Before the

**Federal Communications Commission**

**Washington, D.C. 20554**

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| In the Matter of                 | * |                              |
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| ROCKWELL COLLINS, INC.           | ) |                              |
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| Request for Waiver Concerning    | * |                              |
| Certification of Aviation        |   |                              |
| Transceivers Capable of          | * |                              |
| Transmitting Outside the 108-137 | * |                              |
| MHz Civil Aviation Band and      | ) |                              |
| Waiver of Section 87.173(b) of   | * |                              |
| the Commission\'s Rules          | * |                              |
| Governing Assignable Carrier     |   |                              |
| Frequencies in the Aviation      | * |                              |
| Services                         | * |                              |
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**ORDER**

**Adopted: February 3, 2003 Released: February 4, 2003**

By the Chief, Public Safety and Private Wireless Division, Wireless
Telecommunications Bureau:

**I. INTRODUCTION**

1.  Under consideration is a request for waiver filed by Rockwell
    Collins, Inc. (Rockwell Collins) on November 15, 2002.[^1] Rockwell
    Collins seeks waiver of Sections 2.106 and 87.173 of the
    Commission\'s Rules[^2] in order to obtain equipment certification
    for its VHF aviation transceiver to extend the upper limit of the
    transceiver's transmit range to 150.8 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 certification
    for VHF aviation transceivers with such an extended range.
    Additionally, Rockwell Collins seeks waiver of Section 87.173(b) of
    the Commission\'s Rules[^4] to permit type certification of VHF
    aircraft transceiver capable of transmitting on both the 25 kHz
    spaced channels currently authorized pursuant to Section 87.173(b)
    of the Commission\'s Rules and on the 8.33 kHz spaced channels that
    are used in certain countries in Europe and in the United Kingdom.
    Such transceivers are known as dual spacing transceivers. For the
    reasons discussed herein, we grant the requested waiver regarding
    operation of the Rockwell Collins transceiver with extended
    frequency range as well as 25 kHz and 8.33 kHz channel spacing,
    subject to the resolution of a pending *Notice of Proposed Rule
    Making* that proposes to amend our rules to permit the type
    certification of transceivers with a range up to 150.8 MHz and the
    type certification of dual spacing transceivers.[^5] We note,
    however, that this *Order* does not authorize aircraft to transmit
    on 8.33 kHz spaced channels within airspace of the United States,
    its territories or the Commonwealth of Puerto Rico, but is limited
    to permitting type certification of specified transceivers capable
    of transmitting on both 25 kHz spaced channels in the United States
    and on the 8.33 kHz spaced Aeronautical Mobile Service (AMS)
    channels used in certain other countries.

**II. BACKGROUND**

2.  Section 87.39 of the Commission\'s Rules requires that (1) United
    States-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.[^6] 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.[^7] Rockwell Collins requests that
    certification 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:[^8]

    Frequency Band United States Allocations
    \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--
    \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

    138-144 MHz Government fixed and mobile.[^9]

    148-149.9 MHz Non-government: Mobile Satellite (earth to space).
    Government: fixed, mobile and mobile satellite (earth to space).

    150.05-150.8 MHz Government fixed and mobile.[^10]

    In support of its request, Rockwell Collins 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 Collins 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.[^11] Rockwell Collins 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.[^12]

3.  In March of 1997, the International Civil Aviation Organization
    (ICAO), an international body operating under the auspices of the
    United Nations, amended its International Standards and Recommended
    Practices to incorporate a channel plan specifying 8.33 kHz channel
    spacings in the AMS.[^13] The 8.33 kHz channel plan was adopted to
    alleviate the shortage of VHF Air Traffic Control (ATC) channels
    experienced in western Europe and in the United Kingdom.[^14] Seven
    western European countries and the United Kingdom implemented the
    8.33 kHz channel plan in 1999.[^15] Accordingly, aircraft operating
    in the airspace of these countries must have the capability of
    transmitting and receiving on the 8.33 kHz spaced channels.[^16]

4.  The list of assignable carrier frequencies or frequency bands in
    Subpart D of Part 87 includes carrier frequencies in the VHF
    aircraft band used for ATC communications (namely, 117.975 MHz to
    136.975 MHz).[^17] The listed frequencies are based on 25 kHz
    spacing. Currently, there is no provision in the Commission\'s Rules
    for operating on 8.33 kHz spaced channels as envisioned by the ICAO
    channel plan. Accordingly, type certification of dual spacing
    transceivers may not be obtained absent a waiver of Section
    87.173(b) of the Commission's Rules.

