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 Federal  Communications  Commission  DA  04-  1871 
 Before  the  Federal  Communications  Commission 
 Washington,  D.  C.  20554 


 In  the  Matter  of 
 GARMIN  AT,  INC. 
 Request  for  Waiver  of  Part  87  Rules  to  Permit  Equipment  Authorization  and  Use  of  Universal 
 Access  Transceivers  on  the  Frequency  978  MHz 


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 ORDER 
 Adopted:  June  24,  2004  Released:  June  28,  2004 
 By  the  Chief,  Public  Safety  and  Critical  Infrastructure  Division,  Wireless  Telecommunications  Bureau: 
 1.  Introduction.  On  April  1,  2004,  GARMIN  AT,  Inc.  (GARMIN)  filed  a  request  for  waiver  of  the  Commissions  Part  87  rules  to  permit  the  authorization  of  Universal  Access  Transceiver 
 (UAT)  equipment  and  to  permit  UAT  operation  on  the  frequency  978  MHz.  1  For  the  reasons  discussed  herein,  we  grant  the  Waiver  Request  subject  to  conditions  set  forth  below. 


 2.  Background.  UAT  is  a  radio  datalink  technology  that  has  been  developed  to  provide  Automatic  Dependent  Surveillance    Broadcast  Service  (ADS-  B)  and  other  services  to  the  aviation 
 community.  2  Deployment  of  ADS-  B  will  enhance  safety  of  flight  by  enabling  aircraft  in  the  same  airspace  to  precisely  track  each  others  movement,  reducing  the  risk  of  mid-  air  collisions.  On  October  16, 
 2003,  the  Commission  issued  a  Report  and  Order  and  Further  Notice  of  Proposed  Rule  Making  in  WT  Docket  No.  01-  289,  in  which  it  proposed  to  amend  the  Part  87  Rules  governing  the  Aviation  Radio 
 Service  to,  inter  alia,  authorize  UAT  operations  on  the  978  MHz  frequency.  3  Specifically,  the  Commission  proposed  to  amend  or  add  Sections  87.137(  a)  (to  specify  the  emission  designator  F1D  for 
 UAT  operations  on  978  MHz),  87.139(  l)(  1)  (to  impose  emission  limitations  on  UAT  operations),  87.141(  k)  (to  impose  modulation  requirements  on  UAT  operations),  87.173(  b)  (to  list  978  MHz  in  the 
 table  of  frequencies  as  available  for  UAT  operations),  and  87.187(  ff),  87.263(  g),  87.345(  f),  87.349(  e),  87.375(  e),  87.417(  c),  and  87.475(  b)(  9)  (all  to  authorize  the  use  of  978  MHz  for  UAT  data  transmission).  4 


 1  Letter  dated  April  1,  2004,  from  Larry  S.  Solomon,  Attorney  for  GARMIN  AT,  Inc.,  to  Dwana  R.  Terry,  Chief, 
 Public  Safety  and  Critical  Infrastructure  Division,  FCC  (Waiver  Request).  2 
 ADS-  B  Service  automatically  broadcasts  Global  Positioning  System-  derived  information  on  the  location,  velocity,  altitude,  heading,  etc.  of  an  ADS-  B  equipped  aircraft  to  other  ADS-  B  equipped  aircraft  and  also  to  ADS-B 


 ground  stations  for  distribution  to  air  traffic  control  systems.  For  a  more  detailed  description  of  both  UAT  and  ADS-  B,  see  www.  alaska.  faa.  gov/  capstone/  docs/  uat.  htm. 
 3  See  Review  of  Part  87  of  the  Commissions  Rules  and  Concerning  the  Aviation  Radio  Service,  Report  and 
 Order  and  Further  Notice  of  Proposed  Rule  Making,  WT  Docket  No.  01-  289,  18  FCC  Rcd  21432,  21468    77  (2003)  (Part  87  FNPRM). 


