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If you need the complete document, download the WordPerfect version or Adobe Acrobat version, if available. ***************************************************************** Before the Federal Communications Commission Washington, D.C. 20554 In the Matter of ) ROCKWELL COLLINS, INC. ) ) Request for Waiver ) Concerning Type-Acceptance of Aviation) Transceivers Capable of Transmitting) Outside the 108 MHz - 137 MHz ) Civil Aviation Band ) ORDER Adopted: February 26, 1999 Released: February 26, 1999 By the Chief, Public Safety and Private Wireless Division, Wireless Telecommunications Bureau: I. INTRODUCTION 1. We have before us a request for waiver of Sections 2.106 and 87.173 of the Commission's Rules filed by Rockwell-Collins, Inc. (Rockwell) on July 8, 1998, (Rockwell Waiver Request). Rockwell seeks the waiver in order to obtain an amendment of the certifications for two of its VHF aviation transceivers to extend the upper limit of the transceivers' transmit range to 152 MHz. Given that this frequency range extension falls above the 136.975 MHz upper limit of the VHF aviation band (civil aviation band) as specified in the Commission's Rules, a waiver is needed to obtain certifications for VHF aviation transceivers with such an extended range. The waiver request was placed on Public Notice on September 29, 1998. We received five comments and three reply comments. For the reasons set out below, we are granting the Rockwell Waiver Request. II. BACKGROUND 2. Section 87.39 of the Commission's Rules require that: (1) U.S. registered aircraft employ certified radios; and (2) to be certified, aircraft radios must meet the technical requirements of Subpart D of Part 87 of the Commission's Rules. Section 87.173(b) in Subpart D contains a list of assignable carrier frequencies or frequency bands and includes carrier frequencies in the civil aviation band. Rockwell requests that type-acceptance be granted for transceivers with the capability to transmit in both the civil aviation band and in the following bands that fall immediately above the civil aviation band: Frequency Band United States Allocations 137 138 MHz Government and non-government: Space operation (space to earth); meteorological satellite (space to earth); space research (space to earth) mobile satellite (space to earth). 138 144 MHz Government fixed and mobile. 144 - 148 MHz Amateur, Amateur satellite. 148 - 149.9 MHz Non-government: Mobile Satellite (earth to space). Government: fixed, mobile and mobile satellite (earth to space). 149.9 - 150.05 MHz Government and non-government: Radionavigation satellite; Land Mobile Satellite (earth to space). 150.05 - 150.8 MHz Government fixed and mobile. 150.8 - 152 MHz Non-government: Fixed and land mobile. In support of its request, Rockwell submits that there are air traffic control communications conducted by military radio facilities in the 138 - 144 MHz and 150.05 - 150.8 MHz government bands and in the 148 - 149.9 MHz band which is shared by government and non-government users. Rockwell notes that included among these aeronautical communications, in addition to those of the military, are communications with aircraft of the Civil Reserve Air Fleet that, in emergency conditions, serve a military transport role. Rockwell further notes that civil aircraft that have the occasion to use military airfields, e.g. in connection with the transport of "VIP" passengers such as heads of state, also engage in aeronautical communications in the subject frequency bands. 3. Rockwell asserts that the transceivers for which certification is sought must be delivered to its customers on an expedited basis because, in addition to their extended frequency range, the transceivers are capable of operating with 8.33 kHz channel spacing in the civil aviation band. In this connection, we note that 8.33 kHz channel spacing is being implemented in Europe. Thus, aircraft that must communicate with military air traffic control facilities and also fly in European airspace require an extended frequency range transceiver capable of operating with 8.33 kHz channel spacing. 4. Licensees in the 137 - 138 MHz, 148 - 149.9 MHz and 149.9 - 150.05 MHz band segments used by the Non-Voice Non-Geostationary (NVNG) Mobile Satellite Service (MSS) and users of the 144 - 148 MHz amateur band oppose certifications of the Rockwell transceivers because the transceivers have transmit capability in the NVNG MSS and amateur band segments. The objecting parties assert that the Rockwell extended frequency range transceivers will be improperly operated in band segments where there are no government allocations, causing interference to NVNG MSS and amateur operations. Further, the NVNG MSS interests contend that operation of the extended frequency range transceivers in band segments shared by government and non-government users will reduce the amount of spectrum presently available for NVNG MSS operations. III. DISCUSSION 5. The Commission's Rules provide that waivers may be granted for good cause shown. The Commission may exercise its discretion to waive a rule when the attendant facts and circumstances indicate that required compliance with the rule would be inconsistent with the public interest. A waiver proponent must "plead with particularity the facts and circumstances which warrant such action." We have evaluated Rockwell's waiver request against this standard and find that grant of the requested waiver is warranted. As discussed below, we find that grant of the waiver would not necessarily result in interference to the NVNG MSS and amateur radio service. We also do not believe that grant of Rockwell's waiver request would constrain the capacity of NVNG MSS systems. 6. Transmission on VHF Military Frequencies. Section 87.187(a) of the Commission's Rules permits aircraft stations to use frequencies assigned to government aeronautical stations. We believe that Rockwell has established that the public interest would be served if the Commission waived Section 87.173 of the Rules to permit certifications of Rockwell aircraft transceivers capable of operating on government frequencies in addition to the standard VHF civil aviation frequencies specified in Section 87.173. We believe that the requested waiver could enhance air safety by allowing civil aircraft to communicate with military air traffic control personnel when using military airfields. For example, in the case of the Civil Reserve Air Fleet, the requested waiver could contribute to national security when civil aircraft are employed to meet military airlift requirements. 