Federal Communications Commission FCC 18-147
Before the
Federal Communications Commission
Washington, D.C. 20554
In the Matter of
Unlicensed Use of the 6 GHz Band
Expanding Flexible Use in Mid-Band Spectrum
Between 3.7 and 24 GHz
)
)
)
)
)
)
ET Docket No. 18-295
GN Docket No. 17-183
NOTICE OF PROPOSED RULEMAKING
Adopted: October 23, 2018 Released: October 24, 2018
Comment Date: 60 days after Federal Register publication
Reply Comment Date: 90 days after Federal Register publication
By the Commission: Chairman Pai and Commissioners O’Rielly, Carr, and Rosenworcel issuing separate
statements.
TABLE OF CONTENTS
Heading Paragraph #
I. INTRODUCTION...................................................................................................................................1
II. BACKGROUND.....................................................................................................................................3
A. The Explosive Demand for Unlicensed Spectrum............................................................................3
B. Incumbent Services in the 6 GHz Band ............................................................................................8
C. Inquiries Regarding Unlicensed Use in the 6 GHz Band................................................................14
III. DISCUSSION........................................................................................................................................19
A. Unlicensed Operation in the U-NII-5 and U-NII-7 Bands..............................................................22
1. Determining Permissible Frequencies of Operation.................................................................25
2. Protecting Fixed Service from Harmful Interference...............................................................37
3. Preventing Aggregate Interference to Operations in the Fixed-Satellite Service.....................55
B. Lower Power Indoor Unlicensed Devices in the U-NII-6 and U-NII-8 Bands ..............................59
C. Other Unlicensed Operation Options..............................................................................................73
D. Technical Rules...............................................................................................................................77
1. Power Limits ............................................................................................................................78
2. Unwanted Emissions Limits.....................................................................................................82
3. Prohibition on use in Moving Vehicles and Drones.................................................................84
E. Additional Mitigation Measures .....................................................................................................86
IV. PROCEDURAL MATTERS.................................................................................................................92
V. ORDERING CLAUSES........................................................................................................................99
Appendix A – Incumbent Analysis
Appendix B – Proposed Rules
Appendix C – Initial Regulatory Flexibility Analysis
Federal Communications Commission FCC 18-147
2
I. INTRODUCTION
1. Today, we propose rules that will promote new opportunities for unlicensed use in
portions of the 1200 megahertz of spectrum in the 5.925-7.125 GHz (6 GHz) band while ensuring that
licensed services operating in the band continue to thrive. Unlicensed devices that employ Wi-Fi and
other unlicensed standards have become indispensable for providing low-cost wireless connectivity in
countless products used by American consumers. The broad spectrum swaths that we propose making
available in this frequency band could promote new technology and services that will advance the
Commission’s efforts to make broadband connectivity available to all Americans, especially those in rural
and underserved areas. The ability of unlicensed devices to use this band may also complement new
licensed 5G services by allowing providers to offer a full range of services to consumers and helping to
secure U.S. leadership in the next generation of wireless services.
2. Recognizing that a variety of incumbent licensed services occupy different portions of the
6 GHz band, we propose tailored rules that will support compatibility of unlicensed operations in each
portion of the band. Our proposals draw from, and are consistent with, the existing technical rules
applicable to Unlicensed National Information Infrastructure (U-NII) devices that already operate in the 5
GHz band.
1
In general, unlicensed devices capable of providing increased Internet connectivity on a low-
cost basis would be permitted to operate in portions of two sub-bands (totaling 850 megahertz of
spectrum), subject to their use of an equipment-based frequency coordination mechanism that would
prevent the unlicensed devices from transmitting on frequencies where such transmissions could cause
harmful interference to incumbent services.
2
Meanwhile, lower powered indoor operations—which we
anticipate will be dominated by devices deployed ubiquitously inside homes and businesses—would be
permitted to operate in two other sub-bands (totaling 350 megahertz of spectrum).
3
Although we seek to
more effectively populate this band with unlicensed uses, we emphasize our commitment to preserve and
protect the important base of incumbent users in these frequency bands.
II. BACKGROUND
A. The Explosive Demand for Unlicensed Spectrum
3. When the Commission first made the 2.4-2.4835 GHz and 5.725-5.850 GHz bands
available for unlicensed use under our Part 15 rules in 1985, few could have anticipated the explosion of
innovation that followed.
4
These bands have become the focal points for wireless standards—such as Wi-
Fi, Bluetooth, and Zigbee—that enable seamless communication among and between countless wireless
devices. Wi-Fi, in particular, has become indispensable for providing high data rate local area network
connections for smart phones, tablets, mobile computers, and other devices to interconnect and access the
Internet. Wi-Fi has also enabled the offloading of data from commercial wireless networks as consumers
increase use of smart phones for applications such as streaming video and gaming, and it has provided a
means for devices throughout the home to wirelessly interconnect. Unlicensed consumer devices such as
cordless phones, video gaming consoles, security systems, home appliances, garage door openers, and
baby monitors have proliferated in these bands since the Part 15 rules were adopted.
4. America’s appetite for wireless broadband connections can seem insatiable. This is
placing high demand on commercial networks as well as systems that rely on unlicensed devices to
1
For a description of these 5 GHz U-NII bands, see Revision of Part 15 of the Commission’s Rules to Permit
Unlicensed National Information Infrastructure (U-NII) Devices in the 5 GHz Band, Notice of Proposed
Rulemaking, 28 FCC Rcd 1769 (2013) (5 GHz U-NII NPRM).
2
These sub-bands are 5.925-6.425 GHz and 6.525-6.875 GHz.
3
These sub-bands are 6.425-6.525 GHz and 6.875-7.125 GHz.
4
Authorization of Spread Spectrum and other Wideband Emissions Not Presently Provided for in the FCC Rules
and Regulations, GN Docket No. 81-413, First Report and Order, 101 FCC 2d 419, 426-27, paras. 24-26 (1985);
Revision of Part 15 of the Rules regarding the operation of radio frequency devices without an individual license,
GN. Docket No. 87-389, First Report and Order, 4 FCC Rcd 3493, 3502, paras. 55-60 (1989).
Federal Communications Commission FCC 18-147
3
deliver data to consumers. According to Cisco, North American mobile traffic, including traffic
offloaded onto unlicensed Wi-Fi devices and small cell networks, grew 44 percent in 2016 and is
projected to grow at a near 35 percent compound annual growth rate through 2021.
5
To address this
demand, the Commission has initiated several rulemaking proceedings to make more spectrum available
for licensed as well as unlicensed usage.
6
5. Unlicensed Wi-Fi wireless routers provide the crucial link between many users’ devices
and the Internet. The worldwide installed base of Wi-Fi devices is 9.5 billion,
7
and 76 percent of North
America broadband households use Wi-Fi routers as their primary connected technology.
8
Most areas
where people gather—restaurants and bars, hotels and shopping centers, and even parks and stadiums—
are now covered by multiple Wi-Fi hotspots.
9
Globally, the number of Wi-Fi hotspots is expected to
grow six-fold by 2021—with more than 200 million expected in North America alone.
10
In addition,
many cable companies and wireless carriers have established networks of Wi-Fi hotspots that give their
customers access to high-speed data connections when away from home.
11
6. Moreover, Ericsson predicts that between 2016 and 2022 the data traffic generated by
smartphones in North America will increase by a factor of six.
12
Global mobile offload traffic comprised
60% of all mobile data traffic in 2016, significantly exceeding cellular traffic, and is expected to rise to
63% by 2021.
13
In addition to Wi-Fi, versions of LTE, the 4G protocol used by wireless carriers, have
also been developed for use on an unlicensed basis and are being used to complement existing licensed
spectrum resources by relieving congestion on commercial mobile networks.
14
5
Cisco Systems Inc., Cisco Visual Networking Index: Global Mobile Data Traffic Forecast Update, 2016-2021 at 4,
18, 33 (Feb. 7, 2017, updated Mar. 28, 2017) https://www.cisco.com/c/en/us/solutions/collateral/service-
provider/visual-networking-index-vni/mobile-white-paper-c11-520862.html (Cisco VNI).
6
See, e.g., Expanding Flexible Use of the 3.7 to 4.2 GHz Band, GN Docket No. 18-122, Order and Notice of Proposed
Rulemaking, FCC 18-91 (July 13, 2018) (3.7-4.2 GHz NPRM); Use of Spectrum Bands Above 24 GHz for Mobile
Radio Services, GN Docket No. 14-177, Third Report and Order, Memorandum Opinion and Order, and Third Further
Notice of Proposed Rulemaking, FCC 18-73 (June 8, 2018); Spectrum Horizons, Notice of Proposed Rulemaking, 33
FCC Rcd 2438 (2018); 5 GHz U-NII NPRM, 28 FCC Rcd 1769.
7
Wi-Fi Alliance, Wi-Fi Alliance Publishes 2018 Wi-Fi Predictions (Jan. 5, 2018), https://www.wi-fi.org/news-
events/newsroom/wi-fi-alliance-publishes-2018-wi-fi-predictions.
8
Security Sales & Integration, Large Majority of Broadband Households Use WiFi as Primary Connection, Study
Finds (Jan. 24, 2018), https://www.securitysales.com/research/majority-broadband-households-wifi-connection/.
9
The Economist, When Wireless Worlds Collide (November 17, 2014), https://www.economist.com/science-and-
technology/2014/11/17/when-wireless-worlds-collide (last visited Oct. 1, 2018).
10
Cisco VNI at 20-21.
11
AT&T, Wi-Fi from AT&T, https://www.att.com/wi-fi/ (last visited Oct. 1, 2018); Xfinity, Xfinity WiFi Hotspot
Overview, https://www.xfinity.com/support/articles/about-xfinity-wifi-internet (last visited Oct. 1, 2018).
12
Ericsson, Future Mobile Data and Traffic Growth, https://www.ericsson.com/en/mobility-report/future-mobile-
data-usage-and-traffic-growth (last visited Oct. 1, 2018).
13
Cisco VNI at 18.
14
Chaim Gutenberg, T-Mobile Rolls Out LTE-U Support in Six Cities (June 26, 2017),
https://www.theverge.com/2017/6/26/15876884/t-mobile-lte-u-support-six-cities-licensed-assisted-access; Monica
Alleven, AT&T more than Halfway to Enabling LAA in 24 Markets this Year (July 23, 2018),
https://www.fiercewireless.com/wireless/at-t-more-than-half-way-to-enabling-laa-24-markets-year; Martha
DeGrasse, Verizon Starts Nationwide LAA Deployment (Aug. 4, 2017),
https://www.rcrwireless.com/20170804/carriers/verizon-starts-nationwide-laa-deployment-tag4.
Federal Communications Commission FCC 18-147
4
7. The expected growth of the Internet of things (IoT) will also place increased demands on
spectrum usage, including by unlicensed devices.
15
IoT devices are expected to include appliances,
machines, meters, wearables, and other consumer electronics.
16
One forecast predicts that there will be
more than 1 billion smart home devices in the U.S. by 2023, and projects that annual spending on
manufacturing IoT solutions will reach $450 billion.
17
Because many IoT devices are expected to be low-
cost devices that intermittently send small amounts data, they are a natural fit for use on an unlicensed
basis. According to Ericsson, there will be more than 15 billion short-range IoT devices by 2022 that will
be designed to use Wi-Fi, Bluetooth, Zigbee, and other unlicensed standards.
18
B. Incumbent Services in the 6 GHz Band
8. The 6 GHz band is exclusive non-federal spectrum and is host to several incumbent
services operating on a primary basis, including fixed point-to-point services, Fixed-Satellite Service
(FSS), Broadcast Auxiliary Service, and Cable Television Relay Service. A query of FCC databases
shows 47,695 unique call signs between 5.925 and 7.125 GHz.
19
Figure 1 below shows the density of
assignments per megahertz in the FCC databases for the terrestrial services (excluding FSS).
20
U-NII-5 U-NII-6 U-NII-7 U-NII-8
Common Carrier
Operational Fixed Service
Local Television Transmissio n Service
Broadcast Auxiliary Service
Cable Television Relay Service
Figure 1. Assignment Density
15
IoT refers to the ever-growing network of physical objects that feature an IP address for Internet connectivity, and
the communication that occurs between these objects and other Internet-enabled devices and systems.
16
Ericsson, The Connected Future: Internet of Things Forecast, https://www.ericsson.com/en/mobility-
report/internet-of-things-forecast (last visited Oct. 1, 2018).
17
Shelagh Dolan, How the Internet of Things will Transform Consumerism, Enterprises, and \Governments over the
Next Five Years https://www.businessinsider.com/7-26-2018-iot-forecast-book-2018-7 (last visited Oct. 1, 2018).
18
Ericsson, The Connected Future: Internet of Things Forecast, https://www.ericsson.com/en/mobility-
report/internet-of-things-forecast (last visited Oct. 1, 2018).
19
Based on query of the Commission’s licensing databases on of June 22, 2018. See Appendix A for a more
detailed list of call signs by service in each sub-band.
20
FSS assignment not shown in this figure. See Table in Appendix A for number of FSS call signs.
Federal Communications Commission FCC 18-147
5
9. The fixed service is used for highly reliable point-to-point microwave links that support a
variety of critical services such as public safety (including backhaul for police and fire vehicle dispatch),
coordination of railroad train movements, control of natural gas and oil pipelines, management of electric
grids, long-distance telephone service, and backhaul for commercial wireless providers such as traffic
between commercial wireless base stations and wireline networks.
21
The 5.925-6.425 GHz (U-NII-5) and
6.525-6.875 GHz (U-NII-7) bands are the most heavily used by the common carrier fixed point-to-point
microwave service and private operational fixed point-to-point microwave service.
22
In the 6.875-7.125
GHz (U-NII-8) band, fixed service links are restricted from intersecting with the service areas of
television pick up stations which effectively limits the use of the band by common carrier and operational
fixed point-to-point microwave services.
23
10. The Broadcast Auxiliary Service and the Local Television Transmission Service are
licensed under Part 74 and Part 101.
24
Broadcast Auxiliary Service television pick-up stations typically
operate under the mobile allocations in the 6.425-6.525 GHz (U-NII-6) and 6.875-7.125 GHz (U-NII-8)
bands. Television pick-up stations are used to transmit programming material from special events or
remote locations, including electronic news gathering, back to the studio or other central receive
locations.
25
Transmitters in the television pick-up service are often licensed to operate over an area
defined by a point-radius or other wide-area basis (including nationwide) and across the entire frequency
band to allow maximum flexibility for coordination and sharing the spectrum among multiple licensees in
any given area.
26
Broadcast related services, such as television studio transmitter links, television inter-
city relay links, and television translator relay links, operated in the U-NII-8 band, are primarily one-way
(not duplex) point-to-point links.
27
Additionally, the Low Power Auxiliary Station service is authorized
in the U-NII-8 band and these licensed stations are used for wireless microphones, cues, and backstage
communications.
28
Local television transmission service stations can be authorized to provide fixed links
on a common carrier basis under Part 101 in the U-NII-5, U-NII-6, and U-NII-8 sub-bands, either on a
permanent or temporary fixed basis; or mobile service on a common carrier basis in the U-NII-6 band.
Often licenses in the local television transmission service authorize temporary-fixed or mobile operation
across the entire sub-band for large areas of operation to facilitate flexibility in coordinating operations.
29
11. The Cable Television Relay Service operates under Part 78 rules with similar uses and
technical requirements as Broadcast Auxiliary Service. Cable Television Relay Service links are licensed
in the U-NII-6 and U-NII-8 bands and are often licensed for the entire frequency range to facilitate local
21
See CTIA Reply Comments at 7; Fixed Wireless Communications Coalition Comments at 3.
22
See Appendix A.
23
47 CFR § 101.147(a) (Note 34).
24
See 47 CRF §§ 74.602(i), 101.147(j),101.803(a).
25
See 47 CFR § 74.631. Airborne television pick-up stations should use the 7.075-7.125 GHz band wherever
possible. 47 CFR § 2.106 footnote NG 172.
26
47 CFR § 74.631 and review of ULS TV pickup license frequencies and areas of operation.
27
47 CFR § 74.631 and review of ULS TV Studio Transmitter (TS), TV Intercity Relay (TI), and TV Translator
Relay (TT) licenses.
28
Wireless microphone users may operate on a licensed basis under Part 74 in the 6875-7125 MHz band, where
eligibility is limited to broadcasters, broadcast network entities, and large venue owners/operators or professional
sound companies that routinely operate 50 or more wireless microphones for major events/productions. See
Promoting Spectrum Access for Wireless Microphone Operations, Report & Order 30 FCC Rcd 8739, 8789-90,
paras. 131-132 (2015).
29
Per review of ULS Local Television Transmission Service license frequencies and area of operation.
Federal Communications Commission FCC 18-147
6
coordination during special events.
30
Cable Television Relay Service links operate similar to television
pick-up service links with fixed or mobile transmitters located at special events used to transmit video and
audio back to a receive point.
31
12. FSS earth stations and space stations are licensed under the Part 25 rules in the Earth-to-
space direction across all four sub-bands, except for the 150 megahertz at the top of the U-NII-8 band.
32
FSS operations are heaviest in the U-NII-5 band, which is paired with the 3.7-4.2 GHz space-to-Earth
frequency band to comprise the “conventional C-band.” Predominant FSS uses of these frequencies
include content distribution to television and radio broadcasters, including transportable antennas to cover
live news and sports events, cable television and small master antenna systems, and backhaul of telephone
and data traffic.
33
The 7.025-7.075 GHz portion of the U-NII-8 band also hosts feeder uplinks to satellite
digital audio radio service space stations. Additionally, a space-to-Earth allocation exists in portions of
the U-NII-7 and U-NII-8 bands for mobile-satellite service (MSS) feeder links between 6.700 and 7.075
GHz. However, in the 7.025-7.075 GHz band this allocation is limited to three grandfathered locations.
34
13. There are existing provisions in Part 15 across the U-NII-5, U-NII-6, U-NII-7, and U-
NII-8 bands for unlicensed wideband systems such as sensor/tag systems used for the real-time location
of objects under Section 15.250.
35
In addition ultra-wideband systems are permitted in these bands under
Part 15 Subpart F.
36
All Part 15 devices/systems operate on a non-interference basis,
37
including devices
that will operate under the proposals we make herein.
C. Inquiries Regarding Unlicensed Use in the 6 GHz Band
14. In the 2017 Mid-Band NOI, the Commission began an evaluation of whether spectrum
between 3.7 and 24 GHz can be made available for wireless broadband services, including unlicensed use
in the 6 GHz band.
38
The Commission noted the 5.925-6.425 GHz band’s proximity to spectrum
designated for U-NII use and stated that it might be possible and technically beneficial for U-NII devices
to also operate in this band.
39
Observing that such use could permit unlicensed devices to operate with
30
Per review of Cable Television Relay Service licenses in COALS database.
31
47 CFR § 78.11.
32
47 CFR § 2.106.
33
The Commission adopted a Notice of Proposed Rulemaking in July 2018, to identify potential opportunities for
additional terrestrial use of the 3.7-4.2 band. Expanding Flexible Use of the 3.7 to 4.2 GHz Band, GN Docket No. 18-
122, Order and Notice of Proposed Rulemaking, FCC 18-91 (July 13, 2018). The outcome of that NPRM may impact
the use of the paired spectrum in the 5.925-6.425 GHz U-NII-5 band for Earth-to-space transmission.
34
47 CFR § 2.106 footnotes NG172 and 5.458B. The space-to-Earth allocation is limited to use by non-
geostationary mobile-satellite service feeder links and earth stations receiving in this band are limited to locations
within 300 m of coordinates in Brewster, WA, Clifton, TX, and Finca Pascual, PR.
35
47 CFR § 15.250.
36
47 CFR pt. 15 subpt. F. For both the wideband and ultra-wideband systems permitted under the unlicensed rules,
the maximum EIRP allowed is – 41.3 dBm/MHz except for certain vehicular radar systems which are restricted to
an EIRP of – 61.3 dBm/MHz. See 47 CFR § 15.250 and Subpart F.
37
47 CFR § 15.5(b).
38
Expanding Flexible Use in Mid-Band Spectrum Between 3.7 and 24 GHz, Notice of Inquiry, 32 FCC Rcd 6373
(2017) (Mid-Band NOI). Given that ET Docket 18-295 focuses on potential unlicensed use of the 6 GHz band, with
the issuance of the instant Notice of Proposed Rulemaking, we limit the scope of the Mid-Band NOI docket, GN
Docket No. 17-183 to exclude further consideration in that Docket of the potential uses of 6 GHz band. We
incorporate into this proceeding those filings to date in GN Docket No. 17-183 that relate to the 6 GHz band.
39
Mid-Band NOI, 32 FCC Rcd at 6382, para. 26. U-NII devices are unlicensed devices that currently operate in the
5.15-5.35 GHz, 5.47-5.725 GHz, and 5.725-5.85 GHz bands under the Part 15 rules. 47 CFR §§ 15.401-407. Like
all unlicensed devices, U-NII equipment operates on a non-interference basis—that is, it shall not cause, nor claim
Federal Communications Commission FCC 18-147
7
wider channel bandwidths and higher data rates with increased flexibility,
40
the Commission asked if
unlicensed use either under the U-NII framework or under other provisions could be implemented within
the 5.925-6.425 GHz band under the Part 15 rules.
