[Federal Register: June 6, 2007 (Volume 72, Number 108)]
[Rules and Regulations]
[Page 31190-31192]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06jn07-9]
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 2
[ET Docket No. 03-108; FCC 07-66]
Cognitive Radio Technologies and Software Defined Radios
AGENCY: Federal Communications Commission.
ACTION: Final rule.
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SUMMARY: This document responds to two petitions concerning the rules
adopted in the Report and Order in this proceeding (``Cognitive Radio
Report and Order''). The Commission granted a petition for
clarification filed by Cisco Systems, Inc. (``Cisco'') requesting that
the Commission clarify the requirement to approve certain devices as
software defined radios, and its policy on the confidentiality of
software that controls security measures in software defined radios.
The Commission also granted in part and denied in part a petition for
reconsideration filed by Marcus Spectrum Solutions (``MSS'') requesting
that the Commission clarify the rules concerning the submission of
radio software source code, clarify the rules concerning the
certification of software defined amateur radio equipment, and initiate
a further proceeding to adopt regulatory requirements for high-power,
high-speed digital-to-analog (D/A) converters.
DATES: Effective July 6, 2007.
FOR FURTHER INFORMATION CONTACT: Hugh Van Tuyl, Policy and Rules
Division, Office of Engineering and Technology, (202) 418-7506, e-mail:
Hugh.VanTuyl@fcc.gov.
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's
Memorandum Opinion and Order, ET Docket No. 03-108, FCC 07-66, adopted
April 20, 2007 and released April 25, 2007. The full text of this
document is available on the Commission's Internet site at http://www.fcc.gov.
It is also available for inspection and copying during
regular business hours in the FCC Reference Center (Room CY-A257), 445
12th Street, SW., Washington, DC 20554. The full text of this document
also may be purchased from the Commission's duplication contractor,
Best Copy and Printing Inc., Portals II, 445 12th St., SW., Room CY-
B402, Washington, DC 20554; telephone (202) 488-5300; fax (202) 488-
5563; e-mail FCC@BCPIWEB.COM.
Summary of the Memorandum Opinion and Order
1. On March 17, 2005, the Commission adopted the Cognitive Radio
Report and Order 70 FR 23032, May 4, 2005, in which it modified the
rules to reflect ongoing technical developments in cognitive and
software defined radio technologies. In response to the Cognitive Radio
Report and Order, Cisco and MSS each filed a petition seeking
reconsideration or clarification of various aspects of the Commission's
decisions in the Cognitive Radio Report and Order. The Information
Industry Technology Council (``ITI'') filed comments in opposition of
MSS' petition. No comments were filed in response to Cisco's petition.
In response to the two petitions concerning the rules adopted in the
Cognitive Radio Report and Order in this proceeding, the Commission
granted the petition for clarification filed by Cisco Systems, Inc.
(``Cisco'') requesting that the Commission clarify: (1) The requirement
to approve certain devices as software defined radios, and (2) its
policy on the confidentiality of software that controls security
measures in software defined radios. The Commission also granted in
part and denied in part a petition for reconsideration filed by Marcus
Spectrum Solutions (``MSS'') requesting that the Commission (1) Clarify
the rules concerning the submission of radio software source code, (2)
clarify the rules concerning the certification of software defined
amateur radio equipment, and (3) initiate a further proceeding to adopt
regulatory requirements for high-power, high-speed digital-to-analog
(D/A) converters.
2. In the Cognitive Radio Report and Order, the Commission modified
the rules to require that radios in which the software is designed or
expected to be modified by a party other than the manufacturer be
certified as software defined radios. To minimize the filing burden on
manufacturers, this requirement was narrowly tailored to affect only
those radios where the software can be modified by a party other than
the manufacturer because such radios pose a higher risk of interference
to authorized radio services. The definition of software defined radio
(SDR) is intentionally broad, while the category of equipment that is
required to be certified as SDRs is intentionally narrow. The
Commission agrees with Cisco that a reading of the definition of SDR in
the rules by itself may give the incorrect impression that more devices
must be certified as SDRs than the rules intended to require. The
Commission finds that the appropriate solution to Cisco's concern is to
add an additional sentence following the definition of SDR to indicate
the class of radios that must be certified as SDRs. It therefore
clarifies the rules by adding the following statement to the definition
of SDR: ``In accordance with Sec. 2.944 of this part, only radios in
which the software is designed or expected to be modified by a party
other than the manufacturer and would affect the listed operating
parameters or circumstances under which the radio transmits must be
certified as software defined radios.'' This action clarifies the
intent of the rules adopted in the Cognitive Radio Report and Order.
