Use of Radio Frequencies Above 40 GHz for New Radio Applications

FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 15

[ET Docket No. 94-124; FCC 97-267]

Use of Radio Frequencies Above 40 GHz for New Radio Applications

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: By this Memorandum Opinion and Order the Commission grants the

petition for reconsideration of Cutler-Hammer by amending the

regulations to permit operation of lower power fixed radar systems in

the 59-64 GHz band, permits interim equipment approval and operation of

unlicensed services in the 59-64 GHz band provided that the equipment

complies with the proposed spectrum etiquette contained in the Fourth

Notice or Proposed Rule Making, denies Vorad Safety Systems, Inc.'s

petition for reconsideration requesting relaxation of the spurious

emission limits for vehicle radar systems operating in the 46.7-46.9

GHz band, and corrects two typographical errors contained in the First

Report and Order (``Order'') in this proceeding.

EFFECTIVE DATE: September 26, 1997.

FOR FURTHER INFORMATION CONTACT: John A. Reed (202) 418-2455 or Rodney

P. Conway (202) 418-2904. Via electronic mail: [email protected] or

[email protected], Office of Engineering and Technology, Federal

Communications Commission.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's

Memorandum Opinion and Order, ET Docket 94-124, FCC 97-267 adopted July

28, 1997, and released August 14, 1997. The full text of this

Commission decision is available for inspection and copying during

normal business hours in the FCC Reference Center (Room 239), 1919 M

Street, N.W., Washington, D.C., and also may be purchased from the

Commission's duplication contractor, International Transcription

Service, (202) 857-3800, 1231 20th Street, N.W., Washington, D.C.

20036.

Summary of the Memorandum Opinion and Order

1. Cutler-Hammer, a manufacturer of sensors used in industrial

applications, filed a petition for reconsideration requesting the

Commission amend its rules to permit the operation of lower power,

fixed field disturbance sensors (radar) in the 59-64 GHz frequency

band. Cutler-Hammer states that lower frequency sensors of the type

currently being manufactured have performance limitations that

millimeter wave sensors can overcome and improve on sensor performance

with the 5 GHz of frequency bandwidth.

2. Cutler-Hammer recognizes that a number of parties participating

in this proceeding expressed concern about suggestions that vehicle

radar systems be permitted to operate in the 60-61 GHz band. It agrees

that the potential for interference from mobile field disturbance

sensors to fixed operations is hard to predict and to avoid. Fixed

field disturbance sensors operating characteristics are much more

predictable and the potential for causing and receiving interference is

more easily determined, while the operating characteristics of mobile

field disturbance sensors are very difficult to predict due to the

inherently variable nature of the system, which results in

unpredictable radiation patterns and potentials for causing and

receiving interference. Cutler-Hammer indicates that, in contrast, the

low power fixed field disturbance sensors it desires to employ would

operate with very little power and would create a predictable radiation

pattern, permitting them to be designed and installed in such a way

that they would neither be susceptible to, nor likely to cause,

interference. Accordingly, Cutler-Hammer believes that the prohibition

against the use of fixed field disturbance sensors is unnecessarily

broad and is not supported by the record.

3. The Commission agrees with Cutler-Hammer that fixed field

disturbance sensors at the proposed output level of 9 nW/cm2

as measured at 3 meters from the transmit antenna would not be likely

to be a source of interference to other communications systems

operating with an output level of up to 9 W/cm2 as

measured at 3 meters from the transmit antenna in the 59-64 GHz band.

This is the only unlicensed frequency band under the Commission's

regulations that provides a bandwidth this wide and at a power level

that makes operation practical. Accordingly, the Commission is granting

the request from Cutler-Hammer to remove the prohibition against fixed

field disturbance sensors. The Commission also recognizes that, in many

cases, the manufacturing process may require that the sensor be capable

of movement, even though the equipment in which the sensor is installed

is fixed. Thus, the Commission will clarify in its rules that the

permission to operate fixed field disturbance sensors applies to

sensors installed in fixed equipment, even if the sensor itself moves

within the equipment. However, this action does not affect the

Commission's existing prohibition on mobile field disturbance sensors

in the 59-64 GHz frequency band.

