidding Credit
147. The tribal lands bidding credit
program awards a discount to a winning
bidder for serving qualifying tribal land
that have a wireline telephone
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subscription rate equal to or less than 85
percent of the population. The
Commission believes that tribal entities
involved in the telecommunications
industry face unique challenges in
participating in spectrum auctions and
that the tribal lands bidding credit will
promote further deployment and use of
spectrum over tribal lands. No
commenters oppose the tribal land
bidding credit nor suggest that the tribal
lands bidding credit is unnecessary.
Accordingly, a winning bidder for a
market will be eligible to receive a
credit for serving qualifying Tribal lands
within that market, provided it complies
with the applicable competitive bidding
rules.
payments could incentivize deployment
of network facilities and discourage
spectrum warehousing because a
licensee would be unlikely to pay the
auction price for successive terms for
spectrum it did not intend to use.
However, the Commission believes
there is a strong likelihood that bidders
would still warehouse spectrum and
leave it fallow if the cost of the recurring
payment to the spectrum holder was
outweighed by the benefit derived from
foreclosing other operators’ access to the
spectrum. This would counter the
Commission’s goal of accelerating
deployment in these bands. Accordingly
the Commission declines to adopt this
proposal.
f. Bidding Process Options
148. Finally, the Commission also
sought comment in the NPRM on
whether the Commission should revise
any of the Commission’s bidding
process and payment rules to ameliorate
the administrative difficulties the
Commission could potentially face in
enforcing the construction requirements
in the 3,143 counties nationwide. One
alternative the Commission discussed
was to allow prospective millimeter
wave licensees to bid, in a single
auction, on licenses that have
consecutive terms of license rights in a
given geographic area—i.e., licensees
could bid at auction for the right to
obtain a license in a given county not
just for a single license term, but for
each subsequent five-year license term;
and the winning bidder would pay an
auction-determined fee, in lieu of other
performance requirements before the
start of each term. Once a winning
bidder made this payment, a new
license would issue for the next
consecutive license term. Some
commenters support adopting such
payments in lieu of performance
requirements. However several
commenters criticize the approach as
incentivizing spectrum warehousing.
For example, O3b notes that consecutive
license terms with recurring payments
would simply change the financial
calculation underpinning warehousing:
while the initial bid would be smaller
and discounted less, the lower price of
entry could encourage warehousing by
reducing the amount initially needed to
hold on to the spectrum. The
Commission declines to adopt recurring
payments as an alternative to
performance requirements in this order
and note it is unlikely the Commission
would adopt such payments given the
Commission’s review of the record and
further consideration of the factors
affecting these bands. In the NPRM, the
Commission speculated that these
12. Security
149. The FCC’s approach to
cybersecurity proceeds from the view
that communications providers are
generally in the best position to evaluate
and address risks to their network
operations. This approach recognizes
the importance of private sector
leadership and innovation in
cybersecurity, and it reduces the need
for ongoing regulatory involvement in
private sector security practices. It will
prove successful, though, only if the
private sector aggressively addresses
evolving threats through security-bydesign, even where short-term market
incentives may not be sufficient to drive
long-term security investments before
harm is realized.
150. Emerging security standards for
new flexible uses of the mmW bands
(and ‘‘5G’’ more broadly) are developing
in parallel, but not necessarily at the
same pace, with the emerging networks,
devices, and equipment. While CTIA
has observed that significant, multistakeholder, multi-disciplinary, and
‘‘multi-layered’’ efforts are ongoing,
domestically and globally, ‘‘to assure
that [5G] network and [mmW] device
security is preserved to the maximum
extent feasible,’’ the Commission must
acknowledge that to date many wireless
communications systems have not been
successful at implementing security-bydesign. The Commission recognize that,
in the race to market, vital security
protections too often fall by the
wayside.
151. The Commission took narrowly
tailored steps to help promote an
environment that encourages the early
and ongoing consideration of security
issues by all private sector participants,
including infrastructure and device
firms, established communications
firms, and new entrants to
communications markets. New mmWbased networks will enable valuable
new services, and accelerating the
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deployment of those services is a
national priority. Those benefits,
however, will be undermined if security
risks are not managed by licensees.
Accordingly, the Commission is moving
expeditiously both to meet the need for
new mmW spectrum for next generation
services and to help ensure that security
for these services is built in from the
beginning, not left as an afterthought. In
this approach, the Commission concurs
with stakeholders who identify that
there is an opportunity to take action
now—before the technology is mature or
the services deployed—to encourage,
from the outset, the development of
necessary cybersecurity protections
alongside the development of emerging
services and technologies.
152. In the NPRM, the Commission
recognized the significance of security
to 5G networks and the future devices
enabled by and connecting to them.
Because of the implications related to
both sets of issues, the Commission
sought comment on how to secure
mmW band devices, networks, and their
communications, and specifically on
‘‘how to ensure that effective security
features are built into key design
principles for all mmW band
communications devices and
networks.’’ The Commission expressed
a belief in the value of ‘‘security-bydesign’’ that is motivated by the
Commission’s expectations that these
networks may provide capabilities for a
wide variety of new devices and
applications, including, among others,
traditional mobile communications
capabilities, IoT and other applications
as well as devices critical to public
safety and related services that provide
essential protections to the nation. The
Commission indicated that security by
design means ensuring that the goals
that drive the development of networks
and devices include achieving an
objective state of security. In that
context, the Commission explained that
the security constructs of
confidentiality, integrity, and
availability help us gain insight into
security generally, and that security-bydesign can help ensure that the next
generation of wireless networks meets
these critical components of a secure
network. Several commenters expressed
their support for this approach.
153. The Commission continues to
believe in the significant benefits of
security by design, including the
benefits that the Commission would
expect to flow from using the
confidentiality, integrity, and
availability construct for assessing,
planning and incorporating security
elements into networks and devices as
early as possible in their developmental
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stages. Indeed, the record demonstrates
that security elements are appropriate
and important for service providers and
equipment developers to consider now,
during the development process, as well
as part of an ongoing discussion as
networks and devices are deployed and
operated.
154. For example, one commenter
notes that the ‘‘network-based hop-tohop security approach used to secure
the path between communications users
will not be sufficient for differentiated
end-to-end security for certain 5G
services.’’ Systems are in need of a
‘‘secure architecture, stringent identity
management and data protection, more
rigorous authentication methods, and an
array of system-level protections to
defend against distributed denial of
service . . . attacks and other
intrusions.’’ Accordingly, the
commenter believes that security
features that are incorporated into 5G
systems by design would provide a
significant advantage over any ‘‘built on
top of’’ system design. Since the service
and network architecture of 5G is going
through dramatic remodeling, the
commenter maintains it will ‘‘improve
the feature and competitive strength for
5G if security protection is included at
an early stage.’’
155. The view that security should be
a fundamental component in the design
of any new network architecture and
protocols is also shared by 5G Americas,
which underscores the heightened sense
that security is expected to take on as
new technology and services are
deployed. For example, 5G Americas
states that 5G systems are expected to
provide important applications such as
‘‘smart grids, telemedicine, industrial
control, public safety and automotive,
[which] have security requirements to
defend against intrusion and to ensure
uninterrupted operations.’’ Other
commenters offer additional examples
illustrating why it is appropriate and
important to build security elements
into considerations that go into
developing networks and devices. For
instance, AT&T notes a variety of
developments that will have security
implications: ‘‘machine to machine
communications will contemplate
energy optimization, reduced signaling,
and massive connectivity. With these
advancements, IoT [Internet of Things]
will become a reality. 5G systems will
be capable of supporting a range of
machine-to-machine services, from
connected cars to smart cities to
telemedicine and beyond.’’ Highly
secure 5G systems will be expected even
in times of stress. As FiberTower notes,
‘‘reliance on 5G will only increase in the
event of a man-made or naturally
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occurring outage in a critical service.’’
To support these needs, the Commission
believes 5G services will need to be
highly secure prior to deployment, and
the Commission thinks it reasonable
that the Commission be apprised of
security plans in place prior to 5G
services becoming operational.
156. Based on the Commission’s
analysis of the record, the Commission
can best facilitate adoption of securityby-design approaches by promoting an
open dialogue about security practices
that would be consistent with a
discussion at a standards organization.
Therefore, the Commission is asking to
receive from licensees—before they
begin operations—general statements, at
a level consistent with the open forum
standards body discussions, of their
plans for safeguarding their networks
and devices from security breaches.
Requiring licensees to submit that
information at that juncture creates an
incentive for them to engage in the
development of security measures at an
earlier stage. The specific information
that the Commission receives will also
facilitate the Commission’s ability to
help in identifying security risks,
including areas where more attention to
security may be needed, and in
disseminating information about
successful practices for addressing the
risks. Moreover, this approach avoids
the drawbacks of imposing prescriptive
security mandates—e.g., downsides
such as the likelihood that one size will
not fit all, the lack of agility in
responding to changing circumstances
and technologies, and the rigidity that
such mandates tend to introduce into
systems at the outset—thereby
preserving for operators, equipment
developers, and other interested parties
significant flexibilities for addressing
security concerns.
157. As described in detail below, the
provision that the Commission adopted
promotes ‘‘security-by-design’’
approaches within the mmW network
and product development environment,
in ways that should (i) minimally
impact (but appropriately enhance the
prospects for security ‘‘assurance’’)
ongoing design and development with
respect to this nascent technology, (ii)
facilitate integration of network and
product development with the timeline
for standards development, and (iii)
encourage early participation in and
monitoring of such standards
development. This provision—a
requirement that each licensee discuss
at a high level how confidentiality,
integrity, and availability principles are
reflected in its network security design
planning in a Statement submitted to
the Commission prior to commencing
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operations—should also help inform the
Commission’s collective understanding
and strategies for addressing security
issues in the next generation of
communications networks. More
specifically, the Commission is
requiring licensees to file a Statement
with the Commission within three years
after grant of the license, but no later
than six months prior to deployment.
This time period accords with the
Commission’s security-by-design goals
while leaving flexibility for licensees
depending on when they are able to
deploy service. The Statement must be
signed by a senior executive within the
licensee’s organization with personal
knowledge of the organization’s security
plans and practices, within the
licensee’s organization, and must
include, at a minimum, the following
elements:
• A high-level, general description of
the licensee’s security approach
designed to safeguard the planned
network’s confidentiality, integrity, and
availability with respect to
communications from: a device to the
licensee’s network; one element of the
licensee’s network to another element
on the licensee’s network; the licensee’s
network to another network; and device
to device (with respect to telephone
voice and messaging services).
• A high-level, general description of
the licensee’s anticipated approach to
assessing and mitigating cyber risk
induced by the presence of multiple
participants in the band. This should
include the high level approach taken
toward ensuring consumer network
confidentiality, integrity, and
availability security principles, which
are to be protected in each of the
following use cases: communications
between a wireless device and the
licensee’s network; communications
within and between each licensee’s
network; communications between
mobile devices that are under end-toend control of the licensee; and
communications between mobile
devices that are not under the end-toend control of the licensee.
• A high-level description of
cybersecurity standards and practices to
be employed, whether industryrecognized or related to some other
identifiable approach;
• A description of the extent to which
the licensee participates in standards
bodies or industry-led organizations
pursuing the development or
maintenance of emerging security
standards and/or best practices;
• The high-level identification of any
other approaches to security, unique to
the services and devices the licensee
intends to offer and deploy; and
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• Plans to incorporate relevant
outputs from Information Sharing and
Analysis Organizations (ISAOs) as
elements of the licensee’s security
architecture. Plans should include
comment on machine-to-machine threat
information sharing, and any use of
anticipated standards for ISAO-based
information sharing.
158. The intent of the disclosures is
to facilitate multi-stakeholder peer
review and earlier development of
devices and a commercially viable
market for the service. The Commission
recognizes that the Statements concern
the cybersecurity of the Commission’s
nation’s critical communications
infrastructure and, accordingly, the
content of the Statements should be at
a high-level and not include information
that, if publicly disclosed, would create
a significant risk to the security of this
infrastructure or related systems and
networks. The Commission also
recognizes that an entity’s cybersecurity
posture can be a competitive
differentiator and that unauthorized
disclosures of Statements containing
more detailed information could result
in competitive harm to the licensee.
Here again, the Commission concludes
that the Statements should not provide
information at a level of granularity that
its public disclosure would jeopardize
the competitive position of the licensee.
For example, the Commission expects
that these disclosures will contain
information that could be disclosed at a
standards meeting where stakeholders
gather to share ideas and information for
the purpose of advancing the state of the
art. If, however, licensees intend to
submit information that warrant
confidential treatment, they may seek
confidential treatment pursuant to the
Commission’s rules. Furthermore, the
information required to be submitted
under this rule as it relates to security
plans and practices will not be used for
the purpose of enforcing compliance
with the Communications Act or any of
the Commission’s rules, other than the
requirement of filing such Statements.
159. The Commission finds that
appropriate cybersecurity safeguards are
a fundamental part of the development
and deployment of mmW systems and
services contemplated by this Report
and Order. The reporting requirement
the Commission adopted will not only
help ensure that industry focuses the
necessary degree of attention throughout
these development and deployment
processes on the most effective ways to
include these safeguards at the earlier
possible points, but it will also keep the
Commission informed of the ongoing
progress in this area so the Commission
can provide timely, measured and
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effective responses to address any
emerging problems before they become
intractable. It will also be important to
consider how best to ensure that the
types of cyber safeguards that the
Commission encourages for the mmW
bands will be incorporated more
broadly into future so called 5G
networks and services. Consequently,
the Commission directs the OET, the
Public Safety and Homeland Security
Bureau (PSHSB), and the WTB to, by
not later than October 31, 2016, issue in
a separate docket a Notice of Inquiry
(NOI) exploring the security
implications and solutions in future 5G
networks, beyond the actions the
Commission took in this Report and
Order. The Commission believes this
NOI is an opportunity to look
holistically at the potential security
implications in future 5G networks
offering different types of services to
different types of users (e.g., wireless
broadband, low-data-rate IoT
applications, high-data-rate IoT
applications). It will also provide a
collaborative vehicle for exploring 5G
security-related threats, solutions, and
best practices in order to address the
implications more effectively. The NOI
is not intended to duplicate or replace
ongoing or future 5G security
architecture and 5G design work by
standards bodies, industry or academic
groups, but instead to facilitate common
appreciation across the 5G ecosystem
for the evolving security standards. The
NOI will also provide an opportunity for
stakeholders to identify new 5G issues
as new IoT functions are developed in
5G, and as national security, public
safety, critical infrastructure industries,
and consumers begin to understand the
implications and potential opportunities
of 5G.
G. Technical Rules
1. Flexible Duplexing Rules
160. Consistent with the
Commission’s proposal in the NPRM,
the Commission adopted flexible
duplexing rules for the 27.5–28.35 GHz,
37–38.6 GHz, and 38.6–40 GHz bands.
While the comments indicate that TDD
is the duplexing scheme licensees are
most likely to deploy in the bands, the
Commission sees no reason to prevent
them from using other technologies.
Therefore, the rules the Commission
adopted will allow any type of
duplexing to be deployed, subject to
other technical rules to manage
interference. The Commission also
adopted changes to the 39 GHz channel
plan, as discussed in more detail in
Section I.B.5 (39 GHz Band (38.6–40
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GHz)), which will accommodate more
flexible duplexing schemes.
2. Transmission Power Limits and
Antenna Height
a. Base Stations
161. The Commission believes that an
increase in the maximum base station
power from what the NPRM proposed is
necessary for two reasons. First, the 62
dBm/100 MHz EIRP power limit
proposed in the NPRM will limit
UMFUS base stations to a much lower
power density than is permitted for
other mobile services. For example,
Personal Communications Service (PCS)
and AWS base stations are permitted to
transmit at 62 dBm/MHz EIRP, which
would permit a total EIRP of 82 dBm for
a 100 MHz signal. The Commission sees
no reason why UMFUS should be
limited to a lower power density than
PCS and AWS. Second, the propagation
properties in the mmW band make
higher powers necessary. Signal
attenuation with distance is higher in
the mmW bands than at lower
frequencies and signals are more
severely attenuated due to obstacles
such as foliage and walls. As the
simulations submitted by commenters
illustrate, higher signal powers are
necessary to permit relatively modest
base station coverage areas and to
increase data throughput. Unnecessarily
limiting the base station power in the
mmW bands by applying the existing
part 27 base station limit could unduly
inhibit future technologies and
applications.
162. The Commission adopted a base
station power limit of 75 dBm/100 MHz
EIRP as the base station power limit for
the 28 GHz, the 37 GHz and 39 GHz
bands. For channel bandwidths less
than 100 megahertz the permitted EIRP
will be reduced below 75 dBm
proportionally and linearly based on the
bandwidth relative to 100 megahertz.
Because the technology for providing
mobile services in these bands is still
being developed, the appropriate
transmitted power requirements for this
equipment cannot be definitively
known at this time. This 75 dBm/100
MHz limit represents a consensus that
has been endorsed by the commenters
who have expressed an intention to
manufacture UMFUS equipment.
Therefore, the Commission is confident
that this power level will provide the
equipment manufacturers and future
licensees with the flexibility needed to
deploy service in these bands. Because
of the early stage of development of
UMFUS technology, the Commission
will monitor how this technology
develops and revisit the base station
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power limit in the future if it becomes
necessary.
163. The Commission is not
persuaded by those commenters who do
not favor increasing the base stations
power limit above the level proposed in
the NPRM. Boeing’s claim that the 75
dBm limit is inconsistent with the
operational range of 5G applications is
contradicted by the simulation results
that show the benefits of increasing the
maximum power beyond 62 dBm and
the consensus among equipment
manufacturers that 75 dBm is a
reasonable power limit for UMFUS base
stations. Furthermore, the Commission’s
rules for the 37.5–40.0 GHz band, about
which Boeing expresses sharing
concerns, limit the FSS to gateway-type
earth station operations and prohibit the
ubiquitous deployment of satellite earth
stations designed to serve individual
consumers. The Commission does not
believe that the higher power limit the
Commission is adopting will
significantly affect the limited gateway
FSS operations permitted in the band
because the Commission is providing a
means for gateway earth stations in the
band to obtain protection from
terrestrial transmissions. As for SES
Americom’s and Avanti’s concerns, the
Commission explained in Section
I.G.2.d. (Terrestrial Aggregate
Interference Concerns to FSS Satellite
Receivers in 28 GHz), that the
Commission does not believe the
Commission needs to take specific
action with respect to aggregate
interference to satellite receivers in the
28 GHz band at this time. The
Commission therefore will not unduly
restrict the development of UMFUS by
limiting the base station transmit power.
164. The Commission will not adopt
a different power limit for equipment
that is used to provide both mobile
services and backhaul. As the NPRM
noted, several commenters to the NOI
suggested that it might be feasible to
deploy such 5G equipment. The
Commission notes that those
commenters did not address this subject
in response to the NPRM and no other
commenters specifically request higher
power limits for such equipment. The
Commission believes that by adopting a
higher power limit for base stations than
proposed in the NPRM, the Commission
is also providing adequate power to
ensure successful deployment for
combined access/backhaul equipment.
In addition, the Commission will not
limit base station antenna height at this
time because no commenters address
the issue. Instead, the Commission shall
seek further comment on this topic in
the FNPRM.
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165. Compliance with the transmit
power limit shall be ascertained with
over the air measurement of EIRP of the
device under test (DUT). As Qualcomm
has stated, mmW devices are being
designed with an array of multiple
antennas employing dynamic
beamforming and that these designs
make verification of transmitter power,
EIRP, and antenna gain challenging. In
this early stage of mmW development,
compliance testing will be challenging
because of lack of test equipment and/
or facilities that can accurately measure
over the air EIRP of the DUT and the
need to account for the introduction of
antenna arrays and beamforming. Even
so, OET has issued a number of
Knowledge Database (KDB) publications
that delineate measurement procedures
for testing of antenna arrays.10
Moreover, OET will address the further
development of mmW measurement
procedures with input from industry
stakeholders and other interested parties
and issue further KDB guidance.
b. Mobile Stations
166. As proposed in the NPRM, the
Commission adopted a 43 dBm EIRP
maximum mobile power limit in the
27.5–28.35 GHz, 37–38.6 GHz, and
38.6–40 GHz bands. The simulations
and analyses by commenters indicate
that this power level will be sufficient
to provide the expected range and data
rates. In addition, the power level is
consistent with the Commission’s rules
for part 15 devices in the 57–64 GHz
band that have been in place since 1995.
The Commission is also encouraged by
the strong support for this power limit,
especially from commenters who
indicate that they will manufacture
equipment for these bands.
10 See Federal Communications Commission,
Office of Engineering and Technology, Laboratory
Division, Emissions Testing of Transmitters with
Multiple Outputs in the Same Band (October 31,
2013) and MIMO with Cross-Polarized Antenna
(October 25, 2011) (https://apps.fcc.gov/kdb/Get
Attachment.html?id=B0ZQiTBTVsn3P3wZ2WdqhQ
%3D%3D and https://apps.fcc.gov/kdb/Get
Attachment.html?id=i%2BFRza%2B2Hh0pf
9nHJHJGHw%3D%3D). The Commission notes that
OET has developed a substantial body of additional
guidance that is available via public notices,
frequently asked questions (FAQ’s), and specific
process guidance that is compiled in our online
Knowledge Database (KDB). Equipment
authorization topics that relate to new services and
devices authorized by the Commission are often
addressed in the KDB. This includes, for example,
simple answers to questions, guidance on how to
file for authorization of new types of devices, and
guidance on how to conduct rule compliance
testing. The staff guidance provided in the KDB is
intended to assist the public in following
Commission requirements. The guidance is not
binding on the Commission and will not preclude
the Commission from making a different decision
in any matter that comes to its attention for
resolution.
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167. The Commission notes that
UMFUS devices will be expected to
comply with the Commission’s rules
regarding radiofrequency radiation
exposure in addition to complying with
the 43 dBm EIRP limit the Commission
adopted. These radiofrequency radiation
exposure rules specify more stringent
exposure limits for devices that are
designed to be used within 20
centimeters of the user’s body. The
Commission recognizes that such
devices may have to limit their transmit
power below the 43 dBm limit to meet
exposure limits.
c. Transportable Stations
168. The Commission agrees with the
majority of commenters that there is a
need for an additional class of
transportable stations requiring a
maximum allowable power limit higher
than the 43 dBm adopted for mobile
user equipment stations. Higher power
for such devices will increase range,
enable higher data rates and provide for
better coverage throughout buildings,
which will allow consumers flexibility
in installation locations to provide
service where needed. These devices
could be used to provide residential
broadband service, which as the
simulation results provided by Nokia
illustrate will benefit from a higher
transmit power than the Commission is
allowing for mobile stations. The
Commission adopted a 55 dBm EIRP
maximum power limit for this for this
class of equipment, which the
Commission shall refer to as
transportable stations. This 55 dBm
limit represents a consensus that has
been endorsed by commenters who have
expressed an intention to manufacture
UMFUS equipment. The Commission
notes that in adopting this higher power
limit for transportable stations that such
devices will be expected to comply with
the Commission’s rules regarding
radiofrequency exposure.
169. No commenter has proposed a
definition of transportable devices for
purposes of the Commission’s rules.
However, the terminology that most
commenters have used suggests that
such devices will be stationary while
operating. Therefore, the Commission
shall define a transportable device as
transmitting equipment that is not
intended to be used while in motion,
but rather at stationary locations. The
Commission believes this definition is
appropriate because it will exclude
portable devices that are meant to be
carried by people while operating such
as mobile phones or smart phones from
transmitting at the higher power level.
One commenter has suggested that these
transportable devices could be built into
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vehicles, which implies that they
should be permitted to operate while in
motion. The Commission has chosen
not to expand the Commission’s
definition to include devices in moving
vehicles because such devices in general
will not need to transmit signals that
penetrate walls and therefore will not
require more power than mobile
devices.
d. Terrestrial Aggregate Interference
Concerns to FSS Satellite Receivers in
28 GHz
170. The analyses, provided by
commenters, leads us to conclude that
specific technical limits on UMFUS
stations are not necessary at this time to
address aggregate interference. As
discussed in more detail below, the
information in the record shows a wide
disparity between assumptions and
illustrates that much work must be done
to accurately model mmW systems and
the effects that these systems might have
on co-channel satellite receivers. As a
result, the Commission does not want to
unduly restrict the development and
growth of UMFUS unless the
Commission has adequate evidence that
actual harm will occur. The
Commission does not believe the record
demonstrates that there is a risk of
interference to satellites from aggregate
interference caused by UMFUS stations.
Consequently, the Commission will not
adopt a limit on aggregate skyward
interference from 28 GHz band UMFUS
stations or require that UMFUS stations
employ specific techniques to reduce
skyward emissions. The Commission
observes that features such as antenna
downtilt, suppression of sidelobes and
adaptive power control will occur
naturally because they are inherent
characteristics of anticipated 5G
technologies.
171. The analyses provided by the
satellite operators are based on very
conservative assumptions and provide
for a worst case scenario regarding
aggregate interference from future
terrestrial networks. For example, the
satellite analyses appear to assume
terrestrial devices will continuously
operate at maximum power levels and
do not account for the fact that many
UMFUS deployments will occur
indoors. Most of the satellite analyses
assume all terrestrial devices will be
line of sight to the satellites with the
exception of the analysis submitted
jointly by the Satellite Operators, which
assumes only a 9.6 dB attenuation for a
90% non-line of sight scenario. These
analyses also assume a ¥12.2 dB
interference criteria, which the Joint
Filers point out has been under past
review in language reflected in a
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Conference Preparatory Meeting report
to WRC–15. The Joint Filers also note
that some system parameters provided
by Satellite Industry Association (SIA),
such as satellite noise and receive beam
gain, are based on the most sensitive
projections about future, planned
satellite network deployments, not
necessarily satellite networks that
currently exist.
172. While the Joint Filer’s simulation
results are not based on as conservative
assumptions as the satellite operators,
they vividly illustrate how the
assumptions made can lead to vastly
different conclusions. Assumptions
such as the antenna pattern of the
UMFUS devices, how many of the
devices are line of sight to the satellites,
the characteristics of the satellites, and
the satellite interference criteria clearly
can make an enormous difference in the
number of devices that may transmit
without interference occurring. Given
that mmW technology is just being
developed and the deployment
scenarios of these devices are uncertain,
many of these assumptions are
speculative at this point and any
conclusions that can be drawn from
analyses or simulations at this point are
necessarily tentative. The Commission
also observes that no information has
been submitted into the record as to
how terrestrial licensees would
demonstrate compliance with a limit on
aggregate energy at each satellite or each
point in the sky. While the Commission
concludes that the various studies
submitted by the parties do not support
establishment of an aggregate
interference limit or adoption of specific
technical requirements to reduce
skyward emissions, they do indicate the
need for additional study on the effect
of aggregate interference on satellite
receivers. The Commission expects that
the parties will continue to study this
issue and inform the Commission of the
outcome. The Commission will revisit
this issue if additional information
comes to the Commission’s attention
suggesting that regulatory requirements
are necessary.
3. Out-of-Band Emission Limits
a. Use of Conductive Emission Limits
173. One of the implications of
requiring an EIRP metric for the OOBE
limit is that a transmitter has to meet the
limit along the maximum EIRP
direction. This makes meeting the
radiative OOBE limit particularly
challenging, as recognized by the
commenters. In the mmW band,
transmitters require higher gain
antennas to compensate for significantly
higher propagation losses and
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consequently the antennas will, in
general, have much smaller beamwidth,
as compared to other lower band mobile
systems. As a result, OOBE of mmW
transmitters have highly directive
characteristics, concentrating the
transmission power along a narrow
beam in the direction of maximum
EIRP. Furthermore, because the beam is
narrow and because a transmitter needs
to track the relative movement of its
intended receiver in order to maintain
the communication link, the OOBE of
the mmW transmitter should be
spatially averaged over the path of the
receiver to reflect the spatially transient
nature of the transmitter OOBE. In this
regard, Qualcomm states that, ‘‘based on
its simulations to date, the average
interference from a mobile and a basestation/small cell with a steerable/
selectable array is very different and
variable when compared to a fixed link.
With mobile operations, the interference
impact differs from fixed links due to
the dynamic nature of the array, for it
points in different directions as mobile
users move and are served.’’ The
Commission believes these features of
the mmW spectrum make the OOBE
limit in the maximum EIRP direction
less significant and a spatially averaged
OOBE limit more appropriate. One way
to spatially average OOBE of a
transmitter is to determine its out of
band TRP or by extension of its out of
band conductive power.11 To set forth a
more suitable OOBE metric that reflects
the aforementioned features of mmW
band, the Commission should express
the OOBE limit as an equivalent
conductive limit. An equivalent
conductive limit is consistent with the
OOBE rule for other mobile systems.
174. Compliance with a conductive
OOBE limit in the mobile mmW systems
will be the same as other mobile
systems where access to the antenna RF
port(s) is available. Where access to the
RF port(s) is not available, a somewhat
more complicated process is necessary.
For each frequency (or band), an
emission measurement of the DUT must
be performed along the direction of the
maximum EIRP. The EIRP measurement
value is then adjusted for the antenna
gain along the same direction as the
measured EIRP and at the same
frequency (or band) to obtain a
conductive OOBE power of the device.
This process needs to be performed for
11 TRP of a transmitter is closely related to its’
conductive power. In fact, TRP is product of
antenna radiation efficiency, er, and conductive
power P (TRP =erP and depending on antenna
efficiency TRP can be virtually the same as the
conductive power P. See W.L. Stutzman and Gary
A. Thiele, Antenna Theory and Design, 2013,
equations 13–40 and 2–155.
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both polarization and, the respective
conductive OOBE power summed, to
obtain the total conductive OOBE power
of the device. To obtain the antenna
gain, licenses should use a validated
antenna pattern computation,
manufacturer supplied antenna pattern,
or any other approach acceptable to the
Commission as may be described in
OET’s KDB publications. The
Commission recognizes that under
certain circumstances the DUT antenna
may interact with its supporting
structure sufficiently enough that the
interaction may require consideration
through simulation or by an additional
measurement step. One way to identify
such circumstances may be through the
antenna pattern validation step. Other
means of identifying and considering
such circumstances may be described in
OET’s KDB publications.
175. With respect to TRP, TRP
measurement requires EIRP
measurement of the device under test
around spherical surface of the device
for both polarizations, and as a result it
can be time consuming and difficult. A
reverberation chamber is deemed to be
one of the most practical means of TRP
measurement. However, as noted by
Straight Path, TRP measurement in a
reverberation chamber requires
conducted power measurement of
power amplifiers. Straight Path further
argues that given that in many cases 5G
transceiver power amplifiers and
antennas may be integrated on a single
printed circuit board, it is unclear how
conducted measurement can be
achieved for transceivers. Moreover,
even if access to RF ports were to be
made available, a conductive
measurement would be far easier and
economical to perform than TRP, as no
over the air measurement would be
required for conductive measurement.
However, given that a number of
commenters have requested TRP as a
metric for OOBE, and given that TRP is
a spatial averaging method, the
Commission will allow TRP as the
alternate metric for compliance. As
there are no TRP measurement
procedures currently defined, new
measurement procedures will be
developed through the FCC Laboratory’s
KDB process.
176. In the NPRM the Commission
proposed a radiated OOBE limit that
requires licensees to attenuate their
unwanted radiated emission power
below the transmission power (P) by a
factor of at least 43 + 10log10(P) per MHz
(or an absolute power of ¥13 dBm/
MHz) for any emissions on frequencies
outside the licensee’s authorized
spectrum. This radiated OOBE limit is
consistent with the conductive OOBE
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limit that the Commission has generally
required for other mobile systems. In
addition, a number of commenters state
that using TRP as a metric the proposed
OOBE attenuation factor or absolute
power of ¥13dBm/MHz would be
feasible. For these reasons the
Commission has set the OOBE limit for
both conductive metric and TRP metric
to ¥13 dBm/MHz. This may be used as
a basis for developing further
requirements that relate to transmitter
performance by industry standard
organizations. This limit applies to base
stations, transportable, and mobile
stations.
177. With respect to dBr radiated
emission mask, the mask is significantly
more relaxed than the ¥13 dBm/MHz
absolute limit that a number of
commenters support. In addition, the
Commission finds that the equivalent
conductive limit (or alternatively TRP)
is the appropriate metric for OOBE in
this band. For these reasons, the
Commission declines to adopt the dBr
radiated emission mask that Qualcomm
proposes.
b. Licensed Block Edge Region
178. The Commission agrees with
Ericsson, and some of the other
commenters that a bandwidthdependent unwanted emission
requirement at the first megahertz
adjacent to the licensed block
discriminates against broadband
systems. However, a bandwidthindependent unwanted emission
requirement at the channel edge may
not be sufficient for very large
bandwidth channels, or may not be
spectrally efficient for narrowband
channels. As it is difficult at this
nascent stage of mmW development to
anticipate the future channel
configuration of this technology, the
Commission is relaxing the emission
requirement at the channel edge
dependent on channel bandwidth, so as
to provide for the greatest latitude for
channel configuration. For the first 10
percent of the channel bandwidth from
the edge of the licensed block, the
Commission requires an emission level
of ¥5 dBm/MHz. Beyond the first 10
percent of the channel bandwidth, the
Commission requires an emission level
of ¥13 dBm/MHz. These requirements
exceed Intel’s request over the first 10
percent of the channel bandwidth
immediately outside and adjacent to the
licensee’s frequency block. The
permissible out of band power under
these emission limits are higher than
Nokia and Sprint recommendations over
the first 10 percent of the channel
bandwidth, but lower than Samsung’s
recommendations. Overall, the
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Commission believes these
requirements balance the various
comments on record.
4. Interference Protection and
Coordination
a. Coordination and Field Strength
Limits at Market Borders
i Base/Mobile Operations
179. The Commission agrees with the
majority of commenters that some
criteria is necessary at market
boundaries to manage interference and
coordination between adjacent area
licensees. The Commission also believes
that given the wide channel bandwidths
and diversity of potential applications
that might be deployed in these bands,
any criteria that the Commission adopts
should include a scaling factor for the
bandwidth. Therefore, the Commission
will adopt a PFD limit/MHz that base
operations must meet at the licensee’s
market boundary, absent a mutual
agreement between adjacent market
licensees to exceed that value.
180. The Commission continues to
believe that the 47dBuV/m field
strength value that the Commission
proposed in the NPRM is an appropriate
basis on which to set a PFD limit for the
mmW bands. This is the same limit that
has been successfully used in the PCS,
AWS, and BRS bands. However, the
Commission notes that a field strength
of 47dBuV/m results in a very
conservative absolute power limit
because field strength does not take into
consideration the bandwidth and
frequency components. Therefore, the
Commission believes it is appropriate to
convert a 47dBuV/m field strength to a
PFD limit in terms of dBm/m2/MHz for
the mmW bands. Looking again at the
AWS, PCS, and BRS bands, the
Commission notes that the equivalent
PFD based on a 47dBuV/m field
strength is within the range of ¥76 to
¥81 dBm/m2/MHz depending on what
bandwidth is assumed. The Commission
observes that these values bound the
¥77.6 dBm/m2/MHz PFD limit
proposed by the joint filers. The
Commission also recognizes that these
values are higher than the ¥86 dBm/
m2/MHz PFD proposed by Straight Path
and the ¥90.3 dBm/m2/MHz PFD
proposed by Intel. However, the
Commission notes that Straight Path
assumed an interference criteria of ¥10
dB I/N. In recent rulemakings the
Commission has assumed an
interference criteria of 0 dB I/N.
Adjusting Straight Path’s proposed limit
to provide a 0dB I/N as opposed to a
¥10dB I/N yields a market boundary
limit of ¥76 dBm/m2/MHz. The
Commission also notes that Intel’s
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proposed PFD was based on worst case
assumptions about the receive antenna
gain, citing that the base station would
have a gain of 29.1 dB in the direction
of the interfering source. The
Commission believes that this
assumption is overly conservative. For
example, the joint filers stated that a
lower antenna gain is typically
computed in the simulation towards the
earth station since the receive beam is
pointed in the direction of the
transmitting UE, and it is statistically
unlikely to coincide with the direction
towards the earth station. Thus, on
balance, the Commission believes that
adopting a ¥77.6 dBm/m2/MHz PFD
limit as suggested by the joint filers, will
protect terrestrial facilities in adjacent
market areas from interference in a
variety of different terrestrial to
terrestrial use cases as well as the earth
station to terrestrial scenario. Therefore,
the Commission will adopt a market
border PFD limit of ¥77.6 dBm/m2/
MHz measured at 1.5 meters above
ground. The Commission emphasizes
that this level is intended to be a
coordination trigger and that adjacent
licensees are free to coordinate mutually
agreed upon limits that exceed this
value along their common market
boundaries. The Commission will also
reserve the right to revisit the market
border PFD limit in the future if it
becomes necessary as technology and
services develop in these bands.
ii. Fixed Point-to-Point Operations
181. The Commission agrees with
Skyriver that a field strength limit
would not be appropriate for fixed
point-to-point operations because it
would require large power reductions
by fixed service providers. The
Commission will retain the existing part
101 technical rules for traditional fixed
point-to-point links. As such, the
Commission believes that it is also
appropriate to retain the existing
requirement that fixed point-to-point
operations within 16 kilometers (in the
38.6–40 GHz band) or 20 kilometers (in
the 27.5–28.35 GHz band) of a licensee’s
market boundary must coordinate with
co-channel licensees in adjacent market
areas. With respect to Sprint’s
suggestion that the Commission impose
a coordination requirement for adjacent
channel licensees; in light of the OOBE
limits that the Commission adopted, the
Commission does not believe that any
additional coordination requirement is
necessary for adjacent channel
operation.12 The Commission seeks
12 The Commission also notes that Sprint’s
assumption that ULS contains current station
information is not entirely correct. While ULS does
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comment on further refining these
coordination requirements in the
FNPRM.
b. Canadian and Mexican Borders
182. In the NPRM, the Commission
proposed to adopt a rule for the 27.5–
28.35 GHz, 37–38.6 GHz, and 38.6–40
GHz bands similar to § 101.147(r)(13),
101.509(d), or 27.57 of the
Commission’s rules which provide that
fixed and mobile operations are subject
to existing and future international
agreements with Mexico and Canada.
The Commission noted that there are
existing arrangements for fixed
operations in the 27.5–28.35 GHz and
38.6–40.0 GHz bands between the
United States and Canada. The
Commission also noted that mmW
operations must not cause harmful
interference across any of the
Commission’s international borders. No
parties filed comments with respect to
this proposal.
183. Consistent with the
Commission’s rules for other services,
the Commission adopted a rule that the
27.5–28.35 GHz, 37–38.6 GHz, and
38.6–40 GHz bands are subject to
existing and future agreements with
Mexico and Canada.
5. Operability
184. The Commission adopted its
proposal to require operability across
each millimeter wave band for mobile
and transportable equipment. The
Commission continues believe that
interoperability delivers important
benefits to consumers. While there is
significant opposition in the record to
an interoperability requirement, no
commenter offered specific reasons why
the type of operability proposed in the
NPRM would be either technically
infeasible or harmful as a policy matter
in these bands. In addition, much of the
opposition in the record appears to be
based on an interpretation of an
interoperability requirement that the
Commission did not propose. The
Commission therefore concludes that
the benefit to consumers outweighs the
burden to manufacturers in this regard.
185. Specifically, the Commission
requires that any mobile or
transportable device designed to operate
within the 28 GHz band (27.5 GHz–
28.35 GHz) be capable of operating at all
frequencies within the 28 GHz band, on
each air interface it uses to operate in
the 28 GHz band, and similarly that a
contain some information on leased links there is
no requirement for licensees to report all fixed
point-to-point links operating under their
geographic licenses. Therefore the ULS database is
an incomplete record of the existing point-to-point
links.
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device operating in the 37 or 39 GHz
bands be capable of operating at all
frequencies within those bands (37
GHz–40 GHz). For example, a device
that uses an LTE air interface to operate
in a lower frequency band, and a future
5G air interface to operate in the 28 GHz
band, would be compliant with this
requirement if it could operate on
frequencies from 27.5 GHz to 28.35 GHz
using the 5G air interface.
186. For the purposes of this
requirement, for the 37 GHz and 39 GHz
bands, a device operating in either band
must be capable of operating across the
entirety of both bands, from 37 GHz to
40 GHz (including the 37–37.6 MHz
lower block). This requirement will
increase the market for equipment in
these bands, and allow both smaller and
larger service providers to benefit from
economies of scale and increased
equipment availability. Mandating
operability will also facilitate shared use
of the 37 GHz band by ensuring that a
wide variety of equipment is available
by both Federal agencies and nonFederal SALs.
187. The Commission emphasizes that
it will not mandate compatibility of
each device with all possible air
interfaces to be used in these bands, as
some commenters interpreted. Rather,
the Commission will mandate that with
each air interface used by a particular
device in a millimeter wave band, that
device must be capable of operating
across the entire band. The Commission
does not adopt any requirement that a
device must be capable of utilizing any
particular standard, technology, or air
interface. Additionally, while the
Commission does not require
operability of base or fixed equipment,
it is its expectation that licensees will
work in good faith through the
standards setting process to develop
standards, as technically feasible, that
support the operation of base and fixed
equipment across each band.
6. Technical Rules for Part 15 Operation
Within the 64–71 GHz Band
188. The Commission is adopting
requirements for unlicensed operations
in the 64–71 GHz band that are based
on the technical standards used for the
57–64 GHz band under § 15.255 of the
Commission’s rules. Part 15 of the
Commission’s regulations permits the
operation of radio frequency (RF)
devices without an individual license
from the Commission or the need for
frequency coordination. The technical
standards contained in part 15 are
designed to ensure that there is a low
probability that such devices will cause
harmful interference to other users of
the radio spectrum. Except for operating
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on-board aircraft or satellites, and in
mobile field disturbance sensor
applications, any type of unlicensed
operation is permitted within the 57–64
GHz band under § 15.255 of the
Commission’s rules.13
189. Suitability of the Existing Rules
in Section 15.255 to the 64–71 GHz
Band. In the NPRM, the Commission
proposed to apply the existing rules in
§ 15.255 to the 64–71 GHz band with
some adjustments, and sought
comments on certain aspects of the rules
to further the growth and development
of devices without increasing the
potential for harmful interference to
authorized users in the bands.
Proponents of unlicensed operations
unanimously support the proposal to
extend the technical rules in § 15.255 to
cover the entire 57–71 GHz band.
Google argues that harmonized rules for
the frequencies between 57 and 71 GHz
will allow economies of scale and other
efficiencies, thereby facilitating rapid
and widespread deployment of
unlicensed devices; the Wi-Fi Alliance
confirms that extending part 15 rules to
the 64–71 GHz band would greatly
enhance the capacity of next-generation
WiGig technologies.’’ The Commission
finds that the existing technical rules in
the 57–64 GHz band can successfully
apply to the proposed 64–71 GHz
adjacent band, with certain adjustments,
as the Commission examines the
pertinent rules in detail below.
a. Operation On-Board Aircraft
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190. The Commission is reluctant to
allow 60 GHz unlicensed operations onboard aircraft in the 57–71 GHz band at
the present time. In the NPRM, the
Commission did not propose to permit
unlicensed operations on-board aircraft
but sought to start the discussion to
compile a comprehensive record on this
subject. The Commission noted, there
are substantial technical disagreements
between the passive services licensees
and the WiGig industry regarding the
attenuation provided by aircraft
components (e.g., windows and
fuselage) and how WiGig signals would
propagate (e.g., by direct line-of-sight or
reflections, etc.) and aggregate. The
Commission further observes that even
among the WiGig industry advocates,
there is technical disagreement. For
example, ZII, a wireless inflight
13 A field disturbance sensor is defined as ‘‘a
device that establishes a radio frequency field in its
vicinity and detects changes in that field resulting
from the movement of persons or objects within its
range.’’ 47 CFR 15.3(l). Examples of unlicensed
field disturbance sensors include radars operating
under 47 CFR 15.252 or 15.256; and perimeter
protection systems operating under 47 CFR
15.209(g) or 15.229.
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entertainment services and products
provider, opposes on-board aircraft
operation of WiGig devices in the 64–71
GHz band at the present time due to its
findings of potential harmful
interference to passive services above 63
GHz despite its financial interest in
providing these services. Conversely,
the Wi-Fi Alliance’s analysis found no
harmful interference to EESS and RAS
in the entire 57–71 GHz spectrum. The
Commission also finds that the studies
and technical analyses submitted in the
record are not persuasive for several
reasons. First, the CEPT ECC and ITU
reports do not address the 60 GHz band,
but cover lower frequencies. Second, the
various link budget analyses from the
industry (e.g., from ZII and Wi-Fi
Alliance) do not show a technical
consensus, at least for a portion of the
proposed 57–71 GHz band, and cast
doubt on the validity of certain
assumptions used to derive these link
budgets. Third, since the collaboration
effort between the WiGig industry and
NTIA/NSF/JPL (Jet Propulsion
Laboratory) has not yet resolved many
issues, as indicated by NRAO, a
decision on the Commission’s part at
this time could prejudge the outcome of
that work. Finally, the Commission
notes that 60 GHz transmitters in mobile
devices are only just beginning to be
marketed, and the impact of their
deployment in real-world scenarios will
require time to be assessed adequately.
Further, the technology will continue to
evolve to address signal propagation
challenges in the mmW spectrum such
that analyses of WiGig transmissions onboard aircraft could change
substantially once the Commission has
wide deployments.
191. The Commission finds that
further technical analyses and data are
necessary before lifting the present
operation restriction because the record
so far did not reflect a clear perspective
of the types of WiGig applications
envisioned on-board aircraft, the
priority/order of their planned
introduction, etc., to provide an
adequate assessment of their associated
potential harmful interference profile as
the Commission elaborates further in
the FNPRM to seek additional
information on this topic, infra.
Specifically, the Commission requests
sharing studies and data demonstrating
that 60 GHz transmitters could operate
on-board aircraft without causing
harmful interference to passive sensor
services in various types of inflight
applications and on various types of
aircraft.
192. Finally, the Commission finds
that as long as the Commission does not
permit 60 GHz operations on-board
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aircraft, the airlines (who control the
aircraft) would not install access points
operating at 60 GHz on airplanes to
provide entertainment/broadband
services to WiGig user devices. Without
the presence of 60 GHz access points,
the potential for widespread airborne
WiGig transmissions is removed. The
Commission also expects
manufacturers/host integrators of WiGig
transmitters that are incorporated into
mobile devices, such as laptops, to
provide instructions to end users
regarding the prohibition of operating
such transmitters’ on-board aircraft, in
compliance with the Commission’s
rules as part of the equipment
authorization process. Consequently,
end users will be aware of this rule to
avoid device-to-device transmissions.
Based on the above, the Commission is
extending the restriction on on-board
aircraft operation in § 15.255(a)(1) to
cover the entire 57–71 GHz band.
b. Field Disturbance Sensor Operation
193. The Commission is reluctant at
this time to lift the restriction on mobile
field disturbance applications in the 60
GHz spectrum. At this time, the
Commission does not have sufficient
information about the operation of these
mobile field disturbance sensors in this
spectrum to allow general operation of
all mobile field disturbance sensors.
However, the Commission finds that the
narrow application of mobile radars in
short-range devices for interactive
motion sensing, such as that described
in Google’s Project Soli,—where a radar
is used to detect hand gestures very
close to a device to control the device
without touching it—could be allowed
without causing harmful interference to
other authorized users. As a first
cautious step, the Commission will not
permit these devices to operate at the
same power levels as 60 GHz
communications devices in this
spectrum, as Google requests, but will
allow these short-range devices to
operate at the same low power levels as
those permitted in existing fixed field
disturbance sensors (i.e., 10 dBm peak
EIRP and ¥10 dBm peak transmitter
conducted output power, approximately
30 dB below the allowable power levels
of WiGig communications devices).
These power levels will ensure that the
mobile radars will operate at very short
distances—such as using hand gestures
to control a watch, a smartphone’s or
tablet’s screen—which will minimize
their harmful interference potential. As
the Commission acquires more
experience with these devices, the
Commission may consider allowing
them higher power levels in the future.
Accordingly, the Commission is
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c. Emission Limits
195. The Commission declines to
increase the EIRP limits for low-power
networking indoor and outdoor 60 GHz
transmitters by a factor of 10 as
requested by commenters. The
Commission notes that the existing
generous average and peak EIRP limits
were adopted based on the very high
oxygen attenuation in the 57–64 GHz
band, which would ensure that
unlicensed transmitters operating in this
band do not cause harmful interference
to other authorized services. The
Commission further notes that the
Commission proposed the same
emission limits for the 64–71 GHz band,
despite the fact that this band does not
exhibit the same atmospheric
attenuation characteristics, which
would enable equipment operating in
the proposed 64–71 GHz band at the
same emission levels to effectively
provide longer range and higher data
throughput. The Commission finds that
keeping the same emission limits in the
absence of high oxygen attenuation in
the 64–71 GHz band effectively provides
an increase in power. No additional
increase is necessary at this time and
the Commission is amending the EIRP
limits for 60 GHz transmitters in
§ 15.255 to apply across the 57–71 GHz
band.
have been operating without causing
harmful interference to RAS by their
harmonic signals. This indicates that the
Commission’s spurious emission limits
in § 15.255 for transmitters operating in
the existing 57–64 GHz band are
adequate for protecting these passive
services. Thus, the Commission is
concerned with the potential effect of
the harmonics of fundamental signals in
the proposed 64–71 GHz band. The
Commission observes at the outset that
the existing spurious emission limit in
§ 15.255, at 90 pW/cm2, is extremely
low as compared to the spurious limit
adopted for other unlicensed
transmitters operating in comparative
spectrum, such as the 76–77 GHz,
which, at 600 pW/cm2, is more than 6
times higher than the spurious limit in
§ 15.255.
197. While acknowledging that
attenuation effects due to oxygen
become much less pronounced in the
64–71 GHz band as compared to the 57–
64 GHz band, the Commission finds that
interference to RAS stations is unlikely
for the following reasons. First, RAS
receivers discriminate against off-axis
signals, are generally located in rural
and remote areas, and radio astronomy
observatories typically have control over
access to a distance of one kilometer
from the telescopes to provide
protection from interference caused by
uncontrolled radio frequency
interference (RFI) sources. Second, the
severe propagation losses of RF signals
in the 64–71 GHz band, their ability to
be blocked easily by terrain and
obstacles, and the typically directional
emissions of transmitters at these
frequencies limit any potential for
interference from fundamental
emissions to a short distance (e.g., 100–
200 meters). Third, spurious and
harmonic emissions generally roll off
(i.e., reduce in amplitude) the further
they are in frequency from the
fundamental emission; therefore, if
fundamental emissions are severely
attenuated, harmonics would be affected
proportionally. Based on all these
factors, the Commission finds that
spurious and harmonic emissions of 57–
71 GHz unlicensed transmitters at the
very low limit of 90 pW/cm2 in § 15.255
would not cause harmful interference to
RAS operations. Accordingly, the
Commission is amending the spurious
emission rule in § 15.255 to apply across
the 57–71 GHz band.
d. Spurious Emissions
196. The Commission observes that
since the Commission first adopted part
15 rules for unlicensed operation in the
57–64 GHz band in the 1995–2000 time
frame, 60 GHz unlicensed transmitters
e. Publicly-Accessible Coordination
Channel
198. Section 15.255(d) sets aside a
publicly-accessible coordination
channel in the 57.00–57.05 GHz band,
in which only spurious emissions and
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amending § 15.255 to permit the
operation of short-range devices for
interactive motion sensing at 10 dBm
peak EIRP and ¥10 dBm peak
transmitter conducted output power
over the entire 57–71 GHz band.
194. With respect to fixed field
disturbance sensors, the Commission
finds that these devices can continue to
operate under the technical rules in
§ 15.255, as they have successfully done
over the years, and that these rules may
be extended to the 64–71 GHz band
without increasing the potential for
harmful interference to communication
devices in the band. This would result
in their wider usage in wireless factory
automation processes in manufacturing
facilities, such as those mentioned by
Boeing. Accordingly, the Commission is
amending § 15.255 to allow the
operation of fixed field disturbance
sensors over the entire 57–71 GHz band
at the existing power limits permitted in
the 57–64 GHz band (i.e., 10 dBm peak
EIRP and ¥10 dBm peak transmitter
conducted output power).
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emissions related to coordination
techniques regarding interference
management between diverse, noninteroperable, transmitters are
permitted. The Commission observed in
the NPRM that with recent technological
advances and industry standardization,
co-existence between 60 GHz devices is
better resolved by voluntary standards
than by a coordination channel
requirement in the rules, and proposed
to remove this requirement.
Commenters unanimously agree with
the Commission’s assessment and
support the elimination of this
requirement to free a 50-megahertz
swath of spectrum for communications
usage. Accordingly, the Commission is
removing the requirement for a
publicly-accessible coordination
channel from § 15.255.
f. Conducted Transmitter Output Power
199. Section 15.255(e) limits the peak
transmitter conducted output power of
57–64 GHz unlicensed devices to 500
mW (i.e., 27 dBm) for transmitters with
an emission bandwidth of at least 100
MHz, and is reduced for systems that
employ narrower bandwidths.
200. The Commission declines to
remove this requirement. The reason for
limiting the peak transmitter conducted
output power while allowing very high
EIRP limits (in this case, 40 dBm (10W)
average/43 dBm (20W) peak) for an
unlicensed transmitter is to ensure that
the transmitter antenna beamwidth is
kept sufficiently narrow to avoid
causing harmful interference to other
users in the band and to minimize the
risk of RF exposure to humans.