 4  See  Part  87  FNPRM  Appendix  B,  18  FCC  Rcd  at  21505-  15. 
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 These  proposals  remain  pending  before  the  Commission. 
 3.  GARMIN  filed  the  Waiver  Request  seeking  a  waiver  of  Sections  87.137,  87.145  and  87.187  of  the  Commissions  Rules  5  and  any  other  applicable  provisions  of  the  Commissions  Rules  so 


 that  GARMINs  UAT  Model  No.  GDL  90  may  be  certified  and  authorized  for  operation  on  978  MHz  in  accordance  with  the  Commissions  UAT  proposal  in  the  Part  87  FNPRM  in  advance  of  a  Commission 
 decision  on  whether  to  adopt  the  proposal.  6  GARMIN  represents  that  its  UAT  is  designed  to  broadcast  on  the  978  MHz  frequency  with  the  emission  designator  1M70F1D  and  50  watts  output  power,  and  that  the 
 transceiver  complies  with  both  the  relevant  Federal  Aviation  Administration  (FAA)  Technical  Standard  Order,  FAA  TSO-  C154  and  with  the  RTCA  DO-  282  Minimum  Operating  Performance  Standards 
 (MOPS)  that  were  jointly  developed  by  government  and  industry.  7 
 4.  GARMIN  says  that  it  has  supported  the  FAAs  trials  of  UAT  technology  in  Alaska,  and  continues  to  support  FAA  efforts  to  deploy  UAT  technology  in  the  lower  48  states.  8  According  to 


 GARMIN,  many  members  of  the  aviation  community,  including  a  number  of  flight  schools,  want  to  use  UAT.  9  It  adds  that  implementing  the  service  in  high  density  flight  training  areas,  where  radar  services  are 
 costly  or  unavailable,  will  greatly  enhance  public  safety.  10  The  FAA  supports  grant  of  the  requested  waiver,  indicating  in  an  accompanying  letter  that  the  GDL  90  is  the  first  UAT  brought  to  market  that 
 complies  with  the  RTCA  MOPS  and  the  FAA  TSO  standard,  and  that  expeditious  certification  and  operational  approval  of  the  GDL  90  will  benefit  aviation  safety.  11  Both  GARMIN  and  the  FAA  assert 
 that  waiver  relief  is  essential  now  because  there  is  an  immediate  need  to  deploy  UAT  in  the  interest  of  flight  safety,  and  the  benefits  of  UAT  should  not  be  delayed  until  the  release  of  an  order  addressing  this 
 and  the  other  issues  raised  in  the  Part  87  FNPRM.  12 
 5.  On  April  15,  2004,  the  Public  Safety  and  Critical  Infrastructure  Division  (Division),  Wireless  Telecommunications  Bureau,  issued  a  Public  Notice  requesting  comment  on  the  Waiver 


 Request.  13  In  response  to  the  Public  Notice,  Embry-  Riddle  Aeronautical  University,  a  flight  training 
 5  47  C.  F.  R.    87.137,  87.145,  87.187. 
 6  Waiver  Request  at  1. 
 7  Id.  RTCA  is  an  FAA-  sponsored  association  of  aeronautical  organizations  with  diverse  membership.  Organized 
 in  1935  as  the  Radio  Technical  Commission  for  Aeronautics,  RTCA  today  includes  over  200  government,  industry,  and  academic  organizations  from  the  United  States  as  well  as  other  nations,  who  seek  technical  solutions 


 to  problems  involving  the  application  of  electronics  and  telecommunications  to  aeronautical  operations.  8 
 Id.  at  2.  9 
 Id.  10 
 Id.  11 
 Letter  date-  stamped  Mar.  19,  2004,  from  George  K.  Sakai,  Spectrum  Policy  and  Management,  FAA,  to  Dwana  R.  Terry,  Chief,  Public  Safety  and  Critical  Infrastructure  Division,  FCC  (FAA  Letter). 


