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2. Section 1.1307 is amended by revising paragraph (b)(2) to read as follows:
. 1.1307 Actions which may have a significant environmental effect, for which
Environmental Assessments (EAs) must be prepared.
* * * * *
(b) * * *
(1) * * *
(2) Mobile and portable transmitting devices that operate in the Cellular Radiotelephone
Service, the Personal Communications Services (PCS), the Satellite Communications Services,
the Maritime Services (ship earth stations only) and covered Specialized Mobile Radio Service
providers authorized under subpart H of part 22, part 24, part 25, part 80, and part 90 of this
chapter are subject to routine environmental evaluation for RF exposure prior to equipment
authorization or use, as specified in .. 2.1091 and 2.1093 of this chapter. All unlicensed PCS,
unlicensed NII and millimeter wave devices are also subject to routine environmental evaluation
for RF exposure prior to equipment authorization or use, as specified in . 15.253(f), . 15.255(g),
. 15.319(i), and . 15.407(f) of this chapter. All other mobile, portable, and unlicensed
transmitting devices are categorically excluded from routine environmental evaluation for RF
exposure under .. 2.1091 and 2.1093 of this chapter except as specified in paragraphs (c) and (d)
of this section.
* * * * *
PART 2 -- FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS;
GENERAL RULES AND REGULATIONS
1. The authority citation for Part 2 continues to read as follows:
AUTHORITY: Sec. 4, 302, 303 and 307 of the Communications Act of 1934, as amended,
47 U.S.C. Sections 154, 302, 303 and 307, unless otherwise noted.
2. Sections 2.1091(c) and 2.1091(d) of Part 2 are revised to read as follows:
. 2.1091 Radiofrequency radiation exposure evaluation: mobile and unlicensed devices.
* * * * *
(c) Mobile devices
that operate in the Cellular Radiotelephone Service, the Personal
Communications Services, the Satellite Communications Services, the Maritime Services and the
Specialized Mobile Radio Service authorized under subpart H of part 22 of this chapter, part 24
of this chapter, part 25 of this chapter, part 80 of this chapter (ship earth station devices only) and
part 90 of this chapter ("covered" SMR devices only, as defined in the note to Table 1 of
.1.1307(b)(1) of this chapter), are subject to routine environmental evaluation for RF exposure
prior to equipment authorization or use if their effective radiated power (ERP) is 1.5 watts or
more. Unlicensed personal communications service, unlicensed millimeter wave devices and
unlicensed NII devices authorized under . 15.253, . 15.255 and subparts D and E of part 15 of
this chapter are also subject to routine environmental evaluation for RF exposure prior to
equipment authorization or use, regardless of their power used, unless they meet the definition of
a portable device as specified in . 2.1093(b). All other mobile and unlicensed transmitting
devices are categorically excluded from routine environmental evaluation for RF exposure prior
to equipment authorization, except as specified in .. 1.1307(c) and 1.1307(d) of this chapter.
Applications for equipment authorization of mobile and unlicensed transmitting devices subject
to routine environmental evaluation must contain a statement confirming compliance with the
limits specified in paragraph (d) of this section as part of their application. Technical
information showing the basis for this statement must be submitted to the Commission upon
request.
(d) The limits to be used for
evaluation are specified in . 1.1310 of this chapter. All
unlicensed personal communications service (PCS) devices and unlicensed NII devices shall be
subject to the limits for general population/uncontrolled exposure.
* * * * *
3. Section 2.1093(c) of Part 2 is revised to read as follows:
(c) Portable devices that
operate in the Cellular Radiotelephone Service, the Personal
Communications Services, the Satellite Communications services, the Maritime Services and the
Specialized Mobile Radio Service authorized under subpart H of part 22 of this chapter, part 24
of this chapter, part 25 of this chapter, part 80 of this chapter (ship earth station devices only),
part 90 of this chapter ("covered" SMR devices only, as defined in the note to Table 1 of .
