CURRENT AND FUTURE SPECTRUM

USE BY THE

ENERGY, WATER, AND RAILROAD INDUSTRIES

Response to Title II of the Departments of Commerce,

Justice, and State, the Judiciary,

and Related Agencies Appropriations Act, 2001

Public Law 106-553

U.S. DEPARTMENT OF COMMERCE

National Telecommunications and Information Administration
NTIA SPECIAL PUBLICATION 01-49

CURRENT AND FUTURE SPECTRUM

USE BY THE

ENERGY, WATER, AND RAILROAD INDUSTRIES

Response to Title II of the Departments of Commerce,

Justice, and State, the Judiciary,

and Related Agencies Appropriations Act, 2001

Public Law 106-553

Marshall W. Ross

Jeng F. Mao

U.S. DEPARTMENT OF COMMERCE

Donald L. Evans, Secretary

Nancy J. Victory, Assistant Secretary

for Communications and Information, and

Administrator, National Telecommunications

and Information Administration

January 2002
Project Management

Office of Spectrum Management

William T. Hatch

Associate Administrator

Office of Spectrum Management

Fredrick R. Wentland

Director, Spectrum Plans and Policies

William D. Speights

Manager, Public Safety Program

Report Authors

Marshall W. Ross

Jeng F. Mao
ACKNOWLEDGMENTS

The authors wish to thank the federal agency representatives on the Interdepartment

Radio Advisory Committee for reviewing and providing vital comments and information used in

this report. We also wish to thank Derrick Owens, Richard Orsulak, Gary Patrick, and Edward

Drocella for providing quality suggestions and comments on the earlier versions of this report and

Robert Wilson for preparing the graphs and tables.

A special thanks to NTIA staff, Gloria Mitchell, Carolyn Washington, and Joyce Henry for

providing secretarial support; Joseph Camacho and Steve Litts for their publication assistance;

and Kathy Smith for her invaluable comments and suggestions on earlier and final drafts of this

report.
ix

TABLE OF CONTENTS

ACRONYMS AND ABBREVIATIONS ...................................... xiii

EXECUTIVE SUMMARY ................................................. xvii

1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1

Objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2

Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2

Letter Soliciting Responses from Federal Agencies . . . . . . . . . . . . . . . . . . . . . . 1-3

Request for Comments from the Public . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-4

Report Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4

2 CERTIFIED FREQUENCY COORDINATORS

 AND FEDERAL REGULATORY AGENCIES ............................. 2-1

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1

Certified Frequency Coordinators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-1

The Energy Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-3

The Water Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-5

The Railroad Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-5

Federal Regulatory Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-5

The Energy Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-6

The Water Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-6

The Railroad Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-7

3 THE ENERGY INDUSTRY ............................................ 3-1

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

Industry Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-4

Consumer Demand and Industry Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-4

Deregulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-5

Wireless Communications Infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-7

Voice Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-8

Data Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-9

Wire-Based and Commercial Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-12

Fiber Optic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-12

Power Line Carrier. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-14

Commercial Telephone Lines. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-15

Commercial Wireless Telephones. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-15

Cellular Digital Packet Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-17

Summary of Spectrum and Systems Currently Used . . . . . . . . . . . . . . . . . . . . . . . . . . .3-17

Technical Issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-18

Technology Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-21
x

Trunked Radio Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-21

Wideband Data Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-21

Wireless LAN/WAN Connectivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-22

Geographic Position and Automatic Location Data . . . . . . . . . . . . . . . . . . . . .3-22

Summary of Non-Spectrum Dependent Alternatives

and Commercial Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-23

Possible Future Spectrum Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-24

Possible Future Alternative Technologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-25

4 THE WATER INDUSTRY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

Industry Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-2

Wireless Communications Infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-3

Voice Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-4

Data Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-4

Wire-Based and Commercial Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5

Summary of Spectrum and Systems Currently Used. . . . . . . . . . . . . . . . . . . . . . . . . . . .4-5

Technical Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-6

Technology Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-7

Summary of Non-Spectrum Dependent Alternatives

and Commercial Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-8

Possible Future Spectrum Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-9

5 THE RAILROAD INDUSTRY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1

Industry Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-3

Wireless Communications Infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-4

Voice Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-4

Data Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-5

Wire-Based and Commercial Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-6

Summary of Spectrum and Systems Currently Used. . . . . . . . . . . . . . . . . . . . . . . . . . . .5-7

Technical Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-8

Technology Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-9

Summary of Non-Spectrum Dependent Alternatives

and Commercial Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-10

Possible Future Spectrum Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-10

6 SUMMARY OF CURRENT SPECTRUM USE

 AND FUTURE REQUIREMENTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1

Current Spectrum Used. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1

Future Spectrum Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1

Availability of 700 MHz Guard Band Spectrum. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-3
xi

7 SUMMARY/CONCLUSION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-1

Introduction ........................................................ 7-1

Summary .......................................................... 7-1

Conclusions ........................................................ 7-3

APPENDICES

A PL 106-553; Departments of Commerce, Justice, and State, the Judiciary,

 and Related Agencies Appropriations Act, 2001. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .A-1

B NTIA Request for Comments Published in the Federal Register . . . . . . . . . . . . . . . . . . . . . B-1

C Copy of Letter Sent to Federal Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C-1

D Public Comment and Federal Agency Respondents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .D-1

E Railroad Base Station Map. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E-1

F Executive Summary of the USAT Final Report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .F-1
xiii

ACRONYMS AND ABBREVIATIONS

AAR Association of American Railroads

ACE Atlantic City Electric Company

AEI Automatic Equipment Identification

AMR Automatic Meter Reader

APCO Association of Public-Safety Communications Officials

API American Petroleum Institute

ATCS Advanced Train Control System

AWWA American Water Works Association

BG&E Baltimore Gas & Electric

BPA Bonneville Power Administration

CAD Computer Aided Design

CDPD Cellular Digital Packet Data

CFR Code of Federal Regulations

CICC Critical Infrastructure Communications Coalition

Cinergy Cinergy Corporation

Cinergy Supp. Cinergy Corporation’s supplemental comments

CMP Central Maine Power Company

DFS Data Flow Systems, Inc. 

DOD Department of Defense

DOE Department of Energy

DOE/CIO DOE, Chief Information Officer

DOE/IRAC DOE, Interdepartment Radio Advisory Committee

DOI Department of Interior

Dominion Dominion Resources Services, Inc.

DOT Department of Transportation

DPL Delmarva Power & Light Company

DTE The Detroit Edison Company

EBMUD East Bay Municipal Utility District

EMR Electronic Meter Reading

EPA Environmental Protection Agency 

EOT End-of-Train Device

FCC Federal Communications Commission

FERC Federal Energy Regulatory Commission

FM Frequency Modulation

FPL Florida Power & Light Company 

FRA Federal Railroad Administration

GHz GigaHertz

GIS Geographic Information Systems

GPU GPU Energy, Inc. 

HR House of Representatives

IRAC Interdepartment Radio Advisory Committee
xiv

Itron Itron, Inc.

kHz KiloHertz

LAN Local Area Network

LMCC Land Mobile Communications Council

LMCS Land Mobile Communications Service 

LMR Land Mobile Radio

LMS Location and Monitor Service

MAS Multiple Address System

Mb/s Mega bits per second

MB/S Mega bytes per second

MDD Mobile Data Dispatch

MHz MegaHertz

ms Millisecond

NAES North Atlantic Energy Service Corporation

NMP Niagara Mohawk Power Corporation

NRTC National Rural Telecommunications Cooperative

NTIA National Telecommunications and Information Administration

OPPD Omaha Public Power District

OPS Office of Pipeline Safety

PCS Personal Communication Service

PL Public Law

PLC Power Line Carrier

PLMR Private Land Mobile Radio

PLMRS Private Land Mobile Radio Service

PLTF Power Line Telecommunications Forum

PMA Power Market Administration

PNR Pittsburgh Naval Reactors

POFS Private Operational-Fixed Microwave Service

PSTN Public Switched Telephone Network

PSWN Public Safety Wireless Network

PTC Positive Train Control

PSP Public Safety Program

RF Radio Frequency

RFC Request for Comment

RSPA Research and Special Programs Administration

SCADA Supervisory Control And Data Acquisition

SCANA SCANA Corporation

SMR Special Mobilized Radio

SRS Savannah River Site

UHF Ultra High Frequency

U.S. United States

USACE U.S. Army Corps of Engineers

USAT Utilities Spectrum Assessment Taskforce
xv

USATFR Utilities Spectrum Assessment Taskforce Final Report

USC United States Code

USEPA U.S. Environmental Protection Agency

UTC United Telecomm Council

VHF Very High Frequency

WAN Wide Area Network

Western Western Area Power Administration

WGP Williams Gas Pipeline
xvii

EXECUTIVE SUMMARY

BACKGROUND

Public Law 106-553, The Departments of Commerce, Justice, and State, the Judiciary,

and Related Agencies Appropriations Act, requires the National Telecommunications and

Information Administration (NTIA) to consult with other federal agencies and departments

responsible for regulating the core operations of entities engaged in the provision of energy,

water, and railroad services and to report to Congress no later than one year after the Act’s

enactment on the current and future use of spectrum by these entities to protect and maintain the

Nation’s critical infrastructure.

NTIA employed the following methodology to facilitate and expedite the information

gathering process from the energy, water, and railroad industries; representative trade

organizations; and federal agencies with regulatory oversight of these industries:

• A Request for Comments, with a 60-day comment period, was published in the

Federal Register on April 9, 2001. NTIA received a total of 19 responses from

members of the utilities industry and various trade organizations. The membership

of these trade organizations represents major segments of the energy, water, and

railroad industries. This report contains a compilation of the responses received to

the Request for Comments.

• A letter was sent to Executive Branch agencies that exercise oversight of these

industries containing specific questions pertaining to the current and future

spectrum requirements of providers of energy, water, and railroad services.

NTIA reviewed the information collected through comments, reports, and other sources

of information. NTIA presents its findings in this report based upon such data. NTIA found that

providers of energy, water and railroad services submitting comments for this report had concerns

regarding their current and future spectrum requirements. In addition, federal agencies who

regulate the core operations of these industries (or some aspect of those operations) generally

concur with comments by the industry and its representative trade organizations. Specifically,

these comments disclosed the following key issues regarding spectrum usage by these industries.

• Continued use of spectrum is essential to the current and future operations of these

industries, taking into account industry trends and advances in wireless

telecommunications technology. Providers of energy, water and railroad services

are vital components of the nation’s critical infrastructure.
xviii

• Problems of interference caused by congestion in the land mobile portion of the

spectrum currently utilized was the issue mentioned most frequently by

commenters. The issue of exclusivity (e.g., spectrum that is allocated for specific

services) was a key thread throughout the comments.

• According to industry, reliance on commercial services for mission critical

functions is hampered by insufficient coverage, reliability, redundancy, and

robustness. Additionally, the high cost of commercial wireless services and

wireline technologies affect reliance on these technologies.

• Almost all commenters mentioned general frequency bands (e.g., 2.4 GHz and 5

GHz bands) currently used, instead of identifying specific frequencies.

• Many commenters were not specific as to whether spectrum-efficient technology

such as trunked systems and narrowbanding are used on currently assigned

frequency bands or channels. However, there were notable exceptions, such as the

American Association of Railroads’ decision to implement the Association of

Public Safety Communications Officials’ Project 25 protocols to develop a

rechannelization plan for its 160 MHz radios.

CURRENT SPECTRUM USE

Currently, the energy, water, and railroad industries use spectrum between 20 megahertz

(MHz) and 25 gigahertz (GHz). Although they use numerous frequencies in a variety of bands,

all three industries agreed and informed NTIA that spectrum currently used is either congested or

quickly approaching critical mass, thus leading to problems of interference.

The technologies and applications used in these bands are vital to the core operations of

these industries. Furthermore, in 1996 (by Executive Order No. 13010), President Clinton

recognized the railroad, water and energy industries as part of the Nation’s critical infrastructure. 

These entities provide commodities and services that are essential to daily life. Table 1 illustrates

the three industries and the spectrum and applications currently used by each.

POSSIBLE FUTURE SPECTRUM REQUIREMENTS

The energy, water, and railroad industries submitted to NTIA suggestions to alleviate their

claim of congestion and lack of new spectrum. There is no consensus among the commenters as

to where new spectrum can be reallocated or obtained. However, there is consensus that

additional spectrum is needed due to what they perceive as current congestion and lack of

additional spectrum available for their respective industries. Table 2, on page xx in this section,

summarizes the spectrum bands where the energy, water, and railroad industries believe their

frequency requirements need to be addressed.
xix

Table 1

Spectrum and Applications Currently Used as Indicated by Commenters

Energy Industry Water Industry Railroad Industry

20 MHz 25-50 MHz: PLMRS 

40 MHz 48-50 MHz: Voice Dispatch, Alarms From Remote

50 MHz 50 MHz Band: PLMRS, MAS

100 MHz 150-170 MHz: Voice Dispatch, Load Management Control

 150-175 MHz: Alarms From Remote Substations, PLMRS

160.215-161.565 MHz:

FM Equipment

200 MHz 220 MHz: SCADA

400 MHz 450-470 MHz: Voice Dispatch, Mobile Data, PLMRS 450-460 MHz:

End of Train Devices

 470-512 MHz: PLMRS

800 MHz 800 MHz Band: Voice Dispatch, Mobile Data Terminals,

 Trunked PLMRS

 806-821 MHz: PLMRS; 821-824 MHz: PLMRS

 851-866 MHz: PLMRS; 866-896 MHz: PLMRS

 896-901 MHz: PLMRS 896 MHz: ATCS/PTC

900 MHz 900 MHz Band: MAS 900 MHz Band: MAS, SCADA

 902-928 MHz: SCADA 902-928 MHz: LMS

 928-929 MHz: POFS 928 MHz: MAS 928 MHz: MAS

 928/932/941 MHz: MAS; 952/956/959 MHz: MAS 952 MHz: MAS 936 MHz: ATCS/PTC

 928-952 MHz: SCADA; 929-930 MHz: PLMRS, 932-935 MHz, 956 MHz: MAS

 932-941 MHz, SCADA, 935-940 MHz, PLMRS, 941-944 MHz,

 952-960 MHz, POFS, 956 MHz, Mobile Meter Reading 952 MHz, 956 MHz, MAS

1 GHz 1.427-1.432 GHz, AMR, 1.85-1.99 GHz, POFS

2 GHz 2 GHz Band, PLMRS, POFS, MAS, SCADA, Point-to-Point 2 GHz Band,12 GHz Band,2

 2.4 GHz Band, Point-to-Point Microwave Water Operations Network Point-to-Point Microwave

5 GHz 5 GHz Band, Spread Spectrum

 5.8 GHz, 5.9-6.4 GHz, Point-to-Point Microwave

6 GHz 6 GHz Band, Point-to-Point Microwave 6 GHz Band,36 GHz Band,4

 6.5-6.8 GHz, Point-to-Point Microwave Water Operations Network Point-to-Point Microwave

 6.525-6.875 GHz, POFS

11 GHz 11 GHz Band,5 Point-to-Point Microwave 11 GHz Band,6

Point-to-Point Microwave

18 GHz 18-19 GHz, Point-to-Point Microwave 18 GHz Band,7

Point-to-Point Microwave

21 GHz 21.2-23.6 GHz, POFS

23 GHz 23 GHz Band,8

Water Operations Network

24 GHz 24.25-25.25 GHz, POFS

1) 2.11-2.2 GHz, 2.45-2.5 GHz and 2.65-2.69 GHz. 47 CFR § 101.147(a).

2) Id.

3) 5.925-6.875 GHz. 47 CFR § 101.147(a).

4) Id.

5) 10.7-12.2 GHz. 47 CFR § 101.147(a).

6) Id.

7) 18-19 GHz. 47 CFR § 101.147(a).

8) 23-23.6 GHz. 47 CFR § 101.147(a).
xx

Table 2

Summary of Frequency Bands That Could Be Used as Indicated by Commenters

Energy Industry Water Industry Railroad Industry

220 MHz Band 216-220 MHz Band 700 MHz Band1

450 MHz Band 6 GHz Band 1.4 GHz Band

800 MHz Band 11 GHz Band

900 MHz Band 23 GHz Band

1427-1432 MHz Band

1-12 GHz Band

1) Although the AAR mentioned the 700 MHz Guard Band, this spectrum will also be available to the energy and water industries by leasing spectrum from the

“Guard Band Managers.” More information on the 700 MHz band can be found on page 6-3.

The Energy Industry

The United Telecom Council, in its joint comments, recommends that exclusive spectrum

for utilities be allocated in the 450 MHz, 800 MHz, and 900 MHz bands for voice and data

communications. DTE Energy states that unused television channels should be allocated to

utilities on a low powered non-interfering basis for voice and data communications and

recommends access to bands between 1 GHz and 12 GHz for fixed narrow and medium-wide data

channels as other preferred spectrum. 

Itron, Inc., suggests that the 1427-1432 MHz band should be licensed for utility telemetry

services such as Automatic Meter Reader and Supervisory Control and Data Acquisition. The

National Rural Telecommunications Council states that access to the 220 MHz band for

Supervisory Control and Data Aquisition applications allows rural electric and telephone

cooperatives to transmit telemetry data over wide distances at reduced costs when compared to

land line or high frequency wireless alternatives.

The Water Industry

The American Water Works Association believes the United Telecom Council’s Utilities

Spectrum Assessment Taskforce Final Report (1998) underestimated spectrum requirements for

the utilities industries based on industry trends and the pace of telecommunications technology

development. Table 3 is a summary of the Utilities Spectrum Assessment Taskforce (USAT)

report spectrum prediction, which was included as an attachment to American Water Works

Association’s comments and derived from projections of future wireless applications and growth. 
xxi

Table 3

USAT Final Report Spectrum Requirements

Year 2000 2004 2010

Additional Bandwidth

Required

1.0 MHz 1.9 MHz 6.3 MHz

Another commenter, Data Flow Systems, specifically recommends that the 216-220 MHz band be

dedicated to water utility telemetry uses nationwide.

The Railroad Industry

The Association of American Railroads suggests that the 700 MHz “guard band,” recently

auctioned by the FCC, be considered as a source of additional spectrum and that it be divided into

geographic sectors, each with a separate band manager. The Association of American Railroads

notes that one impediment to this suggestion is that the 700 MHz band is currently occupied by

broadcast television stations. 

