2.2 Country specific regulatory frameworks

2.2.1 United States of America: FCC & IEEE

The United States of America was the first country to develop and release a regulatory framework for the open use of UWB technology. Numerous compatibility studies were carried out by the National Telecommunications and Information Agency (NTIA) and the Federal Communications Commission (FCC) to assess the impact of UWB emissions sharing spectrum with other services. NTIA released in 2001 an extensive report (01-43) “Assessment of compatibility between UWB devices and selected federal systems”, which provides details of the studies and practical tests that have been conducted and makes recommendations on UWB coexistence with other radio systems. The report covers compatibility assessments with aviation safety radio systems, maritime radionavigation, fixed satellite service and meteorological radar. The maximum permissible EIRP spectral density of -41.3 dBm/ MHz (RMS) is recommended in the report for frequencies above 1 GHz. Reports 01-384 and 01-45, were also released in 2001 by NTIA to cover compatibility of UWB with GPS receivers. The NTIA tests and analysis were based on UWB systems operating with pulsed emissions.

The FCC issued its First Report and Order in February 2002, in which it amended its Part 15 rules on unlicensed radio devices to allow the operation of UWB devices. Subpart F was created specifically to cover UWB devices¹¹. FCC Subpart F defines UWB transmitters in the following way: “An intentional radiator that, at any point in time, has a fractional bandwidth equal to or greater than 0.20 or has a UWB bandwidth equal to or greater than 500 MHz, regardless of the fractional bandwidth”. Under subpart F, there is a broad range of requirements for the registration of UWB devices. The FCC has made spectrum available between 3.1GHz to 10.6 GHz for unlicensed UWB communications devices (indoor or handheld) with a maximum power emission limit of -41.3 dBm/MHz. The FCC spectrum mask for UWB communications devices specifies the allowed limits for UWB operation. The FCC proposes that this limit will ensure the appropriate unlicensed operation of UWB devices without causing interference to existing licensed users of the 3.1-10.6 GHz frequency band. To provide additional protection to GPS users, the FCC has also mandated that spurious emissions between 1 GHz and 2 GHz be limited to -75 dBm/MHz.

FCC has published the following documents regarding UWB communication devices under Part 15 and Subpart F:

• 15.501 Scope
• 15.503 Definitions
• 15.505 Cross reference
• 15.507 Marketing of UWB equipment
• 15.517 Technical requirement for indoor UWB devices
• 15.519 Technical requirements for handheld UWB systems
• 15.521 Technical requirements applicable to all UWB devices
• 15.250 Operation of wideband systems within the band 5.925-7.250 GHz

Additional restrictions placed on indoor UWB communication systems:

• They can be used solely for indoor operations.
• Emissions shall not be intentionally directed outside of the building in which the device is located.
• The use of outdoor mounted antennas is prohibited.
• The intentional radiator can only transmit when it is sending information to an associated receiver.

Additional restrictions placed on handheld outdoor UWB communication systems:

• They must be relatively small hand-held devices and should not employ a fixed infrastructure.
• They can only transmit when the intentional radiator is sending information to an associated receiver. The UWB radiator should cease transmission within 10 seconds unless it receives an acknowledgment from the associated receiver that its transmission is being received. These acknowledgments of reception must continue to be received by the UWB radiator at least every 10 seconds or the device must cease transmitting.
  

The global industry standards developer, IEEE-SA (Institute of Electrical and Electronic Engineers – Standards Association) formed two task groups in 2003 under its 802.15 WPAN ¹² framework:

Task Group 4: Low Rate WPAN

Within this group, 802.15.4 dealt with low data rate, low complexity applications. 802.15.4a (WPAN Low Rate Alternative PHY) was then formed to cover applications involving low data rate communications and high precision location systems. The outcome of this later group was the definition of two optional PHY specifications: Chirp Spread Spectrum (operating under 2.4 GHz unlicensed band) and UWB Pulse Radio (operating under unlicensed UWB bands). The specifications covered by 802.15.4a were officially approved by IEEE-SA in 2007.

Task Group 3: High Rate WPAN

TG3 was subdivided into two working groups: 802.15.3 responsible for developing a standard for the MAC and PHY layers of high data rate WPANs; and 802.15.3a (High Rate WPAN Alternative PHY) to provide an enhancement to 802.15.3 to cover higher rate UWB PHY applications. 802.15.3a achieved the consolidation of a number of PHY specifications. In 2006 however, this group was disbanded due to disagreements amongst its parties.

The main reason for this disbandment was the existence of two different industry tendencies. These two industry groups were representing distinct UWB technologies, and therefore had disagreement on the adoption of a physical layer for high data rate UWB communications systems. One group was supporting the adoption of Direct Sequence – UWB and the other was supporting Multi-Band OFDM. This problem arose as a consequence of the spectral mask for UWB communications being specified but no specification being made on how the UWB bandwidth is achieved. As a result, the development of a standard for high data rate UWB was left incomplete.

