EXECUTIVE SUMMARY

On behalf of the Secretary of Commerce, the National Telecommunications and Information Administration (NTIA) has prepared this final report as required by Title VI -- Communications Licensing and Spectrum Allocation Improvement -- of the Omnibus Budget Reconciliation Act of 1993. This report identifies radio spectrum currently used by the Federal Government for reallocation to the private sector.

Title VI requires the Secretary of Commerce to provide from the spectrum allocated for Federal use, an aggregate of at least 200 megahertz (MHz) for allocation by the Federal Communications Commission (FCC) to non-Federal users. This action is intended to benefit the public by promoting the development of new telecommunications technologies, products, and services that use the spectrum. As the first step in that process, NTIA prepared a Preliminary Spectrum Reallocation Report identifying candidate frequency bands for reallocation. That report, released on February 10, 1994, was submitted to the President, the Congress, and the FCC, and made available to the public, in accordance with Title VI.

The Preliminary Report was prepared using the Title VI requirements regarding the amount of spectrum to be provided, the degree of sharing permitted, and the timetable for reallocation. Thus, the Preliminary Report identified 50 MHz for immediate reallocation and proposed 150 MHz for delayed reallocation with an associated schedule.

Upon release of the Preliminary Report, a 90-day period was provided for public comment, followed by a second 90-day period in which the FCC prepared and submitted to the Secretary of Commerce a report, including an analysis of the public comments together with additional comments and recommendations. The table on page iv provides the final list of frequency bands identified for reallocation based on Title VI criteria, the Preliminary Report, comments from Federal agencies and the public, and the FCC Report.

The paragraphs below provide an overview of the reallocated bands, indicating the Federal usage, transition timetable, and any needed sharing requirements for each band identified for reallocation, and an overview of reported Federal implementation costs.

OVERVIEW OF REALLOCATED BANDS

The radio spectrum allocated for Federal use, especially in bands below 5 GHz, is intensely used for a variety of purposes including support of the private sector. Identifying spectrum for reallocation involved consideration of two overriding and sometimes competing factors: (1) the impact on the Federal agencies, in terms of mission impact, costs, and potential reduction of services to the public, and (2) the benefits expected to be realized by the public. Taken in the aggregate, public comments on the Preliminary Report supported the process established in Title VI, and expressed interest in the following issues: reallocation of additional spectrum for a variety of new technologies; adoption of a more rapid reallocation schedule; and minimization of impact on existing non-Federal use of spectrum currently shared with Federal users.

Responses to the Preliminary Report from Federal agencies, however, raised significant concerns regarding operational impact and implementation costs, which are estimated to exceed $500 million. Significant impediment to the ability of Federal agencies to perform their missions and a reduction in services provided to the public were widely regarded as unacceptable tradeoffs. In complying with the requirements and band selection criteria of Title VI, this final spectrum reallocation plan establishes a reasonable balance between the spectrum needs of non-Federal users and those of the Federal Government.

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  [TABLE] Spectrum Reallocation Final Plan
  ===================================================================================================
  
  Bands Identified
  for Reallocation    Reallocation     Reallocation
    (MHz)[a]            Status[b]        Schedule
  ------------------------------------------------------------------
  1390 - 1400          Exclusive        January 1999
  1427 - 1432          Exclusive        January 1999
  1670 - 1675          Mixed            January 1999
  1710 - 1755          Mixed            January 1999/2004 [c]  
  2300 - 2310          Exclusive        August 1995
  2390 - 2400          Exclusive        Reallocation Complete
  2400 - 2402          Exclusive        August 1995
  2402 - 2417          Exclusive        Reallocation Complete
  2417 - 2450          Mixed            August 1995
  3650 - 3700          Mixed            January 1999
  4635 - 4660          Exclusive        January 1997
  4660 - 4685          Exclusive        Reallocation Complete
  ----------------------------------------------------------------------------------------------------
  [a]  225 - 400    Although not a part of this reallocation plan, ongoing discussions within the
                    Federal Government regarding long range plans for the 225-400 MHz band
                    will address non-Federal spectrum requirements, including the views
                    expressed by the FCC in its upcoming report to Congress on the spectrum
                    needs of public safety agencies.
  
       3625 - 3650  Expanded non-Federal use of the these bands
       5850 - 5925  is being addressed jointly by NTIA and the FCC.       
  
  [b]  Federal stations that will continue operation in certain bands are listed in Appendices E & F.
  
  [c]  Earlier availability date applies only to the 25 largest U.S. cities and is further subject to
       timely reimbursement of Federal costs, including reimbursement directly from the private
       sector. See Section 4 for details.
 ======================================================================================================

In reallocating these bands, several issues are of special importance: costs to Federal agencies, establishment of adequate receiver standards, adequate spectrum to which Federal agency operations can relocate, and implementation of appropriate Federal agency acquistion procedures so that the accelerated reallocation dates can be met. Title VI does not provide statutory authority for reimbursement of Federal agency costs associated with any reallocation of spectrum. However, the displaced Federal functions that result from spectrum reallocation must be preserved in other frequency bands at considerable cost to the Federal agencies. Reimbursement of Federal costs, including reimbursement directly from the private sector, will require Congressional legislation. Timely reimbursement is an essential element of the final plan for bands identified for accelerated reallocation.

