47 Parts 0 to 19 Revised as of October 1, 2010
Telecommunication
Containing a codification of documents of general applicability and future effect
As of October 1, 2010
With Ancillaries
Published by Office of the Federal Register National Archives and Records Administration
A Special Edition of the Federal Register
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U.S. GOVERNMENT OFFICIAL EDITION NOTICE
Legal Status and Use of Seals and Logos
The seal of the National Archives and Records Administration (NARA) authenticates the Code of Federal Regulations (CFR) as the official codification of Federal regulations established under the Federal Register Act. Under the provisions of 44 U.S.C. 1507, the contents of the CFR, a special edition of the Federal Register, shall be judicially noticed. The CFR is prima facie evidence of the origi- nal documents published in the Federal Register (44 U.S.C. 1510).
It is prohibited to use NARA’s official seal and the stylized Code of Federal Regulations logo on any republication of this material without the express, written permission of the Archivist of the United States or the Archivist’s designee. Any person using NARA’s official seals and logos in a manner inconsistent with the provisions of 36 CFR part 1200 is subject to the penalties specified in 18 U.S.C. 506, 701, and 1017.
Use of ISBN Prefix
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Table of Contents Page
Explanation ................................................................................................ v
Title 47:
Chapter I—Federal Communications Commission .......................... 3
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 893
Alphabetical List of Agencies Appearing in the CFR ......................... 913
List of CFR Sections Affected ............................................................. 923
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Cite this Code: CFR
To cite the regulations in this volume use title, part and section num- ber. Thus, 47 CFR 0.1 refers to title 47, part 0, section 1.
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Explanation
The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agen- cies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further sub- divided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1 Title 17 through Title 27 .................................................................as of April 1 Title 28 through Title 41 ..................................................................as of July 1 Title 42 through Title 50.............................................................as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to deter- mine the latest version of any given rule.
To determine whether a Code volume has been amended since its revision date (in this case, October 1, 2010), consult the ‘‘List of CFR Sections Affected (LSA),’’ which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal Reg- ister since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usu- ally not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cut- off date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies to display an OMB control number with their information collection request.
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Many agencies have begun publishing numerous OMB control numbers as amend- ments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on a given date in the past by using the appropriate numerical list of sections affected. For the period before January 1, 2001, consult either the List of CFR Sections Affected, 1949–1963, 1964–1972, 1973–1985, or 1986–2000, published in eleven separate volumes. For the period beginning January 1, 2001, a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume.
‘‘[RESERVED]’’ TERMINOLOGY
The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ loca- tion at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that a portion of the CFR was left vacant and not accidentally dropped due to a print- ing or computer error.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regu- lations in the Federal Register by referring to materials already published else- where. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the mate- rial is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law.
What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are:
(a) The incorporation will substantially reduce the volume of material pub- lished in the Federal Register.
(b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process.
(c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed as an approved incorpora- tion by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or call 202-741-6010.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS. This volume contains the Parallel Table of Authorities and Rules. A list of CFR titles, chapters, subchapters, and parts and an alphabetical list of agencies pub- lishing in the CFR are also included in this volume.
An index to the text of ‘‘Title 3—The President’’ is carried within that volume.
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The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg- ister.
A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency’s name appears at the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202–741–6000 or write to the Director, Office of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail fedreg.info@nara.gov.
SALES
The Government Printing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202- 512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2250, 24 hours a day. For payment by check, write to: US Government Printing Office – New Orders, P.O. Box 979050, St. Louis, MO 63197-9000. For GPO Customer Service call 202-512-1803.
ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of CFR Sections Affected), The United States Government Manual, the Federal Register, Public Laws, Public Papers, Daily Compilation of Presidential Documents and the Pri- vacy Act Compilation are available in electronic format via Federalregister.gov. For more information, contact Electronic Information Dissemination Services, U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498 (toll-free). E- mail, gpoaccess@gpo.gov.
The Office of the Federal Register also offers a free service on the National Archives and Records Administration’s (NARA) World Wide Web site for public law numbers, Federal Register finding aids, and related information. Connect to NARA’s web site at www.archives.gov/federal-register. The NARA site also con- tains links to GPO Access.
RAYMOND A. MOSLEY,
Director,
Office of the Federal Register.
October 1, 2010.
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THIS TITLE
Title 47—TELECOMMUNICATION is composed of five volumes. The parts in these volumes are arranged in the following order: Parts 0–19, parts 20–39, parts 40– 69, parts 70–79, and part 80 to end. All five volumes contain chapter I—Federal Communications Commission. The last volume, part 80 to end, also includes chap- ter II—Office of Science and Technology Policy and National Security Council, chapter III—National Telecommunications and Information Administration, De- partment of Commerce, and chapter IV—National Telecommunications and Infor- mation Administration, Department of Commerce, and National Highway Traffic Safety Administration, Department of Transportation. The contents of these vol- umes represent all current regulations codified under this title of the CFR as of October 1, 2010.
Part 73 contains a numerical designation of FM broadcast channels (§ 73.201) and a table of FM allotments designated for use in communities in the United States, its territories, and possessions (§ 73.202). Part 73 also contains a numerical designation of television channels (§ 73.603) and a table of allotments which con- tain channels designated for the listed communities in the United States, its territories, and possessions (§ 73.606).
The OMB control numbers for the Federal Communications Commission, ap- pear in § 0.408 of chapter I. For the convenience of the user § 0.408 is reprinted in the Finding Aids section of the second through fifth volumes.
For this volume, Susannah C. Hurley was Chief Editor. The Code of Federal Regulations publication program is under the direction of Michael L. White, as- sisted by Ann Worley.
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Title 47— Telecommunication
(This book contains parts 0 to 19)
Part
CHAPTER I—Federal Communications Commission ............... 0
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CHAPTER I—FEDERAL COMMUNICATIONS COMMISSION
SUBCHAPTER A—GENERAL
Part Page 0 Commission organization ........................................ 5 1 Practice and procedure ........................................... 95 2 Frequency allocations and radio treaty matters;
general rules and regulations ............................... 448 3 Authorization and administration of accounting
authorities in maritime and maritime mobile- satellite radio services ......................................... 666
4 Disruptions to communications .............................. 675 5 Experimental radio service (other than broadcast) 682 6 Access to telecommunications service, tele-
communications equipment and customer prem- ises equipment by persons with disabilities ......... 695
7 Access to voicemail and interactive menu services and equipment by people with disabilities ........... 701
9 Interconnected voice over internet protocol serv- ices ....................................................................... 707
10 Commercial Mobile Alert System ........................... 710 11 Emergency Alert System (EAS) .............................. 718 12 Redundancy of communications systems ................ 740 13 Commercial radio operators .................................... 742 15 Radio frequency devices .......................................... 752 17 Construction, marking, and lighting of antenna
structures ............................................................. 871 18 Industrial, scientific, and medical equipment ........ 879 19 Employee responsibilities and conduct ................... 885
SUPPLEMENTARY PUBLICATIONS: Annual Reports of the FCC to Congress. FCC Record of Orders and Decisions. Communications Act of 1934 (with amendments and index thereto), Recap. Version to May 1989. Study Guide and Reference Material for Commercial Radio Operator Examinations, May 1987 edi-
tion.
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SUBCHAPTER A—GENERAL
PART 0—COMMISSION ORGANIZATION
Subpart A—Organization
GENERAL
Sec. 0.1 The Commission. 0.3 The Chairman. 0.5 General description of Commission orga-
nization and operations.
OFFICE OF MANAGING DIRECTOR
0.11 Functions of the Office.
OFFICE OF INSPECTOR GENERAL
0.13 Functions of the Office.
OFFICE OF MEDIA RELATIONS
0.15 Functions of the Office.
OFFICE OF LEGISLATIVE AFFAIRS
0.17 Functions of the Office.
OFFICE OF STRATEGIC PLANNING AND POLICY ANALYSIS
0.21 Functions of the Office.
OFFICE OF ENGINEERING AND TECHNOLOGY
0.31 Functions of the Office.
OFFICE OF GENERAL COUNSEL
0.41 Functions of the Office.
INTERNATIONAL BUREAU
0.51 Functions of the Bureau
MEDIA BUREAU
0.61 Functions of the Bureau.
OFFICE OF WORKPLACE DIVERSITY
0.81 Functions of the Office.
WIRELINE COMPETITION BUREAU
0.91 Functions of the Bureau.
OFFICE OF COMMUNICATIONS BUSINESS OPPORTUNITIES
0.101 Functions of the office.
ENFORCEMENT BUREAU
0.111 Functions of the Bureau. 0.121 Location of field installations.
WIRELESS TELECOMMUNICATIONS BUREAU
0.131 Functions of the Bureau.
CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU
0.141 Functions of the Bureau.
OFFICE OF ADMINISTRATIVE LAW JUDGES
0.151 Functions of the Office.
HOMELAND SECURITY, DEFENSE AND EMERGENCY PREPAREDNESS FUNCTIONS
0.181 The Defense Commissioner. 0.185 Responsibilities of the bureaus and
staff offices. 0.186 Emergency Relocation Board.
PUBLIC SAFETY AND HOMELAND SECURITY BUREAU
0.191 Functions of the Bureau. 0.192 Emergency Response Interoperability
Center.
Subpart B—Delegations of Authority
GENERAL
0.201 General provisions. 0.203 Authority of person, panel, or board to
which functions are delegated. 0.204 The exercise of delegated authority.
COMMISSIONERS
0.211 Chairman. 0.212 Board of Commissioners. 0.218 Authority of, and delegated to, an in-
dividual Commissioner or Commis- sioners.
MANAGING DIRECTOR
0.231 Authority delegated.
CHIEF ENGINEER
0.241 Authority delegated. 0.247 Record of actions taken.
GENERAL COUNSEL
0.251 Authority delegated.
INTERNATIONAL BUREAU
0.261 Authority delegated. 0.262 Record of actions taken.
OFFICE OF STRATEGIC PLANNING AND POLICY ANALYSIS
0.271 Authority delegated.
CHIEF, MEDIA BUREAU
0.283 Authority delegated. 0.284 Actions taken under delegated author-
ity. 0.285 Record of actions taken.
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47 CFR Ch. I (10–1–10 Edition)Pt. 0
CHIEF, WIRELINE COMPETITION BUREAU
0.291 Authority delegated. 0.301 [Reserved] 0.302 Record of actions taken. 0.303 [Reserved] 0.304 Authority for determinations of ex-
empt telecommunications company sta- tus.
ENFORCEMENT BUREAU
0.311 Authority delegated. 0.314 Additional authority delegated. 0.317 Record of action taken.
WIRELESS TELECOMMUNICATIONS BUREAU
0.331 Authority delegated. 0.332 Actions taken under delegated author-
ity. 0.333–0.337 [Reserved]
ADMINISTRATIVE LAW JUDGES
0.341 Authority of administrative law judge. 0.347 Record of actions taken.
CHIEF ADMINISTRATIVE LAW JUDGE
0.351 Authority delegated. 0.357 Record of actions taken.
CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU
0.361 Authority delegated.
OFFICE OF COMMUNICATIONS BUSINESS OPPORTUNITIES
0.371 Authority delegated.
NATIONAL SECURITY AND EMERGENCY PREPAREDNESS DELEGATIONS
0.381 Defense Commissioner. 0.383 Emergency Relocation Board, author-
ity delegated. 0.387 Other national security and emer-
gency preparedness delegations; cross reference.
OFFICE OF WORKPLACE DIVERSITY
0.391 Authority delegated.
PUBLIC SAFETY AND HOMELAND SECURITY BUREAU
0.392 Authority delegated.
Subpart C—General Information
GENERAL
0.401 Location of Commission offices. 0.403 Office hours. 0.405 Statutory provisions. 0.406 The rules and regulations. 0.408 OMB control numbers and expiration
dates assigned pursuant to the Paper- work Reduction Act of 1995.
0.409 Commission policy on private printing of FCC forms.
PRINTED PUBLICATIONS
0.411 General reference materials. 0.413 The Commission’s printed publica-
tions. 0.414 The Communications Act and other
statutory materials. 0.415 The rules and regulations (looseleaf
service). 0.416 The Federal Communications Commis-
sion Record. 0.417 The Annual Reports. 0.420 Other Commission publications.
FORMS AND DOCUMENTS AVAILABLE UPON REQUEST
0.421 Application forms. 0.422 Current action documents and public
notices. 0.423 Information bulletins.
LISTS CONTAINING INFORMATION COMPILED BY THE COMMISSION
0.431 The FCC service frequency lists. 0.434 Data bases and lists of authorized
broadcast stations and pending broadcast applications.
PUBLIC INFORMATION AND INSPECTION OF RECORDS
0.441 General. 0.442 Disclosure to other Federal govern-
ment agencies of information submitted to the Commission in confidence.
0.445 Publication, availability and use of opinions, orders, policy statements, in- terpretations, administrative manuals, and staff instructions.
0.451 Inspection of records: Generally. 0.453 Public reference rooms. 0.455 Other locations at which records may
be inspected. 0.457 Records not routinely available for
public inspection. 0.458 Nonpublic information. 0.459 Requests that materials or informa-
tion submitted to the Commission be withheld from public inspection.
0.460 Requests for inspection of records which are routinely available for public inspection.
0.461 Requests for inspection of materials not routinely available for public inspec- tion.
0.463 Demand by competent authority for the production of documents or testi- mony concerning information contained therein.
0.465 Request for copies of materials which are available, or made available, for pub- lic inspection.
0.466 Definitions. 0.467 Search and review fees. 0.468 Interest. 0.469 Advance payments. 0.470 Assessment of fees.
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Federal Communications Commission § 0.3
PLACES FOR MAKING SUBMITTALS OR RE- QUESTS, FOR FILING APPLICATIONS, AND FOR TAKING EXAMINATIONS
0.471 Miscellaneous submittals or requests. 0.473 Reports of violations. 0.475 Applications for employment. 0.481 Place of filing applications for radio
authorizations. 0.482 Application for waiver of wireless
radio service rules. 0.483 Applications for amateur or commer-
cial radio operator licenses. 0.484 Amateur radio operator examinations. 0.485 Commercial radio operator examina-
tions. 0.489 Applications for ship radio inspection
and periodical survey. 0.491 Application for exemption from com-
pulsory ship radio requirements. 0.493 Non-radio common carrier applica-
tions.
Subpart D—Mandatory Declassification of National Security Information
0.501 General. 0.502 Purpose. 0.503 Submission of requests for mandatory
declassification review. 0.504 Processing requests for declassifica-
tion. 0.505 Fees and charges. 0.506 FOIA and Privacy Act requests.
Subpart E—Privacy Act Regulations
0.551 Purpose and scope; definitions. 0.552 Notice identifying Commission sys-
tems of records. 0.553 New uses of information. 0.554 Procedures for requests pertaining to
individual records in a system of records. 0.555 Disclosure of record information to in-
dividuals. 0.556 Request to correct or amend records. 0.557 Administrative review of an initial de-
cision not to amend a record. 0.558 Advice and assistance. 0.559 Disclosure of disputed information to
persons other than the individual to whom it pertains.
0.560 Penalty for false representation of identity.
0.561 Exemptions.
Subpart F—Meeting Procedures
0.601 Definitions. 0.602 Open meetings. 0.603 Bases for closing a meeting to the pub-
lic. 0.605 Procedures for announcing meetings. 0.606 Procedures for closing a meeting to
the public. 0.607 Transcript, recording or minutes;
availability to the public.
Subpart G—Intergovernmental Communication
0.701 Intergovernmental Advisory Com- mittee.
AUTHORITY: Sec. 5, 48 Stat. 1068, as amend- ed; 47 U.S.C. 155, 225, unless otherwise noted.
Subpart A—Organization
AUTHORITY: Secs. 5, 48 Stat. 1068, as amend- ed; 47 U.S.C. 155.
GENERAL
§ 0.1 The Commission.
The Federal Communications Com- mission is composed of five (5) mem- bers who are appointed by the presi- dent subject to confirmation by the Senate. Normally, one Commissioner is appointed or reappointed each year, for a term of five (5) years.
[53 FR 29054, Aug. 2, 1988]
§ 0.3 The Chairman.
(a) One of the members of the Com- mission is designated by the President to serve as Chairman, or chief execu- tive officer, of the Commission. As Chairman, he has the following duties and responsibilities:
(1) To preside at all meetings and ses- sions of the Commission.
(2) To represent the Commission in all matters relating to legislation and legislative reports; however, any other Commissioner may present his own or minority views or supplemental re- ports.
(3) To represent the Commission in all matters requiring conferences or communications with other govern- mental officers, departments or agen- cies.
(4) To coordinate and organize the work of the Commission in such a man- ner as to promote prompt and efficient disposition of all matters within the jurisdiction of the Commission.
(b) The Commission will, in the case of a vacancy in the Office of the Chair- man of the Commission, or in the ab- sence or inability of the Chairman to serve, temporarily designate one of its members to act as Chairman until the cause or circumstance requiring such
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47 CFR Ch. I (10–1–10 Edition)§ 0.5
designation has been eliminated or cor- rected.
[32 FR 10569, July 19, 1967]
§ 0.5 General description of Commis- sion organization and operations.
(a) Principal staff units. The Commis- sion is assisted in the performance of its responsibilities by its staff, which is divided into the following principal units:
(1) Office of Managing Director. (2) Office of Engineering and Tech-
nology. (3) Office of General Counsel. (4) Office of Strategic Planning and
Policy Analysis. (5) Office of Media Relations. (6) Office of Legislative Affairs. (7) Office of Inspector General. (8) Office of Communications Busi-
ness Opportunities. (9) Office of Administrative Law
Judges. (10) Office of Workplace Diversity (11) Wireline Competition Bureau. (12) Wireless Telecommunications
Bureau. (13) International Bureau. (14) Media Bureau. (15) Enforcement Bureau. (16) Consumer and Governmental Af-
fairs Bureau. (17) Public Safety and Homeland Se-
curity Bureau. (b) Staff responsibilities and func-
tions. The organization and functions of these major staff units are described in detail in §§ 0.11 through 0.151. The de- fense and emergency preparedness functions of the Commission are set forth separately, beginning at § 0.181. For a complete description of staff functions, reference should be made to those provisions. (See also the U.S. Government Organization Manual, which contains a chart showing the Commission’s organization, the names of the members and principal staff offi- cers of the Commission, and other in- formation concerning the Commis- sion.)
(c) Delegations of authority to the staff. Pursuant to section 5(c) of the Commu- nications Act, the Commission has del- egated authority to its staff to act on matters which are minor or routine or settled in nature and those in which immediate action may be necessary.
See subpart B of this part. Actions taken under delegated authority are subject to review by the Commission, on its own motion or on an application for review filed by a person aggrieved by the action. Except for the possi- bility of review, actions taken under delegated authority have the same force and effect as actions taken by the Commission. The delegation of author- ity to a staff officer, however, does not mean that he will exercise that author- ity in all matters subject to the delega- tion. In non-hearing matters, the staff is at liberty to refer any matter at any stage to the Commission for action, upon concluding that it involves mat- ters warranting the Commission’s con- sideration, and the Commission may instruct the staff to do so.
(d) Commission action. Matters requir- ing Commission action, or warranting its consideration, are dealt with by the Commission at regular monthly meet- ings, or at special meetings called to consider a particular matter. Meetings are normally held at the principal of- fices of the Commission in the District of Columbia, but may be held elsewhere in the United States. In appropriate circumstances, Commission action may be taken between meetings ‘‘by circulation’’, which involves the sub- mission of a document to each of the Commissioners for his approval.
(e) Compliance with Federal financial management requirements. Any Bureau or Office recommending Commission action that may affect agency compli- ance with Federal financial manage- ment requirements must confer with the Office of Managing Director. Such items will indicate the position of the Managing Director when forwarded to the Commission. Any Bureau or Office taking action under delegated author- ity that may affect agency compliance with Federal financial management re- quirements must confer with the Office of the Managing Director before taking action.
(Secs. 4(i), 303(r) and 5(c)(i), Communications Act of 1934, as amended; 47 CFR 0.61 and 0.283)
[32 FR 10569, July 19, 1967]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.5, see the List of CFR Sections Affected, which appears in the
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Federal Communications Commission § 0.13
Finding Aids section of the printed volume and on GPO Access.
OFFICE OF MANAGING DIRECTOR
§ 0.11 Functions of the Office.
(a) The Managing Director is ap- pointed by the Chairman with the ap- proval of the Commission. Under the supervision and direction of the Chair- man, the Managing Director shall serve as the Commission’s chief operating and executive official with the fol- lowing duties and responsibilities:
(1) Provide managerial leadership to and exercise supervision and direction over the Commission’s Bureaus and Of- fices with respect to management and administrative matters but not sub- stantive regulatory matters such as regulatory policy and rule making, au- thorization of service, administration of sanctions, and adjudication.
(2) Formulate and administer all management and administrative poli- cies, programs, and directives for the Commission consistent with authority delegated by the Commission and the Chairman and recommend to the Chair- man and the Commission major changes in such policies and programs.
(3) Assist the Chairman in carrying out the administrative and executive responsibilities delegated to the Chair- man as the administrative head of the agency.
(4) Advise the Chairman and Commis- sion on management, administrative, and related matters; review and evalu- ate the programs and procedures of the Commission; initiate action or make recommendations as may be necessary to administer the Communications Act most effectively in the public interest. Assess the management, administra- tive, and resource implications of any proposed action or decision to be taken by the Commission or by a Bureau or Office under delegated authority; rec- ommend to the Chairman and Commis- sion program priorities, resource and position allocations, management, and administrative policies.
(5) Plan and administer the Commis- sions performance review system. As- sure that objections, priorities, and ac- tion plans established by Bureau and Offices are consistent with overall Commission objectives and priorities.
(6) Plan and administer the Commis- sion’s Program Evaluation System. En- sure that evaluation results are uti- lized in Commission decision-making and priority-setting activities.
(7) Direct agency efforts to improve management effectiveness, operational efficiency, employee productivity, and service to the public. Administer Com- mission-wide management programs.
(8) Plan and manage the administra- tive affairs of the Commission with re- spect to the functions of personnel and position management; labor-manage- ment relations; training; budget and fi- nancial management; accounting for the financial transactions of the Com- mission and preparation of financial statements and reports; information management and processing; organiza- tion planning; management analysis; procurement; office space management and utilization; administrative and of- fice services; supply and property man- agement; records management; per- sonnel and physical security; and inter- national telecommunications settle- ments.
(9) [Reserved] (10) With the concurrence of the Gen-
eral Counsel, interpret rules and regu- lations pertaining to fees.
(b) The Secretary is the official cus- todian of the Commission’s documents.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[46 FR 59975, Dec. 8, 1981, as amended at 47 FR 41380, Sept. 20, 1982; 49 FR 45583, Nov. 19, 1984; 50 FR 27953, July 9, 1985; 53 FR 29054, Aug. 2, 1988; 53 FR 47536, Nov. 23, 1988; 54 FR 152, Jan. 4, 1989; 59 FR 26971, May 25, 1994; 60 FR 5323, Jan. 27, 1995; 62 FR 15853, Apr. 3, 1997; 62 FR 51052, Sept. 30, 1997; 67 FR 13217, Mar. 21, 2002; 69 FR 30233, May 27, 2004; 70 FR 21651, Apr. 27, 2005; 71 FR 69034, Nov. 29, 2006]
OFFICE OF INSPECTOR GENERAL
§ 0.13 Functions of the Office. The Office of Inspector General is di-
rectly responsible to the Chairman as head of the agency. However, the Chairman may not prevent or prohibit the Office of Inspector General from carrying out its duties and responsibil- ities as mandated by the Inspector General Act Amendments of 1988 (Pub. L. 100–504) and the Inspector General Act of 1978 (5 U.S.C. Appendix 3), as
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47 CFR Ch. I (10–1–10 Edition)§ 0.15
amended. The Office has the following duties and responsibilities.
(a) Provide policy direction for and to conduct, supervise and coordinate audits and investigations relating to the programs and operations of the Federal Communications Commission.
(b) Review existing and proposed leg- islation and regulations relating to programs and operations of the Com- mission and to make recommendations in its required semiannual reports to Congress concerning the impact of such legislation or regulations on the econ- omy and efficiency in the administra- tion of these programs and operations, or the prevention and detection of fraud and abuse in such programs and operations.
(c) Recommend policies and conduct or coordinate other activities to pro- mote economy and efficiency in the ad- ministration of Commission programs, or detect and prevent fraud and abuse in Commission activities. Coordinate with other governmental agencies and non-governmental entities on these matters.
(d) Keep the Chairman of the Com- mission—and through him the other Commissioners—and the Congress fully and currently informed concerning fraud and other serious problems, abuses, and deficiencies relating to the administration of Commission pro- grams and operations; recommend cor- rective action and report on the progress made in implementing such corrective action. In addition to pro- viding the Chairman with the results of completed audits and inspections, the Inspector General shall prepare statu- torily required reports, identified as such, to include:
(1) Semiannual reports summarizing activities of the office during the pre- ceding six month period (due to the Chairman by April 30 and October 31);
(2) Special reports specifically identi- fying any serious or flagrant problems, abuses or deficiencies (due to the Chairman immediately upon discovery of these matters by the Inspector Gen- eral).
[54 FR 15194, Apr. 17, 1989]
OFFICE OF MEDIA RELATIONS
§ 0.15 Functions of the Office. (a) Enhance public understanding of
and compliance with the Commission’s regulatory requirements through dis- semination of information to the news media.
(b) Act as the principal channel for communicating information to the news media on Commission policies, programs, and activities.
(c) Advise the Commission on infor- mation dissemination as it affects liai- son with the media.
(d) Manage the FCC’s Internet site and oversee the agency’s Web stand- ards and guidelines.
(e) Maintain liaison with the Con- sumer and Governmental Affairs Bu- reau on press and media issues con- cerning consumer assistance and infor- mation including informal consumer complaints.
(f) Manage the FCC’s audio/visual support services and maintain liaison with outside parties regarding the broadcast of Commission proceedings.
[64 FR 60716, Nov. 8, 1999, as amended at 67 FR 13217, Mar. 21, 2002; 67 FR 46112, July 12, 2002]
OFFICE OF LEGISLATIVE AFFAIRS
§ 0.17 Functions of the Office. The Office of Legislative Affairs is di-
rectly responsible to the Commission. The Office has the following duties and responsibilities:
(a) Advise and make recommenda- tions to the Commission with respect to legislation proposed by members of Congress or the Executive Branch and coordinate the preparation of Commis- sion views thereon for submission to Congress or the Executive Branch.
(b) Coordinate with the Office of Gen- eral Counsel responses to Congres- sional or Executive Branch inquiries as to the local ramifications of Commis- sion policies, regulations, rules, and statutory interpretations.
(c) Assist the Office of the Managing Director in preparation of the annual report to Congress, the Commission budget and appropriations legislation to Congress; assist the Office of Media Relations in preparation of the Com- mission’s Annual Report.
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Federal Communications Commission § 0.31
(d) Assist the Chairman and Commis- sioners in preparation for, and the co- ordination of their appearances before the Committees of Congress.
(e) Coordinate the annual Commis- sion legislative program.
(f) Coordinate Commission and staff responses to inquiries by individual members of Congress, congressional committees and staffs.
(g) Coordinate with the Consumer and Governmental Affairs Bureau on issues involving informal consumer complaints and other general inquiries by consumers.
[52 FR 42438, Nov. 5, 1987, as amended at 64 FR 60716, Nov. 8, 1999; 67 FR 13217, Mar. 21, 2002]
OFFICE OF STRATEGIC PLANNING AND POLICY ANALYSIS
§ 0.21 Functions of the Office. The Office of Strategic Planning and
Policy Analysis, as a staff office to the Commission, assists, advises and makes recommendations to the Com- mission with respect to the develop- ment and implementation of commu- nications policies in all areas of Com- mission authority and responsibility. A principal function of the Office is to conduct independent policy analyses to assess the long-term effects of alter- native Commission policies on domes- tic and international communication industries and services, with due con- sideration of the responsibilities and programs of other staff units, and to recommend appropriate Commission action. The Office is also responsible for coordinating the policy research and development activities of other staff units, with special concern for matters which transcend their indi- vidual areas of responsibility. The Of- fice is composed of legal, engineering, economic, and sociological policy ana- lysts and other personnel, and is head- ed by a chief having the following du- ties and responsibilities:
(a) To identify and define significant communications policy issues in all areas of Commission interest and re- sponsibility;
(b) To conduct technical, economic, and sociological impact studies of ex- isting and proposed communications policies and operations, including coop-
erative studies with other staff units and consultant and contract efforts as appropriate;
(c) To develop and evaluate alter- native policy options and approaches for consideration by the Commission;
(d) To review and comment on all sig- nificant actions proposed to be taken by the Commission in terms of their overall policy implications;
(e) To recommend and evaluate gov- ernmental (state and federal), aca- demic, and industry sponsored research affecting Commission policy issues;
(f) To prepare briefings, position pa- pers, proposed Commission actions, or other agenda items as appropriate;
(g) To manage the Commission’s pol- icy research program, recommend budget levels and priorities for this program, and serve as central account manager for all contractual policy re- search studies funded by the Commis- sion;
(h) To coordinate the formation and presentation of Commission positions in communications policy; represent the Commission at appropriate discus- sions and conferences.
(i) Develop and recommend proce- dures and plans for the effective han- dling of policy issues within the Com- mission.
(j) To help ensure that FCC policy en- courages and promotes competitive market structures by providing bu- reaus and offices with the necessary support to identify, evaluate, and effec- tively and consistently resolve com- petitiveness issues.
[38 FR 17005, June 28, 1973, as amended at 45 FR 25400, Apr. 15, 1980; 51 FR 12615, Apr. 14, 1986; 60 FR 5323, Jan. 27, 1995; 64 FR 5950, Feb. 8, 1999; 68 FR 11747, Mar. 12, 2003]
OFFICE OF ENGINEERING AND TECHNOLOGY
§ 0.31 Functions of the Office.
The Office of Engineering and Tech- nology has the following duties and re- sponsibilities:
(a) To evaluate evolving technology for interference potential and to sug- gest ways to facilitate its introduction in response to Bureau initiatives, and advise the Commission and staff offices in such matters.
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47 CFR Ch. I (10–1–10 Edition)§ 0.41
(b) Represent the Commission at var- ious national conferences and meetings (and, in consultation with the Inter- national Bureau, at various inter- national conferences and meetings) de- voted to the progress of communica- tions and the development of technical and other information and standards, and serve as Commission coordinator for the various national conferences when appropriate.
(c) To conduct scientific and tech- nical studies in advanced phases of ter- restrial and space communications, and special projects to obtain theo- retical and experimental data on new or improved techniques.
(d) To advise the Commission con- cerning engineering matters, including (in consultation with the Public Safety and Homeland Security Bureau where appropriate) privacy and security of communications, involved in making or implementing policy or in resolving specific cases.
(e) To develop and implement proce- dures to acquire, store, and retrieve scientific and technical information useful in the engineering work of the Commission.
(f) To advise and represent the Com- mission on frequency allocation and spectrum usage matters.
(g) To render, in cooperation with the General Counsel and the Office of Stra- tegic Planning and Policy Analysis, ad- vice to the Commission, participate in and coordinate staff work with respect to general frequency allocation pro- ceedings and other proceedings not within the jurisdiction of any single bureau, and render service and advice with respect to rule making matters and proceedings affecting more than one Bureau.
(h) To collaborate with and advise other Bureaus and Offices in the formu- lation of technical requirements of the Rules.
(i) To administer parts 2, 5, 15, and 18 of this chapter, including licensing, recordkeeping, and rule making.
(j) To perform all engineering and management functions of the Commis- sion with respect to formulating rules and regulations, technical standards, and general policies for parts 15, 18 and § 63.100 of this chapter, and for type ap- proval and acceptance, and certifi-
cation of radio equipment for compli- ance with the Rules.
(k) To maintain liaison with other agencies of government, technical ex- perts representing foreign govern- ments, and members of the public and industry concerned with communica- tions and frequency allocation and usage.
(l) To calibrate and standardize tech- nical equipment and installations used by the Commission.
(m) To exercise authority as may be assigned or referred by the Commission pursuant to section 5(c) of the Commu- nications Act of 1934, as amended.
(n) To assist the Consumer and Gov- ernmental Affairs Bureau on issues in- volving informal consumer complaints and other general inquiries by con- sumers.
(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088, 1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)
[45 FR 28718, Apr. 30, 1980, as amended at 46 FR 45342, Sept. 11, 1981; 51 FR 12615, Apr. 14, 1986; 60 FR 5323, Jan. 27, 1995; 62 FR 4170, Jan. 29, 1997; 63 FR 37499, July 13, 1998; 64 FR 60716, Nov. 8, 1999; 67 FR 13217, Mar. 21, 2002; 68 FR 11747, Mar. 12, 2003; 69 FR 70337, Dec. 3, 2004; 71 FR 69034, Nov. 29, 2006; 73 FR 9463, Feb. 21, 2008]
OFFICE OF GENERAL COUNSEL
§ 0.41 Functions of the Office.
The Office of the General Counsel has the following duties and responsibil- ities:
(a) To advise and represent the Com- mission in matters of litigation.
(b) To advise and make recommenda- tions to the Commission with respect to proposed legislation and submit agency views on legislation when ap- propriate.
(c) To interpret the statutes, inter- national agreements, and international regulations affecting the Commission.
(d) To prepare and make rec- ommendations and interpretations con- cerning procedural rules of general ap- plicability and to review all rules for consistency with other rules, uni- formity, and legal sufficiency.
(e) To conduct research in legal mat- ters as directed by the Commission.
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Federal Communications Commission § 0.51
(f) In cooperation with the Office of Engineering and Technology, to par- ticipate in, render advice to the Com- mission, and coordinate the staff work with respect to general frequency allo- cation proceedings and other pro- ceedings not within the jurisdiction of any single bureau, and to render advice with respect to rule making matters and proceedings affecting more than one bureau.
(g) To exercise such authority as may be assigned or referred to it by the Commission pursuant to section 5(c) of the Communications Act of 1934, as amended.
(h) To cooperate with the Inter- national Bureau on all matters per- taining to space satellite communica- tions.
(i) To interpret statutes and execu- tive orders affecting the Commission’s national defense responsibilities, and to perform such functions involving implementation of such statutes and executive orders as may be assigned to it by the Commission or the Defense Commissioner.
(j) To perform all legal functions with respect to leases, contracts, tort claims and such other internal legal problems as may arise.
(k) To issue determinations on mat- ters regarding the interception and re- cording of telephone conversations by Commission personnel. Nothing in this paragraph, however, shall affect the authority of the Inspector General to intercept or record telephone conversa- tions as necessary in the conduct of in- vestigations or audits.
(l) To advise the Commission in the preparation and revision of rules and the implementation and administra- tion of ethics regulations and the Free- dom of Information, Privacy, Govern- ment in the Sunshine and Alternative Dispute Resolution Acts.
(m) To assist and make recommenda- tions to the Commission, and to indi- vidual Commissioners assigned to re- view initial decisions, as to the disposi- tion of cases of adjudication and such other cases as, by Commission policy, are handled in the same manner and which have been designated for hear- ing.
(n) To serve as the principal oper- ating office on ex parte matters involv-
ing restricted proceedings. To review and dispose of all ex parte communica- tions received from the public and oth- ers.
(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088, 1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)
[28 FR 12392, Nov. 22, 1963; 37 FR 19372, Sept. 20, 1972, as amended at 40 FR 17253, Apr. 18, 1975; 43 FR 29006, July 5, 1978; 44 FR 39179, July 5, 1979; 46 FR 57050, Nov. 20, 1981; 49 FR 47604, Dec. 6, 1984; 50 FR 2985, Jan. 23, 1985; 50 FR 49048, Nov. 29, 1985; 51 FR 12615, Apr. 14, 1986; 60 FR 5323, Jan. 27, 1995; 60 FR 34901, July 5, 1995; 62 FR 4170, Jan. 29, 1997; 62 FR 15853, Apr. 3, 1997; 64 FR 5950, Feb. 8, 1999; 64 FR 57585, Oct. 26, 1999]
INTERNATIONAL BUREAU
§ 0.51 Functions of the Bureau. The International Bureau has the fol-
lowing duties and responsibilities: (a) To initiate and direct the develop-
ment and articulation of international telecommunications policies, con- sistent with the priorities of the Com- mission;
(b) To advise the Chairman and Com- missioners on matters of international telecommunications policy, and on the adequacy of the Commission’s actions to promote the vital interests of the American public in international com- merce, national defense, and foreign policy;
(c) To develop, recommend, and ad- minister policies, rules, standards, and procedures for the authorization and regulation of international tele- communications facilities and services, domestic and international satellite systems, and international broadcast services;
(d) To monitor compliance with the terms and conditions of authorizations and licenses granted by the Bureau, and to pursue enforcement actions in conjunction with appropriate bureaus and offices;
(e) To represent the Commission on international telecommunications matters at both domestic and inter- national conferences and meetings, and to direct and coordinate the Commis- sion’s preparation for such conferences and meetings;
(f) To serve as the single focal point within the Commission for cooperation
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47 CFR Ch. I (10–1–10 Edition)§ 0.61
and consultation on international tele- communications matters with other Federal agencies, international or for- eign organizations, and appropriate regulatory bodies and officials of for- eign governments;
(g) To develop, coordinate with other Federal agencies, and administer the regulatory assistance and training pro- grams for foreign administrations to promote telecommunications develop- ment;
(h) To provide advice and technical assistance to U.S. trade officials in the negotiation and implementation of telecommunications trade agreements, and consult with other bureaus and of- fices as appropriate;
(i) To conduct economic, legal, tech- nical, statistical, and other appropriate studies, surveys, and analyses in sup- port of international telecommuni- cations policies and programs.
(j) To collect and disseminate within the Commission information and data on international telecommunications policies, regulatory and market devel- opments in other countries, and inter- national organizations;
(k) To work with the Office of Legis- lative Affairs to coordinate the Com- mission’s activities on significant mat- ters of international policy with appro- priate Congressional offices;
(l) To promote the international co- ordination of spectrum allocations and frequency and orbital assignments so as to minimize cases of international radio interference involving U.S. li- censees;
(m) To direct and coordinate, in con- sultation with other bureaus and of- fices as appropriate, negotiation of international agreements to provide for arrangements and procedures for coordination of radio frequency assign- ments to prevent or resolve inter- national radio interference involving U.S. licensees;
(n) To ensure fulfillment of the Com- mission’s responsibilities under inter- national agreements and treaty obliga- tions, and, consistent with Commission policy, to ensure that the Commis- sion’s regulations, procedures, and fre- quency allocations comply with the mandatory requirements of all applica- ble international and bilateral agree- ments;
(o) To oversee and, as appropriate, administer activities pertaining to the international consultation, coordina- tion, and notification of U.S. frequency and orbital assignments, including ac- tivities required by bilateral agree- ments, the international Radio Regula- tions, and other international agree- ments;
(p) To advise the Chairman on prior- ities for international travel and de- velop, coordinate, and administer the international travel plan;
(q) To exercise authority to issue non-hearing related subpoenas for the attendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, schedules of charges, contracts, agreements, and any other records deemed relevant to the investigation of matters within the jurisdiction of the International Bu- reau. Before issuing a subpoena, the International Bureau shall obtain the approval of the Office of General Coun- sel.
(r) To assist the Consumer and Gov- ernmental Affairs Bureau on issues in- volving informal consumer complaints and other general inquiries by con- sumers.
(s) To coordinate with the Public Safety and Homeland Security Bureau on all matters affecting public safety, homeland security, national security, emergency management, disaster man- agement, and related issues.
[60 FR 5323, Jan. 27, 1995, as amended at 60 FR 35504, July 10, 1995; 64 FR 60716, Nov. 8, 1999; 67 FR 13217, Mar. 21, 2002; 71 FR 69034, Nov. 29, 2006]
MEDIA BUREAU
§ 0.61 Functions of the Bureau. The Media Bureau develops, rec-
ommends and administers the policy and licensing programs for the regula- tion of media, including cable tele- vision, broadcast television and radio, and satellite services in the United States and its territories. The Bureau advises and recommends to the Com- mission, or acts for the Commission under delegated authority, in matters pertaining to multichannel video pro- gramming distribution, broadcast radio and television, direct broadcast sat- ellite service policy, and associated
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Federal Communications Commission § 0.61
matters. The Bureau will, among other things:
(a) Process applications for author- ization, assignment, transfer and re- newal of media services, including AM, FM, TV, the cable TV relay service, and related services.
(b) Conduct rulemaking proceedings concerning the legal, engineering, and economic aspects of media service.
(c) Conduct comprehensive studies and analyses concerning the legal, en- gineering, and economic aspects of electronic media services.
(d) Administer and enforce rules and policies regarding equal employment opportunity.
(e) Administer and enforce rules and policies regarding political program- ming and related matters.
(f) Administer and enforce rules and policies regarding:
(1) Radio and television broadcast in- dustry services;
(2) Cable television systems, opera- tors, and services, including those re- lating to rates, technical standards, customer service, ownership, competi- tion to cable systems, broadcast sta- tion signal retransmission and car- riage, program access, wiring equip- ment, channel leasing, and federal- state/local regulatory relationships. This includes: acting, after Commis- sion assumption of jurisdiction to regu- late cable television rates for basic service and associated equipment, on cable operator requests for approval of existing or increased rates; reviewing appeals of local franchising authori- ties’ rate making decisions involving rates for the basic service tier and as- sociated equipment, except when such appeals raise novel or unusual issues; evaluating basic rate regulation cer- tification requests filed by cable sys- tem franchising authorities; periodi- cally reviewing and, when appropriate, revising standard forms used in admin- istering: the certification process for local franchising authorities wishing to regulate rates, and the substantive rate regulation standards prescribed by the Commission;
(3) Open video systems; (4) Preemption of restrictions on de-
vices designed for over-the-air recep- tion of television broadcast signals, multichannel multipoint distribution
service, and direct broadcast satellite services;
(5) The commercial availability of navigational devices;
(6) The accessibility of video pro- gramming to persons with disabilities;
(7) Program access and carriage; (8) The Satellite Home Viewer Im-
provement Act; and (9) Post-licensing for satellite con-
sumer broadcast services (DBS, DTH and DARS).
NOTE TO PARAGRAPH (f): The Media Bu- reau’s enforcement authority does not in- clude enforcement in those areas assigned to the Enforcement Bureau. See 47 CFR 0.111.
(g) Conduct rulemaking and policy proceedings regarding pole attach- ments.
(h) Process and act on all applica- tions for authorization, petitions for special relief, petitions to deny, waiver requests, requests for certification, ob- jections, complaints, and requests for declaratory rulings and stays regarding the areas listed.
(i) Assist the Consumer and Govern- mental Affairs Bureau on issues involv- ing informal consumer complaints and other general inquiries by consumers.
(j) Exercise authority to issue non- hearing related subpoenas for the at- tendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, schedules of charges, contracts, agreements, and any other records deemed relevant to the investigation of matters within the jurisdiction of the Media Bureau. Be- fore issuing a subpoena, the Media Bu- reau shall obtain the approval of the Office of General Counsel.
(k) Carry out the functions of the Commission under the Communica- tions Act of 1934, as amended, except as reserved to the Commission under § 0.283.
(l) To coordinate with the Public Safety and Homeland Security Bureau on all matters affecting public safety, homeland security, national security, emergency management, disaster man- agement, and related issues.
[67 FR 13217, Mar. 21, 2002, as amended at 71 FR 69034, Nov. 29, 2006]
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47 CFR Ch. I (10–1–10 Edition)§ 0.81
OFFICE OF WORKPLACE DIVERSITY
§ 0.81 Functions of the Office.