 12  Waiver  Request  at  2;  FAA  Letter  at  1.  The  FAA  adds  that  since  it  maintains  a  data  base  of  all  avionics, 
 including  UAT,  on  all  aircraft  authorized  to  fly  in  the  United  States,  it  will  be  able  to  assist  the  Commission  in  maintaining  configuration  control  should  any  final  Commission  Rules  governing  UAT  differ  from  those 


 proposed.  13 
 See  Wireless  Telecommunications  Bureau  Seeks  Comment  on  GARMIN  AT  Inc.  Request  for  Waiver  of  Part  87  Rules  to  Authorize  Certification  and  Use  of  Universal  Access  Transceivers,  Public  Notice,  19  FCC  Rcd  6884 


 (2004).  Comments  were  due  by  May  17,  2004  and  reply  comments  were  due  by  May  27,  2004. 
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 school,  filed  comments  strongly  supporting  the  Waiver  Request,  stating  that  UAT  is  a  vital  part  of  ADS-B,  which  will  assist  flight  instructors  and  students  in  maintaining  situational  awareness,  warn  them  of 
 nearby  traffic,  and  provide  them  with  currently  unavailable  safety  options.  14  GARMIN  filed  reply  comments  reiterating  that  an  expeditious  grant  of  the  requested  waiver  would  serve  the  public  interest, 
 and  noting  that  no  comments  in  opposition  to  the  Waiver  Request  have  been  filed.  15 
 6.  Discussion.  Section  1.925  of  the  Commissions  Rules  specifies  that  the  Commission  may  grant  a  waiver  upon  a  showing  either  that  (i)  the  underlying  purpose  of  the  rule(  s)  would  not  be  served  or 


 would  be  frustrated  by  application  to  the  instant  case,  and  that  a  grant  of  the  requested  waiver  would  be  in  the  public  interest;  or  (ii)  in  view  of  unique  or  unusual  factual  circumstances  of  the  instant  case, 
 application  of  the  rule(  s)  would  be  inequitable,  unduly  burdensome  or  contrary  to  the  public  interest,  or  the  applicant  has  no  reasonable  alternative.  16  Based  on  our  review  of  the  record,  we  conclude  that  the 
 Waiver  Request  should  be  granted  because  the  public  interest  in  aviation  safety  would  be  furthered  by  such  action  and  the  underlying  purpose  of  the  waived  rules    promotion  of  flight  safety,  and  efficient  and 
 effective  aviation  radio  communication    would  be  frustrated  absent  a  waiver.  Accordingly,  subject  to  conditions  described  below,  we  hereby  waive  Sections  87.137,  87.139,  87.141,  87.145,  87.173,  87.187, 
 87.263,  87.345,  87.349,  87.375,  87.417,  and  87.475,  17  as  necessary  to  permit  equipment  authorization  and  operation  on  978  MHz  of  GARMIN  UAT  Model  GDL  90. 


 7.  The  Commission  already  has  tentatively  concluded  that  amending  the  Part  87  Rules  to  accommodate  UAT  technology  on  978  MHz  would  serve  the  public  interest.  18  Nothing  in  the  instant  record 
 calls  that  conclusion  into  question.  No  party  has  opposed  the  Waiver  Request  or  suggested  any  reason  to  deny  the  Waiver  Request.  GARMIN,  supported  by  Embry-  Riddle  Aeronautical  University  and,  most 
 significantly,  by  the  FAA,  19  has  cogently  explained  how  and  why  grant  of  the  requested  waiver  relief  would  provide  immediate  benefits  to  aviation  safety,  including  but  not  limited  to  pilot  training  benefits,  without  any 
 apparent  countervailing  public  harm.  The  potential  benefits  of  UAT-  facilitated  ADS-  B  service  in  allowing  pilots  to  keep  better  track  of  other  aircraft  in  their  vicinity  and  thus  avoid  mid-  air  collisions,  are  clear.  As 
 noted  in  the  Part  87  FNPRM,  moreover,  UAT  technology  has  been  field-  tested  extensively  not  only  in 
 14  Embry-  Riddle  Aeronautical  University  Comments  (filed  May  3,  2004). 
 15  GARMIN  Reply  Comments  (filed  May  27,  2004).  GARMIN  also  noted  in  its  Reply  Comments  that  it  has 
 received  the  requisite  Technical  Standard  Order  authority  from  the  FAA  for  operation  of  the  GDL  90,  that  testing  of  the  unit  had  been  completed  by  a  Telecommunications  Certification  Body,  and  that  it  anticipates  being  ready  to 