The Association of American Railroads also suggests the 1.4 GHz band as a source for the

proposed Land Mobile Communications Service for itself and other members of the Land Mobile

Communications Council. The Association of American Railroads and other members of the

Land Mobile Communications Council have previously asked the Federal Communications

Commission for spectrum in the 1.4 GHz band (specifically, the 1390-1395 MHz/1427-1429

MHz/1432-1435 MHz bands), and to limit auctions in the 1392-1395 MHz and 1432-1435 MHz

bands to band managers.

SUMMARY/CONCLUSIONS

In its investigation into the use of spectrum by these industries, NTIA recognizes the vital

roles the railroad, water, and energy industries play in the Nation’s critical infrastructure. The

events of September 11, 2001, have underlined the importance of these industries and the role

they play not only in our daily lives, but in times of disaster response and recovery. When the

World Trade Center collapsed, utilities needed to be shut off or restored. It was important for

sufficient water pressure to be continuously available for firefighting, and when the airlines were

grounded, people and commerce relied more on the railroad industry for transportation. 

Since this report is based predominantly on comments received from the industry and

public, and information from federal agencies with oversight or regulatory authority over these

industries, NTIA is unable to validate specific requirements and issues highlighted herein, such as

exclusivity and congestion. However, NTIA suggests some of these issues may be addressed or

mitigated with the use of advanced communications technology or newly allocated frequency

bands, such as the 700 MHz guard bands.
xxii

NTIA believes the significance of these industries and the urgency of these issues may

have changed as a result of the September 11th events. Therefore, it is of utmost importance that

the Federal Communications Commission revisit these critical issues in order to accommodate the

increasing role these industries play in maintaining quality of life.
1

 National Telecommunications and Information Administration, U.S. Dept. of Commerce, Manual of

Regulations and Procedures for Federal Radio Frequency Management, at Chapter 2 (Jan. 2000).

2

 See Federal Funding, Fiscal Year 2001, Pub. L. No. 106-553, 114 Stat. 2762, 2762A-73 (2000).

3

 The events of September 11, 2001, prevented the National Telecommunications and Information

Administration (NTIA) from being able to complete its report by the date mandated in the law. As a result, NTIA

has informed Congress of the delay.

1-1

SECTION 1

INTRODUCTION

BACKGROUND

The National Telecommunications and Information Administration (NTIA) is the

Executive Branch agency principally responsible for developing and articulating domestic and

international telecommunications policy. NTIA’s responsibilities include establishing policies

concerning spectrum assignments, allocation and use, and providing various departments and

agencies with guidance to ensure that their conduct of telecommunication activities is consistent

with these policies.1 Accordingly, NTIA conducts studies and makes recommendations regarding

telecommunications policies and presents Executive Branch views on telecommunications matters

to the Congress, the Federal Communications Commission (FCC), and the public.

NTIA is responsible for managing the Federal Government’s use of the radio frequency

spectrum. The FCC is responsible for managing the spectrum used by the private sector, and

state and local governments. In support of its responsibilities, the NTIA has undertaken

numerous spectrum-related studies assessing spectrum utilization, studied the feasibility of

reallocating spectrum used by governments or relocating government systems, identified existing

or potential compatibility problems between systems, provided recommendations for resolving

any compatibility conflicts, and recommended changes to promote efficient and effective use of

the radio spectrum and improving spectrum management procedures.

Public Law (PL) 106-553 appropriated funds to the Departments of Commerce, Justice,

and State, the Judiciary, and Related Agencies for fiscal year 2001, and directs NTIA to submit to

Congress a study of the current and future use of spectrum by providers of energy, water, and

railroad services to protect and maintain the Nation’s critical infrastructure.2 NTIA must submit

this report to Congress no later than 12 months after PL 106-553 was enacted.3 The statute also

requires the Chairman of the FCC to submit a subsequent report to Congress addressing any

needs identified in NTIA’s study. The FCC’s report must be submitted to Congress within six

months after the release of NTIA’s study. This document constitutes NTIA’s study required by

PL 106-553.
4

 The IRAC, consisting of representatives of 20 federal agencies, serves in an advisory capacity to the

Assistant Secretary of Commerce for Communications and Information. The IRAC, in existence since 1922,

assists the Assistant Secretary in the discharge of his responsibilities pertaining to use of the electromagnetic

spectrum. The IRAC was given informational updates on February 27, 2001, and July 10, 2001. Furthermore,

NTIA met with private sector organizations engaged in energy, water and railroad activities to obtain background

information about their respective industry. NTIA also met with federal departments and/or agencies who regulate

these industries.

5

 66 Fed. Reg., 18448 (April 9, 2001). See copy of the published RFC in Appendix B.

6

 Letter from William T. Hatch, Associate Administrator, Office of Spectrum Management, National

Telecommunications and Information Administration (NTIA) (July 5, 2001), [hereinafter Federal Letter]. See

Appendix C.

1-2

OBJECTIVE

In accordance with the requirements of PL 106-553, the objective of this report is to

investigate and determine current spectrum usages and potential future spectrum requirements of

entities providing energy, water and railroad services. Consistent with the requirements of the

statute, these determinations were made after seeking public comments and consultation with the

other federal departments and agencies responsible for regulating the core operations of these

entities.

APPROACH

To comply with the requirements of PL 106-553 and the specific objectives stated above,

the following steps were taken:

1. Members of the Interdepartment Radio Advisory Committee

(IRAC) were given background information pertaining to the

requirements of PL 106-553 and their assistance was solicited.4

2. A Request for Comments (RFC) was published in the Federal

Register soliciting comments on current and future spectrum

requirements for entities engaged in energy, water, and railroad

activities.5

3. As part of NTIA’s study, a letter was sent to federal departments

and/or agencies that exercise oversight over the energy, water, and

railroad industries, soliciting their comments on current and future

spectrum requirements for these entities.6

4. Information pertaining to current spectrum use by providers of

energy, water, and railroad services; their future spectrum

requirements; and pertinent regulatory issues was obtained from a

variety of sources, including:

• The Public Safety Wireless Network (PSWN),

• The Federal Communications Commission,
7

 See generally Federal Letter. NTIA received replies from the Environmental Protection Agency (EPA),

the Department of Energy (DOE) and the Federal Energy Regulatory Commission (FERC). Copies of these

responses are on file at NTIA. Copies of these responses may be obtained by contacting NTIA’s Office of Public

Affairs.

1-3

• Data sources available within NTIA, and

• Relevant public literature articles, reports, and studies that

describe spectrum use by entities providing energy, water,

and railroad services.

NTIA reviewed the information collected through comments, reports, and other sources of

information. NTIA presents its findings in this report based upon such data. NTIA did not

independently validate the energy, water, and railroad industries’ current and future spectrum

requirements.

Letter Soliciting Responses from Federal Agencies

On July 5, 2001, NTIA sent letters to federal departments and agencies responsible for

regulating the energy, water, and railroad industries and requested they respond to the following

questions by August 6, 2001:7

1. Please provide a brief description of your agency’s mission, including the

extent to which it provides regulatory oversight for any of the energy,

water or railroad industry. Please indicate the aspects of the industry that

your agency regulates, e.g., safety, industry standards, market supply,

distribution, transport, disposals, and pricing, and provide citations to your

regulations.

2. Does your agency also promulgate regulations concerning communications

or spectrum-related issues? Please provide the citation to these regulations

and summarize your agency’s regulation(s) regarding current spectrum

requirements and usage by the industry.

3. Will the industry your agency regulates require additional spectrum

allocations in the future? If so, please provide details. 

4. Are wireless technologies crucial to compliance of these regulation(s)? Are

they crucial to maintaining the nation’s critical infrastructure? What

alternatives to wireless technologies can be utilized?

5. Do you consult with the industry certified frequency coordinator regarding

spectrum allocations? If so, please provide contact information.
8

 Supra note 5. Comments were due on or before June 8, 2001. All comments are available on the

National Telecommunications and Information Administration’s Web site at:

http://www.ntia.doc.gov/osmhome/utilities/CommentPage.html. All federal agency responses are on file at NTIA. 

A list of responders to both the RFC and letter to the federal agencies, and the acronym used to refer to each

responder in this report, is attached as Appendix D. The first reference to each comment and/or response will

include the full name of the organization, its acronym, and the page number. Subsequent references will be cited

as “[acronym] at [page].” NTIA received 19 written comments from the public, of which five are from industry

trade organizations. The five trade organizations are: American Petroleum Institute, American Water Works

Association, Association of American Railroads, National Rural Telecommunications Cooperative, and the United

Telecom Council. The trade organizations are made up of members of each industries and, through their

members, they represent the members and the industry.

9

 Supra note 5.

1-4

Request for Comments from the Public

Public Law 106-553 mandates that NTIA study the current and future spectrum

requirements of the water, energy, and railroad industries. To assist in this effort, NTIA

published a Request for Comments (RFC) in the Federal Register on April 9, 2001, to solicit

comments from industry and the public.8

In the RFC, NTIA asked for information concerning any issues of fact, law, or policy

about the spectrum requirements of the energy, water, and railroad industries and for responses to

six questions. Specifically, NTIA asked the following questions:9

1. How much spectrum is presently available for the energy, water and

railroad industries?

2. In which spectrum bands and in which radio services do these industries

operate radio communications equipment?

3. What kinds of spectrum-dependent telecommunications equipment are

currently being used by the energy, water, and railroad industries?

4. Are there non-spectrum dependent alternative technologies or commercial

services currently available?

5. What part of the spectrum do the energy, water, and railroad industries

foresee for possible future use? What is the rationale for these additional

spectrum requirements?

6. What non-spectrum dependent communications technologies or

commercial alternatives will be available in the future for the energy, water

and railroad industries?

REPORT OVERVIEW

Section 2 of this report provides information regarding industry certified frequency

coordinators and federal regulatory agencies. Sections 3, 4, and 5 provide comprehensive
1-5

information extracted from the public comments and federal agency responses to the questions

raised by NTIA for the energy, water, and railroad industries, respectively. Each section will

provide a brief overview of the industry. Based on the responses received by NTIA, the current

spectrum requirements of each industry are discussed in terms of wireless communications

infrastructure and wireline and commercial services. Technical issues and trends are then

addressed. Finally, the future spectrum requirements for each industry are discussed. Section 6

provides a summary of spectrum usage for the three industries in terms of current usage and

possible future needs. Section 7 provides the findings reached from NTIA’s investigation.
10 Formerly grouped into the Public Safety Radio Services, Special Emergency Radio Service, Industrial

Radio Services and the Land Transportation Radio Services categories. The frequencies within the

Industrial/Business Pool are specified in 47 CFR § 90.35(b)(3) of the FCC Rules.

11 The Industrial/Business Pool includes the Industrial Radio Services (Power, Petroleum, Forest

Products, Film & Video Production, Relay Press Special Industrial, Business, Manufactures, and Telephone

Maintenance Radio Services) and Land Transportation Radio Services (Motor Carrier, Railroad, Taxicab, and

Automobile Radio Services) categories.

12 Part 90 Order at 14308.

13 Part 90 Order at 14319.

14 Part 90 Order at 14322.

15 Part 90 Order at 14330.

2-1

SECTION 2

CERTIFIED FREQUENCY COORDINATORS AND 

FEDERAL REGULATORY AGENCIES

BACKGROUND

This section describes the role and frequency assignment process of Certified Frequency

Coordinators and federal regulatory agencies associated with the energy, water, and railroad

industries, with whom NTIA consulted in the development of this report. A frequency

coordinator is an entity or organization that has been certified by the FCC to recommend

frequencies for use by licensees. Frequency coordinators provide a useful service as the link

between the FCC and end user. They ensure that the spectrum is used efficiently.

CERTIFIED FREQUENCY COORDINATORS

In accordance with rules implemented in 1997, the FCC consolidated 20 previously

exclusive Private Land Mobile Radio (PLMR) services10 into two frequency pools - the Public

Safety Pool and the Industrial/Business Pool.11 The FCC promulgated these new rules to

“provide for more efficient allocation of the increased capacity created by the introduction of

more efficient technology.”12 Each of the 20 PLMR services has one designated certified

frequency coordinator (see Table 2-1). Eligibility for the Public Safety Pool is restricted to local

government, police, fire, highway maintenance, forestry-conservation, emergency medical and

special emergency services.13 Eligibility for the Industrial/Business Pool is available to any entity

engaged in a commercial, educational, philanthropic, or ecclesiastical activity.14 In general, an

eligible applicant can request any frequency in the Industrial/Business Pool. However,

applications for frequencies previously allocated solely to the railroad, power, and petroleum

radio services must be submitted to the respective railroad, power, or petroleum certified

frequency coordinator within the Industrial/Business Pool.15 The FCC states in its Second Report
16 These frequencies are annotated with a Railroad, Power or Petroleum designator (LR, IW, or IP

respectively).

17 Part 90 Order at 14309.

18 Part 90 Order at 14333.

19

 Id.

20

 Id.

21

 Id. 

22 Id.

23 Part 90 Order at 14335.

2-2

& Order (PR Docket 92-235 dated March 12, 1997):

...we have identified three types of entities within the new Industrial/Business pool

– railroad, power, and petroleum companies16 – that routinely use PLMR

frequencies for critical public safety-related communications. To ensure that the

integrity of these communications is not impaired, we will require anyone who

seeks to use the frequencies previously allocated specifically for these types of

operations to go through the same frequency coordinators that have been

responsible for coordinating these frequencies.17

Frequency coordinators are not required to maintain a common database.18 However,

they are required to “provide notification of all frequency recommendations within one business

day of making such recommendations to every certified in-pool coordinator that is also certified

to coordinate that frequency.”19 In addition, this notification must be made to all in-pool

coordinators at approximately the same time.20 This notification should include an applicant

name, frequencies recommended, antenna height, antenna locations, type of emissions, effective

radiated power, description of service area, and time of recommendation.21 The in-pool

coordinators are required to communicate at least once daily; even if no license applications are

received.22 Furthermore, applicants must wait ten business days before transmitting pursuant to

temporary and conditional authorization.23

Comments to the RFC were received from 3 of 18 certified frequency coordinators

(power, petroleum and railroad) within the Industrial/Business Pool. They did not provide

additional data (e.g., types of systems used) regarding current use of the frequencies in the

Industrial/Business Pool by providers of energy, water, and railroad services. NTIA was unable

to determine the number of frequency applications that were submitted to other frequency

coordinators within the Industrial/Business Pool (See Table 2-1 on page 2-4). However, it would
24

 Supra note 16.

25 47 CFR § 90.35.

26

 Id.

27 American Petroleum Institute (API) at 1.

28

 Id.

29

 Id.

30 United Telecom Council (UTC) at 3.

31

 Id.

2-3

not be surprising if the number of applications was significant considering the large number of

frequencies not managed by the power, petroleum, or railroad frequency coordinators.24

The Energy Industry

The American Petroleum Institute (API) and the United Telecom Council (UTC) are the

two certified frequency coordinators authorized by the FCC to process requests for channel

assignments from energy providers eligible to hold frequency authorizations in the

Industrial/Business Pool, as outlined by Part 90 of the FCC rules and regulations.25 Furthermore,

UTC and API were the only certified frequency coordinators for the Industrial/Business Pool to

submit comments on behalf of the energy industry.

The API is designated as the “Petroleum Coordinator (IP)” for all energy providers of

petroleum or petroleum-based energy products.26 API manages over 34,100 licenses authorized

for operations in frequency bands below 512 MHz. Over 5,000,000 mobile units and 43,000 base

stations operate under these licenses.27 API is also a national trade association representing

various facets of the petroleum and natural gas industries, ranging from exploration and

production to the transportation, refining, and marketing of those energy sources.28 API is a

forum for its 400 plus members of all sectors of the oil and natural gas industries to pursue

common goals and to protect certain public policy objectives.29

The UTC is designated as the “Power Coordinator (IW)” for all non-petroleum energy

providers and water utilities (both waste water and drinking water) seeking to hold frequency

authorizations in the Industrial/Business Radio Pool. UTC has been the national representative on

communications matters for the Nation’s electric, gas, water and steam utilities, and natural gas

pipelines since its formation in 1948.30 UTC’s members range in size from large combination

electric-gas-water utilities that serve millions of customers, to smaller, rural electric cooperatives

and water districts that serve only a few thousand customers each.31 
32 Part 90 Order at 14324-14325.

2-4

Table 2-1

List of Radio Services and Corresponding Frequency Coordinators32

Radio Service Frequency Coordinator

Local Government and Police Association of Public-Safety Communications

Officials-International, Inc. (APCO)

Fire and Emergency Medical International Association of Fire

Chiefs/International Municipal Signal Association

(IAFC/IMSA)

Forestry-Conservation Forestry Conservation Communications

Association (FCCA) 

Highway Maintenance American Association of State Highway and

Transportation Officials (AASHTO)

Special Emergency Personal Communications Industry Association

(PCIA) and IAFC/IMSA

Power United Telecom Council (UTC) 

Petroleum American Petroleum Institute (API)

Forest Products Forest Industries Telecommunications

Film and Video Production Alliance of Motion Picture and Television Producers

Relay Press Newspaper Association of America

Special Industrial Industrial Telecommunications Association (ITA)

Business PCIA

Manufacturers Manufacturers Radio Frequency Advisory

Committee

Telephone Maintenance Telephone Maintenance Frequency Advisory

Committee

Motor Carrier American Trucking Association

Railroad Association of American Railroads (AAR)

Taxicab International Taxicab and Livery Association

Automobile Emergency American Automobile Association (AAA)
33 Water utilities is considered a power service, therefore, frequency coordination falls under UTC’s

penumbra.

34 UTC at 3.

35 Association of American Railroads (AAR) at 2.

36

 Id.

37

 Supra note 25. AAR is designated as a Railroad Coordinator or LR.

38 AAR at 2.

39 UTC at 3.

2-5

The Water Industry

The UTC is also designated as the FCC frequency coordinator for water utilities seeking

to hold frequency authorizations in the Industrial/Business Radio Pool.33 As noted before, UTC

serves as the national representative on communications matters for the Nation’s electric, gas,

water and steam utilities, and natural gas pipelines since its formation in 1948. UTC’s members

range in size from large combination electric-gas-water utilities that serve millions of customers,

to smaller, rural electric cooperatives and water districts that serve only a few thousand

customers.34 UTC was the only certified frequency coordinators for the Industrial/Business Pool

to submit comments on behalf of the water industry.

