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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

Discussion Paper

Spectrum Planning Team Radiofrequency Planning Group Australian Communications Authority

Document: SP 05/03 Date: June 2003

Table of Contents
FOREWORD .........................................................................................................................................II 1. INTRODUCTION .......................................................................................................................... 1 1.1 2. PURPOSE AND SCOPE ............................................................................................................... 1

BACKGROUND............................................................................................................................. 2 2.1 ANTENNAS AND SPECTRUM REUSE ......................................................................................... 2 2.1.1 Spectrum Efficiency .......................................................................................................... 3 2.2 COMMERCIAL ANTENNAS AND RPE SPECIFICATIONS ........................................................... 3 2.3 INTERFERENCE MANAGEMENT ............................................................................................... 6 2.3.1 International & Regional Arrangements .......................................................................... 6 2.3.2 Current Australian Arrangements .................................................................................... 6

3. A CASE STUDY OF THE RELATIONSHIP BETWEEN COMMERCIAL ANTENNA MODELS AND SPECTRUM EFFICIENCY ...................................................................................... 8 3.1 STUDY METHODOLOGY ........................................................................................................... 8 3.2 INPUT PARAMETERS ................................................................................................................ 8 3.3 RESULTS ................................................................................................................................... 9 3.3.1 ACA Notional Antennas.................................................................................................... 9 4. ANALYSIS OF STUDY............................................................................................................... 10 4.1 OVERALL TRENDS ................................................................................................................. 10 4.1.1 Limitations of the Simulation Study ................................................................................ 11 4.2 REGULATORY OPTIONS ......................................................................................................... 12 5. PROPOSED APPROACH........................................................................................................... 13 5.1 6. ADVANTAGES/DRAWBACKS .................................................................................................. 14

PROPOSED REVISION TO ANTENNA REGULATION PROCESS ................................... 14 6.1 6.2 6.3 6.4 IMPLEMENTATION ................................................................................................................. 15 HIGH SPECTRUM DENSITY AREAS ........................................................................................ 16 TRUNK ROUTES/PRIME SITES ................................................................................................ 16 RURAL AND REMOTE AREAS ................................................................................................. 16

7. 8. 9.

CONCLUSION ............................................................................................................................. 17 GLOSSARY .................................................................................................................................. 18 REFERENCES ............................................................................................................................. 19

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

Foreword
This discussion paper presents a proposal for a new, simplified method of assessing antennas for use in the fixed service microwave bands. The ACA believes that the proposed method would be simpler, and offer greater flexibility than the current system of assessing proposed antennas against an antenna pattern mask that is contained in RALI FX-3. As such the proposed method would contribute to more efficient access to, and use of, spectrum in the microwave fixed bands. Readers of this report are invited to provide comment on the proposals and recommendations. Comments may be forwarded: By mail to: The Manager Spectrum Planning Team Australian Communications Authority P.O. Box 78 BELCONNEN ACT 2616 Or by Fax to (02) 6219 5256 Or by email to freqplan@aca.gov.au

The closing date for comment is Friday 1 August, 2003.

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

1.

Introduction

This paper reviews the current regulatory arrangements related to minimum antenna performance criteria for point-to-point (1.5 58 GHz) microwave fixed services and, through the application of probabilistic and descriptive statistical methods1, develops a basis for a revised minimum antenna performance regime that would be more spectrum efficient, consistent and transparent to users. This paper is based upon assumptions that are applicable to parabolic antennas used in the above-mentioned point-to-point microwave fixed bands. This paper draws heavily on the methodology and conclusions of the study paper Analysing Antenna Performance in the Microwave Radio Interference Environment [1] and the information contained in the Spectrum Planning Report SPP8/2001 Microwave Fixed Services: Survey of commercially manufactured (1.5 58 GHz) parabolic antennas [2]. 1.1 Purpose and Scope

The following considerations and issues are addressed in this paper: 1. What is the role of the antenna in managing interference and the extent of possible frequency re-use (spectrum efficiency)? 2. What types of antennas are used by microwave fixed services and what are their characteristics? What types of commercial antenna products are used/available? 3. What antenna regulatory arrangements currently apply in Australia and overseas? What are their respective strengths/drawbacks? 4. What are the important technical antenna parameters and is it possible to establish a quantitative link to spectrum efficiency and by what methods? 5. What are the preferred regulatory arrangements, taking account of spectrum efficiency vs cost, complexity and other market issues? 6. The likely impact of the preferred arrangements on spectrum users and the market generally. What about interservice sharing issues? 7. The use of notional and ITU-R antenna radiation pattern (RPE) models in detailed coordination; and,

8. How access to the manufacturers detailed RPE data contributes to more efficient coordination. What action can the ACA, spectrum users and antenna product manufacturers take to assist in this process?