(a) The Office of Workplace Diversity (OWD), as a staff office to the Commis- sion, shall develop, coordinate, evalu- ate, and recommend to the Commission policies, programs, and practices that foster a diverse workforce and promote and ensure equal opportunity for all employees and applicants for employ- ment. A principal function of the Office is to lead, advise, and assist the Com- mission, including all of its component Bureau/Office managers, supervisors, and staff, at all levels, on ways to pro- mote inclusion and full participation of all employees in pursuit of the Com- mission’s mission. In accordance with this function, the Office shall:
(1) Conduct independent analyses of the Commission’s policies and prac- tices to ensure that those policies and practices foster diversity in the work- place and ensure equal opportunity and equal treatment for employees and ap- plicants; and
(2) Advise the Commission, Bureaus, and Offices of their responsibilities under Title VII of the Civil Rights Act of 1964, as amended; Section 501 of the Rehabilitation Act of 1973, as amended; Age Discrimination in Employment Act of 1967, as amended; Executive Order 11478; and all other statutes, Ex- ecutive Orders, and regulatory provi- sions relating to workplace diversity, equal employment opportunity, non- discrimination, and civil rights.
(b) The Office has the following du- ties and responsibilities:
(1) Through its Director, serves as the principal advisor to the Chairman and Commission officials on all aspects of workplace diversity, affirmative re- cruitment, equal employment oppor- tunity, non-discrimination, and civil rights;
(2) Provides leadership and guidance to create a work environment that val- ues and encourages diversity in the workplace;
(3) Is responsible for developing, im- plementing, and evaluating programs and policies to foster a workplace whose diversity reflects the diverse makeup of the Nation, enhances the mission of the Commission, and dem-
onstrates the value and effectiveness of a diverse workforce;
(4) Is responsible for developing, im- plementing, and evaluating programs and policies that promote under- standing among members of the Com- mission’s workforce of their differences and the value of those differences and provide a channel for communication among diverse members of the work- force at all levels;
(5) Develops, implements, and evalu- ates programs and policies to ensure that all members of the Commission’s workforce and candidates for employ- ment have equal access to opportuni- ties for employment, career growth, training, and development and are pro- tected from discrimination and harass- ment;
(6) Develops and recommends Com- mission-wide workforce diversity goals and reports on achievements;
(7) Is responsible for developing, im- plementing, and evaluating programs and policies to enable all Bureaus and Offices to manage a diverse workforce effectively and in compliance with all equal employment opportunity and civil rights requirements;
(8) Works closely with the Associate Managing Director—Human Resources Management to ensure compliance with Federal and Commission recruit- ment and staffing requirements;
(9) Manages the Commission’s equal employment opportunity compliance program. Responsibilities in this area include processing complaints alleging discrimination, recommending to the Chairman final decisions on EEO com- plaints within the Commission, and providing counseling services to em- ployees and applicants on EEO mat- ters;
(10) Develops and administers the Commission’s program of accessibility and accommodation for disabled per- sons in accordance with applicable reg- ulations;
(11) Represents the Commission at meeting with other public and private groups and organizations on matters counseling workplace diversity and equal employment opportunity and workplace diversity issues;
(12) Maintains liaison with and solic- its views of organizations within and
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Federal Communications Commission § 0.91
outside the Commission on matters re- lating to equal opportunity and work- place diversity.
[61 FR 2727, Jan. 29, 1996]
WIRELINE COMPETITION BUREAU
§ 0.91 Functions of the Bureau.
The Wireline Competition Bureau ad- vises and makes recommendations to the Commission, or acts for the Com- mission under delegated authority, in all matters pertaining to the regula- tion and licensing of communications common carriers and ancillary oper- ations (other than matters pertaining exclusively to the regulation and li- censing of wireless telecommuni- cations services and facilities). The Bu- reau will, among other things:
(a) Develop and recommend policy goals, objectives, programs and plans for the Commission in rulemaking and adjudicatory matters concerning wireline telecommunications, drawing on relevant economic, technological, legislative, regulatory and judicial in- formation and developments. Overall objectives include meeting the present and future wireline telecommuni- cations needs of the Nation; fostering economic growth; ensuring choice, op- portunity, and fairness in the develop- ment of wireline telecommunications; promoting economically efficient in- vestment in wireline telecommuni- cations infrastructure; promoting the development and widespread avail- ability of wireline telecommunications services; and developing deregulatory initiatives where appropriate.
(b) Act on requests for interpretation or waiver of rules.
(c) Administer the provisions of the Communications Act requiring that the charges, practices, classifications, and regulations of communications common carriers providing interstate and foreign services are just and rea- sonable.
(d) Act on applications for service and facility authorizations, including applications from Bell operating com- panies for authority to provide in-re- gion interLATA services and applica- tions from wireline carriers for trans- fers of licenses and discontinuance of service.
(e) Develop and administer rules and policies relating to incumbent local ex- change carrier accounting.
(f) Develop and administer record- keeping and reporting requirements for telecommunications carriers.
(g) Provide federal staff support for the Federal-State Joint Board on Uni- versal Service and the Federal-State Joint Board on Jurisdictional Separa- tions.
(h) Review the deployment of ad- vanced telecommunications capability to ensure that such deployment is rea- sonable and timely, consistent with section 706 of the Act, and, where ap- propriate, recommend action to en- courage such deployment.
(i) Provide economic, financial, and technical analyses of telecommuni- cations markets and carrier perform- ance.
(j) Act on petitions for de novo review of decisions of the Administrative Council for Terminal Attachments re- garding technical criteria pursuant to § 68.614.
(k) Interact with the public, local, state, and other governmental agencies and industry groups on wireline tele- communications regulation and related matters. Assist the Consumer and Gov- ernmental Affairs Bureau on issues in- volving informal consumer complaints and other general inquiries by con- sumers.
(l) Review and coordinate orders, pro- grams and actions initiated by other Bureaus and Offices in matters affect- ing wireline telecommunications to en- sure consistency with overall Commis- sion policy.
(m) Carry out the functions of the Commission under the Communica- tions Act of 1934, as amended, except as reserved to the Commission under § 0.331.
(n) Address audit findings relating to the schools and libraries support mech- anism, subject to the overall authority of the Managing Director as the Com- mission’s audit follow-up official.
(o) Coordinate with the Public Safety and Homeland Security Bureau on all
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47 CFR Ch. I (10–1–10 Edition)§ 0.101
matters affecting public safety, home- land security, national security, emer- gency management, disaster manage- ment, and related issues.
[67 FR 13218, Mar. 21, 2002, as amended at 68 FR 13850, Mar. 21, 2003; 69 FR 55109, Sept. 13, 2004; 71 FR 69034, Nov. 29, 2006]
OFFICE OF COMMUNICATIONS BUSINESS OPPORTUNITIES
§ 0.101 Functions of the office. (a) The Office of Communications
Business Opportunities (OCBO), as a staff office to the Commission, devel- ops, coordinates, evaluates, and rec- ommends to the Commission, policies, programs, and practices that promote participation by small entities, women, and minorities in the communications industry. A principal function of the Office is to lead, advise, and assist the Commission, including all of its com- ponent Bureau/Office managers, super- visors, and staff, at all levels, on ways to ensure that the competitive con- cerns of small entities, women, and mi- norities, are fully considered by the agency in notice and comment rulemakings. In accordance with this function, the Office:
(1) Conducts independent analyses of the Commission’s policies and prac- tices to ensure that those policies and practices fully consider the interests of small entities, women, and minorities.
(2) Advises the Commission, Bureaus, and Offices of their responsibilities under the Congressional Review Act provisions regarding small businesses; the Report to Congress regarding Mar- ket Entry Barriers for Small Tele- communications Businesses (47 U.S.C. 257); and the Telecommunications De- velopment Fund (47 U.S.C. 614).
(b) The Office has the following du- ties and responsibilities:
(1) Through its director, serves as the principal small business policy advisor to the Commission;
(2) Develops, implements, and evalu- ates programs and policies that pro- mote participation by small entities, women and minorities in the commu- nications industry;
(3) Manages the Regulatory Flexi- bility Analysis process pursuant to the Regulatory Flexibility Act and the Small Business Regulatory Enforce-
ment Fairness Act to ensure that small business interests are fully considered in agency actions;
(4) Develops and recommends Com- mission-wide goals and objectives for addressing the concerns of small enti- ties, women, and minorities and re- ports of achievement;
(5) Acts as the principal channel for disseminating information regarding the Commission’s activities and pro- grams affecting small entities, women, and minorities;
(6) Develops, recommends, coordi- nates, and administers objectives, plans and programs to encourage par- ticipation by small entities, women, and minorities in the decision-making process;
(7) Promotes increased awareness within the Commission of the impact of policies on small entities, women, and minorities;
(8) Acts as the Commission’s liaison to other federal agencies on matters re- lating to small business.
[69 FR 7376, Feb. 17, 2003]
ENFORCEMENT BUREAU
§ 0.111 Functions of the Bureau. (a) Serve as the primary Commission
entity responsible for enforcement of the Communications Act and other communications statutes, the Commis- sion’s rules, Commission orders and Commission authorizations, other than matters that are addressed in the con- text of a pending application for a li- cense or other authorization or in the context of administration, including post-grant administration, of a licens- ing or other authorization or registra- tion program.
(1) Resolve complaints, including complaints filed under section 208 of the Communications Act, regarding acts or omissions of common carriers (wireline, wireless and international).
NOTE TO PARAGRAPH (a)(1): The Consumer and Governmental Affairs Bureau has pri- mary responsibility for informally resolving individual informal complaints from con- sumers against common carriers (wireline, wireless and international) and against other wireless licensees, and informal consumer complaints involving access to telecommuni- cations services and equipment for persons with disabilities. The International Bureau
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Federal Communications Commission § 0.111
has primary responsibility for complaints re- garding international settlements rules and policies.
(2) Resolve complaints regarding acts or omissions of non-common carriers subject to the Commission’s jurisdic- tion under Title II of the Communica- tions Act and related provisions, in- cluding complaints against aggregators under section 226 of the Communica- tions Act and against entities subject to the requirements of section 227 of the Communications Act.
NOTE TO PARAGRAPH (a)(2): The Consumer and Governmental Affairs Bureau has pri- mary responsibility for informally resolving individual informal complaints from con- sumers against non-common carriers subject to the Commission’s jurisdiction under Title II of the Communications Act and related provisions.
(3) Resolve formal complaints regard- ing accessibility to communications services and equipment for persons with disabilities, including complaints filed pursuant to sections 225 and 255 of the Communications Act.
(4) Resolve complaints regarding ra- diofrequency interference and com- plaints regarding radiofrequency equip- ment and devices, including complaints of violations of sections 302 and 333 of the Communications Act.
NOTE TO PARAGRAPH (a)(4): The Office of Engineering and Technology has shared re- sponsibility for radiofrequency equipment and device complaints.
(5) Resolve complaints regarding compliance with the Commission’s Emergency Alert System rules.
(6) Resolve complaints regarding the lighting and marking of radio trans- mitting towers under section 303(q) of the Communications Act.
NOTE TO PARAGRAPH (a)(6): The Wireless Telecommunications Bureau has responsi- bility for administration of the tower reg- istration program.
(7) Resolve complaints regarding compliance with statutory and regu- latory provisions regarding indecent communications subject to the Com- mission’s jurisdiction.
(8) Resolve complaints regarding the broadcast and cable television chil- dren’s television programming com- mercial limits contained in section 102 of the Children’s Television Act.
NOTE TO PARAGRAPH (a)(8): The Media Bu- reau has responsibility for enforcement of these limits in the broadcast television re- newal context.
(9) Resolve complaints regarding un- authorized construction and operation of communications facilities, including complaints of violations of section 301 of the Communications Act.
(10) Resolve complaints regarding false distress signals under section 325(a) of the Communications Act.
(11) Resolve other complaints against Title III licensees and permittees.
NOTE TO PARAGRAPH (a)(11): The Media Bu- reau has primary responsibility for com- plaints regarding children’s television pro- gramming requirements, and for political and related programming matters and equal employment opportunity matters involving broadcasters, cable operators and other mul- tichannel video programming distributors. The relevant licensing Bureau has primary responsibility for complaints involving tower siting and the Commission’s environ- mental rules. The Media Bureau has primary responsibility for complaints regarding com- pliance with conditions imposed on transfers of control and assignments of licenses of Cable Antenna Relay Service authorizations.
(12) Resolve complaints regarding pole attachments filed under section 224 of the Communications Act.
(13) Resolve complaints regarding multichannel video and cable tele- vision service under part 76 of the Com- mission’s rules.
NOTE TO PARAGRAPH (a)(13): The Media Bu- reau has primary responsibility for com- plaints regarding the following: subpart A (general), with the exception of § 76.11 of this chapter; subpart B (Registration State- ments); subpart C (Federal-State/Local Rela- tionships [Reserved]; subpart D (carriage of television broadcast signals); subpart E (equal employment opportunity require- ments); subpart F (nonduplication protection and syndicated exclusivity); subpart G, §§ 76.205, 76.206 and 76.209 of this chapter (po- litical broadcasting); subpart I (Forms and Reports); subpart J (ownership); subpart L (cable television access); subpart N, § 76.944 of this chapter (basic cable rate appeals), and §§ 76.970, 76.971 and 76.977 of this chapter (cable leased access rates); subpart O (com- petitive access to cable programming); sub- part P (competitive availability of naviga- tion devices); subpart Q (regulation of car- riage agreements); subpart S (Open Video Systems); and subparts T, U and V to the ex- tent related to the matters listed in this note.
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47 CFR Ch. I (10–1–10 Edition)§ 0.111
(14) Resolve universal service suspen- sion and debarment proceedings pursu- ant to § 54.521 of this chapter.
(15) Resolve complaints regarding other matters assigned to it by the Commission, matters that do not fall within the responsibility of another Bureau or Office or matters that are determined by mutual agreement with another Bureau or Office to be appro- priately handled by the Enforcement Bureau.
(16) Identify and analyze complaint information, conduct investigations, conduct external audits and collect in- formation, including pursuant to sec- tions 218, 220, 308(b), 403 and 409(e) through (k) of the Communications Act, in connection with complaints, on its own initiative or upon request of another Bureau or Office.
(17) Issue or draft orders taking or recommending appropriate action in response to complaints or investiga- tions, including, but not limited to, ad- monishments, damage awards where authorized by law or other affirmative relief, notices of violation, notices of apparent liability and related orders, notices of opportunity for hearing re- garding a potential forfeiture, hearing designation orders, orders designating licenses or other authorizations for a revocation hearing and consent de- crees. Issue or draft appropriate orders after a hearing has been terminated by an Administrative Law Judge on the basis of waiver. Issue or draft appro- priate interlocutory orders and take or recommend appropriate action in the exercise of its responsibilities.
(18) Encourage cooperative compli- ance efforts.
(19) Mediate and settle disputes. (20) Provide information regarding
pending complaints, compliance with relevant requirements and the com- plaint process, where appropriate and to the extent the information is not available from the Consumer and Gov- ernmental Affairs Bureau or other Bu- reaus and Offices.
(21) Exercise responsibility for rule- making proceedings regarding general enforcement policies and procedures.
(22) Advise the Commission or re- sponsible Bureau or Office regarding the enforcement implications of exist- ing and proposed rules.
(23) Serve as the primary point of contact for coordinating enforcement matters, including market and con- sumer enforcement matters, with other federal, state and local government agencies, as well as with foreign gov- ernments after appropriate consulta- tion, and provide assistance to such en- tities. Refer matters to such entities, as well as to private sector entities, as appropriate.
(b) Serve as trial staff in formal hear- ings conducted pursuant to 5 U.S.C. 556 regarding applications, revocation, for- feitures and other matters designated for hearing.
(c) In coordination with the Inter- national Bureau, participate in inter- national conferences dealing with mon- itoring and measurement; serve as the point of contact for the U.S. Govern- ment in matters of international moni- toring, fixed and mobile direction-find- ing and interference resolution; and oversee coordination of non-routine communications and materials be- tween the Commission and inter- national or regional public organiza- tions or foreign administrations.
(d) In conjunction with the Office of Engineering and Technology, work with technical standards bodies.
(e) Oversee the Commission’s privatized ship radio safety inspection program.
(f) Provide field support for, and field representation of, the Bureau, other Bureaus and Offices and the Commis- sion. Coordinate with other Bureaus and Offices as appropriate.
(g) Handle congressional and other correspondence relating to or request- ing specific enforcement actions, spe- cific complaints or other specific mat- ters within the responsibility of the Bureau, to the extent not otherwise handled by the Consumer and Govern- mental Affairs Bureau, the Office of General Counsel (impermissible ex parte presentations) or another Bureau or Office;
(h) Have authority to issue non-hear- ing related subpoenas for the attend- ance and testimony of witnesses and the production of books, papers, cor- respondence, memoranda, schedules of charges, contracts, agreements, and any other records deemed relevant to the investigation of matters within the
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Federal Communications Commission § 0.131
responsibility of the Bureau. Before issuing a subpoena, the Enforcement Bureau shall obtain the approval of the Office of General Counsel.
(i) Perform such other functions as may be assigned or referred to it by the Commission.
[64 FR 60716, Nov. 8, 1999, as amended at 67 FR 13218, Mar. 21, 2002; 68 FR 36942, June 20, 2003; 69 FR 30233, May 27, 2004; 71 FR 69034, Nov. 29, 2006]
§ 0.121 Location of field installations.
(a) Field offices are located through- out the United States. For the address and phone number of the closest office contact the Enforcement Bureau or see the U.S. Government Manual.
(b) Protected field offices are located at the following geographical coordi- nates (coordinates are referenced to North American Datum 1983 (NAD83)):
Allegan, Michigan, 42°36′20.1″ N. Lati- tude, 85°57′20.1″ W. Longitude
Belfast, Maine, 44°26′42.3″ N. Latitude, 69°04′56.1″ W. Longitude
Canandaigua, New York, 42°54′48.2″ N. Latitude, 77°15′57.9″ W. Longitude
Douglas, Arizona, 31°30′02.3″ N. Lati- tude, 109°39′14.3″ W. Longitude
Ferndale, Washington, 48°57′20.4″ N. Latitude, 122°33′17.6″ W. Longitude
Grand Island, Nebraska, 40°55′21.0″ N. Latitude, 98°25′43.2″ W. Longitude
Kenai, Alaska, 60°43′26.0″ N. Latitude, 151°20′15.0″ W. Longitude
Kingsville, Texas, 27°26′30.1″ N. Lati- tude, 97°53′01.0″ W. Longitude
Laurel, Maryland, 39°09′54.4″ N. Lati- tude, 76°49′15.9″ W. Longitude
Livermore, California, 37°43′29.7″ N. Latitude, 121°45′15.8″ W. Longitude
Powder Springs, Georgia, 33°51′44.4″ N. Latitude, 84°43′25.8″ W. Longitude
Santa Isabel, Puerto Rico, 18°00′18.9″ N. Latitude, 66°22′30.6″ W. Longitude
Vero Beach, Florida, 27°36′22.1″ N. Lati- tude, 80°38′05.2″ W. Longitude
Waipahu, Hawaii, 21°22′33.6″ N. Lati- tude, 157°59′44.1″ W. Longitude
[53 FR 29054, Aug. 2, 1988, as amended at 61 FR 8477, Mar. 5, 1996; 63 FR 68918, Dec. 14, 1998; 64 FR 60718, Nov. 8, 1999; 67 FR 13219, Mar. 21, 2002; 69 FR 58097, Sept. 29, 2004]
WIRELESS TELECOMMUNICATIONS BUREAU
§ 0.131 Functions of the Bureau. The Wireless Telecommunications
Bureau develops, recommends and ad- ministers the programs and policies for the regulation of the terms and condi- tions under which communications en- tities offer domestic wireless tele- communications services and of ancil- lary operations related to the provision of such services (satellite communica- tions excluded). These functions in- clude all wireless telecommunications service providers’ and licensees’ activi- ties. The Bureau also performs the fol- lowing specific functions:
(a) Advises and makes recommenda- tions to the Commission, or acts for the Commission under delegated au- thority, in all matters pertaining to the licensing and regulation of wireless telecommunications, including ancil- lary operations related to the provision or use of such services; and any mat- ters concerning wireless carriers that also affect wireline carriers in coopera- tion with the Wireline Competition Bu- reau. These activities include: policy development and coordination; con- ducting rulemaking and adjudicatory proceedings, including licensing and complaint proceedings for matters not within the responsibility of the En- forcement Bureau; acting on waivers of rules; acting on applications for service and facility authorizations; compliance and enforcement activities for matters not within the responsibility of the En- forcement Bureau; determining re- source impacts of existing, planned or recommended Commission activities concerning wireless telecommuni- cations, and developing and recom- mending resource deployment prior- ities.
(b) Develops and recommends policy goals, objectives, programs and plans for the Commission on matters con- cerning wireless telecommunications, drawing upon relevant economic, tech- nological, legislative, regulatory and judicial information and developments. Such matters include meeting the present and future wireless tele- communications needs of the Nation; fostering economic growth by pro- moting efficiency and innovation in
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47 CFR Ch. I (10–1–10 Edition)§ 0.131
the allocation, licensing and use of the electromagnetic spectrum; ensuring choice, opportunity and fairness in the development of wireless telecommuni- cations services and markets; pro- moting economically efficient invest- ment in wireless telecommunications infrastructure and the integration of wireless communications networks into the public telecommunications network; enabling access to national communications services; promoting the development and widespread avail- ability of wireless telecommunications services. Reviews and coordinates or- ders, programs and actions initiated by other Bureaus and Offices in matters affecting wireless telecommunications to ensure consistency of overall Com- mission policy.
(c) Serves as the Commission’s prin- cipal policy and administrative staff resource with regard to spectrum auc- tions. Administers all Commission spectrum auctions. Develops, rec- ommends and administers policies, pro- grams and rules concerning auctions of spectrum for wireless telecommuni- cations. Advises the Commission on policy, engineering and technical mat- ters relating to auctions of spectrum used for other purposes. Administers procurement of auction-related serv- ices from outside contractors. Provides policy, administrative and technical assistance to other Bureaus and Offices on auction issues.
(d) Regulates the charges, practices, classifications, terms and conditions for, and facilities used to provide, wire- less telecommunications services. De- velops and recommends consistent, in- tegrated policies, programs and rules for the regulation of commercial mo- bile radio services and private mobile radio services.
(e) Develops and recommends policy, rules, standards, procedures and forms for the authorization and regulation of wireless telecommunications facilities and services, including all facility au- thorization applications involving do- mestic terrestrial transmission facili- ties. Coordinates with and assists the International Bureau regarding fre- quency assignment, coordination and interference matters.
(f) Develops and recommends re- sponses to legislative, regulatory or ju-
dicial inquiries and proposals con- cerning or affecting wireless tele- communications.
(g) Develops and recommends policies regarding matters affecting the col- laboration and coordination of rela- tions among Federal agencies, and be- tween the Federal government and the states, concerning wireless tele- communications issues. Maintains liai- son with Federal and state government bodies concerning such issues.
(h) Develops and recommends poli- cies, programs and rules to ensure in- terference-free operation of wireless telecommunications equipment and networks. Coordinates with and assists other Bureaus and Offices, as appro- priate, concerning spectrum manage- ment, planning, and interference mat- ters and issues, and in compliance and enforcement activities. Studies tech- nical requirements for equipment for wireless telecommunications services in accordance with standards estab- lished by the Chief, Office of Engineer- ing and Technology.
(i) Advises and assists consumers, businesses and other government agen- cies on wireless telecommunications issues and matters related thereto. Also assists the Consumer and Govern- mental Affairs Bureau with informal consumer complaints and other general inquiries by consumers.
(j) Administers the Commission’s commercial radio operator program (part 13 of this chapter) and the Com- mission’s program for registration, construction, marking and lighting of antenna structures (part 17 of this chapter).
(k) Coordinates with and assists the International Bureau with respect to treaty activities and international con- ferences concerning wireless tele- communications.
(l) Exercises such authority as may be assigned, delegated or referred to it by the Commission.
(m) Certifies frequency coordinators; considers petitions seeking review of coordinator actions; and engages in oversight of coordinator actions and practices.
(n) Administers the Commission’s amateur radio programs (part 97 of this chapter) and the issuing of maritime mobile service identities (MMSIs).
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Federal Communications Commission § 0.141
(o) Exercises authority to issue non- hearing related subpoenas for the at- tendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, schedules of charges, contracts, agreements, and any other records deemed relevant to the investigation of wireless tele- communications operators for any al- leged violation or violations of the Communications Act of 1934, as amend- ed, or the Commission’s rules and or- ders. Before issuing a subpoena, the Wireless Telecommunications Bureau shall obtain the approval of the Office of General Counsel.
(p) Certifies, in the name of the Com- mission, volunteer entities to coordi- nate maintain and disseminate a com- mon data base of amateur station spe- cial event call signs, and issues Public Notices detailing the procedures of amateur service call sign systems.
(q) Coordinates with the Public Safe- ty and Homeland Security Bureau on all matters affecting public safety, homeland security, national security, emergency management, disaster man- agement, and related issues.
[60 FR 35505, July 10, 1995, as amended at 61 FR 4361, Feb. 6, 1996; 62 FR 17567, Apr. 10, 1997; 64 FR 60718, Nov. 8, 1999; 65 FR 375, Jan. 5, 2000; 67 FR 13219, Mar. 21, 2002; 69 FR 24997, May 5, 2004; 71 FR 69035, Nov. 29, 2006]
CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU
§ 0.141 Functions of the Bureau. The Consumer and Governmental Af-
fairs Bureau develops and administers the Commission’s consumer and gov- ernmental affairs policies and initia- tives to enhance the public’s under- standing of the Commission’s work and to facilitate the Agency’s relationships with other governmental agencies and organizations. The Bureau is respon- sible for rulemaking proceedings re- garding general consumer education policies and procedures and serves as the primary Commission entity respon- sible for communicating with the gen- eral public regarding Commission poli- cies, programs, and activities in order to facilitate public participation in the Commission’s decision-making proc- esses. The Bureau also performs the following functions:
(a) Advises and makes recommenda- tions to the Commission, or acts for the Commission under delegated au- thority, in matters pertaining to con- sumers and governmental affairs. This includes policy development and co- ordination as well as adjudication and rulemaking.
(b) Collaborates with, and advises and assists, the public, state and local governments, and other governmental agencies and industry groups on con- sumer matters.
(c) Advises the Commission and other Bureaus and Offices of consumer and governmental affairs-related areas of concern or interest; initiates, reviews, and coordinates orders, programs and actions, in conjunction with other Bu- reaus and Offices, in matters regarding consumer education policies and proce- dures, and any other related issues af- fecting consumer policy; represents the Commission on consumer and govern- mental-related committees, working groups, task forces and conferences within and outside the Commission; and provides expert advice and assist- ance to Bureaus and Offices and con- sumers regarding compliance with ap- plicable disability and accessibility re- quirements, rules, and regulations.
(d) Collects and analyzes information from industry, other Bureaus and Of- fices, and the media, as well as infor- mation received in the Bureau from in- formal consumer inquiries and com- plaints, rulemakings, and consumer fo- rums; identifies trends that affect con- sumers; in consultation with the Office of the Managing Director, provides ob- jectives and evaluation methods for the public information portion of the Com- mission’s Government Performance and Results Act submissions and other Commission-wide strategic planning ef- forts.
(e) Researches, develops, and distrib- utes materials to inform consumers about the Commission’s rules, pro- posals, and events, and to promote con- sumer participation in Commission rulemakings and activities; maintains the Commission’s Consumer Informa- tion Directory; develops a library of commonly requested materials on issues of interest to all consumers. En- sures that alternative translations of Commission materials are available to
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47 CFR Ch. I (10–1–10 Edition)§ 0.151
Commission employees, Bureaus, Of- fices, and members of the public.
(f) Advises and makes recommenda- tions to the Commission, or acts for the Commission under delegated au- thority, in matters pertaining to per- sons with disabilities. Provides expert advice and assistance, as required, to other Bureaus and Offices, consumers, industry, and others on issues relevant to persons with disabilities. Initiates rulemakings, where appropriate; re- views relevant agenda items and other documents and coordinates with Bu- reaus and Offices to develop rec- ommendations and propose policies to ensure that communications are acces- sible to persons with disabilities, in conformance with existing disability laws and policies, and that they sup- port the Commission’s goal of increas- ing accessibility of communications services and technologies for persons with disabilities.
(g) Plans, develops, and conducts con- sumer outreach and education initia- tives to educate the public about im- portant Commission regulatory pro- grams. In coordination with other Bu- reaus and Offices, establishes liaison(s) for information sharing purposes to en- sure coordination on all consumer out- reach projects. Ensures that alter- native translations of Commission ma- terials are available to Commission employees, Bureaus, Offices and mem- bers of the public.
(h) Serves as the official FCC records custodian for designated records, in- cluding intake processing, organization and file maintenance, reference serv- ices, and retirement and retrieval of records; manages the Electronic Com- ment Filing System and certifies records for adjudicatory and court pro- ceedings. Maintains manual and com- puterized files that provide for the pub- lic inspection of public record mate- rials concerning Broadcast Ownership, AM/FM/TV, TV Translators, FM Trans- lators, Cable TV, Wireless, Auction, Common Carrier Tariff matters, Inter- national space station files, earth sta- tion files, DBS files, and other mis- cellaneous international files. Also maintains for public inspection Time Brokerage and Affiliation Agreements, court citation files, and legislative his- tories concerning telecommunications
dockets. Provides the public and Com- mission staff prompt access to manual and computerized records and filing systems.
(i) Provides informal mediation and resolution of individual informal con- sumer inquiries and complaints con- sistent with Commission regulations. Resolves certain classes of informal complaints, as specified by the Com- mission, through findings of fact and issuance of orders. Receives, reviews, and analyzes responses to informal complaints; maintains manual and computerized files that permit the pub- lic inspection of informal consumer complaints; mediates and attempts to settle unresolved disputes in informal complaints as appropriate; and coordi- nates with other Bureaus and Offices to ensure that consumers are provided with accurate, up-to-date information. Develops and fosters partnerships with state regulatory entities to promote the sharing of information pertaining to informal complaint files maintained by the Bureau.
(j) Provides leadership to other Bu- reaus and Offices for dissemination of consumer information via the Internet.
(k) In coordination with other Bu- reaus and Offices, handles Congres- sional and other correspondence re- lated to specific informal consumer complaints, or other specific matters within the responsibility of the Bu- reau, to the extent not otherwise han- dled by the Office of General Counsel or other Bureaus or Offices. Responds to and/or coordinates due diligence and other requests for information per- taining to informal inquiries and com- plaints under the responsibility of the Bureau with other Bureaus and Offices.
[67 FR 13219, Mar. 21, 2002]
OFFICE OF ADMINISTRATIVE LAW JUDGES
§ 0.151 Functions of the Office. The Office of Administrative Law
Judges consists of a Chief Administra- tive Law Judge, an Assistant Chief Ad- ministrative Law Judge, and as many other Administrative Law Judges qualified and appointed pursuant to the requirements of section 11 of the Ad- ministrative Procedure Act as the Commission may find necessary. It is responsible for hearing and conducting
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Federal Communications Commission § 0.185
all adjudicatory cases designated for any evidentiary adjudicatory hearing other than those designated to be heard by the Commission en banc, those designated to be heard by one or more members of the Commission, and those involving the authorization of service in the Instructional Television Fixed Service. The Office of Adminis- trative Law Judges is also responsible for conducting such other hearings as the Commission may assign.
[61 FR 10689, Mar. 15, 1996]
HOMELAND SECURITY, DEFENSE AND EMERGENCY PREPAREDNESS FUNCTIONS
§ 0.181 The Defense Commissioner. The Defense Commissioner is des-
ignated by the Commission. The De- fense Commissioner directs the home- land security, national security and emergency preparedness, and defense activities of the Commission and has the following duties and responsibil- ities:
(a) To keep the Commission informed as to significant developments in the field of homeland security, emergency preparedness, defense, and any related activities that involve formulation or revision of Commission policy in any area of responsibility of the Commis- sion.
(b) To represent the Commission in public safety, homeland security, na- tional security, emergency prepared- ness, disaster management, defense and related matters requiring conferences or communications with other govern- mental officers, departments, or agen- cies.
(c) To act as the Homeland Security and Defense Coordinator in representa- tions with other agencies with respect to planning for the continuity of the essential functions of the Commission under emergency conditions.
(d) To serve as a member of the Joint Telecommunications Resources Board (JTRB).
(e) To serve as the principal point of contact for the Commission on all mat- ters pertaining to the Department of Homeland Security.
(f) To take such measures as will as- sure continuity of the Commission’s functions under any foreseeable cir- cumstances with a minimum of inter-
ruption. In the event of an emergency, the Defense Commissioner, in consulta- tion with the Chief, Public Safety and Homeland Security Bureau, will decide whether to activate the Commission’s Continuity of Operations (COOP) plan and/or initiate the Commission’s emer- gency response procedures.
(g) In the event of enemy attack, or the imminent threat thereof, or other disaster resulting in the inability of the Commission to function at its of- fices in Washington, D.C., to assume all of the duties and responsibilities of the Commission and the Chairman, until relieved or augmented by other Com- missioners or members of the staff, as set forth in §§ 0.186 and 0.383.
(h) To approve national emergency plans and develop preparedness pro- grams covering: provision of service by common carriers; broadcasting and cable facilities, satellite and the wire- less radio services; radio frequency as- signment; electromagnetic radiation; investigation and enforcement.
(i) To perform such other duties and assume such other responsibilities re- lated to the Commission’s defense ac- tivities as may be necessary for the continuity of functions and the protec- tion of Commission personnel and prop- erty.
(j) The Commission may designate an Alternate Defense Commissioner who is authorized to perform the functions of the Defense Commissioner if he or she is not available.
(k) To decide, in response to a re- quest by the Public Safety Broadband Licensee whether circumstances war- rant emergency priority access by first responder public safety entities to the Upper 700 MHz D Block license spec- trum.
[29 FR 14664, Oct. 28, 1964, as amended at 41 FR 31209, July 27, 1976; 64 FR 60720, Nov. 8, 1999; 69 FR 32033, May 27, 2004; 71 FR 69035, Nov. 29, 2006; 72 FR 48842, Aug. 24, 2007]
§ 0.185 Responsibilities of the bureaus and staff offices.
The head of each of the bureaus and staff offices, in rendering assistance to the Chief, Public Safety and Homeland Security Bureau in the performance of that person’s duties with respect to homeland security, national security,
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47 CFR Ch. I (10–1–10 Edition)§ 0.186
emergency management and prepared- ness, disaster management, defense, and related activities will have the fol- lowing duties and responsibilities:
(a) To keep the Chief, Public Safety and Homeland Security Bureau in- formed of the investigation, progress, and completion of programs, plans, or activities with respect to homeland se- curity, national security and emer- gency preparedness, and defense in which they are engaged or have been requested to engage.
(b) To render assistance and advice to the Chief, Public Safety and Homeland Security Bureau, on matters which re- late to the functions of their respective bureaus or staff offices.
(c) To render such assistance and ad- vice to other agencies as may be con- sistent with the functions of their re- spective bureaus or staff offices and the Commission’s policy with respect thereto.
(d) To perform such other duties re- lated to the Commission’s homeland security, national security, emergency management and preparedness, dis- aster management, defense, and related activities as may be assigned to them by the Commission.
(e) To serve as Public Safety/Home- land Security Liaison to the Public Safety and Homeland Security Bureau or designate a Deputy Chief of the Bu- reau or Office as such liaison.
[29 FR 14665, Oct. 28, 1964, as amended at 50 FR 27953, July 9, 1985; 59 FR 26971, May 25, 1994; 61 FR 8477, Mar. 5, 1996; 64 FR 60721, Nov. 8, 1999; 69 FR 30234, May 27, 2004; 71 FR 69035, Nov. 29, 2006]
§ 0.186 Emergency Relocation Board. (a) As specified in the Commission’s
Continuity of Operations Plan and con- sistent with the exercise of the War Emergency Powers of the President as set forth in section 706 of the Commu- nications Act of 1934, as amended, if the full Commission or a quorum there- of is unable to act, an Emergency Relo- cation Board will be convened at the Commission’s Headquarters or other relocation site designated to serve as Primary FCC Staff to perform the functions of the Commission. Reloca- tion may be required to accommodate a variety of emergency scenarios. Ex- amples include scenarios in which FCC
headquarters is unavailable or un- inhabitable; or many, if not all, agen- cies must evacuate the immediate Washington, DC, area. The FCC’s Con- tinuity of Operations Plan (COOP) in- cludes the deliberate and pre-planned movement of selected key principals and supporting staff to a relocation fa- cility. As an example, a sudden emer- gency, such as a fire or hazardous ma- terials incident, may require the evac- uation of FCC headquarters with little or no advance notice, but for only a short duration. Alternatively, an emer- gency so severe that FCC headquarters is rendered unusable and likely will be for a period long enough to signifi- cantly impact normal operations, may require COOP implementation. Nothing in this subsection shall be construed to diminish the authority of the Commis- sion or its staff to perform functions of the Commission at the Commission’s headquarters or other relocation site using existing authority provided for elsewhere in this Chapter.
(b) The Board shall comprise such Commissioners as may be present (in- cluding Commissioners available through electronic communications or telephone) and able to act. In the ab- sence of the Chairman, the Commis- sioner present with the longest senior- ity in office will serve as acting Chair- man. If no Commissioner is present and able to act, the person designated as next most senior official in the Com- mission’s Continuity of Operations Plan will head the Board.
[69 FR 30234, May 27, 2004]
PUBLIC SAFETY AND HOMELAND SECURITY BUREAU
§ 0.191 Functions of the Bureau.
The Public Safety and Homeland Se- curity Bureau advises and makes rec- ommendations to the Commission, or acts for the Commission under dele- gated authority, in all matters per- taining to public safety, homeland se- curity, national security, emergency management and preparedness, dis- aster management, and ancillary oper- ations. The Bureau has responsibility for coordinating public safety, home- land security, national security, emer- gency management and preparedness,
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Federal Communications Commission § 0.191
disaster management, and related ac- tivities within the Commission. The Bureau also performs the following functions.
(a) Develops, recommends, and ad- ministers policy goals, objectives, rules, regulations, programs and plans for the Commission to promote effec- tive and reliable communications for public safety, homeland security, na- tional security, emergency manage- ment and preparedness, disaster man- agement and related activities, includ- ing public safety communications (in- cluding 911, enhanced 911, and other emergency number issues), priority emergency communications, alert and warning systems (including the Emer- gency Alert System), continuity of government operations, implementa- tion of Homeland Security Presidential Directives and Orders, disaster man- agement coordination and outreach, communications infrastructure protec- tion, reliability, operability and inter- operability of networks and commu- nications systems, the Communica- tions Assistance for Law Enforcement Act (CALEA), and network security. Recommends policies and procedures for public safety, homeland security, national security, emergency manage- ment and preparedness, and rec- ommends national emergency plans and preparedness programs covering Commission functions during national emergency conditions. Conducts out- reach and coordination activities with, among others, state and local govern- mental agencies, hospitals and other emergency health care providers, and public safety organizations. Rec- ommends national emergency plans, policies, and preparedness programs covering the provision of service by communications service providers, in- cluding telecommunications service providers, information service pro- viders, common carriers, and non-com- mon carriers; broadcasting and cable facilities; satellite and wireless radio services; radio frequency assignment; electro-magnetic radiation; investiga- tion and enforcement.
(b) Under the general direction of the Defense Commissioner, coordinates the public safety, homeland security, na- tional security, emergency manage- ment and preparedness, disaster man-
agement, and related activities of the Commission, including national secu- rity and emergency preparedness and defense mobilization, Continuity of Government (COG) planning, alert and warning systems (including the Emer- gency Alert System), and other func- tions as may be delegated during a na- tional emergency or activation of the President’s war emergency powers as specified in section 706 of the Commu- nications Act. Provides support to the Defense Commissioner, including with respect to his or her participation in the Joint Telecommunications Re- sources Board, and the National Secu- rity Telecommunications Advisory Committee and other public safety and homeland security organizations and committees. Represents the Defense Commissioner with other Government agencies and organizations, the com- munications industry, and Commission licensees on public safety, homeland security, national security, emergency management and preparedness, dis- aster management, and related issues. Keeps the Defense Commissioner in- formed as to significant developments in the fields of public safety, homeland security, national security, emergency management, and disaster manage- ment activities, and related areas.
(c) Develops and administers rules, regulations, and policies for priority emergency communications, including the Telecommunications Service Pri- ority System. Supports the Chiefs of the Wireline Competition, Inter- national and Wireless Telecommuni- cations Bureaus on matters involving assignment of Telecommunications Service Priority System priorities and in administration of that system.
(d) The Chief, Public Safety and Homeland Security Bureau, or that person’s designee, acts as FCC Alter- nate Homeland Security and Defense Coordinator and principal to the Na- tional Communications System, and the Chief, Public Safety and Homeland Security Bureau, or that person’s des- ignee, shall serve as the Commission’s representative on National Commu- nications Systems Committees.
(e) Conducts rulemaking proceedings and acts on requests for interpretation or waiver of rules.
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47 CFR Ch. I (10–1–10 Edition)§ 0.191
(f) Advises and makes recommenda- tions to the Commission, or acts for the Commission under delegated au- thority, in all matters pertaining to the licensing and regulation of public safety, homeland security, national se- curity, emergency management and preparedness, and disaster manage- ment wireless telecommunications, in- cluding ancillary operations related to the provision or use of such services. These activities include: policy devel- opment and coordination; conducting rulemaking and adjudicatory pro- ceedings, including complaint pro- ceedings for matters not within the re- sponsibility of the Enforcement Bu- reau; acting on waivers of rules; acting on applications for service and facility authorizations; compliance and en- forcement activities for matters not within the responsibility of the En- forcement Bureau; determining re- source impacts of existing, planned or recommended Commission activities concerning wireless telecommuni- cations, and developing and recom- mending resource deployment prior- ities. In addition, advises and assists public safety entities on wireless tele- communications issues and matters re- lated thereto. Administers all author- ity previously delegated to the Wire- less Telecommunications Bureau (in- cluding those delegations expressly provided to the Public Safety and Crit- ical Infrastructure Division of the Wireless Telecommunications Bureau) in Improving Public Safety Commu- nications in the 800 MHz Band, WT Docket 02–55.
(g) Conducts studies of public safety, homeland security, national security, emergency management and prepared- ness, disaster management, and related issues. Develops and administers rec- ordkeeping and reporting requirements for communications companies per- taining to these issues. Administers any Commission information collec- tion requirements pertaining to public safety, homeland security, national se- curity, emergency management and preparedness, disaster management, and related issues, including the com- munications disruption reporting re- quirements set forth in part 4 of this chapter and revision of the filing sys- tem and template used for the submis-
sion of those communications disrup- tion reports.
(h) Interacts with the public, local, state, and other governmental agencies and industry groups (including advi- sory committees and public safety or- ganizations and associations) on public safety, homeland security, national se- curity, emergency management, dis- aster management and related issues. As requested, represents the Commis- sion at meetings and conferences. Serves as the point of contact for the U.S. Government in matters of inter- national monitoring, fixed and mobile direction-finding and interference reso- lution; and oversees coordination of non-routine communications and ma- terials between the Commission and international or regional public organi- zations or foreign administrations.
(i) Maintains and operates the Com- mission’s public safety, homeland secu- rity, national security, emergency management and preparedness, and dis- aster management facilities and oper- ations, including the Communications Center, the establishment of any Emer- gency Operations Center (EOC), and any liaison activities with other fed- eral, state, or local government organi- zations.