Accordingly, the Commission denies
NCTA’s request and amend the peak
transmitter conducted output power
requirement in § 15.255 to apply across
the 57–71 GHz band.
g. Frequency Stability
201. Section 15.255(f) requires that
fundamental emissions be contained
within the 57–64 GHz frequency band
during all conditions of operation; and
that equipment be able to operate over
the temperature range ¥20 to +50
degrees Celsius with an input voltage
variation of 85% to 115% of rated input
voltage. In the NPRM, the Commission
proposed to apply the same
requirements to transmitters operating
in the 64–71 GHz band. No party objects
to this proposal. Accordingly, the
Commission is amending § 15.255 to
apply across the 57–71 GHz band.
h. Co-Location of Separately-Authorized
Transmitters
202. Section 15.255(h) allows group
installation of transmitters that have
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been tested separately for compliance
with the rules and received separate
equipment authorizations, as long as no
transmitter in the group is equipped
with external phase-locking inputs that
permit beam-forming arrays to be
realized. In the NPRM, the Commission
indicated that this requirement seeks to
prevent the possibility of producing a
high-power coherent beam from discrete
transmitters that have not been tested
for compliance together. This could lead
to non-compliance with the emission
limits but it does not preclude the use
of advanced antenna technologies with
beam-forming arrays in any transmitter,
as long as the emissions in any array
configuration comply with the emission
and RF exposure limits. The
Commission proposed to apply the same
requirement to equipment operating in
the 64–71 GHz band. No party objects to
this proposal. Accordingly, the
Commission is amending § 15.255 to
apply across the 57–71 GHz band.
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7. Equipment Authorization
203. The OET was delegated authority
by the Commission to administer the
equipment authorization program for RF
devices under part 2 of its rules. All RF
devices subject to equipment
authorization must comply with the
Commission’s rules prior to importation
or marketing, by being tested for
compliance with the applicable
technical requirements, using
measurement procedures that either
follow guidance issued by OET through
its KDB publications, or have been
found to be acceptable to the
Commission in accordance with § 2.947
of the rules.
a. Measurement Techniques
204. In the NPRM, the Commission
recognized that there are some unique
technical challenges specific to
demonstrating compliance for the
purpose of equipment authorization of
millimeter wave devices. The
Commission sought comments on a
variety of challenges involved with
measurements of in-band, out-of-band
and spurious emissions. As discussed,
supra, a number of parties discuss the
measurement challenges concerning
emission limit metrics. For example,
certain parties oppose using EIRP as the
metric for measuring OOBE limits,
proposing instead a different metric
using TRP, claiming consistency with
recent academic research for multipleinput, multiple-output (MIMO) antenna
arrays. However, TRP is not presently
part of the Commission’s measurement
procedure guidance for devices using
MIMO antennas. Commenters
recommend that the Commission
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continue to provide guidance on
acceptable new measurement
procedures via OET’s KDB publications.
Commenters also recognize that 5G
technology is in the early stages of
equipment design and development so
it is difficult at this point in time to
identify all of the potential compliance
and measurement challenges.
205. The Commission finds that the
mmW technology will continue to
evolve to address various technical
challenges in this spectrum (with
respect to propagation, interference
protection, modulation techniques,
transmission security, etc.), and pending
new measurement equipment
availability to cover the entire mmW
spectrum that the Commission is
making available for the next generation
of wireless services herein, mmW
measurement procedures are best
developed by OET with the
participation of interested parties. The
Commission expects that OET will
provide guidance on various acceptable
measurement techniques for mmW
devices through its KDB publications as
products are developed.
b. RF Exposure Compliance
206. (RF) exposure compliance is an
ongoing requirement for all transmitters
authorized by the Commission. In the
NPRM, the Commission proposed to
similarly require compliance with the
Commission’s general RF exposure
limits in §§ 1.1307(b), 2.1091 and 2.1093
of the rules for equipment operating in
the UMFUS. While the Commission
sought comment on this proposal
alongside some of the other relevant
technical challenges unique to
compliance demonstration for devices
envisaged to be operating under the
UMFUS, the Commission acknowledged
in the NPRM that any issues raised
involving the present exposure limits
themselves would be considered in the
context of the Commission’s separate
proceeding on this particular issue.
207. With respect to the rules specific
to UMFUS in part 30 of the
Commission’s rules, the Commission
adopts the paragraph the Commission
proposed in the NPRM that requires
compliance with the Commission’s
general RF exposure limits in
§§ 1.1307(b), 2.1091 and 2.1093 of the
rules. The comments from industry
advocate adopting alternative exposure
limits, which the Commission continues
to view as beyond the scope of this
proceeding, and that will be considered
in a separate proceeding. The
Commission is not changing its
fundamental exposure limits at this time
in light of the devices to be expected
under the UMFUS rules. More
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specifically, the Commission is not
modifying its specified SAR values as a
primary exposure limit between 100
kHz and 6 GHz, and the Commission
will continue to use the specified MPE
power density limit as a primary
exposure limit above 6 GHz.
208. The Commission recognizes that
there is a discontinuity at 6 GHz
resulting from the fact that the
Commission’s rules do not specify a
spatial averaging area (an area over
which to average power density) or a
spatial peak power density above 6 GHz
that is consistent with the Commission’s
localized (over 1 gram) specific
absorption rate (SAR) below 6 GHz. At
lower frequencies for sources at least 20
cm from the body, spatial averaging over
the entire body has been acceptable.
However, both IEEE and International
Commission on Non-Ionizing Radiation
Protection (ICNIRP) have recognized
that at higher frequencies spatial
averaging areas need to be smaller. Of
these specifications, the smaller and
more conservative area is by ICNIRP,
which has specified a spatial averaging
area of 20 cm2 above 10 GHz. While the
Commission notes this as an apparently
reasonable requirement the Commission
is not suggesting any particular changes
to the Commission’s evaluation
procedures at this time. The
Commission will separately consider
the broader questions of the RF
exposure limits and how they should be
applied in the Commission’s RF Inquiry.
In the meantime, as the Commission
acknowledged in the NPRM, specific
guidance on evaluating devices
operating in this service will be issued
by OET, and it is consistent with the
Commission’s existing discussions on
spatial averaging to further clarify
guidance on an area over which to
average power density in the
Commission’s KDB publications
through that process. Finally, the
Commission acknowledges the
variations between standards pointed
out by the MMF and encourage further
efforts on the specific issue of localized
millimeter wave exposure by the
standards setting bodies and the broader
research community.
H. Other Allocation Issues
209. The Commission deletes the
broadcasting and broadcasting-satellite
service allocations from the 42 GHz
band to better protect the radio
astronomy observations of the 42.5–43.5
GHz band from out-of-band emissions.
Further, the ubiquitous nature of the
BSS and the broadcasting service would
likely interfere with ubiquitous mobile
deployment in similar ways to a
ubiquitous fixed service deployment. As
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previously noted, the BSS also poses an
interference risk to adjacent RAS
services. Nevertheless, the BSS will still
retain 1.5 gigahertz of spectrum in the
40.5–42 GHz band for its future
operations.
210. The Commission also declines to
adopt its proposal to allocate the 42 GHz
band for FSS downlink operations.
Given the Commission’s decision to
grant FSS enhanced access to the 37.5–
40 GHz band, and the fact that FSS has
access to the 40.5–42 GHz band, the
Commission find there is less reason to
further expand FSS operations to the 42
GHz band. The Commission believes
there is value in potentially having an
UMFUS band available for exclusive
terrestrial use, and the Commission
addresses this issue in the companion
FNPRM.
II. Procedural Matters
Final Regulatory Flexibility Analysis
211. As required by the Regulatory
Flexibility Act of 1980, as amended
(RFA), the Commission incorporated an
Initial Regulatory Flexibility Analysis
(IRFA) of the possible significant
economic impact on a substantial
number of small entities by the policies
and rules proposed in the NPRM. No
comments were filed addressing the
IRFA. Because the Commission amends
the rules in this Report and Order, the
Commission has included this Final
Regulatory Flexibility Analysis (FRFA)
which conforms to the RFA.
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1. Need for, and Objectives of, the
Proposed Rules
212. In the attached Report and Order,
the Commission increases the Nation’s
supply of spectrum for mobile
broadband by adopting rules for fixed
and mobile services in the 27.5–28.35
GHz band (28 GHz band), the 38.6–40
GHz band (39 GHz band), and the 37–
38.6 GHz band (37 GHz band). The
Commission also authorizes unlicensed
operation pursuant to part 15 of its rules
in the 64–71 GHz band. These bands are
known collectively as the ‘‘mmW
bands.’’
213. Until recently, the mmW bands
were generally considered unsuitable
for mobile applications because of
propagation losses at such high
frequencies and the inability of mmW
signals to propagate around obstacles.
As increasing congestion has begun to
fill the lower bands and carriers have
resorted to smaller and smaller
microcells in order to re-use the
available spectrum, however, industry is
taking another look at the mmW bands
and beginning to realize that at least
some of its presumed disadvantages can
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be turned to advantage. For example,
short transmission paths and high
propagation losses can facilitate
spectrum re-use in microcellular
deployments by limiting the amount of
interference between adjacent cells.
Furthermore, where longer paths are
desired, the extremely short
wavelengths of mmW signals make it
feasible for very small antennas to
concentrate signals into highly focused
beams with enough gain to overcome
propagation losses. The short
wavelengths of mmW signals also make
it possible to build multi-element,
dynamic beam-forming antennas that
will be small enough to fit into
handsets—a feat that might never be
possible at the lower, longer-wavelength
frequencies below 6 GHz where cell
phones operate today.
214. In the 28 GHz, 39 GHz, and 37
GHz bands, the Commission creates a
new radio service in a new rule part that
will authorize fixed and mobile
services—the part 30 Upper Microwave
Flexible Use Service. This additional
spectrum for mobile use will help
ensure that the speed, capacity, and
ubiquity of the nation’s wireless
networks keeps pace with the
skyrocketing demand for mobile service.
It will also make possible new types of
services for consumers and businesses.
215. The service rules the
Commission adopted make additional
spectrum available for flexible use. In
creating service rules for these bands,
which include technical rules to protect
against harmful interference, licensing
rules to establish geographic license
areas and spectrum block sizes, and
performance requirements to promote
robust buildout, the Commission
advances toward enabling rapid and
efficient deployment. The Commission
does so by providing flexible service,
technical, assignment, and licensing
rules for this spectrum, except where
special provisions are necessary to
facilitate shared use with other coprimary users.
216. For the 28 GHz 37 GHz, and 39
GHz bands, the Commission proposes to
assign licenses by competitive bidding
using counties as the area for geographic
area licensing in the 28 GHz band and
in a portion of 37 GHz band (37–37.6
GHz). The Commission will award PEAbased licenses by competitive bidding
for the 39 GHz and the upper portion of
the 37 GHz band (37.6–38.6 GHz). In the
37–37.6 GHz band, the Commission has
created a 600 MHz shared access space
with rule-based, non-interfering Shared
Access Licenses (SALs) which will
share the band with Federal fixed and
mobile operations. SAL licensees are
not guaranteed spectrum access or
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interference protection from individual
licensees. The Commission believes this
system at 37 GHz will create an
innovative shared space that can be
used by a wide variety of Federal and
non-Federal users, by new entrants and
by established operators—and small
businesses in particular—to experiment
with new technologies in the mmW
space and innovate.
217. At the same time, because the 28
GHz, 39 GHz, and 37 GHz bands are
shared with satellite services, the
Commission has taken steps to facilitate
sharing with satellite uses in ways that
are consistent with fixed and mobile use
of the bands. Specifically, the
Commission concludes the Commission
will authorize a limited number of
satellite earth stations to operate on a
co-primary basis—one in each county
for the 28 GHz band and one in each
PEA in the 37.5–40 GHz band—on a
first-come, first-served basis. In the 28
GHz band the Commission will
grandfather pre-existing satellite earth
stations in any county into a local
interference zone with the right to
operate under the terms of their existing
authorizations. These FSS earth stations
must comply with certain enumerated
conditions to obtain an authorization for
their specific locations, including
coordinating their operations with any
existing mmW licensees to ensure noninterference between the services.
Additional earth stations can be located
if the FSS operator acquires a part 30
license, reaches a contractual agreement
with the part 30 licensee, or agrees to
operate on a secondary basis.
218. Overall, the new provisions the
Commission is adopting are designed to
allow licensees to choose their type of
service offerings, to encourage
innovation and investment in mobile
and fixed use in this spectrum, and to
provide a stable regulatory environment
in which fixed, mobile, and satellite
deployment will be able to develop
through the application of flexible rules.
The market-oriented licensing
framework for these bands will ensure
that this spectrum is efficiently utilized
and will foster the development of new
and innovative technologies and
services, as well as encourage the
growth and development of a wide
variety of services, ultimately leading to
greater benefits to consumers.
2. Summary of Significant Issues Raised
by Public Comments in Response to the
IRFA
219. No comments were filed in direct
response to the IRFA.
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3. Response to Comments by the Chief
Counsel for Advocacy of the Small
Business Administration
220. Pursuant to the Small Business
Jobs Act of 2010, which amended the
RFA, the Commission is required to
respond to any comments filed by the
Chief Counsel for Advocacy of the Small
Business Administration (SBA), 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.
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4. Description and Estimate of the
Number of Small Entities to Which the
Proposed Rules Will Apply
221. 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 and policies, if
adopted. 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
SBA.
222. Small Businesses, Small
Organizations, and Small Governmental
Jurisdictions. The Commission’s action
may, over time, affect small entities that
are not easily categorized at present.
The Commission therefore describes
here, at the outset, three comprehensive,
statutory small entity size standards.
First, nationwide, there are a total of
approximately 28.2 million businesses,
99.7 percent of which are small,
according to the SBA. In addition, a
‘‘small organization’’ is generally ‘‘any
not-for-profit enterprise which is
independently owned and operated and
is not dominant in its field.’’
Nationwide, as of 2007, there were
approximately 1,621,315 small
organizations. Finally, the term ‘‘small
governmental jurisdiction’’ is defined
generally as ‘‘governments of cities,
towns, townships, villages, school
districts, or special districts, with a
population of less than fifty thousand.’’
Census Bureau data for 2011 indicate
that there were 89,476 local
governmental jurisdictions in the
United States. The Commission
estimates that, of this total, as many as
88,506 entities may qualify as ‘‘small
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governmental jurisdictions.’’ Thus, the
Commission estimates that most
governmental jurisdictions are small.
223. Wireless Telecommunications
Carriers (except satellite). The
appropriate size standard under SBA
rules is for the category Wireless
Telecommunications Carriers. Under
that size standard, such a business is
small if it has 1,500 or fewer employees.
Census Bureau data for 2012, show that
there were 967 firms in this category
that operated for the entire year. Of this
total, 955 had employment of 999 or
fewer, and 12 firms had employment of
1,000 employees or more. Thus under
this category and the associated small
business size standard, the Commission
estimates that the majority of wireless
telecommunications carriers (except
satellite) are small entities that may be
affected by the Commission’s action.
224. Fixed Microwave Services.
Microwave services include common
carrier, private-operational fixed, and
broadcast auxiliary radio services. They
also include the Local Multipoint
Distribution Service (LMDS), the Digital
Electronic Message Service (DEMS), the
39 GHz Service (39 GHz), the 24 GHz
Service, and the Millimeter Wave
Service where licensees can choose
between common carrier and noncommon carrier status. At present, there
are approximately 61,970 common
carrier fixed licensees, 62,909 private
and public safety operational-fixed
licensees, 20,349 broadcast auxiliary
radio licensees, 412 LMDS licenses, 35
DEMS licenses, 870 39 GHz licenses,
and five 24 GHz licenses, and 408
Millimeter Wave licenses in the
microwave services. The Commission
has not yet defined a small business
with respect to microwave services. For
purposes of the FRFA, the Commission
will use the SBA’s definition applicable
to Wireless Telecommunications
Carriers (except satellite)—i.e., an entity
with no more than 1,500 persons is
considered small. Under that size
standard, such a business is small if it
has 1,500 or fewer employees. Census
Bureau data for 2012, show that there
were 967 firms in this category that
operated for the entire year. Of this
total, 955 had employment of 999 or
fewer, and 12 firms had employment of
1,000 employees or more. Thus under
this category and the associated small
business size standard, the Commission
estimates that the majority of wireless
telecommunications carriers (except
satellite) are small entities that may be
affected by the Commission’s proposed
action. The Commission notes that the
number of firms does not necessarily
track the number of licensees. The
Commission estimates that virtually all
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of the Fixed Microwave licensees
(excluding broadcast auxiliary
licensees) would qualify as small
entities under the SBA definition.
225. Satellite Telecommunications
and All Other Telecommunications.
Two economic census categories
address the satellite industry. The first
category has a small business size
standard of $32.5 million or less in
average annual receipts, under SBA
rules. The second also has a size
standard of $32.5 million or less in
annual receipts.
226. The category of Satellite
Telecommunications ‘‘comprises
establishments primarily engaged in
providing telecommunications services
to other establishments in the
telecommunications and broadcasting
industries by forwarding and receiving
communications signals via a system of
satellites or reselling satellite
telecommunications.’’ Census Bureau
data for 2012 show that 333 Satellite
Telecommunications firms operated for
that entire year. Of this total, 275 firms
had annual receipts of under $10
million, and 58 firms had receipts of
$10 million to $24,999,999.
Consequently, the Commission
estimates that the majority of Satellite
Telecommunications firms are small
entities that might be affected by the
Commission’s action.
227. The second category, i.e., ‘‘All
Other Telecommunications,’’ comprises
‘‘establishments primarily engaged in
providing specialized
telecommunications services, such as
satellite tracking, communications
telemetry, and radar station operation.
This industry also includes
establishments primarily engaged in
providing satellite terminal stations and
associated facilities connected with one
or more terrestrial systems and capable
of transmitting telecommunications to,
and receiving telecommunications from,
satellite systems. Establishments
providing Internet services or voice over
Internet protocol (VoIP) services via
client-supplied telecommunications
connections are also included in this
industry.’’ For this category, Census
Bureau data for 2012 show that there
were a total of 1442 firms that operated
for the entire year. Of this total, 1400
firms had annual receipts of under $25
million, and 42 firms had annual
receipts of $25 million to $49, 999,999.
Consequently, the Commission
estimates that the majority of All Other
Telecommunications firms are small
entities that might be affected by the
Commission’s action.
228. Radio and Television
Broadcasting and Wireless
Communications Equipment
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Manufacturing. The proposed rules
relating to part 15 operation pertain to
manufacturers of unlicensed
communications devices. 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 firms in this category,
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, 784 had less than 500
employees and 155 had more than 100
employees. Thus, under this size
standard, the majority of firms can be
considered small.
5. Description of Projected Reporting,
Recordkeeping, and Other Compliance
Requirements
229. The projected reporting,
recordkeeping, and other compliance
requirements proposed in the Report
and Order will apply to all entities in
the same manner. The revisions the
Commission adopts should benefit
small entities by giving them more
information, more flexibility, and more
options for gaining access to wireless
spectrum.
230. Any applicants for Upper
Microwave Flexible Use Service
licenses will be required to file license
applications using the Commission’s
automated Universal Licensing System
(ULS). ULS is an online electronic filing
system that also serves as a powerful
information tool, one that enables
potential licensees to research
applications, licenses, and antenna
structures. It also keeps the public
informed with weekly public notices,
FCC rulemakings, processing utilities,
and a telecommunications glossary.
Upper Microwave Flexible Use Service
applicants that must submit long-form
license applications must do so through
ULS using Form 601, FCC Ownership
Disclosure Information for the Wireless
Telecommunications Services using
FCC Form 602, and other appropriate
forms.
231. Licensees in the Upper
Microwave Flexible Use Service will be
subject to performance requirements
based on a series of metrics, tailored to
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each type of service a licensee may
offer. Accordingly, mobile services will
be required to provide service to 40
percent of the population of their
license area by the end of their initial
license terms. Geographic area licensees
providing Fixed Service in the 28 GHz,
37 GHz and 39 GHz will be required to
construct and operate at least 15 links
per million persons in the population.
Satellite operators will be able to meet
their build-out requirement by
deploying an operational earth station
in the license area that provides service.
Licensees deploying a mix of such
services will be able to choose which
performance metric—or combination
thereof—they desire to meet.
Performance will be assessed on a
license area basis, regardless of license
area size. For the 28 GHz band, licenses
will terminate automatically if a
licensee fails to meet the applicable
performance requirements. For
geographic area licenses in the 37 and
39 GHz bands, licensees will have the
option of partitioning their licenses on
a county basis to come into compliance
with the relevant performance metric.
Licensees will be required to provide
information to the Commission on the
facilities they have constructed, the
nature of the service they are providing,
and the extent to which they are
providing coverage in their license area,
to both facilitate sharing with other
authorized services and to enable
accurate assessment of their
performance. Incumbent licensees will
be granted time to transition to these
new performance requirements. FSS
operators will have to coordinate their
operations with any existing mmW
licensees to ensure non-interference
between the services.
232. New licensees will also be
required, within three years after
receiving their licenses but no later than
six months prior to deployment, to file
with the Commission a security
statement signed by a senior licensee
executive with personal knowledge of
the licensee’s security plans and
practice, which must include, at a
minimum, the following elements: (1) A
high-level, general description of the
licensee’s security approach designed to
safeguard the planned network’s
confidentiality, integrity, and
availability with respect to
communications from: A device to the
licensee’s network; one element of the
licensee’s network to another element
on the licensee’s network; the licensee’s
network to another network; and device
to device (with respect to telephone
voice and messaging services); (2) a
high-level, general description of the
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licensee’s approach to assessing and
mitigating cyber risk induced by the
presence of multiple participants in the
band. This should include the high level
approach taken toward ensuring
consumer network confidentiality,
integrity, and availability security
principles, which are to be protected in
each of the following use cases:
Communications between a wireless
device and the licensee’s network;
communications within and between
each licensee’s network;
communications between mobile
devices that are under end-to-end
control of the licensee; and
communications between mobile
devices that are not under the end-toend control of the licensee; (3) a highlevel description of relevant
cybersecurity standards and practices to
be employed, whether industryrecognized or related to some other
identifiable approach; (4) a description
of the extent to which the licensee
participates with standards bodies or
industry-led organizations pursuing the
development or maintenance of
emerging security standards and/or best
practices; (5) the high-level
identification of any other approaches to
security, unique to the services and
devices the licensee intends to offer and
deploy; and (6) plans to incorporate
relevant outputs from Information
Sharing and Analysis Organizations
(ISAOs) as elements of the licensee’s
security architecture. Plans should
include comment on machine-tomachine threat information sharing.
233. All of the filing, recordkeeping
and reporting requirements associated
with the demands described above,
including professional, accounting,
engineering or survey services used in
meeting these requirements will be the
same for large and small businesses that
intend to utilize these new UMFUS
licenses, but as described below, several
steps have been taken that will alleviate
burdens on small businesses in
particular.
6. Steps Taken To Minimize Significant
Economic Impact on Small Entities, and
Significant Alternatives Considered
234. The RFA requires an agency to
describe any significant alternative that
it has considered in reaching its
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
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use of performance, rather than design,
standards; and (4) an exemption from
coverage of the rule, or any part thereof,
for small entities.
235. As noted above, the various
construction and performance
requirements and their associated
showings will be the same for large and
small businesses that license the Upper
Microwave Flexible Use Service bands.
To the extent the same cost of
complying with these burdens is
relatively greater for smaller businesses
than for large ones, these costs are
necessary to effectuate the purpose of
the Communications Act, namely to
further the efficient use of spectrum and
to prevent spectrum warehousing.
Likewise compliance with the
Commission’s service and technical
rules and coordination requirements are
necessary for the furtherance of the
Commission’s goals of protecting the
public while also providing interference
free services. Large and small businesses
must therefore comply with these rules
and requirements, but the Commission
has taken steps to alleviate the burden
on small businesses that seek to comply
with these requirements, as discussed
below.
236. The Report and Order provides
that in the 28 GHz, 37 GHz and 39 GHz
bands, mmW licensees will have the
flexibility to provide any fixed or
mobile service that is consistent with
their spectrum allocation. This breaks
with the recent past in which licensees
were limited to only single use licenses
in these bands, and such new flexibility
benefits small businesses by giving them
more avenues for gaining access to
valuable wireless spectrum. In addition,
licensees will be able to make a showing
based on a combination of fixed and
mobile service, simplifying this process
for all licensees including small
businesses. The Commission has also
extended the existing renewal deadlines
for incumbent licensees in the 28 and 39
GHz bands, giving these licensees,
including small businesses in these
bands, additional time until 2024 to
meet the performance requirements
pertaining to their current licenses.
237. Furthermore, the license areas
chosen in the Report and Order should
provide spectrum access opportunities
for smaller carriers by giving them
access to less densely populated areas
that match their footprints. For example,
the Report and Order transitions the 28
GHz band from being licensed on the
BTA basis to a much smaller license
area—counties. Similarly, the
Commission transitions the 39 GHz
band from being licensed via Economic
Areas (‘‘EAs’’) to the smaller Partial
Economic Areas (‘‘PEAs’’). The
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Commission also uses PEAs for the 37
GHz band, which will be newly
licensed. The Commission abandons its
proposed ‘‘hybrid licensing scheme’’ in
the 37 GHz band and has instead opted
to use geographic area licensing with
PEAs in the upper 37.6–38.6 GHz
portion with county-based licensing in
the lower band (37.0–37.6 GHz). Finally,
the Commission has created an
unlicensed space in the 64–71 GHz
band. However, the Report and Order
also permits partitioning and
disaggregation by licensees in the mmW
bands. While PEAs and counties are
small enough to provide spectrum
access opportunities for smaller carriers
and PEAs could even be further
disaggregated, these units of area also
nest within and may be aggregated to
form larger license areas. Therefore, the
benefits and burdens resulting from
assigning spectrum in PEA and county
license areas are equivalent for small
and large businesses. The 400 MHz
shared space the Commission has
created in the lower 37 GHz band (37.0–
37.6 GHz) should also provide ease-ofentry and plenty of space for
opportunistic and innovative uses that
could be developed by small businesses.
These rules should enable providers, or
any entities large or small providing
service in the mmW bands, to more
easily adjust their spectrum holdings
and build their networks pursuant to
individual business plans. The
Commission believes this should result
in small businesses having an easier
time acquiring or accessing spectrum.
238. Licensees may also adjust their
geographic coverage through auction in
those areas where the Commission is
permitting geographic area auctions or
through the secondary markets. The
Report and Order concludes it will
auction licenses in the mmW bands in
conformity with the general competitive
bidding rules set forth in part 1, subpart
Q, of the Commission’s rules, and
substantially consistent with the
competitive bidding procedures that
have been employed in previous
auctions. The procedures the
Commission has adopted contain
provisions to assist small entities in
competitive bidding. The Commission
will employ the part 1 rules governing
competitive bidding design, designated
entity preferences, unjust enrichment,
application and payment procedures,
reporting requirements, and the
prohibition on certain communications
between auction applicants.
Furthermore, qualifying ‘‘small
businesses’’—those with gross revenues
for the preceding three years not
exceeding $55 million—will be
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79929
provided with a bidding credit of 15
percent, and ‘‘very small businesses’’—
those with average annual gross
revenues for the preceding three years
not exceeding $20 million—with a
bidding credit of 25 percent. Providing
small businesses and very small
businesses with bidding credits will
provide an economic benefit to small
entities by making it easier for small
entities to acquire spectrum or access to
spectrum in these bands.
239. Furthermore, the Report and
Order provides for licensing of this
spectrum under market-oriented rules.
This includes applying the
Commission’s secondary market
policies and rules to all transactions
involving the use of mmW bands, which
will provide greater predictability and
regulatory parity with bands licensed
for mobile broadband service. These
rules should make it easier for mmW
providers to enter secondary market
arrangements involving use of their
spectrum. The secondary market rules
apply equally to all entities, whether
small or large. As a result, the
Commission believes that this will
provide an economic benefit to small
entities by making it easier for entities,
whether large or small, to enter into
secondary market arrangements for
mmW spectrum.
240. The Report and Order also
adopts an operability requirement such
that any device designed to operate
within the 37 GHz and 39 GHz bands
(37–40 GHz) must be capable of
operating on all frequencies within
those bands. This operability
requirement will ensure that devices
developed for the geographic area
licensed portion of the band will also
operate in the innovation shared space,
making it easier for smaller businesses
with fewer resources to find equipment
that can operate across multiple bands.
The technical rules in the Report and
Order will also allow licensees of the
mmW spectrum to operate while
protecting licensees in nearby spectrum
from harmful interference, some of
whom may be small entities.
241. Finally, the proposals to facilitate
satellite service in the 28 GHz and 37.5–
40 GHz bands should also assist small
satellite businesses.
7. Federal Rules That May Duplicate,
Overlap, or Conflict With the Proposed
Rules
242. None.
J. Ordering Clauses
243. Accordingly, it is ordered,
pursuant to Sections 1, 2, 3, 4, 5, 7, 10,
201, 225, 227, 301, 302, 302a, 303, 304,
307, 309, 310, 316, 319, 332, and 336 of
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the Communications Act of 1934, 47
U.S.C. 151, 152, 153, 154, 155, 157, 160,
201, 225, 227, 301, 302, 302a, 303, 304,
307, 309, 310, 316, 319, 332, 336,
Section 706 of the Telecommunications
Act of 1996, as amended, 47 U.S.C.
1302, and § 1.411 of the Commission’s
Rules, 47 CFR 1.411, that this Report
and Order and Further Notice of
Proposed Rulemaking is hereby
adopted.
244. It is further ordered pursuant to
section 4(i) of the Communications Act
of 1934, 47 U.S.C. 154(i), that the
Commission’s Consumer and
Governmental Affairs Bureau, Reference
Information Center, shall send a copy of
this Report and Order and Further
Notice of Proposed Rulemaking,
including the Final and Initial
Regulatory Flexibility Analysis, to the
Chief Counsel for Advocacy of the Small
Business Administration.
245. It is further ordered that the
petition for rulemaking filed by the
Fixed Wireless Communications
Coalition (RM–11664) is denied with
respect to the 42–42.5 GHz band.
246. It is further ordered that the
Commission shall send a copy of this
Report and Order and Further Notice of
Proposed Rulemaking to Congress and
the Government Accountability Office
pursuant to the Congressional Review
Act, see 5 U.S.C. 801(a)(1)(A).
List of Subjects in 47 CFR Parts 1, 2, 15,
25, 30 and 101
Communications common carriers,
Communications equipment, Reporting
and recordkeeping requirements.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
Final Rules
For the reasons discussed in the
preamble, the Federal Communications
Commission amends 47 CFR parts 1, 2,
15, 25, 30 and 101 as follows:
PART 1—PRACTICE AND
PROCEDURE
1. The authority citation for part 1 is
revised to read as follows:
■
Authority: 47 U.S.C. 151, 154(i), 154(j),
155, 157, 160, 201, 225, 227, 303, 309, 332,
1403, 1404, 1451, 1452, and 1455.
2. Section 1.907 is amended by
revising the definitions for ‘‘Wireless
Radio Services’’ and ‘‘Wireless
Telecommunications Services’’ to read
as follows:
■
§ 1.907
Definitions.
*
*
*
*
*
Wireless Radio Services. All radio
services authorized in parts 13, 20, 22,
24, 26, 27, 30, 74, 80, 87, 90, 95, 96, 97
and 101 of this chapter, whether
commercial or private in nature.
Wireless Telecommunications
Services. Wireless Radio Services,
whether fixed or mobile, that meet the
definition of ‘‘telecommunications
service’’ as defined by 47 U.S.C. 153, as
amended, and are therefore subject to
regulation on a common carrier basis.
Wireless Telecommunications Services
include all radio services authorized by
parts 20, 22, 24, 26, 27, and 30 of this
chapter. In addition, Wireless
Telecommunications Services include
Public Coast Stations authorized by part
80 of this chapter, Commercial Mobile
Radio Services authorized by part 90 of
this chapter, common carrier fixed
microwave services, Local Television
Transmission Service (LTTS), Local
Multipoint Distribution Service (LMDS),
and Digital Electronic Message Service
(DEMS), authorized by part 101 of this
chapter, and Citizens Broadband Radio
Services authorized by part 96 of this
chapter.
3. Section 1.1307 is amended by
adding an entry for ‘‘Upper Microwave
Flexible Use Service (part 30)’’ above
the entry for ‘‘Radio Broadcast Services
(part 73)’’ in Table 1 in paragraph (b)(1)
and revising paragraph (b)(2)(i) to read
as follows:
■
§ 1.1307 Actions that may have a
significant environmental effect, for which
Environmental Assessments (EAs) must be
prepared.
*
*
*
(b) * * *
(1) * * *
*
*
TABLE 1—TRANSMITTERS, FACILITIES AND OPERATIONS SUBJECT TO ROUTINE ENVIRONMENTAL EVALUATION
Service (title 47 CFR rule part)
*
Upper Microwave
Service (part 30).
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*
Evaluation required if:
*
Flexible
Use
*
*
*
*
*
Non-building-mounted antennas: Height above ground level to lowest point of antenna <10 m and power
>1640 W EIRP.
Antennas are mounted on buildings.
*
*
(2)(i) Mobile and portable transmitting
devices that operate in the Commercial
Mobile Radio Services pursuant to part
20 of this chapter; the Cellular
Radiotelephone Service pursuant to part
22 of this chapter; the Personal
Communications Services (PCS)
pursuant to part 24 of this chapter; the
Satellite Communications Services
pursuant to part 25 of this chapter; the
Miscellaneous Wireless
Communications Services pursuant to
part 27 of this chapter; the Upper
Microwave Flexible Use Service
pursuant to part 30 of this chapter; the
Maritime Services (ship earth stations
only) pursuant to part 80 of this chapter;
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*
*
the Specialized Mobile Radio Service,
the 4.9 GHz Band Service, or the 3650
MHz Wireless Broadband Service
pursuant to part 90 of this chapter; the
Wireless Medical Telemetry Service
(WMTS), or the Medical Device
Radiocommunication Service
(MedRadio) pursuant to part 95 of this
chapter; or the Citizens Broadband
Radio Service pursuant to part 96 of this
chapter are subject to routine
environmental evaluation for RF
exposure prior to equipment
authorization or use, as specified in
§§ 2.1091 and 2.1093 of this chapter.
*
*
*
*
*
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*
*
4. Section 1.9001 is amended by
revising paragraph (a) to read as follows:
■
§ 1.9001
Purpose and scope.
(a) The purpose of part 1, subpart X
is to implement policies and rules
pertaining to spectrum leasing
arrangements between licensees in the
services identified in this subpart and
spectrum lessees. This subpart also
implements policies for private
commons arrangements. These policies
and rules also implicate other
Commission rule parts, including parts
1, 2, 20, 22, 24, 25, 27, 30, 80, 90, 95,
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14NOR3
Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
and 101 of title 47, chapter I of the Code
of Federal Regulations.
*
*
*
*
*
■ 5. Section 1.9005 is amended by
revising paragraphs (hh) through (kk)
and adding paragraph (ll) to read as
follows:
§ 1.9005
Included services.
*
*
*
*
(hh) The Multipoint Video
Distribution and Data Service (part 101
of this chapter);
(ii) The 700 MHz Guard Bands
Service (part 27 of this chapter);
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VerDate Sep<11>2014
19:34 Nov 10, 2016
Jkt 241001
(jj) The ATC of a Mobile Satellite
Service (part 25 of this chapter);
(kk) The 600 MHz band (part 27 of
this chapter); and
(ll) The Upper Microwave Flexible
Use Service (part 30 of this chapter).
PART 2—FREQUENCY ALLOCATIONS
AND RADIO TREATY MATTERS;
GENERAL RULES AND REGULATIONS
6. 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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Fmt 4701
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79931
7. Section 2.106 is amended as
follows:
■ a. Pages 55, 57, 58, and 61 are revised.
■ b. In the list of United States (US)
Footnotes, footnote US151 is added.
■ c. In the list of Non-Federal
Government (NG) Footnotes, footnote
NG63 is added.
The revisions and additions read as
follows:
■
§ 2.106
*
*
Table of Frequency Allocations.
*
*
BILLING CODE 6712–01–P
E:\FR\FM\14NOR3.SGM
14NOR3
*
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79932
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Table of Frequency Allocations
27-34.7 GHz (SHF/EHF)
Region 1 Table
27-27.5
FIXED
INTER-SATELLITE 5.536
MOBILE
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27.5-28.5
FIXED 5.537A
FIXED-SATELLITE (Earth-to-space) 5.484A 5.516B 5.539
MOBILE
Federal Table
27-27.5
FIXED
INTER-SATELLITE 5.536
MOBILE
27.5-30
Page 55
United States Table
Non-Federal Table
27-27.5
Inter-satellite 5.536
27.5-29.5
FIXED
FIXED-SATELLITE (Earth-to-space)
MOBILE
PO 00000
Frm 00040
5.538 5.540
28.5-29.1
FIXED
FIXED-SATELLITE (Earth-to-space) 5.484A 5.516B 5.523A 5.539
MOBILE
Earth exploration-satellite (Earth-to-space) 5.541
RF Devices (15)
RF Devices (15)
Satellite
Communications (25)
Upper Microwave Flexible
Use (30)
Fixed Microwave (101)
Fmt 4701
Sfmt 4725
5.540
29.1-29.5
FIXED
FIXED-SATELLITE (Earth-to-space) 5.516B 5.523C 5.523E 5.535A 5.539 5.541A
MOBILE
Earth exploration-satellite (Earth-to-space) 5.541
E:\FR\FM\14NOR3.SGM
5.540
29.5-29.9
FIXED-SATELLITE (Earth-to-space)
5.484A 5.516B 5.539
Earth exploration-satellite
(Earth-to-space) 5.541
Mobile-satellite (Earth-to-space)
29.5-29.9
FIXED-SATELLITE (Earth-to-space)
5.484A 5.516B 5.539
MOBILE-SATELLITE
(Earth-to-space)
Earth exploration-satellite
(Earth-to-space) 5.541
14NOR3
5.525 5.526 5.527 5.529 5.540
5.542
5.540 5.542
29.9-30
FIXED-SATELLITE (Earth-to-space) 5.484A 5.516B 5.539
MOBILE-SATELLITE (Earth-to-space)
Earth exploration-satellite (Earth-to-space) 5.541 5.543
29.5-29.9
FIXED-SATELLITE (Earth-to-space)
5.484A 5.516B 5.539
Earth exploration-satellite
(Earth-to-space) 5.541
Mobile-satellite (Earth-to-space)
29.5-30
FIXED-SATELLITE (Earth-to-space)
MOBILE-SATELLITE
(Earth-to-space)
5.540 5.542
5.525 5.526 5.527 5.538 5.540 5.542
30-31
FIXED-SATELLITE (Earth-to-space) 5.338A
MOBILE-SATELLITE (Earth-to-space)
Standard frequency and time signal-satellite (space-to-Earth)
5.525 5.526 5.527 5.529 5.543
30-31
30-31
FIXED-SATELLITE (Earth-to-space) Standard frequency and time
MOBILE-SATELLITE (Earth-to-space) signal-satellite (space-to-Earth)
Standard frequency and time
signal-satellite (space-to-Earth)
5.542
ER14NO16.004</GPH>
FCC Rule Part(s)
G117
Satellite
Communications (25)
Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
19:34 Nov 10, 2016
International Table
Region 2 Table
Region 3 Table
27-27.5
FIXED
FIXED-SATELLITE (Earth-to-space)
INTER-SATELLITE 5.536 5.537
MOBILE
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Table of Frequency Allocations
34.7-46.9 GHz (EHF)
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PO 00000
Frm 00041
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14NOR3
Region 1 Table
34.7-35.2
RADIOLOCATION
Space research 5.550
5.549
35.2-35.5
METEOROLOGICAL AIDS
RADIOLOCATION
5.549
35.5-36
METEOROLOGICAL AIDS
EARTH EXPLORATION-SATELLITE (active)
RADIOLOCATION
SPACE RESEARCH (active)
5.549 5.549A
36-37
EARTH EXPLORATION-SATELLITE (passive)
FIXED
MOBILE
SPACE RESEARCH (passive)
5.149 5.550A
37-37.5
FIXED
MOBILE except aeronautical mobile
SPACE RESEARCH (space-to-Earth)
5.547
37.5-38
FIXED
FIXED-SATELLITE (space-to-Earth)
MOBILE except aeronautical mobile
SPACE RESEARCH (space-to-Earth)
Earth exploration-satellite (space-to-Earth)
5.547
38-39.5
FIXED
FIXED-SATELLITE (space-to-Earth)
MOBILE
Earth exploration-satellite (space-to-Earth)
5.547
39.5-40
FIXED
FIXED-SATELLITE (space-to-Earth) 5.516B
MOBILE
MOBILE-SATELLITE (space-to-Earth)
Earth exploration-satellite (space-to-Earth)
5.547
I Region 3 Table
Federal Table
34.7-35.5
RADIOLOCATION
PaQe 57
United States Table
Non-Federal Table
34.7-35.5
Radiolocation
US360 G117
35.5-36
EARTH EXPLORATION-SATELLITE
(active)
RADIOLOCATION
SPACE RESEARCH (active)
38.6-39.5
US151
38-39.5
FIXED
FIXED-SATELLITE (space-to-Earth)
NG63
MOBILE NG175
39.5-40
39.5-40
FIXED-SATELLITE (space-to-Earth)
FIXED
MOBILE-SATELLITE (space-to-Earth) FIXED-SATELLITE (space-to-Earth)
US382
NG63
MOBILE NG175
G117
Private Land Mobile (90)
US360
35.5-36
Earth exploration-satellite (active)
Radiolocation
Space research (active)
US360 G117
US360
36-37
EARTH EXPLORATION-SATELLITE (passive)
FIXED
MOBILE
SPACE RESEARCH (passive)
US342 US550A
37-38
37-37.5
FIXED
FIXED
MOBILE
MOBILE
SPACE RESEARCH (space-to-Earth)
US151
37.5-38
FIXED
FIXED-SATELLITE (space-to-Earth)
NG63
MOBILE
US151
38-38.6
FIXED
MOBILE
FCC Rule Part(s)
Upper Microwave Flexible
Use (30)
Satellite Communications (25)
Upper Microwave Flexible
Use (30)
Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
19:34 Nov 10, 2016
International Table
I Region 2Table
US382
79933
ER14NO16.005</GPH>
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PO 00000
40.5-41
FIXED
FIXED-SATELLITE (space-to-Earth)
BROADCASTING
BROADCASTING-SATELLITE
Mobile
40.5-41
FIXED
FIXED-SATELLITE (space-toEarth) 5.516B
BROADCASTING
BROADCASTING-SATELLITE
Mobile
Mobile-satellite (space-to-Earth)
Frm 00042
Fmt 4701
5.547
5.547
41-42.5
FIXED
FIXED-SATELLITE (space-to-Earth) 5.516B
BROADCASTING
BROADCASTING-SATELLITE
Mobile
40-40.5
40-40.5
EARTH EXPLORATIONFIXED-SATELLITE (space-to-Earth)
SATELLITE (Earth-to-space)
MOBILE-SATELLITE (space-to-Earth)
FIXED-SATELLITE (space-to-Earth)
MOBILE-SATELLITE (space-to-Earth)
SPACE RESEARCH (Earth-to-space)
Earth exploration-satellite
(space-to-Earth)
40.5-41
FIXED
FIXED-SATELLITE (space-toEarth)
BROADCASTING
BROADCASTING-SATELLITE
Mobile
5.547
G117
40.5-41
FIXED-SATELLITE (space-to-Earth)
Mobile-satellite (space-to-Earth)
US211 G117
41-42.5
Satellite Communications (25)
40.5-41
FIXED-SATELLITE (space-to-Earth)
BROADCASTING
BROADCASTING-SATELLITE
Fixed
Mobile
Mobile-satellite (space-to-Earth)
US211
41-42
FIXED
FIXED-SATELLITE (space-to-Earth)
MOBILE
BROADCASTING
BROADCASTING-SATELLITE
Sfmt 4725
US211
42-42.5
FIXED
MOBILE
E:\FR\FM\14NOR3.SGM
14NOR3
5.547 5.551F 5.551H 5.5511
42.5-43.5
FIXED
FIXED-SATELLITE (Earth-to-space) 5.552
MOBILE except aeronautical mobile
RADIO ASTRONOMY
US211
42.5-43.5
FIXED
FIXED-SATELLITE (Earth-to-space)
MOBILE except aeronautical mobile
RADIO ASTRONOMY
5.149 5.547
43.5-47
MOBILE 5.553
MOBILE-SATELLITE
RADIONAVIGATION
RADIONAVIGATION-SATELLITE
US342
US342
43.5-45.5
43.5-45.5
FIXED-SATELLITE (Earth-to-space)
MOBILE-SATELLITE (Earth-to-space)
G117
45.5-46.9
MOBILE
MOBILE-SATELLITE (Earth-to-space)
RADIONAVIGATION-SATELLITE
US211
42.5-43.5
RADIO ASTRONOMY
RF Devices (15)
5.554
5.554
ER14NO16.006</GPH>
Page 58
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19:34 Nov 10, 2016
40-40.5
EARTH EXPLORATION-SATELLITE (Earth-to-space)
FIXED
FIXED-SATELLITE (space-to-Earth) 5.516B
MOBILE
MOBILE-SATELLITE (space-to-Earth)
SPACE RESEARCH (Earth-to-space)
Earth exploration-satellite (space-to-Earth)
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Table of Frequency Allocations
59-86 GHz (EHF)
Jkt 241001
Region 1 Table
59-59.3
EARTH EXPLORATION-SATELLITE (passive)
FIXED
INTER-SATELLITE 5.556A
MOBILE 5.558
RADIOLOCATION 5.559
SPACE RESEARCH (passive)
PO 00000
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Fmt 4701
Sfmt 4700
E:\FR\FM\14NOR3.SGM
59.3-64
FIXED
INTER-SATELLITE
MOBILE 5.558
RADIOLOCATION 5.559
5.138
64-65
FIXED
INTER-SATELLITE
MOBILE except aeronautical mobile
5.547 5.556
65-66
EARTH EXPLORATION-SATELLITE
FIXED
INTER-SATELLITE
MOBILE except aeronautical mobile
SPACE RESEARCH
5.547
66-71
INTER-SATELLITE
MOBILE 5.553 5.558
MOBILE-SATELLITE
RADIONAVIGATION
RADIONAVIGATION-SATELLITE
14NOR3
5.554
71-74
FIXED
FIXED-SATELLITE (space-to-Earth)
MOBILE
MOBILE-SATELLITE (space-to-Earth)
ER14NO16.007</GPH>
65-66
EARTH EXPLORAliON-SATELLITE
FIXED
MOBILE except aeronautical mobile
SPACE RESEARCH
65-66
EARTH EXPLORATION-SATELLITE
FIXED
INTER-SATELLITE
MOBILE except aeronautical mobile
SPACE RESEARCH
66-71
MOBILE 5.553 5.558
MOBILE-SATELLITE
RADIONAVIGATION
RADIONAVIGATION-SATELLITE
RF Devices (15)
RF Devices (15)
ISM Equipment (18)
RF Devices (15)
66-71
INTER-SATELLITE
MOBILE 5.553 5.558
MOBILE-SATELLITE
RADIONAVIGATION
RADIONAVIGATION-SATELLITE
5.554
71-74
FIXED
FIXED-SATELLITE (space-to-Earth)
MOBILE
MOBILE-SATELLITE (space-to-Earth)
US389
74-76
FIXED
FIXED-SATELLITE (space-to-Earth)
MOBILE
Space research (space-to-Earth)
FCC Rule Part(s)
5.554
US389
RF Devices (15)
Satellite Communications (25)
Fixed Microwave (101)
74-76
FIXED
FIXED-SATELLITE (space-to-Earth)
MOBILE
BROADCASTING
BROADCASTING-SATELLITE
Space research (space-to-Earth)
US389
RF Devices (15)
Fixed Microwave (101)
79935
74-76
FIXED
FIXED-SATELLITE (space-to-Earth)
MOBILE
BROADCASTING
BROADCASTING-SATELLITE
Space research (space-to-Earth)
5.561
I Region 3 Table
Page 61
United States Table
Federal Table
Non-Federal Table
59-59.3
59-59.3
EARTH EXPLORAliON-SATELLITE
EARTH EXPLORATION-SATELLITE
(passive)
(passive)
FIXED
FIXED
INTER-SATELLITE 5.556A
MOBILE 5.558
MOBILE 5.558
RADIOLOCATION 5.559
RADIOLOCATION 5.559
SPACE RESEARCH (passive)
SPACE RESEARCH (passive)
US353
US353
59.3-64
59.3-64
FIXED
FIXED
INTER-SATELLITE
MOBILE 5.558
MOBILE 5.558
RADIOLOCATION 5.559
RADIOLOCATION 5.559
5.138 US353
5.138 US353
64-65
64-65
FIXED
FIXED
MOBILE except aeronautical mobile
INTER-SATELLITE
MOBILE except aeronautical mobile
Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
19:34 Nov 10, 2016
International Table
I Region 2 Table
79936
Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
BILLING CODE 6712–01–C
*
*
*
*
*
United States (US) Footnotes
*
*
*
*
*
US151 In the band 37–38 GHz,
stations in the fixed and mobile services
shall not cause harmful interference to
Federal earth stations in the space
research service (space-to-Earth) at the
following sites: Goldstone, CA; Socorro,
NM; and White Sands, NM.
Applications for non-Federal use of this
band shall be coordinated with NTIA in
accordance with 47 CFR 30.205.
*
*
*
*
*
Non-Federal Government (NG)
Footnotes
*
*
*
*
*
NG63 In the band 37.5–40 GHz,
earth station operations in the fixedsatellite service (space-to-Earth) shall
not claim protection from stations in the
fixed and mobile services, except where
individually licensed earth stations are
authorized pursuant to 47 CFR 25.136.
*
*
*
*
*
■ 8. Section 2.1091 is amended by
revising paragraph (c)(1) introductory
text to read as follows:
§ 2.1091 Radiofrequency radiation
exposure evaluation: mobile devices.
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*
*
*
*
*
(c)(1) Mobile devices that operate in
the Commercial Mobile Radio Services
pursuant to part 20 of this chapter; the
Cellular Radiotelephone Service
pursuant to part 22 of this chapter; the
Personal Communications Services
pursuant to part 24 of this chapter; the
Satellite Communications Services
pursuant to part 25 of this chapter; the
Miscellaneous Wireless
Communications Services pursuant to
part 27 of this chapter; the Upper
Microwave Flexible Use Service
pursuant to part 30 of this chapter; the
Maritime Services (ship earth station
devices only) pursuant to part 80 of this
chapter; the Specialized Mobile Radio
Service, and the 3650 MHz Wireless
Broadband Service pursuant to part 90
of this chapter; and the Citizens
Broadband Radio Service pursuant to
part 96 of this chapter are subject to
routine environmental evaluation for RF
exposure prior to equipment
authorization or use if:
*
*
*
*
*
■ 9. Section 2.1093 is amended by
revising paragraph (c)(1) to read as
follows:
§ 2.1093 Radiofrequency radiation
exposure evaluation: portable devices.
*
*
*
VerDate Sep<11>2014
*
*
19:34 Nov 10, 2016
Jkt 241001
(c)(1) Portable devices that operate in
the Cellular Radiotelephone Service
pursuant to part 22 of this chapter; the
Personal Communications Service (PCS)
pursuant to part 24 of this chapter; the
Satellite Communications Services
pursuant to part 25 of this chapter; the
Miscellaneous Wireless
Communications Services pursuant to
part 27 of this chapter; the Upper
Microwave Flexible Use Service
pursuant to part 30 of this chapter; the
Maritime Services (ship earth station
devices only) pursuant to part 80 of this
chapter; the Specialized Mobile Radio
Service, the 4.9 GHz Band Service, and
the 3650 MHz Wireless Broadband
Service pursuant to part 90 of this
chapter; the Wireless Medical Telemetry
Service (WMTS) and the Medical Device
Radiocommunication Service
(MedRadio), pursuant to subparts H and
I of part 95 of this chapter, respectively,
unlicensed personal communication
service, unlicensed NII devices and
millimeter wave devices authorized
under §§ 15.253(f), 15.255(g), 15.257(g),
15.319(i), and 15.407(f) of this chapter;
and the Citizens Broadband Radio
Service pursuant to part 96 of this
chapter are subject to routine
environmental evaluation for RF
exposure prior to equipment
authorization or use.
*
*
*
*
*
PART 15—RADIO FREQUENCY
DEVICES
10. 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.
11. Section 15.255 is amended by
revising the section heading, paragraphs
(a)(2), (b), and (c)(1); removing
paragraph (d); redesignating paragraphs
(e) through (h) as paragraphs (d) through
(g); revising newly redesignated
paragraph (d)(2); and adding new
paragraph (h) to read as follows:
■
§ 15.255
GHz.
Operation within the band 57–71
(a) * * *
(2) Field disturbance sensors,
including vehicle radar systems, unless
the field disturbance sensors are
employed for fixed operation, or used as
short-range devices for interactive
motion sensing. For the purposes of this
section, the reference to fixed operation
includes field disturbance sensors
installed in fixed equipment, even if the
sensor itself moves within the
equipment.
(b) Within the 57–71 GHz band,
emission levels shall not exceed the
PO 00000
Frm 00044
Fmt 4701
Sfmt 4700
following equivalent isotropically
radiated power (EIRP):
(1) Products other than fixed field
disturbance sensors and short-range
devices for interactive motion sensing
shall comply with one of the following
emission limits, as measured during the
transmit interval:
(i) The average power of any emission
shall not exceed 40 dBm and the peak
power of any emission shall not exceed
43 dBm; or
(ii) For fixed point-to-point
transmitters located outdoors, the
average power of any emission shall not
exceed 82 dBm, and shall be reduced by
2 dB for every dB that the antenna gain
is less than 51 dBi. The peak power of
any emission shall not exceed 85 dBm,
and shall be reduced by 2 dB for every
dB that the antenna gain is less than 51
dBi.
(A) The provisions in this paragraph
for reducing transmit power based on
antenna gain shall not require that the
power levels be reduced below the
limits specified in paragraph (b)(1)(i) of
this section.
(B) The provisions of § 15.204(c)(2)
and (4) that permit the use of different
antennas of the same type and of equal
or less directional gain do not apply to
intentional radiator systems operating
under this provision. In lieu thereof,
intentional radiator systems shall be
certified using the specific antenna(s)
with which the system will be marketed
and operated. Compliance testing shall
be performed using the highest gain and
the lowest gain antennas for which
certification is sought and with the
intentional radiator operated at its
maximum available output power level.
The responsible party, as defined in
§ 2.909 of this chapter, shall supply a
list of acceptable antennas with the
application for certification.