41
The Mid-Band NOI noted that unlicensed devices
would need to protect the existing licensed services in the band and identified fixed service and FSS
(Earth-to-space) operations as heavy users of the band.
42
The Commission also asked if the band would
be suitable for licensed fixed and mobile wireless broadband services.
43
15. In the 6.425-7.125 GHz band, the Commission noted the wide range of incumbent
users—including fixed service, FSS, and fixed and mobile broadcast auxiliary services—in various
subsets of the band and sought comment on the potential for more intensive fixed or mobile use of the
band.
44
The Commission also asked whether the 6.425-7.125 GHz band, or specific subsets of this band,
would be a viable expansion opportunity for U-NII or other unlicensed operations.
45
16. In response to the Mid-Band NOI, many commenters supported expanding use of the 6
GHz band to allow new unlicensed uses.
46
Nevertheless, filers representing incumbent interests
uniformly emphasized the need to protect those incumbent operations, with individual filers expressing
differing levels of optimism as to whether successful sharing mechanisms could be established.
47
Responding to the idea that new fixed and mobile licensed services might be introduced into the band by
relocating incumbent users, many parties emphasized the need to continue their existing use of the band
and claimed that they lacked practical relocation options.
48
17. Parties have since continued to discuss the 6 GHz band and have filed numerous ex parte
presentations—many with detailed technical evaluations—that evidence a good-faith effort to work
toward finding areas of potential agreement on accommodating shared use.
49
Commenters have also
refined their proposals for how the band can be used. For example, in response to the concerns expressed
by fixed wireless incumbent users, a group of companies that initially filed joint reply comments
supporting expanded unlicensed use of the band have continued to work together, modifying their original
position seeking unlicensed use throughout the band without restriction to a more nuanced position that
would require automated frequency coordination (AFC) for all outdoor and some indoor devices.
50
In
(Continued from previous page)
protection from, harmful interference, vis-à-vis allocated radio services and authorized users. 47 C.F.R § 15.5(b)-
(c).
40
Mid-Band NOI, 32 FCC Rcd at 6382, para. 26.
41
Id. at 6382-83, para. 29.
42
Id. at 6381-82, paras. 24-25, 29-30.
43
Id. at 6383-84, para. 31.
44
Id. at 6384-85, paras. 32-36.
45
Id.
46
Wi-Fi Alliance Comments at 6; Wireless Broadband Alliance Comments at 13; Dynamic Spectrum Alliance
Comments at 10; Broadcom Comments at 9.
47
A handful of filers, most notably those representing fixed services in the public safety and critical infrastructure
fields, did not support any expanded unlicensed use in the bands where they currently operate. See Alliance of
Automobile Manufacturers Comments at 1; Fixed Wireless Communications Coalition Comments at 14; National
Public Safety Telecommunications Council Comments at 9.
48
Association of American Railroads Reply at 2; Fixed Wireless Communications Coalition Comments at 2.
49
Apple Inc., Broadcom Corporation, et al. Jan. 25, 2018 Ex Parte, at 53-54 (RKF Technical Study); Fixed Wireless
Communications Coalition Mar. 13, 2018 Ex Parte at 16.
50
In reply comments, a group of several companies—which included Apple, Broadcom, Cisco Systems, Facebook,
Google, Hewlett Packard Enterprise, Intel, Mediatek, Microsoft, and Qualcomm—was created. Apple Inc.,
Broadcom Limited, et al. Reply Comments. Companies in this group continued to file joint comments in this
Federal Communications Commission FCC 18-147
8
response, a lead group representing fixed microwave incumbents, the Fixed Wireless Communications
Coalition (FWCC), appears to be more open to the possibility of finding successful shared use
mechanisms in the band than it had been.
51
18. Congress also recently addressed the pressing need for additional spectrum for wireless
broadband, including both mobile and fixed services, in the FY 2018 omnibus spending bill, which
includes the MOBILE NOW Act under Title VI of RAY BAUM’S Act.
52
The MOBILE NOW Act
directs the FCC and the National Telecommunications and Information Administration (NTIA) to identify
additional spectrum for wireless broadband,
53
which will help maintain America’s leadership in
communications services. More specifically, Section 603(a)(1) of the MOBILE NOW Act requires that
no later than December 31, 2022, the Secretary of Commerce, working through NTIA, and the
Commission “shall identify a total of at least 255 megahertz of Federal and non-Federal spectrum for
mobile and fixed wireless broadband use.”
54
Of this amount, at least “100 megahertz below the frequency
of 8000 megahertz shall be identified for use on an unlicensed basis”; at least “100 megahertz below the
frequency of 6000 megahertz shall be identified for use on an exclusive, licensed basis for commercial
mobile use,” subject to certain conditions; and at least “55 megahertz below the frequency of 8000
megahertz shall be identified for use on either a licensed or unlicensed basis, or a combination of licensed
and unlicensed.”
55
III. DISCUSSION
19. We propose to expand unlicensed use in both the 5.925-6.425 GHz and 6.425-7.125 GHz
bands, which together constitute the 6 GHz band. We focus on unlicensed use due to the band’s
proximity to the U-NII bands, which have hosted extensive unlicensed device innovation and deployment.
The rules we are proposing are intended to provide an opportunity for devices such as smartphones, Wi-Fi
routers, and IoT devices to be economically designed to operate across both the 6 GHz and U-NII bands.
We are encouraged by the fact that the 6 GHz band shares virtually identical propagation properties to the
U-NII bands, which have proven suitable for many unlicensed applications. Furthermore, devices that
employ newer standards that use wider bandwidths and provide higher data rates are well poised to make
use of expanded spectrum for unlicensed devices to deliver broadband services to the American public.
56
20. The new unlicensed use opportunities we propose are designed to protect important
incumbent licensed services that operate (and continue to grow) in various sub-bands of this spectrum.
Under the proposed rules, we believe that unlicensed use of the band will be compatible with these
incumbent licensed services. To do this, we propose dividing the 6 GHz band into four sub-bands, each
(Continued from previous page)
proceeding, though over time the particular composition of companies jointly filing ex parte comments changed at
times (including certain additional companies while excluding others). Compare Apple Inc., Broadcom
Corporation, et al. Jan. 25, 2018 Ex Parte, at 53-54 (RKF Technical Study) and; Apple Inc., Broadcom Corporation,
et al. Jan. 26, 2018 Ex Parte with Apple Inc., Broadcom Inc., et al. June 15, 2018 Ex Parte, at 3.
51
FWCC July 17, 2018 Ex Parte, at 5.
52
See Consolidated Appropriations Act, 2018, P.L. 115-141, Division P, the Repack Airwaves Yielding Better
Access for Users of Modern Services (RAY BAUM’S) Act. Title VI of the RAY BAUM’S Act is the Making
Opportunities for Broadband Investment and Limiting Excessive and Needless Obstacles to Wireless Act or
MOBILE NOW Act (Act). Id.
53
Id. § 603(a)(1).
54
Id. § 603(a)(1).
55
Id. § 603(a)(2).
56
IEEE Std 802.11™-2016, IEEE Standard for Information technology— Telecommunications and information
exchange between systems Local and metropolitan area networks— Specific requirements Part 11: Wireless LAN
Medium Access Control (MAC) and Physical Layer (PHY) Specifications, IEEE December 2016, at 661; Afaqui et
al., IEEE 802.11ax: Challenges and Requirements for Future High Efficiency WiFi, IEEE Wireless
Communications, June 2017, at 133, 136.
Federal Communications Commission FCC 18-147
9
based on the prevalence and characteristics of the incumbent services that operate in that spectrum. The
5.925-6.425 GHz and 6.525-6.875 GHz sub-bands of the 6 GHz band (totaling 850 megahertz) are
heavily used by point-to-point microwave links, including critical links that must maintain a high level of
availability. In these parts of the 6 GHz band, we propose to permit only “standard-power access
points”—using power levels permitted for unlicensed use in the U-NII-1 and U-NII-3 bands
57
—to operate
only on frequencies determined by an AFC system. Other portions of the 6 GHz band, specifically the
6.425-6.525 GHz and 6.875-7.125 GHz sub-bands (totaling 350 megahertz), are used by mobile stations
where the locations of the incumbent receivers are not necessarily known or cannot be easily determined
from existing databases. Because the lack of location information on mobile stations makes an AFC
approach impractical, we propose to allow only indoor “low-power access point” operation in these sub-
bands—using lower, more restricted power levels applicable to operations in the U-NII-2 band.
58
We also
propose to permit client devices
59
to operate across the entire 6 GHz band while under the control of
either a standard-power access point or a low-power access point.
60
Our proposals seek to create an
enhanced ecosystem of unlicensed use in the 6 GHz band and the nearby U-NII bands while protecting
the licensed services that operate in the 6 GHz band. We tentatively conclude that this two-class
approach can expand unlicensed use without causing harmful interference to the incumbent services that
will continue to be authorized to use this spectrum.
21. The two-class approach provides options that accommodate the varied needs and use
cases expressed by the community of unlicensed users.
61
Permitting both outdoor and indoor use will
allow users, regardless of location, to off-load data from smartphones, laptops, and other mobile devices,
freeing up capacity of commercial wireless systems for applications more suitable for licensed systems.
We anticipate that cable companies and commercial entities will use standard-power access points to
deploy outdoor high-power Wi-Fi access points or to deploy variants of LTE to expand their capacity
where needed. Similarly, stadiums, convention centers, shopping malls, or other facilities could install
standard-power access points to provide wireless access to consumers. Conversely, low-power access
points will be ideal for use in residences and businesses for lower power Wi-Fi and other low power
unlicensed uses. Client devices will be allowed to connect with both standard-power access points and
low-power access points and permitted to operate across the entire band which should encourage the
widespread availability of client devices.
62
In addition, the low entry barriers associated with unlicensed
use provide flexibility for innovators to design and deploy new types of devices, applications and services
to meet the public’s evolving needs. Our proposed framework for the 6 GHz band is summarized in the
table below:
Band (GHz)
Primary
Allocations
Reference used
57
The U-NII-1 band is the 5.15-5.25 GHz band, while the U-NII-3 band is the 5.725-5.85 GHz band. Revision of
Part 15 of the Commission’s Rules to Permit Unlicensed National Information Infrastructure (U-NII) Devices in the 5
GHz Band, First Report and Order, 29 FCC Rcd 4127, 4128-4129, para. 4 (2014).
58
The U-NII-2 bands include the 5.25-5.35 GHz (U-NII-2A) and 5.47-5.725 GHz (U-NII-2C) bands. Id.
59
A U-NII device whose transmissions are generally under the control of an access point and that is not capable of
initiating a network. See 47 CFR § 15.403(g) of the proposed rules.
60
See discussion infra paras. 53-54, 71 (seeking comment on proposals to prevent client devices from causing
harmful interference to incumbent licensed operations).
61
Apple, Broadcom, et al. Jan. 25, 2018 Ex Parte (RKF Technical Study) at 18 includes both indoor and outdoor
access points.
62
While our proposal will permit client devices to operate across the entire 6 GHz band, it will not require that they
have this capability.
Federal Communications Commission FCC 18-147
10
in this NPRM
63
5.925-6.425
Fixed Service
FSS
U-NII-5
6.425-6.525
Mobile Service
FSS
U-NII-6
6.525-6.875
Fixed Service
FSS
U-NII-7
6.875-7.125
Fixed Service
Mobile Service
FSS
64
U-NII-8
A. Unlicensed Operation in the U-NII-5 and U-NII-7 Bands
22. We propose to make the 5.925-6.425 GHz and 6.525-6.875 GHz bands, referenced herein
as the U-NII-5 and U-NII-7 bands respectively, available for unlicensed operations under rules consistent
with the existing rules for unlicensed device operations in the nearby U-NII-1 and U-NII-3 bands (5.150-
5.250 GHz and 5.725-5.850 GHz bands, respectively). Under this proposal, the power levels permitted
for the standard-power access points would be the same as the power levels already permitted for
unlicensed device operations in the nearby U-NII-1 and U-NII-3 bands. The U-NII-5 and U-NII-7 bands
are heavily used for point-to-point fixed links, which support a variety of critical services. The U-NII-5
and U-NII-7 frequencies are also allocated to the fixed-satellite service. The framework we are proposing
today seeks to balance the incumbents’ concerns for reliable fixed service or fixed-satellite service links
and the increasing need for spectrum for innovative use.
23. The proposed framework for U-NII-5 and U-NII-7 prohibits unlicensed devices from
operating co-channel with any fixed link within that link’s defined exclusion zone. Thus, for example, if
a fixed service receiver is receiving a specific channel, then unlicensed devices operating in the defined
exclusion zone of this receiver must use a different channel. We seek comment on this proposal. Similar
to the licensing of new fixed links, which require frequency coordination to protect existing links,
65
we
propose to implement a frequency coordination process for unlicensed devices in these bands to ensure
that these new unlicensed devices do not cause harmful interference to fixed service incumbents. As with
the procedures we have adopted for other shared-use bands, such as white spaces and the Citizens
Broadband Radio Service, this process would be automated.
66
Prior to operating in these bands, a
standard-power access point
67
would determine or receive a list of permissible operating frequencies and
restrict operation to those frequencies. Similarly, client devices
68
would have to obtain a list of
permissible operating frequencies from a standard-power access point and restrict operation to those
63
For convenience, in the following discussion we refer to these four sub-bands as numbered U-NII bands
consistent with the filings of Apple Inc., Broadcom Ltd., et al. and the Wi-Fi Alliance. Apple Inc., Broadcom Ltd.,
et al. Comments at 16; Wi-Fi Alliance Reply at 12.
64
There is no FSS allocation in the 7.075-7.125 GHz portion of the band.
65
47 CFR § 101.103.
66
White space and Citizens Broadband Radio Service devices are required to access a database system that
determines the available frequencies at a device’s location prior to operation. 47 CFR §§ 15.711(c)(2), 96.39(c)
96.59(a). A device may transmit only on frequencies that the database system indicates are available for use. Id.
The proposed requirements for the AFC system are discussed below.
67
47 CFR § 15.403(a).
68
A U-NII device whose transmissions are under the control of an access point and that is not capable of initiating a
network. See 47 CFR § 15.403(g) of the proposed rules.
Federal Communications Commission FCC 18-147
11
frequencies. We seek comment on this proposal. Are there any alternative methods to ensure protection
of incumbent services? What are the costs and benefits of any proposed alternative?
24. Additionally, we tentatively conclude that a similar coordination process is not needed to
protect incumbent FSS operations because incumbent operations are limited to Earth-to-space
transmissions in the 6 GHz band. As such, any interference from unlicensed devices would be
experienced at the space station receivers and the particular location of the standard-power access point
would in most case have a negligible effect. Since there will be no interference to FSS earth stations, they
would not be considered by the AFC system. We seek comment on this proposal and on whether there
would be any benefits in including satellite earth station information in the AFC system at this time.
69
1. Determining Permissible Frequencies of Operation
25. To determine whether an individual unlicensed device can transmit at a particular
location on a given frequency, we propose that standard-power access points be required to obtain a list of
permissible frequencies from an AFC system prior to transmitting or a list of prohibited frequencies in
which it cannot transmit. We envision the AFC system to be a simple database that is easy to implement.
We seek comment on this proposal. What capabilities should be incorporated into the AFC system?
Should it be a centralized model where all data and computations are in a central location or the cloud? In
this case, the standard-power access point will establish a connection with the AFC system, provide its
location and technical details, and the AFC system will communicate the list of permissible frequencies
(or a list of prohibited frequencies) back to the standard-power access point. Or should the AFC system’s
architecture be a de-centralized model where the standard-power access point maintains a local database
and performs the necessary computations to determine which frequencies are permissible? Under such a
model, how would the local database within the standard-power access point be kept up to date? What
are the trade-offs, including the costs and benefits, between a centralized versus a decentralized model in
terms of efficiency, device complexity, and ability to protect fixed service stations?
26. Determining Available Frequencies. Should the AFC system determine frequency
availability using the maximum permissible power for a standard-power access point, or should it
determine frequency availability at power levels less than the maximum, and calculate a list of available
frequencies and the maximum power permitted on each one?
70
If the AFC system calculates the
maximum power for each frequency, how would it control the power levels of standard-power access
points to ensure that they operate at permissible levels? How should frequency availability information
be reported to standard-power access points? Should the AFC system report availability for discrete
frequency bands, e.g., 10 or 20 megahertz channels, or should it simply report the range or ranges of
available frequencies? Alternatively, should the AFC simply list the range or ranges of unavailable
frequencies?
27. Device Registration. Under a registration requirement, a standard-power access point
would transmit identifying information along with its location to the AFC system before receiving a list
of permissible channels.
71
Alternatively, a device under a centralized system architecture could provide
only its location data and the AFC system would provide it with the list of permissible channels for that
location. Under a decentralized system architecture, registration is not necessarily required as the device
only needs periodic updates of the local fixed service operating environment.
69
For example, we note that this information could potentially be used to inform standard-power access point when
they are near an FSS transmitting earth station and might be subject to interference from the earth station.
70
The white space database system determines the list of available channels and the maximum power permitted on
each one at a device’s location. 47 CFR §§ 15.711(c)(2)(i)-(ii), 15.715(e).
71
Fixed white space devices and Citizens Broadband Radio Service Devices are required to register certain
information with the white space database or Spectrum Access System, including the device’s location, antenna
height above ground, device identification information, and contact information for the device’s operator. 47 CFR
§§ 15.713(g), 96.39(c).
Federal Communications Commission FCC 18-147
12
28. We seek comment on whether device registration in the AFC database is necessary.
What are the advantages and disadvantages of each approach? Would a registration requirement increase
cost or complicate design and operations of devices and the AFC? Would a registration requirement be
beneficial for determining the source if a fixed service station were to experience harmful interference? If
device registration is required, what information should be provided? Should the information be limited
to a device identifier, location, and some basic technical information? Or should device ownership data
and contact information also be required? We also seek comment on how registration information should
be entered into the AFC system. Should it be entered manually by a person, such as a professional
installer or the equipment user, or should we require automated entry of some or all of the information?
We additionally seek comment on whether there are methods that can be used when a device registers
and/or operates to verify its location and operating parameters. For example, could a two-step
verification process be used such that registrants must certify as to the accuracy of the information entered
into the AFC system?
29. Updating frequency availability information. We recognize that, because licensed use of
these bands is not static, the AFC system must be designed to ensure that unlicensed operations protect
new and modified licensed operations. Although the incumbent services in the bands where we are
proposing to allow unlicensed standard-power access point operation are at fixed locations, the addition
of new links or receive sites and changes to the frequency band of operation, receiver location, antenna
type/directivity, and similar technical parameters will impact the list of frequencies the AFC system
provides to standard-power access points.
30. We propose to adopt a requirement that devices periodically verify whether frequency
availability has changed. Is a periodic re-check interval the most appropriate method to determine
changes in frequency availability information and, if so, what should the maximum permissible interval
for verifying frequency availability be? Would an alternative method be more appropriate, such as
requiring the AFC system to have the capability to direct devices to change frequencies? Should we
adopt a general performance rule instead of specifying a particular re-verification mechanism? We also
seek comment on what should happen when a device and the AFC system are temporarily unable to
communicate during the frequency re-verification/update process. Should we, for example, allow the
device to temporarily continue operating for a period before requiring it to cease operations?
31. Security Requirements. We seek comment on the types of security requirements that
would be necessary for standard-power access points in the U-NII-5 and U-NII-7 bands to ensure that the
interference mitigation regime is not thwarted. White space devices and databases, as well as Citizens
Broadband Radio Service Devices and the Spectrum Access System, are required to incorporate security
measures to ensure that devices communicate only with authorized databases, that all communications
and interactions between a database and devices are accurate and secure, and that unauthorized parties
cannot access or alter a database or the list of available frequencies sent to a device.
72
They are also
subject to requirements that communications between devices and the database, and between different
databases, must be secure to prevent corruption or unauthorized interception of data, and that databases be
protected from unauthorized data input or alteration of stored data.
73
32. Are similar requirements necessary or appropriate for devices and the AFC in the U-NII-
5 and U-NII-7 bands? Are any additional requirements necessary? Do we need to specify security
requirements for devices to ensure that the software within them cannot be easily modified to enable
operation on frequencies other than those indicated as available by the AFC system?
74
33. AFC System Operators. We propose that the Commission designate multiple entities to
72
47 CFR §§ 15.711(j), 96.61.
73
Id. §§ 15.711(j)(1), 96.61(b).
74
47 CFR § 15.407(i).
Federal Communications Commission FCC 18-147
13
operate AFC systems.
