Federal Register / Vol. 63, No. 147 / Friday, July 31, 1998 /Rules and Regulations 40831

If the EPA received such comments,

then EPA will publish a document

withdrawing the final rule and

informing the public that the rule will

not take effect. All public comments

received will then be addressed in a

subsequent final rule based on the

proposed rule. The EPA will not

institute a second comment period. Any

parties interested in commenting should

do so at this time. If no such comments

are received, the public is advised that

this rule will be effective on September

29, 1998, and no further action will be

taken on the proposed rule.

IV. Administrative Requirements

A. Executive Order 12866

The Office of Management and Budget

(OMB) has exempted this regulatory

action from E.O. 12866 review.

The final rule is not subject to E.O.

13045, entitled ‘‘Protection of Children

from Environmental Health Risks and

Safety Risks,’’ because it is not an

‘‘economically significant’’ action under

E.O. 12866.

B. Regulatory Flexibility Act

Under the Regulatory Flexibility Act,

5 U.S.C. 600 et seq., EPA must prepare

a regulatory flexibility analysis

assessing the impact of any proposed or

final rule on small entities. 5 U.S.C. 603

and 604. Alternatively, EPA may certify

that the rule will not have a significant

impact on a substantial number of small

entities. Small entities include small

businesses, small not-for-profit

enterprises, and government entities

with jurisdiction over populations of

less than 50,000.

SIP approvals under section 110 and

subchapter I, part D of the Clean Air Act

do not create any new requirements but

simply approve requirements that the

State is already imposing. Therefore,

because the Federal SIP approval does

not impose any new requirements, the

Administrator certifies that it does not

have a significant impact on any small

entities affected. Moreover, due to the

nature of the Federal-State relationship

under the CAA, preparation of a

flexibility analysis would constitute

Federal inquiry into the economic

reasonableness of State action. The

Clean Air Act forbids EPA to base its

actions concerning SIPs on such

grounds. Union Electric Co. v. U.S. EPA,

427 U.S. 246, 255–66 (1976); 42 U.S.C.

7410(a)(2).

C. Unfunded Mandates

Under section 202 of the Unfunded

Mandates Reform Act of 1995

(‘‘Unfunded Mandates Act’’), signed

into law on March 22, 1995, EPA must

prepare a budgetary impact statement to

accompany any proposed or final rule

that includes a Federal mandate that

may result in estimated costs to State,

local, or tribal governments in the

aggregate; or to private sector, of $100

million or more. Under section 205,

EPA must select the most cost-effective

and least burdensome alternative that

achieves the objectives of the rule and

is consistent with statutory

requirements. Section 203 requires EPA

to establish a plan for informing and

advising any small governments that

may be significantly or uniquely

impacted by the rule.

EPA has determined that the approval

action promulgated does not include a

Federal mandate that may result in

estimated costs of $100 million or more

to either State, local, or tribal

governments in the aggregate, or to the

private sector. This Federal action

approves pre-existing requirements

under State or local law, and imposes

no new Federal requirements.

Accordingly, no additional costs to

State, local, or tribal governments, or to

the private sector, result from this

action.

D. Submission to Congress and the

General Accounting Office

The Congressional Review Act, 5

U.S.C. 801 et seq., as added by the Small

Business Regulatory Enforcement

Fairness Act of 1996, generally provides

that before a rule may take effect, the

agency promulgating the rule must

submit a rule report, which includes a

copy of the rule, to each House of the

Congress and to the Comptroller General

of the United States. EPA will submit a

report containing this rule and other

required information to the U.S. Senate,

the U.S. House of Representatives, and

the Comptroller General of the United

States prior to publication of the rule in

the Federal Register. This rule is not a

‘‘major’’ rule as defined by 5 U.S.C.

804(2).

E. Petitions for Judicial Review

Under section 307(b)(1) of the Clean

Air Act, petitions for judicial review of

this action must be filed in the United

States Court of Appeals for the

appropriate circuit by September 29,

1998. Filing a petition for

reconsideration by the Administrator of

this final rule does not affect the finality

of this rule for the purposes of judicial

review nor does it extend the time

within which a petition for judicial

review may be filed, and shall not

postpone the effectiveness of such rule

or action. This action may not be

challenged later in proceedings to

enforce its requirements (see section

307(b)(2)).

List of Subjects in 40 CFR Part 52

Environmental protection, Air

pollution control, Hydrocarbons,

Incorporation by reference,

Intergovernmental relations, Nitrogen

dioxide, Ozone, Reporting and

recordkeeping requirements, Volatile

organic compound.

Note: Incorporation by reference of the

State Implementation Plan for the State of

California was approved by the director of

the Federal Register on July 1, 1982.

Dated: July 8, 1998.

Felicia Marcus,

Regional Administrator, Region IX.

Part 52, Chapter I, Title 40 of the Code

of Federal Regulations is amended as

follows:

PART 52—[AMENDED]

1. The authority citation for Part 52

continues to read as follows:

Authority: 42 U.S.C. 7401 et seq.

Subpart F—California

2. Section 52.220 is amended by

adding paragraph (c)(194)(i)(G) to read

as follows:

§ 52.220 Identification of plan.

* * * * *

(c) * * *

(194) * * *

(i) * * *

(G) Mendocino County Air Quality

Management District.

(1) Rule 130 (p6), (t2), and (t3)

adopted April 6, 1993.

* * * * *

[FR Doc. 98–20508 Filed 7–30–98; 8:45 am]

BILLING CODE 6560–50–P

FEDERAL COMMUNICATIONS

COMMISSION

47 CFR Part 15

[ET Docket No. 96–102, FCC 98–121]

Unlicensed NII Devices in the 5 GHz

Frequency Range

AGENCY: Federal Communications

Commission.

