Spectrum Management For Science In The 21st Century

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Spectrum Management for Science in the 21stCenturyCommittee on Scientific Use of the Radio Spectrum,Committee on Radio Frequencies, National ResearchCouncilISBN: 0-309-14687-9, 218 pages, 7 x 10, (2009)This free PDF was downloaded from:http://www.nap.edu/catalog/12800.htmlVisit the National Academies Press online, the authoritative source for all books from theNational Academy of Sciences, the National Academy of Engineering, the Institute ofMedicine, and the National Research Council:! Download hundreds of free books in PDF! Read thousands of books online, free! Sign up to be notified when new books are published! Purchase printed books! Purchase PDFs! Explore with our innovative research toolsThank you for downloading this free PDF. If you have comments, questions or just wantmore information about the books published by the National Academies Press, you maycontact our customer service department toll-free at 888-624-8373, visit us online, orsend an email to comments@nap.edu.This free book plus thousands more books are available at http://www.nap.edu.Copyright National Academy of Sciences. Permission is granted for this material to beshared for noncommercial, educational purposes, provided that this notice appears on thereproduced materials, the Web address of the online, full authoritative version is retained,and copies are not altered. To disseminate otherwise or to republish requires writtenpermission from the National Academies Press.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION **1PREPUBLICATION COPY—WORDING SUBJECT TO CHANGE23456Spectrum Management for Science in the 21st Century789101112This report is embargoed for release until 11:00 a.m., November 2, 2009.13141516171819Committee on Scientific Use of the Radio Spectrum20Committee on Radio Frequencies21Board on Physics and Astronomy22232425262728293031323334353637Division on Engineering and Physical SciencesTHE NATIONAL ACADEMIES PRESSWashington, D.C.www.nap.eduiCopyright National Academy of Sciences. All rights reserved.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION 6263646566THE NATIONAL ACADEMIES PRESS500 Fifth Street, N.W.Washington, DC 20001NOTICE: The project that is the subject of this report was approved by the Governing Board of theNational Research Council, whose members are drawn from the councils of the National Academy ofSciences, the National Academy of Engineering, and the Institute of Medicine. The members of thecommittee responsible for the report were chosen for their special competences and with regard forappropriate balance.This study was supported by the National Science Foundation under Grant No. 0410006, the NationalAeronautics and Space Administration under Award No. NNH05CC15C, and the Department ofCommerce under Award No. DG133R04CQ0009, TO #26. Any opinions, findings, conclusions, orrecommendations expressed in this publication are those of the author(s) and do not necessarily reflect theviews of the organizations or agencies that provided support for the project.International Standard Book Number 0-309-0XXXX-X (Book)International Standard Book Number 0-309-0XXXX-X (PDF)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 Washingtonmetropolitan area); Internet, http://www.nap.edu; and the Board on Physics and Astronomy, NationalResearch Council, 500 Fifth Street, N.W., Washington, DC 20001; Internet, http://www.nationalacademies.org/bpa.Copyright 2009 by the National Academy of Sciences. All rights reserved.Printed in the United States of AmericaiiCopyright National Academy of Sciences. All rights reserved.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION 91929394959697The National Academy of Sciences is a private, nonprofit, self-perpetuating society ofdistinguished scholars engaged in scientific and engineering research, dedicated to the furtherance ofscience and technology and to their use for the general welfare. Upon the authority of the charter grantedto it by the Congress in 1863, the Academy has a mandate that requires it to advise the federalgovernment on scientific and technical matters. Dr. Ralph J. Cicerone is president of the NationalAcademy of Sciences.The National Academy of Engineering was established in 1964, under the charter of the NationalAcademy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in itsadministration and in the selection of its members, sharing with the National Academy of Sciences theresponsibility for advising the federal government. The National Academy of Engineering also sponsorsengineering programs aimed at meeting national needs, encourages education and research, andrecognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the NationalAcademy of Engineering.The Institute of Medicine was established in 1970 by the National Academy of Sciences to securethe services of eminent members of appropriate professions in the examination of policy matterspertaining to the health of the public. The Institute acts under the responsibility given to the NationalAcademy of Sciences by its congressional charter to be an adviser to the federal government and, upon itsown initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg ispresident of the Institute of Medicine.The National Research Council was organized by the National Academy of Sciences in 1916 toassociate the broad community of science and technology with the Academy’s purposes of furtheringknowledge and advising the federal government. Functioning in accordance with general policiesdetermined by the Academy, the Council has become the principal operating agency of both the NationalAcademy 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 bothAcademies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Wm. A. Wulf are chair and vicechair, respectively, of the National Research Council.www.national-academies.orgiiiCopyright National Academy of Sciences. All rights reserved.