(j) Reviews and coordinates orders, programs and actions initiated by other Bureaus and Offices in matters affecting public safety, homeland secu- rity, national security, emergency management and preparedness, dis- aster management and related issues to ensure consistency with overall Commission policy. Provides advice to the Commission and other Bureaus and offices regarding the public safety, homeland security, national security, emergency management, and disaster management implications of existing and proposed rules.
(k) Develops and recommends re- sponses to legislative, regulatory or ju- dicial inquiries and proposals con- cerning or affecting public safety, homeland security, national security, emergency management, disaster man- agement and related issues. Responses to judicial inquiries should be devel- oped with and recommended to the Of- fice of General Counsel.
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Federal Communications Commission § 0.201
(l) Develops and maintains the Com- mission’s plans and procedures, includ- ing the oversight, preparation, and training of Commission personnel, for Continuity of Operations (COOP), Con- tinuity of Government functions, and Commission activities and responses to national emergencies and other similar situations.
(m) Acts on emergency requests for Special Temporary Authority during non-business hours when the other Of- fices and Bureaus of the Commission are closed. Such actions shall be co- ordinated with, if possible, and prompt- ly reported to the responsible Bureau or Office.
(n) Maintains liaison with other Bu- reaus and Offices concerning matters affecting public safety, homeland secu- rity, national security, emergency management and preparedness, dis- aster management and related issues.
(o) Is authorized to declare that a temporary state of communications emergency exists pursuant to § 97.401(b) of this chapter and to act on behalf of the Commission with respect to the op- eration of amateur stations during such temporary state of communica- tions emergency.
(p) Performs such other functions and duties as may be assigned or re- ferred to it by the Commission or the Defense Commissioner.
(q) Oversees the Emergency Response Interoperability Center, establishes the intergovernmental advisory commit- tees described under § 0.192(b), and ad- ministers the agency’s responsibilities in connection with such committees.
[71 FR 69035, Nov. 29, 2006, as amended at 73 FR 9463, Feb. 21, 2008; 75 FR 28207, May 20, 2010]
§ 0.192 Emergency Response Inter- operability Center.
(a) The Emergency Response Inter- operability Center acts under the gen- eral direction of the Chief of the Public Safety and Homeland Security Bureau to develop, recommend, and administer policy goals, objectives, rules, regula- tions, programs, and plans for the Com- mission in matters pertaining to the implementation of national interoper- ability standards and the development of technical and operational require- ments and procedures for the 700 MHz
public safety broadband wireless net- work and other public safety commu- nications systems. These requirements and procedures may involve such issues as interoperability, roaming, priority access, gateway functions and inter- faces, interconnectivity of public safe- ty broadband networks, authentication and encryption, and requirements for common public safety broadband appli- cations.
(b) To the extent permitted by appli- cable law, the Chief of the Public Safe- ty and Homeland Security Bureau shall have delegated authority to establish one or more advisory bodies, consistent with the Federal Advisory Committee Act or other applicable law, to advise the Emergency Response Interoper- ability Center in the performance of its responsibilities. Such advisory bodies may include representatives from rel- evant Federal public safety and home- land security entities, representatives from state and local public safety enti- ties, industry representatives, and service providers.
[75 FR 28207, May 20, 2010]
Subpart B—Delegations of Authority
AUTHORITY: Sec. 5, 48 Stat. 1068, as amend- ed; 47 U.S.C. 155.
GENERAL
§ 0.201 General provisions. (a) There are three basic categories
of delegations made by the Commission pursuant to section 5(c) of the Commu- nications Act of 1934, as amended:
(1) Delegations to act in non-hearing matters and proceedings. The great bulk of delegations in this category are made to bureau chiefs and other mem- bers of the Commission’s staff. This category also includes delegations to individual commissioners and to boards or committees of commis- sioners.
(2) Delegations to rule on interlocutory matters in hearing proceedings. Delega- tions in this category are made to the Chief Administrative Law Judge.
NOTE TO PARAGRAPH (a)(2): Interlocutory matters which are not delegated to the Chief Administrative Law Judge are ruled on by
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47 CFR Ch. I (10–1–10 Edition)§ 0.203
the presiding officer by virtue of the author- ity vested in him to control the course and conduct of the hearing. This authority stems from section 7 of the Administrative Proce- dure Act and section 409 of the Communica- tions Act rather than from delegations of au- thority made pursuant to section 5(c) of the Communications Act. (See §§ 0.218 and 0.341.).
(3) Delegations to review an initial deci- sion. Delegations in this category are made to individual commissioners, to panels of commissioners.
(b) Delegations are arranged in this subpart under headings denoting the person, panel, or board to whom au- thority has been delegated, rather than by the categories listed in paragraph (a) of this section.
(c) Procedures pertaining to the fil- ing and disposition of interlocutory pleadings in hearing proceedings are set forth in §§ 1.291 through 1.298 of this chapter. Procedures pertaining to ap- peals from rulings of the presiding offi- cer are set forth in § 1.301. Procedures pertaining to reconsideration of the presiding officer’s rulings are set forth in § 1.303. Procedures pertaining to re- consideration and review of actions taken pursuant to delegated authority are set forth in §§ 1.101, 1.102, 1.104, 1.106, 1.113, 1.115, and 1.117. Procedures pertaining to exceptions to initial deci- sions are set forth in §§ 1.276–1.279.
(d) The Commission, by vote of a ma- jority of the members then holding of- fice, may delegate its functions either by rule or by order, and may at any time amend, modify, or rescind any such rule or order.
(1) Functions of a continuing or re- curring nature are delegated by rule. The rule is published in the FEDERAL REGISTER and is included in this sub- part.
(2) Functions pertaining to a par- ticular matter or proceeding are dele- gated by order. The order is published in the FEDERAL REGISTER and associ- ated with the record of that matter or proceeding, but neither the order nor any reference to the delegation made thereby is included in this subpart.
[28 FR 12402, Nov. 22, 1963, as amended at 50 FR 26567, June 27, 1985; 62 FR 4170, Jan. 29, 1997]
§ 0.203 Authority of person, panel, or board to which functions are dele- gated.
(a) The person, panel, or board to which functions are delegated shall, with respect to such functions, have all the jurisdiction, powers, and authority conferred by law upon the Commission, and shall be subject to the same duties and obligations.
(b) Except as provided in § 1.102 of this chapter, any action taken pursu- ant to delegated authority shall have the same force and effect and shall be made, evidenced, and enforced in the same manner as actions of the Com- mission.
[28 FR 12402, Nov. 22, 1963]
§ 0.204 The exercise of delegated au- thority.
(a) Authority to issue orders and to enter into correspondence. Any official (or group of officials) to whom author- ity is delegated in this subpart is au- thorized to issue orders (including rul- ings, decisions, or other action docu- ments) pursuant to such authority and to enter into general correspondence concerning any matter for which he is responsible under this subpart or sub- part A of this part.
(b) Authority of subordinate officials. Authority delegated to any official to issue orders or to enter into cor- respondence under paragraph (a) of this section may be exercised by that offi- cial or by appropriate subordinate offi- cials acting for him.
(c) Signature. (1) Other orders made by a committee, board or panel iden- tify the body and are signed by the Secretary.
(2) Upon signing an order, the Sec- retary affixes the Commission’s seal.
(3) General correspondence by a com- mittee or board is signed by the com- mittee or board chairman.
(4) All other orders and letters are signed by the official who has given final approval of their contents.
(5) With the exception of license forms requiring the signature of an ap- propriate official of the issuing bureau or office, license forms bear only the seal of the Commission.
(d) Form of orders. Orders may be issued in any appropriate form (e.g., as captioned orders, letters, telegrams)
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Federal Communications Commission § 0.218
and may, if appropriate, be issued oral- ly. Orders issued orally shall, if prac- ticable, be confirmed promptly in writ- ing.
(e) Minutes entries. Except as other- wise provided in this subpart, actions taken as provided in paragraph (d) of this section shall be recorded in writ- ing and filed in the official minutes of the Commission.
[33 FR 8227, June 1, 1968, as amended at 38 FR 18550, July 12, 1973; 62 FR 4170, Jan. 29, 1997]
COMMISSIONERS
§ 0.211 Chairman.
The responsibility for the general ad- ministration of internal affairs of the Commission is delegated to the Chair- man of the Commission. The Chairman will keep the Commission advised con- cerning his actions taken under this delegation of authority. This authority includes:
(a) Actions of routine character as to which the Chairman may take final ac- tion.
(b) Actions of non-routine character which do not involve policy determina- tions. The Chairman may take final ac- tion on these matters but shall specifi- cally advise the Commission on these actions.
(c) Actions of an important character or those which involve policy deter- minations. In these matters the Chair- man will develop proposals for presen- tation to the Commission.
(d) To act within the purview of the Federal Tort Claims Act, as amended, 28 U.S.C. 2672, upon tort claims di- rected against the Commission where the amount of damages does not exceed $5,000.
(e) Authority to act as ‘‘Head of the Agency’’ or ‘‘Agency Head’’ for admin- istrative determinations required by Federal Procurement Regulations and Federal Management Circulars.
(f) Authority to act as ‘‘Head of the Agency’’ or ‘‘Agency Head’’ for all ad- ministrative determinations pursuant to the Debt Collection Improvement Act of 1996, Public Laws 104–134, 110 Stat. 1321, 1358 (1996) (DCIA).
[28 FR 12402, Nov. 22, 1963, as amended at 41 FR 49095, Nov. 8, 1976; 51 FR 23550, June 30, 1986; 69 FR 27847, May 17, 2004]
§ 0.212 Board of Commissioners. (a) Whenever the Chairman or Acting
Chairman of the Commission deter- mines that a quorum of the Commis- sion is not present or able to act, he may convene a Board of Commis- sioners. The Board shall be composed of all Commissioners present and able to act.
(b) The Board of Commissioners is authorized to act upon all matters nor- mally acted upon by the Commission en banc, except the following:
(1) The final determination on the merits of any adjudicatory or inves- tigatory hearing proceeding or of any rule making proceeding, except upon a finding by the Board that the public in- terest would be disserved by waiting the convening of a quorum of the Com- mission.
(2) Petitions for reconsideration of Commission actions.
(3) Applications for review of actions taken pursuant to delegated authority.
(c) The Board of Commissioners is authorized to act upon all matters nor- mally acted upon by an individual Commissioner (when he or his alter- nates are not present or able to act) or by a committee of Commissioners (in the absence of a quorum of the com- mittee).
(d) Actions taken by the Board of Commissioners shall be recorded in the same manner as actions taken by the Commission en banc.
(e) This section has no application in circumstances in which the Commis- sion is unable to function at its offices in Washington, D.C. See §§ 0.181–0.186 and §§ 0.381–0.387.
[30 FR 9314, July 27, 1965]
§ 0.218 Authority of, and delegated to, an individual Commissioner or Commissioners.
(a) One or more members of the Com- mission may be designated to preside in a hearing proceeding. The Commis- sioner or Commissioners designated to preside at such a hearing shall fix the time and place of the hearing and shall act upon all motions, petitions or other matters which may arise while the pro- ceeding is in hearing status.
(b) One or more members of the Com- mission may be designated to review
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47 CFR Ch. I (10–1–10 Edition)§ 0.231
an initial decision issued in any hear- ing case.
(c) Except for actions taken during the course of a hearing and upon the record thereof, actions taken by a Commissioner or Commissioners pursu- ant to the provisions of this section shall be recorded in writing and filed in the official minutes of the Commission.
[27 FR 7931, Aug. 10, 1962]
MANAGING DIRECTOR
§ 0.231 Authority delegated. (a) The Managing Director, or his
designee, upon securing concurrence of the General Counsel, is delegated au- thority to act upon requests for waiver, reduction or deferment of fees, estab- lish payment dates, and issue notices proposing amendments or adjustments to the fee schedules established under part 1, subpart G, of this chapter.
(b) The Managing Director, or his designee, is delegated authority to make nonsubstantive, editorial revi- sions of the Commission’s rules and regulations upon approval of the bu- reau or staff office primarily respon- sible for the particular part or section involved.
(c) [Reserved] (d) The Managing Director, or his
designee, upon securing the concur- rence of the General Counsel, is dele- gated authority, within the purview of the Federal Tort Claims Act, as amend- ed, 28 U.S.C. 2672, to grant tort claims directed against the Commission where the amount of the claim does not ex- ceed $5,000. In addition thereto, the Managing Director, or his designee, upon securing the concurrence of the General Counsel, is delegated authority to act in the disposition of claims aris- ing under the Military Personnel and Civilian Employees’ Claims Act, as amended, 31 U.S.C. 3701 and 3721, where the amount of the claim does not ex- ceed $6,500.
(e) The Managing Director is dele- gated authority to act as Head of the Procurement Activity and Contracting Officer for the Commission and to des- ignate appropriate subordinate offi- cials to act as Contracting Officers for the Commission. As Head of the Pro- curement Activity, the Managing Di- rector will refer all appeals filed
against final decisions regarding pro- curement contracts to the Armed Serv- ices Board of Contract Appeals for res- olution. Appeals will be handled in ac- cordance with the Rules of the Board of Contract Appeals.
(f) (1) The Managing Director, or his designee, is delegated authority to per- form all administrative determinations provided for by the Debt Collection Im- provement Act of 1996, Public Laws 104–134, 110 Stat. 1321, 1358 (1996) (DCIA), including, but not limited to the provisions of Title 31, United States Code section 3711 to:
(i) Collect claims of the United States Government for money or prop- erty arising out of the activities of, or referred to, the Federal Communica- tions Commission,
(ii) Compromise a claim of the Gov- ernment of not more than $100,000 (ex- cluding interest) or such higher amount as the Attorney General of the United States may from time to time prescribe, and
(iii) Suspend or end collection action on a claim of the Government of not more than $100,000 (excluding interest) when it appears that no person liable on the claim has the present or pro- spective ability to pay a significant amount of the claim or the cost of col- lecting the claim is likely to be more than the amount recovered.
(2)(i) This delegation does not include waiver authority provided by 31 U.S.C. 3720B.
(ii) The Chief Financial Officer, or the Deputy Chief Financial Officer, is delegated authority to perform all ad- ministrative determinations provided for by 31 U.S.C. 3720B.
(g) The Managing Director, after con- sultation with the Chairman shall es- tablish, renew, and terminate all Fed- eral advisory committees. He shall also exercise all management responsibil- ities under the Federal Advisory Com- mittee Act as amended (Pub. L. No. 92– 463, 5 U.S.C. App.).
(h) [Reserved] (i) The Secretary, acting under the
supervision of the Managing Director, serves as the official custodian of the Commission’s documents and shall have authority to appoint a deputy or deputies for the purposes of custody and certification of documents located
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Federal Communications Commission § 0.241
in Gettysburg, Pennsylvania or other established locations. The Secretary is delegated authority to rule on requests for extensions of time based on oper- ational problems associated with the Commission’s electronic comment fil- ing system. See § 1.46 of this chapter.
(j) The Managing Director or his des- ignee is delegated the authority, after seeking the opinion of the General Counsel, to determine, in accordance with generally accepted accounting principles for federal agencies the orga- nizations, programs (including funds), and accounts that are required to be included in the financial statements of the Commission.
(k) The Managing Director, or his designee, after seeking the opinion of the General Counsel, is delegated the authority to direct all organizations, programs (including funds), and ac- counts that are required to be included in the financial statements of the Com- mission to comply with all relevant and applicable federal financial man- agement and reporting statutes.
(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; 47 U.S.C. 154, 303; 18 U.S.C. 207(j); 39 U.S.C. 3220; Notice of Preliminary Guidelines issued by the Department of Justice, 50 FR 46622, November 8, 1985)
CROSS REFERENCE: 47 CFR part 19, subpart E.
[29 FR 14666, Oct. 28, 1964]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.231, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
CHIEF ENGINEER
§ 0.241 Authority delegated. (a) The performance of functions and
activities described in § 0.31 is dele- gated to the Chief of the Office of Engi- neering and Technology: Provided, that the following matters shall be referred to the Commission en banc for disposi- tion:
(1) Notices of proposed rulemaking and of inquiry and final orders in rule- making proceedings, inquiry pro- ceedings and non-editorial orders mak- ing changes, except that the Chief of the Office of Engineering and Tech- nology is delegated authority, together with the Chief of the Wireless Tele-
communications Bureau, to adopt cer- tain technical standards applicable to hearing aid compatibility under § 20.19 of this chapter, as specified in § 20.19(k).
(2) Petitions for review of actions taken to delegated authority. See § 1.115 of this chapter.
(3) Petitions and other requests for waivers of the Commission’s rules, whether or not accompanied by an ap- plications, when such petitions or re- quests contain new or novel arguments not previously considered by the Com- mission or present facts or arguments which appear to justify a change in Commission policy.
(4) Petitions and other requests for declaratory rulings, when such peti- tions or requests contain new or novel arguments not previously considered by the Commission or preset facts or arguments which appear to justify a change in Commission policy.
(5) Any other petition, pleading or re- quest presenting new or novel ques- tions of fact, law, or policy which can- not be resolved under outstanding precedents and guidelines.
(6) Any other complaint or enforce- ment matter presenting new or novel questions of fact, law, or policy which cannot be resolved under outstanding precedents and guidelines.
(7) Authority to issued a notice of op- portunity for hearing pursuant to § 1.80(g) of this chapter; and authority to issue notices of apparent liability, final forfeiture orders, and orders can- celling or reducing forfeitures imposed under § 1.80(f) of this chapter, if the amount set out in the notice of appar- ent liability is more than $20,000.
(8) Proposed actions following any case remanded by the courts.
(b) The Chief of the Office of Engi- neering and Technology is delegated authority to administer the Equipment Authorization program as described in part 2 of this chapter.
(c) The Chief of the Office of Engi- neering and Technology is delegated authority to administer the Experi- mental Radio licensing program pursu- ant to part 5 of this chapter.
(d) The Chief of the Office of Engi- neering and Technology is delegated authority to examine all applications
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47 CFR Ch. I (10–1–10 Edition)§ 0.247
for certification (approval) of subscrip- tion television technical systems as ac- ceptable for use under a subscription television authorization as provided for in this chapter, to notify the applicant that an examination of the certified technical information and data sub- mitted in accordance with the provi- sions of this chapter indicates that the system does or does not appear to be acceptable for authorization as a sub- scription television system. This dele- gation shall be exercised in consulta- tion with the Chief, Media Bureau.
(e) The Chief of the Office of Engi- neering and Technology is authorized to dismiss or deny petitions for rule- making which are repetitive or moot or which for other reasons plainly do not warrant consideration by the Commis- sion.
(f) The Chief of the Office of Engi- neering and Technology is authorized to enter into agreements with the Na- tional Institute of Standards and Tech- nology and other accreditation bodies to perform accreditation of test labora- tories pursuant to § 2.948(d) of this chapter. In addition, the Chief is au- thorized to make determinations re- garding the continued acceptability of individual accrediting organizations and accredited laboratories.
(g) The Chief of the Office of Engi- neering and Technology is delegated authority to enter into agreements with the National Institute of Stand- ards and Technology to perform ac- creditation of Telecommunication Cer- tification Bodies (TCBs) pursuant to §§ 2.960 and 2.962 of this chapter. In ad- dition, the Chief is delegated authority to develop specific methods that will be used to accredit TCBs, to designate TCBs, to make determinations regard- ing the continued acceptability of indi- vidual TCBs, and to develop procedures that TCBs will use for performing post- market surveillance.
(h) The Chief of the Office of Engi- neering and Technology is delegated authority to make nonsubstantive, edi- torial revisions to the Commission’s
rules and regulations contained in parts 2, 4, 5, 15, and 18 of this chapter.
[51 FR 41106, Nov. 13, 1986, as amended at 57 FR 18088, Apr. 29, 1992; 60 FR 5324, Jan. 27, 1995; 60 FR 32119, June 20, 1995; 61 FR 4918, Feb. 9, 1996; 61 FR 31045, June 19, 1996; 62 FR 48952, Sept. 18, 1997; 64 FR 4995, Feb. 2, 1999; 67 FR 13220, Mar. 21, 2002; 69 FR 70337, Dec. 3, 2004; 73 FR 9463, Feb. 21, 2008; 73 FR 25587, May 7, 2008]
§ 0.247 Record of actions taken. The application and authorization
files and other appropriate files of the Office of Engineering and Technology are designated as the official minute entries of actions taken pursuant to §§ 0.241 and 0.243.
[33 FR 8228, June 1, 1968, as amended at 44 FR 39179, July 5, 1979; 51 FR 12615, Apr. 14, 1986]
GENERAL COUNSEL
§ 0.251 Authority delegated. (a) The General Counsel is delegated
authority to act as the ‘‘designated agency ethics official.’’
(b) Insofar as authority is not dele- gated to any other Bureau or Office, and with respect only to matters which are not in hearing status, the General Counsel is delegated authority:
(1) To act upon requests for extension of time within which briefs, comments or pleadings may be filed.
(2) To dismiss, as repetitious, any pe- tition for reconsideration of a Commis- sion order which disposed of a petition for reconsideration and which did not reverse, change, or modify the original order.
(3) To dismiss or deny petitions for rulemaking which are repetitive or moot or which, for other reasons, plainly do not warrant consideration by the Commission.
(4) To dismiss as repetitious any peti- tion for reconsideration of a Commis- sion order denying an application for review which fails to rely on new facts or changed circumstances.
(c) The General Counsel is delegated authority in adjudicatory hearing pro- ceedings which are pending before the Commission en banc to act on all re- quests for relief, and to issue all appro- priate orders, except those which in- volve final disposition on the merits of a previously specified issue concerning
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Federal Communications Commission § 0.261
an applicant’s basic qualifications or two or more applicants’ comparative qualifications.
(d) When an adjudicatory proceeding is before the Commission for the issuance of a final order or decision, the General Counsel will make every effort to submit a draft order or deci- sion for Commission consideration within four months of the filing of the last responsive pleading. If the Com- mission is unable to adopt an order or decision in such cases within five months of the last responsive pleading, it shall issue an order indicating that additional time will be required to re- solve the case.
(e) The official record of all actions taken by the General Counsel pursuant to § 0.251 (c) and (d) is contained in the original docket folder, which is main- tained by the Reference Information Center.
(f) The General Counsel is delegated authority to issue written determina- tions on matters regarding the inter- ception of telephone conversations. Nothing in this paragraph, however, shall affect the authority of the Inspec- tor General to intercept or record tele- phone conversations as necessary in the conduct of investigations or audits.
(g) The General Counsel is delegated authority to issue rulings on whether violations of the ex parte rules have oc- curred.
(h) The General Counsel is delegated authority to make determinations re- garding and waive the applicability of section 4(b) of the Communications Act (47 U.S.C. § 154(b)) and the Federal con- flict of interest statutes (18 U.S.C. §§ 203, 205 and 208).
(i) The General Counsel is delegated authority to perform all administra- tive determinations provided for by the Debt Collection Improvement Act of 1996, Public Law 104–134, 110 Stat. 1321, 1358 (1996) (DCIA), including, but not limited to the provisions of Title 31, U.S.C. 3711 to:
(1) Collect claims of the United States Government of money or prop- erty arising out of the activities of, or referred to, the Federal Communica- tions Commission,
(2) Compromise a claim of the Gov- ernment of not more than $100,000 (ex- cluding interest) or such higher
amount as the Attorney General of the United States may from time to time prescribe, and
(3) Suspend or end collection action on a claim of the Government of not more than $100,000 (excluding interest) when it appears that no person liable on the claim has the present or pro- spective ability to pay a significant amount of the claim or the cost of col- lecting the claim is likely to be more than the amount recovered.
NOTE TO PARAGRAPH (i): This delegation does not include waiver authority provided by 31 U.S.C. 3720B.
(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088, 1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)
[28 FR 12402, Nov. 22, 1963]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.251, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
INTERNATIONAL BUREAU
SOURCE: Sections 0.261 and 0.262 appear at 60 FR 5324, Jan. 27, 1995, unless otherwise noted.
§ 0.261 Authority delegated. (a) Subject to the limitations set
forth in paragraph (b) of this section, the Chief, International Bureau, is hereby delegated the authority to per- form the functions and activities de- scribed in § 0.51, including without limi- tation the following:
(1) To recommend rulemakings, stud- ies, and analyses (legal, engineering, social, and economic) of various peti- tions for policy or rule changes sub- mitted by industry or the public, and to assist the Commission in conducting the same;
(2) To assume the principal represen- tational role on behalf of the Commis- sion in international conferences, meetings, and negotiations, and direct Commission preparation for such con- ferences, meetings, and negotiations with other bureaus and offices, as ap- propriate;
(3) To act upon applications for inter- national telecommunications and serv- ices pursuant to relevant portions of part 63 of this chapter, and coordinate
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47 CFR Ch. I (10–1–10 Edition)§ 0.262
with the Wireline Competition Bureau as appropriate;
(4) To act upon applications for inter- national and domestic satellite sys- tems and earth stations pursuant to part 25 and part 100 of this chapter;
(5) To act upon applications for cable landing licenses pursuant to § 1.767 of this chapter;
(6) To act upon requests for designa- tion of Recognized Private Operating Agency (RPOA) status under part 63 of this chapter;
(7) To act upon applications relating to international broadcast station op- erations, or for permission to deliver programming to foreign stations, under part 73 of this chapter;
(8) To administer and enforce the policies and rules on international set- tlements under part 64 of this chapter;
(9) To administer portions of part 2 of this chapter dealing with international treaties and call sign provisions, and to make call sign assignments, individ- ually and in blocks, to U.S. Govern- ment agencies and FCC operating bu- reaus;
(10) To act upon applications for clo- sure of public coast stations in the maritime service under part 63 of this chapter and to coordinate its efforts with the Wireless Telecommunications Bureau.
(11) To administer Commission par- ticipation in the International Tele- communication Union (ITU) Fellow- ship telecommunication training pro- gram for foreign officials offered through the U.S. Telecommunications Training Institute;
(12) In consultation with the affected Bureaus and Offices, to recommend re- vision of Commission rules and proce- dures as appropriate to conform to the outcomes of international conferences, agreements, or treaties;
(13) To notify the ITU of the United States’ terrestrial and satellite assign- ments for inclusion in the Master International Frequency Register;
(14) To conduct studies and compile such data relating to international telecommunications as may be nec- essary for the Commission to develop and maintain an adequate regulatory program; and
(15) To interpret and enforce rules and regulations pertaining to matters
under its jurisdiction and not within the jurisdiction of the Enforcement Bu- reau.
(b) Notwithstanding the authority delegated in paragraph (a) of this sec- tion, the Chief, International Bureau, shall not have authority:
(1) To act on any application, peti- tion, pleading, complaint, enforcement matter, or other request that:
(i) Presents new or novel arguments not previously considered by the Com- mission;
(ii) Presents facts or arguments which appear to justify a change in Commission policy; or
(iii) Cannot be resolved under out- standing precedents and guidelines after consultation with appropriate Bu- reaus or Offices.
(2) To issue notices of proposed rule- making, notices of inquiry, or reports or orders arising from rulemaking or inquiry proceedings;
(3) To act upon any application for review of actions taken by the Chief, International Bureau, pursuant to dele- gated authority, which application complies with § 1.115 of this chapter;
(4) To act upon any formal or infor- mal radio application or section 214 ap- plication for common carrier services which is in hearing status;
(5) To designate for hearing any ap- plications except:
(i) Mutually exclusive applications for radio facilities filed pursuant to parts 23, 25, 73, or 100 of this chapter; and
(ii) Applications for facilities where the issues presented relate solely to whether the applicant has complied with outstanding precedents and guide- lines; or
(6) To impose, reduce, or cancel for- feitures pursuant to section 203 or sec- tion 503(b) of the Communications Act of 1934, as amended, in amounts of more than $80,000 for common carrier providers and $20,000 for non-common carrier providers.
[60 FR 5324, Jan. 27, 1995, as amended at 60 FR 35506, July 10, 1995; 64 FR 60721, Nov. 8, 1999; 67 FR 13220, Mar. 21, 2002; 75 FR 7972, Feb. 23, 2010]
§ 0.262 Record of actions taken. The application and authorization
files in the appropriate central files of
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Federal Communications Commission § 0.291
the International Bureau are des- ignated as the Commission’s official records of actions by the Chief, Inter- national Bureau, pursuant to authority delegated to him.
OFFICE OF STRATEGIC PLANNING AND POLICY ANALYSIS
§ 0.271 Authority delegated. (a) Insofar as authority is not dele-
gated to any other Bureau or Office, and with respect only to matters which are not in hearing status, the Chief, Of- fice of Strategic Planning and Policy Analysis is delegated authority to deny requests or to extend the time within which comments may be filed in dock- ets over which the Office of Strategic Planning and Policy Analysis has pri- mary authority.
(b) [Reserved]
[45 FR 10347, Feb. 15, 1980, as amended at 68 FR 11747, Mar. 12, 2003]
CHIEF, MEDIA BUREAU
§ 0.283 Authority delegated. The Chief, Media Bureau, is dele-
gated authority to perform all func- tions of the Bureau, described in § 0.61, provided that the following matters shall be referred to the Commission en banc for disposition:
(a) Notices of proposed rulemaking and of inquiry and final orders in such proceedings, with the exception of rule- making proceedings involving the al- lotment of FM and television channels.
(b) Application for review of actions taken pursuant to delegated authority.
(c) Matters that present novel ques- tions of law, fact or policy that cannot be resolved under existing precedents and guidelines.
(d) The imposition, reduction or can- cellation of forfeitures pursuant to sec- tion 503(b) of the Communications Act of 1934, as amended, in amounts of more than $20,000.
[67 FR 13220, Mar. 21, 2002]
§ 0.284 Actions taken under delegated authority.
(a) In discharging the authority con- ferred by § 0.283 of this part, the Chief, Media Bureau, shall establish working relationships with other bureaus and staff offices to assure the effective co-
ordination of actions taken in the fol- lowing areas of joint responsibility;
(1) Complaints arising under section 315 of the Communications Act—Office of General Counsel.
(2) Requests for waiver of tower painting and lighting specifications- Wireless Telecommunications Bureau.
(3) Requests for use of frequencies or bands of frequencies shared with pri- vate sector nonbroadcast or govern- ment services—Office of Engineering and Technology and appropriate oper- ating bureau.
(4) Requests involving coordination with other agencies of government—Of- fice of General Counsel, Office of Engi- neering and Technology and appro- priate operating bureau.
(5) Proposals involving possible harmful impact on radio astronomy or radio research installations—Office of Engineering and Technology.
(b) With respect to non-routine appli- cations granted under authority dele- gated in § 0.283 of this part, the Chief, Media Bureau or his designees, shall enter on the working papers associated with each application a narrative jus- tification of the action taken. While not available for public inspection, these working papers shall, upon re- quest, be made available to the Com- missioners and members of their staffs.
[47 FR 47829, Oct. 28, 1982; 47 FR 56852, Dec. 21, 1982, as amended at 51 FR 12615, Apr. 14, 1986; 52 FR 5288, Feb. 20, 1987; 59 FR 32132, June 22, 1994; 59 FR 67092, Dec. 28, 1994; 61 FR 8477, Mar. 5, 1996; 64 FR 60721, Nov. 8, 1999; 67 FR 13220, Mar. 21, 2002; 71 FR 69036, Nov. 29, 2006]
§ 0.285 Record of actions taken.
The history card, the station file, and other appropriate files are designated to be the official records of action taken by the Chief of the Media Bu- reau. The official records of action are maintained in the Reference Informa- tion Center in the Consumer and Gov- ernmental Affairs Bureau.
[67 FR 13220, Mar. 21, 2002]
CHIEF, WIRELINE COMPETITION BUREAU
§ 0.291 Authority delegated.
The Chief, Wireline Competition Bu- reau, is hereby delegated authority to
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47 CFR Ch. I (10–1–10 Edition)§ 0.291
perform all functions of the Bureau, de- scribed in § 0.91, subject to the fol- lowing exceptions and limitations.
(a) Authority concerning applications. (1) The Chief, Wireline Competition Bu- reau shall not have authority to act on any formal or informal common carrier applications or section 214 applications for common carrier services which are in hearing status.
(2) The Chief, Wireline Competition Bureau shall not have authority to act on any applications or requests which present novel questions of fact, law or policy which cannot be resolved under outstanding precedents and guidelines.
(b) Authority concerning section 220 of the Act. The Chief, Wireline Competi- tion Bureau shall not have authority to promulgate regulations or orders prescribing permanent depreciation rates for common carriers, or to pre- scribe interim depreciation rates to be effective more than one year, pursuant to section 220 of the Communications Act of 1934, as amended.
(c) Authority concerning forfeitures. The Chief, Wireline Competition Bu- reau shall not have authority to im- pose, reduce or cancel forfeitures pur- suant to Section 203 or Section 503(b) of the Communications Act of 1934, as amended, in amounts of more than $80,000.
(d) Authority concerning applications for review. The Chief, Wireline Competi- tion Bureau shall not have authority to act upon any applications for review of actions taken by the Chief, Wireline Competition Bureau, pursuant to any delegated authority.
(e) Authority concerning rulemaking and investigatory proceedings. The Chief, Wireline Competition Bureau, shall not have authority to issue notices of pro- posed rulemaking, notices of inquiry, or reports or orders arising from either of the foregoing, except that the Chief, Wireline Competition Bureau, shall have authority, in consultation and co- ordination with the Chief, Inter- national Bureau, to issue and revise a manual on the details of the reporting requirements for international carriers set forth in § 43.61(d) of this chapter.
(f) Authority concerning the issuance of subpoenas. The Chief of the Wireline Competition Bureau or her/his designee is authorized to issue non-hearing re-
lated subpoenas for the attendance and testimony of witnesses and the produc- tion of books, papers, correspondence, memoranda, schedules of charges, con- tracts, agreements, and any other records deemed relevant to the inves- tigation of matters within the jurisdic- tion of the Wireline Competition Bu- reau. Before issuing a subpoena, the Bureau shall obtain the approval of the Office of General Counsel.
(g) The Chief, Wireline Competition Bureau, is delegated authority to enter into agreements with the National In- stitute of Standards and Technology to perform accreditation of Telecommuni- cation Certification Bodies (TCBs) pur- suant to §§ 68.160 and 68.162 of this chap- ter. In addition, the Chief is delegated authority to develop specific methods that will be used to accredit TCBs, to designate TCBs, to make determina- tions regarding the continued accept- ability of individual TCBs and to de- velop procedures that TCBs will use for performing post-market surveillance.
(h) Authority concerning petitions for pricing flexibility. (1) The Chief, Wireline Competition Bureau, shall have authority to act on petitions filed pursuant to part 69, subpart H, of this chapter for pricing flexibility involving special access and dedicated transport services. This authority is not subject to the limitation set forth in paragraph (a)(2) of this section.
(2) The Chief, Wireline Competition Bureau, shall not have authority to act on petitions filed pursuant to part 69, subpart H, of this chapter for pricing flexibility involving common line and traffic sensitive services.
(i) Authority concerning schools and li- braries support mechanism audits. The Chief, Wireline Competition Bureau, shall have authority to address audit findings relating to the schools and li- braries support mechanism. This au- thority is not subject to the limitation set forth in paragraph (a)(2) of this sec- tion.
(Secs. 4, 5, 303, 48 Stat. 1066, 1068, 1082, as amended; 47 U.S.C. 154, 155, 303; secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1089; 47 U.S.C. 152, 153, 154, 155, 303, 307, 308, 309, 315, 317)
[44 FR 18501, Mar. 28, 1979]
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Federal Communications Commission § 0.314
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.291, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
§ 0.301 [Reserved]
§ 0.302 Record of actions taken. The application and authorization
files are designated as the Commis- sion’s official records of action of the Chief, Wireline Competition Bureau pursuant to authority delegated to the Chief. The official records of action are maintained in the Reference Informa- tion Center in the Consumer and Gov- ernmental Affairs Bureau.
[67 FR 13221, Mar. 21, 2002]
§ 0.303 [Reserved]
§ 0.304 Authority for determinations of exempt telecommunications com- pany status.
Authority is delegated to the Chief, Wireline Competition Bureau to act upon any application for a determina- tion of exempt telecommunications company status filed pursuant to sec- tion 34(a)(1) of the Public Utility Hold- ing Company Act of 1935, as amended by section 103 of the Telecommuni- cations Act of 1996.
[64 FR 5950, Feb. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
ENFORCEMENT BUREAU
§ 0.311 Authority delegated. The Chief, Enforcement Bureau, is
delegated authority to perform all functions of the Bureau, described in § 0.111, provided that:
(a) The following matters shall be re- ferred to the Commission en banc for disposition:
(1) Notices of proposed rulemaking and of inquiry and final orders in such proceedings.
(2) Applications for review of actions taken pursuant to delegated authority.
(3) Matters that present novel ques- tions of law, fact or policy that cannot be resolved under existing precedents and guidelines.
(4) Forfeiture notices and forfeiture orders if the amount is more than $100,000 in the case of common carriers
or more than $25,000 in the case of all other persons or entities.
(5) Orders concluding an investiga- tion under section 208(b) of the Com- munications Act and orders addressing petitions for reconsideration of such orders.
(6) Release of information pursuant to section 220(f) of the Communications Act, except for release of such informa- tion to a state public utility commis- sion or in response to a Freedom of In- formation Act Request.
(b) Action on complaints regarding compliance with section 705(a) of the Communications Act shall be coordi- nated with the Office of General Coun- sel.
[64 FR 60721, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002; 71 FR 69036, Nov. 29, 2006]
§ 0.314 Additional authority delegated.
The Regional Director, Deputy Re- gional Director, District Director or Resi- dent Agent at each installation is dele- gated authority to act upon applica- tions, requests, or other matters, which are not in hearing status, and di- rect the following activities necessary to conduct investigations or inspec- tions:
(a) On informal requests from broad- cast stations to extend temporary au- thority for operation without mon- itors, plate ammeter, plate volmeter, base current meter, common point meter, and transmission line meter from FM and television stations.
(b)(1) Extend the Communications Act Safety Radiotelephony Certificate for a period of up to 90 days beyond the specified expiration date.
(b)(2) Grant emergency exemption re- quests, extensions or waivers of inspec- tion to ships in accordance with appli- cable provisions of the Communica- tions Act, the Safety Convention, the Great Lakes Agreement or the Com- mission’s rules.
(c) To act on and make determina- tions on behalf of the Commission re- garding requests for assignments and reassignments of priorities under the Telecommunications Service Priority System, part 64 of the rules, when cir- cumstances require immediate action
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47 CFR Ch. I (10–1–10 Edition)§ 0.317
and the common carrier seeking to pro- vide service states that it cannot con- tact the National Communications System or the Commission office nor- mally responsible for such assign- ments. To the extent possible, all such actions and determinations shall be made in coordination with the Public Safety and Homeland Security Bureau.
(d) Require special equipment and program tests during inspections or in- vestigations to determine compliance with technical requirements specified by the Commission.
(e) Require stations to operate with the pre-sunrise and nighttime facilities during daytime hours in order that an inspection or investigation may be made by an authorized Commission representative to determine operating parameters.
(f) Issue notices and orders to opera- tors of industrial, scientific, and med- ical (ISM) equipment, as provided in § 18.115 of this chapter.
(g) Act on requests for permission to resume operation of ISM equipment on a temporary basis, as provided by § 18.115 of this chapter, and requests for extensions of time within which to file final reports, as provided by § 18.117 of this chapter.
(h) Issue notices and orders to opera- tors of part 15 devices, as provided in § 15.5 of this chapter.
(i) Issue notices and orders to sus- pend operations to multi-channel video programming distributors, as provided in § 76.613 of this chapter.
(j) Issue notices and orders to sus- pend operations to part 74 licensees, as provided in § 74.23 of this chapter.
[64 FR 60721, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002; 71 FR 69036, Nov. 29, 2006]
§ 0.317 Record of action taken.
The application, authorization, and other appropriate files of the Enforce- ment Bureau are designated as the Commission’s official records of action taken pursuant to authority delegated under §§ 0.311 and 0.314, and shall con- stitute the official Commission min- utes entry of such actions. The official records of action are maintained in the
Reference Information Center in the Consumer Information Bureau.
[64 FR 60722, Nov. 8, 1999]
WIRELESS TELECOMMUNICATIONS BUREAU
§ 0.331 Authority delegated. The Chief, Wireless Telecommuni-
cations Bureau, is hereby delegated au- thority to perform all functions of the Bureau, described in § 0.131, subject to the following exceptions and limita- tions.
(a) Authority concerning applications. (1) The Chief, Wireless Telecommuni- cations Bureau shall not have author- ity to act on any radio applications that are in hearing status.
(2) The Chief, Wireless Telecommuni- cations Bureau shall not have author- ity to act on any complaints, petitions or requests, whether or not accom- panied by an application, when such complaints, petitions or requests present new or novel questions of law or policy which cannot be resolved under outstanding Commission prece- dents and guidelines.
(b) Authority concerning forfeitures and penalties. The Chief, Wireless Tele- communications Bureau, shall not have authority to impose, reduce, or cancel forfeitures pursuant to the Com- munications Act of 1934, as amended, and imposed under regulations in this chapter in amounts of more than $80,000 for commercial radio providers and $20,000 for private radio providers. Payments for bid withdrawal, default or to prevent unjust enrichment that are imposed pursuant to Section 309(j) of the Communications Act of 1934, as amended, and regulations in this chap- ter implementing Section 309(j) gov- erning auction authority, are excluded from this restriction.
(c) Authority concerning applications for review. The Chief, Wireless Tele- communications Bureau shall not have authority to act upon any applications for review of actions taken by the Chief, Wireless Telecommunications Bureau pursuant to any delegated au- thority, except that the Chief may dis- miss any such application that does not comply with the filing require- ments of § 1.115 (d) and (f) of this chap- ter.
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Federal Communications Commission § 0.341
(d) Authority concerning rulemaking proceedings. The Chief, Wireless Tele- communications Bureau shall not have the authority to act upon notices of proposed rulemaking and inquiry, final orders in rulemaking proceedings and inquiry proceedings, and reports aris- ing from any of the foregoing except such orders involving ministerial con- forming amendments to rule parts, or orders conforming any of the applica- ble rules to formally adopted inter- national conventions or agreements where novel questions of fact, law, or policy are not involved. In addition, re- visions to the airport terminal use list in § 90.35(c)(61) of this chapter and revi- sions to the Government Radiolocation list in § 90.371(b) of this chapter need not be referred to the Commission. Adoption of certain technical stand- ards applicable to hearing aid compat- ibility under § 20.19 of this chapter made together with the Chief of the Of- fice of Engineering and Technology, as specified in § 20.19(k) of this chapter, also need not be referred to the Com- mission. Also, the addition of new Ma- rine VHF frequency coordination com- mittee(s) to § 80.514 of this chapter need not be referred to the Commission if they do not involve novel questions of fact, policy or law, as well as requests by the United States Coast Guard to:
(1) Designate radio protection areas for mandatory Vessel Traffic Services (VTS) and establish marine channels as VTS frequencies for these areas; or
(2) Designate regions for shared com- mercial and non-commercial vessel use of VHF marine frequencies.
(3) Designate by footnote to fre- quency table in § 80.373(f) of this chap- ter marine VHF frequencies are avail- able for intership port operations com- munications in defined port areas.
[60 FR 35506, July 10, 1995, as amended at 61 FR 26465, May 28, 1996; 62 FR 40285, July 28, 1997; 65 FR 43715, July 14, 2000; 67 FR 63284, Oct. 11, 2002; 69 FR 46440, Aug. 3, 2004; 73 FR 25587, May 7, 2008]
§ 0.332 Actions taken under delegated authority.