1.1307(b)(1) of this chapter), and portable unlicensed personal communication service,
unlicensed NII devices and millimeter wave devices authorized under . 15.253, . 15.255 or
subparts D and E of part 15 of this chapter are subject to routine environmental evaluation for RF
exposure prior to equipment authorization or use. All other portable transmitting devices are
categorically excluded from routine environmental evaluation for RF exposure prior to
equipment authorization, except as specified in .. 1.1307(c) and 1.1307(d) of this chapter.
Applications for equipment authorization of portable transmitting devices subject to routine
environmental evaluation must contain a statement confirming compliance with the limits
specified in paragraph (d) of this section as part of their application. Technical information
showing the basis for this statement must be submitted to the Commission upon request.
* * * * *
PART 15 -- RADIO FREQUENCY DEVICES
1. The authority citation for Part 15 continues to read as follows:
AUTHORITY: Secs. 4, 302, 303, 304, 307 and 624A of the Communications Act of 1934,
as amended, 47 U.S.C. Sections 154, 302, 303, 304, 307 and 544A.
2. Section 15.17(a) of Part 15 is revised to read as follows:
(a) Parties responsible for equipment compliance
are advised to consider the proximity and the
high power of non-Government licensed radio stations, such as broadcast, amateur, land mobile,
and non-geostationary mobile satellite feeder link earth stations, and of U.S. Government radio
stations, which could include high-powered radar systems, when choosing operating frequencies
during the design of their equipment so as to reduce the susceptibility for receiving harmful
interference. Information on non-Government use of the spectrum can be obtained by consulting
the Table of Frequency Allocations in . 2.106 of this chapter.
* * * * *
3. Section 15.205(a) of Part 15 is amended by removing the 5.15-5.35 GHz portion from the
restricted bands table to read as follows:
(a) Except as shown in paragraph
(d) of this section, only spurious emissions are permitted in
any of the frequency bands listed below:.
(1) Until February 1, 1999, this restricted band shall be 0.490-0.510 MHz.
(2) Above 38.6
* * * * *
4. Part 15 is amended by adding a new Subpart E to read as follows:
Subpart E - Unlicensed National Information Infrastructure devices
.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 and 5.725 - 5.825 GHz bands.
.15.403 Definitions.
(a) U-NII devices [Unlicensed]. Intentional radiators operating in the frequency bands 5.15 -
5.35 GHz and 5.725 - 5.825 GHz that provide a wide array of wideband, high data rate, digital,
mobile and fixed communications for individuals, businesses, and institutions.
(b) Peak transmit power. The peak power output as measured over an interval of time equal to
the frame rate or transmission burst of the device under all conditions of modulation. Usually
this parameter 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.
.15.405 Cross reference.
(a) The provisions of subparts A, B, and C of this part apply to unlicensed U-NII devices,
except where specific provisions are contained in subpart E. Manufacturers should note that this
includes the provisions of Sections 15.203 and 15.205.
(b) The requirements of subpart E apply only to the radio transmitter contained in the U-NII
device. Other aspects of the operation of a U-NII device may be subject to requirements
contained elsewhere in this chapter. In particular, a U-NII device that includes digital circuitry
not directly associated with the radio transmitter also is subject to the requirements for
unintentional radiators in subpart B.
.15.407 General technical requirements.
(a) Power limits:
(1) For the band 5.15-5.25 GHz, the peak transmit power over the frequency band
of operation shall not exceed 50 mW. In addition, the peak power spectral density shall not
exceed 2.5 mW/MHz. If transmitting antennas of directional gain greater than 6 dBi are used,
both the peak transmit power and the peak power spectral density shall be reduced by the amount
in dB that the directional gain of the antenna exceeds 6 dBi.
(2) For the band 5.25-5.35 GHz, the peak transmit power over the frequency band
of operation shall not exceed 250 mW. In addition, the peak power spectral density shall not
exceed 12.5 mW/MHz. If transmitting antennas of directional gain greater than 6 dBi are used,
both the peak transmit power and the peak power spectral density shall be reduced by the amount
in dB that the directional gain of the antenna exceeds 6 dBi.
(3) For the band 5.725-5.825 GHz, the peak transmit power over the frequency
band of operation shall not exceed 1 W. In addition, the peak power spectral density shall not
exceed 50 mW/MHz. If transmitting antennas of directional gain greater than 6 dBi are used,
both the peak transmit power and the peak power spectral density shall be reduced by the amount
in dB that the directional gain of the antenna exceeds 6 dBi.
