NTIA SPECIAL PUBLICATION 98-36 SPECTRUM REALLOCATION REPORT Response to Title III of The Balanced Budget Act Of 1997 Special Publication U.S. DEPARTMENT OF COMMERCE Ž National Telecommunications and Information Administration NTIA Special Publication 98-36 SPECTRUM REALLOCATION REPORT Response to Title III of The Balanced Budget Act Of 1997 Edward F. Drocella, Jr. Steven K. Jones William T. Druhan, Jr. U.S. DEPARTMENT OF COMMERCE William M. Daley, Secretary Larry Irving, Assistant Secretary for Communications and Information, and Administrator, National Telecommunications and Information Administration February 1998 ii ACKNOWLEDGMENTS The authors wish to take this opportunity to thank the organizations and persons who contributed to the completion of this report. We wish to thank the Federal agency representatives on the Interdepartment Radio Advisory Committee who under a demanding schedule provided vital information describing Federal Government radio spectrum use and impacts of the reallocation, and the staff members of the Office of Management and Budget for their contributions to the text and assistance on Federal reallocation cost issues. We also wish to thank the many contributing NTIA and Commerce employees Robert Wilson for processing frequency assignments data and creation of graphics used in the report, Robert Wildman for his cover design, David Anderson, Gerald Hurt, William Hatch, and Fredrick Wentland for their support during the meetings with the Federal agencies, and the many employees who provided comments for earlier drafts of this report. We wish to especially thank two NTIA staff members for their efforts in the development of this report. Kathy Smith who provided legal advice and guidance throughout the development of this report, permitting the authors to meet the statutory deadline. Michael Doolan who transformed the author’s text, tables, and graphics into a professional publication under a very demanding schedule. iii EXECUTIVE SUMMARY On behalf of the Secretary of Commerce, the National Telecommunications and Information Administration (NTIA) has prepared this report as required by Title III S Communication and Spectrum Allocation Provisions S of the Balanced Budget Act of 1997 (Title III of the BBA 97). This report identifies radio spectrum currently used by the Federal Government for reallocation to the private sector. Title III of the BBA 97 requires the Secretary of Commerce to provide from the spectrum currently allocated for Federal use, an aggregate of at least 20 megahertz (MHz) below 3 gigahertz (GHz) for allocation and assignment by the Federal Communications Commission (FCC) to non-Federal users through the process of competitive bidding. The paragraphs below provide an overview of the bands identified for reallocation, indicating the Federal usage; transition timetable; any needed sharing requirements for each band identified for reallocation; an overview of reported Federal implementation costs; and the potential operational and mission impacts. OVERVIEW OF REALLOCATED BANDS The Federal Government uses frequencies below 3 GHz to support missions that are of direct benefit to the public. These missions include Federal law enforcement activities, air traffic control, national defense, weather services, scientific studies, and environmental monitoring. The estimated Federal investment exceeds $280 billion. Approximately half of this spectrum is shared with non-Federal users. Federal and non-Federal use of the spectrum is concentrated below 3 GHz because atmospheric and foliage penetration losses are relatively low, components are inexpensive, and small, efficient antennas can be used for hand-held operations between 100 MHz and 3 GHz. These features have made use of the spectrum below 3 GHz so desirable that many bands have become congested and entrepreneurs can no longer find spectrum for new technologies. Spectrum congestion for Federal operations below 3 GHz has been exacerbated by Congressionally mandated reallocation under the Omnibus Budget Reconciliation Act of 1993(OBRA 93). OBRA 93 required that the Secretary of Commerce identify at least 200 MHz of spectrum used by the Federal Government for reallocation to new spectrum-based technologies. Of the 235 MHz identified, 135 MHz was below 3 GHz. Title III of the BBA 97 requires the Secretary of Commerce to identify an additional 20 MHz below 3 GHz for reallocation to non-Federal users. This could increase congestion in the remaining bands used by the Federal Government, and possibly affect critical agency missions even though The NTIA will try to balance spectrum requirements of the Federal agencies with benefits to the public. Identifying spectrum for reallocation involves consideration of two overriding and sometimes conflicting factors: (1) the impact on the Federal agencies, in terms of mission, costs, and potential EXECUTIVE SUMMARY iv reduction of services to the public and (2) the benefits expected to be realized by the public. In