Adopt a Two-Phase Coordination Process
Developing a National Spectrum Strategy
The Public Notice asked for comment on the use of a coordination process for the Lower 37 GHz band that would leverage existing Part 101 coordination procedures with two phases, with the first phase using propagation models to determine access, and a second phase that would require parties to coordinate, in the event of overlap between a proposed site registration and an existing site that is already registered in the database.52 Under Part 101, non-Federal licensees may use the 70/80/90 GHz bands for any point-to-point, non-broadcast service.53 (The 70/80/90 bands refer to the 71–76 GHz, 81–86 GHz, 92–94 GHz, and 94.1–95 GHz.) Like the Lower 37 GHz band, these bands are allocated on a co-primary basis for Federal and non-Federal use.54 The FCC in 2003 adopted service rules for non-Federal use of the 70/80/90 GHz bands through a two-step, non-exclusive licensing regime.55 If a proposed link does not interfere with existing Federal operations, it is given a “green light;” if it may interfere with existing Federal operations, then it is given a “yellow light,” indicating that the licensee must file a registration application with the FCC for coordination of the proposed link with NTIA.56 The “green light” / “yellow light” system is designed to protect the sensitive nature of the locations of military installations.
To facilitate sharing of the band, we support the two-phase process for coordinating between Federal and non-Federal systems. New operations in the Lower 37 GHz band would be subject to coordination with Federal and non-Federal incumbents before a new site can be authorized.
In Phase One, the coordination portal would draw a protected contour around each existing site and an interfering contour for the proposed new site based on its technical parameters, including transmitter details such as location (latitude and longitude), equivalent isotropic radiated power, antenna height, and antenna azimuth angle. NTIA’s database would be queried, and if there is no contour overlap between the proposed new site and existing operations, Phase One coordination results in a “green light” and the site can be registered. If the proposed site’s contour does result in overlap, the result of Phase One coordination is a “yellow light”, and Phase Two coordination is triggered.
In Phase Two, an applicant would engage with NTIA, which would coordinate with incumbent and/or priority operators, to discuss whether and how the proposed site could coexist within the defined contour. The result of this phase could be the proposal of additional interference mitigation techniques, such as antenna directivity, polarization, or shielding to provide solutions in specific situations without requiring a one-size-fits-all approach.
To facilitate coordination, Federal and non-Federal operators would generally be required to provide technical information about their operations. We assume that the technical details of proposed non-Federal sites would be publicly available in the Universal Licensing System (ULS) or some other FCC database. NTIA would maintain the technical details of Federal sites provided by Federal operators. Operational security (OPSEC) measures would be put in place to protect information about certain sensitive, or classified Federal systems that cannot be shared publicly; in some cases, this may limit what information NTIA can share with non-Federal operators.57 As part of continued work, we will work with the FCC and relevant Federal agencies to refine the processes around protecting OPSEC requirements identified by Federal agencies, to enable us to best protect national security and public safety while providing maximum transparency and spectrum efficiency.
The public record developed in response to the FCC’s Public Notice is largely supportive of this overall approach. Many commenters support the two-phase coordination proposal outlined in the Public Notice.58 Some commenters suggest that the coordination process should include a shot clock for moving from Phase One to Phase Two and advocate for a clearly-defined dispute resolution process.59 We do not believe a shot clock is needed for Phase One, inasmuch as we expect the determination of whether there are overlapping contours between an incumbent system and a potential new entrant will be essentially automatic once the new entrant submits its data. In cases where a Phase Two coordination is requested, we are prepared to support a requirement for the parties to submit information within 30 working days, assuming no OPSEC issues, and would expect the parties to meet within another 90 days to discuss the extent the additional information facilitates sharing.
Commenters also indicated a desire for transparency in the Phase Two coordination, and every effort will be made to reveal the details behind coordination decisions to potential entrants while ensuring Federal user security requirements are met. The 70/80/90 GHz approach serves as a starting point for a successful framework. One noted drawback of the approach is that when entrants receive a “yellow light,” which would be akin to entering the Phase Two process in the DoD proposed framework for the Lower 37 GHz band, NTIA cannot provide feedback as to how much the coexistence margin is exceeded. This is to protect the location data of U.S. Government (USG) assets, but leaves the entrant with very little information in which to modify their deployment proposal such that it would receive a “green light.” As part of continued work, we will investigate the amount of information sharing or obfuscation necessary to protect USG assets while providing maximum transparency and ensuring efficiency in the utilization of spectrum resources while still protecting USG assets. DoD will also investigate how best to provide feedback to non-Federal users to take advantage of mitigation techniques such as antenna directivity, polarization, frequency selection, shielding, site selection, and transmitter power control.
As noted below, 37 GHz spectrum sharing is not funded through the Spectrum Relocation Fund (SRF), which has implications for the timelines and available resources to engage in Phase Two analysis and negotiations. We anticipate that Federal and non-Federal users (or non-Federal and non-Federal users) will make every effort to analyze requests and coordinate with applicants in a timely manner. This is why we recommend an initial 90-day timeline for Phase Two analysis and negotiations. If after good-faith negotiations and 90 days has passed, either party may choose to escalate to dispute resolution.