(2) For fixed field disturbance sensors
that occupy 500 MHz or less of
bandwidth and that are contained
wholly within the frequency band 61.0–
61.5 GHz, the average power of any
emission, measured during the transmit
interval, shall not exceed 40 dBm, and
the peak power of any emission shall
not exceed 43 dBm. In addition, the
average power of any emission outside
of the 61.0–61.5 GHz band, measured
during the transmit interval, but still
within the 57–71 GHz band, shall not
exceed 10 dBm, and the peak power of
any emission shall not exceed 13 dBm.
(3) For fixed field disturbance sensors
other than those operating under the
provisions of paragraph (b)(2) of this
section, and short-range devices for
interactive motion sensing, the peak
transmitter conducted output power
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Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
shall not exceed ¥10 dBm and the peak
EIRP level shall not exceed 10 dBm.
(4) The peak power shall be measured
with an RF detector that has a detection
bandwidth that encompasses the 57–71
GHz band and has a video bandwidth of
at least 10 MHz. The average emission
levels shall be measured over the actual
time period during which transmission
occurs.
(c) * * *
(1) The power density of any
emissions outside the 57–71 GHz band
shall consist solely of spurious
emissions.
*
*
*
*
*
(d) * * *
(2) Peak transmitter conducted output
power shall be measured with an RF
detector that has a detection bandwidth
that encompasses the 57–71 GHz band
and that has a video bandwidth of at
least 10 MHz.
*
*
*
*
*
(h) Measurement procedures that have
been found to be acceptable to the
Commission in accordance with § 2.947
of this chapter may be used to
demonstrate compliance.
PART 25—SATELLITE
COMMUNICATIONS
12. The authority citation for part 25
continues to read as follows:
■
Authority: Interprets or applies 47 U.S.C.
154, 301, 302, 303, 307, 309, 319, 332, 605,
and 721, unless otherwise noted.
■
13. Add § 25.136 to read as follows:
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§ 25.136 Earth Stations in the 27.5–28.35
GHz and 37.5–40 GHz bands.
(a) FSS is secondary to the Upper
Microwave Flexible Use Service in the
27.5–28.35 GHz band. Notwithstanding
that secondary status, an earth station in
the 27.5–28.35 GHz band that meets one
of the criteria listed below may operate
consistent with the terms of its
authorization without providing any
additional interference protection to
stations in the Upper Microwave
Flexible Use Service:
(1) The FSS licensee also holds the
relevant Upper Microwave Flexible Use
Service license(s) for the area in which
the earth station generates a power flux
density (PFD), at 10 meters above
ground level, of greater than or equal to
¥77.6 dBm/m2/MHz;
(2) The FSS earth station was
authorized prior to July 14, 2016; or
(3) The application for the FSS earth
station was filed prior to July 14, 2016
and has been subsequently granted; or
(4) The applicant demonstrates
compliance with all of the following
criteria in its application:
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19:34 Nov 10, 2016
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(i) There are no more than two other
authorized earth stations operating in
the 27.5–28.35 GHz band within the
county where the proposed earth station
is located that meet the criteria
contained in either paragraphs (a)(1),
(2), (3), or (4) of this section. For
purposes of this requirement, multiple
earth stations that are collocated with or
at a location contiguous to each other
shall be considered as one earth station;
(ii) The area in which the earth station
generates a power flux density (PFD), at
10 meters above ground level, of greater
than or equal to ¥77.6 dBm/m2/MHz,
together with the similar area of any
other earth station authorized pursuant
to paragraph (a) of this section, does not
cover, in the aggregate, more than 0.1
percent of the population of the county
within which the earth station is
located;
(iii) The area in which the earth
station generates a power flux density
(PFD), at 10 meters above ground level,
of greater than or equal to ¥77.6 dBm/
m2/MHz does not contain any major
event venue, arterial street, interstate or
U.S. highway, urban mass transit route,
passenger railroad, or cruise ship port;
and
(iv) The applicant has successfully
completed frequency coordination with
the UMFUS licensees within the area in
which the earth station generates a
power flux density (PFD), at 10 meters
above ground level, of greater than or
equal to ¥77.6 dBm/m2/MHz with
respect to existing facilities constructed
and in operation by the UMFUS
licensee. In coordinating with UMFUS
licensees, the applicant shall use the
applicable processes contained in
§ 101.103(d) of this chapter.
(b) Applications for earth stations in
the 37.5–40 GHz band shall provide an
exhibit describing the zone within
which the earth station will require
protection from transmissions of Upper
Microwave Flexible Use Service
licensees. For purposes of this rule, the
protection zone shall consist of the area
where UMFUS licensees may not locate
facilities without the consent of the
earth station licensee. The earth station
applicant shall demonstrate in its
application, using reasonable
engineering methods, that the requested
protection zone is necessary in order to
protect its proposed earth station.
(c) The protection zone (as defined in
paragraph (b) of this section) shall
comply with the following criteria. The
applicant shall demonstrate compliance
with all of the following criteria in its
application:
(1) There are no more than two other
authorized earth stations operating in
the 37.5–40 GHz band within the Partial
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79937
Economic Area within which the
proposed earth station is located that
meet the criteria contained in paragraph
(c) of this section. For purposes of this
requirement, multiple earth stations that
are collocated with or at a location
contiguous to each other shall be
considered as one earth station;
(2) The protection zone, together with
the protection zone of other earth
stations in the same Partial Economic
Area authorized pursuant to this
section, does not cover, in the aggregate,
more than 0.1 percent of the population
of the Partial Economic Area within
which the earth station is located;
(3) The protection zone does not
contain any major event venue, arterial
street, interstate or U.S. highway, urban
mass transit route, passenger railroad, or
cruise ship port; and
(4) The applicant has successfully
completed frequency coordination with
the UMFUS licensees within the
protection zone with respect to existing
facilities constructed and in operation
by the UMFUS licensee. In coordinating
with UMFUS licensees, the applicant
shall use the applicable processes
contained in § 101.103(d) of this
chapter.
(d) If an earth station applicant or
licensee in the 27.5–28.35 GHz or 37. 5–
40 GHz bands enters into an agreement
with an UMFUS licensee, their
operations shall be governed by that
agreement, except to the extent that the
agreement is inconsistent with the
Commission’s rules or the
Communications Act.
14. Section 25.202 is amended by
revising footnotes 1 and 7 to the table
in paragraph (a)(1) to read as follows:
■
§ 25.202 Frequencies, frequency tolerance,
and emission limits.
(a) * * *
(1) * * *
1 Use of this band by the FixedSatellite Service is limited to
individually licensed earth stations.
Satellite earth station facilities in this
band may not be ubiquitously deployed
and may not be used to serve individual
consumers.
*
*
*
*
*
7 The Fixed-Satellite Service is
secondary to the Upper Microwave
Flexible Use Service authorized
pursuant to 47 CFR part 30, except for
FSS operations associated with earth
stations authorized pursuant to 47 CFR
25.136.
*
*
*
*
*
■
15. Part 30 is added to read as follows:
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Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
PART 30—UPPER MICROWAVE
FLEXIBLE USE SERVICE
Subpart A—General
Sec.
30.1 Creation of upper microwave flexible
use service.
30.2 Definitions.
30.3 Eligibility.
30.4 Frequencies.
30.5 Service areas.
30.6 Permissible communications.
30.7 37–37.6 GHz Band—Shared
coordinated service.
30.8 5G Provider cybersecurity statement
requirements.
Subpart B—Applications and Licenses
30.101 Initial authorizations.
30.102 Transition of existing local
multipoint distribution service and 39
GHz licenses.
30.103 License term.
30.104 Construction requirements.
30.105 Geographic partitioning and
spectrum disaggregation.
30.106 Discontinuance of service.
Subpart C—Technical Standards
30.201 Equipment authorization.
30.202 Power limits.
30.203 Emission limits.
30.204 Field strength limits.
30.205 Federal coordination requirements.
30.206 International coordination.
30.207 Radio frequency (RF) safety.
30.208 Operability.
30.209 Duplexing.
Subpart D—Competitive Bidding
Procedures
30.301 Upper Microwave Flexible Use
Service subject to competitive bidding.
30.302 Designated entities and bidding
credits.
Subpart E—Special Provisions for Fixed
Point-to-Point, Fixed Point-to-Multipoint
Hub Stations, and Fixed Point-to-Multipoint
User Stations
30.401 Permissible service.
30.402 Frequency tolerance.
30.403 Bandwidth.
30.404 Emission limits.
30.405 Transmitter power limitations.
30.406 Directional antennas.
30.407 Antenna polarization.
Authority: 47 U.S.C. 151, 152, 153, 154,
301, 303, 304, 307, 309, 310, 316, 332, 1302.
Subpart A—General
§ 30.1 Creation of upper microwave
flexible use service, scope and authority.
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As of December 14, 2016, Local
Multipoint Distribution Service licenses
for the 27.5–28.35 GHz band, and
licenses issued in the 38.6–40 GHz band
under part 101 of this chapter shall be
reassigned to the Upper Microwave
Flexible Use Service. Local Multipoint
Distribution Service licenses in bands
other than 27.5–28.35 GHz shall remain
in that service and shall be governed by
the part 101 of this chapter applicable
to that service.
§ 30.2
Definitions.
The following definitions apply to
this part:
Authorized bandwidth. The
maximum width of the band of
frequencies permitted to be used by a
station. This is normally considered to
be the necessary or occupied
bandwidth, whichever is greater. (See
§ 2.202 of this chapter).
Authorized frequency. The frequency,
or frequency range, assigned to a station
by the Commission and specified in the
instrument of authorization.
Fixed satellite earth station. An earth
station intended to be used at a
specified fixed point.
Local Area Operations. Operations
confined to physical facility boundaries,
such as a factory.
Point-to-Multipoint Hub Station. A
fixed point-to-multipoint radio station
that provides one-way or two-way
communication with fixed Point-toMultipoint Service User Stations.
Point-to-Multipoint Service. A fixed
point-to-multipoint radio service
consisting of point-to-multipoint hub
stations that communicate with fixed
point-to-multipoint user stations.
Point-to-Multipoint User Station. A
fixed radio station located at users’
premises, lying within the coverage area
of a Point-to-Multipoint Hub station,
using a directional antenna to receive
one-way communications from or
providing two-way communications
with a fixed Point-to-Multipoint Hub
Station.
Point-to-point station. A station that
transmits a highly directional signal
from a fixed transmitter location to a
fixed receive location.
Portable device. Transmitters
designed to be used within 20
centimeters of the body of the user.
Prior coordination. A bilateral process
conducted prior to filing applications
which includes the distribution of the
Channel group A
1–A
2–A
3–A
4–A
..........................................................................
..........................................................................
..........................................................................
..........................................................................
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§ 30.3
Eligibility.
Any entity who meets the technical,
financial, character, and citizenship
qualifications that the Commission may
require in accordance with such Act,
other than those precluded by section
310 of the Communications Act of 1934,
as amended, 47 U.S.C. 310, is eligible to
hold a license under this part.
§ 30.4
Frequencies.
The following frequencies are
available for assignment in the Upper
Microwave Flexible Use Service:
(a) 27.5 GHz—28.35 GHz band—27.5–
27.925 GHz and 27.925–28.35 GHz.
(b) 38.6–40 GHz band:
(1) New channel plan:
Channel No.
1
2
3
4
5
6
7
......................................
......................................
......................................
......................................
......................................
......................................
......................................
Frequency band
limits (MHz)
38,600–38,800
38,800–39,000
39,000–39,200
39,200–39,400
39,400–39,600
39,600–39,800
39,800–40,000
(2) Pending transition to the new
channel plan, existing 39 GHz licensees
licensed under part 101 of this chapter
may continue operating on the
following channel plan:
Channel group B
Frequency band
limits (MHz)
Channel No.
technical parameters of a proposed
radio system to potentially affected
parties for their evaluation and timely
response.
Secondary operations. Radio
communications which may not cause
interference to operations authorized on
a primary basis and which are not
protected from interference from these
primary operations
Transportable station. Transmitting
equipment that is not intended to be
used while in motion, but rather at
stationary locations.
Universal Licensing System. The
Universal Licensing System (ULS) is the
consolidated database, application filing
system, and processing system for all
Wireless Radio Services. ULS supports
electronic filing of all applications and
related documents by applicants and
licensees in the Wireless Radio Services,
and provides public access to licensing
information.
38,600–38,650
38,650–38,700
38,700–38,750
38,750–38,800
Frm 00046
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Frequency band
limits (MHz)
Channel No.
1–B
2–B
3–B
4–B
.........................................................................
.........................................................................
.........................................................................
.........................................................................
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39,300–39,350
39,350–39,400
39,400–39,450
39,450–39,500
Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
Channel group A
Channel group B
Frequency band
limits (MHz)
Channel No.
5–A ..........................................................................
6–A ..........................................................................
7–A ..........................................................................
8–A ..........................................................................
9–A ..........................................................................
10–A ........................................................................
11–A ........................................................................
12–A ........................................................................
13–A ........................................................................
14–A ........................................................................
(c) 37–38.6 GHz band: 37,600–37,800
MHz; 37,800–38,000 MHz; 38,000–
38,200 MHz; 38,200–38,400 MHz, and
38,400–38,600 MHz. The 37,000–37,600
MHz band segment shall be available on
a site-specific, coordinated shared basis
with eligible Federal entities.
§ 30.5
Service areas.
(a) Except as noted in paragraphs (b)
and (c) of this section, and except for
the shared 37–37.6 GHz band, the
service areas for the Upper Microwave
Flexible Use Service are Partial
Economic Areas.
(b) For the 27.5–28.35 GHz band, the
service areas shall be counties.
(c) Common Carrier Fixed Point-toPoint Microwave Stations licensed in
the 38.6–40 GHz bands licensed with
Rectangular Service Areas shall
maintain their Rectangular Service Area
as defined in their authorization. The
frequencies associated with Rectangular
Service Area authorizations that have
expired, cancelled, or otherwise been
recovered by the Commission will
automatically revert to the applicable
county licensee.
(d) In the 37.5–40 GHz band, Upper
Microwave Flexible Use Service
licensees shall not place facilities
within the protection zone of FixedSatellite Service earth stations
authorized pursuant to § 25.136 of this
chapter, absent consent from the FixedSatellite Service earth station licensee.
mstockstill on DSK3G9T082PROD with RULES3
§ 30.6
Permissible communications.
(a) A licensee in the frequency bands
specified in § 30.4 may provide any
services for which its frequency bands
are allocated, as set forth in the nonFederal Government column of the
Table of Frequency Allocations in
§ 2.106 of this chapter (column 5).
(b) Fixed-Satellite Service shall be
provided in a manner consistent with
part 25 of this chapter.
§ 30.7 37–37.6 GHz Band—Shared
coordinated service.
(a) The 37–37.6 GHz band will be
available for site-based registrations on
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38,800–38,850
38,850–38,900
38,900–38,950
38,950–39,000
39,000–39,050
39,050–39,100
39,100–39,150
39,150–39,200
39,200–39,250
39,250–39,300
5–B .........................................................................
6–B .........................................................................
7–B .........................................................................
8–B .........................................................................
9–B .........................................................................
10–B .......................................................................
11–B .......................................................................
12–B .......................................................................
13–B .......................................................................
14–B .......................................................................
a coordinated basis with co-equal
eligible Federal entities.
(b) Any non-Federal entity meeting
the eligibility requirements of § 30.3
may operate equipment that complies
with the technical rules of this part
pursuant to a Shared Access License.
(c) Licensees in the 37–37.6 GHz band
must register their individual base
stations and access points prior to
placing them in operation.
§ 30.8 5G Provider cybersecurity
statement requirements.
(a) Statement. Each Upper Microwave
Flexible Use Service licensee is required
to submit to the Commission a
Statement describing its network
security plans and related information,
which shall be signed by a senior
executive within the licensee’s
organization with personal knowledge
of the security plans and practices
within the licensee’s organization. The
Statement must contain, at a minimum,
the following elements:
(1) Security approach. A high-level,
general description of the licensee’s
approach designed to safeguard the
planned network’s confidentiality,
integrity, and availability, with respect
to communications from:
(i) A device to the licensee’s network;
(ii) One element of the licensee’s
network to another element on the
licensee’s network;
(iii) The licensee’s network to another
network; and
(iv) Device to device (with respect to
telephone voice and messaging
services).
(2) Cybersecurity coordination. A
high-level, general description of the
licensee’s anticipated approach to
assessing and mitigating cyber risk
induced by the presence of multiple
participants in the band. This should
include the high level approach taken
toward ensuring consumer network
confidentiality, integrity, and
availability security principles, are to be
protected in each of the following use
cases: communications between a
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Frequency band
limits (MHz)
Channel No.
Sfmt 4700
39,500–39,550
39,550–39,600
39,600–39,650
39,650–39,700
39,700–39,750
39,750–39,800
39,800–39,850
39,850–39,900
39,900–39,950
39,950–40,000
wireless device and the licensee’s
network; communications within and
between each licensee’s network;
communications between mobile
devices that are under end-to-end
control of the licensee; and
communications between mobile
devices that are not under the end-toend control of the licensee;
(3) Cybersecurity standards and best
practices. A high-level description of
relevant cybersecurity standards and
practices to be employed, whether
industry-recognized or related to some
other identifiable approach;
(4) Participation with standards
bodies, industry-led organizations. A
description of the extent to which the
licensee participates with standards
bodies or industry-led organizations
pursuing the development or
maintenance of emerging security
standards and/or best practices;
(5) Other security approaches. The
high-level identification of any other
approaches to security, unique to the
services and devices the licensee
intends to offer and deploy; and
(6) Plans with Information Sharing
and Analysis Organizations. Plans to
incorporate relevant outputs from
Information Sharing and Analysis
Organizations (ISAOs) as elements of
the licensee’s security architecture.
Plans should include comment on
machine-to-machine threat information
sharing, and any use of anticipated
standards for ISAO-based information
sharing.
(b) Timing. Each Upper Microwave
Flexible Use Service licensee shall
submit this Statement to the
Commission within three years after
grant of the license, but no later than six
months prior to deployment.
(c) Definitions. The following
definitions apply to this section:
Availability. The accessibility and
usability of a network upon demand.
Confidentiality. The protection of data
from unauthorized access and
disclosure, both while at rest and in
transit.
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Integrity. The protection against the
unauthorized modification or
destruction of information.
Subpart B—Applications and Licenses
§ 30.101
Initial authorizations.
Except with respect to in the 37–37.6
GHz band, an applicant must file a
single application for an initial
authorization for all markets won and
frequency blocks desired. Initial
authorizations shall be granted in
accordance with § 30.4. Applications for
individual sites are not required and
will not be accepted, except where
required for environmental assessments,
in accordance with §§ 1.1301 through
1.1319 of this chapter.
§ 30.102 Transition of existing local
multipoint distribution service and 39 GHz
licenses.
Local Multipoint Distribution Service
licenses in the 27.5—28.35 GHz band
issued on a Basic Trading Area basis
shall be disaggregated into county-based
licenses and 39 GHz licenses issued on
an Economic Area basis shall be
disaggregated into Partial Economic
Area-based licenses on December 14,
2016. For each county in the Basic
Trading Area or Partial Economic Area
in the Economic Area which is part of
the original license, the licensee shall
receive a separate license. If there is a
co-channel Rectangular Service Area
licensee within the service area of a 39
GHz Economic Area licensee, the
disaggregated license shall not authorize
operation with the service area of the
Rectangular Service Area license.
§ 30.103
License term.
Initial authorizations will have a term
not to exceed ten years from the date of
initial issuance or renewal.
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§ 30.104
Construction requirements.
(a) Upper Microwave Flexible Use
Service licensees must make a buildout
showing as part of their renewal
applications. Licensees relying on
mobile or point-to-multipoint service
must show that they are providing
reliable signal coverage and service to at
least 40 percent of the population
within the service area of the licensee,
and that they are using facilities to
provide service in that area either to
customers or for internal use. Licensees
relying on point-to-point service must
demonstrate that they have four links
operating and providing service, either
to customers or for internal use, if the
population within the license area is
equal to or less than 268,000. If the
population within the license area is
greater than 268,000, a licensee relying
on point-to-point service must
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demonstrate it has at least one link in
operation and is providing service for
each 67,000 population within the
license area.
(b) Showings that rely on a
combination of multiple types of service
will be evaluated on a case-by-case
basis.
(c) If a licensee in this service is also
a Fixed-Satellite Service licensee and
uses the spectrum covered under its
UMFUS license in connection with a
satellite earth station, it can demonstrate
compliance with the requirements of
this section by demonstrating that the
earth station in question is in service,
operational, and using the spectrum
associated with the license. This
provision can only be used to
demonstrate compliance for the county
in which the earth station is located.
(d) Failure to meet this requirement
will result in automatic cancellation of
the license. In bands licensed on a
Partial Economic Area basis, licensees
will have the option of partitioning a
license on a county basis in order to
reduce the population within the
license area to a level where the
licensee’s buildout would meet one of
the applicable performance metrics.
(e) Existing 28 GHz and 39 GHz
licensees shall be required to make a
showing pursuant to this rule by June 1,
2024.
§ 30.105 Geographic partitioning and
spectrum disaggregation.
(a) Parties seeking approval for
partitioning and disaggregation shall
request from the Commission an
authorization for partial assignment of a
license pursuant to § 1.948 of this
chapter. Upper Microwave Flexible Use
Service licensees may apply to partition
their licensed geographic service area or
disaggregate their licensed spectrum at
any time following the grant of their
licenses.
(b) Technical standards—(1)
Partitioning. In the case of partitioning,
applicants and licensees must file FCC
Form 603 pursuant to § 1.948 of this
chapter and list the partitioned service
area on a schedule to the application.
The geographic coordinates must be
specified in degrees, minutes, and
seconds to the nearest second of latitude
and longitude and must be based upon
the 1983 North American Datum
(NAD83).
(2) Spectrum may be disaggregated in
any amount.
(3) The Commission will consider
requests for partial assignment of
licenses that propose combinations of
partitioning and disaggregation.
(4) For purposes of partitioning and
disaggregation, part 30 systems must be
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designed so as not to exceed the signal
level specified for the particular
spectrum block in § 30.204 at the
licensee’s service area boundary, unless
the affected adjacent service area
licensees have agreed to a different
signal level.
(c) License term. The license term for
a partitioned license area and for
disaggregated spectrum shall be the
remainder of the original licensee’s
license term as provided for in § 30.103.
(d)(1) Parties to partitioning
agreements must satisfy the
construction requirements set forth in
§ 30.104 by the partitioner and
partitionee each certifying that it will
independently meet the construction
requirement for its respective
partitioned license area. If the
partitioner or partitionee fails to meet
the construction requirement for its
respective partitioned license area, then
the relevant partitioned license will
automatically cancel.
(2) Parties to disaggregation
agreements must satisfy the
construction requirements set forth in
§ 30.104 by the disaggregator and
disaggregatee each certifying that it will
independently meet the construction
requirement for its respective
disaggregated license area. If the
disaggregator or disaggregatee fails to
meet the construction requirement for
its respective disaggregated license area,
then the relevant disaggregated license
will automatically cancel.
§ 30.106
Discontinuance of service.
(a) An Upper Microwave Flexible Use
License authorization will automatically
terminate, without specific Commission
action, if the licensee permanently
discontinues service after the initial
license term.
(b) For licensees with common carrier
regulatory status, permanent
discontinuance of service is defined as
180 consecutive days during which a
licensee does not provide service to at
least one subscriber that is not affiliated
with, controlled by, or related to the
licensee in the individual license area.
For licensees with non-common carrier
status, permanent discontinuance of
service is defined as 180 consecutive
days during which a licensee does not
operate.
(c) A licensee that permanently
discontinues service as defined in this
section must notify the Commission of
the discontinuance within 10 days by
filing FCC Form 601 or 605 requesting
license cancellation. An authorization
will automatically terminate, without
specific Commission action, if service is
permanently discontinued as defined in
this section, even if a licensee fails to
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Subpart C—Technical Standards
the sum of all antenna elements is
limited to a maximum EIRP of +55 dBm.
(d) For fixed point-to-point and pointto-multipoint limits see § 30.405.
§ 30.201
§ 30.203
file the required form requesting license
cancellation.
Equipment authorization.
(a) Except as provided under
paragraph (c) of this section, each
transmitter utilized for operation under
this part must be of a type that has been
authorized by the Commission under its
certification procedure.
(b) Any manufacturer of radio
transmitting equipment to be used in
these services may request equipment
authorization following the procedures
set forth in subpart J of part 2 of this
chapter. Equipment authorization for an
individual transmitter may be requested
by an applicant for a station
authorization by following the
procedures set forth in part 2 of this
chapter.
(c) Unless specified otherwise,
transmitters for use under the
provisions of subpart E of this part for
fixed point-to-point microwave and
point-to-multipoint services must be a
type that has been verified for
compliance.
§ 30.202
Power limits.
(a) For fixed and base stations
operating in connection with mobile
systems, the average power of the sum
of all antenna elements is limited to an
equivalent isotopically radiated power
(EIRP) density of +75dBm/100 MHz. For
channel bandwidths less than 100
megahertz the EIRP must be reduced
proportionally and linearly based on the
bandwidth relative to 100 megahertz.
(b) For mobile stations, the average
power of the sum of all antenna
elements is limited to a maximum EIRP
of +43 dBm.
(c) For transportable stations, as
defined in § 30.2, the average power of
Emission limits.
(a) The conductive power or the total
radiated power of any emission outside
a licensee’s frequency block shall be
¥13 dBm/MHz or lower. However, in
the bands immediately outside and
adjacent to the licensee’s frequency
block, having a bandwidth equal to 10
percent of the channel bandwidth, the
conductive power or the total radiated
power of any emission shall be ¥5
dBm/MHz or lower.
(b)(1) Compliance with this provision
is based on the use of measurement
instrumentation employing a resolution
bandwidth of 1 megahertz or greater.
(2) When measuring the emission
limits, the nominal carrier frequency
shall be adjusted as close to the
licensee’s frequency block edges as the
design permits.
(3) The measurements of emission
power can be expressed in peak or
average values.
(c) For fixed point-to-point and pointto-multipoint limits see § 30.404.
79941
28,350 MHz band where the facilities
are located within 20 kilometers of the
boundary of the licensees authorized
market area, the licensee must complete
frequency coordination in accordance
with the procedures specified in
§ 101.103(d)(2) of this chapter with
respect to neighboring licensees that
may be affected by its operations.
(2) Prior to operating a fixed point-topoint transmitting facility in the 37,000–
40,000 MHz band where the facilities
are located within 16 kilometers of the
boundary of the licensees authorized
market area, the licensee must complete
frequency coordination in accordance
with the procedures specified in
§ 101.103(d)(2) of this chapter with
respect to neighboring licensees that
may be affected by its operations.
§ 30.205 Federal coordination
requirements.
(a) Licensees in the 37–38 GHz band
located within the zones defined by the
coordinates in the tables below must
coordinate their operations with Federal
Space Research Service (space to Earth)
users of the band via the National
Telecommunications and Information
Administration (NTIA). All licensees
§ 30.204 Field strength limits.
operating within the zone defined by
the 60 dBm/100 MHz EIRP coordinates
(a) Base/mobile operations: The
in the tables below must coordinate all
predicted or measured Power Flux
operations. Licensees operating within
Density (PFD) from any Base Station
the area between the zones defined by
operating in the 27.5–28.35 GHz band,
the 60 dBm and 75 dBm/100 MHz EIRP
37–38.6 GHz band, and 38.6–40 GHz
coordinates in the tables below must
bands at any location on the
coordinate all operations if their base
geographical border of a licensee’s
station EIRP is greater than 60 dBm/100
service area shall not exceed ¥76dBm/
MHz or if their antenna height exceeds
m2/MHz (measured at 1.5 meters above
100 meters above ground level.
ground) unless the adjacent affected
Licensees operating outside the zones
service area licensee(s) agree(s) to a
defined by the 75 dBm/100 MHz EIRP
different PFD.
(b) Fixed point-to-point operations. (1) coordinates in the tables below are not
required to coordinate their operations
Prior to operating a fixed point-to-point
with NTIA.
transmitting facility in the 27,500–
TABLE 1 TO PARAGRAPH (a): GOLDSTONE, CALIFORNIA COORDINATION ZONE
60 dBm/100 MHz EIRP
75 dBm/100 MHz EIRP
mstockstill on DSK3G9T082PROD with RULES3
Latitude/Longitude
(decimal degrees)
Latitude/Longitude
(decimal degrees)
Latitude/Longitude
(decimal degrees)
34.69217/¥115.6491 ....................
35.25746/¥115.32041 ..................
36.21257/¥117.06567 ..................
36.55967/¥117.63691 ..................
36.66297/¥118.31017 ..................
36.06074/¥118.38528 ..................
35.47015/¥118.39008 ..................
35.40865/¥118.34353 ..................
35.35986/¥117.24709 ..................
35.29539/¥117.21102 ..................
34.67607/¥118.55412 ..................
34.61532/¥118.36919 ..................
34.91551/¥117.70371 ..................
34.81257/¥117.65400 ..................
34.37411/¥118.18385 ..................
34.19524/¥117.47963 .................
34.24586/¥117.36210 .................
35.04648/¥117.03781 .................
35.04788/¥117.00949 .................
34.22940/¥117.22327 .................
34.20370/¥116.97024 .................
34.12196/¥116.93109 .................
34.09498/¥116.75473 .................
34.19642/¥116.72901 .................
34.64906/¥116.62741 .................
34.44404/¥116.31486 .................
34.52736/¥116.27845 .................
34.76685/¥116.27930 .................
34.69217/¥115.6591 ...................
34.69217/¥115.6491 ...................
34.69217/¥115.6491 ...................
35.25746/¥115.32041 .................
36.11221/¥116.63632 .................
36.54731/¥117.48242 .................
36.73049/¥118.33683 .................
36.39126/¥118.47307 .................
36.36891/¥118.47134 .................
35.47015/¥118.39008 .................
35.40865/¥118.34353 .................
35.32048/¥117.26386
34.63725/¥118.96736
34.55789/¥118.36204
34.51108/¥118.15329
34.39220/¥118.28852
34.38546/¥118.27460
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Latitude/Longitude
(decimal degrees)
34.19524/¥117.47963
34.24586/¥117.36210
34.21748/¥117.12812
34.20370/¥116.97024
34.12196/¥116.93109
34.09498/¥116.75473
34.13603/¥116.64002
34.69217/¥115.6591
34.69217/¥115.6491
14NOR3
79942
Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
TABLE 1 TO PARAGRAPH (a): GOLDSTONE, CALIFORNIA COORDINATION ZONE—Continued
60 dBm/100 MHz EIRP
75 dBm/100 MHz EIRP
Latitude/Longitude
(decimal degrees)
Latitude/Longitude
(decimal degrees)
Latitude/Longitude
(decimal degrees)
34.33405/¥117.94189 ..................
34.27249/¥117.65445 ..................
.......................................................
.......................................................
Latitude/Longitude
(decimal degrees)
34.37524/¥118.24191
34.37039/¥118.22557
TABLE 2 TO PARAGRAPH (a): SOCORRO, NEW MEXICO COORDINATION ZONE
60 dBm/100 MHz EIRP
75 dBm/100 MHz EIRP
Latitude/Longitude
(decimal degrees)
34.83816/¥107.66828
34.80070/¥107.68759
34.56506/¥107.70233
34.40826/¥107.71489
34.31013/¥107.88349
34.24067/¥107.96059
34.10278/¥108.23166
34.07442/¥108.30646
34.01447/¥108.31694
33.86740/¥108.48706
33.81660/¥108.51052
33.67909/¥108.58750
33.50223/¥108.65470
Latitude/Longitude
(decimal degrees)
.......................................
.......................................
.......................................
.......................................
.......................................
.......................................
.......................................
.......................................
.......................................
.......................................
.......................................
.......................................
.......................................
33.44401/¥108.67876
33.57963/¥107.79895
33.84552/¥107.60207
33.85964/¥107.51915
33.86479/¥107.17223
33.94779/¥107.15038
34.11122/¥107.18132
34.15203/¥107.39035
34.29643/¥107.51071
34.83816/¥107.66828
33.35946/¥108.68902
33.29430/¥108.65004
33.10651/¥108.19320
Latitude/Longitude
(decimal degrees)
.....................................
.....................................
.....................................
.....................................
.....................................
.....................................
.....................................
.....................................
.....................................
.....................................
33.10651/¥108.19320
33.11780/¥107.99980
33.13558/¥107.85611
33.80383/¥107.16520
33.94554/¥107.15516
33.95665/¥107.15480
34.08156/¥107.18137
34.10646/¥107.18938
35.24269/¥107.67969
34.06647/¥108.70438
TABLE 3 TO PARAGRAPH (a): WHITE SANDS, NEW MEXICO COORDINATION ZONE
60 dBm/100 MHz EIRP
Latitude/Longitude
(decimal degrees)
33.98689/¥107.15967
33.91573/¥107.46301
33.73122/¥107.73585
33.37098/¥107.84333
33.25424/¥107.86409
33.19808/¥107.89673
33.02128/¥107.87226
32.47747/¥107.77963
32.31543/¥108.16101
31.79429/¥107.88616
75 dBm/100 MHz EIRP
Latitude/Longitude
(decimal degrees)
..................
..................
..................
..................
..................
..................
..................
..................
..................
..................
31.78455/¥106.54058
32.24710/¥106.56114
32.67731/¥106.53681
32.89856/¥106.56882
33.24323/¥106.70094
33.98689/¥107.15967
33.24347/¥106.70165
34.00708/¥107.08652
34.04967/¥107.17524
33.83491/¥107.85971
(b) Licensees in the 37–38.6 GHz band
located within the zones defined by the
coordinates in the table below must
Latitude/Longitude
(decimal degrees)
.................
.................
.................
.................
.................
.................
.................
.................
.................
.................
Latitude/Longitude
(decimal degrees)
31.7494/¥106.49132 ...................
32.24524/¥106.56507 .................
32.67731/¥106.53681 .................
32.89856/¥106.56882 .................
33.04880/¥106.62309 .................
33.21824/¥106.68992 .................
31.63466/¥108.20921
31.78374/¥108.20798
31.78322/¥106.52825
31.7494/¥106.49132
coordinate their operations with the
Department of Defense via the National
32.88382/¥108.16588
32.76255/¥108.05679
32.56863/¥108.43999
32.48991/¥108.50032
32.39142/¥108.48959
31.63664/¥108.40480
Telecommunications and Information
Administration (NTIA).
TABLE TO PARAGRAPH (b)—COORDINATION AREAS FOR FEDERAL TERRESTRIAL SYSTEMS
Navy ...............
San Diego, CA ................................
Nanakuli, HI ....................................
Fishers Island, NY ..........................
Saint Croix, VI .................................
Fort Irwin, CA ..................................
Fort Carson, CO .............................
Fort Hood, TX .................................
Fort Bliss, TX ..................................
Yuma Proving Ground, AZ .............
Fort Huachuca, AZ .........................
White Sands Missile Range, NM ....
Navy
Navy
Navy
Navy
Army
Army
Army
Army
Army
Army
Army
Coordination area
(decimal degrees)
Agency
China Lake, CA ..............................
mstockstill on DSK3G9T082PROD with RULES3
Location
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...............
...............
...............
...............
..............
..............
..............
..............
..............
..............
..............
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30
30
30
30
30
30
30
30
30
30
30
30
30
30
30
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
kilometer
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radius
radius
radius
radius
radius
radius
radius
radius
radius
radius
radius
radius
radius
radius
radius
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centered
centered
centered
centered
centered
centered
centered
centered
centered
centered
centered
centered
centered
centered
centered
Sfmt 4700
on
on
on
on
on
on
on
on
on
on
on
on
on
on
on
latitude
latitude
latitude
latitude
latitude
latitude
latitude
latitude
latitude
latitude
latitude
latitude
latitude
latitude
latitude
35.59527 and longitude ¥117.22583.
35.52222 and longitude ¥117.30333.
35.76222 and longitude ¥117.60055.
35.69111 and longitude ¥117.66916.
32.68333 and longitude ¥117.23333.
21.38333 and longitude ¥158.13333.
41.25 and longitude ¥72.01666.
17.74722 and longitude ¥64.88.
35.26666 and longitude ¥116.68333.
38.71666 and longitude ¥104.65.
31.11666 and longitude ¥97.76666.
31.8075 and longitude ¥106.42166.
32.48333 and longitude ¥114.33333.
31.55 and longitude ¥110.35.
33.35 and longitude ¥106.3.
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TABLE TO PARAGRAPH (b)—COORDINATION AREAS FOR FEDERAL TERRESTRIAL SYSTEMS—Continued
Location
Moody Air Force Base, GA ............
Hurlburt Air Force Base, FL ...........
Air Force ........
Air Force ........
§ 30.206
International coordination.
Operations in the 27.5–28.35 GHz,
37–38.6, and 38.6–40 GHz bands are
subject to existing and future
international agreements with Canada
and Mexico.
§ 30.207
Radio frequency (RF) safety.
Licensees and manufacturers are
subject to the radio frequency radiation
exposure requirements specified in
§§ 1.1307(b), 1.1310, 2.1091, and 2.1093
of this chapter, as appropriate.
Applications for equipment
authorization of mobile or portable
devices operating under this section
must contain a statement confirming
compliance with these requirements.
Technical information showing the
basis for this statement must be
submitted to the Commission upon
request.
§ 30.208
Operability.
Mobile and transportable stations that
operate on any portion of frequencies
within the 27.5–28.35 GHz or the 37–40
GHz bands must be capable of operating
on all frequencies within those
particular bands.
§ 30.209
Duplexing.
Stations authorized under this rule
part may employ frequency division
duplexing, time division duplexing, or
any other duplexing scheme, provided
that they comply with the other
technical and operational requirements
specified in this part.
Subpart D—Competitive Bidding
Procedures
§ 30.301 Upper Microwave Flexible Use
Service subject to competitive bidding.
Mutually exclusive initial
applications for Upper Microwave
Flexible User Service licenses are
subject to competitive bidding. The
general competitive bidding procedures
set forth in part 1, subpart Q of this
chapter will apply unless otherwise
provided in this subpart.
mstockstill on DSK3G9T082PROD with RULES3
Coordination area
(decimal degrees)
Agency
§ 30.302
credits.
Designated entities and bidding
(a) Eligibility for small business
provisions. (1) A small business is an
entity that, together with its affiliates, its
controlling interests and the affiliates of
its controlling interests, have average
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30 kilometer radius centered on latitude 30.96694 and longitude ¥83.185.
30 kilometer radius centered on latitude 30.42388 and longitude ¥86.70694.
gross revenues that are not more than
$55 million for the preceding three (3)
years.
(2) A very small business is an entity
that, together with its affiliates, its
controlling interests and the affiliates of
its controlling interests, has average
gross revenues that are not more than
$20 million for the preceding three (3)
years.
(b) Bidding credits. A winning bidder
that qualifies as a small business, as
defined in this section, or a consortium
of small businesses may use a bidding
credit of 15 percent, as specified in
§ 1.2110(f)(2)(i)(C) of this chapter. A
winning bidder that qualifies as a very
small business, as defined in this
section, or a consortium of very small
businesses may use a bidding credit of
25 percent, as specified in
§ 1.2110(f)(2)(i)(B) of this chapter.
(c) A rural service provider, as
defined in § 1.2110(f)(4) of this chapter,
who has not claimed a small business
bidding credit may use a bidding credit
of 15 percent bidding credit, as
specified in § 1.2110(f)(4)(i) of this
chapter.
§ 30.403
Bandwidth.
(a) Stations under this subpart will be
authorized any type of emission,
method of modulation, and
transmission characteristic, consistent
with efficient use of the spectrum and
good engineering practice.
(b) The maximum bandwidth
authorized per frequency to stations
under this subpart is set out in the table
that follows.
Frequency band
(MHz)
27,500 to 28,350 ..................
38,600 to 40,000 ..................
Maximum
authorized
bandwidth
850 MHz.
200 MHz.1
1 For channel block assignments in the
38,600–40,000 MHz bands when adjacent
channels are aggregated, equipment is permitted to operate over the full channel block
aggregation without restriction.
§ 30.404
Emission limits.
(a) The mean power of emissions
must be attenuated below the mean
output power of the transmitter in
accordance with the following schedule:
(1) When using transmissions other
than those employing digital
Subpart E—Special Provisions for
modulation techniques:
Fixed Point-to-Point, Fixed Point-to(i) On any frequency removed from
Multipoint Hub Stations, and Fixed
the assigned frequency by more than 50
Point-to-Multipoint User Stations
percent up to and including 100 percent
§ 30.401 Permissible service.
of the authorized bandwidth: At least 25
Stations authorized under this subpart decibels;
may deploy stations used solely as fixed
(ii) On any frequency removed from
point-to-point stations, fixed point-tothe assigned frequency by more than
multipoint hub stations, or fixed point100 percent up to and including 250
to-multipoint user stations, as defined
percent of the authorized bandwidth: At
in § 30.2, subject to the technical and
least 35 decibels;
operational requirements specified in
(iii) On any frequency removed from
this subpart.
the assigned frequency by more than
250 percent of the authorized
§ 30.402 Frequency tolerance.
bandwidth: At least 43 + 10 Log10 (mean
The carrier frequency of each
output power in watts) decibels, or 80
transmitter authorized under this
decibels, whichever is the lesser
subpart must be maintained within the
attenuation.
following percentage of the reference
(2) When using transmissions
frequency (unless otherwise specified in
employing digital modulation
the instrument of station authorization
techniques in situations not covered in
the reference frequency will be deemed
this section:
to be the assigned frequency):
(i) In any 1 MHz band, the center
frequency of which is removed from the
Frequency
assigned frequency by more than 50
Frequency (MHz)
tolerance
(percent)
percent up to and including 250 percent
of the authorized bandwidth: As
27,500 to 28,350 ..................
0.001
specified by the following equation but
38,600 to 40,000 ..................
0.03
in no event less than 11 decibels:
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Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
A = 11 + 0.4(P¥50) + 10 Log10 B.
(Attenuation greater than 56
decibels or to an absolute power of
less than ¥13 dBm/1MHz is not
required.)
(ii) In any 1 MHz band, the center
frequency of which is removed from the
assigned frequency by more than 250
percent of the authorized bandwidth: At
least 43 + 10 Log10 (the mean output
power in watts) decibels, or 80 decibels,
whichever is the lesser attenuation. The
authorized bandwidth includes the
nominal radio frequency bandwidth of
an individual transmitter/modulator in
block-assigned bands. Equipment
licensed prior to April 1, 2005 shall
only be required to meet this standard
in any 4 kHz band.
(iii) The emission mask in paragraph
(a)(2)(i) of this section applies only to
the band edge of each block of
spectrum, but not to subchannels
established by licensees. The value of P
in the equation is the percentage
removed from the carrier frequency and
assumes that the carrier frequency is the
center of the actual bandwidth used.
The emission mask can be satisfied by
locating a carrier of the subchannel
sufficiently far from the channel edges
so that the emission levels of the mask
are satisfied. The emission mask shall
use a value B (bandwidth) of 40 MHz,
for all cases even in the case where a
narrower subchannel is used (for
instance the actual bandwidth is 10
Frequency
(MHz)
A ..............
B ..............
§ 30.406
Directional antennas.
(a) Unless otherwise authorized upon
specific request by the applicant, each
station authorized under the rules of
this subpart must employ a directional
antenna adjusted with the center of the
major lobe of radiation in the horizontal
plane directed toward the receiving
station with which it communicates:
§ 30.405 Transmitter power limitations.
provided, however, where a station
communicates with more than one
On any authorized frequency, the
point, a multi- or omni-directional
average power delivered to an antenna
antenna may be authorized if necessary.
in this service must be the minimum
(b) Fixed stations (other than
amount of power necessary to carry out
temporary fixed stations) must employ
the communications desired.
transmitting and receiving antennas
Application of this principle includes,
(excluding second receiving antennas
but is not to be limited to, requiring a
licensee who replaces one or more of its for operations such as space diversity)
antennas with larger antennas to reduce meeting the appropriate performance
Standard A indicated in the table to this
its antenna input power by an amount
section, except that in areas not subject
appropriate to compensate for the
to frequency congestion, antennas
increased primary lobe gain of the
meeting performance Standard B may be
replacement antenna(s). In no event
used. For frequencies with a Standard
shall the average equivalent
B1 and a Standard B2, in order to
isotropically radiated power (EIRP), as
comply with Standard B an antenna
referenced to an isotropic radiator,
must fully meet either Standard B1 or
exceed the following:
Standard B2. Licensees shall comply
with the antenna standards table shown
MAXIMUM ALLOWABLE EIRP
in this paragraph in the following
manner:
Frequency band (MHz)
Fixed (dBW)
(1) With either the maximum
27,500–28,3501 ....................
+ 55 beamwidth to 3 dB points requirement
38,600–40,000 ......................
+ 55 or with the minimum antenna gain
requirement; and
1 For Point-to-multipoint user stations au(2) With the minimum radiation
thorized in these bands, the EIRP shall not exceed 55 dBw or 42 dBw/MHz.
suppression to angle requirement.
Maximum beamwidth to 3 dB
points1
(included angle
in degrees)
Category
38,600 to 40,000 2 .....
MHz) and the mean output power used
in the calculation is the sum of the
output power of a fully populated
channel. For block assigned channels,
the out-of-band emission limits apply
only outside the assigned band of
operation and not within the band.
(b) [Reserved]
Minimum
antenna
gain
(dbi)
n/a .......................
n/a .......................
38
38
Minimum radiation suppression to angle in degrees from centerline of main beam in decibels
5° to 10°
25
20
10° to 15°
15° to 20°
29
24
20° to 30°
33
28
30° to 100°
36
32
100° to 140°
140° to 180°
55
36
55
36
42
35
1 If
a licensee chooses to show compliance using maximum beamwidth to 3 dB points, the beamwidth limit shall apply in both the azimuth and the elevation planes.
2 Stations authorized to operate in the 38,600–40,000 MHz band may use antennas other than those meeting the Category A standard. However, the Commission
may require the use of higher performance antennas where interference problems can be resolved by the use of such antennas.
§ 30.407
Antenna polarization.
§ 101.56
In the 27,500–28,350 MHz band,
system operators are permitted to use
any polarization within its service area,
but only vertical and/or horizontal
polarization for antennas located within
20 kilometers of the outermost edge of
their service area.
mstockstill on DSK3G9T082PROD with RULES3
PART 101—FIXED MICROWAVE
SERVICES
16. The authority citation for part 101
continues to read as follows:
■
Authority: 47 U.S.C. 154, 303.
§ 101.17
■
■
[Removed and Reserved]
18. Remove and reserve § 101.56.
19. Section 101.63 is amended by
revising paragraph (a) to read as follows:
■
§ 101.63 Period of construction;
certification of completion of construction.
(a) Each Station, except in
Multichannel Video Distribution and
Data Service, Local Multipoint
Distribution Service, and the 24 GHz
Service, authorized under this part must
be in operation within 18 months from
the initial date of grant.
*
*
*
*
*
[Removed and Reserved]
17. Remove and reserve § 101.17.
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§ 101.101
[Amended]
20. Section 101.101, the table, is
amended by removing the entries
‘‘27,500–28,350’’ and ‘‘38,600–40,000.’’
■ 21. Section 101.103 is amended by
revising paragraph (g)(1) and by
removing paragraph (i) as follows:
■
§ 101.103 Frequency coordination
procedures.
*
*
*
*
*
(g) * * *
(1) When the transmitting facilities in
a Basic Trading Area (BTA) are to be
operated in the bands 29,100–29,250
MHz and 31,000–31,300 MHz and the
facilities are located within 20
kilometers of the boundaries of a BTA,
each licensee must complete the
frequency coordination process of
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Federal Register / Vol. 81, No. 219 / Monday, November 14, 2016 / Rules and Regulations
paragraph (d)(2) of this section with
respect to neighboring BTA licensees
that may be affected by its operations
prior to initiating service. In addition,
all licensed transmitting facilities
operating in the bands 31,000–31,075
MHz and 31,225–31,300 MHz and
located within 20 kilometers of
neighboring facilities must complete the
frequency coordination process of
paragraph (d)(2) of this section with
respect to such authorized operations
before initiating service.
*
*
*
*
*
§ 101.107
[Amended]
22. Section 101.107 is amended by
removing the entry ‘‘27,500 to 28,350’’
from the table following paragraph (a).
■ 23. Section 101.109 is amended by
removing the entries ‘‘27,500 to 28,350’’
and ‘‘38,600 to 40,000’’ in the table
following paragraph (c) and revising
footnote 7 to the table.
The revision reads as follows:
■
§ 101.109
Bandwidth.
*
*
*
*
*
(c) * * *
7 For channel block assignments in
the 24,250–25,250 MHz band, the
authorized bandwidth is equivalent to
an unpaired channel block assignment
or to either half of a symmetrical paired
channel block assignment. When
adjacent channels are aggregated,
equipment is permitted to operate over
the full channel block aggregation
without restriction.
*
*
*
*
*
§ 101.113
[Amended]
24. Section 101.113 is amended by
removing the entries ‘‘27,500–28,350’’
and ‘‘38,600 to 40,000’’ in the table
following paragraph (a).
■
§ 101.115
[Amended]
25. Section 101.115 is amended by
removing the entry ‘‘38,600 to 40,000’’
in the table following paragraph (b)(2),
removing footnote 14, and redesignating
footnote 15 as footnote 14.
mstockstill on DSK3G9T082PROD with RULES3
■
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26. Section 101.147 is amended by
revising the portion of paragraph (a)
preceding the Notes, revising paragraph
(t), and removing and reserving
paragraph (v).
The revisions read as follows:
■
§ 101.147
Frequency assignments.
(a) Frequencies in the following bands
are available for assignment for fixed
microwave services.
928.0–929.0 MHz (28)
932.0–932.5 MHz (27)
932.5–935 MHz (17)
941.0–941.5 MHz (27)
941.5–944 MHz (17) (18)
952.0–960.0 MHz (28)
1,850–1,990 MHz (20) (22)
2,110–2,130 MHz) (1) (3) (7) (20) (23)
2,130–2,150 MHz (20) (22)
2,160–2,180 MHz (1) (2) (20) (23)
2,180–2,200 MHz (20) (22)
2,450–2,500 MHz (12)
2,650–2,690 MHz
3,700–4,200 MHz (8) (14) (25)
5,925–6,425 MHz (6) (14) (25)
6,425–6,525 MHz (24)
6,525–6.875 MHz (14) (33)
6,875–7,125 MHz (10), (34)
10,550–10,680 MHz (19)
10,700–11,700 MHz (8) (9) (19) (25)
11,700–12,200 MHz (24)
12,200–12,700 MHz (31)
12,700–13,200 (22), (34)
13,200–13,250 MHz (4) (24) (25)
14,200–14,400 MHz (24)
17,700–18,820 MHz (5) (10) (15)
17,700–18,300 MHz (10) (15)
18,820–18,920 MHz (22)
18,300–18,580 MHz (5) (10) (15)
18,580–19,300 MHz (22) (30)
18,920–19,160 MHz (5 (10) (15)
19,160–19,260 MHz (22)
19,260–19,700 MHz (5) (10) (15)
19,300–19,700 MHz (5) (10) (15)
21,200–22,000 MHz (4) (11) (12) (13)
(24) (25) (26)
22,000–23,600 MHz (4) (11) (12) (24)
(25) (26)
24,250–25,250 MHz
29,100–29,250 MHz (5), (16)
31,000–31,300 MHz (16)
42,000–42,500 MHz
71,000–76,000 MHz (5) (17)
PO 00000
Frm 00053
Fmt 4701
Sfmt 9990
79945
81,000–86,000 MHz (5) (17)
92,000–94,000 MHz (17)
94,100–95,000 MHz (17)
*
*
*
*
*
(t) 29,100–29,250; 31,000–31,300
MHz. These frequencies are available for
LMDS systems. Each assignment will be
made on a BTA service area basis, and
the assigned spectrum may be
subdivided as desired by the licensee.
*
*
*
*
*
§ 101.149
[Removed and Reserved]
27. Remove and reserve § 101.149.
28. Section 101.1005 is amended by
revising paragraphs (a) and (b) to read
as follows:
■
■
§ 101.1005
Frequencies available.
(a) The following frequencies are
available for assignment to LMDS in two
license blocks:
Block A of 300 MHz
29,100–29,250 MHz
31,075–31,225 MHz
Block B of 150 MHz
31,000–31,075 MHz
31,225–31,300 MHz
(b) In Block A licenses, the
frequencies are authorized as follows:
(1) 29,100–29,250 MHz is shared on a
co-primary basis with feeder links for
non-geostationary orbit Mobile Satellite
Service (NGSO/MSS) systems in the
band and is limited to LMDS hub-tosubscriber transmissions, as provided in
§§ 25.257 and 101.103(h) of this chapter.
(2) 31,075–31,225 MHz is authorized
on a primary protected basis and is
shared with private microwave point-topoint systems licensed prior to March
11, 1997, as provided in § 101.103(b).
*
*
*
*
*
Subpart N—[Removed and Reserved]
29. Remove and reserve subpart N,
consisting of §§ 101.1201 through
101.1209.
■
[FR Doc. 2016–25765 Filed 11–10–16; 8:45 am]
BILLING CODE 6712–01–P
E:\FR\FM\14NOR3.SGM
14NOR3
]]>Agencies
[Federal Register Volume 81, Number 219 (Monday, November 14, 2016)]
[Rules and Regulations]
[Pages 79894-79945]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-25765]
[[Page 79893]]
Vol. 81
Monday,
No. 219
November 14, 2016
Part III
Federal Communications Commission
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47 CFR Parts 1, 2, 15, et al.
Use of Spectrum Bands Above 24 GHz for Mobile Radio Services; Final
Rule
Federal Register / Vol. 81 , No. 219 / Monday, November 14, 2016 /
Rules and Regulations
[[Page 79894]]
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Parts 1, 2, 15, 25, 30, and 101
[GN Docket No. 14-177, IB Docket Nos. 15-256 and 97-95, RM-11664, WT
Docket No. 10-112; FCC 16-89]
Use of Spectrum Bands Above 24 GHz for Mobile Radio Services
AGENCY: Federal Communications Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In this document, the Federal Communications Commission
(Commission or FCC) adopts rules for specific millimeter wave (mmW)
bands above 24 GHz. This action is undertaken to establish a regulatory
framework for the use of these bands for the development of the next
generational evolution of wireless technology. Once effective, these
rules will promote the development of highly beneficial technologies,
in particular the so-called 5G technology.