complying with the requirements and band selection criteria of Title III, this spectrum reallocation plan establishes a reasonable balance between the spectrum needs of the Federal Government and those of potential non-Federal users. The effective implementation of this spectrum reallocation plan depends upon the availability of funds to continue the displaced Federal activities either through the agency appropriations process or reimbursement from the non-Federal entities moving into the bands. Spectrum Reallocation Plan Bands Identified for Reallocation Reallocation Status4 Reallocation Schedule5 139-140.5 and 141.5-143 MHz Mixed January 2008 216-220 MHz1 Mixed January 2002 1385-1390 MHz2 Exclusive January 1999 1432-1435 MHz Mixed January 1999 2385-2390 MHz3 Exclusive January 2005 1) The SPASUR radar system (transmit frequency of 216.98 MHz and receive frequencies of 216.965-216.995 MHz), located in the Southern part of the United States will continue to be protected indefinitely. 2) Federal airborne operations at the sites listed in Table 3-3 in the report will be continued for 9 years after the scheduled reallocation date. 3) Federal and commercial airborne operations at the sites listed in Table 3-6 in the report will be continued for 2 years after the scheduled reallocation date. 4) Spectrum reallocated on a mixed-use basis can be used by the Federal Government, but this use must be limited by geographic area, time, or by other means, and must be substantially less than the potential non-Federal use. 5) The spectrum will be auctioned prior to 2002, in accordance with the Balanced Budget Act of 1997. Several bands identified for reallocation are adjacent to bands that will continue to be used for high-powered or sensitive Federal operations. In order to reduce the potential for mutual interference, industry established transmitter and receiver standards are essential. EXECUTIVE SUMMARY v 139-140.5 and 141.5-143 MHz These band segments are part of the 138-144 MHz band that is used primarily by the military services to establish communications for both tactical and non-tactical use. This includes: tactical air-to-air and air-to-ground communications; non-tactical intra-base ground-to-ground communications; land mobile radio (LMR) nets; and trunking systems. The proposed reallocation strategy will minimize the impact to the Federal Government and will provide a transmit and receive separation, maximizing its usefulness for commercial applications. This band could be used for a wide variety of new non-Federal fixed and mobile communications services. Reallocating this band in 2008 will allow sufficient time to re-engineer radio systems operating in the band. This date also coincides with the established schedule for Federal conversion to narrowband technology in this band. Federal operations will be continued indefinitely at the sites listed in Table 3-1 in the report. The DoD has raised concerns about the need to include additional military sites in this band. The NTIA and the DoD will assess the need to include additional sites and work with the FCC during the reallocation process to insure that disruption to critical military operations is minimized. 216-220 MHz This band is used for a space surveillance radar system, and various low power applications which include: telemetry for monitoring seismic activity and wildlife, hands free communication between firefighters wearing hazardous environment suits, and audio collection devices used by law enforcement agents. The band could be used for new non-Federal fixed and mobile communications services. This band could also be used for expansion of existing non-Federal services. The band is to be reallocated on a mixed-use basis with a scheduled availability date of January 1, 2002. The space surveillance radar located at three transmitter sites and six receiver sites listed in Table 3-2 in the report will be protected indefinitely. 1385-1390 MHz The 1215-1400 MHz band is used by long-range air defense radars, air traffic control facilities, military test range telemetry links, and tactical radio relays. Reallocating the 1385-1390 MHz portion of the band is a reasonable balance between providing additional spectrum resources to non-Federal users and minimizing the operational and cost impact to the Federal Government. The 1385-1390 MHz band segment could be used for new fixed and mobile commercial and consumer communications applications. This band is adjacent to the 1390-1400 MHz band that has been identified for reallocation under OBRA 93 creating a contiguous block of spectrum 15 MHz wide. This band could also be combined with spectrum in the 1427-1435 MHz band that has also been identified for reallocation. Since high-powered Federal Aviation Administration and Department of Defense radars must continue to operate in the lower adjacent band, new commercial applications must adopt receiver standards to assure satisfactory performance. In order to protect the Department of Defense