1. The European Detect and Avoid approach for UWB by Dr. Friedbert Berens, FBConsulting S.à r.l., Wasserbillig, Luxembourg WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.20091

2. Tutorial objectives Questions: o How does the existing UWB regulation and standard looks like? o What is “flexible Detect and Avoid (DAA)” for UWB? o What are the possible detection methods? o What are the possible avoidance strategies and techniques? o How do can the DAA procedures be tested and certified? WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.20092

3. Tutorial Focus Questions: o How does the existing UWB regulation and standard looks like? o What is “flexible Detect and Avoid (DAA)” for UWB? o What are the possible detection methods? o What are the possible avoidance strategies and techniques? o How do can the DAA procedures be tested and certified? WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.20093

4. Initial Remark WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.20094 DON’T PANIC The European flexible DAA approach is “mostly harmless”! But, if some detail are not clear please ask and initiate a discussion. This is not a scientific presentation but it should be an interactive tutorial!

5. Tutorial objectives Questions: –How does the UWB regulation and standard looks like? –CEPT/ECC –EU Commission –ETSI –Generic UWB regulation and standards in Europe –What is “flexible Detect and Avoid (DAA)” for UWB? 5WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

6. 6 The European Regulatory and Standardization Framework WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

7. European Regulatory Framework - CEPT - 7 CEPT (Conférence Européenne des Postes et Télécommunications) 48 administration members Electronic Communications Committee (ECC) Harmonisation of the use of radio frequencies in Europe Implementation of Decisions and Recommendations on a voluntary basis WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

8. European Regulatory Framework - EU Commission - 8 EU Commission (EC) Decision n° 676/2002/EC of the European Parliament and of the Council of 7 March 2002 (the “Radio Spectrum Decision”) EC mandates to CEPT “Technical implementing measures” mandatory for EU Member States WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

9. EU regulation and the role of ETSI R&TTE Directive (1999/5/CE) o Conditions for the placing on the market of radio equipment o Replaces various national type approval regimes by a harmonised ex-post control regime o Article 3.2 “Radio equipment shall be so constructed that it effectively uses the spectrum allocated to terrestrial/space radio communication and orbital resources so as to avoid harmful interference” o Harmonised standards Give presumption of conformity to the essential requirements referred to in Article 3 of the R&TTE Directive European Telecommunications Standards Institute (ETSI) o Responsible for the development of harmonized standards 9WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

10. 10 Separated / divided responsibility with formal collaboration National administrations Industry MoU CEPT ECC ETSIEC 47 28 © CEPT / ERO (www.ero.dk) +47 WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

11. 11 © ETSI 2009 11 JEECUser Group SAGE Special Committees General Assembly Board IMPACT Finance Committee Secretariat Technical Organization ETSI Technical Committees ETSI Projects ETSI Partnership Projects Director General Deputy DG OCG > 3500 active experts Specialist Task Force (STF) ETSI Organization EMTEL WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

12. ESTI funding and Members 12 ETSIs funding is derived from:  Member contributions  EC/EFTA Grants  Services provided by ETSI  Revenue from its assets © ETSI 2009 WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

13. 13 ETSI TC ERM TG11 Wideband data systems TG28 Generic Short- range devices TG31A UWB for tele- communication TG34 UHF RFID TG31B UWB for automotive TG31C UWB Sensor and Tracking TG30 Wireless medical devices TG17 Broadcast and ancillary equip. TG-RX Receiver Parameter TG-TLRP Level Probing Radar TG27 Radio Side Engineering TG37 ITS TG25 Aeronautical Radio TG26 Maritime Radio TG-EMC TG GSMOBA TG TFES TG RM TG DMR Liaison Body to non ETSI Organisation (CEN, CENELEC) Approval of EN, TR and TS LS to EC and ECC TG SRR UWB applications TGUWB radar application | © Robert Bosch GmbH 2009, Michael Mahler WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

14. 14 The European Generic UWB Regulation and Standards WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

15. Generic UWB Regulation and Standards in Europe Minimum Bandwidth of UWB > 50MHz o FCC: Bandwidth larger than 500MHz o Rest of the world similar Main operational band with -41.3dBm/MHz mean e.i.r.p. is 6.0GHz to 8.5GHz o No DAA defined/needed in this band o LDC allowed in car as alternative to TPC 15WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

16. Generic UWB Regulation and Standards in Europe Restricted operation possible in the band 3.1GHz to 4.8GHz o Low Duty Cycle operation in the band 3.1GHz to 4.8GHz with -41.3dBm/MHz o Band 4.2GHz to 4.8GHz open (-41.3dBm/MHz) until the end of 2010 16WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