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION EE ON SCIENTIFIC USE OF THE RADIO SPECTRUMMARSHALL H. COHEN, California Institute of Technology, Co-ChairALBIN J. GASIEWSKI, University of Colorado, Boulder, Co-ChairDONALD BACKER, University of California, BerkeleyROBERTA BALSTAD, Columbia UniversitySTEVEN W. ELLINGSON, Virginia Polytechnic Institute and State UniversityDARREL EMERSON, National Radio Astronomy ObservatoryAARON S. EVANS, University of Virginia, NRAO, and Stony Brook UniversityJOEL JOHNSON, The Ohio State UniversityPAUL KOLODZY, Kolodzy Consulting, LLCDAVID KUNKEE, The Aerospace CorporationMOLLY K. MACAULEY, Resources for the Future, Inc.JAMES M. MORAN, Harvard-Smithsonian Center for AstrophysicsLEE G. MUNDY, University of Maryland at College ParkTIMOTHY J. PEARSON, California Institute of TechnologyCHRISTOPHER S. RUF, University of MichiganFREDERICK S. SOLHEIM, Radiometrics CorporationDAVID H. STAELIN, Massachusetts Institute of TechnologyALAN B. TANNER, Jet Propulsion LaboratoryStaffDONALD C. SHAPERO, Director, Board on Physics and AstronomyBRIAN D. DEWHURST, Program Officer (through July 2009)DAVID LANG, Program OfficerMERCEDES ILAGAN, Administrative Assistant (through February 2008)CARYN KNUTSEN, Program Associate (from March 2008)VAN AN, Financial AssociateBETH DOLAN, Financial AssociateivCopyright National Academy of Sciences. All rights reserved.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION 145146147148149150151152153COMMITTEE ON RADIO FREQUENCIESPAUL A. VANDEN BOUT, National Radio Astronomy Observatory, ChairJEFFREY PIEPMEIER, NASA Goddard Space Flight Center , Vice-ChairANA P. BARROS, Duke UniversityDOUGLAS C.-J. BOCK, University of California at Berkeley / Combined Array for Research inMillimeter-wave AstronomySTEVEN W. ELLINGSON, Virginia Polytechnic Institute and State UniversityDAVID G. LONG, Brigham Young UniversityDARREN McKAGUE, University of MichiganJAMES M. MORAN, Harvard-Smithsonian Center for AstrophysicsMELINDA PIKET-MAY, University of Colorado at BoulderALAN E.E. ROGERS, Massachusetts Institute of Technology/Haystack ObservatorySTEVEN C. REISING, Colorado State UniversityLUCY ZIURYS, University of ArizonaStaffDONALD C. SHAPERO, Director, Board on Physics and AstronomyDAVID B. LANG, Program OfficerCARYN J. KNUTSEN, Program AssociatevCopyright National Academy of Sciences. All rights reserved.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION 6187188189BOARD ON PHYSICS AND ASTRONOMYMARC A. KASTNER, Massachusetts Institute of Technology, ChairADAM S. BURROWS, Princeton University, Vice-chairPHILIP H. BUCKSBAUM, Stanford UniversityPATRICK L. COLESTOCK, Los Alamos National LaboratoryJAMES DRAKE, University of MarylandJAMES EISENSTEIN, California Institute of TechnologyANDREA M. GHEZ, University of California at Los AngelesPETER F. GREEN, University of MichiganLAURA H. GREENE, University of Illinois, Urbana-ChampaignMARTHA P. HAYNES, Cornell UniversityJOSEPH HEZIR, EOP Group, Inc.MARK B. KETCHEN, IBM Thomas J. Watson Research CenterJOSEPH LYKKEN, Fermi National Accelerator LaboratoryPIERRE MEYSTRE, University of ArizonaHOMER A. NEAL, University of MichiganMONICA OLVERA DE LA CRUZ, Northwestern UniversityJOSE N. ONUCHIC, University of California at San DiegoLISA J. RANDALL, Harvard UniversityCHARLES V. SHANK, Janelia Farm, HHMIMICHAEL S. TURNER, The University of ChicagoMICHAEL C.F. WIESCHER, University of Notre DameStaffDONALD C. SHAPERO, DirectorMICHAEL MOLONEY, Associate DirectorROBERT L. RIEMER, Senior Program OfficerJAMES LANCASTER, Program OfficerDAVID B. LANG, Program OfficerTERI THOROWGOOD, Administrative CoordinatorCARYN J. KNUTSEN, Research AssociateBETH DOLAN, Financial AssociateviCopyright National Academy of Sciences. All rights reserved.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION 20221222223224225226227228229230231232233234235In the early 2000s policy officials recognized the need for additional blocks of frequencies in theelectromagnetic spectrum for new technologies, and the desires of existing users to obtain additionalbandwidth. A number of activities were begun with the goal of identifying unused frequencies andsuggesting methods by which the regulatory structure could encourage their more efficient use. In June2002 the Federal Communications Commission formed a Spectrum Policy Task Force, to:a) Provide specific recommendations to the Commission for ways in which to evolvethe current "command and control" approach to spectrum policy into a moreintegrated, market-oriented approach that provides greater regulatory certainty, whileminimizing regulatory intervention, andb) Assist the Commission in addressing ubiquitous spectrum issues, includinginterference protection, spectral efficiency, effective public safety communications,and implications of international spectrum policies.The task force concluded that “while the commission has recently made some major strides inhow spectrum is allocated and assigned in some bands, principally through flexible rules and competitivebidding, spectrum policy is not keeping pace with the relentless spectrum demands of the market. Thetask force has begun the process of reexamining 90 years of spectrum policy to ensure that thecommission's policies evolve with the consumer-driven evolution of new wireless technologies, devices,and services.” 