**Before the**

**Federal Communications Commission**

**Washington, D.C. 20554**

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| In the Matter of                 | *  | ET Docket No. 02-98          |
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| Amendment of Parts 2 and 97 of   | ** | RM-9404                      |
| the Commission's Rules to Create |    |                              |
| a Low Frequency allocation for   | *  | RM-10209                     |
| the Amateur Radio Service        | *) |                              |
|                                  | ** | RM-9949                      |
| Amendment of Parts 2 and 97 of   |    |                              |
| the                              | *  |                              |
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| Commission's Rules Regarding an  | ** |                              |
| Allocation of a Band near 5 MHz  |    |                              |
| for the Amateur Radio Service    | *  |                              |
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| Amendment of Parts 2 and 97 of   | ** |                              |
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| Commission's Rules Concerning    | *) |                              |
| the Use                          | ** |                              |
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| Of the 2400-2402 MHz Band by the | *  |                              |
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**NOTICE OF PROPOSED RULE MAKING**

**Adopted: May 2, 2002: Released: May 15, 2002**

**Comments Due: 45 days from publication in the Federal Register.**

**Reply Comments Due: 60 days from publication in the Federal
Register.**

By the Commission:

**TABLE OF CONTENTS**

Paragraph

I. INTRODUCTION 1

II\. 135.7-137.8 kHz and 160-190 kHz banDs (RM-9404) 5

A. Background and Summary of Petition 5

B. Comments 16

C. Proposal 26

III\. 5250-5400 kHz banD (RM-10209) 38

A. Background and Summary of Petition 38

B. Comments 44

C. Proposal 47

IV\. 2400-2402 MHz banD (RM-9949) 50

A. Background and Summary of Petition 50

B. Comments 57

C. Proposal 59

V. Procedural matters 62

VI\. ORDERING CLAUSES 71

APPENDIX A: List of Commenting Parties on the *LF Petition*

APPENDIX B: List of Commenting Parties on the *5000 kHz Petition*

APPENDIX C: List of Commenting Parties on the *2400 MHz Petition*

APPENDIX D: Initial Regulatory Flexibility Analysis

APPENDIX E: Proposed Rules

# INTRODUCTION

1.  The amateur radio service, governed by Part 97 of the Commission's
    Rules, provides spectrum for amateur radio service licensees to
    participate in a voluntary noncommercial communication service which
    provides emergency communications and allows experimentation with
    various radio techniques and technologies to further the
    understanding of radio use and the development of new
    technologies.[^1] In this *Notice of Proposed Rule Making*
    ("*Notice*"), we address three *Petitions for Rule Making* filed by
    the American Radio Relay League, Inc. ("ARRL") requesting
    allocations for the amateur service in the 135.7-137.8 kHz, 160-190
    kHz, 5250-5400 kHz, and 2400-2402 MHz bands.

2.  By this action, we propose to modify the United States Table of
    Frequency Allocations and Part 97 of our Rules by:

-   Adding a new secondary allocation[^2] to the 135.7-137.8 kHz band
    for the amateur service for experimentation in the low frequency
    ("LF") region of the spectrum. [^3]

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-   Adding a new secondary allocation to the 5250-5400 kHz band for the
    amateur service to facilitate high frequency ("HF") amateur service
    operations.[^4]

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```
-   Upgrading the amateur service allocation from secondary status to
    primary status and adding a primary allocation for the
    amateur-satellite service in the 2400-2402 MHz band. This band is
    currently used for amateur-satellite service operations on a
    non-interference basis without limitations to emission types or
    types of communication. [^5]

3.  These proposed changes to our Rules would enhance the ability of the
    amateur service to conduct technical experiments with LF propagation
    and antenna design; allow amateurs to communicate at 5000 kHz when
    propagation conditions do not permit communication at 3500 or 7000
    kHz; and provide protection for the amateur-satellite service now
    using the 2400-2402 MHz band. We also deny ARRL's Motion to Strike
    the comments of the IEEE Relay Communications Subcommittee, Michael
    McDonald, Paul Drum and Commonwealth Edison ("ComEd") from the
    record, as these comments added new information that merited
    consideration.

# 135.7-137.8 kHz and 160-190 kHz banDs (RM-9404)

## Background and Summary of Petition

4.  Internationally, the band 130-148.5 kHz is allocated to the fixed
    and maritime mobile services on a primary basis in all three
    International Telecommunications Union ("ITU") Regions.[^6] In
    addition, in Region 3, the radionavigation service has a primary
    allocation in this band.[^7] Within the U.S., the band is allocated
    to both the fixed and maritime mobile services on a primary basis
    for both Federal and non-Federal Government users. The non-Federal
    Government services in this band are covered under Parts 23 and 80
    of the Commission's Rules, respectively. In the 135.7-137.8 kHz
    portion of the band, there are currently no non-Federal Government
    assignments and only one Federal Government assignment, as of
    January 25, 2002. The Federal Government assignment is for a coast
    station in the maritime mobile service communicating with ships in
    the Pacific Ocean.

5.  The band 160-190 kHz is allocated on a primary basis to the
    broadcasting service in Region 1 and to the fixed service on a
    primary basis in Regions 2 and 3.[^8] In Region 3, the aeronautical
    radionavigation service has a secondary allocation. In the U.S., the
    band is allocated to both the fixed and maritime mobile services on
    a primary basis for Federal Government users and also to the fixed
    service for non-Federal Government users. This service is regulated
    under Part 23 of the Commission's Rules. As of January 25, 2002,
    there were no non-Federal Government assignments in the Commission's
    database for this frequency band. There are ten Federal Government
    assignments for coast stations communicating with ships at sea and
    several fixed service sites in this band.

6.  In addition, the LF spectrum is used by unlicensed devices. These
    systems do not have any allocation status, but are authorized to
    operate under our Part 15 Rules on an unprotected, non-interference
    basis with respect to all other users. Section 15.209 permits
    operation of authorized systems with field strengths of up to 4.9
    microvolts/meter in the 9-490 kHz band. Additionally, Section 15.217
    permits use of the 160-190 kHz band for general unlicensed
    operations limited to one watt total input power to the final radio
    frequency stage (exclusive of filament or heater power) with the
    length of the transmission line, antenna and ground lead not to
    exceed 15 meters. Emissions outside of the 160-190 kHz band must be
    attenuated by at least 20 dB below the level of the unmodulated
    carrier. Section 15.113 permits Power Line Carrier ("PLC") systems
    on power transmission lines for communications important to the
    reliability and security of electric service to the public in the
    10-1490 kHz band. [^9] PLC systems are used to trip protection
    circuits if a fault, such as a downed power line, is detected in the
    power grid.

7.  In our preparations for the World Administrative Radio Conference
    1979, we considered a request from ARRL for an amateur allocation in
    the 160-190 kHz band under Docket No. 20271. At that time we
    declined to allocate the spectrum to the amateur service because of
    concerns about interference to the PLCs.[^10]

8.  On October 22, 1998, the ARRL filed a *Petition for Rule Making*
    ("*LF* *Petition*") requesting that we amend Parts 2 and 97 of our
    Rules[^11] to create a domestic secondary allocation for the amateur
    service in the LF range of the spectrum in the 135.7-137.8 kHz and
    160-190 kHz bands.[^12] ARRL states that there is no amateur service
    allocation in the LF spectrum range. Such an allocation, they argue,
    would enhance technical self-training in areas such as Morse Code
    and digital communications and experimentation in LF
    communications.[^13] ARRL points out that numerous amateur radio and
    non-amateur radio operators in the U.S. are using the 160-190 kHz
    band pursuant to Section 15.217 of our Rules.[^14] ARRL states that
    the power and antenna limitations of these rules, noted above,
    preclude or inhibit effective experimentation.[^15] ARRL desires
    more liberal operating conditions, such as an output power limit of
    200 W peak envelope power ("PEP")[^16] and 2 W effective isotropic
    radiated power ("EIRP"). These power limits would allow amateur
    radio operators to conduct antenna design and construction
    experiments, and long range propagation studies with continuous wave
    ("CW") telegraphy,[^17] RTTY,[^18] data, single-side band ("SSB")
    telephony and image emission types. In order to ensure that these
    experiments are conducted by knowledgeable operators, ARRL proposes
    that operators be required to hold a General Class license or
    above.[^19]

9.  The *LF Petition* notes that, although there is no international
    allocation for the amateur service in these bands, the European
    Posts and Telecommunications Commission[^20] ("CEPT") countries have
    provided a secondary amateur allocation in the 135.7-137.8 kHz band
    and limited power output to 1 W effective radiated power
    ("ERP").[^21] In addition to the general CEPT decision, individual
    CEPT member nations have instituted their own domestic rules. For
    example, Belgian radio amateurs are permitted to use up to 1
    kilowatt transmitter output power.[^22]

10. ARRL states that a review of Federal Government frequency
    assignments in the 130-160 kHz and 160-190 kHz band shows that the
    U.S. Navy has assignments in both bands and the U.S. Air Force
    Groundwave Emergency Network ("GWEN") has assignments in the 150-175
    kHz band. ARRL asserts that, based upon information and belief, and
    upon inquiry of the Navy staff, incumbent primary status Navy
    operations in the LF range are increasingly inactive and other
    Federal uses of the band are being phased out in favor of other
    bands.[^23] As additional evidence of this, ARRL states that groups
    of Part 15 experimenters in this band have logged signals heard in
    the 130-160 kHz and 160-190 kHz bands, and that no signals have been
    noted other than longwave broadcast signals, mostly from Europe.
    Nevertheless, ARRL requests a secondary allocation to protect
    primary allocations in the bands. The petition also does not
    specifically address sharing with the primary fixed and maritime
    mobile services.

11. Regarding sharing with Part 15 PLC operations, ARRL argues that such
    operations have no allocation status and thus do not merit
    protection from services with allocation status. Nevertheless, ARRL
    asserts that the interference potential of its proposed amateur
    operations to PLCs would be minimal. Specifically, ARRL indicates
    that power grid faults are detected through either Directional
    Comparison Blocking ("DCR") or Direct Transfer Trip ("DTT") PLC
    methods. The DCR method does not transmit a signal until there is a
    fault, and interference can cause adverse performance only if it
    occurs simultaneously with a fault. ARRL argues there is a low
    probability of an amateur station being close to a power line and
    transmitting simultaneously with a DCR ("guard") signal. On the
    other hand, the DTT method transmits a continuous guard signal,
    which is frequency shifted during a fault. ARRL argues that DTT
    systems will be protected because amateur service stations will
    detect the guard emission and avoid using that channel.[^24] ARRL
    also points out that voice and data communications are performed
    over PLCs, but that interference to such uses are not serious
    because the communications can be repeated.[^25]

12. ARRL also claims that PLCs operating in the 135.7-137.8 kHz and
    160-190 kHz bands are not likely to receive interference which might
    interrupt the power grid, even if co-frequency operation
    occurs.[^26] ARRL's analysis shows that with its suggested EIRP of 2
    W, a separation distance of about 1.3 km from PLC systems operating
    on 161 kV power lines is needed to avoid interference. The
    separation distance decreases to approximately 170 meters for PLC
    systems operating on 765 kV power lines.[^27] ARRL contends that, at
    these frequencies and corresponding wavelengths, the antenna
    inefficiencies and ground losses would prevent amateur operations
    from generating interfering signals. ARRL states it could not find
    any record of false trips of PLC equipment and that a 1995 survey of
    the power utilities shows that interference from licensed systems is
    not a significant problem.[^28] ARRL also asserts that an increasing
    number of PLC systems use synthesized transmitters that allow easy
    frequency changes and that many systems employ forward error
    correction ("FEC") digital transmissions of data, making the PLC
    system nearly immune to interference.[^29]

## Comments

13. Thirty-two parties filed comments on the *LF* *Petition*. [^30]
    Comments from amateur operators generally support an amateur
    allocation in the LF range.[^31] Galasso states that this secondary
    allocation would be very helpful and supports a 200 W PEP limit with
    no EIRP limit to permit experimentation to develop antennas with
    better efficiency. Rayburn also supports the *LF Petition,*
    indicating that the current amateur service operations have
    pioneered the use of binary phase shift keying ("BPSK") signaling
    and coherent CW in these frequency bands.