ACTION: Final rule.

SUMMARY: By this Memorandum

Opinion and Order (‘‘MO&O’’), the

Commission amends the rules to permit

fixed, point-to-point Unlicensed

National Information Infrastructure

(‘‘U–NII’’) devices in the 5.725–5.825

GHz band to operate with one watt

maximum transmitter output power and
40832 Federal Register / Vol. 63, No. 147 / Friday, July 31, 1998 /Rules and Regulations

directional antennas of up to 23 dBi

gain. Additionally, the MO&O amends

the Commission’s rules to specify

transmit power limits in the form of a

logarithmic equation as a function of

channel bandwidth for all U–NII

devices in all U–NII bands. It also

clarifies the rules regarding unwanted

emissions and specifies these limits in

terms of absolute radiated power levels.

Further, this action clarifies and

addresses other issues raised in the

petitions for reconsideration regarding

the operation of, and regulations

governing, U–NII devices. The actions

taken herein will add to the flexibility

and capability of U–NII operations

without causing an increase in harmful

interference to incumbent operations

sharing the same spectrum.

EFFECTIVE DATE: August 31, 1998.

FOR FURTHER INFORMATION CONTACT: Tom

Derenge, Office of Engineering and

Technology, (202) 418–2451.

SUPPLEMENTARY INFORMATION: This is a

summary of the Commission’s MO&O,

ET Docket 96–102, FCC 98–121,

adopted June 17, 1998, and released

June 24, 1998. 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. On January 9, 1997, the

Commission adopted a Report and

Order (‘‘R&O’’) in ET Docket No. 96–

102, 62 FR 04649, January 31, 1997,

which amended part 15 of its rules to

make available 300 megahertz of

spectrum at 5.15–5.35 GHz and 5.725–

5.825 GHz for use by a new category of

unlicensed equipment, called U–NII

devices. These devices are intended to

provide high speed wireless digital

communications on an unlicensed basis.

The R&O stated that U–NII devices will

support the creation of new wireless

local area networks (‘‘LANs’’) and will

facilitate wireless access to the National

Information Infrastructure (‘‘NII’’). In

order to permit flexibility in the design

and operation of these devices, the R&O

adopted those technical rules found to

be minimally necessary to prevent

interference to other services and to

ensure that the spectrum is used

efficiently. Additionally, the rules set

forth in the R&O were intended to foster

the development of a broad range of

new devices and service offerings that

will stimulate economic development

and the growth of new industries.

2. In response to the R&O, on March

3, 1997, Apple Computer, Inc.

(‘‘Apple’’), Hewlett Packard Company

(‘‘H–P’’) and the Wireless Information

Networks Forum (‘‘WINForum’’) filed

petitions requesting reconsideration of

certain aspects of the R&O and further

clarification of certain rules adopted in

that proceeding. The MO&O adopts in

part the reconsideration requests of

Apple and WINForum, denies the

reconsideration request of H–P and

dismisses a later filed petition for

rulemaking by Clarity Wireless

Incorporated. Specifically, the MO&O

adopts WINForum’s proposal of

expressing the transmit power for U–NII

devices as a logarithmic equation

dependent on bandwidth. This action

will not increase the maximum power

permitted by U–NII devices, but would

merely scale permissible maximum

power to the bandwidth used by the U–

NII device. Further, the MO&O denies

requests to ease power and antenna

limits for U–NII devices at this time

except for point-to-point links in the

5.725–5.825 GHz band, which will be

permitted to operate with up to 1 watt

transmitter output power and 23 dBi

gain antennas. Non point-to-point U–NII

devices in the 5.725–5.825 GHz band

must meet the original power limits of

1 watt transmitter output power with up

to 6 dBi gain antennas. The item,

however, pledges that the Commission

will work with industry, consumers,

government agencies, and other

interested parties to closely monitor

whether these limits can be eased in the

future.

3. With respect to power spectral

density, the Commission acknowledges

that there are variations in a signal’s

power across its emission bandwidth,

but concludes that the public interest

would not be served by amending its

rules to allow a 3–dB tolerance in

meeting U–NII power spectral density

(‘‘PSD’’) requirements in any one

megahertz segment, even if the total

PSD requirement across the signal’s

bandwidth is met. Instead, for

compliance with the PSD requirement,

the rules are amended to permit

integration of the power over the PSD

measurement bandwidth (the lesser of 1

megahertz or the 26 dB bandwidth) such

that the variations in envelope power

will be averaged out. The MO&O states

that this measurement procedure is

sufficient to accommodate the digital

modulation techniques anticipated for

U–NII devices and that integrating the

power over the measurement bandwidth

would not cause additional interference

problems with other services due to the

averaging effect of the power from

multiple devices.

4. The Commission denies Apple’s

request to modify the U–NII PSD

requirements to permit the spread of the

maximum power across a smaller

bandwidth and maintains the PSD

limits adopted within the R&O.

Specifically, U–NII devices shall limit

their PSD as follows: (a) in the 5.15–5.25

GHz band, the transmitter peak PSD will

be limited to 2.5 mW (4 dBm) in any

one megahertz band for an antenna gain

of up to 6 dBi; (b) in the 5.25–5.35 GHz

band, the transmitter peak PSD will be

limited to 12.5 mW (11 dBm) in any one

megahertz band for an antenna gain of

up to 6 dBi; and (c) in the 5.725–5.825

GHz band, the transmitter peak PSD will

be limited to 50 mW (17 dBm) in any

one megahertz band for an antenna gain

of up to 6 dBi (23 dBi for fixed, pointto-point systems).