Nuclear Detonation System from interference out-of-band emission standards for the commercial transmitters must also be established. Reallocation of this band is scheduled for January 1, 1999, to coincide with the availability date of the 1390-1400 MHz and 1427-1435 MHz bands that have been identified for reallocation. To reduce the impact on important EXECUTIVE SUMMARY vi Federal and university radio astronomy operations, airborne or space-to-Earth transmissions should not be permitted. In order to preserve the investment made by the Federal Government, essential operations will be continued at the sites listed in Table 3-3 in the report for 9 years after the scheduled reallocation date. The DoD has raised the issue of radar operations during wartime. The NTIA and the DoD will work with the FCC during the reallocation process in the 1385-1390 MHz band to insure that wartime emergency considerations will be addressed to maintain national security. 1432-1435 MHz This band is used by the military for tactical radio relay communications, military test range aeronautical telemetry and telecommand, and various types of guided weapon systems. The 1432-1435 MHz band will be reallocated for non-Federal use on a mixed-use basis. This will preserve the investment made by the Federal Government and permit essential military operations to continue, while making additional spectrum available for the development of commercial and consumer applications. To realize its full public benefit, the reallocation date of the 1432-1435 MHz band will be January 1, 1999. This date coincides with that of the 1427-1432 MHz band that was previously identified for reallocation under OBRA 93. Essential Federal Government operations and their associated airspace will be protected indefinitely at the sites listed in Table 3-4 in the report. The DoD has raised concerns about the need to include additional military sites in this band. The NTIA and the DoD will assess the need to include additional sites and work with the FCC during the reallocation process to insure that disruption to critical military operations is minimized. 2385-2390 MHz This band is used by the Federal Government for aeronautical flight test telemetry and for scientific observations. This band is also used by the commercial aviation industry for flight test telemetry and is designated for telemetry used in conjunction with commercial launch vehicles. This band could be used for new non-Federal fixed and mobile consumer and commercial services. It can also be used as an expansion of existing non-Federal services. Since airborne systems will continue to operate in the adjacent band, commercial receiver and transmitter standards must be established to reduce the potential for mutual interference. This band is to be reallocated on an exclusive basis with a scheduled availability date of January 1, 2005. Reallocation of this band in 2005 will provide a sufficient amount of time to implement new systems employing spectrum efficient modulation techniques. To minimize the operational impact on flight test programs that are ongoing or planned to begin in the near future, continued Federal and commercial use of the 2385-2390 MHz band at the sites listed in Table 3-6 in the report will continue for 2 years after the scheduled reallocation date. To provide protection to the Arecibo planetary radar, airborne and space-to-earth transmissions will be prohibited in Puerto Rico. The DoD has raised concerns about the need to include additional military sites in this band. The NTIA and the DoD will assess the need to include additional sites and work with the FCC during the reallocation process to insure that disruption to critical military operations is minimized. EXECUTIVE SUMMARY vii OVERVIEW OF FEDERAL IMPLEMENTATION COSTS Every effort has been made to insure that the bands identified in this report meet the Title III band selection criteria. However, the displaced Federal functions resulting from the reallocation must, in most cases, be preserved at a considerable cost to the Federal Government. The Federal agencies maintain that, in order to meet the time constraints of Title III, it is only possible to provide preliminary reallocation cost estimates and operational impact assessments since accurate data will require extensive cost and engineering analysis. The following list summarizes the Federal reallocation costs for each of the affected agencies. The cost estimates provided by the DoD assume that suitable spectrum will be available for relocation such that current equipment can be retuned and that extensive system modifications will not be required to operate on new frequencies or to avoid interfering with new commercial users. If replacement of major systems is required, relocation costs could be significantly higher. Individual Federal agencies provided the estimated reallocation cost information shown in the table below to NTIA. The NTIA did not independently verify the cost estimates as part of this