In discharging the authority con- ferred by § 0.331, the Chief, Wireless Telecommunications Bureau, shall es- tablish working relationships with other bureaus and staff offices to as-
sure the effective coordination of ac- tions taken in the following areas of joint responsibility:
(a) [Reserved] (b) Requests for waiver of tower
painting and lighting specifications— Enforcement Bureau.
(c) Matters involving public safety, homeland security, national security, emergency management and prepared- ness, and disaster management com- munications—the Public Safety and Homeland Security Bureau.
(d) Complaints involving equal em- ployment opportunities—Office of Gen- eral Counsel.
(e) Requests for use of frequencies or bands of frequencies shared with broad- cast, common carrier, or government services—Office of Engineering and Technology and appropriate operating bureau.
(f) Requests involving coordination with other Federal or state agencies when appropriate—Office of General Counsel, Office of Engineering and Technology or operating bureau.
(g) Proposals involving possible harmful impact on radio astronomy or radio research installations—Office of Engineering and Technology.
[40 FR 4423, Jan. 30, 1975, as amended at 44 FR 11070, Feb. 27, 1979; 44 FR 39180, July 5, 1979; 50 FR 27953, July 9, 1985; 51 FR 12615, Apr. 14, 1986; 51 FR 20290, June 4, 1986; 52 FR 5288, Feb. 20, 1987; 59 FR 26971, May 25, 1994; 60 FR 5325, Jan. 27, 1995; 60 FR 35507, July 10, 1995; 61 FR 8477, Mar. 5, 1996; 64 FR 60722, Nov. 8, 1999; 71 FR 69037, Nov. 29, 2006]
§§ 0.333–0.337 [Reserved]
ADMINISTRATIVE LAW JUDGES
§ 0.341 Authority of administrative law judge.
(a) After an administrative law judge has been designated to preside at a hearing and until he has issued an ini- tial decision or certified the record to the Commission for decision, or the proceeding has been transferred to an- other administrative law judge, all mo- tions, petitions and other pleadings shall be acted upon by such adminis- trative law judge, except the following:
(1) Those which are to be acted upon by the Commission. See § 1.291(a)(1) of this chapter.
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47 CFR Ch. I (10–1–10 Edition)§ 0.347
(2) Those which are to be acted upon by the Chief Administrative Law Judge under § 0.351.
(b) Any question which would be acted upon by the administrative law judge if it were raised by the parties to the proceeding may be raised and acted upon by the administrative law judge on his own motion.
(c) Any question which would be acted upon by the Chief Administrative Law Judge or the Commission, if it were raised by the parties, may be cer- tified by the administrative law judge, on his own motion, to the Chief Admin- istrative Law Judge, or the Commis- sion, as the case may be.
(d) In the conduct of routine broad- cast comparative hearings involving applicants for only new facilities, i.e., cases that do not involve numerous ap- plicants and/or motions to enlarge issues, the presiding administrative law judge shall make every effort to conclude the case within nine months of the release of the hearing designa- tion order. In so doing, the presiding judge will make every effort to release an initial decision in such cases within 90 days of the filing of the last respon- sive pleading.
(e) Upon assignment by the Chief Ad- ministrative Law Judge, Administra- tive Law Judges, including the Chief Judge, will act as settlement judges in appropriate cases. See 47 CFR 1.244 of this chapter.
[29 FR 6442, May 16, 1964, as amended at 37 FR 19372, Sept. 20, 1972; 41 FR 14870, Apr. 8, 1976; 56 FR 792, Jan. 9, 1991; 62 FR 4170, Jan. 29, 1997]
§ 0.347 Record of actions taken.
The official record of all actions taken by an Administrative Law Judge, including initial and rec- ommended decisions and actions taken pursuant to § 0.341, is contained in the original docket folder, which is main- tained in the Reference Information Center of the Consumer and Govern- mental Affairs Bureau.
[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
CHIEF ADMINISTRATIVE LAW JUDGE
§ 0.351 Authority delegated. The Chief Administrative Law Judge
shall act on the following matters in proceedings conducted by hearing ex- aminers:
(a) Initial specifications of the time and place of hearings where not other- wise specified by the Commission and excepting actions under authority dele- gated by § 0.296.
(b) Designation of the hearing exam- iner to preside at hearings.
(c) Orders directing the parties or their attorneys to appear at a specified time and place before the hearing ex- aminer for an initial prehearing con- ference in accordance with § 1.251(a) of this chapter. (The administrative law judge named to preside at the hearing may order an initial prehearing con- ference although the Chief Administra- tive Law Judge may not have seen fit to do so and may order supplementary prehearing conferences in accordance with § 1.251(b) of this chapter.)
(d) Petitions requesting a change in the place of hearing where the hearing is scheduled to begin in the District of Columbia or where the hearing is scheduled to begin at a field location and all appropriate proceedings at that location have not been completed. (See § 1.253 of this chapter.) However, if all parties to a proceeding concur in hold- ing all hearing sessions in the District of Columbia rather than at any field lo- cation, the presiding administrative law judge may act on the request.
(e) In the absence of the administra- tive law judge who has been designated to preside in a proceeding, to discharge the administrative law judge’s func- tions.
(f) All pleadings filed, or matters which arise, after a proceeding has been designated for hearing, but before a law judge has been designated, which would otherwise be acted upon by the law judge, including all pleadings filed, or matters which arise, in cease and de- sist and/or revocation proceedings prior to the designation of a presiding offi- cer.
(g) All pleadings (such as motions for extension of time) which are related to matters to be acted upon by the Chief Administrative Law Judge.
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Federal Communications Commission § 0.383
(h) If the administrative law judge designated to preside at a hearing be- comes unavailable, to order a rehearing or to order that the hearing continue before another administrative law judge and, in either case, to designate the judge who is to preside.
(i) The consolidation of related pro- ceedings pursuant to § 1.227(a) of this chapter, after designation of those pro- ceedings for hearing.
[29 FR 6443, May 16, 1964, as amended at 37 FR 19372, Sept. 20, 1972; 38 FR 30559, Nov. 6, 1973; 43 FR 49307, Oct. 23, 1978; 44 FR 76295, Dec. 26, 1979]
§ 0.357 Record of actions taken. The official record of all actions
taken by the Chief Administrative Law Judge in docketed proceedings pursu- ant to § 0.351 is contained in the origi- nal docket folder, which is maintained by the Reference Information Center of the Consumer and Governmental Af- fairs Bureau.
[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU
§ 0.361 Authority delegated. The Chief, Consumer and Govern-
mental Affairs Bureau, is delegated au- thority to perform all functions of the Bureau, described in § 0.141, provided that the following matters shall be re- ferred to the Commission en banc for disposition:
(a) Notices of proposed rulemaking and of inquiry and final orders in such proceedings.
(b) Application for review of actions taken pursuant to delegated authority.
(c) Matters that present novel ques- tions of law, fact or policy that cannot be resolved under existing precedents and guidelines.
[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
OFFICE OF COMMUNICATIONS BUSINESS OPPORTUNITIES
§ 0.371 Authority delegated. The Director, Office of Communica-
tions Business Opportunities, or his/her designee, is hereby delegated authority to:
(a) Manage the Commission’s compli- ance with the Regulatory Flexibility Act and the Small Business Regulatory Enforcement Fairness Act;
(b) Develop the Commission’s goals and objectives regarding increased op- portunities for small entities, women, and minorities;
(c) Collect and analyze data on the Commission’s efforts toward ensuring full consideration of the interests of small entities, women, and minorities;
(d) Prepare and release reports on the opportunities available and obstacles faced by small entities, women, and minorities in the communications in- dustry;
(e) Conduct studies and collect data on the issues and problems faced by small entities, women, and minorities in the communications industry;
(f) Assume representational role on behalf of the Commission before other federal agencies and at conferences, meetings, and hearings regarding small entities, women, and minorities in the communications industry;
(g) Develop programs and strategies designed to increase competition, em- ployment opportunities and diversity of viewpoint through the promotion of ownership by small entities, women, and minorities;
(h) Manage the Commission’s efforts to increase the awareness of small enti- ties, women, and minorities and to en- sure that all available information is accessible to the same.
[69 FR 7377, Feb. 17, 2003]
NATIONAL SECURITY AND EMERGENCY PREPAREDNESS DELEGATIONS
§ 0.381 Defense Commissioner.
The authority delegated to the Com- mission under Executive Orders 12472 and 12656 is redelegated to the Defense Commissioner.
[69 FR 30234, May 27, 2004]
§ 0.383 Emergency Relocation Board, authority delegated.
(a) During any period in which the Commission is unable to function be- cause of the circumstances set forth in § 0.186(b), all work, business or func- tions of the Federal Communications
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47 CFR Ch. I (10–1–10 Edition)§ 0.387
Commission arising under the Commu- nications Act of 1934, as amended, is as- signed and referred to the Emergency Relocation Board.
(b) The Board, acting by a majority thereof, shall have the power and au- thority to hear and determine, order, certify, report or otherwise act as to any of the said work, business or func- tions so assigned or referred to it, and in respect thereof shall have all the ju- risdiction and powers conferred by law upon the Commission, and be subject to the same duties and obligations.
(c) Any order, decision or report made or other action taken by the said Board in respect of any matters so as- signed or referred shall have the same effect and force, and may be made, evi- denced, and enforced in the same man- ner, as if made or taken by the Com- mission.
[28 FR 12402, Nov. 22, 1963, as amended at 33 FR 8228, June 1, 1968; 53 FR 29055, Aug. 2, 1988]
§ 0.387 Other national security and emergency preparedness delega- tions; cross reference.
For authority of the Chief of the Public Safety and Homeland Security Bureau to declare a temporary commu- nications emergency, see § 0.191(o).
[71 FR 69037, Nov. 29, 2006]
OFFICE OF WORKPLACE DIVERSITY
§ 0.391 Authority delegated. The Director, Office of Workplace Di-
versity, or his/her designee, is hereby delegated authority to:
(a) Manage the Commission’s inter- nal EEO compliance program pursuant to Title VII of the Civil Rights Act of 1964, as amended, the Rehabilitation Act of 1973, as amended, the Age Dis- crimination in Employment Act of 1967, as amended, the Equal Pay Act, and other applicable laws, rules, regu- lations, and Executive Orders, with au- thority that includes appointing EEO counselors, investigators, and medi- ators; investigating complaints of em- ployment discrimination, and recom- mending to the Chairman final agency decisions on EEO complaints;
(b) Mediate EEO complaints; (c) Develop the Commission’s affirm-
ative action goals and objectives;
(d) Collect and analyze data on the Commission’s affirmative action and EEO activities and accomplishments;
(e) Prepare and release reports on EEO, affirmative action, workplace di- versity, and related subjects;
(f) Review personnel activities, in- cluding hiring, promotions, discipline, training, awards, and performance rec- ognition for conformance with EEO and workplace diversity goals, objec- tives and requirements;
(g) Conduct studies and collect data on workplace diversity issues and prob- lems;
(h) Assume representational role on behalf of the Commission at con- ferences, meetings, and negotiations on EEO and workplace diversity issues;
(i) Develop programs and strategies designed to foster and encourage fair- ness, equality, and inclusion of all em- ployees in the workforce.
[61 FR 2728, Jan. 29, 1996]
PUBLIC SAFETY AND HOMELAND SECURITY BUREAU
§ 0.392 Authority delegated.
The Chief, Public Safety and Home- land Security Bureau, is hereby dele- gated authority to perform all func- tions of the Bureau, described in §§ 0.191 and 0.192, subject to the following ex- ceptions and limitations in paragraphs (a) through (e) of this section.
(a) The Chief, Public Safety and Homeland Security Bureau shall not have authority to act on any applica- tions or requests that present novel questions of fact, law or policy that cannot be resolved under outstanding precedents and guidelines.
(b) The Public Safety and Homeland Security Bureau shall not have author- ity to act upon any applications for re- view of actions taken by the Chief, Public Safety and Homeland Security Bureau, pursuant to any delegated au- thority.
(c) The Public Safety and Homeland Security Bureau shall not have author- ity to act upon any formal or informal radio application or section 214 appli- cation for common carrier services which is in hearing status.
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Federal Communications Commission § 0.401
(d) The Public Safety and Homeland Security Bureau shall not have author- ity to impose, reduce, or cancel forfeit- ures pursuant to section 203 or section 503(b) of the Communications Act of 1934, as amended, in amounts of more than $80,000 for common carrier pro- viders and $20,000 for non-common car- rier providers.
(e) The Chief, Public Safety and Homeland Security Bureau shall not have authority to issue notices of pro- posed rulemaking, notices of inquiry, or reports or orders arising from either of the foregoing except such orders in- volving ministerial conforming amend- ments to rule parts, or orders con- forming any of the applicable rules to formally adopted international conven- tions or agreements where novel ques- tions of fact, law, or policy are not in- volved.
(f) The Chief, Public Safety and Homeland Security Bureau or her/his designee has the authority to rule on emergency requests for Special Tem- porary Authority during non-business hours. Action on emergency requests for Special Temporary Authority dur- ing non-business hours shall be promptly reported to the responsible Bureau or Office.
(g) The Chief, Public Safety and Homeland Security Bureau is author- ized to declare that a temporary state of communications emergency exists pursuant to § 97.401(b) of this chapter and to act on behalf of the Commission with respect to the operation of ama- teur stations during such temporary state of communications emergency.
(h) The Chief, Public Safety and Homeland Security Bureau or her/his designee is authorized to issue non- hearing related subpoenas for the at- tendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, schedules of charges, contracts, agreements, and any other records deemed relevant to the investigation of matters within the jurisdiction of the Public Safety and Homeland Security Bureau. Before issuing a subpoena, the Bureau shall obtain the approval of the Office of General Counsel.
(i) The Chief of the Public Safety and Homeland Security Bureau is delegated authority to administer the commu-
nications disruption reporting require- ments contained in part 4 of this chap- ter and to revise the filing system and template used for the submission of such communications disruption re- ports.
[71 FR 69037, Nov. 29, 2006, as amended at 72 FR 39760, July 20, 2007; 73 FR 9463, Feb. 21, 2008; 75 FR 28207, May 20, 2010]
Subpart C—General Information
GENERAL
§ 0.401 Location of Commission offices.
The Commission maintains several offices and receipt locations. Applica- tions and other filings not submitted in accordance with the addresses or loca- tions set forth below will be returned to the applicant without processing. When an application or other filing does not involve the payment of a fee, the appropriate filing address or loca- tion is established elsewhere in the rules for the various types of submis- sions made to the Commission. The public should identify the correct filing location by reference to these rules. Applications or submissions requiring fees must be submitted in accordance with § 0.401(b) of the rules irrespective of the addresses that may be set out elsewhere in the rules for other submis- sions.
(a) General correspondence, as well as applications and filings not requir- ing the fees set forth at part 1, subpart G of the rules (or not claiming an ex- emption, waiver or deferral from the fee requirement), should be delivered to one of the following locations.
(1) The main office of the Commis- sion is located at 445 12th Street, SW., Washington, DC 20554.
(i) Documents submitted by mail to this office should be addressed to: Fed- eral Communications Commission, Washington, DC 20554.
(ii) Hand-carried documents should be delivered to the Secretary’s Office at 445 12th Street, SW., Washington, DC 20554.
(iii) Electronic filings, where per- mitted, must be transmitted as speci- fied by the Commission or relevant Bu- reau or Office.
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47 CFR Ch. I (10–1–10 Edition)§ 0.401
(2) The Commission’s laboratory is located near Columbia, Maryland. The mailing address is:
Federal Communications Commission, Equipment Authorization Division, 7435 Oakland Mills Road, Columbia, MD 21046
(3) The Commission also maintains offices at Gettysburg, PA.
(i) The address of the Wireless Tele- communications Bureau’s licensing fa- cilities are:
(A) Federal Communications Com- mission, 1270 Fairfield Road, Gettys- burg, PA 17325–7245; and
(B) Federal Communications Com- mission, Wireless Telecommunications Bureau, Washington, DC 20554.
(ii) The mailing address of the Inter- national Telecommunications Section of the Finance Branch is: Federal Com- munications Commission, P.O. Box IT– 70, Gettysburg, PA 17326.
(4) The locations of the field offices of the Compliance and Information Bu- reau are listed in § 0.121.
(5) The location of the Office of Gen- eral Counsel is 445 12th Street, SW, Washington, DC 20554.
(b) Applications or filings requiring the fees set forth at part 1, subpart G of the rules must be delivered to the Com- mission’s lockbox bank in St. Louis, Missouri with the correct fee and com- pleted Fee Form attached to the appli- cation or filing, unless otherwise di- rected by the Commission. In the case of any conflict between this rule sub- part and other rules establishing filing locations for submissions subject to a fee, this subpart shall govern.
NOTE: Applicants seeking a waiver or de- ferral of fees must submit their application or filing in accordance with the addresses set forth below. Applicants claiming a statutory exemption from the fees should file their ap- plications in accordance with paragraph (a) of this section.
(1) Applications and filings submitted by mail shall be addressed to the U.S. Bank in St. Louis, Missouri. The bank maintains separate post office boxes for the receipt of different types of ap- plications. It will also establish special post office boxes to receive responses to special filings such as applications filed in response to ‘‘filing windows’’ established by the Commission. The ad- dress for the submission of filings will
be established in the Public Notice an- nouncing the filing dates. In all other cases, applications and filings sub- mitted by mail should be sent to the addresses listed in the appropriate fee rules.
NOTE: Wireless Telecommunications Bu- reau applications that require frequency co- ordination by certified coordinators must be submitted to the appropriate certified fre- quency coordinator before filing with the Commission. After coordination, the applica- tions are filed with the Commission as set forth herein. (See §§ 90.127 and 90.175 of this chapter.)
(2) Applications and other filings may also be hand carried, in person or by courier, to the U.S. Bank, Govern- ment Lockbox, 1005 Convention Plaza, St. Louis, Missouri. All applications and filings delivered in this manner must be in an envelope clearly marked for the ‘‘Federal Communications Com- mission,’’ and identified with the ap- propriate Post Office Box address as set out in the fee schedule (§§ 1.1102 through 1.1109 of this chapter). Applica- tions should be enclosed in a separate envelope for each Post Office Box. Hand-carried or couriered applications and filings may be delivered at any time on any day. Applications or fil- ings received by the bank before mid- night on any Commission business day will be treated as having been filed on that day. Materials received by the bank after midnight, Monday through Friday, or on weekends or holidays, will be treated as having been filed on the next Commission business day.
(3) Alternatively, applications and other filings may be sent electronically via the Universal Licensing System (ULS) or the Cable Operations and Li- censing System (COALS) as appro- priate for use of those systems.
[52 FR 10227, Mar 31, 1987]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.401, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
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Federal Communications Commission § 0.406
§ 0.403 Office hours. The main offices of the Commission
are open from 8 a.m. to 5:30 p.m., Mon- day through Friday, excluding legal holidays, unless otherwise stated.
[52 FR 10228, Mar. 31, 1987]
§ 0.405 Statutory provisions. The following statutory provisions,
among others, will be of interest to persons having business with the Com- mission:
(a) The Federal Communications Commission was created by the Com- munications Act of 1934, 48 Stat. 1064, June 19, 1934, as amended, 47 U.S.C. 151– 609.
(b) The Commission exercises author- ity under the Submarine Cable Landing Act, 42 Stat. 8, May 27, 1921, 47 U.S.C. 34–39. See section 5 of Executive Order 10530, 19 FR 2709, May 10, 1954, as amended, 3 CFR, 1965 ed., p. 463.
(c) The Commission exercises author- ity under the Communications Sat- ellite Act of 1962, 76 Stat. 419, August 31, 1962, 47 U.S.C. 701–744.
(d) The Commission operates under the Administrative Procedure Act, 60 Stat. 237, June 11, 1946, as amended, originally codified as 5 U.S.C. 1001–1011. Pursuant to Pub. L. 89–554, September 6, 1966, 80 Stat. 378, the provisions of the Administrative Procedure Act now appear as follows in the Code:
Administrative Procedure Act 5 U.S.C.
Sec. 2–9 ...................................... 551–558 Sec. 10 ........................................ 701–706 Sec. 11 ........................................ 3105, 7521, 5362, 1305 Sec. 12 ........................................ 559
[32 FR 10570, July 19, 1967]
§ 0.406 The rules and regulations. Persons having business with the
Commission should familiarize them- selves with those portions of its rules and regulations pertinent to such busi- ness. All of the rules have been pub- lished and are readily available. See §§ 0.411(b), 0.412, and 0.415. For the ben- efit of those who are not familiar with the rules, there is set forth in this sec- tion a brief description of their format and contents.
(a) Format. The rules are set forth in the Code of Federal Regulations as chapter I of title 47. Chapter I is di-
vided into parts numbered from 0–99. Each part, in turn, is divided into num- bered sections. To allow for the addi- tion of new parts and sections in log- ical sequence, without extensive re- numbering, parts and sections are not always numbered consecutively. Thus, for example, part 2 is followed by part 5, and § 1.8 is followed by § 1.10; in this case, parts 3 and 4 and § 1.9 have been reserved for future use. In numbering sections, the number before the period is the part number; and the number after the period locates the section within that part. Thus, for example, § 1.1 is the first section of part 1 and § 5.1 is the first section in part 5. Ex- cept in the case of accounting regula- tions (parts 31–35), the period should not be read as a decimal point; thus, § 1.511 is not located between §§ 1.51 and 1.52 but at a much later point in the rules. In citing the Code of Federal Regulations, the citation, 47 CFR 5.1, for example, is to § 5.1 (in part 5) of chapter I of title 47 of the Code, and permits the exact location of that rule. No citation to other rule units (e.g., subpart or chapter) is needed.
(b) Contents. Parts 0–19 of the rules have been reserved for provisions of a general nature. Parts 20–69 of this chapter have been reserved for provi- sions pertaining to common carriers. Parts 20–29 and 80–109 of this chapter have been reserved for provisions per- taining to the wireless telecommuni- cations services. In the rules per- taining to common carriers, parts 20–25 and 80–99 of this chapter pertain to the use of radio; In the rules pertaining to common carriers, parts 21, 23, and 25 of this chapter pertain to the use of radio; parts 31–66 of this chapter pertain pri- marily to telephone and telegraph companies. Persons having business with the Commission will find it useful to consult one or more of the following parts containing provisions of a gen- eral nature in addition to the rules of the radio or wire communication serv- ice in which they are interested:
(1) Part 0, Commission organization. Part 0 describes the structure and func- tions of the Commission, lists delega- tions of authority to the staff, and sets forth information designed to assist those desiring to obtain information
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47 CFR Ch. I (10–1–10 Edition)§ 0.406
from, or to do business with, the Com- mission. This part is designed, among other things, to meet certain of the re- quirements of the Administrative Pro- cedure Act, as amended.
(2) Part 1 of this chapter, practice and procedure. Part 1, subpart A, of this chapter contains the general rules of practice and procedure. Except as ex- pressly provided to the contrary, these rules are applicable in all Commission proceedings and should be of interest to all persons having business with the Commission. Part 1, subpart A of this chapter also contains certain other miscellaneous provisions. Part 1, sub- part B, of this chapter contains the procedures applicable in formal hear- ing proceedings (see § 1.201 of this chap- ter). Part 1, subpart C, of this chapter contains the procedures followed in making or revising the rule or regula- tions. Part 1, subpart D, of this chapter contains rules applicable to applica- tions for licenses in the Broadcast Radio Services, including the forms to be used, the filing requirements, the procedures for processing and acting upon such applications, and certain other matters. Part 1, subpart E, of this chapter contains general rules and procedures applicable to common car- riers. Part 1, subpart F, of this chapter contain rules applicable to applications for licenses in the Wireless Tele- communications Bureau services, in- cluding the forms to be used, the filing requirements, the procedures for proc- essing and acting on such applications, and certain other matters. Part 1, sub- part F, of this chapter contains rules applicable to applications for licenses in the Private Radio Services, includ- ing the forms to be used, the filing re- quirements, the procedures for proc- essing and acting on such applications, and certain other matters. Part 1, sub- part G, of this chapter contains rules pertaining to the application proc- essing fees established by the Consoli- dated Omnibus Budget Reconciliation Act of 1985 (Pub. L. 99–272, 100 Stat. 82 (1986)) and also contains rules per- taining to the regulatory fees estab- lished by the Omnibus Budget Rec- onciliation Act of 1993 (Pub. L. 103–66, 107 Stat. 397 (1993)). Part 1, subpart H, of this chapter, concerning ex parte presentations, sets forth standards gov-
erning communications with commis- sion personnel in hearing proceedings and contested application proceedings. Part 1, subparts G and H, of this chap- ter will be of interest to all regulatees, and part 1, subpart H, of this chapter will, in addition, be of interest to all persons involved in hearing pro- ceedings.
(3) Part 2, frequency allocations and radio treaty matters; general rules and regulations. Part 2 will be of interest to all persons interested in the use of radio. It contains definitions of tech- nical terms used in the rules and regu- lations; provisions governing the allo- cation of radio frequencies among the numerous uses made of radio (e.g., broadcasting, land mobile) and radio services (e.g., television, public safety), including the Table of Frequency Allo- cations (§ 2.106); technical provisions dealing with emissions; provisions dealing with call signs and emergency communications; provisions governing authorization of radio equipment; and a list of treaties and other inter- national agreements pertaining to the use of radio.
(4) Part 5, experimental radio services (other than broadcast). Part 5 deals with the temporary use of radio frequencies for research in the radio art, for com- munication involving other research projects, and for the development of equipment, data, or techniques.
(5) Part 13, commercial radio operators. Part 13 describes the procedures to be followed in applying for a commercial operator license, including the forms to be used and the examinations given, and sets forth rules governing licensed operators. It will be of interest to ap- plicants for such licenses, licensed op- erators, and the licensees of radio sta- tions which may be operated only by persons holding a commercial radio op- erator license.
(6) Part 15, radio frequency devices. Part 15 contains regulations designed to prevent harmful interference to radio communication from radio re- ceivers and other devices which radiate radio frequency energy, and provides for the certification of radio receivers. It also provides for the certification of low power transmitters and for the op- eration of certificated transmitters without a license.
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Federal Communications Commission § 0.408
(7) Part 17, construction, marking, and lighting of antenna structures. Part 17 contains criteria for determining whether applications for radio towers require notification of proposed con- struction to the Federal Aviation Ad- ministration, and specifications for ob- struction marking and lighting of an- tenna structures.
(8) Part 18, industrial, scientific and medical equipment. Part 18 contains reg- ulations designed to prevent harmful interference to radio communication from ultrasonic equipment, industrial heating equipment, medical diathermy equipment, radio frequency stabilized arc welders, and other equipment which uses radio energy for purposes other than communication.
(9) Part 19, employee responsibilities and conduct. Part 19 prescribes stand- ards of conduct for the members and staff of the Commission.
[32 FR 10571, July 19, 1967, as amended at 32 FR 12180, Aug. 24, 1967; 37 FR 20553, Sept. 30, 1972; 52 FR 5288, Feb. 20, 1987; 58 FR 13021, Mar. 9, 1993; 59 FR 30998, June 16, 1994; 60 FR 35507, July 10, 1995; 63 FR 36596, July 7, 1998]
§ 0.408 OMB control numbers and expi- ration dates assigned pursuant to the Paperwork Reduction Act of 1995.
(a) Purpose. This section displays the control numbers and expiration dates for the Commission information collec- tion requirements assigned by the Of- fice of Management and Budget (‘‘OMB’’) pursuant to the Paperwork Reduction Act of 1995, Public Law 104– 13. The Commission intends that this section comply with the requirement that agencies ‘‘display’’ current con- trol numbers and expiration dates as- signed by the Director, OMB, for each approved information collection re- quirement. Not withstanding any other provisions of law, no person shall be subject to any penalty for failing to comply with a collection of informa- tion subject to the Paperwork Reduc- tion Act (PRA) that does not display a currently valid OMB control number. Questions concerning the OMB control numbers and expiration dates should be directed to the Associate Managing Di- rector—Performance Evaluation and Records Management, (‘‘AMD– PERM’’), Office of Managing Director, Federal Communications Commission, Washington, DC 20554 by sending an e- mail to Judith-B.Herman@fcc.gov.
(b) Display.
OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0004 ................ Secs. 1.1307 and 1.1311, Guidelines for Evaluating the Environmental Ef- fects of Radiofrequency Radiation, ET Docket No. 93–62.
03/31/11
3060–0009 ................ FCC 316 ............................................................................................................. 06/30/11 3060–0010 ................ FCC 323 ............................................................................................................. 01/31/09 3060–0016 ................ FCC 346 ............................................................................................................. 03/31/11 3060–0017 ................ FCC 347 ............................................................................................................. 05/31/09 3060–0027 ................ FCC 301 ............................................................................................................. 08/31/11 3060–0029 ................ FCC 302–DTV .................................................................................................... 05/31/11 3060–0031 ................ FCC 314, FCC 315 ............................................................................................ 06/30/11 3060–0053 ................ FCC 703 ............................................................................................................. 06/30/11 3060–0055 ................ FCC 327 ............................................................................................................. 10/31/09 3060–0056 ................ Part 68 ................................................................................................................ 05/31/11 3060–0057 ................ FCC 731 ............................................................................................................. 03/31/11 3060–0059 ................ FCC 740 ............................................................................................................. 02/28/10 3060–0061 ................ FCC 325 ............................................................................................................. Pending OMB Approval. 3060–0065 ................ FCC 442 ............................................................................................................. 06/30/11 3060–0068 ................ FCC 702 ............................................................................................................. 06/30/11 3060–0075 ................ FCC 345 ............................................................................................................. 06/30/11 3060–0076 ................ FCC 395 ............................................................................................................. 12/31/10 3060–0084 ................ FCC 323–E ......................................................................................................... 03/31/11 3060–0093 ................ FCC 405 ............................................................................................................. 01/31/09 3060–0095 ................ FCC 395–A ......................................................................................................... Pending OMB Approval. 3060–0106 ................ Part 43 ................................................................................................................ 05/31/10 3060–0110 ................ FCC 303–S ......................................................................................................... 06/30/11 3060–0113 ................ FCC 396/396–A .................................................................................................. 12/31/09 3060–0126 ................ Sec. 73.1820 ...................................................................................................... 12/31/08 3060–0132 ................ FCC 1068A ......................................................................................................... 11/30/09 3060–0139 ................ FCC 854 ............................................................................................................. Pending OMB Approval.
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47 CFR Ch. I (10–1–10 Edition)§ 0.408
OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0147 ................ Sec. 64.804 ........................................................................................................ 01/31/09 3060–0149 ................ Part 63, Section 214, Secs. 63.01, 63.602; 63.50, 63.51, 63.52, 63.53; 63.61,
63.62, 63.63; 63.65, 63.66; 63.71; 63.90; 63.500, 63.501; 63.504, 63.505 and 63.601.
03/31/11
3060–0157 ................ Sec. 73.99 .......................................................................................................... 02/28/09 3060–0161 ................ Sec. 73.61 .......................................................................................................... 05/31/09 3060–0166 ................ Part 42 ................................................................................................................ 11/30/10 3060–0168 ................ Sec. 43.43 .......................................................................................................... 09/30/09 3060–0169 ................ Secs. 43.51 and 43.53 ....................................................................................... Pending OMB Approval. 3060–0170 ................ Sec. 73.1030 ...................................................................................................... 12/31/10 3060–0171 ................ Sec. 73.1125 ...................................................................................................... 12/31/10 3060–0174 ................ Secs. 73.1212, 76.1615, and 76.1715 ............................................................... 02/28/09 3060–0175 ................ Sec. 73.1250 ...................................................................................................... 06/30/11 3060–0176 ................ Sec. 73.1510 ...................................................................................................... 02/28/09 3060–0178 ................ Sec. 73.1560 ...................................................................................................... 01/31/09 3060–0179 ................ Sec. 73.1590 ...................................................................................................... 10/31/10 3060–0180 ................ Sec. 73.1610 ...................................................................................................... 10/31/10 3060–0182 ................ Sec. 73.1620 ...................................................................................................... 05/31/10 3060–0184 ................ Sec. 73.1740 ...................................................................................................... 10/31/10 3060–0185 ................ Sec. 73.3613 ...................................................................................................... 02/28/11 3060–0188 ................ Call Sign Reservation and Authorization System .............................................. 11/30/10 3060–0190 ................ Sec. 73.3544 ...................................................................................................... 01/31/10 3060–0192 ................ Sec. 87.103 ........................................................................................................ 09/30/10 3060–0202 ................ Sec. 87.37 .......................................................................................................... 09/30/09 3060–0204 ................ Sec. 90.20(a)(2)(v) ............................................................................................. 01/31/09 3060–0207 ................ Part 11 ................................................................................................................ 08/31/11 3060–0208 ................ Sec. 73.1870 ...................................................................................................... 09/30/09 3060–0213 ................ Sec. 73.3525 ...................................................................................................... 12/31/09 3060–0214 ................ Secs. 73.3526 and 73.3527; Secs. 76.1701 and 73.1943 ................................ Pending OMB Approval. 3060–0216 ................ Sec. 73.3538 and Sec. 73.1690(e) .................................................................... 02/28/11 3060–0219 ................ Sec. 90.20(a)(2)(xi) ............................................................................................. 11/30/08 3060–0221 ................ Sec. 90.155 (b) and (d) ...................................................................................... 01/31/11 3060–0222 ................ Sec. 97.213 ........................................................................................................ 09/30/09 3060–0223 ................ Sec. 90.129 ........................................................................................................ 01/31/09 3060–0228 ................ Sec. 80.59 .......................................................................................................... 07/31/10 3060–0233 ................ Part 36 ................................................................................................................ 11/30/09 3060–0236 ................ Sec. 74.703 ........................................................................................................ 06/30/11 3060–0248 ................ Sec. 74.751 ........................................................................................................ 02/28/11 3060–0249 ................ Secs. 74.781, 74.1281, and 78.69 ..................................................................... 10/31/09 3060–0250 ................ Secs. 73.1207, 74.784 and 74.1284 .................................................................. 10/31/10 3060–0259 ................ Sec. 90.263 ........................................................................................................ 09/30/09 3060–0261 ................ Sec. 90.215 ........................................................................................................ 06/30/10 3060–0262 ................ Sec. 90.179 ........................................................................................................ 03/31/11 3060–0264 ................ Sec. 80.413 ........................................................................................................ 09/30/09 3060–0265 ................ Sec. 80.868 ........................................................................................................ 05/31/10 3060–0270 ................ Sec. 90.443 ........................................................................................................ 01/31/10 3060–0281 ................ Sec. 90.651 ........................................................................................................ 06/30/10 3060–0286 ................ Sec. 80.302 ........................................................................................................ 04/30/10 3060–0288 ................ Sec. 78.33 .......................................................................................................... 02/28/09 3060–0289 ................ Secs. 76.601, 76.1704, 76.1705, and 76.1717 .................................................. 06/30/11 3060–0290 ................ Sec. 90.517 ........................................................................................................ 04/30/11 3060–0291 ................ Sec. 90.477(a), (b)(2), (d)(2) and (d)(3) ............................................................. 06/30/11 3060–0292 ................ Part 69 (Sec. 69.605) ......................................................................................... 01/31/10 3060–0295 ................ Sec. 90.607(b)(1) and (c)(1) ............................................................................... 04/30/10 3060–0297 ................ Sec. 80.503 ........................................................................................................ 09/30/09 3060–0298 ................ Part 61 ................................................................................................................ 07/31/11 3060–0307 ................ Amendment of Part 90 of the Commission’s Rules to Facilitate Future Devel-
opment of SMR Systems in the 800 MHz Frequency Band. 01/31/10
3060–0308 ................ Sec. 90.505 ........................................................................................................ 04/30/10 3060–0310 ................ FCC 322 ............................................................................................................. 10/31/09 3060–0311 ................ Sec. 76.54 .......................................................................................................... 04/30/11 3060–0316 ................ Secs. 76.1700, 76.1702, 76.1703, 76.1704, 76.1707, and 76.1711 ................. 02/28/11 3060–0320 ................ Sec. 73.1350 ...................................................................................................... 03/31/10 3060–0325 ................ Sec. 80.605 ........................................................................................................ 09/30/11 3060–0329 ................ Sec. 2.955 .......................................................................................................... 01/31/09 3060–0331 ................ FCC 321 ............................................................................................................. 10/31/09 3060–0332 ................ Secs. 76.614 and 76.1706 ................................................................................. 11/30/10 3060–0340 ................ Sec. 73.51 .......................................................................................................... 01/31/10 3060–0341 ................ Sec. 73.1680 ...................................................................................................... 10/31/09 3060–0346 ................ Sec. 78.27 .......................................................................................................... 01/31/10 3060–0347 ................ Sec. 97.311 ........................................................................................................ 01/31/09 3060–0349 ................ Secs. 73.2080, 76.73, 76.75, 76.79, and 76.1702 ............................................. 01/31/10 3060–0355 ................ FCC 492 and FCC 492A .................................................................................... 07/31/10
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Federal Communications Commission § 0.408
OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0357 ................ Sec. 63.701 ........................................................................................................ 06/30/11 3060–0360 ................ Sec. 80.409 ........................................................................................................ 11/30/10 3060–0370 ................ Part 32 ................................................................................................................ 04/30/11 3060–0384 ................ Secs. 64.904 and 64.905 ................................................................................... 01/31/11 3060–0386 ................ Sec. 73.1635 ...................................................................................................... 08/31/11 3060–0387 ................ Sec. 15.201(d) .................................................................................................... 09/30/09 3060–0390 ................ FCC 395–B ......................................................................................................... Pending OMB Approval. 3060–0391 ................ Parts 54 and 36, Program to Monitor the Impacts of the Universal Service
Support Mechanisms. 05/31/11
3060–0392 ................ 47 CFR Part 1, Subpart J, Pole Attachment Complaint Procedures ................. 01/31/10 3060–0394 ................ Sec. 1.420 .......................................................................................................... 06/30/11 3060–0395 ................ FCC Reports 43–02, FCC 43–05 and FCC 43–07 ............................................ Pending OMB Approval. 3060–0398 ................ Secs. 2.948 and 15.117(g)(2) ............................................................................ 08/31/09 3060–0400 ................ Tariff Review Plan .............................................................................................. 03/31/09 3060–0404 ................ FCC 350 ............................................................................................................. 02/28/11 3060–0407 ................ Sec. 73.3598 ...................................................................................................... 06/30/11 3060–0410 ................ FCC 495A and FCC 495B ................................................................................. Pending OMB Approval. 3060–0411 ................ FCC 485 ............................................................................................................. 05/31/10 3060–0414 ................ Terrain Shielding Policy ...................................................................................... 01/31/10 3060–0419 ................ Secs. 76.94, 76.95, 76.105, 76.106, 76.107, and 76.1609 ............................... 07/31/11 3060–0422 ................ Sec. 68.5 ............................................................................................................ 09/30/10 3060–0423 ................ Sec. 73.3588 ...................................................................................................... 11/30/08 3060–0430 ................ Sec. 1.1206 ........................................................................................................ 04/30/11 3060–0433 ................ FCC 320 ............................................................................................................. 05/31/11 3060–0434 ................ Sec. 90.20(e)(6) .................................................................................................. 05/31/11 3060–0436 ................ Equipment Authorization—Cordless Telephone Security Coding ...................... 06/30/09 3060–0439 ................ Sec. 64.201 ........................................................................................................ 10/31/10 3060–0441 ................ Sec. 90.621(b)(4) and (b)(5) .............................................................................. 09/30/09 3060–0454 ................ Secs. 43.51, 64.1001, and 64.1002 ................................................................... 08/31/11 3060–0463 ................ Telecommunications Relay Services and Speech-to-Speech Services for Indi-
viduals with Hearing and Speech Disabilities, Report and Order and De- claratory Ruling, CG Docket No. 03–123, FCC 07–186.
07/31/11
3060–0466 ................ Secs. 73.1201, 74.783, and 74.1283 ................................................................. 12/31/10 3060–0470 ................ Secs. 64.901 and 64.903, and RAO Letters 19 and 26 .................................... 02/28/11 3060–0473 ................ Sec. 74.1251 ...................................................................................................... 09/30/11 3060–0474 ................ Sec. 74.1263 ...................................................................................................... 02/28/09 3060–0484 ................ Part 4 of the Commission’s Rules Concerning Disruptions to Communications 02/28/11 3060–0489 ................ Sec. 73.37 .......................................................................................................... 01/31/10 3060–0496 ................ FCC Report 43–08 ............................................................................................. 03/31/10 3060–0500 ................ Sec. 76.1713 ...................................................................................................... 10/31/10 3060–0501 ................ Secs. 73.1942, 76.206 and 76.1611 .................................................................. 01/31/09 3060–0506 ................ FCC 302–FM ...................................................................................................... 04/30/09 3060–0508 ................ Part 1 and Part 22 Reporting and Recordkeeping Requirements ..................... 04/30/11 3060–0511 ................ FCC Report 43–04 ............................................................................................. 10/31/08 3060–0512 ................ FCC Report 43–01 ............................................................................................. 07/31/09 3060–0513 ................ FCC Report 43–03 ............................................................................................. 07/31/09 3060–0514 ................ Sec. 43.21(b) ...................................................................................................... 03/31/09 3060–0515 ................ Sec. 43.21(c) ...................................................................................................... 08/31/11 3060–0519 ................ Rules and Regulations Implementing the Telephone Consumer Protection Act
(TCPA) of 1991, Order, CG Docket No. 02–278. 11/30/10
3060–0526 ................ Sec. 69.123, Density Pricing Zone Plans, Expanded Interconnection with Local Telephone Company Facilities.
