1. Spectrum Management Activities at the FCC/OET
Julius Knapp, Chief
Office of Engineering and Technology
National Spectrum
Management Association
May 20, 2015
Note: The views expressed in this presentation are those of the author and may not necessarily represent the views of the Federal Communications Commission

2. Overview of Spectrum Strategy

3. Spectrum Strategy Driver: Continued growth of mobile & other services
Key Milestones:
National Broadband Plan
Middle Class Tax Relief & Jobs Creation Act of 2012
Presidential Memos
NTIA ten year plan
PCAST Report
Department of Defense Spectrum Strategy
Strategy:
Consider potential reallocations, but becoming more difficult
Develop advanced spectrum sharing techniques
Continue to advance efficient use of the spectrum (flexibility)

4. Spectrum Reallocations: Advanced Wireless Service-3

5. Advanced Wireless Service-3 (AWS-3)
Recently concluded AWS-3 auction:
Paired 2110 MHz MHz with MHz;
Unpaired 1695 – 1710 MHz
Why valuable: Adjacent to AWS-1
Relocation or sharing with numerous federal operations
“Heavy Duty” engineering
Identify relocation bands
Sharing: Realistic vs. Worst case
Required close collaboration
Federal Incumbent Systems:
Fixed Point-to Point Microwave
Military Tactical Radio relay
Air Combat Training System
Precision Guided Munitions
Tracking, Telemetry & Commanding
Aeronautical Mobile Telemetry
Video Surveillance
Unmanned Aerial Systems
Other Systems 5

6. AWS-3 Auction Results

7. Spectrum Reallocations:
Incentive Auction in TV Band

8. Available at:

11. TV Incentive Auction 600 MHz Band Plan
First time the Commission has needed to develop band plans without knowing how much spectrum will be available!
Repacked TV Guard Medical Duplex Gap Repurposed
Band Telemetry & For Wireless
Radio Astronomy Auction

12. Unlicensed in the 600 MHz Band
Spectrum Sharing:
Unlicensed in the 600 MHz Band

13. Progress on White Space in the TV Bands (Unlicensed)
Adopted final rules in 2012
Nine devices approved:
Adaptrum, Koos Technical Services, Meld, Carlson, Redline and 6harmonix
All fixed devices, designed for professional installation - location entered manually
All are generic boxes with an input for a digital signal (voice, video, data).
Data bases approved:
Spectrum Bridge, iconectiv (formerly Telcordia), Google, Key Bridge Global and KB/LS Telcom
IEEE adopted “af” standard
Strong international interest
Meld
Carlson
Adaptrum
Spectrum
Bridge
iconectiv
Wireless Cameras Cover Park
in Wilmington NC 13

14. Data Base Administrator Approval Process
File application
Workshops
Submit data base
FCC Review
Public beta test
Final report
Public comment
Final approval
Maintenance: Q&A’s
Approved

15. Recent Data Base Concerns
Personal/portable devices required to use geolocation
Fixed devices permitted to be professionally installed & registered in data base
NAB petition asks that all devices have geolocation
Working on best practices
No interference complaints
Registration Information
FCC Id
Serial No.
Lat./Long.
Contact name
HAAT
Device owner
Address
Phone
Identifier

16. Proposed Rule Changes NPRM adopted Sept. 30, 2014
Proposed unlicensed operation in:
Remaining white space
Duplex gap
Guard bands
Channel 37 – Shared non-Ix to medical telemetry and astronomy
Recovered spectrum until wireless operation commences
= Bands proposed for unlicensed [ [

17. Spectrum Sharing:
Wireless Microphones

18. Wide Variety of Wireless Microphone Applications

19. Proposed New Provisions for Wireless Microphones
Many operate in the TV spectrum
Incentive auction will reduce TV spectrum
Insufficient for some applications
IA order expanded license eligibability
NPRM adopted Sept. 30, 2014 proposed:
Access to new spectrum for major users
Increased flexibility under existing rules

20. Low Power TV & Translators

21. Low Power Television (LPTV) & Translators
Offer diverse and local programming, especially rural/remote areas
Initiated NPRM to:
Facilitate the final conversion to digital
Mitigate potential impact of incentive auction and the repacking
Proposed several actions to:
Extend the Sept. 1, 2015 LPTV & translator digital transition deadline
Extend channel sharing to LPTV & translators
Create a new digital to digital replacement translator service
Provide for processing priority
Provide assistance to LPTV and TV translator stations in finding displacement channels after the incentive auction

22. Spectrum Sharing:
Small 3.5 GHz

23. Citizens Broadband Radio Service
Report & Order Adopted April 17, 2015
3550
3700
3650
Navy Ship Radars
Non-Federal FSS ES
FSS
Federal
Federal Ground-Based Radar
3600
Citizens Broadband Radio Service
Dynamic spectrum access for small cells
150 MHz of
contiguous
spectrum

24. General Authorized Access
Three Tier Access
Incumbent Access: Includes authorized federal and grandfathered Fixed Satellite Service (FSS) users currently operating in the 3.5 GHz Band.
Priority Access License (PAL): Authorize certain users to operate with some interference protection in portions of the 3.5 GHz Band at specific locations
General Authorized Access (GAA): Users authorized to use the 3.5 GHz Band opportunistically. GAA users required to accept interference from Incumbent and Priority Access tier users.
Incumbent Access
Priority Access
General Authorized Access