5. In response to WINForum

requested clarification of the limits on

unwanted UNII emissions, the

Commission amends its rules so that U–

NII emission limits will now be

expressed in absolute terms based on

the maximum permitted in-band power

limits rather than in terms relative to

actual in-band operating power. The

Commission concludes that expression

of U–NII out-of-band and spurious

emission limits as absolute radiated

power levels would afford

manufacturers maximum flexibility in

designing U–NII devices that would

comply with the emission requirements.

Therefore, the MO&O revises sections

15.407(b)(1–3) to express U–NII out-ofband and spurious emission limits in

terms of the effective isotropically

radiated power per megahertz (‘‘EIRP/

MHz’’) equivalents for U–NII

transmitters operating at maximum

permitted power with a 6 dBi gain

antenna. Additionally, the MO&O

revises section 15.407(b)(3) to clarify

that all emissions within 10 megahertz

of the edge of the 5.725–5.825 GHz band

shall not exceed an EIRP of -17 dBm/

MHz, and all emissions farther than 10

megahertz from the edge of the 5.725–

5.825 GHz band shall not exceed an

EIRP of -27 dBm/MHz. Because the U–

NII emission limits are expressed in

terms of EIRP/MHz based on maximum

permitted power with a 6 dBi gain

antenna, out-of-band and spurious

emissions are limited to a maximum

level regardless of antenna gain.

6. Additionally, the MO&O clarifies

the rules specifying U–NII emission

limits in the restricted bands of section

15.205, but rejects WINForum’s

contention that the U–NII emission

limits of section 15.407(b)(1–3) should
Federal Register / Vol. 63, No. 147 / Friday, July 31, 1998 /Rules and Regulations 40833

1See 5 U.S.C. 603.

2See NPRM, ET Docket No. 96–102, 11 FCC Rcd

7205 (1996), 61 FR 24749, May 16, 1996.

3See Report and Order, ET Docket 96–102, 12

FCC Rcd 1576 (1997).

4See Subtitle II of the CWAAA is ‘‘The Small

Business Regulatory Enforcement Fairness Act of

1996’’ (‘‘SBREFA’’), codified at 5 U.S.C. 603.

take precedence over the restricted band

emission limits. As reflected in section

15.407(b)(6) adopted by the R&O, all U–

NII emissions must meet section 15.205

requirements for emissions into the

restricted bands, in order to protect

sensitive radio operations and safety-oflife radio operations. Further, the

Commission revises sections

15.407(b)(1–2) to clarify that they apply

to emissions that emanate from U–NII

devices operating in the 5.15–5.25 GHz

and 5.25–5.35 GHz bands and that fall

outside of the restricted bands.

Specifically, for devices operating in

these bands, U–NII emissions outside

these bands shall not exceed an EIRP of

-27 dBm/MHz. The MO&O also clarifies

section 15.407(b)(5) to state that the

emission requirements of section 15.209

apply to only those U–NII emissions

that are below 1 GHz.

7. The Commission also modifies its

rules regarding the definition of U–NII

technical parameters and performance

of compliance measurements to better

accommodate advanced digital

modulation techniques. The MO&O

recognizes that digital modulation

techniques often display symbol-tosymbol envelope variations and short

duration peaks that do not cause

increased interference to other

operations. It also notes that defining

power in terms of the average of all

symbols in a particular modulation

technique and establishing a proper

time interval to measure transmission

pulses would help account for the peakto-average variations in measuring

digital signals. Additionally, in order to

get an accurate measurement for digital

networking devices, the MO&O finds

that measurements should be made over

bursts that are transmitted at the

maximum power control level and that

any power averaging must not include

time intervals during which the

transmitter is off or transmitting at a

reduced power level. Accordingly, the

MO&O amends its U–NII technical

definitions and measurement

procedures to address the above

concerns raised by WINForum.

8. Additionally, the MO&O imposes a

maximum 13 dB ratio limitation

between the peak excursion of the

modulation envelope (measured using a

peak hold function) and the peak

transmit power (measured as specified

above) across the lesser of any 1 MHz

bandwidth or the emission bandwidth.

These U–NII measurements must be

made using the procedures specified in

the Commission’s rules and in

document ANSI C63.17–1998 over an

interval of continuous transmission

during which the output power is at a

maximum. The Commission concludes

that this approach will enable the

development of new U–NII digital

modulation techniques that will not

have an undesirably high potential for

causing interference to other devices

and services.

9. Regarding the measurement of

unwanted emissions, the Commission

reaffirms its finding in the R&O that

these measurements should be

performed with a minimum resolution

bandwidth of one megahertz. This is

consistent with section 15.35(b) of the

Commission’s rules and reduces the

influence of different filter responses

and ensures repeatability of

measurements. Nevertheless, the U–NII

rules permit a lower resolution

bandwidth for measurements near the

band edge, when necessary, provided

the measured energy is integrated to

show the total power over one

megahertz. Therefore, the MO&O

concludes that adoption of WINForum’s

proposed definitions for ‘‘average

symbol envelope power,’’ ‘‘pulse,’’

‘‘transmit power,’’ ‘‘peak transmit

power,’’ ‘‘power spectral density,’’ and

‘‘peak power spectral density’’

combined with the use of measurement

techniques specified in the

Commission’s rules and in ANSI

C63.17–1998 are appropriate and will

permit accurate measurement of U–NII

technical parameters.