3. With regard to Cisco's second request, the Commission recognizes
that some manufacturers may wish to use open source software (e.g.,
GNU/Linux) in developing SDRs. The use of such software may have
advantages for manufacturers such as lower cost and decreased product
development time.
[[Page 31191]]
However, as Cisco notes, open source software may be subject to
licensing agreements that require the party modifying the code to make
the source code publicly available. The Commission did not address the
possibility of manufacturers using open source software to implement
security measures. However, it recognizes that hardware and software
security measures that interact with the open source software need not
be subject to an open source agreement. The Commission hereby states
that it is its policy, consistent with the intent of Cognitive Radio
Report and Order and Cisco's request, that manufacturers should not
intentionally make the distinctive elements that implement that
manufacturer's particular security measures in a software defined radio
public, if doing so would increase the risk that these security
measures could be defeated or otherwise circumvented to allow operation
of the radio in a manner that violates the Commission's rules. A system
that is wholly dependent on open source elements will have a high
burden to demonstrate that it is sufficiently secure to warrant
authorization as a software defined radio.
4. In response to the MSS petition for reconsideration, the
Commission clarifies that in the event that questions arise about the
compliance of a particular device, its staff has the authority to
request and examine any component, whether software or hardware, of a
radio system when needed for certification under Commission rules. The
manufacturer could request that the Commission hold the information
confidential, and the Commission would generally grant such a request
absent a compelling reason otherwise. The Commission expects that
requests for software source code would be extremely rare. It would not
be burdensome for a manufacturer to request confidentiality for
software source code, and the Commission finds there is no need to
modify the confidentiality rules to address a specific class of
information that would be requested only infrequently.
5. The Commission declines to take any actions with respect to
regulating the marketing of certain types of D/A converters. MSS does
not demonstrate any current need for regulation of D/A converters. It
admits that the types of D/A converters that it is concerned about are
not presently on the market, and that it is not aware of any
discussions about the possible marketing of these types of D/A
converters. The Commission therefore finds that MSS' concerns about
possible misuse of equipment not available now or in the foreseeable
future are premature, speculative, and not a basis for initiating a
further rule making proceeding at this time.
6. In regard to MSS' request for clarification about the regulatory
treatment of amateur radio equipment, the Commission did not intend to
impose any new certification requirements for amateur radio equipment
in the Cognitive Report and Order. External RF amplifiers that operate
below 144 MHz that are marketed for use with amateur stations will
continue to require certification before they can be marketed. Other
amateur radio equipment, including equipment that meets the definition
of a software defined radio and that has software that is designed or
expected to be modified by a party other than the manufacturer, will
continue to be exempt from a certification requirement. However, as the
Commission noted in the Cognitive Report and Order, certain
unauthorized modifications of amateur transmitters are unlawful. It may
revisit the issue of the certification of amateur equipment with
software modifiable features as identified above in the future if
misuse of such devices results in significant interference to
authorized spectrum users.
Procedural Matters
7. Final Regulatory Flexibility Certification. The Regulatory
Flexibility Act of 1980, as amended (RFA),\1\ requires that a
regulatory flexibility analysis be prepared for rulemaking proceedings,
unless the agency certifies that ``the rule will not have a significant
economic impact on a substantial number of small entities.'' \2\ The
RFA generally defines the term ``small entity'' as having the same
meaning as the terms ``small business,'' ``small organization,'' and
``small governmental jurisdiction.'' \3\ In addition, the term ``small
business'' has the same meaning as the term ``small business concern''
under the Small Business Act.\4\ A small business concern is 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.
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\1\ The RFA, see 5 U.S.C. 601-612, has been amended by the Small
Business Regulatory Enforcement Fairness Act of 1996 (SBREFA),
Public Law 104-121, Title II, 110 Stat. 857 (1996).
\2\ 5 U.S.C. 605(b).
\3\ 5 U.S.C. 601(6).
\4\ 5 U.S.C. 601(3) (incorporating by reference the definition
of ``small business concern'' in the Small Business Act, 15 U.S.C.
632). Pursuant to 5 U.S.C. 601(3), the statutory definition of a
small business applies ``unless an agency, after consultation with
the Office of Advocacy of the Small Business Administration and
after opportunity for public comment, establishes one or more
definitions of such term which are appropriate to the activities of
the agency and publishes such definition(s) in the Federal
Register.''