DATES: Effective December 14, 2016, except for Sec. Sec. 25.136 and
30.8 which contain information collection requirements that are not
effective until approved by the Office of Management and Budget. The
FCC will publish a document in the Federal Register announcing the
effective date for those sections.
FOR FURTHER INFORMATION CONTACT: John Schauble of the Wireless
Telecommunications Bureau, Broadband Division, at 202-418-0797 or
John.Schauble@fcc.gov, Michael Ha of the Office of Engineering and
Technology, Policy and Rules Division, at 202-418-2099 or
Michael.Ha@fcc.gov, or Jose Albuquerque of the International Bureau,
Satellite Division, at 202-418-2288 or Jose.Albuquerque@fcc.gov. For
information regarding the PRA information collection requirements
contained in this PRA, contact Cathy Williams, Office of Managing
Director, at (202) 418-2918, or via email at Cathy.Williams@fcc.gov.
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Report
and Order GN Docket No. 14-177, FCC 16-89, adopted and released on July
14, 2016. The complete text of this document is available for public
inspection and copying from 8 a.m. to 4:30 p.m. Eastern Time (ET)
Monday through Thursday or from 8 a.m. to 11:30 a.m. ET on Fridays in
the FCC Reference Information Center, 445 12th Street SW., Room CY-
A257, Washington, DC 20554. The complete text is available on the
Commission's Web site at https://wireless.fcc.gov, or by using the
search function on the ECFS Web page at https://www.fcc.gov/cgb/ecfs/.
Alternative formats are available to persons with disabilities by
sending an email to fcc504@fcc.gov or by calling the Consumer &
Governmental Affairs Bureau at 202-418-0530 (voice), 202-418-0432
(tty).
Ex Parte Presentations
This proceeding shall continue to be treated as a ``permit-but-
disclose'' proceeding in accordance with the Commission's ex parte
rules. Persons making ex parte presentations must file a copy of any
written presentation or a memorandum summarizing any oral presentation
within two business days after the presentation (unless a different
deadline applicable to the Sunshine period applies). Persons making
oral ex parte presentations are reminded that memoranda summarizing the
presentation must (1) list all persons attending or otherwise
participating in the meeting at which the ex parte presentation was
made, and (2) summarize all data presented and arguments made during
the presentation. If the presentation consisted in whole or in part of
the presentation of data or arguments already reflected in the
presenter's written comments, memoranda or other filings in the
proceeding, the presenter may provide citations to such data or
arguments in his or her prior comments, memoranda, or other filings
(specifying the relevant page and/or paragraph numbers where such data
or arguments can be found) in lieu of summarizing them in the
memorandum. Documents shown or given to Commission staff during ex
parte meetings are deemed to be written ex parte presentations and must
be filed consistent with Sec. 1.1206(b). In proceedings governed by
Sec. 1.49(f) or for which the Commission has made available a method
of electronic filing, written ex parte presentations and memoranda
summarizing oral ex parte presentations, and all attachments thereto,
must be filed through the electronic comment filing system available
for that proceeding, and must be filed in their native format (e.g.,
.doc, .xml, .ppt, searchable .pdf). Participants in this proceeding
should familiarize themselves with the Commission's ex parte rules.
Paperwork Reduction Act
The Report and Order contains new 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 Sec. 3507(d) of the PRA. OMB, the
general public, and other Federal agencies will be invited to comment
on the new information collection requirements contained in this
proceeding.
Comment Filing Procedures
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).
Electronic Filers: Comments may be filed electronically
using the Internet by accessing the ECFS: https://fjallfoss.fcc.gov/ecfs2/ or the Federal eRulemaking Portal: https://www.regulations.gov.
Filers should follow the instructions provided on the Web site for
submitting comments and transmit one electronic copy of the filing to
GN Docket No. 14-177. For ECFS filers, in completing the transmittal
screen, filers should include their full name, U.S. Postal Service
mailing address, and the applicable docket number.
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 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.
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
[[Page 79895]]
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).
Congressional Review Act
The Commission will send a copy of this Report and Order in a
report to be sent to Congress and the Government Accountability Office
pursuant to the Congressional Review Act (CRA), see 5 U.S.C.
801(a)(1)(A).
Synopsis
I. Introduction
1. In this Report and Order, the Commission adopts new licensing,
service, and technical rules for three bands. In so doing, the
Commission attempts to follow a consistent framework across all of the
bands that can serve as a template for additional bands in the future.
The Commission adopted 10 year license terms and performance
requirements that are flexible to allow multiple use cases to evolve
over time. These basic building blocks are modified in order to meet
the specific characteristics of a particular band.
2. The Commission also took significant steps forward on solutions
to spectrum sharing in the millimeter wave (mmW) bands. The Commission
adopted rules that will allow both satellite and terrestrial networks
to continue to expand in a flexible manner. The Commission continues to
facilitate co-primary shared access to the 39.5-40 GHz band for Federal
and non-Federal users, and building off of recent policy developments
in spectrum sharing, it also created a new approach to Federal sharing
in the 37 GHz band. Specifically, instead of relying on static
exclusion zones, the Commission created a space for both Federal and
non-Federal users to share on a coequal basis and set out a process for
defining how that sharing will be implemented. Finally, the Commission
substantially increases the amount of unlicensed spectrum available by
adding another seven gigahertz to the existing 57-64 GHz band, and
adopting flexible technical rules.
A. 28 GHz Band
1. Suitability for Mobile Use
3. Some satellite operators, satellite equipment suppliers and
satellite-focused trade associations urge the Commission not to
authorize terrestrial mobile services in the 28 GHz band. This
perspective is by no means unanimous or unqualified even among that
group, however. SES, for example, says that it expects to support
terrestrial mobile services in bands above 24 GHz by providing video
distribution, providing backhaul services, and by extending terrestrial
network coverage to sea, air, and remote land masses. EchoStar says
that satellite operators could coexist with mobile services in the band
by avoiding deployment of gateway earth stations in large urban
centers. ViaSat estimates that the compatibility distance between
satellite earth stations and terrestrial mobile in the 28 GHz band
would be in the range of 160 meters, and could be further reduced by
additional mitigation techniques. Nearly all other commenters who
address the topic emphatically support mobile service authorization in
the 28 GHz band.
4. Perhaps more so than other mmW bands, the 28 GHz band has been
the focus of academic research and industry prototyping efforts to
develop mobile service technologies. The 28 GHz band is attractive for
research on enabling mobility in mmW bands because, with 850 megahertz
of contiguous bandwidth, it has ample capacity to accommodate a wide
range of high data-rate applications, and it has global co-primary
allocations for fixed and mobile services. There are no Federal
allocations in the band. Further, because this is an active service
with Local Multipoint Distribution Service (LMDS) licenses covering
about 75 percent of the U.S. population, it can be quickly repurposed
for new flexible uses, including mobile. The ready availability of the
spectrum will also help drive the development of a robust ecosystem at
a large scale.
5. Opponents of authorizing new flexible and mobile use in the 28
GHz band raise three basic objections: (1) That there is no
international consensus to authorize mobile services in the band; (2)
that LMDS operators do not have an equitable expectation of mobile
rights in the band; and (3) that mobile services in the 28 GHz band
would impair vital satellite services. The Commission discusses the
first of those issues below, reserving discussion of the second and
third issues for Section I.4.c (Aggregate Interference to Satellite
Receivers).
6. Regarding the alleged absence of international consensus
expressed by some of the commenting parties, the Commission notes that
the 28 GHz band already has a primary worldwide mobile service
allocation, which embodies a previously agreed consensus among
International Telecommunication Union (ITU) members. Although World
Radiocommunication Conference (WRC) 2015 (WRC-15) omitted 27.5-28.35
GHz from a list of mmW bands that it invited ITU-Radiocommunication
(ITU-R) to study for mobile service, the record in this proceeding
makes it abundantly clear that there are significant benefits to
authorizing mobile use in the 28 GHz band regardless of that
international decision.
7. Administrations and wireless industry representatives that have
been major leaders in the mobile industry support authorization of
mobile services in the 27.5-28.35 GHz band. Verizon notes that
countries supporting mobile use in the band include South Korea, Japan,
Sweden, Finland, and Singapore--``technology powerhouses with their
sights set on 5G''--and argues that this Commission should not delay
repurposing the 28 GHz band while its counterparts in those countries
support their industries' efforts to develop mobile technologies for
the band. Intel says that major markets like the U.S., Japan, and Korea
are moving expeditiously, ``blazing the trail for mobile 5G services in
the 28 GHz band, in spite of the WRC-15 decision not to study the 28
GHz band leading up to WRC-19.'' Ericsson contends that, regardless of
the outcome of WRC-15, spectrum from this general range very likely
will be used for 5G around the world, as evidenced by the fact that
Japan and Korea appear to be pressing ahead to use frequencies in this
range for their Olympic Game deployments. Nokia expresses
disappointment with the outcome of WRC-15, sees ``great potential'' for
the 28 GHz band and urges the Commission to ``unlock the promise of
that band for mobile use.'' Internationally, Huawei and Alcatel-Lucent
are also focusing on the 28 GHz band as key spectrum for mobile use. T-
Mobile USA, whose majority owner is the flagship German
telecommunications company, Deutsche Telekom, filed comments in this
proceeding expressing its support for mobile services in the 28 GHz
band. Other comments reflect near-unanimous support among carriers,
equipment suppliers, and associations that represent them.
8. The Commission acknowledges the comments of parties that
emphasize the importance of international harmonization, but in this
case, it appears there is sufficient international interest (including
from Japan and South Korea) for using the 28 GHz band and adjacent
bands to justify making the 28 GHz band available for mobile use. Intel
and Ericsson both state that the
[[Page 79896]]
mobile industry could readily create integrated circuits with tuning
ranges for various bands in that part of the spectrum, and the Republic
of Korea submitted a proposal to WRC-15 stating that the ``frequency
range from 24.25 GHz to 29.5 GHz proposed from regional groups could be
implemented by one single device to facilitate global roaming around
the year 2020.'' These kinds of capabilities are already being
reflected in standards development. Microsoft explains that 3GPP
release 13 will allow for carrier aggregation of multiple bands of
spectrum, both licensed and unlicensed, in the 5 GHz band, and it says
that, once 5G service is defined, the committee will likely extend its
standards to encompass the millimeter wave bands. Microsoft argues that
carriers should ultimately be able to aggregate low-, medium-, and
high-band spectrum. The significant domestic and international interest
in making the 28 GHz band available for new mobile uses clearly
supports taking action in this Report and Order to create new flexible
use licenses.
2. Licensing the 28 GHz Band
a. Use of Geographic Area Licensing
9. The Commission adopted its proposal to implement geographic area
licensing throughout the 28 GHz band because geographic area licensing
will expedite deployment, provide licensees with the flexibility to
provide a variety of services, and is consistent with the existing
licensing scheme. One significant advantage to this approach is that
the Commission can expedite use of the band for advanced services
because it is consistent with the existing framework in this band.
10. In contrast, if the Commission adopted a separate framework for
mobile use of the band, the Commission needs to develop a Spectrum
Access System (SAS), define the specific rights held by the existing
licensees, and work out rules for coordination with the existing
licensees. Adopting geographic area licensing for this band is also
consistent with the Commission's goal of adopting a balanced licensing
approach that includes licensed, unlicensed, and innovative sharing
approaches across a variety of bands. For these reasons, the Commission
is not adopting a 3.5 GHz-style SAS framework for this band.
11. Similarly, the Commission declines to adopt Microsoft's
proposal to create an unlicensed portion of the band. The Commission
believes splitting the band into unlicensed and licensed segments would
potentially hinder deployment by making it more difficult for licensees
to use the full 850 megahertz of spectrum. The Commission nonetheless
agrees that a balance between licensed and unlicensed usage is
important, and as described below, the Commission is also making seven
gigahertz of spectrum available for use by unlicensed devices in the
64-71 GHz band, and create an opportunity for shared access in the 37-
37.6 GHz band segment.
b. License Area Size
12. The Commission adopted counties as the license area size for
Upper Microwave Flexible Use Service (UMFUS) licenses in the 28 GHz
band. The Commission also adopted its proposal to subdivide existing
LMDS licenses on a county basis. As the Commission explained in the
Notice of Proposed Rulemaking (NPRM), a county-based license affords a
licensee the flexibility to develop localized services, allows for
targeted deployments based on market forces and customer demand, and
facilitates access by both smaller and larger carriers. In the
Commission views, the claims of certain commenters that larger license
areas will better fit the services contemplated for these bands lack
specificity and do not take into account the potential need for
targeted deployment. It is unclear that providers need to--or will want
to--aggregate nationwide licenses, as mobile operations in the band may
initially be deployed. On a mobile basis, this band is envisioned for
mobile operations in denser population centers or around highway
corridors. While it is true that county-sized licenses will result in
more borders, the Commission adopted a power flux density (PFD) limit
at the border that will facilitate coordination between licensees.
Furthermore, no party offered evidence that there have been problems
providing service near existing Basic Trading Area (BTA) borders. The
Commission notes that licensees in other services regularly coordinate
their operations along shared borders and have well established
procedures for conducting this coordination. The Commission expects
that licensees will be able to apply these same procedures in this band
without any undue burden. To the extent existing BTA licensees do not
believe it is economically viable to build within certain counties of a
BTA, the Commission believes it would be appropriate to give other
interested parties an opportunity to license and to make use of the
spectrum. Finally, establishing smaller license areas is fair to
existing licensees because those licensees are also obtaining valuable
new rights and they are keeping the same bundle of rights they had
previously. Overall, the Commission believes the benefits of smaller
license areas for this specific band outweigh any administrative burden
on licensees and the Commission.
13. In this proceeding, the Commission is endeavoring to create a
regulatory scheme that will suit the development of innovative wireless
services for years to come. The Commission in recent years has sought
greater consistency in its approach to geographic license area sizes to
help providers aggregate licenses in a more targeted and efficient
manner, gravitating toward license areas that are derived from Economic
Area (EA) units. BTAs have only been used as the license area for a few
commercial wireless services. Counties, however, are the base unit that
make up common commercial wireless license sizes, including EAs and the
new Partial Economic Area (PEA) license areas. There is also a
practical advantage to issuing county-based licenses. Specifically, the
Commission would be required to negotiate a new licensing agreement
with Rand McNally to use BTAs in UMFUS. In recent years, the Commission
has avoided using license areas controlled by third parties in order to
eliminate the time and expense involved in negotiating such agreements.
3. Mobile Rights for Incumbents
14. The Commission adopted its proposal to grant mobile operating
rights to existing active LMDS licensees. This grant is in fulfillment
of the Commission's original mobile allocation for 28 GHz and its
stated expectation of allowing mobile use in the band in ``providing
LMDS licensees with maximum flexibility in designing their systems.''
The Commission adopted the rules; therefore, licensees are able to
provide mobile services consistent with part 30 licensing and technical
rules. Granting mobile operating rights to existing licensees will
expedite the deployment of service, minimize the difficulties involved
in coordinating fixed and mobile deployments, and provide a uniform
licensing scheme throughout the United States. The Commission remains
concerned that awarding fixed and mobile rights separately would lead
to disputes between fixed and mobile licensees that could make it more
difficult for both licensees to provide service.
15. The Commission recognizes that awarding mobile rights to
incumbent licensees could be viewed as a windfall to those licensees,
although the
[[Page 79897]]
Commission contemplated granting mobile rights when it first created
LMDS. Here, the benefits of expediting service and ease of coordinating
fixed and mobile service outweigh any foreseeable disadvantages of
granting mobile rights to incumbents. In this instance, the Commission
finds that expedition is particularly important because of the need to
make mmW spectrum available for innovative and novel issues.
4. Satellite Terrestrial Sharing
a. Sharing With FSS (Fixed Satellite Service) Earth Stations
16. The record demonstrates that FSS earth stations in the 28 GHz
band can share the band with minimal impact on terrestrial operations.
For example, EchoStar argues that 28 GHz Earth-to-space stations would
not curtail the deployment of 5G systems outside a few very small non-
urban areas. EchoStar and ViaSat both estimate that terrestrial mobile
stations could be deployed as close as 170 meters to their Earth-to-
space transmitters in the 28 GHz band. SES Americom suggests ``carving
out some rural areas where future gateway earth stations can be
licensed for use in the 28 GHz band.'' With respect to terrestrial
operations, AT&T, Nokia, Samsung, T-Mobile, and Verizon estimate that
the necessary separation distances between FSS earth stations and
terrestrial deployments are between 50 and 400 meters depending on the
type of earth stations. Therefore, the Commission finds that it is in
the public interest to create rules that allow for continued and
expanded sharing between terrestrial operations and FSS earth stations
in the 28 GHz band.
17. The Commission recognizes that sharing may be more difficult
for non-geostationary satellite systems, such as the system operated by
O3b. While O3b argues that it needs multiple sites in a county in order
to serve customer locations, it ignores the Commission's decision that
it was allowing FSS to access the 28 GHz band solely for the purpose of
providing limited Earth-to-space gateway-type services. O3b had no
reasonable expectation that the Commission would grant earth stations
designed to serve customer locations priority over fixed LMDS services
and mobile services that the Commission contemplated would become part
of LMDS. O3b estimates that the preclusive distance for its gateway
earth stations with respect to mmW mobile stations is between 1.2 and
13.8 kilometers. Nonetheless, the Commission believes that sharing is
feasible for O3b. First, as discussed below, the Commission is
grandfathering O3b's existing earth stations in Texas and Hawaii.
Second, O3b has the option of locating future earth stations in
relatively remote areas. Third, O3b can obtain protection by purchasing
an exclusive use terrestrial license at auction or by working with a
licensee in the secondary market to partition a license area with
sufficient size to allow it to deploy additional earth stations without
impacting terrestrial operations, or enter into a different type of
negotiated sharing arrangement. Fourth, O3b can take advantage of
shielding or other mitigation techniques. Comsearch characterizes
satellite operators' use of naturally occurring terrain features as
follows:
Before the great explosion of satellite communications for all
types of uses, earth station sites were carefully selected with
protection from interference the primary consideration. Most
locations were many miles from the cities that they were serving,
with the ideal earth station site being naturally shielded by
terrain at a spot, which was calculated to be virtually free of
interfering signals. For most types of communication, this type of
isolation is not required, although it is still true that the most
important aspect of a site is its shielding.
There are many naturally occurring terrain features that are
capable of providing terrain shielding for NGSO gateway stations and
shielding can also be provided by creating berms or other man-made
barriers.
18. In short, while allowing new earth stations in the 28 GHz band
is not without cost to terrestrial licensees, the Commission believes
that the small area encumbered by a new earth station (with the limits
noted below) will minimize such costs and will allow both satellite and
terrestrial services to expand and coexist. Furthermore, satellite
operators deployed in this band knowing that they were secondary
licensees with respect to LMDS, that the Commission had chosen to allow
only limited satellite use, and that the Commission had long envisioned
allowing mobile use in the band. Despite these facts, below the
Commission creates a path to further expand satellite gateways that
could add thousands of new sites because the Commission believes the
relatively small protection zones will have little impact on
terrestrial use.
b. Licensing of FSS Earth Stations
19. The Commission maintains the current status of FSS, and as
described below, creates new opportunities for continued expansion of
FSS earth stations on a protected basis. Upgrading the FSS designation
to co-primary status, even if limited to individually licensed earth
stations, would be inconsistent with terrestrial use of this band and
the Commission's decision to facilitate expanded terrestrial use, and
would not effectively facilitate sharing in the band. The Commission
believes the 28 GHz band will play a vital role in the deployment of
advanced mmW services, and fully upgrading FSS under the Commission's
service rules to co-primary status would be inconsistent with this goal
and would be unnecessary to meet the FSS community's needs.
20. The Commission recognizes, however, that FSS operators rely on
this band for gateway connectivity and have invested significant
capital in the band and will continue to do so in the future. The
Commission believes there is value in creating meaningful, targeted
opportunities to deploy additional FSS earth stations in the band
without harming terrestrial operations. The NPRM's proposals
encouraging satellite operators to participate in county-sized (or
smaller) market transactions were predicated in part on the vast
protection zones that satellite operators have traditionally claimed
were necessary, either to protect their operations or to protect others
from them. Here, there is a consensus that much smaller protection
zones are needed. EchoStar and ViaSat have both estimated that
terrestrial mobile stations could be deployed as close as 170 meters to
their Earth-to-space transmitters in the 28 GHz band. Most other
satellite operators either support those specific calculations, agree
in general terms that the necessary preclusive zones can be very small,
or state that gateway earth stations can be located in rural areas far
away from the urban cores where mmW mobile operations will be most
viable.
21. The ability of satellite earth stations and terrestrial
operations to coexist in close proximity to each other has two
significant ramifications. First, it should be possible for satellite
and terrestrial services to share the 28 GHz band with de minimis
impairment of each other's operations. Second, the disparity between
the county-sized license areas the Commission has established for 28
GHz UMFUS licensees and the extremely small areas required for FSS
earth stations makes it inappropriate for the Commission to rely
exclusively on a market-based mechanism for assigning rights to FSS
earth stations, although the Commission retains this option as one
means through which FSS operators may expand.
22. In addition to acquiring the terrestrial license rights, the
[[Page 79898]]
Commission also concludes that it would be efficient to continue to
authorize gateway satellite earth stations under the existing part 25
first-come, first-served basis. The Commission adopts a mechanism under
which FSS earth stations will, so long as they comply with conditions
noted below, be able to deploy new gateways in limited circumstances
without being required to take any additional actions to provide
interference protection to UMFUS licensees. The Commission builds this
upon record support for several different approaches to sharing in the
28 GHz band.
23. The authorization of FSS earth stations in the 27.5-28.35 GHz
band that will not be required to take any additional actions to
provide interference protection to UMFUS licenses is subject to the
following conditions. First, the Commission will authorize no more than
three locations in each county where FSS may deploy earth stations on a
protected basis. Second, an FSS applicant must demonstrate in its
license application that the permitted interference zone around its
earth station, which the Commission will define as the contour within
which FSS licensees generate a PFD, at 10 meters above ground level, of
no more than -77.6 dBm/m\2\/MHz, together with any preexisting earth
stations located in the same county on a protected basis, will, in the
aggregate, cover no more than 0.1 percent of the population of the
county license area where the earth station is located.\1\ Third, the
applicant must show that the permitted interference zone does not
infringe upon any major event venue, arterial street, interstate or
U.S. highway, urban mass transit route, passenger railroad, or cruise
ship port. The Commission notes that Verizon supports prohibiting
siting earth stations near athletic and/or entertainment venues,
interstate and U.S. highways, and port facilities. The Commission
believes the other locations the Commission has identified are
similarly areas where the Commission could expect to have high demand
for wireless services. Fourth, prior to filing its application, if
there is an existing 28 GHz UMFUS licensee in the county where it is
proposing to locate its earth station, the earth station applicant must
coordinate its operation with the existing UMFUS licensees using the
coordination procedures contained in Sec. 101.103(d) of the
Commission's rules. The purpose of the coordination is to ensure that
the earth station will not interfere with existing facilities operating
under the UMFUS license. The Commission expects that UMFUS licensees
will cooperate in good faith in the coordination process and only raise
objections if there is a legitimate concern about interference to
existing UMFUS facilities or failure to comply with the criteria listed
above.
---------------------------------------------------------------------------
\1\ The International Bureau will issue a public notice seeking
comment on the appropriate methodology to calculate the 0.1 percent
population limit and further details regarding earth station
interference zone calculation (including propagation models, e.g.
free space versus probabilistic), and will also seek comment on best
practices for earth station siting to minimize the impact on UMFU
services, colocation of earth stations, and accommodating multiple
earth station interference zones without exceeding 0.1 percent of
population in a given county.
---------------------------------------------------------------------------
24. These conditions are designed to provide FSS licensees with
substantial opportunities to expand their limited use of the 28 GHz
band to deploy earth stations that do not have to protect terrestrial
services, while minimizing the impact on terrestrial operations. Since
there are over 3,000 counties in the United States, with a potential
for up to three locations in each county, FSS licensees would have many
choices for earth station locations. Furthermore, even with the
conditions the Commission has imposed, FSS operators will have great
flexibility in selecting earth station locations that meet their needs.
Taking ViaSat's 160-meter radius estimate as a point of departure, the
typical interference zone for terrestrial operations around a gateway
earth station would cover about 0.08 square kilometers. As ViaSat
notes, this zone could be reduced further by reducing the preclusive
distance around the earth station, using mitigation techniques such as
shielding. Even without such reductions, the interference zone would
represent only about 0.0033 percent of the area of an average U.S.
county. If one were to assume an even population distribution
throughout every county, ViaSat's interference zone would cover no more
than 0.1 percent of the population of any county that covers more than
80 square kilometers. There are only four counties in the United States
that cover less than 80 square kilometers. In addition, any
interference zone will be allowed to accommodate multiple FSS earth
stations that could, for instance, be serving different satellites in
the geostationary orbit, as long as these earth stations, in the
aggregate, do not cause the interference zone to exceed the limits the
Commission adopted in this Report and Order.
25. Conversely, the Commission believes that allowing FSS earth
stations to share the 28 GHz band under these conditions will not
unduly hinder terrestrial deployment in the band. The Commission notes
that existing LMDS licensees are obtaining valuable mobile rights, and
the value of those rights far outweighs any impairment imposed by this
sharing mechanism. In addition, under the rules the Commission adopted,
the Commission believes that FSS operations will encumber only a small
geographic area and a small portion of the population of the license
area. While the Commission maintains flexibility for FSS operators to
choose the areas that fit within these conditions, current and future
licensees will have some ability to predict the potential impact on the
license area.
26. Other than applying those conditions, the Commission does not
propose to designate the locations of any county's satellite permitted
interference zones in advance--i.e., the Commission will leave the
choices of locations to the discretion of the satellite operators,
conditional upon the licensees constructing and activating their earth
stations within 12 months, pursuant to Sec. 25.133 of the Commission's
rules.
27. The Commission also notes that FSS operators will have other
mechanisms available to deploy earth stations that do not have to
protect terrestrial services. The Commission will adopt its proposal to
grant such rights to any FSS earth stations for which the FSS operator
also holds the UMFUS license that covers the earth station's permitted
interference zone. To the extent FSS operators and UMFUS licensees
enter into private agreements, their relationship will be governed by
those agreements. Finally, FSS earth stations may continue to be
authorized without the benefit of an interference zone. In this
respect, taking into account the small size of the area around an earth
station where terrestrial operations would not be protected, the
Commission encourages UMFUS licensees to be flexible in providing
certainty to the operation of FSS earth stations in areas where they do
not intend to deploy terrestrial services. The Commission emphasizes
that these FSS earth stations will have no expectation of interfering
rights and will have to cease operation if requested by UMFUS licensees
at any time on the basis of harmful interference to their services.
28. The Commission also modifies its proposal in the NPRM for
treatment of existing FSS gateway earth stations. Since the Commission
is no longer requiring FSS operators to obtain an UMFUS license in
order to obtain the right to interfere, the Commission will not grant
UMFUS licenses to existing FSS earth station holders. Instead, the
Commission will grandfather all
[[Page 79899]]
existing 28 GHz FSS earth stations authorized as of the adoption date
(July 14, 2016) of this Report and Order and grant them the right to
operate under the terms of their existing authorizations without taking
into account possible interference to UMFUS operations. The Commission
will also grandfather pending applications for 28 GHz earth stations
filed prior to the adoption date of this Report and Order if such
applications are subsequently granted pursuant to the existing part 25
rules (i.e., without regard to the criteria the Commission adopted).
The Commission notes that in many instances, these earth stations are
used to provide valuable services to customers. In areas where there is
no existing LMDS licensee, a new UMFUS licensee will have the ability
to take the existing FSS earth station into account before it acquires
the license or plans deployment. Even in areas where there is an
existing LMDS licensee, Samsung's analysis demonstrates that existing
earth stations will have a small impact on the terrestrial licensee.
Finally, the Commission notes that AT&T and Verizon support
grandfathering existing earth stations.
29. In adopting these rules, the Commission acknowledges with
appreciation the efforts that AT&T and EchoStar have made to forge a
compromise proposal that would be acceptable to other parties. The
Commission declines to adopt their compromise proposal because it would
have provided less predictability regarding the locations of future
earth stations, and it would have limited the ability of FSS to deploy
near population centers even if the deployment affected a small
percentage (or even none) of the population. By contrast, the sharing
mechanism that the Commission adopted will provide predictability to
terrestrial licensees while giving FSS the opportunity to greatly
expand their operations to over 9,500 locations. The Commission
believes the rules that the Commission adopted will encourage intensive
use of the band by both UMFUS and FSS licensees.
c. Aggregate Interference to Satellite Receivers
30. The second issue that must be considered with respect to
satellite-terrestrial system coexistence is aggregate skyward
interference to satellite receivers. There is a concern on the record
that upward transmissions from large numbers of terrestrial stations
will, in the aggregate, generate enough power to be received at the
satellite's receiver, thus degrading the satellite's performance. The
most detailed concerns about aggregate interference are raised in ex
parte presentations by O3b, SES, ViaSat, and a group referring to
themselves as Satellite Operators. For the reasons noted below, the
Commission concludes that the potential for aggregate interference
rising to the level of harmful interference is unlikely and thus is not
a basis for refusing to authorize mobile service in the 28 GHz band,
and the Commission declines to establish any regulatory limit on
aggregate power levels.
31. Under the Commission's rules, FSS is secondary to LMDS fixed
and mobile operations in the 28 GHz band. The Commission's rules
specifically state, ``FSS is secondary to LMDS in [the 27.5-28.35 GHz]
band.'' Internationally, this band is allocated to the FSS and the
fixed and mobile services on a co-primary basis. The Commission
recognizes that there are non-U.S. licensed FSS networks in this band,
and that the United States needs to protect those systems consistent
with its relevant international obligations. This framework exists in
other bands where FSS shares spectrum with terrestrial services
internationally, such as the C-band. Contrary to Lockheed Martin's
assertions, the Commission is not violating U.S. international treaty
obligations by adopting rules that will enable the provision of UMFUS
in the 28 GHz band without first resolving potential aggregate
interference issues. As discussed below, the Commission concludes that
the risk of aggregate interference is low. In the event, however, that
there is an instance where a non-U.S.-licensed FSS network receives
harmful interference, the Commission intends to address such
interference in accordance with applicable U.S. international treaties,
and will monitor industry developments to that end. The Commission
rejects ViaSat's argument that the Commission granted FSS primary
status over mobile operations. ViaSat relies in part on the following
passage from the LMDS First Report and Order:
We are designating discrete spectrum bands for specific types of
systems. Services designated for domestic licensing priority are
specified in capital letters in the graphic depiction of the band
plan. These services have licensing priority vis-[agrave]-vis any
other type of service allocated domestically or internationally in
the band. Lower-case letters indicate services in a particular band
segment which also have licensing priority vis-[agrave]-vis any
third service allocated domestically or internationally in the band,
but have no licensing priority over the service in capital letters
in the band segment and must operate on a non-interference basis and
must accept interference vis-[agrave]-vis that service.
Contrary to ViaSat's view, the Commission can, and in fact did,
establish priority for mobile services through its service rules.
ViaSat claims that FSS retains primary status over any new mobile
service, because the Commission established priority only for LMDS.
This argument fails because mobile service is part of LMDS, and is not
a ``third service'' or a ``new service.'' The mobile allocation already
existed at the time of the LMDS First Report and Order, but the
Commission made no distinction between fixed and mobile service in
terms of priority--it established priority for a terrestrial service
over a satellite service. The Commission contemplated that LMDS, the
designated primary service, could eventually obtain mobile rights.
Indeed, it ``kn[e]w of no reason why we would not allow mobile
operations if they are proposed and we obtain a record in support''
thereof. It declined to authorize mobile operations ``for now,'' not
because of concerns about coexistence with FSS (which it had already
designated as secondary due to the infeasibility of sharing at that
time), but because it was unclear that the technology existed to
facilitate mobile operations and whether mobile operations could share
with fixed operations. The actions, the Commission is taking, are
precisely the actions the Commission contemplated when it established
service rules for LMDS--adding mobile rights to existing LMDS licenses.
32. The Commission also notes that if the Commission had intended
to make mobile operations secondary to FSS, it could have very clearly
done so by explicitly stating that FSS had priority over the mobile
allocation. In the LMDS First Report and Order, when the Commission
intended to discuss the mobile allocation, it specifically referred to
the mobile allocation. If the Commission intended to make mobile
secondary to FSS, it could have specifically referred to mobile instead
of a ``third service.'' Indeed, when the Commission talked of mobile
services in the 28 GHz band, it said that authorizing such services
``would be consistent with the Commission's goal of providing LMDS
licensees with maximum flexibility in designing their systems.'' If the
Commission intended to treat mobile services independently of LMDS, it
would not have referred to providing flexibility to LMDS licensees.
33. FSS operators received multiple notices of their secondary
status. Indeed, in the LMDS First Report and
[[Page 79900]]
Order, the Commission specifically rejected a request from GE Americom
to provide some protection to FSS gateways as ``inconsistent with the
designation of FSS for secondary licensing priority in the 27.5-28.35
GHz band.'' As ViaSat recognizes, FSS license conditions in the 28 GHz
band explicitly state that FSS operations in the 28 GHz band are on an
``unprotected, non-harmful interference basis relative to LMDS.'' The
NPRM in this proceeding noted, ``Twenty stations are licensed for
Earth-to-space transmissions on a secondary basis in the 28 GHz band. .
. .'' That much being said, the Commission recognizes that FSS
operators use the 28 GHz band to provide services and intend to provide
additional services in the future.
34. However, the record in this proceeding does not demonstrate
that the rules that the Commission adopted would significantly risk
harmful interference to satellite operations because of aggregate
interference received at the satellite receiver. Under the existing
rules, LMDS stations have a maximum authorized transmit power of 55 dBW
(85 dBm), versus the 75 dBm the Commission adopted. Furthermore, LMDS
can operate in either point-to-point or point-to-multipoint mode, and
there are no existing limits on upward emissions. In contrast, the
Commission adopted lower power limits for base-station and mobile
operations in UMFUS. Furthermore, the systems contemplated for these
bands have several characteristics that will tend to limit
transmissions towards satellite receivers. As noted in the NPRM, most
industry evaluations of potential mmW mobile base station deployments
appear to assume that such stations' antennas will be tilted downward
at a slight angle, typically from a street lamp pole or a location on a
building at a similar height. Intel explains that this configuration is
necessary not only to direct transmissions toward user equipment but
also to limit interference between adjacent cellular base stations. In
fact, says Intel, failure to adopt this downtilt configuration would
impair throughput to users at cell edges by about 60 percent. Although
ViaSat expresses concern that in some limited locations mobile base
stations might be directed skyward to provide coverage to users in the
upper floors of tall buildings, because of this need for downward
coverage such mobile providers can rely on wired in-building facilities
where necessary. Mobile base stations in this band will probably use
antenna systems that employ dynamic beamforming techniques to produce
beams as narrow as 1.0 degree, which will substantially reduce the
likelihood that such beams will point directly at satellite receivers.
User equipment will also employ antenna arrays to generate dynamic
beamforming, varying both azimuth and elevation in order to maintain
signal connections with their base stations. Again, terrestrial
operators are likely to deploy this technology of their own accord: By
Intel's analysis, choosing not to use dynamic beamforming technology
would reduce throughput at cell edges by about 70 percent. Base
stations and user equipment will also likely employ dynamic power
control, both to avoid draining batteries and to limit intersystem
interference. In fact, both base stations and user equipment could be
entirely silent much of the time; terrestrial operators report that, in
current deployments, network loading rarely exceeds 30 percent. All of
these features will limit the extent of skyward transmissions from
terrestrial mobile systems.
35. In addition, it is important to recognize that most mmW
transmissions will likely not occur in environments that have line of
sight to satellites. By some estimates, as much as 80 percent of
smartphone use occurs indoors, with much of the remainder occurring in
vehicles. Because mmW signals are heavily attenuated by exterior walls,
roofs and windows, signals originating from handheld smartphones will
be largely confined within any buildings or vehicles where they are
used, and would need to be relayed to mobile base stations by other
devices with exterior antennas that will likely have sufficient
beamforming ability to limit skyward transmissions. In principle,
spilling signal power uselessly into outer space would represent a
source of inefficiency, so it is likely that dynamically beamformed
signals will be aimed at receivers on the ground or not far above it.
The most vulnerable satellites--those situated at elevations close to
the horizon--will be protected further by the path losses that
terrestrial signals will encounter in the cluttered environments of
street canyons, suburban foliage, and other obstacles.
36. The Commission has reviewed the studies submitted by the
various parties, including the satellite operators. As discussed in the
Technical Rules section, infra, the Commission concludes that the
various studies submitted by the parties do not support establishment
of an aggregate interference limit. From the satellite operators'
perspective, part of the challenge is that mmW mobile is a new, rapidly
evolving technology, and the terrestrial mobile industry is still
developing system designs and propagation models. Even so, there has
been substantial progress in that regard, and the interference models
submitted by satellite operators in this proceeding do not take into
account prospective features of mmW mobile systems that are readily
accessible on the public record. O3b, for example, assumes that mmW
mobile user equipment will employ no beamforming at all, and will
generate omnidirectional signals. Interference models submitted by
other parties do not adequately account for, and in some cases do not
take into account at all, antenna beamwidths, downtilts, beamforming,
power control, traffic patterns, number of simultaneously transmitting
stations, the obstruction losses that terrestrial signals are likely to
encounter before reaching satellites at low elevations, and the fact
that the majority of transmissions will occur indoors. Terrestrial
operators have every incentive to design networks that direct the
signals they are transmitting to the locations of the receivers--either
another fixed point on a vertical structure, or a mobile unit within a
couple of meters of the ground--especially given the propagation
characteristics of these frequencies. Furthermore, mobile units, which
are likely to be transmitting at angles more skyward, are operating at
powers significantly lower than base stations. These are both true
regardless of the types of systems that are ultimately deployed in
these bands. Nonetheless, given the wide variety of deployments and
uses the Commission expects to see in these bands, it would be
inappropriate to universally mandate these design features in every
deployment, in the absence of more credible support for the proposition
that satellite systems will receive harmful interference from mmW
mobile systems.
37. The Commission's decision not to set specific limits on
aggregate interference is consistent with the Commission's treatment of
that issue in other bands. In AWS-3, the Commission declined to
establish aggregate power limits to protect Federal satellites in the
1761-1780 MHz band because it was unlikely that aggregate interference
was likely to occur. Similarly, in the 10.7-11.7 GHz band, which is
shared between FSS and Fixed Service (FS), the Commission held with
respect to concerns regarding a different type of aggregate
interference: ``[W]e view rule changes that would allow greater FS use
of the 11 GHz band as beneficial to the
[[Page 79901]]
public interest, so long as existing users would not be harmed.''
Similarly, the Commission sees great public benefit to more intensive
terrestrial use of the 28 GHz band where terrestrial use is the primary
designated service in the band.
38. The Commission has concluded that the satellite industry has
not shown that it has a legal right to protection from aggregate
interference or that harmful aggregate interference is likely to occur
from the mobile operations now being authorized for LMDS. The
Commission also recognizes that SES, EchoStar, and ViaSat believe that
satellite and mobile operations can coexist. Nonetheless, the
Commission is sensitive to the concerns raised. The Commission notes
that the satellite and wireless industries have begun the process of
modeling the terrestrial systems under consideration for this band to
provide further information concerning their potential impact on
satellites. The Commission encourages both industries to continue
working cooperatively on this issue, including by submitting any
relevant data demonstrating changes in the amount of aggregate
interference on record as UMFUS services are deployed. The Commission
directs the International Bureau (IB), the Office of Engineering and
Technology (OET), and the Wireless Telecommunications Bureau (WTB) to
jointly establish a separate docket that parties can use to file the
relevant data and analyses, and the Commission reserves the right to
revisit this issue should additional information or other circumstances
warrant further Commission review or action.\2\
---------------------------------------------------------------------------
\2\ In the NPRM, the Commission also sought comment on the
possibility of repealing the prohibition on FSS user equipment in
the 28 GHz band. While there has been considerable comment on this
issue, in light of the evolving nature of technology and deployment
in the band, the Commission does not believe the issue is ripe for
action at this time. Accordingly, the Commission will consider this
issue in the future, either in this proceeding or in a separate
proceeding.
---------------------------------------------------------------------------
5. Band Plan
39. The Commission will license the 28 GHz band as two 425
megahertz blocks. The Commission believes 425 megahertz channels will
be sufficient for a licensee to provide the type of high data rate
services and other innovative uses and applications contemplated for
this spectrum. The fact that several carriers support dividing the
bands into multiple blocks supports that conclusion. The Commission
also agrees with T-Mobile that there are benefits to competition in
allowing multiple licensees to provide service in the 28 GHz band.
40. The Commission emphasizes that existing LMDS Channel A1
licensees will receive licenses for both channels, so they will
maintain their existing license rights. To the extent licensees are
interested in having a contiguous block of 850 megahertz of spectrum,
they are free to acquire both licenses, subject to compliance with the
Commission's spectrum aggregation policies.
B. 39 GHz Band (38.6-40 GHz)
41. In the NPRM, the Commission proposed to develop service rules
for mobile operations in the 38.6-40 GHz band (the ``39 GHz Band'').
This band is currently allocated to the fixed, fixed satellite (space-
to-Earth), and mobile services on a primary basis for non-Federal use.
There are Federal FSS (space-to-earth) and Mobile Satellite Service
(MSS) (space-to-Earth) allocations in the 39.5-40 GHz band, limited to
military systems.
42. The 39 GHz band is licensed by EA and consists of 14 blocks of
50 by 50 megahertz channels. Out of the 2,464 possible terrestrial
fixed service EA licenses available in this band (14 channel pairs for
each of 176 EAs) only 870 licenses currently exist. Other licenses were
voluntarily cancelled or terminated for failure to meet substantial
service requirements. In addition, there are currently 229 active
Rectangular Service Area (RSA) licenses that predate the creation of
the EA licenses in which the licensees self-defined their service area,
and where they retain the exclusive right to operate. The populations
in licensed areas (both EA and RSA licenses) vary by channel, but in
aggregate they cover about 49 percent of the U.S. population. The
Commission has previously indicated that licensees of the band could
have the flexibility to provide mobile service and stated the belief
that ``the issue of technical compatibility of fixed and mobile
operations within a service area is one that can and should be resolved
by the licensee.'' The Commission declined, however, to permit mobile
operations until it conducted a separate proceeding to resolve any
inter-service and inter-licensee interference issues. As a result, no
mobile operations currently exist in the 39 GHz band. To accommodate
high-density fixed terrestrial systems under a ``soft segmentation''
band plan, the Commission has established lower PFD limits for
satellite transmissions in the 37.5-40 GHz band than in other satellite
bands. The Commission notes that there are no commercial satellite
operations in the band.
1. Suitability for Mobile Service
43. The Commission will authorize mobile operation in the 39 GHz
band (38.6-40 GHz), and the Commission will issue new licenses granting
existing and new 39 GHz licensees both fixed and mobile rights. The
Commission believes that the significant bandwidth available in this
band will help to accommodate the expected continued rise in demand for
mobile data. Commenters, including incumbent terrestrial licensees,
overwhelmingly support opening the band for mobile use and expanding
their reach to mobile. The Commission agrees and believes the band can
be used by both mobile and satellite because satellite use can be
accommodated with minimal impact on terrestrial service. The Commission
created the service rules to enable such mobile use, and the Commission
detailed the means by which satellite must cooperate with new mobile
services in these bands to reduce interference and improve service.
2. Licensing the 39 GHz Band
a. Use of Geographic Area Licensing
44. The Commission adopted geographic area licenses that will grant
licensees the flexibility to provide fixed and mobile services. As with
the 28 GHz band, the Commission finds that in this band, geographic
area licensing will expedite deployment, provide licensees with the
flexibility to provide a variety of services, and is consistent with
the existing licensing scheme in the band. The Commission will maintain
the current co-primary Federal FSS and MSS allocations and associated
regulations in this band. The Commission also finds that the presence
of incumbent geographic area licenses in a large part of the country
renders the 39 GHz band a poor candidate for implementing an SAS-based
sharing model.
b. License Area Size
45. The Commission will license the 39 GHz band using PEAs, because
the Commission finds that use of this license area size will facilitate
access to spectrum and the rapid deployment of service in the band.
PEAs are smaller than BTAs or EAs, and therefore are more realistically
obtainable by smaller bidders, yet are larger than counties which
various commenters deem too small. Licensing the 39 GHz band on a PEA
basis strikes the appropriate balance between facilitating access to
spectrum by both large and small providers and simplifying frequency
coordination while incentivizing investment in, and rapid deployment
of, new technologies. PEAs also nest into
[[Page 79902]]
EAs but can also be broken down into counties, allowing operators to
combine or partition their PEAs into the license areas of their choice.
The Commission believes that the size and ability to combine/partition
will aid in the rapid deployment of these licenses. The Commission's
decision to license the 39 GHz band on a PEA basis is distinguishable
from the Commission's decision to use counties as the license area in
the 28 GHz band, because, as previously discussed, the latter band is
currently licensed by BTAs and cannot readily be reformed into either
EAs or PEAs.
3. Mobile Rights for Incumbents
46. The Commission adopted its proposal to grant mobile operating
rights to existing active 39 GHz licensees for the same reasons the
Commission granted mobile operating rights to LMDS incumbent licensees.
Granting mobile operating rights to existing licensees will expedite
the deployment of service, minimize the difficulties involved in
coordinating fixed and mobile deployments, and provide a uniform
licensing scheme throughout the United States. In contrast, separating
fixed and mobile rights through assignment of overlay licenses would
delay the implementation of mobile service. The Commission remains
concerned that awarding fixed and mobile rights separately would lead
to disputes between fixed and mobile licensees that could make it more
difficult for both licensees to provide service.
47. The Commission recognizes that awarding mobile rights to
incumbent licensees could be viewed as a windfall to those licensees,
although the Commission contemplated granting mobile rights when it
first created LMDS. Here, the benefits of expediting service and
facilitating the coordination of fixed and mobile service outweigh any
potential disadvantages of granting mobile rights to incumbents.
4. Non-Federal Satellite Terrestrial Sharing--Licensing of Gateway
Earth Stations
48. The NPRM invited comments on three issues relating to FSS use
of the radiofrequency spectrum from 37.5 GHz to 40 GHz, encompassing
both the 38.6-40 GHz (39 GHz) band and the 37-38.6 GHz (37 GHz) band.
The first question was whether the Commission should make any changes
to its treatment of gateway earth station applications; the second,
whether it would be reasonable to eliminate the prohibition against
ubiquitous deployment of user equipment; and the third question,
whether it would be feasible to allow satellite operators to increase
their PFDs above existing limits during heavy rain storms. In none of
those cases did the Commission foresee any reason to differentiate
between the 37 GHz and 39 GHz bands with respect to satellite sharing
issues.
49. The U.S. Table of Frequency Allocations accords co-primary
status to FSS earth stations in the 37.5-40 GHz frequencies, but
Commission rules provide that gateway earth stations in the 39 GHz band
may be deployed only if the FSS licensee obtains a 39 GHz license for
the area where the earth station will be located, or if it enters into
an agreement with the corresponding 39 GHz licensee. The Commission
mentioned the changes that the NPRM was proposing for the licensing of
satellite operations in the 28 GHz band and sought comment on whether
similar changes should be adopted for the 37.5-40 GHz channel groups.
The NPRM asked whether the Commission should establish a waiver process
by which non-Federal FSS earth stations in the 37.5-40 GHz bands could
acquire co-primary status in areas where there is no geographic service
area licensee, if they can demonstrate that doing so would not have a
negative impact on future terrestrial service. The Commission asked if
the fact that 37.5-40 GHz FSS operations are space-to-Earth, rather
than Earth-to-space as in the 28 GHz band, should lead to different
answers to these questions. The Commission also sought comment on any
other changes it should make to the existing rules.
50. Commenters acknowledge that the space-to-Earth nature of
satellite operations in the 37.5-40 GHz bands means that it is earth
stations that need protection against interfering signals from
terrestrial operations rather than the opposite situation that applies
for Earth-to-space operations in the 28 GHz band. EchoStar calculates
that satellite earth stations in the 37.5-40 GHz band will need
exclusion zones with radii extending no more than about two kilometers.
EchoStar states this radius in the 37.5-40 GHz bands is about 12 times
the radius (170 meters) circumscribing the exclusion zone that EchoStar
says is required for earth stations in the 28 GHz band. The areas
required for the resulting exclusion zones would be about 138 times as
large--12.6 square kilometers (4.9 square miles) for the 37.5-40 GHz
bands versus 0.09 square kilometers (0.03 square miles) for the 28 GHz
band. By comparison with the 28 GHz band, therefore, accommodating
satellite earth stations in the 39 GHz band is approximately two orders
of magnitude more difficult.
51. The smallest counties mentioned in the Commission's discussion
of satellite interference zones for the 28 GHz band each cover about 80
square kilometers. The exclusion area that EchoStar says is required
for the 37.5-40 GHz frequencies would cover about 16 percent of such a
county--a proportion that could seriously impair the growth prospects
for mmW mobile. The challenge is less daunting when the Commission
considers the possibility of authorizing earth station sites on a PEA
basis rather than a county basis. The average PEA in the 48 contiguous
U.S. states covers about 18,692 square kilometers (7,217 square miles).
Therefore, the requisite exclusion zone would cover about 0.0674
percent of the average PEA's land mass in the contiguous U.S. If people
were evenly distributed across this hypothetical average PEA,
substantially less than 0.1 percent of its population would fall in the
earth station's exclusion zone.
52. These calculations show that some PEAs should be able to host a
39 GHz earth station without placing more than 0.1 percent of the PEA's
population in the earth station's exclusion zone. Most PEAs cover
substantially less territory than the average PEA does; i.e., even for
some PEAs, a five square-mile exclusion zone might affect an
unacceptably high proportion of their populations. But satellite
operators will not necessarily need to deploy 39 GHz earth stations in
the smaller, more densely populated PEAs. For satellite gateway earth
stations in particular, the sine qua non is not proximity to population
centers, per se, but access to long-haul, high data-rate Internet
facilities. Direct access to long-haul Internet nodes is available not
just in major population centers but also in some of the more remote
parts of the U.S. Many of those nodes are in places with comparatively
low population densities--i.e., near areas where it should be possible
to deploy earth stations without creating exclusion zones that affect
unacceptably high proportions of the population. In addition, as the
Commission suggested for the 28 GHz band, satellite operators can
substantially reduce the sizes of the exclusion zones that they require
by constructing artificial site shields or by taking advantage of
naturally occurring terrain features. Spatial analysis software can
process digital elevation data to identify geographic depressions,
which are capable of providing natural site-shielding in all
directions. For earth stations that communicate only with
geosynchronous satellites, more limited site shielding would typically
suffice. In
[[Page 79903]]
addition, satellite operators may continue to protect their earth
stations from interference using any of four market-oriented
mechanisms: Purchasing geographic area licenses at auction, acquiring
licenses from existing licensees, obtaining partitioned segments of
existing geographic area licenses from existing licensees, or obtaining
contractual agreements from nearby licensees not to interfere into
their earth station operations.
53. Based on those considerations, the Commission will authorize
non-Federal satellite earth stations in the 39 GHz band on a first-
come, first-served basis that will entitle them to protection from
terrestrial transmissions subject to the following conditions.\3\
First, the earth station applicant must define a protection zone in its
application around its earth station where no terrestrial operations
may be located. The FSS applicant may self-define this protection zone,
but it must demonstrate using reasonable engineering methods that the
designated protection zone is no larger than necessary to protect its
earth station. Second, the Commission will authorize a maximum of three
protection zones in each PEA, so the applicant must demonstrate that
there are no more than two existing protection zones in the PEA or
demonstrate that its protection zone will be contiguous to any
preexisting satellite protection zone. Third, the applicant must
demonstrate the existing and proposed protection zones, in the
aggregate, will not cover more than 0.1 percent of the PEA's
population.\4\ Fourth, the applicant must show that the protection zone
does not infringe upon any major event venue, arterial street,
interstate or U.S. highway, urban mass transit route, passenger
railroad, or cruise ship port. Finally, the earth station applicant
must coordinate with terrestrial fixed and mobile licensees whose
license areas overlap with the protection zone, in order to ensure that
the protection zone does not encompass existing terrestrial operations.
The coordination requirements will be based on the Commission's
existing requirements contained in Sec. 101.103(d) of the Commission's
rules. If the earth station is authorized, UMFUS licensees will be
prohibited from placing facilities within the protection zone absent
consent from the FSS operator, and the FSS operator must respond in
good faith to requests to place facilities within a protection zone.
---------------------------------------------------------------------------
\3\ The Commission adopted a new footnote, NG63, to the
Allocation Table that reflects the existing limitation to gateway
earth stations. See 47 CFR 25.202(a)(1) n.3.
\4\ The IB will issue a public notice seeking comment on the
appropriate methodology to calculate the 0.1 percent population
limit and will also seek comment on best practices for earth station
siting to minimize impact on UMFU services, colocation of earth
stations, and accommodating multiple earth station interference
zones without exceeding 0.1 percent of population in a given PEA.
---------------------------------------------------------------------------
5. Band Plan
54. The Commission will create seven 200 megahertz bands out of the
39 GHz band (38.6-40 GHz). The Commission finds that this channel size
is large enough to take advantage of the data throughput capacity of
these bands yet yields a sufficient quantity of channels in the band to
provide access to multiple operators simultaneously. The Commission
agrees with the comment that next generation 5G networks are expected
to depend in part on higher frequencies, increased spectral efficiency
and greater density of cell deployments and that these factors alone
may be insufficient to meet the expected tenfold increases in peak data
rates and user throughput without using ultra-wide channel bandwidths
of at least 200 MHz. These wider channels available at higher
frequencies could allow for higher data rates in environments
constrained by power or signal-to-noise ratios. By facilitating higher
throughput, wideband channels will thereby permit more users to
simultaneously use the band.