> **III. DISCUSSION**

5.  Section 1.925 of the Commission\'s Rules provides that we may grant
    a waiver if it is shown that (a) the underlying purpose of the
    rule(s) would not be served or would be frustrated by application to
    the instant case, and grant of the requested waiver would be in the
    public interest; or (b) in light of unique or unusual circumstances,
    application of the rule(s) would be inequitable, unduly burdensome,
    or contrary to the public interest, or the applicant has no
    reasonable alternative.[^18] We find that the waiver requested by
    Rockwell Collins is warranted under the circumstances presented.
    Specifically, we conclude that the underlying purpose of the subject
    rules would not be served by application to the instant case and
    grant of the requested waiver would be in the public interest. We
    note, as an initial matter, that we have granted similar waivers
    regarding aviation transceivers with an extended frequency
    range[^19] and dual spacing transceivers.[^20]

6.  With regard to aviation transceivers operating on extended frequency
    range and transmitting on VHF military frequencies, we note that
    Section 87.187(a) of the Commission\'s Rules[^21] permits aircraft
    stations to use frequencies assigned to government aeronautical
    stations. We believe that Rockwell Collins has established that the
    public interest would be served by grant of a waiver of Section
    87.173 of the Rules[^22] to permit certifications of Rockwell
    Collins 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. Thus, we conclude that Rockwell Collins has
    sufficiently demonstrated that grant of the waiver for certification
    of extended frequency range transceiver is warranted.

7.  With regard to dual spacing transceivers, as we have noted
    previously, two industry standard setting organizations, RTCA, Inc.
    (RTCA) and Aeronautical Radio, Inc. (ARINC), have approved United
    States VHF transceiver standards that include 8.33 kHz spacing.[^23]
    Moreover, the Federal Aviation Administration (FAA) has issued
    Technical Standard Orders (TSO) based on these industry
    standards.[^24] As we noted elsewhere*,* aircraft must have the
    capability of communicating reliably with ground stations as
    directed, and on the frequencies specified, by air traffic
    controllers.[^25] Further, we believe that this capability could be
    impaired if United States-registered aircraft were unable to
    communicate effectively with ATC facilities in certain European
    countries on 8.33 kHz spaced channels.[^26] Accordingly, in the
    interest of air safety and operational efficiency, we have granted
    previous requests to allow type acceptance (now called type
    certification) of similar dual spacing transceivers. We believe the
    same factors that warranted grant of those waivers are present in
    the instant waiver requests submitted by Rockwell Collins.[^27]

8.  Thus, we conclude that Rockwell Collins has shown good cause for
    waiver of Section 87.173(b) of the Commission\'s Rules to permit
    type certification of its transceivers. Therefore, we will grant the
    waiver requests, conditioned on the resolution of the *Notice of
    Proposed Rule Making* in INT Docket No. 01-289.

    **IV. ORDERING CLAUSES**

9.  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 1.925 of the Commission\'s
    Rules, 47 C.F.R. § 1.925, that the Request for Waiver of Sections
    2.106 and 87.173 of the Commission's Rules filed by Rockwell
    Collins, Inc. on November 15, 2002, IS GRANTED to the extent
    necessary to permit type certification of Rockwell Collins, Inc.'s
    aviation transceiver, FCC Identification Number AJL822-1872, subject
    to the resolution of the *Notice of Proposed Rule Making* in WT
    Docket No. 01-289.

10. This action is taken under delegated authority pursuant to Sections
    0.131 and 0.331 of the Commission\'s Rules, 47 C.F.R. §§ 0.131,
    0.331.

    FEDERAL COMMUNICATIONS COMMISSION

    D'wana R. Terry,

    Chief, Public Safety and Private Wireless Division

#  Wireless Telecommunications Bureau

[^1]: Letter dated November 15, 2002 from Linda C. Sadler, Director,
    Governmental and Regulatory Affairs, Rockwell Collins, Inc., to
    D'wana R. Terry, Chief, Public Safety and Private Wireless Division,
    Wireless Telecommunications Bureau (*Rockwell Letter*).

[^2]: 47 C.F.R. §§ 2.106, 87.173.

[^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)](http://www.westlaw.com/Find/Default.wl?rs=    1.0&vr=2.0&DB=1000547&DocName=47CFRS87.173&FindType=L),
    87.475(b)(4), (5).

[^4]: 47 C.F.R. § 87.173(b).

[^5]: *See* Review of Part 87 of the Commission's Rules Concerning the
    Aviation Radio Service, *Notice of Proposed Rule Making*, WT Docket
    No. 01-289, 16 FCC Rcd 19005, 19016 ¶ 24, 19017 ¶ 29 (2001) (*Part
    87 NPRM*).

[^6]: 47 C.F.R. § 87.39. *See also* 47 C.F.R. § 87.145.

[^7]: *See* [47 C.F.R. §
    87.173(b)](http://www.westlaw.com/Find/Default.wl?rs=    1.0&vr=2.0&DB=1000547&DocName=47CFRS87.173&FindType=L).
    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 (ISRP).