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8. In the Cognitive Radio Report and Order, the Commission expanded
the definition of software defined radio (SDR) to include radios in
which software can control the circumstances under which the radio
operates in accordance with the Commission's rules. This broad
definition covers both radios that have software embedded on chips or
implemented in other ways so that the software cannot be readily
changed by the user, as well as radios that are designed so the
software can be easily changed after manufacture. In the Cognitive
Radio Report and Order, the Commission also modified the rules to
require that a radio be approved as an SDR if the software that
controls the operating parameters or the circumstances under which it
transmits is designed or expected to be modified by a party other than
the manufacturer. This requirement applies to only a narrow subset of
radios that meet the definition of SDR. A Final Regulatory Flexibility
Analysis was incorporated in the Cognitive Radio Report and Order.
Following publication of the Cognitive Radio Report and Order, Cisco
filed its petition seeking clarification of which radios require
certification as SDRs. In the Memorandum Opinion and Order, the
Commission amended the definition of SDR to reference the requirements
concerning which radios must be certified as SDRs. This change
clarifies the rules adopted in the Cognitive Radio Report and Order and
does not modify any compliance requirements. For this reason, this
change will not result in a ``significant economic burden'' on
manufacturers. Therefore, we certify that the amendments included in
the Memorandum Opinion and Order will not have a significant economic
impact on a substantial number of small entities.
9. The Commission will send a copy of the Memorandum Opinion and
Order, including a copy of this final certification, in a report to
Congress pursuant to the Congressional Review Act.\5\ In addition, the
Memorandum Opinion and Order and this certification will be sent to the
Chief Counsel for Advocacy of the Small Business Administration, and
will be published in the Federal Register.\6\
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\5\ See 5 U.S.C. 801(a)(1)(A).
\6\ See 5 U.S.C. 605(b).
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10. This document does not contain any information collection
requirements
[[Page 31192]]
subject to the Paperwork Reduction Act of 1995 (PRA), Public Law 104-
13.
Ordering Clauses
11. Pursuant to the Section 1, 4, 301, 302(a), and 303, of the
Communications Act of 1934, as amended, 47 U.S.C. 151, 154, 301,
302(a), and 303, the Memorandum Opinion and Order is adopted, and part
2 of the Commission's Rules is amended as specified in the attached
appendix, and will become effective 30 days after publication in the
Federal Register.
12. The petition for clarification filed by Cisco Systems, Inc. is
hereby granted. This action is taken pursuant to the authority
contained in Sections 4(i), 301, 302, 303(e), 303(f), and 303(r) of the
Communications Act of 1934, as amended, 47 U.S.C. Sections 154(i), 301,
302, 303(e), 303(f), and 303(r).
13. The petition for reconsideration filed by Marcus Spectrum
Solutions is hereby granted in part and denied in part. This action is
taken pursuant to the authority contained in Sections 4(i), 301, 302,
303(e), 303(f), and 303(r) of the Communications Act of 1934, as
amended, 47 U.S.C. Sections 154(i), 301, 302, 303(e), 303(f), and
303(r).
14. The Commission's Consumer and Governmental Affairs Bureau,
Reference Information Center, shall send a copy of the Memorandum
Opinion and Order, including the Final Regulatory Flexibility
Certification, to the Chief Counsel for Advocacy of the Small Business
Administration.
List of Subjects in 47 CFR Part 2
Communications equipment, Radio, Reporting, and recordkeeping
requirements.
Federal Communications Commission.
William F. Caton,
Deputy Secretary.
Final Rule
0
For the reasons discussed in the preamble, the Federal Communications
Commission amends 47 CFR part 2 to read as follows:
PART 2--FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL
RULES AND REGULATIONS
0
1. The authority citation for part 2 continues to read as follows:
Authority: 47 U.S.C. 154, 302a, 303, and 336, unless otherwise
noted.
Section 2.1(c) is amended by revising the definition of ``software
defined radio'' to read as follows:
Sec. 2.1 Terms and definitions.
* * * * *
(c) * * *
Software defined radio. A radio that includes a transmitter in
which the operating parameters of frequency range, modulation type or
maximum output power (either radiated or conducted), or the
circumstances under which the transmitter operates in accordance with
Commission rules, can be altered by making a change in software without
making any changes to hardware components that affect the radio
frequency emissions. In accordance with Sec. 2.944 of this part, only
radios in which the software is designed or expected to be modified by
a party other than the manufacturer and would affect the above-listed
operating parameters or circumstances under which the radio transmits
must be certified as software defined radios.
* * * * *
[FR Doc. 07-2684 Filed 6-5-07; 8:45 am]
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