4. Although the Commission stated previously in this proceeding

that operation in the 59-64 GHz band would be permitted only after

adoption of a spectrum etiquette, we now believe that this prohibition

no longer is necessary and would be detrimental to the introduction of

new products and services. Therefore, the Commission will permit

operation in the 59-64 GHz band, of any authorized, unlicensed

communications devices, including fixed field disturbance sensors, on

an interim basis pending consideration of the Spectrum Etiquette

proposed in the Fourth Notice of Proposed Rule Making. The Commission

believes that permitting interim operation will serve the public

interest by permitting early rollout of new and innovative technologies

and services. The Commission will require, however, that

[[Page 45331]]

equipment approved for such interim operation comply with the proposed

Spectrum Etiquette. The Commission stresses that any spectrum etiquette

finally adopted in this proceeding may differ significantly from the

proposed Spectrum Etiquette contained in the Fourth NPRM and that

manufacture and operation of equipment under this interim provision is

at the risk of the manufacturer and operator exclusively. The

Commission also stresses that initial operation which complies with the

proposed Spectrum Etiquette does not guarantee continued operation if

any changes in that etiquette are adopted.

5. Vorad Safety Systems, Inc. (``Vorad''), a manufacturer of field

disturbance sensors used for vehicle collision avoidance systems,

requests reconsideration of the spurious emission limit for sensors

operating in the 46 GHz band. Vorad requests that the limits on

spurious emissions applicable to field disturbance sensors operating in

the 76 GHz band also be applied to sensors operating in the 46 GHz

band. The limits on spurious emissions from transmitters in the 76 GHz

band are 300 pW/cm2 at 3 meters for side or rear looking

sensors and 600 pW/cm2 at 3 meters for forward looking

sensors. The limit for spurious emissions from transmitters operating

in the 46 GHz band is 2 pW/cm2 at 3 meters.

6. Vorad adds that the Commission relaxed the standard for vehicle

radar systems in the 76 GHz band but adhered to its strict proposal for

radar operating in the 46 GHz band. Vorad states that the adopted limit

conflicts with the Commission's stated goal of encouraging expeditious

development of an important safety product. Vorad adds that meeting the

stricter limit using current technology would be possible only by

reducing operating power, which would significantly degrade the

performance of the system.

7. Vorad argues that the limit on spurious emissions adopted by the

Commission for the 46 GHz band is not technically justified. It states

that the Commission based its decision on the need to protect existing

and future U.S. Government uses of the 94 GHz and 140 GHz bands.

However, Vorad indicates that the evidence in the record does not

demonstrate that there is a real threat of interference to such uses by

vehicle radar systems, since vehicle radar systems use highly

directionalized antennas and will primarily be used on the nation's

highways. It adds that it has operated vehicle radar systems in the 24

GHz band for several years and has been experimenting with operations

in the 47 GHz band for over a year. Vorad indicates that the spurious

emissions from its 24 GHz and 47 GHz transmissions were suppressed by

only 50 dB, and that no complaints of interference were received. Thus,

Vorad states that its experience with these systems demonstrates that

an attenuation standard of 50 dB is sufficient to protect other

spectrum users. Vorad adds that there is no evidence that operations in

the 46 GHz band will present more of an interference risk than do

operations in the 76 GHz band, for which a much more reasonable

standard was adopted. The limits on spurious emissions from

transmitters in the 76 GHz band are 300 pW/cm2 at 3 meters

for side or rear looking sensors and 600 pW/cm2 at 3 meters

for forward looking sensors. If the transmitter is operated at its

maximum permitted output levels, spurious emissions must be attenuated

by at least 50 dB.

8. Finally, Vorad argues that vehicle radar systems in the 76 GHz

band will create spurious emissions over a much larger range of

spectrum than will operations in the 46 GHz band. It states that the

narrow 200 MHz bandwidth employed by transmitters in the 46 GHz band

will limit the bandwidth of harmonic emissions. In contrast, the

permissible bandwidth of the 76 GHz radar is 1000 MHz, resulting in

spurious emissions over much more of the spectrum due to

intermodulation frequency products.