1Drawing on information from a number of sources, including the ACAs RADCOM database, manufacturers antenna data catalogues and Monte Carlo simulation derived statistics.

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

2.

Background

Spectrum congestion is an increasing problem in urban areas, with the potential reuse of microwave RF channels limited by interference related Quality of Service (QoS) considerations. Point-to-point microwave fixed services mainly utilise highly directional, linearly polarised parabolic antennas. Within the fixed service interference environment, antenna radiation performance is a dominant factor in determining the extent of possible frequency reuse or spectrum efficiency. Accordingly, most OECD regulatory authorities specify, inter alia, minimum performance criteria for antennas. In practice, given the range of commercially available antenna models and wide range of available radiation pattern envelope (RPE) characteristics, the application of the present standards can be problematic for both the regulator and user alike. In some bands, operators would prefer to deploy smaller and less visually intrusive antennas and tower structures, particularly around urban and environmentally conscious areas. However, this may not be possible due to regulatory requirements based directly or indirectly on a minimum antenna reflector aperture requirement. 2.1 Antennas and Spectrum Reuse

The absolute interference threshold of a receiver depends upon the susceptibility of the victim system (ie. QoS) to interference, which may be expressed as a ratio relative to the receiver thermal noise floor. For a population of like services, interference thresholds are of a similar order and the standard deviations of equipment parameters such as transmit power and branching losses are relatively small. For sharing studies, these parameters may be approximated with judiciously selected constants [3, 4]. However, for point-to-point systems using directional antennas, susceptibility to interference also depends on the degree of antenna discrimination against unwanted (generally off-axis) signals. Linearly polarised (H/V) parabolic reflector antennas are by far the most common type used in microwave fixed networks. The parabolic antenna is a classic aperture type antenna, with a relatively high directive gain and small main lobe beamwidth, generally proportional to reflector size and can be estimated using mathematical models [5, et al]. Whilst these on-axis parameters can be readily estimated, the off-axis co-polar and cross-polar radiation levels of different antenna models are less predictable. Outside the main beam, differences between antenna models extend to orders of magnitude, even for models with the same physical aperture (see Figure 1). Potential interference is then dependent upon path; the antenna response (co-polar & cross-polar RPE) and the relative azimuths between the interfering and interfered with services. Qualitatively, it is accepted that the use of directional antennas with high off-axis discrimination and high cross-polar discrimination reduce overall levels of unwanted signals in the interference environment and increase the potential reuse capacity of the available RF spectrum space. For the antenna designer, the challenge is to derive an optimum combination of parabolic reflector and feed. The reflector cannot intercept all of the energy radiated by the feed, as may be desired for maximum gain. The lost power can be considered 2

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

as a spillover loss, given by integrating the power patterns of the feed over the angular region outside of that subtended by the reflector. Other losses resulting from nonuniform illumination, non-constant phase of the aperture field and cross-polarisation loss, are collectively referred to as aperture efficiency. Commercial model designs are based around obtaining either maximum gain, or a reduction in sidelobes in exchange for a slight decrease in gain. Increased illumination at the periphery of the reflector surface increases the edge diffraction field and side and back lobe levels. By contrast to gain and beamwidth, cross-polar discrimination is largely independent of aperture, being sensitive to factors such as feed/beamforming. From these considerations it may be qualitatively concluded that antenna designs that minimise the side/backlobe fields will be the least susceptible to off-axis interference and will cause the least interference to other co-frequency services. Similarly, it may be concluded that antennas with high cross-polar discrimination are desirable in seeking to minimise overall levels of interference. 2.1.1 Spectrum Efficiency

The term spectrum efficiency is qualitative and context sensitive. It is often used loosely to describe different aspects of a communication systems performance. For the purposes of this document, spectrum efficiency is taken to mean the potential for co-channel spectrum reuse. It follows that highly spectrum efficient antennas are those that maximise spectrum reuse. An intuitive relationship that links low back/sidelobe levels and high cross-polar discrimination with spectrum efficiency has also been established. In the following sections quantitative relationships between antenna parameters and this definition of spectrum efficiency will be developed. 2.2 Commercial Antennas and RPE Specifications

Manufacturers catalogues usually list families of electrically similar parabolic antenna models within the range of industry standard apertures. For the purposes of this document, three categories are defined. These are broadly based on the nomenclature and designations used by major manufacturers: Standard (STD) single and dual polarised antennas, including simple parabolic reflector, deep dish, improved and focal plane models; High Performance (HP) shrouded single and dual polarised antennas, incorporating sidelobe suppressors in the form of strategically located RF absorbent material; and, Ultra-High Performance (UHP) shrouded types typically featuring dual polarised beamforming feeds with high cross-polar discrimination.

