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2018 Released: July 13, 2018 Federal Communications Commission FCC 18-91 Before the Federal Communications Commission Washington, D.C. 20554 In the Matter of ) ) Expanding Flexible Use of the 3.7 to 4.2 GHz Band ) GN Docket No. 18-122 ) Expanding Flexible Use in Mid-Band Spectrum ) GN Docket No. 17-183 Between 3.7 and 24 GHz ) (Inquiry Terminated as to 3.7-4.2 GHz) ) Petition for Rulemaking to Amend and Modernize ) RM-11791 Parts 25 and 101 of the Commission’s Rules to ) Authorize and Facilitate the Deployment of ) Licensed Point-to-Multipoint Fixed Wireless ) Broadband Service in the 3.7-4.2 GHz Band ) ) Fixed Wireless Communications Coalition, Inc., ) RM-11778 Request for Modified Coordination Procedures in ) Band Shared Between the Fixed Service and the ) Fixed Satellite Service ) ORDER AND NOTICE OF PROPOSED RULEMAKING Adopted: July 12, 2018 Released: July 13, 2018 Comment Date: 60 days after Federal Register publication Reply Comment Date: 90 days after Federal Register publication By the Commission: Chairman Pai and Commissioners O’Rielly, Carr, and Rosenworcel issuing separate statements. TABLE OF CONTENTS Heading Paragraph # I. INTRODUCTION...................................................................................................................................1 II. BACKGROUND.....................................................................................................................................3 A. 5G Leadership and Closing the Digital Divide.................................................................................3 B. The 3.7-4.2 GHz Band and Adjacent Bands.....................................................................................9 C. 2017 Mid-Band Notice of Inquiry ..................................................................................................12 III. ORDER: COLLECTING INFORMATION ON SATELLITE USAGE OF THE BAND..................16 IV. NOTICE OF PROPOSED RULEMAKING .........................................................................................26 A. The Future of Incumbent Usage of 3.7-4.2 GHz ............................................................................26 1. Protecting Incumbent Earth Stations........................................................................................27 2. Limiting New Space Station Operators....................................................................................46 3. Sunsetting Incumbent Point-to-Point Fixed Services...............................................................47 B. Increasing the Intensity of Terrestrial Use......................................................................................49 1. Mechanisms for Expanding Flexible Use.................................................................................58 2. More Intensive Point-to-Multipoint Fixed Use ......................................................................116 6915 Federal Communications Commission FCC 18-91 3. Service Rules for Flexible Use...............................................................................................133 V. PROCEDURAL MATTERS...............................................................................................................189 VI. ORDERING CLAUSES......................................................................................................................197 APPENDIX A – Proposed Rules APPENDIX B – Initial Regulatory Flexibility Act Analysis APPENDIX C – List of Commenters I. INTRODUCTION 1. Today, we seek to identify potential opportunities for additional terrestrial use— particularly for wireless broadband services—of 500 megahertz of mid-band spectrum between 3.7-4.2 GHz. In doing so, we propose to add a mobile, except aeronautical mobile, allocation to the band and seek comment on transitioning all or part of the band to terrestrial wireless broadband services. Today’s action is another step in the Commission’s efforts to close the digital divide by providing wireless broadband connectivity across the nation and to secure U.S. leadership in the next generation of wireless services, including fifth-generation (5G) wireless, Internet of Things (IoT), and other advanced spectrum- based services. 