9. The National Telecommunications and Information Administration

(NTIA) was the only party to file comments in response to the Vorad

petition. NTIA strongly opposes VORAD's request to relax the spurious

emission limit. It states that the majority of U.S. Government

operations occur in the propagation windows centered at 94 GHz, 140 GHz

and 220 GHz. The band centered at 220 GHz is centered at a null for

water absorption, while still having relatively low attenuation

properties due to absorption from dry air. Since the bands being

addressed in this proceeding did not exceed 155 GHz and spurious

emissions were addressed only below 200 GHz, the 220 GHz band was not

addressed in the Commission's earlier considerations. It adds that new

radio receiver technologies using wide bandwidth (typically 4-10 GHz)

and improved sensitivities have resulted in greater resolution and

precision for detection and guidance systems and remote sensing of the

environment. NTIA points out that a joint Federal Aviation

Administration/Department of Defense/Industry program is currently

underway to develop and test ``synthetic vision'' systems intended for

use in airport environments during poor visibility. Further, it states

that recent analysis indicates that the noise threshold of these

receivers can be more than 30 dB below the threshold assumed by the

Commission in its Order for this type of equipment, so further

relaxation of the limit on spurious emissions could have serious

consequences on the effectiveness of systems in these bands. Finally,

NTIA states that it invited Vorad to present its views to the

Interdepartment Radio Advisory Committee (IRAC), but that Vorad did not

respond to this offer. NTIA adds that it remains willing to assist

Vorad should it decide to pursue an effort to demonstrate compatibility

of its equipment, but in the interim urges the Commission not to relax

the limit on spurious emissions.

10. The Commission is denying Vorad's petition to relax the limits

on spurious emissions from field disturbance sensors operating in the

46 GHz band. The Commission recognized in the Order that its decision

might have an adverse economic impact on manufacturers but concluded

that the limit was appropriate to protect present and future U.S.

Government operations in the 94 and 140 GHz bands. It stated that the

94 GHz and 140 GHz bands share many potential uses, since these bands

are in the only two atmospheric transmission windows between 60 GHz and

300 GHz. The 94 GHz band is employed for radio astronomy, U.S.

Government passive imaging systems, and Department of Defense

classified applications. The 140 GHz band is used for radio astronomy

and Government military passive imaging systems. In particular, the

Commission noted that the Advanced Research Projects Agency's MIMIC

program to develop lower-cost millimeter wave components has involved

technology in the 94 GHz area and is likely to increase the use of this

and other millimeter wave bands. The Commission, in the Order, added

that, while it appreciated the arguments in the comments from General

Motors Corporation and GM Hughes Electronics for relaxing the spurious

emission limits, it did not agree that directional antennas and the use

of vehicle radar systems on highways would be sufficient to eliminate

interference to airborne passive sensors. Further, as noted by NTIA in

its comments on Vorad's petition, current development of a passive

imaging system used as an aircraft landing aid in adverse weather

conditions involves resolution capabilities which are directly related

to the amount of RF signal noise in the

[[Page 45332]]

band. Thus, we continue to believe that the presence of excessive

spurious emissions from other signal sources, e.g., harmonic emissions

from vehicle radar systems in the 46 GHz band, would degrade the

usefulness of these bands for passive imaging and other possible

functions.

11. While Vorad indicates that its previous experience with field

disturbance sensors operating at 24 GHz and at 47 GHz and employing a

spurious emission suppression of 50 dB has not resulted in complaints

of interference, the Commission does not find this sufficiently

conclusive to relax the spurious emission requirements. First,

operations in the 94 GHz and 140 GHz bands are only now being

developed. As U.S. Government and other operations increase in these

bands, along with the proliferation of field disturbance sensors in the

46 GHz band, the potential for interference would also increase.

Second, Vorad's argument does not address the cumulative effects of

multiple transmitters operating simultaneously within a service area.

