2.1 International and regional regulatory frameworks

2.1.1 International telecommunications union (ITU)

The ITU provides guidance to administrations on the introduction of UWB communication devices through a number of recommendations⁶.

Following the outcome of a number of study initiatives carried by ITU-R (TG1/8), it has been concluded by the ITU that the introduction of UWB devices is subject to operation on a non- interference and non-protection basis and has published the following recommendations:

• SM.1754: Measurements techniques of ultra-wideband transmissions. This document provides guidance on the measurement of UWB signals in the frequency domain and in the time domain.
• SM.1755: Characteristics of ultra-wideband technology. This recommendation provides the terms and definitions employed in UWB technology. It also provides information on technical and operational characteristics of UWB.
• SM.1756: Framework for the introduction of devices using ultra-wideband technology. This framework provides guidance to administrations when considering the introduction of devices employing UWB. It considers the issues to take into account in order to protect all radiocommunication services from interference. This document also recommends deployment of short range UWB communications under a general licence regime and provides information on emission masks adopted by relevant administrations.
• SM.1757: Impact of devices using ultra-wideband technology on systems operating within radiocommunications services. This recommendation provides a compilation of studies and results that may be considered in order to assess the impact of UWB devices on existing radiocommunications. It describes deterministic and statistical methodologies used in interference analysis.

While the ITU, through its Recommendation SM.1756, identifies a general user licensing regime as best suited for regulating short range UWB communications, it does not recommend a particular spectral mask. The ITU recognises the sovereign rights of administrations for regulating UWB communication devices within their territorial boundaries and recommends the adoption of rigorous product certification provisions.

2.1.2 APT

The Asia Pacific Telecommunity Wireless Forum (APT/ AWF) released a report (APT/AWF/REP-1⁷) in August 2007, which provides details of UWB regulatory developments in the Asia Pacific region and abroad. The document states the positions of Japan and Korea on UWB, where unlicensed use has been allowed but with different spectrum masks to those adopted in Europe and the USA. These spectrum masks are “notched” to allow protection in particular bands between 3.1 and 10.6 GHz. Other administrations such as Singapore and Hong Kong have allowed UWB trials in specific locations and have adopted similar masks to those implemented by Europe. The report also describes the regulatory developments in other relevant administrations around the world such as the USA and Europe. The APT report recommends the adoption of harmonised regulatory provisions to protect existing radiocommunication services under the following guidelines:

• To allow deployment of UWB devices in parts of the bands below 10.6 GHz while ensuring protection of existing and planned radiocommunication services,
• To adopt licence-exempt or class licensing approach for operating UWB devices,
• To cap the maximum power spectral density at -41.3 dBm/MHz for licence-exempt or class licence devices - whilst incorporating notching requirements to ensure protection of existing and planned stations in the allocated bands; and
• To consider implementing other mitigation techniques to protect the existing radiocommunication services.

2.1.3 Europe: CEPT, ETSI & IEC

In March 2004 (and later again in 2005), the European Commission (EC) mandated the Conference of European Posts & Telegraphs (CEPT) to develop technical implementation measures for the harmonised use of radio spectrum for UWB within the European Union. The outcome of the studies undertaken by CEPT resulted in the EC adopting a licence exempt regime for UWB, on a non-interference, non- protected basis. The EC defined spectral and power limits for UWB technology below 10.6 GHz and excluded the deployment of UWB communication devices in fixed outdoor locations, automotive vehicles, railway vehicles and aircraft. This decision came into force in July 2007.

The EC approach is somewhat different to the US regulatory approach, since it mandates more stringent power limits in the spectral mask (Figure 3). These limits reflect the findings of the CEPT studies in Report 64 delivered to ECC in 2005⁸, which identified that the majority of the radio services below 10.6 GHz required more protection than that afforded by the FCC mask. The EC decision also places special consideration on coexistence issues for the protection of specific bands: for example the 3.4-3.8 GHz band. Section 18 of the European Commission decision 2007/131 specifies “that UWB technology without appropriate mitigation techniques should be time limited and be replaced by more restrictive conditions beyond the date 31 December 2010, because there is an expectation that equipment of this type should operate exclusively above 6 GHz in the longer term”.

The final decision on UWB regulation in Europe was published in February 2007. This decision specifies the final emission limits for UWB communications, makes provisions for the utilisation of mitigation techniques including low duty cycle considerations and other operational conditions.

