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Radio Spectrum Management: Policies, Regulations and Techniques



Radio Spectrum Management: Policies, Regulations and Techniques

Haim Mazar (Madjar)

ISBN: 978-1-119-12085-8 July 2016 440 Pages

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This book presents the fundamentals of wireless communications and services, explaining in detail what RF spectrum management is, why it is important, which are the authorities regulating the use of spectrum, and how is it managed and enforced at the international, regional and national levels. The book offers insights to the engineering, regulatory, economic, legal, management policy-making aspects involved. Real-world case studies are presented to depict the various approaches in different countries, and valuable lessons are drawn. The topics are addressed by engineers, advocates and economists employed by national and international spectrum regulators. The book is a tool that will allow the international regional and national regulators to better manage the RF spectrum, and will help operators and suppliers of wireless communications to better understand their regulators.

About the Author xiii

Foreword xiv

Preface xv

Acknowledgments xviii

Acronyms and Abbreviations xxi

1 The Radio Frequency Spectrum and Wireless Communications 1

1.1 Historical Overview 1

1.2 A General Communication Channel 2

1.3 Radio Frequency Bands 2

1.4 Scarcity of the RF Spectrum 3

References 4

2 The Main Regulated Radio Services 5

2.1 General 5

2.2 Terrestrial Broadcasting Delivery: Sound (Radio) and Video (Television) 6

2.2.1 Definitions and Introduction 6

2.2.2 Broadcasting Video and Audio Delivery 8

2.2.3 Terrestrial Sound (Audio) 10

2.2.4 Terrestrial Video (Television) 14

2.3 Land Mobile and the Cellular Service 25

2.3.1 Definitions and Introduction 25

2.3.2 Cellular Reference Network Unit 26

2.3.3 Regulation and Standardization of the Cellular Service 28

2.3.4 IMT Terrestrial Radio (Including LTE) 33

2.4 Fixed Point]to]Point and Point]to]Multipoint 38

2.4.1 Overview of Fixed Services: Fixed Networks and Mobile Backhauling 38

2.4.2 Deployment and Performance 39

2.4.3 Line]of]Sight (LoS) and Non]Line]of]Sight (NLoS) Links 43

2.4.4 Fixed Wireless Systems (FWS) and Broadband Wireless Access (BWA) Systems 44

2.4.5 Available RF Spectrum and Frequency Planning 45

2.5 Satellite Communications 47

2.5.1 Definitions of Satellite Communications 47

2.5.2 Satellite Orbits and Services 47

2.5.3 Satellite Equipment 62

2.5.4 Monitoring and Regulating Satellite Communications 65

References 69

3 Short Range Devices and the License]Exempt RF Spectrum 72

3.1 Regulatory Framework of SRDs 72

3.1.1 Definitions and Applications 72

3.1.2 Non]Interference, Unlicensed and Unprotected 73

3.1.3 Mutual Agreements Between Countries/Regions 75

3.1.4 Placing the SRD on the Market and the Labeling of SRDs 75

3.1.5 SRDs Interfering with Radiocommunications Services 79

3.2 Collective Use of SRDs 80

3.2.1 Risk]versus]Risk 80

3.2.2 The Collectivized View Explaining the Harmonization of SRDs and the RF 81

3.2.3 The Individualized View Explaining Minimal Restrictions 81

3.3 An Engineering Background to Understand the SRD Technical Parameters 82

3.3.1 Friis Equations, Received Power, Electric and Magnetic Field]Strengths: Numerical Equations 82

3.3.2 Received Power and Electric Field]Strength: Numerical Equations 83

3.3.3 Received Power and Magnetic Field]Strength: Numerical Equations 84

3.3.4 Received Power, Electric and Magnetic Field]Strength: Logarithmic Equations 84

3.4 Global Regulation of SRDs 86

3.4.1 Globalization 86

3.4.2 ISM BANDS: Extracts from ITU RR and Spectrum Management Recommendations 87

3.4.3 Frequency Ranges for Global or Regional Harmonization of SRDs 89

3.4.4 Technical and Operating Parameters and Spectrum Use for SRDs 91

3.5 Regional Regulation of SRDs 91

3.5.1 Region 1 and CEPT/ECC ERC Recommendation 70]03 92

3.5.2 Region 2 and the FCC CFR 47 Part 15 Radio Frequency Devices 93

3.5.3 Region 3: SRDs in APT Countries 96

3.6 Global and Regional Ruling in Three ITU Regions: Case Studies to Compare and Contrast 97