[^8]: *See* [47 C.F.R. §
    2.106](http://www.westlaw.com/Find/Default.wl?rs=    1.0&vr=2.0&DB=1000547&DocName=47CFRS2.106&FindType=L).
    Unlike previous requests, Rockwell Collins does not seek
    certification for the 137-138 MHz, 144-148 MHz, 149.9-150.05 MHz, or
    150.8-152 MHz bands. *Rockwell Letter* at 3. Rockwell notes that
    modern technology allows the transceivers to be programmed to not
    transmit in these bands. *Id.*

[^9]: In the 138-144 MHz band, fixed and mobile services are limited
    primarily to operations by the military services. *See* [47 C.F.R. §
    2.106](http://www.westlaw.com/Find/Default.wl?rs=    1.0&vr=2.0&DB=1000547&DocName=47CFRS2.106&FindType=L)
    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](http://www.westlaw.com/Find/Default.wl?rs=    1.0&vr=2.0&DB=1000547&DocName=47CFRS2.104&FindType=L).

[^10]: 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](http://www.westlaw.com/Find/Default.wl?rs=    1.0&vr=2.0&DB=1000547&DocName=47CFRS2.106&FindType=L)
    n.G30.

[^11]: Such aircraft fly in both civil and military airspace and under
    both civil and military jurisdictions. *See* *Rockwell Letter* at 3
    (citing USAF Fact Sheet, Civil Reserve Air Fleet,
    http://www.af.mil/news/factsheets/Civil_Reserve_Air_Fleet.html, May
    1999).

[^12]: *Rockwell Letter* at 2; *see also Part 87 NPRM*, 16 FCC Rcd at
    19017 ¶ 28*.*

[^13]: *See* ISRP, Annex 10 to the Convention on Civil Aviation, Vol. V,
    Aeronautical Radio Frequency Spectrum Utilization, Amendment No. 72,
    International Civil Aviation Organization, Montreal, 1997. When the
    ICAO adopts an International Standard and Recommended Practice, it
    is binding on the contracting countries. *See* Amendment of Part 87
    of the Commission\'s Rules to Establish Technical Standards and
    Licensing Procedures for Aircraft Earth Stations, *Report and
    Order*, PR Docket No. 90-315, 7 FCC Rcd 5895, 5896 n.12 (1992).
    However, contracting countries are not required to implement 8.33
    kHz spacing if their current channel spacing standards provide an
    adequate number of frequencies. ISRP, Annex 10 to the Convention on
    Civil Aviation, Vol. V, Aeronautical Radio Frequency Spectrum
    Utilization, Amendment No. 72, International Civil Aviation
    Organization, Montreal, 1997,at 6, para. 4.1.2.1 (note).

[^14]: *See Plan for the 8.33 kHz Channel Spacing Implementation in
    Europe* (8.33 kHz Spacing Plan), Edition 2.0, European Civil
    Aviation Conference, Dec. 2, 1996 at 2.

[^15]: The implementing countries are Austria, Belgium, France, Germany,
    Luxembourg, Netherlands, Switzerland and the United Kingdom. *Id.*

[^16]: *See Part 87 NPRM*, 16 FCC Rcd at 19016 ¶ 24.

[^17]: The list of frequencies is contained in the table in Section
    87.173(b) of our Rules. *See* 47 C.F.R. § 87.173(b).

[^18]: 47 C.F.R. § 1.925(b)(3). *See also WAIT Radio v FCC*, 418 F. 2d
    1153, 1159 (D.C. Cir. 1969).

[^19]: *See* Rockwell Collins, Inc., *Order*, 14 FCC Rcd 3340 (WTB PSPWD
    1999).

[^20]: *See* Wulfsberg Electronics Division, *Order*, 15 FCC Rcd 10992
    (WTB PSPWD 2000); Thomson-CSF Communications, *Order*, 15 FCC Rcd
    10048 (WTB PSPWD 2000) (*Thomson Order*); Thomson-CSF
    Communications*, Order,* 14 FCC Rcd 3255 (WTB PSPWD 1988) (*Garmin
    Order*); Honeywell, Inc. Commercial Flight Systems Group, *Order,*
    13 FCC Rcd 16785 (WTB PSPWD 1998); Rockwell Collins, Inc., *Order,*
    13 FCC Rcd 2954 (WTB PSPWD 1998) (*Rockwell Order*).

[^21]: 47 C.F.R. § 87.187(a).

[^22]: 47 C.F.R. § 87.173.

[^23]: *See, e.g*., *Garmin Order,* 14 FCC Rcd at 3255 ¶ 2 (citing
    *Minimum Performance Standards for Airborne Communications Equipment
    Operating Within the Frequency Range 117.975 - 137.00 MHz*, RTCA
    DO-186(a); ARINC Characteristics 566A, 716 and 750).

[^24]: *See* FAA TSO-C37d, VHF Radio Communications Transmitting
    Equipment Operating Within the Radio Frequency Range 117.975 to
    137.000 Megahertz, (9/23/92); and FAA TSO-C38d/C128, VHF Radio
    Communications Receiving Equipment Operating Within the Radio
    Frequency Range 117.975 to 137.000 Megahertz. (Sept. 23, 1992).

[^25]: *See, e.g., Thomson Order*, 15 FCC Rcd at 10049 ¶ 4 (citing
    *Rockwell Order*, 13 FCC Rcd at 2956 ¶ 6).

[^26]: *Id.*

[^27]: *See Rockwell Collins Letter.*