The Railroad Industry

The Association of American Railroads (AAR) is a non-profit organization composed of

railroad companies operating in the United States, Canada, and Mexico.35 AAR members

generate about 97 percent of the total revenues of all railroads in the United States.36 The AAR

is the FCC certified frequency coordinator for railroads seeking licenses for frequencies in the

Industrial/Business Radio Pool.37 AAR represents its members on routine federal regulatory

issues in the railroad industry, communications matters, and subjects regarding access to RF

spectrum.38 AAR also participates in UTC’s Critical Infrastructure Communications Coalition

(CICC).39 AAR was the only certified frequency coordinator for the Industrial/Business Pool to

submit comments on behalf of the railroads. 

FEDERAL REGULATORY AGENCIES

PL 106-553 requires NTIA to consult with federal departments and agencies responsible

for regulating the core operation of entities that provide energy, water, and railroad services. The

following paragraphs list the department and/or agencies who responded to NTIA’s inquiry for

each of the three industries at issue.
40 Department of Energy (DOE) at 1.

41

 Id.

42 FERC homepage at <http://www.ferc.gov/about/about.html>.

43 Department of Transportation hompage at <http://ops.dot.gov/toc.htm>.

44 Marine Safety and Environmental Protection Directorate, U.S. Coast Guard, U.S. Dept. of

Transportation, U.S. Coast Guard Marine Safety and Environmental Protection Business Plan FY 2001-2005 at I2, (August 2000).

45 Letter from Charles Fox, Assistant Administrator, U.S. Environmental Protection Agency, to William

E. Kennard, Chairman, Federal Communications Commission (Dec. 20, 1999) at 5, [hereinafter Fox Letter].

2-6

The Energy Industry

The Department of Energy’s (DOE’s) mission is to foster a secure and reliable energy

system that is environmentally and economically sustainable.40 DOE does not regulate the core

operations of the energy industry because regulation of core operations is generally accomplished

at the state level.41 The Federal Energy Regulatory Commission (FERC) is an independent

regulatory agency within DOE that regulates the transmission, sale and wholesale of natural gas,

oil (by pipeline interstate commerce) and electricity. The FERC also licenses and inspects private,

municipal, and state hydroelectric projects. Environmental matters related to the providers of

energy are overseen by the FERC.42

Within the Department of Transportation (DOT), two entities have regulatory oversight of

the energy industry. The Research and Special Programs Administration, Office of Pipeline Safety

(OPS) is responsible for promulgating regulations governing the safety and environmental matters

of pipelines carrying gas (natural gas, flammable gas, or gas which is toxic or corrosive) and

hazardous liquids (petroleum, petroleum products, and anhydrous ammonia).43 As part of its

mission to “protect the public, the environment, and U.S. economic interests through the

prevention and mitigation of maritime projects,”44 the U.S. Coast Guard is responsible for

promulgating safety regulations and inspecting petroleum transfer facilities (e.g., refineries,

barges, etc.), and tanker ships that transport petroleum products.

The Water Industry

The Environmental Protection Agency (EPA), U.S. Army Corps of Engineers (USACE),

and Department of Interior (DOI) share responsibility for management of the water industry. The

EPA, as directed by the Clean Water Act, Safe Drinking Act and Sanitary Sewer Overflow Rule,

has placed increasingly strict performance requirements on drinking water and wastewater

treatment facilities to “. . . protect public health and the environment, requirements which demand

frequent monitoring for both large and minimally-staffed smaller water and wastewater

systems.”45 The EPA does not promulgate regulations concerning communications or spectrum
46 Environmental Protection Agency (EPA) at 1.

47 EPA at 2.

48

 Id.

49

 Id.

50 U.S. Army Corps of Engineers homepage at <http://www.usace.army.mil/who.html#Mission>.

51

 U.S. Department of Transportation hompage at <http://www.fra.dot.gov/o/safety/ers/esxecsu0.htm>.

52

 Id.

2-7

related issues.46 However, EPA believes that the water quality and drinking water programs pose

substantial challenges to the regulated community in its compliance with federal and state

requirements.47 Thus, the EPA projects that “the wastewater and drinking water utilities will need

the communications tools to successfully achieve and maintain compliance objectives.”48 EPA

informed NTIA that they do not consult with the industry certified frequency coordinator

regarding spectrum licensing.49

Since the first Flood Control Act was enacted by Congress in 1917, USACE has been the

primary federal agency responsible for civil works programs throughout the U.S. Management of

dams and locks at various U.S. locations is also part of the USACE’s responsibilities.50

In addition, the Tennesee Valley Authority, Bureau of Land Management, U.S. Geological

Service, Bureau of Reclamation, and International Boundaries and Water Commission, all within

the Department of The Interior, share regulatory oversight of the water industry.

The Railroad Industry

The Federal Railroad Administration (FRA), is an agency within the Department of

Transportation, is responsible for working with the railroad industry to ensure it complies with all

federal safety and communications regulations. The FRA is required by law “to monitor railroad

compliance with federally mandated safety standards.”51 The FRA employs 400 inspectors in 47

offices nationwide to manage a site-specific inspection program.52

According to information supplied by the various federal agencies with regulatory

oversight over energy, water, and railroad industries, none of the federal departments or agencies

are involved with or support the private sector’s spectrum matters. Furthermore, these regulating

departments or agencies do not promulgate specific rules concerning spectrum use. Private sector

companies approach the appropriate certified frequency coordinators when the need for spectrum

arises.
53 Formed in December 1999, CICC represents industries that include representatives of the electric, gas,

water, railroad, and petroleum industries. CICC’s mission is to promote legislative and regulatory policies that

protect the internal communications systems of these industries. Specific participants of CICC include the

American Gas Association, American Petroleum Institute, American Public Power Association, American Water

Works Association, Association of American Railroads, Association of Oil Pipe Lines, Edison Electric Institute, 

Interstate Natural Gas Association of America, National Association of Water Companies, and the United Telecom

Council. UTC at 3.

54 UTC at 3.

55

 Id.

56 Exec. Order No. 13010, 61 Fed. Reg. 37347 (July 15, 1996).

3-1

SECTION 3

THE ENERGY INDUSTRY

BACKGROUND

The UTC’s Critical Infrastructure Communications Coalition (CICC)53 contends its

members’ unique operational needs make consistent and immediate access to exclusive radio

frequency spectrum imperative to continuity of operations of the energy, water, and railroad

industries.54 According to the CICC, disruptions to the communications infrastructures of these

industries can threaten public safety.55 

Furthermore, the 1996 Executive Order pertaining to critical infrastructure protection

states:

[c]ertain national infrastructures are so vital that their incapacity or destruction

would have a debilitating impact on the defense or economic security of the United

States. These critical infrastructures include telecommunications, electrical power

systems, gas and oil storage and transportation, banking and finance,

transportation, water supply systems, emergency services (including medical,

police, fire, and rescue), and continuity of government. Threats to these critical

infrastructures fall into two categories: physical threats to tangible property

(physical threats), and threats of electronic, radio-frequency, or computer-based

attacks on the information or communications components that control critical

infrastructures (cyber threats).56

A 1997 report of the President’s Commission on Critical Infrastructure Protection identifies oil

and gas production and storage, the water supply and electrical power infrastructures as integral
57 President’s Commission on Critical Infrastructure Protection, Critical Foundations - Protecting

America’s Infrastructures, The Report of the President’s Commission on Critical Infrastructure Protection (Oct. 13,

1997) at i.

58 Cinergy letter dated November 29, 2001

59 BPA is a U.S. Department of Energy (DOE) agency that markets and transmits electric energy from

federally owned hydroelectric and transmission facilities. BPA is represented on the IRAC through the DOE. 

60 Letter from Howard Landon, Chief Information Officer, U.S. Department of Energy, to William T.

Hatch, Associate Administrator, Office of Spectrum Management, National Telecommunications and Information

Administration (Aug. 9, 2001), [hereinafter Landon Letter], BPA Attachment at 5. 

61

 Id.

62

 Id.

63

 Id. at 7.

64

 Id. at 2.

3-2

components of “the critical infrastructures that constitute the life support systems of our Nation ...

.”57 Cinergy Corporation contends in supplemental comments that utilities play a critical role in

the quality of life for the Nation, especially during a local or national crisis.58

The Bonneville Power Administration (BPA)59 has stated that the loss of wireless

applications would interfere with energy companies’ compliance with environmental and industry

standards and regulations pertaining to power distribution.60 BPA emphasizes that wireless

applications are crucial to real time operations and activities related to safety, maintenance, and

construction.61 “Removing wireless systems on power networks would be like removing the

backbone and nervous system of an animal and then asking it to walk and talk.”62

Many power transmission, energy supply, and distribution systems are located in sprawling

rural service territories, underground, or in remote, isolated areas where placement of nonspectrum dependent facilities such as fiber optics or commercial wireless networks are not cost

effective, practical, or feasible.63 Urban areas are also becoming more dependent on wireless

technologies because of the high demand for energy by rapidly growing population centers.

Energy providers are continuously adding power substations, transmission lines, and

communications systems to control these facilities. DOE states that, as infrastructure is added,

the expansion of Land Mobile Radio (LMR) voice and data communication systems must also

grow to allow maintenance crews to operate in the expanded areas. This expansion in generation

capacity also allows for increased sharing (energy resources) between utilities in areas where

deregulation has been implemented.64 These technologies feature advance power meters that

provide reactive/apparent power, time of use data (i.e., in segregated time frames), and special
65 J.D. Kuecek, B.J. Kirby, J. Eto, R.H. Stuanton, C. Murray, C.A. Martinez, C. Goldman, Oak Ridge

National Laboratory, U.S. Department of Energy, Pub. No. ORNL/TM2001/97, LBNL-47983, Load As a

Reliability Resource in Restructured Electricity Markets (June 1, 2001) at 3, [hereinafter Load Report].

66 UTC at 7.

67 Landon Letter, in BPA Attachment at 6.

68 President’s Commission on Critical Infrastructure Protection, Critical Foundations - Protecting

America’s Infrastructures, The Report of the President’s Commission on Critical Infrastructure Protection (Oct. 13,

3-3

communications features that operate via phone, radio, or power lines.65 Energy producers,

suppliers, and distributors utilize the radio frequency spectrum to implement operations in the

PLMRS, SMR, MAS, and Fixed Microwave Service to provide a variety of critical services that

utilize various voice and data communications systems and applications. These networks facilitate

the control and monitoring of power grids and pipeline distribution systems, and the exploration

for petroleum and natural gas.66

Energy providers use a combination of spectrum dependent technologies and wireline

technologies to maintain a secure, reliable, and safe voice and data communications infrastructure

to preclude disruption of service caused by natural disasters or equipment malfunctions. Wireless

voice and data networks also enable energy producers, suppliers, and distributors to comply with

existing state and federal safety and environmental requirements that in many instances have

specific system restoration and emergency notification time requirements. The BPA states that:

BPA’s power reliability, control, maintenance, safety and peripheral devices for

metering, alarms and reporting are dependent on wireless. In many real time line

protection applications such as a transfer trip, a line disconnect operation must be

completed within 8 [millisecond] (ms) for system protection. Another example is

BPA’s long distant Remedial Action Schemes that require completion of action

within 50 ms for line isolation and power stability through its controllers. SCADA

require 2.5 seconds for responses from queries. Safety of linemen, maintenance,

construction crews [sic] and equipment are dependent on wireless technologies. 

Emergencies dealing with restoring the power grid because of environmental, or

other contingencies must be met by supporting wireless technologies. In summary,

the loss of real time control operations with regulations is crucial to our nation’s

[sic] critical infrastructure and would cease today’s power operations immediately

in most cases without wireless operation.67

Any system disruptions that are not quickly restored pose potential threats not only to

public safety, but also to the nation’s economic security. Just as the September 11, 2001, 

terrorist attacks on the World Trade Center and the Pentagon disrupted our economy, crippled

the airline industry, and compromised our national security, a disruption in a power generating

station’s control computer or a petroleum pumping facility could be just as devastating.68 The
1997) at x.

69 DTE Energy (DTE) comments at 1.

70 North Atlantic Energy Service Corp (NAES) at 3-4. NAES further asserts that users are being licensed

within 30 miles of the station disregarding a 70-mile exclusion area guideline used by frequency coordination

agencies.

71 Cinergy Supplemental comments (Cinergy Supp.) at 6.

72

 See 47 CFR § 90.617 (c) and § 90.35.

73

 See generally Itron, The Critical Role of Advanced Metering Technology in Optimizing Energy

Delivery and Efficiency, A Report to the U.S. Department of Energy (May 5, 2000), [hereinafter Itron Report].

74 USA TODAY, Savings Seen In Hour of Energy Use, Section A (July, 16, 2001) at 3A.

3-4

utility command and control infrastructures do not have exclusive radio frequency spectrum

assigned or priority access to the available radio frequency spectrum. The Detroit Edison

Company (DTE), an energy provider, emphasized in their comments that slivers of the radio

spectrum are shared by the energy, water, and railroad industries along with public safety entities. 

These frequencies are fragments of the entire band as compared to the spectrum allocations for

broadcast television.69 North Atlantic Energy Service (NAES) - Seabrook Station contends that

there is insufficient radio spectrum and that its work crews, dispatchers, and command centers

have continually encountered interference from other users who operate in close proximity to the

station.70 Cinergy Corporation (Cinergy) states in supplemental comments for this report that

energy providers operating in the 800 MHz band must compete with livestock breeders, concrete

manufacturers, taxicabs, buses, lumberjacks, and film producers.71 The FCC has determined that

any commercial business is eligible to be assigned channels in the 800 MHz and 900 MHz

Industrial /Land Transportation pools.72

INDUSTRY GROWTH

Consumer Demand and Industry Trends

The current power crisis in certain parts of the United States, where demand far exceeds

supply, serves as an example of why real-time redundant wireless communications technologies

are essential to meet growing consumer requirements.73 Many energy suppliers and distributors

are utilizing wireless technologies to match increasing load requirements with escalating consumer

demand. For example, over a dozen utility companies in 17 states offer pilot programs with real

time-of-day pricing for electricity. In some cases, consumers are charged different rates during

the day instead of a fixed rate.74 “More recently, utilities such as Florida Power & Light,

Potomac Electric and Xcel Energy (formerly Northern States Power) have offered price breaks to

customers who allow their utility to automatically shut down their air conditioners or hot-water
75 Id.

76 Id.

77 API at 23.

78 Utilities Spectrum Assessment Taskforce Final Report (USATFR) at 1.

79 Florida Power and Light Company and GPU Energy, Inc. (FPL & GPU) at 4.

3-5

heaters by radio control when demand for electricity is high.”75 These programs would not exist

but for the use of “cellular meters that transmit how much electricity is used minute-to-minute,

matching the power use to the real-time cost of electricity.”76

As shown in Figures 3-1 and 3-2, on pages 3-6 and 3-7 respectively, consumer demand for

energy has historically increased and it is projected that consumer demand and advances in

technology will be significant factors affecting the growth of the energy supply and distribution

industry during next ten years. American Petroleum Institute (API) anticipates an increased need

for spectrum allocations based on petroleum and natural gas production and consumption

forecasts through the year 2020. This increased production and consumption will require

additional communications capabilities to sustain all stages of the exploration, production and

distribution process.77

The wireless voice and data infrastructure required to keep pace with projected industry

growth must be reliable and have the capability to provide real-time network command and

control. Electricity, natural gas, and natural gas pipelines utilities have extensive

telecommunications requirements. An expansive, sprawling infrastructure, whether it is

transmission lines, water pumps, or electric substations, requires maintenance, remote control, and

monitoring. These objectives can be met effectively through telecommunications services. One

of the most critical components in a utility's telecommunications arsenal is its wireless network.78

Florida Power & Light and GPU Energy have indicated in joint comments for this report that,

“because of the rise in electrical consumption and power shortages that may arise as a result of

increased demand, wireless control of circuits in real time mode is becoming more important in

order to maintain the stability of the power distribution grid. For example, wireless home

gateways at customer premises can be utilized to monitor loads during peak hours. Such systems

can be used to curtail use (e.g., shut down electric hot water heaters or air conditioners) during

peak usage or emergency conditions during hot summer days when the electrical network is

maximally taxed.”79

Deregulation

Deregulation is another reason why energy providers have had increasing difficulty

keeping pace with growing consumer demand. Deregulation opens retail energy markets to 
80 U.S. Department of Energy, Annual Energy Outlook 2001, DOE/EIA-0383 (Dec. 22, 2000) at 6.

81 Central Maine Power (CMP) comments, page 4-5

82 UTC at 2.

3-6

Figure 3-180

competition and separates electric generation from the transmission and distribution of electricity. 

Previously, utilities maintained the entire end-to-end generation, transmission, and distribution of

service. Now multiple companies are involved in various components of providing electric

power.81 UTC emphasizes that wireless systems will be increasingly important to critical

infrastructures entities in the future because of deregulation, regulatory requirements, and system

growth.82 “Power outages and rolling blackouts in California are prime examples of what can

occur when there is insufficient power system capacity, or proper control of the power system

cannot be maintained. As new generation capacity is brought on line and new
83 North American Reliability Council homepage at <http://www.nerc.org>.

84 Landon Letter at 2.

85 Niagara Mohawk Power Corporation (NMPC) at 2.

3-7

Figure 3-283

transmission systems are installed in the power grid to allow sharing between utilities, spectrum

requirements will increase for all electric utilities.”84

WIRELESS COMMUNICATIONS INFRASTRUCTURE

The wireless telecommunications infrastructures of energy providers include applications

that process both voice and data information. Energy providers utilize multiple frequency bands

in the PLMRS, MAS, and the POFS. They operate SMR systems and maintain service with

commercial wireless providers. Voice-related systems, such as land mobile, often use frequencies

below 470 MHz for crew dispatch and emergency restoration efforts. Higher frequency bands

used by microwave systems are being utilized for multiple address telemetry applications, pointto-point microwave for data and voice communications, and special applications such as control

of electric power and natural gas SCADA networks.85 This section will focus on “private and
86 USATFR at 12, for industry definitions of private and commercial telecommunications systems.