75
We seek comment on this proposal. Should we require that devices have the
capability to communicate with all AFC systems or should they only be required to have the capability to
communicate with a subset of the designated AFC systems? For example, should a manufacturer be
allowed to operate an AFC system that serves only devices that it produces? Should we allow the
functions of an AFC system, such as a data repository, registration, and query services, to be divided
among multiple entities, or should we require all functions of a single AFC system to be performed by a
single entity? Can each AFC system operate autonomously or is there a need for them to communicate
any information with each other? If so, what information would need to be exchanged? Given the
potential complexity of multiple AFC system operators needing to coordinate, should the Commission
instead designate only a single AFC system operator?
34. AFC System Certification. We seek comment on the procedures that should be used to
test and validate the capabilities of the AFC and to designate AFC system operators. For example, should
we follow procedures similar to those the Office of Engineering and Technology (OET) used for
designating white space database administrators?
76
If not, what certification procedure should be
implemented? Additionally, we note that parties have suggested that a multi-stakeholder group could
administer AFC system requirements and standards through interaction with AFC system operators.
77
We
seek comment on this suggestion, and on the appropriate mechanism for ensuring Commission oversight
of such a multi-stakeholder group.
35. AFC System Operator Requirements. We propose that an AFC system operator be
required to serve for a five-year term which can be renewed by the Commission based on performance
during the operating term. We also propose that if an AFC system ceases operation, it provides a
minimum of 30-days’ notice to the Commission and it transfer its registration data, if registration is
required, to another AFC system operator. We seek comments on these proposals. Are there other
functions an AFC system operator should be required to perform?
36. Fees. We propose that an AFC system operator be permitted to charge a fee for
providing registration and channel availability functions. We note that fees could be charged on a
transaction basis every time a device is registered or receives an update from an AFC system. We also
75
We note that the Commission has designated multiple entities to operate white space databases and has solicited
applications for multiple entities to operate Spectrum Access Systems in the Citizens Broadband Radio Service.
Office of Engineering and Technology Announces the Approval of Nominent UK’s White Space Database System for
Operation, Public Notice, DA 18-966 (Sept. 19, 2018); Office of Engineering and Technology Announces the
Approval of LStelcom AG’s TV Bands Database System for Operation, Public Notice, 29 FCC Rcd 11687 (2014);
Office of Engineering and Technology Announces the Approval of Google, Inc.’s TV Bands Database System for
Operation, Public Notice, 29 FCC Rcd 10586 (2014); Wireless Telecommunications Bureau and Office of
Engineering and Technology Establish Procedure and Deadline for Filing Spectrum Access System (SAS)
Administrator(s) and Environmental Sensing Capability (ESC) Operator(s) Applications, Public Notice, 30 FCC
Rcd 14170 (2015).
76
In that designation process, OET issued a public notice inviting interested entities to apply and requesting that
each applicant address how the basic components of a database would be implemented. Office of Engineering and
Technology Invites Proposals from Entities Seeking to be Designated TV Band Device Database Managers, Public
Notice, 24 FCC Rcd 14136 (OET 2009). After determining that the submitted database proposals met the
requirements of the rules, OET conditionally designated the applicants as database administrators, subject to a
requirement that each make a test database available for OET inspection, followed by a 45-day public trial of each
database before giving an administrator final approval to operate. Unlicensed Operation in the TV Broadcast Bands
and Additional Spectrum for Unlicensed Devices Below 900 MHz and in the 3 GHz Band, Order, 26 FCC Rcd 554
(2011).
77
Apple Inc., Broadcom Inc., et al. Aug. 2, 2018 Ex Parte, at 3. We also note that the white space database
providers formed their own multi-stakeholder group – the White Space Database Administrators Group and for
Citizens Broadband Radio Service, the Winnforum Spectrum Sharing Committee brought all stakeholders together
to develop standards, operating procedures and testing requirements. See, e.g.,
https://www.cbrs.wirelessinnovation.org/.
Federal Communications Commission FCC 18-147
14
note that device manufacturers or a trade association could fund an AFC system as part of its business and
that no individual transaction fees would be charged. We propose that any of these methods be permitted.
Are there other funding mechanisms for AFC systems that should be permitted? What are the costs and
benefits of each type of proposed funding mechanism?
2. Protecting Fixed Service from Harmful Interference
37. In general, fixed services use highly directional antennas where the energy transmitted
and received is concentrated in a particular direction.
78
This directionality is used as the basis for sharing
between different fixed service links and between fixed service links and FSS earth stations, as the
required separation distance between co-channel transmitters of one system and receivers of another
system or service can be greatly diminished when the antennas are not pointed toward each other.
79
This
relationship suggests that unlicensed devices need only be excluded from a zone determined by the fixed
service receive antenna pattern and the EIRP of the unlicensed device.
80
Using those parameters along
with an appropriate propagation model would allow an AFC system to determine an exclusion zone, an
area inside of which unlicensed devices would not be able to operate co-channel with fixed service
systems. The size of the exclusion zone would be based on the specific interference protection criteria
used.
38. Fixed Services and Broadcast Auxiliary Services in ULS.—The ULS is the consolidated
database, application filing system, and processing system for all Wireless Radio Services, including the
Fixed Microwave Services.
81
The ULS contains extensive technical data for site-based licenses including
transmitter and receiver locations, frequencies, bandwidths, polarizations, transmitter EIRP, antenna
height, and the make and model of the antenna and equipment used.
82
39. We propose that the AFC system use data from ULS to facilitate access by unlicensed
devices in the bands that are used for fixed service.
83
We recognize that aside from some validations ULS
performs on submitted applications, licensees’ technical data is not independently verified, and the
accuracy and precision of the data contained within ULS is therefore only as good as the information
supplied by licensees.
84
Nevertheless, we also do not believe it is necessary to propose a mandatory
requirement on information collections that were previously voluntary in order to increase the efficacy of
the AFC system.
85
Rather, we believe that licensees have significant incentives to maintain the continued
78
47 CFR § 101.115 (b); see https://en.wikipedia.org/wiki/Directional_antenna.
79
FWCC March 13, 2018 Ex Parte, at 23. As shown in equation one, the sidelobe rejection term reduces the
interference power, leading to a shorter separation distance.
80
FWCC March 13, 2018 Ex Parte, at 23.
81
47 CFR § 1.907 (definition of Universal Licensing System). Wireless Radio Services refers to all radio services
authorized in parts 13, 20, 22, 24, 26, 27, 74, 80, 87, 90, 95, 97 and 101 of this chapter, whether commercial or
private in nature. 47 CFR § 1.907 (definition of Wireless Radio Services).
82
See 47 CFR § 101.21.
83
Proposed rule section 15.407(k)(2) uses the term “Commission databases” rather than “ULS” to avoid the use of a
specific database name that could possibly be changed in the future. This is consistent with the white space and
CBRS rules. 47 CFR §§ 15.715(b), 96.63(b).
84
For example, among other things, ULS will validate certain parameters to ensure that they are within certain pre-
determined acceptable ranges; will verify that geographic coordinates are within the boundaries of the county and
state identified for a station location; and will ensure that certain relative data fields (e.g., azimuth) coincide with
other data provided on the application (e.g., geographic coordinates).
85
When the Commission has imported data from other licensing systems, it requested that licensees review the
authorizations and report any discrepancies on a voluntary basis. See, e.g., Wireless Telecommunications Bureau
Makes Broadcast Auxiliary Radio Station License Databases Available for Review Prior to ULS Implementation,
Public Notice (WTB rel. May 7, 1999); Wireless Telecommunications Bureau Makes Microwave and Coast and
Ground Databases Available for Review Prior to ULS Implementation, Public Notice (WTB rel. Sept. 4, 1998). In
Federal Communications Commission FCC 18-147
15
accuracy of data in ULS to ensure that they are protected from harmful interference. We also note that
licensees have an obligation to keep their information filed with the Commission current and complete.
86
We seek comment on this proposal.
40. Is there any additional technical data, not currently collected in ULS, that is necessary to
facilitate automatic coordination? If so, should that information be collected by the Commission and
stored in ULS, or can such supplemental information be reported to and stored in the AFC system? In
cases of missing data, how should the AFC operate? Should we establish default values to be used to
reach a reasonable assessment with a high degree of confidence that harmful interference will not occur?
How should we handle a situation where harmful interference occurs to a fixed service station due to that
station’s failure to keep its ULS records up-to-date? Should the unlicensed device be required to switch
channels? Should there be any obligation on the fixed service station to update its ULS records before it
can seek remedy from the Commission?
41. We note that in certain circumstances fixed service licensees may be authorized to
operate stations that are not individually licensed in ULS. Temporary fixed operations may be authorized
by a blanket authorization, in which case the licensee is not required to obtain approval from the
Commission prior to operating at specific locations or report the technical details of their operation to the
Commission.
87
Similarly, fixed service applicants may operate a station prior to obtaining a grant of
authorization so long as certain criteria are met, such as completing successful frequency coordination.
88
We seek comment on how should the AFC system take into consideration temporary fixed operations
and/or stations operating under conditional authority. Should we require the operators of temporary fixed
and/or stations operating under conditional authority to notify the Commission of the details of their
operations (location, antenna height, antenna pattern, etc.)? Or can those details be reported directly to an
AFC? In the latter case, does there need to be a requirement to share such data among AFCs? If so, how
would such a sharing system be implemented in a centralized or decentralized AFC system architecture?
Are there other methods of protecting temporary fixed operations? Should the AFC system account for
filed applications in addition to licensed stations when determining a list of frequencies on which an
unlicensed device can operate?
42. Protection Criteria.—Two possible metrics that we could use for specifying the
interference protection criteria are the ratio of interference to noise power (I/N ratio) or the ratio of the
carrier to interference power (C/I ratio),
89
where interference is the signal from unlicensed devices, the
carrier is the signal strength of the received fixed service transmission and noise is background noise
level. The I/N ratio is a simpler metric than the C/I. While both metrics require knowledge of the
interfering signal power—the signal of the unlicensed device and the receive station’s antenna pattern, the
C/I ratio also requires knowledge of the fixed service station’s characteristics, including transmitted signal
power and path length. We seek comment on which metric we should adopt for specifying the
interference protection criteria. We also seek comment on whether any other metrics could be used for
(Continued from previous page)
addition, rule changes have revised the type of data collected and submitting the new information was in some cases
deemed voluntary. See, e.g., Wireless Telecommunications Bureau Announces ULS Upgrade–Licensees of
Television Pick-up Stations Now Have the Option to Identify Their Stationary, Receive-Only Sites on ULS to Aid
Coordination with Other Services, Public Notice, 23 FCC Rcd 6521 (WTB 2008); Wireless Telecommunications
Bureau Announces Effective Date of Requirement for 7 and 13 GHz TV Pickup Licensees to register Stationary
Receive Sites, Provides Guidance on Complying with Requirement, Public Notice, 28 FCC Rcd 978 (WTB 2013).
86
The general filing requirements on FCC Form 601 states, “Information filed with the FCC must be kept current
and complete. The Applicant must notify the FCC regarding any substantial and significant changes in the
information furnished in the application(s). See Section 1.65 of the Commission’s Rules.”
87
See 47 CFR § 101.31(a)(2).
88
See 47 CFR § 101.31(b).
89
The C/I ratio is used in TIA bulletin TSB-10-F. See TIA/EIA, Interference Criteria for Microwave Systems,
Telecommunications Systems Bulletin TSB10-F, June 1994, 2-8.
Federal Communications Commission FCC 18-147
16
specifying the interference protection criteria. What are the respective costs and benefits of each metric?
43. The interference protection criteria will be used by the AFC system to determine whether
a standard-power access point would cause harmful interference to a fixed link receiver. For example, if
we specify the interference protection criteria as an I/N of 0 dB, the AFC would calculate whether a
standard-power access point will cause the I/N at each fixed link receiver to exceed 0 dB.
An I/N of 0 dB
means that the power of the signal from the standard-power access point (I) equals the noise power (N) at
the fixed link receiver.
90
The standard-power access point would then be excluded from operating co-
channel at locations where this occurs. The interference protection criteria we specify will in effect
determine how close co-channel standard-power access points can operate to the fixed link receivers. A
less stringent interference protection criteria will result in smaller separation distances and therefore allow
a greater number of standard-power access points to be deployed in the band, but could potentially
increase the risk of harmful interference occurring. We seek comment on the interference protection
criteria we should adopt. Commenters are encouraged to provide technical analysis supporting the
particular interference protection criteria that they advocate.
44. Adjacent Channel Protection.—We do not propose to protect fixed links operating on
adjacent channels or second-adjacent channels as FWCC suggests.
91
There are no technical showings to
support such a proposal. Further, out-of-band emission (OOBE) limits will act to protect adjacent
channel fixed service links. We invite parties who believe that specific adjacent or second-adjacent
channels protection rules should be adopted to submit technical showings to support their position.
45. Multipath Fading.—Fixed microwave links may experience atmospheric multipath
fading,
92
which impacts the attenuation, delay and phase shift of their signal. To counteract the effects of
fading, FWCC states that licensees design their fixed microwave systems with fade margins of 25-40
dB.
93
We seek comment on FWCC’s characterization of the fade margin. What are the typical design
criteria for fixed service station fade margins?
94
We also seek comment on whether and specifically how
fading might affect the levels of the potentially interfering signal being transmitted from unlicensed
devices. We would not expect to see fading of the interfering signal for short separation distances
between the unlicensed device and the microwave receiver, but such an effect could occur for larger
separations, which would seem to reduce risk of interference.
46. Outside low latitude coastal regions, atmospheric multipath fading occurs most often
during humid seasons with low precipitation.
95
Such seasonal atmospheric multipath fading depends
strongly on geographical location and local weather patterns.
96
Given that atmospheric conditions affect
multipath fading, should the interference protection criteria be relaxed or other allowances made in areas
where fades are not as prominent? How might this be accomplished? In addition, multipath fading also
90
A C/I of 0 dB means that the signal from the fixed service transmitter received at the fixed service receiver (C)
equals the power received from the standard-power access point (I). While a C/I of 10 dB means that the signal
from the fixed service transmitter received at the fixed service receiver (C) is ten times greater than the power
received from the standard-power access point (I).
91
FWCC July 17, 2018 Ex Parte, at 17.
92
Atmospheric multipath fading is caused when stable air masses, such as warm and humid air, lead to stratification
of the atmosphere. See George Kizer, Digital Microwave Communication, 321-324 (2013).
93
FWCC March 13, 2018 Ex Parte, at 3.
94
Apple Inc., Broadcom Corporation, et al. argue that excess fade margin should be considered when determining
the interference protection criteria. See Apple Inc., Broadcom Corporation, et al. Jan. 26, 2018 Ex Parte, at 33.
95
See George Kizer, Digital Microwave Communication, 323 (2013).
96
See George Kizer, Digital Microwave Communication, 321-323 (2013).
Federal Communications Commission FCC 18-147
17
depends on the time of day and is generally most severe after midnight.
97
Should we consider the time of
day fading occurs in conjunction with the relative busy hours for unlicensed traffic
98
when determining
the interference protection criteria? To what degree? We note that FWCC and APCO have expressed
concerns regarding even momentary interference, claiming that certain microwave systems can take up to
15 minutes to resynchronize.
99
Given that this type of loss of synchronization can occur even without the
presence of any interference, can such events be attributed to atmospheric multipath fading? Thus, given
the diurnal and seasonal nature of atmospheric multipath fading, are there mitigation strategies that can
take advantage of this phenomenon to ensure the potential for causing harmful interference is minimized?
47. Figure 2 shows computed unlicensed device exclusion zones for six different commonly
used fixed service antennas.
100
Each contour shows the locations, represented by X and Y distance (km)
from a fixed service receiver, where co-channel operation of an unlicensed device reduces the receiver
fade margin
101
by a certain dB (i.e., fade margin reduction contour)—in this case 10 dB (a 10 dB fade
margin reduction is equivalent to an I/N of 9.5 dB).
102
As fade margin reduction is a function of
separation distance from the fixed serviced receiver; an unlicensed device located inside of the contours
will result in a higher than nominal fade margin reduction (increasing I/N) and an unlicensed device
located outside of the contours will result in a lower than nominal fade margin reduction (decreasing I/N).
An unlicensed device would be prohibited from operating co-channel within the fade margin reduction
contour and would be permitted to operate co-channel outside the contour. This allows computation of a
list of permissible frequencies for any unlicensed standard-power access point location that excludes co-
frequency operation with every fixed service receiver within the associated fade margin reduction
contours.
97
See George Kizer, Digital Microwave Communication, 322 (2013).
98
See Apple Inc., Broadcom Corporation, et al. Jan. 26, 2018 Ex Parte, at 31 (arguing that since the access point
busy hour is before midnight, access points only transmit when they have traffic, and multipath occurs primarily
after midnight, a significant portion of the link fade margin can be used to relax, dB-for-dB).
99
See FWCC March 13, 2018 Ex Parte, at 37; APCO March 29, 2018 Ex Parte, at 2.
100
See FWCC March 13, 2018 Ex Parte, at 21. The contours of Figure 2 are computed based on these parameters:
unlicensed device power spectral density of 20.23 dBm/MHz, fixed service receiver bandwidth of 30 MHz, fixed
service receiver Interference Protection Criteria as defined by I/N of 9.5 dB, and an ad-hoc FWCC path loss model.
Id. at 23. The shapes of these contours have been idealized and dubbed in the industry as keyhole shape because of
the resemblance to upside down keyhole.
101
Fade margin is defined as the difference, in decibel, between received signal strength level and receiver
sensitivity. See George Kizer, Digital Microwave Communication, 560 (2013).
102
Reduction in fade margin is equivalent to increase in nominal noise floor due to interference. It is
given by
Reduction in Fade Margin (dB) = 10log
10
(
10
N/10
+ 10
I/10
)
- N
Where N and I are respectively the receiver noise and the interference power. See FWCC March 13,
2018 Ex Parte at 26 (equation 5).
Federal Communications Commission FCC 18-147
18
Figure 2 10 dB FMR Exclusion Zones
48. Propagation Model.—Several different propagation models can be used to determine the
appropriate exclusion zones. FWCC claims that a free space path loss model should be used for every
link because line-of-sight assumptions will be required unless the AFC incorporates terrain and/or
building information that identifies line-of-sight cases with an extremely high degree of reliability.
103
Apple Inc., Broadcom Corporation, et al. argue for path loss models that relate to the propagation
distance, identifying a combination of the WINNER II and ITM and ITU-R P.2108 models.
104
49. A free space path loss model would effectively assume worst case conditions for every
link and likely overestimate the potential interference in most cases and unnecessarily restrict access to
the spectrum for unlicensed use.
105
ITM, a well-known and widely used prediction tool,
106
calculates
103
See FWCC June 25, 2018 Ex Parte, at 5. While FWCC uses the term “automatic coordination system,” the
concept appears to be analogous to an AFC. For simplicity, we will use the term “AFC.”
104
See Apple Inc., Broadcom Corporation, et al. Apr. 12, 2018 Ex Parte, at 10.
105
See also FWCC Mar. 13, 2018 Ex Parte, at 23 (claiming that “microwave antennas have a strip of area in front of
them in which they are sensitive to interference, from a few hundred meters to a few kilometers long – even in
urban/suburban environments”). However, as FWCC also noted the Winner II model specification states that
“Usually, even for the same scenario, existence of line-of-sight component substantially influences values of
channel parameters. Regarding to this property, most WINNER scenarios are differentiating between line-of-sight
and non-line-of-sight conditions. To enable appropriate scenario modelling, transitions between line-of-sight and
non-line-of-sight cases have to be described. For this purpose, distance dependent probability of line-of-sight is used
in the model.” Id. at 36.
Federal Communications Commission FCC 18-147
19
transmission loss relative to free space loss over irregular terrain for frequencies between 20 MHz and 10
GHz.
107
However, this tool does not consider effects of buildings, foliage, or other man-made structures
and is limited to distances greater than one kilometer. ITU-R P.2018 addresses some of the limitations of
the ITM by providing an additive loss term that considers the effects of buildings and vegetation for
distances greater than 0.25 kilometer.
108
However, ITU-R P.1411
109
and WINNER II,
110
two short range
propagation models, address clutter loss for distances shorter than 0.25 kilometers. We believe that in the
first kilometer, an effective propagation model should include clutter loss in addition to both line-of-sight
and non-line-of-sight conditions. Beyond the first kilometer, the propagation model should include a
combination of a terrain-based path loss model and a clutter loss model appropriate for the environment.
We seek comment on this approach, as well as the appropriate propagation models for this application.
Following the WINNER II methodology, Apple Inc., Broadcom Corporation, et al. incorporate line-of-
sight and non-line-of-sight propagation components into a single WINNER II combined urban/suburban
model.
111
Can some of the propagation models for different conditions be combined into a single model?
FWCC submitted a study that used curve fitting to combine propagation models of different ranges of
applicability into a single model.
112
Is such an approach appropriate for this application? What are the
costs and benefits of each propagation model? What other factors should be considered when choosing
an appropriate propagation model?
50. Standard-Power Access Point Location.—Standard-power access point location
information must be accurate to ensure that unlicensed devices operate only outside the exclusion zones
when co-channel with fixed links. If expressed in terms of latitude, longitude, and height, what is the
required accuracy of the location of each standard-power access point to ensure fixed service
protection?