Multi-band and other special antenna types are not considered. In addition to catalogue specifications, major antenna manufacturers RPE characteristics are available in a standard electronic format for use in spectrum sharing and coordination studies [6]. The (US) National Spectrum Managers Association (NSMA) antenna data standard includes parameters for:

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

Make & Model Type; Frequency Band; Midband Gain, dBi; Half-power Beamwidth, the 3dB points at the midband frequency; Radiation Pattern Envelope, gain pattern over the full azimuth range relative to the midband gain.

Each RPE represents the envelope peaks of a measured sample of manufactured units. Parallel and cross-polar patterns are provided for both horizontal and vertical polarisations and typical production unit RPEs are guaranteed to within 3 dB of the manufacturers published patterns. The NSMA standard includes elevation and azimuth plane RPE specifications. However, for terrestrial coordination, the zero elevation angle is normally assumed and only the azimuth plane co-polar (VV, HH) and cross-polar (VH, HV) gain patterns are actually used. A further parameter, included in manufacturers specifications and often used to gauge antenna performance, is the front-to-back (F/B) ratio, defined here as the response of the highest peak in the region 180 +/- 40 (i.e. azimuth from 140 to 220) relative to the main beam. For standard parabolic antennas, the F/B ratio is roughly proportional to reflector aperture and may be estimated using the empirical relation2: F/B = G + 7 (dB) However, this relation only holds for simple parabolic antennas. In particular, for HP and UHP models, sidelobe suppression and F/B ratio are dominated by construction related features (eg. radiofrequency absorbent shroud). Figures 1 and 2 show example RPEs for fourteen 11 GHz commercial parabolic antennas, corresponding to STD (green), HP (red) and UHP (magenta) models of identical (1.8m diameter) aperture. From the plots it is apparent that sidelobe suppression and F/B ratio depend on factors other than antenna aperture. Figure 1 shows that antenna performance can be broadly grouped according to STD, HP and UHP model types. Figure 2 demonstrates how the response of the different models of identical aperture converge as the azimuth converges towards the root of the main beam.

2 C.M. Knop, On the Front-to-Back Ratio of a Parabolic Dish Antenna, IEEE Transactions on Antennas and Propagation, vol. AP-24, no.1 January 1976, pp. 109-111.

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

Antenna Radiation P attern Envelope


0 -10

dB referenc ed to main beam

-20 -30 -40 -50 -60 -70 -80 -90 -150 -100 -50 0 50 100 150

azimuth degrees from main lobe

Figure 1: Example RPEs for STD (green), HP (red) and UHP (magenta) models
A ntenna Radiation P attern Envelope
0 -10 -20
dB referenced to main beam

-30 -40 -50 -60 -70 -80 -90 0 5 10 15 20 25 30

az imuth degrees from main lobe

Figure 2: Example RPEs (0 30 of azimuth) for 1.8 m (11 GHz) parabolic antennas

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

2.3

Interference Management

In choosing an antenna for a particular point-to-point link, designers may consider: the required system gain (necessary to meet QoS objective); capital cost; applicable council/town planning regulations; tower structure and wind loading; whether the antenna is to be used as an interference reducing aid; Under current arrangements operators will be motivated to choose antennas as an interference reducing aid only when there is a specific need to avoid causing interference to or from existing services. Furthermore, individual operators usually have no control over the types of antennas that have been previously deployed. Accordingly, the wider issues of interference management, spectrum efficiency and standards for sharing limited spectrum resources cannot be effectively tackled by individual operators but need to be tackled by the spectrum regulator. Individual actions by licensees will not be an effective way to address the broader issues of efficient spectrum use. 2.3.1 International & Regional Arrangements

In the absence of internationally agreed standards, national and regional regulatory agencies specify their own criteria for minimum acceptable antenna performance for microwave fixed services. Table 1 compares the antenna parameters used in Australia [7], USA [8], Canada [9] and Europe [10]. Its noteworthy that all of the regulatory regimes share common elements, but that they give different emphasis to particular criteria.