25. License Areas PALs licensed by census tract
Over 74,000 census tracts in U.S.
May aggregate census tracts
U.S. Census Tracts
Washington DC

26. Protected Access vs General Authorized Access
Band-wide Operability requirement
All Citizens Broadband Service Devices (CBSDs) must be capable of two-way transmission on any frequency from MHz
3550
3700
3650
Navy Ship Radars
Non-Federal FSS ES
FSS
Federal
Federal Ground-Based Radar
3600
Citizens Broadband Radio Service
Shared between PALs and GAA
Protected Access Licenses
Up to seven 10 megahertz licenses
Can aggregate up to four PALs in any census tract
Assigned through auction
Three year term
General Authorized Access
Opportunistic use
General Authorized Access Only
Increased technical flexibility
Additional power in rural areas
Existing equipment exempt from band-wide operability requirement

27. Incumbent Protection Protection of Federal Systems at
MHz
Phase 1 - Exclusion zone near coastlines
Phase 2 - Environmental sensing capability
Exclusion zone  protection zone
Protection of Non-Federal Systems at
MHz
Incumbent terrestrial broadband licensees grandfathered for five+ years
Grandfathered FSS ( MHz) register with FCC yearly
Protection based on operating parameters
Further Notice explores additional protection criteria
Proposed exclusion zone
Adopted exclusion / protection zone
Three Federal radar sites protected via
80 km exclusion zone.

28. Spectrum Access System (SAS)
A next generation sharing system building on white spaces
Determine available frequencies at a location and assign them to CBSDs
Facilitate coordination between GAAs
Ensure secure and reliable transmission of information between the SAS, ESC, and CBSDs
Determine maximum permissible power level for CBSDs at a location
Register and authenticate CBSDs
Protect Grandfathered Wireless Broadband Licensees
Enforce Exclusion and Protection Zones
Protect PALs from IX from other users
Facilitate coordination and information exchange between SASs
SAS Functions

29. More Work To Do Further Notice of Proposed Rulemaking
Defining “Use” of PAL frequencies
Implementing secondary markets in Priority Access Licenses
Optimizing Protection for FSS
In-band protection of FSS in MHz
Out-of-band protection of C band FSS earth stations
SAS Provider selection and authorization
Will use process similar to TV White Spaces
Multi-stakeholder process
FCC appreciates industry establishing a multi-stakeholder process
Regulations set framework
Industry collaboration will be key to successful implementation

30. Spectrum Sharing:
Unlicensed at 5 GHz

31. Spectrum Usage at 5 GHz Previous Rules
Allocations
Unlicensed
This chart shows the existing spectrum usage at 5 GHz.
The top set of blocks show the existing services; the lower set of blocks show the unlicensed use.
In 1999 the FCC allocated 75 megahertz of spectrum in the 5 GHz band for DSRC, as shown on the chart
As you can see, much of the 5 GHz band is already shared by unlicensed on a non-interference basis
Some of this spectrum relies on a sophisticated technique called dynamic frequency selection to avoid interfere with radars. Briefly, the unlicensed devices listen for feint signals from radars and move to a different part of the 5 GHz band when they hear one.
The FCC Notice of Proposed Rule Making proposed access to U-NII-2B and U-NII-4 for unlicensed. Those are the ones circled in red. More on this in a moment.
The Commission Invited comment on possible sharing techniques, noting the various techniques in the NTIA study.
The Commission did not propose ay changes to the existing spectrum allocations - - the communications services that use this spectrum would continue to be protected against harmful interference.
Now 250 mW
Much of the 5 GHz band is shared by unlicensed on a non-interference basis
Some of this spectrum relies on dynamic frequency selection to avoid interfere with radars
FCC Notice of Proposed Rule Making
Proposed access to U-NII-2B and U-NII-4 for unlicensed
Invited comment on possible sharing techniques
No change to existing spectrum allocations - - existing allocations/services are protected against harmful interference

32. Potential Use for Wi-Fi
The Commission’s rules do not restrict the type of technology that may be used in the unlicensed spectrum. Wi-Fi is one of the best-known.
The latest Wi-Fi standard ac enables speeds in excess of 1 Gb/s and increased capacity to meet growing demand, particularly for video.
The standards provides for various channel sizes , 40, 80 and 160 MHz. The wider the channels, the greater the communications capacity.
As you can see, the lower of the two bands that are being considered fills a gap in the existing unlicensed spectrum while the upper band would add onto or extend the existing spectrum.
The significance of this is that current spectrum provides only two 160 MHz channels, while the new spectrum would provide four
160 MHz channels.
In short, the additional spectrum would help meet the skyrocketing demand for Wi-Fi.
For all of these reasons, for the past 2+ years, the FCC has been working with its federal partners and both Wi-Fi and auto industry advocates, pressing parties to come to a solution that permits expanded unlicensed use of the band, while protecting incumbent operations
The current Wi-Fi ac standard enables speeds in excess of 1 Gb/s
and increased capacity to meet growing demand, particularly for video
Provides for 20, 40, 80 and 160 MHz channels
Current spectrum provides only two 160 MHz channels
New spectrum would provide four 160 MHz channels