14. Texas Instruments ("TI") and HID Corporation ("HID") express concern
    with ARRL's request for the 135.7-137.8 kHz band. These companies
    manufacture radio frequency identification ("RFID") equipment which
    operates in the nearby 121-134.2 kHz band under Part 15 of our
    Rules. TI and HID point out that RFID devices use inductive coupling
    and therefore rely on the magnetic-field ("H-field") component of a
    signal for communications.[^32] HID and TI claim that amateur radio
    operators will likely use loop antennas because of space
    limitations. TI contends that the resulting magnetic field from a
    200 W PEP amateur service transmitter fed into a loop antenna may
    cause interference into an RFID system.[^33] HID also claims that
    amateur station signals can mix with HID's 125 kHz carrier frequency
    and pass into the RFID receiver.[^34] Further, HID fears that
    amateur radio licensees will use transceivers with high harmonic
    content, causing interference to RFID systems.[^35] TI proposes
    that, if this band is allocated to the amateur service, operations
    be limited to electric field antennas, power limited to 2 W EIRP,
    and interference be defined such that Part 15 devices are considered
    as not causing interference to any authorized amateur
    operations.[^36]

15. ARRL replies that the typical amateur station EIRP in the
    135.7-137.8 kHz band will be on the order of 0.5 W, which is
    significantly below the power limit used by TI in its analysis, and
    thus amateur radio operations should not cause interference to RFID
    systems. ARRL also states that the antenna bandwidth of amateur
    operations in this band would be "very low," so that adjacent
    frequency interference is unlikely.[^37] ARRL argues that the
    Commission should not specify antenna types because that would
    stifle experimentation, and notes that amateur radio licensees will
    likely use long wire antennas that will emphasize electric field
    radiation to facilitate sharing with magnetic-field RFID
    systems.[^38]

16. A number of commenters raised concerns about the impact of the
    proposed amateur service operations on PLC operations in both
    frequency bands.[^39] Commenters point out that PLC use of these
    bands is significant. UTC indicates that there are approximately
    10,000 PLC terminals operating in these bands.[^40] It points out
    that the Commission has noted the importance of the PLC operations,
    and in 1978 declined to introduce new broadcast and amateur
    allocations to protect PLC operations in the LF region.

17. The Institute of Electrical and Electronic Engineers ("IEEE") Relay
    Communications Subcommittee ("the Subcommittee") of the IEEE Power
    Systems Relay Committee indicates that the Subcommittee echoes the
    Commission's concerns about the possibility of interference to PLCs
    from amateur radio operations mentioned in Docket No. 20271. The
    Subcommittee claims that the ARRL *LF Petition* is mistaken
    regarding interference to PLC systems. It submits that, of the two
    different types of PLC systems, the ON/OFF type is normally off
    except for short encoded bursts 1-3 times per day.[^41] It states
    that interference to this type of PLC system will cause unfaulted
    lines to disconnect from the power grid resulting in outages.[^42]
    The Subcommittee argues that an amateur radio operator cannot rely
    on a "listen before talk" protocol to avoid the frequency being used
    by an ON/OFF PLC system because the system is normally off and no
    signal is transmitted. The Subcommittee submits that the second type
    of PLC system uses frequency shift keying ("FSK").[^43] It indicates
    that with FSK systems, a fault causes a status signal to shift
    frequency which trips the relay. The Subcommittee states that it
    takes approximately 32 milliseconds to start the process, and it
    cannot be stopped once started.[^44] It further states that, in the
    FSK system, transmit and receive frequencies are different and the
    amateur radio operator will not be able to determine what
    frequencies to avoid since the shifted frequency is normally not
    used unless there is a fault on the power system.[^45] Commonwealth
    Edison ("ComEd") and other utilities support the Subcommittee's
    concerns.[^46]

18. The Subcommittee also disagrees with ARRL's assessment that there is
    no risk of interference to PLC operations beyond 1.34 km from
    amateur stations operating with an EIRP of 2 W. It takes issue with
    the *LF Petition's* statement that the noise floor of the PLC system
    is --30 dBm on lower voltage lines such as 161 kV power lines and as
    high as --5 dBm on 765 kV lines per the IEEE 643-1980 standard. The
    Subcommittee states that the IEEE standard for PLCs actually
    provides various noise data for both fair and adverse weather and
    indicates that the fair weather data is valid for more than 75% of
    the time. It notes that ARRL used the highest numbers in the adverse
    weather range for their analysis, and that this results in a 10-15
    dBm decrease in sensitivity for lower voltage lines and 20-25 dBm
    for 765 kV lines.[^47] The Subcommittee therefore argues that ARRL
    understates the necessary separation distances needed to protect the
    PLCs.

19. The Subcommittee also states that while utilities may use fiber in
    new installations, it is not cost-effective to retrofit existing
    PLCs.[^48] ComEd agrees with this assessment and also notes that
    forward error correction is not widely used.[^49] The Southeast
    Reliability Council and the Florida Reliability Council argue that
    PLC communication is the only viable means of providing the
    protection, control and operation for many transmission
    facilities.[^50] UTC asserts that utilities have experienced
    problems with their PLCs that could have been caused by
    interference, but sources of interference are often difficult to
    identify. In addition, UTC states that many cases of interference
    are not documented, because most facilities do not have the
    monitoring equipment necessary to determine the cause of the
    tripping of breakers if no fault is found in the power grid. UTC
    submits that one utility, CP&L, did investigate interference to
    their network and determined that the false signals were coming from
    stray radio signals.[^51]

20. ComEd asserts that amateur radio licensees may have difficulty in
    calculating EIRP, the power measurement suggested by ARRL. It argues
    that because ARRL suggests no restrictions on antenna size or
    design, it would be difficult to anticipate the gain of the antennas
    used.[^52] The Subcommittee notes that a Dutch amateur radio
    licensee has developed a kite-borne 900-foot antenna with higher
    efficiencies[^53] that allows the amateur station EIRP to be in the
    range of 10-15 W with a transmitter output power of 150 watts.[^54]

21. In reply ARRL, states that its analysis assumes zero ground loss
    between the amateur stations and PLC systems and thus leads to
    overstatement of the separation distance necessary to protect a PLC
    system; the actual distances should be much less.[^55] ARRL states
    that an amateur LF station would have to be mounted on a utility
    pole to cause co-channel interference.[^56] Lastly, ARRL claims that
    amateur service stations would not exceed power limitations because
    the antenna efficiency would limit radiation from a 200 W PEP
    transmitter to under 0.5 W EIRP. Further, ARRL notes that its
    proposal would limit access to the LF allocation to licensees who
    have demonstrated competence by passing an examination, and that it
    would publish a LF handbook for amateur radio operator's use.[^57]

## Proposal

22. We are persuaded by ARRL's arguments to consider whether a secondary
    amateur service allocation in the LF range of the spectrum would
    serve the public interest because amateur experimentation could lead
    to a better understanding of communication techniques in this
    frequency range. As discussed below, we are proposing to allocate
    the 135.7-137.8 kHz band to the amateur service on a secondary
    basis. This allocation would allow amateur radio operators the
    ability to experiment more freely with propagation, antenna design
    and antenna construction. However, we are concerned about potential
    interference to PLC systems in the 160-190 kHz band. We declined
    previously to provide an allocation for the amateur service in the
    160-190 kHz band because of potential interference to PLC systems,
    and we believe that PLC use of this band continues to pose sharing
    problems with an amateur service allocation. Therefore, we are not
    proposing an allocation in the 160-190 kHz band, although amateur
    use of the 160 kHz band may continue under our Part 15 rules.

23. Incumbent use of the 135.7-137.8 kHz band is relatively light and
    thus a secondary amateur service allocation in this band raises few
    concerns. An analysis of a portion of the UTC database of PLC
    systems by Commission staff shows that PLC system density is
    significantly less in the 135.7-137.8 kHz band than in the 160-190
    kHz band.[^58] Consequently, there should be many areas where PLC
    systems would not be in close proximity to any future amateur
    operations. Further, domestic primary services in this band would be
    minimally affected by an amateur service allocation. The Government
    Master File ("GMF") and Commission's databases identify only one
    Federal Government assignment in the 135.7-137.8 kHz band. The
    amateur service has extensive experience in operating on a secondary
    basis with primary status services in frequency bands with long
    range capabilities and we believe the same would apply here. We
    expect that interference would be rare because amateur radio
    operators have apparently demonstrated their effective use of the
    "listen-before-transmit" protocol, which also can be utilized with
    the primary users of this band. Regarding the RFID uses in the lower
    adjacent band and the PLC use in-band, we propose technical rules
    that are intended to minimize any impact from these amateur station
    operations on unlicensed equipment use. We seek comment on this
    assessment.

24. While there is no international allocation to the amateur service at
    135.7-137.8 kHz in the International Table of Allocations, we note
    that the European Posts and Telecommunications Commission ("CEPT")
    has allocated this band to the amateur service on a secondary basis
    and individual administrations are granting amateur radio operators
    additional technical flexibility for their LF operations. We also
    note that Canada has recently proposed a secondary allocation of the
    135.7-137.8 kHz band for the amateur service in Region 2, which may
    be considered at the 2003 World Radio Conference ("WRC-03").[^59] We
    believe that a domestic secondary amateur service allocation in the
    135.7-137.8 kHz band would provide a chance to harmonize amateur LF
    allocations and promote international exploration of a common band.
    In the absence of an international allocation, however, we propose
    to adopt certain technical limitations on amateur radio operations
    in this band so that they should not cause interference to primary
    services outside of the United States. We request comment on whether
    there are any specific spectrum sharing concerns between amateur
    station operations and domestic or international primary allocation
    operations in the 135.7-137.8 kHz band.

25. We propose to require that amateur stations in the 135.7-137.8 kHz
    band meet the technical limits suggested by Canada in the WRC-03
    preparatory process, noted above.[^60] As provided in the Canadian
    proposal, we believe that sharing of this spectrum would be
    facilitated if the amateur station is limited to an EIRP of 1 W and
    the transmission bandwidth is limited to 100 Hz. Because of possible
    difficulty in measuring the EIRP of the amateur station in this
    frequency range, as noted by ComEd, we additionally propose to limit
    amateur output power in this band to 100 W PEP. We seek comment on
    whether these limits on EIRP and PEP are appropriate. We propose no
    restrictions on antenna size or design for amateur stations because
    such restrictions would inhibit experimentation, and we believe that
    interference to other users can be adequately addressed by the
    proposed power limitations. We also propose to limit access to this
    band to amateur operators holding a General, Advanced, or Amateur
    Extra Class license, as requested by ARRL, as a way to insure
    amateur operations would be conducted in a manner that minimizes the
    interference potential to other users. We note that with an
    allocation of only 2.1 kilohertz of spectrum in this band, amateur
    radio operations may be limited to propagation experiments,
    telegraphy and low speed data applications. Nonetheless, this
    allocation would benefit amateur experimentation of the LF range. We
    seek comment on all of these proposals for a secondary amateur
    service allocation in the 135.7-137.8 kHz.

26. In declining to propose a secondary amateur service allocation for
    the 160-190 kHz band, we observe that while the number of incumbent
    primary users in this band has decreased over the years, the record
    and Commission staff analysis shows that significant PLC use
    continues in this band in many locations.[^61] The wider bandwidth
    in the 160-190 kHz band increases the number of PLC systems
    potentially impacted. Further, while newer technologies may be
    implemented where possible, PLC systems are not being replaced or
    retrofitted with these new technologies in many areas. Therefore, we
    continue to be concerned about the interference potential that a
    secondary amateur service allocation would have on PLC systems. We
    also observe that, unlike the situation with the 135.7-137.8 kHz
    band, there does not appear to be interest internationally in adding
    amateur services in the 160-190 kHz band.

27. Amateur radio operations in the 160-190 kHz band under the Part 15
    rules will not be affected. Under these rules, amateur operations
    must meet certain power and antenna length requirements, but they
    also are allowed to build and operate some equipment of their own
    design.[^62] We thus note that amateurs do have some flexibility to
    achieve wideband communications and thus, the need to provide a
    secondary amateur service allocation in the 160-190 kHz band is
    reduced. We seek comment on our tentative decision to not provide
    the allocation in this band that ARRL requested.

