HANDBOOK OF FREQUENCY ALLOCATIONS AND SPECTRUM PROTECTION FOR SCIENTIFIC USES

Panel on Frequency Allocations and Spectrum Protection for Scientific Uses

Committee on Radio Frequencies

Board on Physics and Astronomy

Division on Engineering and Physical Sciences

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.
www.nap.edu



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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses HANDBOOK OF FREQUENCY ALLOCATIONS AND SPECTRUM PROTECTION FOR SCIENTIFIC USES Panel on Frequency Allocations and Spectrum Protection for Scientific Uses Committee on Radio Frequencies Board on Physics and Astronomy Division on Engineering and Physical Sciences NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the task group responsible for the report were chosen for their special competences and with regard for appropriate balance. This study was supported by Grant No. AST-0410006 from the National Science Foundation and Grant No. NNH05CC15C-Task Order 103 from the National Aeronautics and Space Administration with the National Academy of Sciences. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number-13: 978-0-309-10301-5 International Standard Book Number-10: 0-309-10301-0 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Copyright 2007 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses PANEL ON FREQUENCY ALLOCATIONS AND SPECTRUM PROTECTION FOR SCIENTIFIC USES KAREN ST. GERMAIN, NPOESS Integrated Program Office, Chair MICHAEL DAVIS, SETI Institute DAVID DeBOER, SETI Institute STEVEN W. ELLINGSON, Virginia Polytechnic Institute and State University AARON S. EVANS, State University of New York at Stony Brook JAMES M. MORAN, Harvard-Smithsonian Center for Astrophysics JEFFREY PIEPMEIER, NASA Goddard Space Flight Center MELINDA PIKET-MAY, University of Colorado at Boulder F. PETER SCHLOERB, University of Massachusetts DANIEL SMYTHE, Massachusetts Institute of Technology PAUL A. VANDEN BOUT, National Radio Astronomy Observatory LUCY ZIURYS, University of Arizona Staff DONALD C. SHAPERO, Director ROBERT L. RIEMER, Senior Program Officer BRIAN D. DEWHURST, Senior Program Associate DAVID B. LANG, Research Associate PHILLIP D. LONG, Senior Program Assistant VAN AN, Financial Associate

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses COMMITTEE ON RADIO FREQUENCIES KAREN ST. GERMAIN, NPOESS Integrated Program Office, Chair DAVID DeBOER, SETI Institute, Vice Chair STEVEN W. ELLINGSON, Virginia Polytechnic Institute and State University DAVID G. LONG, Brigham Young University JAMES M. MORAN, Harvard-Smithsonian Center for Astrophysics JEFFREY PIEPMEIER, NASA Goddard Space Flight Center MELINDA PIKET-MAY, University of Colorado at Boulder STEVEN C. REISING, Colorado State University DANIEL SMYTHE, Massachusetts Institute of Technology PAUL A. VANDEN BOUT, National Radio Astronomy Observatory LUCY ZIURYS, University of Arizona Consultants PAUL FELDMAN, Esq., Fletcher, Heald and Hildreth MICHAEL DAVIS, SETI Institute (retired) A. RICHARD THOMPSON, National Radio Astronomy Observatory NRC Staff DONALD C. SHAPERO, Director BRIAN DEWHURST, Senior Program Associate DAVID B. LANG, Research Associate

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses BOARD ON PHYSICS AND ASTRONOMY BURTON RICHTER, Stanford University, Chair ANNEILA L. SARGENT, California Institute of Technology, Vice Chair ELIHU ABRAHAMS, Rutgers University JONATHAN BAGGER, Johns Hopkins University RONALD C. DAVIDSON, Princeton University RAYMOND J. FONCK, University of Wisconsin at Madison ANDREA M. GHEZ, University of California at Los Angeles PETER F. GREEN, University of Michigan LAURA H. GREENE, University of Illinois at Urbana-Champaign WICK HAXTON, University of Washington FRANCES HELLMAN, University of California at Berkeley ERICH P. IPPEN, Massachusetts Institute of Technology MARC A. KASTNER, Massachusetts Institute of Technology CHRISTOPHER F. McKEE, University of California at Berkeley JULIA M. PHILLIPS, Sandia National Laboratories WILLIAM PHILLIPS, National Institute of Standards and Technology THOMAS M. THEIS, IBM T.J. Watson Research Center C. MEGAN URRY, Yale University Staff DONALD C. SHAPERO, Director TIMOTHY I. MEYER, Senior Program Officer MICHAEL H. MOLONEY, Senior Program Officer ROBERT L. RIEMER, Senior Program Officer NATALIA J. MELCER, Program Officer BRIAN D. DEWHURST, Senior Program Associate DAVID B. LANG, Research Associate PAMELA A. LEWIS, Program Associate PHILLIP D. LONG, Senior Program Assistant VAN AN, Financial Associate

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses Preface This handbook was developed by the National Research Council’s Panel on Frequency Allocations and Spectrum Protection for Scientific Uses, a panel whose membership was drawn predominantly from the Committee on Radio Frequencies (CORF). The volume sets forth the principles adopted by the panel for the allocation and protection of spectral bands for services using the radio spectrum for scientific research. The purposes of the handbook are as follows: To document the panel’s positions on spectrum issues, To guide spectrum managers and spectrum regulatory bodies on science issues, To serve as a resource for scientists on spectrum regulation for research, and To provide information to other spectrum users on the concerns of the scientific users of the spectrum. Among the resources used to prepare this handbook were the following: Radio Astronomy Handbook of the International Telecommunication Union (ITU);1 the “Redbook” of the National Telecommunications and Information Administration2 (NTIA) (please note that the panel used the NTIA Redbook as of 2005; it is suggested that readers check the NTIA Web site, listed below, for the latest allocations and regulations); and the handbooks for radio astronomy and frequency management from the European Science Foundation’s Committee on Radio Astronomy Frequencies (CRAF). Because 1 International Telecommunication Union, ITU Handbook on Radio Astronomy, 2nd Ed., Geneva, Switzerland, 2003. 2 National Telecommunications and Information Administration, Manual of Regulations and Procedures for Federal Radio Frequency Management (Redbook), May 2003 edition, revised January 2006, available at http://www.ntia.doc.gov/osmhome/redbook/redbook.html.