113
We note that the location accuracy of any geolocation tool generally depends on the
deployment environment.
114
For example, the observed accuracy of a GPS receiver can vary depending
on signal blockage by manmade structures, buildings, bridges, and trees.
115
Accordingly, rather than
requiring a certain location accuracy for a standard-power access point, would it be more appropriate to
assign an area of uncertainty around the computed location, based on the underlying technology and
propagation environment, and then build the necessary processing into the AFC system to adjust its
separation distance between the standard-power access point and fixed service receiver based on the area
(Continued from previous page)
106
See Caleb Phillips. et al., “The Stability of The Longley-Rice Irregular Terrain Model for Typical Problems”,
University of Colorado at Boulder Technical Report CU-CS-1086-11, 1 (2011).
107
See Theodore S. Rappaport, Wireless Communications Principles and Practice, 145-46 (2nd Ed. 2002).
108
See ITU-R Recommendation P.2108, “Prediction of Clutter Loss”, Geneva: International Telecommunication
Union, Radiocommunication Sector, June 2017, at 5-6.
109
See ITU-R Recommendation P.1411, “Propagation data and prediction methods for the planning of short-range
outdoor radiocommunication systems and radio local area networks in the frequency range 300 MHz to 100 GHz”,
Geneva: International Telecommunication Union, Radiocommunication Sector, August 2017, at 1-2.
110
See WINNER II Channel Models, https://www.cept.org/files/8339/winner2%20-%20final%20report.pdf, at 2, 7,
14-20, 43-49.
111
Apple Inc., Broadcom Corporation, et al. Jan. 26, 2018 Ex Parte, at 35-38.
112
FWCC March 13, 2018 Ex Parte, at 29-30.
113
The protection criteria, i.e., the minimum required separation distances, for white space devices and devices in
the Citizens Broadband Radio Service are based on a geo-location accuracy of +/- 50 meters. 47 CFR §§ 15.712,
96.39(a). White space devices that use less accurate geo-location methods are permitted, but the minimum required
separation distances enforced by the white space database are increased by the amount that the location uncertainty
of the white space device exceeds +/-50 meters. Id. § 15.712.
114
See Rajiv Netra, How GPS, Cell Tower and Wi-Fi triangulation help in tracking location?
https://www.safetrax.in/2017/09/05/gps-cell-tower-triangulation-help-tracking-location/.
115
See https://www.gps.gov/systems/gps/performance/accuracy/.
Federal Communications Commission FCC 18-147
20
of uncertainty?
116
If so, who will determine such an assignment and how, particularly with respect to
indoor deployment? How will the location accuracy information be shared with the AFC? Will it be part
of the registration process? What are the costs and benefits of any proposed alternative?
51. Standard-Power Access Point Height.—Latitude, longitude, and height information for
standard-power access points can be used to build a three-dimensional exclusion zone contour for every
fixed service receiver. One approach to simplify height considerations may be to use a two-dimensional
exclusion zone contour based on a typical installation height of standard-power access points. Typical
installation heights of standard-power access points will likely be lower than current cellular network
antennas because of the much lower power. We note that cellular tower heights generally range from 15
to 60 meters.
117
As such, the typical installation height above ground of a standard-power access points
should probably range from 5 meters to 30 meters. We seek comment on whether this estimate of typical
standard-power access point heights is appropriate.
118
If we allow the AFC system to use a typical
installation height in determining frequency availability, we could limit the maximum standard-power
access point installation height to prevent interference from devices installed above this height. Of
course, imposing such a height limitation would prevent use of standard-power access points in taller
buildings. We seek comment on whether we should limit the maximum installation height of outdoor
standard-power access points. If so, should that limit be set to 30 meters? We expect such a requirement
would lower the potential for line-of-sight cases and thus provide further certainty that incumbent users
will not receive harmful interference. However, because frequency availability will depend on the height
of standard-power access points, will the AFC system inherently address this matter by limiting the
availability of permissible frequencies?
52. In general, obtaining the height of a standard-power access point may be more difficult
than obtaining its’ latitude and longitude. We note that the most popular geolocation tool, GPS, has a
vertical accuracy that is 2-3 times poorer than its horizontal accuracy.
119
As the installed height of a
standard-power access point is one of the key operating parameters that affect the received interference,
120
it may be necessary to verify the installed height of each standard-power access point by means other than
GPS. Accordingly, we seek comment on requiring that every standard-power access point be
professionally installed. If we require professional installation, what mechanisms should be in place to
ensure that a non-professional or unlicensed person cannot perform an installation? Should we rely on an
industry-led process to develop professional installer accreditation standards as the Commission has done
in similar situations?
121
Should AFC system(s) be required to take steps to ensure that only standard-
116
See Apple, Inc., Broadcom Inc., et al. Aug. 2, 2018 Ex Parte at 7.
117
See FCC, Human Exposure to Radio Frequency Fields: Guidelines for Cellular Antenna Sites (Mar. 30, 2018),
https://www.fcc.gov/consumers/guides/human-exposure-radio-frequency-fields-guidelines-cellular-and-pcs-sites.
118
We note that this estimate is consistent with building heights that were used in Apple Inc., Broadcom
Corporation, et al.’ filings (i.e. 1.5 to 28.5 meters). Apple Inc., Broadcom Corporation, et al. based this height range
on commercial and residential building heights and assumptions about the distribution of access points between the
different types of buildings and within the buildings. Apple Inc., Broadcom Corporation, et al. Jan. 25, 2018 Ex
Parte at 37-28 (Section 3.2.3).
119
See Adena Schutzberg, Ten Things you Need to Know About GPS (June 18, 2012),
https://www.directionsmag.com/article/1777.
120
Apple Inc., Broadcom Corporation, et al. Jan. 26, 2018 Ex Parte at 20.
121
Amendment of the Commission’s Rules with Regard to Commercial Operations in the 3550-3650 MHz Band, Order
on Reconsideration and Second Report and Order, 31 FCC Rcd 5011, 5046, para. 126 (2016) (noting that the
WinForum, an industry-led group, is developing a set of professional installation standards for CBRS); Section
4(f)(4)(D) of the Communications Act of 1934, as amended, authorizes the Commission to “to endorse certification
of individuals to perform transmitter installation, operation, maintenance, and repair duties in the private land
mobile services and fixed services (as defined by the Commission by rule) if such certification programs are
conducted by organizations or committees which are representative of the users in those services and which consist
of individuals who are not officers or employees of the Federal Government.” 47 U.S.C. § 154(f)(4)(D). Following
Federal Communications Commission FCC 18-147
21
power access points that have been professionally installed can receive a list of frequencies upon which to
operate? If we adopt a professional installation requirement, should we exempt certain access points that
are less likely to cause interference such as, for example, those installed indoors or that are below a
specified height? Are there other measurement/geolocation tools, existing or on the horizon, that can
complement GPS? If so, can they be used in lieu of professional installation? Should we require
geolocation capability to be built into the standard-power access points? Are there other means of
obtaining location information, such as street address and floor number?
122
If so, how will this impact the
contour calculations? What are the costs and benefits of any proposed alternative?
53. Client Devices.—We propose to require client devices that operate in the U-NII-5 and U-
NII-7 bands to be under the control of a standard-power access point. This is currently the case for most
similar operations, such as client devices accessing a wireless router in the home or an access point at a
public location. This requirement will help prevent uncontrolled operation of client devices on a peer-to-
peer basis that would pose a greater risk of causing harmful interference to microwave links.
Notwithstanding this proposal, we seek comment on whether client devices should be allowed to transmit
probe requests,
123
consistent with 802.11 standard,
124
as means for joining a network, prior to receiving a
frequency assignment. If so, is there any way to allow such use without causing harmful interference to
the incumbent users? We seek comment on what assumptions to make about the area in which a client
device can operate.
54. FWCC points to the scenario where the master device is at a non-interfering location, but
a client device may not be.
125
We believe this concern can be addressed by including an area of operation
centered on the location of the standard-power access point.
126
All calculations regarding the list of
permissible frequencies of operation should then be made in reference to this area. We seek comment on
the typical or maximum operating radius for communications between a client device and a standard-
power access point. How should the distance be incorporated into any frequency coordination
computation to ensure incumbents are protected? Our proposed rules define a client device as “a U-NII
(Continued from previous page)
the amendment of the Act to include this Section, the Commission eliminated the licensing requirement and
“strongly endorse[d] and encourage[d] organizations or committees representative of users in the Private Land
Mobile Radio and Private Operational-Fixed Microwave Services to establish a national industry certification
program or programs for technicians,” but left the development of and details concerning such a program to the
private sector. See Amendment of the Commission’s Rules with Regard to Commercial Operations in the 3550-3650
MHz Band, 30 FCC Rcd 3959, 4028-29, para. 222 (2015) (citing Requirement for Licensed Operators in Various
Radio Services, GN Docket No. 83-222, Report and Order, 96 FCC 2d 1123, 1141-45, paras. 36-43 (1984)).
122
See Apple Inc., Broadcom Inc., et al. Aug. 2, 2018 Ex Parte, at 8.
123
Before an 802.11 client device can send data over a WLAN network (i.e. joining a network) it goes through a
three-stage process: probing, authentication, and association. The probing process includes two options, passive
probing and active probing. In the passive probing the client device scans the channels and passively listens to
beacon frames transmitted by the access points on the medium. While in the active probing the client device
transmits probe request frames on each channel and listens to probe response frames, the contents of which are
similar to beacon frames. See
https://www.cisco.com/c/en/us/td/docs/solutions/Enterprise/Borderless_Networks/Unified_Access/CMX/CMX_802
Fund.pdf.
124
IEEE Std 802.11™-2016, IEEE Standard for Information technology— Telecommunications and information
exchange between systems Local and metropolitan area networks— Specific requirements Part 11: Wireless LAN
Medium Access Control (MAC) and Physical Layer (PHY) Specifications, IEEE December 2016, at 237.
125
FWCC June 25, 2018 Ex Parte, at 6.
126
See Apple Inc., Broadcom Inc., et al. Aug. 2, 2018 Ex Parte, at 7.
Federal Communications Commission FCC 18-147
22
device whose transmissions are generally under the control of an access point and that is not capable of
initiating a network.”
127
We seek comment on this definition.
3. Preventing Aggregate Interference to Operations in the Fixed-Satellite
Service
55. As noted above, we tentatively conclude that use of the AFC is not necessary to protect
satellite receivers and that limits on radiated power will prevent interference to space station receivers
from individual unlicensed devices. However, satellite interests have expressed concern that the
cumulative energy from unlicensed operations will cause harmful aggregate interference to satellite space
station receivers.
128
In response, the Wi-Fi Alliance suggests that “[y]ears of operational experience in
[the] U-NII-1 band confirm that those rules should be more than sufficient to protect the FSS uplink
operations.”
129
To limit the potential for interference to non-geostationary satellite receivers, the U-NII-1
rules reduce the EIRP permitted above an elevation angle of 30 degrees from 36 dBm to 21 dBm.
130
We
note that Globalstar has recently filed a Petition for Notice of Inquiry regarding spectrum sharing between
its satellite uplink operations and outdoor U-NII-1 devices.
131
The Wi-Fi Alliance further suggests
adopting an antenna pointing limitation similar to that employed by the fixed microwave services
(antennas may not be aimed within 2 degrees of the geostationary orbit).
132
56. We expect that the standard-power access points that are most likely to be deployed in
the U-NII-5 and U-NII-7 bands will be used to provide wide area coverage and will use omnidirectional
or wide beamwidth antennas (such as 60 or 120 degrees) rather than the highly directional antennas
employed by fixed microwave services.
133
In view of these expectations, we seek comment on whether a
restriction on pointing toward the geostationary arc would be appropriate. In addition, we note that the
127
See proposed § 15.403(g) in Appendix B. This proposed rule is consistent with the definition of client device in
§ 15.202.
128
SIA Comments at 41-44; Sirius XM Comments at 9. The U-NII-1 band consists of 100 megahertz of spectrum at
5.15-5.25 GHz. Revision of Part 15 of the Commission’s Rules to Permit Unlicensed National Information
Infrastructure (U-NII) Devices in the 5 GHz Band, First Report and Order, 29 FCC Rcd 4127, 4128-29, para. 4
(2014).
129
Wi-Fi Alliance Reply at 20.
130
47 CFR § 15.407(a)(1); Revision of Part 15 of the Commission’s Rules to Permit Unlicensed National
Information Infrastructure (U-NII) Devices in the 5 GHz Band, First Report and Order, 29 FCC Rcd 4127, 4138,
para. 37 (2014). The U-NII-1 rules permit access points to operate with a conducted power of 1 watt (30 dBm) and
a 6 dBi antenna, which is equivalent to a 36 dBm EIRP. The U-NII-1 rules have no restriction on indoor access
points or client devices to protect the satellite receivers and permit point-to-point operation with up to a 23 dBi
antenna with no reduction in power.
131
GlobalStar, Inc. Petition for Notice of Inquiry Regarding the Operation of Outdoor U-NII-I Devices in the 5 GHz
Band, RM-11808 (filed May 21, 2018) (asking the Commission to initiate a proceeding to re-evaluate continued
spectrum sharing between MSS and U-NII devices in the U-NII-1 band.).
132
Wi-Fi Alliance Aug. 8, 2018 Ex Parte, at 2-3. Wi-Fi Alliance also suggests that the elevation angle limitation
imposed on the U-NII-1 band is unnecessarily burdensome because it was designed to protect non-geostationary
orbit satellite systems. Id. We note that although there are no non-geostationary orbit satellite systems currently
operating in this band, there is no limitation in our rules prohibiting such operations and that the Commission
currently has before it an application proposing to operate a non-geostationary orbit satellite system in the 5.925-
6.725 GHz (Earth-to-space) band on file. See Application of New Spectrum Satellite, Ltd., IBFS File No. SAT-
LOI-20170726-00111. 47 CFR § 101.145. But see Apple Inc., Broadcom Inc., et al. June 12, 2018 Ex Parte, at 4-5
(proposing to limit outdoor standard-power access point operation in the 6 GHz band by: (1) restricting radiated
emissions of antennas pointing more than 30 degrees above the horizon to 1W or less; and (2) prohibiting fixed
point-to-point outdoor devices from pointing within 2 degrees of the geostationary arc.).
133
Because of the relatively low permitted EIRP levels, implementing long-distance point-to-point links under the
proposed rules would not be practical.
Federal Communications Commission FCC 18-147
23
currently operational satellites receiving in the U-NII-5 and U-NII-7 bands are in geostationary orbits
approximately 36,000 kilometers above the equator while the satellites receiving in the U-NII-1 band are
in non-geostationary orbits of approximately 1,400 kilometers. Because of the greater distance to the
currently operating satellite receivers in the U-NII-5 and U-NII-7 bands, the potential for aggregate
transmissions from unlicensed devices to cause harmful interference to the satellite receivers is reduced
compared to the U-NII-1 band. However, we also recognize that due to the greater transmission distance
the desired signal level will also be reduced at a geostationary satellite receiver when compared to non-
geostationary satellite receivers at lower altitudes.
57. We seek comment on the potential for the satellite receivers in the U-NII-5 and U-NII-7
bands to receive harmful aggregate interference due to transmissions from unlicensed devices operating in
these bands. Such comments should include a statistical analysis demonstrating the likelihood and
severity of aggregate interference based on the technical characteristics proposed for unlicensed devices
in these bands and the technical characteristics of satellite systems operating in these bands.
134
We also
seek comment on methods that could be used to monitor aggregate interference to satellite receivers and
potential remediation techniques in the event that such aggregate interference reaches levels that would
require action. In this respect, we ask about the feasibility of developing monitoring techniques that
would be agreeable for all parties involved and whether there is any role that unlicensed users could play
with regard to such monitoring.
58. Although most satellite operations in the U-NII-5 and U-NII-7 bands are in the Earth-to-
space direction, there is currently an allocation for space-to-Earth satellite use of the 6.7-6.875 GHz
portion of the U-NII-7 band for feeder links for non-geostationary MSS systems.
135
However, no earth
stations are currently licensed to use this allocation in the space-to-Earth direction. If this spectrum
should be used for space-to-Earth links in the future, we propose that the AFC system could be used to
prevent harmful interference to the earth station receivers by excluding standard-power access point from
operating in this spectrum near the associated earth stations. We seek comment on how the AFC system
might be used to protect any future receiving satellite earth stations. In particular, we ask what
interference protection criteria and propagation models might be appropriate.
B. Lower Power Indoor Unlicensed Devices in the U-NII-6 and U-NII-8 Bands
59. We propose to allow unlicensed devices to operate in the 6.425-6.525 GHz and 6.875-
7.125 GHz, referenced herein as the U-NII-6 and U-NII-8 bands respectively, under two specific
conditions: (1) unlicensed devices are limited to the lower power levels applicable to unlicensed
operations in the U-NII-2 bands and (2) such devices are restricted to indoor operation. We believe this
framework would protect incumbent licensed services, while creating new unlicensed use opportunities.
Our proposals for the 350 megahertz available in these two bands would support high throughput and low
latency applications for residences and businesses. Such applications could include augmented or virtual
reality, in-home video distribution at 4K/8K levels, and IoT applications.
60. The U-NII-6 band is used extensively by broadcast stations, programming networks, and
video production companies for electronic news gathering and wireless video links.
136
This band also has
an FSS (Earth-to-space) allocation, but no fixed service allocation.
137
The UNII-8 band has a mobile
service, fixed service, and FSS (Earth-to-space and space-to-Earth) allocation; however, fixed service
access to the U-NII-8 band by common carrier fixed point-to-point microwave, private operational fixed
point-to-multipoint microwave, and public safety microwave is restricted because fixed service links may
134
The relevant technical characteristics of the satellite systems for this analysis include the satellite receive antenna
pattern (i.e. footprint), signal polarization, earth station transmitted power, and earth station antenna gain.
135
47 CFR §§ 2.106 footnote 5.458B, 25.288, 25.208(n).
136
IEEE Broadcast Technology Society Comments at 2, NAB Comments at 8.
137
47 CFR §2.106 also Appendix A.
Federal Communications Commission FCC 18-147
24
not intersect with the service areas of TV pick-up stations.
138
Broadcasters use the U-NII-8 band for fixed
point-to-point links as well as temporary fixed operations.
139
That band can also be used by large venue
owners/operators or professional sound companies for licensed Low Power Auxiliary Station, including
wireless microphones.
140
We expect that Low Power Auxiliary Station will typically be licensed for a
large area and full band. In many cases, in both bands, electronic news gathering, and Cable Television
Relay Service stations are also licensed across the entire band and over large operating areas to facilitate
flexibility in coordinating operations.
141
61. Many incumbents in the U-NII-6 and U-NII-8 bands conduct mobile operations. Because
exclusion zone calculations require knowledge of the incumbent receiver location and antenna
orientation, we do not believe that an AFC system would be feasible in these bands. Instead, we propose
technical rules for unlicensed devices designed to minimize the potential harmful interference to
incumbent operations in these bands. We believe our proposal would facilitate the deployment of less
complex (and, thus, potentially less expensive) low-power unlicensed devices. By restricting such
devices to low power, indoor use, we anticipate that incumbent licensed services would be protected from
harmful interference, in part due to significant building attenuation and clutter losses for transmissions
originating from indoor devices. We recognize that our assessment that there is a low likelihood that
indoor low power devices will cause harmful interference depends in part on the assumptions that are
made with respect to the number and density of these devices and assumptions about the incumbent
services interference protections. We propose to adopt power limits that are based on the existing rules in
the U-NII-2C band.
142
However, to ensure that we strike the right balance between operational flexibility
for unlicensed devices and protection of incumbent operations, we encourage parties to submit detailed
sharing studies showing how new unlicensed devices can share the band with incumbent services.
62. We also seek comment on the compatibility between unlicensed indoor low power
devices and Low Power Auxiliary Station services which may operate indoors in the U-NII-8 band.
Commenters should provide all study assumptions, including appropriate propagation models, availability
requirements, receiver sensitivity, noise figure, antenna patterns, and fade margins, between indoor low
power unlicensed devices anticipated under our proposals and mobile and fixed links in these bands. We
believe the same conditions that protect incumbents from harmful interference from a single U-NII device
will also protect those same incumbents from aggregate interference.
143
Nevertheless, we request that
commenters address this assumption. We encourage parties to employ statistical models to evaluate the
risk of harmful interference.
63. Mobile Service Protection.—Usage and deployment configurations of mobile
assignments are, by definition, variable. To establish a mobile link, operators make engineering decisions
to ensure that the link is sustainable in its operating environment (e.g., increase power, raise antenna
height, change modulation or move locations). This discretion allows operators to take environmental
conditions, including potential interference, into consideration when establishing a mobile link. Given the
uncertainties inherent in establishing mobile links and the attenuation of the signals due to building and
138
47 CFR §101.147 note 34; see also FWCC Comments at 8.
139
Based on review of BAS licenses in ULS. See also Appendix A.
140
As of June 22, 2018, no Low Power Auxiliary Station licenses were listed in the 6875-7125 MHz band in ULS.
