The impact of re-configurable radio networks on spectrum management

The impact of re-configurable radio networks on spectrum management Paul Bender Regulierungsbehörde für Telekommunikation und Post (RegTP) 10 th October 2003 Advanced wireless technologies: Implications for spectrum management A workshop organised by DG Information Society (DG INFSO) Brussels 10/13/2003 Ver.1 1

The impact of re-configurable radio networks on spectrum management Overview Regulatory Background/Review R&TTE Directive TCAM Group on SDR Current Status/activities International Environment for Frequency Regulation Future perspective 10/13/2003 Ver.1 2

Background The R&TTE Directive* *DIRECTIVE 1999/5/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 9 March 1999 on radio equipment and telecommunications terminal equipment and the mutual recognition of their conformity 10/13/2003 Ver.1 3

The R&TTE Directive* The R&TTE Directive covers the regulatory framework for the placing on the market free movement putting into service of radio equipment and telecommunications terminal equipment in the Community. *Radio and Telecommunications Terminal Equipment (1999/5/EG) 10/13/2003 Ver.1 4

The R&TTE Directive What does this imply for radio equipment? Type approval with certificate belongs to the past Declaration of conformity by the manufacturer with the essential requirements of the R&TTE is required in the future for the radio equipment. 10/13/2003 Ver.1 5

The R&TTE Directive The basic essential requirements of the R&TTE are defined in Articles 3.1 and 3.2 These are the protection of the health and the safety of the user the protection requirements with respect to electromagnetic compatibility that radio equipment shall be so constructed that it effectively uses the spectrum allocated to terrestrial/space radio communication and orbital resources so as to avoid harmful interference 10/13/2003 Ver.1 6

The R&TTE Directive The European Commission may decide that for particular apparatus additional essential requirement (Article 3.3) may apply. These are interworking via networks not harming the network 10/13/2003 Ver.1 7

The R&TTE Directive Incorporation of safeguards to ensure that the personal data and privacy of the user and of the subscriber are protected supporting certain features ensuring avoidance of fraud supporting certain features ensuring access to emergency services supporting certain features in to order to facilitate its use by users with a disability. 10/13/2003 Ver.1 8

The R&TTE Directive Until now, article 3.3 requirements have been applied to Navtex* Maritime emergency position indicating radio beacons Radiotelephone transmitters and receivers for the maritime mobile service operating in VHF bands Avalanche beacons;transmitter-receiver systems VHF radiotelephone equipment for general communications and associated equipment for Class D digital selective calling (DSC) Question: Do we need article 3.3 requirements for re-configurable Systems? * Narrow-band direct-printing telegraph equipment for receiving meteorological or navigational information 10/13/2003 Ver.1 9

The R&TTE Directive For compliance of the radio equipment with the essential requirement of the R&TTE, the manufacturer has two possibilities: 1.To use a Harmonised Standard (if available) for his declaration; or 2.To consult a Notified Body and ask him which are the relevant essential requirements for his radio equipment 10/13/2003 Ver.1 10

The R&TTE Directive A harmonised standard giving presumption of conformity with the essential requirements of the R&TTE Directive It has to be published in the Official Journal of the Community Question: Do we need a harmonised standard for reconfigurable Systems to declare compliance with the R&TTE-Directive? 10/13/2003 Ver.1 11

The R&TTE Directive ETSI Groups(examples) developing harmonised standards: TFES(Task Force for ERM and MSG for Harmonised Standards for IMT-2000) BRAN(Broadband Radio Access Networks) EP-DECT(Digital Enhanced Cordless Telecommunications) ERM(EMC and Radio Spectrum Matters) SES(Satellite Earth Stations & Systems) TETRA(Terrestrial Trunked Radio) 10/13/2003 Ver.1 12

The R&TTE Directive Placing on the market If the radio equipment complies with the appropriate essential requirements identified in Article 3 for its intended purpose it shall not be subject to further national provisions in respect of placing on the market. 10/13/2003 Ver.1 13

The R&TTE Directive Obligations for operators (Article 4.2) A operator should publish accurate and adequate technical specifications of his public interfaces The specifications shall be in sufficient detail to permit the design of equipment for this interface 10/13/2003 Ver.1 14