(4) The peak transmit power must be measured over any interval of continuous
transmission using instrumentation calibrated in terms of an rms-equivalent voltage. The
measurement results shall be properly adjusted for any instrument limitations, such as detector
response times, limited resolution bandwidth capability when compared to the emission
bandwidth, sensitivity, etc., so as to obtain a true peak measurement for the emission in question
over the full bandwidth of the channel.
(5) The peak power spectral density is measured as a conducted emission by
direct connection of a calibrated test instrument to the equipment under test. Measurements are
made using a resolution bandwidth of 1 MHz. If the device can not be connected directly,
alternative techniques acceptable to the Commission may be used.
(b) The peak levels of emissions outside of the frequency band of operation shall be
attenuated below the maximum peak power spectral density contained within the band of
operation in accordance with the following limits:
(1) For transmitters operating in the band 5.15-5.25 GHz: all emissions within
the frequency range 5.14-5.15 GHz and 5.35-5.36 GHz must be attenuated by a factor of at least
27 dB; within the frequency range outside these bands by a factor of at least 37 dB.
(2) For transmitters operating in the 5.25-5.35 GHz band: all emissions within
the frequency range from the band edge to 10 MHz above or below the band edge must be
attenuated by a factor of at least 34 dB; for frequencies 10 MHz or greater above or below the
band edge by a factor of at least 44 dB.
(3) For transmitters operating in the 5.725-5.825 GHz band: all emissions within
the frequency range from the band edge to 10 MHz above or below the band edge must be
attenuated by a factor of at least 40 dB; for frequencies 10 MHz or greater above or below the
band edge by a factor of at least 50 dB.
(4) The above emission measurements shall be performed using a minimum
resolution bandwidth of 1 MHz. A lower resolution bandwidth may be employed near the band
edge, when necessary, provided the measured energy is integrated to show the total power over 1
MHz. Regardless of the attenuation levels shown above, emissions outside the frequency range
of operation do not need to be attenuated below the general radiated emission limits in . 15.209
of this part.
(5) Unwanted emissions must comply with the general field strength limits set
forth in Section 15.209. Further, any U-NII devices using an AC power line are required to
comply also with the conducted limits set forth in Section 15.207.
(6) The provisions of . 15.205 of this part apply to intentional radiators operating
under this section.
(7) When measuring the emission limits, the nominal carrier frequency shall be
adjusted as close to the upper and lower frequency block edges as the design of the equipment
permits.
(c) The device shall automatically discontinue transmission in case of either absence of
information to transmit or operational failure. These provisions are not intended to preclude the
transmission of control or signalling information or the use of repetitive codes used by certain
digital technologies to complete frame or burst intervals.
(d) Any U-NII device that operates in the 5.15-5.25 GHz band shall use a transmitting
antenna that is an integral part of the device.
(e) Within the 5.15-5.25 GHz band, U-NII devices will be restricted to indoor operations
to reduce any potential for harmful interference to co-channel MSS operations.
(f) U-NII devices are subject to the radio frequency radiation exposure requirements
specified in . 1.1307(b), . 2.1091 and . 2.1093 of this chapter, as appropriate. All equipment
shall be considered to operate in a "general population/uncontrolled" environment. Applications
for equipment authorization of devices operating under this section must contain a statement
confirming compliance with these requirements for both fundamental emissions and unwanted
emissions. Technical information showing the basis for this statement must be submitted to the
Commission upon request.
(g) The frequency stability of the carrier frequency of an intentional radiator operating
under this section shall be + 10 ppm over 10 milliseconds. The frequency stability shall be
maintained over a temperature variation of -20 degrees to +50 degrees Celsius at normal supply
voltage, and over a variation in the primary supply voltage of 85 percent to 115 percent of the
rated supply voltage at a temperature of +20 degrees Celsius. For equipment that is capable of
operating only from a battery, the frequency stability tests shall be performed using a new battery
without any further requirement to vary supply voltage.