08/31/11
3060–0531 ................ Local Multipoint Distribution Service (LMDS) ..................................................... 01/31/10 3060–0532 ................ Secs. 2.1033(b)(10) and 15.121 ........................................................................ 12/31/08 3060–0537 ................ Sec. 13.217 ........................................................................................................ 04/30/11 3060–0546 ................ Sec. 76.59 .......................................................................................................... 03/31/09 3060–0548 ................ Secs. 76.1708, 76.1709, 76.1620, 76.56, and 76.1614 ..................................... 07/31/11 3060–0550 ................ FCC 328 ............................................................................................................. 09/30/11 3060–0560 ................ Sec. 76.911 ........................................................................................................ 07/31/10 3060–0561 ................ Sec. 76.913 ........................................................................................................ 11/30/09 3060–0562 ................ Sec. 76.916 ........................................................................................................ 04/30/10 3060–0565 ................ Sec. 76.944 ........................................................................................................ 12/31/09 3060–0567 ................ Sec. 76.962 ........................................................................................................ 12/31/10 3060–0568 ................ Secs. 76.970, 76.971 and 76.975 ...................................................................... 10/31/09 3060–0569 ................ Sec. 76.975 ........................................................................................................ 08/31/09 3060–0572 ................ Filing Manual for Annual International Circuit Status Reports ........................... 05/31/10 3060–0573 ................ FCC 394 ............................................................................................................. 06/30/09 3060–0580 ................ Sec. 76.1710 ...................................................................................................... 01/31/10 3060–0584 ................ FCC 44 and FCC 45 .......................................................................................... 04/30/09 3060–0589 ................ FCC 159, FCC 159–B, FCC 159–C, FCC 159–E, and FCC 159–W ................ 01/31/11 3060–0594 ................ FCC 1220 ........................................................................................................... 08/31/10 3060–0599 ................ Secs. 90.647 and 90.425 ................................................................................... 03/31/10 3060–0600 ................ FCC 175 ............................................................................................................. 11/30/09
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47 CFR Ch. I (10–1–10 Edition)§ 0.408
OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0601 ................ FCC 1200 ........................................................................................................... 08/31/10 3060–0607 ................ Sec. 76.922 ........................................................................................................ 11/30/09 3060–0609 ................ Sec. 76.934(e) .................................................................................................... 10/31/10 3060–0625 ................ Sec. 24.103 ........................................................................................................ 04/30/10 3060–0626 ................ Sec. 90.483 ........................................................................................................ 12/31/10 3060–0627 ................ FCC 302–AM ...................................................................................................... 05/31/09 3060–0633 ................ Secs. 73.1230, 74.165, 74.432, 74.564, 74.664, 74.765, 74.832, and 74.1265 10/31/10 3060–0634 ................ Sec. 73.691 ........................................................................................................ 02/28/10 3060–0636 ................ Sec. 2.1075 ........................................................................................................ 04/30/09 3060–0645 ................ Sec. 17.4 ............................................................................................................ 04/30/09 3060–0647 ................ Annual Cable Price Survey and Supplemental Questions ................................ 08/31/09 3060–0649 ................ Secs. 76.1601, 76.1617, 76.1697 and 76.1708 ................................................. 12/31/10 3060–0652 ................ Secs. 76.309, 76.1602, 76.1603, and 76.1619 .................................................. 03/31/11 3060–0653 ................ Sec. 64.703(b) and (c) ....................................................................................... 04/30/11 3060–0655 ................ Request for Waivers of Regulatory and Application Fees Predicated on Alle-
gations of Financial Hardship. 05/31/10
3060–0665 ................ Sec. 64.707 ........................................................................................................ 10/31/10 3060–0667 ................ Secs. 76.630, 76.1621, and 76.1622 ................................................................. 03/31/11 3060–0668 ................ Sec. 76.936 ........................................................................................................ 12/31/10 3060–0669 ................ Sec. 76.946 ........................................................................................................ 02/28/11 3060–0674 ................ Sec. 76.1618 ...................................................................................................... 08/31/11 3060–0678 ................ FCC 312, Schedule S ........................................................................................ 03/31/10 3060–0681 ................ Secs. 52.103 and 52.105 ................................................................................... 10/31/09 3060–0685 ................ FCC 1210 and FCC 1240 .................................................................................. 04/30/09 3060–0686 ................ Streamlining the International Section 214 Authorization Process and Tariff
Requirements. 02/28/09
3060–0687 ................ Access to Telecommunications Equipment and Services by Persons with Dis- abilities, CC Docket No. 87–124.
05/31/09
3060–0688 ................ FCC 1235 ........................................................................................................... 11/30/10 3060–0690 ................ Sec. 101.17 ........................................................................................................ 09/30/09 3060–0691 ................ Sec. 90.665 ........................................................................................................ 07/31/10 3060–0692 ................ Home Wiring Provisions ..................................................................................... 03/31/10 3060–0695 ................ Sec. 87.219 ........................................................................................................ 01/31/09 3060–0698 ................ Secs. 23.20, 25.203, and 73.1030, Radio Astronomy Coordination Zone in
Puerto Rico. 11/30/10
3060–0700 ................ FCC 1275 ........................................................................................................... 07/31/10 3060–0703 ................ FCC 1205 ........................................................................................................... 04/30/09 3060–0704 ................ Policy and Rules Concerning the Interstate, Interexchange Marketplace; Im-
plementation of Section 254(g) of the Communications Act of 1934, as amended, CC Docket No. 96–61.
01/31/09
3060–0706 ................ Cable Act Reform ............................................................................................... Pending OMB Approval. 3060–0707 ................ Over-the Air Reception Devices (OTARD) ......................................................... 06/30/11 3060–0710 ................ Policy and Rules Concerning the Implementation of the Local Competition
Provisions in the Telecommunications Act of 1996—CC Docket No. 96–98. 02/28/10
3060–0711 ................ Secs. 1.5001, 1.5002, 1.5003, 1.5004, 1.5005, 1.5006 and 1.5007, Imple- mentation of Section 34(a)(1) of the Public Utility Holding Company Act of 1935.
10/31/09
3060–0713 ................ Alternative Broadcast Inspection Program (ABIP) Compliance Notification ...... 04/30/11 3060–0715 ................ Telecommunications Carriers’ Use of Customer Proprietary Network Informa-
tion (CPNI) and Other Customer Information—CC Docket No. 96–115. 07/31/11
3060–0716 ................ Secs. 73.88, 73.718, 73.685 and 73.1630 ......................................................... 11/30/09 3060–0717 ................ Secs. 64.703(a), 64.709, and 64.710 ................................................................. 06/30/11 3060–0718 ................ Part 101, Governing the Terrestrial Microwave Fixed Radio Service ............... 06/30/09 3060–0719 ................ Quarterly Report of IntraLATA Carriers Listing Payphone Automatic Number
Identifications (ANIs). 01/31/10
3060–0723 ................ Public Disclosure of Network Information by Bell Operating Companies (BOCs).
10/31/09
3060–0725 ................ Quarterly Filing of Nondiscrimination Reports (on Quality of Service, Installa- tion, and Maintenance) by Bell Operating Companies (BOCs).
08/31/09
3060–0727 ................ Sec. 73.213 ........................................................................................................ 01/31/10 3060–0734 ................ Secs. 53.209, 53.211 and 53.213; Sections 260 and 271–276 of the Commu-
nications Act of 1934, as amended. 07/31/11
3060–0737 ................ Disclosure Requirements for Information Services Provided Under a Presubscription or Comparable Arrangement.
06/30/09
3060–0740 ................ Sec. 95.1015 ...................................................................................................... 01/31/09 3060–0741 ................ Implementation of the Local Competition Provisions of the Telecommuni-
cations Act of 1996—CC Docket No. 96–98. 01/31/11
3060–0742 ................ Secs. 52.21, 52.22, 52.23, 52.24, 52.25, 52.26, 52.27, 52.28, 52.29, 52.30, 52.31, 52.32 and 52.33 and CC Docket No. 95–116.
11/30/08
3060–0743 ................ Implementation of the Pay Telephone Reclassification and Compensation Provisions of the Telecommunications Act of 1996—CC Docket No. 96– 128.
01/31/10
3060–0745 ................ Implementation of the Local Exchange Carrier Tariff Streamlining Provisions of the Telecommunications Act of 1996, CC Docket No. 96–187.
11/30/09
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3060–0748 ................ Sec. 64.1504 ...................................................................................................... 04/30/10 3060–0749 ................ Sec. 64.1509 ...................................................................................................... 04/30/10 3060–0750 ................ Secs. 73.671 and 73.673 ................................................................................... 07/31/11 3060–0751 ................ Reports Concerning International Private Lines Interconnected to the U.S.
Public Switched Network. 01/31/09
3060–0752 ................ Sec. 64.1510 ...................................................................................................... 04/30/10 3060–0754 ................ FCC 398 ............................................................................................................. 06/30/09 3060–0755 ................ Secs. 59.1, 59.2, 59.3 and 59.4 ......................................................................... 03/31/09 3060–0757 ................ FCC Auctions Customer Survey ........................................................................ 03/31/10 3060–0758 ................ Amendment of Part 5 of the Commission’s Rules to Revise the Experimental
Radio Service Regulations, ET Docket No. 96–256. 03/31/10
3060–0760 ................ Access Charge Reform, CC Docket No. 96–262 .............................................. Pending OMB Approval. 3060–0761 ................ Sec. 79.1 ............................................................................................................ 12/31/08 3060–0763 ................ FCC Report 43–06 ............................................................................................. 04/30/09 3060–0767 ................ Sections 1.2110, 1.2111, and 1.2112, Auction Forms and License Transfer
Disclosure Requirements. 04/30/11
3060–0768 ................ 28 GHz Band Segmentation Plan Amending the Commission’s Rules to Re- designate the 27.5—29.5 GHz Frequency Band, to Reallocate the 29.5— 30.0 GHz Frequency Band, and to Establish Rules and Policies for Local Multipoint Distribution Services (LMDS) and for the Fixed Satellite Service (FSS).
01/31/09
3060–0770 ................ Price Cap Performance Review for Local Exchange Carriers—CC Docket No. 94–1 (New Services).
11/30/08
3060–0773 ................ Sec. 2.803 .......................................................................................................... 02/28/10 3060–0774 ................ Parts 36 and 54, Federal-State Joint Board on Universal Service .................... 04/30/11 3060–0775 ................ Sec. 64.1903 ...................................................................................................... 01/31/10 3060–0779 ................ Amendment of Part 90 of the Commission’s Rules to Provide for Use of the
220 MHz Band by the Private Land Mobile Radio Service (PLMRS), PR Docket No. 89–552.
09/30/10
3060–0782 ................ Petition for Limited Modification of LATA Boundaries to Provide Expanded Local Calling Service (ELCS) at Various Locations.
11/30/09
3060–0783 ................ Sec. 90.176 ........................................................................................................ 01/31/09 3060–0786 ................ Petitions for LATA Association Changes by Independent Telephone Compa-
nies. 11/30/09
3060–0787 ................ Implementation of Subscriber Carrier Selection Changes Provisions of the Telecommunications Act of 1996; Policies and Rules Concerning Unauthor- ized Changes of Consumers’ Long Distance.
07/31/11
3060–0788 ................ DTV Showings/Interference Agreements ........................................................... 01/31/11 3060–0790 ................ Sec. 68.110(c) .................................................................................................... 10/31/09 3060–0791 ................ Accounting for Judgments and Other Costs Associated with Litigation, CC
Docket No. 93–240. 11/30/09
3060–0793 ................ Federal-State Joint Board on Universal Service, Procedures for Self-Certi- fying as a Rural Carrier, CC Docket No. 96–45.
09/30/11
3060–0795 ................ FCC 606 ............................................................................................................. 06/30/11 3060–0798 ................ FCC 601 ............................................................................................................. 12/31/10 3060–0799 ................ FCC 602 ............................................................................................................. 12/31/10 3060–0800 ................ FCC 603 ............................................................................................................. 01/31/11 3060–0804 ................ FCC 465, FCC 466, FCC 466–A, and FCC 467 ............................................... Pending OMB Approval. 3060–0805 ................ Secs. 90.523, 90.527, 90.545 and 90.1211 ....................................................... 07/31/11 3060–0806 ................ FCC 470 and FCC 471 ...................................................................................... 01/31/11 3060–0807 ................ Sec. 51.803 and Supplemental Procedures for Petitions to Section 252(e)(5)
of the Communications Act of 1934, as amended. 09/30/10
3060–0809 ................ Communications Assistance for Law Enforcement Act (CALEA) ...................... 01/31/11 3060–0810 ................ Procedures for Designation of Eligible Telecommunications Carriers (ETCs)
Pursuant to Section 214(e)(6) of the Communications Act of 1934, as amended.
09/30/09
3060–0812 ................ Exemption from Payment of Regulatory Fees When Claiming Non-Profit Sta- tus.
01/31/09
3060–0813 ................ Commission’s Rules to Ensure Compatibility with Enhanced 911 Calling Sys- tems.
02/28/09
3060–0814 ................ Sec. 54.301, Local Switching Support and Local Switching Support Data Col- lection Form and Instructions.
02/28/11
3060–0816 ................ FCC 477 ............................................................................................................. 06/30/11 3060–0817 ................ Computer III Further Remand Proceedings: BOC Provision of Enhanced
Services (ONA Requirements), CC Docket No. 95–20. 09/30/09
3060–0819 ................ Secs. 54.400, 54.401, 54.402, 54.403, 54.404, 54.405, 54.406, 54.407, 54.408, 54.409. 54.410, 54.411, 54.412, 54.413, 54.414, 54.415, 54.416 and 54.417, and FCC 497.
07/31/11
3060–0823 ................ Part 64, Pay Telephone Reclassification ........................................................... 06/30/11 3060–0824 ................ FCC 498 ............................................................................................................. 09/30/09 3060–0833 ................ Implementation of Section 255 of the Telecommunications Act of 1996: Com-
plaint Filings. 04/30/11
3060–0835 ................ FCC 806, FCC 824, FCC 827 and FCC 829 ..................................................... 04/30/09
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OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0841 ................ Public Notice—Additional Processing Guidelines for DTV (Nonchecklist Appli- cations).
02/28/11
3060–0844 ................ Carriage of the Transmissions of Digital Television Broadcast Stations ........... 11/30/10 3060–0848 ................ Deployment of Wireline Services Offering Advanced Telecommunications Ca-
pability—CC Docket No. 98–147. 04/30/09
3060–0849 ................ Commercial Availability of Navigation Devices, CS Docket No. 97–80 ............ 06/30/10 3060–0850 ................ FCC 605 ............................................................................................................. 04/30/11 3060–0853 ................ FCC 479, FCC 486, and FCC 500 .................................................................... 04/30/10 3060–0854 ................ Truth-in-Billing Format, CC Docket No. 98–170 ................................................ Pending OMB Approval. 3060–0855 ................ FCC 499–A and FCC 499–Q ............................................................................. 09/30/10 3060–0856 ................ FCC 472, FCC 473, and FCC 474 .................................................................... 04/30/10 3060–0859 ................ Suggested Guidelines for Petitions for Ruling under Section 253 of the Com-
munications Act. 06/30/09
3060–0862 ................ Handling Confidential Information ...................................................................... 06/30/11 3060–0863 ................ Satellite Delivery of Network Signals to Unserved Households for Purposes
of the Satellite Home Viewer Act (SHVA). 04/30/09
3060–0865 ................ Wireless Telecommunications Bureau Universal Licensing System Record- keeping and Third-Party Disclosure Requirements.
07/31/10
3060–0874 ................ FCC 475B, FCC 2000 Series, FCC Form E ...................................................... 09/30/10 3060–0876 ................ Sec. 54.703 and Secs. 54.719, 54.720, 54.721, 54.722, 54.723, 54.724 and
54.725. 09/30/09
3060–0881 ................ Sec. 95.861 ........................................................................................................ 08/31/11 3060–0882 ................ Sec. 95.833 ........................................................................................................ 01/31/09 3060–0888 ................ Secs. 76.7, 76.9, 76.61, 76.914, 76.1003, 76.1302, and 76.1513 .................... 02/28/11 3060–0894 ................ Secs. 54.313 and 54.316 and Certification Letter Accounting for Receipt of
Federal Support and Rate Comparability Review and Certification. 09/30/10
3060–0895 ................ FCC 502 ............................................................................................................. 05/31/10 3060–0896 ................ Broadcast Auction Form Exhibits ....................................................................... 12/31/08 3060–0900 ................ Compatibility of Wireless Services with Enhanced 911—CC Docket No. 94–
102. 02/28/09
3060–0901 ................ Reports of Common Carriers and Affiliates ....................................................... 04/30/09 3060–0905 ................ Secs. 18.213 and 18.307 ................................................................................... 11/30/08 3060–0906 ................ FCC 317 ............................................................................................................. 05/31/09 3060–0910 ................ Third Report and Order in CC Docket No. 94–102 to Ensure Compatibility
with Enhanced 911 Emergency Calling Systems. 09/30/09
3060–0912 ................ Cable Attribution Rules ....................................................................................... 11/30/09 3060–0917 ................ FCC 160 ............................................................................................................. 03/31/10 3060–0918 ................ FCC 161 ............................................................................................................. 03/31/10 3060–0920 ................ FCC 318 ............................................................................................................. 06/30/11 3060–0921 ................ Petitions for LATA Boundary Modification for the Deployment of Advanced
Services. 09/30/09
3060–0922 ................ FCC 397 ............................................................................................................. 09/30/09 3060–0927 ................ Auditor’s Annual Independence and Objectivity Certification ............................ 04/30/09 3060–0928 ................ FCC 302–CA ...................................................................................................... 01/31/10 3060–0931 ................ Maritime Mobile Services Identity (MMSI) ......................................................... 06/30/09 3060–0932 ................ FCC 301–CA ...................................................................................................... 02/28/11 3060–0936 ................ Secs. 95.1215 and 95.1217 ............................................................................... 08/31/09 3060–0937 ................ Establishment of a Class A Television Service, MM Docket No. 00–10 ........... 09/30/10 3060–0938 ................ FCC 319 ............................................................................................................. 09/30/09 3060–0942 ................ Access Charge Reform, Price Cap Performance Review for Local Exchange
Carriers, Low-Volume Long Distance Users, Federal-State Joint Board on Universal Service.
03/31/10
3060–0943 ................ Sec. 54.809 ........................................................................................................ 10/31/09 3060–0944 ................ Review of Commission Consideration of Applications Under the Cable Land-
ing License Act. 03/31/09
3060–0949 ................ FCC 159–W ........................................................................................................ 03/31/10 3060–0950 ................ Bidding Credits for Tribal Lands, WT Docket No. 99–266 ................................ 09/30/10 3060–0951 ................ Sec. 1.1204(b) Note, and Sec. 1.1206(a) Note 1 .............................................. 01/31/10 3060–0952 ................ Proposed Demographic Information and Notifications, CC Docket Nos. 98–
147 and 96–98. 01/31/10
3060–0953 ................ Wireless Medical Telemetry Service, ET Docket No. 99–255, FCC 00–211 .... 04/30/10 3060–0955 ................ 2 GHz Mobile Satellite Service Reports ............................................................. 02/28/10 3060–0957 ................ Requests for Waiver of Deadline on Location-Capable Handset Deployment
(4th MO&O in CC Docket No. 94–102). 12/31/10
3060–0960 ................ Secs. 76.122, 76.123, 76.124 and 76.127 ......................................................... 04/30/11 3060–0962 ................ Redesignation of the 18 GHz Frequency Band, Blanket Licensing of Satellite
Earth Stations in the Ka-Band, and the Allocation of Additional Spectrum for Broadcast Satellite Service Use.
11/30/08
3060–0967 ................ Sec. 79.2 ............................................................................................................ 09/30/10 3060–0968 ................ FCC 501 ............................................................................................................. 09/30/10 3060–0971 ................ Sec. 52.15 .......................................................................................................... 01/31/11 3060–0972 ................ FCC 507, FCC 508 and FCC 509 ..................................................................... 01/31/11 3060–0973 ................ Sec. 64.1120(e) .................................................................................................. 10/31/10
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3060–0975 ................ Secs. 68.3 and 1.4000 ....................................................................................... 11/30/10 3060–0978 ................ Sec. 20.18, 911 Service, Fourth Report and Order ........................................... 04/30/09 3060–0979 ................ Spectrum Audit Letter ......................................................................................... 09/30/09 3060–0980 ................ Sec. 76.66, Satellite Home Viewer Extension and Reauthorization Act of
2004 (SHVERA) Rules, Local Broadcast Signal Carriage Issues and Re- transmission Consent Issues.
08/31/11
3060–0982 ................ Implementation of Low Power Television (LPTV) Digital Data Services Pilot Project.
11/30/10
3060–0984 ................ Secs. 90.35(b)(2) and 90.175(b)(1) .................................................................... 09/30/10 3060–0986 ................ FCC 525 ............................................................................................................. 07/31/11 3060–0987 ................ 911 Callback Capability: Non-initialized Phones ................................................ 10/31/08 3060–0989 ................ Secs. 63.01, 63.03 and 63.04 ............................................................................ 11/30/08 3060–0991 ................ AM Measurement Data ...................................................................................... 04/30/11 3060–0992 ................ Sec. 54.507(d)(1)–(4) ......................................................................................... 12/31/10 3060–0994 ................ Flexibility for Delivery of Communications by Mobile Satellite Service Pro-
viders in the 2 GHz Band, the L-Band, and the 1.6/2.4 GHz Band. 01/31/10
3060–0995 ................ Sec. 1.2105(c) .................................................................................................... 03/31/11 3060–0996 ................ AM Auction Section 307(b) Submissions ........................................................... 02/28/11 3060–0997 ................ Sec. 52.15(k) ...................................................................................................... 04/30/11 3060–0998 ................ Sec. 87.109 ........................................................................................................ 08/31/10 3060–0999 ................ Sec. 20.19 .......................................................................................................... 07/31/11 3060–1000 ................ Sec. 87.147 ........................................................................................................ 12/31/10 3060–1003 ................ Communications Disaster Information Reporting System (DIRS) ..................... 07/31/10 3060–1004 ................ Revision of the Commission’s Rules to Ensure Compatibility with Enhanced
911 Emergency Calling Systems. 09/30/09
3060–1005 ................ Numbering Resource Optimization—Phase 3 ................................................... 07/31/11 3060–1007 ................ Streamlining and Other Revisions of Part 25 of the Commission’s Rules ........ 07/31/10 3060–1008 ................ Reallocation and Service Rules for the 698–746 MHz Band (Television Chan-
nels 52–59). Pending OMB Approval.
3060–1009 ................ FCC 499–M ........................................................................................................ 01/31/09 3060–1013 ................ Mitigation of Orbital Debris ................................................................................. 03/31/11 3060–1014 ................ Ku-Band NGSO FSS .......................................................................................... 04/30/09 3060–1015 ................ Ultra Wideband Transmission Systems Operating Under Part 15 .................... 04/30/09 3060–1021 ................ Sec. 25.139 ........................................................................................................ 06/30/11 3060–1022 ................ Sec. 101.1403 .................................................................................................... 01/31/09 3060–1023 ................ Sec. 101.103 ...................................................................................................... 01/31/09 3060–1024 ................ Sec. 101.1413 .................................................................................................... 01/31/09 3060–1025 ................ Sec. 101.1440 .................................................................................................... 01/31/09 3060–1026 ................ Sec. 101.1417 .................................................................................................... 01/31/09 3060–1027 ................ Sec. 27.602 ........................................................................................................ 03/31/09 3060–1028 ................ International Signaling Point Code (ISPC) ......................................................... 05/31/11 3060–1029 ................ Data Network Identification Code (DNIC) .......................................................... 08/31/11 3060–1030 ................ Service Rules for Advanced Wireless Services (AWS) in the 1.7 GHz and 2.1
GHz Bands. 06/30/10
3060–1031 ................ Revision of the Commission’s Rules to Ensure Compatibility with Enhanced 911 Emergency Calling Systems—Petition of City of Richardson, TX; Order on Reconsideration II.
10/31/09
3060–1033 ................ FCC 396–C ......................................................................................................... 05/31/10 3060–1034 ................ Digital Audio Broadcasting Systems and Their Impact on the Terrestrial
Radio Broadcast Service. 12/31/10
3060–1035 ................ FCC 309, FCC 310 and FCC 311 ..................................................................... 01/31/09 3060–1036 ................ Potential Reporting Requirements on Local Exchange Carriers to Assist Ex-
peditious Implementation of Wireless E911 Service. 05/31/09
3060–1038 ................ Digital Television Transition Information Questionnaires ................................... 01/31/10 3060–1039 ................ FCC 620 and FCC 621 ...................................................................................... Pending OMB Approval. 3060–1040 ................ Broadcast Ownership Rules, Report and Order in MB Docket No. 02–777
and MM Docket Nos. 02–235, 02–327, and 00–244. 02/28/10
3060–1041 ................ Remedial Measures for Failure to Construct Digital Television Stations (DTV Policy Statement).
06/30/09
3060–1042 ................ Request for Technical Support—Help Request Form ....................................... 11/30/10 3060–1043 ................ Telecommunications Relay Services and Speech-to-Speech Services for Indi-
viduals with Hearing and Speech Disabilities, CC Docket No. 98–67. 03/31/11
3060–1044 ................ Review of the Section 251 Unbundling Obligations of Incumbent Local Ex- change Carriers, CC Docket No. 01–338, and WC Docket No. 04–313, FCC 04–290, Order on Remand.
03/31/10
3060–1045 ................ FCC 324 ............................................................................................................. 11/30/09 3060–1046 ................ Part 64, Pay Telephone Reclassification and Compensation Provisions of the
Telecommunications Act of 1996. 06/30/11
3060–1047 ................ Telecommunications Relay Services and Speech-to-Speech Services for Indi- viduals with Hearing and Speech Disabilities, Report and Order, CG Dock- et Nos. 03–123, FCC 05–203.
02/28/09
3060–1048 ................ Sec. 1.929(c)(1) .................................................................................................. 03/31/10 3060–1050 ................ Sec. 97.303 ........................................................................................................ 11/30/10
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OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–1053 ................ Sec. 64.604, Telecommunications Relay Services, and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities, Two-Line Captioned Telephone Order,....
05/31/10
3060–1054 ................ FCC 422–IB ........................................................................................................ 02/28/10 3060–1055 ................ FCC 423–IB ........................................................................................................ 02/28/10 3060–1056 ................ FCC 421–IB ........................................................................................................ 02/28/10 3060–1057 ................ FCC 420–IB ........................................................................................................ 02/28/10 3060–1058 ................ FCC 608 ............................................................................................................. 01/31/11 3060–1059 ................ Global Mobile Personal Communications by Satellite (GMPCS)/E911 Call
Centers. 01/31/11
3060–1060 ................ Wireless E911 Coordination Initiative Letter ...................................................... 10/31/10 3060–1061 ................ Earth Stations on Board Vessels (ESVs) ........................................................... 04/30/11 3060–1062 ................ Schools and Libraries Universal Service Support Mechanism—Notification of
Equipment Transfers. 07/31/10
3060–1063 ................ Global Mobile Personal Communications by Satellite (GMPCS) Authorization, Marketing and Importation Rules.
03/31/10
3060–1064 ................ Regulatory Fee Assessment True-Ups .............................................................. 06/30/11 3060–1065 ................ Sec. 25.701 ........................................................................................................ 06/30/10 3060–1066 ................ FCC 312–R ......................................................................................................... 03/31/10 3060–1067 ................ FCC 312–EZ ....................................................................................................... 05/31/10 3060–1069 ................ Rules and Policies Concerning Attribution of Joint Sales Agreements in Local
Television Markets, NPRM, MB Docket No. 94–246, FCC 04–173. 08/31/10
3060–1070 ................ Allocations and Service Rules for the 71–76 GHz, 81–86 GHz, and 92–95 GHz Bands.
12/31/08
3060–1078 ................ Rules and Regulations Implementing the Controlling the Assault of Non-Solic- ited Pornography and Marketing Act of 2003 (CAN–SPAM Act), CG Docket No. 04–53.
11/30/10
3060–1079 ................ Sec. 15.240, Radio Frequency Identification Equipment (RFID) ....................... 02/28/11 3060–1080 ................ Collections for the Prevention or Elimination of Interference and for the Re-
configuration of the 800 MHz Band. 08/31/11
3060–1081 ................ Federal-State Joint Board on Universal Service, CC Docket No. 96–45 .......... 10/31/08 3060–1083 ................ Secs. 64.1300 through 64.1340 ......................................................................... 06/30/11 3060–1084 ................ Rules and Regulations Implementing Minimum Customer Account Record
Obligations on All Local and Interexchange Carriers (CARE), CG Docket No. 02–386.
06/30/10
3060–1085 ................ Collection of Location Information, Provision of Notice and Reporting on Inter- connected Voice Over Internet Protocol (VoIP) E911 Compliance.
01/31/09
3060–1086 ................ Secs. 74.786, 74.787, 74.790, 74.794 and 74.796 ............................................ 07/31/11 3060–1087 ................ Section 15.615, Broadband Over Power Lines (BPL) ....................................... 07/31/11 3060–1088 ................ FCC 1088 Series ................................................................................................ 03/31/10 3060–1089 ................ Telecommunications Relay Services and Speech-to-Speech Services for Indi-
viduals with Hearing and Speech Disabilities; Emergency Access Notice of Proposed Rulemaking and IP Relay/VRS Fraud.....
10/31/10
3060–1092 ................ FCC 609–T and FCC 611–T .............................................................................. 01/31/11 3060–1094 ................ Licensing, Operation, and Transition of the 2500–2690 MHz Band .................. 10/31/09 3060–1095 ................ Surrenders of Authorization for International Carrier, Space Station and Earth
Station Licensees. 12/31/09
3060–1096 ................ Prepaid Calling Card Service Provider Certification, WC Docket No. 05–68 .... 02/28/10 3060–1098 ................ Rural Health Care Support Mechanism ............................................................. 03/31/10 3060–1100 ................ Sec. 15.117 ........................................................................................................ 09/30/10 3060–1101 ................ Children’s Television Requests for Preemption Flexibility ................................. 06/30/10 3060–1103 ................ Sec. 76.41 .......................................................................................................... 07/31/10 3060–1104 ................ Sec. 83.682(d) .................................................................................................... 03/31/11 3060–1105 ................ Digital TV Transition Report ............................................................................... 06/30/11 3060–1108 ................ Consummations of Assignments and Transfers of Control Authorization ......... 09/30/10 3060–1110 ................ Sunset of the Cellular Radiotelephone Service Analog Service Requirement
and Related Matters, MO&O, FCC 07–103. 10/31/10
3060–1111 ................ Sections 225 and 255, Interconnected Voice Over Internet Protocol (VoIP) Services.
01/31/11
3060–1112 ................ Comprehensive Review of the Universal Service Fund Management, Admin- istration, and Oversight.
01/31/11
3060–1114 ................ Information Needed in Requests for Waiver of June 26, 2008 Deadline for Rebanding Completion.
09/30/08
3060–1115 ................ Secs. 15.124, 27.20, 54.418, 73.674, and 76.1630 ........................................... Pending OMB Approval. 3060–1116 ................ Submarine Cable Reporting ............................................................................... 10/31/08 3060–1117 ................ Viewer Notification Requirements in the Third DTV Periodic Report and
Order, FCC 07–228. Pending OMB Approval.
3060–1118 ................ DTV Retailer Site Visit Program ......................................................................... 12/31/08 3060–1119 ................ Section 12.3, Information Collection Regarding Redundancy, Resiliency and
Reliability of 911 and E911 Networks and/or Systems as Set Forth in the Commission’s Rules.
08/31/11
3060–XXXX .............. Service Quality Measurement Plan for Interstate Special Access and Monthly Useage Reporting Requirements (272 Sunset Rulemaking).
Pending OMB Approval.
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Federal Communications Commission § 0.411
[73 FR 57544, Oct. 3, 2008]
§ 0.409 Commission policy on private printing of FCC forms.
The Commission has established a policy regarding the printing of blank FCC forms by private companies if they elect to do so as a matter of expe- diency and convenience to their clients or consumers. The policy is as follows:
(a) Blank FCC forms may be repro- duced by private companies at their own expense provided the following conditions are met:
(1) Use a printing process resulting in a product that is at least comparable in quality to the original document, without change to the page size, image size, configuration of pages, folds or perforations, and matching as closely as possible the paper weight, paper color and ink color.
(2) Delete in its entirety any and all U.S. Government Printing Office (GPO) indicia that may appear in the mar- gin(s).
(3) If the printer wishes to identify a foreign country in which the forms are printed, a marginal notation must be added stating ‘‘No U.S. Government funds were used to print this docu- ment.’’
(4) Do not add to the form any other symbol, word or phrase that might be construed as personalizing the form or advertising on it.
(5) Except as specified above, do not delete from or add to any part of the form, or attach anything thereto.
(6) Assure that the form being repro- duced is an edition currently accept- able by the Commission, which will en- deavor to keep the public advised of re- visions to its forms, but cannot assume responsibility to the extent of elimi- nating any element of risk against the use of obsolete forms.
(b) These guidelines do not apply to forms which respondents may wish to reproduce as completed facsimiles on automated equipment to satisfy appli- cation or report requirements. Re- quests for permission to submit such forms to the Commission should be ad- dressed to the Office of Managing Di- rector.
[53 FR 27861, July 25, 1988]
PRINTED PUBLICATIONS
§ 0.411 General reference materials.
The following reference materials are available in many libraries and may be purchased from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402:
(a) Statutory materials. Laws per- taining to communications are con- tained in Title 47 of the United States Code. Laws enacted since the printing of the last supplement to the Code are printed individually as slip laws, and these are compiled chronologically in the United States Statutes at Large. The Acts of Congress from 1910–62 per- taining to radio have been compiled in a single volume, Radio Laws of the United States (1962 ed.). See §§ 0.405 and 0.414.
(b) Regulatory materials—(1) The Code of Federal Regulations. The rules and regulations of the Commission are con- tained in chapter I of title 47 of the Code of Federal Regulations. Chapter I is divided into the following four sub- chapters, which may be purchased sep- arately: Subchapter A—General; Sub- chapter B—Common Carrier Services; Subchapter C—Broadcast Radio Serv- ices; and Subchapter D—Private Radio Services. Most persons will find that they need subchapter A, containing the general rules, and one of the other vol- umes, depending upon their area of in- terest. These four volumes are revised annually to reflect changes in the rules. See §§ 0.406, 0.412, and 0.415. The Code of Federal Regulations is fully in- dexed and contains numerous finding aids. See 1 CFR appendix C.
(2) The Federal Register. As rules are adopted, amended, or repealed, the changes are published in the FEDERAL REGISTER, which is published daily ex- cept on legal holidays. Notices of pro- posed rule making, other rule making documents, statements of general pol- icy, interpretations of general applica- bility, and other Commission docu- ments having general applicability and legal effect are also published in the FEDERAL REGISTER. Summaries of the full Notices of proposed rule making
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47 CFR Ch. I (10–1–10 Edition)§ 0.413
and other rule making decisions adopt- ed by the Commission constitute rule- making documents for purposes of FED- ERAL REGISTER publication. The FED- ERAL REGISTER is fully indexed and contains numerous findings aids.
[32 FR 10571, July 19, 1967, as amended at 44 FR 39180, July 5, 1979; 51 FR 7444, Mar. 4, 1986]
§ 0.413 The Commission’s printed pub- lications.
The Commission’s printed publica- tions are described in §§ 0.414 through 0.420. These publications may be pur- chased from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402.
[64 FR 60722, Nov. 8, 1999]
§ 0.414 The Communications Act and other statutory materials.
This publication, with packets of re- vised pages, contains the Communica- tions Act of 1934, with amendments through 1964; the Administrative Pro- cedure Act, with amendments through 1964; the Judicial Review Act; the Com- munications Satellite Act of 1962; and selected sections of the Criminal Code pertaining to communications. It also contains indexes to the Communica- tions Act and the Administrative Pro- cedure Act. Persons who do not have ready access to the United States Code, or who refer frequently to these mate- rials, may find this volume to be use- ful.
[32 FR 10571, July 19, 1967]
§ 0.415 The rules and regulations (looseleaf service).
(a) In this service, the rules are di- vided into 10 volumes, each containing several related parts. Each volume may be purchased separately from the Su- perintendent of Documents. The pur- chase price for a volume includes a sub- scription to replacement pages reflect- ing changes in the rules contained therein until such time as the volume is revised. Each volume is revised peri- odically, depending primarily on the frequency with which the rules it con- tains have been amended. When a vol- ume is revised, the revised volume and replacement pages therefor will be fur- nished to those who renew their sub- scriptions.
(b) [Reserved]
[41 FR 21449, May 26, 1976, as amended at 45 FR 49935, July 28, 1980; 51 FR 31304, Sept. 2, 1986]
§ 0.416 The Federal Communications Commission Record.
Texts adopted by the Commission or a member of its staff on delegated au- thority and released through the Office of Media Relations are published in the FCC Record. The FCC Record is pub- lished biweekly in pamphlet form. The pamphlets are available on a subscrip- tion basis from the Superintendent of Documents. Each biweekly pamphlet contains a table of contents and cur- rent index. A consolidated index is pub- lished on a periodic basis.
[64 FR 60722, Nov. 8, 1999]
§ 0.417 The Annual Reports. At the end of each fiscal year, the
Commission publishes an Annual Re- port containing general information concerning the Commission and the history of regulation, a summary of de- velopments during the year, and se- lected industry statistics.
[32 FR 10571, July 19, 1967]
§ 0.420 Other Commission publica- tions.
The following additional Commission publications may be purchased from the Superintendent of Documents:
(a) Statistics of Communications Common Carriers.
(b) Figure M–3, Estimated AM Ground Conductivity of the United States (set of two maps).
(c) Television Network Program Pro- curement Report, 2d Interim Report, Part 2, by the Office of Network Study.
[32 FR 10571, July 19, 1967, as amended at 44 FR 39180, July 5, 1979]
FORMS AND DOCUMENTS AVAILABLE UPON REQUEST
§ 0.421 Application forms. All forms for use in submitting appli-
cations for radio authorization, to- gether with instructions and informa- tion as to filing such forms, may be ob- tained at the Washington offices of the Commission or at any of the field of- fices listed in § 0.121. For information
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Federal Communications Commission § 0.441
concerning the forms to be used and fil- ing requirements, see subparts D, E, F, and G, of part 1 of this chapter and the appropriate substantive rules.
[40 FR 17254, Apr. 18, 1975]
§ 0.422 Current action documents and public notices.
Documents adopted by the Commis- sion, public notices and other public announcements are released through the Office of Media Relations. These documents are also available on the Commission’s website at www.fcc.gov and can be obtained from the Commis- sion’s duplicating contractor.
[64 FR 60722, Nov. 8, 1999]
§ 0.423 Information bulletins.
Information bulletins and fact sheets containing information about commu- nications issues and the Federal Com- munications Commission are available on the Commission’s web site at www.fcc.gov, ftp.fcc.gov or may be re- quested from the Consumer and Gov- ernmental Affairs Bureau.
[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
LISTS CONTAINING INFORMATION COMPILED BY THE COMMISSION
§ 0.431 The FCC service frequency lists.
Lists of frequency assignments to radio stations authorized by the Com- mission are recapitulated periodically by means of an automated record sys- tem. All stations licensed by the Com- mission are included, except the fol- lowing: Aircraft, amateur, personal (except General Mobile Radio Service), Civil Air Patrol, and disaster. The re- sulting documents, the FCC service fre- quency lists, consist of several volumes arranged by nature of service, in fre- quency order, including station loca- tions, call signs and other technical particulars of each assignment. These documents are available for public in- spection in Washington, D.C., in the Of- fice of Engineering and Technology. Copies may be purchased from the Commission’s duplicating contractor. See § 0.465(a).
[64 FR 60722, Nov. 8, 1999]
§ 0.434 Data bases and lists of author- ized broadcast stations and pending broadcast applications.
Periodically the FCC makes avail- able copies of its data bases and lists containing information about author- ized broadcast stations, pending appli- cations for such stations, and rule- making proceedings involving amend- ments to the TV and FM Table of Al- lotments. The data bases, and the lists prepared from the data bases, contain frequencies, station locations, and other particulars. The lists are avail- able for public inspection at the FCC’s Reference Information Center at 445 12th Street, SW., Washington, DC. Paper copies of the lists may be pur- chased from the FCC’s duplicating con- tractor; see § 0.465(a). Many of the data- bases may be viewed at the Commis- sion’s web site at www.fcc.gov and ftp.fcc.gov under mass media services. Microfiche copies of these lists are maintained by the Reference Informa- tion Center. These lists are derived from the data bases and can be used as an alternative research source to the Broadcast Application Processing Sys- tem (BAPS).
[64 FR 60722, Nov. 8, 1999]
PUBLIC INFORMATION AND INSPECTION OF RECORDS
SOURCE: 74 FR 14078, Mar. 30, 2009, unless otherwise noted.
§ 0.441 General.
(a) Any person desiring to obtain in- formation from the Commission may do so by contacting the Consumer and Governmental Affairs Bureau (CGB). Requests for information and general inquiries may be submitted by:
(1) Internet at http://www.fcc.gov/cgb/ fccinfo or http://www.fcc.gov/foia.
(2) Telephone at 1–888–CALL–FCC (1– 888–225–5322).
(3) TDD/TDY at 1–888–TELL–FCC (1– 888–835–5322).
(4) Correspondence to: Consumer and Governmental Affairs Bureau, 445 12th Street, SW., Washington, DC 20554.
(5) Visiting the Reference Informa- tion Center of the Consumer and Gov- ernmental Affairs Bureau at Room CY– A257 of the Commission’s main office
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47 CFR Ch. I (10–1–10 Edition)§ 0.442
at 445 12th Street, SW., Washington, DC 20554.
(6) Facsimile at 1–866–418–0232. (7) Contacting the Commission’s
Copy Contractor, see § 0.465(a). (b) The Commission’s FOIA Public
Liaison is available to assist any per- son requesting information from the Commission in resolving any concerns related to a Freedom of Information Act request. See http://www.fcc.gov/foia/ .
§ 0.442 Disclosure to other Federal government agencies of information submitted to the Commission in confidence.
(a) The disclosure of records to other Federal government agencies is gen- erally governed by the Paperwork Re- duction Act, 44 U.S.C. 3510, rather than the Freedom of Information Act. The acceptance of materials in confidence under § 0.457 or § 0.459, or any other statute, rule or Commission order, does not preclude their disclosure to other federal agencies.
(b) Information submitted to the Commission in confidence pursuant to § 0.457(c)(2) and (3), (d) and (g) or § 0.459, or any other statute, rule or order, may be disclosed to other agencies of the Federal government upon request or upon the Commission’s own motion, provided:
(1) Specific Commission assurances against such disclosure have not been given;
(2) The other agency has established a legitimate need for the information;
(3) Disclosure is made subject to the provisions of 44 U.S.C. 3510(b); and
(4) Disclosure is not prohibited by the Privacy Act or other provisions of law.
(c) The Commission’s staff may give assurances against disclosure of infor- mation to other Federal agencies only with the prior written approval of the General Counsel. In no event will as- surance against disclosure to other agencies be given in advance of submis- sion of the information to the Commis- sion if submission is required by stat- ute or by the provisions of this chap- ter; but the notice provisions of para- graph (d) of this section will apply to such required submissions.
(d)(1) Except as provided in para- graphs (d)(2) and (d)(3) of this section, a party who furnished records to the
Commission with a request for con- fidential treatment, see § 0.459, will be notified at the time that the request for disclosure is submitted and will be afforded ten calendar days in which to submit an opposition to disclosure. This notification may be made either individually or by public notice.
(2) If the agency requesting the records provides in writing to the satis- faction of the Commission that notice to the party who furnished the records to the Commission will interfere un- duly with its law enforcement, na- tional security or homeland defense ac- tivities and further states that it will notify that party of the Commission’s disclosure once the potential for such interference is eliminated, the Com- mission will not give notice of disclo- sure.
(3) A party who furnished records to the Commission in confidence will not be afforded prior notice when the dis- closure is made to the Comptroller General of the United States, in the Government Accountability Office. Such a party will instead be notified of disclosure of the records to the Comp- troller General either individually or by public notice.
(4) If disclosure is opposed and the Commission decides to make the records available to the other agency, the party who furnished the records to the Commission will be afforded ten calendar days from the date of the rul- ing to move for a judicial stay of the Commission’s action. If the party does not move for stay within this period, the records will be disclosed.
(e) Except as provided in paragraph (d)(3) of this section, nothing in this section is intended to govern disclosure of information to Congress or the Comptroller General.
§ 0.445 Publication, availability and use of opinions, orders, policy state- ments, interpretations, administra- tive manuals, and staff instructions.
(a) Adjudicatory opinions and orders of the Commission, or its staff acting on delegated authority, are sent to the parties by mail, delivery service, or e- mail, unless the Commission deter- mines that individual delivery would be unduly burdensome and instead issues a public notice of its decision. As
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Federal Communications Commission § 0.451
part of the record, these documents are generally available for inspection in accordance with § 0.453 and § 0.455. In addition, many adjudicatory orders and opinions are available on the Commis- sion’s Web site, http://www.fcc.gov. In appropriate circumstances, the Com- mission may redact the copy made available to the public in order to pro- tect information not routinely avail- able to the public under § 0.457, which is treated confidentially pursuant to a re- quest under § 0.459, or which is con- fidential pursuant to other statutes, regulations or orders.