Parameter Gain Beamwidth Copolar RPE X-Polar RPE

Aust. (ACA) USA (FCC) ! ! ! ! ! ! ! "

Canada (IC) ! ! !

"

Europe (ETSI) ! ! !

"

Table 1: Comparison of Antenna Criteria adopted by several Regulatory Bodies Whilst each approach facilitates opportunities for overall RF spectrum reuse, it can be shown that each approach can suffer from complexity and potential inconsistency. 2.3.2 Current Australian Arrangements

RALI FX-3 [3] details technical policy relevant to the operation and coordination of microwave fixed services, including minimum performance antenna requirements. A

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

notional minimum performance antenna is defined for each frequency band3, with parameters as summarised in Table 2.
Band (GHz) 1.5 1.8 2.1 3.8 6 6.7 7.5 8 10 11 13 15 18 22 38 50 58 Diameter (m) 1.8 1.8 3.0 3.0 3.0 3.0 1.8 2.4 0.6 1.8 1.2 0.6 0.3 0.3 0.3 0.3 0.3 Type grid grid grid hp std hp std std std hp std std hp std std std N/A Gain (dBi) 26 28 33 39 43 44 40 43 33 44 41 36 33.5 33 39.5 44 30 Beam (deg) 8 6 3.3 1.7 1.2 1.1 1.5 1.1 3.6 1 1.4 2.3 3.6 3 1.7 1.3 3 XPD (dB) 30 30 28 32 30 32 30 30 30 33 30 30 29 13 30 25 N/A F/B (dB) 32 32 40 65 48 75 49 50 40 80 48 34 54 44 60 47 35

Table 2: RALI FX-3 Notional Antenna Parameters (May 2003). In addition to the Table 2 parameters, a radiation pattern envelope is provided for each notional antenna, including co-polar and cross-polar radiation patterns. For compliance purposes, the RPE of the antenna being considered is expected to meet or exceed the notional RPE at all azimuths. These arrangements have been in force for many years and spectrum users generally accept the need to maintain minimum standards. However, the ACA acknowledges4 that the existing arrangements may suffer from inconsistent application, in particular the need to compare the RPEs against a notional envelope is an ongoing problem. The existing notional RPEs were derived from a collection of antenna pattern data that was available at the time the RPEs were developed, and may therefore be biased towards those antennas. In some cases the notional antennas were based on only a small number of antennas. Also concessions have been made where an antenna just fails to meet the notional criteria in certain aspects. These concessions have led to questions regarding the consistency of the process. The existing arrangement also requires an additional resource effort from the ACA in assessing candidate antenna RPEs and Accredited Persons (or licensees) in preparing proposals for consideration by the ACA. These arrangements introduce some delay into the registration process as the ACA and Accredited Persons may take some time to compile and assess the required antenna against the notional RPE.

3In Appendix 1 RF Channel Arrangements and Assignment Instructions see http://www.aca.gov.au/frequency/fx3/appendx1.pdf. 4eg. in Section 3.1.4 of the RALI FX-3.

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

3. A case study of the relationship between Commercial Antenna Models and Spectrum Efficiency
3.1 Study Methodology

In general it is difficult to make quantitative decisions about the critical antenna radiation parameters and what their regulatory boundary values should be. Given the large range of different models and the complicated nature of the relationship between spectrum efficiency and antenna gain, co-polar and cross-polar RPE parameters, deterministic comparison can yield inconsistent results. The Monte Carlo simulation models used, detailed in the study paper Analysing Antenna Performance in the Microwave Radio Interference Environment [1], simulated a homogeneous terrestrial fixed service interference environment, with the commercial antenna RPE as the device under test. The objective was to simplify the comparison of different RPEs through the derivation of a single figure point statistic for each antenna model. For each RPE, the simulation attempts to coordinate 10000 randomly placed, oriented and polarised digital point-to-point links, within an area of 100 km radius and uniform link density ie. high density urban environment. At the termination of each simulation run, the number of successfully coordinated links is recorded. For each simulation the antenna characteristics (ie. manufacturers RPE) are changed, but all other non-probabilistic variables are held constant. The normalised point statistics for the range of tested antennas were then analysed using standard descriptive statistical methods. This section reviews the model RF input parameters, the antenna data as a statistical sample space and interprets the simulation results. 3.2 Input Parameters