APPENDIX B: FINAL REGULATORY FLEXIBILITY ANALYSIS
As required by Section 603 of the Regulatory Flexibility Act, 5 U.S.C. .603 ("RFA"), an Initial
Regulatory Flexibility Analysis ("IRFA") was incorporated in the Notice of Proposed Rule
Making ("NPRM"), ET Docket No. 96-102. The Commission sought written public comment
on the proposals in the NPRM, including the IRFA. The Commission's Final Regulatory
Flexibility Analysis ("FRFA") in this Report and Order conforms to the RFA, as amended by the
Contract With America Advancement Act of 1996 ("CWAAA"), Pub. L. No. 104-121, 110 Stat.
847 (1996).
I. Need for and Objectives of the Rule: By this action, the Commission provides 300 megahertz
of spectrum for a new category of unlicensed equipment called "Unlicensed National Information
Infrastructure" ("U-NII") devices. These devices are needed to provide high speed wireless
digital communications on an unlicensed basis. The Commission anticipates that these U-NII
devices will support the creation of new wireless LANs, campus networks, community networks,
and will facilitate wireless access to the National Information Infrastructure. Additionally, the
rules set forth herein will foster the development of a broad range of new devices and services
that will stimulate economic development and the growth of new industries. Finally, this action
will promote the ability of U.S. manufacturers to compete globally by enabling them to develop
unlicensed digital communications products for the world market.
II. Summary of Significant Issues Raised by the Public Comments in Response to the IRFA:
Five parties directly address the IRFA. In general, comments support the provision of U-NII
devices and argue that these operations will benefit small entities. Several comments addressing
the IRFA argue that longer range U-NII devices will be needed to permit schools and libraries to
access information on the NII without having to pay expensive monthly charges, such as long
distance fees, to telecommunications service providers. Further, these parties state that longer
range U-NII devices will not only benefit equipment manufacturers, but also will benefit Internet
service providers, small entities in rural communities, and the up to 5 million small businesses
that offer products and services over the Internet. However, regarding the manufacturers of U-
NII devices, the Northern Amateur Relay Council of California, Inc. ("NARCC") argues that
only established major players in the microwave radio community will have the talent and
resources to bring U-NII devices to the market in a timely manner. Therefore, NARCC contends
that affording small companies preferential treatment will not produce anything significant in the
way of a lower cost, more innovative product. Finally, Cylink, Inc. opposes the adoption of an
interim spectrum etiquette because small entities would not have the resources to develop interim
equipment and to later redesign that equipment to comply with any formally adopted spectrum
etiquette.
III. Description and Estimate of the Number of Small Entities to Which the Rules Will Apply:
The RFA generally defines the term "small business" as having the same meaning as the term
"small business concern" under the Small Business Act, 15 U.S.C. .632. Based on that statutory
provision, we will consider a small business concern one which: (1) is independently owned and
operated; (2) is not dominant in its field of operation; and (3) satisfies any additional criteria
established by the Small Business Administration (SBA). The RFA SBREFA provisions also
apply to nonprofit organizations and to governmental organizations. Since the Regulatory
Flexibility Act amendments were not in effect until the record in this proceeding was closed, the
Commission was unable to request information regarding the number of small business that
might use this service and is unable at this time to determine the number of small businesses that
would be affected by this action. The rules adopted in this Report and Order will apply to any
entities manufacturing U-NII devices to operate in the 5 GHz range which could include
computer manufacturers and unlicensed RF equipment manufacturers. Although the rules do not
directly affect entities that purchase this equipment, comments contend that several million
entities, including consumers, schools, libraries, and small businesses, could benefit from the use
of these devices.