(b) Texts adopted by the Commission or a member of its staff on delegated authority and released through the Of- fice of Media Relations are published in the FCC Record. Older materials of this nature are available in the FCC Re- ports. In the event that such older ma- terials are not published in the FCC Reports, reference should be made to the FEDERAL REGISTER or Pike and Fischer Communications Regulation.
(c) All rulemaking documents or summaries thereof are published in the FEDERAL REGISTER and are available on the Commission’s Web site. The com- plete text of the Commission decision also is released by the Commission and is available for inspection and copying during normal business hours in the Of- fice of Media Relations, the Reference Information Center, via the Electronic Comment Filing System (ECFS), or as otherwise specified in the rulemaking document published in the FEDERAL REGISTER. The complete texts of rule- making decisions may also be pur- chased from the Commission’s copy contractor.
(d) Formal policy statements and in- terpretations designed to have general applicability are published in the FED- ERAL REGISTER, the FCC Record, FCC Reports, or Pike and Fischer Commu- nications Regulation. Commission de- cisions and other Commission docu- ments not entitled formal policy state- ments or interpretations may contain substantive interpretations and state- ments regarding policy, and these are published as part of the document in the FCC Record, FCC Reports or Pike and Fischer Communications Regula- tion. General statements regarding pol- icy and interpretations furnished to in-
dividuals, in correspondence or other- wise, are not ordinarily published.
(e) If the documents described in paragraphs (a) through (d) of this sec- tion are published in the FEDERAL REG- ISTER, the FCC Record, FCC Reports, or Pike and Fischer Communications Regulation, they are indexed, and they may be relied upon, used or cited as precedent by the Commission or pri- vate parties in any manner. If they are not so published, they may not be re- lied upon, used or cited as precedent, except against persons who have actual notice of the document in question or by such persons against the Commis- sion. No person is expected to comply with any requirement or policy of the Commission unless he or she has actual notice of that requirement or policy or a document stating it has been pub- lished as provided in this paragraph. Nothing in this paragraph, however, shall be construed as precluding a ref- erence to a recent document that is pending publication.
(f) Subparts A and B of this part de- scribe the functions of the staff and list the matters on which authority has been delegated to the staff. All general instructions to the staff and limita- tions upon its authority are set forth in those subparts or in decisions of the Commission published in the FEDERAL REGISTER. Instructions to the staff in particular matters or cases are privi- leged and/or protected and are not pub- lished or made available for public in- spection.
(g) To the extent required to prevent a clearly unwarranted invasion of per- sonal privacy, or to prevent disclosure of information required or authorized to be withheld by another statute, the Commission may delete identifying de- tails or confidential information when it makes available or publishes any document described in this section. The justification for any such deletion will be fully explained in a preamble to the document.
§ 0.451 Inspection of records: Gen- erally.
(a) Records which are routinely avail- able for public inspection. Sections 0.453 and 0.455 list those Commission records which are routinely available for pub- lic inspection and the places at which
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47 CFR Ch. I (10–1–10 Edition)§ 0.453
those records may be inspected. Proce- dures governing requests for inspection of such records are set out in § 0.460.
(b) Records which are not routinely available for public inspection. Records which are not listed in § 0.453 or § 0.455 are not routinely available for public inspection. Such records fall into two categories.
(1) The first category consists of those records or kinds of records listed in § 0.457 and of particular records with- held from public inspection under § 0.459. The Commission has determined that there is a statutory basis for with- holding these records from public in- spection. In some cases, the Commis- sion is prohibited from permitting the inspection of records. In other cases, the records are the property of another agency, and the Commission has no au- thority to permit their inspection. In still other cases, the Commission is au- thorized, for reason of policy, to with- hold records from inspection, but is not required to do so.
(2) The second category consists of records that are not listed in § 0.453, § 0.455, or § 0.457 and have not been with- held from inspection under § 0.459. In some cases, these records have not been identified for listing. In other cases (e.g., the general correspondence files), the Commission is unable to de- termine either that all records in a class should be routinely available for inspection or that all records in that class should not be routinely available for inspection, and individualized de- termination is required.
(3) Procedures governing requests for inspection of these records are set forth in § 0.461.
(4) Procedures governing demands by competent authority for inspection of these records are set forth in § 0.463.
(5) Except as provided in §§ 0.461 and 0.463, or pursuant to § 19.735–203 of this chapter, no officer or employee of the Commission shall permit the inspec- tion of records which are not routinely available for public inspection under § 0.453 or § 0.455, or disclose information contained therein.
(c) Copies. Section 0.465 applies to re- quests for copies of Commission records which are routinely available for public inspection under § 0.453 and § 0.455 and those which are made avail-
able for inspection under § 0.461. Sec- tions 0.467 and 0.465(c)(3) apply to re- quests for certified copies of Commis- sion records.
(d) Search and copying fees. Section 0.465(c)(2) prescribes the per page fee for copying records made available for inspection under § 0.460 or § 0.461. Sec- tion 0.466 prescribes fees to cover the expense of searching for and reviewing records made available for inspection under § 0.460 or § 0.461. Review of initial fee determinations under §§ 0.467 through 0.470 and initial fee reduction or waiver determinations under § 0.470(e) may be sought under § 0.461(j).
NOTE TO PARAGRAPH (d): The Commission may require advance payment pursuant to § 0.469 before releasing documents.
§ 0.453 Public reference rooms. The Commission maintains the FCC
Reference Information Center as its public reference room at its offices in Washington, DC. Much of the informa- tion available from the public ref- erence room may also be retrieved from the Commission’s main Web site at http://www.fcc.gov and its electronic reading room at http://www.fcc.gov/foia/ e-room.html:
(a) The Reference Information Center. Maintains files containing the record of all docketed cases, petitions for rule making and related papers. A file is maintained for each docketed hearing case and for each docketed rule making proceeding. Cards summarizing the his- tory of such cases for the years before 1984 are available for inspection. Infor- mation summarizing the history of such cases for the years from 1984 through present is available online on the Electronic Comment Filing System (ECFS).
(b) Broadcast Services. The following files and documents are available, in- cluding:
(1) Applications for radio and tele- vision broadcast station construction permits, licenses, modifications of fa- cilities, license renewal, assignments and transfer of control, including any Commission correspondence or rulings pertaining to those applications;
(2) Petitions to deny, informal objec- tions, and complaints directed against the stations and/or station applica- tions;
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(3) Ownership reports filed by licens- ees pursuant to § 73.3615 of this chapter;
(4) Television network application contracts, radio and television time brokerage agreements, and other docu- ments required to be filed under § 73.3613 of this chapter;
(5) Children’s television program- ming reports filed by commercial tele- vision licensees pursuant to § 73.3526 of this chapter;
(6) Annual DTV ancillary/supple- mentary services reports filed by com- mercial and non-commercial edu- cational digital television licensees pursuant to § 73.624 of this chapter;
(7) Station requests for declaratory rulings, special temporary authoriza- tions, and other waivers;
(8) Annual employment reports filed by licensees and permittees of broad- cast stations pursuant to § 73.3612 of this chapter; and.
(9) Responses from licensees to ran- dom audits of their Equal Employment Opportunity programs conducted pur- suant to § 73.2080 of this chapter.
(c) Common Carrier Services, including: (1) Annual reports filed by carriers
under § 43.21 of this chapter; (2) Reports of proposed changes in de-
preciation rates filed by carriers under § 43.43 of this chapter;
(3) Rate-of-return reports filed by price-cap and rate-of-return incumbent local exchange carriers under § 65.600 of this chapter;
(4) All applications for common car- rier authorizations acted upon by the Enforcement Bureau, and related files;
(5) All formal and informal com- plaints against common carriers filed under § 1.711 through § 1.735 of this chapter, all documents filed in connec- tion therewith, and all communica- tions related thereto;
(6) Annual employment reports filed by common carrier licensees or permit- tees pursuant to § 1.815 of this chapter;
(7) Enforcement proceedings and pub- lic inquiries and related materials;
(8) Cost Allocation Manuals and re- lated materials;
(9) Currently effective tariffs filed by Communications Common Carriers pursuant to various FCC Rules and Regulations; and
(10) Recent revisions to tariff filings and the Reference Information Center
Log, which is prepared daily and lists the tariff filings received the previous day.
(d) Wireless Telecommunications Serv- ices and Auction related data including:
(1) Pending files containing applica- tions for additional facilities or modi- fications of existing facilities;
(2) Cellular and Paging Granted Sta- tion files and related materials;
(3) Pending cellular and paging appli- cations and related files;
(4) Electronically stored application and licensing data for commercial radio operators and for all authoriza- tions in the Wireless Radio services are available for public inspection via the Commission’s Web site, http://wire- less.fcc.gov/uls. Wireless Radio services include Commercial and Private Mo- bile Radio, Common Carrier and Pri- vate Operational Field point-to-point Microwave, Local Television Trans- mission Service (LTTS), Digital Elec- tronic Message Service (DEMS), Avia- tion Ground and Marine Coast applica- tions; and
(5) Petitions and related materials. (e) International Services as follows,
except to the extent they are excluded from routine public inspection under another section of this chapter:
(1) Satellite and earth station appli- cations files and related materials under part 25 of this chapter;
(2) Section 214 applications and re- lated files under part 63 of this chapter, to the extent that they concern inter- national communications facilities and services;
(3) International Fixed Public Radio applications and related files under part 23 of this chapter;
(4) Files relating to submarine cable landing licenses and applications for such licenses since June 30, 1934, except for maps showing the exact location of submarine cables, which are withheld from inspection under sec. 4(j) of the Communications Act, 47 U.S.C. 154(j) (see § 0.457(c)(1)(i));
(5) International broadcast applica- tions, applications for permission to deliver programming to foreign sta- tions, and related files under part 73 of this chapter; and
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(6) Contracts and other arrangements filed under § 43.51 of this chapter, ex- cept for those that are filed with a re- quest for confidential treatment (see § 0.459) or are deemed confidential pur- suant to sec. 412 of the Communica- tions Act (see also § 0.457(c)(3)).
(f) Cable and other Multichannel Video Program Distribution Services. The fol- lowing files and records are available, including:
(1) Complaints regarding multi- channel video programming, all docu- ments filed in connection therewith, and all communications related there- to, unless the cable operator has sub- mitted a request pursuant to § 0.459 that such information not be made rou- tinely available for public inspection;
(2) Special relief petitions and files pertaining to cable television oper- ations;
(3) Special relief petitions and files pertaining to DBS television oper- ations;
(4) Petitions and related documents concerning the enforcement of regula- tions governing the installation of over-the-air reception devices (OTARD) pursuant to § 1.4000 of this chapter;
(5) Filings by cable television opera- tors, including Cable Signal Leakage Reports (Form 320 and § 76.1804 of this chapter), Cable System Registration Statements (§ 76.1801 of this chapter), Cable System Operator Changes (§ 76.1610 of this chapter), Cable Aero- nautical Frequency Notifications (§ 76.1804 of this chapter), Cable Annual Report (Form 325 and § 76.403 of this chapter), and filings related to CARS licenses (part 78 of this chapter).
NOTE TO PARAGRAPH (f)(5): This data also is available at http://www.fcc.gov/coals. Elec- tronic submissions for cable filings (exclud- ing CARS) are mandatory. Original forms are not available for information filed elec- tronically, but the Reference Information Center or the Commission’s Copy Contractor may assist in producing paper copies of in- formation found in the COALS database;
(6) Annual employment reports filed by multichannel video programming distributors pursuant to § 76.1802 of this chapter; and
(7) Responses from multichannel video programming distributors to ran- dom audits of their Equal Employment
Opportunity programs conducted pur- suant to § 76.77 of this chapter.
§ 0.455 Other locations at which records may be inspected.
Except as provided in §§ 0.453, 0.457, and 0.459, records are routinely avail- able for inspection in the Reference In- formation Center or the offices of the Bureau or Office which exercises re- sponsibility over the matters to which those records pertain (see § 0.5), or will be made available for inspection at those offices upon request. Upon in- quiry to the appropriate Bureau or Of- fice, persons desiring to inspect such records will be directed to the specific location at which the particular records may be inspected. Examples of the records available from Bureaus and Offices are set forth in paragraphs (a) through (c).
(a) Media Bureau. (1) Rulings under secs. 312(a)(7), 315, and 317 of the Com- munications Act of 1934, as amended;
(2) All materials associated with a rate proceeding for basic cable service and associated equipment over which the Commission has assumed jurisdic- tion pursuant to § 76.913 of this chapter;
(3) All materials associated with Commission review of franchise au- thority decisions concerning the rate charged for the basic cable service tier and associated equipment pursuant to § 76.944 of this chapter;
(4) All materials associated with local government requests for author- ization to regulate basic cable rates pursuant to § 76.910 of this chapter (Form 328);
(5) All materials associated with the certification of Open Video System (OVS) operators pursuant to § 76.1502 of this chapter;
(6) A list of all registered cable com- munities is maintained electronically at http://www.fcc.gov/mb; and
(7) Public notices issued related to CARS licenses, Cable Special Relief Pe- titions, and other filings are available electronically at http://www.fcc.gov/ DocumentlIndexes/Media/.
(b) Office of Managing Director. (1) All minutes of Commission actions, con- taining a record of all final votes, min- utes of actions and internal manage- ment matters as provided in § 0.457(b)(1) and (c)(1)(i). These records and files are
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available for inspection in the Office of the Secretary.
(2) Files containing information con- cerning the history of the Commis- sion’s rules. These files are available for inspection in the Office of the Sec- retary.
(3) Reports filed by employees pursu- ant to 5 CFR Parts 2634 and 3902 and applications for inspection of such re- ports. See § 0.460(k).
(c) International Bureau. (1) The trea- ties and other international and bilat- eral agreements listed in § 73.1650 of this chapter are available for inspec- tion in the office of the Chief, Stra- tegic Analysis and Negotiations Divi- sion, International Bureau.
(2) Contracts and other arrangement filed under § 43.51 of this chapter and reports of negotiations regarding for- eign communication matters filed under § 43.52 of this chapter, except those kept confidential pursuant to sec. 412 of the Communications Act. See § 0.457(c)(3).
(3) Files relating to international set- tlements under part 64 of this chapter.
§ 0.457 Records not routinely available for public inspection.
The records listed in this section are not routinely available for public in- spection pursuant to 5 U.S.C. 552(b). The records are listed in this section by category, according to the statutory basis for withholding those records from inspection; under each category, if appropriate, the underlying policy considerations affecting the with- holding and disclosure of records in that category are briefly outlined. Ex- cept where the records are not the property of the Commission or where the disclosure of those records is pro- hibited by law, the Commission will en- tertain requests from members of the public under § 0.461 for permission to inspect particular records withheld from inspection under the provisions of this section, and will weigh the policy considerations favoring non-disclosure against the reasons cited for permit- ting inspection in the light of the facts of the particular case. In making such requests, there may be more than one basis for withholding particular records from inspection. The listing of records by category is not intended to
imply the contrary but is solely for the information and assistance of persons making such requests. Requests to in- spect or copy the transcripts, record- ings or minutes of closed agency meet- ings will be considered under § 0.607 rather than under the provisions of this section.
(a) Materials that are specifically au- thorized under criteria established by Ex- ecutive Order (E.O.) to be kept secret in the interest of national defense or foreign policy and are in fact properly classified pursuant to such Executive Order, 5 U.S.C. 552(b)(1). (1) Classified materials and information will not be made available for public inspection, includ- ing materials classified under E.O. 10450, ‘‘Security Requirements for Gov- ernment Employees’’; E.O. 10501, as amended, ‘‘Safeguarding Official Infor- mation in the Interests of the Defense of the United States’’; and E.O. 12958, ‘‘Classified National Security Informa- tion,’’ or any other executive order concerning the classification of records. See also 47 U.S.C. 154(j).
(2) Materials referred to another Fed- eral agency for classification will not be disclosed while such a determina- tion is pending.
(b) Materials that are related solely to the internal personnel rules and practices of the Commission, 5 U.S.C. 552(b)(2). (1) Materials related solely to internal management matters, including min- utes of Commission actions on such matters (see paragraph (f) of this sec- tion).
(2) Materials relating to the negotia- tion of contracts.
(c) Materials that are specifically ex- empted from disclosure by statute (other than the Government in the Sunshine Act, 5 U.S.C. 552b, provided that such statute either requires that the materials be with- held from the public in such a manner as to leave no discretion on the issue, or es- tablishes particular criteria for with- holding or refers to particular types of materials to be withheld). The Commis- sion is authorized under the following statutory provisions to withhold mate- rials from public inspection.
(1) Section 4(j) of the Communica- tions Act, 47 U.S.C. 154(j), provides, in part, that, ‘‘The Commission is author- ized to withhold publication of records
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or proceedings containing secret infor- mation affecting the national defense.’’ Pursuant to that provision, it has been determined that the following mate- rials should be withheld from public in- spection (see also paragraph (a) of this section):
(i) Maps showing the exact location of submarine cables.
(ii) Minutes of Commission actions on classified matters.
(iii) Maps of nation-wide point-to- point microwave networks.
(2) Under section 213 of the Commu- nications Act, 47 U.S.C. 213(f), the Com- mission is authorized to order, with the reasons therefor, that records and data pertaining to the valuation of the prop- erty of common carriers and furnished to the Commission by the carriers pur- suant to the provisions of that section, shall not be available for public inspec- tion. If such an order has been issued, the data and records will be withheld from public inspection, except under the provisions of § 0.461. Normally, how- ever, such data and information is available for inspection.
(3) Under sec. 412 of the Communica- tions Act, 47 U.S.C. 412, the Commis- sion may withhold from public inspec- tion certain contracts, agreements and arrangements between common car- riers relating to foreign wire or radio communication. Any person may file a petition requesting that such materials be withheld from public inspection. To support such action, the petition must show that the contract, agreement or arrangement relates to foreign wire or radio communications; that its publi- cation would place American commu- nication companies at a disadvantage in meeting the competition of foreign communication companies; and that the public interest would be served by keeping its terms confidential. If the Commission orders that such materials be kept confidential, they will be made available for inspection only under the provisions of § 0.461.
(4) Section 605 of the Communica- tions Act, 47 U.S.C. 605(a), provides, in part, that, ‘‘no person not being au- thorized by the sender shall intercept any communication [by wire or radio] and divulge or publish the existence, contents, substance, purport, effect, or meaning of such intercepted commu-
nications to any person.’’ In executing its responsibilities, the Commission regularly monitors radio trans- missions. Except as required for the en- forcement of the communications laws, treaties and the provisions of this chapter, or as authorized in sec. 605, the Commission is prohibited from di- vulging information obtained in the course of these monitoring activities; and such information, and materials relating thereto, will not be made available for public inspection.
(5) Section 1905 of the federal crimi- nal code, the Trade Secrets Act, 18 U.S.C. 1905, prohibits the unauthorized disclosure of certain confidential infor- mation. See paragraph (d) of this sec- tion and § 19.735–203 of this chapter.
(d) Trade secrets and commercial or fi- nancial information obtained from any person and privileged or confidential— categories of materials not routinely avail- able for public inspection, 5 U.S.C. 552(b)(4) and 18 U.S.C. 1905. (1) The ma- terials listed in this paragraph have been accepted, or are being accepted, by the Commission on a confidential basis pursuant to 5 U.S.C. 552(b)(4). To the extent indicated in each case, the materials are not routinely available for public inspection. If the protection afforded is sufficient, it is unnecessary for persons submitting such materials to submit therewith a request for non- disclosure pursuant to § 0.459. A persua- sive showing as to the reasons for in- spection will be required in requests submitted under § 0.461 for inspection of such materials.
(i) Financial reports submitted by radio or television licensees.
(ii) Applications for equipment au- thorizations (type acceptance, type ap- proval, certification, or advance ap- proval of subscription television sys- tems), and materials relating to such applications, are not routinely avail- able for public inspection prior to the effective date of the authorization. The effective date of the authorization will, upon request, be deferred to a date no earlier than that specified by the appli- cant. Following the effective date of the authorization, the application and related materials (including technical specifications and test measurements) will be made available for inspection upon request (see § 0.460). Portions of
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applications for equipment certifi- cation of scanning receivers and re- lated materials will not be made avail- able for inspection.
(iii) Information submitted in con- nection with audits, investigations and examination of records pursuant to 47 U.S.C. 220.
(iv) Programming contracts between programmers and multichannel video programming distributors.
(v) The rates, terms and conditions in any agreement between a U.S. carrier and a foreign carrier that govern the settlement of U.S. international traf- fic, including the method for allocating return traffic, if the U.S. international route is exempt from the international settlements policy under § 43.51(e)(3) of this chapter.
(vi) Outage reports filed under Part 4 of this chapter.
(vii) The following records, relating to coordination of satellite systems pursuant to procedures codified in the International Telecommunication Union (ITU) Radio Regulations:
(A) Records of communications be- tween the Commission and the ITU re- lated to the international coordination process, and
(B) Documents prepared in connec- tion with coordination, notification, and recording of frequency assignments and Plan modifications, including but not limited to minutes of meetings, supporting exhibits, supporting cor- respondence, and documents and cor- respondence prepared in connection with operator-to-operator arrange- ments.
NOTE TO PARAGRAPH (d): The content of the communications described in paragraph (d)(1)(vii)(A) of this section is in some cir- cumstances separately available through the ITU’s publication process, or through records available in connection with the Commis- sion’s licensing procedures.
(2) Unless the materials to be sub- mitted are listed in paragraph (d)(1) of this section and the protection thereby afforded is adequate, any person who submits materials which he or she wishes withheld from public inspection under 5 U.S.C. 552(b)(4) must submit a request for non-disclosure pursuant to § 0.459. If it is shown in the request that the materials contain trade secrets or privileged or confidential commercial,
financial or technical data, the mate- rials will not be made routinely avail- able for inspection; and a persuasive showing as to the reasons for inspec- tion will be required in requests for in- spection submitted under § 0.461. In the absence of a request for non-disclosure, the Commission may, in the unusual instance, determine on its own motion that the materials should not be rou- tinely available for public inspection.
(e) Interagency and intra-agency memo- randa or letters, 5 U.S.C. 552(b)(5). Inter- agency and intra-agency memoranda or letters and the work papers of members of the Commission or its staff will not be made available for public inspec- tion, except in accordance with the procedures set forth in § 0.461. Normally such papers are privileged and not available to private parties through the discovery process, since their dis- closure would tend to restrain the com- mitment of ideas to writing, would tend to inhibit communication among Government personnel, and would, in some cases, involve premature disclo- sure of their contents.
(f) Personnel, medical and other files whose disclosure would constitute a clear- ly unwarranted invasion of personal pri- vacy, 5 U.S.C. 552(b)(6). Under E.O. 10561, the Commission maintains an Official Personnel Folder for each of its em- ployees. Such folders are under the ju- risdiction and control, and are a part of the records, of the U.S. Office of Per- sonnel Management. Except as pro- vided in the rules of the Office of Per- sonnel Management (5 CFR 293.311), such folders will not be made available for public inspection by the Commis- sion. In addition, other records of the Commission containing private, per- sonal or financial information con- cerning particular employees and Com- mission contractors will be withheld from public inspection.
(g) Under 5 U.S.C. 552(b)(7), records compiled for law enforcement purposes, to the extent that production of such records:
(1) Could reasonably be expected to interfere with enforcement pro- ceedings;
(2) Would deprive a person of a right to fair trial or an impartial adjudica- tion;
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(3) Could reasonably be expected to constitute an unwarranted invasion of personal privacy;
(4) Could reasonably be expected to disclose the identity of a confidential source;
(5) Would disclose investigative tech- niques or procedures or would disclose investigative guidelines if such disclo- sure could reasonably be expected to risk circumvention of the law; or
(6) Could reasonably be expected to endanger the life or physical safety of any individual.
§ 0.458 Nonpublic information. Any person regulated by or prac-
ticing before the Commission coming into possession of written nonpublic in- formation (including written material transmitted in electronic form) as de- scribed in § 19.735–203(a) of this chapter under circumstances where it appears that its release was inadvertent or oth- erwise unauthorized shall be obligated to and shall promptly return the infor- mation to the Commission’s Office of Inspector General without further dis- tribution or use. See 47 CFR 19.735–203.
§ 0.459 Requests that materials or in- formation submitted to the Commis- sion be withheld from public in- spection.
(a)(1) Any person submitting infor- mation or materials to the Commission may submit therewith a request that such information not be made rou- tinely available for public inspection. (If the materials are specifically listed in § 0.457, such a request is unneces- sary.) A copy of the request shall be at- tached to and shall cover all of the ma- terials to which it applies and all cop- ies of those materials. If feasible, the materials to which the request applies shall be physically separated from any materials to which the request does not apply; if this is not feasible, the portion of the materials to which the request applies shall be identified. In the latter circumstance, where con- fidential treatment is sought only for a portion of a document, the person sub- mitting the document shall submit a redacted version for the public file.
(2) Comments and other materials may not be submitted by means of the Commission’s Electronic Comment Fil-
ing System (ECFS) with a request for confidential treatment under this sec- tion.
(3) The Commission may use abbre- viated means for indicating that the submitter of a record seeks confiden- tial treatment, such as a checkbox ena- bling the submitter to indicate that the record is confidential. However, upon receipt of a request for inspection of such records pursuant to § 0.461, the submitter will be notified of such re- quest pursuant to § 0.461(d)(3) and will be requested to justify the confidential treatment of the record, as set forth in paragraph (b) of this section.
(b) Except as provided in § 0.459(a)(3), each such request shall contain a state- ment of the reasons for withholding the materials from inspection (see § 0.457) and of the facts upon which those records are based, including:
(1) Identification of the specific infor- mation for which confidential treat- ment is sought;
(2) Identification of the Commission proceeding in which the information was submitted or a description of the circumstances giving rise to the sub- mission;
(3) Explanation of the degree to which the information is commercial or financial, or contains a trade secret or is privileged;
(4) Explanation of the degree to which the information concerns a serv- ice that is subject to competition;
(5) Explanation of how disclosure of the information could result in sub- stantial competitive harm;
(6) Identification of any measures taken by the submitting party to pre- vent unauthorized disclosure;
(7) Identification of whether the in- formation is available to the public and the extent of any previous disclo- sure of the information to third par- ties;
(8) Justification of the period during which the submitting party asserts that material should not be available for public disclosure; and
(9) Any other information that the party seeking confidential treatment believes may be useful in assessing whether its request for confidentiality should be granted.
(c) Casual requests (including simply stamping pages ‘‘confidential’’) which
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do not comply with the requirements of paragraphs (a) and (b) of this section will not be considered.
(d)(1) If a response in opposition to a confidentiality request is filed, the party requesting confidentiality may file a reply within ten business days. All responses or replies filed under this paragraph must be served on all par- ties.
(2) Requests which comply with the requirements of paragraphs (a) and (b) of this section will be acted upon by the appropriate custodian of records (see § 0.461(d)(1)), who is directed to grant the request if it demonstrates by a preponderance of the evidence that non-disclosure is consistent with the provisions of the Freedom of Informa- tion Act, 5 U.S.C. 552. If the request for confidentiality is granted, the ruling will be placed in the public file in lieu of the materials withheld from public inspection.
(3) The Commission may defer acting on requests that materials or informa- tion submitted to the Commission be withheld from public inspection until a request for inspection has been made pursuant to § 0.460 or § 0.461. The infor- mation will be accorded confidential treatment, as provided for in § 0.459(g) and § 0.461, until the Commission acts on the confidentiality request and all subsequent appeal and stay proceedings have been exhausted.
(e) If the materials are submitted voluntarily (i.e., absent any require- ment by statute, regulation, or the Commission), the person submitting them may request the Commission to return the materials without consider- ation if the request for confidentiality should be denied. In that event, the materials will ordinarily be returned (e.g., an application will be returned if it cannot be considered on a confiden- tial basis). Only in the unusual in- stance where the public interest so re- quires will the materials be made available for public inspection. How- ever, no materials submitted with a re- quest for confidentiality will be re- turned if a request for inspection has been filed under § 0.461. If submission of the materials is required by the Com- mission and the request for confiden- tiality is denied, the materials will be made available for public inspection
once the period for review of the denial has passed.
(f) If no request for confidentiality is submitted, the Commission assumes no obligation to consider the need for non- disclosure but, in the unusual instance, may determine on its own motion that the materials should be withheld from public inspection. See § 0.457(g).
(g) If a request for confidentiality is denied, the person who submitted the request may, within ten business days, file an application for review by the Commission. If the application for re- view is denied, the person who sub- mitted the request will be afforded ten business days in which to seek a judi- cial stay of the ruling. If these periods expire without action by the person who submitted the request, the mate- rials will be returned to the person who submitted them or will be placed in a public file. Notice of denial and of the time for seeking review or a judicial stay will be given by telephone, with follow-up notice in writing. The first day to be counted in computing the time periods established in this para- graph is the day after the date of oral notice. Materials will be accorded con- fidential treatment, as provided in § 0.459(g) and § 0.461, until the Commis- sion acts on any timely applications for review of an order denying a re- quest for confidentiality, and until a court acts on any timely motion for stay of such an order denying confiden- tial treatment.
(h) If the request for confidentiality is granted, the status of the materials is the same as that of materials listed in § 0.457. Any person wishing to inspect them may submit a request for inspec- tion under § 0.461.
(i) Third party owners of materials submitted to the Commission by an- other party may participate in the pro- ceeding resolving the confidentiality of the materials.
§ 0.460 Requests for inspection of records which are routinely avail- able for public inspection.
(a) Sections 0.453 and 0.455 list those Commission records which are rou- tinely available for public inspection and the places at which those records may be inspected. Subject to the limi- tations set out in this section, a person
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who wants to inspect such records need only appear at the specified location and ask to see the records. Many such records also are available through the Commission’s Web site, located at http://www.fcc.gov and the Commis- sion’s electronic reading room, located on its Web site at http://www.fcc.gov/ foia/e-room.html. Commission docu- ments listed in § 0.416 and § 0.445 are published in the FCC Record, and many such documents or summaries thereof are also published in the FEDERAL REG- ISTER.
(b) A person who wishes to inspect the records must appear at the speci- fied location during the office hours of the Commission and must inspect the records at that location. (Procedures governing requests for copies are set out in § 0.465.) However, arrangements may be made in advance, by telephone or by correspondence, to make the records available for inspection on a particular date, and there are many circumstances in which such advance arrangements will save inconvenience. If the request is for a large number of documents, for example, a delay in col- lecting them is predictable. Current records may be in use by the staff when the request is made. Older records may have been forwarded to another loca- tion for storage.
(c) The records in question must be reasonably described by the person re- questing them so as to permit their lo- cation by staff personnel. The informa- tion needed to locate the records will vary, depending on the records re- quested. Advice concerning the kind of information needed to locate par- ticular records will be furnished in ad- vance upon request. Members of the public will not be given access to the area in which records are kept and will not be permitted to search the files.
(d) If it appears that there will be an appreciable delay in locating or pro- ducing the records (as where a large number of documents is the subject of a single request or where an extended search for a document appears to be necessary), the requester may be di- rected to submit or confirm the request in writing in appropriate cir- cumstances.
(e)(1) Written requests shall be di- rected to the Commission’s copy con-
tractor pursuant to the procedures set forth in § 0.465. Requests shall be cap- tioned ‘‘Request For Inspection Of Records,’’ shall be dated, shall list the mailing address, telephone number (if any) of the person making the request, and the e-mail address (if any) and for each document requested, shall set out all information known to the person making the request which would be helpful in identifying and locating the document. Written requests shall, in addition, specify the maximum search fee the person making the request is prepared to pay (see § 0.467).
(2) Written requests shall be deliv- ered or mailed directly to the Commis- sion’s copy contractor (see § 0.465(a)).
(f) When a written request is received by the copy contractor, it will be date- stamped.
(g) All requests limited to records listed in § 0.453 and § 0.455 will be grant- ed, subject to paragraph (k) of this sec- tion. Requests for records listed in those sections shall not be combined with requests for other records.
(h) The records will be produced for inspection at the earliest possible time.
(i) Records shall be inspected within 7 days after notice is given that they have been located and are available for inspection. After that period, they will be returned to storage and additional charges may be imposed for again pro- ducing them.
(j) In addition to the other require- ments of this section, the following provisions apply to the reports filed with the Commission pursuant to 5 CFR Parts 2634 and 3902.
(1) Such reports shall not be obtained or used:
(i) For any unlawful purpose; (ii) For any commercial purpose,
other than by news and communica- tions media for dissemination to the general public;
(iii) For determining or establishing the credit rating of any individual; or
(iv) For use, directly or indirectly, in the solicitation of money for any polit- ical, charitable, or other purpose.
(2) Such reports may not be made available to any person nor may any copy thereof be provided to any person except upon a written application by such person stating:
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(i) That person’s name, occupation and address;
(ii) The name and address of any other person or organization on whose behalf the inspection or copying is re- quested; and
(iii) That such person is aware of the prohibitions on the obtaining or use of the report. Further, any such applica- tion for inspection shall be made avail- able to the public throughout the pe- riod during which the report itself is made available to the public.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 397; 18 U.S.C. 207(j))
§ 0.461 Requests for inspection of ma- terials not routinely available for public inspection.
Any person desiring to inspect Com- mission records that are not listed in § 0.453 or § 0.455 shall file a request for inspection meeting the requirements of this section. The FOIA Public Liaison is available to assist persons seeking records under this section. See § 0.441(a).
(a)(1) Records include: (i) Any information that would be an
agency record subject to the require- ments of the Freedom of Information Act when maintained by the Commis- sion in any format, including an elec- tronic format; and
(ii) Any information maintained for the Commission by an entity under Government contract, for purposes of records management.
(2) The records in question must be reasonably described by the person re- questing them, so as to permit their lo- cation by staff personnel with a reason- able amount of effort. Whenever pos- sible, a request should include specific information about each record sought, such as the title or name, author, re- cipient, and subject matter of the record. Requests should also specify the date or time period for the records sought. The custodian of records sought may contact the requester to obtain further information about the records sought to assist in locating them.
(3) The person requesting records under this section may specify the form or format of the records to be pro- duced provided that the records may be
made readily reproducible in the re- quested form or format.
(b)(1) Requests shall be captioned ‘‘Freedom of Information Act Re- quest,’’ shall be dated, shall list the telephone number (if any), street ad- dress, and e-mail address (if any) of the person making the request, and should reasonably describe, for each document requested (see § 0.461(a)(1)), all informa- tion known to the person making the request that would be helpful in identi- fying and locating the document.
(2) The request shall, in addition, specify the maximum search fee the person making the request is prepared to pay or a request for waiver or reduc- tion of fees if the requester is eligible (see § 0.470(e)). By filing a FOIA re- quest, the requester agrees to pay all applicable fees charged under § 0.467, unless the person making the request seeks a waiver of fees (see § 0.470(e)), in which case the Commission will rule on the waiver request before proceeding with the search.
(c) If the records are of the kinds list- ed in § 0.457 or if they have been with- held from inspection under § 0.459, the request shall, in addition, contain a statement of the reasons for inspection and the facts in support thereof. In the case of other materials, no such state- ment need accompany the request, but the custodian of the records may re- quire the submission of such a state- ment if he or she determines that the materials in question may lawfully be withheld from inspection.
(d)(1) Requests shall be (i) Delivered or mailed to the Man-
aging Director, FCC, 445—12th Street, SW., Room 1–A836, Washington, DC 20554;
(ii) Sent by e-mail to foia@fcc.gov; (iii) Filed electronically though the
Internet at http://www.fcc.gov/foia/ #reqform; or
(iv) Sent by facsimile to (202) 418–2826 or (202) 418–0521. If the request is filed by mail or facsimile, an original and two copies of the request shall be sub- mitted. If the request is enclosed in an envelope, the envelope shall be marked, ‘‘Freedom of Information Act Request.’’
(2) For purposes of this section, the custodian of the records is the Chief of the Bureau or Office where the records
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are located. The Chief of the Bureau or Office may designate an appropriate person to act on a FOIA request.
(3) If the request is for materials sub- mitted to the Commission by third par- ties and not open to routine public in- spection under § 0.457(d), § 0.459, or an- other Commission rule or order, or if a request for confidentiality is pending pursuant to § 0.459, or if the custodian of records has reason to believe that the information may contain confiden- tial commercial information, one copy of the request will be provided by the custodian of the records (see § 0.461(e)) to the person who originally submitted the materials to the Commission. If there are many persons who originally submitted the records and are entitled to notice under this paragraph, the custodian of records may use a public notice to notify the submitters of the request for inspection. The submitter or submitters will be given ten cal- endar days to respond to the FOIA re- quest. See § 0.459(d)(1). If a submitter has any objection to disclosure, he or she is required to submit a detailed written statement specifying all grounds for withholding any portion of the information (see § 0.459). This re- sponse shall be served on the party seeking to inspect the records. The re- quester may submit a reply within ten business days unless a different period is specified by the custodian of records. The reply shall be served on all parties that filed a response. In the event that a submitter fails to respond within the time specified, the submitter will be considered to have no objection to dis- closure of the information.
NOTE TO PARAGRAPH (d)(3): Under the ex parte rules, § 1.1206(a)(7) of this chapter, a proceeding involving a FOIA request is a per- mit-but-disclose proceeding, but is subject to the special service rules in this paragraph. We also note that while the FOIA request itself is a permit-but-disclose proceeding, a pleading in a FOIA proceeding may also con- stitute a presentation in another proceeding if it addresses the merits of that proceeding.
(e)(1) When the request is received by the Managing Director, it will be as- signed to the Freedom of Information Act (FOIA) Control Office, where it will be date-stamped and assigned to the appropriate custodian of the records. A FOIA request is then considered prop-
erly received. This will occur no later than ten calendar days after the re- quest is first received by the agency.
(2)(i) Except for the purpose of mak- ing a determination regarding expe- dited processing under paragraph (h) of this section, the time for processing a request for inspection of records will be tolled
(A) While the custodian of records seeks reasonable clarification of the re- quest;
(B) Until clarification with the re- quester of issues regarding fee assess- ment occurs, including:
(1) While there is an unresolved fee waiver issue pending under § 0.470(e), unless the requester has provided a written statement agreeing to pay some or all of the fees pending the out- come of the waiver question;
(2) Following the denial of a fee waiv- er, unless the requester had provided a written statement agreeing to pay the fees if the fee waiver was denied;
(3) Where advance payment is re- quired pursuant to § 0.469 and has not been made.
(ii) Only one Commission request for information shall be deemed to toll the time for processing a request for in- spection of records under § 0.461(e)(2)(i)(A). Such request must be made no later than ten calendar days after a request is properly received by the custodian of records under § 0.461(e)(1).
(3) The FOIA Control Office will send an acknowledgement to the requester notifying the requester of the control number assigned to the request, the due date of the response, and the tele- phone contact number (202–418–0440) to be used by the requester to obtain the status of the request. Requesters may also obtain the status of an FOIA re- quest via e-mail at foia@fcc.gov.
(4) Multiple FOIA requests by the same or different FOIA requesters may be consolidated for disposition. See also § 0.470(b)(2).
(f) Requests for inspection of records will be acted on as follows by the cus- todian of the records.
(1) If the Commission is prohibited from disclosing the records in question, the request for inspection will be de- nied with a statement setting forth the specific grounds for denial.
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(2)(i) If records in the possession of the Commission are the property of an- other agency, the request will be re- ferred to that agency and the person who submitted the request will be so advised, with the reasons for referral.
(ii) If it is determined that the FOIA request seeks only records of another agency or department, the FOIA re- quester will be so informed by the FOIA Control Officer and will be di- rected to the correct agency or depart- ment.
(3) If it is determined that the Com- mission does not have authority to withhold the records from public in- spection, the request will be granted.
(4) If it is determined that the Com- mission does have authority to with- hold the records from public inspec- tion, the considerations favoring dis- closure and non-disclosure will be weighed in light of the facts presented, and the request will be granted, either conditionally or unconditionally, or denied.
(5) If there is a statutory basis for withholding part of a document from inspection, that part will be deleted and the remainder will be made avail- able for inspection. Records disclosed in part shall be marked or annotated to show the amount of information de- leted unless doing so would harm an in- terest protected by an applicable ex- emption. The location of the informa- tion deleted and the exemption under which the deletion is made also shall be indicated on the record, if tech- nically feasible.
(6) In locating and recovering records responsive to an FOIA request, only those records within the Commission’s possession and control as of the date of its receipt of the request shall be con- sidered.
(g)(1) The custodian of the records will make every effort to act on the re- quest within twenty business days after it is received and date-stamped by the FOIA Control Office.However, if a request for clarification has been made under § 0.461(e)(2)(i)(A) or an issue is outstanding regarding the payment of fees for processing the FOIA request is pending under § 0.461(e)(2)(i)(B), the counting of time will start upon resolu- tion of these requests. If it is not pos- sible to locate the records and to deter-
mine whether they should be made available for inspection within twenty business days, the custodian may, in any of the following circumstances, ex- tend the time for action by up to ten business days:
(i) It is necessary to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request.
(ii) It is necessary to search for, col- lect and appropriately examine a volu- minous amount of separate and dis- tinct records which are demanded in a single request; or
(iii) It is necessary to consult with another agency having a substantial interest in the determination of the re- quest, or among two or more compo- nents of the Commission having sub- stantial subject matter interest there- in.
(2) The custodian of the records will notify the requester in writing of any extension of time exercised pursuant to paragraph (g) of this section. The cus- todian of the records may also call the requester to extend the time provided a subsequent written confirmation is provided. If it is not possible to locate the records and make the determina- tion within the extended period, the person or persons who made the re- quest will be provided an opportunity to limit the scope of the request so that it may be processed within the ex- tended time limit, or an opportunity to arrange an alternative time frame for processing the request or a modified re- quest, and asked to consent to an ex- tension or further extension. If the re- quester agrees to an extension, the cus- todian of the records will confirm the agreement in a letter or e-mail speci- fying the length of the agreed-upon ex- tension. If he or she does not agree to an extension, the request will be de- nied, on the grounds that the custodian has not been able to locate the records and/or to make the determination within the period for a ruling man- dated by the Freedom of Information Act, 5 U.S.C. 552. In that event, the cus- todian will continue to search for and/ or assess the records and will advise the person who made the request of further developments; but that person may file an application for review by
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the Commission. When action is taken by the custodian of the records, writ- ten notice of the action will be given. Records will be made available with the written notice of action or as soon thereafter as is feasible.
(3) If the custodian of the records grants a request for inspection of records submitted to the Commission in confidence under § 0.457(d), § 0.459, or some other Commission rule or order, the custodian of the records will give the submitter written notice of the de- cision and of the submitter’s right to seek review pursuant to § 0.461(i).
(h)(1) Requesters who seek expedited processing of FOIA requests shall sub- mit such requests, along with their FOIA requests, to the Managing Direc- tor, as described in § 0.461(d). If the re- quest is enclosed in an envelope, the envelope shall be marked ‘‘Request for Expedited Proceeding—FOIA Request.’’ An original and two copies of the re- quest for expedition shall be submitted, but only one copy is necessary if sub- mitted by e-mail or by the Internet. When the request is received by the Managing Director, it, and the accom- panying FOIA request, will be assigned to the FOIA Control Office, where it will be date-stamped and assigned to the custodian of records.
(2) Expedited processing shall be granted to a requester demonstrating a compelling need that is certified by the requester to be true and correct to the best of his or her knowledge and belief.
(3) For purposes of this section, com- pelling need means—
(i) That failure to obtain requested records on an expedited basis could rea- sonably be expected to pose an immi- nent threat to the life or physical safe- ty of an individual; or
(ii) With respect to a request made by a person primarily engaged in dissemi- nating information, there is an ur- gency to inform the public concerning actual or alleged Federal Government activity.