The 7.5, 11 and 13 GHz frequency bands were chosen as a priority for the simulation work because they are heavily used in high demand areas and consistent industry feedback confirms [11] that a review of the current Australian regulatory criteria is timely. The 7.5 GHz band is popular for cellular backhaul and other small-to-medium capacity point-to-point services. The 11 GHz band supports high capacity trunk systems, but is also in demand for high capacity urban ring networks utilising both fibre and radio network elements up to 155 Mb/s. The 13 GHz band supports medium capacity digital and analogue FM video point-to-point transport network and studioto-transmitter link operation and Television Outside Broadcast (TOB) links. The Monte Carlo simulation model assumes free space propagation, co-channel operation within a constant occupied RF bandwidth. The simulated link path lengths have a normal distribution about the respective mean values, estimated using data for actual Australian urban links. The mean path lengths and other simulation RF input parameters are consistent with ACA database information [12] for Australian digital systems and are also similar to those described in ITU-R Recommendation. F.758 [5].

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

3.3

Results

Simulation results were obtained using manufacturer provided RPE antenna data for the following bands: 7.5 GHz, 11 GHz and 13 GHz. These results provide descriptive statistics that were compared to the antenna criteria, with different views of the data given to draw out correlations and other relevant observable relationships. Since a comparative approach is adopted, all of the ratings are normalised. A rating of unity corresponds to the highest spectrum efficiency within the simulated interference environment. 3.3.1 ACA Notional Antennas

Table 3 lists the minimum performance characteristics of the current notional antennas for the 7.5/11/13 GHz Bands. Band (GHz) 7.5 11 13 dia (m) 1.8 1.8 1.2 G (dBi) 40 44 41 Beam 1.5 1.0 1.4 F/B (dB) 50 80 48 Rating 0.153 0.554 0.103

Table 3: ACA notional antenna characteristics vs Simulation Rating The ratings achieved by the 7.5 GHz and 13 GHz notional antennas represent the lower end of the scale in comparison to the range of manufactured antenna data. In both cases, the ratings are the second lowest of all the 7.5 GHz and 13 GHz antennas tested. In contrast, the simulation rating of the 11 GHz ACA notional antenna represents the performance of a UHP type antenna and only about 22% of currently available 11 GHz antenna types can meet or exceed this rating.

Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

4.
4.1

Analysis of Study
Overall Trends

The simulation results demonstrate that no single radiation parameter provides a consistently reliable estimate of antenna spectrum efficiency, though significant correlations are observed for some parameters5: Based on the performance distribution statistics each band may be considered as having an optimum antenna aperture. In the 7.5 GHz band, antennas of 1.8 to 2.4 m in diameter may be considered optimum. At 11 GHz the 1.8 m diameter dish clearly represents an optimum aperture, whilst at 13 GHz it is 1.2 metres. Generally, with apertures smaller than the optimum, aperture efficiency falls rapidly and using antennas larger than the optimum do not (on average) yield any further improvement to spectrum efficiency as shown in Figures 3 and 4;
1.2

1.0

.8

.6

.4

TYPE
UHP STD

RATING

.2

0.0 .5 1.0 1.5 2.0 2.5 3.0 3.5 4.0

HP

DIA

Figure 3: Aperture vs Rating, 11 GHz


1.2

1.0

.8

.6

.4

TYPE
UHP STD

RATING

.2

0.0 0 1 2 3 4 5

HP

DIAM

Figure 4: Aperture vs Rating, 7.5 GHz


5

Acknowledgement: Figures 3,4 and 5 have been taken from studies that were performed using the methodologies described in the report Analysing Antenna Performance in the Microwave Radio Interference Environment [1]

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

Very high spectrum efficiency ratings are achieved by dual polarised UHP antenna types in each band. The ratings achieved by these antenna types are up to five times greater than the nominal STD/HP types, as shown in Figures 3 and 4; (weak) positive correlation is generally demonstrated between antenna gain and the simulation derived spectrum efficiency ratings; moderate to strong positive correlation is generally evident between antenna F/B ratio and the simulation derived spectrum efficiency ratings, as shown in Figure 5;
1.2

1.0

.8

.6

.4

TYPE
UHP STD

RATING

.2

0.0 30 40 50 60 70 80 90

HP

FBRATIO

Figure 5: F/B (dB) ratio vs Rating (7.5 GHz)

weak to moderate positive correlation is evident between antenna cross-polar discrimination and simulation derived spectrum efficiency ratings;

The high ratings achieved with UHP models confirm the importance of cross-polar discrimination in facilitating terrestrial service spectrum reuse. As expected, the HP type antennas achieved higher average spectrum efficiency ratings than STD types. However, a number of STD models achieved quite high ratings, while several nominally HP models rated only average. 4.1.1 Limitations of the Simulation Study

The model facilitates the study of homogenous urban point-to-point link populations with a uniform random distribution. Based on the location statistics of actual urban microwave links, the assumption is reasonable. However, for radio-relay systems, with interference paths concentrated along major communications corridors, the behaviour around the axis of the main beam may be more important. It should also be noted that inter-service sharing requirements may dictate antenna constraints different to those considered dominant in a homogenous fixed service environment. In particular, sharing with Geostationary Satellite services may involve main-beam coupling. As detailed in sharing studies [13] it is evident that there needs to sufficient regulation to minimise inter-service interference.