28. Finally, we recognize that spectrum in both the 135.7-137.8 kHz and
    160-190 kHz bands could be used more efficiently if potential
    operators knew where other users of the spectrum were located and
    could avoid them. UTC has maintained a database of PLC locations in
    order to notify primary Federal Government users of PLC operations.
    We request comment on whether this database provides sufficient
    information for use by amateur operators and how such access could
    be provided.

# 5250-5400 kHz banD (RM-10209)

## Background and Summary of Petition

29. Internationally, in all three ITU Regions, the band 5250-5400 kHz is
    allocated on a primary basis to the fixed service, and on a
    secondary basis to the mobile, except aeronautical mobile, service.
    There is currently no international amateur service allocation in
    this band.

30. In the United States, the 5250-5400 kHz band is allocated to the
    fixed service on a primary basis for Federal Government and
    non-Federal Government use and on a secondary basis to the mobile,
    except aeronautical mobile, service. In addition, footnote US340 to
    the U.S. Table of Frequency Allocations permits Federal and
    non-Federal Government maritime and aeronautical mobile stations to
    use bands in the 2-30 MHz region for measuring the quality of
    reception on radio channels on a secondary, non-interference basis;
    actual communication by these stations is limited to frequencies
    specifically allocated to these services. The band is primarily used
    by the United States Government for ship-to-shore and fixed
    point-to-point communications. There is also a limited amount of
    non-Federal Government use. In addition, on January 8, 1999, the
    Commission granted an experimental license to ARRL for 15 stations
    to compare communications reliability between the 3500-4000 kHz,
    5100-5450 kHz and 7000-7300 kHz bands.[^63]

31. On July 24, 2001, ARRL filed a *Petition for Rule Making*[^64]
    ("*5000 kHz* *Petition*") requesting that we amend Parts 2 and 97 of
    our Rules to create a domestic secondary amateur service allocation
    in the 5250-5400 kHz band.[^65] ARRL claims that there is a current
    need for 150 kilohertz of usable spectrum around 5000 kHz for the
    amateur service, and that this action is needed to fill the
    ionospheric propagation gap between the propagation paths provided
    by the amateur service allocations in the 3500-4000 kHz and
    7000-7300 kHz bands.[^66] ARRL claims that there are times when the
    existing amateur service allocations in the 3500-4000 kHz and
    7000-7300 kHz bands do not provide reliable communications due to
    solar cycles, and seasonal and daily variations in the
    ionosphere.[^67] ARRL also states that an allocation in the 5000 kHz
    range would provide optimum propagation conditions on occasions when
    ionospheric conditions do not permit the use of other frequency
    bands. For example, it states that during the summer months,
    frequencies in the 3500 kHz band have excessive atmospheric noise
    for the transmitter power used, while the 7000 kHz band may
    penetrate the ionosphere.[^68] ARRL further claims that this
    "propagation gap" occasionally interrupts emergency communications
    by amateur radio operators between the U.S. and the Caribbean
    islands during hurricanes and severe weather disasters.[^69]
    Further, ARRL argues that amateur stations use relatively low power
    and increasingly use digital modulation requiring low multipath
    delay, so that operating frequencies should be chosen near the
    maximum usable frequency for the desired path and time. It also
    argues that an allocation in the 5000 kHz range would relieve what
    is periodically substantial overcrowding of the 3500 kHz and 7000
    kHz bands.

32. The ARRL submits that the experimental operations authorized by the
    Commission in 1999, and modified in 2000, show that amateur stations
    can co-exist with incumbent operations without causing harmful
    interference.[^70] Additionally, based upon the results of its own
    tests and computer analyses authorized under this experimental
    assignment, ARRL asserts that propagation in the 5000 kHz band is
    predicted to be more stable near sunrise and sunset for amateur
    radio communications, while the 7000 kHz band is better at night and
    the 3500 kHz band is better during the day. Further, ARRL points out
    that the noise level at 3500 kHz is higher than in the 5000 kHz or
    7000 kHz bands, which degrades the signal level and
    performance.[^71]

33. ARRL notes that the U.S. Department of Commerce ("DOC") published
    several spectrum requirements reports that support this new amateur
    requirement.[^72] Additionally, it contends that the International
    Amateur Radio Union has established a requirement for a narrow
    allocation near 5000 kHz to account for changes in propagation
    conditions. It also submits that there are pending proposals for an
    amateur allocation around 5000 kHz in Europe. For example, it
    indicates that the United Kingdom is studying the 5245-5445 kHz band
    to address propagation, noise and congestion problems for amateur HF
    communications.[^73]

34. ARRL argues that the trend for incumbent 5000 kHz fixed service
    operations is to migrate to alternative technologies such as
    microwave, satellite and fiber for long haul communications.[^74] It
    therefore believes that this band should become increasingly
    available for amateur radio use. ARRL indicates that the 5250-5400
    kHz segment is the least encumbered portion of the 5100-5450 kHz
    band. ARRL also claims that the low utilization of this band by
    Federal Government operators would permit the amateur stations to
    dynamically select frequencies to avoid interference to primary
    services, and that such dynamic frequency selection has been
    demonstrated at 10 MHz.[^75] Further, ARRL asserts that since the
    Commission authorized ARRL to conduct experimental operations in
    this band in 1999, there have been no reports of interference
    attributable to amateur operations.[^76] Finally, ARRL proposes that
    the technical rules for this band be similar to the rules for the
    3500 kHz and 7000 kHz bands, i.e., output power be limited to 1500
    watts PEP with the entire band limited to RTTY, data, phone and
    image emission types.[^77]

## Comments

35. Eighty-seven parties filed comments to the *5000 kHz* *Petition*;
    eighty-five of which support the request.[^78] While not stating
    that he opposes the ARRL petition, Taylor indicates that the
    Commission should carefully investigate the allegation that
    propagation on 3500 kHz and 7000 kHz does not provide adequate
    coverage.[^79] Similarly, Grant asserts that amateur radio operators
    should more efficiently manage their operations, and could thereby
    alleviate any interference or overcrowding problems in the existing
    3500 kHz or 7000 kHz bands.[^80]

36. Some comments suggest power limits for amateur stations in the 5000
    kHz band. Allen states that he does not support the use of 1500
    Watts PEP, because of the costs associated with buying high-powered
    equipment and the need for a level playing field between those who
    can and those who cannot afford to buy the high-powered
    systems.[^81] Ponsness and Perkins suggest that output power should
    be limited to 200 watts PEP to prevent interference to other
    services.[^82] Gustafson suggests a power limit of 250 Watts
    PEP.[^83] The parties did not provide analytical support or studies
    regarding their suggested power limits.

37. Some comments propose that this band be subdivided to allow digital,
    wide-band and CW[^84] communications. Ellis states that the band
    5250-5275 kHz should be used for CW, the band 5275-5325 kHz for
    digital and the rest for wide-band signals such as single-sideband
    ("SSB")[^85] communications.[^86] DeCaria suggests that the lowest
    75 kilohertz of the band be used for digital because of the
    incompatibility between SSB and digital signals.[^87] McVey proposes
    that the lowest 25 kilohertz of the band be set aside for CW and
    digital modes of communication because of the incompatibility
    between SSB and these signals.[^88] Koles suggests that 5250-5300
    kHz band be used for CW/digital modes and the rest for SSB.[^89]
    Tannehill and Gustafson do not believe that sub-banding is
    necessary. Tannehill prefers to rely on good practice to keep the
    communications modes separate, while Gustafson states that
    sub-banding will hamper future technical development.[^90]

## Proposal

38. We agree with ARRL that propagation and interference conditions in
    the 3500 kHz and 7000 kHz bands could hinder effective amateur HF
    communications. In particular, as ARRL indicates, the nature of the
    ionosphere prevents communications during certain portions of the
    day because of increased atmospheric noise levels at certain times
    on certain frequencies, or decreased ionization allows the
    transmission to penetrate the ionosphere at other times and
    frequencies. ARRL's experimentation appears to support its
    contention that the 5000 kHz frequency band can be effective in
    supporting communication when the 3500 kHz and 7000 kHz bands are
    not. As pointed out by Taylor, the primary allocation to
    broadcasting in Europe and parts of Asia hinders certain amateur
    operations in two-thirds of the 7000 kHz band in the evenings.
    However, while amateur radio use of the 7000 kHz band is on a
    primary basis in ITU Region 2, footnote S5.142 indicates that the
    amateur service cannot impose constraints on the broadcasting
    services in Regions 1 and 3, and thus must operate around the
    primary users.[^91] A new allocation in the 5000 kHz frequency range
    would permit amateur service operations when other bands cannot be
    used. Therefore, we tentatively conclude that the amateur service
    would benefit from a secondary allocation in the 5250-5400 kHz band
    and propose to establish such an allocation. We request comment on
    this proposal.

39. It appears that amateur radio operators should be able to avoid
    interference to primary operations in this band due to the limited
    numbers of primary assignments[^92] which are authorized for
    operation in the 5250-5400 kHz band, and their experience in sharing
    HF frequencies in other bands. The operational protocol of "listen
    before transmit" employed by amateur radio operators should further
    minimize interference. We note that currently this technique is not
    explicitly required by our Rules and we request comment on whether
    it should be explicitly stated in the Rules in order to protect the
    primary operators in the 5250-5400 kHz band. We propose to limit the
    output power of the amateur stations to 1500 W PEP as requested by
    ARRL. Further, we invite comments as to whether the 5250-5400 kHz
    band should be restricted to Amateur radio operators with an Amateur
    Extra Class license to better ensure compatible sharing with the
    Federal Government operations, or could the band also be made
    available to operators with a General or Advanced Class license just
    as in the 10,100-10,150 kHz band (30 meter band). [^93] We invite
    comment on whether the power limit and operator license requirement
    are sufficient to prevent interference to primary users, and whether
    an EIRP limit would also be appropriate for this frequency band. We
    also invite comment on other means that will reduce potential
    interference.

40. The *5000 kHz Petition* does not discuss sub-banding and ARRL's
    suggested rules would allow all emission types to use the entire
    band.[^94] We note that several commenters suggest that sub-banding
    would be useful. We further note that Section 97.305 of our Rules
    segregates digital modes from other amateur station emission modes
    in the 3500 kHz and 7000 kHz bands to protect narrow band emissions
    like data from wider emissions like single-side band voice.[^95] We
    request comment on whether sub-banding is necessary and/or
    appropriate for the 5000 kHz band as well.

# 2400-2402 MHz banD (RM-9949)

## Background and Summary of Petition

41. Internationally, in all three ITU Regions, the band 2300-2450 MHz is
    allocated on a co-primary basis to the fixed and mobile services and
    on a secondary basis to the amateur service. In addition, this band
    is allocated to the radiolocation service on a co-primary basis in
    ITU Regions 2 and 3, and on a secondary basis in Region 1. Further,
    in all three ITU Regions, industrial, scientific and medical ("ISM")
    devices operate in the 2400-2500 MHz band and other
    radiocommunication services operating in this band must accept
    interference caused by ISM devices.[^96] The amateur-satellite
    service is also permitted in the 2400-2450 MHz band on a non-harmful
    interference basis and administrations must ensure that any harmful
    interference created by amateur-satellite operations is
    eliminated.[^97] In the United States, unlicensed Part 15
    transmitting devices are also permitted in the 2400-2483 MHz band on
    a non-harmful interference basis.[^98] These devices are used for a
    variety of operations including cordless phones, wireless local area
    networks, and other broadband wireless applications using industry
    standards protocols such as IEEE 802.11b and Bluetooth.[^99]

42. Prior to August 10, 1995, the 2400-2402 MHz band was allocated
    domestically to Federal Government radiolocation operations[^100] on
    a primary basis and to the amateur service on a secondary basis with
    amateur-satellite operations permitted on a non-harmful interference
    basis. However, pursuant to the Omnibus Budget Reconciliation Act of
    1993 ("OBRA-93"),[^101] the National Telecommunications and
    Information Administration ("NTIA") identified the 2390-2417 MHz
    band for transfer from shared use to exclusive non-Federal
    Government use spectrum.[^102] ISM operations are also permitted
    throughout the 2400-2500 MHz band within the United States under the
    provisions of footnote S5.150 to the Table of Frequency Allocations
    and Part 18 of the Commission's rules. Currently, the amateur
    service remains on a secondary basis with ISM operations and the
    amateur-satellite service on a non-harmful interference basis. Any
    Federal Government operations in the 2400-2402 MHz band after August
    10, 1995, are on a non-interference basis to non-Federal Government
    uses.[^103]

43. On November 18, 1999, the Commission adopted a *Policy Statement* to
    set forth guiding principles for its spectrum management activities
    for the new millennium.[^104] In considering the bands transferred
    from Federal Government use, the *Policy Statement* concluded that
    the 2400-2402 MHz band should be placed into a spectrum reserve for
    future applications. Specifically, the *Policy Statement* indicated
    that existing ISM and unlicensed usage of the band would restrict
    new services given current spectrum sharing techniques. Therefore,
    the band would be reserved until new technologies or other changes
    would increase the opportunity for new operations and that the
    Commission would be receptive to petitions for reallocation of the
    reserved bands.