The following relevant publications describe the framework adopted by EC:

• ECC Report 64, 2005 and Annexes: The protection requirements of radiocommunications systems below 10.6 GHz from generic UWB applications. This report included the analysis of the following aspects:

- Complementary technical studies focused on three selected coexistence scenarios (Fixed Satellite Services, outdoor Fixed Services and indoor FWA scenarios);

- an impact analysis, structured per frequency range, initially considering a mean e.i.r.p. spectral density limit of -55 dBm/MHz in the 3.1-10.6 GHz frequency range, taking into account possible mitigation factors in particular restriction to indoor UWB applications.

• ECC Decision of 1 December 2006: ECC/DEC/ (06)12. The harmonised conditions for devices using UWB technology with low duty cycle in the frequency band 3.4-4.8 GHz.
• ECC Decision 2006 amendment: Amended ECC/DEC/ (06)04. ECC Decision of 24 March 2006 (amended 6 July 2007) on the harmonised conditions for devices using UWB technology below 10.6 GHz. This document included the following areas:
  
  - It was agreed that further technical studies would still be needed in several areas in order to finalize generic regulatory solutions for UWB operation in Europe, in particular concerning maximum mean e.i.r.p. spectral densities in the bands 2.7 - 3.8 GHz and 8.5 – 9 GHz, Detect And Avoid (DAA) and Low Duty Cycle (LDC) mitigation techniques and UWB installations in road and rail vehicles.
• 2007/131/EC, Commission Decision of 21 February 2007 on allowing the use of the radio spectrum for equipment using UWB technology in a harmonised manner in the European Community.

The European Telecommunications Standards Institute (ETSI) participates in CEPT regulatory activities for harmonising radiocommunications in Europe. In 2001, ETSI published and submitted to ITU the System Reference Document TR 101 994-1 for UWB communications purposes⁹. Later in 2008, it released the harmonized standard EN 302 065 in response to a mandate from EC in 2003, to investigate and develop radio standards for short range UWB devices. This standard applies to fixed (indoor only), mobile and portable transceivers utilizing UWB for short range communication applications. Under the EC framework, UWB systems in fixed outdoor locations and aircraft are not covered.

EN 302 065 provides generic technical guidelines for different types of short range UWB devices including electromagnetic compatibility, measurement and technical specifications. It divides these applications into impulse radio and carrier based radio technologies. The spectrum limits applicable to these technologies are the proposed masks set out in the ECC decision report 64 (Figure 3).

ETSI has published the following UWB standards (communications):

• TR 101 994-1 Short Range Devices (SRD); Technical characteristics for SRD equipment using UWB technology. Part 1: Communications applications (2004).
• EN 302 065 Ver.1.1.1 Electromagnetic compatibility and Radio spectrum Matters (ERM); Ultra Wideband technologies for communications purposes; Harmonized EN covering the essential requirements of article 3.2 of the R&TTE Directive (2008).
• EN 302 065 Ver.1.2.1 Electromagnetic compatibility and Radio spectrum Matters (ERM); Short Range Devices (SRD) using Ultra Wideband technologies for communications purposes; Harmonized EN covering the essential requirements of article 3.2 of the R&TTE Directive (Draft).
• EN 302 500-1 Ver.1.2.1 Electromagnetic compatibility and Radio spectrum Matters (ERM); Short Range Devices (SRD) using Ultra Wideband technology; Location and Tracking equipment operating in the frequency range form 6 GHz to 8.5 GHz; Part 1: Technical characteristics and test methods (2007)
• TS 102 455 Ver.1.1.1 High rate Ultra Wideband PHY and MAC standard (Ecma-368/December 2005, modified)

The International Electrotechnical Commission (IEC) approved in 2007 two ISO/IEC international standard specifications for high data rate UWB10. These were based on specifications released by Ecma International in 2005 (ECMA 368 and ECMA 369). These standards relate to UWB technology employing MB-OFDM (Multi Band – Orthogonal Frequency Division Multiplex)

The following ISO/IEC standards for UWB communications have been developed:

• ISO/IEC 26907:2007. Information technology - Telecommunications and information exchange between systems - High rate UWB PHY and MAC standard.
• ISO/IEC 26908:2007. Information technology - MAC – PHY interface for ISO/IEC 26907.

⁶ITU recommendations are available at: http://www.itu.int/rec/R-REC-SM/e

⁷APT/ AWF report can be referred to: http://www.aptsec.org/Program/AWF/Approved%20Recommendations/(AWF%20Rep1)Report_on_UWB.pdf

⁸CEPT resolutions can be referred to: http://www.erodocdb.dk/doks/relation.aspx?docid=2188

⁹ETSI standards are available at: http://www.etsi.org/WebSite/Standards/Standard.aspx

¹⁰IEC standards can be referred to: http://www.iec.ch/searchpub/cur_fut.htm