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

Although the model was developed for comparing parabolic type antennas, the methodology is of potential general application and may be adapted to comparing other communication system criteria. It is expected that the methodology could be applied to all point-to-point fixed service bands from 1.5 to 58 GHz. It is recognized that in the 1.5, 1.8 and 2.1 GHz bands a grid-pack antenna has been implemented as the notional antenna. After reviewing antenna usage in these bands, it was found that the overwhelming majority of antennas being used in those bands are actually parabolic antennas.

4.2

Regulatory Options

Regulatory options that could be considered include: 1. Remove all minimum antenna performance criteria; Antenna parameters are important criteria in facilitating intra and inter-service spectrum sharing. Although removing antenna performance criteria may be administratively simple and, perhaps, popular with some operators (at least for a time), this is not considered a viable option because longer term spectrum efficiency is likely to be compromised. 2. Retain the current (RALI FX-3) notional antenna arrangements; The existing RALI arrangements have provided a satisfactory method for maintaining reasonable levels of spectrum efficiency. This method for determining antenna compliance to a given notional RPE is well understood by all accredited assigners. However, whilst this method has served the ACA and industry well there are definite areas where this method can be improved. Existing antennas were used to create notional RPEs. As a result, these RPEs are arguably - somewhat arbitrary in nature. This has led to some inconsistencies in the determination of compliant antennas, where some antennas have been deemed compliant even though they fail some aspects of the notional RPE. The current method also slows down the registration process as it may require the Accredited Persons and ACA to make judgement calls on marginal antennas. Whilst this option is serviceable, it may be less than optimal; 3. Simplify the existing notional arrangements to take account of minimum aperture and front-to-back ratio criteria only; This option may have some merit, though it does not take account of cross-polar discrimination, this could result in significant potential anomalies in application; 4. Disallow the use of STD models in highly populated areas and heavily used communications corridors and mandate as a minimum, the use of shrouded HP antennas, with an aperture equal to or greater than a specified minimum. Under this option, users could demonstrate compliance by reference to recognised manufacturers catalogue;

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

This option may have some merit, as it would be simple to apply and is consistent with the concept of light-touch regulation. In practice it would require some compromise of spectrum efficiency by setting the minimum level of a shrouded HP compared with that of a UHP antenna; 5. Align with ETSI and/or FCC; The ETSI arrangements are too administratively complicated and would not meet the requirements of light-touch regulation. The FCC arrangements are based on deterministic assumptions and contain many inconsistencies. Also, FCC criteria are only specified for the US fixed band allocations, some (eg. 7.5 GHz) Australian/international FS allocations do not align with the US allocations. 6. Implement a detailed regulatory regime based on performing a probabilistic (Monte Carlo) testing of each antenna model to determine its spectrum efficiency; This option is not considered viable due to cost and administrative complexity of maintaining a formal type approval process. Whilst on a purely technical level it might appear attractive to specify the use of UHP type antennas in urban areas, few models of this type are actually produced by manufacturers and for cost reasons it would appear an unreasonable burden on operators. Mindful of the need to consider the requirements of inter-service spectrum sharing mentioned in section 4.1.1, options 3 and 4 appear the most eligible. These options provide: Better spectrum efficiency; Transparent regulation process; and Reduced regulatory intervention (Light-touch approach).

5.

Proposed Approach

From a technical regulatory perspective and on the basis of the findings of this report, it might appear attractive to specify the use of UHP type antennas in highly populated areas and heavily used communications corridors. However, few models of this type are actually produced by manufacturers and, arguably, this may impose an unreasonable burden on operators. Therefore the following, less onerous, proposals are: Simplify the existing notional antenna arrangements to take account of frontto-back ratio criteria values given in Table 4 of this report. (Note: These values for front-to-back ratios were derived taking into account the optimum antenna aperture as determined from the studies and current minimum antenna aperture requirements from RALI FX-3). Disallow the use of STD models in highly populated areas and heavily used communications corridors and mandate use of, as a minimum, Grade B antennas as prescribed in Table 4 of this report.