study. Furthermore, the Office of Management and Budget has not formally reviewed the estimated costs. Federal agency requests for reallocation will be reviewed as part of the annual budget formulation process. Specific inquiries regarding the reallocation cost estimates should be referred to the originating agency. Summary of Preliminary Federal Reallocation Costs Federal Agency Estimated Reallocation Cost Department of the Army $260 million Department of the Navy $251 million Department of the Air Force $520 million Federal Aviation Administration $10 million Department of Energy $2.1 million Department of Interior $1.76 million Department of Justice $7 million Department of the Treasury $3.5 million National Aeronautics and Space Administration $520,000 United States Information Agency $100,000 Total $1.056 billion EXECUTIVE SUMMARY viii MISSION AND OPERATIONAL IMPACT The spectrum below 3 GHz is extensively used to support missions mandated to the Federal agencies by the President and Congress. As a result of this extensive usage, it is not possible to identify Federal spectrum below 3 GHz for reallocation that will not affect these missions. In enacting Title III of the BBA 97, Congress acknowledged that reallocating spectrum used by the Federal agencies will not come without mission impacts. However, the Title III band selection criteria specify that the spectrum identified during the reallocation process should balance the operational impact on Federal Government missions with the potential public benefits. In complying with this criteria, the spectrum reallocation plan identifies spectrum that minimizes the impact on the missions performed by the Federal agencies. The following paragraphs discuss in general terms the extent that missions of the Federal agencies are affected. A more detailed discussion of the operational and mission impact to the Federal agencies is provided in the report. The 10 MHz identified for reallocation on a mixed-use basis will limit Federal operations to specific geographic areas of the country. The Federal missions performed in these bands include: test and training for combat readiness to support national security, law enforcement, and environmental and wildlife management. If the Federal agencies cannot perform their missions given these restrictions, they will have to relocate to other bands. The mixed-use reallocation status may also restrict the Federal agencies from expanding their operations to satisfy future mission requirements. The Federal Government will lose complete access to the 10 MHz identified for reallocation on an exclusive non-Federal basis. This may have an impact on Federal operations supporting current and future mission requirements. Further loss of spectrum for long-range radars could adversely affect the national defense, air traffic control, and drug interdiction missions performed by the Federal Government. The loss of this spectrum may restrict the use of these bands to support defense training exercises. This degradation in training activities could ultimately affect operational readiness, negatively affecting national security. The loss of this spectrum may also affect several test ranges that conduct flight tests of systems crucial to the nation’s defense and commercial aviation. TABLE OF CONTENTS ix 1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 Objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4 Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4 2 SELECTION OF BANDS TO BE CONSIDERED FOR REALLOCATION . . . . . . . . . . . . . . . . 2-1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1 Civil and Commercially Provided Safety-of-Life Bands . . . . . . . . . . . . . . . . . . . . . . . . . . 2-2 National Security Bands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-3 Satellite Communications Bands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-6 Radio Astronomy and Passive Remote Sensing Bands . . . . . . . . . . . . . . . . . . . . . . . . . . 2-9 Federal Law Enforcement and Public Safety Communications Bands . . . . . . . . . . . . . 2-11 Consumer-Oriented and Commercial Services Sharing With Federal Systems . . . . . . 2-13 Bands That Have Already Been Identified For Reallocation . . . . . . . . . . . . . . . . . . . . 2-16 Bands To Be Considered For Reallocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-17 3 ASSESSMENT OF REALLOCATION OPTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 32-33, 34-35, 36-37, 38-39, and 40-42 MHz Bands . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 138-144 MHz Band . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-4 216-220 MHz Band . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-14 403-406 MHz Band . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-19 932-935 and 941-944 MHz Bands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-21 1370-1378.55 and 1383.5-1390 MHz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-23 1432-1435 MHz Band . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-33 2360-2390 MHz Band . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-37 4 SPECTRUM REALLOCATION PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 Overview of Reallocated Bands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 Overview of Federal Implementation Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-4 Mission and Operational Impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5 Public Benefit of Reallocated Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-6 The Activities of the Amateur Radio Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-8 APPENDICES A NTIA ORGANIZATION ACT (AS AMENDED BY THE BALANCED BUDGET ACT OF 1997) . . . . . . . . . . . . A-1 LIST OF ACRONYMS AND ABBREVIATIONS x AFFTC Air Force Flight Test Center AFOSI Air Force Office of Special Investigations AFTRCC Aerospace and Flight Test Radio Coordinating Council AGA Air-Ground-Air AMTS Automated Maritime Telecommunications System ARSR Air Route Surveillance Radar ATC Air Traffic Control ATM Aeronautical Telemetry ATS Air Traffic Services AVM Automatic Vehicle Monitoring BBA 97 Balanced Budget Act of 1997 CAS Close Air Support C-E Communications-Electronics CINCLANT Commander in Chief Atlantic CINCPAC Commander in Chief Pacific CNO Chief of Naval Operations DARS Digital Audio Radio Service DEA Drug Enforcement Administration DMSP Defense Meteorological Satellite Program DoD Department of Defense DOE Department of Energy DOI Department of Interior DOJ Department of Justice DTV Digital Television ELV Expendable Launch Vehicle EM Electromagnetic EMD Engineering Manufacturing and Development EPIRBS Emergency Position-Indicating Radio Beacon Station ERP Effective Radiated Power FAA Federal Aviation Administration FCC Federal Communications Commission FDD Frequency Division Duplex FEMA Federal Emergency Management Agency FLTSATCOM Fleet Satellite Communications FY Fiscal Year GOES Geosynchronous Operational Environmental Satellite GHz Gigahertz GMDSS Global Maritime Distress and Safety System GMF Government Master File GNSS Global Navigation Satellite System GPS Global Positioning System GRDCUS Gulf Range Drone Control Upgrade System LIST OF ACRONYMS AND ABBREVIATIONS xi HAMOTS High Accuracy Multiple Object Tracking System HAZMAT Hazardous Materials HETE High Energy Transient Experiment ICAO International Civil Aviation Organization IMO International Maritime Organization INMARSAT International Maritime Satellite IRAC Interdepartment Radio Advisory Committee ISM Industrial, Scientific, and Medical ITS Intelligent Transportation System ITU-R International Telecommunication Union-Radiocommunication Sector IVDS Interactive Video and Data Service JSOW Joint Standoff Weapon JSS Joint Surveillance System LDRCL Low Density Radio Communications Link LMR Land Mobile Radio LMS Location and Monitoring Service LPRS Low Power Radio Service MARS Military Affiliate Radio System MAS Multiple Address Service MCEB Military Communications-Electronics Board Met Aids Meteorological Aids MHz Megahertz MSA Metropolitan Statistical Area MSE Mobile Subscriber System MSS Mobile Satellite Service NAS National Airspace System NASA National Aeronautics and Space Administration NATO North Atlantic Treaty Organization NDS Nuclear Detonation System NGTCS Next Generation Target Control System NIB Non-Interference Basis NMD National Missile Defense nmi Nautical Mile NOAA National Oceanic and Atmospheric Administration NSBF National Scientific Balloon Facility NSF National Science Foundation NSSMS NATO SEASPARROW Surface Missile System NTIA National Telecommunications and Information Administration NWS National Weather Service OBRA 93 Omnibus Budget Reconciliation Act of 1993 OCST Office of Commercial Space Transportation POES Polar Orbiting Earth Satellite LIST OF ACRONYMS AND ABBREVIATIONS xii PSWAC Public Safety Wireless Advisory Committee RAJPO DLS Range Applications Joint Program Office Data Link System RDTE Research Development Test and Evaluation RF Radio Frequency R&O Report and Order R&D Research and Development RSA Rural Statistical Area SARSAT Search and Rescue Satellite-Aided Tracking SCADA Supervisory Control and Data Acquisition SGLS Space Ground Link Subsystem SINCGARS Single Channel Ground and Airborne Radio System SPAC Spectrum Planning and Policy Advisory Committee SPASUR Space Surveillance SOLAS Safety of Life at Sea TAS Target Acquisition System TARS Tethered Aerostat Radar System TBMD Theater Ballistic Missile Defense TDD Time Division Duplex TDRSS Tracking Data Relay Satellite System THAAD Theater High Altitude Air Defense TT&C Tracking, Telemetry, and Command T&E Test and Evaluation T/R Transmit and Receive UAV Unmanned Air Vehicle UGV Unmanned Ground Vehicle UHF Ultra High Frequency USCG United States Coast Guard USIA United States Information Agency VHF Very High Frequency WARC-92 1992 World Administrative Radio Conference WCS Wireless Communication Service WLL Wireless Local Loop WRC 97 1997 World Radio Conference