3.6.1 Case Study 1: Wi]Fi, RLAN, WLAN, U]NII 98

3.6.2 Case Study 2: RFID’s Global and Regional Ruling 105

3.6.3 Case Study 3: ISM and the Citizen Band 26.96–27.28 MHz 108

References 110

4 Policies, Legal and Economic Frameworks to Manage the RF Spectrum 112

4.1 Worldviews Shape RF Policies 112

4.1.1 Culture, Regulation and Uncertain Risks 112

4.1.2 Central Planning (Ex]Ante and A]Priori) Versus Market]Based (Ex]Post and A]Posteriori) Approaches 115

4.1.3 Radio Frequency Regulatory Framework and Basic Objectives 118

4.2 Legal Environment 118

4.2.1 Two Different Legal Traditions: Civil Law and Common Law 118

4.2.2 The Legal Framework 120

4.2.3 Radiocommunications Law 122

4.2.4 Factors Affecting the RF Value 123

4.2.5 The RF Spectrum and Property Rights 123

4.2.6 International, Regional and National Legislation 124

4.3 The Economic Environment 126

4.3.1 Economics and Spectrum Management 126

4.3.2 Benefits of Using the Radio Spectrum 130

4.3.3 National Cost Accounting: The RF Spectrum as a Non]Produced Asset 133

4.3.4 Fee Policy 136

4.3.5 License Fee: Comparative Evaluation Methods, Auctions and Lotteries, Secondary Trading 138

4.3.6 RF Spectrum Annual Fees 143

4.4 International, Regional and National Frequency Allocation Table and Redeployment 146

4.4.1 Allocation Table 146

4.4.2 RF Spectrum Redeployment and Refarming 146

References 148

5 RF Engineering and the Link Budget 150

5.1 End]To]End Wireless Communication 150

5.2 RF Characteristics: Modulation and Multiple Access 151

5.2.1 Modulation and Digitization 151

5.2.2 Representation of the Modulated Signal 155

5.2.3 Analog Modulations 157

5.2.4 Digital Modulations 157

5.2.5 Channel Multiple Access and Full Duplex Techniques 165

5.3 Transmitters: Power and Unwanted Emissions 168

5.3.1 Transmitter Block Diagram 168

5.3.2 Emission Mask 169

5.3.3 Unwanted Emissions 169

5.4 Receivers: Concept, Selectivity, Noise and Sensitivity 172

5.4.1 Receiver Noise Floor and Sensitivity 172

5.4.2 Noise Factor and Noise Temperature 174

5.4.3 Gain to Noise Temperature G/T for Satellite Earth and Space Stations 176

5.5 Antennas: Fundamental Parameters 177

5.5.1 Antenna: Aperture, Beamwidth, Directivity and Gain 178

5.5.2 Three]Dimensional Radiation Pattern and Gain Calculations 182

5.5.3 Antenna Polarization, Bandwidth, Insertion Loss and Impedance 192

5.6 Propagation 194

5.6.1 General 194

5.6.2 Friis Transmission Equation and Free]Space Propagation Loss: Power 194

5.6.3 Maxwell’s Equations and Received Free]Space Field]Strength from a Far]Field Emission 198

5.6.4 ITU]R P.1546 Propagation Curves 30–3,000 MHz 203

5.6.5 Fresnel Zones 204

5.6.6 Attenuation by Atmospheric Gases 206

5.6.7 Near]Field to Far]Field 206

5.6.8 Frequency Dependency in Penetrating Walls and Bypassing Obstacles 207

5.7 Link Budget 210

5.7.1 Power Equations 210

5.7.2 Conversion Formulae 212

5.8 Radio Frequency Interference and Spectrum Sharing 215

5.8.1 Non]Linear Interference 215

5.8.2 Linear Interference 217

5.8.3 Decreasing Interference: Mitigation Techniques 225

References 225

6 International RF Spectrum Management and Standardization 229

6.1 International Regulations and Standards 229

6.2 Regulation and Standardization 230

6.2.1 International RF Spectrum Management and Standardization Players 230

6.2.2 Worldwide Regulation and Standardization 234

6.2.3 Globalization of RF Regulation and Standardization 240

6.3 National, Regional and Global RF Regulation 242

6.3.1 Transfer of National Regulatory Power to an Intergovernmental Authority 242

6.3.2 Implementing Regional RF Spectrum Management and Standardization 244

6.4 Global Regulatory Framework: ITU 245

6.4.1 ITU]D (also Telecommunications Development Bureau, BDT) 246

6.4.2 ITU]T (also TSB, Telecommunication Standardization Bureau) 247

6.4.3 ITU]R (also BR, Bureau Radio) 247

6.4.4 ITU Radio Regulations 249

6.5 Cross]Border Coordination, Regulation and Techniques 256

6.5.1 Avoiding Harmful Interference between Administrations 256

6.5.2 Bilateral and Multilateral Agreements 256

6.5.3 Preferential Use of Frequencies, Trigger Levels and Distance from the Border 257