10. The MO&O clarifies that the intent

of this proceeding was to facilitate the

development of digital equipment using

digital modulation techniques capable

of achieving network communications

on wide bandwidth channels at high

data rates. Therefore, the MO&O adds to

the rules a definition for digital

modulation, but states that it is not

necessary to prescribe which digital

modulation techniques would be

permitted because this may restrict the

implementation of newly developed

digital modulation techniques.

11. Finally, the Commission clarifies

that U–NII devices that meet the

operational requirements for the 5.15–

5.25 GHz band are permitted to operate

across the entire 5.15–5.35 GHz band.

The Commission notes that nothing in

its current rules prevents devices that

meet the requirements of multiple bands

from operating in the different U–NII

bands as long as the device complies

with the operating requirements of the

band it is transmitting in.

Final Regulatory Flexibility Analysis

12. As required by the Regulatory

Flexibility Act (‘‘RFA’’),1 an Initial

Regulatory Flexibility Analysis

(‘‘IRFA’’) was incorporated in the Notice

of Proposed Rulemaking (‘‘NPRM’’) in

this proceeding.2 The Commission

sought written public comments on the

proposals in the NPRM including on the

IRFA. Further, the Commission adopted

a Final Regulatory Flexibility Analysis

(‘‘FRFA’’) in the Report and Order

(‘‘R&O’’) in this proceeding.3 The

Commission’s Supplemental Final

Regulatory Flexibility Analysis

(‘‘SFRFA’’) in this Memorandum

Opinion and Order (‘‘MO&O’’) conforms

to the RFA, as amended by the Contract

With America Advancement Act of 1996

(‘‘CWAAA’’), Pub. L. 104–121, 110 Stat.

847 (1996).4

13. Need for and Objectives of the

Rule: By this action, the Commission

affirms its decision to provide 300

megahertz of spectrum for a new

category of unlicensed equipment called

‘‘Unlicensed National Information

Infrastructure’’ (‘‘U–NII’’) devices. These

devices are needed to provide high

speed wireless digital communications

on an unlicensed basis. This action is

intended to provide clarification of the

rules governing the use of these devices

adopted in the R&O. Additionally, at the

request of petitioners we are relaxing

certain technical requirements to enable

these devices to achieve more reliable

communications. We believe the rules

set forth herein will foster the

development of a broad range of new

devices and services that will stimulate

economic development and the growth

of new industries. Finally, this action

will promote the ability of U.S.

manufacturers to compete globally by

enabling them to develop unlicensed

digital communications products for the

world market.

14. Summary of Significant Issues

Raised by the Public Comments in

Response to the IRFA: As noted in the

previous FRFA, we received five

comments that directly addressed the

IRFA in this proceeding. The concerns

raised by these comments were

addressed in the FRFA. No new

comments or reconsiderations were

filed relating directly to the IRFA or

FRFA in this proceeding.

15. Description and Estimate of the

Number of Small Entities to Which the

Rules Will Apply: The RFA generally

defines the term ‘‘small business’’ as

having the same meaning as the term

‘‘small business concern’’ under the

Small Business Act, 15 U.S.C. 632.

Based on that statutory provision, we
40834 Federal Register / Vol. 63, No. 147 / Friday, July 31, 1998 /Rules and Regulations

5See 13 CFR 121.201, Standard Industrial

Classification (SIC) Code 3663.

6See U.S. Department of Commerce, 1992 Census

of Transportation, Communications and Utilities

(issued May 1995), SIC category 3663.

7See 13 CFR 121.201, (SIC) Code 3571.

8See U.S. Small Business Administration 1995

Economic Census Industry and Enterprise Report,

Table 3, SIC Code 3571, (Bureau of the Census data

adapted by the Office of Advocacy of the U.S. Small

Business Administration).

will consider a small business concern

one which: (1) is independently owned

and operated; (2) is not dominant in its

field of operation; and (3) satisfies any

additional criteria established by the

Small Business Administration

(‘‘SBA’’). The RFA SBREFA provisions

also apply to nonprofit organizations

and to governmental organizations.

Since the Regulatory Flexibility Act

amendments were not in effect until the

record in this proceeding was closed,

the Commission was unable to 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. The rules adopted in this

MO&O will apply to any entities

manufacturing U–NII devices to operate

in the 5 GHz range which could include

computer manufacturers and unlicensed

RF equipment manufacturers. Although

the rules do not directly affect entities

that purchase this equipment,

comments contend that several million

entities, including consumers, schools,

libraries, and small businesses, could

benefit from the use of these devices.

16. The rules adopted in this MO&O

will apply to entities engaged in the

manufacturing of U–NII devices. The

Commission has not developed a

definition of small entities applicable to

unlicensed device manufacturers.

Therefore, the applicable definition of

small entity is the definition under the

SBA rules applicable to manufacturers

of ‘‘Radio and Television Broadcasting

and Communications Equipment’’ and

‘‘Computer Manufacturers.’’ According

to the SBA’s regulations, an RF

manufacturer must have 750 or fewer

employees in order to qualify as a small

business.5 Census Bureau data indicates

that there are 858 companies in the

United States 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.6 Further, according to

SBA regulations, a computer

manufacturer must have 1,000 or fewer

employees in order to qualify as a small

entity.7 Census Bureau data indicates

that there are 716 firms that

manufacture electronic computers and

of those, 659 have fewer than 500

employees and qualify as small

entities.8 The remaining 57 firms have

500 or more employees; however, we

are unable to determine how many of

those have fewer than 1,000 employees

and therefore also qualify as small

entities under the SBA definition. The

Census Bureau categories are very broad

and specific figures are not available on

the number of these firms that will

manufacture U–NII devices; however,

we acknowledge the likelihood that

many of them will be small businesses.