44. In response to the *Policy Statement*, the ARRL filed the subject
    *Petition for Rule Making*[^105] ("*2400 MHz* *Petition*") on July
    17, 2000, requesting that we amend Sections 2.106 and 97.303(j) (2)
    of our Rules to upgrade the domestic allocation of the amateur radio
    service in the 2400-2402 MHz band from secondary status to primary
    status and add a primary allocation for the amateur-satellite
    service.[^106] ARRL states that such an action would ensure
    continued unfettered access to the 2400-2402 MHz band by the amateur
    service.[^107]

45. In support of its request, ARRL indicates that a primary allocation
    to the amateur service would protect its operations from
    reallocation or use by an incompatible sharing partner. ARRL states
    that amateur radio operators use this band for both analog and
    digital satellite uplink and downlink operations.[^108] ARRL argues
    that the amateur-satellite service currently operates in the
    2400-2450 MHz band on a non-harmful interference, non-protected
    basis, principally for engineering beacon operations.[^109] ARRL
    submits that primary allocation status in this range will sustain
    the overwhelming costs and dedication of time and effort required to
    keep the amateur-satellite program flourishing, and provide some
    assurances of future occupancy of the band for the next generation
    of amateur satellites. [^110] Further, the amateur service community
    indicates that the 2400-2402 MHz band is needed for broadband analog
    and digital applications on its Phase 3D satellite.[^111]

46. ARRL contends that upgrading the amateur and amateur-satellite
    service allocations in this band would not impose constraints on
    co-frequency Part 15 and Part 18 devices because this band is
    located at the lower edge of the segment in which such devices
    operate, and because of the geographic separation typically
    encountered between amateur-satellite stations and Part 15 and Part
    18 devices.

## Comments

47. Four parties filed comments to the ARRL *2400 MHz* *Petition*, all
    supporting its requests.[^112] Whedbee states that the amateur radio
    service has been a long-standing contributor to state-of-the-art
    telecommunications technology and currently has numerous
    amateur-satellite service facilities operating in the band 2400-2402
    MHz. Murray states that granting ARRL's *2400 MHz Petition* would be
    of great benefit to amateur radio operators around the world, who
    have collectively expended substantial amounts of money, time, and
    effort to design, build, and launch amateur radio satellites. Murray
    further states that the requested upgrade of the amateur-satellite
    service to primary status would protect the significant investments
    made to date, and would also eliminate concerns within the amateur
    service community that the spectrum may be reallocated and/or
    assigned to an incompatible use.[^113]

48. The Radio Amateur Satellite Corporation (\"AMSAT\") indicates that
    the Phase 3D satellite was built mostly by volunteers from a number
    of countries at a cost of approximately \$4 million.[^114] This
    satellite carries a group of broadband receivers that operate in
    various bands available to the amateur-satellite service from 21 MHz
    to 5.7 GHz and broadband linear transmitters that operate in various
    amateur-satellite service bands from 144 MHz to 24 GHz. Two of Phase
    3D\'s satellite transmitters are in the band 2400-2402 MHz, as is
    one of its receivers. AMSAT states that these transmitters and
    receivers will be heavily used.[^115]

## Proposal

49. We believe that ARRL's request to upgrade the allocation status of
    the amateur and amateur-satellite services in the 2400-2402 MHz band
    has merit. As noted above, the Commission placed this spectrum into
    a reserve for future development because existing ISM and unlicensed
    operations created a spectral environment that would be difficult to
    share with other operations. Nevertheless, the amateur service
    community has succeeded in sharing this spectrum. Further, we
    acknowledge the amateur service community's position that it has
    invested time, effort and money in the development of the amateur
    and amateur satellite services and primary allocations in this band
    would protect this investment from future allocation requests in the
    band. Accordingly, we propose to upgrade the allocation for the
    amateur service from secondary status to primary status and to add a
    primary allocation to the amateur-satellite service in the 2400-2402
    MHz band in Parts 2 and 97 of our Rules. We also note that footnote
    S5.282 of the International Table of Allocations states that "the
    amateur-satellite service may operate subject to not causing harmful
    interference to other services operating in accordance with the
    Table \[of Allocations\]."[^116] Therefore, amateur-satellite
    operators will not be exempted from this requirement to protect
    operations of other services outside of the United States.

50. While primary allocations for the amateur and amateur-satellite
    services may guard against introducing other incompatible users in
    the band, this allocation change would not alter the status of
    amateur and amateur--satellite services use vis-à-vis incumbent uses
    of the band. Either a primary or secondary allocation in ISM bands
    must accept interference from, and not hinder the use of, ISM
    equipment.[^117] Similarly, this band is extensively used by
    unlicensed operations, which have been able to share with amateur
    radio station use to this point. Because this band is important to
    unlicensed applications and there is widespread deployment, the
    removal of such devices would not be feasible. We request comment on
    whether the proposed primary amateur and amateur-satellite service
    allocations would conflict with unlicensed use of the band.

51. In the discussion above, we are merely proposing to change the
    allocation status of the amateur service operations in the 2400-2402
    MHz band. We do not believe that the service rules or operational
    requirements of the services in this band require modification. We
    request comment on this proposal.

# Procedural matters

## Initial Regulatory Flexibility Analysis

52. As required by Section 603 of the Regulatory Flexibility Act, 5
    U.S.C. § 603, the Commission has prepared an Initial Regulatory
    Flexibility Certification the possible significant economic impact
    of the proposals contained in this document on a substantial number
    of small entities. This certification declares that there is no
    significant economic impact on small entities because the amateur
    radio operators are individuals precluded from using this spectrum
    for commercial purposes, and therefore do not fit the definition of
    a small entity. In addition, the rules proposed simply make
    additional spectrum available to the amateur radio service and do
    not impose any additional fees, costs, or compliance burdens on an
    amateur radio operator. The Certification is set forth in Appendix
    D.

## *Ex Parte* Rules - - Permit-But-Disclose Proceeding

53. This is a permit-but-disclose notice and comment rule making
    proceeding. *Ex parte* presentations are permitted, except during
    the Sunshine Agenda period, provided they are disclosed as provided
    in the Commission\'s rules. *See generally* 47 C.F.R. §§ 1.1202,
    1.1203, and 1.2306(a).

## Comments

54. Pursuant to Sections 1.415 and 1.419 of the Commission\'s rules, 47
    C.F.R. §§ 1.415 and 1.419, interested parties may file comments on
    or before \[45 days from date of publication in the Federal
    Register\] and reply comments on or before \[60 days from date of
    publication in the Federal Register\]. Comments may be filed using
    the Commission\'s Electronic Comment Filing System (\"ECFS\"),
    <http://www.fcc.gov/e-file/ecfs.html>, or by filing paper copies.
    *See Electronic Filing of Documents in Rulemaking Proceedings*, 63
    Fed. Reg. 23,121 (1998).

55. Comments filed through the ECFS can be sent as an electronic file
    via the Internet to http://www.fcc.gov/e-file/ecfs.html. Generally,
    only one copy of an electronic submission must be filed. If multiple
    docket or rulemaking numbers appear in the caption of this
    proceeding, however, commenters must transmit one electronic copy of
    the comments to each docket or rulemaking number referenced in the
    caption. In completing the transmittal screen, commenters should
    include their full name, U.S. Postal Service mailing address, and
    the applicable docket or rulemaking number. Parties may also submit
    an electronic comment by Internet e-mail. To get filing instructions
    for e-mail comments, commenters should send an e-mail to
    ecfs@fcc.gov, and should include the following words in the body of
    the message, \"get form \<your e-mail address.\" A sample form and
    directions will be sent in reply. Parties who choose to file by
    paper must file an original and four copies of each filing. If more
    than one docket or rulemaking number appear in the caption of this
    proceeding, commenters must submit two additional copies for each
    additional docket or rulemaking number.

56. Filings can be sent by hand or messenger delivery, by commercial
    overnight courier, or by first-class or overnight U.S. Postal
    Service mail (although we continue to experience delays in receiving
    U.S. Postal Service mail). The Commission\'s contractor, Vistronix,
    Inc., will receive hand-delivered or messenger-delivered paper
    filings for the Commission\'s Secretary at 236 Massachusetts Avenue,
    N.E., Suite 110, Washington, D.C. 20002. The filing hours at this
    location are 8:00 a.m. to 7:00 p.m. All hand deliveries must be held
    together with rubber bands or fasteners. Any envelopes must be
    disposed of before entering the building. Commercial overnight mail
    (other than U.S. Postal Service Express Mail and Priority Mail) must
    be sent to 9300 East Hampton Drive, Capitol Heights, MD 20743. U.S.
    Postal Service first-class mail, Express Mail, and Priority Mail
    should be addressed to 445 12th Street, SW, Washington, D.C. 20554.
    All filings must be addressed to the Commission\'s Secretary, Office
    of the Secretary, Federal Communications Commission.

57. Parties who choose to file by paper should also submit their
    comments on diskette. Such a submission should be on a 3.5-inch
    diskette formatted in an IBM compatible format using Microsoft Word
    or compatible software. The diskette should be accompanied by a
    cover letter and should be submitted in "read only" mode. The
    diskette should be clearly labeled with the commenter's name,
    proceeding (including the lead docket number, type of pleading
    (comment or reply comment), date of submission, and the name of the
    electronic file on the diskette. The label should also include the
    following phrase \"Disk Copy -- Not an Original.\" Each diskette
    should contain only party's pleading, preferably in a single
    electronic file. In addition, commenters must send diskette copies
    to the Commission's copy contractor, Qualex International, Portals
    II, 445 12th Street, SW, Room CY-B402, Washington, DC, 20554.

58. Alternative formats (computer diskette, large print, audio cassette
    and Braille) are available to persons with disabilities by
    contacting Brian Millin at (202) 418-7426, TTY (202) 418-2555, or
    via e-mail to bmillin@fcc.gov. This *Notice* can also be downloaded
    at <http://www.fcc.gov/oet>.

59. *Paperwork Reduction Act Comments.* Written comments by the public
    on the proposed and/or modified information collections are due on
    or before \[30 days from date of publication in the Federal
    Register\]. Written comments must be submitted by the OMB on the
    proposed and/or modified information collections on or before \[60
    days after date of publication in the Federal Register.\] In
    addition to filing comments with the Acting Secretary, a copy of any
    comments on the information collection(s) contained herein should be
    submitted to Judy Boley, Federal Communications Commission, Room
    1-C804, 445 12th Street, SW, Washington, DC 20554, or via the
    Internet to jboley@fcc.gov and to Jeanette Thornton, OMB Desk
    Officer, Room 10236, 725 17th Street, NW, Washington, DC 20503 or
    via the Internet to JThornto@omb.eop.gov.

## Contact Person

60. For further information regarding this *Notice*, contact Kathyrn
    Medley, Office of Engineering and Technology, (202) 418-1211, e-mail
    <kmedley@fcc.gov>.

# ORDERING CLAUSES

61. Accordingly, IT IS FURTHER ORDERED that pursuant to Sections 1, 4,
    301, 302(a), 303, 307, 309, 316, 332, 334, and 336 of the
    Communications Act of 1934, as amended, 47 U.S.C. Sections 151, 154,
    301, 302(a), 303, 307, 309, 316, 332, 334, and 336, the NOTICE OF
    PROPOSED RULE MAKING AND ORDER is hereby ADOPTED.