Finally, 50 dB attenuation of the spurious emissions from transmitters

operating in the 24 GHz band results in an emission level that is

relatively close to the emission limit adopted in the Order for

spurious emissions from the 46 GHz band.

12. The Commission does not agree with Vorad's claims that harmonic

emissions from the 76 GHz system present the same, or greater,

interference potential to 94 GHz and 140 GHz systems as sensors

operating in the 46 GHz band, even if the 76 GHz devices use frequency

doublers or triplers to achieve the fundamental emission. If, as

suggested by Vorad, the 76 GHz systems generate their fundamental

emissions through the use of a 25.5 GHz oscillator, the third harmonic

is at 76.5 GHz, the fourth harmonic is at 102 GHz, the fifth harmonic

is at 127.5 GHz, and the sixth harmonic is at 153 GHz. If the 76 GHz

systems generate their fundamental emissions through the use of a 38.25

GHz oscillator, the second harmonic is at 76.5 GHz, the third harmonic

is at 114.75 GHz, and the fourth harmonic is at 153 GHz. In every case,

the harmonic emissions from the 76 GHz system are well removed from the

94 GHz and 140 GHz bands. While Vorad also argues that the wider

bandwidth of the 76 GHz system will result in spurious emissions

covering a larger bandwidth, as compared to systems in the 46 GHz band,

this wider bandwidth is not sufficient to cause the harmonic emissions

to fall within the 94 GHz or 140 GHz bands.

13. We decline to permit a higher spurious emission level for field

disturbance sensors operating in the 46 GHz band. Accordingly, the

Petition for Reconsideration of Vorad Safety Services, Inc. is denied.

14. The Commission is taking this opportunity to correct two

typographical errors contained in the Order in this proceeding. Section

15.215(a) is being amended to reflect the two new rule Secs. 15.253 and

15.255 covering operations above 40 GHz. Section 15.215 notes the

exceptions to the general emission limits contained in Sec. 15.209 and

should have been amended in the Order. Section 15.31(f)(1) is also

being corrected to reflect that the inverse linear-distance-squared

extrapolation factor (40 dB per decade) for measurements above 40 GHz

applies only to measurements performed in the near field. In response

to the Second Notice of Proposed Rule Making, 61 FR 14041, March 29,

1996, in this proceeding, Epsilon Lambda, General Motors and Vorad

expressed concern that measurements at the specified distance of 3

meters could result in measurements in the near field, requiring the

use of an inverse linear-distance-squared extrapolation factor (40 dB

per decade) instead of inverse linear-distance (20 dB per decade), as

previously specified in the rules. The Commission agreed with these

comments but inadvertently stated that all measurements above 40 GHz

could be made at a distance greater than 3 meters using an inverse

linear-distance-squared extrapolation factor, even if the measurements

were not being performed in the near field. However, the inverse

linear-distance-squared factor correctly extrapolates the change in

signal level versus distance when measurements are made in the near

field, whereas the inverse linear-distance factor correctly

extrapolates the change in signal level versus distance when

measurements are made in the far field. The use of the inverse linear-

distance-squared extrapolation factor under all measurement conditions

could permit a manufacturer to increase measurement distance until the

results demonstrated compliance, even though the emissions exceed the

limit when the product is measured at a shorter distance. Accordingly,

the rules are being amended to indicate that the use of an inverse

linear-distance-squared extrapolation factor applies only to near-field

measurements. Measurements in the far field will continue to be

extrapolated employing an inverse linear-distance extrapolation factor.

15. In accordance with the above discussion and pursuant to the

authority contained in Sections 4(i), 302, 303(e), 303(f), 303(g),

303(r), and 405 of the Communications Act of 1934, as amended, it is

ordered that the Petition for Reconsideration filed by Cutler-Hammer,

Inc., as supplemented, to permit operation of low power, fixed field

disturbance sensors in the 60 GHz band is granted as described below by

the amendments to part 15 of the Commission's Rules and Regulations are

amended as shown below, effective September 26, 1997.

16. It is further ordered That the Petition for Reconsideration

filed by Vorad Safety Systems, Inc., is denied.