17. Description of Projected

Reporting, Recordkeeping and Other

Compliance Requirements: As noted in

the FRFA in this proceeding, the rules

adopted in the R&O, as well as the

subsequent MO&O, will require U–NII

manufacturers to comply with the

Commission’s equipment certification

requirements set forth in section

15.210(b), prior to marketing, and the

radio frequency hazard requirements set

forth in sections 1.1307(b), 1.1310,

2.1091, and 2.1093 of the rules. All

equipment will be deemed to operate in

an ’uncontrolled’ environment. Any

application for equipment certification

for these devices must contain a

statement confirming compliance with

these requirements. Technical

information showing the basis for this

statement must be submitted to the

Commission upon request. The

equipment certification requirement is

necessary to ensure compliance with the

Commission’s rules and promote

electromagnetic compatibility. Further,

compliance with the radio frequency

hazard requirements is necessary to

protect the health of individuals using

the equipment. These requirements are

typically required for all unlicensed

equipment. No further reporting or

recordkeeping requirements will be

imposed. Therefore, the only

compliance costs likely to be incurred

are costs necessary to ensure that

prototype devices comply with our

equipment certification requirements

and radio frequency hazard

requirements.

18. Skills of an application examiner,

radio technician or engineer will be

needed to meet the requirements. If a

device is not categorically excluded, the

manufacturer of the device must make

a determination of whether the device

will comply with the RF radiation

limits. This study can be done by

calculation or measurement, depending

upon the situation. In many cases the

studies can be done by a radio

technician or engineer. Certification

applications are usually done by

application examiners.

19. Significant Alternatives and Steps

Taken by Agency To Minimize

Significant Economic Impact on a

Substantial Number of Small Entities

Consistent With Stated Objectives: As

noted in the FRFA, the Commission

considered several significant

alternatives based on comments

received in response to the NPRM.

These alternatives are discussed in the

FRFA to the R&O. The Commission also

considered alternatives to the rules

adopted in the R&O which were in

response to three Petitions for

Reconsideration filed to the R&O and

the subsequent comments. For example,

the R&O specified the permitted

transmitter output power in one

megahertz increments up to a maximum

permitted transmitter output power in a

20 megahertz channel. However, this

would permit narrowband devices with

channel widths less than one megahertz

to transmit with the same power as

those devices with one megahertz

channel bandwidths. Therefore, the

MO&O specifies the permitted

transmitter output power as a

logarithmic equation dependent on the

channel’s bandwidth, but it does not

increase the total maximum permitted

transmitter output power. In addition,

the MO&O denied requests to permit U–

NII devices in the 5.15–5.25 GHz and

5.25–5.35 GHz band to operate at higher

powers and/or with increased antenna

gain because such action might increase

the potential for interference problems.

These actions will not have a significant

impact on small entities.

20. Further, the MO&O clarifies the

unwanted emission requirements for U–

NII devices. Specifically, unwanted

emissions will now be specified as an

absolute radiated power level from the

antenna instead of requiring that U–NII

devices suppress unwanted emission by

a specific number of dBs below their

operating power. The MO&O denies

requests for relaxation of unwanted

emission requirements because such

action might create unacceptable

interference problems. This action does

not change the amount of emission

suppression required for U–NII devices,

but permits device manufacturers

additional flexibility in meeting our

requirements.

21. Additionally, in response to a

request filed by Apple Computer, Inc.,

the MO&O modifies the U–NII rules to

permit fixed, point-to-point U–NII

devices in the 5.725–5.825 GHz band to

operate with one watt maximum

transmitter output power and

directional antennas of up to 23 dBi

gain. This action would facilitate the
Federal Register / Vol. 63, No. 147 / Friday, July 31, 1998 /Rules and Regulations 40835

development of community networks.

The item denies Apple’s request for

unlimited gain antennas because of

comments from the National

Telecommunications and Information

Administration which argue that such

high gain antennas would be more

susceptible to interference from

Government operations. This action will

not have a significant impact on small

entities.

22. At the request of WINForum, the

MO&O modifies the equipment

authorization measurement procedures

and definitions for U–NII power in

accordance with the new American

National Standards Institute (‘‘ANSI’’)

document, C63.17, which defines

parameters and measurement

procedures for unlicensed Personal

Communications Service (‘‘U–PCS’’)

devices and accounts for the

characteristics of the digital modulation

techniques used by these devices. The

Commission believes that the increasing

use of advanced digital modulation

techniques does warrant some

reconsideration of the definition of

technical parameters and the

performance of compliance

measurements to ensure that equipment

meets necessary technical standards.

The Commission also denies a request

that it permit a 3–dB tolerance in

meeting power requirements because its

peak power spectral density (‘‘PSD’’)

limits are designed to be applicable

regardless of variations caused by

various signal types. However, to

determine compliance with the peak

PSD requirements, the MO&O will

permit the averaging of power variations

through the integration of the power

variations over the required minimum

PSD measurement bandwidth (the lesser

of 1 megahertz or the signal’s 26 dB

bandwidth). These actions will not have

a significant impact on small entities.

23. Finally, the item clarifies that U–

NII devices must use digital modulation

techniques and amends the rules on

emission limits to permit a single device

to operate across both the 5.15–5.25

GHz and 5.25–5.35 GHz bands as long

as the technical requirements for each

band are met. This added flexibility will

assist manufacturers in designing

equipment that more readily meets the

consumer’s demand and will not have a

significant impact on small entities.