The R&TTE Directive According to Article 7(3) of the Directive, Member States must ensure that operators of public telecommunications networks do not refuse to connect telecommunications terminal equipment to appropriate interfaces on technical grounds where the equipment complies with the applicable essential requirements of Article 3. 10/13/2003 Ver.1 15

The R&TTE Directive Regulation of the use of radio equipment 10/13/2003 Ver.1 16

The R&TTE Directive Regulation of the use of radio equipment Member States/national authority may restrict the putting into service of radio equipment only for reasons related to the effective and appropriate use of the radio spectrum so as to avoid harmful interference or matters relating to public health. 10/13/2003 Ver.1 17

The R&TTE Directive Regulation of the use of radio equipment If the radio equipment is operating in frequencies whose use is harmonised there are no additional requirements if the radio equipment complies with the appropriate essential requirements identified in Article 3 (e.g. complying with the appropriate HS) 10/13/2003 Ver.1 18

The R&TTE Directive Regulation of the use of radio equipment If the radio equipment is operating in frequency bands whose use is not harmonised the equipment has to comply with national specifications 10/13/2003 Ver.1 19

The R&TTE Directive Radio equipment using frequency bands whose use is not harmonised Radio equipment using frequency bands whose use is not harmonised throughout the Community, the manufacturer shall notify the national authority responsible in the relevant Member State for spectrum management of the intention to place such equipment on its national market four weeks in advance of the start of placing it on the market. The Manufacture shall provide information about the radio characteristics of the equipment (in particular frequency bands, channel spacing, type of modulation and RF-power) 10/13/2003 Ver.1 20

TCAM Group on SDR TCAM Group on SDR (TGS): Objective: The objective of TGS is to have the regulatory aspects of SDR with respect to the R&TTE Directive examined by the member states and to draft relevant proposals for submission to TCAM. The Group is chaired by Germany. The first meeting took place on 31 January 2002 at RegTP. 10/13/2003 Ver.1 21

TCAM Group on SDR TCAM Group on SDR (TGS): So far, four meetings of the group have taken place. Up to now there is no common view by the member states within TGS on the regulatory requirements for SDR under the R&TTE Directive 10/13/2003 Ver.1 22

TCAM Group on SDR TCAM Group on SDR (TGS): Therefore it was agreed within TGS and with the European Commission to publish a Questionnaire Impact of SDR on the R&TTE Directive, elaborated within TGS, on the Internet page of the European commission (http://europa.eu.int/comm/enterprise/rtte/questionn/index.htm). The closing date for comments was 30 th September 2003. 10/13/2003 Ver.1 23

Current Status/activities Questionnaire Impact of SDR on the R&TTE Directive ISSUES CONTAINED IN this questionnaire It should be assessed whether SDR has the potential to request new interpretations of the Directive s current text, or simply a revision of it. The prime goal of the questionnaire is to help Member States, TCAM, and the Commission services, to figure out WHEN, AT THE EARLIEST, some kind of Software Defined Radio equipment, might be proposed on the EU market and if it could possibly put the Directive at fault. Regulators have an interest in establishing clear responsibilities in case of non-compliance. The potential advantages of flexible hardware shouldn t lead to illegal use. 10/13/2003 Ver.1 24

Current Status/activities Public SDR consultation in Germany with regard to the R&TTE-Directive 10/13/2003 Ver.1 25

Current Status/activities Public SDR consultation took place in Germany A public consultation took place in Germany Started: 5 February 2003 Ended: 4 April 2003 Within the framework of the TGS questionnaire the results of the national German consultation will be presented to TGS for discussion. 10/13/2003 Ver.1 26

Current Status/activities Public SDR consultation took place in Germany First results of the comments of the national German Consultation 10/13/2003 Ver.1 27

Current Status/activities Public SDR consultation took place in Germany First results of the comments of the national German Consultation were: Principally there are no restrictions with regard to the performance of the technical feasibility by means of software. It is a question of time and money. In the near future the estimation is for a vertical SDR Market. SDR will probably be used for handset updates, bug fixing, WLAN and for IMT 2000 base stations 10/13/2003 Ver.1 28

Current Status/activities Public SDR consultation took place in Germany First results of the comments of the national German Consultation were : To establish a horizontal market, additions have to be made to the R&TTE Directive. One requirement could be to require from the manufacturer to publish the internal interface of the equipment. 10/13/2003 Ver.1 29