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses radio-frequency regulations, regulatory footnotes, and frequency allocations are subject to change, readers are advised to check the ITU, NTIA, and Federal Communications Commission Web sites, listed below, for the latest information. Further information on frequency management for scientific uses can be found at the following Web sites: Committee on Radio Frequencies (CORF) of the National Research Council: www.nationalacademies.org/corf; International Telecommunication Union: www.itu.org; Scientific Committee on Frequency Allocations for Radio Astronomy and Space Science (IUCAF) of the International Council for Science: www.iucaf.org; Federal Communications Commission: www.fcc.gov; National Telecommunications and Information Administration: www.ntia.doc.gov/osmhome/redbook/redbook.html; National Radio Astronomy Observatory Spectrum Management: www.cv.nrao.edu/~hliszt/RFI/RFI.htm; Geoscience and Remote Sensing Society of the Institute of Electrical and Electronics Engineers’ Frequency Allocations in Remote Sensing (FARS) Committee: http://www.grss-ieee.org; Committee on Radio Astronomy Frequencies (CRAF) of the European Science Foundation: www.astron.nl/craf; and National Science Foundation Electromagnetic Spectrum Management (ESM): http://nsf.gov/funding/pgm_summ.jsp?pims_id=5654. This handbook was edited and updated between its release in prepublication form and this final published form.

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses Acknowledgments This handbook grew out of materials presented and ideas expressed in the report Views of the Committee on Radio Frequencies Concerning Frequency Allocations for the Passive Services at the 1992 World Administrative Radio Conference.1 The efforts of previous and current members of the National Research Council’s Committee on Radio Frequencies (CORF) in compiling that document are gratefully acknowledged. The development of the handbook spanned several years, and the panel thanks the past members of CORF for their contributions to this effort. The panel received invaluable assistance from spectrum managers Tomas Gergely of the National Science Foundation and Charles Wende of the National Aeronautics and Space Administration (retired), whose detailed knowledge and insight were an essential resource. The panel also received substantial help from A. Richard Thompson, National Radio Astronomy Observatory (retired), and John Kiebler, former consultant to CORF. Finally, special thanks are extended to former CORF member T.B.H. Kuiper for his extensive work on the early draft of the handbook. 1 National Research Council, Views of the Committee on Radio Frequencies Concerning Frequency Allocations for the Passive Services at the 1992 World Administrative Radio Conference, National Academy Press, Washington, D.C., 1991.

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: Bernard F. Burke, Massachusetts Institute of Technology, Martha P. Haynes, Cornell University, Michael J. Marcus, Marcus Spectrum Solutions, John M. Osepchuk, Full Spectrum Consulting, and Charles D. Wende, National Aeronautics and Space Administration (retired). Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Albin J. Gasiewski, University of Colorado at Boulder. Appointed by the National Research Council, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses Contents     SUMMARY   1 1   RADIO-FREQUENCY REGULATION   3      1.1  Scientific Frequency Protection Goals,   3      1.2  Regulatory Structures,   4      1.3  Radio Astronomy Service,   6      1.4  Earth Science Services,   8      1.5  Ancillary Services,   8 2   THE SCIENTIFIC BACKGROUND   10      2.1  Radio Astronomy,   10      2.2  Remote Sensing of Earth,   27      2.3  The Economic Value of the Science Services,   33 3   SCIENCE SERVICE ALLOCATIONS   38      3.1  General Considerations,   38      3.2  Allocations Below 1 GHz,   41      3.3  Bands Between 1 and 3 GHz,   45      3.4  Bands Between 3 and 10 GHz,   52      3.5  Bands Between 10 and 25 GHz,   56      3.6  Bands Between 25 and 50 GHz,   64      3.7  Bands Between 50 and 71 GHz,   68      3.8  Bands Between 71 and 126 GHz,   70      3.9  Bands Between 126 and 400 GHz,   74

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Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses 4   TECHNICAL ASPECTS OF PROTECTION FOR THE SCIENTIFIC USE OF THE RADIO SPECTRUM   79      4.1  Interference Detrimental to Radio Astronomy,   79      4.2  Separation of Incompatible Services,   83      4.3  Technological Solutions,   86      4.4  Mitigation Techniques for Passive Remote Sensing,   88      4.5  Goals for Additional Protection,   89     APPENDIXES          A  Definitions of Terms   93      B  Information on Footnotes to Science Services Allocations   96      C  International Astronomical Union Spectral Lines of Most Importance Below 300 GHz   98      D  International Astronomical Union Spectral Lines of Most Importance Above 300 GHz   102      E  Selected Rules and Regulations of the Federal Communications Commission   104      F  Titles of ITU Recommendations for Radio Astronomy and for Space Applications and Meteorology   105      G  Earth Science Passive Sensor Needs Above 71 GHz   109      H  Use of 0 dBi for Sidelobe Gain in Calculations of Interference in Radio Astronomy Bands   114      I  Selected Acronyms/Abbreviations and Footnote Designations   116