Several bands identified for reallocation in the final plan are adjacent to bands that will continue to be used for high-power Federal systems, including megawatt radars. Numerous case histories exist where commercial or consumer radio systems received interference and failed to operate properly because of inadequate receiver filtering. In order to achieve the goals set by Title VI for development of new technologies, adoption of effective receiver standards, either regulatory or established by industry, is essential for bands identified in the final plan that are adjacent to high-power Federal systems.

1390-1400 MHz

This band is used by long-range air defense radars, air traffic control facilities, military test range telemetry links, tactical radio relays, and radio astronomy. The band has potential for new non-Federal fixed, mobile, and radiolocation communications technologies and applications. However, high-powered Federal Aviation Administration (FAA) and Department of Defense (DOD) radars must continue to operate in the lower adjacent band, and important radio astronomy observations must continue within the band. Thus, reallocating this band for exclusive non-Federal use would require that: (1) airborne and space-to-Earth transmissions be prohibited to protect radio astronomy; (2) FAA and DOD install filters on their high-powered radar transmitters; and (3) probable re-engineering of the new ARSR-4 joint FAA/DOD long-range radar. In addition, adopting adequate regulatory or industry receiver standards for new non-Federal equipment in this band is essential to assure satisfactory performance of new non-Federal services in bands adjacent to Federal high-power radars. Reallocation of this band is scheduled in 1999 to permit satisfaction of these conditions and completion of Federal reaccommodation efforts. Federal operations at 17 sites will be continued for 14 years. (See TABLE 4-1 in the text for a list of the sites.)

1427-1432 MHz

This band is used by military tactical radio relay communications and military test range aeronautical telemetry and telecommand. The band has potential for new non-Federal fixed and mobile communications technologies and applications. In order to protect sensitive radio astronomy observations in the adjacent band, reallocation for airborne or space-to-Earth communications should be avoided. Reallocation of this band for non-Federal use in 1999 is scheduled to permit the orderly phase-out of radio relay communications equipment, the procurement of replacement equipment, and the engineering of associated network systems. In addition, essential military airborne operations at 14 sites will be continued for 9 years. (See TABLE 4-2 in the text for a list of the sites.)

1670-1675 MHz

This band is used by meteorological equipment that will have to be redesigned or replaced. The band has potential for new non-Federal fixed or mobile communications. In order to protect sensitive radio astronomy observations in the adjacent band, reallocation for airborne or space-to-Earth communica- tions should be avoided. Reallocation of this band is scheduled in 1999 to permit design and procurement of replacement equipment for meteorological radiosonde systems. However, non-Federal use at a limited number of sites that are engineered to be fully compatible with all Federal operations could be given immediate consideration. Reallocation also requires continued protection of two important meteorological-satellite service earth stations.

1710-1755 MHz

This band is currently used extensively for Federal fixed point-to-point microwave communications, military tactical radio relay, and airborne telemetry systems. The band has potential for new non-Federal fixed and mobile communications services. Reallocation of this band is scheduled for 2004 to provide for the orderly phase-out of existing Federal systems, the design and procurement of replacement equipment, and associated systems engineering. However, recognizing the needs of non-Federal users for spectrum, especially in major urban areas, reallocation of the band in four years may be possible for the 25 largest U.S. cities (see Table 4-1 in the text for list of cities), provided that: (1) reimbursement is provided to the affected Federal agencies; (2) appropriate Federal Agency acquisition procedures are implemented in order to support relocation of Federal systems; and (3) suitable and sufficient radio spectrum is available for relocation. The reimbursement could be in the form of direct reimbursement of costs to the Federal agencies by non-Federal entities similar to the process established by the FCC in the adjacent 1850-1990 MHz band. New Congressional legislation would be necessary to effectuate such a process. Title VI requires that all microwave communication systems operated by Federal power agencies in this band continue operation and be protected from interference. In addition, certain other Federal operations that provide safety-of-life and other critical functions, and are located outside of the largest 25 cities, will continue operation and will be protected from interference.

2300-2310 MHz, 2390-2400 MHz, and 2402-2417 MHz

These bands are used by the military for radar testing systems, such as target scattering and enemy radar simulators, and telemetry systems. The amateur service is also allocated in these bands on a secondary basis. NASA uses an adjacent band (2290-2300 MHz) for highly sensitive deep space communications and interplanetary research radar operations. The bands have potential for new non-Federal radiolocation and fixed and mobile communications technologies, and are located in close proximity to the 1850-2200 MHz band recently allocated by the FCC for personal communications services (PCS). Action on the 2390-2400 and 2402-2417 MHz bands was completed on August 9, 1994 to remove Federal operations in accordance with the immediate reallocation provisions of Title VI. Based on views expressed by the public, the reallocation date of the 2300-2310 MHz band is accelerated to August 1995 to provide the opportunity for effective pairing with the 2390-2400 MHz band. Reallocation of the 2300-2310 MHz band includes constraints necessary for the protection of NASA's Deep Space Network and Planetary Radar operations at Goldstone, California (See Section 4).