55. The Commission also modified the current band plan that is
based on paired spectrum blocks in favor of larger, unpaired channels
to enable Time Division Duplexing (TDD) which commenters believe will
best enable a 5G mobile service environment. Straight Path asserts that
TDD is preferable in these frequencies given the current lack of
adequate frequency duplexers capable of meeting the performance, cost
or form factor requirements necessary to facilitate Frequency Division
Duplexing (FDD) at these higher wavelengths. TDD does not require a
frequency duplexer and allows flexible downlink-uplink ratios that
depend on traffic and result in efficient utilization of spectrum.
While these and other commenters note the benefits of TDD in the
context of 5G, commenters overwhelmingly support rules that allow for
flexible duplexing schemes, and the rules the Commission adopted will
allow any type of duplexing. Licensees may also continue to offer FDD
service by acquiring and pairing multiple spectrum blocks. Because the
existing channel plan favors FDD operation and limits flexibility to
accommodate other duplexing schemes, reconfiguring the channel plan
will remove obstacles to TDD schemes while still allowing for
flexibility to accommodate FDD. Furthermore, larger bandwidths may
optimize traffic management and improve system performance because a
single, wide carrier permits centralized spectrum management whereas
aggregation and use of various narrow bandwidth channels requires
greater power consumption and equipment complexity. Finally, 200
megahertz channels will potentially create several empty channels for
new entrants after incumbent licensees swap or repack their existing
systems into consecutive or adjacent channels. Given all of the
considerations above, the Commission finds that 200 MHz channels are
the best band size for 39 GHz.
6. Pre-Auction License Reconfiguration
56. Straight Path's proposal contains the clearest delineation of
rules and steps necessary to align adjacent spectrum tranches to create
contiguous bands--the goal advocated by commenters. The Commission
agrees with Straight Path that in EAs where only it holds licenses, the
Commission should accept any exchange application in which Straight
Path or others propose to acquire the same amount of spectrum in the
market that it proposes to relinquish as long as it meets the end goal
of creating a contiguous block or blocks of spectrum. In instances
where there are multiple geographic area licensees, Straight Path
advocates that the Commission should first accept any band plan
mutually acceptable to the various licensees as long as it also
increases the amount of contiguous spectrum for at least one of the
licensees. If licensees do not agree on a band plan, Straight Path
argues the Commission should accept applications in which an incumbent
geographic area licensee seeks to acquire any contiguous spectrum
blocks adjacent to spectrum blocks it already holds subject to two
limitations (i) the target spectrum block is not already occupied by
another incumbent geographic area licensee; and (ii) the target
spectrum block could not be requested by another incumbent geographic
area licensee on the grounds that it is adjacent to a block it holds or
that it could hold. A licensee should be able to continue to add
contiguous unused blocks in a row until it reaches a prohibited block--
i.e., a spectrum block that could also be claimed by another incumbent
licensee. Straight Path suggests that in this way, contiguous occupied
bands could be aligned starting at the lower edge of the band--at 38.6
GHz--and moving up toward 40 GHz. Because the Commission adopted a band
plan for the
[[Page 79904]]
37 GHz band that provides for continuity of commercial operations
across the 37 GHz and 39 GHz bands, when the bands are viewed together,
Straight Path's swapping plan results in occupied spectrum in the
middle of the combined bands. One alternative might be to push
incumbents to the upper end of the band near 39.5 GHz, in order to
create larger available swathes of spectrum by combining the lower
frequencies with the open bands in the 37 GHz band. However, in the
interest of addressing mobile data demand as quickly as possible, 39
GHz licensees at the bottom of the band will provide the first market
for mmW mobile equipment as soon as it becomes available, and this will
further the goal of interoperability by allowing fixed licensees to
more rapidly foster the development of mobile in their bands.
57. Some of the 200 MHz spectrum blocks offered at auction will
also contain at least one incumbent RSA licensee occupying some portion
of the spectrum. Straight Path argues that where the incumbent
geographic license holder is also the RSA licensee, the RSA license
will be deemed not to exist and will be cancelled upon an exchange.
Otherwise, incumbent licensees will only be permitted to elect to add
contiguous channels with greater encumbrances than vice versa;
accordingly, a geographic area licensee can always opt to exchange a
block without an RSA for an adjacent block with an RSA whose operations
it will have to protect, and similarly it can always opt to take a
license area with a more encumbered RSA over a block it holds with a
less encumbered RSA, but it cannot ``upgrade'' to an RSA-free block or
a license with an embedded RSA that is less encumbered. Overall,
although Intel and Straight Path have argued that EAs are the
appropriate geographic area for new licenses given their historical use
and the complexity of the swap process, as discussed above, the
Commission's preferred license area size for the 39 GHz band are PEAs,
and such PEAs neatly fit into the EAs they comprise. Accordingly, once
incumbents' spectrum swapping has run its course at the EA level, the
resulting license area/band combinations should be further broken down
into PEAs, which `nest' into EAs.
58. The Commission believes this reconfiguration process will yield
a band, and licenses, that are more useable by incumbents as well as
new entrants for the new flexible use services, including mobile
broadband that the Commission is authorizing in this Report and Order.
Straight Path currently holds 931 licenses out of 1,098. If Straight
Path voluntarily reconfigures its rights as it has advocated, this will
substantially reduce encumbrances (i.e., remaining RSAs or blocks
within EAs that have not been reconfigured) that might exist in new
license areas before a future auction. While the Commission adopted a
voluntary reconfiguration approach, it is its hope and expectation that
all licensees will take advantage of this opportunity to convert their
licenses to the new flexible use licensing scheme and band plan.
Furthermore, while the Commission adopted a voluntary approach, the
Commission notes that under Section 316 of the Act the Commission
retains the right to modify any license consistent with the public
interest.
C. 37 GHz Band (37-38.6 GHz)
59. The 37 GHz band presents a number of opportunities because,
other than a limited number of existing Federal uses that need
protection, the band is a greenfield--there are no existing non-federal
operations, terrestrial or mobile. In addition, it is adjacent to the
39 GHz band, which presents an opportunity to create a larger,
contiguous 37/39 GHz band, subject to similar technical and operational
rules. Also, the Federal fixed and mobile service allocations are
lightly used. The approach the Commission adopted takes full advantage
of these opportunities.
60. Specifically, the Commission can meet the twin goals of
expanding commercial access in this band while facilitating continued
and expanded Federal use. Because there are both Federal and non-
Federal fixed and mobile rights and there are minimal incumbency issues
(or an installed base of equipment), the approach the Commission
adopted in this band can significantly further the regulatory, policy,
and technical approaches to Federal and non-Federal sharing. As
discussed in greater detail below, the Commission adopted a band plan
that allows for continuity of commercial operations between the 37 and
39 GHz bands, the Commission protects a limited number of Federal
military sites across the full 37 GHz band, and the Commission
identifies 600 megahertz of spectrum that will be available for
coordinated coequal shared access between Federal and non-Federal
users. Through this structure, additional proposals in the Further
Notice of Proposed Rulemaking (FNPRM), and the collaborative industry/
government process that will take place to further define the sharing
process and paradigm, the Commission will take substantial strides
forward on Federal and non-Federal sharing in the mmW bands while also
making a significant amount of spectrum available for wireless
broadband.
1. Suitability for Mobile Use
61. The Commission adopted rules to permit fixed and mobile
terrestrial operation in the 37 GHz band to enable as wide a range of
services as possible. The Commission finds that there are several
important characteristics of the 37 GHz band that make the provision of
fixed and mobile terrestrial operations especially promising: It
contains 1.6 gigahertz of contiguous spectrum, which could support
ultra-high data rates; it is contiguous with the 39 GHz band, which
will permit operators to aggregate spectrum across both bands; and it
has global co-primary fixed and mobile allocations, which could enable
operators to achieve economies of scale. Cisco urges us to proceed
cautiously, and Boeing urges the Commission to wait until the studies
called for by the WRC-15 are completed, the Commission is persuaded
that fixed and mobile terrestrial services can be provided in the 37
GHz band. In this regard, in analyzing the suitability of the 37 GHz
band for mobile service, the band is very similar to the 39 GHz band.
It has an existing mobile allocation, the propagation characteristics
are very similar to the 39 GHz band, and the Commission does not see
any inconsistency with other allocations that would make the band
unsuitable for mobile service. In terms of timing of the Commission's
action, considering the potential benefit for 5G services and the
significant lead time that will be necessary to develop the services in
this band, the Commission believes that the Commission should move
forward and develop fixed and mobile terrestrial services rules for the
37 GHz band. Moreover, as discussed more fully below, the rules the
Commission adopted accommodate the needs of National Aeronautics and
Space Administration (NASA), National Science Foundation (NSF), the
military, and FSS operations in the 37 GHz band as well as Earth
Exploration Satellite Service (EESS) (passive) and Space Research
Service (SRS) (passive) operations in the adjacent 36-37 GHz band.
2. Licensing the 37 GHz Band
62. The Commission adopted a licensing approach that makes five 200
megahertz blocks available on a geographic area-licensed basis in the
37.6-38.6 GHz portion of the band (upper band segment). The Commission
[[Page 79905]]
will make the 37-37.6 GHz block (lower band segment) available for
coordinated co-primary sharing between Federal and non-Federal users,
where non-Federal rights are granted by rule. The Commission notes that
the entire band is subject to Federal co-primary fixed and mobile
allocations. The Commission declines to adopt the hybrid authorization
licensing scheme because it is unsupported by the record. Specifically,
commenters oppose it because they do not believe that the 37 GHz band
is appropriate for this particular scheme, though it could be used for
other bands. In addition, the satellite industry expresses concern that
the hybrid licensing approach does not provide satellite operators with
any meaningful certainty that they will be able to expand into the 37
GHz band.
63. Of the three licensing options that the Commission sought
comment on in the NPRM, the Commission finds that a variation of the
Commission's alternative proposal best enables the band to be used for
new commercial uses while simultaneously allowing fixed and mobile
Federal use to expand. Although there is support in the record to
license the entire 37 GHz band by geographic area, the Commission finds
that it is in the public interest to license a portion of this band on
a non-exclusive shared basis, and to license the remainder of the band
by geographic area to give potential licensees additional opportunity
to access large blocks of spectrum or to use 37 GHz spectrum in
combination with, and similarly to, 39 GHz spectrum. Allowing part of
the band to be made available on a non-exclusive, shared basis will
promote access to spectrum by a wide variety of entities, support
innovative uses of the band, and help ensure that spectrum is widely
utilized. Adopting geographic area licensing for the other portion of
the band will expeditiously make spectrum available and allow common
development of the 37 GHz and 39 GHz bands. Furthermore, users in the
shared portion of the band will benefit from efforts by equipment
manufacturers and licensees to develop equipment for the portion of the
band licensed on a geographic area basis. Thus, the Commission finds
that adopting the alternative proposal, as modified below, should
promote investment and deployment in both bands. As explained below,
the Commission agrees that there are benefits to adopting the same
geographic area licensing framework for the 37 GHz and 39 GHz spectrum
bands. Also, the Commission finds that adopting the alternative
proposal, in addition to other decisions made by the Commission,
provides satellite operators the certainty they need to be able to
expand their operations into the 37 GHz band in the future.
64. The Commission adopted a modified version of the alternative
proposal as follows: The Commission will create a band plan with a 600
megahertz shared block in 37-37.6 GHz and a geographically-licensed
portion in 37.6-38.6 GHz. The lower band segment will be fully
available for use by both Federal and non-Federal users on a
coordinated co-equal basis. Non-Federal users, which the Commission
will identify as Shared Access License (SAL), will be authorized by
rule. Federal and non-Federal users will access the band through a
coordination mechanism, including exploration of potential dynamic
sharing through technology in the lower 600 megahertz, which the
Commission will more fully develop through the FNPRM and through
government/industry collaboration. The Commission envisions this
segment serving as a proving ground for Federal and non-Federal sharing
in the mmW bands, as a way to facilitate expanded Federal use in the
band, an opportunity to facilitate lower-cost access to mmW bands, and
a means for all providers to gain additional capacity where and when it
is needed.
65. As described below, the Commission adopted the same technical
rules for the shared band segment as the Commission does for the rest
of the 37 GHz band. These technical rules are also consistent with the
39 GHz band. The Commission also adopted an operability requirement
that will ensure equipment developed for the 37 and 39 GHz bands is
able to operate across the entire 37-40 GHz band. This will help drive
scale in the development and access to the equipment, and allow users
in the shared portion of the band, including Federal users, to benefit.
In order to ensure a sharing environment in 37-37.6 GHz that is
predictable, manageable, and efficient, the Commission strongly
encourages Federal users to comply with the same technical rules, and
will work with National Telecommunications and Information
Administration (NTIA) to explore establishment of guidance in its
regulations.
66. Following the adoption of this Report and Order, the WTB and
OET will, in collaboration with NTIA and Federal stakeholders, work
with industry stakeholders and other interested parties to further
define the sharing framework. The Commission will hold one or more
public meetings to examine the state of innovative sharing techniques
and technologies and to have an open dialogue about how sharing can
best be implemented and achieved in the 37-37.6 GHz band. The
Commission strongly encourages both industry and Federal stakeholders
to use new and existing experimental testbeds to develop sharing
approaches and technologies. Based on stakeholder feedback, the WTB and
OET may, jointly with NTIA, issue a public notice seeking comment on a
refined and detailed 37 GHz sharing framework. In response to the
record developed, the Commission, jointly with NTIA, will establish the
37 GHz sharing mechanism. The Commission believes this inclusive and
collaborative process ensures that all parties' needs are met and that
an effective and robust sharing mechanism will be developed.
67. In the upper band segment (37.6-38.6 GHz), the Commission will
use geographic area licensing with PEAs as the licensing unit, which is
consistent with the licenses in the 39 GHz band. In this band, there
will be Federal co-primary use coordination zones around 14 military
sites where the military will have the right to operate fixed and
mobile operations, and the three SRS sites as described below. Non-
Federal users will be able to access these locations through a
coordination mechanism that will be developed and established by WTB
and OET in conjunction with NTIA and announced via Public Notice. The
Commission also recognizes that there are existing Federal and non-
Federal fixed and mobile allocations in the upper band segment, and in
the FNPRM, the Commission seeks comment on developing additional
criteria under which Federal users can obtain access to the upper band
segment.
68. The Commission believes licensing the 37 GHz band in this
manner has many benefits. In the lower band segment, the Commission is
creating an innovative shared space that can be used by a wide variety
of Federal and non-Federal users. SALs will be widely available to
provide easy access to spectrum, including for new innovative uses and
for targeted access where and when providers need additional capacity.
It will help further efforts to facilitate sharing between Federal and
non-Federal users, and will give Federal users and consumers an
opportunity to take advantage of speed-to-market and lower cost of
broadly deployed commercial technologies, and provide Federal users
opportunities for current use and future growth. In the upper band
segment, the Commission notes that the 37 GHz band and the 39
[[Page 79906]]
GHz band will be licensed under the same framework, with identical
technical and licensing rules. They will both be licensed by PEAs,
which will allow licensees in the 37 GHz and 39 GHz bands to aggregate
blocks of spectrum or to pair blocks of spectrum.
69. Below, the Commission discusses in further detail some of the
decisions the Commission has made concerning the 37 GHz band. In the
FNPRM, the Commission seeks comment on refining the sharing framework
the Commission adopted.
3. License Area Size
70. The Commission is presented with a unique opportunity to adopt
a licensing scheme that will apply to 2,400 megahertz of contiguous
spectrum, the upper segment from 37.6-38.6 GHz together with the 38.6-
40 GHz band. In the shared band segment, the Commission will authorize
fixed and mobile users on a site-based coordinated basis. The
Commission believes this approach will allow users to access spectrum
where and when it is needed, which will help maximize spectrum by
providing opportunities for each user to target just the areas it
needs. The Commission is licensing the 39 GHz band by PEA. The
Commission's reasons for adopting PEAs as the geographic area for the
39 GHz band apply here as well. Specifically, as the Commission noted
with respect to the 39 GHz band, after reviewing the record, the
Commission now believes that PEAs strike the appropriate balance
between facilitating access to spectrum by both large and small
providers and simplifying frequency coordination while incentivizing
investment in, and rapid deployment of, new technologies. Thus, the
Commission adopts the same geographic license structure for both the
upper band segment of the 37 GHz band and the 39 GHz band. This
decision will give licensees the flexibility that they need and will
encourage investment in a wide variety of services and technologies.
4. Band Plan for Upper Band Segment
71. The Commission will divide the upper band segment into five
blocks of 200 megahertz each for non-Federal users. As explained in
this Report and Order, the Commission is attempting to create a
consistent and coherent licensing framework that can be applied
throughout the mmW bands, with modifications based on the
characteristics of a particular band. The Commission's decision to
choose 200 megahertz channels rather than 533 megahertz channels also
stems, in part, from the Commission's previous decision to create two
licensing segments for the 37 GHz band: A 600 megahertz lower band
segment licensed by rule, and a 1,000 megahertz upper segment, which
will be licensed geographically by PEA. Adopting 200 megahertz channel
sizes for the upper band segment is consistent with the 200 megahertz
channels the Commission adopted for the 39 GHz band. Because the
Commission licenses the upper band segment of the 37 GHz band and the
39 GHz band by PEA, licensees will have the flexibility to pair their
37 GHz license with a 39 GHz license.
72. In addition, the provision of fixed and mobile terrestrial
operations at this frequency will depend upon large blocks of spectrum
and a single 200 megahertz block provides a sufficient amount of
spectrum for the provision of high-capacity wireless broadband. Those
licensees needing more spectrum than a 200 megahertz channel can
combine channels to create contiguous blocks of 200 megahertz channels,
either within the 37 GHz band or by combining 37 GHz spectrum with 39
GHz spectrum. Licensees also have the option of acquiring 425 megahertz
channels in the 28 GHz band.
D. 64-71 GHz Band
73. The Commission is making available the 64-71 GHz frequency band
for use by unlicensed devices pursuant to the same technical standards
as in the 57-64 GHz frequency band under Sec. 15.255 of the
Commission's rules, with slight modifications. As the Commission has
consistently stated, it is optimal to include a balance of licensed
rights and opportunities to operate on an unlicensed basis in order to
meet the country's wireless broadband needs. The Commission's action
here creates a 14-gigahertz segment of contiguous spectrum in these
frequency bands to encourage the development of new and innovative
unlicensed applications, and promote next-generation high-speed
wireless links with higher connectivity and throughput, while
alleviating spectrum congestion from carrier networks by enabling
mobile data off-loading through Wi-Fi and other unlicensed connections.
74. The Commission is adopting rules to allow for unlicensed
operations in the 64-71 GHz band, subject to the technical standards in
Sec. 15.255, thus creating a contiguous spectrum segment with the 57-
64 GHz band. The Commission observes that unlicensed WiGig devices
using the 57-64 GHz band are just beginning to be marketed and these
products are standardized pursuant to an internationally harmonized
channelization scheme, which should promote their growth and usage.
Making available additional spectrum contiguous to the existing 57-64
GHz band may enable higher throughputs and enhanced use of present
spectrum, as well as to permit an increase in the number of
simultaneous high-bandwidth users. The Commission agrees with Intel
that a lesser amount of spectrum would limit the growth potential of 60
GHz applications. The Commission also agrees with the WISPA that
``because ITU may study a band is an insufficient reason for the
Commission to delay making a valuable spectrum resource available for
unlicensed use.'' The Commission acknowledges that eventual
harmonization with international requirements will benefit consumers by
promoting a global marketplace and enhancing the international
competitiveness of U.S. manufacturers. However, notwithstanding a
desire for harmonization with international standards, the Commission
determines to make these frequencies available for unlicensed use based
on the Commission's analysis of U.S.-specific factors. Here, the
Commission determines that the Commission should not wait for the
outcome of the ITU study of this band, contrary to what T-Mobile
advocates, because that could take years, leaving 5 gigahertz of
spectrum to lie fallow in the meantime, when unlicensed applications
are ready in the very near future to make use of this spectrum, given
current planned deployments of WiGig products in the adjacent 57-64 GHz
band.\5\ In addition, note that spectrum characteristics vary at
different frequencies, due to different propagation losses and other
atmospheric and sharing conditions, thus a strict linear comparison per
frequency unit of the Commission amounts in different frequency bands
as ``gigahertz parity'' (e.g., 3.85 gigahertz of spectrum in lower
bands vs. 14 gigahertz of spectrum in upper bands) is not a valid
comparison. Based on the above, the Commission is permitting use of the
57-71 GHz band by unlicensed devices pursuant to the technical rules in
Sec. 15.255.
---------------------------------------------------------------------------
\5\ The Commission also notes that the ``study'' of a frequency
band by the ITU does not mean necessarily that the band will be
automatically designated for licensed use, because licensing of
spectrum is deferred to ``the sovereign right of each State to
regulate its telecommunication''. See International
Telecommunication Union, Constitution and Convention (https://www.itu.int/en/history/Pages/ConstitutionAndConvention.aspx).
---------------------------------------------------------------------------
75. With respect to the additional requests from Microsoft et al to
extend
[[Page 79907]]
the band up to 72.5 GHz, and to allow indoor use of the 72.5-76 GHz
band by unlicensed devices, the Commission does not find that
additional spectrum above and beyond the very large 14-gigahertz of
contiguous spectrum in the 57-71 GHz band that the Commission is
providing for unlicensed operations herein is warranted at this time,
due to the presence of the numerous existing fixed links in the 71-76/
81-86 GHz bands. When the Commission adopted rules for licensed
operations in these bands in 2003, it did not permit unlicensed sharing
of these bands because ``an underlay of unlicensed devices in the bands
could detrimentally affect the quality and buildout of service.'' In
addition, the fixed point-to-point equipment that has been developed
for deployment in the 71-76 GHz and 81-86 GHz bands were not engineered
to operate in a part 15 unlicensed environment. Subsequently, in 2014,
the Commission adopted part 15 rules to permit a special type of
unlicensed device, level probing radars (LPR), to share the 75-85 GHz
band; these devices, however, must be operated in a vertically downward
position at fixed locations with severe limitations on antenna
beamwidth. In contrast, the 5G unlicensed transmitters envisioned here
would be both mobile and fixed and would not have such limitations. The
Commission finds that parties requesting to extend the band beyond 71
GHz for unlicensed operation did not submit any persuasive technical
arguments to prove that unlicensed sharing with the 71-76/81-86 GHz
licensed services is feasible at this time. Accordingly, the Commission
denies these requests at this time.
E. Federal Sharing Issues
76. Many bands above 24 GHz have Federal allocations on a primary
basis. As the Commission continues to increase flexibility in the non-
Federal use of these bands, the Commission must consider appropriate
mechanisms and tools to share these bands that recognize the co-primary
rights in these bands. In this Report and Order, the Commission
facilitates sharing in the 39.5-40 GHz band and 37-38.6 GHz band,
including through new sharing schemes that promote dynamic and flexible
access in the 37-37.6 GHz band. In order to continue to evolve spectrum
access and sharing regimes that meet both Federal and non-Federal
needs, it will be imperative for all stakeholders, including wireless
and satellite industries, to engage proactively to help shape these
solutions.
1. 39.5-40 GHz
77. The 39.5-40 GHz portion of the 39 GHz band is allocated to the
Federal FSS and MSS a primary basis, limited to space-to-Earth
(downlink) operations. However, Federal MSS earth stations in this band
may not claim protection from non-Federal fixed and mobile stations in
this band.
78. In the NPRM, the Commission explained that when the 39 GHz
Report and Order was adopted, Federal use of the band was limited to
military systems in the 39.5-40 GHz band segment, that the Department
of Defense (DoD) stated that it had plans to implement satellite
downlinks at 39.5-40 GHz in the future, and that the NASA identified
39.5-40 GHz as a possible space research band to accommodate future
Earth-to-space wideband data requirements. The 39 GHz Report and Order
expressed optimism that such plans would not affect the continued
development of the 39 GHz band for non-Federal use, but the Commission
said that it intended to address those interference issues in a future,
separate proceeding that would focus on developing inter-licensee and
inter-service standards and criteria. At present, the U.S. Table of
Frequency Allocations provides that Federal satellite services in the
39.5-40 GHz band are limited to military systems.
79. Although only four commenters responded to the Commission's
questions on these issues, all four agreed that it is possible for
Federal and non-Federal operations to share the 39 GHz band. They also
agreed that the Commission should adopt coordination zones to mitigate
interference between Federal and non-Federal operations. For instance,
AT&T argues that the Commission should adopt coordination zones rather
than novel spectrum sharing techniques because coordination zones
balance the twin goals of efficient spectrum utilization and the
prevention of harmful interference to incumbents. Intel argues that
portions of the band that are strictly Federal use could be separated
from those for commercial use. Cisco states that while coordination
will have to be done by the Commission staff and their counterparts at
NTIA, co-existence is achievable. Finally, Nokia argues that the
Commission should continue work with NTIA and other Federal agencies to
minimize Federal coordination zones, which would maximize the value of
the spectrum.
80. In 2016, NTIA sent a letter to the Commission addressing issues
raised in the NPRM, regarding, in part, military operations in the
39.5-40 GHz portion of the 38.6-40 GHz band. NTIA explained that the
39.5-40 GHz band is allocated to military MSS and FSS earth stations.
Federal MSS earth stations cannot claim protection from non-Federal
fixed and mobile stations as specified in footnote US382 of the table
of frequency allocations. However, Federal earth stations in the MSS
are not required to protect non-Federal fixed and mobile services. NTIA
stated that given the existing regulatory constraints in the 39.5-40
GHz band, the NPRM's proposed non-Federal fixed and mobile operations
will not impact Federal satellite operations in the 39.5-40 GHz band.
81. The Commission concludes that it is possible for Federal
operations to share the band with non-Federal fixed and mobile
terrestrial operations because the protections offered by footnote
US382 are sufficient to protect both Federal and non-Federal operations
in this band. Thus, no changes to the Commission's rules are necessary.
2. 37-38.6 GHz
82. The Commission concludes that non-Federal fixed and mobile
operations can share the 37-38 GHz band with SRS downlink operations
under certain conditions. First, as a result of discussions between
NTIA and the Commission, NTIA indicated that it would request
protection for only three SRS earth station sites: Goldstone,
California; White Sands, New Mexico; and Socorro, New Mexico. Second,
to address NTIA's recommendations, the Commission will establish
coordination zones for these three sites by adding a footnote to the US
Table of Allocations listing the locations to be protected and their
respective coordination zones. Third, with respect to operations, at
Green Bank, West Virginia, NTIA indicated that since Green Bank, West
Virginia is located in an existing quiet zone, any new or modified
stations including in the fixed and mobile services, within the zone
are required by Sec. 1.924(a) of the Commission's rules to notify the
National Radio Astronomy Observatory (NRAO), and thus Green Bank would
not be included in the footnote. Therefore, the Commission adopted
footnote US151, which requires that, in the 37-38 GHz band, fixed and
mobile stations not cause harmful interference to Federal SRS earth
station at three sites and that non-Federal applications for such use
be coordinated with NTIA in accordance with new Sec. 30.205 of the
Commission's rules.
83. The Commission concludes that non-Federal fixed and mobile
operations can share the 37-38.6 GHz band with DoD operations. With
regard
[[Page 79908]]
to Federal co-primary access to the 37 GHz band, the Commission will
adopt rules that entail the coordination zones recommended by NTIA for
the 14 military sites, and the ability for Federal agencies to add
future sites on a coordinated basis. The Commission will make the 37-
37.6 GHz block (lower band segment) available for coordinated co-
primary sharing between Federal and non-Federal users, where non-
Federal rights are granted by rule. This framework will facilitate
access by DoD and other Federal users. In the FNPRM, the Commission
seeks comment on defining the sharing framework in greater detail. In
the upper band segment, the Commission seeks comment on facilitating
Federal coordination with licensees for access to licensed areas.
84. The Commission also does not believe that it is necessary to
take action to protect the weather satellites, which according to
Committee on Radio Frequency (CORF), will operate above 37 GHz until at
least 2020 because it will take a significant amount of time for mmW
devices to be developed and deployed in the 37 GHz band. Therefore, the
Commission expects that relatively few mmW devices will be operating in
the band while the weather satellites are still in use.
85. Under the plan the Commission adopted, the Commission enables
the deployment of new commercial services while protecting Federal
agency missions. This balances the needs of commercial operators with
the needs of Federal agencies for protection and future growth by
creating an environment where Federal and non-Federal users can share
the band on a co-primary basis and providing enough certainty to future
commercial users to stimulate investment in the spectrum.
3. Passive Services Below 37 GHz
86. The Commission believes that the out-of-band emission (OOBE)
limit that the Commission adopts in this Report and Order will provide
adequate protection to the passive sensors in the adjacent 36-37 GHz
band. The OOBE limit will keep emissions from an UMFUS device into the
36-37 GHz band well below the -10 dBW level specified by footnote
US550A. The Commission notes that the -10dBW power limit was adopted to
protect passive sensors in the 36-37 GHz band in accordance with ITU
Resolution 752 (WRC-07). Because this limit was adopted by the ITU to
protect passive sensors from harmful interference from fixed and mobile
transmitters in the 36-37 GHz band, the Commission concludes that it
will provide appropriate protection to the passive sensors from
transmitters in the adjacent band.
87. The Commission will not adopt a guard band at 37 GHz to protect
the EESS and SRS in the 36-37 GHz band as suggested by CORF and IEEE
Frequency Allocations in Remote Sensing (FARS). Neither CORF nor IEEE
FARS make a specific recommendation on the necessary size of the guard
band, although CORF requests a guard band of at least 100 MHz. Because
a guard band will reduce the spectrum available for mmW devices, the
Commission does not want to take this step without compelling evidence
that it is necessary. No one has provided information on the specific
benefits and necessity of adopting a guard band of at least 100 MHz to
protect EESS and SRS. Given the lack of data supporting adoption of a
guard band, the Commission believes that the out-of-band emission limit
that the Commission has adopted will provide adequate protection to the
EESS and SRS without the need for a guard band at 37 GHz.
88. With regard to protecting radio astronomy at the three
locations specified by CORF, the Commission is not convinced that
additional measures are needed to protect radio astronomy. The radio
astronomy observations that CORF is concerned about will be conducted
in the 36.43-36.5 GHz band, which is 500 megahertz from the 37 GHz
band, so the emission limits that the Commission is adopting for mmW
devices should sufficiently protect radio astronomy.
F. Licensing, Operating, and Regulatory Issues
1. Creation of New Rule Service and Part
89. The Commission adopted in its proposal to create a new service,
the UMFUS under a new part 30 of the Commission's rules to include the
28 GHz, 39 GHz, and 37 GHz bands. Licensing the millimeter wave bands
under part 27, as CTIA suggests, would produce a less flexible regime
than the Commission intend while the rules the Commission adopted in
part 30 will provide much of the flexibility present in the part 27
rules. Part 27 would be a poor fit for the point-to-point services
currently operating in the 28 and 39 GHz bands, and for the backhaul
uses other licensees may wish to include in their services. Part 96,
which Google suggests, is designed for a specific regime of intensive,
three-tier sharing. As the Commission is not adopting this type of
sharing regime for these bands at this time, using this rule part would
be inappropriate. The Commission concludes that establishing a new rule
part will allow us to have one unified set of rules governing the
various types of operations the Commission contemplates licensees will
offer, which will provide more clarity to licensees and more accurately
reflect the nature of these licenses.
2. Regulatory Status
90. The Commission adopted in its proposal from the NPRM to
implement a flexible regulatory framework for the UMFUS. As the
Commission proposed, UMFUS licensees in the 28, 39, and 37 GHz bands
will be able to choose the regulatory status (common carrier, non-
common carrier, or both) that best fits their business models and the
services they seek to provide. This approach will maintain an open and
flexible framework that will allow the business judgments of individual
applicants and licensees in these bands to shape the nature of the
services offered pursuant to their licenses.
91. The Commission also adopts its proposal to rely on the
applicant's designation of its common carrier or non-common carrier
status, to enable us to fulfill our obligations to enforce the common
carrier requirements contained in statutes and the Commission's
regulations. An election to provide service on a common carrier basis
requires that the elements of common carriage be present, and the
applicant is in the best position to ascertain the presence of these
elements. This approach is consistent with the Commission's past
decisions regarding the classification of mobile services.
3. Foreign Ownership Reporting
92. Certain foreign ownership and citizenship requirements are
imposed by subsections (a) and (b) of Section 310 of the Act, as
modified by the 1996 Act. These provisions prohibit the issuance of
licenses to certain applicants. For current LMDS, 37 GHz, and 39 GHz
licensees, these statutory provisions are adopted in part 101 of the
Commission's rules at Sec. 101.7 of the Commission's rules.
Specifically, Sec. 101.7(a) prohibits the granting of any license to
be held by a foreign government or its representative. Section 101.7(b)
prohibits the granting of any common carrier license to be held by
individuals that fail any of the four citizenship requirements listed.
93. In the NPRM, the Commission tentatively concluded that the
Section 310 requirements would apply to any applicants in the UMFUS.
Based on this interpretation of the requirements of Section 310, the
Commission proposed
[[Page 79909]]
in the NPRM to include a provision in the new part 30 that would mirror
the current Sec. 101.7 of the Commission's rules. In addition, the
Commission proposed that all applicants for part 30 licenses be
required to report the same foreign ownership information, regardless
of the specific type of service they sought to provide. An applicant
requesting authorization for broadcast, common carrier, aeronautical en
route, or aeronautical Fixed Services, alone or in combination with
other services, would be prohibited from holding a license if it met
any of the criteria in Section 310(b). If the applicant requested
authorization for services other than for broadcast, common carrier,
aeronautical en route, or aeronautical Fixed Services, it could hold a
license if it met the single alien ownership requirement in Section
310(a), regardless of whether it would otherwise be disqualified for a
common carrier authorization. No commenters addressed the issue of
foreign ownership reporting requirements, or opposed the Commission's
proposals.
94. The Commission adopted in its proposals from the NPRM to
require the same foreign ownership reporting from all applicants for
part 30 licenses, regardless of the specific type of service they seek
to provide, and to implement this requirement by including a provision
in part 30 that mirrors Sec. 101.7 of the Commission's current rules.
This approach will properly implement the restrictions contained in
Sections 310(a) and (b) of the Act, and is consistent with the
Commission's treatment of flexible use services regulated under part 27
of the Commission's rules.
4. Eligibility
95. In the NPRM, the Commission adopted an open eligibility
standard for the UMFUS. The Commission noted that an open eligibility
approach would not affect citizenship, character, or other generally
applicable qualifications that may apply under the Commission's rules.
Cisco and CTA support this proposal, citing uncertainty as to how the
UMFUS bands will develop, and the need to allow innovation from all
parties. No commenters opposed the Commission's proposal.
96. The Commission adopted its proposal to implement an open
eligibility standard for the UMFUS. This approach is in keeping with
the flexibility of the other licensing rules the Commission adopted in
this Report and Order, as well as the Commission's treatment of other
flexible use services, and will encourage innovation and efficient use
of spectrum in these bands.
5. License Term
97. The Commission adopted its proposal to establish a 10-year
license term for all UMFUS licenses, and the Commission's proposal to
award a renewal expectancy for subsequent license terms if the licensee
continues to provide at least the initially-required level of service.
While the Commission has pursued shorter license terms and non-
renewable licenses in other bands, and continue to believe there are
circumstances where those structures are appropriate, here the
Commission adopted a 10 year license term that can be renewed. The
Commission believes a 10-year license term will give licensees
sufficient certainty to invest in their systems, particularly as the
new technology is still nascent and will require time to fully develop.
If the standards for mobile service in the mmW bands are established
by, at the latest, 2020, new licensees would still have the majority of
the license term after that point to plan and to deploy service.
Neither XO nor any other commenter has presented facts that would
justify a longer license term. A 10-year license term is also
consistent with existing license terms in a wide variety of services.
98. The Commission also adopted in its proposal to award a renewal
expectancy for subsequent license terms if the licensee continues to
provide at least the initially-required level of service through the
end of any subsequent license terms. That treatment is consistent with
the Commission's treatment of many other licensed services and will
provide incentives for licensees to continue to provide service.
6. Mobile Spectrum Holdings Policies
99. The Commission found it essential to establish clear and
transparent mobile spectrum holdings policies that will promote
competition in the future, including competition in the development of
5G services, as well as promote the efficient use of mmW spectrum, and
avoid an excessive concentration of licenses. As mentioned in the NPRM,
demand for mobile service that mmW spectrum is expected to enhance and
improve has been increasing, and the Commission's predictive judgment
is that interest in the spectrum will be high. Thus, the Commission
finds that it would provide regulatory certainty, flexibility in
planning, and expedited deployment if the Commission supplies guidance
on application of these policies at this stage when the Commission
authorizes mobile service in these bands and adopt related rules
governing the terms of service, rather than at some later stage. In the
Commission's consideration of whether to adopt a mobile spectrum
holdings limit for the licensing spectrum through competitive bidding
and, if so, what type of limit to apply, the Commission's evaluation
includes, among other things, the promotion of competition in relevant
markets, the acceleration of private sector deployment of advanced
services, and generally managing the spectrum in the public interest.
The Commission evaluates how a limit would likely affect the quality of
communications services or result in the provision of new or additional
services to consumers, as well as any other statutory goals and
directives applicable to a particular spectrum band being licensed by
competitive bidding.
100. As the Commission noted in the Mobile Spectrum Holdings Report
and Order, the mobile wireless marketplace is highly concentrated, and
with continually increasing consumer demand for mobile broadband, ``in
order for there to be robust competition, multiple competing service
providers must have access to or hold sufficient spectrum to be able to
enter a marketplace or expand output rapidly in response to any price
increase or reduction in quality, or other change that would harm
consumer welfare.'' In addition, the Commission has found that holding
a mix of spectrum bands is advantageous to providers and that
consumers' benefit when multiple providers have access to a mix of
spectrum bands. The Commission concludes here that with, the rapid rate
of technological advance, mmW spectrum is likely to be a critical
component in the development of 5G, and the Commission must take steps
to ensure its optimal use to the benefit of all American consumers. For
these reasons, the Commission adopted an ex ante spectrum aggregation
limit of 1250 megahertz that will apply to licensees acquiring spectrum
in the 28 GHz, 37 GHz, and/or 39 GHz bands, through competitive bidding
in auction. The Commission adopted for these same reasons a spectrum
threshold of 1250 megahertz for proposed secondary market transactions
in these three bands.\6\
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\6\ The Commission notes that this 1250 megahertz spectrum
threshold helps to identify those markets that provide particular
reason for further competitive analysis, but that the Commission's
consideration of potential competitive harms would not be limited
solely to those markets identified by the threshold.
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101. Historically, mmW frequencies have been considered unsuitable
for
[[Page 79910]]
mobile applications because of propagation losses at such high
frequencies and the inability of mmW signals to propagate around
obstacles. As noted in the NPRM, bands above 24 GHz were not typically
considered for stand-alone mobile services but rather as supplementary
channels to deliver ultra-high speed data in specific places. Due to
technological advances, the mmW bands could potentially be used for
mobile broadband and are likely to serve as an important supplement to
lower-band spectrum. Specifically, the mmW bands potentially will be
used for supporting very high capacity networks in areas that require
such capacity, as well as for machine-to-machine communications, and in
the development of various Internet of Things (IoT) applications
including wearables, fitness and healthcare devices, autonomous driving
cars, and home and office automation.
102. The Commission finds that grouping the 28 GHz, 37 GHz, and 39
GHz bands together for purposes of applying these spectrum holdings
policies, either at auction or in the secondary market, is appropriate
in view of the interchangeability of the spectrum in these bands, i.e.,
similar technical characteristics and potential uses of this spectrum
that are unique to the mmW bands. While certain differences across the
mmW bands exist, the Commission finds these technical differences are
not sufficient to significantly affect how these spectrum bands might
be used and to require separate band-specific limits. This approach
mirrors the Commission's existing Commercial Mobile Radio Service
(CMRS) spectrum screen, which applies across a number of bands that do
not have the same technical characteristics and not on a band-specific
basis. Even assuming that more 37 GHz to 39 GHz spectrum would be
needed to provide the same performance, there will be 2400 megahertz of
37 GHz and 39 GHz spectrum available for service providers' use, almost
three times as much as in the 28 GHz band. And, in any event, all the
particular facts of any proposed secondary market transaction will be
carefully evaluated on a case-by-case basis to ensure that the public
interest is served. For these reasons, the Commission does not find
that adopting a band-specific spectrum aggregation limit is necessary,
and the Commission finds that the spectrum holdings policies adopted in
the Report and Order will best support its objective of ensuring that
multiple providers have access to this high band spectrum that is
likely to be critically important in the development of 5G services
moving forward. The Commission anticipates that applying these spectrum
holdings policies to spectrum with similar technical characteristics
that may become available in the future is also likely to be
appropriate.
103. Competitive Bidding. The Commission concludes that an approach
based on limiting an entity's holding to approximately one-third of the
relevant spectrum will help to ensure that multiple providers are able
to access a sufficient amount of spectrum to the benefit of consumers.
In the Commission's consideration of the appropriate limit to set at
auction, the Commission notes that as a result of the various license
sizes in these bands, setting a limit at approximately one-third would
as a practical matter result in a limit notably lower than a one-third
limit.\7\ Given the varied license sizes of spectrum blocks in each
band, as well as the total amount of mmW spectrum available, the
Commission finds that permitting licensees to acquire somewhat more
than one-third of the spectrum available in these bands at auction is
appropriate. The Commission therefore will not permit licensees to
acquire more than 1250 megahertz across the three bands at auction.\8\
The Commission finds that the spectrum aggregation limit the Commission
adopted will help ensure that multiple providers will be able to access
a sufficient amount of mmW spectrum to facilitate the deployment of new
services and innovation that will benefit consumers, while guarding
against the excessive concentration of licenses. The Commission asks
for comment below on how this limit might be implemented.
---------------------------------------------------------------------------
\7\ The total available amount of the mmW spectrum in the 28
GHz, 37 GHz, and 39 GHz bands today is equal to 3250 megahertz,
approximately one-third of which is 1100 megahertz. Given the sizes
of the spectrum blocks in these bands, however, no entity could hold
more than 1050 megahertz, and an entity interested in holding only
licenses in the 37 and 39 MHz bands could hold no more than 1000
megahertz. More specifically, the latter entity would be able to
hold no more than five licenses of 200 megahertz each across the 37
GHz and 39 GHz bands for a total of 1000 megahertz. An entity
interested in holding some 28 GHz spectrum could hold either two 28
GHz licenses and one license of 200 megahertz for a total of 1050
megahertz, or one 425 megahertz license in the 28 GHz band and three
licenses of 200 megahertz for a total of 1025 megahertz.
\8\ The Commission recognizes that there are incumbent licensees
in the 28 GHz and 39 GHz bands that currently hold varying amounts
of spectrum. These licensees would be able to bid in the auction to
an amount that would be no more than 1250 megahertz in total, taking
existing spectrum holdings into account. Service providers' existing
spectrum holdings across the 28 GHz, 37 GHz, and 39 GHz bands
therefore will be counted for purposes of the Commission's
application of the 1250 megahertz limit.
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104. Secondary Market. The Commission adopted its proposal to
exclude mmW spectrum from the current spectrum screen that includes
those spectrum bands that the Commission has determined are suitable
and available for the provision of mobile telephony/broadband services.
As the Commission has previously explained, spectrum is considered
``available'' if it is ``fairly certain that it will meet the criteria
for suitable spectrum in the near term, an assessment that can be made
at the time the spectrum is licensed or at later times after changes in
technology or regulation that affect the consideration.'' The
Commission does not find that the mmW bands are suitable and available
for the provision of mobile telephony/broadband services in the same
manner as other spectrum bands that are currently included in the
Commission's spectrum screen as applied to secondary market
transactions. The Commission makes this finding based on the unique
characteristics of these bands as described above. Accordingly, the
Commission does not include the mmW bands in the spectrum screen.
105. However, the Commission recognizes that this frontier spectrum
is likely to become increasingly valuable to the advent of 5G services.
In its competitive analysis of wireless transactions, the spectrum
screen applicable to lower-band spectrum has been one tool used to help
identify particular markets for further competitive analysis; it is
applied on a county-by-county basis and identifies local markets where
an entity would hold approximately one-third or more of the total
spectrum suitable and available for the provision of mobile telephony/
broadband services, post-transaction. Similarly, for proposed secondary
market transactions that would result in an entity holding 1250
megahertz or more of the total spectrum in the 28 GHz, 37 GHz, and 39
GHz bands, the Commission will apply its threshold on a county-by-
county basis, and subject such transactions to the Commission's case-
by-case review in order to ensure that the public interest is served.
As noted above, while this 1250 megahertz spectrum threshold helps to
identify those markets that provide particular reason for further
competitive analysis, the Commission's consideration of potential
competitive harms will not be limited solely to those markets
identified by the threshold. Establishing this spectrum aggregation
threshold in the secondary market context recognizes the specific
characteristics of the
[[Page 79911]]
spectrum while helping to ensure that multiple entities have an
opportunity to obtain mmW spectrum for deployment of innovative mobile
technologies.
106. Summary. The Commission finds, on balance, that the potential
public interest benefits of adopting a 1250 megahertz limit for
auctions of this spectrum, and a 1250 megahertz threshold for secondary
market transactions for these unique spectrum bands outweigh any
potential public interest harms. Further, adopting these spectrum
holdings policies is consistent with the Commission's previous
determination that an ``approximately one-third threshold for total
spectrum that the Commission uses to identify those holdings in local
markets that may raise particular competitive concerns'' is an
effective analytical tool in the secondary market context. The
Commission anticipates that the potential costs of adopting such
spectrum holdings policies will be low. The Commission disagrees with
commenters who argue that it is premature for the Commission to
establish any spectrum aggregation policies in these bands and that
such policies will undermine the potential use of this spectrum. On the
contrary, the Commission finds that establishing such policies that
will apply as mmW spectrum is introduced into the marketplace will help
promote competition from the outset. The Commission has explained that
mmW spectrum holds the potential for a range of uses from supporting
high capacity networks to use with various IoT applications. While the
Commission cannot be certain at this time how this spectrum will be
used, the Commission finds that its anticipated value to the future of
5G makes it critical that multiple providers have access to it. The
spectrum holdings policies the Commission adopted will guard against
consolidation of this spectrum by one or two providers and will
encourage the development of innovative services to the benefit of the
American consumer.
7. Performance Requirements
a. Performance Metrics and Milestones
107. The Commission declines to adopt a unified performance metric
at this time. Based on the criticisms and alternative suggestions in
the record, the Commission concludes that such an approach would not
provide the flexibility necessary to support innovative uses of the
spectrum, as it would favor one deployment approach over another. A
unified approach might also deter investment and deployment in these
bands. The Commission also declines to adopt a ``substantial service''
standard of performance for the UMFUS. The Commission determines that
such a standard, with no firm minimum requirements, would not
adequately safeguard effective use of spectrum in these bands. The
Commission also declines to adopt a usage-based metric for performance
requirements because it is not clear that there is a workable method of
measuring or enforcing such a requirement. Instead, the Commission
adopted a series of metrics, tailored for each type of service a
licensee might choose to offer. Licensees may fulfill their performance
requirements by showing that they meet their choice of any one of the
below standards, or a combination of several. This framework is
intended to provide enough certainty to licensees to encourage
investment and deployment in these bands as soon as possible, while
retaining enough flexibility to accommodate both traditional services
and new or innovative services or deployment patterns. Its increased
level of firmness over a substantial service metric is also consistent
with the Commission's recent approach in other services.
108. The Commission notes that this list of metrics is not intended
to be exhaustive. The Commission recognizes that the metrics the
Commission adopted does not cover all possible types of service that
licensees may seek to offer in these bands, and that new, innovative
services may be developed with different characteristics that the
Commission cannot foresee at this time. The Commission therefore seeks
further comment in the FNPRM on additional metrics that should be
applied to these innovative services.
109. The Commission adopted these performance requirements only in
relation to the end of the initial license terms in these bands.
Because the Commission believes it is taking action with significant
lead time before the full development of the technology, the Commission
believes an interim benchmark might be difficult to meet and may result
in a substantial number of waiver and extension requests. While the
Commission does not adopt any ongoing or subsequent performance
requirements at this time, the Commission strongly encourages licensees
to deploy networks and services in a timely manner consistent with the
development of the technology for these bands. The Commission
emphasizes, however, that the Renewal and Service Continuity proceeding
(WT Docket No. 10-112), which addresses this issue, remains open, and
that licensees may be subject to any requirements adopted as part of
that proceeding at some later date.
110. Mobile and point-to-multipoint. For mobile and point-to-
multipoint services in the 28 GHz, 37 GHz (geographic area licenses
only), and 39 GHz bands, the Commission adopted a modified version of
the Commission's proposal in the NPRM. In order to meet the standards
for license renewal, a licensee providing mobile service must provide
coverage to 40 percent of the population of the license area and must
be using the facilities to provide service. This is a lower portion of
the population than is the standard for lower frequency bands because
this level of coverage strikes the appropriate balance between ensuring
sufficient use of the spectrum and allowing licensees flexibility to
deploy an emerging technology which may be more suitable for smaller
coverage areas. The Commission views the current safe harbor of 20
percent population coverage as inappropriate going forward because the
new technologies being developed will dramatically increase the
opportunities to use these bands. Since the Commission is not requiring
service demonstrations until the end of the license term, the
Commission believes licensees will have more than adequate time to meet
this benchmark. Similarly, the Commission does not believe CTIA's
suggestions of 10 ``connections'' per 10,000 population, or 50
connections per county, will result in robust build out in these bands.
Under CTIA's proposed definition of a ``connection,'' these 10
connections could represent as little as one subscriber accessing the
network 10 times in one month. This is a particularly low benchmark for
mobile operations, which is one of the primary target use cases for
this new service. The Commission does not believe this standard
represents a sufficient level of service to justify renewal.
111. The Commission declines to adopt the measurement method the
Commission proposed in the NPRM and concludes that requiring a specific
methodology is unnecessary. Instead, the Commission will provide
licensees with flexibility in terms of how they make their service
showings, but Commission staff will continue to review showings to
ensure that they accurately reflect coverage.
112. Fixed. The Commission does not adopt its proposed method of
``keyhole contours'' for assigning fixed links a population equivalent.
Instead, the Commission adopted a more traditional method of
demonstrating fixed service: the number of links per population in the
license area. Specifically, the Commission adopted a requirement that
[[Page 79912]]
geographic area licensees providing Fixed Service in the 28 GHz, 39
GHz, or 37 GHz bands must construct and operate at least four links in
license areas with less than 268,000 population, and at least one link
per 67,000 population in license areas with greater population. This
standard is similar to the standard the Commission established for
fixed point-to-point services in the 2.3 GHz band. While links in mmW
bands will presumably be shorter because of the propagation
characteristics, the higher frequencies will allow more reuse of
spectrum in a given area. These links must be part of a network that is
actually providing service, whether to unaffiliated customers or
private, internal uses, and all links must be present and operational
at the end of the license term. As with the mobile performance
milestone, for bands licensed by areas larger than counties the number
of links and the size of the population will be calculated over the
entire license area, not county by county.
113. Satellite. The Commission adopted it proposal from the NPRM. A
licensee who purchases a 28 GHz UMFUS license may fulfill build-out
requirements for the license by deploying an earth station in the
license area that is operational and providing service. The Commission
notes that a licensee may not fulfill this requirement by leasing a
portion of its license area to a satellite operator that builds and
operates an earth station within the leased area. In 37 and 39 GHz,
because the Commission adopted significantly larger geographic license
areas than counties, constructing and operating an earth station will
fulfill the performance requirement only for the county in which it is
constructed, and not for the entire license area. Satellite operators
who develop earth stations under the satellite sharing mechanisms the
Commission adopted for the 28 GHz and 39 GHz bands will continue to be
subject to the applicable part 25 build-out requirements.
114. Combination. Licensees whose deployments contain a mix of
services, for example mobile service combined with fixed backhaul may
meet the relevant fixed or mobile/point-to-multipoint standard
separately. The Commission declines to establish a specific formula for
evaluating such buildouts on a combined basis. Instead, the Commission
will evaluate such showings on a case-by-case basis, as the Commission
has done for LMDS.
b. Failure To Meet Buildout Requirements
115. The Commission adopted a modified version of its proposal,
tailored to the different license area sizes the Commission adopted for
each band. For all bands, the Commission adopted its proposal to
terminate licenses (or portions of licenses, as appropriate)
automatically if a licensee fails to meet the applicable performance
requirements, which is widely applied in many wireless services. The
band-specific approaches to license renewal and termination are
explained in more detail below. In the accompanying FNPRM, the
Commission seeks to further develop the record on use-or-share
obligations.
116. 28 GHz. The 28 GHz band will be licensed by county because
partitioning licenses in these bands into license areas smaller than
counties would be administratively burdensome without providing any
off-setting benefits to licensees or service providers. Accordingly, if
a licensee in the 28 GHz band fails to meet the applicable performance
requirements at the end of its license term, the license for that
county will terminate immediately in its entirety. As the Commission is
reissuing the licenses in these band by county rather than by BTA, the
Commission declines to implement EchoStar's proposal to continue to
evaluate incumbent licensees' performance on a BTA-wide basis.
117. 37 and 39 GHz. The 39 GHz band, as well as the 37.6-38.6 GHz
band, will be licensed by PEAs, rather than counties. In order to
balance the need to ensure productive use of spectrum with the need to
encourage investment and deployment, the Commission adopted a modified
approach to performance requirements in this band.
118. A licensee who meets the applicable performance requirements
for the entire PEA, taken as a whole, will be eligible to renew the
entire license. A licensee who does not meet the requirements for the
entire license area will have two options: (1) automatic termination of
the entire license, or (2) partition the license at the county level,
and return a portion of the license to the Commission such that the
applicable performance requirements are met for the remaining non-
forfeited area. For example, a licensee of a PEA containing five
counties of 100,000 people each, who deployed mobile service covering
60 percent of the population in each of two counties, and made no
deployments in the other three counties, would be covering only 24
percent of the total population of the license area. This would not be
enough to meet performance requirements across the entire license.