Current Status/activities Public SDR consultation took place in Germany First results of the comments of the national German Consultation were : Time horizon for the implementation of SDR is: For equipment for the Radio Infrastructure at the introduction of IMT 2000 base stations In the licence-exempt frequency band very soon - (e.g. WLAN) In 2005-2007 in the car industry. Here, broadcast standards for the car will be combined with mobile standards based on SDR. 10/13/2003 Ver.1 30

Future perspective Possible areas of regulation An early standardisation of SDR systems seems to be essential in particular for the definition of security mechanisms, download mechanism, authentication of software modules etc. and open interfaces. In a vertical market it should be ensured that the equipment only accepts authorised software. For the time being for software to be able to change the radio parameters of the equipment only a vertical market should be possible. 10/13/2003 Ver.1 31

Future perspective Possible areas of regulation For the establishment of a horizontal market regulatory guidelines are essential. It could also be possible in a horizontal market to limit the use of software to applications and services but exclude it from changing the radio parameters. To verify the source of the software download. History of the software changes (market surveillance) Without accesses for the user. The user should also not be permitted to deled this history information. Security aspects Changes in the equipment behaviour should only be possible with the approval of the user 10/13/2003 Ver.1 32

Future perspective TCAM The results of the national German consultation will be presented to TGS for discussion. (2003) On the basis of the results of the consultation TGS will draw up a joint report for submission and information to TCAM, including recommendations with regard to the regulatory aspects of SDR under the R&TTE Directive. (target 2004) 10/13/2003 Ver.1 33

Regulatory Background International Environment for Frequency Regulation 10/13/2003 Ver.1 34

CONTENT Need for Frequency Spectrum Management Relationship between Organisations ITU CEPT NATO 10/13/2003 Ver.1 35

Need for Frequency Spectrum Management 10/13/2003 Ver.1 36

Need for Frequency Spectrum Management Examples: Ensuring Spectrum Efficiency, Radio compatibility Europe-wide and World-wide Frequency Harmonisation Economic Benefit Requirements of emergency services Requirements of National Defence The sharing of the available spectrum has to be coordinated among users The demand for the limited spectrum resource is increasing The efficient and effective management of the spectrum grows more complex The technological progress opens the door to a variety of new applications International agreements needs to be implemented 10/13/2003 Ver.1 37

Relationship between Organisations: ITU CEPT NATO German National Authorities BMWA BMVg Reg TP NARFA GE European Commission ETSI 10/13/2003 Ver.1 38

International Telecommunication Union (ITU): created in 1865; in 1947 ITU established on a world wide scale; Membership: 189 Member countries and 582 companies and organisations; Provides the international regulatory framework within the various communication services can be operated; 10/13/2003 Ver.1 39

International Telecommunication Union (ITU): The three Sectors of the Union: Radiocommunication (ITU-R), Telecommunication Standardization (ITU-T), Telecommunication Development (ITU-D) work today to build and shape tomorrow's networks and services. 10/13/2003 Ver.1 40

Radiocommunication Sector 10/13/2003 Ver.1 41

ITU-R Study Groups SG 1 - Spectrum management SG 3 - Radiowave propagation SG 4 - Fixed-satellite service SG 6 - Broadcasting services (terrestrial and satellite) SG 7 - Science services SG 8 - Mobile, radiodetermination, amateur and related satellite services SG 9 - Fixed Service CPM - Conference preparatory meeting CCV - Coordination committee for vocabulary SC - Special Committee on regulatory/procedural matters 10/13/2003 Ver.1 42

ITU Radio Regulations (RR) 10/13/2003 Ver.1 43

ITU Radio Regulations (RR) A set of administrative regulations (especially important Table of Frequency Allocations, Article 5) annexed to the ITU Constitution/Convention including regulatory procedures, provisions and plans having an international treaty status that regulates the introduction of new radio systems and the protection of excisting ones, and also contains technical and operational criteria. Periodically updated by World Radio Conferences (WRCs). 10/13/2003 Ver.1 44

Radiocommunication Sector Recommendations (ITU-R Recs.) 10/13/2003 Ver.1 45

Radiocommunication Sector Recommendations (ITU-R Recs.) A set of technical/operational criteria and procedures recommended to be applied by the ITU members, but not having a treaty status. The ITU-R Recommendations are permanently updated by the Radiocommunication Study Groups. 10/13/2003 Ver.1 46