(4)(i) Notice of the determination whether to grant expedited processing shall be provided to the requester by the custodian of records within ten cal- endar days after receipt of the request by the FOIA Control Office. Once the determination has been made to grant expedited processing, the custodian
shall process the FOIA request as soon as practicable.
(ii) If a request for expedited proc- essing is denied, the person seeking ex- pedited processing may file an applica- tion for review within five business days after the date of the written de- nial. The application for review and the envelope containing it (if any) shall be captioned ‘‘Review of FOIA Expedited Proceeding Request.’’ The application for review shall be delivered or mailed to the General Counsel. (For general procedures relating to applications for review, see § 1.115 of this chapter.) The Commission shall act expeditiously on the application for review, and shall notify the custodian of records and the requester of the disposition of such an application for review.
(i)(1) If a request for inspection of records submitted to the Commission in confidence under § 0.457(d), § 0.459, or another Commission rule or order is granted in whole or in part, an applica- tion for review may be filed by the per- son who submitted the records to the Commission, by a third party owner of the records or by a person with a per- sonal privacy interest in the records, or by the person who filed the request for inspection of records within the ten business days after the date of the written ruling. The application for re- view and the envelope containing it (if any) shall be captioned ‘‘Review of Freedom of Information Action.’’ The application for review shall be filed within ten business days after the date of the written ruling, shall be delivered or mailed to the General Counsel, and shall be served on the person who filed the request for inspection of records and any other parties to the pro- ceeding. The person who filed the re- quest for inspection of records may re- spond to the application for review within ten business days after it is filed.
(2) The first day to be counted in computing the time period for filing the application for review is the day after the date of the written ruling. If an application for review is not filed within this period, the records will be produced for inspection.
(3) If an application for review is de- nied, the person filing the application
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for review will be notified in writing and advised of his or her rights.
(4) If an application for review filed by the person who submitted, owns, or has a personal privacy interest in the records to the Commission is denied, or if the records are made available on re- view which were not initially made available, the person will be afforded ten business days from the date of the written ruling in which to move for a judicial stay of the Commission’s ac- tion. The first day to be counted in computing the time period for seeking a judicial stay is the day after the date of the written ruling. If a motion for stay is not made within this period, the records will be produced for inspection.
(j) Except as provided in paragraph (i) of this section, an application for re- view of an initial action on a request for inspection of records, a fee deter- mination (see § 0.467 through § 0.470), or a fee reduction or waiver decision (see § 0.470(e)) may be filed only by the per- son who made the request. The applica- tion shall be filed within 30 calendar days after the date of the written rul- ing by the custodian of records. The ap- plication for review and the envelope (if any) shall be captioned, ‘‘Review of Freedom of Information Action.’’ The application shall be delivered or mailed to the General Counsel. If the pro- ceeding involves records subject to confidential treatment under § 0.457 or § 0.459, or involves a person with an in- terest as described in § 0.461(i), the ap- plication for review shall be served on such persons. That person may file a response within ten business days after the application for review is filed. If the records are made available for re- view, the person who submitted them to the Commission will be afforded ten business days after the date of the written ruling to seek a judicial stay. See paragraph (i) of this section. The first day to be counted in computing the time period for filing the applica- tion for review or seeking a judicial stay is the day after the date of the written ruling.
NOTE TO PARAGRAPHS (i) AND (j): The Gen- eral Counsel may review applications for re- view with the custodian of records and at- tempt to informally resolve outstanding issues with the consent of the requester. For
general procedures relating to applications for review, see § 1.115 of this chapter.
(k)(1)(i) The Commission will make every effort to act on an application for review of an action on a request for inspection of records within twenty business days after it is filed. In the following circumstances and to the ex- tent time has not been extended under paragraphs (g)(1)(i), (ii), or (iii) of § 0.461(g) of this section, the Commis- sion may extend the time for acting on the application for review up to ten business days. (The total period of ex- tensions taken under this paragraph and under paragraph (g) of this section without the consent of the person who submitted the request shall not exceed ten business days.):
(A) It is necessary to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request;
(B) It is necessary to search for, col- lect and appropriately examine a volu- minous amount of separate and dis- tinct records which are demanded in a single request; or
(C) It is necessary to consult with an- other agency having a substantial in- terest in the determination of the re- quest or among two or more compo- nents of the Commission having sub- stantial subject matter interest there- in.
(ii) If these circumstances are not present, the person who made the re- quest may be asked to consent to an extension or further extension. If the requester or person who made the re- quest agrees to an extension, the Gen- eral Counsel will confirm the agree- ment in a letter specifying the length of the agreed-upon extension. If the re- questor or person who made the re- quest does not agree to an extension, the Commission will continue to search for and/or assess the records and will advise the person who made the re- quest of further developments; but that person may file a complaint in an ap- propriate United States district court.
(2) The Commission may at its dis- cretion or upon request consolidate for consideration related applications for review filed under § 0.461(i) or § 0.461(j).
(l)(1) Subject to the application for review and judicial stay provisions of
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paragraphs (i) and (j) of this section, if the request is granted, the records will be produced for inspection at the ear- liest possible time.
(2) If a request for inspection of records becomes the subject of an ac- tion for judicial review before the cus- todian of records has acted on the re- quest, or before the Commission has acted on an application for review, the Commission may continue to consider the request for production of records.
(m) Staff orders and letters ruling on requests for inspection are signed by the official (or officials) who give final approval of their contents. Decisions of the Commission ruling on applications for review will set forth the names of the Commissioners participating in the decision.
(n) Records shall be inspected within seven days after notice is given that they have been located and are avail- able for inspection. After that period, they will be returned to storage, and additional charges may be imposed for again producing them.
§ 0.463 Disclosure of Commission records and information in legal proceedings in which the Commis- sion is a non-party.
(a) This section sets forth procedures to be followed with respect to the pro- duction or disclosure of any material within the custody and control of the Commission, any information relating to such material, or any information acquired by any person while employed by the Commission as part of the per- son’s official duties or because of the person’s official status.
(b) In the event that a demand is made by a court or other competent authority outside the Commission for the production of records or testimony (e.g., a subpoena, order, or other de- mand), the General Counsel shall promptly be advised of such demand, the nature of the records or testimony sought, and all other relevant facts and circumstances. The General Counsel, in consultation with the Managing Direc- tor, will thereupon issue such instruc- tions as he or she may deem advisable consistent with this subpart.
(c) A party in a court or administra- tive legal proceeding in which the Commission is a non-party who wishes
to obtain records or testimony from the Commission shall submit a written request to the General Counsel. Such request must be accompanied by a statement setting forth the nature of the proceeding (including any relevant supporting documentation, e.g., a copy of the Complaint), the relevance of the records or testimony to the proceeding (including a proffer concerning the an- ticipated scope and duration of the tes- timony), a showing that other evidence reasonably suited to the requester’s needs is not available from any other source (including a request submitted pursuant to § 0.460 or § 0.461 of the Com- mission’s rules), and any other infor- mation that may be relevant to the Commission’s consideration of the re- quest for records or testimony. The purpose of the foregoing requirements is to assist the General Counsel in making an informed decision regarding whether the production of records or the testimony should be authorized.
(d) In deciding whether to authorize the release of records or to permit the testimony of present or former Com- mission personnel, the General Coun- sel, in consultation with the Managing Director, shall consider the following factors:
(1) Whether the request or demand would involve the Commission in issues or controversies unrelated to the Com- mission’s mission;
(2) Whether the request or demand is unduly burdensome;
(3) Whether the time and money of the Commission and/or the United States would be used for private pur- poses;
(4) The extent to which the time of employees for conducting official busi- ness would be compromised;
(5) Whether the public might mis- construe variances between personal opinions of employees and Commission policy;
(6) Whether the request or demand demonstrates that the records or testi- mony sought are relevant and material to the underlying proceeding, unavail- able from other sources, and whether the request is reasonable in its scope;
(7) Whether, if the request or demand were granted, the number of similar re- quests would have a cumulative effect
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on the expenditure of Commission re- sources;
(8) Whether the requestor has agreed to pay search and review fees as set forth in § 0.467 of this subpart;
(9) Whether disclosure of the records or the testimony sought would other- wise be inappropriate under the cir- cumstances; and
(10) Any other factor that is appro- priate.
(e) Among those demands and re- quests in response to which compliance will not ordinarily be authorized are those with respect to which any of the following factors exist:
(1) Disclosure of the records or the testimony would violate a statute, Ex- ecutive Order, rule, or regulation;
(2) The integrity of the administra- tive and deliberative processes of the Commission would be compromised;
(3) Disclosure of the records or the testimony would not be appropriate under the rules of procedure governing the case or matter in which the de- mand arose;
(4) Disclosure of the records, includ- ing release in camera, or the testimony, is not appropriate or required under the relevant substantive law con- cerning privilege;
(5) Disclosure of the records, except when in camera and necessary to assert a claim of privilege, or of the testi- mony, would reveal information prop- erly classified or other matters exempt from unrestricted disclosure; or
(6) Disclosure of the records or the testimony could interfere with ongoing Commission enforcement proceedings or other legal or administrative pro- ceedings, compromise constitutional rights, reveal the identity of an intel- ligence source or confidential inform- ant, or disclose trade secrets or simi- larly confidential commercial or finan- cial information.
(f) The General Counsel, following consultation with the Managing Direc- tor and any relevant Commission Bu- reau or Office, is authorized to approve non-privileged testimony by a present or former employee of the Commission or the production of non-privileged records in response to a valid demand issued by competent legal authority, or a request for records or testimony re- ceived under this section, and to assert
governmental privileges on behalf of the Commission in litigation that may be associated with any such demand or request.
(g) Any employee or former employee of the Commission who receives a de- mand for records of the Commission or testimony regarding the records or ac- tivities of the Commission shall promptly notify the General Counsel so that the General Counsel may take ap- propriate steps to protect the Commis- sion’s rights.
(Secs. 4(i), 303(r), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(r); 5 U.S.C. 301; 47 CFR 0.231(d))
§ 0.465 Request for copies of materials which are available, or made avail- able, for public inspection.
(a) The Commission awards a con- tract to a commercial duplication firm to make copies of Commission records and offer them for sale to the public. In addition to the charge for copying, the contractor may charge a search fee for locating and retrieving the requested documents from the Commission’s files.
NOTE TO PARAGRAPH (a): The name, ad- dress, telephone number, and schedule of fees for the current copy contractor are published at the time of contract award of renewal in a public notice and periodically thereafter. Current information is available at http:// www.fcc.gov/foia and http://www.fcc.gov/cgb. Questions regarding this information should be directed to the Reference Information Center of the Consumer and Governmental Affairs Bureau at 202–418–0270.
(b) Audio or video recordings or tran- scripts of Commission proceedings are available to the public through the Commission’s current copy contractor. In some cases, only some of these for- mats may be available.
(c)(1) Contractual arrangements which have been entered into with commercial firms, as described in this section, do not in any way limit the right of the public to inspect Commis- sion records or to retrieve whatever in- formation may be desired. Coin-oper- ated and debit card copy machines are available for use by the public.
(2) The Commission has reserved the right to make copies of its records for its own use or for the use of other agencies of the U.S. Government. When
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it serves the regulatory or financial in- terests of the U.S. Government, the Commission will make and furnish cop- ies of its records free of charge. In other circumstances, however, if it should be necessary for the Commis- sion to make and furnish copies of its records for the use of others, the fee for this service shall be ten cents ($0.10) per page or $5 per computer disk in ad- dition to charges for staff time as pro- vided in § 0.467. For copies prepared with other media, such as computer tapes, microfiche, videotape, the charge will be the actual direct cost in- cluding operator time. Requests for copying should be accompanied by a statement specifying the maximum copying fee the person making the re- quest is prepared to pay. If the Com- mission estimates that copying charges are likely to exceed the greater of $25 or the amount which the requester has indicated that he/she is prepared to pay, then it shall notify the requester of the estimated amount of fees. Such a notice shall offer the requester the opportunity to confer with Commission personnel with the object of revising or clarifying the request.
NOTE TO PARAGRAPH (c)(2): The criterion considered in acting on a waiver request is whether ‘‘waiver or reduction of the fee is in the public interest because furnishing the in- formation can be considered as primarily benefiting the general public.’’ 5 U.S.C. 552(a)(4)(A). A request for a waiver or reduc- tion of fees will be decided by the General Counsel as set forth in § 0.470(e).
(3) Certified Documents. Copies of doc- uments which are available or made available, for inspection under § 0.451 through § 0.465, will be prepared and certified, under seal, by the Secretary or his or her designee. Requests shall be in writing, specifying the exact doc- uments, the number of copies desired, and the date on which they will be re- quired. The request shall allow a rea- sonable time for the preparation and certification of copies. The fee for pre- paring copies shall be the same as that charged by the Commission as de- scribed in § 0.465(c)(2). The fee for cer- tification shall be $10 for each docu- ment.
(d)(1) Computer maintained data- bases produced by the Commission and available to the public may be obtained
from the FCC’s Web site at http:// www.fcc.gov or if unavailable on the Commission’s Web site, from the copy contractor.
NOTE TO PARAGRAPH (d)(1): The Commission awards a contract to provide the public with access to FCC databases from the copy con- tractor. See note to paragraph (a) of this sec- tion.
(2) Copies of computer generated data stored as paper printouts or electronic media and available to the public may also be obtained from the Commis- sion’s copy contractor (see paragraph (a) of this section).
(3) Copies of computer source pro- grams and associated documentation produced by the Commission and avail- able to the public may be obtained from the Office of the Managing Direc- tor.
(e) This section does not apply to records available on the Commission’s Web site, http://www.fcc.gov, or printed publications which may be purchased from the Superintendent of Documents or private firms (see § 0.411 through § 0.420), nor does it apply to application forms or information bulletins, which are prepared for the use and informa- tion of the public and are available upon request (see § 0.421 and § 0.423) or on the Commission’s Web site, http:// www.fcc.gov/formpage.html.
(f) Anyone requesting copies of docu- ments pursuant to this section may ei- ther come in person to the Commission (see § 0.461) or request that the copy contractor fulfill the request. If a re- quest goes directly to the contractor, the requester will be charged by the contractor pursuant to the price list set forth in the latest contract.
§ 0.466 Definitions.
(a) For the purpose of § 0.467 and § 0.468, the following definitions shall apply:
(1) The term direct costs means those expenditures which the Commission ac- tually incurs in searching for and du- plicating (and in case of commercial requesters, reviewing) documents to re- spond to a FOIA request. Direct costs include the salary of the employee per- forming the work (the basic rate of pay for the employee plus twenty percent of that rate to cover benefits), and the
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cost of operating duplicating machin- ery. Not included in direct costs are overhead expenses, such as costs of space, and heating or lighting the facil- ity in which the records are stored.
(2) The term search includes all time spent looking for material that is re- sponsive to a request, including page- by-page or line-by-line identification of material contained within documents. Such activity should be distinguished, however, from ‘‘review’’ of material in order to determine whether the mate- rial is exempt from disclosure (see paragraph (a)(3) of this section).
(3) The term review refers to the proc- ess of examining documents located in response to a commercial use request (see paragraph (a)(4) of this section) to determine whether any portion of a document located is exempt from dis- closure. It also includes processing any documents for disclosure, e.g., per- forming such functions that are nec- essary to excise them or otherwise pre- pare them for release. Review does not include time spent resolving general legal or policy issues regarding the ap- plication of FOIA exemptions.
(4) The term commercial use request refers to a request from or on behalf of one who seeks information for a use or purpose that furthers the commercial interests of the requester. In deter- mining whether a requester properly falls within this category, the Commis- sion shall determine the use to which a requester will put the documents re- quested. Where the Commission has reasonable cause to question the use to which a requester will put the docu- ments sought, or where that use is not clear from the request itself, the Com- mission shall seek additional clarifica- tion before assigning the request to a specific category. The dissemination of records by a representation of the news media (see § 0.466(a)(7)) shall not be considered to be for a commercial use.
(5) The term educational institution re- fers to a preschool, a public or private elementary or secondary school, an in- stitution of graduate higher education, an institution of professional education and an institution of vocational edu- cation, which operates a program or programs of scholarly research.
(6) The term non-commercial scientific institution refers to an institution that
is not operated on a commercial basis as that term is referenced in paragraph (a)(4) of this section, and which is oper- ated solely for the purpose of con- ducting scientific research the results of which are not intended to promote any particular product or industry.
(7) The term representative of the news media refers to any person or entity that gathers information of potential interest to a segment of the public, uses its editorial skills to turn the raw materials into a distinct work, and dis- tributes that work to an audience. In this clause, the term news means infor- mation that is about current events or that would be of current interest to the public. Examples of news-media enti- ties are television or radio stations broadcasting to the public at large and publishers of periodicals (but only if such entities qualify as disseminators of news) who make their products available for purchase or subscription by, or free distribution to, the general public. These examples are not all-in- clusive. Moreover, as methods of news delivery evolve (for example, the adop- tion of electronic dissemination of newspapers through telecommuni- cations services), such alternative media shall be considered to be news- media entities. A freelance journalist shall be regarded as working for a news-media entity if the journalist can demonstrate a solid basis for expecting publication through that entity, whether or not the journalist is actu- ally employed by the entity. A publica- tion contract would present a solid basis for such an expectation; the Com- mission may also consider the past publication record of the requester in making such a determination. See 5 U.S.C. 552(a)(4)(A)(ii).
(8) The term all other requester refers to any person not within the defini- tions in paragraphs (a)(4) through (a)(7) of this paragraph.
(b) [Reserved]
§ 0.467 Search and review fees. (a)(1) Subject to the provisions of
this section, an hourly fee shall be charged for recovery of the full, allow- able direct costs of searching for and reviewing records requested under § 0.460 or § 0.461, unless such fees are re- duced or waived pursuant to § 0.470. The
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fee is based on the pay grade level of the FCC’s employee(s) who conduct(s) the search or review, or the actual hourly rate of FCC contractors or other non-FCC personnel who conduct a search.
NOTE TO PARAGRAPH (a)(1): The fees for FCC employees will be modified periodically to correspond with modifications in the rate of pay approved by Congress and any such modifications will be announced by public notice and will be posted on the Commis- sion’s Web site, http://www.fcc.gov/foia/ #feeschedule.
(2) The fees specified in paragraph (a)(1) of this section are computed at Step 5 of each grade level based on the General Schedule and include twenty percent for personnel benefits. Search and review fees will be assessed in 1⁄4 hour increments.
(b) Search fees may be assessed for time spent searching, even if the Com- mission fails to locate responsive records or if any records located are de- termined to be exempt from disclosure.
(c) The Commission shall charge only for the initial review, i.e., the review undertaken initially when the Commis- sion analyzes the applicability of a spe- cific exemption to a particular record. The Commission shall not charge for review at the appeal level of an exemp- tion already applied. However, records or portions of records withheld in full under an exemption that is subse- quently determined not to apply may be reviewed again to determine the ap- plicability of other exemptions not pre- viously considered. The costs of such a subsequent review, under these cir- cumstances, are properly assessable.
(d) The fee charged will not exceed an amount based on the time typically re- quired to locate records of the kind re- quested.
(e)(1) If the Commission estimates that search charges are likely to ex- ceed the greater of $25 or the amount which the requester indicated he/she is prepared to pay, then it shall notify the requester of the estimated amount of fees. Such a notice shall offer the re- quester the opportunity to confer with Commission personnel with the object of revising or clarifying the request. See § 0.465(c)(2) and § 470(d).
(2) The time for processing a request for inspection shall be tolled while con-
ferring with the requester about his or her willingness to pay the fees required to process the request. See § 0.461(e).
(f) When the search has been com- pleted, the custodian of the records will give notice of the charges incurred to the person who made the request.
(g) The fee shall be paid to the Finan- cial Management Division, Office of Managing Director, or as otherwise di- rected by the Commission.
(h) Records shall be inspected within seven days after notice is given that they have been located and are avail- able for inspection. See § 0.461(n). After that period, they will be returned to storage, and additional charges may be imposed for again producing them.
§ 0.468 Interest. Interest shall be charged those re-
questers who fail to pay the fees charged. The agency will begin assess- ing interest charges on the amount billed starting on the 31st day fol- lowing the day on which the billing was sent. The date on which the pay- ment is received by the agency will de- termine whether and how much inter- est is due. The interest shall be set at the rate prescribed in 31 U.S.C. 3717.
§ 0.469 Advance payments. (a) The Commission may not require
advance payment of estimated FOIA fees except as provided in paragraph (b) or where the Commission estimates or determines that allowable charges that a requester may be required to pay are likely to exceed $250.00 and the re- quester has no history of payment. Where allowable charges are likely to exceed $250.00 and the requester has a history of prompt payment of FOIA fees the Commission may notify the re- quester of the estimated cost and ob- tain satisfactory assurance of full pay- ment. Notification that fees may ex- ceed $250.00 is not, however, a pre- requisite for collecting fees above that amount.
(b) Where a requester has previously failed to pay a fee charged in a timely fashion (i.e., within 30 days of the date of the billing), the Commission may re- quire the requester to pay the full amount owed plus any applicable inter- est as provided in § 0.468, and to make an advance payment of the full amount
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Federal Communications Commission § 0.470
of the estimated fee before the Com- mission begins to process a new request or a pending request from that re- quester.
(c) When the Commission acts under paragraph (a) of this section, the ad- ministrative time limits prescribed in §§ 0.461(g) and (k) (i.e., twenty business days from receipt of initial requests and twenty business days from receipt of appeals from initial denials, plus permissible extensions of these time limits (see § 0.461(g)(1)(i) through (iii) and § 0.461(k)(1)(i) through (iii)) will begin only after the agency has re- ceived the fee payments described in this section. See §§ 0.461(e)(2)(ii) and 0.467(e)(2).
§ 0.470 Assessment of fees.
(a)(1) Commercial use requesters. (i) When the Commission receives a re- quest for documents for commercial use, it will assess charges that recover the full direct cost of searching for, re- viewing and duplicating the records sought pursuant to §§ 0.466 and 0.467, above.
(ii) Commercial use requesters shall not be assessed search fees if the Com- mission fails to comply with the time limits under § 0.461(g)(1), if no unusual or exceptional circumstances (§ 0.461(g)(1)(i) through (iii)) apply to the processing of the request.
(2) Educational and non-commercial sci- entific institution requesters and request- ers who are representatives of the news media. (i) The Commission shall pro- vide documents to requesters in these categories for the cost of reproduction only, pursuant to § 0.465 above, exclud- ing reproduction charges for the first 100 pages, provided however, that re- questers who are representatives of the news media shall be entitled to a re- duced assessment of charges only when the request is for the purpose of dis- tributing information.
(ii) Educational requesters or re- questers who are representatives of the news media shall not be assessed fees for the cost of reproduction if the Com- mission fails to comply with the time limits under § 0.461(g)(1), if no unusual or exceptional circumstances (§ 0.461(g)(1)(i) through (iii)) apply to the processing of the request.
(3) All other requesters. (i) The Com- mission shall charge requesters who do not fit into any of the categories above fees which cover the full, reasonable di- rect cost of searching for and reproduc- ing records that are responsive to the request, pursuant to § 0.465 and § 0.467, except that the first 100 pages of repro- duction and the first two hours of search time shall be furnished without charge.
(ii) All other requesters shall not be assessed search fees if the Commission fails to comply with the time limits under § 0.461(g)(1), if no unusual or ex- ceptional circumstances (§ 0.461(g)(1)(i) through (iii)) apply to the processing of the request.
(b)(1) The 100 page restriction on as- sessment of reproduction fees in para- graphs (a)(2) and (a)(3) of this section refers to 100 paper copies of a standard size, which will normally be ‘‘81⁄2 x 11’’ or ‘‘11 x 14,’’ or microfiche containing the equivalent of 100 pages or 100 pages of computer printout.
(2) When the agency reasonably be- lieves that a requester or group of re- questers is attempting to segregate a request into a series of separate indi- vidual requests for the purpose of evad- ing the assessment of fees, the agency will aggregate any such requests and assess charges accordingly.
(c) When a requester believes he or she is entitled to a reduced fee assess- ment pursuant to paragraphs (a)(2) and (a)(3) of this section, or a waiver pursu- ant to paragraph (e) of this section, the requester must include, in his or her original FOIA request, a statement ex- plaining with specificity, the reasons demonstrating that he or she qualifies for a reduced fee or a fee waiver. In- cluded in this statement should be a certification that the information will not be used to further the commercial interests of the requester.
NOTE TO PARAGRAPH (c): Anyone requesting a reduced fee or a fee waiver must submit the request directly to the Commission and not to the contractor who will provide docu- ments only at the contract price.
(d) If the Commission reasonably be- lieves that a commercial interest ex- ists, based on the information provided pursuant to paragraph (c) of this sec- tion, the requester shall be so notified and given an additional ten business
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days to provide further information to justify receiving a reduced fee. See § 0.467(e)(2). During this time period, the materials will be available for in- spection to the extent that the time period exceeds the time period for re- sponding to FOIA requests, as appro- priate.
(e)(1) Copying, search and review charges shall be waived or reduced by the General Counsel when ‘‘disclosure of the information is in the public in- terest because it is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in the commercial interest of the requester.’’ 5 U.S.C. 552(a)(4)(A)(iii). Simply repeat- ing the fee waiver language of section 552(a)(4)(A)(iii) is not a sufficient basis to obtain a fee waiver.
(2) The criteria used to determine whether disclosure is in the public in- terest because it is likely to contribute significantly to public understanding of the operations or activities of the government include:
(i) Whether the subject of the re- quested records concerns the oper- ations or activities of the government;
(ii) Whether the disclosure is likely to contribute to an understanding of government operations or activities; and
(iii) Whether disclosure of the re- quested information will contribute to public understanding as opposed to the individual understanding of the re- quester or a narrow segment of inter- ested persons.
(3) The criteria used to determine whether disclosure is primarily in the commercial interest of the requester include:
(i) Whether the requester has a com- mercial interest that would be furthered by the requested disclosure; and, if so
(ii) Whether the magnitude of the identified commercial interest of the requester is sufficiently large, in com- parison with the public interest in dis- closure, that disclosure is primarily in the commercial interest of the re- quester.
(4) This request for fee reduction or waiver must accompany the initial re- quest for records and will be decided
under the same procedures used for record requests.
(5) If no fees or de minimis fees would result from processing a FOIA request and a fee waiver or reduction has been sought, the General Counsel will not reach a determination on the waiver or reduction request.
(f) Whenever the total fee calculated under this section is $15 or less, no fee will be charged.
(g) Review of initial fee determina- tions under § 0.467 through § 0.470 and initial fee reduction or waiver deter- minations under § 0.470(e) may be sought under § 0.461(j).
PLACES FOR MAKING SUBMITTALS OR RE- QUESTS, FOR FILING APPLICATIONS, AND FOR TAKING EXAMINATIONS
§ 0.471 Miscellaneous submittals or re- quests.
Persons desiring to make submittals or requests of a general nature should communicate with the Secretary of the Commission.
[36 FR 15121, Aug. 13, 1971]
§ 0.473 Reports of violations.
Reports of violations of the Commu- nications Act or of the Commission’s rules and regulations may be sub- mitted to the Commission in Wash- ington or to any field office.
[32 FR 10578, July 19, 1967]
§ 0.475 Applications for employment.
Persons who wish to apply for em- ployment should communicate with the Associate Managing Director-Per- sonnel Management.
(Secs. 4(i), 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[49 FR 13368, Apr. 4, 1984]
§ 0.481 Place of filing applications for radio authorizations.
For locations for filing applications, and appropriate fees, see §§ 1.1102 through 1.1107 of this chapter.
[69 FR 41130, July 7, 2004]
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§ 0.482 Application for waiver of wire- less radio service rules.
All requests for waiver of the rules (see § 1.925 of this chapter) governing the Wireless Radio Services (see § 1.907 of this chapter) that require a fee (see § 1.1102 of this chapter) shall be sub- mitted via the Universal Licensing System or to the U.S. Bank, St. Louis, Missouri at the address set forth in § 1.1102. Waiver requests that do not re- quire a fee should be submitted via the Universal Licensing System or to: Fed- eral Communications Commission, 1270 Fairfield Road, Gettysburg, Pennsyl- vania 17325–7245. Waiver requests at- tached to applications must be sub- mitted in accordance with § 0.401(b) or § 0.401(c) of the rules.
[63 FR 68919, Dec. 14, 1998, as amended at 73 FR 9018, Feb. 19, 2008]
§ 0.483 Applications for amateur or commercial radio operator licenses.
(a) Application filing procedures for amateur radio operator licenses are set forth in part 97 of this chapter.
(b) Application filing procedures for commercial radio operator licenses are set forth in part 13 of this chapter. De- tailed information about application forms, filing procedures, and places to file applications for commercial radio operator licenses is contained in the bulletin ‘‘Commercial Radio Operator Licenses and Permits.’’ This bulletin is available from any Commission field office or the FCC, Washington, DC 20554.
[47 FR 53378, Nov. 26, 1982]
§ 0.484 Amateur radio operator exami- nations.
Generally, examinations for amateur radio operation licenses shall be ad- ministered at locations and times spec- ified by volunteer examiners. (See § 97.509). When the FCC conducts exami- nations for amateur radio operator li- censes, they shall take place at loca- tions and times designated by the FCC.
[58 FR 13021, Mar. 9, 1993]
§ 0.485 Commercial radio operator ex- aminations.
Generally, written and telegraphy ex- aminations for commercial radio oper- ator licenses shall be conducted at lo-
cations and times specified by commer- cial operator license examination man- agers. (See § 13.209 of this chapter). When the FCC conducts these examina- tions, they shall take place at loca- tions and times specified by the FCC.
[58 FR 9124, Feb. 19, 1993]
§ 0.489 Applications for ship radio in- spection and periodical survey.
Applications for ship radio inspection or for periodical survey shall be for- warded to the radio district office near- est the desired port of inspection or place of survey.
[28 FR 12413, Nov. 22, 1963. Redesignated at 32 FR 10578, July 19, 1967]
§ 0.491 Application for exemption from compulsory ship radio require- ments.
Applications for exemption filed under the provisions of sections 352(b) or 383 of the Communications Act; Reg- ulation 4, chapter I of the Safety Con- vention; Regulation 5, chapter IV of the Safety Convention; or Article IX of the Great Lakes Agreement, must be filed as a waiver request using the pro- cedures specified in § 0.482 of this part. Emergency requests must be filed via the Universal Licensing System or at the Federal Communications Commis- sion, Office of the Secretary.
[71 FR 15618, Mar. 29, 2006]
§ 0.493 Non-radio common carrier ap- plications.
All such applications shall be filed at the Commission’s offices in Wash- ington, DC.
[28 FR 12413, Nov. 22, 1963. Redesignated at 32 FR 10578, July 19, 1967]
Subpart D—Mandatory Declas- sification of National Security Information
AUTHORITY: Secs. 4(i), 303(r), Communica- tions Act of 1934, as amended (47 U.S.C. 154(i) and 303(r)).
SOURCE: 47 FR 53377, Nov. 26, 1982, unless otherwise noted.
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§ 0.501 General.
Executive Order 12356 requires that information relating to national secu- rity be protected against unauthorized disclosure as long as required by na- tional security considerations. The Order also provides that all informa- tion classified under Executive Order 12356 or predecessor orders be subject to a review for declassification upon receipt of a request made by a United States citizen or permanent resident alien, a Federal agency, or a state or local government.
§ 0.502 Purpose.
This subpart prescribes the proce- dures to be followed in submitting re- quests, processing such requests, ap- peals taken from denials of declas- sification requests and fees and charges.
§ 0.503 Submission of requests for mandatory declassification review.
(a) Requests for mandatory review of national security information shall be in writing, addressed to the Managing Director, and reasonably describe the information sought with sufficient par- ticularity to enable Commission per- sonnel to identify the documents con- taining that information and be rea- sonable in scope.
(b) When the request is for informa- tion originally classified by the Com- mission, the Managing Director shall assign the request to the appropriate bureau or office for action.
(c) Requests related to information, either derivatively classified by the Commission or originally classified by another agency, shall be forwarded, to- gether with a copy of the record, to the originating agency. The transmittal may contain a recommendation for ac- tion.
§ 0.504 Processing requests for declas- sification.
(a) Responses to mandatory declas- sification review requests shall be gov- erned by the amount of search and re- view time required to process the re- quest. A final determination shall be made within one year from the date of receipt of the request, except in un- usual circumstances.
(b) Upon a determination by the bu- reau or office that the requested mate- rial originally classified by the Com- mission no longer warrants protection, it shall be declassified and made avail- able to the requester, unless with- holding is otherwise authorized under law.
(c) If the information may not be de- classified or released in whole or in part, the requester shall be notified as to the reasons for the denial, given no- tice of the right to appeal the denial to the Classification Review Committee, and given notice that such an appeal must be filed within 60 days of the date of denial in order to be considered.
(d) The Commission’s Classification Review Committee, consisting of the Managing Director (Chairman), the General Counsel or his designee, and the Chief, Internal Review and Secu- rity Division, shall have authority to act, within 30 days, upon all appeals re- garding denials of requests for manda- tory declassification of Commission- originated classifications. The Com- mittee shall be authorized to overrule previous determinations in whole or in part when, in its judgment, continued classification is no longer required. If the Committee determines that contin- ued classification is required under the criteria of the Order, the requester shall be promptly notified and advised that an application for review may be filed with the Commission pursuant to 47 CFR 1.115.
§ 0.505 Fees and charges.
(a) The Commission has designated a contractor to make copies of Commis- sion records and offer them for sale (See § 0.465).
(b) An hourly fee is charged for re- covery of the direct costs of searching for requested documents (See § 0.466).
§ 0.506 FOIA and Privacy Act requests.
Requests for declassification that are submitted under the provisions of the Freedom of Information Act, as amend- ed, (See § 0.461), of the Privacy Act of 1974, (See § 0.554) shall be processed in accordance with the provisions of those Acts.
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Subpart E—Privacy Act Regulations
AUTHORITY: Secs. 4, 303, 49 Stat. as amend- ed, 1066, 1082 (47 U.S.C. 154, 303).
SOURCE: 40 FR 44512, Sept. 26, 1975, unless otherwise noted.
§ 0.551 Purpose and scope; definitions.
(a) The purpose of this subpart is to implement the Privacy Act of 1974, 5 U.S.C. 552(a), and to protect the rights of the individual in the accuracy and privacy of information concerning him which is contained in Commission records. The regulations contained herein cover any group of records under the Commission’s control from which information about individuals is retrievable by the name of an indi- vidual or by some other personal iden- tifier.
(b) In this subpart: (1) Individual means a citizen of the
United States or an alien lawfully ad- mitted for permanent residence;
(2) Record means any item, collection or grouping of information about an in- dividual that is maintained by the Commission, including but not limited to, such individual’s education, finan- cial transactions, medical history, and criminal or employment history, and that contains such individual’s name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph.
(3) System of Records means a group of records under the control of the Com- mission from which information is re- trievable by the name of the individual or by some identifying number, sym- bol, or other identifying particular as- signed to the individual;
(4) Routine Use means, with respect to the disclosure of a record, the use of such record for a purpose which is com- patible with the purpose for which it was collected;
(5) System Manager means the Com- mission official responsible for the
storage, maintenance, safekeeping, and disposal of a system of records.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]
§ 0.552 Notice identifying Commission systems of records.
The Commission publishes in the FEDERAL REGISTER upon establishment or revision a notice of the existence and character of the system of records, including for each system of records:
(a) The name and location of the sys- tem;
(b) The categories of individuals on whom records are maintained in the system;
(c) The categories of records main- tained in the system;
(d) Each routine use of the records contained in the system, including the categories of users and the purposes of such use;
(e) The policies and practices of the agency regarding storage, retrievability, access controls, reten- tion, and disposal of the records;
(f) The title and business address of the system manager;
(g) The address of the agency office to which inquiries should be addressed and the addresses of locations at which the individual may inquire whether a system contains records pertaining to himself;
(h) The agency procedures whereby an individual can be notified how ac- cess can be gained to any record per- taining to that individual contained in a system of records, and the procedure for correcting or contesting its con- tents; and
(i) The categories of sources of records in the system.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]
§ 0.553 New uses of information. Before establishing a new routine use
of a system of records, the Commission will publish a notice in the FEDERAL REGISTER of its intention to do so, and
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will provide at least 30 days for public comment on such use. The notice will contain:
(a) The name of the system of records for which the new routine use is to be established;
(b) The authority for the system; (c) The categories of records main-
tained; (d) The proposed routine use(s); and (e) The categories of recipients for
each proposed routine use.
§ 0.554 Procedures for requests per- taining to individual records in a system of records.
(a) Upon request, the Commission will notify individuals as to whether it maintains information about them in a system of records and, subject to the provisons of § 0.555(b), will disclose the substance of such information to that individual. In order to properly request notification or access to record infor- mation, reference must be made to the Notice described in § 0.552. A table of contents, which is alphabetized by bu- reau or office, precedes the system de- scriptions and allows members of the public to easily identify record systems of interest to them. An individual may inquire into information contained in any or all systems of records described in the Notice. However, each inquiry shall be limited to information from systems located within a single bureau or office and shall be addressed to that bureau or office.
(b) Reasonable identification is re- quired of all individuals making re- quests pursuant to paragraph (a) of this section in order to assure that dis- closure of any information is made to the proper person.
(1) Individuals who choose to register a request for information in person may verify their identity by showing any two of the following: social secu- rity card; drivers license; employee identification card; medicare card; birth certificate; bank credit card; or other positive means of identification. Documents incorporating a picture and/or signature of the individual shall be produced if possible. If an individual cannot provide suitable documentation for identification, that individual will be required to sign an identity state- ment stipulating that knowingly or
willfully seeking or obtaining access to records about another person under false pretenses is punishable by a fine of up to $5,000.
NOTE: An individual’s refusal to disclose his social security number shall not con- stitute cause in and of itself, for denial of a request.
(2) All requests for record informa- tion sent by mail shall be signed by the requestor and shall include his printed name, current address and telephone number (if any). Commission officials receiving such requests will attempt to verify the identity of the requestor by comparing his or her signature to those in the record. If the record contains no signatures and if positive identifica- tion cannot be made on the basis of other information submitted, the re- questor will be required to sign an identity statement and stipulate that knowingly or willfully seeking or ob- taining access to records about another person under false pretense is punish- able by a fine of up to $5,000.
(3) If positive identification cannot be made on the basis of the informa- tion submitted, and if data in the record is so sensitive that unauthorized access could cause harm or embarrass- ment to the individual to whom the record pertains, the Commission re- serves the right to deny access to the record pending the production of addi- tional more satisfactory evidence of identity.
NOTE: The Commission will require verification of identity only where it has de- termined that knowledge of the existence of record information or its substance is not subject to the public disclosure requirements of the Freedom of Information Act, 5 U.S.C. 552, as amended.
(c) All requests for notification of the existence of record information or for access to such information shall be de- livered to the business address of the system manager responsible for the system of records in question, except that requests relating to official per- sonnel records shall be addressed to the Associate Managing Director—Per- sonnel Management. Such addresses can be found in the FEDERAL REGISTER Notice described in § 0.552.
(d) A written acknowledgement of re- ceipt of a request for notification and/
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Federal Communications Commission § 0.555
or access will be provided within 10 days (excluding Saturdays, Sundays, and legal public holidays) to the indi- vidual making the request. Such an ac- knowledgement may, if necessary, re- quest any additional information need- ed to locate a record. A search of all systems of records identified in the in- dividual’s request will be made to de- termine if any records pertaining to the individual are contained therein, and the individual will be notified of the search results as soon as the search has been completed. Normally, a re- quest will be processed and the indi- vidual notified of the search results within 30 days (excluding Saturdays, Sundays, and legal holidays) from the date the inquiry is received. However, in some cases, as where records have to be recalled from Federal Record Cen- ters, notification may be delayed. If it is determined that a record pertaining to the individual making the request does exist, the notification will state approximately when the record will be available for personal review. No sepa- rate acknowledgement is required if the request can be processed and the individual notified of the search results within the ten-day period.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]
§ 0.555 Disclosure of record informa- tion to individuals.
(a) Individuals having been notified that the Commission maintains a record pertaining to them in a system of records may request access to such record in one of three ways: by in per- son inspection at the system location; by transfer of the record to a nearer lo- cation; or by mail.
(1) Individuals who wish to review their records at the system location must do so during regular Commission business hours (8:00 a.m.–4:30 p.m., Monday through Friday). For personal and administrative convenience, indi- viduals are urged to arrange to review a record by appointment. Preferences as to specific dates and times can be made by writing or calling the system manager responsible for the system of records in question at least two days in
advance of the desired appointment date, and by providing a telephone number where the individual can be reached during the day in case the ap- pointment must be changed. Verification of identity is required as in § 0.554(b)(1) before access will be granted an individual appearing in per- son. Individuals may be accompanied by a person of his or her own choosing when reviewing a record. However, in such cases, a written statement au- thorizing discussion of their record in the presence of a Commission rep- resentative having physical custody of the records.
(2) Individuals may request that a record be transferred to a Commission field office or installation in the vicin- ity of his or her home and that access be granted at that location. The ad- dresses of Commission field offices are listed in § 0.121. A request to transfer records must specify the exact location where the records should be sent and a telephone number to call when the in- formation is available for review at the field location. Paragraph (a)(1) of this section regarding personal appoint- ments, verification of identity accom- panying persons, and disclosure of original records applies equally to this paragraph.
(3) Individuals may request that cop- ies of records be sent directly to them. In such cases, individuals must verify their identity as § 0.554(b)(2) and pro- vide an accurate return address. Records shall be sent only to that ad- dress.
(b) The disclosure of record informa- tion under this section is subject to the following limitations:
(1) Records containing medical infor- mation pertaining to an individual are subject to individual access under this section unless, in the judgment of the system manager having custody of the records after consultation with a med- ical doctor, access to such record infor- mation could have an adverse impact on the individual. In such cases, a copy of the record will be delivered to a medical doctor named by the indi- vidual.
(2) Classified material, investigative material compiled for law enforcement purposes, investigatory material com- piled solely for determining suitability
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47 CFR Ch. I (10–1–10 Edition)§ 0.556
for Federal employment or access to classified information, and certain testing or examination material shall be removed from the records to the ex- tent permitted in the Privacy Act of 1974, 5 U.S.C. 552(a). Section 0.561 of this subpart sets forth the systems of records maintained by the Commission which are either totally or partially exempt from disclosure under this sub- paragraph.
(c) No fee will be imposed if the num- ber of pages of records requested is 25 or less. Requests involving more than 25 pages shall be submitted to the du- plicating contractor (see § 0.456(a)).
(d) The provisions of this section in no way give an individual the right to access any information compiled in reasonable anticipation of a civil ac- tion or proceeding.
(e) In the event that a determination is made denying an individual access to records pertaining to that individual for any reason, such individual may ei- ther:
(1) Seek administrative review of the adverse determination. Such a request shall be in writing and should be ad- dressed to the system manager who made the initial decision. In addition, the request for review shall state spe- cifically why the initial decision should be reversed.
(2) Seek judicial relief in the district courts of the United States pursuant to paragraph (g)(1)(B) of the Act.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 40 FR 58858, Dec. 19, 1975; 49 FR 13369, Apr. 4, 1984]
§ 0.556 Request to correct or amend records.