However, the licensee could forfeit the portion of the license covering
the three un-deployed counties, and retain and renew the portion of the
license covering the remaining two counties. Similarly, a licensee of
the same hypothetical PEA who deployed mobile service covering 80
percent of one county, and 30 percent of another, could retain and
renew the portion of the license for those two counties because the
resulting two-county license area would have coverage of 55 percent of
its population, which exceeds the 40 percent requirement.
c. Treatment of Incumbents
119. The Commission declines to adopt its proposal from the NPRM.
For license terms concluding before 2020, licensees may be unable as a
practical matter to meet the new, more rigorous requirements the
Commission adopted for these bands at the end of their current license
terms because of the nascent state of technology. Moreover, providing
for additional time will provide more effective opportunities for
licensees to use the spectrum in ways that maximize the flexibility now
afforded by the Commission's new rules. For example, the transition
toward providing innovative mobile services is likely to require
complex business decisions and changes in plans. In short, it is the
Commission's intent to encourage deployment of new and innovative
services--particularly mobile service--as efficiently and effectively
as possible.
120. Thus, the Commission slightly modifies and extends the
deadline for meeting the performance requirements pertaining to
licensees' current licenses for licenses expiring after the adoption
date of the rules in this proceeding. Specifically, current licensees
in the 28 GHz and 39 GHz bands who, under the current rules, face a
deadline for demonstrating substantial service after the adoption date
of this Report and Order will not be required to demonstrate
substantial service at renewal. Instead, those licensees will be
required to fulfill the performance requirements the Commission adopted
for their respective licenses by June 1, 2024. This approach will allow
current licensees to focus on growing and transitioning their networks
in line with new and developing industry standards, which will support
earlier and more robust deployment of next-generation services in these
bands.
[[Page 79913]]
d. Alternatives to Performance Requirements
121. The Commission declines to adopt either of these alternatives
for these bands. The Communications Act contemplates that the
Commission will take measures ``to prevent stockpiling or warehousing
of spectrum by licensees.'' The Commission believes the foregoing
performance requirements are feasible in these bands, and the best
method to prevent warehousing in this context. O3b argues that such
``consecutive license terms with recurring payments'' would simply
change the financial calculation underpinning warehousing: while the
initial bid would be smaller and discounted less, the lower price of
entry could encourage warehousing by reducing the amount initially
needed to hold on to the spectrum. In the absence of any discussion of
the ``option payment'' concept, the Commission will not adopt the
proposal at this time.
8. Permanent Discontinuance of Operations
122. Under Sec. 1.955(a)(3) of the Commission's rules, an
authorization will automatically terminate, without specific Commission
action, if service is ``permanently discontinued.'' In the NPRM, the
Commission proposed that for UMFUS licensees that identify their
regulatory status as common carrier or non-common carrier,
``permanently discontinued'' should be defined as a period of 180
consecutive days during which the licensee does not provide service to
at least one subscriber that is not affiliated with, controlled by, or
related to, the provider in the service area of its license (or smaller
service area in the case of a partitioned license).
123. The Commission proposed a different approach for licensees
that use their licenses for private, internal communications. For these
services, the Commission proposes to define ``permanent
discontinuance'' as a period of 180 consecutive days during which the
licensee does not operate any facilities under the license. The
Commission proposed that licensees not be subject to this requirement
until one year after their initial license period ends, to allow them
adequate time to construct their networks.
124. The Commission also proposed that when 28 GHz, 37 GHz, or 39
GHz licensees permanently discontinue service, the licensee must notify
the Commission of the discontinuance within 10 days, by filing FCC Form
601 and requesting license cancellation. The Commission further
proposed that an authorization automatically terminates without
specific Commission action if service is permanently discontinued, even
if a licensee fails to file the required form. No commenters discuss
the permanent discontinuance of service proposals.
125. The Commission adopted its proposals from the NPRM related to
permanent discontinuance of operations. Specifically, the Commission
adopted the two separate proposed definitions of ``permanent
discontinuance,'' for common carrier and non-common carrier service,
and for private communications services. The Commission also adopted
its proposal to wait to implement this requirement until one year after
the initial license period ends. This approach is consistent with the
definitions the Commission has adopted for other spectrum bands that
are licensed for mobile use, including the H Block, AWS-3, and AWS-4
bands.
126. The Commission also adopted its proposal that a licensee who
permanently discontinues service must notify the Commission within 10
days, and the Commission's proposal that such licenses terminate
automatically even if a licensee fails to appropriately notify the
Commission. This approach to permanent discontinuance is consistent
with Sec. 1.955(a)(3) of the Commission's rules. The permanent
discontinuance rule is intended to provide operational flexibility
while ensuring that spectrum does not lie idle for extended periods,
and the rules the Commission adopted support those goals.
9. Secondary Markets Policies
a. Partitioning and Disaggregation
127. The Commission's part 101 rules generally allow for geographic
partitioning and spectrum disaggregation in the LMDS and 39 GHz
service. Geographic partitioning refers to the assignment of geographic
portions of a license to another licensee along geopolitical or other
boundaries. Spectrum disaggregation refers to the assignment of
discrete amounts of spectrum under the license to another entity.
Disaggregation allows for multiple transmitters in the same geographic
area operated by different companies on adjacent frequencies in the
same band.
128. In 1997, the Commission determined that all LMDS licensees
would generally be permitted to disaggregate and partition their
licenses. The Commission later adopted specific procedural,
administrative, and operational rules to govern the disaggregation and
partitioning of LMDS licenses. Similarly, in the same year, the
Commission concluded that partitioning and disaggregation would be
permitted in the 39 GHz band and adopted partitioning and
disaggregation rules in this band as well. The rules require the
spectrum to be disaggregated by FDD pair in the 39 GHz band.
129. In the NPRM, the Commission proposed to continue to allow
partitioning and disaggregation in the 28 and 39 GHz bands, and to
permit 37 GHz licensees to partition and disaggregate their licenses as
well. The Commission also proposed to require all parties to a
partitioning or disaggregation agreement to independently fulfill the
applicable performance and renewal requirements, which is consistent
with the current requirements.
130. Commenters overwhelmingly support allowing secondary market
transactions in general, and partitioning and disaggregation in
particular. Intel supports expanding disaggregation in the 39 GHz band
by also permitting pair-splitting. No commenters oppose allowing
secondary market transactions generally, or partitioning or
disaggregation specifically. No commenters discuss performance
requirements for parties to a partition or disaggregation.
131. The Commission adopted its proposal in the NPRM to allow
partitioning and disaggregation of licenses in the 28, 37, and 39 GHz
bands. As the Commission noted when first establishing partitioning and
disaggregation rules, allowing such flexibility could facilitate the
efficient use of spectrum by enabling licensees to make offerings
directly responsive to market demands for particular types of services,
increasing competition by allowing new entrants to enter markets, and
expediting provision of services that might not otherwise be provided
in the near term. This policy would leave the decision of determining
the correct size of licenses to the licensees and the marketplace.
Allowing this flexibility is consistent with the record, and with the
flexible approach to licensing these bands that the Commission adopted
in this Report and Order. Because the band plan the Commission adopted
for the 39 GHz band does not use paired spectrum blocks, the current
rule that licenses in that band must be disaggregated in pairs will no
longer apply.
132. The Commission also adopted its proposal to require all
parties to a partitioning or disaggregation agreement to independently
fulfill applicable performance and renewal requirements. According to
the performance requirements framework the Commission adopted,
individual
[[Page 79914]]
licensees may choose which metric they fulfill (e.g., fixed, mobile, or
satellite), but each licensee must make a showing that independently
satisfies the requirements. This requirement will facilitate efficient
spectrum use, while enabling service providers to configure geographic
area licenses and spectrum blocks to meet their operational needs.
b. Spectrum Leasing
133. In 2003, in order to promote more efficient use of terrestrial
wireless spectrum through secondary market transactions and in order to
eliminate regulatory uncertainty, the Commission adopted the Secondary
Markets First Report and Order, which contained a comprehensive set of
policies and rules to govern spectrum leasing arrangements between
terrestrial licensees and spectrum lessees. These policies and rules
enabled terrestrially-based Wireless Radio Service licensees holding
``exclusive use'' spectrum rights to lease some or all of the spectrum
usage rights associated with their licenses to third party spectrum
lessees. Those third party lessees were then permitted to provide
wireless services consistent with the underlying license authorization.
134. This 2003 Order excluded a number of wireless radio services
from the spectrum leasing rules and policies, including part 101
services. A year later, the Commission extended the spectrum leasing
policies to a number of additional wireless services, including part
101 services. At that time, the Commission also built upon the spectrum
leasing framework by establishing immediate approval procedures for
certain categories of terrestrial spectrum leasing arrangements.
135. In the NPRM, the Commission proposed to apply these spectrum
leasing policies to the new part 30 radio service governing UMFUS's,
including all 28 GHz, 37 GHz, and 39 GHz terrestrial licenses. The
Commission proposed to apply these policies in the same manner that
they apply to part 101 services.
136. Many commenters support allowing secondary market transactions
generally and spectrum leasing specifically. Commenters cite the
additional flexibility afforded by leasing spectrum, and the market
certainty granted by using established rules. Several commenters also
mention that spectrum leasing allows a broader range of entities to
access licensed spectrum and provides additional competition in the
marketplace. No commenters oppose allowing spectrum leasing
arrangements.
137. The Commission adopted its proposal to allow spectrum leasing
in the 28 and 39 GHz bands, as well as the portion of the 37 GHz band
licensed on a geographic area basis. Allowing spectrum leasing in these
bands will promote more efficient, innovative, and dynamic use of the
spectrum, expand the scope of available wireless services and devices,
enhance economic opportunities for accessing spectrum, and promote
competition among providers. In addition, spectrum leasing policies in
a particular band generally follow the same approach as the
partitioning and disaggregation policies for that band. Thus, the
Commission's adoption of spectrum leasing rules for the 28 GHz, 39 GHz,
and 37 GHz bands is consistent with the Commission's decision above to
allow partitioning and disaggregation in these bands as well.
10. Other Operating Requirements
138. The Commission adopted its proposal in the NPRM to require
UMFUS licensees to comply with other rule parts that pertain generally
to wireless communications services, and with any applicable service-
specific rules. This approach will maintain general consistency among
various wireless communications services. Consistent with the
Commission's proposal, the Commission will add UMFUS to the definitions
of Wireless Radio Service and Wireless Telecommunications Service in
Sec. 1.907 of the Commission's rules. The Commission refrains from
modifying other existing rules in other rule parts at this time, as no
commenter has identified any incompatibilities or inconsistencies
between the UMFUS Service and the existing service-specific or
generally applicable rules. To consolidate the technical rules for all
of the types of flexible uses that might be deployed by UMFUS licensees
under a single rule part, and to maintain consistency between the rules
that the Commission adopted and the current technical requirements that
existing LMDS and 39 GHz licensees are subject to, the Commission will
move the existing part 101 technical rules for traditional point-to-
point and point-to-multipoint operations into part 30.
11. Competitive Bidding Procedures
a. Applicability of Part 1 Competitive Bidding Rules
139. The Commission proposed in the NPRM to conduct any spectrum
auction of UMFUS licenses in conformity with the general competitive
bidding procedures set forth in part 1 subpart Q of the Commission's
rules. No commenters proposed any alternative or objected. Given the
Commission's experience in successfully conducting auctions using these
procedures, the Commission adopted its proposed approach. The
Commission will employ the part 1 rules governing competitive bidding
design, designated entity preferences, unjust enrichment, application
and payment procedures, reporting requirements and the prohibition on
certain communications between auction applicants--including those
updates made in the Competitive Bidding Update Report and Order. The
Commission notes however, that the Commission could modify these
procedures at a later time.
140. In discussing the competitive bidding rules, one commenter
urges that if the Commission adopts county-level licenses, it would be
critical to permit `package bidding' so that operators could assemble
larger footprints by bidding on multiple counties at one time. In
response, two commenters argue that the Commission should not permit
any form of package bidding because such bidding procedures may make it
more difficult for small bidders to acquire specific licenses that are
included in larger packages. Issues involving such bidding procedures
are more appropriately addressed in a pre-auction proceeding that will
seek public input on the competitive bidding procedures to be used for
a particular auction of UMFUS licenses. Accordingly, the Commissions
defer consideration of such matters to such proceeding(s) where
interested parties are likely to have a more informed context for such
input.
b. Small Business Provisions for Geographic Area Licenses
141. In authorizing the Commission to use competitive bidding,
Congress mandated that the Commission ``ensure that small businesses,
rural telephone companies, and businesses owned by members of minority
groups and women are given the opportunity to participate in the
provision of spectrum-based services.'' One of the principal means by
which the Commission fulfills this mandate is through the award of
bidding credits to small businesses. In the Competitive Bidding Second
Memorandum Opinion and Order, the Commission stated that it would
define eligibility requirements for small businesses on a service-
specific basis, taking into account the capital requirements and other
characteristics of each particular service in establishing the
appropriate threshold. Further, in the Part 1 Third Report and Order
and the more recent Competitive Bidding
[[Page 79915]]
Update Report and Order, the Commission, while standardizing many
auction rules, determined that it would continue a service-by-service
approach to defining small businesses. The Commission recently updated
its standardized schedule of small business definitions to reflect the
capital challenges small businesses face in the current wireless
industry, and in the NPRM the Commission sought comment on whether to
apply those updated definitions for auctions of spectrum in the UMFUS
bands.\9\
---------------------------------------------------------------------------
\9\ Under the new standardized schedule, businesses with average
annual gross revenues for the preceding three years not exceeding $4
million would be eligible for a 35 percent bidding credit,
businesses with average annual gross revenues for the preceding
three years not exceeding $20 million would be eligible for a 25
percent bidding credit, and businesses with average annual gross
revenues for the preceding three years not exceeding $55 million
would be eligible for a 15 percent bidding credit. The Commission
also adopted a monetary cap on the total amount of bidding credits
that an eligible small business or rural service provider may be
awarded in any particular auction. Specifically, the amount of the
bidding credit cap for a small business in any particular auction
will not be less than $25 million and the bidding credit cap for the
total amount of bidding credits that a rural service provider may be
awarded will not be less than $10 million.
---------------------------------------------------------------------------
142. Based on the Commission's prior experience with the use of
bidding credits in spectrum auctions, the Commission believes that the
using bidding credits is an effective tool to achieve the statutory
objective of promoting participation of designated entities in the
provision of spectrum-based service.
143. In adopting competitive bidding rules for the 39 GHz band, the
Commission included provisions for designated entities to promote
opportunities for small businesses, rural telephone companies, and
businesses owned by members of minority groups and women to participate
in the provision of spectrum-based services. Specifically, the
Commission adopted bidding credits for applicants qualifying as small
businesses. For auction of licenses in the 39 GHz band, the Commission
adopted two small business definitions. These two small business
definitions were later adopted as the highest two of three thresholds
in the Commission's standardized schedule of bidding credits. In the
NPRM, the Commission proposed to adopt for the UMFUS the two small
business definitions with higher gross revenues thresholds reflecting
the recently adopted updates to the part 1 schedule of small business
definitions in the Competitive Bidding Update Report and Order. The
Commission adopted its proposal to apply the two small business
definitions with higher gross revenues thresholds to auctions of UMFUS
licenses in the 28, 37, and 39 GHz bands and any other spectrum bands
that the Commission may subsequently designate for inclusion in the
UMFUS. Accordingly, an entity with average annual gross revenues for
the preceding three years not exceeding $55 million will qualify as a
``small business,'' while an entity with average annual gross revenues
for the preceding three years not exceeding $20 million will qualify as
a ``very small business.'' While the capital requirements of the
services to be deployed in these bands is not yet known, the Commission
believes that using these gross revenue thresholds will enhance the
ability of small businesses to acquire and retain capital and thereby
complete meaningfully at auction. The Commission also believes that
these thresholds are not overly inclusive, and prevents designated
entity benefits from flowing to entities for which such credits are not
necessary. The Commission believes that the various spectrum bands
included in the UMFUS--spectrum that will be utilized under the same or
similar technical rules--will be deployed for the same types of
service, and therefore the two small business definitions with higher
gross revenues thresholds should apply to all of the bands in the
UMFUS.
144. The Commission also adopted its proposal to provide qualifying
``small businesses'' with a bidding credit of 15 percent and qualifying
``very small businesses'' with a bidding credit of 25 percent,
consistent with the standardized schedule in part 1 of the Commission's
rules. This proposal was modeled on the small business size standards
and associated bidding credits that the Commission adopted for a range
of other services, including Advanced Wireless Services in the AWS-1
band. The Commission believes that this two-tiered approach has been
successful in the past, and will once again utilize it. The Commission
uses the existing 39 GHz service rules as a starting point, but adjusts
the bidding credit levels to be consistent with the schedule in part 1
of the Commission's rules. The Commission believes that use of the
small business definitions and associated bidding credits set forth in
the part 1 bidding credit schedule will provide consistency and
predictability for small businesses. No commenter provides any
alternative or reason why the Commission's bidding credit thresholds or
small business definitions would not work in this service. Accordingly
the Commission adopted its proposals regarding small business
definitions and bidding credits.
c. Rural Service Provider Provisions for Geographic Area Licenses
145. The rural service provider bidding credit awards a 15 percent
bidding credit to those servicing predominantly rural areas and that
have fewer than 250,000 combined wireless, wireline, broadband and
cable subscribers. In the NPRM, the Commission stated that in the
absence of comments to the contrary, the Commission would leave open
the option for future bidding applicants to apply for rural service
provider bidding credits in lieu of a small business bidding credits.
The Commission now decides that the Commission will apply the rural
service provider bidding credit to auctioning the 28 GHz, 37 GHz and 39
GHz bands. Although the Commission has not received comments about this
issue, the Commission believes that a targeted bidding credit will
better enable rural service providers to compete for spectrum licenses
at auction and in doing so, will increase the availability of 5G
service in rural areas.
d. Small Business and Rural Service Provider Bidding Credit Caps
146. In the Competitive Bidding Update Report and Order, the
Commission adopted a process for establishing a reasonable monetary
limit or cap on the amount of bidding credits that an eligible small
business or rural service provider may be awarded in any particular
auction. The Commission established the parameters to implement a
bidding credit cap for future auctions on an auction-by-auction basis.
Consistent with the Commission's longstanding approach, after adoption
of all of the necessary service rules for the UMFUS, the Commission
will initiate a public notice process to solicit public input on
certain details of auction design and the auction procedures for the
initial auction of UMFUS licenses. As part of that process, the
Commission will solicit public input on the appropriate amount of the
bidding credit cap and subsequently establish the cap that will apply
for that auction, based on an evaluation of the expected capital
requirements presented by the particular spectrum being auctioned and
the inventory of licenses to be auctioned.
e. Tribal Lands Bidding Credit
147. The tribal lands bidding credit program awards a discount to a
winning bidder for serving qualifying tribal land that have a wireline
telephone
[[Page 79916]]
subscription rate equal to or less than 85 percent of the population.
The Commission believes that tribal entities involved in the
telecommunications industry face unique challenges in participating in
spectrum auctions and that the tribal lands bidding credit will promote
further deployment and use of spectrum over tribal lands. No commenters
oppose the tribal land bidding credit nor suggest that the tribal lands
bidding credit is unnecessary. Accordingly, a winning bidder for a
market will be eligible to receive a credit for serving qualifying
Tribal lands within that market, provided it complies with the
applicable competitive bidding rules.
f. Bidding Process Options
148. Finally, the Commission also sought comment in the NPRM on
whether the Commission should revise any of the Commission's bidding
process and payment rules to ameliorate the administrative difficulties
the Commission could potentially face in enforcing the construction
requirements in the 3,143 counties nationwide. One alternative the
Commission discussed was to allow prospective millimeter wave licensees
to bid, in a single auction, on licenses that have consecutive terms of
license rights in a given geographic area--i.e., licensees could bid at
auction for the right to obtain a license in a given county not just
for a single license term, but for each subsequent five-year license
term; and the winning bidder would pay an auction-determined fee, in
lieu of other performance requirements before the start of each term.
Once a winning bidder made this payment, a new license would issue for
the next consecutive license term. Some commenters support adopting
such payments in lieu of performance requirements. However several
commenters criticize the approach as incentivizing spectrum
warehousing. For example, O3b notes that consecutive license terms with
recurring payments would simply change the financial calculation
underpinning warehousing: while the initial bid would be smaller and
discounted less, the lower price of entry could encourage warehousing
by reducing the amount initially needed to hold on to the spectrum. The
Commission declines to adopt recurring payments as an alternative to
performance requirements in this order and note it is unlikely the
Commission would adopt such payments given the Commission's review of
the record and further consideration of the factors affecting these
bands. In the NPRM, the Commission speculated that these payments could
incentivize deployment of network facilities and discourage spectrum
warehousing because a licensee would be unlikely to pay the auction
price for successive terms for spectrum it did not intend to use.
However, the Commission believes there is a strong likelihood that
bidders would still warehouse spectrum and leave it fallow if the cost
of the recurring payment to the spectrum holder was outweighed by the
benefit derived from foreclosing other operators' access to the
spectrum. This would counter the Commission's goal of accelerating
deployment in these bands. Accordingly the Commission declines to adopt
this proposal.
12. Security
149. The FCC's approach to cybersecurity proceeds from the view
that communications providers are generally in the best position to
evaluate and address risks to their network operations. This approach
recognizes the importance of private sector leadership and innovation
in cybersecurity, and it reduces the need for ongoing regulatory
involvement in private sector security practices. It will prove
successful, though, only if the private sector aggressively addresses
evolving threats through security-by-design, even where short-term
market incentives may not be sufficient to drive long-term security
investments before harm is realized.
150. Emerging security standards for new flexible uses of the mmW
bands (and ``5G'' more broadly) are developing in parallel, but not
necessarily at the same pace, with the emerging networks, devices, and
equipment. While CTIA has observed that significant, multi-stakeholder,
multi-disciplinary, and ``multi-layered'' efforts are ongoing,
domestically and globally, ``to assure that [5G] network and [mmW]
device security is preserved to the maximum extent feasible,'' the
Commission must acknowledge that to date many wireless communications
systems have not been successful at implementing security-by-design.
The Commission recognize that, in the race to market, vital security
protections too often fall by the wayside.
151. The Commission took narrowly tailored steps to help promote an
environment that encourages the early and ongoing consideration of
security issues by all private sector participants, including
infrastructure and device firms, established communications firms, and
new entrants to communications markets. New mmW-based networks will
enable valuable new services, and accelerating the deployment of those
services is a national priority. Those benefits, however, will be
undermined if security risks are not managed by licensees. Accordingly,
the Commission is moving expeditiously both to meet the need for new
mmW spectrum for next generation services and to help ensure that
security for these services is built in from the beginning, not left as
an afterthought. In this approach, the Commission concurs with
stakeholders who identify that there is an opportunity to take action
now--before the technology is mature or the services deployed--to
encourage, from the outset, the development of necessary cybersecurity
protections alongside the development of emerging services and
technologies.
152. In the NPRM, the Commission recognized the significance of
security to 5G networks and the future devices enabled by and
connecting to them. Because of the implications related to both sets of
issues, the Commission sought comment on how to secure mmW band
devices, networks, and their communications, and specifically on ``how
to ensure that effective security features are built into key design
principles for all mmW band communications devices and networks.'' The
Commission expressed a belief in the value of ``security-by-design''
that is motivated by the Commission's expectations that these networks
may provide capabilities for a wide variety of new devices and
applications, including, among others, traditional mobile
communications capabilities, IoT and other applications as well as
devices critical to public safety and related services that provide
essential protections to the nation. The Commission indicated that
security by design means ensuring that the goals that drive the
development of networks and devices include achieving an objective
state of security. In that context, the Commission explained that the
security constructs of confidentiality, integrity, and availability
help us gain insight into security generally, and that security-by-
design can help ensure that the next generation of wireless networks
meets these critical components of a secure network. Several commenters
expressed their support for this approach.
153. The Commission continues to believe in the significant
benefits of security by design, including the benefits that the
Commission would expect to flow from using the confidentiality,
integrity, and availability construct for assessing, planning and
incorporating security elements into networks and devices as early as
possible in their developmental
[[Page 79917]]
stages. Indeed, the record demonstrates that security elements are
appropriate and important for service providers and equipment
developers to consider now, during the development process, as well as
part of an ongoing discussion as networks and devices are deployed and
operated.
154. For example, one commenter notes that the ``network-based hop-
to-hop security approach used to secure the path between communications
users will not be sufficient for differentiated end-to-end security for
certain 5G services.'' Systems are in need of a ``secure architecture,
stringent identity management and data protection, more rigorous
authentication methods, and an array of system-level protections to
defend against distributed denial of service . . . attacks and other
intrusions.'' Accordingly, the commenter believes that security
features that are incorporated into 5G systems by design would provide
a significant advantage over any ``built on top of'' system design.
Since the service and network architecture of 5G is going through
dramatic remodeling, the commenter maintains it will ``improve the
feature and competitive strength for 5G if security protection is
included at an early stage.''
155. The view that security should be a fundamental component in
the design of any new network architecture and protocols is also shared
by 5G Americas, which underscores the heightened sense that security is
expected to take on as new technology and services are deployed. For
example, 5G Americas states that 5G systems are expected to provide
important applications such as ``smart grids, telemedicine, industrial
control, public safety and automotive, [which] have security
requirements to defend against intrusion and to ensure uninterrupted
operations.'' Other commenters offer additional examples illustrating
why it is appropriate and important to build security elements into
considerations that go into developing networks and devices. For
instance, AT&T notes a variety of developments that will have security
implications: ``machine to machine communications will contemplate
energy optimization, reduced signaling, and massive connectivity. With
these advancements, IoT [Internet of Things] will become a reality. 5G
systems will be capable of supporting a range of machine-to-machine
services, from connected cars to smart cities to telemedicine and
beyond.'' Highly secure 5G systems will be expected even in times of
stress. As FiberTower notes, ``reliance on 5G will only increase in the
event of a man-made or naturally occurring outage in a critical
service.'' To support these needs, the Commission believes 5G services
will need to be highly secure prior to deployment, and the Commission
thinks it reasonable that the Commission be apprised of security plans
in place prior to 5G services becoming operational.
156. Based on the Commission's analysis of the record, the
Commission can best facilitate adoption of security-by-design
approaches by promoting an open dialogue about security practices that
would be consistent with a discussion at a standards organization.
Therefore, the Commission is asking to receive from licensees--before
they begin operations--general statements, at a level consistent with
the open forum standards body discussions, of their plans for
safeguarding their networks and devices from security breaches.
Requiring licensees to submit that information at that juncture creates
an incentive for them to engage in the development of security measures
at an earlier stage. The specific information that the Commission
receives will also facilitate the Commission's ability to help in
identifying security risks, including areas where more attention to
security may be needed, and in disseminating information about
successful practices for addressing the risks. Moreover, this approach
avoids the drawbacks of imposing prescriptive security mandates--e.g.,
downsides such as the likelihood that one size will not fit all, the
lack of agility in responding to changing circumstances and
technologies, and the rigidity that such mandates tend to introduce
into systems at the outset--thereby preserving for operators, equipment
developers, and other interested parties significant flexibilities for
addressing security concerns.
157. As described in detail below, the provision that the
Commission adopted promotes ``security-by-design'' approaches within
the mmW network and product development environment, in ways that
should (i) minimally impact (but appropriately enhance the prospects
for security ``assurance'') ongoing design and development with respect
to this nascent technology, (ii) facilitate integration of network and
product development with the timeline for standards development, and
(iii) encourage early participation in and monitoring of such standards
development. This provision--a requirement that each licensee discuss
at a high level how confidentiality, integrity, and availability
principles are reflected in its network security design planning in a
Statement submitted to the Commission prior to commencing operations--
should also help inform the Commission's collective understanding and
strategies for addressing security issues in the next generation of
communications networks. More specifically, the Commission is requiring
licensees to file a Statement with the Commission within three years
after grant of the license, but no later than six months prior to
deployment. This time period accords with the Commission's security-by-
design goals while leaving flexibility for licensees depending on when
they are able to deploy service. The Statement must be signed by a
senior executive within the licensee's organization with personal
knowledge of the organization's security plans and practices, within
the licensee's organization, and must include, at a minimum, the
following elements:
A high-level, general description of the licensee's
security approach designed to safeguard the planned network's
confidentiality, integrity, and availability with respect to
communications from: a device to the licensee's network; one element of
the licensee's network to another element on the licensee's network;
the licensee's network to another network; and device to device (with
respect to telephone voice and messaging services).
A high-level, general description of the licensee's
anticipated approach to assessing and mitigating cyber risk induced by
the presence of multiple participants in the band. This should include
the high level approach taken toward ensuring consumer network
confidentiality, integrity, and availability security principles, which
are to be protected in each of the following use cases: communications
between a wireless device and the licensee's network; communications
within and between each licensee's network; communications between
mobile devices that are under end-to-end control of the licensee; and
communications between mobile devices that are not under the end-to-end
control of the licensee.
A high-level description of cybersecurity standards and
practices to be employed, whether industry-recognized or related to
some other identifiable approach;
A description of the extent to which the licensee
participates in standards bodies or industry-led organizations pursuing
the development or maintenance of emerging security standards and/or
best practices;
The high-level identification of any other approaches to
security, unique to the services and devices the licensee intends to
offer and deploy; and
[[Page 79918]]
Plans to incorporate relevant outputs from Information
Sharing and Analysis Organizations (ISAOs) as elements of the
licensee's security architecture. Plans should include comment on
machine-to-machine threat information sharing, and any use of
anticipated standards for ISAO-based information sharing.
158. The intent of the disclosures is to facilitate multi-
stakeholder peer review and earlier development of devices and a
commercially viable market for the service. The Commission recognizes
that the Statements concern the cybersecurity of the Commission's
nation's critical communications infrastructure and, accordingly, the
content of the Statements should be at a high-level and not include
information that, if publicly disclosed, would create a significant
risk to the security of this infrastructure or related systems and
networks. The Commission also recognizes that an entity's cybersecurity
posture can be a competitive differentiator and that unauthorized
disclosures of Statements containing more detailed information could
result in competitive harm to the licensee. Here again, the Commission
concludes that the Statements should not provide information at a level
of granularity that its public disclosure would jeopardize the
competitive position of the licensee. For example, the Commission
expects that these disclosures will contain information that could be
disclosed at a standards meeting where stakeholders gather to share
ideas and information for the purpose of advancing the state of the
art. If, however, licensees intend to submit information that warrant
confidential treatment, they may seek confidential treatment pursuant
to the Commission's rules. Furthermore, the information required to be
submitted under this rule as it relates to security plans and practices
will not be used for the purpose of enforcing compliance with the
Communications Act or any of the Commission's rules, other than the
requirement of filing such Statements.
159. The Commission finds that appropriate cybersecurity safeguards
are a fundamental part of the development and deployment of mmW systems
and services contemplated by this Report and Order. The reporting
requirement the Commission adopted will not only help ensure that
industry focuses the necessary degree of attention throughout these
development and deployment processes on the most effective ways to
include these safeguards at the earlier possible points, but it will
also keep the Commission informed of the ongoing progress in this area
so the Commission can provide timely, measured and effective responses
to address any emerging problems before they become intractable. It
will also be important to consider how best to ensure that the types of
cyber safeguards that the Commission encourages for the mmW bands will
be incorporated more broadly into future so called 5G networks and
services. Consequently, the Commission directs the OET, the Public
Safety and Homeland Security Bureau (PSHSB), and the WTB to, by not
later than October 31, 2016, issue in a separate docket a Notice of
Inquiry (NOI) exploring the security implications and solutions in
future 5G networks, beyond the actions the Commission took in this
Report and Order. The Commission believes this NOI is an opportunity to
look holistically at the potential security implications in future 5G
networks offering different types of services to different types of
users (e.g., wireless broadband, low-data-rate IoT applications, high-
data-rate IoT applications). It will also provide a collaborative
vehicle for exploring 5G security-related threats, solutions, and best
practices in order to address the implications more effectively. The
NOI is not intended to duplicate or replace ongoing or future 5G
security architecture and 5G design work by standards bodies, industry
or academic groups, but instead to facilitate common appreciation
across the 5G ecosystem for the evolving security standards. The NOI
will also provide an opportunity for stakeholders to identify new 5G
issues as new IoT functions are developed in 5G, and as national
security, public safety, critical infrastructure industries, and
consumers begin to understand the implications and potential
opportunities of 5G.
G. Technical Rules
1. Flexible Duplexing Rules
160. Consistent with the Commission's proposal in the NPRM, the
Commission adopted flexible duplexing rules for the 27.5-28.35 GHz, 37-
38.6 GHz, and 38.6-40 GHz bands. While the comments indicate that TDD
is the duplexing scheme licensees are most likely to deploy in the
bands, the Commission sees no reason to prevent them from using other
technologies. Therefore, the rules the Commission adopted will allow
any type of duplexing to be deployed, subject to other technical rules
to manage interference. The Commission also adopted changes to the 39
GHz channel plan, as discussed in more detail in Section I.B.5 (39 GHz
Band (38.6-40 GHz)), which will accommodate more flexible duplexing
schemes.
2. Transmission Power Limits and Antenna Height
a. Base Stations
161. The Commission believes that an increase in the maximum base
station power from what the NPRM proposed is necessary for two reasons.
First, the 62 dBm/100 MHz EIRP power limit proposed in the NPRM will
limit UMFUS base stations to a much lower power density than is
permitted for other mobile services. For example, Personal
Communications Service (PCS) and AWS base stations are permitted to
transmit at 62 dBm/MHz EIRP, which would permit a total EIRP of 82 dBm
for a 100 MHz signal. The Commission sees no reason why UMFUS should be
limited to a lower power density than PCS and AWS. Second, the
propagation properties in the mmW band make higher powers necessary.
Signal attenuation with distance is higher in the mmW bands than at
lower frequencies and signals are more severely attenuated due to
obstacles such as foliage and walls. As the simulations submitted by
commenters illustrate, higher signal powers are necessary to permit
relatively modest base station coverage areas and to increase data
throughput. Unnecessarily limiting the base station power in the mmW
bands by applying the existing part 27 base station limit could unduly
inhibit future technologies and applications.
162. The Commission adopted a base station power limit of 75 dBm/
100 MHz EIRP as the base station power limit for the 28 GHz, the 37 GHz
and 39 GHz bands. For channel bandwidths less than 100 megahertz the
permitted EIRP will be reduced below 75 dBm proportionally and linearly
based on the bandwidth relative to 100 megahertz. Because the
technology for providing mobile services in these bands is still being
developed, the appropriate transmitted power requirements for this
equipment cannot be definitively known at this time. This 75 dBm/100
MHz limit represents a consensus that has been endorsed by the
commenters who have expressed an intention to manufacture UMFUS
equipment. Therefore, the Commission is confident that this power level
will provide the equipment manufacturers and future licensees with the
flexibility needed to deploy service in these bands. Because of the
early stage of development of UMFUS technology, the Commission will
monitor how this technology develops and revisit the base station
[[Page 79919]]
power limit in the future if it becomes necessary.
163. The Commission is not persuaded by those commenters who do not
favor increasing the base stations power limit above the level proposed
in the NPRM. Boeing's claim that the 75 dBm limit is inconsistent with
the operational range of 5G applications is contradicted by the
simulation results that show the benefits of increasing the maximum
power beyond 62 dBm and the consensus among equipment manufacturers
that 75 dBm is a reasonable power limit for UMFUS base stations.
Furthermore, the Commission's rules for the 37.5-40.0 GHz band, about
which Boeing expresses sharing concerns, limit the FSS to gateway-type
earth station operations and prohibit the ubiquitous deployment of
satellite earth stations designed to serve individual consumers. The
Commission does not believe that the higher power limit the Commission
is adopting will significantly affect the limited gateway FSS
operations permitted in the band because the Commission is providing a
means for gateway earth stations in the band to obtain protection from
terrestrial transmissions. As for SES Americom's and Avanti's concerns,
the Commission explained in Section I.G.2.d. (Terrestrial Aggregate
Interference Concerns to FSS Satellite Receivers in 28 GHz), that the
Commission does not believe the Commission needs to take specific
action with respect to aggregate interference to satellite receivers in
the 28 GHz band at this time. The Commission therefore will not unduly
restrict the development of UMFUS by limiting the base station transmit
power.
164. The Commission will not adopt a different power limit for
equipment that is used to provide both mobile services and backhaul. As
the NPRM noted, several commenters to the NOI suggested that it might
be feasible to deploy such 5G equipment. The Commission notes that
those commenters did not address this subject in response to the NPRM
and no other commenters specifically request higher power limits for
such equipment. The Commission believes that by adopting a higher power
limit for base stations than proposed in the NPRM, the Commission is
also providing adequate power to ensure successful deployment for
combined access/backhaul equipment. In addition, the Commission will
not limit base station antenna height at this time because no
commenters address the issue. Instead, the Commission shall seek
further comment on this topic in the FNPRM.
165. Compliance with the transmit power limit shall be ascertained
with over the air measurement of EIRP of the device under test (DUT).
As Qualcomm has stated, mmW devices are being designed with an array of
multiple antennas employing dynamic beamforming and that these designs
make verification of transmitter power, EIRP, and antenna gain
challenging. In this early stage of mmW development, compliance testing
will be challenging because of lack of test equipment and/or facilities
that can accurately measure over the air EIRP of the DUT and the need
to account for the introduction of antenna arrays and beamforming. Even
so, OET has issued a number of Knowledge Database (KDB) publications
that delineate measurement procedures for testing of antenna
arrays.\10\ Moreover, OET will address the further development of mmW
measurement procedures with input from industry stakeholders and other
interested parties and issue further KDB guidance.
---------------------------------------------------------------------------
\10\ See Federal Communications Commission, Office of
Engineering and Technology, Laboratory Division, Emissions Testing
of Transmitters with Multiple Outputs in the Same Band (October 31,
2013) and MIMO with Cross-Polarized Antenna (October 25, 2011)
(https://apps.fcc.gov/kdb/GetAttachment.html?id=B0ZQiTBTVsn3P3wZ2WdqhQ%3D%3D and https://apps.fcc.gov/kdb/GetAttachment.html?id=i%2BFRza%2B2Hh0pf9nHJHJGHw%3D%3D). The
Commission notes that OET has developed a substantial body of
additional guidance that is available via public notices, frequently
asked questions (FAQ's), and specific process guidance that is
compiled in our online Knowledge Database (KDB). Equipment
authorization topics that relate to new services and devices
authorized by the Commission are often addressed in the KDB. This
includes, for example, simple answers to questions, guidance on how
to file for authorization of new types of devices, and guidance on
how to conduct rule compliance testing. The staff guidance provided
in the KDB is intended to assist the public in following Commission
requirements. The guidance is not binding on the Commission and will
not preclude the Commission from making a different decision in any
matter that comes to its attention for resolution.
---------------------------------------------------------------------------
b. Mobile Stations
166. As proposed in the NPRM, the Commission adopted a 43 dBm EIRP
maximum mobile power limit in the 27.5-28.35 GHz, 37-38.6 GHz, and
38.6-40 GHz bands. The simulations and analyses by commenters indicate
that this power level will be sufficient to provide the expected range
and data rates. In addition, the power level is consistent with the
Commission's rules for part 15 devices in the 57-64 GHz band that have
been in place since 1995. The Commission is also encouraged by the
strong support for this power limit, especially from commenters who
indicate that they will manufacture equipment for these bands.
167. The Commission notes that UMFUS devices will be expected to
comply with the Commission's rules regarding radiofrequency radiation
exposure in addition to complying with the 43 dBm EIRP limit the
Commission adopted. These radiofrequency radiation exposure rules
specify more stringent exposure limits for devices that are designed to
be used within 20 centimeters of the user's body. The Commission
recognizes that such devices may have to limit their transmit power
below the 43 dBm limit to meet exposure limits.
c. Transportable Stations
168. The Commission agrees with the majority of commenters that
there is a need for an additional class of transportable stations
requiring a maximum allowable power limit higher than the 43 dBm
adopted for mobile user equipment stations. Higher power for such
devices will increase range, enable higher data rates and provide for
better coverage throughout buildings, which will allow consumers
flexibility in installation locations to provide service where needed.
These devices could be used to provide residential broadband service,
which as the simulation results provided by Nokia illustrate will
benefit from a higher transmit power than the Commission is allowing
for mobile stations. The Commission adopted a 55 dBm EIRP maximum power
limit for this for this class of equipment, which the Commission shall
refer to as transportable stations. This 55 dBm limit represents a
consensus that has been endorsed by commenters who have expressed an
intention to manufacture UMFUS equipment. The Commission notes that in
adopting this higher power limit for transportable stations that such
devices will be expected to comply with the Commission's rules
regarding radiofrequency exposure.
169. No commenter has proposed a definition of transportable
devices for purposes of the Commission's rules. However, the
terminology that most commenters have used suggests that such devices
will be stationary while operating. Therefore, the Commission shall
define a transportable device as transmitting equipment that is not
intended to be used while in motion, but rather at stationary
locations. The Commission believes this definition is appropriate
because it will exclude portable devices that are meant to be carried
by people while operating such as mobile phones or smart phones from
transmitting at the higher power level. One commenter has suggested
that these transportable devices could be built into
[[Page 79920]]
vehicles, which implies that they should be permitted to operate while
in motion. The Commission has chosen not to expand the Commission's
definition to include devices in moving vehicles because such devices
in general will not need to transmit signals that penetrate walls and
therefore will not require more power than mobile devices.
d. Terrestrial Aggregate Interference Concerns to FSS Satellite
Receivers in 28 GHz
170. The analyses, provided by commenters, leads us to conclude
that specific technical limits on UMFUS stations are not necessary at
this time to address aggregate interference. As discussed in more
detail below, the information in the record shows a wide disparity
between assumptions and illustrates that much work must be done to
accurately model mmW systems and the effects that these systems might
have on co-channel satellite receivers. As a result, the Commission
does not want to unduly restrict the development and growth of UMFUS
unless the Commission has adequate evidence that actual harm will
occur. The Commission does not believe the record demonstrates that
there is a risk of interference to satellites from aggregate
interference caused by UMFUS stations. Consequently, the Commission
will not adopt a limit on aggregate skyward interference from 28 GHz
band UMFUS stations or require that UMFUS stations employ specific
techniques to reduce skyward emissions. The Commission observes that
features such as antenna downtilt, suppression of sidelobes and
adaptive power control will occur naturally because they are inherent
characteristics of anticipated 5G technologies.
171. The analyses provided by the satellite operators are based on
very conservative assumptions and provide for a worst case scenario
regarding aggregate interference from future terrestrial networks. For
example, the satellite analyses appear to assume terrestrial devices
will continuously operate at maximum power levels and do not account
for the fact that many UMFUS deployments will occur indoors. Most of
the satellite analyses assume all terrestrial devices will be line of
sight to the satellites with the exception of the analysis submitted
jointly by the Satellite Operators, which assumes only a 9.6 dB
attenuation for a 90% non-line of sight scenario. These analyses also
assume a -12.2 dB interference criteria, which the Joint Filers point
out has been under past review in language reflected in a Conference
Preparatory Meeting report to WRC-15. The Joint Filers also note that
some system parameters provided by Satellite Industry Association
(SIA), such as satellite noise and receive beam gain, are based on the
most sensitive projections about future, planned satellite network
deployments, not necessarily satellite networks that currently exist.
172. While the Joint Filer's simulation results are not based on as
conservative assumptions as the satellite operators, they vividly
illustrate how the assumptions made can lead to vastly different
conclusions. Assumptions such as the antenna pattern of the UMFUS
devices, how many of the devices are line of sight to the satellites,
the characteristics of the satellites, and the satellite interference
criteria clearly can make an enormous difference in the number of
devices that may transmit without interference occurring. Given that
mmW technology is just being developed and the deployment scenarios of
these devices are uncertain, many of these assumptions are speculative
at this point and any conclusions that can be drawn from analyses or
simulations at this point are necessarily tentative. The Commission
also observes that no information has been submitted into the record as
to how terrestrial licensees would demonstrate compliance with a limit
on aggregate energy at each satellite or each point in the sky. While
the Commission concludes that the various studies submitted by the
parties do not support establishment of an aggregate interference limit
or adoption of specific technical requirements to reduce skyward
emissions, they do indicate the need for additional study on the effect
of aggregate interference on satellite receivers. The Commission
expects that the parties will continue to study this issue and inform
the Commission of the outcome. The Commission will revisit this issue
if additional information comes to the Commission's attention
suggesting that regulatory requirements are necessary.
3. Out-of-Band Emission Limits
a. Use of Conductive Emission Limits
173. One of the implications of requiring an EIRP metric for the
OOBE limit is that a transmitter has to meet the limit along the
maximum EIRP direction. This makes meeting the radiative OOBE limit
particularly challenging, as recognized by the commenters. In the mmW
band, transmitters require higher gain antennas to compensate for
significantly higher propagation losses and consequently the antennas
will, in general, have much smaller beamwidth, as compared to other
lower band mobile systems. As a result, OOBE of mmW transmitters have
highly directive characteristics, concentrating the transmission power
along a narrow beam in the direction of maximum EIRP. Furthermore,
because the beam is narrow and because a transmitter needs to track the
relative movement of its intended receiver in order to maintain the
communication link, the OOBE of the mmW transmitter should be spatially
averaged over the path of the receiver to reflect the spatially
transient nature of the transmitter OOBE. In this regard, Qualcomm
states that, ``based on its simulations to date, the average
interference from a mobile and a base-station/small cell with a
steerable/selectable array is very different and variable when compared
to a fixed link. With mobile operations, the interference impact
differs from fixed links due to the dynamic nature of the array, for it
points in different directions as mobile users move and are served.''
The Commission believes these features of the mmW spectrum make the
OOBE limit in the maximum EIRP direction less significant and a
spatially averaged OOBE limit more appropriate. One way to spatially
average OOBE of a transmitter is to determine its out of band TRP or by
extension of its out of band conductive power.\11\ To set forth a more
suitable OOBE metric that reflects the aforementioned features of mmW
band, the Commission should express the OOBE limit as an equivalent
conductive limit. An equivalent conductive limit is consistent with the
OOBE rule for other mobile systems.
---------------------------------------------------------------------------
\11\ TRP of a transmitter is closely related to its' conductive
power. In fact, TRP is product of antenna radiation efficiency,
er, and conductive power P (TRP =erP and
depending on antenna efficiency TRP can be virtually the same as the
conductive power P. See W.L. Stutzman and Gary A. Thiele, Antenna
Theory and Design, 2013, equations 13-40 and 2-155.
---------------------------------------------------------------------------
174. Compliance with a conductive OOBE limit in the mobile mmW
systems will be the same as other mobile systems where access to the
antenna RF port(s) is available. Where access to the RF port(s) is not
available, a somewhat more complicated process is necessary. For each
frequency (or band), an emission measurement of the DUT must be
performed along the direction of the maximum EIRP. The EIRP measurement
value is then adjusted for the antenna gain along the same direction as
the measured EIRP and at the same frequency (or band) to obtain a
conductive OOBE power of the device. This process needs to be performed
for
[[Page 79921]]
both polarization and, the respective conductive OOBE power summed, to
obtain the total conductive OOBE power of the device. To obtain the
antenna gain, licenses should use a validated antenna pattern
computation, manufacturer supplied antenna pattern, or any other
approach acceptable to the Commission as may be described in OET's KDB
publications. The Commission recognizes that under certain
circumstances the DUT antenna may interact with its supporting
structure sufficiently enough that the interaction may require
consideration through simulation or by an additional measurement step.
One way to identify such circumstances may be through the antenna
pattern validation step. Other means of identifying and considering
such circumstances may be described in OET's KDB publications.
175. With respect to TRP, TRP measurement requires EIRP measurement
of the device under test around spherical surface of the device for
both polarizations, and as a result it can be time consuming and
difficult. A reverberation chamber is deemed to be one of the most
practical means of TRP measurement. However, as noted by Straight Path,
TRP measurement in a reverberation chamber requires conducted power
measurement of power amplifiers. Straight Path further argues that
given that in many cases 5G transceiver power amplifiers and antennas
may be integrated on a single printed circuit board, it is unclear how
conducted measurement can be achieved for transceivers. Moreover, even
if access to RF ports were to be made available, a conductive
measurement would be far easier and economical to perform than TRP, as
no over the air measurement would be required for conductive
measurement. However, given that a number of commenters have requested
TRP as a metric for OOBE, and given that TRP is a spatial averaging
method, the Commission will allow TRP as the alternate metric for
compliance. As there are no TRP measurement procedures currently
defined, new measurement procedures will be developed through the FCC
Laboratory's KDB process.
176. In the NPRM the Commission proposed a radiated OOBE limit that
requires licensees to attenuate their unwanted radiated emission power
below the transmission power (P) by a factor of at least 43 +
10log10(P) per MHz (or an absolute power of -13 dBm/MHz) for
any emissions on frequencies outside the licensee's authorized
spectrum. This radiated OOBE limit is consistent with the conductive
OOBE limit that the Commission has generally required for other mobile
systems. In addition, a number of commenters state that using TRP as a
metric the proposed OOBE attenuation factor or absolute power of -
13dBm/MHz would be feasible. For these reasons the Commission has set
the OOBE limit for both conductive metric and TRP metric to -13 dBm/
MHz. This may be used as a basis for developing further requirements
that relate to transmitter performance by industry standard
organizations. This limit applies to base stations, transportable, and
mobile stations.
177. With respect to dBr radiated emission mask, the mask is
significantly more relaxed than the -13 dBm/MHz absolute limit that a
number of commenters support. In addition, the Commission finds that
the equivalent conductive limit (or alternatively TRP) is the
appropriate metric for OOBE in this band. For these reasons, the
Commission declines to adopt the dBr radiated emission mask that
Qualcomm proposes.
b. Licensed Block Edge Region
178. The Commission agrees with Ericsson, and some of the other
commenters that a bandwidth-dependent unwanted emission requirement at
the first megahertz adjacent to the licensed block discriminates
against broadband systems. However, a bandwidth-independent unwanted
emission requirement at the channel edge may not be sufficient for very
large bandwidth channels, or may not be spectrally efficient for
narrowband channels. As it is difficult at this nascent stage of mmW
development to anticipate the future channel configuration of this
technology, the Commission is relaxing the emission requirement at the
channel edge dependent on channel bandwidth, so as to provide for the
greatest latitude for channel configuration. For the first 10 percent
of the channel bandwidth from the edge of the licensed block, the
Commission requires an emission level of -5 dBm/MHz. Beyond the first
10 percent of the channel bandwidth, the Commission requires an
emission level of -13 dBm/MHz. These requirements exceed Intel's
request over the first 10 percent of the channel bandwidth immediately
outside and adjacent to the licensee's frequency block. The permissible
out of band power under these emission limits are higher than Nokia and
Sprint recommendations over the first 10 percent of the channel
bandwidth, but lower than Samsung's recommendations. Overall, the
Commission believes these requirements balance the various comments on
record.
4. Interference Protection and Coordination
a. Coordination and Field Strength Limits at Market Borders
i Base/Mobile Operations
179. The Commission agrees with the majority of commenters that
some criteria is necessary at market boundaries to manage interference
and coordination between adjacent area licensees. The Commission also
believes that given the wide channel bandwidths and diversity of
potential applications that might be deployed in these bands, any
criteria that the Commission adopts should include a scaling factor for
the bandwidth. Therefore, the Commission will adopt a PFD limit/MHz
that base operations must meet at the licensee's market boundary,
absent a mutual agreement between adjacent market licensees to exceed
that value.
180. The Commission continues to believe that the 47dBuV/m field
strength value that the Commission proposed in the NPRM is an
appropriate basis on which to set a PFD limit for the mmW bands. This
is the same limit that has been successfully used in the PCS, AWS, and
BRS bands. However, the Commission notes that a field strength of
47dBuV/m results in a very conservative absolute power limit because
field strength does not take into consideration the bandwidth and
frequency components. Therefore, the Commission believes it is
appropriate to convert a 47dBuV/m field strength to a PFD limit in
terms of dBm/m\2\/MHz for the mmW bands. Looking again at the AWS, PCS,
and BRS bands, the Commission notes that the equivalent PFD based on a
47dBuV/m field strength is within the range of -76 to -81 dBm/m\2\/MHz
depending on what bandwidth is assumed. The Commission observes that
these values bound the -77.6 dBm/m\2\/MHz PFD limit proposed by the
joint filers. The Commission also recognizes that these values are
higher than the -86 dBm/m\2\/MHz PFD proposed by Straight Path and the
-90.3 dBm/m\2\/MHz PFD proposed by Intel. However, the Commission notes
that Straight Path assumed an interference criteria of -10 dB I/N. In
recent rulemakings the Commission has assumed an interference criteria
of 0 dB I/N. Adjusting Straight Path's proposed limit to provide a 0dB
I/N as opposed to a -10dB I/N yields a market boundary limit of -76
dBm/m\2\/MHz. The Commission also notes that Intel's
[[Page 79922]]
proposed PFD was based on worst case assumptions about the receive
antenna gain, citing that the base station would have a gain of 29.1 dB
in the direction of the interfering source. The Commission believes
that this assumption is overly conservative. For example, the joint
filers stated that a lower antenna gain is typically computed in the
simulation towards the earth station since the receive beam is pointed
in the direction of the transmitting UE, and it is statistically
unlikely to coincide with the direction towards the earth station.