Categories of radio services in terms of the ITU-R Radio Regulations (Article 5) A Primary Service (written in capital letters) e.g. FIXED SERVICE Secondary Service (normal writing) e.g. Radio Astronomy 10/13/2003 Ver.1 47

Categories of radio services in terms of the ITU-R Radio Regulations (Article 5) B Categories concerning the usage of frequency bands - exclusive civil frequency bands - exclusive military frequency bands - shared frequency bands: common usage of one single frequency band by several different services under certain sharing conditions (e.g. fixed service/mobile service) terrestrial services/satellite services civil/military sharing 10/13/2003 Ver.1 48

470-890 MHz Allocation to services Region 1 Region 2 Region 3 470-790 BROADCASTING 5.149 5.291A 5.294 5.296 5.300 5.302 5.304 5.306 5.311 5.312 790-862 FIXED BROADCASTING 5.312 5.314 5.315 5.316 5.319 5.321 862-890 FIXED MOBILE except aeronautical mobile 5.317A BROADCASTING 5.322 470-512 BROADCASTING Fixed Mobile 5.292 5.293 512-608 BROADCASTING 5.297 608-614 RADIO ASTRONOMY Mobile-satellite except aeronautical mobile-satellite (Earth-to-space) 614-806 BROADCASTING Fixed Mobile 5.293 5.309 5.311 806-890 FIXED MOBILE 5.317A BROADCASTING 5.319 5.323 5.317 5.318 470-585 FIXED MOBILE BROADCASTING 5.291 5.298 585-610 FIXED MOBILE BROADCASTING RADIONAVIGATION 5.149 5.305 5.306 5.307 610-890 FIXED MOBILE 5.317A BROADCASTING 5.149 5.305 5.306 5.307 5.311 5.320 10/13/2003 Ver.1 49

European Frequency Management CEPT Conference of 46 European Post and Telecommunication Administrations 10/13/2003 Ver.1 50

CEPT CEPT 10/13/2003 Ver.1 51

CEPT Albania, Andorra, Austria, Azerbaijan, Belgium, Bosnia and Herzegovina, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Moldova, Monaco, Netherlands, Norway, Poland, Portugal, Romania, Russian Federation, San Marino, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, The former Yugoslav Republic of Macedonia, Turkey, Ukraine, United Kingdom of Great Britain and Northern Ireland, Vatican City State, Yugoslavia, Belarus 10/13/2003 Ver.1 (as of 19 September 2003) 52

ECC Structure 10/13/2003 Ver.1 53

Electronic Communications Committee (ECC) Tasks: Development of European radiocommunications policies Harmonisation of the frequency usages within the CEPT area Coordination of frequency management aspects and regulation matters Providing of guidelines regarding cooperation with the ITU 10/13/2003 Ver.1 54

Electronic Communications Committee (ECC) Results: CEPT/ECC Decisions CEPT/ECC Recommendations CEPT/ECC Reports CEPT/ECC European Common Proposals (ECPs) for the work of WRCs 10/13/2003 Ver.1 55

ECC Decisions ECC Decisions are binding, if signed by CEPT Member countries Highest degree of harmonisation Primary method for ensuring the provisions on a Europe-wide basis 10/13/2003 Ver.1 56

ECC Recommendations Recommendations are not binding the CEPT members, but give detailed guidance Appropriate tool, if new radio applications to be introduced only in some European countries due to interference with existing services 10/13/2003 Ver.1 57

European Radiocommunication Office (ERO) Task: Development of a tool for European-wide frequency harmonisation Result: European Common Allocation Table (ECA) containing Frequency Allocations and Utilizations CEPT Administrations base updates of national Allocation tables on ECA. Long term: One single European frequency allocation table; no differences between national tables which put constraints on pan- European radio services (Target date: 2008). Development of EFIS (ERO s Frequency Information System) 10/13/2003 Ver.1 58

NATO Internal Groups for Spectrum Management within NATO Common Civil/Military NATO Frequency Managment Group Annual CEPT Civil/Military Frequency Management Meeting. 10/13/2003 Ver.1 59