The rules adopted in this Report and Order will apply to entities engaged in the manufacturing of
U-NII devices. The Commission has not developed a definition of small entities applicable to
unlicensed device manufacturers. Therefore, the applicable definition of small entity is the
definition under the Small Business Administration ("SBA") rules applicable to manufacturers of
"Radio and Television Broadcasting and Communications Equipment" and "Computer
Manufacturers." According to the SBA's regulations, an RF manufacturer must have 750 or
fewer employees in order to qualify as a small business. Census Bureau data indicates that
there are 858 companies in the United States that manufacture radio and television broadcasting
and communications equipment, and that 778 of these firms have fewer than 750 employees and
would be classified as small entities. Further, according to SBA regulations, a computer
manufacturer must have 1,000 or fewer employees in order to qualify as a small entity. Census
Bureau data indicates that there are 716 firms that manufacture electronic computers and of
those, 659 have fewer than 500 employees and qualify as small entities. The remaining 57
firms have 500 or more employees; however, we are unable to determine how many of those
have fewer than 1,000 employees and therefore also qualify as small entities under the SBA
definition. The Census Bureau categories are very broad and specific figures are not available on
the number of these firms that will manufacture U-NII devices; however, we acknowledge the
likelihood that many of them will be small businesses.
IV. Description of Projected Reporting, Recordkeeping and Other Compliance Requirements:
The rules adopted in this Report and Order will require U-NII manufacturers to comply with the
Commission's equipment certification requirements set forth in Section 15.210(b), prior to
marketing, and the radio frequency hazard requirements set forth in Sections 1.1307(b), 1.1310,
2.1091, and 2.1093 of the rules. All equipment will be deemed to operate in an 'uncontrolled'
environment. Any application for equipment certification for these devices must contain a
statement confirming compliance with these requirements. Technical information showing the
basis for this statement must be submitted to the Commission upon request. The equipment
certification requirement is necessary to ensure compliance with the Commission's rules and
promote electromagnetic compatibility. Further, compliance with the radio frequency hazard
requirements is necessary to protect the health of individuals using the equipment. These
requirements are typically required for all unlicensed equipment. No further reporting or
recordkeeping requirements will be imposed. Therefore, the only compliance costs likely to be
incurred are costs necessary to ensure that prototype devices comply with our equipment
certification requirements and radio frequency hazard requirements.
Skills of an application examiner, radio technician or engineer will be needed to meet the
requirements. If a device is not categorically excluded, the manufacturer of the device must
make a determination of whether the device will comply with the RF radiation limits. This study
can be done by calculation or measurement, depending upon the situation. In many cases the
studies can be done by a radio technician or engineer. Certification applications are usually done
by application examiners.
V. Significant Alternatives and Steps Taken By Agency to Minimize Significant Economic
Impact on a Substantial Number of Small Entities Consistent with Stated Objectives:
Based on comments received in response to the NPRM, the Commission considered several
significant alternatives. For example, although the NPRM proposed to make 350 megahertz
available for U-NII devices, parties with incumbent or future operations request that less
spectrum be made available in order to protect their interests. Specifically, parties with mobile
satellite service ("MSS") interests argues that U-NII devices should not be permitted in the 5.15-
5.25 GHz band because of potential use of this band by MSS feeder links. Further, amateur
radio parties oppose U-NII operations in the 5.725-5.875 GHz band because of amateur
operations in this spectrum. Resound Corporation ("Resound") and the Federal Highway
Administration ("FHWA") oppose U-NII operations in the 5.850-5.875 GHz band because of
future plans to use this spectrum. After considering these alternatives, the Commission
concluded that 300 megahertz of U-NII spectrum at 5.15-5.35 GHz and 5.725-5.825 GHz is
appropriate for these devices to operate without interfering with incumbent and potential
operations. This reduction from the proposed U-NII spectrum is necessary to protect Part 15
hearing assistance devices, potential intelligent transportation system operations, and amateur
operations in the 5.825-5.875 GHz band from interference. This action should not have a
negative impact on small U-NII businesses and will protect incumbent and proposed spectrum
users which may be small businesses.