62. IT IS ALSO ORDERED that the Commission's Consumer and Governmental
    Affairs Bureau, Reference Information Center, SHALL SEND a copy of
    this NOTICE OF PROPOSED RULE MAKING, including the Initial
    Regulatory Flexibility Certification, to the Chief Counsel for
    Advocacy of the Small Business Administration in accordance with
    Section 603(a) of the Regulatory Flexibility Act.[^118]

63. IT IS FURTHER ORDERED that the MOTION TO STRIKE filed by ARRL IS
    DENIED.

FEDERAL COMMUNICATIONS COMMISSION

Marlene H. Dortch

Secretary

**APPENDIX A: List of Commenting Parties on the *LF Petition***

1.  ARRL

2.  Alabama Power, *et al.*

3.  Robert J. Albanese

4.  Brian C. Alexander

5.  William E. Bowers

6.  Richard G. Brunner

7.  Commonwealth Edison Company

8.  Steve Cook

9.  Paul R. Drum

10. Collin Dvorak

11. Richard Eyre-Eagles

12. Ed Fernandez

13. Florida Reliability Coordinating Council

14. Philip E. Galasso

15. HID Corporation

16. Scott Holmes

17. IEEE Relay Committee/Mark Simon

18. Kellee Jones

19. Nickolaus E. Leggett

20. Michael J. McDonald

21. Dr. Jeffrey Paterson

22. Les Rayburn

23. Michael J. Reid

24. Lacy L. Rice, Jr.

25. Bob Ryan

26. Paul R. Signorelli

27. Mark Simon

28. Southeastern Electric Reliability Council

29. Texas Instruments

30. UTC

31. James E. Whedbee

32. James Edwin Whedbee

APPENDIX B: List of Commenting Parties on the *5000 kHz Petition*

1.  ARRL

2.  Brian Allen

3.  Dave Armbrust

4.  Perry D. Ballinger

5.  William Bishop

6.  Stanley J. Briggs

7.  Jerry Brooks

8.  Michael Brooks

9.  Skip Cameron

10. Damon Cassell

11. James M. Cordes

12. Thomas P. Cloyes

13. Dr. Anthony R. Curtis

14. William L. D'Agostino

15. Jack Daane

16. Don B. DeCaria

17. Josseph P. deFulgentiis

18. David W. Duke

19. Mark J. Dulcey

20. John J. Ellis

21. Jack Falkenhof

22. Jeffrey D. Fontaine

23. Larry R. Fravel

24. Steven J. Friis

25. Arthur S. Garibay

26. David E. Gilbert

27. Mark R. Gilbert

28. Richard Grant

29. Eric Gustafson

30. Gregory Hendry

31. Scott D. Holland

32. James Hughes

33. Richard Illman

34. Ronald J. Jakubowski

35. Clare Jarvis

36. David M. Jolley

37. Robert L. Kaster, Jr.

38. Richard H. Keith

39. Christoper Kent

40. Nathan Kirshman

41. Joost Koenig

42. Stephanie R. Koles

43. Richard A. Knox

44. Robert K. Leef

45. Nickolaus E. Leggett

46. Ivan McCaffrey

47. W. Lee McVey

48. Hugh C. Maddocks

49. Michael Maiorana

50. C.R. Malphrus

51. Josh Martin

52. Patrick A. Martini

53. Carol M. Mellard

54. Dr. Richard A. Meznarich

55. P.B. Middlebrook III

56. Richard Miller

57. Jack Mitchell

58. M. Dwayne Moffett

59. Amedeo F. Moretti

60. Charles Morris

61. Greg Mummley

62. Edward Murphy

63. Mike Murray

64. Neil J. Nitzberg

65. James O'Brien III

66. Gary E. Perkins

67. George J. Peters

68. Theodore K. Phelps

69. Dennis J. Posness

70. Markus B. Powell

71. Malcom M. Preston

72. Brennan Price

73. J.P. Riegel, III

74. Bob Roehrig

75. Gary W. Sanders

76. Stephen J. Schrack

77. Ken Slauson

78. Tony A. Stone

79. Richard L. Tannehill

80. Harold Tate

81. Dr. Noel A. Taylor

82. Paul J. Toth

83. Charles R. Wallace

84. Richard M. Winter

85. Edward J. Wirtz

86. John Fox Worthington

87. Kyle A. Yoksh

**APPENDIX C: List of Commenting Parties on the *2400 MHz Petition***

1\. David A. Heupel

2\. Gerald Murray

3\. James Edwin Whedbee

4\. ARRL

5\. Radio Amateur Satellite Corporation

**APPENDIX D: Initial Regulatory Flexibility Certification**

1.  *Initial Regulatory Flexibility Certification*. The Regulatory
    Flexibility Act of 1980, as amended (RFA),[^119] requires that an
    initial regulatory flexibility analysis be prepared for notice and
    comment rule making proceedings, unless the agency certifies that
    "the rule will not, if promulgated, have a significant economic
    impact on a substantial number of small entities."[^120] The RFA
    generally defines the term "small entity" as having the same meaning
    as the terms "small business," "small organization," and "small
    governmental jurisdiction."[^121] In addition, the term "small
    business" has the same meaning as the term "small business concern"
    under the Small Business Act.[^122] A "small business concern" is
    one which: (1) is independently owned and operated; (2) is not
    dominant in its field of operation; and (3) satisfies any additional
    criteria established by the Small Business Administration
    (SBA).[^123]

2.  In this *Notice*, we propose to make available two additional
    frequency bands on a secondary basis and upgrade the allocation of a
    third frequency band to the amateur service. The amateur radio
    service is a voluntary non-commercial communication service
    comprised of individuals or groups of individuals holding amateur
    radio licenses issued by the Commission. [^124] These individuals
    are prohibited from using spectrum allocated to the amateur service
    for communications for hire or for material compensation, or for
    communications in which the amateur radio operator has a pecuniary
    interest.[^125] Therefore, amateur radio operators do not fit any
    part of the definition of "small entities" described above, and thus
    are not classified as such.

3.  In addition, even if the amateur radio licensees were hypothetically
    considered as "small entities," the rule changes proposed in this
    *Notice* simply make spectrum available for the amateur radio
    operations and impose no additional fees, costs, or compliance
    burdens on an operator. Since the amateur radio service is a
    voluntary service, it would be up to each individual amateur to
    purchase or modify equipment to use the new bands. There is no cost
    associated with the upgrade of the allocation. On the contrary, the
    amateur radio service receives the positive benefits of access to
    additional spectrum.

4.  Therefore, we certify that the proposals in this *Notice*, if
    adopted, will not have a significant economic impact on a
    substantial number of small entities. The Commission will send a
    copy of the *Notice*, including a copy of this Initial Regulatory
    Flexibility Certification, to the Chief Counsel for Advocacy of the
    SBA.[^126] This initial certification will also be published in the
    Federal Register.[^127]

**APPENDIX E: Proposed Rules**

For the reasons discussed in the preamble, the Federal Communications
Commission proposes to amend 47 CFR Parts 2 and 97 as follows:

**PART 2 \-- FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL
RULES AND REGULATIONS**

1\. The authority citation for Part 2 continues to read as follows:

AUTHORITY: 47 U.S.C. 154, 302a, 303, and 336, unless otherwise noted.

2\. Section 2.106, the Table of Frequency Allocations, is amended as
follows:

a\. Revise pages 3, 11, and 51 of the "camera-ready" copy of the table.

b\. In the list of United States footnotes, add footnote USxxx.

The additions and revisions read as follows:

**[§ 2.106 Table of Frequency Allocations.]{.underline}**

\* \* \* \* \*

+-----------+-----------+-----------+-----------+-----------+---------+
| 130-505   |           |           |           |           | Page 3  |
| kHz       |           |           |           |           |         |
| (LF/MF)   |           |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| Inte      |           |           | United    |           | FCC     |
| rnational |           |           | States    |           | Rule    |
| Table     |           |           | Table     |           | Part(s) |
+-----------+-----------+-----------+-----------+-----------+---------+
| Region 1  | Region 2  | Region 3  | Federal   | No        |         |
|           |           |           | G         | n-Federal |         |
|           |           |           | overnment | G         |         |
|           |           |           |           | overnment |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 129-130   | See       | 129-130   | See       |           | See     |
|           | previous  |           | previous  |           | p       |
| FIXED     | page for  | FIXED     | page for  |           | revious |
|           |           |           | 110-130   |           | page    |
| MARITIME  | 110-130   | MARITIME  | kHz       |           | for     |
| MOBILE    | kHz       | MOBILE    |           |           |         |
|           |           |           |           |           | 110-130 |
| RADION    |           | RADION    |           |           | kHz     |
| AVIGATION |           | AVIGATION |           |           |         |
| S5.60     |           | S5.60     |           |           |         |
|           |           |           |           |           |         |
| 5.64      |           | 5.64      |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 130-148.5 | 130-160   | 130-160   | 130-160   |           | Intern  |
|           |           |           |           |           | ational |
| FIXED     | FIXED     | FIXED     | FIXED     |           | Fixed   |
|           |           |           |           |           | (23)    |
| MARITIME  | MARITIME  | MARITIME  | MARITIME  |           |         |
| MOBILE    | MOBILE    | MOBILE    | MOBILE    |           | M       |
|           |           |           |           |           | aritime |
| 5.64 5.67 |           | RADION    |           |           | (80)    |
|           |           | AVIGATION |           |           |         |
|           |           |           |           |           | Amateur |
|           |           |           |           |           | (97)    |
+-----------+-----------+-----------+-----------+-----------+---------+
| 148.5-255 | 5.64      | 5.64      | 5.64      |           |         |
|           |           |           | US294     |           |         |
| BRO       |           |           | USxxx     |           |         |
| ADCASTING |           |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
|           | 160-190   | 160-190   | 160-190   | 160-190   | Intern  |
|           |           |           |           |           | ational |
|           | FIXED     | FIXED     | FIXED     | FIXED     | Fixed   |
|           |           |           |           |           | (23)    |
|           |           | Aer       | MARITIME  | 459 US294 |         |
|           |           | onautical | MOBILE    |           |         |
|           |           | radion    |           |           |         |
|           |           | avigation | 459 US294 |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
|           | 190-200   |           | 190-200   |           | A       |
|           |           |           |           |           | viation |
|           | AER       |           | AER       |           | (87)    |
|           | ONAUTICAL |           | ONAUTICAL |           |         |
|           | RADION    |           | RADION    |           |         |
|           | AVIGATION |           | AVIGATION |           |         |
|           |           |           | US18      |           |         |
|           |           |           |           |           |         |
|           |           |           | US226     |           |         |
|           |           |           | US294     |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5.68 5.69 | 200-275   | 200-285   | 200-275   |           |         |
| 5.70      |           |           |           |           |         |
|           | AER       | AER       | AER       |           |         |
|           | ONAUTICAL | ONAUTICAL | ONAUTICAL |           |         |
|           |           |           | RADION    |           |         |
|           | RADION    | RADION    | AVIGATION |           |         |
|           | AVIGATION | AVIGATION | US18      |           |         |
|           |           |           |           |           |         |
|           | Aer       | Aer       | Aer       |           |         |
|           | onautical | onautical | onautical |           |         |
|           | mobile    | mobile    | mobile    |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 255-283.5 |           |           | US294     |           |         |
|           |           |           |           |           |         |
| BRO       |           |           |           |           |         |
| ADCASTING |           |           |           |           |         |
|           |           |           |           |           |         |
| AER       |           |           |           |           |         |
| ONAUTICAL |           |           |           |           |         |
|           |           |           |           |           |         |
| RADION    |           |           |           |           |         |
| AVIGATION |           |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5.70 5.71 | 275-285   |           | 275-285   |           |         |
|           |           |           |           |           |         |
|           | AER       |           | AER       |           |         |
|           | ONAUTICAL |           | ONAUTICAL |           |         |
|           |           |           | RADION    |           |         |
|           | RADION    |           | AVIGATION |           |         |
|           | AVIGATION |           |           |           |         |
|           |           |           | Aer       |           |         |
|           | Aer       |           | onautical |           |         |
|           | onautical |           | mobile    |           |         |
|           | mobile    |           |           |           |         |
|           |           |           | Maritime  |           |         |
|           | Maritime  |           | radion    |           |         |
|           | radion    |           | avigation |           |         |
|           | avigation |           | (radi     |           |         |
|           |           |           | obeacons) |           |         |
|           | (radi     |           |           |           |         |
|           | obeacons) |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 283.5-315 |           |           |           |           |         |
|           |           |           |           |           |         |
| AER       |           |           |           |           |         |
| ONAUTICAL |           |           |           |           |         |
|           |           |           |           |           |         |
| RADION    |           |           |           |           |         |
| AVIGATION |           |           |           |           |         |
|           |           |           |           |           |         |
| MARITIME  |           |           |           |           |         |
|           |           |           |           |           |         |
| RADION    |           |           |           |           |         |
| AVIGATION |           |           |           |           |         |
|           |           |           |           |           |         |
| (radi     |           |           |           |           |         |
| obeacons) |           |           |           |           |         |
| 5.73      |           |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
|           |           |           | US18      |           |         |
|           |           |           | US294     |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5.72 5.74 | 285-315   |           | 285-325   |           |         |
|           |           |           |           |           |         |
|           | AER       |           | MARITIME  |           |         |
|           | ONAUTICAL |           | RADION    |           |         |
|           | RADION    |           | AVIGATION |           |         |
|           | AVIGATION |           | (radi     |           |         |
|           |           |           | obeacons) |           |         |
|           | MARITIME  |           | 5.73      |           |         |
|           | RADION    |           |           |           |         |
|           | AVIGATION |           | Aer       |           |         |
|           | (radi     |           | onautical |           |         |
|           | obeacons) |           | radion    |           |         |
|           | 5.73      |           | avigation |           |         |
|           |           |           | (radi     |           |         |
|           |           |           | obeacons) |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+