Thus, on balance, the Commission believes that adopting a -77.6 dBm/
m\2\/MHz PFD limit as suggested by the joint filers, will protect
terrestrial facilities in adjacent market areas from interference in a
variety of different terrestrial to terrestrial use cases as well as
the earth station to terrestrial scenario. Therefore, the Commission
will adopt a market border PFD limit of -77.6 dBm/m\2\/MHz measured at
1.5 meters above ground. The Commission emphasizes that this level is
intended to be a coordination trigger and that adjacent licensees are
free to coordinate mutually agreed upon limits that exceed this value
along their common market boundaries. The Commission will also reserve
the right to revisit the market border PFD limit in the future if it
becomes necessary as technology and services develop in these bands.
ii. Fixed Point-to-Point Operations
181. The Commission agrees with Skyriver that a field strength
limit would not be appropriate for fixed point-to-point operations
because it would require large power reductions by fixed service
providers. The Commission will retain the existing part 101 technical
rules for traditional fixed point-to-point links. As such, the
Commission believes that it is also appropriate to retain the existing
requirement that fixed point-to-point operations within 16 kilometers
(in the 38.6-40 GHz band) or 20 kilometers (in the 27.5-28.35 GHz band)
of a licensee's market boundary must coordinate with co-channel
licensees in adjacent market areas. With respect to Sprint's suggestion
that the Commission impose a coordination requirement for adjacent
channel licensees; in light of the OOBE limits that the Commission
adopted, the Commission does not believe that any additional
coordination requirement is necessary for adjacent channel
operation.\12\ The Commission seeks comment on further refining these
coordination requirements in the FNPRM.
---------------------------------------------------------------------------
\12\ The Commission also notes that Sprint's assumption that ULS
contains current station information is not entirely correct. While
ULS does contain some information on leased links there is no
requirement for licensees to report all fixed point-to-point links
operating under their geographic licenses. Therefore the ULS
database is an incomplete record of the existing point-to-point
links.
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b. Canadian and Mexican Borders
182. In the NPRM, the Commission proposed to adopt a rule for the
27.5-28.35 GHz, 37-38.6 GHz, and 38.6-40 GHz bands similar to Sec.
101.147(r)(13), 101.509(d), or 27.57 of the Commission's rules which
provide that fixed and mobile operations are subject to existing and
future international agreements with Mexico and Canada. The Commission
noted that there are existing arrangements for fixed operations in the
27.5-28.35 GHz and 38.6-40.0 GHz bands between the United States and
Canada. The Commission also noted that mmW operations must not cause
harmful interference across any of the Commission's international
borders. No parties filed comments with respect to this proposal.
183. Consistent with the Commission's rules for other services, the
Commission adopted a rule that the 27.5-28.35 GHz, 37-38.6 GHz, and
38.6-40 GHz bands are subject to existing and future agreements with
Mexico and Canada.
5. Operability
184. The Commission adopted its proposal to require operability
across each millimeter wave band for mobile and transportable
equipment. The Commission continues believe that interoperability
delivers important benefits to consumers. While there is significant
opposition in the record to an interoperability requirement, no
commenter offered specific reasons why the type of operability proposed
in the NPRM would be either technically infeasible or harmful as a
policy matter in these bands. In addition, much of the opposition in
the record appears to be based on an interpretation of an
interoperability requirement that the Commission did not propose. The
Commission therefore concludes that the benefit to consumers outweighs
the burden to manufacturers in this regard.
185. Specifically, the Commission requires that any mobile or
transportable device designed to operate within the 28 GHz band (27.5
GHz-28.35 GHz) be capable of operating at all frequencies within the 28
GHz band, on each air interface it uses to operate in the 28 GHz band,
and similarly that a device operating in the 37 or 39 GHz bands be
capable of operating at all frequencies within those bands (37 GHz-40
GHz). For example, a device that uses an LTE air interface to operate
in a lower frequency band, and a future 5G air interface to operate in
the 28 GHz band, would be compliant with this requirement if it could
operate on frequencies from 27.5 GHz to 28.35 GHz using the 5G air
interface.
186. For the purposes of this requirement, for the 37 GHz and 39
GHz bands, a device operating in either band must be capable of
operating across the entirety of both bands, from 37 GHz to 40 GHz
(including the 37-37.6 MHz lower block). This requirement will increase
the market for equipment in these bands, and allow both smaller and
larger service providers to benefit from economies of scale and
increased equipment availability. Mandating operability will also
facilitate shared use of the 37 GHz band by ensuring that a wide
variety of equipment is available by both Federal agencies and non-
Federal SALs.
187. The Commission emphasizes that it will not mandate
compatibility of each device with all possible air interfaces to be
used in these bands, as some commenters interpreted. Rather, the
Commission will mandate that with each air interface used by a
particular device in a millimeter wave band, that device must be
capable of operating across the entire band. The Commission does not
adopt any requirement that a device must be capable of utilizing any
particular standard, technology, or air interface. Additionally, while
the Commission does not require operability of base or fixed equipment,
it is its expectation that licensees will work in good faith through
the standards setting process to develop standards, as technically
feasible, that support the operation of base and fixed equipment across
each band.
6. Technical Rules for Part 15 Operation Within the 64-71 GHz Band
188. The Commission is adopting requirements for unlicensed
operations in the 64-71 GHz band that are based on the technical
standards used for the 57-64 GHz band under Sec. 15.255 of the
Commission's rules. Part 15 of the Commission's regulations permits the
operation of radio frequency (RF) devices without an individual license
from the Commission or the need for frequency coordination. The
technical standards contained in part 15 are designed to ensure that
there is a low probability that such devices will cause harmful
interference to other users of the radio spectrum. Except for operating
[[Page 79923]]
on-board aircraft or satellites, and in mobile field disturbance sensor
applications, any type of unlicensed operation is permitted within the
57-64 GHz band under Sec. 15.255 of the Commission's rules.\13\
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\13\ A field disturbance sensor is defined as ``a device that
establishes a radio frequency field in its vicinity and detects
changes in that field resulting from the movement of persons or
objects within its range.'' 47 CFR 15.3(l). Examples of unlicensed
field disturbance sensors include radars operating under 47 CFR
15.252 or 15.256; and perimeter protection systems operating under
47 CFR 15.209(g) or 15.229.
---------------------------------------------------------------------------
189. Suitability of the Existing Rules in Section 15.255 to the 64-
71 GHz Band. In the NPRM, the Commission proposed to apply the existing
rules in Sec. 15.255 to the 64-71 GHz band with some adjustments, and
sought comments on certain aspects of the rules to further the growth
and development of devices without increasing the potential for harmful
interference to authorized users in the bands. Proponents of unlicensed
operations unanimously support the proposal to extend the technical
rules in Sec. 15.255 to cover the entire 57-71 GHz band. Google argues
that harmonized rules for the frequencies between 57 and 71 GHz will
allow economies of scale and other efficiencies, thereby facilitating
rapid and widespread deployment of unlicensed devices; the Wi-Fi
Alliance confirms that extending part 15 rules to the 64-71 GHz band
would greatly enhance the capacity of next-generation WiGig
technologies.'' The Commission finds that the existing technical rules
in the 57-64 GHz band can successfully apply to the proposed 64-71 GHz
adjacent band, with certain adjustments, as the Commission examines the
pertinent rules in detail below.
a. Operation On-Board Aircraft
190. The Commission is reluctant to allow 60 GHz unlicensed
operations on-board aircraft in the 57-71 GHz band at the present time.
In the NPRM, the Commission did not propose to permit unlicensed
operations on-board aircraft but sought to start the discussion to
compile a comprehensive record on this subject. The Commission noted,
there are substantial technical disagreements between the passive
services licensees and the WiGig industry regarding the attenuation
provided by aircraft components (e.g., windows and fuselage) and how
WiGig signals would propagate (e.g., by direct line-of-sight or
reflections, etc.) and aggregate. The Commission further observes that
even among the WiGig industry advocates, there is technical
disagreement. For example, ZII, a wireless inflight entertainment
services and products provider, opposes on-board aircraft operation of
WiGig devices in the 64-71 GHz band at the present time due to its
findings of potential harmful interference to passive services above 63
GHz despite its financial interest in providing these services.
Conversely, the Wi-Fi Alliance's analysis found no harmful interference
to EESS and RAS in the entire 57-71 GHz spectrum. The Commission also
finds that the studies and technical analyses submitted in the record
are not persuasive for several reasons. First, the CEPT ECC and ITU
reports do not address the 60 GHz band, but cover lower frequencies.
Second, the various link budget analyses from the industry (e.g., from
ZII and Wi-Fi Alliance) do not show a technical consensus, at least for
a portion of the proposed 57-71 GHz band, and cast doubt on the
validity of certain assumptions used to derive these link budgets.
Third, since the collaboration effort between the WiGig industry and
NTIA/NSF/JPL (Jet Propulsion Laboratory) has not yet resolved many
issues, as indicated by NRAO, a decision on the Commission's part at
this time could prejudge the outcome of that work. Finally, the
Commission notes that 60 GHz transmitters in mobile devices are only
just beginning to be marketed, and the impact of their deployment in
real-world scenarios will require time to be assessed adequately.
Further, the technology will continue to evolve to address signal
propagation challenges in the mmW spectrum such that analyses of WiGig
transmissions on-board aircraft could change substantially once the
Commission has wide deployments.
191. The Commission finds that further technical analyses and data
are necessary before lifting the present operation restriction because
the record so far did not reflect a clear perspective of the types of
WiGig applications envisioned on-board aircraft, the priority/order of
their planned introduction, etc., to provide an adequate assessment of
their associated potential harmful interference profile as the
Commission elaborates further in the FNPRM to seek additional
information on this topic, infra. Specifically, the Commission requests
sharing studies and data demonstrating that 60 GHz transmitters could
operate on-board aircraft without causing harmful interference to
passive sensor services in various types of inflight applications and
on various types of aircraft.
192. Finally, the Commission finds that as long as the Commission
does not permit 60 GHz operations on-board aircraft, the airlines (who
control the aircraft) would not install access points operating at 60
GHz on airplanes to provide entertainment/broadband services to WiGig
user devices. Without the presence of 60 GHz access points, the
potential for widespread airborne WiGig transmissions is removed. The
Commission also expects manufacturers/host integrators of WiGig
transmitters that are incorporated into mobile devices, such as
laptops, to provide instructions to end users regarding the prohibition
of operating such transmitters' on-board aircraft, in compliance with
the Commission's rules as part of the equipment authorization process.
Consequently, end users will be aware of this rule to avoid device-to-
device transmissions. Based on the above, the Commission is extending
the restriction on on-board aircraft operation in Sec. 15.255(a)(1) to
cover the entire 57-71 GHz band.
b. Field Disturbance Sensor Operation
193. The Commission is reluctant at this time to lift the
restriction on mobile field disturbance applications in the 60 GHz
spectrum. At this time, the Commission does not have sufficient
information about the operation of these mobile field disturbance
sensors in this spectrum to allow general operation of all mobile field
disturbance sensors. However, the Commission finds that the narrow
application of mobile radars in short-range devices for interactive
motion sensing, such as that described in Google's Project Soli,--where
a radar is used to detect hand gestures very close to a device to
control the device without touching it--could be allowed without
causing harmful interference to other authorized users. As a first
cautious step, the Commission will not permit these devices to operate
at the same power levels as 60 GHz communications devices in this
spectrum, as Google requests, but will allow these short-range devices
to operate at the same low power levels as those permitted in existing
fixed field disturbance sensors (i.e., 10 dBm peak EIRP and -10 dBm
peak transmitter conducted output power, approximately 30 dB below the
allowable power levels of WiGig communications devices). These power
levels will ensure that the mobile radars will operate at very short
distances--such as using hand gestures to control a watch, a
smartphone's or tablet's screen--which will minimize their harmful
interference potential. As the Commission acquires more experience with
these devices, the Commission may consider allowing them higher power
levels in the future. Accordingly, the Commission is
[[Page 79924]]
amending Sec. 15.255 to permit the operation of short-range devices
for interactive motion sensing at 10 dBm peak EIRP and -10 dBm peak
transmitter conducted output power over the entire 57-71 GHz band.
194. With respect to fixed field disturbance sensors, the
Commission finds that these devices can continue to operate under the
technical rules in Sec. 15.255, as they have successfully done over
the years, and that these rules may be extended to the 64-71 GHz band
without increasing the potential for harmful interference to
communication devices in the band. This would result in their wider
usage in wireless factory automation processes in manufacturing
facilities, such as those mentioned by Boeing. Accordingly, the
Commission is amending Sec. 15.255 to allow the operation of fixed
field disturbance sensors over the entire 57-71 GHz band at the
existing power limits permitted in the 57-64 GHz band (i.e., 10 dBm
peak EIRP and -10 dBm peak transmitter conducted output power).
c. Emission Limits
195. The Commission declines to increase the EIRP limits for low-
power networking indoor and outdoor 60 GHz transmitters by a factor of
10 as requested by commenters. The Commission notes that the existing
generous average and peak EIRP limits were adopted based on the very
high oxygen attenuation in the 57-64 GHz band, which would ensure that
unlicensed transmitters operating in this band do not cause harmful
interference to other authorized services. The Commission further notes
that the Commission proposed the same emission limits for the 64-71 GHz
band, despite the fact that this band does not exhibit the same
atmospheric attenuation characteristics, which would enable equipment
operating in the proposed 64-71 GHz band at the same emission levels to
effectively provide longer range and higher data throughput. The
Commission finds that keeping the same emission limits in the absence
of high oxygen attenuation in the 64-71 GHz band effectively provides
an increase in power. No additional increase is necessary at this time
and the Commission is amending the EIRP limits for 60 GHz transmitters
in Sec. 15.255 to apply across the 57-71 GHz band.
d. Spurious Emissions
196. The Commission observes that since the Commission first
adopted part 15 rules for unlicensed operation in the 57-64 GHz band in
the 1995-2000 time frame, 60 GHz unlicensed transmitters have been
operating without causing harmful interference to RAS by their harmonic
signals. This indicates that the Commission's spurious emission limits
in Sec. 15.255 for transmitters operating in the existing 57-64 GHz
band are adequate for protecting these passive services. Thus, the
Commission is concerned with the potential effect of the harmonics of
fundamental signals in the proposed 64-71 GHz band. The Commission
observes at the outset that the existing spurious emission limit in
Sec. 15.255, at 90 pW/cm\2\, is extremely low as compared to the
spurious limit adopted for other unlicensed transmitters operating in
comparative spectrum, such as the 76-77 GHz, which, at 600 pW/cm\2\, is
more than 6 times higher than the spurious limit in Sec. 15.255.
197. While acknowledging that attenuation effects due to oxygen
become much less pronounced in the 64-71 GHz band as compared to the
57-64 GHz band, the Commission finds that interference to RAS stations
is unlikely for the following reasons. First, RAS receivers
discriminate against off-axis signals, are generally located in rural
and remote areas, and radio astronomy observatories typically have
control over access to a distance of one kilometer from the telescopes
to provide protection from interference caused by uncontrolled radio
frequency interference (RFI) sources. Second, the severe propagation
losses of RF signals in the 64-71 GHz band, their ability to be blocked
easily by terrain and obstacles, and the typically directional
emissions of transmitters at these frequencies limit any potential for
interference from fundamental emissions to a short distance (e.g., 100-
200 meters). Third, spurious and harmonic emissions generally roll off
(i.e., reduce in amplitude) the further they are in frequency from the
fundamental emission; therefore, if fundamental emissions are severely
attenuated, harmonics would be affected proportionally. Based on all
these factors, the Commission finds that spurious and harmonic
emissions of 57-71 GHz unlicensed transmitters at the very low limit of
90 pW/cm\2\ in Sec. 15.255 would not cause harmful interference to RAS
operations. Accordingly, the Commission is amending the spurious
emission rule in Sec. 15.255 to apply across the 57-71 GHz band.
e. Publicly-Accessible Coordination Channel
198. Section 15.255(d) sets aside a publicly-accessible
coordination channel in the 57.00-57.05 GHz band, in which only
spurious emissions and emissions related to coordination techniques
regarding interference management between diverse, non-interoperable,
transmitters are permitted. The Commission observed in the NPRM that
with recent technological advances and industry standardization, co-
existence between 60 GHz devices is better resolved by voluntary
standards than by a coordination channel requirement in the rules, and
proposed to remove this requirement. Commenters unanimously agree with
the Commission's assessment and support the elimination of this
requirement to free a 50-megahertz swath of spectrum for communications
usage. Accordingly, the Commission is removing the requirement for a
publicly-accessible coordination channel from Sec. 15.255.
f. Conducted Transmitter Output Power
199. Section 15.255(e) limits the peak transmitter conducted output
power of 57-64 GHz unlicensed devices to 500 mW (i.e., 27 dBm) for
transmitters with an emission bandwidth of at least 100 MHz, and is
reduced for systems that employ narrower bandwidths.
200. The Commission declines to remove this requirement. The reason
for limiting the peak transmitter conducted output power while allowing
very high EIRP limits (in this case, 40 dBm (10W) average/43 dBm (20W)
peak) for an unlicensed transmitter is to ensure that the transmitter
antenna beamwidth is kept sufficiently narrow to avoid causing harmful
interference to other users in the band and to minimize the risk of RF
exposure to humans. Accordingly, the Commission denies NCTA's request
and amend the peak transmitter conducted output power requirement in
Sec. 15.255 to apply across the 57-71 GHz band.
g. Frequency Stability
201. Section 15.255(f) requires that fundamental emissions be
contained within the 57-64 GHz frequency band during all conditions of
operation; and that equipment be able to operate over the temperature
range -20 to +50 degrees Celsius with an input voltage variation of 85%
to 115% of rated input voltage. In the NPRM, the Commission proposed to
apply the same requirements to transmitters operating in the 64-71 GHz
band. No party objects to this proposal. Accordingly, the Commission is
amending Sec. 15.255 to apply across the 57-71 GHz band.
h. Co-Location of Separately-Authorized Transmitters
202. Section 15.255(h) allows group installation of transmitters
that have
[[Page 79925]]
been tested separately for compliance with the rules and received
separate equipment authorizations, as long as no transmitter in the
group is equipped with external phase-locking inputs that permit beam-
forming arrays to be realized. In the NPRM, the Commission indicated
that this requirement seeks to prevent the possibility of producing a
high-power coherent beam from discrete transmitters that have not been
tested for compliance together. This could lead to non-compliance with
the emission limits but it does not preclude the use of advanced
antenna technologies with beam-forming arrays in any transmitter, as
long as the emissions in any array configuration comply with the
emission and RF exposure limits. The Commission proposed to apply the
same requirement to equipment operating in the 64-71 GHz band. No party
objects to this proposal. Accordingly, the Commission is amending Sec.
15.255 to apply across the 57-71 GHz band.
7. Equipment Authorization
203. The OET was delegated authority by the Commission to
administer the equipment authorization program for RF devices under
part 2 of its rules. All RF devices subject to equipment authorization
must comply with the Commission's rules prior to importation or
marketing, by being tested for compliance with the applicable technical
requirements, using measurement procedures that either follow guidance
issued by OET through its KDB publications, or have been found to be
acceptable to the Commission in accordance with Sec. 2.947 of the
rules.
a. Measurement Techniques
204. In the NPRM, the Commission recognized that there are some
unique technical challenges specific to demonstrating compliance for
the purpose of equipment authorization of millimeter wave devices. The
Commission sought comments on a variety of challenges involved with
measurements of in-band, out-of-band and spurious emissions. As
discussed, supra, a number of parties discuss the measurement
challenges concerning emission limit metrics. For example, certain
parties oppose using EIRP as the metric for measuring OOBE limits,
proposing instead a different metric using TRP, claiming consistency
with recent academic research for multiple-input, multiple-output
(MIMO) antenna arrays. However, TRP is not presently part of the
Commission's measurement procedure guidance for devices using MIMO
antennas. Commenters recommend that the Commission continue to provide
guidance on acceptable new measurement procedures via OET's KDB
publications. Commenters also recognize that 5G technology is in the
early stages of equipment design and development so it is difficult at
this point in time to identify all of the potential compliance and
measurement challenges.
205. The Commission finds that the mmW technology will continue to
evolve to address various technical challenges in this spectrum (with
respect to propagation, interference protection, modulation techniques,
transmission security, etc.), and pending new measurement equipment
availability to cover the entire mmW spectrum that the Commission is
making available for the next generation of wireless services herein,
mmW measurement procedures are best developed by OET with the
participation of interested parties. The Commission expects that OET
will provide guidance on various acceptable measurement techniques for
mmW devices through its KDB publications as products are developed.
b. RF Exposure Compliance
206. (RF) exposure compliance is an ongoing requirement for all
transmitters authorized by the Commission. In the NPRM, the Commission
proposed to similarly require compliance with the Commission's general
RF exposure limits in Sec. Sec. 1.1307(b), 2.1091 and 2.1093 of the
rules for equipment operating in the UMFUS. While the Commission sought
comment on this proposal alongside some of the other relevant technical
challenges unique to compliance demonstration for devices envisaged to
be operating under the UMFUS, the Commission acknowledged in the NPRM
that any issues raised involving the present exposure limits themselves
would be considered in the context of the Commission's separate
proceeding on this particular issue.
207. With respect to the rules specific to UMFUS in part 30 of the
Commission's rules, the Commission adopts the paragraph the Commission
proposed in the NPRM that requires compliance with the Commission's
general RF exposure limits in Sec. Sec. 1.1307(b), 2.1091 and 2.1093
of the rules. The comments from industry advocate adopting alternative
exposure limits, which the Commission continues to view as beyond the
scope of this proceeding, and that will be considered in a separate
proceeding. The Commission is not changing its fundamental exposure
limits at this time in light of the devices to be expected under the
UMFUS rules. More specifically, the Commission is not modifying its
specified SAR values as a primary exposure limit between 100 kHz and 6
GHz, and the Commission will continue to use the specified MPE power
density limit as a primary exposure limit above 6 GHz.
208. The Commission recognizes that there is a discontinuity at 6
GHz resulting from the fact that the Commission's rules do not specify
a spatial averaging area (an area over which to average power density)
or a spatial peak power density above 6 GHz that is consistent with the
Commission's localized (over 1 gram) specific absorption rate (SAR)
below 6 GHz. At lower frequencies for sources at least 20 cm from the
body, spatial averaging over the entire body has been acceptable.
However, both IEEE and International Commission on Non-Ionizing
Radiation Protection (ICNIRP) have recognized that at higher
frequencies spatial averaging areas need to be smaller. Of these
specifications, the smaller and more conservative area is by ICNIRP,
which has specified a spatial averaging area of 20 cm\2\ above 10 GHz.
While the Commission notes this as an apparently reasonable requirement
the Commission is not suggesting any particular changes to the
Commission's evaluation procedures at this time. The Commission will
separately consider the broader questions of the RF exposure limits and
how they should be applied in the Commission's RF Inquiry. In the
meantime, as the Commission acknowledged in the NPRM, specific guidance
on evaluating devices operating in this service will be issued by OET,
and it is consistent with the Commission's existing discussions on
spatial averaging to further clarify guidance on an area over which to
average power density in the Commission's KDB publications through that
process. Finally, the Commission acknowledges the variations between
standards pointed out by the MMF and encourage further efforts on the
specific issue of localized millimeter wave exposure by the standards
setting bodies and the broader research community.
H. Other Allocation Issues
209. The Commission deletes the broadcasting and broadcasting-
satellite service allocations from the 42 GHz band to better protect
the radio astronomy observations of the 42.5-43.5 GHz band from out-of-
band emissions. Further, the ubiquitous nature of the BSS and the
broadcasting service would likely interfere with ubiquitous mobile
deployment in similar ways to a ubiquitous fixed service deployment. As
[[Page 79926]]
previously noted, the BSS also poses an interference risk to adjacent
RAS services. Nevertheless, the BSS will still retain 1.5 gigahertz of
spectrum in the 40.5-42 GHz band for its future operations.
210. The Commission also declines to adopt its proposal to allocate
the 42 GHz band for FSS downlink operations. Given the Commission's
decision to grant FSS enhanced access to the 37.5-40 GHz band, and the
fact that FSS has access to the 40.5-42 GHz band, the Commission find
there is less reason to further expand FSS operations to the 42 GHz
band. The Commission believes there is value in potentially having an
UMFUS band available for exclusive terrestrial use, and the Commission
addresses this issue in the companion FNPRM.
II. Procedural Matters
Final Regulatory Flexibility Analysis
211. As required by the Regulatory Flexibility Act of 1980, as
amended (RFA), the Commission incorporated an Initial Regulatory
Flexibility Analysis (IRFA) of the possible significant economic impact
on a substantial number of small entities by the policies and rules
proposed in the NPRM. No comments were filed addressing the IRFA.
Because the Commission amends the rules in this Report and Order, the
Commission has included this Final Regulatory Flexibility Analysis
(FRFA) which conforms to the RFA.
1. Need for, and Objectives of, the Proposed Rules
212. In the attached Report and Order, the Commission increases the
Nation's supply of spectrum for mobile broadband by adopting rules for
fixed and mobile services in the 27.5-28.35 GHz band (28 GHz band), the
38.6-40 GHz band (39 GHz band), and the 37-38.6 GHz band (37 GHz band).
The Commission also authorizes unlicensed operation pursuant to part 15
of its rules in the 64-71 GHz band. These bands are known collectively
as the ``mmW bands.''
213. Until recently, the mmW bands were generally considered
unsuitable for mobile applications because of propagation losses at
such high frequencies and the inability of mmW signals to propagate
around obstacles. As increasing congestion has begun to fill the lower
bands and carriers have resorted to smaller and smaller microcells in
order to re-use the available spectrum, however, industry is taking
another look at the mmW bands and beginning to realize that at least
some of its presumed disadvantages can be turned to advantage. For
example, short transmission paths and high propagation losses can
facilitate spectrum re-use in microcellular deployments by limiting the
amount of interference between adjacent cells. Furthermore, where
longer paths are desired, the extremely short wavelengths of mmW
signals make it feasible for very small antennas to concentrate signals
into highly focused beams with enough gain to overcome propagation
losses. The short wavelengths of mmW signals also make it possible to
build multi-element, dynamic beam-forming antennas that will be small
enough to fit into handsets--a feat that might never be possible at the
lower, longer-wavelength frequencies below 6 GHz where cell phones
operate today.
214. In the 28 GHz, 39 GHz, and 37 GHz bands, the Commission
creates a new radio service in a new rule part that will authorize
fixed and mobile services--the part 30 Upper Microwave Flexible Use
Service. This additional spectrum for mobile use will help ensure that
the speed, capacity, and ubiquity of the nation's wireless networks
keeps pace with the skyrocketing demand for mobile service. It will
also make possible new types of services for consumers and businesses.
215. The service rules the Commission adopted make additional
spectrum available for flexible use. In creating service rules for
these bands, which include technical rules to protect against harmful
interference, licensing rules to establish geographic license areas and
spectrum block sizes, and performance requirements to promote robust
buildout, the Commission advances toward enabling rapid and efficient
deployment. The Commission does so by providing flexible service,
technical, assignment, and licensing rules for this spectrum, except
where special provisions are necessary to facilitate shared use with
other co-primary users.
216. For the 28 GHz 37 GHz, and 39 GHz bands, the Commission
proposes to assign licenses by competitive bidding using counties as
the area for geographic area licensing in the 28 GHz band and in a
portion of 37 GHz band (37-37.6 GHz). The Commission will award PEA-
based licenses by competitive bidding for the 39 GHz and the upper
portion of the 37 GHz band (37.6-38.6 GHz). In the 37-37.6 GHz band,
the Commission has created a 600 MHz shared access space with rule-
based, non-interfering Shared Access Licenses (SALs) which will share
the band with Federal fixed and mobile operations. SAL licensees are
not guaranteed spectrum access or interference protection from
individual licensees. The Commission believes this system at 37 GHz
will create an innovative shared space that can be used by a wide
variety of Federal and non-Federal users, by new entrants and by
established operators--and small businesses in particular--to
experiment with new technologies in the mmW space and innovate.
217. At the same time, because the 28 GHz, 39 GHz, and 37 GHz bands
are shared with satellite services, the Commission has taken steps to
facilitate sharing with satellite uses in ways that are consistent with
fixed and mobile use of the bands. Specifically, the Commission
concludes the Commission will authorize a limited number of satellite
earth stations to operate on a co-primary basis--one in each county for
the 28 GHz band and one in each PEA in the 37.5-40 GHz band--on a
first-come, first-served basis. In the 28 GHz band the Commission will
grandfather pre-existing satellite earth stations in any county into a
local interference zone with the right to operate under the terms of
their existing authorizations. These FSS earth stations must comply
with certain enumerated conditions to obtain an authorization for their
specific locations, including coordinating their operations with any
existing mmW licensees to ensure non-interference between the services.
Additional earth stations can be located if the FSS operator acquires a
part 30 license, reaches a contractual agreement with the part 30
licensee, or agrees to operate on a secondary basis.
218. Overall, the new provisions the Commission is adopting are
designed to allow licensees to choose their type of service offerings,
to encourage innovation and investment in mobile and fixed use in this
spectrum, and to provide a stable regulatory environment in which
fixed, mobile, and satellite deployment will be able to develop through
the application of flexible rules. The market-oriented licensing
framework for these bands will ensure that this spectrum is efficiently
utilized and will foster the development of new and innovative
technologies and services, as well as encourage the growth and
development of a wide variety of services, ultimately leading to
greater benefits to consumers.
2. Summary of Significant Issues Raised by Public Comments in Response
to the IRFA
219. No comments were filed in direct response to the IRFA.
[[Page 79927]]
3. Response to Comments by the Chief Counsel for Advocacy of the Small
Business Administration
220. Pursuant to the Small Business Jobs Act of 2010, which amended
the RFA, the Commission is required to respond to any comments filed by
the Chief Counsel for Advocacy of the Small Business Administration
(SBA), 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.
4. Description and Estimate of the Number of Small Entities to Which
the Proposed Rules Will Apply
221. 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 and policies, if adopted. 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
SBA.
222. Small Businesses, Small Organizations, and Small Governmental
Jurisdictions. The Commission's action may, over time, affect small
entities that are not easily categorized at present. The Commission
therefore describes here, at the outset, three comprehensive, statutory
small entity size standards. First, nationwide, there are a total of
approximately 28.2 million businesses, 99.7 percent of which are small,
according to the SBA. In addition, a ``small organization'' is
generally ``any not-for-profit enterprise which is independently owned
and operated and is not dominant in its field.'' Nationwide, as of
2007, there were approximately 1,621,315 small organizations. Finally,
the term ``small governmental jurisdiction'' is defined generally as
``governments of cities, towns, townships, villages, school districts,
or special districts, with a population of less than fifty thousand.''
Census Bureau data for 2011 indicate that there were 89,476 local
governmental jurisdictions in the United States. The Commission
estimates that, of this total, as many as 88,506 entities may qualify
as ``small governmental jurisdictions.'' Thus, the Commission estimates
that most governmental jurisdictions are small.
223. Wireless Telecommunications Carriers (except satellite). The
appropriate size standard under SBA rules is for the category Wireless
Telecommunications Carriers. Under that size standard, such a business
is small if it has 1,500 or fewer employees. Census Bureau data for
2012, show that there were 967 firms in this category that operated for
the entire year. Of this total, 955 had employment of 999 or fewer, and
12 firms had employment of 1,000 employees or more. Thus under this
category and the associated small business size standard, the
Commission estimates that the majority of wireless telecommunications
carriers (except satellite) are small entities that may be affected by
the Commission's action.
224. Fixed Microwave Services. Microwave services include common
carrier, private-operational fixed, and broadcast auxiliary radio
services. They also include the Local Multipoint Distribution Service
(LMDS), the Digital Electronic Message Service (DEMS), the 39 GHz
Service (39 GHz), the 24 GHz Service, and the Millimeter Wave Service
where licensees can choose between common carrier and non-common
carrier status. At present, there are approximately 61,970 common
carrier fixed licensees, 62,909 private and public safety operational-
fixed licensees, 20,349 broadcast auxiliary radio licensees, 412 LMDS
licenses, 35 DEMS licenses, 870 39 GHz licenses, and five 24 GHz
licenses, and 408 Millimeter Wave licenses in the microwave services.
The Commission has not yet defined a small business with respect to
microwave services. For purposes of the FRFA, the Commission will use
the SBA's definition applicable to Wireless Telecommunications Carriers
(except satellite)--i.e., an entity with no more than 1,500 persons is
considered small. Under that size standard, such a business is small if
it has 1,500 or fewer employees. Census Bureau data for 2012, show that
there were 967 firms in this category that operated for the entire
year. Of this total, 955 had employment of 999 or fewer, and 12 firms
had employment of 1,000 employees or more. Thus under this category and
the associated small business size standard, the Commission estimates
that the majority of wireless telecommunications carriers (except
satellite) are small entities that may be affected by the Commission's
proposed action. The Commission notes that the number of firms does not
necessarily track the number of licensees. The Commission estimates
that virtually all of the Fixed Microwave licensees (excluding
broadcast auxiliary licensees) would qualify as small entities under
the SBA definition.
225. Satellite Telecommunications and All Other Telecommunications.
Two economic census categories address the satellite industry. The
first category has a small business size standard of $32.5 million or
less in average annual receipts, under SBA rules. The second also has a
size standard of $32.5 million or less in annual receipts.
226. The category of Satellite Telecommunications ``comprises
establishments primarily engaged in providing telecommunications
services to other establishments in the telecommunications and
broadcasting industries by forwarding and receiving communications
signals via a system of satellites or reselling satellite
telecommunications.'' Census Bureau data for 2012 show that 333
Satellite Telecommunications firms operated for that entire year. Of
this total, 275 firms had annual receipts of under $10 million, and 58
firms had receipts of $10 million to $24,999,999. Consequently, the
Commission estimates that the majority of Satellite Telecommunications
firms are small entities that might be affected by the Commission's
action.
227. The second category, i.e., ``All Other Telecommunications,''
comprises ``establishments primarily engaged in providing specialized
telecommunications services, such as satellite tracking, communications
telemetry, and radar station operation. This industry also includes
establishments primarily engaged in providing satellite terminal
stations and associated facilities connected with one or more
terrestrial systems and capable of transmitting telecommunications to,
and receiving telecommunications from, satellite systems.
Establishments providing Internet services or voice over Internet
protocol (VoIP) services via client-supplied telecommunications
connections are also included in this industry.'' For this category,
Census Bureau data for 2012 show that there were a total of 1442 firms
that operated for the entire year. Of this total, 1400 firms had annual
receipts of under $25 million, and 42 firms had annual receipts of $25
million to $49, 999,999. Consequently, the Commission estimates that
the majority of All Other Telecommunications firms are small entities
that might be affected by the Commission's action.
228. Radio and Television Broadcasting and Wireless Communications
Equipment
[[Page 79928]]
Manufacturing. The proposed rules relating to part 15 operation pertain
to manufacturers of unlicensed communications devices. 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 firms in this category, 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, 784 had less than 500
employees and 155 had more than 100 employees. Thus, under this size
standard, the majority of firms can be considered small.
5. Description of Projected Reporting, Recordkeeping, and Other
Compliance Requirements
229. The projected reporting, recordkeeping, and other compliance
requirements proposed in the Report and Order will apply to all
entities in the same manner. The revisions the Commission adopts should
benefit small entities by giving them more information, more
flexibility, and more options for gaining access to wireless spectrum.
230. Any applicants for Upper Microwave Flexible Use Service
licenses will be required to file license applications using the
Commission's automated Universal Licensing System (ULS). ULS is an
online electronic filing system that also serves as a powerful
information tool, one that enables potential licensees to research
applications, licenses, and antenna structures. It also keeps the
public informed with weekly public notices, FCC rulemakings, processing
utilities, and a telecommunications glossary. Upper Microwave Flexible
Use Service applicants that must submit long-form license applications
must do so through ULS using Form 601, FCC Ownership Disclosure
Information for the Wireless Telecommunications Services using FCC Form
602, and other appropriate forms.
231. Licensees in the Upper Microwave Flexible Use Service will be
subject to performance requirements based on a series of metrics,
tailored to each type of service a licensee may offer. Accordingly,
mobile services will be required to provide service to 40 percent of
the population of their license area by the end of their initial
license terms. Geographic area licensees providing Fixed Service in the
28 GHz, 37 GHz and 39 GHz will be required to construct and operate at
least 15 links per million persons in the population. Satellite
operators will be able to meet their build-out requirement by deploying
an operational earth station in the license area that provides service.
Licensees deploying a mix of such services will be able to choose which
performance metric--or combination thereof--they desire to meet.
Performance will be assessed on a license area basis, regardless of
license area size. For the 28 GHz band, licenses will terminate
automatically if a licensee fails to meet the applicable performance
requirements. For geographic area licenses in the 37 and 39 GHz bands,
licensees will have the option of partitioning their licenses on a
county basis to come into compliance with the relevant performance
metric. Licensees will be required to provide information to the
Commission on the facilities they have constructed, the nature of the
service they are providing, and the extent to which they are providing
coverage in their license area, to both facilitate sharing with other
authorized services and to enable accurate assessment of their
performance. Incumbent licensees will be granted time to transition to
these new performance requirements. FSS operators will have to
coordinate their operations with any existing mmW licensees to ensure
non-interference between the services.
232. New licensees will also be required, within three years after
receiving their licenses but no later than six months prior to
deployment, to file with the Commission a security statement signed by
a senior licensee executive with personal knowledge of the licensee's
security plans and practice, which must include, at a minimum, the
following elements: (1) A high-level, general description of the
licensee's security approach designed to safeguard the planned
network's confidentiality, integrity, and availability with respect to
communications from: A device to the licensee's network; one element of
the licensee's network to another element on the licensee's network;
the licensee's network to another network; and device to device (with
respect to telephone voice and messaging services); (2) a high-level,
general description of the licensee's approach to assessing and
mitigating cyber risk induced by the presence of multiple participants
in the band. This should include the high level approach taken toward
ensuring consumer network confidentiality, integrity, and availability
security principles, which are to be protected in each of the following
use cases: Communications between a wireless device and the licensee's
network; communications within and between each licensee's network;
communications between mobile devices that are under end-to-end control
of the licensee; and communications between mobile devices that are not
under the end-to-end control of the licensee; (3) a high-level
description of relevant cybersecurity standards and practices to be
employed, whether industry-recognized or related to some other
identifiable approach; (4) a description of the extent to which the
licensee participates with standards bodies or industry-led
organizations pursuing the development or maintenance of emerging
security standards and/or best practices; (5) the high-level
identification of any other approaches to security, unique to the
services and devices the licensee intends to offer and deploy; and (6)
plans to incorporate relevant outputs from Information Sharing and
Analysis Organizations (ISAOs) as elements of the licensee's security
architecture. Plans should include comment on machine-to-machine threat
information sharing.
233. All of the filing, recordkeeping and reporting requirements
associated with the demands described above, including professional,
accounting, engineering or survey services used in meeting these
requirements will be the same for large and small businesses that
intend to utilize these new UMFUS licenses, but as described below,
several steps have been taken that will alleviate burdens on small
businesses in particular.
6. Steps Taken To Minimize Significant Economic Impact on Small
Entities, and Significant Alternatives Considered
234. The RFA requires an agency to describe any significant
alternative that it has considered in reaching its 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
[[Page 79929]]
use of performance, rather than design, standards; and (4) an exemption
from coverage of the rule, or any part thereof, for small entities.
235. As noted above, the various construction and performance
requirements and their associated showings will be the same for large
and small businesses that license the Upper Microwave Flexible Use
Service bands. To the extent the same cost of complying with these
burdens is relatively greater for smaller businesses than for large
ones, these costs are necessary to effectuate the purpose of the
Communications Act, namely to further the efficient use of spectrum and
to prevent spectrum warehousing. Likewise compliance with the
Commission's service and technical rules and coordination requirements
are necessary for the furtherance of the Commission's goals of
protecting the public while also providing interference free services.
Large and small businesses must therefore comply with these rules and
requirements, but the Commission has taken steps to alleviate the
burden on small businesses that seek to comply with these requirements,
as discussed below.
236. The Report and Order provides that in the 28 GHz, 37 GHz and
39 GHz bands, mmW licensees will have the flexibility to provide any
fixed or mobile service that is consistent with their spectrum
allocation. This breaks with the recent past in which licensees were
limited to only single use licenses in these bands, and such new
flexibility benefits small businesses by giving them more avenues for
gaining access to valuable wireless spectrum. In addition, licensees
will be able to make a showing based on a combination of fixed and
mobile service, simplifying this process for all licensees including
small businesses. The Commission has also extended the existing renewal
deadlines for incumbent licensees in the 28 and 39 GHz bands, giving
these licensees, including small businesses in these bands, additional
time until 2024 to meet the performance requirements pertaining to
their current licenses.
237. Furthermore, the license areas chosen in the Report and Order
should provide spectrum access opportunities for smaller carriers by
giving them access to less densely populated areas that match their
footprints. For example, the Report and Order transitions the 28 GHz
band from being licensed on the BTA basis to a much smaller license
area--counties. Similarly, the Commission transitions the 39 GHz band
from being licensed via Economic Areas (``EAs'') to the smaller Partial
Economic Areas (``PEAs''). The Commission also uses PEAs for the 37 GHz
band, which will be newly licensed. The Commission abandons its
proposed ``hybrid licensing scheme'' in the 37 GHz band and has instead
opted to use geographic area licensing with PEAs in the upper 37.6-38.6
GHz portion with county-based licensing in the lower band (37.0-37.6
GHz). Finally, the Commission has created an unlicensed space in the
64-71 GHz band. However, the Report and Order also permits partitioning
and disaggregation by licensees in the mmW bands. While PEAs and
counties are small enough to provide spectrum access opportunities for
smaller carriers and PEAs could even be further disaggregated, these
units of area also nest within and may be aggregated to form larger
license areas. Therefore, the benefits and burdens resulting from
assigning spectrum in PEA and county license areas are equivalent for
small and large businesses. The 400 MHz shared space the Commission has
created in the lower 37 GHz band (37.0-37.6 GHz) should also provide
ease-of-entry and plenty of space for opportunistic and innovative uses
that could be developed by small businesses. These rules should enable
providers, or any entities large or small providing service in the mmW
bands, to more easily adjust their spectrum holdings and build their
networks pursuant to individual business plans. The Commission believes
this should result in small businesses having an easier time acquiring
or accessing spectrum.
238. Licensees may also adjust their geographic coverage through
auction in those areas where the Commission is permitting geographic
area auctions or through the secondary markets. The Report and Order
concludes it will auction licenses in the mmW bands in conformity with
the general competitive bidding rules set forth in part 1, subpart Q,
of the Commission's rules, and substantially consistent with the
competitive bidding procedures that have been employed in previous
auctions. The procedures the Commission has adopted contain provisions
to assist small entities in competitive bidding. The Commission will
employ the part 1 rules governing competitive bidding design,
designated entity preferences, unjust enrichment, application and
payment procedures, reporting requirements, and the prohibition on
certain communications between auction applicants. Furthermore,
qualifying ``small businesses''--those with gross revenues for the
preceding three years not exceeding $55 million--will be provided with
a bidding credit of 15 percent, and ``very small businesses''--those
with average annual gross revenues for the preceding three years not
exceeding $20 million--with a bidding credit of 25 percent. Providing
small businesses and very small businesses with bidding credits will
provide an economic benefit to small entities by making it easier for
small entities to acquire spectrum or access to spectrum in these
bands.
239. Furthermore, the Report and Order provides for licensing of
this spectrum under market-oriented rules. This includes applying the
Commission's secondary market policies and rules to all transactions
involving the use of mmW bands, which will provide greater
predictability and regulatory parity with bands licensed for mobile
broadband service. These rules should make it easier for mmW providers
to enter secondary market arrangements involving use of their spectrum.
The secondary market rules apply equally to all entities, whether small
or large. As a result, the Commission believes that this will provide
an economic benefit to small entities by making it easier for entities,
whether large or small, to enter into secondary market arrangements for
mmW spectrum.
240. The Report and Order also adopts an operability requirement
such that any device designed to operate within the 37 GHz and 39 GHz
bands (37-40 GHz) must be capable of operating on all frequencies
within those bands. This operability requirement will ensure that
devices developed for the geographic area licensed portion of the band
will also operate in the innovation shared space, making it easier for
smaller businesses with fewer resources to find equipment that can
operate across multiple bands. The technical rules in the Report and
Order will also allow licensees of the mmW spectrum to operate while
protecting licensees in nearby spectrum from harmful interference, some
of whom may be small entities.
241. Finally, the proposals to facilitate satellite service in the
28 GHz and 37.5-40 GHz bands should also assist small satellite
businesses.
7. Federal Rules That May Duplicate, Overlap, or Conflict With the
Proposed Rules
242. None.
J. Ordering Clauses
243. Accordingly, it is ordered, pursuant to Sections 1, 2, 3, 4,
5, 7, 10, 201, 225, 227, 301, 302, 302a, 303, 304, 307, 309, 310, 316,
319, 332, and 336 of
[[Page 79930]]
the Communications Act of 1934, 47 U.S.C. 151, 152, 153, 154, 155, 157,
160, 201, 225, 227, 301, 302, 302a, 303, 304, 307, 309, 310, 316, 319,
332, 336, Section 706 of the Telecommunications Act of 1996, as
amended, 47 U.S.C. 1302, and Sec. 1.411 of the Commission's Rules, 47
CFR 1.411, that this Report and Order and Further Notice of Proposed
Rulemaking is hereby adopted.
244. It is further ordered pursuant to section 4(i) of the
Communications Act of 1934, 47 U.S.C. 154(i), that the Commission's
Consumer and Governmental Affairs Bureau, Reference Information Center,
shall send a copy of this Report and Order and Further Notice of
Proposed Rulemaking, including the Final and Initial Regulatory
Flexibility Analysis, to the Chief Counsel for Advocacy of the Small
Business Administration.
245. It is further ordered that the petition for rulemaking filed
by the Fixed Wireless Communications Coalition (RM-11664) is denied
with respect to the 42-42.5 GHz band.
246. It is further ordered that the Commission shall send a copy of
this Report and Order and Further Notice of Proposed Rulemaking to
Congress and the Government Accountability Office pursuant to the
Congressional Review Act, see 5 U.S.C. 801(a)(1)(A).
List of Subjects in 47 CFR Parts 1, 2, 15, 25, 30 and 101
Communications common carriers, Communications equipment, Reporting
and recordkeeping requirements.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
Final Rules
For the reasons discussed in the preamble, the Federal
Communications Commission amends 47 CFR parts 1, 2, 15, 25, 30 and 101
as follows:
PART 1--PRACTICE AND PROCEDURE
0
1. The authority citation for part 1 is revised to read as follows:
Authority: 47 U.S.C. 151, 154(i), 154(j), 155, 157, 160, 201,
225, 227, 303, 309, 332, 1403, 1404, 1451, 1452, and 1455.
0
2. Section 1.907 is amended by revising the definitions for ``Wireless
Radio Services'' and ``Wireless Telecommunications Services'' to read
as follows:
Sec. 1.907 Definitions.
* * * * *
Wireless Radio Services. All radio services authorized in parts 13,
20, 22, 24, 26, 27, 30, 74, 80, 87, 90, 95, 96, 97 and 101 of this
chapter, whether commercial or private in nature.
Wireless Telecommunications Services. Wireless Radio Services,
whether fixed or mobile, that meet the definition of
``telecommunications service'' as defined by 47 U.S.C. 153, as amended,
and are therefore subject to regulation on a common carrier basis.
Wireless Telecommunications Services include all radio services
authorized by parts 20, 22, 24, 26, 27, and 30 of this chapter. In
addition, Wireless Telecommunications Services include Public Coast
Stations authorized by part 80 of this chapter, Commercial Mobile Radio
Services authorized by part 90 of this chapter, common carrier fixed
microwave services, Local Television Transmission Service (LTTS), Local
Multipoint Distribution Service (LMDS), and Digital Electronic Message
Service (DEMS), authorized by part 101 of this chapter, and Citizens
Broadband Radio Services authorized by part 96 of this chapter.
0
3. Section 1.1307 is amended by adding an entry for ``Upper Microwave
Flexible Use Service (part 30)'' above the entry for ``Radio Broadcast
Services (part 73)'' in Table 1 in paragraph (b)(1) and revising
paragraph (b)(2)(i) to read as follows:
Sec. 1.1307 Actions that may have a significant environmental effect,
for which Environmental Assessments (EAs) must be prepared.
* * * * *
(b) * * *
(1) * * *
Table 1--Transmitters, Facilities and Operations Subject to Routine
Environmental Evaluation
------------------------------------------------------------------------
Service (title 47 CFR rule part) Evaluation required if:
------------------------------------------------------------------------
* * * * * * *
Upper Microwave Flexible Use Non-building-mounted antennas:
Service (part 30). Height above ground level to lowest
point of antenna <10 m and power
>1640 W EIRP.
Antennas are mounted on buildings.
* * * * * * *
------------------------------------------------------------------------
(2)(i) Mobile and portable transmitting devices that operate in the
Commercial Mobile Radio Services pursuant to part 20 of this chapter;
the Cellular Radiotelephone Service pursuant to part 22 of this
chapter; the Personal Communications Services (PCS) pursuant to part 24
of this chapter; the Satellite Communications Services pursuant to part
25 of this chapter; the Miscellaneous Wireless Communications Services
pursuant to part 27 of this chapter; the Upper Microwave Flexible Use
Service pursuant to part 30 of this chapter; the Maritime Services
(ship earth stations only) pursuant to part 80 of this chapter; the
Specialized Mobile Radio Service, the 4.9 GHz Band Service, or the 3650
MHz Wireless Broadband Service pursuant to part 90 of this chapter; the
Wireless Medical Telemetry Service (WMTS), or the Medical Device
Radiocommunication Service (MedRadio) pursuant to part 95 of this
chapter; or the Citizens Broadband Radio Service pursuant to part 96 of
this chapter are subject to routine environmental evaluation for RF
exposure prior to equipment authorization or use, as specified in
Sec. Sec. 2.1091 and 2.1093 of this chapter.
* * * * *
0
4. Section 1.9001 is amended by revising paragraph (a) to read as
follows:
Sec. 1.9001 Purpose and scope.
(a) The purpose of part 1, subpart X is to implement policies and
rules pertaining to spectrum leasing arrangements between licensees in
the services identified in this subpart and spectrum lessees. This
subpart also implements policies for private commons arrangements.
These policies and rules also implicate other Commission rule parts,
including parts 1, 2, 20, 22, 24, 25, 27, 30, 80, 90, 95,
[[Page 79931]]
and 101 of title 47, chapter I of the Code of Federal Regulations.
* * * * *
0
5. Section 1.9005 is amended by revising paragraphs (hh) through (kk)
and adding paragraph (ll) to read as follows:
Sec. 1.9005 Included services.
* * * * *
(hh) The Multipoint Video Distribution and Data Service (part 101
of this chapter);
(ii) The 700 MHz Guard Bands Service (part 27 of this chapter);
(jj) The ATC of a Mobile Satellite Service (part 25 of this
chapter);
(kk) The 600 MHz band (part 27 of this chapter); and
(ll) The Upper Microwave Flexible Use Service (part 30 of this
chapter).
PART 2--FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL
RULES AND REGULATIONS
0
6. The authority citation for part 2 continues to read as follows:
Authority: 47 U.S.C. 154, 302a, 303, and 336, unless otherwise
noted.
0
7. Section 2.106 is amended as follows:
0
a. Pages 55, 57, 58, and 61 are revised.
0
b. In the list of United States (US) Footnotes, footnote US151 is
added.
0
c. In the list of Non-Federal Government (NG) Footnotes, footnote NG63
is added.
The revisions and additions read as follows:
Sec. 2.106 Table of Frequency Allocations.
* * * * *
BILLING CODE 6712-01-P
[[Page 79932]]
[GRAPHIC] [TIFF OMITTED] TR14NO16.004
[[Page 79933]]
[GRAPHIC] [TIFF OMITTED] TR14NO16.005
[[Page 79934]]
[GRAPHIC] [TIFF OMITTED] TR14NO16.006
[[Page 79935]]
[GRAPHIC] [TIFF OMITTED] TR14NO16.007
[[Page 79936]]
BILLING CODE 6712-01-C
* * * * *
United States (US) Footnotes
* * * * *
US151 In the band 37-38 GHz, stations in the fixed and mobile
services shall not cause harmful interference to Federal earth stations
in the space research service (space-to-Earth) at the following sites:
Goldstone, CA; Socorro, NM; and White Sands, NM. Applications for non-
Federal use of this band shall be coordinated with NTIA in accordance
with 47 CFR 30.205.
* * * * *
Non-Federal Government (NG) Footnotes
* * * * *
NG63 In the band 37.5-40 GHz, earth station operations in the
fixed-satellite service (space-to-Earth) shall not claim protection
from stations in the fixed and mobile services, except where
individually licensed earth stations are authorized pursuant to 47 CFR
25.136.
* * * * *
0
8. Section 2.1091 is amended by revising paragraph (c)(1) introductory
text to read as follows:
Sec. 2.1091 Radiofrequency radiation exposure evaluation: mobile
devices.
* * * * *
(c)(1) Mobile devices that operate in the Commercial Mobile Radio
Services pursuant to part 20 of this chapter; the Cellular
Radiotelephone Service pursuant to part 22 of this chapter; the
Personal Communications Services pursuant to part 24 of this chapter;
the Satellite Communications Services pursuant to part 25 of this
chapter; the Miscellaneous Wireless Communications Services pursuant to
part 27 of this chapter; the Upper Microwave Flexible Use Service
pursuant to part 30 of this chapter; the Maritime Services (ship earth
station devices only) pursuant to part 80 of this chapter; the
Specialized Mobile Radio Service, and the 3650 MHz Wireless Broadband
Service pursuant to part 90 of this chapter; and the Citizens Broadband
Radio Service pursuant to part 96 of this chapter are subject to
routine environmental evaluation for RF exposure prior to equipment
authorization or use if:
* * * * *
0
9. Section 2.1093 is amended by revising paragraph (c)(1) to read as
follows:
Sec. 2.1093 Radiofrequency radiation exposure evaluation: portable
devices.
* * * * *
(c)(1) Portable devices that operate in the Cellular Radiotelephone
Service pursuant to part 22 of this chapter; the Personal
Communications Service (PCS) pursuant to part 24 of this chapter; the
Satellite Communications Services pursuant to part 25 of this chapter;
the Miscellaneous Wireless Communications Services pursuant to part 27
of this chapter; the Upper Microwave Flexible Use Service pursuant to
part 30 of this chapter; the Maritime Services (ship earth station
devices only) pursuant to part 80 of this chapter; the Specialized
Mobile Radio Service, the 4.9 GHz Band Service, and the 3650 MHz
Wireless Broadband Service pursuant to part 90 of this chapter; the
Wireless Medical Telemetry Service (WMTS) and the Medical Device
Radiocommunication Service (MedRadio), pursuant to subparts H and I of
part 95 of this chapter, respectively, unlicensed personal
communication service, unlicensed NII devices and millimeter wave
devices authorized under Sec. Sec. 15.253(f), 15.255(g), 15.257(g),
15.319(i), and 15.407(f) of this chapter; and the Citizens Broadband
Radio Service pursuant to part 96 of this chapter are subject to
routine environmental evaluation for RF exposure prior to equipment
authorization or use.