24. Report to Congress: The

Commission shall send a copy of this

Supplemental Final Regulatory

Flexibility Analysis, along with this

Report 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, Radio.

Federal Communications Commission.

Magalie Roman Salas,

Secretary.

Rule Changes

For the reasons discussed in the

preamble part 15 of title 47 of the Code

of Federal Regulations, 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 15.17 is amended by

revising paragraph (a) to read as follows:

§ 15.17 Susceptiblity to interference.

(a) Parties responsible for equipment

compliance are advised to consider the

proximity and the high power of nonGovernment licensed radio stations,

such as broadcast, amateur, land mobile,

and non-geostationary mobile satellite

feeder link earth stations, and of U.S.

Government radio stations, which could

include high-powered radar systems,

when choosing operating frequencies

during the design of their equipment so

as to reduce the susceptibility for

receiving harmful interference.

Information on non-Government use of

the spectrum can be obtained by

consulting the Table of Frequency

Allocations in § 2.106 of this chapter.

* * * * *

3. Sections 15.401, 15.403, 15.405 and

15.407, in Subpart E are revised to read

as follows:

§ 15.401 Scope.

This subpart sets out the regulations

for unlicensed National Information

Infrastructure (U–NII) devices operating

in the 5.15–5.35 GHz and 5.725–5.825

GHz bands.

§ 15.403 Definitions.

(a) Average symbol envelope power.

The average symbol envelope power is

the average, taken over all symbols in

the signaling alphabet, of the envelope

power for each symbol.

(b) Digital modulation. The process by

which the characteristics of a carrier

wave are varied among a set of

predetermined discrete values in

accordance with a digital modulating

function as specified in document ANSI

C63.17–1998.

(c) Emission bandwidth. For purposes

of this subpart the emission bandwidth

shall be determined by measuring the

width of the signal between two points,

one below the carrier center frequency

and one above the carrier center

frequency, that are 26 dB down relative

to the maximum level of the modulated

carrier. Determination of the emissions

bandwidth is based on the use of

measurement instrumentation

employing a peak detector function with

an instrument resolutions bandwidth

approximately equal to 1.0 percent of

the emission bandwidth of the device

under measurement.

(d) Peak power spectral density. The

peak power spectral density is the

maximum power spectral density,

within the specified measurement

bandwidth, within the U–NII device

operating band.

(e) Peak transmit power. The

maximum transmit power as measured

over an interval of time of at most

30/B or the transmission pulse duration

of the device, whichever is less, under

all conditions of modulation.

(f) Power spectral density. The power

spectral density is the total energy

output per unit bandwidth from a pulse

or sequence of pulses for which the

transmit power is at its peak or

maximum level, divided by the total

duration of the pulses. This total time

does not include the time between

pulses during which the transmit power

is off or below its maximum level.

(g) Pulse. A pulse is a continuous

transmission of a sequence of

modulation symbols, during which the

average symbol envelope power is

constant.

(h) Transmit power. The total energy

transmitted over a time interval of at

most 30/B (where B is the 26 dB

emission bandwidth of the signal in

hertz) or the duration of the

transmission pulse, whichever is less,

divided by the interval duration.

(i) U–NII devices. Intentional radiators

operating in the frequency bands 5.15–

5.35 GHz and 5.725–5.825 GHz that use

wideband digital modulation techniques

and provide a wide array of high data

rate mobile and fixed communications

for individuals, businesses, and

institutions.

§ 15.405 Cross reference.

(a) The provisions of subparts A, B,

and C of this part apply to unlicensed

U–NII devices, except where specific

provisions are contained in subpart E.

Manufacturers should note that this

includes the provisions of §§ 15.203 and

15.205.

(b) The requirements of subpart E

apply only to the radio transmitter

contained in the U–NII device. Other

aspects of the operation of a U–NII

device may be subject to requirements
40836 Federal Register / Vol. 63, No. 147 / Friday, July 31, 1998 /Rules and Regulations

contained elsewhere in this chapter. In

particular, a U–NII device that includes

digital circuitry not directly associated

with the radio transmitter also is subject

to the requirements for unintentional

radiators in subpart B.

§ 15.407 General technical requirements.

(a) Power limits:

(1) For the band 5.15–5.25 GHz, the

peak transmit power over the frequency

band of operation shall not exceed the

lesser of 50 mW or 4 dBm + 10logB,

where B is the 26-dB emission

bandwidth in MHz. In addition, the

peak power spectral density shall not

exceed 4 dBm in any 1-MHz band. If

transmitting antennas of directional gain

greater than 6 dBi are used, both the

peak transmit power and the peak

power spectral density shall be reduced

by the amount in dB that the directional

gain of the antenna exceeds 6 dBi.

(2) For the band 5.25–5.35 GHz, the

peak transmit power over the frequency

band of operation shall not exceed the

lesser of 250 mW or 11 dBm + 10logB,

where B is the 26-dB emission

bandwidth in MHz. In addition, the

peak power spectral density shall not

exceed 11 dBm in any 1-MHz band. If

transmitting antennas of directional gain

greater than 6 dBi are used, both the

peak transmit power and the peak

power spectral density shall be reduced

by the amount in dB that the directional

gain of the antenna exceeds 6 dBi.

(3) For the band 5.725–5.825 GHz, the

peak transmit power over the frequency

band of operation shall not exceed the

lesser of 1 W or 17 dBm + 10logB, where

B is the 26-dB emission bandwidth in

MHz. In addition, the peak power

spectral density shall not exceed 17

dBm in any 1-MHz band. If transmitting

antennas of directional gain greater than

6 dBi are used, both the peak transmit

power and the peak power spectral

density shall be reduced by the amount

in dB that the directional gain of the

antenna exceeds 6 dBi. However, fixed

point-to-point U–NII devices operating

in this band may employ transmitting

antennas with directional gain up to 23

dBi without any corresponding

reduction in the transmitter peak output

power or peak power spectral density.