87 USATFR at 5.

88

 Id.

89 Cinergy Supp. at 5.

90 Omaha Public Power District (OPPD) at 4.

91

 Id.

3-8

commercial”86 voice and data applications commonly used by the energy industry in day-to-day

operations and emergency response situations.

Voice Requirements

PLMR is used to coordinate daily activities of work crews and equipment for routine

maintenance operations and restoration of service. Dispatchers and managers utilize systems in

the PLMRS to communicate directly to mobile crews to safely restore power, to give operating

orders, and to receive crew reports of job completions. Listed below are various modes of

operations used for voice communications.87

Dispatcher to Crew/Crew to Crew/Group Dispatch.88 This is a versatile mode of

communications between managers, dispatchers and field personnel. Mobile voice is the primary

mode of communication when coordinating the activities of work crews for routine maintenance. 

Service must be restored quickly when unexpected outages occur because of natural disasters,

human error or intentional disruption of service (e.g., acts of terrorism, vandalism etc.). Group

dispatch allows multiple parties to communicate on the same channel simultaneously.89 Wireless

voice calls enable work crews to maintain real-time communications with managers while working

in remote or rural areas where wireline communications could be expensive and unreliable if

available. Wireless land mobile operations maximize the reliability of real-time exchanges of

information in various settings and conditions and are not tied to a specific location.90 Omaha

Public Power District states that real-time communications are crucial because they enable

maintenance workers to communicate and coordinate their efforts for quick restoration of

power.91

Emergency Calls/Mutual Aid/Interoperability. This mode of communication also allows for

optimum use of safety procedures while maximizing the efficiency of operations in situations

where serious injury has occurred or loss of life or property is imminent. Utility providers require

reliable real-time communications with law enforcement, fire department, and emergency services

in situations dictating emergency response. The utilities industry’s transmission and distribution

networks will become increasingly diversified with the onset of deregulation. Reliable

communications with adjacent utilities is crucial if adjustments to energy transmission and
92 DTE at 2.

93 USATFR at 5.

94 UTC at 25.

95 USATFR at 7.

3-9

distribution load requirements caused by growing consumer demand are to be made in a timely

manner. DTE states that the mobile radio system is the only means of communications for

overhead line crews attempting to render mutual assistance to other utilities during adverse

weather situations such as hurricanes, tornados, or ice storms.92

Interconnect.93 In nearly all field activities, utility personnel need to communicate with

supervisors, engineers, contractors, consultants and others via land line telephones from the field

(e.g., managers without access to LMR or SMR units). “Telephone interconnect” patches radio

calls to land lines through command consoles. They provide real-time communications between

various utilities work crews and managers.

Data Requirements

The primary goal of energy providers engaged in the exploration, production, distribution,

and storage of energy is the efficient, reliable, and safe management of that resource. Producers,

suppliers, and distributors of electricity, water, nuclear power, steam, and petroleum-based energy

use various data collection and management systems to accurately align energy supply with

consumer demand, which in turn lowers costs while enhancing reliability. These data collection

and management systems also enable energy providers to comply with numerous state and federal

regulations.94 Energy providers depend on wireless data communications applications to

monitor, control, and repair enormous production and distribution networks that extend between

densely populated urban areas and rural, remote areas that are not easily accessed by repair

personnel. The use of these systems (e.g., MAS and POFS systems) enable managers to dispatch

field personnel more efficiently. Deregulation also necessitates the use of wireless data

communications if energy suppliers and distributors in various sectors are to maintain reliable realtime communications in a competitive environment. Listed below are some of the major data

collection and management systems used by the industry to efficiently monitor and manage energy

resources.

Telemetry/Protective Relaying.95 The energy utility industry uses wireless data telemetry

systems to monitor and control electrical distribution systems and pipelines for natural gas,

petroleum, steam, and water. Electrical distribution systems utilize these data links to trip circuit

breakers when power faults or short circuits occur. They also utilize these systems to control the

load level that generation facilities have to provide during peak demands. Suppliers are able to

direct resources to consumers with much greater precision and efficiency by utilizing data

collection and analysis, precision load forecasting, long-term power purchase contracts, pro-active
96 Itron, Inc. (Itron) at 3.

97 DTE at 2.

98 API at 6.

99 Itron at 1.

3-10

load management and control, demand-side management programs and incentives, dynamic rate

structures, and conservation programs.96 The pipeline systems utilize similar techniques for the

purposes of controlling valves to reroute or inhibit the flow of materials in the event of a failure of

a section in a pipeline network.

SCADA. SCADA systems are generally computer-controlled radio communications links that

allow a user to control and monitor power generation, storage and distribution systems without

having to deploy staff where the equipment is located. These systems generally operate using

MAS in the 900 MHz band, point-to-point microwave systems in the 2 GHz, 6 GHz, and 11 GHz

bands, and unlicenced spread spectrum in the 2 GHz and 5 GHz bands. As modern utility systems

have increased in complexity, SCADA systems have become critical components of their

command and control infrastructure. These systems help to automate tasks like opening and

closing circuit breakers, monitoring system stability, and monitoring alarms for overload

conditions. Additionally, they are used for monitoring and controlling pumping stations and other

critical components of water networks. Information supplied by DTE indicates that direct radio

control of its remote substations, gas compressor stations, and pole top switches allows for

prompt customer service and restoration of service.97 The API indicates that petroleum, natural

gas, and energy distribution industries have increasingly relied upon MAS assignments from the

900 MHz band for the operation of SCADA systems as their command and control infrastructures

grow. These systems involve two-way traffic that requires paired channels, allowing a master

station to monitor and control the status of a multitude of measurements and tolerance limits at

wellheads, compressor stations, and valves, thereby eliminating requirements for constant manual

surveillance. SCADA systems are deployed in production fields and along pipelines to monitor

and adjust a variety of operating parameters, such as temperature, pressure level, and volume.

These monitoring functions are crucial in satisfying safety and environmental objectives while also

maintaining an acceptable level of production.98

AMR. All energy providers use some form of wireless technology to monitor and transmit usage

data from utility meters to utility databases in real time. Accumulation of real time data gives a

utility company the ability to develop a new portfolio of dynamic rate structures and incentive

programs, real-time pricing packages, and interruptible rates that can be targeted to specific

customers to significantly improve load management and reduce peak demand.99 This is generally

accomplished with a mobile system or a fixed network. The mobile system employs a handheld

unit or a van-mounted unit, which polls consumer meters (typically with a licensed frequency) and

“wakes” the meter unit. The remote meter unit then sends metering data back to the mobile unit

(generally on an unlicensed frequency). This record of energy consumption is segregated into
100 Load Report at 47.

101 CMP at 5.

102 National Rural Telecommunications Cooperative (NRTC) at 7. NRTC is a non-profit cooperative

consisting of 705 rural electric cooperatives, 128 rural telephone cooperatives, and 189 independent rural

telephone companies located throughout 48 states and its mission is to provide telecommunications technologies

and services to rural America. NRTC at 2.

103

 Id.

104 Itron at 6.

105 Itron Report at 4.

106

 Id.

3-11

adjustable time frames (typically a month) and set to correspond to “on-peak” and “off-peak”

prices.100 The fixed networks generally use a pair of licensed frequencies. These systems operate

in a manner similar to the mobile system except that there are numerous “mini-master” stations

deployed to interrogate meters. Central Maine Power Company (CMP), an electric utility

servicing central and southern Maine, states: “[u]tilities are also increasingly relying on wireless

communications to obtain accurate customer profile information. Utilities now seek to read

customer meters daily and to gather a wide range of information that ensures the efficient

generation of electricity. Automated meter reading (AMR) and electronic meter reading (EMR)

have flourished in recent years to meet this need. Collection and assimilation of these vast

quantities of data are essential to the core functions of utility facilities.”101

The energy industry considers AMR systems to be less expensive than wireline systems

because they require only the initial investment for radio equipment that has a long life span.102

Wireline systems require a dedicated land line for each AMR unit.103 Furthermore, Itron

attributed the following as beneficial use of AMR: automation of costly “off-cycle reads”

associated with beginning-and-end-of-service transactions, a reduced number of erroneous

readings, the ability of customers to monitor or make changes to their equipment from a remote

location using wireless sensor devices, no degradation of service because of weather, the

elimination of dangerous access situations, and automatic outage notification.104 

Energy theft pertaining to metering and meter reading is another issue confronting energy

providers, regulators, and consumers that can be addressed with AMR technology.105 Industry

groups and analysts estimate that energy theft in the United States is between 0.5 percent and 3.5

percent of annual gross revenues.106 In the late 1990s, U.S. electricity revenues were
107

 Id.

108

 Id.

109 Itron Report at 4.

110 A DS-3 link is equivalent to one TV channel, 28 T1 circuits, 762 voice channels, or 45 Mb/s.

111 U.S. Department of Commerce, National Telecommunications and Information Administration, Staff

Study, U.S. National Spectrum Requirements/Projections and Trends (Mar. 1995) at 69.

3-12

approximately $280 billion per year.107 However, electricity theft was estimated to be between $1

billion to $10 billion annually, and that does not include theft of natural gas.108

Meter tampering is not only costly to consumers, but theft of electricity and natural gas

service also causes significant public safety issues. For instance, a consumer tampering with a gas

meter could cause a meter to leak, increasing the risk of an explosion. Tampering with an electric

meter poses the risk of electrocution or other serious injury. Technology is currently available

and in use that is capable of automatically detecting meter tampering. This could provide a

crucial asset in efforts to improve public safety and deter energy theft.109

WIRE-BASED AND COMMERCIAL SERVICES

In most instances, wire-based services are leased from commercial providers because of

the high cost of components (e.g., installation costs, maintenance and repair costs, etc.). 

Although some media, such as fiber optic cables, have shown a high capacity for relaying data,

they also have distinct disadvantages when utilized by energy providers. Each wire-based or

commercial medium and its feasibility is discussed below. For an overview of the advantages and

disadvantages of wire-based and commercial services go to Table 3-1. This table was derived

from comments in response to the RFC.

Fiber Optic

In some instances, fiber optic networks can be a robust alternative to the use of spectrumdependent equipment, such as point-to-point microwave or MAS. “A single fiber can carry 2,400

megabits per second (Mb/s) of data (48 DS-3 Circuits110); the maximum capacity of a commercial

microwave channel is 135 Mb/s (three DS-3 circuits).”111 Fiber can be used instead of spectrumdependent equipment to process voice and data information, such as land mobile voice, SCADA

and AMR between meter devices and main offices.
112 OPPD at 9.

3-13

Table 3-1

Summary of Commercial Services as Indicated by Commenters

Wire Based or

Commercial Service

Disadvantages Advantages

Fiber Optic Limited coverage area in rural and remote areas

Expensive components

Difficult to install in remote, rural or inhospitable

areas

“Right-of-way” land rights must be obtained

Very susceptible to damage

No priority of service for public safety agencies &

utilities

Channel capacity

Beneficial for network

redundancy

Power Line Carrier Limited coverage area in rural and remote areas

Susceptible to damage

Interference

Low channel capacity

Pre-existing network

Commercial

Telephone

Limited coverage area in rural and remote areas

Susceptible to damage

Dependent on reliable power supply

Low channel capacity

Requires complicated design scheme

No priority of service for public safety agencies &

utilities

Pre-existing network

Commercial Wireless

Telephone

Limited coverage area in rural and remote areas

Complexity of dealing with multiple carriers

Frequent network saturation

Long restoration time when outages occur

No priority of service for public safety agencies &

utilities

Pre-existing network

Cellular Digital Packet

Data

Limited coverage area in rural and remote areas

Longer implementation time

Complexity of dealing with multiple carriers

Frequent network saturation

Long restoration time when outages occur

No priority of service for public safety agencies &

utilities

Pre-existing network

To lay fiber, a utility needs to acquire the right-of-way to the land, which can be

particularly difficult if the terrain is uninhabited or the fiber needs to traverse a waterway or

ravine. As a result, it is often much more expensive to lay fiber for long distances than it is to use

spectrum-dependent equipment such as a MAS.112
113 Data Flow Systems, Inc. (DFS) at 12.

114 UTC at 29.

115 API at 22.

116 A transmission facility providing greater than 45 Mbps (T3). Harry Newton, Newton’s Telecom

Dictionary, (1996) at 113.

117 UTC's Power Line Telecommunications Forum was established in 1998 as a neutral platform where

utilities, manufacturers, service providers, consultants and potential users of power line products and services can

work together as equal partners to determine the scope, viability, and benefits for power line telecommunications

services in the United States. The Forum consists of three committees: business applications, technical, and

regulatory.

118 UTC homepage at <http://www.utc.org/?v2_group=0&p=187>.

119 Load Report at 50.

3-14

DFS states that there is also the problem of service interruptions. Like other land lines,

fiber optic cables are susceptible to damage by careless construction workers, unaware

homeowners and a multitude of natural events such as thunderstorms, ice storms, tornadoes,

hurricanes and floods.113 Baltimore Gas & Electric uses fiber optic routes in redundant

configurations with microwave point-to-point systems.114 It should be noted that fiber optic

networks are also installed along various pipeline networks by the administrative and operational

centers of the oil and gas industry to forward data received from remote locations to various field

offices. However, the API stated in its comments:

some pipeline companies have deployed private fiber optic networks along their

rights-of-way. However, with some notable exceptions, most pipeline companies

have been reluctant to deploy fiber optic networks because of operational

concerns. The principle concern with such deployment is twofold: operating and

maintaining fiber networks could interfere with “core business” pipeline

operations; and, communications may be lost at the most inopportune time, such as

when a high-pressure pipe bursts and destroys the fiber optic cable at the same

time.115

Power Line Carrier (PLC)

PLCs send communications signals over pre-existing power line networks. This

technology transmits information using broadband communications.116 The UTC Power Line

Telecommunications Forum117 has identified technical hurdles that include signal-to-noise ratio,

interference, bypasses of transformers, segmentation of the feeder and various safety and

procedural considerations.118 The primary advantage to using PLCs is the pre-existing

communications network.119 The BPA has indicated several disadvantages restricting the use of
120 Landon Letter, in BPA Attachment at 7

121

 Id.

122 BPA at 7.

123 The basic forms of existing PCS include cordless telephone, one-way paging and various cellular

services than enable customers maintain service between cell sites and the public switched telephone network.

124 Load Report at 53.

3-15

PLCs alternatives to wireless technologies:

(1) [t]he communication channels travel on the same power line that it is to

relay/switch out for protection and does not provide the required reliability. This

decreases the power transmission system reliability for many applications. (2) The

noise on the communication channels is high for many applications and does not

provide the required reliability. (3) The amount of communication channels is

restricted to low capacities. BPA requires larger amounts of channel capacity for

its existing and future operation and does not provide the required reliability. (4)

Future expansion is restricted in channel capacity and application requirements. 

(5) Future improvement of this technology is required for BPA’s reliability.120

Commercial Telephone Lines

Commercial telephone has been used for many years by the energy industry. However,

spectrum dependent communications are considered to be much more reliable. DTE states that

disadvantages to use of commercial telephone lines include high leasing costs and circuit failure

during adverse weather conditions.121 BPA indicates that technical restrictions include the high

noise volume on communication channels (which cause real time controls to be unreliable when

outages occur), the complicated design schemes of substation environments, and restricted low

channel capacity.122

Commercial Wireless Telephones

Energy providers are among more than 95 million users of cellular telephones on a routine

basis. This number will continue to grow rapidly as cell phone carriers acquire more RF

spectrum, increase their coverage area and implement new service such as PCS123 which features

wireless Internet access in addition to processing voice and data information.124 However, energy

providers contend that the major obstacles to increase use and reliance on this medium include

unreliability due to limited coverage areas and frequent system saturation during peak hours and

crisis situations. In supplemental comments for this report, Cinergy emphasizes that the events of

the September 11, 2001, terrorist attacks illustrated how quickly a commercial wireless network

could become completely saturated:
125 Cinergy Supp. at 13.

126 CMP at 4.

127

 Id.

128

 Id.

129

 Id.

130

 Id.

3-16

After the attacks occurred, Consolidated Edison (“Con Ed”), electric, gas and

steam utility for lower Manhattan, had to respond quickly to the crisis. 

Fortunately, Con Ed was able to rely on its own private internal communications

system because it otherwise would not have been able to rely on a commercial

carrier. The commercial wireless providers were inundated with calls from their

customers immediately after the attacks. Telephone and wireless traffic “surged by

as much as 400 percent above normal levels.” This resulted in commercial wireless

systems being overwhelmed. This was particularly true in Manhattan where

Verizon stated that close to 100% [sic] of its wireless calls in lower Manhattan

were blocked and failed to get through. As a result of the congestion, wireless

companies asked their customers to use the phones only if it was an emergency. 

Not only was wireless service in New York and Washington, DC affected by the

events of September 11th, wireless users nationwide got busy signals for much of

the day. Utilities cannot depend upon commercial wireless providers for their

telecommunications needs because the commercial wireless provider cannot

guarantee that a utility would have service during an emergency.125 

CMP indicates that a major ice storm during the winter of 1998 accentuated the

shortcomings of commercial cellular service in a crisis situation.126 In the aftermath of the storm,

CMP tried using public cellular networks to dispatch out-of-state crews working in Maine.127 But

other energy providers were also relying on cellular telephones to repair damage from the

storm.128 Both the wireline and cellular telephone networks were deluged and could not be relied

upon to dispatch repair crews.129 CMP further states that a lack of wireless communications

capability in emergency situations is unacceptable; as a consequence, private internal wireless

networks are needed for the provision of reliable, safe electric service.130 There is no priority of

service afforded to public safety agencies and energy providers when a commercial wireless

network becomes saturated or a major service disruption occurs. Commercial service providers

operate on a “first come, first serve basis.” Neither are they subject to state and federal

requirements for restoration of service as is frequently the case with energy providers.
131 USATFR at 9.

132

 Id.

133 UTC at 1.

134

 Id.

135

 Supra note 5.

136

 See API at 2 -7; CMP at 1-2; Cinergy Corporation (Cinergy) at 2; Delmarva Power & Light Company

and Atlantic City Electric Company (DPLC &ACE) at 2; DTE at 1; Dominion Resources Services, Inc (Dominion)

at 1-2; FPL & GPU at 1-3; NRTC at 4; NMPC at 2-3; NAES at 1; OPPD at 2-4; SCANA Corporation (SCANA) at

2-4; UTC at 8 and Williams Gas Pipeline (WGP) at 3.