33. Ongoing Work U-NII-2B (120 MHz) U-NII – 4 (75 MHz)
Sharing with federal plane/ship/terrestrial radars & earth exploration satellite
US proposing to continue international work for WRC-19
Moving forward domestically
Work group established:
FCC/NTIA/DoD/NASA
Considering Ix protection studies & developing ways to share
Evaluating sharing with indoor low power/then outdoor high power
Sharing with Dedicated Short Range Communications
Vehicle to Vehicle
Vehicle to Infrastructure
IEEE Tiger Team considered sharing options & completed work March 2015
FCC/NTIA/DoT collaborating
DoT developing test plan
Considerations:
Protect safety of life
Roads are everywhere
Wi-Fi & DSRC are similar

34. Millimeter Wave Spectrum

35. Expanding Use of the Millimeter Wave Spectrum
FCC Notice of Inquiry (NoI) adopted 10/17/14
Examines new developments in technology that could dramatically expand the horizon for spectrum that could be used for mobile wireless service, faster broadband speeds
Recommended by Technological Advisory Council
NoI is beginning of Process

36. NoI: Technology Smart Antennas
Base Station Antenna (32, 64 elements, patch antennas)
Handset Antenna (modular arrays of 4 elements or more)
Digital/Analog/hybrid beamforming/MIMO processing of array(s)
Modules comprising of a RFIC chip and beamforming unit
Bandwidth
Throughput is a function of available bandwidth
Large contiguous blocks of spectrum present certain advantages over multiband spectrum aggregation, particularly with respect to handsets
contiguous blocks of 500 MHz- 2GHz
Performance
Maximum throughput up to 10 Gbit/s and at least 100 Mbit/s at cell edge
end-to-end latency of < 5 milliseconds and air latency of < 1 millisecond
channel bandwidths in excess of 1-2 GHz
Backhaul
Integrated backhaul/access (multi-hop communication)
Inband/Outband options in the mmW bands; Fiber and other options
Deployment Scenarios
Initial deployment will be complementary as hotspot offloading
Eventually a standalone network, but one that is like a WiFi network rather than a ubiquitous nationwide system of mmW access points

37. NoI Frequency Bands LMDS Co-primary for fixed and mobile
Large contiguous bands GHz, GHz, GHz,
Licensed on geographical basis, FSS sharing possible
39 GHz
Co-primary for fixed and mobile; Large contiguous bands (1.4 GHz),
Licensed by Economic Area; May require exclusion zones
37/42 GHz
Co-primary for fixed and mobile (but not authorized for mobile)
Large contiguous bands (1.6 GHz) and (0.5 GHz)
Larger contiguous block possible by combining with LMDS band
Federal use
60 GHz
Large contiguous bands (7 GHz) and (7 GHz)
Unlicensed operation in the GHz band (IEEE ad)
Potentially three 2.3 GHz block licensed operation in the GHz band
70/80 GHz
Large contiguous bands (5 GHz) and (5 GHz)
Non-exclusive licensed operation, Database aided spectrum coordination,
Does not support the concept of CMRS (service area-based)
24 GHz
No Mobile allocation; licensed in geographic areas to fixed services

38. Next Steps Staff considering next steps in domestic proceeding
WRC 15 is expected to frame future WRC agenda item to identify spectrum for advanced mobile services
U.S. is developing its position
We are working with other nations in multiple fora

39. Model City Program

40. Some trade-offs to Consider
Model City Program
Some trade-offs to Consider
NTIA/FCC Model City Program for Demonstrating and Evaluating Advanced Wireless Spectrum Sharing Technologies
Outgrowth of PCAST
Comment invited last summer
Workshop held April to explore concept, scope, governance, process, technical considerations and funding alternatives.
Urban Area:
A “Real Test”
but high risk
Remote Area:
More limited
demonstration
but low risk

41. Other “Sharing” Matters
Proceeding on Globalstar”s proposed Terrestrial Low Power Service (TLPS)
FCC Public Notice issued on May 5, 2015 solicits information on LTE-U and LAA: standards development & how they will share spectrum

42. Equipment Authorization

43. TCB Program
Telecommunications Certification Bodies (TCBs) certify most radios
35 TCBs world-wide under Mutual Recognition Agreements
TCBs can often certify products in a matter of days
Success of the program depends on consistent application processing:
FCC conducts regular workshops – require mandatory TCB attendance
Provides Knowledge Data Base guidance
TCB Workshop
Lab KDBs

44. Streamlining the FCC Equipment Authorization Program (ET Docket 13-44)
Report and Order adopted December 2014:
All products now certified by TCB’s
Refine & codify Permit but Ask (PBA) procedure
Clarified TCB obligations for post-grant checks
Required accreditation for all test labs
Recognized latest industry testing standards
2nd NPRM Planned soon on administrative procedures & various technical matters

45. Conclusion
Questions?