2. In this proceeding, we are pursuing the joint goals of making spectrum available for new wireless uses while balancing desired speed to the market, efficiency of use, and effectively accommodating incumbent Fixed Satellite Service (FSS) and Fixed Service (FS) operations in the band.1 To gain a clearer understanding of the operations of current users in the band, we collect information on current FSS uses. We then seek comment on various proposals for transitioning all or part of the band for flexible use, terrestrial mobile spectrum, with clearing for flexible use beginning at 3.7 GHz and moving higher up in the band as more spectrum is cleared. We also seek comment on potential changes to the Commission’s rules to promote more efficient and intensive fixed use of the band on a shared basis starting in the top segment of the band and moving down the band. To add a mobile, except aeronautical mobile, allocation and to develop rules that would enable the band to be transitioned for more intensive fixed and flexible uses, we encourage commenters to discuss and quantify the costs and benefits associated with any proposed approach along with other helpful technical or procedural details. 1 In this Order and Notice of Proposed Rulemaking, we draw from the record submitted with respect to the 3.7-4.2 GHz band in the Notice of Inquiry in GN Docket 17-183 asking about various “mid-band” frequency bands between 3.7 GHz and 24 GHz. Expanding Flexible Use in Mid-Band Spectrum Between 3.7 and 24 GHz, GN Docket No. 17-183, Notice of Inquiry, 32 FCC Rcd 6373 (2017) (Mid-Band NOI). With respect to the 3.7-4.2 GHz band, we incorporate the record from the Mid-Band NOI into the docket for this proceeding, GN Docket No. 18-22. We also incorporate two earlier petitions for rulemaking that proposed specific approaches for rule changes concerning the 3.7-4.2 GHz band. Broadband Access Coalition, Petition for Rulemaking to Amend and Modernize Parts 25 and 101 of the Commission’s Rules to Authorize and Facilitate the Deployment of Licensed Point-to-Multipoint Fixed Wireless Broadband in the 3700-4200 MHz Band, RM-11791 (filed June 21, 2017) (Broadband Access Coalition Petition); Fixed Wireless Communications Coalition Inc., Request for Modified Coordination Procedures in Bands Shared Between the Fixed Service and the Fixed Satellite Service, RM 11778, Petition for Rulemaking (Oct. 11, 2016) (FWCC Petition). On April 19, 2018, the Commission opened Docket No. 18-122, which focuses exclusively on expanding flexible use of the 3.7-4.2 GHz band. See Expanding Flexible Use of the 3.7 GHz to 4.2 GHz Band; Wireless Telecommunications Bureau, International Bureau, and Office of Engineering and Technology Establish GN Docket No. 18-122, GN Docket No. 18-122, Public Notice, DA 18-396 (Apr. 19, 2018), 2018 WL 1898714 (Expanding Flexible Use of the 3.7 GHz to 4.2 GHz Band PN). Given that GN Docket 18-122 focuses on potential flexible use of the 3.7-4.2 GHz band, with the issuance of the instant Notice of Proposed Rulemaking, we terminate the Mid-Band NOI docket, GN Docket No. 17-183, with respect to the 3.7-4.2 GHz band. See also RM-11791, Section 7 Request, Letter from Julius P. Knapp, Chief, Office of Engineering and Technology, to Broadband Access Coalition (Jun. 26, 2018) (stating that staff believes that Broadband Access Coalition’s proposal for use of the band does not qualify as a new technology or service under Section 7, but the Commission is actively considering the proposal and plans to seek comment on it as part of the Expanding Flexible Use of the 3.7 to 4.2 GHz Band rulemaking). 6916 Federal Communications Commission FCC 18-91 II. BACKGROUND A. 5G Leadership and Closing the Digital Divide 3. America’s appetite for wireless broadband service is surging. According to Cisco, North American mobile traffic grew 44 percent in 2016 and will continue to grow at a near 35 percent compound annual growth rate through 2021.2 Ericsson predicts that between 2016 and 2022 the data traffic generated by smartphones in North America will increase by a factor of six.3 And while mobile traffic is surging in sections of the United States, many communities still lack access to meaningful broadband connectivity. More intensive use of spectrum can allow wireless operators to fill in gaps in the current broadband landscape. For example, fixed wireless services provide an additional opportunity to connect rural communities and to offer competitive wireless alternatives in urban areas. Additional spectrum must be identified, however, if we are to seize the 5G future and meet the connectivity needs of all Americans. 4. Enabling next generation wireless networks and closing the digital divide will require efficient utilization of the low-, mid-, and high-bands. In recent years, the Commission has taken several steps to use low-band spectrum below 3.7 GHz more efficiently and intensely, and it has paved the way for new opportunities in high-band spectrum above 24 GHz. For example, the broadcast incentive auction made 70 megahertz of licensed spectrum in the 600 MHz band available for commercial wireless operations.4 This low-band spectrum is ideal for providing wide-area coverage in rural areas and for providing coverage inside buildings. The Spectrum Frontiers proceeding made available high-band spectrum in the 24 GHz, 28 GHz,
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