2.2.2 United Kingdom: OFCOM

The UK spectrum regulator, Office of Communications (Ofcom), released in August 2007 an exemption for the unlicensed deployment of UWB (Statutory Instrument No.2084¹³). This regulation is harmonised with Europe’s EC decision 2007/131.

Section 2 of the Ofcom resolution defines UWB communications equipment in the following way as per EC decision: “ultra-wideband equipment means a wireless telegraphy station or wireless telegraphy apparatus incorporating, as integral part or as an accessory, technology for short-range radiocommunication involving the intentional generation and transmission of radio-frequency energy that spreads over a frequency range wider than 50 MHz, which may overlap several frequency bands allocated to wireless telegraphy”.

The Ofcom resolution also provides spectrum limits for UWB communications in accordance with the European Commission. Section 4 describes the following provisions and limitations:

The equipment is used:

1. indoors; or
2. other than indoors, provided it is not attached to:
   - a fixed installation;
   - a fixed infrastructure;
   - a fixed outdoor antenna; or
   - an automotive vehicle or railway vehicle.
3. The equipment does not cause or contribute to undue interference to any wireless telegraphy.

The emissions limits specified by Ofcom are in accordance with the harmonised EC spectral mask in Figure 3.

2.2.3 Germany: FNA

The German administration in charge of spectrum regulation FNA, published its resolution on UWB communications in early 2008¹⁴. This resolution conforms to the European mandate and it also specifies the use of a 10 second rule control scheme for UWB communication transmitters.

2.2.4 Australia: ACMA

Australia has, so far, adopted a cautious approach. Since publishing a “Background Brief” on UWB in May 2003¹⁵, the Australian Communications and Media Authority (ACMA), the spectrum regulator of Australia, has issued a few interim apparatus licences (authorised under a temporary “scientific assigned” licence). The view of the ACMA at this stage is that only applications with low potential to cause interference will be authorised under these interim licensing arrangements.

2.2.5 Canada: Industry Canada

In February 2005, Canada published a Consultation Paper¹⁶ on the introduction of UWB wireless systems, seeking public interest and comment on UWB technology. Canada received public comments on the paper¹⁷, which they expect to provide important input for the development of specific spectrum policy and radio equipment standards for the introduction and use of UWB systems in Canada.

The view of Industry Canada is that a licence exempt approach along with compliance standards and product certification is a valid option to allow UWB communications devices.

2.2.6 Japan

In Japan, the Ministry of Public Management, Home Affairs, Post and Telecommunications, the Japanese spectrum regulator, proposed in 2005 its spectral mask for UWB communications¹⁸. This mask includes particular requirements for products operating in the bands 3.4-4.8 GHz. It specifies the implementation of Detection and Avoidance (DAA) technique to ensure coexistence with existing services. The limit of -41.3dBm/MHz has been imposed for unlicensed UWB communications devices operating between 3.4-4.8 GHz and between 7.25-10.25 GHz for indoor applications (Figure 6).

2.2.7 Korea

Similarly to Japan, Korea has adopted a modified FCC mask. The Korean resolution also specifies DAA requirements with the following time lines:

• from 2007, for devices operating between 3.1-4.2 GHz

• from 2010, for devices operating between 4.2-4.8 GHz

Source: APT/AWF report

2.2.8 Singapore: IDA

Infocomm Development Authority (IDA), the spectrum regulator of Singapore, launched its UWB programme in February 2003. Trials were set up by the IDA to permit controlled UWB emissions within a specific area in Singapore (named as the UWB Friendly Zone or UFZ) as part of the effort to introduce UWB. In 2007, IDA released an emission mask and technical specifications for UWB devices¹⁹. This resolution specifies rules similar to those established by Europe

2.2.9 Outline of current regulatory implementations

The following table provides a summary of the regulatory approaches taken by regions and administrations specified in sections 2.1 and 2.2

¹⁴Germany’s resolution can be referred to: http://www.bundesnetzagentur.de/media/archive/12424.pdf

¹⁵Australia’s policy can be referred to: http://www.acma.gov.au/WEB/STANDARD/pc=PC_2645

¹⁶Industry Canada consultation paper can be referred to: http://strategis.ic.gc.ca/epic/site/smt-gst.nsf/vwapj/smse002consultation-e.pdf/$FILE/
smse002consultation-e.pdf

¹⁷Submissions to the consultation paper can be referred to: http://www.ic.gc.ca/epic/site/smt-gst.nsf/en/sf05360e.html

¹⁸Japan’s policy can be referred to: http://www.rft.jp/UltraWidebandWirelessSystem.html

¹⁹IDA – Singapore policy can be referred to: http://www.ida.gov.sg/doc/Policies%20and%20Regulation/Policies_and_Regulation
_Level2/IDATSUWB.pdf