3-17

Cellular Digital Packet Data (CDPD)131

CDPD is a commercial wireless data service that uses the cellular network to provide

packet data capabilities. It uses a data format similar to Internet communications while dividing

data into packets that are transmitted over the cellular network. Data is processed utilizing 30

kHz voice channels in the 800 MHz cellular band, which are subordinate to voice transmissions. 

When a voice transmission is initiated, the data is rerouted to another channel.132 CDPD is also

subject to the same disadvantages attributed to commercial cellular voice service.

SUMMARY OF SPECTRUM AND SYSTEMS CURRENTLY USED

Reliable energy service is easily taken for granted. Whether we flip a switch or pump

gasoline, the energy industry is able to provide these resources on demand in part due to the

expansive nature of their infrastructure. Infrastructure that includes transmission lines, water

pumps, railroads or electric substations, requires maintenance, remote control, monitoring, and

repair.133 Whether an entity is in the electric, natural gas, petroleum, nuclear, delivery,

transmission, storage, or renewable energy business, the overriding similarity between these

companies is their telecommunications requirements.134

In the first and second question of NTIA’s RFC, NTIA asked how much spectrum is

presently available and in which spectrum bands and radio services the energy industry operates

radio communications equipment, respectively?135 As a whole, the energy industry uses

frequencies anywhere from 25 MHz to 25 GHz.136 Within this range, companies use point-topoint microwave systems, shared Industrial/Business Pool, and systems in VHF and UHF. Table

3-2, on page 3-19, illustrates the frequency bands and applications the energy industry utilizes in

their daily operations. These bands are used by systems that are needed to maintain radio

communications
137 See generally API at 3, CMP at 2, DPLC and ACE at 3, DTE at 2, FPL and GPU at 3, NMPC at 2-3,

OPPD at 2, WGP at 4.

138 Cinergy at 2.

139 API at 5. See also 18 C.F.R. § 284.13(c)(1).

140 API at 7, 10.

141

 Supra note 5.

142 See API at 2-7, CMP at 2, Cinergy at 2, DPLC and ACE at 2, DTE at 2, Dominion at 2, FPL and GPU

at 3, NRTC at 3-5, NMPC at 2-3, OPPD at 2, SCANA at 2-3, UTC at 11-17, and WGP at 3.

3-18

throughout all stages of the exploration, production, distribution, maintenance, and restoration

processes of energy companies.137

Specifically, one commenter, Cinergy, indicated that they used “spectrum-dependent

equipment for two way radios, private paging, electric and gas distribution system control and

data acquisition, generation control, generation scheduling and dispatch, electric system

protective relaying, mobile data to field service trucks, electrical feeder lockout alarms, meter

reading, phone service, and data network communications.”138 There was insufficient information

from the commenters or coordinators to determine how much spectrum is available or used in the

frequency bands in Table 3-2.

According to industry comments, the pipeline companies have a growing need for these

communication systems to be compliant with Federal Energy Regulatory Commission regulations

that require companies to electronically disseminate an index of all their company transportation

and storage customers under contract as of that date on the first business day of each calendar

quarter.139 API stated its use of radio systems is for its public safety support and emergency

response roles, as well as for protection of the environment.140

The third question NTIA asked was what kinds of radio equipment were being used?141

Commenters informed NTIA that various systems were used including Private Land Mobile Radio

Service or two way radios, fixed microwave services, supervisory control and data acquisition

(SCADA) systems, spread spectrum, data service and Multiple Address System (MAS).142

TECHNICAL ISSUES

Energy providers share RF spectrum with a broad range of users of spectrum in the

Industrial/Business Pool of frequencies, as outlined by FCC regulations. They are afforded no

specified separation rights or other interference protection. Some of these frequencies are used 
3-19

Table 3-2

Summary of Bands and Applications Currently Used by The Energy Industry

Based on Input from Commenters

Frequency Bands Applications Frequency Bands Applications

25-50 MHz PLMRS 932-941 MHz SCADA

48-50 MHz Voice Dispatch,

Alarms From

Remote Stations

935-940 MHz PLMRS

50 MHz PLMRS, MAS 941-944 MHz POFS

150-170 MHz Voice Dispatch,

Load Management

Control

952/956/959 MHz MAS

150-175 MHz Alarms From

Remote Substations,

PLMRS

952-960 MHz POFS

220 MHz SCADA 956, 959 MHz Mobile Meter

450-470 MHz Voice Dispatch,

Mobile Data,

PLMRS

1.427-1.432 GHz AMR

470-512 MHz PLMRS 1.85-1.99 GHz POFS

800 MHz Voice Dispatch,

Mobile Data

Terminals, Trunked

PLMRS

2 GHz PLMRS, POFS,

MAS, SCADA,

Point-to-Point

Microwave, Spread

Spectrum

806-821 MHz PLMRS 2.4 GHz Point-to-Point MW

821-824 MHz PLMRS 5 GHz Spread Spectrum

851-866 MHz PLMRS 5.8 GHz Point-to-Point MW

866-899 MHz PLMRS 5.9-6.4 GHz Point-to-Point MW

896-901 MHz PLMRS 6 GHz Point-to-Point MW

900 MHz MAS 6.5-6.8 GHz Point-to-Point MW

Microwave

902-928 MHz SCADA 6.525-6.875 GHz POFS

928-929 MHz POFS 11 GHz Point-to-PointMW

928/932/941 MHz MAS 18-19 GHz Point-to-Point MW

928-952 MHz SCADA 21.2-23.6 GHz POFS

929-930 MHz PLMRS 24.25-25.25 GHz POFS

932-935 MHz POFS
143

 Supra note 25.

144 UTC at 18.

145

 Id.

146

 Id.

147 Cinergy at 12.

148 API at 6.

3-20

on a shared basis.143 UTC specifically states, “[Private Land Mobile Radio] PLMR users continue

to experience increasing levels of ambient noise on various frequency bands, as well as harmful

interference.”144 UTC further states that notwithstanding the FCC’s public safety radio services

determination for critical infrastructure, “. . . adjacent channel interference remains a threat to the

safe and reliable operation of utilities and pipelines.”145 In addition, UTC informed NTIA that,

“[a]s private wireless spectrum grows more congested, there are increasing reports of harmful

interference to energy activities, including critical power restoration.”146 Cinergy seconds this

assertion by stating, “Interference also can occur even if the utility is allowed to operate on a

frequency exclusively, and adjacent licensees and co-channel licensees are obeying all FCC

regulations.”147 In addition, API states that:

 . . . [p]rimarily because of the lack of adequate licensed spectrum, oil and gas

companies also currently operate private internal communications systems utilizing

frequencies on an unlicensed basis in the 902-928 MHz band, the 2.4 GHz band

(2400-2483.5 MHz) and the 5.8 GHz band (5725-5850 MHz). These systems are

governed by certain technical and service requirements under Part 15 of the FCC’s

Rules and Regulations which, among other things, require users to accept any

interference that may occur from other radio systems (licensed or unlicensed) or

industrial, scientific or medical systems (including microwave ovens and

microwave lighting systems). A growing problem for systems that operate in the

unlicensed bands is the raising of the noise floor. That is, as more and more

unlicensed systems are deployed within close geographical proximity to one

another, the systems become less and less reliable because the aggregation of

transmitted energy begins to reduce each system’s ability to discriminate its desired

signal from the noise. Notwithstanding the noise problem, however, such

unlicensed systems are being used to provide high speed data transfer capabilities

through direct sequence spread spectrum systems and lower speed data acquisition

in frequency hopping, MAS-like, point-to-multipoint systems. Although

unlicensed spectrum helps to meet the oil and gas industry’s need for radio

spectrum, the unlicensed bands cannot be relied upon to meet the system integrity

and communications reliability requirements demanded by the public safety aspects

of oil and gas pipeline operations.148
149 Part 90 Order at 14338.

150 Public Safety Wireless Network, Comparisons of Conventional Trunked Systems, (May 10, 1999).

151

 Id.

152

 Id.

153

 Id.

154 Part 90 Order at 14338.

3-21

TECHNOLOGY TRENDS

Trunked Radio Systems

In addition to being allowed in the 800 MHz, 900 MHz and 220 MHz bands, centralized

trunked operation is now permitted in the 150-174 MHz, 450-470 MHz and 470-512 MHz

bands.149 Trunked operation enhances spectral efficiency through dynamic allocation and sharing

of a small number of communications channels among a large number of users. In a centralized

trunked system (as defined by the FCC), a user in a previously established talk group generates a

channel request on a control channel that is continuously monitored.150 A computer then searches

for an available frequency pair and assigns it to the party requesting it.151 Call requests are placed

in a queue to wait for a vacant channel.152 Trunking systems can also be programmed to include

specific features and options such as talk groups, encryption, emergency operation and telephone

access.153 This eliminates scenarios in which users are forced to wait for an particular channel

while other channels remain idle, as in conventional systems.154

Wideband Data Technology

Wideband data and wideband video are two developing technologies that could have

increasing roles in the control and monitoring of an energy provider’s operational infrastructure. 

These rapidly emerging technologies could enhance the efficiency of an energy provider’s daily

operations and its ability to deal with emergency conditions where it is important to communicate

the complex and often dynamically changing details of an emergency situation to others in the

command or worker/supervisory chain. Video systems are invaluable tools to public service

entities responding to catastrophic events, such as train derailments, tornadoes, hurricanes, and

terrorist attacks.

The ice storm that hit upstate New York in the mid-1990s provides a good example of

how this technology can be utilized in emergency situations. With thousands of lines down, the

transmission of video images of the disaster areas from the field to the storm coordination centers 
155 USATFR at 10.

156

 Id.

157 USATFR at 8.

158 API at 22.

159

 See supra note 118.

3-22

could have been invaluable to command centers. Utilities provided with real-time video feedback

could have been able to make accurate damage assessments and deployed repair crews

accordingly.155 Furthermore, the utilities in a final report stated:

[t]he basic requirement for video/imagery is immediate, clear wireless transfer of

video/imagery for all utility personnel upon all demands, major and minor, created

by utility-related field situations and emergencies. Video/imagery capture and

display systems must be capable of transceiving specific replications and should

accommodate video and imagery from multiple sources including privately owned

and utility controlled. For example, automatic aid agreements with public safety

agencies could often require quality video/imagery of incident scenes for utility

command personnel, either directly or through retransmission.156

Wireless LAN/WAN Connectivity

The USAT Final Report found that “[t]he wireless LAN operates in the unlicensed 2400–

2500 MHz band and infrared regions of the electromagnetic spectrum. Only a transceiver and

antenna are required with an interface that attaches to a personal computer and allows it to

connect with a LAN without having to run cable to it.”157 API anticipates an increased use of

wireless Internet services as commercial providers make them available. However, API

emphasizes that commercial wireless services will not completely replace private wireless

systems.158

Geographic Position and Automatic Location Data

Commenters provided no information or data on the viability of commercial geographic

position and automatic location data systems (e.g., LoJACK and Global Positioning Systems). 

However, energy providers would like to be able to transmit location data that is determined by

geographic position technology or other means, automatically or on demand, to other locations. 

Examples of this requirement include continuous updating of vehicle positions and of individual

worker locations. This is particularly useful when the worker is outside of her/his vehicle. This 

technology also gives the company the ability to trigger position transmitting devices on stolen

construction or other heavy equipment.159
160

 Id.

161

 Supra note 5.

162 API at 19-21, CMP at 4, Cinergy Supp at 12-13, DPLC and ACE at 8-9, DTE at 2, Dominion at 2-3,

FPL and GPU at 3, NMPC at 3, OPPD at 7-9, and SCANA at 9-10.

163 UTC at 20.

164 API at 21 and NAES at 2.

3-23

In addition, the Utilities Spectrum Assessment Taskforce Final Report stated:

A need exists for automatic communication of location information generated to

report accurate location of vehicles and personnel into a synthesized computer

command and control system. This system should also accommodate associated

data, such as emergency situation alert function, personnel vitals and equipment

status and needs such as fuel and water. Automatic location information will

accomplish several goals in the mission of life and property protection; emergency

responders dispatched with regard to actual incident proximity will trim precious

life and property saving response times; incident supervisors will accurately assign

and monitor units/personnel to accomplish strategic efficiency; and emergency field

personnel will report emergency situation location by the push of a button,

speeding help their way and reducing the likelihood of injury or death. Location

systems provide a means to track crews and equipment for the purposes of

effective response to disruption of service as well as for efficient day to day fleet

management. When a catastrophic event does occur, the Utility entities rely on

access to databases which contain information concerning the availability of repair

and restoration materials and equipment.160

SUMMARY OF NON-SPECTRUM DEPENDENT ALTERNATIVES AND

COMMERCIAL SERVICES

NTIA inquired about the use of non-spectrum dependent alternative technologies or

commercial services that are currently available.161 For the most part, commenters stated that

commercial wireless services did not adequately service their needs due to issues of compatibility,

reliability, cost-effectiveness, and whether commercial services would meet the specific needs of

energy companies.162 As one commenter stated, “[c]ommercial service providers cannot meet the

unique and varied needs of [these] entities.”163

Many commenters also discussed the use of fiber optic and/or wireline networks. A few

commenters said they currently use fiber optics and other wireline networks.164 However, even 

with practical applications of fiber optic and/or wireline networks, some commenters stated these
165 DPLC and ACE at 10.

166 Cinergy at 10, OPPD at 9 and SCANA at 11.

167

 Supra note 5.

168

 Id.

169 API at 25-29, CMP at 5, Cinergy 10-12, DPLC & ACE at 10-12, FPL & GPU at 4, OPPD at 10-12,

and SCANA at 11-13.

170 Cinergy at 15-16, DPLC & ACE at 15-16, OPPD at 15 and SCANA 16-17.

171 NAES at 2.

172 DTE at 3.

173 Id.

174 Dominion at 3.

3-24

alternatives do “not provide the mobility that spectrum dependent equipment does”165 and they are

not as cost effective as radio-based systems.166

POSSIBLE FUTURE SPECTRUM REQUIREMENTS

After asking for the current spectrum dependent and independent usage of

telecommunications devices, NTIA asked “[w]hat part of the spectrum do the energy, water and

railroad industries foresee for possible future use?”167 As a follow-up, NTIA then asked

commenters to give the rationale for any additional spectrum requirements.168

Of the 19 commenters, seven stated that energy providers need additional spectrum,

specifically for exclusive use.169 Out of these seven, four stated that the FCC should allocate more

spectrum in the 450 MHz, 800 MHz, and 900 MHz bands because the majority of the current

spectrum used by energy companies is located in these bands.170 Another commenter, NAES,

suggested that the 450 MHz band should be considered for allocation. NAES recently installed a

new 450 MHz Narrowband Digital Trunked Radio System and intends to pursue expansion of this

system.171

DTE stated that one or more unused television channels should be reallocated for utilities’

use on a low powered, non-interfering basis.172 DTE also informed NTIA that “[o]ther preferred

spectrum would be between 1 GHz and 12 GHz.”173 Another commenter, who provides electric

and gas services, simply stated that they have a “glaring need” for more spectrum in the two-way

mobile radio and Mobile Data Dispatch system.174 On the other hand, Niagra Mohawk Power

Corporation (NMPC) stated that “high frequencies are likely to be the target for future wireless
175 NMPC at 3.

176 Id.

177 WGP at 7 and UTC at 26-27.

178 Itron at 12.

179 Itron at 6.

180 Id.

181

 Supra note 5.

182 API at 24.

3-25

needs”175 because traditional frequency bands under 450 MHz have been saturated by other

users.176 Another commenter, National Rural Telecommunications Cooperative (NRTC), felt that

its members need access to spectrum in lower bands such as the 220 MHz band they are currently

using.

Two other commenters, WGP and UTC, both stated that adequate spectrum is required

for continued operation of energy companies.177 Despite various recommendations for possible

future spectrum use, all commenters cited the lack of current spectrum due to interference from

overcrowding and the lack of spectrum licensed to the energy industry on an exclusive basis.

Lastly, NTIA received a comment from a manufacturer of equipment the utilities use in

their daily operation. Itron, Inc. (Itron), is a provider of equipment that collects, analyzes, and

applies electric, gas, and water usage data. As a manufacturer of this equipment, Itron believes

that “utility telemetry services make efficient use of the 1427-1432 MHz band” and that the FCC

should preserve this band for current use.178 Itron stated that AMR systems successfully operate

in this band and it has made significant investment in AMR equipment to make its use more

efficient and reliable.179 More importantly, Itron feels the Nation’s critical infrastructure may be

impaired if adequate spectrum is not provided for AMR use.180

POSSIBLE FUTURE ALTERNATIVE TECHNOLOGIES

Finally, NTIA asked about emerging non-spectrum dependent technologies or commercial

services.181 NTIA asked this question to investigate the emerging technology in the energy

industry and to help inspire innovations, whether the new technology is spectrum dependent or

spectrum independent.

One commenter, API, noted that future technology will likely remain in the private

wireless area due to the historical reliance on and the reliability of these “mission-critical mobile

wireless systems.”182 API believes future wireless networks will employ digital modulation as the
183 API at 24-25.

184 NAES at 2.

185 Dominion at 3.

186 DTE at 3.

187 NMPC at 4.

188 Id.

189 Id.

190 Id.

191 Dominion at 3.

3-26

telecommunications industry as a whole converges on digital standards.183 Another commenter,

NAES, stated that it “will pursue commercially available and non-spectrum dependent

communications technologies as alternates[,] provided [these systems meet] the requirement on

protecting the health and safety of the public and employees in a manner consistent with systems

currently in place.”184

One technology that was often mentioned is fiber optics. One company, Dominion

Resources Services, Inc. (Dominion), discussed the use of fiber optic technology as an application

for a fixed point-to-point and point-to-multipoint network,185 as did DTE.186 Another commenter,

NMPC, informed NTIA that, in its view, utilities will continue to expand the use of fiber optic

technology.187 NMPC goes on to state that fiber optic networks are useful for certain functions

that rely on information moving from point to point, much like the system discussed by

Dominion.188

Another emerging technology NMPC mentioned is power line carrier systems where

existing electrical lines are used for transmitting and receiving data.189 However, NMPC did assert

limitations of both fiber optic and power line carrier systems.190 Nevertheless, the potential use of

such technologies appears to be limited! As noted by Dominion, “there appears to be no

alternative for mobile communications other than use of the radio frequency spectrum.”191
192 EPA at 2.

