Federal Communications Commission DA 99-311

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

1.1.1 We have before us a request for waiver of Sections 2.106 and 87.173 of the Commission's
Rules1 filed by Rockwell-Collins, Inc. (Rockwell) on July 8, 1998, (Rockwell Waiver Request).2 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,3 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, 1998.4 We received five comments and three reply comments. For the reasons set out below, we are
granting the Rockwell Waiver Request.

1
47 C.F.R. §§ 2.106, 87.173.

2
The Rockwell Waiver Request was accompanied by letters of support from National Defence Canada, the
Support Management Group, Royal Air Force (RAF), British Aerospace, Fairchild-Dornier and Airbus Industrie. A
subsequent letter of support, dated August 10, 1998, addressed to Commissioner Michael Powell, in his capacity as
Defense Commissioner, was received from Lt. Gen. Walter S. Hogle, Jr., USAF, Vice Commander, Air Mobility
Command (Hogle Letter).

3
The civil aviation band extends from 108 MHz to 136.975 MHz. The frequencies from 108 MHz to 117.95
are used for land-based navigation aids and aircraft may not transmit on these frequencies. Thus, the Commission's
rules provide for aviation transceiver transmit capability only over the range 118 MHz to 136.975 MHz. See 47 C.F.R.
§§ 87.173(b); 87.475(b)(4),(5).

4
See Rockwell-Collins Request for Waiver Concerning Type-Acceptance of Aviation Transceivers Capable of
Transmitting Outside the 108 MHz - 137 MHz Civil Aviation Band, Public Notice, DA 98-1984 (rel. September 29,
 Federal Communications Commission DA 99-311

II.BACKGROUND

1.1.2 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.5 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.6 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:7

Frequency Band United States Allocations

137 – 138 MHzGovernment 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 MHzGovernment fixed and mobile.8

144 - 148 MHzAmateur, 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 MHzGovernment fixed and mobile.9

150.8 - 152 MHz Non-government: Fixed and land mobile.

1998).

5
47 C.F.R. § 87.39. See also 47 C.F.R. § 87.145.

6
See 47 C.F.R. § 87.173(b). The United States assignments correspond to those recognized internationally by
the International Civil Aviation Organization (ICAO) See International Standards and Recommended Practices,
Aeronautical Telecommunications, Annex 10 to the Convention on International Civil Aviation, Table 4-1,
International Civil Aviation Organization, Montreal, 1997.

7
See 47 C.F.R. § 2.106.

8
In the 138-144 MHz band, fixed and mobile services are limited primarily to operations by the military
services. See id. at n. G30. The international table of frequency allocations lists aeronautical mobile operations as a
permissible use in the frequency band 138 - 144 MHz in International Telecommunications Union (ITU) Region 1.
ITU Region 1 encompasses, generally, Europe, Asia and Africa. See 47 C.F.R. § 2.104.

9
In the 150.05-150.8 MHz band, fixed and mobile services are limited primarily to operations by the military
services. See 47 C.F.R. § 2.106 n. G30.

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 Federal Communications Commission DA 99-311

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.10
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.11

1.1.3 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.12 In this connection, we
note that 8.33 kHz channel spacing is being implemented in Europe.13 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.14

1.1.4 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.15 Further, the

10
Such aircraft "fly in both civil and military airspace and under both civil and military jurisdictions." See
Rockwell Waiver Request at 2, 5 citing USAF Fact Sheet, Civil Reserve Air Fleet, <http://www
.af.mil/news/factsheets/Civil_Reserve_Air_Fleet.html>, August, 1997.