6.5.4 Decreasing Cross]Border Interference: Mitigation Techniques 258

References 259

7 Regional RF Spectrum Management 261

7.1 RF Regulation on the Continent of Europe: Main Players 261

7.1.1 The Intergovernmental and International Regulatory Relationships 261

7.1.2 The Main European Organizations 261

7.1.3 Supranational Europe: European Union, EU Framework Legislation on Spectrum 266

7.1.4 Computerized Tools and Harmonized Activities Used in the CEPT 272

7.1.5 Overall Approach: Europe Regulatory Framework, All Europe Including the EU 273

7.2 Main Regional Players in the Americas: OAS, CITEL and CAN 276

7.2.1 OAS and CITEL 277

7.2.2 RF Regulatory Framework in CAN 277

7.2.3 CAN: Overall Approach 279

7.2.4 CAN Regulation: Conclusion 280

7.2.5 Additional South American and Caribbean Players 280

7.2.6 Intergovernmental South American Overall Approach 281

7.3 Comparison of the Two Major Camps: Europe and North America 282

7.3.1 General 282

7.3.2 Analysis 283

7.3.3 Conclusion 285

7.4 Regulation in Asia 285

7.4.1 General: Leading Asia 286

7.4.2 Asia]Pacific Telecommunity (APT) 286

7.4.3 Regulating the Largest Wireless Markets in South]East Asia 288

7.4.4 Asia]Pacific Broadcasting Union (ABU) 288

7.4.5 Regional Commonwealth in the Field of Communications (RCC) 289

7.5 RF Regulation in the Arab States and North Africa 289

7.6 RF Regulation in Africa 291

7.6.1 African Telecommunications Union (ATU) 291

7.6.2 West African States 292

7.6.3 East African Community: EAC and EACO 292

7.6.4 South]African Region: Regulatory Framework 292

References 293

8 National Spectrum Management 295

8.1 Roles of the National Spectrum Management (NSM) 295

8.1.1 National Objectives 295

8.1.2 Basic Functions and Responsibilities of the NSM 296

8.1.3 Guidelines and Practices to Optimally Manage the RF Spectrum 298

8.1.4 RF Spectrum Control 303

8.2 Trends in Spectrum Management, Smarter Technologies and Modulations 305

8.2.1 Administrative Trends 305

8.2.2 New Wireless Technologies 306

8.2.3 Spectrum Policy, Time Scales and Wireless Innovation 309

8.3 RF Spectrum Management in Some Leading Countries 310

8.3.1 RF Regulatory Framework in China 311

8.3.2 RF Regulatory Framework in France 322

8.3.3 RF Regulatory Framework in the UK 329

8.3.4 RF Regulatory Framework in the USA 339

8.3.5 Regulatory Frameworks of National Case Studies: Conclusion 355

References 356

9 Limitations to Radio Frequency Human Exposure 359

9.1 Human]Hazards 359

9.2 RF Health Risks as a Social Story 361

9.2.1 Electromagnetic Hypersensitivity and Electrophobia 361

9.2.2 Regulating Uncertain Risks 362

9.3 RF (Radio Frequency) Exposure and Thermal Damage 363

9.3.1 Human]Hazards: Risks from RF Exposure 363

9.3.2 The International, Regional and National Thresholds: Comparative Study 374

9.4 Quantified RF Hazards from Fixed Transmitters 375

9.4.1 Power]Density, Field]Strength and Safety]Distances around Fixed Transmitters 375

9.4.2 Emissions Transmitted from the Same Site: Multiple]Antenna Installation 377

9.5 Simulations and Measurements of RF Exposure 379

9.5.1 Calculated Safety]Distances, Worst]Case, Multiple]Antenna Installation 379

9.5.2 Monitoring Human Exposure 382

9.6 RF Hazards Limits and Their Impact on Mobile Network Planning 386

9.6.1 Excessive Exposure Limits Affect Network Planning 386

9.6.2 Handling Low Exposure Thresholds by Additional Cellular Antennas or Additional RF Spectrum 387

9.6.3 Test to Quantify RF Versus Sites 389

9.7 Policies and Mitigation Techniques to Reduce Human Exposure 390

9.7.1 Policies to Reduce Human Exposure to RF Radiation 390

9.7.2 Mitigation Techniques to Decrease the Radiation Level 391

9.7.3 Myths and Realities 392

9.8 Conclusions 393

References 393

Index 398