193 EPA at 4.

194

 Id.

195 American Water Works Association (AWWA) at 12. AWWA is an international, non-profit,

scientific, and educational society dedicated to the improvement of drinking water quality and supply. AWWA has

57,000 plus members and includes approximately 4,200 water systems that supply water to roughly 80 percent of

the people in the United States.

196 All federal agencies submit requests for frequency assignments through their respective IRAC

representative.

4-1

SECTION 4

THE WATER INDUSTRY

BACKGROUND

Water is a vital component of the Nation’s critical infrastructure. Perhaps one of the main

reasons water tends to be overlooked when one examines various components of the Nation’s

critical infrastructure is that the consistency and high quality of service is literally taken for

granted by the consumer. The September 11, 2001, terrorist attacks on the World Trade Center

and the Pentagon serve as a vivid reminder that components of our critical infrastructure are

vulnerable and should not be taken for granted.

Wireless voice and data technologies are crucial in the management of wastewater and

drinking water. Wireless communications ensure compliance with numerous state and federal 

regulations governing environmental and public health protection. The EPA states, “[w]e project

that the wastewater and drinking water utilities will need the communications tools to successfully

achieve and maintain compliance objective.”192 The EPA further states that any loss of spectrum

allocations or underestimation of wastewater and drinking water wireless communication

requirements will have dire consequences on operations within the water industry.193 The obvious

impact will be higher consumer costs and noncompliance with safety and environmental

requirements.194 The American Water Works Association (AWWA) emphasizes that real-time

command and control of drinking water treatment operations is crucial to avoiding disruption by

vandalism or terrorist assaults on the water industry’s infrastructure.195 

Energy generation (i.e., hydroelectric power) is another area where water resources are

sometimes taken for granted. The U.S. Army Corps of Engineers (USACE) is one of several

federal agencies196 that utilizes wireless communications technologies to manage dams and locks

throughout the country. It should be noted that the USACE manages several of the largest

hydropower dams in the Nation. Wireless technologies used to manage dams and locks are the

primary means of flood control and land irrigation. 
197 AWWA at 2.

198 AWWA at 17.

199

 Id.

200 DFS at 2.

201 AWWA at 11.

4-2

Water utilities also play a significant role in public safety. In many instances, water

utilities work in concert with public safety entities when situations requiring emergency response

arise. For example, the AWWA emphasizes that “[w]ater distribution systems are critical to fire

fighting, and in order to sustain water service, radio-based real-time control systems are used to

maintain adequate supply and pressure in the delivery system. The inability of water systems to

sustain supply and pressure would disarm the [firefighters].”197 AWWA further states that

spectral efficiency is maximized when police, fire, water, and other agencies share a common

communications system under the auspices of local government.198 An example of these types of

mutually beneficial linkages is any instance in which fire departments require real-time

communications with water departments beyond their normal operating area.199 

INDUSTRY GROWTH

Data Flow Systems (DFS), a manufacturer of SCADA systems for the water utility

industry, projects the population of the United States will increase by about 54 million residents

during the next 25 years (roughly 28 million residents by 2015 and 25 million residents by 2025). 

These figures are based on a national population growth rate of approximately 13.1 percent

during the past 10 years. The Nation’s daily freshwater consumption is projected to increase by

8 billion gallons per day over current consumption levels by the year 2025. Wastewater effluent

will increase at a commensurate rate. This growth will necessitate significant expansion of the

Nation’s fresh and wastewater supply sources and their wireless communications

infrastructures.200 Table 4-1 illustrates projected population growth in the United States, as a

whole, in addition to California, Texas, and Florida (the Nation’s first, second, and fifth most

populous states).

If water resources are not managed efficiently, these population and water usage

projections will cause sharp increases in water utility service rates. One of the most significant

forces causing these increases in water utility rates is the cost of expanding and modernizing

operational infrastructures. In addition, it should also be emphasized that increased use of the

components within water utility infrastructures (brought on by expansion) creates a need for

replacement due to over use.201
202

 Id.

203

 Id.

204

 Id.

4-3

Table 4-1

Projected Population Growth202

Population

2015

(Projected)

Population % Change

2000-2015

(Projected)

Population

2025

(Projected)

Population %

Change

2000-2025

(Projected)

USA 310,133,000 10.2% 335,048,000 19.1%

California 41,373,000 22.1% 49,285,000 45.5%

Florida 18,497,000 15.7% 20,710,000 29.6%

Texas 24,280,000 16.4% 27,183,000 30.4%

AWWA states that wireless SCADA and telemetry systems free of disruptions and

interference will be one of the most efficient ways to manage and monitor the pumps, valves and

storage facilities in a water distribution system.203 AWWA further argues that:

[a]s the length of time that capital facilities are in place without replacement

increases, so does associated failures. The rate of failure increases even more

rapidly when older facilities are subjected to increased usage associated with

growing demand for water as populations grow and business uses of water

increase. In drinking water facilities, failure events are most evident to customers

as water main breaks. Each time such a break occurs, it represents a potential for

cross-contamination of the potable water supply, low water pressure and

potentially a water outage for customers, and loss of a valuable resource to the

environment. Drinking water systems with aging distribution systems rely in part

on faster SCADA systems with more frequent, even continuous monitoring, of

remote nodes for pressure loss to identify main break events.204

WIRELESS TELECOMMUNICATIONS INFRASTRUCTURE

Water utilities use their wireless telecommunications infrastructures to process both voice

and data information. Water providers utilize multiple frequency bands in the Private Land

Mobile Radio Service (PLMRS), MAS, and the Private Operational-Fixed Microwave Service

(POFS). They operate SMR systems and maintain service with commercial wireless providers.
205 AWWA at 3.

206 Fox Letter at 1.

207 AWWA at 3.

4-4

Voice Requirements

Voice-related systems, such as land mobile, primarily use frequencies below 470 MHz for

crew dispatch and emergency restoration efforts. Section 3, The Energy Industry, Wireless

Telecommunications Infrastructure, provides more detailed information pertaining to the use of

voice systems and applications by the water industry. Many systems used by one industry tend to

be used by another as these systems are used for similar purposes.

Data Requirements

SCADA systems employ radio telemetry to monitor and control remote facilities and are

critical for the efficient management of drinking water and wastewater treatment facilities.205 In a

letter to the FCC emphasizing the need for additional 900 MHz MAS frequency licenses for the

internal SCADA systems of drinking water and waste water industries, the EPA emphasizes:

SCADA systems offer these utilities improved, real-time monitoring and control of

their systems while minimizing cost and staffing. It is essential to cost-effective

protection of public health and the environment that utilities have access to the

spectrum bandwidths they need for SCADA systems, and that, in recognition of the

public safety function these system serve, these bandwidths be available outside of

any auction process designed to allocate spectrum to “commercial” users.206

According to AWWA, the water industry uses SCADA systems to remotely manage

treatment and distribution facilities in all phases of operations. SCADA systems are used to:

• control and monitor water quality;

• optimize pumping operations;

• maintain water levels in storage reservoirs to meet fire flow demands and

requirements;

• monitor and control distribution systems pressures; and

• ensure physical and cyber security of facilities.207

SCADA also plays a critical role in the control of microbial and chemical contaminants in

drinking water supplies. Data collected from remote points in the water treatment and

distribution systems using SCADA systems includes:

• pressure levels to prevent ground and surface water from infiltrating into
208 AWWA at 4.

209 Fox Letter at 1.

210 DFS at 12.

211 AWWA at 19.

212

 Supra note 5.

213 AWWA at 2.

214 AWWA at 3.

215 AWWA at 4.

4-5

distribution facilities providing a 24-hour check on system integrity;

• monitoring of water chemistry at water intake facilities to ensure that treatment

plant operation is optimized;

• provide water quality information on a continuous 24-hour cycle;

• providing pressure and flow information; and

• monitoring intrusion to prevent vandalism or sabotage.208

The EPA and AWWA both contend that SCADA systems are critical to compliance

with the performance of the current drinking water regulations: (1) Clean Water Act Amendment;

(2) Safe Drinking Water Act; and (3) Sanitary Sewer Overflow Rule.209

WIRE-BASED AND COMMERCIAL SERVICES

DFS and AWWA have expressed concerns similar to those received from energy and

railroad providers regarding the use of commercial telephone lines. Again, the most prominent

issues are reliability, costs, and service interruptions.210 However, AWWA has indicated that

commercial carrier telephone service is adequate for routine business communications and internal

SCADA applications, over which the utility can control events that might disrupt operations.211

SUMMARY OF SPECTRUM AND SYSTEMS CURRENTLY USED

In the first and second question of NTIA’s RFC, NTIA asked how much spectrum is

presently available and in which spectrum bands and radio services does the water industry

operate radio communications equipment, respectively?212 NTIA was informed that the water

industry utilizes SCADA systems via radio telemetry to monitor and control remote facilities to

manage water quality and quantity.213 SCADA systems are radio-based real-time control

systems.214 Specifically, SCADA systems are used to efficiently operate pumps, control water

pressure, monitor water chemistry, and provide security to remote facilities.215
216

 See generally AWWA at 4-6.

217 AWWA at 13.

218 AWWA at 14.

219 AWWA at 18.

220 Id.

221 East Bay Municipal Utility District (EBMUD) at 1.

222 EBMUD at 5.

223

 See generally, EBMUD at 5-6.

224 EBMUD at 6.

4-6

In addition, the water industry is regulated by federal and state agencies for various water

quality requirements.216 AWWA informs NTIA that water utilities operate systems within the

PLMRS bands,217 but, these utilities are experiencing interference on their private land mobile

channels and incidents of interference is on the rise.218 On the other hand, water utilities also

maintain multiple layers of communication systems, including private radio, commercial services,

land-line providers, and dedicated land line links.219 These services have their limitations however,

and the AWWA noted that these alternative systems are not as reliable as exclusive use of

spectrum because of the lack of control.220

Another entity in the water industry who responded to NTIA’s RFC is East Bay Municipal

Utility District (EBMUD). EBMUD is a publicly owned water utility whose service area

encompasses 35 jurisdictions in Northern California.221 EBMUD operates many microwave

facilities, forming a network, which aids in the management of its water production, treatment,

and distribution system.222 The network consists of a MAS system operating at 25 kHz

bandwidth and other systems using the 2 GHz, 6 GHz and 23 GHz bands.223 Unfortunately, even

though this network was installed in the mid-1980s, EBMUD’s systems are currently operating at

or near full capacity.224 Table 4-2 provides an overview of the frequency bands used by the water

industry and applications each band supports. However, there was insufficient information from

the commenters or coordinators to determine how much spectrum is available or used in these

frequency bands.

TECHNICAL ISSUES

The concerns expressed by water providers regarding band sharing and channel

interference coincide with those indicated by energy providers, see Technology Trends section

below. AWWA further attributes a marked increase in incidents of interference in private land

mobile channels at 512 MHz, or below, to the frequency coordination process and recent FCC 
225 AWWA at 14.

226

 Id.

227 AWWA at 20.

228

 Id.

4-7

Table 4-2

Summary of Bands and Applications Currently Used by The Water Industry

Based on Input from Commenters

Frequency Bands Applications

900 MHz MAS, SCADA

928 MHz MAS

952 MHz MAS

956 MHz MAS

2 GHz Water Operations

Network

6 GHz Water Operations

Network

23 GHz Water Operations

Network

rule changes pertaining to frequency allocation.225 AWWA specifically states for voice

communications that:

[i]n a number of these cases, interference from non-public safety-related

radio users put at risk the lives and safety of critical infrastructure utility and

pipeline maintenance and emergency response crews and hampered the

efforts of police and fire crews to protect people’s lives and property.226

TECHNOLOGY TRENDS

Water utilities are among the largest energy users in the United States, and their intense

interest in the application of AMR technology will grow as the technology continues to

develop.227 AMR is used by drinking water utilities to bill customers for water usage.228 The

water industry considers AMR to be one of the most promising tools that optimize personnel
229

 Id.

230

 Id.

231

 Id.

232 Many water utility AMR systems now operate on unlicensed frequencies.

233 AWWA at 20.

234 AWWA at 21.

235

 Supra note 5.

236

 Id.

237

 Id.

4-8

safety measures.229 AWWA further states that assaults on meter reading personnel, as well as

injuries from falls on customer property, have made location-based meter reading a dangerous

occupation.230 AWWA contends that AMR minimizes those dangers and improves operating

efficiency.231

AWWA contends that additional band efficiency could be realized by assigning specific

frequencies for AMR systems and sharing these frequencies with some sort of polling protocol.232

“Through these types of efficiency measures, it may be possible to meet response channels,

depending on the band choice. As AMR applications develop comparable to electric utilities, the

demand for channels would clearly increase.”233

Although trunked radio systems are recognized for their efficient use of limited spectrum,

many water utilities are only able to procure trunked radio systems through joint purchases with

other providers or municipalities.234 Refer to Section 4 of this report for information on the

following technologies used by the entire utilities industry: (1) wireless Local Area Network

(LAN)/Wide Area Network (WAN) Connectivity; (2) Geographic Position and Automatic

Location Data; and (3) wideband.

SUMMARY OF NON-SPECTRUM DEPENDENT ALTERNATIVES AND

COMMERCIAL SERVICES

NTIA also inquired about the use of non-spectrum dependent alternative technologies or

commercial services that are currently available to the water industry.235 AWWA informed NTIA

that “critical infrastructure entities will not rely on a single spectrum or non-spectrum dependent

communication solution for either voice or data transmission.”236 These utilities will review these

systems and make their selections based on requirement evaluations.237 These
238 AWWA at 21.

239 AWWA at 20.

240

 Id.

241

 Id.

242 AWWA at 21.

243

 Id.

244

 Id.

4-9

evaluations will also consist of advanced technologies like AMR, computer automated design

(CAD), geographic information systems (GIS), spread spectrum applications, and trunking.238 

AMR systems operate on unlicensed frequencies employing short range transmitters. 

AMR systems are used by both the electric and water utilities for collecting customer usage,

demand/supply management, and billing customers.239

CAD and GIS applications are used in conjunction with hand-held personal computers by

field personnel.240 These applications are used to assist field crews when responding to

emergencies, customer complaints and water quality management.241 Unlicensed spread spectrum

radio systems have been used as an alternative to licensed spectrum. However, AWWA stated

that “interference and, with general increases in the use of spread-spectrum, the reliability of

spread-spectrum solutions are increasingly in question.”242

Finally, AWWA said that trunking of radio systems has been effectively used by water

companies.243 However, AWWA also informed NTIA that:

[t]runking is one instance where economies can be realized in both spectrum

utilization and in implementation costs when public service, public safety, and

critical infrastructure entities are able to jointly participate in the same trunked

radio system. However, this degree of economy is not available to many drinking

water utilities. Impediments to utilities associated with municipal or regional

government entities that operate such trunked systems should be limited to the

technical issues associated with that radio system and coordination of that group of

users.244

POSSIBLE FUTURE SPECTRUM REQUIREMENTS

After asking for the current spectrum dependent and independent usage of

telecommunications devices, NTIA asked “[w]hat part of the spectrum do the energy, water and
245

 Supra note 5.

246

 Id.

247 AWWA at 22.

248 EBMUD at 6.

249

 Id.

250 DFS at 14.

251 DFS at 15.

4-10

railroad industries foresee for possible future use?”245 NTIA also asked commenters to give a

rationalization for any additional spectrum requirements.246

The AWWA believes that the USAT spectrum requirement projection is underestimated,

based on industry trends and the current pace of telecommunications technology development and

implementation.247 The EBMUD is in the midst of upgrading its communications system because

the current system has reached its capacity.248 In this regard, EBMUD is considering migrating

into the 6 GHz and 11 GHz bands while also expanding operations in the 23 GHz band for its

new system.249 DFS recommended “that the 216-220 MHz band be set aside and dedicated to

water utility telemetry uses nationwide.”250 The reasons DFS gave for this recommendation are

the prevalence of utility licensees in this band, favorable band characteristics, and the

unattractiveness of this band to other industries.251
252 AAR at 5.

253 AAR at 4.

254 The FRA is an agency within the DOT that regulates all aspects of the railroad industry.

255 AAR at 5.

256

 Id.

257 Railroad Communications and Train Control, Report to Congress, Federal Railroad Administration,

Office of Safety, U.S. Department of Transportation (July 8, 1994) at 24.

258

 Id. at 36.

5-1

SECTION 5

THE RAILROAD INDUSTRY

BACKGROUND

The railroad industry has been a heavy user of spectrum for more than 60 years.252 Use of

private and commercial wireless telecommunications systems assist railroad entities to comply

with numerous safety and communications requirements.253 The strong emphasis on safety within

the railroad industry has resulted in very specific communications requirements promulgated by

the FCC and the Federal Railroad Administration (FRA).254 The Rail Safety Enforcement Act,

enacted by Congress in 1992, gives the Department of Transportation statutory authority to

promulgate regulations governing the use of radio to enhance safety practices within the rail

industry. For example, 49 Code of Federal Regulations (CFR) Section (§) 220 stipulates that all

locomotives must have radio communications capability, including communications

redundancy.255 Other communications requirements (49 CFR § 232.19-232.25) outline

stipulations “governing the design, installation and operation of one-way and two-way end-oftrain (EOT) devices equipped with radio transmission capability.”256 This regulation is even more

significant when one examines the makeup of a standard train crew. In years past, these crews

consisted of up to five members (an engineer, conductor, head brakeman, rear brakeman, and

flagman). Real-time wireless voice communications has enabled dispatchers to have immediate

contact with crews. Crews working in the field now rely on voice radio instead of hand or lantern

signals between crew members to control train movement (i.e., train crews are smaller in number). 

This technology replaces the caboose and crew members on the rear end of each train with an

EOT device and also eliminates the need for trainmen to pass signals from the moving rail cars.257

An emerging command and control initiative that could highlight the future importance of

wireless telecommunications systems for the railroad industry is Positive Train Control (PTC). 