11
See id. See also Reply Comments of Rockwell Collins, Inc. (Rockwell Reply Comments) at 3.

12
See Rockwell Waiver Request at 1.

13
In the United States, aviation channels are spaced 25 kHz apart. See 47 C.F.R. §§ 87.173(b), 87.137(a).
However, many European countries are implementing a channel plan employing 8.33 kHz channel spacing in order to
derive more channels for air traffic control use. See Plan for the 8.33 kHz Channel Spacing Implementation in Europe,
Edition 2.0, European Civil Aviation Conference, Dec. 2, 1996, at 2. Rockwell has received a waiver of the rules to
permit type-acceptance of certain models of its aviation transceivers which employ 8.33 kHz channel spacing for use in
Europe. See Rockwell Collins, Inc. Request for Waiver of Section 87.173 of the Commission's Rules Governing
Assignable Carrier Frequencies in the Aviation Services, DA 98-2753, Order, 13 FCC Rcd 2954 (1998). Rockwell
received type-acceptance for its models: VHF-700B (type-acceptance no. AJKPN822-1044); 618M-5 (type-acceptance
no. AJK8221046); VHF 900B (type-acceptance no. AJKPN822-1047) and VHF-21C, -22C, -422C (type-acceptance
no. AJL8221116). The instant waiver request seeks to "reincorporate" the extended frequency range in Model 618M-5
and in Model VHF-21D, -22D and 422D. The VHF -21D -22D -422D models would differ from the VHF-21C, -22C,
-422C models only with respect to the extended frequency range sought for the "D" versions. See Rockwell Waiver
Request at 1, n. 2.

14
See Rockwell Comments at 3.

15
See Opposition of Orbcomm (Orbcomm); Letter dated October 15, 1998 from Leslie Taylor, Esq. to

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 Federal Communications Commission DA 99-311

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.16

III. DISCUSSION

1.1.5 The Commission's Rules provide that waivers may be granted for good cause shown.17 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.18 A waiver proponent
must "plead with particularity the facts and circumstances which warrant such action."19 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.

1.1.6 Transmission on VHF Military Frequencies. Section 87.187(a) of the Commission's

20
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 Rules21 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.

1.1.7 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.

Secretary, FCC on behalf of E-SAT, Inc. (E-SAT); Comments of Final Analysis Communication Services, Inc. (Final
Analysis); Comments of the American Radio Relay League, Inc. (ARRL); Reply Comments of Final Analysis; Reply
Comments of Leo-One Corp. (Leo-One).

16
See Orbcomm Comments at 4; E-Sat Comments at 2; Leo One Reply Comments at 3.

17
See 47 C.F.R. § 1.3.

18
See WAIT Radio v. FCC, 417 F.2d 1153, 1157 (D.C. Cir. 1969) (WAIT Radio), cert. denied, 409 U.S. 1027
(1972), citing Rio Grande Family Radio Fellowship, Inc. v. FCC, 406 F.2d 664 (D.C. Cir. 1968) per curiam. See also
Thomas Radio v. FCC, 176 F.2d 921 (1983); Northeast Cellular Telephone Co. v. FCC, 897 F.2d 1164, 1166 (D.C.
Cir. 1990).

19
WAIT Radio, 417 F.2d at 1157.

20
47 C.F.R. § 87.187(a).

21
47 C.F.R. § 87.173.

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 Federal Communications Commission DA 99-311

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.22 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.23 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.

1.1.8 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.24 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.25

1.1.9 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.26 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.27 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.

22
See Rockwell Comments at 5.

23
Rockwell claims that it has supplied extended frequency range transceivers for more than 30,000 aircraft,
worldwide. See Rockwell Comments at 4.

24
See Rockwell Comments at 5. On September 15, 1998, Rockwell furnished the Commission with
government tables and charts showing existing air traffic control facilities' use of frequencies in the 148 - 149.9 Mhz
band in the United States and abroad.

25
See Orbcomm Comments at 4; E-Sat Comments at 2; Leo One Reply Comments at 3.

26
The existence of military air traffic control facilities was taken into account by the NVNG MSS users who
Amendment of Section 2.106 of the Commission's Rules to Allocate Spectrum to the Fixed-Satellite Service and the
Mobile Satellite Service for Low Earth Orbit Satellites, ET Docket No. 91-280, Report and Order, 8 FCC Rcd 1812,
1813 (1993).

27
See Rockwell Comments at 5-6.

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 Federal Communications Commission DA 99-311

IV. CONCLUSION

1.1.10 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.28 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

1.1.11 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.

1.1.12 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 NUMBER

618M-5 AJK8221046
VHF-21, -22, -422 D AJL8221116

28
See Hogle Letter at 1.

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 Federal Communications Commission DA 99-311

1.1.13 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.

1.1.14 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