17. European generic UWB Spectrum Mask without DAA 17 frequency in GHz UWB e.i.r.p. TX power in dBm/MHz 9.0 8.07.06.05.04.03.0 -80 -70 -60 -50 -40 -41.3 dBm/MHz 0.6 GHz2.5 GHz With LDC WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

18. Military Radar UWB Spectrum map (EU) 18 2.7 3.1 4.8 6.0 9.0 -40 -30 -20 -10 0 10 20 30 40 Power [dBm/MHz] Frequency [GHz] Civil Radar WIMAX WLAN Military outdoor UWB WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

19. EU flexible DAA UWB regulation Goal: Guarantee an equivalent protection of potential victim systems against harmful interference Approach: o The UWB device with DAA senses the environment o The device estimates the isolation towards a potential victim devices like WIMAX terminal or Radar Systems o Based on the estimated isolation the DAA device will switch to the corresponding protection mode (Avoid mode) to guarantee an equivalent protection o A continues sensing of the spectrum can guarantee a dynamic protection The active mitigation approach is called flexible detect and avoid 19WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

20. Regulation Status in Europe towards flexible DAA ECC decision (amended ECC decision ECC/DEC/(6)12) published EC decision 2009/343/EC from the 21.04.2009 regulates the deployment of DAA enabled UWB devices in the EU The main parameters: o LDC in car in the Band 6GHz to 8.5GHz o Power of -41.3dBm/MHz in the band 3.1GHz to 4.8GHz for devices implementing a flexible DAA technique defined by ETSI o No DAA tests defined in the band 3.8GHz to 4.8GHz, since no BWA systems to be protected by DAA are allocated to this bands!  The test definition is under the responsibility of ETSI o Threshold level in band 3.1GHz to 3.4GHz: -38dBm o Threshold level in band 3.4GHz to 3.8GHz: -38dBm and -61dBm o Threshold level in band 8.5GHz to 9.0GHz: -61dBm 20WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

21. Standardization Status in Europe towards flexible DAA ETSI harmonized standard for non DAA devices with and without LDC ready and in place: o HEN 302 065 V1.1.1 Technical Specification on flexible DAA ready and published: o TS 102 754 V1.1.1. Technical Report on test procedures for DAA enabled UWB devices ready for publication in Q1/2009 o TR 102 763 V1.1.1. ETSI harmonized standard in progress planned release in Q2/2010 o ETSI ERM TGUWB responsible for harmonized standard o Supported by ETSI STF 350 on DAA enabled UWB devices o Evaluation measurements needed using real DAA enabled UWB devices in order to validate the test procedures before inclusion into the updated harmonized standard HEN 302 065 21WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

22. European DAA Spectrum Mask 22 Frequency [GHz] UWB TX power in dBm/MHz 9.0 8.07.06.05.04.03.0 -80 -70 -60 -50 -40 BWA DAA Radio Location DAA X-Band Radio Location DAA S-Band -41.3 dBm/MHz No DAA test parameter defined 3.0 GHz 1.7 GHz WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

23. Tutorial objectives Questions: –How does the UWB regulation and standard looks like? –What is “flexible Detect and Avoid (DAA)” for UWB? –Basics –Zone Model –LDC –DAA procedure 23WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

24. Legal basis for flexible DAA 24 1.2 Appropriate mitigation techniques Equipment using ultra-wideband technology shall also be allowed to use the radio spectrum with higher e.i.r.p. limits than mentioned in the table in section 1.1 when applying additional mitigation techniques as described in the relevant harmonised standards adopted under Directive 1999/5/EC or other mitigation techniques on condition that it achieves at least an equivalent level of protection as provided by the limits in the table in section 1.1. The following mitigation techniques are presumed to provide such protection: 1.2.1: LDC ….. 1.2.2: DAA …... EC decision 2009/343/EC, Annex section 1.2: WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

25. EC DEC 2009/343 Table 1.1 levels 25 frequency in GHz UWB e.i.r.p. TX power in dBm/MHz 9.0 8.07.06.05.04.03.0 -80 -70 -60 -50 -40 WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

26. Non-Interference Mode (NIM) Operation mode of the UWB device which guarantees the protection of victim services without additional mitigation techniques Two basic NIM operations for UBW devices: o TX power reduction to the regulatory limits for non DAA devices as defined in table 1.1 of EC DEC/2009/343 o Low duty cycle operation (LDC) with -41.3dBm/MHz as defined in 1.2.1 in EC DEC/2009/343 Reference protection for the flexible DAA approach based on the assumption of an equivalent protection of the potential victim services 26WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