141
While licenses authorize operation across the entire band, for any specific event most licensees only use a single
channel.
142
47 CFR § 15.407(a)(2). The U-NII-2C band consists of 255 megahertz of spectrum at 5.47-5.725 GHz. Revision
of Part 15 of the Commission’s Rules to Permit Unlicensed National Information Infrastructure (U-NII) Devices in
the 5 GHz Band, First Report and Order, 29 FCC Rcd 4127, 4129, para. 4 (2014).
143
We note that the RKF Technical Study showed that the aggregate interference risk from unlicensed devices to
fixed service receivers is not substantially different from the single-entry interference risk. See Apple Inc.,
Broadcom Corporation, et al. Jan. 26, 2018 Ex Parte, at 9.
Federal Communications Commission FCC 18-147
25
clutter losses, we anticipate that low-power indoor operation will not increase the risk of harmful
interference to mobile service incumbents. We seek comment on this assessment. We seek comment on
factors that we have not accounted for in this analysis, including more detailed information on the specific
mobile deployment configurations in these bands. Are Cable Television Relay Service and TV pickup
mobile station deployment configurations largely similar? Are receive sites for the TV pickup and Cable
Television Relay Service mobile assignments typically deployed at fixed locations? What are the typical
fade margins for mobile links and what types of service are these fade margins required for? For the
approximately 200 public safety or business/industrial pool assignments in these bands, do they operate
on a mobile basis or are they temporarily fixed for longer periods of time when in use? How many
mobile stations are typically associated with an assignment?
64. Fixed Service Protection.—To ensure the Commission has the most complete
information regarding fixed use of the U-NII-6 and U-NII-8 bands, we seek comment on whether fixed
service link requirements for the various fixed service services in these bands differ. For example, do
Broadcast Auxiliary Service point-to-point links have the same design criteria regarding availability and
fade margins as Private Operational Fixed public safety and business/industrial pool links or common
carrier point-to-point links? How do these design criteria relate to the potential for indoor unlicensed
devices in tall buildings to cause unacceptable degradation to the fade margin of a fixed service link?
Fixed Service commenters have raised the possibility of indoor unlicensed devices in tall buildings
causing unacceptable degradation to the fade margin of a fixed service link.
144
Under what conditions
would such interference occur? How do these design criteria for fixed service links in these bands relate
to the potential for such interference? Are there mitigation strategies that will reduce the potential for
unlicensed devices to cause harmful interference under these conditions? Would unlicensed device
operation in these bands have any detrimental effect on Broadcast Auxiliary Service operations, which are
characterized by transmitting to strategically located receive sites?
65. Satellite Service Protection.—We believe that the technical characteristics proposed for
indoor low-power access points in the U-NII-6 and U-NII-8 bands will protect FSS and that additional
interference mitigation techniques are unnecessary. As an initial matter, there are only 20 Earth-to-space
FSS earth stations in the U-NII-6 and six in the U-NII-8 bands and 21 space-to-Earth FSS earth stations
clustered within 300 meters of five locations in the U-NII-8 band.
145
The most significant satellite
services operating in these bands are the MSS feeder downlinks in portions of the U-NII-8 band
146
and the
Satellite Digital Audio Radio Service feeder uplinks in the 7.025-7.075 GHz portion of the U-NII-8 band,
but in both cases there are only a limited number of locations nationwide.
147
66. Concerning the feeder uplinks for the Satellite Digital Audio Radio Service systems, we
note that the analysis filed by Sirius XM showing that its space stations would likely be subject to
interference from unlicensed devices was premised on outdoor operations at high power levels.
148
However, we are proposing low-power, indoor-only unlicensed operations in the 7.025-7.075 GHz band.
Because of the low power and low probability that an indoor unlicensed device will have a direct line of
sight with the Sirius/XM satellites, we believe the risk of causing harmful interference to those satellites
is low.
144
FWCC June 25 2018 Ex Parte, at 6, Attach. 2.
145
Based on a query of IBFS on June 22, 2018.
146
These sites are located in Sebring, FL, Clifton, TX, Brewster, WA, Wasilla, AK, and Las Palmas, PR.
147
These sites are located in Washington, DC; Ellenwood, GA; and Sussex, NJ.
148
Sirius XM June 22, 2018 Ex Parte, at 9.
Federal Communications Commission FCC 18-147
26
67. Regarding the limited number of MSS feeder downlinks in the U-NII-8 band, we
tentatively conclude that MSS operations will be similarly protected by the limitations on unlicensed use
proposed in this Notice, particularly given the small number and isolated nature of these locations.
149
68. We seek comment on these tentative conclusions, and on whether any additional
mitigation techniques might be necessary to protect satellite services in these bands.
69. Indoor Operations.—We propose to restrict operation of unlicensed devices in the U-NII-
6 and U-NII-8 bands to indoor operation. This restriction is designed to decrease the probability that the
indoor unlicensed device will operate near the main beam of licensed outdoor receivers and to take
advantage of the losses from building materials in order to minimize the potential for harmful
interference. Broadcasters covering large venues such as sporting events and political conventions rely
on the U-NII-6 and U-NII-8 bands for operations that may take place indoors.
150
Are there additional
low-power device restrictions that the Commission should consider to prevent interference to broadcaster
indoor operations in these bands? We also propose to require client devices that operate in the U-NII-6
and U-NII-8 bands to be under the control of low-power access point. This requirement will help prevent
uncontrolled outdoor operation of client devices.
70. We believe that in most cases Broadcast Auxiliary Service operations will be between a
mobile transmitter and a fixed location to which it will have a direct line of sight. In instances where
there may be an intervening building, both Broadcast Auxiliary Service and fixed service links will be
protected due to their relative higher signal power as compared to that of unlicensed devices as well as
clutter and building entry losses which are especially relevant in ensuring compatibility between indoor
low-power access points and licensed users in the U-NII-6 and U-NII-8 bands. ITU models give values
for both building entry and clutter losses with some probability of occurrence.
151
We note that the ITU
model shows a median building entry losses of approximately 18 dB for traditional construction and 30
dB for thermally efficient construction for horizontal incidence, with increasing building entry losses at
larger elevation angles.
152
Are assumptions for building entry losses and clutter loss enough to overcome
concerns of interference even when the unlicensed device might be in the main beam of the receiver? Are
there other factors or models that should be considered when evaluating loses between indoor unlicensed
devices and U-NII-6 and U-NII-8 incumbent services? Commenters should provide detailed link budgets
along with all assumptions to support their positions on the potential of unlicensed devices causing
harmful interference.
71. Other Considerations.—We also invite comment on how the Commission could ensure
that low-power access points are restricted to indoor use. Previously, we have required that indoor
devices have direct connection to a power outlet.
153
Should we adopt a similar requirement here? Are
there other methods or equipment form-factors that would discourage outdoor usage of low-power access
point unlicensed devices that we should consider? For example, noting that GPS signals generally do not
penetrate very far into buildings, would it be feasible and cost effective to require low-power access
points to monitor GPS satellite signals and to cease transmissions if a GPS signal is detected? Would it
149
A review of Google Earth show that these receive earth stations are located apart from residential buildings and
in open areas.
150
NAB Oct. 17, 2018 Ex Parte, at 1.
151
ITU Recommendation P.2109 givers building entry losses for traditional building versus thermally efficient
buildings for various incident angles. The Recommendation notes that the classification, of “thermally-efficient”
and “traditional”, refers purely to the thermal efficiency of construction materials and makes no assumption
regarding the year of construction, type (single or multi-floors), heritage or building method. ITU Recommendation
P.2108 §3.2 gives a statistical clutter model loss for terrestrial based terminals and § 3.3 provides a statistical clutter
model for Earth-space paths.
152
ITU Recommendation P.2109 at Figure 1.
153
47 CFR § 15.257(a)(1).
Federal Communications Commission FCC 18-147
27
be better to set a GPS signal threshold rather than a detection threshold above which a low-power access
point would be required to shut off to differentiate between clear-sky (outdoor) GPS satellite view and
indoor detection? We note that the former case would discourage placement of indoor devices near
windows where GPS detection is more likely and thus provide additional protection to incumbent
operations. We seek comment on this and other methods of ensuring devices operate in accordance with
the indoor-only restriction. Finally, given that client devices are even lower power (5 mW/MHz EIRP)
and are required to only operate in the U-NII-6 and U-NII-8 bands after receiving an authorization from a
low-power access point,
154
are there any other considerations we need to take into account to ensure these
devices do not cause harmful interference to incumbent operations?
72. As mentioned above, there are existing provisions in Part 15 for unlicensed wideband and
ultra-wideband systems throughout the 6 GHz band.
155
We do not propose to make changes to these rule
sections as we expect such systems will continue to coexist with all other systems, both licensed and
unlicensed, within the 6 GHz band. We note, however, that some existing unlicensed users and
manufacturers have expressed concern that adding new types of unlicensed devices and use cases to the 6
GHz band could detrimentally change the overall RF environment in which they operate.
156
We seek
comment from interested parties regarding the potential effect of our proposals on their existing
unlicensed devices and use models. To the extent that parties believe new devices could adversely affect
existing operations, they should suggest specific rules and mitigation strategies that would minimize such
risk.
C. Other Unlicensed Operation Options
73. Low Power Indoor Operation at U-NII-5 and U-NII-7.—We seek comment on whether
we should allow indoor low-power access point operations in the U-NII-5 and U-NII-7 bands under the
same conditions as proposed for the U-NII-6 and U-NII-8 bands; i.e., low power, indoor-only use without
the need for authorization from an AFC system. As discussed above, the U-NII-5 and U-NII-7 band
frequencies are dominated by common carrier, public safety, and business/industrial pool point-to-point
microwave links and by FSS Earth-to-space links. Apple Inc., Broadcom Inc., et al. suggest that low-
power devices may operate indoors at power levels sufficiently low that they pose no material risk of
harmful interference to incumbent links.
157
FWCC states that indoor unlicensed devices in tall buildings
could cause unacceptable degradation in the fade margin of a fixed service link. FWCC claims that all
indoor devices must be subject to the same mechanism to avoid nearby fixed service microwave links as
outdoor devices.
158
Could we permit low-power, indoor-only unlicensed devices to operate in the U-NII-5
and U-NII-7 bands without being under the control of an AFC system? If so, what power level could be
permitted for such operation without increasing the risk of harmful interference to licensed services?
Commenters should provide detailed analysis to support their position regarding whether such operation
should or should not be permitted. Are there any other operational requirements, rules or mitigation
techniques that would allow low-power access points to operate in the U-NII-5 and U-NII-7 bands
without the use of an AFC system?
74. High Power Operation at U-NII-6 and U-NII-8.—We seek comment on whether there
are any ways to protect incumbent mobile operations, if we were to allow unlicensed operations in the U-
NII-6 or -8 bands at the same power levels as those proposed for U-NII-5 and U-NII-7 bands, both
indoors and outdoors. The U-NII-6 and U-NII-8 bands have a significant number of mobile operations.
154
See infra Appendix B (Proposed Sections 15.403(g), 15.407(a)(6)).
155
47 CFR § 15.250; 47 CFR pt. 15 subpt. F.
156
See, e.g., Zebra Technologies Reply at 3-4; Ultra Wide Band Alliance Oct. 11, 2018 Ex parte, GN Docket No.
17-183, at 1-3.
157
Apple Inc., Broadcom Inc., et al. Aug. 2, 2018 Ex Parte, at 9; Apple Inc., Broadcom Inc., et al. June 12, 2018 Ex
Parte, at 3.
158
FWCC June 25, 2018 Ex Parte, at 6, Attach. 2.
Federal Communications Commission FCC 18-147
28
However, approximately 43% of assignments in U-NII-6 are mobile, while in U-NII-8, only 2% are
mobile.
75. An AFC system, like the one we proposed for U-NII-5 and U-NII-7, makes interference
calculations where the fixed link receivers or protected contours are known. Are a significant number of
Broadcast Auxiliary Service and Cable Television Relay Service receive sites fixed, such that they could
be protected by the AFC in the same fashion as fixed operations? Do fixed received sites associated with
mobile operations typically use fixed antennas or steerable antennas and could a protection contour be
defined around a fixed receive site taking into consideration the characteristics of the receive antenna? Is
it possible, for example, to dynamically update the permissible frequency list whenever mobile sites
become active or when the information for these sites becomes available? Can push notifications serve as
a means of informing affected standard-power access points that the permissible frequency list must be
updated to protect the incumbents? Additionally, would our tentative conclusions regarding protections
of satellite services in the U-NII-6 and U-NII-8 bands be undermined by permitting high power
unlicensed operations in these bands.
76. Mobile and Transportable Operation. There are many applications where unlicensed
devices operating under our Part 15 rules in other bands transmit without being associated with an access
point. For example, many smartphones are capable of operating as mobile hotspots that provide Wi-Fi
connections to other nearby devices.
159
There are also many unlicensed wireless applications that are
unrelated to accessing the Internet such as in-home distributions of video, real-time gaming, and high
fidelity audio.
160
Our intent in making proposals for the 6 GHz band is to not unnecessarily limit the
potential uses of unlicensed devices. Thus, we seek comment on whether unlicensed devices in the U-
NII-5 and U-NII-7 bands should be explicitly permitted to operate either as a mobile hotspot or as a
transportable device.
161
As with fixed access points in these bands, such operation would be under the
control of an AFC system. Is such operation feasible under such a condition? Are there rules we can put
in place to permit such operation while still ensuring that licensed services are protected from harmful
interference. For example, the rules for Mode II personal/portable white space devices allow them to load
channel availability information for multiple locations to define a geographic area in which the device can
operate.
162
Could a similar mechanism work in these bands? Are there specific capabilities that need to
be included in the AFC to enable such operation? Should such operation be restricted to certain power
levels? Are there other safeguards that could be implemented to permit such operation?
D. Technical Rules
77. The technical requirements for U-NII devices operating in these bands will depend
ultimately on a determination of the types of unlicensed operations that can be supported while
maintaining interference protection to incumbents. Nonetheless, because the types of incumbent services
across the 6 GHz range share similar characteristics with the existing U-NII bands, we propose technical
requirements for unlicensed devices based on the existing U-NII technical rules.
1. Power Limits
78. As previously stated and consistent with several commenters, we believe the 6 GHz band
will support many of the same applications as the existing U-NII bands, and the use of this new band can
be facilitated by expanding the range of existing U-NII equipment above 5.925 GHz. Based on the
experience of the existing U-NII bands where unlicensed devices have been able to successfully operate
159
Verizon, How to use our Smartphone as a Mobile Hotspot, https://www.verizonwireless.com/articles/how-to-use-
your-smartphone-as-a-mobile-hotspot/ (last visited Oct. 17, 2018).
160
Apple Inc., Broadcom Inc., et al. Aug. 2, 2018 Ex Parte, at 9.
161
Transportable devices are not intended to be used in motion, but rather at stationary locations. See 47 CFR §
30.2.
162
47 CFR § 15.711(d)(5).
Federal Communications Commission FCC 18-147
29
without causing interference to authorized systems in the bands, we propose power levels similar to those
rules. We believe these levels will provide the proper balance between allowing flexibility for unlicensed
devices to deploy while still protecting incumbent systems.
163
Therefore, we propose maximum EIRP
power spectral density limits of:
U-NII-5 and U-NII-7 Standard-Power Access Points. The maximum conducted output power is 1
watt and maximum power spectral density is 17 dBm in any 1 megahertz band. If a transmitting
antenna with directional gain greater than 6 dBi is used, the maximum power and power spectral
density shall be reduced by the amount in dBi that the directional gain is greater than 6 dBi.
U-NII-6 and U-NII-8 band Low-Power Access Points. The maximum conducted output power is
250 milliwatts and maximum power spectral density is 11 dBm in any 1 megahertz band. If a
transmitting antenna with directional gain greater than 6 dBi is used, the maximum power and
power spectral density shall be reduced by the amount in dBi that the directional gain is greater
than 6 dBi.
Client Devices. The maximum conducted output power is 63 milliwatts and maximum power
spectral density is 5 dBm in any 1 megahertz band. If a transmitting antenna with directional gain
greater than 6 dBi is used, the maximum power and power spectral density shall be reduced by
the amount in dBi that the directional gain is greater than 6 dBi.
79. The proposed limits above align with what the Commission has adopted for other U-NII
bands, in terms of power and power spectral density limits. These proposed rules will allow the industry
to benefit from economies of scale, by designing new lines of equipment or modifying existing lines of
equipment that can operate across a wide swath of spectrum in both the 5 GHz and 6 GHz bands. We
note that these limits are also similar to what certain commenters have proposed.
164
We seek comment on
these proposed power limits. We note that while our proposal is rooted in the existing U-NII rules, there
are specific differences; most notably, we are proposing no provisions for high gain antennas for
unlicensed devices. However, to ensure we develop a complete record, we seek comment on whether
higher power operations could be permitted in rural and underserved areas under certain conditions.
165
If
so, should such operations be limited to only the U-NII-5 and U-NII-7 bands and only under the control
of an AFC system? Commenters advocating for higher power should also address how much more power
they believe is necessary to serve these areas and provide comment on how to define rural and
underserved areas in this context. Additionally, commenters should address whether such operations
should be limited to point-to-point operations (possibly with a minimum antenna gain) or if point-to-
multipoint operations should be permitted.
80. We also seek comment on whether we should adopt power rules that are structured
differently than the existing U-NII rules. For example, we could specify only a radiated power spectral
density limit or a combination of a radiated maximum power and a radiated power spectral density limit.
Commenters should provide specific reasoning as to why they support our proposals or any alternative.
What are the benefits and drawbacks of each approach as it relates to equipment design and cost as well
as maximizing the area over which unlicensed devices can operate and ensuring incumbents are protected
163
47 CFR § 15.407(a).
164
Wi-Fi Alliance Aug. 8, 2018 Ex Parte, at 3. The proposed limits above also coincide with the peak power limits
that were used in the technical study by RKF Engineering that was submitted by Apple Inc., Broadcom Corporation,
et al. See RKF Technical Study at 17-18, Table 3-4. FCC staff reviewed the equipment authorization database and
found the figures used in the table reflect the power levels found in equipment authorization applications. At these
power levels, RKF Engineering concluded that the resulting impact on fixed service availability and quality of
service delivered of these links from the introduction of access points will fall within the existing availability design
margin and will not cause harmful interference. See RKF technical study at 53-54.
165
See, e.g., Apple Inc., Broadcom Inc., et al. Oct. 12, 2018 Ex Parte at 1 (suggesting the Commission should solicit
comments on how technical rules governing transmitters can promote rural broadband deployment in the 6 GHz
band).
Federal Communications Commission FCC 18-147
30
from harmful interference? In commenting on our proposal or alternatives, commenters should keep in
mind that the maximum transmitted power in the existing U-NII bands was developed based on an
assumed 20 megahertz channel bandwidth—i.e., a signal at the permitted power spectral density would
meet the maximum transmitted power when transmitting across a 20 megahertz channel.
166
Commenters
advocating a conducted power and antenna gain approach or a limit on maximum EIRP should consider
whether 20 megahertz continues to be an appropriate basis on which to establish a maximum power limit;
i.e. should we specify a maximum transmit power based on a 20 megahertz channel bandwidth in addition
to the power and power spectral density limits described above? What are the benefits of such an
approach? We note that specifying a maximum power in addition to the power spectral density would
essentially reduce the maximum power when using wider channels. Would such a rule unnecessarily
restrict devices to less efficient operational modes?
167
Should certain types of transmitters that employ
electrically steerable, MIMO, or phased array antennas have special rules which allow the device to
operate with higher power levels?
168
81. Additionally, we seek comment on our proposal to reduce the permitted transmitted
power and power spectral density when using antennas with a directional gain greater than 6 dBi. Should
we require that antennas be integrated with the device or can we permit users to choose an appropriate
antenna for their application? If antennas are not integrated with the device, should an equipment
authorization grantee be required to maintain a list of permissible antennas with its equipment
authorization or in the manual or on a website? What effect will our proposal have on the equipment
authorization process?
2. Unwanted Emissions Limits
82. We propose that for all unlicensed devices operating in the 6 GHz band under the
proposals herein, all emissions below 5.925 GHz and above 7.125 GHz shall not exceed an EIRP of -27
dBm/MHz. We propose this out-of-band emission limit to be consistent with the rules that apply for most
of the other U-NII bands, which have been successful in preventing harmful interference to services
operating in adjacent bands.
169
We seek comment on this proposal. In addition, we seek comment on the
need to specify out-of-band emission limits between the sub-bands of the 6 GHz band—i.e. between the
U-NII-5, U-NII-6, U-NII-7 and U-NII-8 bands? What are the appropriate emission limits?
83. We also seek comment on the transmit emission mask that unlicensed devices should be
required to meet to protect incumbent services operating on adjacent frequencies within the band. Is the
166
The U-NII-1 rules allow a conducted power spectral density of 17 dBm/MHz and a maximum conducted power
of 1 watt for access points. 47 CFR § 15.407(a)(1)(i)-(ii). A signal with a power spectral density of 17 dBm over a
20 megahertz bandwidth would have a power of 1 watt. We note that newer devices were implementing wider
bandwidth channels in accordance with the IEEE 802.11ac standard which allowed 20 megahertz,40 megahertz, 80
megahertz, and 160 megahertz channels. See Afaqui et al., IEEE 802.11ax: Challenges and Requirements for
Future High Efficiency WiFi, IEEE Wireless Communications, June 2017, at 133, 136.