* * * * *
PART 15--RADIO FREQUENCY DEVICES
0
10. 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
11. Section 15.255 is amended by revising the section heading,
paragraphs (a)(2), (b), and (c)(1); removing paragraph (d);
redesignating paragraphs (e) through (h) as paragraphs (d) through (g);
revising newly redesignated paragraph (d)(2); and adding new paragraph
(h) to read as follows:
Sec. 15.255 Operation within the band 57-71 GHz.
(a) * * *
(2) Field disturbance sensors, including vehicle radar systems,
unless the field disturbance sensors are employed for fixed operation,
or used as short-range devices for interactive motion sensing. For the
purposes of this section, the reference to fixed operation includes
field disturbance sensors installed in fixed equipment, even if the
sensor itself moves within the equipment.
(b) Within the 57-71 GHz band, emission levels shall not exceed the
following equivalent isotropically radiated power (EIRP):
(1) Products other than fixed field disturbance sensors and short-
range devices for interactive motion sensing shall comply with one of
the following emission limits, as measured during the transmit
interval:
(i) The average power of any emission shall not exceed 40 dBm and
the peak power of any emission shall not exceed 43 dBm; or
(ii) For fixed point-to-point transmitters located outdoors, the
average power of any emission shall not exceed 82 dBm, and shall be
reduced by 2 dB for every dB that the antenna gain is less than 51 dBi.
The peak power of any emission shall not exceed 85 dBm, and shall be
reduced by 2 dB for every dB that the antenna gain is less than 51 dBi.
(A) The provisions in this paragraph for reducing transmit power
based on antenna gain shall not require that the power levels be
reduced below the limits specified in paragraph (b)(1)(i) of this
section.
(B) The provisions of Sec. 15.204(c)(2) and (4) that permit the
use of different antennas of the same type and of equal or less
directional gain do not apply to intentional radiator systems operating
under this provision. In lieu thereof, intentional radiator systems
shall be certified using the specific antenna(s) with which the system
will be marketed and operated. Compliance testing shall be performed
using the highest gain and the lowest gain antennas for which
certification is sought and with the intentional radiator operated at
its maximum available output power level. The responsible party, as
defined in Sec. 2.909 of this chapter, shall supply a list of
acceptable antennas with the application for certification.
(2) For fixed field disturbance sensors that occupy 500 MHz or less
of bandwidth and that are contained wholly within the frequency band
61.0-61.5 GHz, the average power of any emission, measured during the
transmit interval, shall not exceed 40 dBm, and the peak power of any
emission shall not exceed 43 dBm. In addition, the average power of any
emission outside of the 61.0-61.5 GHz band, measured during the
transmit interval, but still within the 57-71 GHz band, shall not
exceed 10 dBm, and the peak power of any emission shall not exceed 13
dBm.
(3) For fixed field disturbance sensors other than those operating
under the provisions of paragraph (b)(2) of this section, and short-
range devices for interactive motion sensing, the peak transmitter
conducted output power
[[Page 79937]]
shall not exceed -10 dBm and the peak EIRP level shall not exceed 10
dBm.
(4) The peak power shall be measured with an RF detector that has a
detection bandwidth that encompasses the 57-71 GHz band and has a video
bandwidth of at least 10 MHz. The average emission levels shall be
measured over the actual time period during which transmission occurs.
(c) * * *
(1) The power density of any emissions outside the 57-71 GHz band
shall consist solely of spurious emissions.
* * * * *
(d) * * *
(2) Peak transmitter conducted output power shall be measured with
an RF detector that has a detection bandwidth that encompasses the 57-
71 GHz band and that has a video bandwidth of at least 10 MHz.
* * * * *
(h) Measurement procedures that have been found to be acceptable to
the Commission in accordance with Sec. 2.947 of this chapter may be
used to demonstrate compliance.
PART 25--SATELLITE COMMUNICATIONS
0
12. The authority citation for part 25 continues to read as follows:
Authority: Interprets or applies 47 U.S.C. 154, 301, 302, 303,
307, 309, 319, 332, 605, and 721, unless otherwise noted.
0
13. Add Sec. 25.136 to read as follows:
Sec. 25.136 Earth Stations in the 27.5-28.35 GHz and 37.5-40 GHz
bands.
(a) FSS is secondary to the Upper Microwave Flexible Use Service in
the 27.5-28.35 GHz band. Notwithstanding that secondary status, an
earth station in the 27.5-28.35 GHz band that meets one of the criteria
listed below may operate consistent with the terms of its authorization
without providing any additional interference protection to stations in
the Upper Microwave Flexible Use Service:
(1) The FSS licensee also holds the relevant Upper Microwave
Flexible Use Service license(s) for the area in which the earth station
generates a power flux density (PFD), at 10 meters above ground level,
of greater than or equal to -77.6 dBm/m\2\/MHz;
(2) The FSS earth station was authorized prior to July 14, 2016; or
(3) The application for the FSS earth station was filed prior to
July 14, 2016 and has been subsequently granted; or
(4) The applicant demonstrates compliance with all of the following
criteria in its application:
(i) There are no more than two other authorized earth stations
operating in the 27.5-28.35 GHz band within the county where the
proposed earth station is located that meet the criteria contained in
either paragraphs (a)(1), (2), (3), or (4) of this section. For
purposes of this requirement, multiple earth stations that are
collocated with or at a location contiguous to each other shall be
considered as one earth station;
(ii) The area in which the earth station generates a power flux
density (PFD), at 10 meters above ground level, of greater than or
equal to -77.6 dBm/m\2\/MHz, together with the similar area of any
other earth station authorized pursuant to paragraph (a) of this
section, does not cover, in the aggregate, more than 0.1 percent of the
population of the county within which the earth station is located;
(iii) The area in which the earth station generates a power flux
density (PFD), at 10 meters above ground level, of greater than or
equal to -77.6 dBm/m\2\/MHz does not contain any major event venue,
arterial street, interstate or U.S. highway, urban mass transit route,
passenger railroad, or cruise ship port; and
(iv) The applicant has successfully completed frequency
coordination with the UMFUS licensees within the area in which the
earth station generates a power flux density (PFD), at 10 meters above
ground level, of greater than or equal to -77.6 dBm/m\2\/MHz with
respect to existing facilities constructed and in operation by the
UMFUS licensee. In coordinating with UMFUS licensees, the applicant
shall use the applicable processes contained in Sec. 101.103(d) of
this chapter.
(b) Applications for earth stations in the 37.5-40 GHz band shall
provide an exhibit describing the zone within which the earth station
will require protection from transmissions of Upper Microwave Flexible
Use Service licensees. For purposes of this rule, the protection zone
shall consist of the area where UMFUS licensees may not locate
facilities without the consent of the earth station licensee. The earth
station applicant shall demonstrate in its application, using
reasonable engineering methods, that the requested protection zone is
necessary in order to protect its proposed earth station.
(c) The protection zone (as defined in paragraph (b) of this
section) shall comply with the following criteria. The applicant shall
demonstrate compliance with all of the following criteria in its
application:
(1) There are no more than two other authorized earth stations
operating in the 37.5-40 GHz band within the Partial Economic Area
within which the proposed earth station is located that meet the
criteria contained in paragraph (c) of this section. For purposes of
this requirement, multiple earth stations that are collocated with or
at a location contiguous to each other shall be considered as one earth
station;
(2) The protection zone, together with the protection zone of other
earth stations in the same Partial Economic Area authorized pursuant to
this section, does not cover, in the aggregate, more than 0.1 percent
of the population of the Partial Economic Area within which the earth
station is located;
(3) The protection zone does not contain any major event venue,
arterial street, interstate or U.S. highway, urban mass transit route,
passenger railroad, or cruise ship port; and
(4) The applicant has successfully completed frequency coordination
with the UMFUS licensees within the protection zone with respect to
existing facilities constructed and in operation by the UMFUS licensee.
In coordinating with UMFUS licensees, the applicant shall use the
applicable processes contained in Sec. 101.103(d) of this chapter.
(d) If an earth station applicant or licensee in the 27.5-28.35 GHz
or 37. 5-40 GHz bands enters into an agreement with an UMFUS licensee,
their operations shall be governed by that agreement, except to the
extent that the agreement is inconsistent with the Commission's rules
or the Communications Act.
0
14. Section 25.202 is amended by revising footnotes 1 and 7 to the
table in paragraph (a)(1) to read as follows:
Sec. 25.202 Frequencies, frequency tolerance, and emission limits.
(a) * * *
(1) * * *
\1\ Use of this band by the Fixed-Satellite Service is limited to
individually licensed earth stations. Satellite earth station
facilities in this band may not be ubiquitously deployed and may not be
used to serve individual consumers.
* * * * *
\7\ The Fixed-Satellite Service is secondary to the Upper Microwave
Flexible Use Service authorized pursuant to 47 CFR part 30, except for
FSS operations associated with earth stations authorized pursuant to 47
CFR 25.136.
* * * * *
0
15. Part 30 is added to read as follows:
[[Page 79938]]
PART 30--UPPER MICROWAVE FLEXIBLE USE SERVICE
Subpart A--General
Sec.
30.1 Creation of upper microwave flexible use service.
30.2 Definitions.
30.3 Eligibility.
30.4 Frequencies.
30.5 Service areas.
30.6 Permissible communications.
30.7 37-37.6 GHz Band--Shared coordinated service.
30.8 5G Provider cybersecurity statement requirements.
Subpart B--Applications and Licenses
30.101 Initial authorizations.
30.102 Transition of existing local multipoint distribution service
and 39 GHz licenses.
30.103 License term.
30.104 Construction requirements.
30.105 Geographic partitioning and spectrum disaggregation.
30.106 Discontinuance of service.
Subpart C--Technical Standards
30.201 Equipment authorization.
30.202 Power limits.
30.203 Emission limits.
30.204 Field strength limits.
30.205 Federal coordination requirements.
30.206 International coordination.
30.207 Radio frequency (RF) safety.
30.208 Operability.
30.209 Duplexing.
Subpart D--Competitive Bidding Procedures
30.301 Upper Microwave Flexible Use Service subject to competitive
bidding.
30.302 Designated entities and bidding credits.
Subpart E--Special Provisions for Fixed Point-to-Point, Fixed Point-to-
Multipoint Hub Stations, and Fixed Point-to-Multipoint User Stations
30.401 Permissible service.
30.402 Frequency tolerance.
30.403 Bandwidth.
30.404 Emission limits.
30.405 Transmitter power limitations.
30.406 Directional antennas.
30.407 Antenna polarization.
Authority: 47 U.S.C. 151, 152, 153, 154, 301, 303, 304, 307,
309, 310, 316, 332, 1302.
Subpart A--General
Sec. 30.1 Creation of upper microwave flexible use service, scope and
authority.
As of December 14, 2016, Local Multipoint Distribution Service
licenses for the 27.5-28.35 GHz band, and licenses issued in the 38.6-
40 GHz band under part 101 of this chapter shall be reassigned to the
Upper Microwave Flexible Use Service. Local Multipoint Distribution
Service licenses in bands other than 27.5-28.35 GHz shall remain in
that service and shall be governed by the part 101 of this chapter
applicable to that service.
Sec. 30.2 Definitions.
The following definitions apply to this part:
Authorized bandwidth. The maximum width of the band of frequencies
permitted to be used by a station. This is normally considered to be
the necessary or occupied bandwidth, whichever is greater. (See Sec.
2.202 of this chapter).
Authorized frequency. The frequency, or frequency range, assigned
to a station by the Commission and specified in the instrument of
authorization.
Fixed satellite earth station. An earth station intended to be used
at a specified fixed point.
Local Area Operations. Operations confined to physical facility
boundaries, such as a factory.
Point-to-Multipoint Hub Station. A fixed point-to-multipoint radio
station that provides one-way or two-way communication with fixed
Point-to-Multipoint Service User Stations.
Point-to-Multipoint Service. A fixed point-to-multipoint radio
service consisting of point-to-multipoint hub stations that communicate
with fixed point-to-multipoint user stations.
Point-to-Multipoint User Station. A fixed radio station located at
users' premises, lying within the coverage area of a Point-to-
Multipoint Hub station, using a directional antenna to receive one-way
communications from or providing two-way communications with a fixed
Point-to-Multipoint Hub Station.
Point-to-point station. A station that transmits a highly
directional signal from a fixed transmitter location to a fixed receive
location.
Portable device. Transmitters designed to be used within 20
centimeters of the body of the user.
Prior coordination. A bilateral process conducted prior to filing
applications which includes the distribution of the technical
parameters of a proposed radio system to potentially affected parties
for their evaluation and timely response.
Secondary operations. Radio communications which may not cause
interference to operations authorized on a primary basis and which are
not protected from interference from these primary operations
Transportable station. Transmitting equipment that is not intended
to be used while in motion, but rather at stationary locations.
Universal Licensing System. The Universal Licensing System (ULS) is
the consolidated database, application filing system, and processing
system for all Wireless Radio Services. ULS supports electronic filing
of all applications and related documents by applicants and licensees
in the Wireless Radio Services, and provides public access to licensing
information.
Sec. 30.3 Eligibility.
Any entity who meets the technical, financial, character, and
citizenship qualifications that the Commission may require in
accordance with such Act, other than those precluded by section 310 of
the Communications Act of 1934, as amended, 47 U.S.C. 310, is eligible
to hold a license under this part.
Sec. 30.4 Frequencies.
The following frequencies are available for assignment in the Upper
Microwave Flexible Use Service:
(a) 27.5 GHz--28.35 GHz band--27.5-27.925 GHz and 27.925-28.35 GHz.
(b) 38.6-40 GHz band:
(1) New channel plan:
------------------------------------------------------------------------
Frequency band
Channel No. limits (MHz)
------------------------------------------------------------------------
1.................................................... 38,600-38,800
2.................................................... 38,800-39,000
3.................................................... 39,000-39,200
4.................................................... 39,200-39,400
5.................................................... 39,400-39,600
6.................................................... 39,600-39,800
7.................................................... 39,800-40,000
------------------------------------------------------------------------
(2) Pending transition to the new channel plan, existing 39 GHz
licensees licensed under part 101 of this chapter may continue
operating on the following channel plan:
----------------------------------------------------------------------------------------------------------------
Channel group A Channel group B
----------------------------------------------------------------------------------------------------------------
Frequency band Frequency band
Channel No. limits (MHz) Channel No. limits (MHz)
----------------------------------------------------------------------------------------------------------------
1-A........................................ 38,600-38,650 1-B.......................... 39,300-39,350
2-A........................................ 38,650-38,700 2-B.......................... 39,350-39,400
3-A........................................ 38,700-38,750 3-B.......................... 39,400-39,450
4-A........................................ 38,750-38,800 4-B.......................... 39,450-39,500
[[Page 79939]]
5-A........................................ 38,800-38,850 5-B.......................... 39,500-39,550
6-A........................................ 38,850-38,900 6-B.......................... 39,550-39,600
7-A........................................ 38,900-38,950 7-B.......................... 39,600-39,650
8-A........................................ 38,950-39,000 8-B.......................... 39,650-39,700
9-A........................................ 39,000-39,050 9-B.......................... 39,700-39,750
10-A....................................... 39,050-39,100 10-B......................... 39,750-39,800
11-A....................................... 39,100-39,150 11-B......................... 39,800-39,850
12-A....................................... 39,150-39,200 12-B......................... 39,850-39,900
13-A....................................... 39,200-39,250 13-B......................... 39,900-39,950
14-A....................................... 39,250-39,300 14-B......................... 39,950-40,000
----------------------------------------------------------------------------------------------------------------
(c) 37-38.6 GHz band: 37,600-37,800 MHz; 37,800-38,000 MHz; 38,000-
38,200 MHz; 38,200-38,400 MHz, and 38,400-38,600 MHz. The 37,000-37,600
MHz band segment shall be available on a site-specific, coordinated
shared basis with eligible Federal entities.
Sec. 30.5 Service areas.
(a) Except as noted in paragraphs (b) and (c) of this section, and
except for the shared 37-37.6 GHz band, the service areas for the Upper
Microwave Flexible Use Service are Partial Economic Areas.
(b) For the 27.5-28.35 GHz band, the service areas shall be
counties.
(c) Common Carrier Fixed Point-to-Point Microwave Stations licensed
in the 38.6-40 GHz bands licensed with Rectangular Service Areas shall
maintain their Rectangular Service Area as defined in their
authorization. The frequencies associated with Rectangular Service Area
authorizations that have expired, cancelled, or otherwise been
recovered by the Commission will automatically revert to the applicable
county licensee.
(d) In the 37.5-40 GHz band, Upper Microwave Flexible Use Service
licensees shall not place facilities within the protection zone of
Fixed-Satellite Service earth stations authorized pursuant to Sec.
25.136 of this chapter, absent consent from the Fixed-Satellite Service
earth station licensee.
Sec. 30.6 Permissible communications.
(a) A licensee in the frequency bands specified in Sec. 30.4 may
provide any services for which its frequency bands are allocated, as
set forth in the non-Federal Government column of the Table of
Frequency Allocations in Sec. 2.106 of this chapter (column 5).
(b) Fixed-Satellite Service shall be provided in a manner
consistent with part 25 of this chapter.
Sec. 30.7 37-37.6 GHz Band--Shared coordinated service.
(a) The 37-37.6 GHz band will be available for site-based
registrations on a coordinated basis with co-equal eligible Federal
entities.
(b) Any non-Federal entity meeting the eligibility requirements of
Sec. 30.3 may operate equipment that complies with the technical rules
of this part pursuant to a Shared Access License.
(c) Licensees in the 37-37.6 GHz band must register their
individual base stations and access points prior to placing them in
operation.
Sec. 30.8 5G Provider cybersecurity statement requirements.
(a) Statement. Each Upper Microwave Flexible Use Service licensee
is required to submit to the Commission a Statement describing its
network security plans and related information, which shall be signed
by a senior executive within the licensee's organization with personal
knowledge of the security plans and practices within the licensee's
organization. The Statement must contain, at a minimum, the following
elements:
(1) Security approach. A high-level, general description of the
licensee's approach designed to safeguard the planned network's
confidentiality, integrity, and availability, with respect to
communications from:
(i) A device to the licensee's network;
(ii) One element of the licensee's network to another element on
the licensee's network;
(iii) The licensee's network to another network; and
(iv) Device to device (with respect to telephone voice and
messaging services).
(2) Cybersecurity coordination. A high-level, general description
of the licensee's anticipated approach to assessing and mitigating
cyber risk induced by the presence of multiple participants in the
band. This should include the high level approach taken toward ensuring
consumer network confidentiality, integrity, and availability security
principles, are to be protected in each of the following use cases:
communications between a wireless device and the licensee's network;
communications within and between each licensee's network;
communications between mobile devices that are under end-to-end control
of the licensee; and communications between mobile devices that are not
under the end-to-end control of the licensee;
(3) Cybersecurity standards and best practices. A high-level
description of relevant cybersecurity standards and practices to be
employed, whether industry-recognized or related to some other
identifiable approach;
(4) Participation with standards bodies, industry-led
organizations. A description of the extent to which the licensee
participates with standards bodies or industry-led organizations
pursuing the development or maintenance of emerging security standards
and/or best practices;
(5) Other security approaches. The high-level identification of any
other approaches to security, unique to the services and devices the
licensee intends to offer and deploy; and
(6) Plans with Information Sharing and Analysis Organizations.
Plans to incorporate relevant outputs from Information Sharing and
Analysis Organizations (ISAOs) as elements of the licensee's security
architecture. Plans should include comment on machine-to-machine threat
information sharing, and any use of anticipated standards for ISAO-
based information sharing.
(b) Timing. Each Upper Microwave Flexible Use Service licensee
shall submit this Statement to the Commission within three years after
grant of the license, but no later than six months prior to deployment.
(c) Definitions. The following definitions apply to this section:
Availability. The accessibility and usability of a network upon
demand.
Confidentiality. The protection of data from unauthorized access
and disclosure, both while at rest and in transit.
[[Page 79940]]
Integrity. The protection against the unauthorized modification or
destruction of information.
Subpart B--Applications and Licenses
Sec. 30.101 Initial authorizations.
Except with respect to in the 37-37.6 GHz band, an applicant must
file a single application for an initial authorization for all markets
won and frequency blocks desired. Initial authorizations shall be
granted in accordance with Sec. 30.4. Applications for individual
sites are not required and will not be accepted, except where required
for environmental assessments, in accordance with Sec. Sec. 1.1301
through 1.1319 of this chapter.
Sec. 30.102 Transition of existing local multipoint distribution
service and 39 GHz licenses.
Local Multipoint Distribution Service licenses in the 27.5--28.35
GHz band issued on a Basic Trading Area basis shall be disaggregated
into county-based licenses and 39 GHz licenses issued on an Economic
Area basis shall be disaggregated into Partial Economic Area-based
licenses on December 14, 2016. For each county in the Basic Trading
Area or Partial Economic Area in the Economic Area which is part of the
original license, the licensee shall receive a separate license. If
there is a co-channel Rectangular Service Area licensee within the
service area of a 39 GHz Economic Area licensee, the disaggregated
license shall not authorize operation with the service area of the
Rectangular Service Area license.
Sec. 30.103 License term.
Initial authorizations will have a term not to exceed ten years
from the date of initial issuance or renewal.
Sec. 30.104 Construction requirements.
(a) Upper Microwave Flexible Use Service licensees must make a
buildout showing as part of their renewal applications. Licensees
relying on mobile or point-to-multipoint service must show that they
are providing reliable signal coverage and service to at least 40
percent of the population within the service area of the licensee, and
that they are using facilities to provide service in that area either
to customers or for internal use. Licensees relying on point-to-point
service must demonstrate that they have four links operating and
providing service, either to customers or for internal use, if the
population within the license area is equal to or less than 268,000. If
the population within the license area is greater than 268,000, a
licensee relying on point-to-point service must demonstrate it has at
least one link in operation and is providing service for each 67,000
population within the license area.
(b) Showings that rely on a combination of multiple types of
service will be evaluated on a case-by-case basis.
(c) If a licensee in this service is also a Fixed-Satellite Service
licensee and uses the spectrum covered under its UMFUS license in
connection with a satellite earth station, it can demonstrate
compliance with the requirements of this section by demonstrating that
the earth station in question is in service, operational, and using the
spectrum associated with the license. This provision can only be used
to demonstrate compliance for the county in which the earth station is
located.
(d) Failure to meet this requirement will result in automatic
cancellation of the license. In bands licensed on a Partial Economic
Area basis, licensees will have the option of partitioning a license on
a county basis in order to reduce the population within the license
area to a level where the licensee's buildout would meet one of the
applicable performance metrics.
(e) Existing 28 GHz and 39 GHz licensees shall be required to make
a showing pursuant to this rule by June 1, 2024.
Sec. 30.105 Geographic partitioning and spectrum disaggregation.
(a) Parties seeking approval for partitioning and disaggregation
shall request from the Commission an authorization for partial
assignment of a license pursuant to Sec. 1.948 of this chapter. Upper
Microwave Flexible Use Service licensees may apply to partition their
licensed geographic service area or disaggregate their licensed
spectrum at any time following the grant of their licenses.
(b) Technical standards--(1) Partitioning. In the case of
partitioning, applicants and licensees must file FCC Form 603 pursuant
to Sec. 1.948 of this chapter and list the partitioned service area on
a schedule to the application. The geographic coordinates must be
specified in degrees, minutes, and seconds to the nearest second of
latitude and longitude and must be based upon the 1983 North American
Datum (NAD83).
(2) Spectrum may be disaggregated in any amount.
(3) The Commission will consider requests for partial assignment of
licenses that propose combinations of partitioning and disaggregation.
(4) For purposes of partitioning and disaggregation, part 30
systems must be designed so as not to exceed the signal level specified
for the particular spectrum block in Sec. 30.204 at the licensee's
service area boundary, unless the affected adjacent service area
licensees have agreed to a different signal level.
(c) License term. The license term for a partitioned license area
and for disaggregated spectrum shall be the remainder of the original
licensee's license term as provided for in Sec. 30.103.
(d)(1) Parties to partitioning agreements must satisfy the
construction requirements set forth in Sec. 30.104 by the partitioner
and partitionee each certifying that it will independently meet the
construction requirement for its respective partitioned license area.
If the partitioner or partitionee fails to meet the construction
requirement for its respective partitioned license area, then the
relevant partitioned license will automatically cancel.
(2) Parties to disaggregation agreements must satisfy the
construction requirements set forth in Sec. 30.104 by the
disaggregator and disaggregatee each certifying that it will
independently meet the construction requirement for its respective
disaggregated license area. If the disaggregator or disaggregatee fails
to meet the construction requirement for its respective disaggregated
license area, then the relevant disaggregated license will
automatically cancel.
Sec. 30.106 Discontinuance of service.
(a) An Upper Microwave Flexible Use License authorization will
automatically terminate, without specific Commission action, if the
licensee permanently discontinues service after the initial license
term.
(b) For licensees with common carrier regulatory status, permanent
discontinuance of service is defined as 180 consecutive days during
which a licensee does not provide service to at least one subscriber
that is not affiliated with, controlled by, or related to the licensee
in the individual license area. For licensees with non-common carrier
status, permanent discontinuance of service is defined as 180
consecutive days during which a licensee does not operate.
(c) A licensee that permanently discontinues service as defined in
this section must notify the Commission of the discontinuance within 10
days by filing FCC Form 601 or 605 requesting license cancellation. An
authorization will automatically terminate, without specific Commission
action, if service is permanently discontinued as defined in this
section, even if a licensee fails to
[[Page 79941]]
file the required form requesting license cancellation.
Subpart C--Technical Standards
Sec. 30.201 Equipment authorization.
(a) Except as provided under paragraph (c) of this section, each
transmitter utilized for operation under this part must be of a type
that has been authorized by the Commission under its certification
procedure.
(b) Any manufacturer of radio transmitting equipment to be used in
these services may request equipment authorization following the
procedures set forth in subpart J of part 2 of this chapter. Equipment
authorization for an individual transmitter may be requested by an
applicant for a station authorization by following the procedures set
forth in part 2 of this chapter.
(c) Unless specified otherwise, transmitters for use under the
provisions of subpart E of this part for fixed point-to-point microwave
and point-to-multipoint services must be a type that has been verified
for compliance.
Sec. 30.202 Power limits.
(a) For fixed and base stations operating in connection with mobile
systems, the average power of the sum of all antenna elements is
limited to an equivalent isotopically radiated power (EIRP) density of
+75dBm/100 MHz. For channel bandwidths less than 100 megahertz the EIRP
must be reduced proportionally and linearly based on the bandwidth
relative to 100 megahertz.
(b) For mobile stations, the average power of the sum of all
antenna elements is limited to a maximum EIRP of +43 dBm.
(c) For transportable stations, as defined in Sec. 30.2, the
average power of the sum of all antenna elements is limited to a
maximum EIRP of +55 dBm.
(d) For fixed point-to-point and point-to-multipoint limits see
Sec. 30.405.
Sec. 30.203 Emission limits.
(a) The conductive power or the total radiated power of any
emission outside a licensee's frequency block shall be -13 dBm/MHz or
lower. However, in the bands immediately outside and adjacent to the
licensee's frequency block, having a bandwidth equal to 10 percent of
the channel bandwidth, the conductive power or the total radiated power
of any emission shall be -5 dBm/MHz or lower.
(b)(1) Compliance with this provision is based on the use of
measurement instrumentation employing a resolution bandwidth of 1
megahertz or greater.
(2) When measuring the emission limits, the nominal carrier
frequency shall be adjusted as close to the licensee's frequency block
edges as the design permits.
(3) The measurements of emission power can be expressed in peak or
average values.
(c) For fixed point-to-point and point-to-multipoint limits see
Sec. 30.404.
Sec. 30.204 Field strength limits.
(a) Base/mobile operations: The predicted or measured Power Flux
Density (PFD) from any Base Station operating in the 27.5-28.35 GHz
band, 37-38.6 GHz band, and 38.6-40 GHz bands at any location on the
geographical border of a licensee's service area shall not exceed -
76dBm/m\2\/MHz (measured at 1.5 meters above ground) unless the
adjacent affected service area licensee(s) agree(s) to a different PFD.
(b) Fixed point-to-point operations. (1) Prior to operating a fixed
point-to-point transmitting facility in the 27,500-28,350 MHz band
where the facilities are located within 20 kilometers of the boundary
of the licensees authorized market area, the licensee must complete
frequency coordination in accordance with the procedures specified in
Sec. 101.103(d)(2) of this chapter with respect to neighboring
licensees that may be affected by its operations.
(2) Prior to operating a fixed point-to-point transmitting facility
in the 37,000-40,000 MHz band where the facilities are located within
16 kilometers of the boundary of the licensees authorized market area,
the licensee must complete frequency coordination in accordance with
the procedures specified in Sec. 101.103(d)(2) of this chapter with
respect to neighboring licensees that may be affected by its
operations.
Sec. 30.205 Federal coordination requirements.
(a) Licensees in the 37-38 GHz band located within the zones
defined by the coordinates in the tables below must coordinate their
operations with Federal Space Research Service (space to Earth) users
of the band via the National Telecommunications and Information
Administration (NTIA). All licensees operating within the zone defined
by the 60 dBm/100 MHz EIRP coordinates in the tables below must
coordinate all operations. Licensees operating within the area between
the zones defined by the 60 dBm and 75 dBm/100 MHz EIRP coordinates in
the tables below must coordinate all operations if their base station
EIRP is greater than 60 dBm/100 MHz or if their antenna height exceeds
100 meters above ground level. Licensees operating outside the zones
defined by the 75 dBm/100 MHz EIRP coordinates in the tables below are
not required to coordinate their operations with NTIA.
Table 1 to Paragraph (a): Goldstone, California Coordination Zone
----------------------------------------------------------------------------------------------------------------
60 dBm/100 MHz EIRP 75 dBm/100 MHz EIRP
----------------------------------------------------------------------------------------------------------------
Latitude/Longitude Latitude/Longitude Latitude/Longitude
Latitude/Longitude (decimal degrees) (decimal degrees) (decimal degrees) (decimal degrees)
----------------------------------------------------------------------------------------------------------------
34.69217/-115.6491................... 34.19524/-117.47963.... 34.69217/-115.6491..... 34.19524/-117.47963
35.25746/-115.32041.................. 34.24586/-117.36210.... 35.25746/-115.32041.... 34.24586/-117.36210
36.21257/-117.06567.................. 35.04648/-117.03781.... 36.11221/-116.63632.... 34.21748/-117.12812
36.55967/-117.63691.................. 35.04788/-117.00949.... 36.54731/-117.48242.... 34.20370/-116.97024
36.66297/-118.31017.................. 34.22940/-117.22327.... 36.73049/-118.33683.... 34.12196/-116.93109
36.06074/-118.38528.................. 34.20370/-116.97024.... 36.39126/-118.47307.... 34.09498/-116.75473
35.47015/-118.39008.................. 34.12196/-116.93109.... 36.36891/-118.47134.... 34.13603/-116.64002
35.40865/-118.34353.................. 34.09498/-116.75473.... 35.47015/-118.39008.... 34.69217/-115.6591
35.35986/-117.24709.................. 34.19642/-116.72901.... 35.40865/-118.34353.... 34.69217/-115.6491
35.29539/-117.21102.................. 34.64906/-116.62741.... 35.32048/-117.26386
34.67607/-118.55412.................. 34.44404/-116.31486.... 34.63725/-118.96736
34.61532/-118.36919.................. 34.52736/-116.27845.... 34.55789/-118.36204
34.91551/-117.70371.................. 34.76685/-116.27930.... 34.51108/-118.15329
34.81257/-117.65400.................. 34.69217/-115.6591..... 34.39220/-118.28852
34.37411/-118.18385.................. 34.69217/-115.6491..... 34.38546/-118.27460
[[Page 79942]]
34.33405/-117.94189.................. ....................... 34.37524/-118.24191
34.27249/-117.65445.................. ....................... 34.37039/-118.22557
----------------------------------------------------------------------------------------------------------------
Table 2 to Paragraph (a): Socorro, New Mexico Coordination Zone
------------------------------------------------------------------------
60 dBm/100 MHz EIRP 75 dBm/100 MHz
----------------------------------------------------- EIRP
-------------------
Latitude/Longitude (decimal Latitude/Longitude Latitude/Longitude
degrees) (decimal degrees) (decimal degrees)
------------------------------------------------------------------------
34.83816/-107.66828............. 33.44401/- 33.10651/-
108.67876. 108.19320
34.80070/-107.68759............. 33.57963/- 33.11780/-
107.79895. 107.99980
34.56506/-107.70233............. 33.84552/- 33.13558/-
107.60207. 107.85611
34.40826/-107.71489............. 33.85964/- 33.80383/-
107.51915. 107.16520
34.31013/-107.88349............. 33.86479/- 33.94554/-
107.17223. 107.15516
34.24067/-107.96059............. 33.94779/- 33.95665/-
107.15038. 107.15480
34.10278/-108.23166............. 34.11122/- 34.08156/-
107.18132. 107.18137
34.07442/-108.30646............. 34.15203/- 34.10646/-
107.39035. 107.18938
34.01447/-108.31694............. 34.29643/- 35.24269/-
107.51071. 107.67969
33.86740/-108.48706............. 34.83816/- 34.06647/-
107.66828. 108.70438
33.81660/-108.51052............. 33.35946/-
108.68902
33.67909/-108.58750............. 33.29430/-
108.65004
33.50223/-108.65470............. 33.10651/-
108.19320
------------------------------------------------------------------------
Table 3 to Paragraph (a): White Sands, New Mexico Coordination Zone
----------------------------------------------------------------------------------------------------------------
60 dBm/100 MHz EIRP 75 dBm/100 MHz EIRP
----------------------------------------------------------------------------------------------------------------
Latitude/Longitude Latitude/Longitude Latitude/Longitude
Latitude/Longitude (decimal degrees) (decimal degrees) (decimal degrees) (decimal degrees)
----------------------------------------------------------------------------------------------------------------
33.98689/-107.15967.................. 31.78455/-106.54058.... 31.7494/-106.49132..... 32.88382/-108.16588
33.91573/-107.46301.................. 32.24710/-106.56114.... 32.24524/-106.56507.... 32.76255/-108.05679
33.73122/-107.73585.................. 32.67731/-106.53681.... 32.67731/-106.53681.... 32.56863/-108.43999
33.37098/-107.84333.................. 32.89856/-106.56882.... 32.89856/-106.56882.... 32.48991/-108.50032
33.25424/-107.86409.................. 33.24323/-106.70094.... 33.04880/-106.62309.... 32.39142/-108.48959
33.19808/-107.89673.................. 33.98689/-107.15967.... 33.21824/-106.68992.... 31.63664/-108.40480
33.02128/-107.87226.................. 33.24347/-106.70165.... 31.63466/-108.20921
32.47747/-107.77963.................. 34.00708/-107.08652.... 31.78374/-108.20798
32.31543/-108.16101.................. 34.04967/-107.17524.... 31.78322/-106.52825
31.79429/-107.88616.................. 33.83491/-107.85971.... 31.7494/-106.49132
----------------------------------------------------------------------------------------------------------------
(b) Licensees in the 37-38.6 GHz band located within the zones
defined by the coordinates in the table below must coordinate their
operations with the Department of Defense via the National
Telecommunications and Information Administration (NTIA).
Table to Paragraph (b)--Coordination Areas for Federal Terrestrial Systems
----------------------------------------------------------------------------------------------------------------
Location Agency Coordination area (decimal degrees)
----------------------------------------------------------------------------------------------------------------
China Lake, CA.......................... Navy......................... 30 kilometer radius centered on
latitude 35.59527 and longitude -
117.22583.
30 kilometer radius centered on
latitude 35.52222 and longitude -
117.30333.
30 kilometer radius centered on
latitude 35.76222 and longitude -
117.60055.
30 kilometer radius centered on
latitude 35.69111 and longitude -
117.66916.
San Diego, CA........................... Navy......................... 30 kilometer radius centered on
latitude 32.68333 and longitude -
117.23333.
Nanakuli, HI............................ Navy......................... 30 kilometer radius centered on
latitude 21.38333 and longitude -
158.13333.
Fishers Island, NY...................... Navy......................... 30 kilometer radius centered on
latitude 41.25 and longitude -
72.01666.
Saint Croix, VI......................... Navy......................... 30 kilometer radius centered on
latitude 17.74722 and longitude -
64.88.
Fort Irwin, CA.......................... Army......................... 30 kilometer radius centered on
latitude 35.26666 and longitude -
116.68333.
Fort Carson, CO......................... Army......................... 30 kilometer radius centered on
latitude 38.71666 and longitude -
104.65.
Fort Hood, TX........................... Army......................... 30 kilometer radius centered on
latitude 31.11666 and longitude -
97.76666.
Fort Bliss, TX.......................... Army......................... 30 kilometer radius centered on
latitude 31.8075 and longitude -
106.42166.
Yuma Proving Ground, AZ................. Army......................... 30 kilometer radius centered on
latitude 32.48333 and longitude -
114.33333.
Fort Huachuca, AZ....................... Army......................... 30 kilometer radius centered on
latitude 31.55 and longitude -110.35.
White Sands Missile Range, NM........... Army......................... 30 kilometer radius centered on
latitude 33.35 and longitude -106.3.
[[Page 79943]]
Moody Air Force Base, GA................ Air Force.................... 30 kilometer radius centered on
latitude 30.96694 and longitude -
83.185.
Hurlburt Air Force Base, FL............. Air Force.................... 30 kilometer radius centered on
latitude 30.42388 and longitude -
86.70694.
----------------------------------------------------------------------------------------------------------------
Sec. 30.206 International coordination.
Operations in the 27.5-28.35 GHz, 37-38.6, and 38.6-40 GHz bands
are subject to existing and future international agreements with Canada
and Mexico.
Sec. 30.207 Radio frequency (RF) safety.
Licensees and manufacturers are subject to the radio frequency
radiation exposure requirements specified in Sec. Sec. 1.1307(b),
1.1310, 2.1091, and 2.1093 of this chapter, as appropriate.
Applications for equipment authorization of mobile or portable devices
operating under this section must contain a statement confirming
compliance with these requirements. Technical information showing the
basis for this statement must be submitted to the Commission upon
request.
Sec. 30.208 Operability.
Mobile and transportable stations that operate on any portion of
frequencies within the 27.5-28.35 GHz or the 37-40 GHz bands must be
capable of operating on all frequencies within those particular bands.
Sec. 30.209 Duplexing.
Stations authorized under this rule part may employ frequency
division duplexing, time division duplexing, or any other duplexing
scheme, provided that they comply with the other technical and
operational requirements specified in this part.
Subpart D--Competitive Bidding Procedures
Sec. 30.301 Upper Microwave Flexible Use Service subject to
competitive bidding.
Mutually exclusive initial applications for Upper Microwave
Flexible User Service licenses are subject to competitive bidding. The
general competitive bidding procedures set forth in part 1, subpart Q
of this chapter will apply unless otherwise provided in this subpart.
Sec. 30.302 Designated entities and bidding credits.
(a) Eligibility for small business provisions. (1) A small business
is an entity that, together with its affiliates, its controlling
interests and the affiliates of its controlling interests, have average
gross revenues that are not more than $55 million for the preceding
three (3) years.
(2) A very small business is an entity that, together with its
affiliates, its controlling interests and the affiliates of its
controlling interests, has average gross revenues that are not more
than $20 million for the preceding three (3) years.
(b) Bidding credits. A winning bidder that qualifies as a small
business, as defined in this section, or a consortium of small
businesses may use a bidding credit of 15 percent, as specified in
Sec. 1.2110(f)(2)(i)(C) of this chapter. A winning bidder that
qualifies as a very small business, as defined in this section, or a
consortium of very small businesses may use a bidding credit of 25
percent, as specified in Sec. 1.2110(f)(2)(i)(B) of this chapter.
(c) A rural service provider, as defined in Sec. 1.2110(f)(4) of
this chapter, who has not claimed a small business bidding credit may
use a bidding credit of 15 percent bidding credit, as specified in
Sec. 1.2110(f)(4)(i) of this chapter.
Subpart E--Special Provisions for Fixed Point-to-Point, Fixed
Point-to-Multipoint Hub Stations, and Fixed Point-to-Multipoint
User Stations
Sec. 30.401 Permissible service.
Stations authorized under this subpart may deploy stations used
solely as fixed point-to-point stations, fixed point-to-multipoint hub
stations, or fixed point-to-multipoint user stations, as defined in
Sec. 30.2, subject to the technical and operational requirements
specified in this subpart.
Sec. 30.402 Frequency tolerance.
The carrier frequency of each transmitter authorized under this
subpart must be maintained within the following percentage of the
reference frequency (unless otherwise specified in the instrument of
station authorization the reference frequency will be deemed to be the
assigned frequency):
------------------------------------------------------------------------
Frequency
Frequency (MHz) tolerance
(percent)
------------------------------------------------------------------------
27,500 to 28,350........................................ 0.001
38,600 to 40,000........................................ 0.03
------------------------------------------------------------------------
Sec. 30.403 Bandwidth.
(a) Stations under this subpart will be authorized any type of
emission, method of modulation, and transmission characteristic,
consistent with efficient use of the spectrum and good engineering
practice.
(b) The maximum bandwidth authorized per frequency to stations
under this subpart is set out in the table that follows.
------------------------------------------------------------------------
Maximum
Frequency band (MHz) authorized
bandwidth
------------------------------------------------------------------------
27,500 to 28,350........................................ 850 MHz.
38,600 to 40,000........................................ 200 MHz.\1\
------------------------------------------------------------------------
\1\ For channel block assignments in the 38,600-40,000 MHz bands when
adjacent channels are aggregated, equipment is permitted to operate
over the full channel block aggregation without restriction.
Sec. 30.404 Emission limits.
(a) The mean power of emissions must be attenuated below the mean
output power of the transmitter in accordance with the following
schedule:
(1) When using transmissions other than those employing digital
modulation techniques:
(i) On any frequency removed from the assigned frequency by more
than 50 percent up to and including 100 percent of the authorized
bandwidth: At least 25 decibels;
(ii) On any frequency removed from the assigned frequency by more
than 100 percent up to and including 250 percent of the authorized
bandwidth: At least 35 decibels;
(iii) On any frequency removed from the assigned frequency by more
than 250 percent of the authorized bandwidth: At least 43 + 10
Log10 (mean output power in watts) decibels, or 80 decibels,
whichever is the lesser attenuation.
(2) When using transmissions employing digital modulation
techniques in situations not covered in this section:
(i) In any 1 MHz band, the center frequency of which is removed
from the assigned frequency by more than 50 percent up to and including
250 percent of the authorized bandwidth: As specified by the following
equation but in no event less than 11 decibels:
[[Page 79944]]
A = 11 + 0.4(P-50) + 10 Log10 B. (Attenuation greater than
56 decibels or to an absolute power of less than -13 dBm/1MHz is not
required.)
(ii) In any 1 MHz band, the center frequency of which is removed
from the assigned frequency by more than 250 percent of the authorized
bandwidth: At least 43 + 10 Log10 (the mean output power in
watts) decibels, or 80 decibels, whichever is the lesser attenuation.
The authorized bandwidth includes the nominal radio frequency bandwidth
of an individual transmitter/modulator in block-assigned bands.
Equipment licensed prior to April 1, 2005 shall only be required to
meet this standard in any 4 kHz band.
(iii) The emission mask in paragraph (a)(2)(i) of this section
applies only to the band edge of each block of spectrum, but not to
subchannels established by licensees. The value of P in the equation is
the percentage removed from the carrier frequency and assumes that the
carrier frequency is the center of the actual bandwidth used. The
emission mask can be satisfied by locating a carrier of the subchannel
sufficiently far from the channel edges so that the emission levels of
the mask are satisfied. The emission mask shall use a value B
(bandwidth) of 40 MHz, for all cases even in the case where a narrower
subchannel is used (for instance the actual bandwidth is 10 MHz) and
the mean output power used in the calculation is the sum of the output
power of a fully populated channel. For block assigned channels, the
out-of-band emission limits apply only outside the assigned band of
operation and not within the band.
(b) [Reserved]
Sec. 30.405 Transmitter power limitations.
On any authorized frequency, the average power delivered to an
antenna in this service must be the minimum amount of power necessary
to carry out the communications desired. Application of this principle
includes, but is not to be limited to, requiring a licensee who
replaces one or more of its antennas with larger antennas to reduce its
antenna input power by an amount appropriate to compensate for the
increased primary lobe gain of the replacement antenna(s). In no event
shall the average equivalent isotropically radiated power (EIRP), as
referenced to an isotropic radiator, exceed the following:
Maximum Allowable EIRP
------------------------------------------------------------------------
Frequency band (MHz) Fixed (dBW)
------------------------------------------------------------------------
27,500-28,350\1\........................................ + 55
38,600-40,000........................................... + 55
------------------------------------------------------------------------
\1\ For Point-to-multipoint user stations authorized in these bands, the
EIRP shall not exceed 55 dBw or 42 dBw/MHz.
Sec. 30.406 Directional antennas.
(a) Unless otherwise authorized upon specific request by the
applicant, each station authorized under the rules of this subpart must
employ a directional antenna adjusted with the center of the major lobe
of radiation in the horizontal plane directed toward the receiving
station with which it communicates: provided, however, where a station
communicates with more than one point, a multi- or omni-directional
antenna may be authorized if necessary.
(b) Fixed stations (other than temporary fixed stations) must
employ transmitting and receiving antennas (excluding second receiving
antennas for operations such as space diversity) meeting the
appropriate performance Standard A indicated in the table to this
section, except that in areas not subject to frequency congestion,
antennas meeting performance Standard B may be used. For frequencies
with a Standard B1 and a Standard B2, in order to comply with Standard
B an antenna must fully meet either Standard B1 or Standard B2.
Licensees shall comply with the antenna standards table shown in this
paragraph in the following manner:
(1) With either the maximum beamwidth to 3 dB points requirement or
with the minimum antenna gain requirement; and
(2) With the minimum radiation suppression to angle requirement.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Minimum radiation suppression to angle in degrees from centerline of main beam in
Minimum decibels
Maximum beamwidth to 3 dB antenna ------------------------------------------------------------------------------------
Frequency (MHz) Category points\1\ (included angle gain 10[deg]
in degrees) (dbi) 5[deg] to to 15[deg] to 20[deg] to 30[deg] to 100[deg] to 140[deg] to
10[deg] 15[deg] 20[deg] 30[deg] 100[deg] 140[deg] 180[deg]
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
38,600 to 40,000 \2\.................... A......................... n/a....................... 38 25 29 33 36 42 55 55
B......................... n/a....................... 38 20 24 28 32 35 36 36
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ If a licensee chooses to show compliance using maximum beamwidth to 3 dB points, the beamwidth limit shall apply in both the azimuth and the elevation planes.
\2\ Stations authorized to operate in the 38,600-40,000 MHz band may use antennas other than those meeting the Category A standard. However, the Commission may require the use of higher
performance antennas where interference problems can be resolved by the use of such antennas.
Sec. 30.407 Antenna polarization.
In the 27,500-28,350 MHz band, system operators are permitted to
use any polarization within its service area, but only vertical and/or
horizontal polarization for antennas located within 20 kilometers of
the outermost edge of their service area.
PART 101--FIXED MICROWAVE SERVICES
0
16. The authority citation for part 101 continues to read as follows:
Authority: 47 U.S.C. 154, 303.
Sec. 101.17 [Removed and Reserved]
0
17. Remove and reserve Sec. 101.17.
Sec. 101.56 [Removed and Reserved]
0
18. Remove and reserve Sec. 101.56.
0
19. Section 101.63 is amended by revising paragraph (a) to read as
follows:
Sec. 101.63 Period of construction; certification of completion of
construction.
(a) Each Station, except in Multichannel Video Distribution and
Data Service, Local Multipoint Distribution Service, and the 24 GHz
Service, authorized under this part must be in operation within 18
months from the initial date of grant.
* * * * *
Sec. 101.101 [Amended]
0
20. Section 101.101, the table, is amended by removing the entries
``27,500-28,350'' and ``38,600-40,000.''
0
21. Section 101.103 is amended by revising paragraph (g)(1) and by
removing paragraph (i) as follows:
Sec. 101.103 Frequency coordination procedures.
* * * * *
(g) * * *
(1) When the transmitting facilities in a Basic Trading Area (BTA)
are to be operated in the bands 29,100-29,250 MHz and 31,000-31,300 MHz
and the facilities are located within 20 kilometers of the boundaries
of a BTA, each licensee must complete the frequency coordination
process of
[[Page 79945]]
paragraph (d)(2) of this section with respect to neighboring BTA
licensees that may be affected by its operations prior to initiating
service. In addition, all licensed transmitting facilities operating in
the bands 31,000-31,075 MHz and 31,225-31,300 MHz and located within 20
kilometers of neighboring facilities must complete the frequency
coordination process of paragraph (d)(2) of this section with respect
to such authorized operations before initiating service.
* * * * *
Sec. 101.107 [Amended]
0
22. Section 101.107 is amended by removing the entry ``27,500 to
28,350'' from the table following paragraph (a).
0
23. Section 101.109 is amended by removing the entries ``27,500 to
28,350'' and ``38,600 to 40,000'' in the table following paragraph (c)
and revising footnote 7 to the table.
The revision reads as follows:
Sec. 101.109 Bandwidth.
* * * * *
(c) * * *
\7\ For channel block assignments in the 24,250-25,250 MHz band,
the authorized bandwidth is equivalent to an unpaired channel block
assignment or to either half of a symmetrical paired channel block
assignment. When adjacent channels are aggregated, equipment is
permitted to operate over the full channel block aggregation without
restriction.
* * * * *
Sec. 101.113 [Amended]
0
24. Section 101.113 is amended by removing the entries ``27,500-
28,350'' and ``38,600 to 40,000'' in the table following paragraph (a).
Sec. 101.115 [Amended]
0
25. Section 101.115 is amended by removing the entry ``38,600 to
40,000'' in the table following paragraph (b)(2), removing footnote 14,
and redesignating footnote 15 as footnote 14.
0
26. Section 101.147 is amended by revising the portion of paragraph (a)
preceding the Notes, revising paragraph (t), and removing and reserving
paragraph (v).
The revisions read as follows:
Sec. 101.147 Frequency assignments.
(a) Frequencies in the following bands are available for assignment
for fixed microwave services.
928.0-929.0 MHz (28)
932.0-932.5 MHz (27)
932.5-935 MHz (17)
941.0-941.5 MHz (27)
941.5-944 MHz (17) (18)
952.0-960.0 MHz (28)
1,850-1,990 MHz (20) (22)
2,110-2,130 MHz) (1) (3) (7) (20) (23)
2,130-2,150 MHz (20) (22)
2,160-2,180 MHz (1) (2) (20) (23)
2,180-2,200 MHz (20) (22)
2,450-2,500 MHz (12)
2,650-2,690 MHz
3,700-4,200 MHz (8) (14) (25)
5,925-6,425 MHz (6) (14) (25)
6,425-6,525 MHz (24)
6,525-6.875 MHz (14) (33)
6,875-7,125 MHz (10), (34)
10,550-10,680 MHz (19)
10,700-11,700 MHz (8) (9) (19) (25)
11,700-12,200 MHz (24)
12,200-12,700 MHz (31)
12,700-13,200 (22), (34)
13,200-13,250 MHz (4) (24) (25)
14,200-14,400 MHz (24)
17,700-18,820 MHz (5) (10) (15)
17,700-18,300 MHz (10) (15)
18,820-18,920 MHz (22)
18,300-18,580 MHz (5) (10) (15)
18,580-19,300 MHz (22) (30)
18,920-19,160 MHz (5 (10) (15)
19,160-19,260 MHz (22)
19,260-19,700 MHz (5) (10) (15)
19,300-19,700 MHz (5) (10) (15)
21,200-22,000 MHz (4) (11) (12) (13) (24) (25) (26)
22,000-23,600 MHz (4) (11) (12) (24) (25) (26)
24,250-25,250 MHz
29,100-29,250 MHz (5), (16)
31,000-31,300 MHz (16)
42,000-42,500 MHz
71,000-76,000 MHz (5) (17)
81,000-86,000 MHz (5) (17)
92,000-94,000 MHz (17)
94,100-95,000 MHz (17)
* * * * *
(t) 29,100-29,250; 31,000-31,300 MHz. These frequencies are
available for LMDS systems. Each assignment will be made on a BTA
service area basis, and the assigned spectrum may be subdivided as
desired by the licensee.
* * * * *
Sec. 101.149 [Removed and Reserved]
0
27. Remove and reserve Sec. 101.149.
0
28. Section 101.1005 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 101.1005 Frequencies available.
(a) The following frequencies are available for assignment to LMDS
in two license blocks:
Block A of 300 MHz
29,100-29,250 MHz
31,075-31,225 MHz
Block B of 150 MHz
31,000-31,075 MHz
31,225-31,300 MHz
(b) In Block A licenses, the frequencies are authorized as follows:
(1) 29,100-29,250 MHz is shared on a co-primary basis with feeder
links for non-geostationary orbit Mobile Satellite Service (NGSO/MSS)
systems in the band and is limited to LMDS hub-to-subscriber
transmissions, as provided in Sec. Sec. 25.257 and 101.103(h) of this
chapter.
(2) 31,075-31,225 MHz is authorized on a primary protected basis
and is shared with private microwave point-to-point systems licensed
prior to March 11, 1997, as provided in Sec. 101.103(b).
* * * * *
Subpart N--[Removed and Reserved]
0
29. Remove and reserve subpart N, consisting of Sec. Sec. 101.1201
through 101.1209.
[FR Doc. 2016-25765 Filed 11-10-16; 8:45 am]
BILLING CODE 6712-01-P