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

5.1

Advantages/Drawbacks

The ACA appreciates that a new method will have advantages and disadvantages, but by acknowledging the possible difficulties it may be possible to minimise their effect. The proposed antenna regulatory scheme has the potential to deliver a number of desirable outcomes: (a) Arrangements can be quantifiably linked to spectrum efficiency; (b) Unambiguous compliance no need for cumbersome product registration and/or regulatory compliance process; (c) Simple to apply compliance verification requires only a check of the manufacturers datasheet and reduces the overhead for both Accredited Persons and the ACA; (d) Transparent to the user; (e) Takes account of environmental concerns and closer harmonisation with the Telecommunications (Low Impact Facilities) Determination 1997 operators may choose physically smaller diameter (high performance/ultra-high performance) antennas if they meet the minimum required F/B ratio criteria; (f) Market-sensitive approach that provides win-win outcome for spectrum users and ACA; (g) Compatible with antenna products made to other national or international (eg. European and US) regulatory requirements; And some drawbacks/potential drawbacks: (a) A scheme, based on a simple antenna front-to-back ratio point statistic, represents a compromise between light touch simplicity and spectrum efficiency. A more rigorous spectrum efficiency based scheme would require an undesirably detailed compliance and registration regime. (b) A simple scheme may provide opportunities for vendors to exploit regulatory compliance ie. the deployment of antenna products with high F/B ratio but of otherwise poor performance

6.

Proposed Revision to Antenna Regulation Process

The following sections detail a proposed antenna regulatory scheme, with compliance judged by reference solely to the antenna front-to-back (F/B) ratio as stated by the respective product manufacturer. Alternatively, the ACA will accept a F/B figure verified by appropriate measurement. A minimum acceptable cross-polar discrimination of 25 dB applies to antennas used in all bands. Case-by-case exceptions to the minimum cross-polar discrimination rule may be made for special purpose antennas intended for particular applications, such as dual band operation.

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

Parabolic antennas are assumed, though other types, such as patch antennas may be used as long as they conform to the requirement of having a single main axis of radiation and meet with the other relevant criteria specified for each band. For regulatory purposes, three classes of antennas are defined and differentiated on the basis of their F/B ratio (Table 4). Essentially, STD antennas are Grade C, HP antennas are Grade B and UHP antennas are Grade A. Whilst inclusion of Grade A antennas in this Table is not strictly necessary for the proposed regulatory approach, it allows users to differentiate between HP and UHP antenna types and may provide a basis for future regulatory discrimination between antenna types. It may also provide a basis for a future consideration of a revision to the fees schedule that took account of the spectrum efficiency of antenna.

Band GHz 1.5 1.8 2.1 3.8 6 6.7 7.5 8 10 11 13 15 18 22 26 38 50 58

XPD (Min) dB 25 25 25 25 25 25 25 25 25 25 25 25 25 25 25 25 25 25

Grade C F/B > x dB 25 30 30 40 45 50 45 45 45 50 45 45 45 45 45 45 45 45

Grade B F/B > y dB 30 35 40 55 60 60 55 60 55 60 55 55 55 55 55 55 55 50

Grade A F/B > z dB 40 45 50 65 75 75 70 75 65 75 70 65 65 65 65 65 65 60

Table 4: Regulatory definitions for Grade A, B and C antennas. 6.1 Implementation

To facilitate the transition from the existing RALI FX-3 notional multi-parameter plus RPE criteria to the proposed new scheme, based on minimum acceptable antenna F/B ratios for each band, two levels of F/B criteria shall apply:

A minimum F/B ratio (Grade B) that must be satisfied by point-to-point fixed service antenna products deployed within designated High Spectrum Density use areas (HSDA)6;

See section 3.3.2 of RALI FX-3

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

An absolute minimum F/B ratio (Grade C) that all other (ie, outside HSDA) point-to-point microwave fixed service antenna products must meet.