1Recognizing the growing importance of radio observations to their mission and the increasingpotential for interference from new wireless technologies, NASA, the Department of Commerce, and theNational Science Foundation (NSF) commissioned the NRC to identify the needs of today's scientificactivities and assist spectrum managers in balancing the requirements of scientific users of the spectrumwith other interests. This report is written in response to that request. The original charge to thecommittee was discussed at length and the committee chose to consider only the passive scientificapplications of the radio spectrum, and specifically how the requirements of spectrum could be expectedto evolve over the next two decades. 2 This decision does not imply any prioritization of the active versuspassive scientific uses of the spectrum, but instead stems from the committee’s recognition that passiveusers have unique issues to address, as well as the limited length of time to complete its task.To address this task, the NRC’s Spectrum Study Committee—comprising representatives ofuniversities, private industry, and nonprofit organizations—employed four in-person meetings, four townhall meetings, and numerous teleconferences in the development of its report. The Committee's work wasaided with presentations by a number of outside experts who provided detailed information at several ofthe in-person meetings. The committee proceeded by focusing on three major topics: Earth remotesensing (Chapter 2), radio astronomy (Chapter 3), and interference mitigation (Chapter 4). The committeeprocess included an in-depth study of each of the topics of these chapters, including the current andexpected future status of Earth remote sensing and radio astronomy and applicable radio frequencyinterference mitigation technologies. A series of findings were developed from these chapters, and anassociated series of recommendations to help ensure the viability of these scientific endeavors were made.The findings and recommendations are detailed in Chapter 5. As dictated by the statement of task, thecommittee did not make recommendations on the allocation of specific frequencies, but did comment onspectrum use by the relevant scientific communities and how it might be protected in the future.12FCC, “Report of the Spectrum Policy Task Force,” November 2002.The committee’s statement of task can be found in Appendix A.viiCopyright National Academy of Sciences. All rights reserved.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION **236237238239240241242243244This report attempts to lay the foundation of an effort to identify the needs of radio astronomyand Earth remote sensing, identify the benefits of these two activities, and develop practical, forwardlooking approaches to spectrum access that are needed to ensure the necessary conditions for theirimportant observations.It is noted that a report on the uses of passive bands for both Earth remote sensing and radioastronomy was completed by a subcommittee of the NRC’s Committee on Radio Frequencies (CORF) in2006. 3 This study report differs from the CORF report in assessing both the current and future uses of thepassive services. This report also includes a focus on technology for interference mitigation.3NRC, “Handbook of Frequency Allocations and Spectrum Protection for Scientific Uses,” The NationalAcademies Press, 2007.viiiCopyright National Academy of Sciences. All rights reserved.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION dgment of ReviewersThis report has been reviewed in draft form by individuals chosen for their diverse perspectivesand technical expertise, in accordance with procedures approved by the National Research Council’s(NRC’s) Report Review Committee. The purpose of this independent review is to provide candid andcritical comments that will assist the institution in making its published report as sound as possible and toensure that the report meets institutional standards for objectivity, evidence, and responsiveness to thestudy charge. The review comments and draft manuscript remain confidential to protect the integrity ofthe deliberative process. We wish to thank the following individuals for their review of this report:Paul Feldman, Fletcher, Heald & Hildreth PLC,Dale N. Hatfield, Independent Consultant,Anthony Janetos, Pacific Northwest National Laboratory,Roger Lang, George Washington University,Michael Marcus, Marcus Spectrum Solutions,Thomas Meissner, Remote Sensing Systems, Inc.,Steven Reising, Colorado State University,Chris Salter, National Astronomy and Ionosphere Center, Cornell UniversityPaul Vanden Bout, National Radio Astronomy Observatory,William “Jack” Welch, NAS, University of California at Berkeley, andDavid Woody, California Institute of Technology, Owens Valley Radio Observatory.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 thereport before its release. The review of this report was overseen by Martha Haynes, NAS, CornellUniversity. Appointed by the NRC, she was responsible for making certain that an independentexamination of this report was carried out in accordance with institutional procedures and that all reviewcomments were carefully considered. Responsibility for the final content of this report rests entirely withthe authoring committee and the institution.ixCopyright National Academy of Sciences. All rights reserved.

Spectrum Management for Science in the 21st Centuryhttp://www.nap.edu/catalog/12800.html** UNCORRECTED PROOFS ** SUBJECT TO EDITORIAL CORRECTION **275276Table of reface .viiAcknowledgment of Reviewers .ixTable of Contents. xSummary . 11 Introduction. 51.2 Prospects for Future Scientific Use of the Radio Spectrum. 91.3 The Interference Problem . 101.4 Interference Mitigation . 121.

194 electromagnetic spectrum for new technologies, and the desires of existing users to obtain additional 195 bandwidth. A number of activities were begun with the goal of identifying unused frequencies and

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