2400-2402 and 2417-2450 MHz

These band segments, which are part of the overall 2400-2450 MHz band, are allocated on a primary basis to the Federal Government and used to a limited extent by the military for radar testing systems such as target scattering and enemy radar simulators. The principal uses of these bands are industrial, scientific, and medical (ISM) devices, the amateur service, and non-licensed devices authorized under FCC Part 15 Rules. The Preliminary Report excluded the 2400-2402 MHz band segment from reallocation, because of its vital importance to amateur-satellite operations. However, comments to NTIA and the FCC from the amateur community argue that 2 MHz is too narrow to accommodate future amateur-satellite growth. The 2417-2450 MHz band segment was previously excluded from reallocation because of the high ambient radio noise levels from ISM devices, mostly microwave ovens. Additional comments to NTIA and the FCC from the Part 15 industry argue that the entire 2400-2483.5 MHz band should remain available for non-licensed use. Based on the public comments, we conclude that subdividing the 2400-2450 MHz band into three parts, as originally proposed, would not best meet the needs of the principal users of the band.

Reallocating the entire 2400-2450 MHz band would provide the FCC with the opportunity to develop a long-term regulatory framework and strategy that meets the needs of the amateur service and addresses the requirements of a robust and growing Part 15 industry. Under a mixed use reallocation, the Federal allocation would be reduced to secondary, with the limited remaining Federal presence posing no impact on non-Federal use. This action creates a sense of stability regarding future non-Federal use and provides the opportunity to have a significant amount of spectrum for long-term development of non-licensed technologies. Furthermore, this would provide significant opportunities for innovators and small companies to make contributions to the overall mix of products and services available to the American public. We therefore include the 2400-2402 and 2417-2450 MHz bands for reallocation beginning in August 1995. The 2 MHz in the first band is proposed for exclusive non-Federal use and the 33 MHz in the second band is proposed for mixed Federal and non-Federal use.

3650-3700 MHz

This band is used by Navy air traffic control radars on aircraft carriers; is allocated to a number of different radio services worldwide; and is designated as an expansion band for Federal ground-based radionavigation services which could not be accommodated in the 2700-2900 MHz band. Thus, the band could be used for new non-Federal technologies in the fixed, mobile (except aeronautical), fixed-satellite and radiolocation services. Reallocating this band in 1999 will allow sufficient time to re-engineer Navy radars for operation in coastal waters. In addition, adopting adequate regulatory or industry receiver standards for new non-Federal equipment in this band is essential to assure satisfactory performance of new non-Federal services in bands adjacent to Federal high-power radars. Essential military radar operations will be continued at three sites. (See TABLE 4-4 in the text for a list of the sites.)

4635-4660 and 4660-4685 MHz

These bands are used for military airborne telemetry and high-powered tropospheric scatter communica- tions systems. These bands have potential for a variety of new non-Federal fixed, mobile, and fixed-satellite technologies and associated applications. Action on the 4660-4685 MHz band was completed on August 9, 1994 to remove Federal operations in accordance with the immediate reallocation provisions of Title VI. However, reallocating the 4635-4660 MHz band in 1997 is necessary to re-design certain military telemetry systems. Furthermore, essential Federal airborne operations will be continued for 14 years in the 4635-4660 MHz band at three sites. (See TABLE 4-5 in the text for a list of the sites.)

OVERVIEW OF FEDERAL IMPLEMENTATION COSTS

Every effort has been made to ensure that the bands identified in this report meet the Title VI selection criteria. However, the displaced Federal functions resulting from reallocation must, in most cases, be preserved in other frequency bands at considerable cost to the Federal Government. The Federal costs associated with the reallocation were addressed in the Preliminary Report in only general terms. Consequently, in releasing the Preliminary Report, the Secretary of Commerce issued requests to each affected Federal agency to provide cost estimates for reallocating the candidate bands. The following list summarizes the Federal reallocation costs based on the responses received from that request. The values represent estimated immediate and recurring costs over the 15-year period defined by Title VI.

  
  Department of Agriculture                       $48 million
    
  Department of the Army                          $33 million
  
  Department of Commerce                       $35-55 million
  
  Department of Energy                          $3-10 million
  
  Department of Justice                          $144 million
    
  Department of Treasury                           $1 million
  
  Department of the Interior                    $8-13 million
  
  Department of the Air Force                     $60 million [a]
  
  Department of Transportation                   $115 million [a]
      
  Department of the Navy                      $30-113 million [a]
[a] Costs could signigicantly increase if unacceptable interference to or from non-Federal systems necessitates major hardware changes to Federal systems.
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