PTC is a general term referring to a set of safety objectives within the railroad industry.258 The

core features of PTC will include positive train separation (i.e., prevention of train-to-train
259

 Id.

260 Report of the Railroad Safety Advisory Committee to the Federal Railroad Administrator,

Implementation of Positive Train Control Systems (Sept. 8, 1999) at viii [hereinafter PTC Report].

261 AAR at 6.

262

 Id.

263 Many railroad companies have agreements to share facilities.

264 In the Matter of, Petition of AAR for Modification of Licenses For Use In Advanced Train Control

Systems and Positive Train Control Systems, Petition for Modification of Licenses (Mar. 24, 2000) at 3.

265 AAR at 11.

266 AAR at 12.

5-2

collisions), enforced speed restrictions, and roadway worker (and equipment) protection.259 The

Accident Review Team of the Railroad Safety Advisory Committee’s PTC Working Group

estimates approximately 40 to 60 main line collisions and derailments could be prevented annually

by using the PTC system.260 This estimate is expected to increase along with the inevitable

increase in train densities and service.261

Since safety of passenger, personnel, and equipment is an important priority for the

railroad industry, it is customary for every single railroad employee to have access to a portable

two-way radio. This allows for real-time communications among dispatchers, yard crews, switch

crews, signal technicians, and mechanical and engineering crews.262 In addition to maintaining

internal mobile operations, the railroad radio voice system also has national interoperability. This

enables train crews to maintain real-time communications even when using another company’s

track or equipment.263 The U.S. railroad industry has track and frequency sharing agreements

with several of its counterparts in Canada.264 Since they use the same frequency pairs in the PTC

system, they now have real-time command and control with seamless cross-border coverage.

Telemetry systems also play crucial roles in the railroad industry. Automated wayside

detector systems monitor the temperatures of axle bearings (i.e., hot box detectors) on passing rail

cars. Crews receive automatic voice alerts via two-way radio to stop the train when overheated

bearings are detected to avoid derailments.265 The Association of American Railroads (AAR)

discussed EOT devices from a safety perspective in comments for this report, emphasizing the

importance of radio telemetry links to assess the adequacy of the braking system. FRA has

adopted regulations requiring two-way EOT devices by which the locomotive crew can initiate

via radio frequency an emergency brake application at the rear of the train.266

The railroad entities contend that several characteristics of the industry highlight their 
267 PTC Report at 40.

268 AAR at 8.

269 AAR at 2.

270 U.S. Department of Transportation, Bureau of Transportation Statistics, The Changing Face of

Transportation, BTS00-07 (2000) at 2-44.

5-3

dependence on enhanced wireless technologies:

• the destructive (size and weight) potential of rail equipment,

• long stopping distances required for trains,

• increased train speeds,

• natural disasters,

• vast operating areas spanning from remote rural areas to densely populated urban

areas,

• reduced number of railway employees, and

• increase in track density due to plant downsizing and increase demand for rail

service.267

AAR states that technological advances (e.g., radio telemetry devices now performing the

functions of caboose personnel), increased safety, and redundancy requirements necessitate

expanded use of wireless technologies by the railroad industry.268

INDUSTRY GROWTH

As a vital transportation component of the nation’s critical infrastructure, the railroad 

industry is unique in that it transports people, heavy equipment, and freight at high 

speeds over vast operating areas. In comments submitted in response to the RFC, AAR quantifies

the importance of the railroad industry to the nation’s economy:

• America's freight railroads carry over 40 percent of all intercity freight;

• 70 percent of all vehicles produced by domestic manufacturers;

• 64 percent of the Nation's coal, which generates 36 percent of the Nation's

electricity;

• 40 percent of the Nation's grain;

• freight railroads move just about everything, from lumber to vegetables,

coal to orange juice, grain to automobiles, chemicals to scrap iron; and 

• they interconnect domestic and global markets.269

The FRA expects the rail freight industry to grow at a rate of approximately 2 percent

annually between the years 2000 and 2025.270 The equivalent of that growth rate in rail ton-miles
271

 Id.

272 Letter from Mark Yachmetz, Associate Administrator for Railroad Development, U.S. Dept. of

Transportation, to William T. Hatch, Associate Administrator, Office of Spectrum Management, National

Telecommunications and Information Administration (Nov. 21, 2001) at 7.

273

 Id.

274 AAR at 6.

5-4

is 1.46 trillion in 2000 to 2.4 trillion in 2025.271 As a result, the operational infrastructure of the

railroad industry will also experience rapid expansion and could strain existing resources. This

means the wireless communications systems used to relay voice and data information will need to

process more information. Moreover, FRA informed NTIA that “[t]he use of the railroad

network for high speed passenger transportation is also growing. The Secretary of

Transportation is authorized by 23 U.S.C. 104 (d) [sic] to designate developing high speed rail

corridors where speeds are expected to reach 90 mph or higher. Thirty-two states and the

District of Columbia now have trackage included in such designated corridors or in the high-speed

development area of the Northeast Corridor. Successful deployment of high-speed passenger rail

operations will not only increase routine spectrum use, but will require deployment of advanced

train control systems (such as PTC) wherever train speeds will exceed 80 mph.”272

WIRELESS COMMUNICATIONS INFRASTRUCTURE

Historically, railroad radio operations have entailed two major areas: train movement

authorities and intracrew activities. Train movement authorities utilize private communications

systems to transmit train movement authorizations between dispatchers and locomotive crews. 

Intracrew activities such as switching operations that traditionally involved the use of electric

hand lamps or lanterns are now accomplished with portable radios.273 The AAR states in its

comments that:

. . . the railroads have used land mobile frequencies for traditional functions such

as onboard and wayside point-to-train communications. Mobile radio units with

dedicated radio channels permit communications among dispatchers, yard crews,

switch crews, signal technicians, mechanical and engineering crews, and other

personnel. Virtually all railroad employees involved in operations carry a portable

radio assigned for their use, in addition to using mobile radios installed in the

railroad’s vehicular fleet.274

Voice Requirements

The railroad industry operates more than 16,000 base stations, 45,000 mobile radios

(locomotives and other track vehicles), 125,000 portable radios and 5,500 radios associated with
275 A defect detector is an electronic monitoring device that reports defective train equipment and

hazardous track conditions. They are also referred to as “wayside detectors.”

276 AAR at 15.

277 AAR at 18

278

 Id.

279 Some trains are so long that locomotives are placed in the middle for added power.

280 The six channel pairs are specifically located in the following frequencies: 896.8875 MHz/935.8875

MHz; 896.9375 MHz/935.9375 MHz; 896.9875 MHz/935.9875 MHz; 877.8875 MHz/936.8875 MHz; 897.9375

MHz/936.9375 MHz; and 897.9875 MHz/936.9875 MHz.

281

 See infra Technology Trends in this section.

282 AAR at 19.

5-5

“defect detectors.”275 A map showing the locations of the base stations is provided in Appendix

E. Today’s railroad mobile radio systems operate on 91 channels between 160.215 - 161.565

MHz utilizing analog frequency modulation (FM) equipment. These radios operate on overlapped

channels with 25 kilohertz (kHz) bandwidth separated by 15 kHz from center to center.276 The

railroad industry’s Wireless Communications Task Force developed, with FCC approval, a plan to

improve spectrum utilization by splitting each of these channels while maintaining maximum

compatibility with existing systems and creating opportunities for use of trunking technology.

Data Requirements

The 450-460 MHz band is used by the railroad industry for one-way and two-way EOT

devices. One-way devices contain a telemetry link between the end of the train and the

locomotive crew that relays train status information (e.g., motion detector, brake pressure

monitor).277 Two-way EOT telemetry links enable locomotive crews to initiate braking action

starting at the end of the train.278 These frequency pairs in the 450-460 MHz bands are also used

in SCADA systems to distribute power between locomotives on the same train.279

Furthermore, the railroad industry also uses six channel pairs at 896/936 MHz280 for the

Advanced Train Control System/Positive Train Control (ATCS/PTC) systems.281 In addition, the

industry operates 1,000 base stations in the United States using an FCC-authorized geographic

license whose boundaries extend 70 miles on either side of a track equipped with ATCS/PTC.282

The data volume associated with PTC will expand greatly if these systems are widely deployed, as

is highly likely to support high speed passenger rail operations now being proposed and

implemented under state sponsorship in many areas of the Nation. 
283 Approximately 1.4 million rail cars, locomotives, and containers are equipped with AEI tags.

284 47 CFR, Part 90, 90.353

285 Id.

286 Id.

287 AAR at 23.

5-6

In addition, an industry-wide standard that uses the Automatic Equipment Identification

(AEI) system information (fixed and varying) is placed on electromagnetic tags attached to

railcars, locomotives, and containers.283 This system uses frequencies in the 902-928 MHz band,

which were designated by the FCC for the Location and Monitoring Service (LMS) in 1995.284

Tags are read automatically using a reader system consisting of a reader, an RF module and

antenna. Information is extracted from the tag and relayed to other fixed facilities. There are two

types of tags: (1) static tags - containing fixed data such as the permanent identifying code and (2)

dynamic tags - programmed to transmit limited amounts of data. There are also 5,000 licensed

tag readers in use.285

AAR states in its comments that Multiple Address System (MAS) frequencies in the

928 MHz, 952 MHz and 956 MHz bands are also used by the railroad industry for Supervisory

Control and Data Acquisition (SCADA) operations involving the remote control of switches and

signals along the rail right-of-way.286

Finally, fixed point-to-point communications systems in the 2 GHz, 6 GHz, 11 GHz and

18 GHz bands are used by the railroads to link various mobile radio systems such as very high

frequency (VHF) systems and ATCS/PTC. Various other uses include: (1) relay of information

regarding train signals, the routing of trains and the remote switching of tracks; (2) relay of

trackside telemetry data; (3) relay of information regarding damaged tracks, equipment or hazards

(e.g., rock slides); and (4) links dispatchers in distant locations.

WIRE-BASED AND COMMERCIAL SERVICES

In its comments for this report, AAR states that alternative technologies such as fiber

optic links are not feasible in a mobile environment. Spectrum-dependent radios provide the best

communications platform for the railroad industry. However, wire-based technologies, such as

long-distance telephone providers and local phone companies, are used by the railroad industry

for conventional communications requirements.287

The railroad industry frequently uses cellular systems to communicate with contractors

and customers. However, AAR states that the railroad industry considers cellular service

unreliable for en route train operations due to lack of commercial service in remote operating
288 AAR at 23-24. 

289

 Id.

290

 Id.

291

 Supra note 5.

292 AAR at 5.

293 AAR at 8.

294

 Id.

295

 Supra note 25.

5-7

areas.288 AAR specifically states, “coverage requirements dictate that communications be

available where the trains are, and railroad rights-of-way in many parts of the nation are in remote

areas, far from any commercial communications infrastructure.”289 Table 3-1 also identifies

disadvantages associated with the use of commercial services.

In addition, “[r]ailroads also depend upon reliable communications during emergencies

and natural disasters. When earthquakes, floods, and hurricanes occur, the circuits of the

telephone companies are busy or simply do not work. In such circumstances, the railroads must

rely on their own communications networks.”290

SUMMARY OF SPECTRUM AND SYSTEMS CURRENTLY USED

In the first and second question of NTIA’s RFC, NTIA asked how much spectrum is

presently available and in which spectrum bands and radio services does the railroad industry

operate radio communications equipment, respectively?291 AAR’s response is that the railroad

industry has been making extensive use of the RF spectrum for over 60 years.292 In addition,

railroad’s use of radio continues to grow as advanced specialized radio applications continue to

expand.293 More importantly, railroad mobile radio operations are inherently nationwide as trains

travel from coast to coast.294 The Location and Monitor Service (LMS), Multiple Address

System (MAS) and fixed microwave systems are shared with other business and industrial

frequency users.295 Table 5-1, on the next page, provides an overview of the frequency bands

used by the railroad industry and the applications each band supports. However, there was

insufficient information from the commenters and coordinators to determine how much spectrum

is available or used in these frequency bands.
296 AAR at 25.

297 APCO developed a series of standards for radio equipment and systems known as APCO Project 25 or

P25. The new equipment is narrowband, with digital trunking, supports trunking, encryption, private calls, group

call, voice plus data, and talk group precedence and is backward compatible with analog FM equipment allowing

for a phased migration to new equipment and systems. 

5-8

Table 5-1

Summary of Bands and Applications Currently Used by The Railroad Industry

Based on Input from Commenters

Frequency Bands Applications

160.215-161.565 MHz FM Equipment

450-460 MHz End of Train Devices

896 MHz ATCS/PTC

902-928 MHz LMS

928 MHz MAS

936 MHz ATCS/PTC

952 MHz MAS

956 MHz MAS

2 GHz Point-to-Point Microwave

6 GHz Point-to-Point Microwave

11 GHz Point-to-Point Microwave

18 GHz Point-to-Point Microwave

TECHNICAL ISSUES

AAR states that the railroad industry is experiencing heavy congestion in the 160.215-

161.565 MHz band, 450-460 MHz band, and the six channel pairs at 896/923 MHz. This is

especially true in the major urban centers where rail lines converge and large terminals are

located. AAR does not anticipate a lessening of congestion even with implementation of digital

trunked systems in the VHF band (i.e., Project 25).296 According to AAR, widespread

deployment of high speed passenger rail service and the associated train control systems will

increase demand in all areas. In order to make more efficient use of licensed spectrum in the 160

MHz band, the railroad industry has chosen the Association of Public Safety Communications

Officials (APCO) Project 25297 protocol to develop a rechannelization plan for its 160 MHz
298 PTC Report at 100

299

 Id.

300 AAR at 17

301

 Id.

302

 Id.

303 Steven R. Dittmeyer, Federal Railroad Administration, U.S. Department of Transportation, A Vision

for the Future: Intelligent Railroad Systems, (May 16, 2001) at 2.

304

 Id.

305

 Id.

306

 Id.

307

 Id.

308

 Id.

5-9

radios.298 The rechannelization plan is backward compatible with FM analog equipment and

systems.299 It employs eighty trunked duplex voice channel-pairs, with five non-trunked channelpairs, plus 11 simplex channels.300 This channel plan is now being demonstrated as a pilot project

in the Pacific Northwest.301 The channel-pairs will be co-located at base stations and both the

transmit and receive channel will be at the repeater sites while transmitting and receiving

simultaneously.302

TECHNOLOGY TRENDS

The emerging PTC systems are integrated command, control, communications, and

information systems for controlling train movements with safety, precision, and efficiency.303 The

components of PTC systems include digital data link communications networks, positioning

systems (such as Nationwide Differential Global Positioning System), on-board computers on

locomotives, maintenance-of-way equipment, in-cab displays, throttle-brake interfaces on

locomotives, wayside interface units at switches, wayside detectors, and control center computers

and displays.304 PTC systems also interface with traffic planners, work order reporting systems,

and locomotive health reporting systems.305 They are used to: issue movement authorities to

train and maintenance-of-way crews; track locations of trains and maintenance-of-way vehicles;

intervene to prevent violations of the movement authorities; and update operating data systems

with information on the location of trains, locomotives, cars, and crews.306 PTC systems also

enable a railroad to run scheduled operations and provide improved running time, greater running

time reliability, higher asset utilization, and greater track capacity.307 They will assist railroads in

measuring and managing costs and in improving energy efficiency.308
309

 Supra note 5.

310 AAR at 23.

311 Id.

312 AAR at 24.

313

 Id.

314 AAR at 25.

5-10

SUMMARY OF NON-SPECTRUM DEPENDENT ALTERNATIVES AND

COMMERCIAL SERVICES

NTIA inquired about the use of non-spectrum dependent alternative technologies or

commercial services that are currently available.309 AAR informed NTIA that “spectrumdependent (i.e., wireless) technologies are absolutely essential, and the rail industry is not aware

of any non-spectrum-dependent and commercial technologies suitable for meeting the railroads’

mobile communications needs.”310 As for commercial technologies, the railroad industry relies

heavily on interlata and intralata providers for conventional communications requirements and

wireless (i.e., cellular, personal communications service (PCS) and special mobilized radio

(SMR)) carriers to meet their mobile communications requirements.311 However, due to the

geographical coverage of railroad operations and the “ribbon”312 nature of their coverage, railway

companies would have to subscribe to numerous commercial radio providers. AAR informs

NTIA that this would render the arrangement “unwieldy, inefficient and costly.”313

POSSIBLE FUTURE SPECTRUM REQUIREMENTS

NTIA then inquired about the Railroad industry’s future spectrum requirements. 

According to AAR, possible bands for future expansion could be the 700 MHz “guard band,”

which was recently auctioned by the FCC, and the Land Mobile Communications Service

spectrum at 1.4 GHz that is currently part of the reallocation proceedings at the FCC.314
6-1

SECTION 6

SUMMARY OF CURRENT SPECTRUM USE AND FUTURE REQUIREMENTS

Below is a summary of information gathered by NTIA about the current and future

spectrum requirements of providers of railroad, water and energy services.

CURRENT SPECTRUM USED

The energy, water, and railroad industries all use spectrum anywhere between 20 MHz

and 25 GHz. Below is a summary of the spectrum that is currently used by the energy, water, and

railroad industries. This is reflected in more detail in Table 6-1, on the next page.

According the energy industry commenters, the use of these frequencies range from voice

to data applications. In addition, the energy industry commenters indicated that the industry is

experiencing problems with interference.

The water industry makes use of the 900 MHz, 928 MHz, 952 MHz, 956 MHz, 2 GHz, 6

GHz, and 23 GHz bands. Besides operating in the PLMRS, water utilities use commercial

services, land-line providers, and dedicated land-line link systems as compliments to its wireless

system. However, water industry commenters indicated that industry users are near the limits of

capacity and experiencing increased interference problems.

The railroad industry uses the 160-161 MHz, 450-460 MHz, 902-928 MHz, 952 MHz and

956 MHz bands and the 2 GHz, 6 GHz, 11 GHz, and 18 GHz bands. It also uses six channel

pairs at 896/936 MHz for the Advanced Train Control/Positive Train Controls (ATCS/PTC) test

systems (See Data Requirements section). 

FUTURE SPECTRUM REQUIREMENTS

Although there is a consensus among industry commenters that more spectrum is needed

by providers of railroad, water, and energy services, there is no consensus as to where the

spectrum should be located. Below is a summary of the responses NTIA received when industry

was asked to provide comments on future spectrum requirements. Table 6-2, page 6-3, illustrates

the bands that could be used to satisfy commenters’ stated future spectrum requirements.