Radio Spectrum Management: Policies, Regulations and Techniques” by Haim Mazar includes a foreword by François Rancy, director of the Radio Communication Bureau of the ITU, that praises the author for his extensive involvement in ITU activities. Mazar has more than 45 years of experience in wireless communications and radio frequency management, working across broadcasting, mobile, fixed, radiolocation, satellite and public services. He is currently the vice-chair of ITU-R Study Group 5 on terrestrial services.Mazar first takes in the administrative, engineering, legal and economic aspects of wireless communications before addressing the main international and regional organisations that hold sway over the regulation and standardisation of how we use spectrum, with detailed case studies of the spectrum policies of China, France, the UK and the US.

True to the ordered and comprehensive form of the book, Mazar acknowledges the 82 experts he consulted in the course of its writing in a table, listing them by name and the chapter they helped with. This is followed by a six-page list of the acronyms and abbreviations used in the book. Readers can be in no doubt that they are dealing with nothing less than a spectrum bible. In almost 400 pages (not including extensive references and index) the copious amount of diagrams, equations and other figures makes it look to the uninitiated like some sort of tome of arcane lore. But in its selection of subjects, it is clear even to the layman that "Radio Spectrum Management" is a key textbook that hones in on the constituent parts of its subject. The scientific sections – non-linear air interfaces, linear air interfaces, intermodulation, three-dimensional radiation pattern and gain calculations – sit alongside economic and legal cases for their use and the case studies demonstrate lucidly the meeting between spectrum theory and the realities of practice. There is some historical exposition but Mazar mainly sticks to the nuts and bolts of his subject."  - Kane Mumford, PolicyTracker

"This book has a diverse set of information covering many areas from radio hazard through short range devices to satellite communications. The book’s purpose – which it achieves - is to give good references to standards, reports and recommendations that apply to the technologies it covers, and to highlight the pertinent facts. Radio propagation and link budget generation are covered in general along with co-existence and interference, coverage that is again primarily driven by the standards and recommendations. Particularly interesting is rarely-seen information on how different countries manage their spectrum, and of special notice within that is the relationship of the various standards agencies and bodies in Europe and their interactions. A number of major regulators from around the world are featured with descriptions of how they operate and their areas of responsibility.  Overall, the book provides a useful short cut to finding the radiocommunications industry’s standards, reports and recommendations." —Nick Kirkman, Technical Director, ATDI Ltd

"A comprehensive overview of radio frequency management  with quoted references for theoretical and practical use to those interested in the subject, operators, equipment manufacturers, government administrators including regulators. The book includes telecommunications and other services, whereas telecommunications deals also with matters outside of radio  frequency management. A distinction and connection with national and international radio spectrum management is fully described with the constraints of international treaties. The matter of worldwide standardization especially for equipment manufacturers is illustrated. Essentially radio frequency management deals with the avoidance of harmful interference. An important aspect is the allocation of RF spectrum on the basis of free market principles or government decisions, raising questions of efficient and economic use of the RF spectrum, which is not wasted when not used, but when blocked from being used where a demand exists. The book also indicates how innovation in RF technology improves services for both the public and private operators, and gives information about the organizations that follow these developments. Definitely a reference book for all those involved with international telecommunication systems, with introducing and maintaining satellite and terrestrial networks." - Dr Henry Meyerhoff, ITU Expert, Switzerland