EU Regulations EC Authorities, relevant to spectrum management Radio Spectrum Committee (RSC) Radio Spectrum Policy Group (RSPG) 10/13/2003 Ver.1 60

EU Regulations Radio Spectrum Committee (RSC) The Radio Spectrum Committee (RSC) has been established under the Radio Spectrum Decision 676/2002/EC as part of the new regulatory framework for electronic communications which entered into force on 24 April 2002. The RSC assists the Commission in the development and adoption of technical implementing measures aimed at ensuring harmonised conditions for the availability and efficient use of radio spectrum, as well as the availability of information related to the use of radio spectrum. The committee exercises its function through advisory and regulatory procedures in accordance with the Council Comitology Decision. 10/13/2003 Ver.1 61

EU Regulations Radio Spectrum Policy Group (RSPG) The Radio Spectrum Policy Group (RSPG) was established under the Commission Decision 2002/622/EC as one of the actions following the adoption of the Radio Spectrum Decision 676/2002/EC. The RSPG should consult extensively and in a forward-looking manner on technological, market and regulatory developments relating to the use of radio spectrum in the context of EU policies on electronic communications, transport and research and development. Such consultations should involve all relevant radio spectrum users, both commercial and non-commercial, as well as any other interested party. 10/13/2003 Ver.1 62

EU Regulations Radio Spectrum Policy Group (RSPG) The RSPG shall adopt opinions, which are meant to assist and advise the Commission on radio spectrum policy issues, on coordination of policy approaches and, where appropriate, on harmonised conditions with regard to the availability and efficient use of radio spectrum necessary for the establishment and functioning of the internal market. The members of the Group are representatives of the Member States and of the Commission. Representatives of the EEA countries, the candidate countries, the European Parliament, the European Conference of Postal and Telecommunications Administrations (CEPT) and the European Telecommunications Standardisation Institute (ETSI) attend as observers. 10/13/2003 Ver.1 63

Spectrum management scenarios and requirements Examples: Scenario 1: Fixed Spectrum Allocation. Scenario 2: Spectrum Pool Scenario 3: Flexible Spectrum. Scenario 4: Spatial assignation of spectrum Scenario 5: Flexible spectrum frontier between operators. Scenario 6: Spectrum as a commodity Question: Who owns the user in a re-configurable radio network environment? 10/13/2003 Ver.1 64

High Level Requirements from Spectrum Management Scenarios Examples: MINIMIZATION OF INTERFERENCE BETWEEN SYSTEMS SIGNALING BETWEEN OPERATORS/USER/TERMINALS SIGNALING BETWEEN NETOWRK AND TERMINAL HANDOVER BETWEEN TECHNOLOGIES SPECTRUM EQUITY PAYMENT ASPECTS RESPONSIBILITY CLARIFICATION IN SPECTRUM MANEGMENT SCENARIOS IN RE-CONFIGURABLE RADIO NETWORK ENVIROMENTS 10/13/2003 Ver.1 65

Future perspective In general the re-configurable radio developments should be assessed to see whether they may have an impact on: a) regulations regarding placing on the market, putting into service and the free movement of radio equipment b) regulatory market surveillance of radio equipment c) enforcement of usage conditions and licensing of radio systems d) frequency management and spectrum trading e) standardisation issues g) Global Circulation 10/13/2003 Ver.1 66

Future perspective TCAM The results of the national German consultation will be presented to TGS for discussion. (2003) On the basis of the results of the consultation TGS will draw up a joint report for submission and information to TCAM, including recommendations with regard to the regulatory aspects of SDR under the R&TTE Directive. (target 2004) Electronic Communications Committee (ECC) In CEPT ECC the regulatory framework for reconfigurable radio should be discussed in the light of investigating possible flexible frequency management rules In the last meeting of ECC WG RR which took place in the first week of October 2003, it was decided to establish a Project Team on flexible Spectrum management to elaborate appropriate Spectrum management proposals Research Regulators and Industry should work closely together. At best, starting already from research. 10/13/2003 Ver.1 67

Thank you! 10/13/2003 Ver.1 68

List of abbreviations CEPT Conference Européenne des Administration des postes et des télécommunications TCAM Telecommunication Conformity Assessment and Market Surveillance Committee ETSI European Telecommunications Standards Institute 10/13/2003 Ver.1 69