167
Radwin has submitted a petition for rulemaking requesting that we permit devices in the U-NII-1 and U-NII-3
bands to emit multiple sequential directional beams at the power levels allowed for point-to-point systems. Radwin
Ltd. Petition for Rulemaking, RM-11812 (filed June 18, 2018).
168
The U-NII-1 (5.15-5.25 GHz) rules specify both a power spectral density limit of 17 dBm/MHz and a maximum
transmitted power of 1 watt (30 dBm) for outdoor access points. The access points may use up to a 6 dBi gain
antenna without requiring a reduction in the transmitted power or power spectral density. 47 CFR § 15.407(a)(1)(i).
In the U-NII-3 band (5.725-5.85 GHz), a maximum transmitted power of 1 watt (30 dBm) is permitted with a power
spectral density of 30 dBm in any 500 kHz band. Devices may use up to a 6 dBi antenna gain without requiring a
reduction in the transmitted power or power spectral density. In addition, in U-NII-3 fixed point-to-point devices
may use higher gain antennas without reducing transmitted power or power spectrum density. 47 CFR §
15.407(a)(3).
169
This limit applies for 5.15-5.25 GHz (U-NII-1), 5.25-5.35 GHz (U-NII-2A), and 5.47-5.725 GHz (U-NII-2C). 47
CFR § 15.407(b)(1)-(3). However, the U-NII-3 band has a more relaxed out-of-band emission limit. 47 CFR §
15.407(b)(4)(i).
Federal Communications Commission FCC 18-147
31
emission mask suggested by RKF Engineering in the technical study submitted by Apple Inc., Broadcom
Corporation, et al. appropriate for this purpose?
170
If not, what is the appropriate emission mask?
3. Prohibition on use in Moving Vehicles and Drones
84. We propose that unlicensed access points (both standard-power access point and low-
power access point) be prohibited from operating in moving vehicles such as cars, trains, or aircraft. Our
proposals are designed to provide protection to incumbent services and we believe that allowing access
points in vehicles would not meet this goal. For operations in the U-NII-5 and U-NII-7 bands, it would be
impractical for an AFC system to provide and update the list of available frequencies to a standard-power
access point while it is in motion. In the U-NII-6 and U-NII-8 bands, where our proposed rules rely on
the signal attenuation due to indoor operation to prevent interference, signal attenuation from the cars,
trains, or aircraft is likely to be significantly less than from a building and low-power access points could
potentially cause harmful interference. We are especially concerned about the interference consequences
of allowing operation onboard aircraft because the longer line-of-sight distances from devices at typical
aircraft altitude could result in interference over a wide area. We seek comment on this proposal and
whether there are alternative, feasible proposals to use the band for moving vehicles.
85. Because we are concerned that airborne operation can cause interference over a wide
area, we also propose that unlicensed devices, whether a standard-power access point, low-power access
point, or client device, operating under these rules not be permitted for use with unmanned aircraft
systems. This prohibition would apply to both communications used for control of the unmanned aircraft
system and non-control radio communication from the unmanned aircraft systems, such as links used for
the download of video or other data from the unmanned aircraft systems to ground stations. We seek
comment on this proposal.
E. Additional Mitigation Measures
86. Although we believe that unlicensed device operation as discussed herein will not result
in harmful interference to licensed services, we nonetheless ask whether any additional requirements are
necessary to ensure that any instances of harmful interference that may occur can be resolved
expeditiously.
87. Digital Identifying Information.—As part of its interference mitigation proposals, Apple
Inc., Broadcom Inc., et al. propose that AFC-enabled standard-power access points be required to
periodically transmit identifying information. Such transmissions would enable incumbents to identify
any device that may cause harmful interference and notify the device operators.
171
In response, FWCC
expressed skepticism that such a requirement would effectively mitigate the effects of interference.
Specifically, FWCC notes that, as interference is not detected until after a communications link fails, it
would be very difficult to pinpoint the cause of the interference and fixed service operators would not be
able to decode the standard-power access point identifying information.
172
88. In the context of unlicensed white space devices, the Commission’s rules require such
devices to transmit “identifying information” necessary to identify the specific device and its location.
173
At the same time, the Commission has also previously chosen not to impose a similar requirement on U-
NII devices.
174
Nonetheless, given the specific characteristics of the spectrum associated with the new
170
RKF Technical Study at 53.
171
Apple Inc., Broadcom Inc., et al. June 12, 2018 Ex Parte, at 4.
172
FWCC June 8, 2018 Ex Parte, at 16.
173
See 47 CFR § 15.711(g).
174
See Revision of Part 15 of the Commission’s Rules Regarding Operation in the 57-64 GHz Band, 28 FCC Rcd
12517, 12534, para. 43 (2013) (modifying Part 15 rules to eliminate a transmitter ID requirement for all devices
operating in the 57-64 GHz band); Revision of Part 15 of the Commission’s Rules to Permit Unlicensed National
Information Infrastructure (U-NII) Devices in the 5 GHz Band, 29 FCC Rcd 4127, 4144-45, para. 60 (2014)
Federal Communications Commission FCC 18-147
32
services proposed, we seek comment on whether we should require standard-power access points in these
bands to transmit digital identifying information. If so, should such a requirement be applied in all
instances (standard-power access points and low-power access points and their associated client devices)?
If, as proposed, low-power access point operation would be restricted to indoors and such devices would
not have any identifying information in the AFC database, would there be any practical benefit to
requiring low-power access points to transmit digitally identifying information? Would a specific format
for such information need to be specified and would there be a need for specialized equipment to detect
and decode the identifying information? If so, could this function be easily incorporated into new
equipment or retrofitted to existing equipment? How much would adding this capability into equipment
cost? Commenters supporting a digital identification requirement should explain how such information
could practically be used to enable the resolution of interference and indicate what requirements should
be specifically codified in our rules.
89. Band In-Use Database.—As an additional means to locate the source of harmful
interference, we could require that the AFC record the actual frequency being used by each standard-
power access point. The standard-power access point would notify the AFC of the frequency it selects
from the list of permissible frequencies. This information could be useful for locating interference
sources if it can be collected from every standard-power access point and stored in a relational database.
Such a database could serve as an effective remediation tool. For example, if a fixed service receiver
detects harmful interference to its operation, the frequency in use database could be employed to identify
standard-power access points sharing the fixed service band in the nearby area of the fixed service site.
We seek comment on this tool and other means for remediation of interference.
90. Interference Resolution Process.—The above proposals regarding unlicensed operations
in these bands are intended to avoid the possibility of harmful interference to incumbent operations.
Notwithstanding these proposals, we seek comment on whether it would be necessary to institute an
interference resolution process beyond on our existing rule for unlicensed devices.
175
For example, would
it be necessary to establish an interference detection and identification procedure? If so, who will develop
this procedure and who will be responsible for exercising it? Should the AFC system operator(s) be
responsible for this task?
91. Informational Requirements.—We seek comment on whether the Commission should
require manufacturers to provide consumers with information on any specific operational requirements
applicable to devices operating in the U-NII-5 through U-NII-8 bands to prevent harmful interference. If
so, what how should this information be conveyed, e.g., by device labeling or in the user’s manual, and
what information should be provided?
176
Depending on the types of operational requirements that the
Commission adopts, examples of information that could be provided include that certain devices may be
operated only indoors, may not be operated on board aircraft, require professional installation, or must
update their location information with an AFC system when installed at a new location.
(Continued from previous page)
(declining to require U-NII devices in the 5.15-5.35 GHz and 5.47-5.850 GHz bands to transmit identifying
information).
175
Under our existing rule, the operator of an unlicensed radio frequency device shall be required to cease operating
the device upon notification by a Commission representative that the device is causing harmful interference.
Operation shall not resume until the condition causing the harmful interference has been corrected. 47 CFR § 15.5.
176
The rules currently require Part 15 intentional radiators to be labeled with an FCC identification number and a
statement that operation is subject to the conditions that the device not cause harmful interference and must accept
any interference received. This information may be provided in electronic form. 47 CFR §§ 2.925(a), 2.935 and
15.19(a)(3). In addition, the user’s manual, which may be provided electronically, must caution the user that
unauthorized changes or modifications to a device could void the user's authority to operate it. 47 CFR § 15.21.
Federal Communications Commission FCC 18-147
33
IV. PROCEDURAL MATTERS
92. Paperwork Reduction Act Analysis.—This document contains proposed new or modified
information collection requirements. The Commission, as part of its continuing effort to reduce
paperwork burdens, invites the general public and the Office of Management and Budget (OMB) to
comment on the information collection requirements contained in this document, as required by the
Paperwork Reduction Act of 1995, Public Law 104-13. In addition, pursuant to the Small Business
Paperwork Relief Act of 2002, Public Law 107-198, see 44 U.S.C. § 3506(c)(4), we seek specific
comment on how we might further reduce the information collection burden for small business concerns
with fewer than 25 employees.
93. Initial Regulatory Flexibility Analysis.—As required by the Regulatory Flexibility Act,
177
the Commission has prepared an Initial Regulatory Flexibility Analysis (IRFA) of the possible significant
economic impact on a substantial number of small entities of the proposals addressed in this Notice. The
IRFA is found in Appendix C. We request written public comment on the IRFA. Comments must be
filed in accordance with the same filing deadlines as comments filed in response to the NPRM and must
have a separate and distinct heading designating them as responses to the IRFA. The Commission’s
Consumer and Governmental Affairs Bureau, Reference Information Center, will send a copy of this
Notice, including the IRFA, to the Chief Counsel for Advocacy of the Small Business Administration, in
accordance with the Regulatory Flexibility Act.
178
94. Filing Requirements.—Pursuant to sections 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: http://apps.fcc.gov/ecfs/.
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 12
th
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 9050 Junction Drive, Annapolis Junction, MD 20701.
U.S. Postal Service first-class, Express, and Priority mail must be addressed to 445 12
th
Street, SW, Washington DC 20554.
95. People with Disabilities.—To request materials in accessible formats for people with
disabilities (braille, large print, electronic files, audio format), send an e-mail to [email protected] or call
the Consumer & Governmental Affairs Bureau at 202-418-0530 (voice), 202-418-0432 (TTY).
177
5 U.S.C. § 603.
178
5 U.S.C. § 603(a).
Federal Communications Commission FCC 18-147
34
96. Availability of Documents.—Comments, reply comments, and ex parte submissions will
be publicly available online via ECFS.
179
These documents will also be available for public inspection
during regular business hours in the FCC Reference Information Center, which is located in Room CY-
A257 at FCC Headquarters, 445 12th Street, SW, Washington, DC 20554. The Reference Information
Center is open to the public Monday through Thursday from 8:00 a.m. to 4:30 p.m. and Friday from 8:00
a.m. to 11:30 a.m.
97. Ex Parte Presentations.—The proceedings shall be treated as “permit-but-disclose”
proceedings in accordance with the Commission’s ex parte rules.
180
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 rule 1.1206(b). In proceedings governed by rule 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 these proceeding should familiarize
themselves with the Commission’s ex parte rules.
98. Additional Information.—For additional information on this proceeding, contact Nicholas
Oros, OET, [email protected] (202) 418-0636; or Michael Ha, OET, Michael.Ha, (202) 418-2099.
V. ORDERING CLAUSES
99. IT IS ORDERED, pursuant to the authority found in Sections 4(i), 201, 302, and 303 of
the Communications Act of 1934, as amended, 47 U.S.C. §§ 154(i), 201, 302a, 303, and Section 1.411 of
the Commission’s Rules, 47 C.F.R § 1.411, that this Notice of Proposed Rulemaking IS HEREBY
ADOPTED.
100. IT IS FURTHER ORDERED that NOTICE IS HEREBY GIVEN of the proposed
regulatory changes described in this Notice of Proposed Rulemaking, and that comment is sought on these
proposals.
101. IT IS FURTHER ORDERED that the Commission’s Consumer and Governmental
Affairs Bureau, Reference Information Center, SHALL SEND a copy of this Notice of Proposed
Rulemaking, including the Initial Regulatory Flexibility Analysis, to the Chief Counsel for Advocacy of
the Small Business Administration.
FEDERAL COMMUNICATIONS COMMISSION
179
Documents will generally be available electronically in ASCII, Microsoft Word, and/or Adobe Acrobat.
180
47 CFR §§ 1.1200 et seq.
Federal Communications Commission FCC 18-147
35
Marlene H. Dortch
Secretary
Federal Communications Commission FCC 18-147
36
APPENDIX A
Incumbent Analysis
1. The table below shows the number of call signs by service type in each of the four
sub-bands.
1
Note that each call sign may represent multiple stations. For example, there may be multiple
hops included in a fixed microwave link. Broadcast Auxiliary Service TV Pickup licenses allow an
unlimited number of mobile transmitters to operate within a specified region, which operate under a
single call sign.
U.S. Table of Alloc ations
Service Type Radio Service
Common Carrier CF
MG
MW
WA
LTTS CT
AB
AI
AS
LP
LV
RP
TB
TI
TP
TS
TT
CARS CARS
FSS (Earth-to-space)
FSS (space-to-Earth)
AB Aural Microwave Booster MG MW Industrial/Business Pool
AI Aural Intercity Relay MW MW Public Safety Pool
AS
Aural Studio Tx Link
OFS Operational Fixed Service
BAS Broadcast Auxiliary Service RP Broadcast Auxiliary Remote Pickup
CARS Cable Television Relay Service TB TV Microwave Booster
CF Common Carrier Fxd P2P MW TI
TV Intercity Relay
CT Local Television Transmission TP TV Pickup
FSS Fixed Satellite Service TS
TV Studio Transmitter Link
LTTS
Local Television Transmission Service
TT
TV Translator Relay
LP
Broadcast Auxiliary Low Power
WA
Microwave Aviation
LV Low Power Wireless Assist Video Devices
F SS (Earth-to-space)
F SS
F SS
F SS
F SS
F SS
MOBILE
UNII-8
(250 MHz)
Part 15 Ultra Wideband
UNII-5
(500 MHz)
UNII-6
(100 MHz)
UNII-7
(350 MHz)
MOBILE
F IXED
7.025
7.075
7.125
F IXED
F IXED
F IXED
F IXED
F IXED
6.875
5.925
6.425
6.525
6.7
14,530
7,654
6,619
-
6
4
43
140
-
61
SAT
-
-
-
-
-
-
-
-
-
BAS
-
-
-
-
-
-
-
27
-
1,464
-
-
1
137
-
-
24
20
Number o f Incumbent Call Signs
OFS
1,646
205
21
6
21
1
1
6
2,928
346
32
9
43
-
37
-
3,050
7,357
7,045
4
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
1
The table reflects unique call signs in each sub-band. A call sign associated with assignments in multiple sub-
bands is counted once in each sub-band. A query of FCC databases showed the following numbers of unique call
signs between 5.925 and 7.125 GHz: (1) Universal Licensing System (ULS); 46,168 call signs on June 22, 2018, (2)
International Bureau Electronic Filing System (IBFS); 1,498 call signs on June 22, 2018 and Cable Operations and
Licensing System (COALS); 29 call signs on June 25, 2018. Grandfathered receive earth stations are permitted
within 300 meters of a) Brewster, WA (48° 08’ 46.7” N, 119° 42’ 8.0” W) in the 7.025-7.075 GHz band; and (b)
Clifton TX (31° 47’ 58.5” N, 97° 36’ 46.7” W) and Finca Pascual, PR (17° 58’ 41.8” N, 67° 8’ 12.6 W) in the
7.025-7.055 GHz band. 47 CFR § 2.106 footnote NG172. Space-to-Earth stations are permitted in 6.700-7.075
GHz limited to feeder links for non-geostationary satellite systems of the MSS. 47 CFR § 2.106 footnote 5.458B.
IBFS shows one FSS space-to-Earth earth station on vessel (ESV) call sign in the U-NII-5 band, however, since no
waiver was given for a receive earth station in this band, it is not counted in this table.
Federal Communications Commission FCC 18-147
37
APPENDIX B
Proposed Rules
Part 15 of Title 47 of the Code of Federal Regulations is proposed to be amended as follows:
PART 15 – RADIO FREQUENCY DEVICES
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.
1. Amend section 15.401 to read as follows:
§ 15.401 Scope.
This subpart sets out the regulations for unlicensed National Information Infrastructure (U-NII)
devices operating in the 5.15-5.35 GHz, 5.47-5.725 GHz, 5.725-5.85 GHz, 5.925-6.425 GHz, 6.425-6.525
GHz, 6.525-6.875 GHz, and 6.875-7.125 GHz bands.
2. Amend section 15.403 by redesignating paragraphs (b) through (e) as (c) through (f),
redesignating paragraphs(f) through (s) as (h) through (u), and adding new paragraphs (b) and (g) to read
as follows:
§ 15.403 Definitions.
(a) * * *
(b) Automated Frequency Coordination (AFC) is a system that automatically determines and
provides lists of which frequencies are available for use by access points operating in the 5.925-6.425
GHz and 6.525-6.875 GHz bands.
* * * * *
(g) Client Device. A U-NII device whose transmissions are generally under the control of an
access point and that is not capable of initiating a network.
* * * * *
3. Amend section 15.407 by redesignating paragraphs (a)(4) as (a)(7) and revising
paragraph (a)(5) and redesignating as paragraph (a)(8), adding new paragraphs (a)(4), (5), and (6),
redesignating paragraphs (b)(5) through (8) as (b)(6) through (9), adding new paragraph (b)(5), revising
paragraph (d) and adding a new paragraph (k) as follows.
§ 15.407 General technical requirements.
(a) * * *
(4) For an access point operating in the 5.925-6.425 GHz and 6.525-6.875 GHz bands, the
maximum conducted output power over the frequency band of operation shall not exceed 1 W, provided
the maximum antenna gain does not exceed 6 dBi. In addition, the maximum power spectral density shall
not exceed 17 dBm in any 1 megahertz band. If transmitting antennas of directional gain greater than 6
dBi are used, both the maximum conducted output power and the maximum power spectral density shall
be reduced by the amount in dB that the directional gain of the antenna exceeds 6 dBi.
Federal Communications Commission FCC 18-147
38
(5) For an access point operating in the 6.425-6.525 GHz, and 6.875-7.125 GHz bands, the
maximum conducted output power over the frequency band of operation shall not exceed 250 mW,
provided the maximum antenna gain does not exceed 6 dBi. In addition, the maximum power spectral
density shall not exceed 11 dBm in any 1 megahertz band. If transmitting antennas of directional gain
greater than 6 dBi are used, both the maximum conducted output power and the maximum power spectral
density shall be reduced by the amount in dB that the directional gain of the antenna exceeds 6 dBi.
(6) For client devices in the 5.925-6.425 GHz, 6.425-6.525 GHz, 6.525-6.875 GHz, and 6.875-
7.125 GHz bands, the maximum conducted output power over the frequency band of operation shall not
exceed 63 mW provided the maximum antenna gain does not exceed 6 dBi. In addition, the maximum
power spectral density shall not exceed 5 dBm in any 1 megahertz band. If transmitting antennas of
directional gain greater than 6 dBi are used, both the maximum conducted output power and the
maximum power spectral density shall be reduced by the amount in dB that the directional gain of the
antenna exceeds 6 dBi.
* * * * *
(8) The maximum power spectral density is measured as a conducted emission by direct
connection of a calibrated test instrument to the equipment under test. If the device cannot be connected
directly, alternative techniques acceptable to the Commission may be used. Measurements in the 5.725-
5.85 GHz band are made for a reference bandwidth of 500 kHz or the 26 dB emission bandwidth of the
device, whichever is less. Measurements in the 5.15-5.25 GHz, 5.25-5.35 GHz, 5.47-5.725 GHz, 5.925-
6.425 GHz, 6.425-6.525 GHz, 6.525-6.875 GHz, and 6.875-7.125 GHz bands are made for a reference
bandwidth of 1 megahertz or the 26 dB emission bandwidth of the device, whichever is less. A narrower
resolution bandwidth can be used, provided that the measured power is integrated over the full reference
bandwidth.
(b) * * *
(5) For transmitters operating within the 5.925-7.125 GHz band: All emissions outside of the
5.925-7.125 GHz band shall not exceed an e.i.r.p. of −27 dBm/MHz.
* * * * *
(d) Operational restrictions.
(1) Operation of access points in the 5.925-6.425 GHz, 6.425-6.525 GHz, 6.525-6.875 GHz and
6.875-7.125 GHz bands is prohibited in moving vehicles such as cars, trains, and aircraft.
(2) Operation in the 5.925-6.425 GHz, 6.425-6.525 GHz, 6.525-6.875 GHz and 6.875-7.125 GHz
bands is prohibited for control of or communications with unmanned aircraft systems.
(3) Operation in the 6.425-6.525 GHz and 6.875-7.125 GHz bands is limited to indoor locations.