For fixed, point-to-point U–NII

transmitters that employ a directional

antenna gain greater than 23 dBi, a 1 dB

reduction in peak transmitter power and

peak power spectral density for each 1

dB of antenna gain in excess of 23 dBi

would be required. Fixed, point-to-point

operations exclude the use of point-tomultipoint systems, omni directional

applications, and multiple collocated

transmitters transmitting the same

information. The operator of the U–NII

device, or if the equipment is

professionally installed, the installer, is

responsible for ensuring that systems

employing high gain directional

antennas are used exclusively for fixed,

point-to-point operations.

Note to paragraph (a)(3): The Commission

strongly recommends that parties employing

U–NII devices to provide critical

communications services should determine if

there are any nearby Government radar

systems that could affect their operation.

(4) The peak transmit power must be

measured over any interval of

continuous transmission using

instrumentation calibrated in terms of

an rms-equivalent voltage. The

measurement results shall be properly

adjusted for any instrument limitations,

such as detector response times, limited

resolution bandwidth capability when

compared to the emission bandwidth,

sensitivity, etc., so as to obtain a true

peak measurement conforming to the

definitions in this paragraph for the

emission in question.

(5) The peak power spectral density is

measured as a conducted emission by

direct connection of a calibrated test

instrument to the equipment under test.

If the device cannot be connected

directly, alternative techniques

acceptable to the Commission may be

used. Measurements are made over a

bandwidth of 1 MHz or the 26 dB

emission bandwidth of the device,

whichever is less. A resolution

bandwidth less than the measurement

bandwidth can be used, provided that

the measured power is integrated to

show total power over the measurement

bandwidth. If the resolution bandwidth

is approximately equal to the

measurement bandwidth, and much less

than the emission bandwidth of the

equipment under test, the measured

results shall be corrected to account for

any difference between the resolution

bandwidth of the test instrument and its

actual noise bandwidth.

(6) The ratio of the peak excursion of

the modulation envelope (measured

using a peak hold function) to the peak

transmit power (measured as specified

in this paragraph) shall not exceed 13

dB across any 1 MHz bandwidth or the

emission bandwidth whichever is less.

(b) Undesirable emission limits:

Except as shown in paragraph (b)(6) of

this section, the peak emissions outside

of the frequency bands of operation

shall be attenuated in accordance with

the following limits:

(1) For transmitters operating in the

5.15–5.25 GHz band: all emissions

outside of the 5.15–5.35 GHz band shall

not exceed an EIRP of –27 dBm/MHz.

(2) For transmitters operating in the

5.25–5.35 GHz band: all emissions

outside of the 5.15–5.35 GHz band shall

not exceed an EIRP of –27 dBm/MHz.

Devices operating in the 5.25–5.35 GHz

band that generate emissions in the

5.15–5.25 GHz band must meet all

applicable technical requirements for

operation in the 5.15–5.25 GHz band

(including indoor use) or alternatively

meet an out-of-band emission EIRP limit

of –27 dBm/MHz in the 5.15–5.25 GHz

band.

(3) For transmitters operating in the

5.725–5.825 GHz band: all emissions

within the frequency range from the

band edge to 10 MHz above or below the

band edge shall not exceed an EIRP of

–17 dBm/MHz; for frequencies 10 MHz

or greater above or below the band edge,

emissions shall not exceed an EIRP of

–27 dBm/MHz.

(4) The emission measurements shall

be performed using a minimum

resolution bandwidth of 1 MHz. A lower

resolution bandwidth may be employed

near the band edge, when necessary,

provided the measured energy is

integrated to show the total power over

1 MHz.

(5) Unwanted emissions below 1 GHz

must comply with the general field

strength limits set forth in § 15.209.

Further, any U–NII devices using an AC

power line are required to comply also

with the conducted limits set forth in

§ 15.207.

(6) The provisions of § 15.205 apply to

intentional radiators operating under

this section.

(7) When measuring the emission

limits, the nominal carrier frequency

shall be adjusted as close to the upper

and lower frequency block edges as the

design of the equipment permits.

(c) The device shall automatically

discontinue transmission in case of

either absence of information to

transmit or operational failure. These

provisions are not intended to preclude

the transmission of control or signalling

information or the use of repetitive

codes used by certain digital

technologies to complete frame or burst

intervals. Applicants shall include in

their application for equipment

authorization a description of how this

requirement is met.

(d) Any U–NII device that operates in

the 5.15–5.25 GHz band shall use a

transmitting antenna that is an integral

part of the device.

(e) Within the 5.15–5.25 GHz band,

U–NII devices will be restricted to

indoor operations to reduce any

potential for harmful interference to cochannel MSS operations.

(f) U–NII devices are subject to the

radio frequency radiation exposure

requirements specified in § 1.1307(b),

§ 2.1091 and § 2.1093 of this chapter, as
Federal Register / Vol. 63, No. 147 / Friday, July 31, 1998 /Rules and Regulations 40837

appropriate. All equipment shall be

considered to operate in a ‘‘general

population/uncontrolled’’ environment.

Applications for equipment

authorization of devices operating under

this section must contain a statement

confirming compliance with these

requirements for both fundamental

emissions and unwanted emissions.

Technical information showing the

basis for this statement must be

submitted to the Commission upon

request.