The future spectrum suggestions received by NTIA from the energy industry were mixed. 

Four commenters stated that the FCC should allocate more spectrum in the 450 MHz, 800 MHz

and 900 MHz bands. Another commenter mentioned obtaining spectrum from the unused

television channels, along with spectrum between 1 GHz and 12 GHz bands. However, the

NRTC wants more access to the lower spectrum bands, such as the 220 MHz band. Itron

mentioned using the 1427 - 1432 MHz bands. Thus, while the energy industry is in agreement

that more spectrum is needed, it has not reached any consensus on where the “ideal” location of

such spectrum would be.
6-2

Table 6-1

Summary of Bands and Applications Currently Used as Indicated by Commenters

Energy Industry Water Industry Railroad Industry

20 MHz 25-50 MHz: PLMRS 

40 MHz 48-50 MHz: Voice Dispatch, Alarms From Remote

50 MHz 50 MHz Band: PLMRS, MAS

100 MHz 150-170 MHz: Voice Dispatch, Load Management Control

 150-175 MHz: Alarms From Remote Substations, PLMRS

160.215-161.565 MHz:

FM Equipment

200 MHz 220 MHz: SCADA

400 MHz 450-470 MHz: Voice Dispatch, Mobile Data, PLMRS 450-460 MHz:

End of Train Devices

 470-512 MHz: PLMRS

800 MHz 800 MHz Band: Voice Dispatch, Mobile Data Terminals,

 Trunked PLMRS

 806-821 MHz: PLMRS; 821-824 MHz: PLMRS

 851-866 MHz: PLMRS; 866-896 MHz: PLMRS

 896-901 MHz: PLMRS 896 MHz: ATCS/PTC

900 MHz 900 MHz Band: MAS 900 MHz Band: MAS, SCADA

 902-928 MHz: SCADA 902-928 MHz: LMS

 928-929 MHz: POFS 928 MHz: MAS 928 MHz: MAS

 928/932/941 MHz: MAS; 952/956/959 MHz: MAS 952 MHz: MAS 936 MHz: ATCS/PTC

 928-952 MHz: SCADA; 929-930 MHz: PLMRS, 932-935 MHz, 956 MHz: MAS

 932-941 MHz, SCADA, 935-940 MHz, PLMRS, 941-944 MHz,

 952-960 MHz, POFS, 956 MHz, Mobile Meter Reading 952 MHz, 956 MHz, MAS

1 GHz 1.427-1.432 GHz, AMR, 1.85-1.99 GHz, POFS

2 GHz 2 GHz Band, PLMRS, POFS, MAS, SCADA, Point-to-Point 2 GHz Band,12 GHz Band,2

 2.4 GHz Band, Point-to-Point Microwave Water Operations Network Point-to-Point Microwave

5 GHz 5 GHz Band, Spread Spectrum

 5.8 GHz, 5.9-6.4 GHz, Point-to-Point Microwave

6 GHz 6 GHz Band, Point-to-Point Microwave 6 GHz Band,36 GHz Band,4

 6.5-6.8 GHz, Point-to-Point Microwave Water Operations Network Point-to-Point Microwave

 6.525-6.875 GHz, POFS

11 GHz 11 GHz Band,5 Point-to-Point Microwave 11 GHz Band,6

Point-to-Point Microwave

18 GHz 18-19 GHz, Point-to-Point Microwave 18 GHz Band,7

Point-to-Point Microwave

21 GHz 21.2-23.6 GHz, POFS

23 GHz 23 GHz Band,8

Water Operations Network

24 GHz 24.25-25.25 GHz, POFS

1) 2.11-2.2 GHz, 2.45-2.5 GHz and 2.65-2.69 GHz. 47 CFR § 101.147(a).

2) Id.

3) 5.925-6.875 GHz. 47 CFR § 101.147(a).

4) Id.

5) 10.7-12.2 GHz. 47 CFR § 101.147(a).

6) Id.

7) 18-19 GHz. 47 CFR § 101.147(a).

8) 23-23.6 GHz. 47 CFR § 101.147(a).
6-3

Table 6-2

Summary of Frequency Bands That Could Be Used as Indicated by Commenters

Energy Industry Water Industry Railroad Industry

220 MHz Band 216-220 MHz Band 700 MHz Band1

450 MHz Band 6 GHz Band 1.4 GHz Band

800 MHz Band 11 GHz Band

900 MHz Band 23 GHz Band

1427-1432 MHz Band

1-12 GHz Band

1) Although the AAR mentioned the 700 MHz Guard Band, this spectrum will also be available to the energy and water industries by leasing spectrum from the

“Guard Band Managers.” 

The DOE and FERC both agree with the industry assessments of their future spectrum

requirements even though FERC does not consult with certified frequency coordinators for the

energy industry.

The AWWA, on behalf of the water industry, cites the USAT’s spectrum requirement of

1.0 MHz additional bandwidth by the year 2000, 1.9 MHz additional bandwidth by the year 2004,

and 6.3 MHz of additional bandwidth by the year 2010. AWWA believes that this projection is

underestimated. One industry commenter, EBMUD, is considering migrating into the 6 GHz, 11

GHz and 23 GHz bands. DFS recommends that the 216-220 MHz band be used for future

spectrum requirements.

AAR, on behalf of the railroad industry, suggests that the 700 MHz “guard band” and the

1.4 GHz Land Mobile Communications Service bands be used as possible new spectrum in the

future.

AVAILABILITY OF 700 MHz GUARD BAND SPECTRUM

In 1998, the FCC adopted service rules for the 24 MHz of spectrum in the 764-776/794-

806 MHz frequency bands (collectively, the 700 MHz band). At the direction of Congress, this

spectrum was reallocated from television broadcast services to public safety communications

services. Spectrum located in 746-747/776-777 MHz and 762-764/792-794 MHz bands was

auctioned to Guard Band Managers through competitive bidding. Three bidders won 8 licenses in

these guard bands.

The Guard Band Manager is a new class of commercial licensee engaged solely in the

business of leasing spectrum to third parties on a for-profit basis. The Guard Band Manager may
6-4

subdivide its spectrum in any manner it chooses to make it available to system operators, or

directly to end users for fixed or mobile communications. The Guard Band Manager will be

required to adhere to strict frequency coordination and interference rules, and control use of the

spectrum so as to facilitate protection for public safety. Energy, water, and railroad entities are

eligible to use this spectrum.
7-1

SECTION 7

SUMMARY AND CONCLUSION

INTRODUCTION

Public Law 106-553, The Departments of Commerce, Justice, and State, the Judiciary,

and Related Agencies Appropriations Act of 2001, requires the NTIA Administrator, after

consultation with federal agencies and departments responsible for regulating the core operations

of entities engaged in the provision of energy, water, and railroad services, to submit to Congress

a study of current and future use of spectrum by these entities to protect and maintain the nation’s

critical infrastructure. To compile the information necessary to complete the report, NTIA

solicited private sector entities engaged in energy, water, and railroad services for their current

and future spectrum needs. This was conducted through a “Request for Comments” (RFC)

procedure, which was published in the Federal Register. To comply with the language contained

in PL 106-553, a letter of inquiry was also sent to those regulatory federal agencies that have

oversight of these industries. 

SUMMARY

Based upon the comments and information received in response to either the RFC or the

federal letter, NTIA provides the following general observations:

• Energy, water, and railroad services are considered vital components of the nation’s

critical infrastructure. These computer-based services utilize wireless networks to process

voice and data information, and also to comply with existing safety, operational,

environmental, and regulatory requirements. Wireless communications technology is also

a reliable means of maintaining command and control during situations requiring

emergency or demand-side response. Providers of energy, water, and railroad services

assert they would be unable to address major service interruptions due to natural disasters

or equipment malfunctions without adequate spectrum.

• Energy, water, and railroad services utilize portions of the radio spectrum from 20 MHz

to 25 GHz for a variety of services. For example, wireless telecommunications are

frequently used by energy producers, suppliers, and distributors to provide two-way voice

communications; to monitor power transmission lines and oil or natural gas pipeline

functions; and to send commands to various remote control switches. These companies

rely on wireless communications to coordinate the daily activities of various work crews

and to obtain meter data automatically from consumers. The railroad industry relies

heavily on wireless technologies to conduct inspections of approximately 230,000 miles of

track. Wireless technologies are also crucial in managing a soon-to-be implemented

Positive Train Control (PTC) system, a U.S. and Canada coordinated system that controls 

train movement, train separation, and route alignment. Water utilities depend on wireless

telecommunications technologies while engaged in activities such as flood control,
7-2

wastewater management, the processing of drinking water, and farmland irrigation.

• Many commenters were not specific with regards to the frequency bands they use. For

instance, a general designation (e.g., 23 GHz band) was used instead of a specific

frequency(ies) range, or portion of the spectrum within or around the band. Therefore,

NTIA could not quantify spectrum use or amounts thereof.

• Commenters generally noted that wireless commercial services cannot replace existing

private wireless infrastructure. They noted that limited coverage areas, no priority of

services when outages occur, and cost are a few of the reasons why commercial services

would not be able to replace their private network. However, commenters noted that

commercial services are used to a great extent for administrative communications.

• Commenters also noted that wireline systems cannot replace the wireless infrastructure

that these entities heavily rely on because wireless systems are mobile, less expensive,

more reliable, and easier to maintain than fiber or wire-based systems.

• Commenters stated that growth in the services that energy, water, and railroad entities

provide is increasing. They stated that growth within these industries caused by increasing

consumer demand and deregulation make the use of wireless networks one of the most

practical and efficient ways to supervise, control, and monitor these essential services on a

daily basis. 

• Commenters did not specify the amount of additional spectrum that would be required in

the future, with one exception, AWWA. AWWA, citing to the Utilities Spectrum

Assessment Taskforce Final Report, noted the need for as much as 9.2 MHz of additional

bandwidth through the year 2010. Commenters did, however, suggest specific bands as

sources for additional spectrum needs, such as the 220 MHz, 700 MHz (Guard Bands),

800 MHz, 900 MHz, and 1400 MHz bands.

• One common issue identified by the commenters is the congestion that they are

experiencing in the land mobile bands. Since many applications by these entities are highly

mobile, they make use of land mobile allocations and are considered part of the LMR

services. The majority of commenters stated that problems of interference from

overcrowding in the LMR bands was a primary concern. They indicated that exclusive

spectrum would help to alleviate the problem.

• NTIA did not receive any supporting data from commenters pertaining to license

applications for frequencies in the Industrial/Business pool. This data would have been

useful in identifying and quantifying specific areas of congestion and interference. Thus,

NTIA can only note without comment the commenters concern about exclusive spectrum

because of interference from adjacent channels and channel congestion.
7-3

CONCLUSIONS

The commenters raised concerns and issues regarding the current and future use of

spectrum for the energy, water, and railroad industries. Furthermore, federal agencies who

regulate these industries generally concur with the comments NTIA received. Specifically, the

federal agencies noted that spectrum usage is an important part of these industries’ core

operations, ranging from routine maintenance to emergency response. 

One issue raised by the commenters that may require further consideration by the FCC is

the issue of congestion in the land mobile bands used by these entities. Commenters contend that

congestion leads to problems of interference, further leading to erosion of core communications

functions. This issue was raised by 13 of the 19 comments received by NTIA. 

Since this report is based predominately on comments received from the industry and

public, and information from federal agencies with oversight or regulatory authority over these

industries, NTIA is unable to independently validate specific industry requirements. However,

NTIA suggests some of these issues (i.e., congestion and interference) may be addressed or

mitigated with the use of advanced communications technology or newly allocated frequency

bands, such as the 700 MHz guard bands.
A-1

Appendix A

Public Law 106-553

Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies

Appropriations Act, 2001
A-2
A-3
B-1

Appendix B

NTIA Request for Comments published in the Federal Register.
B-2
B-3
C-1

Appendix C

Copy of Letter Sent to Federal Agencies

Dear _______________:

Public Law 106-553, making appropriated funds available to the Departments of Commerce,

Justice, and State, the Judiciary, and related agencies for fiscal year 2001, directed the National

Telecommunications and Information Administration (NTIA) to report to Congress on the current

spectrum allocations and possible future spectrum requirements by entities engaged in the

provision of energy, water and railroad services. The statute also required NTIA to develop the

study in consultation with other federal departments and agencies responsible for regulating the

core operations of entities engaged in the provision of energy, water and railroad services. The

study is due in December of 2001. I am therefore requesting input from your agencies for use in

the report on the following issues

1. Please provide a brief description of your agency’s mission, including the extent to

which it provides regulatory oversight for any of the energy, water or railroad

industry. Please indicate the aspects of the industry that your agency regulates,

e.g., safety, industry standards, market supply, distribution, transport, disposals,

pricing, and provide citations to your regulations.

2. Does your agency also promulgate regulations concerning communications or

spectrum related issues? Please provide the citation to these regulations and

summarize your agency’s regulation(s) regarding current spectrum requirements

and usage by the industry.

3. Will the industry your agency regulates require additional spectrum allocations in

the future? If so, please provide details.

4. Are wireless technologies crucial to compliance of these regulation(s)? Are they

crucial to maintaining the nation’s critical infrastructure? What alternatives to

wireless technologies can be utilized?

5. Do you consult with the industry certified frequency coordinator regarding

spectrum allocations? If so, please provide contact information.

For your information, NTIA has already sought public and industry comment on these issues

through a Federal Register notice published in April of 2001. The notice and the public comments

are available through NTIA’s website at http://www.ntia.doc.gov/osmhome/osmhome.html. 

NTIA staff have also had informal discussions with ______________________ of your agency.

Please provide us with your agency’s input by August 6, 2001. NTIA will circulate the draft

report to all of the federal agencies with which it consults before transmitting the final report to
C-2

Congress. If you have any questions, you may contact Marshall Ross at (202)482-1222, email

mross@ntia.doc.gov, or Jeng Mao at (202)482-0342, email jmao@ntia.doc.gov, with NTIA’s

Office of Spectrum Management, Public Safety Program.

I look forward to your comments and thank you for your time and cooperation. 

Sincerely,

William T. Hatch

Associate Administrator

Office of Spectrum Management____
D-1

Appendix D

Public Comment Respondents

American Petroleum Institute (API)

American Water Works Association (AWWA)

Association of American Railroads (AAR)

Central Maine Power Company (CMP)

Cinergy Corporation (Cinergy)

Data Flow Systems, Inc. (DFS)

Delmarva Power & Light Company and Atlantic City Electric Company (DPLC & ACE)

The Detriot Edison Company (DTE)

Dominion Resources Services, Inc. (Dominion)

East Bay Municipal Utility District (EBMUD)

Florida Power & Light Company and GPU Energy, Inc. (FPL & GPU)

Itron, Inc. (Itron)

National Rural Telecommunications Cooperative (NRTC)

Niagara Mohawk Power Corporation (NMPC)

North Atlantic Energy Service Corporation (NAES)

Omaha Public Power District (OPPD)

SCANA Corporation (SCANA)

United Telecom Council (UTC)

Williams Gas Pipeline (WGP)

Federal Agency Respondents

Department of Energy, IRAC Representative (DOE)

DOE, Bonneville Power Administration (DOE/BPA)

DOE, Chief Information Officer (DOE/CIO)

DOE, Pittsburgh Naval Reactors (DOE/PNR)

DOE, Savannah River Site (DOE/SRS)

DOE, Western Area Power Administration (DOE/Western)

Environmental Protection Agency (EPA)

Federal Energy Regulatory Commission (FERC)
E-1

Appendix E

Map of Railroad’s VHF Base Station Map

There are 16,000 base stations operating in mobile radio systems on 91 channels between 160.215

- 161.565 MHz, using analog FM equipment with 25 kHz bandwidth operating on overlapped

channels separated by 15 kHz from center to center.
F-1

Appendix F

Executive Summary from the USAT Final Report

1. Executive Summary

Electric, gas and water utilities and gas pipelines have extensive telecommunications requirements.

Expansive, sprawling infrastructure, whether it is transmission lines, water pumps, or electric

substations, requires maintenance, remote control and monitoring. These objectives can be met

effectively only through telecommunications -- and one of the most critical components of a utility's

telecommunications arsenal is its wireless network. 

In addition to needing access to wireless communications, utilities have a separate requirement:

control over the communicationssystem. This control can be satisfied only through the use of private

radio spectrum. The transmission and distribution of Gas and Electricity pose unique problems. The

two commodities are inherently hazardous and require "real-time" control to effectively administer

them. While commercial systems can meet some of a utility's communications needs, the need for

controlled, internal private systems will remain necessary.

During heavy storms and other serious weather events, commercialsystems become saturated with

traffic and, as a result, experience outage. Additionally, because commercial systems provide

indiscriminate service to the general public, there is no priority access to the system. Consequently,

utilities have no greater likelihood of gaining access to a channel than the average subscriber. It is

precisely during these naturalweather eventsthat utilitiesrequire unencumbered, clear radio channels

to address downed lines and other power outage problems. Further complicating matters is the fact

that most commercialsystems depend upon reliable power to keep their systems running. If power

is interrupted, these communications systems will be interupted also, further impeding progress on

power restoration. Private communications networks ensure that utility systems are brought back

on line in the most timely manner possible.

The purpose of this report is to develop an estimate of private electromagnetic spectrum that will be

required by utilities in the first decade of the twenty-first century. The report is the result of the

findings of UTC's Utilities Spectrum Assessment Taskforce (USAT). The highlights of the report

are listed below.

• The total "new spectrum" required (broken into three benchmark dates) is as follows: 

Year 2000 2004 2010

Additional Bandwidth Required 1.0 MHz 1.9 MHz 6.3 MHz
F-2

• There is considerable interest within the utility to community to implement wireless video and

wideband data in the future. As technology improves and cost of terminals decrease, it will

become increasingly common for the utility to deploy these technologies. 

• The total new spectrum requirements were generated by projecting future applications and

growth and then subtracting the spectrum that is currently accessible by utilities. The number

used as total current spectrum is 2.24 MHz.

• The focus of this report is on the mobile services generally associated with Part 90 of the FCC

rules and regulations. Fixed microwave spectrum (that is, spectrum above 1000 MHz) was not

considered.