* * * * *
(k) Automated frequency coordination (AFC).
(1) Access points operating in the 5.925-6.425 GHz and 6.525-6.875 GHz bands shall access an
AFC system to determine the available frequencies at their geographic coordinates prior to transmitting.
Access points may transmit only on frequencies indicated as being available by an AFC system.
Federal Communications Commission FCC 18-147
39
(2) An AFC system shall obtain information on protected services within the 5.925-6.425 GHz
and 6.525-6.875 GHz bands from Commission databases and use that information to determine frequency
availability for access points based on protection criteria specified by the Commission.
(3) An AFC system operator will be designated for a five-year term which can be renewed by the
Commission based on the operator’s performance during the term. If an AFC system ceases operation, it
must provide at least 30-days’ notice to the Commission and transfer any registration data to another AFC
system operator.
(4) An AFC system operator may charge fees for providing registration and channel availability
functions.
Federal Communications Commission FCC 18-147
40
APPENDIX C
Initial Regulatory Flexibility Analysis
1. As required by the Regulatory Flexibility Act (RFA) of 1980, as amended,
1
the
Commission has prepared this present 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 this Notice of Proposed Rulemaking (NPRM). Written public comments are requested on this IRFA.
Comments must be identified as responses to the IRFA and must be filed by the deadlines for comments
as specified in the NPRM. The Commission will send a copy of the NPRM, including this IRFA, to the
Chief Counsel for Advocacy of the Small Business Administration (SBA).
2
In addition, the NPRM and
IRFA (or summaries thereof) will be published in the Federal Register.
3
A. Need for, and Objectives of, the Proposed Rules
2. In this NPRM, the Commission proposes to expand unlicensed use of the 5.925-7.125
GHz (6 GHz) band under our Part 15 rules. The Commission focuses on unlicensed use of this band due
to the band’s proximity to the Unlicensed National Information Infrastructure (U-NII) bands, which have
hosted extensive unlicensed device innovation and deployment. The proposed rules are intended to
provide an opportunity for devices such as smartphones, Wi-Fi routers, and IoT devices to be
economically designed to operate across both the 6 GHz and the U-NII bands. We are encouraged by the
fact that the 6 GHz band shares virtually identical propagation properties to the U-NII bands, which have
proven suitable for many unlicensed applications.
3. The rules the Commission proposes in this NPRM are designed to protect important
incumbent licensed services that operate (and continue to grow) in various sub-bands of this spectrum.
Under the proposed rules, the Commission believes that unlicensed use of the band would be compatible
with these incumbent licensed services. To do this, the Commission proposes to divide the 6 GHz band
into four sub-bands based on the prevalence and characteristics of the incumbent services that operate in
that spectrum. Unlicensed access points under the proposed rules would fall into two categories
depending on the sub-bands in which they would operate:
• 5.925-6.425 GHz sub-band and 6.525-6.875 GHz sub-band (totaling 850 megahertz) –
unlicensed operations at the power levels permitted for unlicensed use in the U-NII-1 & -
3 bands
4
—referenced herein as “standard-power access points”—with the operating
frequencies determined by an automated frequency control (AFC) mechanism that
protects the incumbent services in this spectrum from harmful interference; and.
• 6.425-6.525 GHz sub-band and 6.875-7.125 GHz sub-band (totaling 350 megahertz) –
unlicensed operations at the lower more restricted power levels applicable to operations
in the U-NII-2 bands
5
—referenced herein as “low-power access points”— limited to
indoor operation (with no AFC requirement) to prevent harmful interference to the
incumbent services in this spectrum.
1
See 5 U.S.C. § 603. The RFA, see 5 U.S.C. §§ 601-612, has been amended by the Small Business Regulatory
Enforcement Fairness Act of 1996, (SBREFA) Pub. L. No. 104-121, Title II, 110 Stat. 857 (1996).
2
See 5 U.S.C. § 603(a).
3
See 5 U.S.C. § 603(a).
4
The U-NII-1 band is the 5.15-5.25 GHz band, while the U-NII-3 band is the 5.725-5.85 GHz band. Revision of
Part 15 of the Commission’s Rules to Permit Unlicensed National Information Infrastructure (U-NII) Devices in the 5
GHz Band, First Report and Order, 29 FCC Rcd 4127, 4128-4129, para. 4 (2014).
5
The U-NII-2 bands include the 5.25-5.35 GHz (U-NII-2A) and 5.47-5.725 GHz (U-NII-2C) bands. Id.
Federal Communications Commission FCC 18-147
41
In addition, the proposed rules would permit client devices to operate across the entire 6 GHz band while
under the control of either a standard-power access point or a low-power access point. This two-class
approach can expand unlicensed use of the spectrum without causing harmful interference to the
incumbent services that will continue to be authorized to use this spectrum.
4. The 5.925-6.425 GHz and 6.525-6.875 GHz sub-bands are predominantly used by fixed
point-to-point microwave links and by the fixed-satellite service (FSS) for Earth-to-space transmissions.
To protect the microwave links from harmful interference, the proposed rules would require that the
standard-power access point obtain a list of frequencies upon which they may transmit from an AFC
system. The AFC system would use information about the microwave links in the Commission’s
licensing database along with the location of the unlicensed standard-power access point to determine
exclusion zones where the standard-power access point may not operate. To ensure that the AFC system
would receive an accurate location of the unlicensed device, the NPRM seeks comment on whether to
require that standard-power access points be professionally installed. Because the FSS in these sub-bands
transmits in the Earth-to-space direction, the AFC system would not need to protect the satellite earth
stations from interference from the unlicensed devices. However, the NPRM seeks comment on the
potential for the satellite receivers to receive harmful interference due to the aggregate transmissions from
unlicensed devices operating in these sub-bands.
5. The 6.425-6.525 GHz and 6.875-7.125 GHz sub-bands are used for mobile stations in
the Broadcast Auxiliary Service and the Cable Television Relay Service as well as fixed point-to-point
microwave links. Because these sub-bands have mobile operations, an AFC system would not be able to
determine exclusion zones to protect all of these services. Instead, the proposed rules would allow the
unlicensed operations at a lower power level and restrict their operations to indoors to prevent harmful
interference to the services operating in these sub-bands.
6. Under the proposed rules the client devices would only be allowed to transmit under the
control of a standard-power access point or low-power access point, depending on which sub-band they
operate in, and would be restricted to operation at an even lower power than the low-power access point.
B. Legal Basis
7. The proposed action is authorized pursuant to Sections 4(i), 201, 302, and 303 of the
Communications Act of 1934, as amended, 47 U.S.C. §§ 154(i), 201, 302a, 303.
C. Description and Estimate of the Number of Small Entities to Which the Proposed
Rules Will Apply
8. 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.
6
The
RFA generally defines the term “small entity” as having the same meaning as the terms “small business,”
“small organization,” and “small governmental jurisdiction.”
7
In addition, the term “small business” has
the same meaning as the term “small business concern” under the Small Business Act.
8
A “small
6
5 U.S.C. § 603(b)(3).
7
5 U.S.C. § 601(6).
8
5 U.S.C. § 601(3) (incorporating by reference the definition of “small-business concern” in the Small Business
Act, 15 U.S.C. § 632). Pursuant to 5 U.S.C. § 601(3), the statutory definition of a small business applies “unless an
agency, after consultation with the Office of Advocacy of the Small Business Administration and after opportunity
for public comment, establishes one or more definitions of such term which are appropriate to the activities of the
agency and publishes such definition(s) in the Federal Register.”
Federal Communications Commission FCC 18-147
42
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.
9
9. Small Businesses, Small Organizations, Small Governmental Jurisdictions. Our actions,
over time, may affect small entities that are not easily categorized at present. We therefore describe here,
at the outset, three broad groups of small entities that could be directly affected herein.
10
First, while
there are industry specific size standards for small businesses that are used in the regulatory flexibility
analysis, according to data from the SBA’s Office of Advocacy, in general a small business is an
independent business having fewer than 500 employees.
11
These types of small businesses represent
99.9% of all businesses in the United States which translates to 28.8 million businesses.
12
10. Next, the type of small entity described as a “small organization” is generally “any not-
for-profit enterprise which is independently owned and operated and is not dominant in its field.”
13
Nationwide, as of August 2016, there were approximately 356,494 small organizations based on
registration and tax data filed by nonprofits with the Internal Revenue Service (IRS).
14
11. Finally, the small entity described as a “small governmental jurisdiction” is defined
generally as “governments of cities, counties, towns, townships, villages, school districts, or special
districts, with a population of less than fifty thousand.”
15
U.S. Census Bureau data from the 2012 Census
of Governments
16
indicate that there were 90,056 local governmental jurisdictions consisting of general
purpose governments and special purpose governments in the United States.
17
Of this number there were
37,132 General purpose governments (county,
18
municipal and town or township
19
) with populations of
9
15 U.S.C. § 632.
10
See 5 U.S.C. § 601(3)-(6).
11
See SBA, Office of Advocacy, “Frequently Asked Questions, Question 1 – What is a small business?”
https://www.sba.gov/sites/default/files/advocacy/SB-FAQ-2016_WEB.pdf (June 2016).
12
See SBA, Office of Advocacy, “Frequently Asked Questions, Question 2- How many small businesses are there in
the U.S.?” https://www.sba.gov/sites/default/files/advocacy/SB-FAQ-2016_WEB.pdf (June 2016).
13
5 U.S.C. § 601(4).
14
Data from the Urban Institute, National Center for Charitable Statistics (NCCS) reporting on nonprofit
organizations registered with the IRS was used to estimate the number of small organizations. Reports generated
using the NCCS online database indicated that as of August 2016 there were 356,494 registered nonprofits with total
revenues of less than $100,000. Of this number, 326,897 entities filed tax returns with 65,113 registered nonprofits
reporting total revenues of $50,000 or less on the IRS Form 990-N for Small Exempt Organizations and 261,784
nonprofits reporting total revenues of $100,000 or less on some other version of the IRS Form 990 within 24 months
of the August 2016 data release date. See http://nccs.urban.org/sites/all/nccs-archive/html//tablewiz/tw.php where
the report showing this data can be generated by selecting the following data fields: Report: “The Number and
Finances of All Registered 501(c) Nonprofits”; Show: “Registered Nonprofits”; By: “Total Revenue Level (years
1995, Aug to 2016, Aug)”; and For: “2016, Aug” then selecting “Show Results”.
15
5 U.S.C. § 601(5).
16
See 13 U.S.C. § 161. The Census of Government is conducted every five (5) years compiling data for years
ending with “2” and “7.” See also Program Description Census of Government
https://factfinder.census.gov/faces/affhelp/jsf/pages/metadata.xhtml?lang=en&type=program&id=program.en.CO
G#.
17
See U.S. Census Bureau, 2012 Census of Governments, Local Governments by Type and State: 2012 - United
States-States. https://factfinder.census.gov/bkmk/table/1.0/en/COG/2012/ORG02.US01. Local governmental
jurisdictions are classified in two categories - General purpose governments (county, municipal and town or
township) and Special purpose governments (special districts and independent school districts).
18
See U.S. Census Bureau, 2012 Census of Governments, County Governments by Population-Size Group and
State: 2012 - United States-States. https://factfinder.census.gov/bkmk/table/1.0/en/COG/2012/ORG06.US01. There
were 2,114 county governments with populations less than 50,000.
Federal Communications Commission FCC 18-147
43
less than 50,000 and 12,184 Special purpose governments (independent school districts
20
and special
districts
21
) with populations of less than 50,000. The 2012 U.S. Census Bureau data for most types of
governments in the local government category show that the majority of these governments have
populations of less than 50,000.
22
Based on this data we estimate that at least 49,316 local government
jurisdictions fall in the category of “small governmental jurisdictions.”
23
12. Fixed Microwave Services. Microwave services include common carrier,
24
private-
operational fixed,
25
and broadcast auxiliary radio services.
26
They also include the Upper Microwave
Flexible Use Service,
27
Millimeter Wave Service,
28
Local Multipoint Distribution Service (LMDS),
29
the
Digital Electronic Message Service (DEMS),
30
and the 24 GHz Service,
31
where licensees can choose
between common carrier and non-common carrier status.
32
At present, there are approximately 66,680
common carrier fixed licensees, 69,360 private and public safety operational-fixed licensees, 20,150
broadcast auxiliary radio licensees, 411 LMDS licenses, 33 24 GHz DEMS licenses, 777 39 GHz
(Continued from previous page)
19
See U.S. Census Bureau, 2012 Census of Governments, Subcounty General-Purpose Governments by Population-
Size Group and State: 2012 - United States – States.
https://factfinder.census.gov/bkmk/table/1.0/en/COG/2012/ORG07.US01. There were 18,811 municipal and 16,207
town and township governments with populations less than 50,000.
20
See U.S. Census Bureau, 2012 Census of Governments, Elementary and Secondary School Systems by
Enrollment-Size Group and State: 2012 - United States-States.
https://factfinder.census.gov/bkmk/table/1.0/en/COG/2012/ORG11.US01. There were 12,184 independent school
districts with enrollment populations less than 50,000.
21
See U.S. Census Bureau, 2012 Census of Governments, Special District Governments by Function and State:
2012 - United States-States. https://factfinder.census.gov/bkmk/table/1.0/en/COG/2012/ORG09.US01. The U.S.
Census Bureau data did not provide a population breakout for special district governments.
22
See U.S. Census Bureau, 2012 Census of Governments, County Governments by Population-Size Group and
State: 2012 - United States-States - https://factfinder.census.gov/bkmk/table/1.0/en/COG/2012/ORG06.US01;
Subcounty General-Purpose Governments by Population-Size Group and State: 2012 - United States–States -
https://factfinder.census.gov/bkmk/table/1.0/en/COG/2012/ORG07.US01; and Elementary and Secondary School
Systems by Enrollment-Size Group and State: 2012 - United States-States.
https://factfinder.census.gov/bkmk/table/1.0/en/COG/2012/ORG11.US01. While U.S. Census Bureau data did not
provide a population breakout for special district governments, if the population of less than 50,000 for this category
of local government is consistent with the other types of local governments the majority of the 38, 266 special
district governments have populations of less than 50,000.
23
Id.
24
See 47 CFR Part 101, Subparts C and I.
25
See 47 CFR Part 101, Subparts C and H.
26
Auxiliary Microwave Service is governed by Part 74 of Title 47 of the Commission’s Rules. See 47 CFR Part 74.
Available to licensees of broadcast stations and to broadcast and cable network entities, broadcast auxiliary
microwave stations are used for relaying broadcast television signals from the studio to the transmitter, or between
two points such as a main studio and an auxiliary studio. The service also includes mobile TV pickups, which relay
signals from a remote location back to the studio.
27
See 47 CFR Part 30.
28
See 47 CFR Part 101, Subpart Q.
29
See 47 CFR Part 101, Subpart L.
30
See 47 CFR Part 101, Subpart G.
31
See id.
32
See 47 CFR §§ 101.533, 101.1017.
Federal Communications Commission FCC 18-147
44
licenses, and five 24 GHz licenses, and 467 Millimeter Wave licenses in the microwave services.
33
The
Commission has not yet defined a small business with respect to microwave services. The closest
applicable SBA category is Wireless Telecommunications Carriers (except Satellite) and the appropriate
size standard for this category under SBA rules is that such a business is small if it has 1,500 or fewer
employees.
34
For this industry, U.S. Census data for 2012 show that there were 967 firms that operated
for the entire year.
35
Of this total, 955 firms had employment of 999 or fewer employees and 12 had
employment of 1000 employees or more.
36
Thus, under this SBA category and the associated size
standard, the Commission estimates that a majority of fixed microwave service licensees can be
considered small.
13. Public Safety Radio Licensees. As a general matter, Public Safety Radio Pool licensees
include police, fire, local government, forestry conservation, highway maintenance, and emergency
medical services.
37
Because of the vast array of public safety licensees, the Commission has not
developed a small business size standard specifically applicable to public safety licensees. The closest
applicable SBA category is Wireless Telecommunications Carriers (except Satellite) which encompasses
business entities engaged in radiotelephone communications. The appropriate size standard for this
category under SBA rules is that such a business is small if it has 1,500 or fewer employees.
38
For this
industry, U.S. Census data for 2012 show that there were 967 firms that operated for the entire year.
39
Of
this total, 955 firms had employment of 999 or fewer employees and 12 had employment of 1000
employees or more.
40
Thus, under this category and the associated size standard, the Commission
estimates that the majority of firms can be considered small. With respect to local governments, in
particular, since many governmental entities comprise the licensees for these services, we include under
public safety services the number of government entities affected. According to Commission records,
there are a total of approximately 133,870 licenses within these services.
41
There are 3.121 licenses in the
33
These statistics are based on a review of the Universal Licensing System on September 22, 2015.
34
See 13 CFR § 121.201, NAICS code 517312.
35
U.S. Census Bureau, 2012 Economic Census of the United States, Table EC1251SSSZ5, Information: Subject
Series, “Estab and Firm Size: Employment Size of Firms for the U.S.: 2012 NAICS Code 517210” (rel. Jan. 8,
2016). https://factfinder.census.gov/bkmk/table/1.0/en/ECN/2012_US/51SSSZ5//naics~517210.
36
Id. Available census data do not provide a more precise estimate of the number of firms that have employment of
1,500 or fewer employees; the largest category provided is for firms with “1000 employees or more.”
37
See subparts A and B of Part 90 of the Commission’s Rules, 47 C.F.R. §§ 90.1-90.22. Police licensees serve state,
county, and municipal enforcement through telephony (voice), telegraphy (code), and teletype and facsimile (printed
material). Fire licensees are comprised of private volunteer or professional fire companies, as well as units under
governmental control. Public Safety Radio Pool licensees also include state, county, or municipal entities that use
radio for official purposes. State departments of conservation and private forest organizations comprise forestry
service licensees that set up communications networks among fire lookout towers and ground crews. State and local
governments are highway maintenance licensees that provide emergency and routine communications to aid other
public safety services to keep main roads safe for vehicular traffic. Emergency medical licensees use these channels
for emergency medical service communications related to the delivery of emergency medical treatment. Additional
licensees include medical services, rescue organizations, veterinarians, persons with disabilities, disaster relief
organizations, school buses, beach patrols, establishments in isolated areas, communications standby facilities, and
emergency repair of public communications facilities.
38
See 13 CFR § 121.201, NAICS code 517312.
39
U.S. Census Bureau, 2012 Economic Census of the United States, Table EC1251SSSZ5, Information: Subject
Series: Estab and Firm Size: Employment Size of Firms for the U.S.: 2012 NAICS Code 517210 (rel. Jan. 8, 2016).
https://factfinder.census.gov/bkmk/table/1.0/en/ECN/2012_US/51SSSZ5//naics~517210.
40
Id. Available census data do not provide a more precise estimate of the number of firms that have employment of
1,500 or fewer employees; the largest category provided is for firms with “1000 employees or more.”
41
This figure was derived from Commission licensing records as of June 27, 2008. Licensing numbers change on a
daily basis. We do not expect this number to be significantly smaller today. This does not indicate the number of
Federal Communications Commission FCC 18-147
45
4.9 GHz band, based on an FCC Universal Licensing System search of March 29, 2017.
42
We estimate
that fewer than 2,442 public safety radio licensees hold these licenses because certain entities may have
multiple licenses.
14. Satellite Telecommunications. This category comprises firms “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.”
43
Satellite telecommunications service providers include satellite
and earth station operators. The category has a small business size standard of $32.5 million or less in
average annual receipts, under SBA rules.
44
For this category, U.S. Census Bureau data for 2012 show
that there were a total of 333 firms that operated for the entire year.
45
Of this total, 299 firms had annual
receipts of less than $25 million.
46
Consequently, we estimate that the majority of satellite
telecommunications providers are small entities.
15. Wireless Telecommunications Carriers (except Satellite). This industry comprises
establishments engaged in operating and maintaining switching and transmission facilities to provide
communications via the airwaves. Establishments in this industry have spectrum licenses and provide
services using that spectrum, such as cellular services, paging services, wireless Internet access, and
wireless video services.
47
The appropriate size standard under SBA rules is that such a business is small
if it has 1,500 or fewer employees.
48
For this industry, U.S. Census Bureau data for 2012 show that there
were 967 firms that operated for the entire year.
49
Of this total, 955 firms had employment of 999 or
fewer employees and 12 had employment of 1000 employees or more.
50
Thus, under this category and
the associated size standard, the Commission estimates that the majority of wireless telecommunications
carriers (except satellite) are small entities.
16. The Commission’s own data—available in its Universal Licensing System—indicate that,
(Continued from previous page)
licensees, as licensees may hold multiple licenses. There is no information currently available about the number of
public safety licensees that have less than 1,500 employees.
42
Based on an FCC Universal Licensing System search of March 29, 2017. Search parameters: Radio Service = PA
– Public Safety 4940-4990 MHz Band; Authorization Type = Regular; Status = Active.
43
U.S. Census Bureau, 2017 NAICS Definitions, “517410 Satellite Telecommunications”;
https://www.census.gov/cgi-bin/sssd/naics/naicsrch?input=517410&search=2017+NAICS+Search&search=2017.