(g) Manufacturers of U–NII devices

are responsible for ensuring frequency

stability such that an emission is

maintained within the band of operation

under all conditions of normal

operation as specified in the users

manual.

[FR Doc. 98–20429 Filed 7–30–98; 8:45 am]

BILLING CODE 6712–01–P

DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

49 CFR Part 376

[FHWA Docket No. FHWA–97–3050]

RIN 2125–AE26

Exemption of Commonly-Owned Motor

Carriers From Equipment Identification

and Receipt Requirements Applicable

to Leased and Interchanged Vehicles

AGENCY: Federal Highway

Administration (FHWA), DOT.

ACTION: Final rule.

SUMMARY: The FHWA is modifying its

regulations under 49 CFR part 376

governing the lease and interchange of

motor vehicle equipment by exempting

commonly-owned and controlled motor

carriers from the vehicle identification

and exchange of receipt requirements of

§ 376.22 and the vehicle identification

requirement of § 376.31. This action

eliminates the need for carriers to obtain

individual waivers from these

requirements from the FHWA.

EFFECTIVE DATE: August 31, 1998.

FOR FURTHER INFORMATION CONTACT: Mr.

John F. Grimm, Director, Office of Motor

Carrier Information Analysis, (202) 366–

4039, or Mr. Michael J. Falk, Motor

Carrier Law Division, Office of the Chief

Counsel, (202) 366–1384, Federal

Highway Administration, Department of

Transportation, 400 Seventh Street,

SW., Washington, DC 20590. Office

hours are from 8 a.m. to 4:30 p.m., e.t.,

Monday through Friday, except Federal

holidays.

SUPPLEMENTARY INFORMATION:

Electronic Access

Internet users can access all

comments received by the U.S. DOT

Dockets, Room PL–401, by using the

universal resource locator (URL): http:/

/dms.dot.gov. It is available 24 hours

each day, 365 days each year. Please

follow the instructions online for more

information and help. An electronic copy of this document

may be downloaded using a modem and

suitable communications software from

the Federal Register Electronic Bulletin

Board Service at (202) 512–1661.

Internet users may reach the Federal

Register’s home page at: http://

www.nara.gov/nara/fedreg and the

Government Printing Office’s database

at: http://www.access.gpo.gov/su—docs.

Background

The FHWA’s regulations at 49 CFR

part 376 govern motor carrier

transportation provided in nonowned

equipment. Section 376.22 permits

motor carriers of property who must

register with the FHWA under 49 U.S.C.

13901 and § 13902 (authorized carriers)

to trip lease nonowned equipment

between themselves and private motor

carriers under specified conditions.

Section 376.22(a) requires that tripleasing carriers comply with certain

equipment identification and equipment

receipt requirements contained in 49

CFR 376.11. Under these requirements,

trip-leased vehicles must display the

trade name and other pertinent

information regarding the motor carrier

operating the vehicle. Equipment

receipts must be exchanged between the

owner and authorized carrier when

possession of the equipment is

transferred.

Section 376.31 of the regulations

imposes a similar vehicle identification

requirement on authorized carriers

which interchange equipment to

continue a through movement, and also

requires that either a copy of the

interchange agreement or a detailed

interchange statement be carried in each

vehicle.

On December 30, 1997, the FHWA

published a notice of proposed

rulemaking (NPRM) and a request for

comments in the Federal Register (62

FR 67821) on amending part 376 to

exempt commonly-owned and

controlled motor carriers from the

vehicle identification and exchange of

receipt requirements of § 376.22 and the

vehicle identification and

documentation requirements of

§ 376.31. Commonly-owned or

controlled carriers have routinely been

granted individual waivers from these

requirements by the former Interstate

Commerce Commission (ICC) and the

FHWA on the ground that compliance is

unnecessary and burdensome as long as

the carriers remained under joint

ownership and control.

The FHWA believes that the vehicle

identification and exchange of receipt

requirements serve little useful purpose

when vehicles are being exchanged

between commonly-controlled

companies which are jointly operated

with respect to safety program

administration and equipment

utilization. Vehicle ownership and

assignment information can be readily

made available from computerized

dispatch records and operational logs,

obviating the need for strict

identification, placarding and receipt

issuance requirements. Furthermore,

elimination of these requirements

would allow such carriers to operate

more efficiently and economically by

fostering improved equipment use and

eliminating a significant and

unproductive paperwork and placarding

burden. This amendment would also

allow the FHWA to conserve its own

resources by eliminating the need to

grant waivers on an individual basis.

Discussion of Public Comments

The public comment period for the

NPRM closed on March 2, 1998.

Comments were received from the

California Highway Patrol (CHP);

Landstar System, Inc., and its 10 motor

carrier subsidiaries; and the National

Solid Wastes Management Association

(NSWMA). Landstar and the NSWMA

support the proposed rule on the ground

that it will eliminate burdensome

administrative and paperwork

requirements which no longer serve a

useful purpose. The CHP, however,

believes that exempting commonlyowned and controlled carriers from

vehicle identification requirements will

create problems for enforcement

personnel issuing traffic citations and

conducting routine vehicle inspections

and accident investigations. According

to the CHP, the carrier information

displayed on the vehicle is used to

identify the carrier for purposes of

preparing inspection, citation and

accident reports, which are incorporated

into State and Federal motor carrier

databases. In order to ensure the

accuracy of this data, the CHP requests

that the proposed rule be amended to

require that each vehicle carry

documentation identifying the operating

carrier which would have to be

presented to law enforcement personnel

on request.

We agree with the CHP that it is

important for enforcement personnel to

be able to accurately identify the