Additionally, various parties recommend different technical standards for U-NII devices. For
example, some U-NII proponents support increasing the proposed power limit and permitting
unrestricted antenna gain for U-NII devices in order to accomplish longer range
communications. However, AT&T and point-to-point microwave parties oppose longer range
use of U-NII devices and support short range, low power operations. The Commission has
determined that U-NII devices should be governed by minimal technical rules which permit
maximum flexibility in the way these devices are implemented. Specifically, the Commission
has concluded that an increase in the power limits proposed in the NPRM is supported by new
material in the record in this proceeding, but does not believe unrestricted antenna gain should be
permitted due to interference concerns. The Commission has determined that the public interest
is best serviced by increasing the maximum peak power limit as follows: 50 mW peak
transmitter output power with up to 6 dBi antenna gain (equates to 200 mW EIRP) permitted in
the 5.15-5.25 GHz band; 250 mW peak transmitter output power with up to 6 dBi antenna gain
(equates to 1 W EIRP) permitted in the 5.25-5.35 GHz band; and 1 W peak transmitter output
power with up to 6 dBi antenna gain (equates to 4 W EIRP) permitted in the 5.725-5.825 GHz
band. In addition, to permit manufacturers flexibility in designing U-NII equipment, the
Commission will permit the use of higher directional antenna gain provided there is a
corresponding reduction in transmitter output power of one dB for every dB that the directional
antenna gain exceeds 6 dBi. Also, U-NII use of the 5.15-5.25 GHz band is restricted to indoor
operations only. Further, this action adopts a power spectral density ("PSD") requirement for U-
NII devices that would require that the maximum power be spread across of bandwidth of at least
20 megahertz. This PSD requirement will ensure that U-NII devices spread its signal energy
evenly across the band and encourages the use of this spectrum by wideband high data rate
applications, but permits non-wideband operations at reduced powers. These increased power
limits will permit U-NII equipment manufacturers, many of which may be small businesses,
more flexibility to develop products to meet market demands.
Further, the Commission considered several alternatives from the comments regarding a
spectrum etiquette for U-NII devices. Although some parties support the proposed interim
"listen-before-talk" ("LBT") spectrum etiquette until industry can develop a formal spectrum
etiquette, others oppose the interim etiquette because it would limit the flexibility of U-NII
devices to use different technologies. Further, several U-NII proponents support the adoption
of an industry developed spectrum etiquette to govern unlicensed use of this spectrum.
Metricom, however, suggests that rather than adopting a complex spectrum etiquette, U-NII
devices should be required to use spread spectrum techniques. The Commission has now
concluded that the proposed LBT spectrum etiquette could delay deployment of U-NII devices
and hinder innovation in the development of these devices. Rather, the Commission has
concluded that simple technical rules, such as PSD limits and out-of-band emission
requirements, should be sufficient to ensure spectrum sharing between incumbent operations and
new U-NII devices. The Commission declined to adopt a spectrum etiquette, any channelization
plan, or a minimum modulation efficiency requirement because such requirements may preclude
certain technologies or some of the many different concepts envisioned by U-NII proponents.
We believe this action will benefit small entities by permitting these entities to develop
innovative equipment to meet market demands without having to follow protocols governing use
of the spectrum.
Finally, the NPRM proposed to establish parameters in the rules ("safe harbor"), under which U-
NII devices complying with these parameters could operate without being considered sources of
harmful interference. Incumbent parties oppose "safe harbor" rules or any action that would
provide unlicensed devices addition spectrum rights. However, U-NII proponents request that
these devices be protected either by "safe harbor" rules or by providing a primary allocation
status for the unlicensed operations. After considering the alternatives, the Commission
concluded that "safe harbor" rules are not necessary at this time to provide assurances to
assurance to U-NII operators that their communications will not be prohibited. Rather, the
Commission invited MSS parties to monitor the emissions from U-NII devices in the 5.15-5.25
GHz band and if emissions approach the 10 dBW/MHz level to request that we reassess the use
of this band through future rule making. At that time the Commission could determine if
future U-NII devices should be required to operate at different technical standards. This
approach will provide both MSS feeder link and U-NII operations with an appropriate level of
protection and assurance for the continuation of their operations. While, the Commission is
confident that an interference situation will not arise, this approach will permit it to develop
regulatory solutions that will adequately protect the investments of both services, if such a
situation were to develop.
Report to Congress: The Commission shall send a copy of this Final Regulatory Flexibility
Analysis, along with this Report and Order, in a report to Congress pursuant to the Small
Business Regulatory Enforcement Fairness Act of 1996, 5 U.S.C. . 801 (a)(1)(A). A copy of
this FRFA will also be published in the Federal Register.