+-----------+-----------+-----------+-----------+-----------+---------+
| 5060-9040 |           |           |           |           | Page 11 |
| kHz (HF)  |           |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| Inte      |           |           | United    |           | FCC     |
| rnational |           |           | States    |           | Rule    |
| Table     |           |           | Table     |           | Part(s) |
+-----------+-----------+-----------+-----------+-----------+---------+
| Region 1  | Region 2  | Region 3  | Federal   | No        |         |
|           |           |           | G         | n-Federal |         |
|           |           |           | overnment | G         |         |
|           |           |           |           | overnment |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5060-5250 |           |           | 5060-5450 |           | M       |
|           |           |           |           |           | aritime |
| FIXED     |           |           | FIXED     |           | (80)    |
|           |           |           |           |           |         |
| Mobile    |           |           | Mobile    |           | A       |
| except    |           |           | except    |           | viation |
| aer       |           |           | aer       |           | (87)    |
| onautical |           |           | onautical |           |         |
| mobile    |           |           | mobile    |           | Private |
|           |           |           |           |           | Land    |
| 5.133     |           |           |           |           | Mobile  |
|           |           |           |           |           | (90)    |
|           |           |           |           |           |         |
|           |           |           |           |           | Amateur |
|           |           |           |           |           | (97)    |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5250-5450 |           |           | US212     |           |         |
|           |           |           | US340     |           |         |
| FIXED     |           |           | USxxx     |           |         |
|           |           |           |           |           |         |
| MOBILE    |           |           |           |           |         |
| except    |           |           |           |           |         |
| aer       |           |           |           |           |         |
| onautical |           |           |           |           |         |
| mobile    |           |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5450-5480 | 5450-5480 | 5450-5480 | 5450-5680 |           | A       |
|           |           |           |           |           | viation |
| FIXED     | AER       | FIXED     | AER       |           | (87)    |
|           | ONAUTICAL |           | ONAUTICAL |           |         |
| AER       | MOBILE    | AER       | MOBILE    |           |         |
| ONAUTICAL |           | ONAUTICAL | (R)       |           |         |
| MOBILE    | \(R\)     | MOBILE    |           |           |         |
|           |           |           |           |           |         |
| (OR)      |           | (OR)      |           |           |         |
|           |           |           |           |           |         |
| LAND      |           | LAND      |           |           |         |
| MOBILE    |           | MOBILE    |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5480-5680 |           |           | 5.111     |           |         |
|           |           |           | 5.115     |           |         |
| AER       |           |           | US283     |           |         |
| ONAUTICAL |           |           | US340     |           |         |
| MOBILE    |           |           |           |           |         |
| (R)       |           |           |           |           |         |
|           |           |           |           |           |         |
| 5.111     |           |           |           |           |         |
| 5.115     |           |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5680-5730 |           |           | 5680-5730 |           |         |
|           |           |           |           |           |         |
| AER       |           |           | AER       |           |         |
| ONAUTICAL |           |           | ONAUTICAL |           |         |
| MOBILE    |           |           | MOBILE    |           |         |
| (OR)      |           |           | (OR)      |           |         |
|           |           |           |           |           |         |
| 5.111     |           |           | 5.111     |           |         |
| 5.115     |           |           | 5.115     |           |         |
|           |           |           | US340     |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5730-5900 | 5730-5900 | 5730-5900 | 5730-5950 |           | Intern  |
|           |           |           |           |           | ational |
| FIXED     | FIXED     | FIXED     | FIXED     |           | Fixed   |
|           |           |           |           |           | (23)    |
| LAND      | MOBILE    | Mobile    | MOBILE    |           |         |
| MOBILE    | except    | except    | except    |           | M       |
|           | aer       | aer       | aer       |           | aritime |
|           | onautical | onautical | onautical |           | (80)    |
|           |           | mobile    | mobile    |           |         |
|           | mobile    | (R)       | (R)       |           | A       |
|           | (R)       |           |           |           | viation |
|           |           |           |           |           | (87)    |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5900-5950 |           |           | US340     |           |         |
|           |           |           |           |           |         |
| BRO       |           |           |           |           |         |
| ADCASTING |           |           |           |           |         |
| S5.134    |           |           |           |           |         |
|           |           |           |           |           |         |
| 5.136     |           |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 5950-6200 |           |           | 5950-6200 |           | Radio   |
|           |           |           |           |           | Br      |
| BRO       |           |           | BRO       |           | oadcast |
| ADCASTING |           |           | ADCASTING |           | (HF)    |
|           |           |           |           |           |         |
|           |           |           | US340     |           | \(73\)  |
+-----------+-----------+-----------+-----------+-----------+---------+
| 6200-6525 |           |           | 6200-6525 |           | M       |
|           |           |           |           |           | aritime |
| MARITIME  |           |           | MARITIME  |           | (80)    |
| MOBILE    |           |           | MOBILE    |           |         |
| 5.109     |           |           | S5.109    |           |         |
| 5.110     |           |           | S5.110    |           |         |
| 5.130     |           |           | S5.130    |           |         |
| 5.132     |           |           | S5.132    |           |         |
|           |           |           | US82      |           |         |
| 5.137     |           |           |           |           |         |
|           |           |           | US296     |           |         |
|           |           |           | US340     |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 6525-6685 |           |           | 6525-6685 |           | A       |
|           |           |           |           |           | viation |
| AER       |           |           | AER       |           | (87)    |
| ONAUTICAL |           |           | ONAUTICAL |           |         |
| MOBILE    |           |           | MOBILE    |           |         |
| (R)       |           |           | (R)       |           |         |
|           |           |           |           |           |         |
|           |           |           | US283     |           |         |
|           |           |           | US340     |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+

+-----------+-----------+-----------+-----------+-----------+---------+
| 2345-2655 |           |           |           |           | Page 51 |
| MHz (UHF) |           |           |           |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| Inte      |           |           | United    |           | FCC     |
| rnational |           |           | States    |           | Rule    |
| Table     |           |           | Table     |           | Part(s) |
+-----------+-----------+-----------+-----------+-----------+---------+
| Region 1  | Region 2  | Region 3  | Federal   | No        |         |
|           |           |           | G         | n-Federal |         |
|           |           |           | overnment | G         |         |
|           |           |           |           | overnment |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| See       |           |           | See       | 2345-2360 | W       |
| previous  |           |           | previous  |           | ireless |
| page for  |           |           | page for  | FIXED     |         |
| 2300-2450 |           |           |           |           | Communi |
| MHz       |           |           | 2310-2360 | MOBILE    | cations |
|           |           |           | MHz       | US339     | (27)    |
|           |           |           |           |           |         |
|           |           |           |           | RADI      |         |
|           |           |           |           | OLOCATION |         |
|           |           |           |           |           |         |
|           |           |           |           | BROA      |         |
|           |           |           |           | DCASTING- |         |
|           |           |           |           |           |         |
|           |           |           |           | SATELLITE |         |
|           |           |           |           | US327     |         |
|           |           |           |           |           |         |
|           |           |           |           | 5.396     |         |
+-----------+-----------+-----------+-----------+-----------+---------+
|           |           |           | 2360-2385 | 2360-2385 |         |
|           |           |           |           |           |         |
|           |           |           | MOBILE    | MOBILE    |         |
|           |           |           | US276     | US276     |         |
|           |           |           |           |           |         |
|           |           |           | RADI      |           |         |
|           |           |           | OLOCATION |           |         |
|           |           |           | G2        |           |         |
|           |           |           |           |           |         |
|           |           |           | Fixed     |           |         |
|           |           |           |           |           |         |
|           |           |           | G120      |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
|           |           |           | 2385-2390 | 2385-2390 |         |
|           |           |           |           |           |         |
|           |           |           | US363     | FIXED     |         |
|           |           |           |           |           |         |
|           |           |           |           | MOBILE    |         |
|           |           |           |           |           |         |
|           |           |           |           | US363     |         |
+-----------+-----------+-----------+-----------+-----------+---------+
|           |           |           | 2390-2400 | 2390-2400 | RF      |
|           |           |           |           |           | Devices |
|           |           |           | G122      | AMATEUR   | (15)    |
|           |           |           |           |           |         |
|           |           |           |           |           | Amateur |
|           |           |           |           |           | (97)    |
+-----------+-----------+-----------+-----------+-----------+---------+
|           |           |           | 2400-2402 | 2400-2402 | ISM     |
|           |           |           |           |           | Eq      |
|           |           |           | 5.150     | AMATEUR   | uipment |
|           |           |           | G123      |           | (18)    |
|           |           |           |           | AMATEUR-  |         |
|           |           |           |           | SATELLITE | Amateur |
|           |           |           |           |           | (97)    |
|           |           |           |           | 5.150     |         |
|           |           |           |           | ~         |         |
|           |           |           |           | ~S5.282~~ |         |
+-----------+-----------+-----------+-----------+-----------+---------+
|           |           |           | 2402-2417 | 2402-2417 | RF      |
|           |           |           |           |           | Devices |
|           |           |           | 5.150     | AMATEUR   | (15)    |
|           |           |           | G122      |           |         |
|           |           |           |           | 5.150     | ISM     |
|           |           |           |           | 5.282     | Eq      |
|           |           |           |           |           | uipment |
|           |           |           |           |           | (18)    |
|           |           |           |           |           | Amateur |
|           |           |           |           |           | (97)    |
+-----------+-----------+-----------+-----------+-----------+---------+
|           |           |           | 2417-2450 | 2417-2450 | ISM     |
|           |           |           |           |           | Eq      |
|           |           |           | Radi      | Amateur   | uipment |
|           |           |           | olocation |           | (18)    |
|           |           |           | G2        | 5.150     |         |
|           |           |           |           | 5.282     | Amateur |
|           |           |           | 5.150     |           | (97)    |
|           |           |           | G124      |           |         |
+-----------+-----------+-----------+-----------+-----------+---------+
| 24        | 24        |           | 24        | 24        | ISM     |
| 50-2483.5 | 50-2483.5 |           | 50-2483.5 | 50-2483.5 | Eq      |
|           |           |           |           |           | uipment |
| FIXED     | FIXED     |           | 5.150     | FIXED     | (18)    |
|           |           |           | US41      |           |         |
| MOBILE    | MOBILE    |           |           | MOBILE    | Private |
|           |           |           |           |           | Land    |
| Radi      | RADI      |           |           | Radi      | Mobile  |
| olocation | OLOCATION |           |           | olocation | (90)    |
|           |           |           |           |           |         |
| 5.150     | 5.150     |           |           | 5.150     | Fixed   |
| S5.397    | 5.394     |           |           | US41      | Mi      |
|           |           |           |           |           | crowave |
|           |           |           |           |           | (101)   |
+-----------+-----------+-----------+-----------+-----------+---------+

\* \* \* \* \*

UNITED STATES (US) FOOTNOTES

\* \* \* \* \*

USxxx In the bands 135.7-137.8 kHz and 5250-5400 kHz, the amateur
service is allocated on a secondary basis.