Final Regulatory Flexibility Analysis

17. As required by Section 603 of the Regulatory Flexibility Act, 5

U.S.C. 603 (``RFA''), an Initial Regulatory Flexibility Analysis

(``IRFA'') was incorporated into the Notice of Proposed Rule Making

(``NPRM'') in ET Docket No. 94-124.1 The Commission sought

written public comments on the proposals in the NPRM, including the

IRFA. The Commission's Final Regulatory Flexibility Analysis (``FRFA'')

in this Memorandum Opinion and Order conforms to the RFA, as amended by

the Contract with America Advancement Act of 1996 (CWAAA), Public Law

104-121, 110 Stat. 847 (1996).2

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\1\ See 9 FCC Rcd 7078 (1994), 59 FR 61304, November 30, 1994.

\2\ Subtitle II of the CWAAA is ``The Small Business Regulatory

Enforcement Fairness Act of 1996'' (SBREFA), codified at 5 U.S.C.

601 et seq.

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18. Need for and Objective of the Rules. Our objectives are to

permit the operation within the 59-64 GHz band of fixed field

disturbance sensors in an industrial environment. These products were

prohibited under the Order in ET Docket No. 94-124.3

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\3\ See 11 FCC Rcd 4481 (1995), 61 FR 14041, March 29, 1996.

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19. Summary of Significant Issues Raised by Public Comments in

Response to the IRFA. No comments were submitted in direct response to

the IRFA. However, Cutler-Hammer, Inc. filed a Petition for

Reconsideration requesting that the Commission amend its rules to

permit the operation within the 59-64 GHz band of fixed field

disturbance sensors in an industrial environment. No comments were

filed in response to this petition.

20. Description and Estimate of the Number of Small Entities to

Which the Rules Will Apply. For the purposes of this Memorandum Opinion

and Order, the RFA defines a ``small business'' to be the same as a

``small business concern'' under the Small Business Act, 15 U.S.C. 632,

unless the Commission

[[Page 45333]]

has developed one or more definitions that are appropriate to its

activities.4 Under the Small Business Act, a ``small

business concern'' is one that: (1) Is independently owned and

operated; (2) is not dominant in its field of operation; and (3) meets

any additional criteria established by the Small Business

Administration (SBA).5 Since the Regulatory Flexibility Act

amendments were not in effect until the record in this proceeding was

closed, the Commission did not request information regarding the number

of small businesses 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 in addition to Cutler-Hammer, Inc.

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\4\ See 5 U.S.C. 601(3) (incorporating by reference the

definition of ``small business concern'' in 5 U.S.C. 632).

\5\ See 15 U.S.C. 632.

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21. The Commission has not developed a definition of small entities

applicable to unlicensed communications devices. Therefore, we will

utilize the SBA definition applicable to manufacturers of Radio and

Television Broadcasting and Communications Equipment. According to the

SBA regulations, unlicensed transmitter manufacturers must have 750 or

fewer employees in order to qualify as a small business

concern.6 Census Bureau data indicates that there are 858

U.S. companies 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.7

The Census Bureau category is very broad, and specific figures are not

available as to how many of these firms will manufacture unlicensed

communications devices. However, we believe that many of them may

qualify as small entities.

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\6\ See 13 CFR 121.201, (SIC) Code 3663.

\7\ See U.S. Dept. of Commerce, 1992 Census of Transportation,

Communications and Utilities (issued May 1995), SIC category 3663.

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22. Description of Projected Reporting, Recordkeeping and Other

Compliance Requirements. Our new rules permit the introduction of a new

type of equipment which will operate in the 59-64 GHz band. As with

other communications equipment already permitted to operate within this

frequency band, the transmitter must be authorized under the

Commission's certification procedure. No changes were made to the

standards that must be met by the equipment or the reporting or

recordkeeping requirements.

23. Significant Alternatives and Steps Taken to Minimize

Significant Economic Impact on a Substantial Number of Small Entities

Consistent with Stated Objectives. No alternatives or other steps were

addressed in this proceeding.

24. Report to Congress. The Commission shall send a copy of this

Final Regulatory Flexibility Analysis, along with this Memorandum

Opinion 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).