27. Example NI mode LDC LDC Parameter: o T on_max = 5 ms o T off_mean ≥ 38 ms (averaged over 1 sec) o Σ T off > 950 ms per second o Σ T on < 5% per second and 0.5% per hour Max Mean e.i.r.p. power: -41.3dBm/MHz 27WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

28. Example NI mode power levels 3.1GHz to 3.4GHz: -70dBm/MHz 3.4GHz to 3.8GHz: -80dBm/MHz 3.8GHz to 4.8GHz: -70dBm/MHz 8.5GHz to 9.0GHz: -65dBm/MHz 28WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

29. NI mode in BWA bands 3.4GHz to 3.8GHz: o Defined 36cm mitigation distance  35dB isolation between victim (BWA system) and UWB device o Interference power received at victim: -115dBm/MHz < thermal noise at room temperature 29 Victim UW B 36cm Isolation: 35dB TX power: -80dBm/MHz Interference power: -115dBm/MHz WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

30. Idea If the UWB device would know the value of the isolation to a victim it could adjust its TX power accordingly o Victim device protection (“UL-detection”) In contrast to “DL-detection”: o Service area protection o Independent of relative victim and UWB device location and thus the isolation 30WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

31. Allowed TX UWB power versus distance/isolation 31 Victim 36cm Isolation: 35dB 1 m Isolation: 44dB UW B TX power: -80dBm/MHz UW B TX power: -70dBm/MHz UW B TX power: -41.3dBm/MHz 31 m Isolation: 73 dB Conditions: - Line-of-Sight (LoS) - No fading - No additional attenuation WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

32. RX power from victim at UWB device versus distance/isolation 32 Victim 36cm Isolation: 35dB 1 m Isolation: 44dB UW B RX power: -15dBm UW B RX power: -24dBm UW B RX power: -53dBm 31 m Isolation: 73 dB Victim TX power: 20dBm Conditions: - Line-of-Sight (LoS) - No fading - No additional attenuation WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

33. Full flexible DAA 33 P uwb_free Allowed UWB TX power LoS assumption Distance from Victim P uwb_NIM Power Victim Victim Signal RX power at UWB device Allowed UWB TX power sensing Allowed UWB TX power sensing WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

34. Full flexible DAA model The UWB device evaluates the isolation to the potential victim and adapts its TX power correspondingly in a continuous way This approach is very complex Testing almost impossible But, it would be inline with the EC rules! CEPT has proposed an simpler version of the flexible DAA using discrete values 34WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

35. Zone Model in flexible DAA I 35 P uwb_free Distance from Victim P uwb_NIM Power Victim Victim Signal RX power at UWB device Detection threshold D thresh 1 Zone 1Zone N, N=2 (Basic zone model) WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

36. Zone Model in flexible DAA II 36 P uwb_free Distance from Victim P uwb_NIM Power Victim Victim Signal RX power at UWB device D thresh 1 Zone 1Zone N, N=5 234 D thresh 2 D thresh 3 D thresh N-1 WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

37. Zone Model in flexible DAA III 37 1 3 N=4N=4 2 3.5m 9.5m 31m Victim 1m 45 dB to 55 dB 55 dB to 65 dB 65 dB to 74 dB > 74 dB D thresh (N-1) D thresh 1  Example BWA system  4 Zones in flexible DAA  Victim Noise Sensitivity: - 115dBm/MHz  LoS channel conditions between victim and UWB devices  [distance] = m [isolation] = dB WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

38. Startup considerations Startup of UWB device: o In secure mode, thus using NIM o If needed sense environment or gets external infos o Move out of NIM only when not in vicinity of potential victim o Based on identified zone start non NIM operation o Minimum scan time is defined in regulation: “Minimum initial channel availability check time” 38WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

39. In-operation considerations In operation mode  no NIM o Continuous update of zone information o Defined maximum reaction time in case of a zone change o Only zone decreases are regulatory relevant o Zone increases are important for the UWB performance o Regulatory parameter “Detect and Avoid Time” defines the maximum reaction time allowed. 39WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

40. Flexible DAA flow Diagram 40 UWB Device Power ON “Detect” operation Victim Signal Level estimation Victim Signal > D thresh_1 UWB Operation in Zone 1 UWB Operation in Zone 2 UWB Operation in Zone N Victim Signal < D thresh (N-1) D thresh 2 < Victim < D thresh 1 Signal... Stay in NI mode? UWB Operation in Non-Interference (NI) mode Detect and Avoid time Yes No Minimum initial channel availability check time WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

41. DAA parameter I DAA threshold levels Initial Channel Availability Check Time NIM power level Detect and avoid time Default avoidance bandwidth Initial detection probability In-operation detection probability 41WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