Until there is more experience with the issues that may arise, we recommend at this time a dispute resolution process that consists of a referral to the FCC and NTIA by one or both parties. In general, we expect that if a dispute arises between a Federal entity and a non-Federal user during Phase Two, either the Federal entity or the non-Federal user may request that NTIA and FCC establish a process to resolve the dispute. With respect to the resolution of any disputes that may arise, NTIA and the FCC will meet simultaneously with representatives of the Federal entity and the non-Federal user to review the technical data and discuss the dispute. NTIA and the FCC will initiate the dispute resolution process within 30 days after a Federal entity’s or a non-Federal user’s written request for assistance from NTIA and the FCC. The time period for review starts after NTIA and the FCC have received requested technical data from the Federal entity and non-Federal user.
NTIA will implement the database for coordination between Federal and non-Federal systems, as it does now for the 70/80/90 GHz coordination portal. Comsearch and NCTA argue that a third party, not NTIA, should maintain the coordination database for Federal operators.60 However, NTIA already has access to information about Federal systems and is best situated to maintain this database. Our expectation is that the resources for establishing and operating the coordination portal will be manageable, but as additional experience is gained, that expectation may need to be revisited. Unlike other spectrum sharing coordination portals that have been developed based on recent auctions (e.g., Advanced Wireless Services-3, CBRS, 3.45 GHz), 37 GHz does not present an opportunity to request SRF funds to resource the development and operations of a portal and the associated coordination.
Some commenters support an approach that uses a DSMS that would be developed by a multistakeholder group.61 We are not convinced that such an approach can be developed and implemented as quickly as the approach outlined above. We support the potential evolution of the initial database approach to one involving more dynamic mechanisms, such as a DSMS, based on demonstrated need and available technology, but initial deployment of a low-overhead approach such as that used in the 70/80/90 GHz band will provide an opportunity to ascertain what Federal and non-Federal user requirements are for the coordination database and how they can best be met.
Several commenters emphasized the importance of a common licensing and spectrum management framework for both the Lower 37 GHz band and 42 GHz (42-42.5 GHz.).62 We take no position on this issue as long as it does not purport to affect the flexibility of Federal operations to use the Lower 37 GHz band without using the 42 GHz band.
52 See FCC Public Notice, Appendix A: Draft Lower 37 GHz Phase 1 Coordination Zone Contour Methodology and Appendix B: Draft Lower 37 GHz Phase 2 Coordination Methodology. The Public Notice noted that in 2018, the FCC “sought comment on utilizing a third-party coordinator or alternatively, implementing a coordination model similar to that used in Part 101 point-to-point bands.”
53 See 47 CFR § 101.1507.
54 See 47 CFR § 2.106. In the 70 GHz and 80 GHz bands, Fixed, Mobile, and Broadcasting services must not cause harmful interference to, nor claim protection from, Federal Fixed-Satellite Service operations located at 28 military installations. Further, in 80 GHz, 92–94 GHz and 94.1–95 GHz, licensees proposing to register links located near 18 radio astronomy observatories must coordinate their proposed links with those observatories. The 94–94.1 GHz frequencies are allocated for Federal use for Earth Exploration Satellite (active), Radiolocation, and Space Research (active) and for non-Federal use for Radiolocation.
55 See Allocations and Service Rules for 71–76 GHz, 81–86 GHz and 92–95 GHz Bands, WT Docket No. 02-146, Report and Order, 18 FCC Rcd 23318 at para. 5 (2003) (70/80/90 GHz Report and Order).
56 See 47 CFR § 101.1523(b)(3), (c).
57 See Associated infrastructure, including cleared personnel, will be necessary to analyze requests at varying levels of classification.
58 See Comments of Comsearch, a Commscope Company, WT Docket No. 24-243 at 2 (filed Sept. 9, 2024); Comments of Micronet Communications Inc., WT Docket No. 24-243 at 1 (filed Sept. 9, 2024); Comments of Starry, Inc., WT Docket No. 24-243 at 7-8 (filed Sept. 9, 2024); Comments of INCOMPAS, WT Docket No. 24-243 at 5 (filed Sept. 9, 2024); Comments of Ericsson, WT Docket No. 24-243 at 3 (filed Sept. 9, 2024); Comments of NCTA, WT Docket No. 24-243 at 5 (filed Sept. 9, 2024); Comments of Charter Communications, Inc. et al., WT Docket No. 24-243 at 4 (filed Sept. 9, 2024).
59 See e.g., Comments of Verizon, WT Docket No. 24-243 at 5 (filed Sept. 9, 2024); Comments of CTIA, WT Docket No. 24-243 at 7-8 (filed Sept. 9, 2024); Verizon Comments at 4; Ericsson Comments at 2; Verizon Comments at 5.
60 See Comsearch Comments at 3; NCTA Comments at 8.
61 See Joint Comments, WT Docket 24-243, at 6. See also Comments of the Dynamic Spectrum Alliance, WT Docket No. 24-243 at 5 (“Rather than the proposed nationwide licensing framework with first-come first-served rights that relies on manual coordination, which could lead to spectrum warehousing in the absence of build-out requirements and could create barriers to entry for smaller operators and users, the DSA recommends that the Commission adopt a license-by- rule approach akin to the General Authorized Access (GAA) tier in CBRS.”).
62 See Joint Comments, WT Docket No. 24-243, at 3. Also see Comments of Federated Wireless, WT Docket 24-243 at 2 (“A common approach will facilitate access to 1100 MHz of spectrum by both consumer-oriented and private wireless operators to support the delivery of a wide range of fixed and mobile wireless broadband services.”).