List of Subjects in 47 CFR Part 15

Communications equipment, Highway safety, Radio.

Federal Communications Commission.

William F. Caton,

Acting Secretary.

Rule Changes

Title 47 of the Code of Federal Regulations, Part 15, is amended as

follows:

PART 15--RADIO FREQUENCY DEVICES

1. The authority citation for Part 15 continues to read as follows:

Authority: 47 U.S.C. 154, 302, 303, 304, 307 and 544A.

2. Section 15.31 is amended by revising paragraph (f)(1) to read as

follows:

Sec. 15.31 Measurement standards.

* * * * *

(f) * * *

(1) At frequencies at or above 30 MHz, measurements may be

performed at a distance other than that specified provided:

Measurements are not made in the near field, and it can be demonstrated

that the signal levels to be measured at the distance employed can be

detected by the measurement equipment. Measurements shall not be

performed at a distance greater than 30 meters unless it can be

demonstrated that measurements at a distance of 30 meters or less are

impractical. When performing measurements at a distance other than that

specified, the results shall be extrapolated to the specified distance

using one of the following formulas: For measurements above 30 MHz that

are not performed in the near field, an inverse linear-distance

extrapolation factor (20 dB/decade); for measurements performed in the

near field, an inverse linear-distance-squared extrapolation factor (40

dB/decade).

* * * * *

3. Section 15.215 is amended by revising paragraph (a) to read as

follows:

Sec. 15.215 Additional provisions to the general radiated emission

limitations.

(a) The regulations in Secs. 15.217 through 15.255 provide

alternatives to the general radiated emission limits for intentional

radiators operating in specified frequency bands. Unless otherwise

stated, there are no restrictions as to the types of operation

permitted under these sections.

* * * * *

4. Section 15.255 is amended by revising paragraphs (a) and (b) to

read as follows:

Sec. 15.255 Operation within the band 59.0-64.0 GHz.

(a) Operation under the provisions of this section is not permitted

for the following products:

(1) Equipment used on aircraft or satellites; and

(2) Field disturbance sensors, including vehicle radar systems,

unless the field disturbance sensors are employed for fixed operation.

For the purposes of this section, the reference to fixed operation

includes field disturbance sensors installed in fixed equipment, even

if the sensor itself moves within the equipment.

(b) Within the 59-64 GHz band, emission levels shall not exceed the

following:

(1) For products other than fixed field disturbance sensors, the

power density of any emission shall not exceed 9 W/cm \2\ at a

distance of 3 meters;

(2) For fixed field disturbance sensors that occupy 500 MHz or less

of bandwidth and that are contained wholly within the frequency band

61.0-61.5 GHz, the power density of any emission within the band 61.0-

61.5 GHz shall not exceed 9 W/cm\2\ at a distance of 3 meters

and the power density of any emission outside of the 61.0-61.5 GHz

band, but still within the 59-64 GHz band, shall not exceed 9 nW/cm\2\

at a distance of 3 meters; and

(3) For fixed field disturbance sensors other than those operating

under the provisions of paragraph (b)(2) of this section, the peak

transmitter output power shall not exceed 0.1 mW and the peak power

density shall not exceed 9 nW/cm\2\ at a distance of 3 meters.

Note to paragraph (b): Equipment may be authorized and operated

on an interim basis under the provisions of this section provided it

complies with the Spectrum Etiquette parameters contained in the

December 13, 1996 submission from the Millimeter Wave Communications

Working Group in ET Docket 94-124. Copies of the submission are

available for inspection at the Federal Communications Commission

Reference Center (Room 239), 1919 M Street, N.W., Washington, D.C.,

and may also be purchased from the Federal Communications

[[Page 45334]]

Commission's duplication contractor, International Transcription

Service, (202) 857-3800, 1231 20th Street, N.W., Washington, D.C.

20036. The submission is also available for viewing on the FCC's

internet website [http://www.fcc.gov/oet/dockets/et94-124/].

* * * * *

[FR Doc. 97-22550 Filed 8-26-97; 8:45 am]

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