7. Interference to Services in the 137 - 138 MHz, 144 - 148 Mhz and 149.9 - 150.05 MHz Bands. We acknowledge, as Orbcom, Final Analysis, E-Sat and the ARRL contend, that, if aircraft crews used extended frequency range transceivers in an unauthorized manner there would be some potential for interference on the frequencies that are used by NVNG MSS licensees and amateur radio operators. However, we are persuaded by Rockwell's contention that the potential for interference is minimal given that the extended range transceivers are intended for installation in commercial civil aircraft operated by flight crews well versed in communications techniques. Moreover, Rockwell's contention is bolstered by its reference to an existing large installed base of extended frequency range transceivers with no record of interference arising from improper use of such transceivers. In this connection, we note that those opposing grant of the requested waiver have not cited any instances of interference from these existing transceivers. As a result, the record is devoid of specific evidence that would lead us to conclude that harmful interference in the above band segments would result as a consequence of grant of Rockwell's waiver request. 8. Interference to Satellite Services in the 148-149.9 MHz Shared-Use Band. The 148 - 149.9 MHz band is shared between the NVNG MSS and government users, including military aeronautical stations. Orbcomm, Leo One and E-Sat assert that type acceptance of Rockwell extended range transceivers will result in increased aeronautical traffic in this shared band, thereby reducing the channel capacity of NVNG MSS systems. 9. We note that when the NVNG MSS licensees requested their current spectrum allocation, they represented that they "have designed their systems to co-exist with government operations" in the bands that are shared with government users. Hence, we must conclude that the existence of government communications in this band, including aeronautical communications, was contemplated and accounted for by the NVNG MSS licensees when they sought their allocations and designed their systems. We note, further, that the Rockwell extended range transceivers will, in large measure, be installed as retrofit replacements for existing extended range transceivers that lack the capability of using 8.33 kHz channel spacing. Thus, we believe that granting Rockwell's waiver request would not result in a significant increase in the net number of extended range transceivers in use. Moreover, given Rockwell's characterization of the limited traffic on military frequencies that would be handled over its extended frequency range transceivers -- air traffic control communication with flights carrying government VIP passengers and with Civil Reserve Air Fleet flights in times of emergency -- it appears that the incremental increase in spectrum occupancy due to traffic generated by such flights would be inconsequential. IV. CONCLUSION 10. We find that Rockwell has sufficiently demonstrated that grant of the wavier associated with its request for certifications of extended frequency range transceivers is warranted. The record herein indicates that certain civil aircraft require the extended frequency range in order to conduct air traffic control communications, some of which have been characterized by the United States Air Force as critical to national security and air safety. Although the Commission normally does not certify radios that are capable of transmissions outside their related service, we believe that, in this limited instance, the public interest is best served by not applying such restriction, particularly given that the potential for misuse of the extended frequency range transceivers is slight. Further, we have considered the claims by interested parties that certifications of the Rockwell extended frequency range receivers would result in the creation of interference, but are not persuaded that significant amounts of interference, if any, will occur in either the amateur service or the NVNG MSS. Our conclusion in that regard is bolstered by the fact that a large number of extended frequency range transceivers are in use and the objecting parties have not cited any instances of interference from such transceivers. Finally, we do not believe that certifications of the Rockwell extended frequency range transceivers will result in a significant increase in air traffic control communications in the 148 - 149.9 MHz band shared by government and NVNG MSS users. V. ORDERING CLAUSES 11. Accordingly, IT IS ORDERED, pursuant to the authority of Sections 4(i) and 303(i) of the Communications Act of 1934, as amended, 47 U.S.C.  154(i), 303(i), and Section 1.3 of the Commission's Rules, 47 C.F.R.  1.3, that the Request for Waiver of Sections 2.106 and 87.173(b) of the Commission's Rules, 47 C.F.R.  2.106 and 87.173(b), filed by Rockwell Collins, Inc., IS GRANTED. 12. IT IS FURTHER ORDERED that Sections 2.106 and 87.173(b) of the Rules, 47 C.F.R.  2.106 and 87. 173(b), ARE WAIVED to the extent necessary to permit amendment of certifications for Rockwell Collins' extended frequency range aeronautical transceivers with the following model numbers and FCC identification numbers: Rockwell Collins' Model Number FCC Identification Numb 618M-5 AJK8221046 VHF-21, -22, -422 D AJL8221116 13. IT IS FURTHER ORDERED that, except for having the capability to transmit on 8.33-kHz spaced channels outside of U.S. airspace and extended frequency range capability over the range 118 - 152 MHz, the transceivers listed supra shall conform in all other respects to applicable provisions of Part 2, Subpart J of the Commission's Rules governing the certification process and to applicable provisions of Part 87 of the Commission's Rules governing Aviation Radio Services. 14. This action is taken under delegated authority pursuant to Section 0.331 of the Commission's Rules, 47 C.F.R.  0.331. FEDERAL COMMUNICATIONS COMMISSION D'wana R. Terry Chief, Public Safety and Private Wireless Division Wireless Telecommunications Bureau