 file  an  equipment  certification  application  in  early  June  if  allowed  to  do  so.  Id.  at  2.  16 
 47  C.  F.  R.    1.925(  b)(  3).  17 
 47  C.  F.  R.    87.137,  87.139,  87.141,  87.145,  87.173,  87.187,  87.263,  87.345,  87.349,  87.375,  87.417,  and  87.475.  We  are  waiving,  as  needed,  both  the  rules  specifically  identified  by  GARMIN  in  the  Waiver  Request  and 


 the  other  rules  that  the  Commission,  in  the  Part  87  FNPRM,  proposed  to  amend  to  accommodate  UAT  operations,  to  better  ensure  that  there  is  no  unanticipated  obstacle  to  providing  GARMIN  with  the  full  scope  of  the  waiver 
 relief  intended.  18 
 Part  87  FNPRM,  18  FCC  Rcd  at  21468    77.  We  emphasize  that  the  instant  waiver,  granted  under  delegated  authority,  does  not  prejudge  the  Commissions  resolution  of  the  UAT  proposals  and  issues  in  the  WT  Docket  No. 


 01-  289  rulemaking  proceeding.  As  noted  infra,  the  waiver  is  expressly  conditioned  on  the  outcome  of  that  proceeding. 
 19  The  Commission  generally  defers  to  the  FAA  as  expert  agency  for  air  safety.  See,  e.  g.,  Streamlining  the 
 Commission's  Antenna  Structure  Clearance  Procedure,  Memorandum  Opinion  and  Order  and  Order  on  Reconsideration,  WT  Docket  No.  95-  5,  15  FCC  Rcd  8676,  8679    5  (2000). 
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 Alaska,  but  also  at  several  sites  within  the  continental  United  States,  including  the  FAA  Technical  Center  near  Atlantic  City,  New  Jersey,  NASAs  Runway  Incursion  Prevention  System  test  bed  at  Langley,  Virginia, 
 and  the  Dallas-  Ft.  Worth  Airport.  20  The  results  from  those  field  tests  have  persuaded  the  FAA  and  others  that  UAT  technology  can  be  safely,  effectively  and  efficiently  integrated  into  existing  avionics  in  a  manner 
 that  advances  aviation  safety.  On  this  record,  then,  we  agree  with  GARMIN  and  the  FAA  that  it  would  be  counterproductive  to  completely  prohibit  additional  UAT  deployment  until  the  Commission  adopts  and 
 releases  a  Report  and  Order  addressing  the  Part  87  FNPRM,  inasmuch  as  this  may  not  occur  for  several  months.  21 