42. DAA parameter S-Band Radar Band: 3.1GHz to 3.4 GHz NIM power: -70dBm/MHz LDC allowed Threshold level: -38dBm (2 Zone model) Default avoidance bandwidth: 300MHz Initial Channel availability check time: 14s Detect and Avoid time: 150s 42WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

43. DAA parameter BWA systems Band: 3.4 GHz to 3.8 GHz NIM power: -80dBm/MHz LDC allowed Threshold level: -38dBm or -61dBm (3 Zones) Default avoidance bandwidth: 200MHz Initial Channel availability check time: 5.1s Detect and Avoid time: 2s, 15s, 60s 43WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

44. DAA parameter X-Band radar Band: 8.5GHz to 9.0GHz NIM power: -65dBm/MHz No LDC allowed Threshold level: -61dBm Default avoidance bandwidth: 500MHz Initial Channel availability check time: 14s Detect and Avoid time: 150s 44WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

45. Conclusions The original EU UWB regulation gave only limited access to the lower band (3.1GHz to 4.8GHz), the new regulation will open the band by introducing additional mitigation techniques o Flexible DAA The European “Flexible Detect and Avoid” approach can pave the way towards a worldwide regulation using DAA Flexible DAA delivers equivalent protection to the potential victim systems combined with a manageable complexity increase at the UWB device site During the regulation process a close collaboration between the incumbent systems and the new entrance was the key to a successful solution WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.200945

46. WALTER UWB Workshop Titel: The WALTER case for UWB o Presentation of project results o Standard and regulation status o UWB research in Europe and Worldwide Date: 6. October to 7.October 2009 Venue: ETSI, Sophia-Antipolis, France More Infos and registration: o www.etsi.org/  news&events -> events www.etsi.org/ The participation is free of charge WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.200946

47. WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.200947 Thank you! FBConsulting S. à r.l.: –European Regulation and Standardization –EU Research Project Consulting –Research in the domain of wireless system and short range device –ETSI Member Contact: Dr. Friedbert Berens FBConsulting S. à r.l. 21, Route de Luxembourg L-6633 Wasserbillig, Luxembourg fbconsulting@me.com Tel: +352 26714319

48. Additional Slides Backup Slides with additional information 48WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

49. Tutorial objectives Questions: –How does the UWB regulation and standard looks like? –What is “flexible Detect and Avoid (DAA)” for UWB? –What are the possible detection methods? –What are the possible avoidance strategies and techniques? –How do can the DAA procedures be tested and certified? 49WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

50. Detection process UWB needs to detect a signal All detected signals need to be identified Only relevant signals need to be taken into account Problem: Signal identification o Discrimination of Spurious emissions o Non victim systems emissions o Etc. 50WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

51. Possible Detection Strategies Victim signal detection (Non data aided): o Energy detection o Coherent detection o Patter identification Use of external information (intersystem and intra system information, Data aided detection) o Information available in existing Piconets o Cognitive Pilot Channel (CPC) o Geolocation (GPS, etc.) Combined/Hybrid systems 51WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

52. Victim signal detection flow 52 Spectrum sensing Signal identification using stored information o Pattern o Threshold sets o Victim Service bands WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

53. Detection using external information 53 Collocated devices Existing piconets Cognitive pilot channel Geo-location information like GPS WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

54. Combined/hybrid detection flow 54 Combine sensing and external information Most reliable solution Exchange of information using LDC mode WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

55. Tutorial objectives Questions: –How does the UWB regulation and standard looks like? –What is “flexible Detect and Avoid (DAA)” for UWB? –What are the possible detection methods? –What are the possible avoidance strategies and techniques? –How do can the DAA procedures be tested and certified? 55WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

56. Avoidance Strategies In Time o LDC, time sharing, In Space o Antenna techniques, In power o Power control, power reduction, switch off In frequency o Notching, sub-band switching (two band hopping, FFI), BG switching Hybrid solutions 56WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

57. WIMAX victim RX power > -61dBm  avoid with max TX power of -65dBm/MHz Example for flexible Avoidance Methods in frequency domain 57 3432 MHz3960 MHz4488 MHz TX power Frequency - 41.3 dBm/MHz - 80 dBm/MHz - 65 dBm/MHz WIMAX victim RX power > -38 dBm  avoid with max TX power of -80dBm/MHz WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009

58. Tutorial objectives Questions: –How does the UWB regulation and standard looks like? –What is “flexible Detect and Avoid (DAA)” for UWB? –What are the possible detection methods? –What are the possible avoidance strategies and techniques? –How do can the DAA procedures be tested and certified? 58WALTER/EUWB Tutorial, ICUWB2009, Vancouver, Canada, 11.09.2009