**PART 97-AMATEUR RADIO SERVICE**

3\. The authority citation for Part 97 continues to read as follows:

AUTHORITY: 48 Stat. 1066, 1082, as amended: 47 U.S.C. 154, 303.
Interpret or apply 48 Stat. 1064-1068, 1081-1105, as amended; 47 U.S.C.
151-155, 301-609, unless otherwise noted

4\. Section 97.3(b) is amended by adding a new paragraph (4) and
renumbering the rest starting with the existing number (4) to read as
follows:

**[§ 97.3 Definitions.]{.underline}**

\(4\) LF (low frequency). The frequency range between 3 kHz and 300 kHz.

5\. Sections 97.301 (b), (c), and (d) are modified as indicated below.

**[§ 97.301 Authorized Frequency Bands.]{.underline}**

a\. Sections 97.301 (b), (c), and (d) are each modified to add, at the
beginning of the table in each subsection, the following:

+-------------+---------+------------+-------+-------------------------+
| Wavelength  | ITU     | ITU        | ITU   | Sharing requirements    |
| Band        |         |            |       |                         |
|             | Region  | Region 2   | R     | See § 97.303, paragraph |
|             | 1       |            | egion |                         |
|             |         |            | 3     |                         |
+-------------+---------+------------+-------+-------------------------+
| LF          | kHz     | kHz        | kHz   |                         |
+-------------+---------+------------+-------+-------------------------+
| 2200m       |         | 1          |       | \(s\)                   |
|             |         | 35.7-137.8 |       |                         |
+-------------+---------+------------+-------+-------------------------+

b\. Sections 97.301 (b), (c), and (d) are each modified to add, between
the 75m and 40m rows in the table in each subsection, the following:

+-------------+---------+------------+-------+-------------------------+
| Wavelength  | ITU     | ITU        | ITU   | Sharing requirements    |
| Band        |         |            |       |                         |
|             | Region  | Region 2   | R     | See § 97.303, paragraph |
|             | 1       |            | egion |                         |
|             |         |            | 3     |                         |
+-------------+---------+------------+-------+-------------------------+
| HF          | MHz     | MHz        | MHz   |                         |
+-------------+---------+------------+-------+-------------------------+
| 60m         |         | 5          |       | \(t\)                   |
|             |         | .250-5.400 |       |                         |
+-------------+---------+------------+-------+-------------------------+

6\. Section 97.303 is proposed to be amended by revising paragraphs
(j)(2)(iii), (j)(2)(iv), and adding new paragraphs (s) and (t) to read
as follows:

**[§ 97.303 Frequency sharing requirements.]{.underline}**

**\* \* \* \* \***

\* \* \* \* \*

\(j\) \* \* \* \* \*

\(2\) \* \* \* \* \*

\(iii\) The 2390-2417 MHz segment is allocated to the amateur service on
a primary basis.

\(iv\) The 2417-2450 MHz segment is allocated to the amateur service on
a co-secondary basis with the Federal Government radiolocation service.
Amateur stations operating within the 2400-2450 MHz segment must accept
harmful interference that may be caused by the proper operation of
industrial, scientific, and medical devices operating within the band.

\* \* \* \* \*

\(s\) No amateur station transmitting in the 135.7-137.8 kHz segment
shall cause harmful interference to any Federal fixed or maritime
stations; any non-Federal Government fixed station; or, in the polar
regions above 60 degrees North latitude, any aeronautical fixed station;
nor is any amateur station protected from interference due to the
operation of any such station.

\(t\) No amateur station transmitting in the 5.250-5.400 MHz band shall
cause harmful interference to stations authorized in the mobile and
fixed services; nor is any amateur station protected from interference
due to the operation of any such station.

\* \* \* \* \*

7\. Modification to section 97.305 (c)

**[§ 97.305 Authorized Emission Types.]{.underline}**

\(a\) Section 97.305 (c) is amended to add the following at the
beginning the table:

+-------------+--------------+--------------+--------------------------+
| Wavelength  | Frequencies  | Emission     | Standards                |
| Band        |              | Types        |                          |
|             |              | Authorized   | See § 97.307(f),         |
|             |              |              | paragraph:               |
+-------------+--------------+--------------+--------------------------+
| LF:         |              |              |                          |
+-------------+--------------+--------------+--------------------------+
| 2200m       | Entire band  | RTTY, data   | \(14\)                   |
+-------------+--------------+--------------+--------------------------+

\(b\) Section 97.305 (c) is modified to add the following between the
75m and 40m rows in the table:

+-------------+--------------+--------------+--------------------------+
| Wavelength  | Frequencies  | Emission     | Standards                |
| Band        |              | Types        |                          |
|             |              | Authorized   | See § 97.307(f),         |
|             |              |              | paragraph:               |
+-------------+--------------+--------------+--------------------------+
| HF          |              |              |                          |
+-------------+--------------+--------------+--------------------------+
| 60m         | Entire band  | RTTY, data   | \(3\) (9)                |
+-------------+--------------+--------------+--------------------------+
| 60m         | Entire band  | Phone, image | \(1\) (2)                |
+-------------+--------------+--------------+--------------------------+

8\. Section 97.307(f) is proposed to be amended by adding new paragraph
(14) to read as follows:

**[§ 97.307 Emission Standards.]{.underline}**

\(f\) \* \* \* \* \*

\(14\) The bandwidth of the transmitted signal shall not exceed 100
hertz.

9\. Section 97.313 (i) is amended as follows.

**[§ 97.313 Transmitter Power Standards.]{.underline}**

b\. Section 97.313 (i) is added:

(i)No station may transmit with a transmitter power exceeding 100 W PEP
in the 135.7-137.8 kHz segment, and the total Effective Isotropic
Radiated Power (EIRP) shall not exceed 1 Watt.

[^1]: *See* 47 C.F.R. § 97.1.

[^2]: A secondary service shall not cause harmful interference to
    stations of primary or permitted services to which frequencies are
    already assigned or to which frequencies may be assigned at a later
    date; cannot claim protection from harmful interference from
    stations of a primary or permitted service to which frequencies are
    already assigned or may be assigned at a latter date; can claim
    protection, however, from harmful interference from stations of the
    same or other secondary service(s) to which frequencies may be
    assigned at a later date. *See* 47 C.F.R. § 2.104.

[^3]: The low frequency region of the spectrum is defined as frequency
    bands between 30 kHz and 300 kHz.

[^4]: The high frequency region of the spectrum is defined as frequency
    bands between 3 MHz (3000 kHz) and 30 MHz

[^5]: *See* 47 C.F.R. §§ 97.3 (3) and 97.11.

[^6]: *See* 47 C.F.R. §§2.104 and 2.106. The U.S. is located in ITU
    Region 2.

[^7]: ITU-R Region 3 is generally the Asia-Pacific Region. *See* 47
    C.F.R. §2.104(b)(3).

[^8]: ITU-R Region 1 is generally Europe, Africa and the Middle East.
    *See* 47 C.F.R. §2.104(b)(1).

[^9]: *See* 47 C.F.R. §§ 15.113, 15.209 and 15.217. *See also* 47 C.F.R.
    §2.106 footnote US294.

[^10]: *See Report and Order*, Docket No. 20271, 70 FCC 2d 1193 (1978).

[^11]: *See* *Petition for Rule Making,* RM-9404, Public Notice (rel.
    November 23, 1998) Report No. 2306. The *LF Petition* specifically
    requests amendment of 47 C.F.R. §§ 2.106; 97.3 (b); 97.301(b), (c),
    and (d); 97.303; 97.305(c); and 97.313(c).

[^12]: In addition, the Commission received a petition for rulemaking
    from Mr. Nickolaus E. Leggett on November 27, 1998. This petition
    also requested the Commission consider a secondary allocation to the
    amateur radio service in the 135.7-137.8 kHz and 160-190 kHz bands.
    As these bands are the same as contained in the *ARRL LF Petition
    (RM-9404)* which was placed on public notice for comment, we find
    that it is not necessary to put the Leggett petition out for comment
    as the record is adequate for the purposes of this *Notice and
    Order*. Thus, it will be treated as a comment in support of the *LF
    Petition*.

[^13]: *See* *LF Petition* at i.

[^14]: *See* *LF Petition* at i.

[^15]: These transmissions often only travel a fraction of a kilometer.
    However, amateurs experimenting with communications using continuous
    wave, RTTY (*see* footnote 18 for a definition of RTTY) or pulse
    transmissions can achieve distances of 160 to 480 kilometers under
    favorable propagation conditions. In rare cases, with very well
    tuned devices, they can achieve distances of approximately 1300
    kilometers. However, with an allowable power of 5W ERP, they can
    achieve transcontinental communications. *See*
    [www.lwca.org](http://www.lwca.org/), the [Longwave Home
    Page]{.underline}, for more information.

[^16]: PEP is defined as the average power supplied to the antenna
    transmission line by a transmitter during one radio frequency cycle
    at the crest of the modulation envelope taken under normal operating
    conditions. *See* 47 C.F.R. §2.1.

[^17]: Continuous wave signals are unmodulated carrier frequencies.
    Information is transmitted by turning the carrier on or off in
    recognized patterns, such as Morse Code.

[^18]: RTTY is defined as narrow-band direct-printing telegraphy with
    specific emission designators. *See* 47 C.F.R. §97.3(c)(7) for more
    information.

[^19]: The amateur radio operator licenses that are above General Class
    include the Advanced and Amateur Extra Class operator licenses.
    *See* 47 C.F.R. §97.9 for more information.

[^20]: CEPT is an organization under the European Union umbrella that
    deals with spectrum management issues.

[^21]: ERP and EIRP differ in magnitude by 2.15 dB. This is caused by a
    2.15 dB increase in radiated power from a dipole antenna relative to
    an isotropic antenna.

[^22]: *See LF Petition* at 6.

[^23]: *Id.* at 8. ARRL claims that the GWEN system is to be deleted and
    the transmitter sites are to be used for other purposes and managed
    by the U.S. Coast Guard.

[^24]: Typical amateur operations use a "listen-before-transmit"
    technique whereby the operator listens to ensure the channel is not
    in use before transmitting.

[^25]: *See LF Petition* at 9.

[^26]: The power grid is made up of a generating station, which outputs
    the electricity onto high voltage transmission lines (50 kV to 765
    kV). These lines carry the power to a substation which reduces the
    line voltage to below 50 kV for use by businesses and housing
    subdivisions. These 50 kV lines are further reduced via local
    transformers to the typical 120/240 V used for providing electrical
    service to individual households.

[^27]: *See* *LF Petition* at 15.

[^28]: *Id.* at 17, citing Hohn, J.W., et.al, POWER LINE CARRIER
    PRACTICES AND EXPERIENCES, IEEE Transactions on Power Delivery, Vol
    10, No. 2, April 1995.

[^29]: *Id.* at 16.

[^30]: The *LF* *Petition* was placed on public notice on November 23,
    1998. *See* Public Notice Report No. 2306. A list of commenters is
    in Appendix A.

[^31]: *See, e.g., Ex parte* Comments of Eyre-Eagles at 1, *Ex parte*
    Comments of Galasso at 2, *Ex parte* Comments of Leggett at 1, and
    *Ex parte* Comments of Rayburn at 1.

[^32]: Radio waves have both an electric and a magnetic component. In
    the LF spectrum, antennas (sensors) may be designed to utilize one
    or the other component for more efficient communication.

[^33]: *See* Comments of Texas Instruments, at 3.

[^34]: *See* *Ex parte* Comments of HID Corporation at 1-2. Signals mix
    in the front end of a receiver and create sum and difference signals
    which may then be passed through the receiver's filter if they are
    close enough to the desired signal's frequency. For example, a
    signal at 125 kilohertz may mix with a signal at 135.8 kilohertz and
    create new 10.8 kilohertz and 260.8 kilohertz signals. If the
    receiver is looking for signals near 10 kilohertz, this new signal
    can interfere with the expected signal.

[^35]: *Id.* at 4. HID asserts that loop antennas emphasize H-field
    coupling up to 1 wavelength (2.21 km) away and are prone to
    broadband harmonic emissions if not properly tuned.

[^36]: *See* Comments of Texas Instruments, at 3*.* Defining
    interference in the manner proposed by TI would permit a Part 15
    device to cause interference to operations of a secondary service.
    However, Part 15 devices would not be protected from amateur
    stations operating under the proposed secondary allocation.