 8.  In  keeping  with  GARMINs  representations  and  our  intent  to  authorize  UAT  operations  pursuant  to  the  instant  waiver  only  in  a  manner  consistent  with  the  Commissions  proposal  in  the  Part  87 
 FNPRM,  we  condition  the  waiver  on  the  GARMIN  UAT  operating  only  on  the  frequency  978  MHz  with  the  emission  designator  1M70F1D  and  a  maximum  permissible  output  power  of  50  watts.  In  addition, 
 emissions  from  the  UAT  must  be  attenuated  in  accordance  with  the  emission  mask  in  the  proposed  amendment  of  Section  87.139  as  set  forth  in  Appendix  B  of  the  Part  87  FNPRM;  the  UAT  transmitter  must 
 use  F1D  modulation  without  phase  discontinuities;  and  the  UAT  must  otherwise  comply  with  both  FAA  TSO-  C154  and  with  RTCA  DO-  282.  We  also  incorporate  as  conditions  to  the  waiver  several  pledges  and 
 acknowledgements  made  by  GARMIN  in  the  Waiver  Request.  22  First,  use  of  the  GARMIN  UAT  pursuant  to  this  waiver  shall  be  limited  to  U.  S.-  registered  aircraft,  airport  equipment  operators  (e.  g.,  fuel  trucks,  tugs, 
 and  snow  plows),  and  FAA-  sanctioned  ground  stations.  Second,  the  GARMIN  UAT  shall  be  sold  only  through  established  avionics  distribution  channels  authorized  by  the  FAA  to  make  major  alterations  and 
 return  aircraft  to  service.  The  GARMIN  UAT  shall  not  be  made  available  to  the  general  public.  Third,  under  no  circumstances  may  the  operation  of  the  UAT  cause  harmful  interference  or  otherwise  become  a 
 hazard  to  air  navigation,  or  violate  any  international  agreement  or  treaty.  Should  GARMIN  become  aware  of  any  such  occurrence,  it  must  notify  the  Commission  immediately.  Fourth,  the  waiver  granted  herein  may 
 be  terminated  at  the  Commissions  sole  discretion,  without  hearing,  if  the  Commission  deems  such  action  appropriate.  Likewise,  the  Commission  may  modify  the  terms  of  the  waiver  at  any  time,  at  its  sole 
 discretion,  including  without  limitation  imposing  restrictions  on  uplink  slots,  surveillance  radius,  or  maximum  power.  Finally,  the  waiver  is  subject  to  the  outcome  of  the  WT  Docket  No.  01-  289  rulemaking 
 proceeding  with  respect  to  UAT  issues,  and  our  decision  to  grant  the  waiver  is  without  prejudice  to  the  resolution  of  those  issues. 


 9.  Conclusion.  For  the  reasons  discussed  herein,  and  subject  to  the  conditions  described  herein,  we  conclude  that  grant  of  GARMINs  Waiver  Request  would  further  the  public  interest  and  is 
 warranted  under  Section  1.925  of  the  Commissions  Rules.  We  therefore  conditionally  grant  GARMINs  request  to  waive  the  Part  87  Rules  as  necessary  to  permit  the  certification  of  its  UAT  Model  GDL  90  and 
 to  authorize  the  use  of  the  UAT  Model  GDL  90  on  the  frequency  978  MHz. 
 10.  Accordingly,  IT  IS  ORDERED  that  pursuant  to  Sections  4(  i)  and  303(  r)  of  the  Communications  Act  of  1934,  as  amended,  47  U.  S.  C.    154(  i),  303(  r),  and  Section  1.925  of  the 


 Commissions  Rules,  47  C.  F.  R.    1.925,  the  Request  for  Waiver  of  GARMIN  AT,  Inc.  filed  April  1, 
 20  Part  87  FNPRM,  18  FCC  Rcd  at  21468    77. 
 21  We  note  that  a  summary  of  the  Part  87  FNPRM  Proposed  Rules  was  published  in  the  Federal  Register  only  on 
 April  12,  2004,  after  GARMIN  filed  the  Waiver  Request,  and  that  the  pleading  cycle  still  has  not  run  its  course  as  of  the  release  date  of  this  Order.  See  69  Fed.  Reg.  19140  (April  12,  2004).  [?  verify  latter  assertion    reply 


 comments  due  July  6].  22 
 See  Waiver  Request  at  2. 
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 2004,  is  GRANTED,  subject  to  the  conditions  set  forth  above. 
 11.  This  action  is  taken  under  delegated  authority  pursuant  to  Sections  0.131  and  0.331  of  the  Commissions  Rules,  47  C.  F.  R.    0.131,  0.331. 


 FEDERAL  COMMUNICATIONS  COMMISSION 


 Dwana  R.  Terry  Chief,  Public  Safety  and  Critical  Infrastructure  Division 
 Wireless  Telecommunications  Bureau 
5