44
13 CFR § 121.201, NAICS code 517410.
45
U.S. Census Bureau, 2012 Economic Census of the United States, Table EC1251SSSZ4, Information: Subject
Series - Estab and Firm Size: Receipts Size of Firms for the United States: 2012, NAICS code 517410
https://factfinder.census.gov/bkmk/table/1.0/en/ECN/2012_US/51SSSZ4//naics~517410.
46
Id.
47
U.S. Census Bureau, 2012 NAICS Definitions, “517210 Wireless Telecommunications Carriers (Except
Satellite),” See https://factfinder.census.gov/faces/affhelp/jsf/pages/metadata.xhtml?lang=en&type=
ib&id=ib.en./ECN.NAICS2012.517210.
48
13 CFR § 121.201, NAICS code 517312.
49
U.S. Census Bureau, 2012 Economic Census of the United States, Table EC1251SSSZ5, Information: Subject
Series: Estab and Firm Size: Employment Size of Firms for the U.S.: 2012 NAICS Code 517210.
https://factfinder.census.gov/bkmk/table/1.0/en/ECN/2012_US/51SSSZ5//naics~517210.
50
Id. Available census data does not provide a more precise estimate of the number of firms that have employment
of 1,500 or fewer employees; the largest category provided is for firms with “1000 employees or more.”
Federal Communications Commission FCC 18-147
46
as of May 17, 2018, there are 264 Cellular licensees.
51
The Commission does not know how many of
these licensees are small, as the Commission does not collect that information for these types of entities.
Similarly, according to internally developed Commission data, 413 carriers reported that they were
engaged in the provision of wireless telephony, including cellular service, Personal Communications
Service (PCS), and Specialized Mobile Radio (SMR) Telephony services.
52
Of this total, an estimated
261 have 1,500 or fewer employees, and 152 have more than 1,500 employees.
53
Thus, using available
data, we estimate that the majority of wireless firms can be considered small.
17. Auxiliary, Special Broadcast and Other Program Distribution Services. This service
involves a variety of transmitters, generally used to relay broadcast programming to the public (through
translator and booster stations) or within the program distribution chain (from a remote news gathering
unit back to the station). Neither the SBA nor the Commission has developed a size standard applicable
to broadcast auxiliary licensees. The closest applicable SBA category and small business size standard
falls under Radio Stations and Television Broadcasting.
54
U.S. Census Bureau data for 2012 show that
2,849 radio station firms operated during that year.
55
Of that number, 2,806 firms operated with annual
receipts of less than $25 million per year, 17 with annual receipts between $25 million and $49,999,999
million and 26 with annual receipts of $50 million or more.
56
For Television Broadcasting the SBA
small business size standard is such businesses having $38.5 million or less in annual receipts.
57
U.S.
Census Bureau data show that 751 firms in this category operated in that year.
58
Of that number, 656 had
annual receipts of $25,000,000 or less, 25 had annual receipts between $25,000,000 and $49,999,999 and
70 had annual receipts of $50,000,000 or more.
59
Accordingly, based on the U.S. Census Bureau data for
Radio Stations and Television Broadcasting, the Commission estimates that the majority of Auxiliary,
Special Broadcast and Other Program Distribution Services firms are small.
18. Fixed Satellite Transmit/Receive Earth Stations. Neither the SBA nor the Commission
has developed a size standard specifically applicable to Fixed Satellite Transmit/Receive Earth Stations.
The closest applicable category and SBA size standard is for Satellite Telecommunications which has a
small business size standard of $32.5 million or less in average annual receipts.
60
For this category, U.S.
51
See http://wireless.fcc.gov/uls. For the purposes of this IRFA, consistent with Commission practice for wireless
services, the Commission estimates the number of licensees based on the number of unique FCC Registration
Numbers.
52
See Federal Communications Commission, Wireline Competition Bureau, Industry Analysis and Technology
Division, Trends in Telephone Service at Table 5.3 (Sept. 2010) (Trends in Telephone Service),
https://apps.fcc.gov/edocs_public/attachmatch/DOC-301823A1.pdf.
53
See id.
54
13 C.F.R. 121.201, NAICS codes 515112 and 515120.
55
U.S. Census Bureau, Table No. EC1251SSSZ4, Information: Subject Series – Establishment and Firm Size:
Receipts Size of Firms for the United States: 2012 NAICS Code 515112,
https://factfinder.census.gov/bkmk/table/1.0/en/ECN/2012_US/51SSSZ4//naics~515112.
56
Id.
57
13 C.F.R. § 121.201; 2012 NAICS code 515120.
58
U.S. Census Bureau, Table No. EC1251SSSZ4, Information: Subject Series - Establishment and Firm Size:
Receipts Size of Firms for the United States: 2012 (515120 Television Broadcasting).
https://factfinder.census.gov/bkmk/table/1.0/en/ECN/2012_US/51SSSZ4//naics~515120.
59
Id.
60
13 CFR § 121.201, NAICS code 517410.
Federal Communications Commission FCC 18-147
47
Census Bureau data for 2012 show that there were a total of 333 firms that operated for the entire year.
61
Of this total, 299 firms had annual receipts of less than $25 million.
62
Thus, under this category and the
associated size standard, the Commission estimates that the majority of Fixed Satellite Transmit/Receive
Earth Station licensees are small entities. There are approximately 4,303 earth station authorizations, a
portion of which are Fixed Satellite Transmit/Receive Earth Stations. We do not request nor collect
annual revenue information and are therefore unable to estimate the number of earth stations that would
constitute a small business under the SBA definition. However, the majority of these stations could be
impacted by our actions.
D. Description of Projected Reporting, Recordkeeping, and other Compliance
Requirements for Small Entities
19. We expect that all the filing, recordkeeping and reporting requirements associated with
the proposed rules would be the same for large and small businesses; however, we seek comment on any
steps that could be taken to minimize any significant economic impact on small businesses. The proposed
rules would require that standard-power access points use an AFC system to obtain a list of frequencies
upon which they may operate. However, we believe that this rulemaking, by expanding the availability of
unlicensed devices in the 6 GHz band, would provide an advantage to small entities, as these entities
would benefit from being able to access this spectrum without the complication or cost of needing to
obtain a license. On balance, this would constitute a significant benefit for small businesses.
E. Steps Taken to Minimize the Significant Economic Impact on Small Entities, and
Significant Alternatives Considered
20. The RFA requires an agency to describe any significant, specifically small business,
alternatives 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 use of performance, rather than design, standards; and (4) an exemption from coverage of the rule,
or any part thereof, for small entities.”
63
21. The reporting, recordkeeping, and other compliance requirements of the rules proposed in
the NPRM would apply to all entities in the same manner. The Commission believes that applying the
same rules equally to all entities in this context promotes fairness. The Commission does not believe that
the costs and/or administrative burdens associated with the proposed rules would unduly burden small
entities. The rules the Commission adopts should benefit small entities by giving them more options for
gaining access to valuable wireless spectrum. We seek comment on whether any of burdens of the
proposed rules can be further minimized for small businesses.
22. Many of the entities holding licenses for use of the 6 GHz band qualify as small entities.
The proposed rules for unlicensed operation in this band are designed to prevent the unlicensed devices
from causing harmful interference to the licensed services operating in the band. Consequently, we do
not expect that the current and future licensees in the band, including small entities, would experience a
significant economic impact from additional unlicensed use of the spectrum that would be permitted
under the proposed rules.
23. Because users of devices operating under our Part 15 rules do not need to obtain a
Commission license, we expect that small entities would find the unlicensed use of the 6 GHz bands
61
U.S. Census Bureau, 2012 Economic Census of the United States, Table EC1251SSSZ4, Information: Subject
Series - Estab and Firm Size: Receipts Size of Firms for the United States: 2012, NAICS code 517410
https://factfinder.census.gov/bkmk/table/1.0/en/ECN/2012_US/51SSSZ4//naics~517410.
62
Id.
63
5 U.S.C. § 604(a)(6).
Federal Communications Commission FCC 18-147
48
under the proposed rules convenient and economical. In proposing these rules, we have sought to
minimize the compliance burden to both small and large entities. For example, the proposed rules would
allow for the deployment of low-power access point that do not require use of an AFC system in two sub-
bands to provide an opportunity for deployment of unlicensed devices at lower cost in those portions of
the spectrum where the current licensed uses make this practical.
F. Federal Rules that May Duplicate, Overlap, or Conflict with the Proposed Rules
24. None.
Federal Communications Commission FCC 18-147
49
STATEMENT OF
CHAIRMAN AJIT PAI
Re: Unlicensed Use of the 6 GHz Band, ET Docket No. 18-295; Expanding Flexible Use in Mid-Band
Spectrum Between 3.7 and 24 GHz, GN Docket No. 17-183.
If I asked you for 1989’s great accomplishments, you might say the fall of the Berlin Wall, the
launch of the Batman film series, and the beginning of the 2.4 and 5 GHz unlicensed bands . . . in that
order.
And in the last three decades, unlicensed devices have proliferated (as have Batman movies).
From Wi-Fi routers to connected home appliances to retro cordless phones for those of us who still have
landlines, we use devices that connect via unlicensed spectrum every day. Indeed, they’ve become so
popular that there is now a shortage of airwaves dedicated for their use.
So today, we address this problem by proposing to open up 1,200 megahertz of spectrum in the 6
GHz band for different types of unlicensed uses. And we seek to do so in a way that will protect
incumbent licensed operations in the band.
This decision will help us meet the mandate set forth in RAY BAUM’S Act to make more
spectrum available for unlicensed use. It is also part of our aggressive and balanced spectrum strategy:
pushing more licensed and unlicensed spectrum into the commercial marketplace and including a mix of
low-band, mid-band, and high-band spectrum. And with the massive amount of wireless traffic that is
off-loaded to Wi-Fi, opening up this wide swath of spectrum for unlicensed use could be a big boost to
our nation’s 5G future.
We look forward to compiling a robust record and then acting quickly to make more 6 GHz
spectrum available for unlicensed uses. Indeed, I’m optimistic that we should be able to get the job done
before the next Batman movie is released.
Thanks to the staff who worked on this item. In particular, thanks to Bahman Badipour, Brian
Butler, Rashmi Doshi, David Duarte, Michael Ha, Ira Keltz, Julie Knapp, Paul Murray, Nicholas Oros,
Aspasia Paroutsas, Barbara Pavon, Siobahn Philemon, Jamison Prime, Karen Rackley, Hugh Van Tuyl,
and Aole Wilkins El from the Office of Engineering and Technology; John Evanoff, David Furth, Lauren
Kravetz, and Michael Wilhelm from the Public Safety and Homeland Security Bureau; Jose Albuquerque,
Christopher Bair, and Jennifer Gilsenan from the International Bureau; Chris Andes, Stephen Buenzow,
Lloyd Coward, Peter Daronco, Thomas Derenge, Ariel Diamond, Charles Mathias, Aalok Mehta, Roger
Noel, Charles Oliver, Matthew Pearl, Paul Powell, Blaise Scinto, Jeffrey Tignor, Brian Wondrack, and
Stephen Zak from the Wireless Telecommunications Bureau; Thomas Horan, John Wong, and Sean Yun
from the Media Bureau; Maura McGowan from the Office of Communications Business Opportunities;
and David Horowitz, Keith McCrickard, and Bill Richardson from the Office of General Counsel.
Federal Communications Commission FCC 18-147
50
STATEMENT OF
COMMISSIONER MICHAEL O’RIELLY
Re: Unlicensed Use of the 6 GHz Band, ET Docket No, 18-295; Expanding Flexible Use in Mid-Band
Spectrum Between 3.7 and 24 GHz, GN Docket No. 17-183.
Many people tout particular technologies and/or economic studies showing the value of new use
cases to support allocating additional unlicensed spectrum. But, I have never focused intently on such
points. While informative, I tend to agree with a previously quoted former employer that the beauty of
unlicensed spectrum is that no one can predict what American innovators and creative geniuses will think
up next. It’s really up to them to turn our efforts into products, services, and endless possibilities for the
benefit of our people.
Further, it is undisputed that the exponential growth of wireless data, especially over unlicensed
networks, has led to severe congestion in our highly-prized unlicensed spectrum bands, primarily 2.4 and
5 GHz. Consider that total U.S. Internet traffic is estimated to increase three-fold between 2016 and
2021, and Wi-Fi networks will grow to carry almost 52 percent of this traffic.
1
For these reasons, I
pushed early in my term to make additional bands available to the unlicensed community – a view also
shared by Congress, including in the enacted MOBILE NOW Act. Accordingly, I was one of the first
voices to advocate for allowing unlicensed use in 6 GHz and supporters have been able to cajole skeptics
to jump on board and help move this Notice forward.
To be clear, this is a prime location for unlicensed services for multiple reasons, but particularly
because it is adjacent to 5 GHz and compliments the forthcoming clearing efforts in the C-band downlink
band (3.7-4.2 GHz). Moreover, studies in the record demonstrate that unlicensed spectrum at 6 GHz can
likely be done without causing harmful interference to existing incumbents. Now, if we could only open
up the 5.9 GHz Band for unlicensed use as well, for which I believe there are four solid votes in favor, we
would really be on to something special, as it’s the missing link between the 5 GHz and 6 GHz bands.
Since today’s Notice takes a giant step to open a large swath of spectrum needed for increased
capacity, higher speeds, and lower latency for unlicensed 5G or technologies not yet envisioned, it has my
full support. I look forward to exploring the issues raised in it, including the best means to protect
incumbents from harmful interference. I thank the Chairman for bringing this to a long-awaited vote and
all my colleagues for agreeing to add questions at my request, such as those pertaining to low-power
indoor use in the newly-minted UNII-5 and UNII-7 bands, including seeking comment on permitting such
operations without an automatic frequency coordinator, and the use of portable devices. I know these
ideas, and many others in the Notice, may raise initial concern from some, but these are discussions that
need to be had and everyone will have an opportunity to express their views.
1
Cisco, VNI Forecast Highlights Tool, United States, 2021 Forecast Highlights,
https://www.cisco.com/c/m/en_us/solutions/service-provider/vni-forecast-highlights.html# (last visited Oct. 23,
2018).
Federal Communications Commission FCC 18-147
51
STATEMENT OF
COMMISSIONER BRENDAN CARR
Re: Unlicensed Use of the 6 GHz Band, ET Docket No. 18-295; Expanding Flexible Use in Mid-Band
Spectrum Between 3.7 and 24 GHz, GN Docket No. 17-183.
Drop it like it’s hot … spot.
Abraham Linksys.
John Wilkes Bluetooth.
Wu-Tang LAN.
Pretty Fly for a Wi-Fi.
These are some of the more creative (or at least punny) names you might see when searching for
a Wi-Fi connection. And the sheer number of network names that pop up confirms what the data tell us.
Your neighbors, your family, and nearby businesses are all competing for a relatively limited amount of
unlicensed spectrum. And those spectrum bands are getting congested.
After all, Wi-Fi networks are the workhorses of our connected lives. We hear so much in telecom
about the difficulty of connecting the “last mile.” And when we are at home or at work the final few feet
of that last mile are often spanned by Wi-Fi, Bluetooth, or another unlicensed technology. Few realize
that without Wi-Fi and the unlicensed spectrum it uses, even the best commercial wireless networks
would strain to keep up with consumer demand. In fact, a study out last week shows that even among
Americans with unlimited mobile data plans, two-thirds of their data still rides on Wi-Fi.
And it’s surprising that so much is done with so little. The 2.4 GHz band is home to some of the
original Wi-Fi devices, cordless phones, baby monitors, and Bluetooth devices that came to market nearly
20 years ago. Two decades of devices send and receive information over just 83 MHz of spectrum in that
band. The 5 GHz band, which is used to transmit at a faster rate and to relieve congestion in 2.4, adds
only 150 MHz.
As we move towards 5G, demand on our unlicensed bands will only increase. From the Internet
of Things to smart ag to new telehealth applications, we need more spectrum to connect billions of new
devices to the Internet. That’s why today’s proceeding is so important. It proposes to add 1,200 MHz of
prime mid-band spectrum for unlicensed use—that’s five times the spectrum available today in the 2.4
and 5 GHz bands.
There are issues to be resolved in this proceeding, for sure. Would unlicensed use in the 6 GHz
band cause harmful interference to incumbents? If so, how could we tailor protections that maximize use
of the band? These are technical issues that require the input and engagement of all stakeholders. So I
encourage parties to work with the Commission to develop appropriate rules. And we need to do so
expeditiously. Few predicted how important the 2.4 and 5 GHz bands would be to the modern world
when the FCC made them available more than 30 years ago. That history suggests the enormous
potential value of the steps we take today.
So I want to thank the Office of Engineering and Technology and the Wireless
Telecommunications Bureau for their work on this item. It has my support.
Federal Communications Commission FCC 18-147
52
STATEMENT OF
COMMISSIONER JESSICA ROSENWORCEL
Re: Unlicensed Use of the 6 GHz Band, ET Docket No, 18-295; Expanding Flexible Use in Mid-Band
Spectrum Between 3.7 and 24 GHz, GN Docket No. 17-183.
You may not know it, but your life runs on unlicensed spectrum. It might have been the laptop
you popped open this morning to check your e-mail. Or it could have been the baby monitor you used to
keep tabs on your little one last night. Maybe it was the fitness tracker you counted on to count your
steps or the music you streamed through your phone to power you through a jog. Or it could have been
the traffic application you checked before hitting the road for your daily commute after closing your
garage door remotely with the press of a button. No matter who you are or where you live, the odds are
good that you have benefited from unlicensed airwaves and Wi-Fi.
These conveniences are not the gifts of the spectrum gods. They are the byproduct of wireless
policy choices that were made at the Federal Communications Commission more than three decades ago.
A renegade band of engineers at this agency led the charge. They challenged the status quo by suggesting
that spectrum that was not licensed to individuals could be useful for all. Instead of having the FCC
dictate what could be done in certain bands, the agency would leave it up to the public. So the FCC
opened a handful of underused frequencies—airwaves that were widely viewed as “garbage bands”—to
anyone who followed some basic technical rules.
This was radical. It was edgy stuff. It was a bet that access to some airwaves by public rule
rather than private license would lead to a whole new world of wireless uses.
It was a good bet. Because in time a standard was developed known as 802.11—and this is where
Wi-Fi was born. Today, Wi-Fi adds more than $500 billion to the United States economy every year—
and $2 trillion globally. It has democratized internet access, helped carriers manage their networks, and
fostered all sorts of wild innovation. In fact, it’s the perfect sandbox for experimentation, because access
does not require contract or permission.
As exciting as this is, it means the airwaves used by Wi-Fi are getting crowded. Already our
current Wi-Fi bands are congested because they are used by more than 9 billion devices. By the end of
the decade, we will see as many as 50 billion new devices connecting to our networks through the internet
of things. Add this up. We’re going to need a significant swath of new unlicensed spectrum to keep up
with demand.
Now is the time to do something about it. Earlier this year, Congress directed the FCC to
increase the spectrum resources we devote to Wi-Fi. That opportunity could come from the 6 GHz
band—the subject of our rulemaking today. It’s an ideal place to explore Wi-Fi expansion because it’s
close to our existing Wi-Fi bands. It also offers an opportunity to introduce wider channels—channels
that will be able to take advantage of the new 802.11ax or Wi-Fi 6 standard and deliver speeds even faster
than 1 gigabit per second. In other words, this is how we develop next-generation Gigabit Wi-Fi.
I appreciate that my colleagues have made changes to this rulemaking at my request. In
particular, I am grateful this effort now contemplates more opportunities for low-power, indoor Wi-Fi
devices throughout the 6 GHz band. This will promote economies of scale and facilitate use of the same
standards with the nearby 5 GHz band.
This last point is important. Because the demands on existing unlicensed airwaves are so great,
we need an effort beyond the 6 GHz band. We need a fresh look at Wi-Fi opportunities in the 5.9 GHz
band. This is overdue. It was back in 1999 when this agency set aside 75 megahertz of spectrum in this
band for Dedicated Short Range Communications, or DSRC, which was designed to let cars talk to each
other in real time to help reduce accidents. But in the nearly two decades since the FCC allocated this
Federal Communications Commission FCC 18-147
53
spectrum, that has not happened. Testing on DSRC continues, but only a few thousand vehicles have
DSRC on board out of the more than 260 million cars on the road. That’s not surprising when you
consider that autonomous vehicles have already moved on to newer technologies.
That’s why the FCC committed to completing tests by January 15, 2017 to address the safe
operation of Wi-Fi devices in this band. But nearly two years later this agency is silent. No results have
been released. No decisions have been made. And in the intervening time the market has mostly moved
past the test plan we developed. Given these facts, it is time for the FCC to take a fresh look at this band
and update our efforts.
Wi-Fi is a powerful force in the economy. It can foster innovation without license. It can offer a
jolt to the internet of things. It can make our lives more connected and more convenient every day. It’s
time for more of it—and the 6 GHz band and 5.9 GHz band are the right place to start. Let’s get to it.