[^37]: *See* Reply Comments of ARRL, at 3.

[^38]: *Id.*

[^39]: On March 30, 1999 ,ARRL filed a *Motion to Strike* ("*Motion*")
    comments from the IEEE Relay Communications Subcommittee, Michael
    McDonald, Paul Drum and ComEd because they were more than 30 days
    late and ARRL was not served in violation of Section 1.405 (b) of
    the Commission's Rules. We believe that it is in the public interest
    to have as complete a record as possible in this proceeding. We
    further note that while ARRL was not properly served, their *Motion*
    included a substantive response to these comments and was considered
    by the Commission as well. Therefore we deny ARRL's *Motion to
    Strike.*

[^40]: *See* *Ex parte* Comments of UTC at 2.

[^41]: ON/OFF keyed PLC systems are similar to DCR systems described in
    the *LF Petition*.

[^42]: *See* *Ex parte* Comments of the IEEE Relay Communications
    Subcommittee, dated February 12, 2001 at 1.

[^43]: FSK PLC systems are similar to DTT systems described in the *LF
    Petition.*

[^44]: *See* *Ex part Comments* of the IEEE Relay Communications
    Subcommittee, dated February 12, 2001 at 1.

[^45]: *Id.*

[^46]: *See, e.g., Ex parte* Comments of Commonwealth Edison, dated
    March 8, 1999, at 4, and Comments of Alabama Power, Georgia Power,
    Gulf Power, Michigan Power and Savannah Electric at 1.

[^47]: *See* *Ex parte* Comments of the IEEE Relay Communications
    Subcommittee, dated February 12, 2001, at 3.

[^48]: *See* *Ex parte* Comments of the IEEE Relay Communications
    Subcommittee, dated January 29, 1999, at 1.

[^49]: *See Ex parte* Comments of Commonwealth Edison, dated March 8,
    1999, at 4.

[^50]: *See* *Ex parte* Comments of Southeast Reliability Council at 1
    and the *Ex parte* Florida Reliability Council at 1.

[^51]: *See Ex parte* Comments of UTC at 4.

[^52]: *See* *Ex parte* Comments of Commonwealth Edison, dated March 8,
    1999, at 3.

[^53]: The longer the antenna, the more radiated power that can be
    achieved with the same transmitter output power. By attaching a wire
    to a kite, the Dutch amateur radio operator effectively created a
    long-wire antenna much closer in length to ideal quarter-wave
    monopole length. The higher the efficiency of an antenna, the more
    power can be radiated from it for a given transmitter output power.
    For example, under the current antenna length limit of 15 m (*See*
    47 CFR § 15.217) antenna efficiencies are approximately 0.02%. If
    the allowable antenna length is increased to 60 m, then the
    efficiency increases to 1%. Thus an EIRP of 0.04 W radiating from a
    15 meter antenna increases to 2W when a 60 meter antenna is used.
    *See* *LF Petition* at 13.

[^54]: *See* *Ex parte* Comments of The IEEE Relay Communications
    Subcommittee, dated January 29, 1999, at 1

[^55]: *Id.* at 6.

[^56]: *Id.* at 6-7.

[^57]: *Id.* at 7.

[^58]: UTC maintains a database in accordance with 47 C.F.R. § 90.35
    (g). This database was established in order to provide information
    on PLC use by utilities and also to assist in coordination with
    other primary uses of the 10-490 kHz band. Our analysis showed that
    there were approximately 430 PLC systems in operation in 400
    locations in the United States in the 135.7-137.8 kHz band.

[^59]: *See* Document PCC.III/doc. 2171/02, Draft Proposals for the Work
    of the Conference WRC-03 Agenda Item 1.1, submitted by Canada, dated
    February 11, 2002. A copy of this document will be placed in the
    docket file.

[^60]: *Supra*, n. 80.

[^61]: Our analysis showed that there were approximately 4900 PLC
    systems in operation in 3000 locations in the United States in the
    160-190 kHz band.

[^62]: *See* 47 C.F.R. § 15.23 (the rule allows for an amateur to
    construct no more than five home-built devices that are not marketed
    or not constructed from a kit).

[^63]: File number 6206-EX-PL-1998, call sign WA2XSY.

[^64]: *See* *Petition For Rule Making,* RM-10209, Public Notice (rel.
    Aug. 13, 2001) Report No. 2501.

[^65]: The *5000 kHz Petition* specifically requests amendment of 47 CFR
    §§ 2.106; 97.13(c)(1); 97.301(b), (c), and (d); 97.303, and 97.305.

[^66]: HF communications rely on the electric charging (ionization) of
    the ionosphere (atmospheric altitudes between 50-500 km) to refract
    the radio signal back to Earth. This charging is caused when the
    sun's radiation collides with uncharged atoms in the Earth's
    atmosphere, producing free electrons which affect the frequencies
    that will be refracted. The ionosphere varies with the solar cycle,
    the seasons, and the time of day and thus, the frequencies that are
    refracted vary correspondingly. Frequencies which provide reliable
    communication at one time may not do so a short time later. There
    are times when the 3500-4000 kHz band is too low and the 7000-7300
    kHz is too high for reliable communication. If the frequency is too
    high, the wave will penetrate the ionosphere and not be refracted;
    if it is too low, the signal may be absorbed by the atmosphere. *See
    5000 kHz Petition* at 1-2

[^67]: *See 5000 kHz Petition* (RM-10209) at 2.

[^68]: *Id.*

[^69]: *Id.* at 2. ARRL also contends that experimental tests in the
    5200 kHz band have been successful in providing a communications
    path between the U.S. and Caribbean countries.

[^70]: *Id.* at 6.

[^71]: *Id.* at 16.

[^72]: *See* Department of Commerce, *U.S. National Spectrum
    Requirements: Projections and Trends*, NITA Special Publication
    94-31, March 1995. *See* also Department of Commerce, *High
    Frequency Spectrum Planning Options*, NTIA Special Publication
    96-332, November 1996. ARRL contends that while the DOC reports
    focused on the 4945-4995 kHz band, it was only to illustrate that an
    allocation around 5000 kHz is needed.

[^73]: *See 5000 kHz Petition.* at 5-6.

[^74]: *See* Department of Commerce, *U.S. National Spectrum
    Requirements: Projections and Trends*, NITA Special Publication
    94-31, March 1995.

[^75]: *Id.* at 3.

[^76]: *Id.* at 6.

[^77]: *Id.* at 17. The report on ARRL's experimental operation is
    contained within Annex 2 of the *5000 kHz Petition,* starting at
    page 15.

[^78]: Commenters are listed in Appendix B.

[^79]: *See* Comments of Taylor at 1.

[^80]: *See* Comments of Grant at 1.

[^81]: *See* Comments of Allen at 1.

[^82]: *See* Comments of Ponsness at 1 and. Perkins at 1, respectively.

[^83]: *See* Comments of Gustafson at 1.

[^84]: *See* footnote 17*, supra.*

[^85]: Single-sideband signals are amplitude-modulated signals where
    only one of the sidebands is transmitted.

[^86]: *See* Comments of Ellis at 1.

[^87]: *See* Comments of DeCaria at 1.

[^88]: *See* Comments of McVey at 1.

[^89]: *See* Comments of Koles at 1.

[^90]: *See* Comments of Tannehill at 1 and.Gustafson at 1,
    respectively.

[^91]: Europe is in ITU-R Region 1 and Asia is in ITU-R Region 3.

[^92]: A search of the Government Master File and the Commission's
    license databases in this band in January 2002 found a total of 757
    assignments. Twenty-six of those assignments are non-Federal
    Government.

[^93]: *See* 47 C.F.R. §97.303(d).

[^94]: *See* *5000 kHz Petition* at 19.

[^95]: *See* 47 C.F.R. § 97.305.

[^96]: *See* 47 C.F.R. § 2.106 footnote S5.150. ISM devices are
    equipment or application designed to generate and use locally RF
    energy for industrial, scientific, medical, domestic or similar
    purposes, excluding applications in the field of telecommunication.
    Typical ISM applications are the production of physical, biological,
    or chemical effects such as heating, ionization of gases, mechanical
    vibrations, hair removal and acceleration of charged particles.
    *See* also 47 C.F.R. §18.107.

[^97]: *See* 47 C.F.R. §2.106 footnote S5.282.

[^98]: *See* 47 C.F.R. §15.247(b)(1), which permits higher-powered
    operations in this frequency band for spread spectrum transmitters.

[^99]: *See* 47 C.F.R. §§15.24 and 15.249.

[^100]: The Federal-Government allocation was used, to a limited extent,
    by the military for radar testing systems such as target scattering
    and enemy radar simulators. *See* NTIA, Spectrum Reallocation Final
    Report, NTIA Special Publication 95-32 (rel. Feb. 1995).

[^101]: *See* OBRA-93, § 6001(a) (codified at 47 U.S.C. § 923(a)-(b)).

[^102]: In doing so, NTIA took note of the Congressional requirement
    that amateur operations were to be minimally disrupted by the
    reallocations. *See NTIA Spectrum Reallocation Final Report*, NTIA
    Special Report 95-32, February 1995, at 4-30.

[^103]: *See* 47 C.F.R. §2.106 footnote G123.

[^104]: *See Policy Statement*, FCC 99-354, 14 FCC Rcd 19868 (1999).

[^105]: *See* *Petition for Rule Making,* RM-9949, Public Notice (rel.
    Aug. 30, 2000) Report No. 2433.

[^106]: *See* 47 C.F.R. §§2.106 and 97.303(j)(2).

[^107]: *See 2400 MHz Petition* at 4-5.

[^108]: *See 2400 MHz Petition* at 7.

[^109]: A beacon is an amateur station transmitting communications for
    the purposes of observation of propagation and reception or other
    related experimental activities. *See* 47 C.F.R. § 97.3 (a) (9).
    Operation of a beacon station is permitted as specified in 47 C.F.R.
    § 97.203. ARRL also lists the following satellite operations that
    use the 2400-2402 MHz segment: UoSAT-OSCAR 9, AMSAT-OSCAR 13,
    PACSAT-OSCAR 16, DOVE-OSCAR 17, and AMSAT-P3D. *See* Amateur
    Spacecraft Statistics Chart in the ARRL Radio Amateur's Satellite
    Handbook, at Appendix A, pages 1-6.

[^110]: *See* *2400 MHz Petition* at 10.

[^111]: *See* Radio Amateur Satellite Corporation ("AMSAT") Comments at
    2 and Murray Comments at 2. The Phase 3D satellite will use various
    amateur bands between 21 MHz and 5.7 GHz. The spacecraft was built
    by volunteers from a number of countries at a cost of approximately
    \$4 million dollars.

[^112]: A list of these commenters is presented in Appendix C.

[^113]: *See* Comments of. Murray at 2.

[^114]: *See* Comments of AMSAT at 2. The spacecraft was launched on
    November 16, 2000.

[^115]: *Id*.

[^116]: *See* 47 C.F.R. §2.106 footnote S5.282.

[^117]: *See* 47 C.F.R. §2.106, footnote S5.150.

[^118]: *See* 5 U.S.C. § 603(a).

[^119]: *See* 5 U.S.C. § 603. The RFA, *see* 5 U.S.C. § 601-- 612, has
    been amended by the Small Business Regulatory Enforcement Fairness
    Act of 1996 (SBREFA), Pub. L. No. 104-121, Title II, 110 Stat. 857
    (1996).

[^120]: 5 U.S.C. § 605(b).

[^121]: 5 U.S.C. § 601(6).

[^122]: 5 U.S.C. § 601(3) (incorporating by reference the definition of
    "small business concern" in the Small Business Act, 15 U.S.C. §
    632). Pursuant to 5 U.S.C. § 601(3), the statutory definition of a
    small business applies "unless an agency, after consultation with
    the Office of Advocacy of the Small Business Administration and
    after opportunity for public comment, establishes one or more
    definitions of such term which are appropriate to the activities of
    the agency and publishes such definition(s) in the Federal
    Register."

[^123]: 15 U.S.C. § 632.

[^124]: *See* 47 CFR §§97.1 and 97.3(a).

[^125]: *See* 47 CFR §§97.113(a)(2).

[^126]: 5 U.S.C. § 605(b).

[^127]: 5 U.S.C. § 605(b).