All current approved antennas will not be required to be re-evaluated. Current approved antenna data will be placed on a publicly available website for coordination purposes, where the data is available. This data will include Antenna Gain, Antenna Beamwidth, Frequency of Operation and RPE. Where specific antenna data are not available the current notional antenna pattern and details for the band can be used. It is essential that sufficient antenna data are available to perform any future coordination process. To address this issue the following is proposed: Applications for fixed service licences after the implementation of this proposal will require the assigner to provide antenna RPE data. This data shall contain Antenna Gain, Antenna Beamwidth, Frequency of Operation and RPE, and will be stored on a publicly available website and updated on a regular basis. Note, the proposed new structure does not allow for antennas to be registered using a notional antenna pattern. As such, the ACA will only register devices where antenna patterns and data are provided. 6.2 High Spectrum Density Areas

To improve spectrum efficiency in HSDA it is proposed to allow only Grade A and Grade B antennas to be used, without exception. In the circumstances of current antennas that do not meet these standards, a grand-fathering approach will be taken. 6.3 Trunk Routes/prime sites

In Trunk Routes/prime sites the same method as that used for HSDA will apply. The ACA considers Trunk Routes/prime sites as essential spectrum and by providing higher efficient services the limited spectrum can be better used. 6.4 Rural and Remote Areas

In Rural and Remote Areas a minimum Grade C must be used. However, lower grade (antennas with worse F/B ratio than Grade C) antennas may be used on case-by-case exceptions that are consistent with current practice.

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

7.

Conclusion

In an increasingly congested interference limited microwave spectrum environment, it is important that regulatory criteria remain in step with technical and market developments. Antenna radiation parameters are a dominant factor that limits spectrum reuse and the development of more spectrum efficient regulatory criteria. However, deriving simple relationships between single antenna parameters and spectrum efficiency can be complicated because of the inter-relationships between the different antenna parameters. Repeated trials using probabilistic Monte Carlo simulation studies provide a way of separating important parameters. From these simulations it was shown that the frontto-back ratio was the most directly related parameter to providing spectrum efficiency. Based upon the results of the Monte Carlo simulation study described in this paper, that ACA is proposing a different approach to the determination of antennas to preserve current spectrum efficiency whilst improving the method of implementation. The recommendations are: Simplify the existing notional arrangements to take account of front-to-back ratio criteria based on the values given in Table 4 of this report. Disallow the use of STD models in HSDA and heavily used communications corridors and mandate use of, as a minimum, Grade B antennas as prescribed in Table 4 of this report.

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

8.

Glossary
ACA ETSI F/B FCC FS HP HSDA ITU NSMA OECD QoS RADCOM RALI RPE STD UHP Australian Communication Authority European Telecommunication Standards Institute Front-to-Back Ratio Federal Communications Commission (USA) Fixed Service High Performance High Spectrum Density Area International Telecommunication Union National Spectrum Managers Association (USA) Organisation for Economic and Commercial Development Quality of Service ACA Radiocommunication licensing database Radiocommunication Assignment and Licensing Instruction Radiation Pattern Envelope Standard Ultra High Performance

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Proposal for Spectrum Efficient Antenna Performance Regulatory Criteria for use in the Fixed Service Microwave Bands

9.

References

[1] E.Lensson, Kerans and French, Analysing Antenna Performance in the Microwave Radio Interference Environment Asia-Pacific Microwave Conference (Sydney, 3-6 December, 2000), ISBN 0-7803-6435-X. [2] ACA Spectrum Planning Policy report, SPP8/2001 Microwave Fixed Services: Survey of commercially manufactured (1.5 58 GHz) parabolic antennas, June 2001 [3] ACA Spectrum Planning Policy report, SPP7/2001 Microwave Fixed Services: Descriptive statistics and parameters for use in intra and interservice sharing studies, June 2001. [4] Recommendation ITU-R F.758 Considerations in the Development of Criteria for Sharing Between the Terrestrial Fixed Service and Other Services. [5] Collin, R.E., Antennas and Radiowave Propagation, McGraw-Hill, 1985, chapter. 4.6. [6] The US Federal Communications Commission website and www links at www.fcc.gov/oet/info/software/nsma [7] Radiocommunication Assignment and Licensing Instruction (RALI) FX-3 Microwave Fixed Services Frequency Coordination, http://www.aca.gov.au/frequency/fx3/fx03.htm [8] Part 101, FCC Rules. [9] Standard Radio System Plans, Industry Canada, see http://strategis.ic.gc.ca/SSG/ [10] ETSI Standard ETS 300 833. [11] Australian Communications Authority (ACA) Information Paper Microwave Radio Spectrum Trends Accommodating the Demands of Growth, New Technologies and Relocation, April 2000 www.aca.gov.au/frequency/refpaprs [12] ACAs RADCOM assignment and licensing database on CD-ROM, www.aca.gov.au [13] Kerans, Lensson, Lovatt and French, Analysing Antenna Performance at 11 GHz Taking into Account the Requirement to Sharing With (TVRO) Geostationary Satellite Systems, 7th Australian Symposium on Antennas, Sydney 14 Feb 2001

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