(a) An individual may request the amendment of information contained in their record. Except as otherwise provided in this paragraph, the request to amend should be submitted in writ- ing to the system manager responsible for the records. Requests to amend the official personnel records of active FCC employees should be submitted to the Associate Managing Director—Human Resources Management, 445 12th Street, SW., Washington, D.C. 20554. Requests to amend official personnel
records of former FCC employees should be sent to the Assistant Direc- tor for Work Force Information, Com- pliance and Investigations Group, Of- fice of Personnel Management, 1900 E Street, NW., Washington, D.C. 20415. Any request to amend should contain as a minimum:
(1) The identity verification informa- tion required by § 0.554(b)(2) and the in- formation needed to locate the record as required by § 0.554(a).
(2) A brief description of the item or items of information to be amended; and
(3) The reason for the requested change.
(b) A written acknowledgement of the receipt of a request to amend a record will be provided within 10 days (excluding Saturdays, Sundays, and legal public holidays) to the individual requesting the amendment. Such an ac- knowledgement may, if necessary, re- quest any additional information need- ed to make a determination. There will be no acknowledgement if the request can be reviewed, processed, and the in- dividual notified of compliance or de- nial within the 10 day period.
(c) The responsible system manager, or in the case of official personnel records of active FCC employees, the Associate Managing Director—Per- sonnel Management, shall (normally within 30 days) take one of the fol- lowing actions regarding a request to amend:
(1) If the system manager agrees that an amendment to the record is war- ranted, the system manager shall:
(i) So advise the individual in writ- ing;
(ii) Correct the record in compliance with the individual’s request; and
(iii) If an accounting of disclosures has been made, advise all previous re- cipients of the fact that the record has been corrected and of the substance of the correction.
(2) If the system manager, after an initial review, does not agree that all or any portion of the record merits amendment, the system manager shall:
(i) Notify the individual in writing of such refusal to amend and the reasons therefore;
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Federal Communications Commission § 0.557
(ii) Advise the individual that further administrative review of the initial de- cision by the full Commission may be sought pursuant to the procedures set forth in § 0.557. (In cases where the re- quest to amend involves official per- sonnel records, review is available ex- clusively from the Assistant Director for Work Force Information, Compli- ance and Investigations Group, Office of Personnel Management, Washington, DC 20415; and
(iii) Inform the individual of the pro- cedures for requesting Commission re- view pursuant to § 0.557.
(d) In reviewing a record in response to a request to amend, the system manager shall assess the accuracy, rel- evance, timeliness, or completeness of the record in light of each data ele- ment placed into controversy and the use of the record in making decisions that could possibly affect the indi- vidual. Moreover, the system manager shall ajudge the merits of any request to delete information based on whether or not the information in controversy is both relevant and necessary to ac- complish a statutory purpose required of the Commission by law or executive order of the President.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 45 FR 39850, June 12, 1980; 49 FR 13369, Apr. 4, 1984; 65 FR 58466, Sept. 29, 2000]
§ 0.557 Administrative review of an ini- tial decision not to amend a record.
(a) Individuals have 30 days from the date of the determination not to amend a record consistent with their request to seek further administrative review by the full Commisison. Such a request shall be in writing and should be ad- dressed to either the system manager who made the initial adverse decision, or, in the case of official personnel records of active FCC employees, to the Assistant Director for Work Force Information, Compliance and Inves- tigations Group, Office of Personnel Management, Washington, DC 20415. Any request for administrative review must:
(1) Clearly identify the questions pre- sented for review (e.g., whether the record information in question is, in
fact, accurate; whether information subject to a request to delete is rel- evant and necessary to the purpose for which it is maintained);
(2) Specify with particularity why the decision reached by the system manager is erroneous or inequitable; and
(3) Clearly state how the record should be amended or corrected.
(b) The Commission shall conduct an independent review of the record in controversy using the standards of re- view set out in § 0.556(d). It may seek such additional information as is nec- essary to make its determination. Final administrative review shall be completed not later than 30 days (ex- cluding Saturdays, Sundays and legal public holidays) from the date on which the individual requests such re- view unless the Chairman determines that a fair and equitable review cannot be made within the 30 day period. In such event, the individual will be in- formed in writing of the reasons for the delay and the approximate date on which the review is expected to be completed.
(c) If upon review of the record in controversy the Commission agrees with the individual that the requested amendment is warranted, the Commis- sion will proceed in accordance with § 0.556(c)(1) (i) through (iii).
(d) If after the review, the Commis- sion also refuses to amend the record as requested, it shall:
(1) Notify the individual in writing of its refusal and the reasons therefore;
(2) Advise the individual that a con- cise statement of the reasons for dis- agreeing with the decision of the Commisison may be filed;
(3) Inform the individual: (i) That such a statement should be
signed and addressed to the system manager having custody of the record in question;
(ii) That the statement will be made available to any one to whom the record is subsequently disclosed to- gether with, at the Commission’s dis- cretion, a summary of its reasons for refusing to amend the record; and
(iii) That prior recipients of the record will be provided a copy of the statement of dispute to the extent that
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47 CFR Ch. I (10–1–10 Edition)§ 0.558
an accounting of such disclosures is maintained; and
(4) Advise the individual that judicial review of the Commisison’s decision not to amend the record in any district court of the United States is available.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 45 FR 39850, June 12, 1980; 49 FR 13369, Apr. 4, 1984]
§ 0.558 Advice and assistance. Individuals who have questions re-
garding the procedures contained in this subpart for gaining access to a particular system of records or for con- testing the contents of a record, either administratively or judicially, should write or call the Privacy Liaison Offi- cer at the following address:
Federal Communications Commission, Office of General Counsel, 445 12th Street, SW., Washington, DC 20554.
Individuals who request clarification of the Notice described in § 0.552 or who have questions concerning the charac- terization of specific systems of records as set forth therein, should write or call the Privacy Liaison Offi- cer at the following address:
Federal Communications Commission, Per- formance Evaluation and Records Manage- ment, Office of the Managing Director, 445 12th Street, SW., Washington, DC 20554
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13369, Apr. 4, 1984; 65 FR 58466, Sept. 29, 2000]
§ 0.559 Disclosure of disputed informa- tion to persons other than the indi- vidual to whom it pertains.
If the Commission determines not to amend a record consistent with an in- dividual’s request, and if the individual files a statement of disagreement pur- suant to § 0.557(d)(2), the Commission shall clearly annotate the record so that the disputed portion becomes ap- parent to anyone who may subse- quently have access to, use or disclose the record. A copy of the individual’s statement of disagreement shall ac- company any subsequent disclosure of
the record. In addition, the Commis- sion may include a brief summary of its reasons for not amending the record when disclosing the record. Such state- ments become part of the individual’s record for granting access, but are not subject to the amendment procedures of § 0.556.
§ 0.560 Penalty for false representation of identity.
Any individual who knowingly and willfully requests or obtains under false pretenses any record concerning an individual from any system of records maintained by the Commission shall be guilty of a misdemeanor and subject to a fine of not more than $5,000.
§ 0.561 Exemptions.
The following systems of records are totally or partially exempt from sub- sections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Privacy Act of 1974, 5 U.S.C. 552(a), and from §§ 0.554 through 0.557 of this subpart:
(a) System name. Radio Operator Records—FCC/FOB–1. Parts of this sys- tem of records are exempt pursuant to Section (k)(2) of the Act because they contain investigatory material com- piled solely for law enforcement pur- poses.
(b) System name. Violators File (records kept on individuals who have been subjects of FCC field enforcement actions)—FCC/FOB–2. Parts of this sys- tem of records are EXEMPT because they are maintained as a protective service for individuals described in sec- tion 3056 of title 18, and because they are necessary for Commission employ- ees to perform their duties, pursuant to sections (k) (1), (2), and (3) of the Act.
(c) System name. Attorney Misconduct Files—FCC/OGC–2. This system of records is exempt pursuant to section 3(k)(2) of the Act because it is main- tained for law enforcement purposes.
(d) System name. Licensees or Unli- censed Persons Operating Radio Equip- ment Improperly—FCC. Parts of this system of records are exempt pursuant to section 3(k)(2) of the Act because they embody investigatory material compiled solely for law enforcement purposes.
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Federal Communications Commission § 0.603
(e) System name. Personnel Investiga- tion Records—FCC/Central–6. Parts of these systems of records are exempt be- cause they emobdy investigatory mate- rial pursuant to sections 3(k)(2) and 3(k)(5) of the Act as applicable.
(f) System name. Criminal Investiga- tive Files—FCC/OIG–1. Compiled for the purpose of criminal investigations. This system of records is exempt pur- suant to section (j)(2) of the Act be- cause the records contain investigatory material compiled for criminal law en- forcement purposes.
(g) System name. General Investiga- tive Files—FCC/OIG–2. Compiled for law enforcement purposes. This system of records is exempt pursuant to sec- tion (k)(2) of the Act because the records contain investigatory material compiled for law enforcement purposes.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13369, Apr. 4, 1984; 58 FR 11549, Feb. 26, 1993]
Subpart F—Meeting Procedures
AUTHORITY: Secs. 4, 303, 48 Stat., as amend- ed, 1066, 1082; (47 U.S.C. 154, 303).
SOURCE: 42 FR 12867, Mar. 7, 1977, unless otherwise noted.
§ 0.601 Definitions. For purposes of this section: (a) The term agency means: (1) The Commission, (2) A board of Commissioners (see
§ 0.212), (3) The Telecommunications Com-
mittee (see § 0.215), and (4) Any other group of Commissioners
hereafter established by the Commis- sion on a continuing or ad hoc basis and authorized to act on behalf of the Commission.
(b) The term meeting means the delib- erations among a quorum of the Com- mission, a Board of Commissioners, or a quorum of a committee of Commis- sioners, where such deliberations deter- mine or result in the joint conduct or disposition of official agency business, except that the term does not include deliberations to decide whether to an- nounce a meeting with less than seven
days notice, or whether a meeting should be open or closed. (The term in- cludes conference telephone calls, but does not include the separate consider- ation of Commission business by Com- missioners.) For purposes of this sub- part each item on the agenda of a meeting is considered a meeting or a portion of a meeting.
[42 FR 12867, Mar. 7, 1977, as amended at 48 FR 56391, Dec. 21, 1983; 64 FR 2149, Jan. 13, 1999]
§ 0.602 Open meetings.
(a) All meetings shall be conducted in accordance with the provisions of this subpart.
(b) Except as provided in § 0.603, every portion of every meeting shall be open to public observation. Observation does not include participation or disruptive conduct by observers, and persons en- gaging in such conduct will be removed from the meeting.
(c) The right of the public to observe open meetings does not alter those rules in this chapter which relate to the filing of motions, pleadings, or other documents. Unless such plead- ings conform to the other procedural requirements of this chapter, pleadings based upon comments or discussions at open meetings, as a general rule, will not become part of the official record, will receive no consideration, and no further action by the Commission will be taken thereon.
(d) Deliberations, discussions, com- ments or observations made during the course of open meetings do not them- selves constitute action of the Com- mission. Comments made by Commis- sioners may be advanced for purposes of discussion and may not reflect the ultimate position of a Commissioner.
[42 FR 12867, Mar. 7, 1977, as amended at 45 FR 63491, Sept. 25, 1980]
§ 0.603 Bases for closing a meeting to the public.
Except where the agency finds that the public interest requires otherwise, an agency or advisory committee meeting may be closed to the public, and information pertaining to such meetings which would otherwise be dis- closed to the public under § 0.605 may be withheld, if the agency determines
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47 CFR Ch. I (10–1–10 Edition)§ 0.605
that an open meeting or the disclosure of such information is likely to:
(a) Disclose matters that: (1) Are spe- cifically authorized under criteria es- tablished by executive order to be kept secret in the interest of national de- fense or foreign policy, and (2) are in fact properly classified pursuant to such executive order (see § 0.457(a));
(b) Relate solely to the internal per- sonnel rules and practices of an agency (see § 0.457(b));
(c) Disclose matters specifically ex- empted from disclosure, by statute (other than the Freedom of Informa- tion Act, 5 U.S.C. 552). Provided, That such statute (1) requires that the mat- ters be withheld from the public in such a manner as to leave no discretion on the issue, or (2) establishes par- ticular criteria for withholding or re- fers to particular types of matters to be withheld (see § 0.457(c));
(d) Disclose trade secrets and com- mercial or financial information ob- tained from a person and privileged or confidential (see § 0.457(d));
(e) Involve accusing any person of a crime or formally censuring any per- son;
(f) Disclose information of a personal nature where disclosure would con- stitute a clearly unwarranted invasion of personal privacy (see § 0.457(f));
(g) Disclose investigatory records compiled for law enforcement purposes, or information which if written would be contained in such records, but only to the extent that the production of such records or information would (1) interfere with enforcement pro- ceedings, (2) deprive a person of a right to a fair trial or an impartial adjudica- tion, (3) constitute an unwarranted in- vasion of personal privacy, (4) disclose the identity of a confidential source, and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investiga- tion, or by an agency conducting a law- ful national security intelligence in- vestigation, confidential information furnished only by the confidential source, (5) disclose investigative tech- niques and procedures, or (6) endanger the life or physical safety of law en- forcement personnel;
(h) Disclose information contained in or related to examination, operating,
or condition reports prepared by, on be- half of, or for the use of an agency re- sponsible for the regulation or super- vision of financial institutions;
(i) Disclose information the pre- mature disclosure of which would be likely to significantly frustrate imple- mentation of a proposed agency action, except where the agency has already disclosed to the public the content or nature of the disclosed action, or where the agency is required by law to make such disclosure on its own initiative prior to taking final agency action on such proposal; or
(j) Specifically concern the agency’s issuance of a subpoena, or the agency’s participation in a civil action or pro- ceeding, an action in a foreign court or international tribunal, or an arbitra- tion, or the initiation, conduct, or dis- position by the agency of a particular case of formal agency adjudication pur- suant to the procedures specified in 5 U.S.C. 554 or otherwise involving a de- termination on the record after oppor- tunity for hearing.
§ 0.605 Procedures for announcing meetings.
(a) Notice of all open and closed meetings will be given.
(b) The meeting notice will be sub- mitted for publication in the FEDERAL REGISTER on or before the date on which the announcement is made. Cop- ies will be available in the Press and News Media Division on the day the an- nouncement is made. Copies will also be attached to ‘‘FCC Actions Alert’’, which is mailed to certain individuals and groups who have demonstrated an interest in representing the public in Commission proceedings.
(c)(1) If the agency staff determines that a meeting should be open to the public, it will, at least one week prior to the meeting, announce in writing the time, place and subject matter of the meeting, that it is to be open to the public, and the name and phone number of the Chief, Press and News Media Division, who has been des- ignated to respond to requests for in- formation about the meeting.
(2) If the staff determines that a meeting should be closed to the public, it will refer the matter to the General Counsel, who will certify that there is
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Federal Communications Commission § 0.606
(or is not) a legal basis for closing the meeting to the public. Following ac- tion by the General Counsel, the mat- ter may be referred to the agency for a vote on the question of closing the meeting (See § 0.606).
(d)(1) If the question of closing a meeting is considered by the agency but no vote is taken, the agency will, at least one week prior to the meeting, announce in writing the time, place and subject matter of the meeting, that it is to be open to the public, and the name and phone number of the Chief, Press and News Media Division.
(2) If a vote is taken, the agency will, in the same announcement and within one day after the vote, make public the vote of each participating Commis- sioner.
(3) If the vote is to close the meeting, the agency will also, in that announce- ment, set out a full written expla- nation of its action, including the ap- plicable provision(s) of § 0.603, and a list of persons expected to attend the meet- ing, including Commission personnel, together with their affiliations. The Commissioners, their assistants, the General Counsel, the Executive Direc- tor, the Chief, Press and News Media Division, and the Secretary are ex- pected to attend all Commission meet- ings. The appropriate Bureau or Office Chief and Division Chief are expected to attend meetings which relate to their responsibilities (see subpart A of this part).
(4) If a meeting is closed, the agency may omit from the announcement in- formation usually included, if and to the extent that it finds that disclosure would be likely to have any of the con- sequences listed in § 0.603.
(e) If the prompt and orderly conduct of agency business requires that a meeting be held less than one week after the announcement of the meet- ing, or before that announcement, the agency will issue the announcement at the earliest practicable time. In addi- tion to other information, the an- nouncement will contain the vote of each member of the agency who par- ticipated in the decision to give less than seven days notice, and the par- ticular reason for that decision.
(f) If, after announcement of a meet- ing, the time or place of the meeting is
changed or the meeting is cancelled, the agency will announce the change at the earliest practicable time.
(g) If the subject matter or the deter- mination to open or close a meeting is changed, the agency will publicly an- nounce the change and the vote of each member at the earliest practicable time. The announcement will contain a finding that agency business requires the change and that no earlier an- nouncement of the change was pos- sible.
(47 U.S.C. 154, 155, 303)
[42 FR 12867, Mar. 7, 1977, as amended at 44 FR 12425, Mar. 7, 1979; 44 FR 70472, Dec. 7, 1979; 64 FE 2150, Jan. 13, 1999]
§ 0.606 Procedures for closing a meet- ing to the public.
(a) For every meeting closed under § 0.603, the General Counsel will certify that there is a legal basis for closing the meeting to the public and will state each relevant provision of § 0.603. The staff of the agency will refer the matter to the General Counsel for cer- tification before it is referred to the agency for a vote on closing the meet- ing. Certifications will be retained in a public file in the Office of the Sec- retary.
(b) The agency will vote on the ques- tion of closing a meeting.
(1) If a member of the agency re- quests that a vote be taken;
(2) If the staff recommends that a meeting be closed and one member of the agency requests that a vote be taken; or
(3) If a person whose interests may be directly affected by a meeting requests the agency to close the meeting for any of the reasons listed in § 0.603 (e), (f) or (g), or if any person requests that a closed meeting be opened, and a mem- ber of the agency requests that a vote be taken. (Such requests may be filed with the Secretary at any time prior to the meeting and should briefly state the reason(s) for opening or closing the meeting. To assure that they reach the Commission for consideration prior to the meeting, they should be submitted at the earliest practicable time and should be called specifically to the at- tention of the Secretary—in person or by telephone. It will be helpful if copies of the request are furnished to the
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47 CFR Ch. I (10–1–10 Edition)§ 0.607
members of the agency and the General Counsel. The filing of a request shall not stay the holding of a meeting.)
(c) A meeting will be closed to the public pursuant to § 0.603 only by vote of a majority of the entire membership of the agency. The vote of each partici- pating Commissioner will be recorded. No Commissioner may vote by proxy.
(d) A separate vote will be taken be- fore any meeting is closed to the public and before any information is withheld from the meeting notice. However, a single vote may be taken with respect to a series of meetings proposed to be closed to the public, and with respect to information concerning such series of meetings (a vote on each question, if both are presented), if each meeting in- volves the same particular matters and is scheduled to be held no later than 30 days after the first meeting in the se- ries.
(e) Less than seven days notice may be given only by majority vote of the entire membership of the agency.
(f) The subject matter or the deter- mination to open or close a meeting will be changed only if a majority of the entire membership of the agency determines by recorded vote that agen- cy business so requires and that no ear- lier announcement of the change was possible.
[42 FR 12867, Mar. 7, 1977, as amended at 71 FR 15618, Mar. 29, 2006]
§ 0.607 Transcript, recording or min- utes; availability to the public.
(a) The agency will maintain a com- plete transcript or electronic recording adequate to record fully the pro- ceedings of each meeting closed to the public, except that in a meeting closed pursuant to paragraph (h) or (j) of § 0.603, the agency may maintain min- utes in lieu of a transcript or record- ing. Such minutes shall fully and clear- ly describe all matters discussed and shall provide a full and accurate sum- mary of any actions taken, and the reasons therefor, including a descrip- tion of each of the views expressed on any item and the record of any roll call vote. All documents considered in con- nection with any item will be identi- fied in the minutes.
(b) A public file of transcripts (or minutes) of closed meetings will be
maintained in the Office of the Sec- retary. The transcript of a meeting will be placed in that file if, after the meet- ing, the responsible Bureau or Office Chief determines, in light of the discus- sion, that the meeting could have been open to the public or that the reason for withholding information con- cerning the matters discussed no longer pertains. Transcripts placed in the public file are available for inspec- tion under § 0.460. Other transcripts, and separable portions thereof which do not contain information properly withheld under § 0.603, may be made available for inspection under § 0.461. When a transcript, or portion thereof, is made available for inspection under § 0.461, it will be placed in the public file. Copies of transcripts may be ob- tained from the duplicating contractor pursuant to § 0.465(a). There will be no search or transcription fee. Requests for inspection or copies of transcripts shall specify the date of the meeting, the name of the agenda and the agenda item number; this information will ap- pear in the notice of the meeting. Pur- suant to § 0.465(c)(3), the Commission will make copies of the transcript available directly, free of charge, if it serves the financial or regulatory in- terests of the United States.
(c) The Commission will maintain a copy of the transcript or minutes for a period of at least two years after the meeting, or until at least one year after conclusion of the proceeding to which the meeting relates, whichever occurs later.
(d) The Commissioner presiding at the meeting will prepare a statement setting out the time and place of the meeting, the names of persons other than Commission personnel who were present at the meeting, and the names of Commission personnel who partici- pated in the discussion. These state- ments will be retained in a public file in the Minute and Rules Branch, Office of the Secretary.
[42 FR 12867, Mar. 7, 1977, as amended at 71 FR 15618, Mar. 29, 2006]
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Subpart G—Intergovernmental Communication
SOURCE: 66 FR 8091, Jan. 29, 2001, unless otherwise noted.
§ 0.701 Intergovernmental Advisory Committee.
(a) Purpose and term of operations. The Intergovernmental Advisory Com- mittee (IAC) is established to facilitate intergovernmental communication be- tween municipal, county, state and tribal governments and the Federal Communications Commission. The IAC will commence operations with its first meeting convened under this section and is authorized to undertake its mis- sion for a period of two years from that date. At his discretion, the Chairman of the Federal Communications Com- mission may extend the IAC’s term of operations for an additional two years, for which new members will be ap- pointed as set forth in paragraph (b) of this section. Pursuant to Section 204(b) of the Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1534(b), the IAC is not subject to, and is not required to fol- low, the procedures set forth in the Federal Advisory Committee Act. 5 U.S.C., App. 2 (1988).
(b) Membership. The IAC will be com- posed of the following 15 members (or their designated employees): Four elected municipal officials (city may- ors and city council members); two elected county officials (county com- missioners or council members); one elected or appointed local government attorney; one elected state executive (governor or lieutenant governor); three elected state legislators; one elected or appointed public utilities or public service commissioner; and three elected or appointed Native American tribal representatives. The Chairman of the Commission will appoint mem- bers through an application process initiated by a Public Notice, and will select a Chairman and a Vice Chairman to lead the IAC. The Chairman of the Commission will also appoint members to fill any vacancies and may replace an IAC member, at his discretion, using the appointment process. Mem- bers of the IAC are responsible for trav- el and other incidental expenses in- curred while on IAC business and will
not be reimbursed by the Commission for such expenses.
(c) Location and frequency of meetings. The IAC will meet in Washington, DC four times a year. Members must at- tend a minimum of fifty percent of the IAC’s yearly meetings and may be re- moved by the Chairman of the IAC for failure to comply with this require- ment.
(d) Participation in IAC meetings. Par- ticipation at IAC meetings will be lim- ited to IAC members or employees des- ignated by IAC members to act on their behalf. Members unable to attend an IAC meeting should notify the IAC Chairman a reasonable time in advance of the meeting and provide the name of the employee designated on their be- half. With the exception of Commission staff and individuals or groups having business before the IAC, no other per- sons may attend or participate in an IAC meeting.
(e) Commission support and oversight. The Chairman of the Commission, or Commissioner designated by the Chair- man for such purpose, will serve as a li- aison between the IAC and the Com- mission and provide general oversight for its activities. The IAC will also communicate directly with the Chief, Consumer & Governmental Affairs Bu- reau, concerning logistical assistance and staff support, and such other mat- ters as are warranted.
[68 FR 52519, Sept. 4, 2003]
PART 1—PRACTICE AND PROCEDURE
Subpart A—General Rules of Practice and Procedure
GENERAL
Sec. 1.1 Proceedings before the Commission. 1.2 Declaratory rulings. 1.3 Suspension, amendment, or waiver of
rules. 1.4 Computation of time. 1.5 Mailing address furnished by licensee. 1.6 Availability of station logs and records
for Commission inspection. 1.7 Documents are filed upon receipt. 1.8 Withdrawal of papers. 1.10 Transcript of testimony; copies of docu-
ments submitted. 1.12 Notice to attorneys of Commission doc-
uments.
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1.13 Filing of petitions for review and no- tices of appeals of Commission orders.
1.14 Citation of Commission documents. 1.16 Unsworn declarations under penalty of
perjury in lieu of affidavits. 1.17 Truthful and accurate statements to
the Commission. 1.18 Administrative Dispute Resolution. 1.19 Use of metric units required.
PARTIES, PRACTITIONERS, AND WITNESSES
1.21 Parties. 1.22 Authority for representation. 1.23 Persons who may be admitted to prac-
tice. 1.24 Censure, suspension, or disbarment of
attorneys. 1.25 [Reserved] 1.26 Appearances. 1.27 Witnesses; right to counsel. 1.28–1.29 [Reserved]
PLEADINGS, BRIEFS, AND OTHER PAPERS
1.41 Informal requests for Commission ac- tion.
1.42 Applications, reports, complaints; cross-reference.
1.43 Requests for stay; cross-reference. 1.44 Separate pleadings for different re-
quests. 1.45 Pleadings; filing periods. 1.46 Motions for extension of time. 1.47 Service of documents and proof of serv-
ice. 1.48 Length of pleadings. 1.49 Specifications as to pleadings and docu-
ments. 1.50 Specifications as to briefs. 1.51 Number of copies of pleadings, briefs
and other papers.
FORBEARANCE PROCEEDINGS
1.52 Subscription and verification. 1.53 Separate pleadings for petitions for for-
bearance. 1.54 Petitions for forbearance must be com-
plete as filed. 1.55 Public notice of petitions for forbear-
ance. 1.56 Motions for summary denial of peti-
tions for forbearance. 1.57 Circulation and voting of petitions for
forbearance. 1.58 Forbearance petition quiet period pro-
hibition. 1.59 Withdrawal or narrowing of petitions
for forbearance.
GENERAL APPLICATION PROCEDURES
1.61 Procedures for handling applications requiring special aeronautical study.
1.62 Operation pending action on renewal application.
1.65 Substantial and significant changes in information furnished by applicants to the Commission.
1.68 Action on application for license to cover construction permit.
1.77 Detailed application procedures; cross references.
MISCELLANEOUS PROCEEDINGS
1.80 Forfeiture proceedings. 1.83 Applications for radio operator li-
censes. 1.85 Suspension of operator licenses. 1.87 Modification of license or construction
permit on motion of the Commission. 1.88 Predesignation pleading procedure. 1.89 Notice of violations. 1.91 Revocation and/or cease and desist pro-
ceedings; hearings. 1.92 Revocation and/or cease and desist pro-
ceedings; after waiver of hearing. 1.93 Consent orders. 1.94 Consent order procedures. 1.95 Violation of consent orders.
RECONSIDERATION AND REVIEW OF ACTIONS TAKEN BY THE COMMISSION AND PURSUANT TO DELEGATED AUTHORITY; EFFECTIVE DATES AND FINALITY DATES OF ACTIONS
1.101 General provisions. 1.102 Effective dates of actions taken pursu-
ant to delegated authority. 1.103 Effective dates of Commission actions;
finality of Commission actions. 1.104 Preserving the right of review; de-
ferred consideration of application for re- view.
1.106 Petitions for reconsideration. 1.108 Reconsideration on Commission’s own
motion. 1.110 Partial grants; rejection and designa-
tion for hearing. 1.113 Action modified or set aside by person,
panel, or board. 1.115 Application for review of action taken
pursuant to delegated authority. 1.117 Review on motion of the Commission. 1.120 Protests of grants without hearing.
Subpart B—Hearing Proceedings
GENERAL
1.201 Scope. 1.202 Official reporter; transcript. 1.203 The record. 1.204 Pleadings; definition. 1.205 Continuances and extensions. 1.207 Interlocutory matters, reconsideration
and review; cross references. 1.209 Identification of responsible officer in
caption to pleading. 1.211 Service.
PARTICIPANTS AND ISSUES
1.221 Notice of hearing; appearances. 1.223 Petitions to intervene. 1.224 Motion to proceed in forma pauperis. 1.225 Participation by non-parties; consider-
ation of communications.
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1.227 Consolidations. 1.229 Motions to enlarge, change, or delete
issues.
PRESIDING OFFICER
1.241 Designation of presiding officer. 1.243 Authority of presiding officer. 1.244 Designation of a settlement judge. 1.245 Disqualification of presiding officer.
PREHEARING PROCEDURES
1.246 Admission of facts and genuineness of documents.
1.248 Prehearing conferences; hearing con- ferences.
1.249 Prehearing statement.
HEARING AND INTERMEDIATE DECISION
1.250 Discovery and preservation of evi- dence; cross-reference.
1.251 Summary decision. 1.253 Time and place of hearing. 1.254 Nature of the hearing; burden of proof. 1.255 Order of procedure. 1.258 Closing of the hearing. 1.260 Certification of transcript. 1.261 Corrections to transcript. 1.263 Proposed findings and conclusions. 1.264 Contents of findings of fact and con-
clusions. 1.267 Initial and recommended decisions.
REVIEW PROCEEDINGS
1.271 Delegation of review function. 1.273 Waiver of initial or recommended deci-
sion. 1.274 Certification of the record to the Com-
mission for initial or final decision. 1.276 Appeal and review of initial decision. 1.277 Exceptions; oral arguments. 1.279 Limitation of matters to be reviewed. 1.282 Final decision of the Commission.
INTERLOCUTORY ACTIONS IN HEARING PROCEEDINGS
1.291 General provisions. 1.294 Oppositions and replies. 1.296 Service. 1.297 Oral argument. 1.298 Rulings; time for action.
APPEAL AND RECONSIDERATION OF PRESIDING OFFICER’S RULING
1.301 Appeal from presiding officer’s inter- locutory ruling; effective date of ruling.
1.302 Appeal from presiding officer’s final ruling; effective date of ruling.
THE DISCOVERY AND PRESERVATION OF EVIDENCE
1.311 General. 1.313 Protective orders. 1.315 Depositions upon oral examination—
notice and preliminary procedure.
1.316 Depositions upon written interrog- atories—notice and preliminary proce- dure.
1.318 The taking of depositions. 1.319 Objections to the taking of deposi-
tions. 1.321 Use of depositions at the hearing. 1.323 Interrogatories to parties. 1.325 Discovery and production of docu-
ments and things for inspection, copying, or photographing.
SUBPENAS
1.331 Who may sign and issue. 1.333 Requests for issuance of subpena. 1.334 Motions to quash. 1.335 Rulings. 1.336 Service of subpenas. 1.337 Return of service. 1.338 Subpena forms. 1.339 Witness fees. 1.340 Attendance of witness; disobedience.
EVIDENCE
1.351 Rules of evidence. 1.352 Cumulative evidence. 1.353 Further evidence during hearing. 1.354 Documents containing matter not ma-
terial. 1.355 Documents in foreign language. 1.356 Copies of exhibits. 1.357 Mechanical reproductions as evidence. 1.358 Tariffs as evidence. 1.359 Proof of official record; authentication
of copy. 1.360 Proof of lack of record. 1.361 Other proof of official record. 1.362 Production of statements. 1.363 Introduction of statistical data. 1.364 Testimony by speakerphone.
Subpart C—Rulemaking Proceedings
GENERAL
1.399 Scope. 1.400 Definitions.
PETITIONS AND RELATED PLEADINGS
1.401 Petitions for rulemaking. 1.403 Notice and availability. 1.405 Responses to petitions; replies. 1.407 Action on petitions.
RULEMAKING PROCEEDINGS
1.411 Commencement of rulemaking pro- ceedings.
1.412 Notice of proposed rulemaking. 1.413 Content of notice. 1.415 Comments and replies. 1.419 Form of comments and replies; num-
ber of copies. 1.420 Additional procedures in proceedings
for amendment of the FM or TV Tables of Allotments, or for amendment of cer- tain FM assignments.
1.421 Further notice of rulemaking.
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1.423 Oral argument and other proceedings. 1.425 Commission action. 1.427 Effective date of rules. 1.429 Petition for reconsideration.
INQUIRIES
1.430 Proceedings on a notice of inquiry.
Subpart D—Broadcast Applications and Proceedings
1.502 Emergency Broadcast Authorizations.
GENERAL FILING REQUIREMENTS
1.511 Applications required. 1.512 Where to file; number of copies. 1.513 Who may sign applications. 1.514 Content of applications. 1.516 Specification of facilities. 1.517 Contingent applications. 1.518 Inconsistent or conflicting applica-
tions. 1.519 Repetitious applications. 1.520 Multiple applications. 1.522 Amendment of applications. 1.525 Agreements between parties for
amendment or dismissal of, or failure to prosecute, broadcast applications.
1.526 Records to be maintained locally for public inspection by commercial appli- cants, permittees and licensees.
1.527 Records to be maintained locally for public inspection by noncommercial edu- cational applicants, permittees and li- censees.
1.531 Formal and informal applications. 1.533 Application forms for authority to
construct a new station or make changes in an existing station.
1.534 Application for extension of construc- tion permit or for construction permit to replace expired construction permit.
1.536 Application for license to cover con- struction permit.
1.538 Application for modification of li- cense.
1.539 Application for renewal of license. 1.540 Application for voluntary assignment
or transfer of control. 1.541 Application for involuntary assign-
ment of license or transfer of control. 1.542 Application for temporary authoriza-
tion. 1.543 Application for renewal or modifica-
tion of special service authorization. 1.544 Application for broadcast station to
conduct field strength measurements and for experimental operation.
1.545 Application for permit to deliver pro- grams to foreign countries.
1.546 Application to determine operating power by direct measurement of antenna power.
1.549 Requests for extension of authority to operate without required monitors, indi- cating instruments, and EBS Attention Signal devices.
1.550 Requests for new or modified call sign assignments.
1.561 Staff consideration of applications which receive action by the Commission.
1.562 Staff consideration of applications which do not require action by the Com- mission.
1.564 Acceptance of applications. 1.566 Defective applications. 1.568 Dismissal of applications. 1.570 AM broadcast station applications in-
volving other North American countries. 1.571 Processing AM broadcast station ap-
plications. 1.572 Processing TV broadcast and trans-
lator station applications. 1.573 Processing FM broadcast and trans-
lator station applications. 1.574 Processing of international broadcast
station applications. 1.578 Amendments to applications for re-
newal, assignment or transfer of control. 1.580 Local public notice of filing of broad-
cast applications. 1.584 Petitions to deny. 1.587 Procedure for filing informal applica-
tions. 1.591 Grants without hearing. 1.592 Conditional grant. 1.593 Designation for hearing. 1.594 Local public notice of designation for
hearing. 1.597 Procedures on transfer and assignment
applications. 1.598 Period of construction. 1.599 Forfeiture of construction permit. 1.601 Simultaneous modification and re-
newal of license. 1.603 Special waiver procedure relative to
applications. 1.605 Retention of applications in hearing
status after designation for hearing. 1.612 Annual employment report. 1.613 Filing of contracts. 1.615 Ownership reports.
Subpart E—Complaints, Applications, Tar- iffs, and Reports Involving Common Carriers
GENERAL
1.701 Show cause orders. 1.703 Appearances.
COMPLAINTS
1.711 Formal or informal complaints.
INFORMAL COMPLAINTS
1.716 Form. 1.717 Procedure. 1.718 Unsatisfied informal complaints; for-
mal complaints relating back to the fil- ing dates of informal complaints.
1.719 Informal complaints filed pursuant to section 258.
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FORMAL COMPLAINTS
1.720 General pleading requirements. 1.721 Format and content of complaints. 1.722 Damages. 1.723 Joinder of complainants and causes of
action. 1.724 Answers. 1.725 Cross-complaints and counterclaims. 1.726 Replies. 1.727 Motions. 1.728 Formal complaints not stating a cause
of action; defective pleadings. 1.729 Discovery. 1.730 The Enforcement Bureau’s Acceler-
ated Docket. 1.731 Confidentiality of information pro-
duced or exchanged by the parties. 1.732 Other required written submissions. 1.733 Status conference. 1.734 Specifications as to pleadings, briefs,
and other documents; subscription. 1.735 Copies; service; separate filings
against multiple defendants. 1.736 Complaints filed pursuant to 47 U.S.C.
271(d)(6)(B).
APPLICATIONS
1.741 Scope. 1.742 Place of filing, fees, and number of
copies. 1.743 Who may sign applications. 1.744 Amendments. 1.745 Additional statements. 1.746 Defective applications. 1.747 Inconsistent or conflicting applica-
tions. 1.748 Dismissal of applications. 1.749 Action on application under delegated
authority.
SPECIFIC TYPES OF APPLICATIONS UNDER TITLE II OF COMMUNICATIONS ACT
1.761 Cross reference. 1.763 Construction, extension, acquisition
or operation of lines. 1.764 Discontinuance, reduction, or impair-
ment of service. 1.767 Cable landing licenses. 1.768 Notification by and prior approval for
submarine cable landing licensees that are or propose to become affiliated with a foreign carrier.
TARIFFS
1.771 Filing. 1.772 Application for special tariff permis-
sion. 1.773 Petitions for suspension or rejection of
new tariff filings. 1.774 Pricing flexibility.
CONTRACTS, REPORTS, AND REQUESTS REQUIRED TO BE FILED BY CARRIERS
1.781 Requests for extension of filing time.
CONTRACTS
1.783 Filing.
FINANCIAL AND ACCOUNTING REPORTS AND REQUESTS
1.785 Annual financial reports. 1.786 [Reserved] 1.787 Reports of proposed changes in depre-
ciation rates. 1.788 Reports regarding pensions and bene-
fits. 1.789 Reports regarding division of inter-
national telegraph communication charges.
1.790 Reports relating to traffic by inter- national carriers.
1.791 Reports and requests to be filed under part 32 of this chapter.
1.795 Reports regarding interstate rates of return.
SERVICES AND FACILITIES REPORTS
1.802 Reports relating to continuing author- ity to supplement facilities or to provide temporary or emergency service.
1.803 Reports relating to reduction in tem- porary experimental service.
1.805 Reports relating to service by carriers engaged in public radio service oper- ations.
MISCELLANEOUS REPORTS
1.811 Reports regarding amendments to charters, by-laws and partnership agree- ments of carriers engaged in domestic public radio services.
1.814 Reports regarding free service ren- dered the Government for national de- fense.
1.815 Reports of annual employment.
GRANTS BY RANDOM SELECTION
1.821 Scope. 1.822 General selection procedures. 1.824 Random selection procedures for Mul-
tichannel Multipoint Distribution Serv- ice and Multipoint Distribution Service H-Channel stations.
Subpart F—Wireless Radio Services Applications and Proceedings
SCOPE AND AUTHORITY
1.901 Basis and purpose. 1.902 Scope. 1.903 Authorization required. 1.907 Definitions.
APPLICATION REQUIREMENTS AND PROCEDURES
1.911 Station files. 1.913 Application and notification forms;
electronic and manual filing. 1.915 General application requirements. 1.917 Who may sign applications. 1.919 Ownership information.
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1.923 Content of applications. 1.924 Quiet zones. 1.925 Waivers. 1.926 Application processing; initial proce-
dures. 1.927 Amendment of applications. 1.928 Frequency coordination, Canada. 1.929 Classification of filings as major or
minor. 1.931 Application for special temporary au-
thority. 1.933 Public notices. 1.934 Defective applications and dismissal. 1.935 Agreements to dismiss applications,
amendments or pleadings. 1.937 Repetitious or conflicting applica-
tions. 1.939 Petitions to deny. 1.945 License grants. 1.946 Construction and coverage require-
ments. 1.947 Modification of licenses. 1.948 Assignment of authorization or trans-
fer of control, notification of consumma- tion.
1.949 Application for renewal of license. 1.951 Duty to respond to official commu-
nications. 1.955 Termination of authorizations. 1.956 Settlement conferences. 1.957 Procedure with respect to amateur
radio operator license. 1.958 Distance computation. 1.959 Computation of average terrain ele-
vation.
REPORTS TO BE FILED WITH THE COMMISSION
1.981 Reports, annual and semiannual.
Subpart G—Schedule of Statutory Charges and Procedures for Payment
1.1101 Authority. 1.1102 Schedule of charges for applications
and other filings in the wireless tele- communications services.
1.1103 Schedule of charges for equipment ap- proval, experimental radio services (or service).
1.1104 Schedule of charges for applications and other filings for media services.
1.1105 Schedule of charges for applications and other filings for the wireline com- petition services.
1.1106 Schedule of charges for applications and other filings for the enforcement services.
1.1107 Schedule of charges for applications and other filings for the international services.
1.1108 Schedule of charges for applications and other filings for the international telecommunication services.
1.1109 Schedule of charges for applications and other filings for the Homeland serv- ices.
1.1110 Attachment of charges.
1.1111 Payment of charges. 1.1112 Form of payment. 1.1113 Filing locations. 1.1114 Conditionality of Commission or staff
authorizations. 1.1115 Return or refund of charges. 1.1116 General exemptions to charges. 1.1117 Adjustments to charges. 1.1118 Penalty for late or insufficient pay-
ments. 1.1119 Petitions and applications for review. 1.1120 Error claims. 1.1121 Billing procedures. 1.1151 Authority to prescribe and collect
regulatory fees. 1.1152 Schedule of annual regulatory fees
and filing locations for wireless radio services.
1.1153 Schedule of annual regulatory fees and filing locations for mass media serv- ices.
1.1154 Schedule of annual regulatory charges and filing locations for common carrier services.
1.1155 Schedule of regulatory fees and filing locations for cable television services.
1.1156 Schedule of regulatory fees and filing locations for international services.
1.1157 Payment of charges for regulatory fees.
1.1158 Form of payment for regulatory. 1.1159 Filing locations and receipts for regu-
latory fees. 1.1160 Refunds of regulatory fees. 1.1161 Conditional license grants and dele-
gated authorizations. 1.1162 General exemptions from regulatory
fees. 1.1163 Adjustments to regulatory fees. 1.1164 Penalties for late or insufficient regu-
latory fee payments. 1.1165 Payment by cashier’s check for regu-
latory fees. 1.1166 Waivers, reductions and deferrals of
regulatory fees. 1.1167 Error claims related to regulatory
fees. 1.1181 Authority to prescribe and collect
fees for competitive bidding-related serv- ices and products.
1.1182 Schedule of fees for products and services provided by the Commission in connection with competitive bidding pro- cedures.
Subpart H—Ex Parte Communications
GENERAL
1.1200 Introduction. 1.1202 Definitions.
SUNSHINE PERIOD PROHIBITION
1.1203 Sunshine period prohibition.
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GENERAL EXEMPTIONS
1.1204 Exempt ex parte presentations and proceedings.
NON-RESTRICTED PROCEEDINGS
1.1206 Permit-but-disclose proceedings.
RESTRICTED PROCEEDINGS
1.1208 Restricted proceedings.
PROHIBITION ON SOLICITATION OF PRESENTATIONS
1.1210 Prohibition on solicitation of presen- tations.
PROCEDURES FOR HANDLING OF PROHIBITED EX PARTE PRESENTATIONS
1.1212 Procedures for handling of prohibited ex parte presentations.
1.1214 Disclosure of information concerning violations of this subpart.
SANCTIONS
1.1216 Sanctions.
Subpart I—Procedures Implementing the National Environmental Policy Act of 1969
1.1301 Basis and purpose. 1.1302 Cross-reference; Regulations of the
Council on Environmental Quality. 1.1303 Scope. 1.1304 Information and assistance. 1.1305 Actions which normally will have a
significant impact upon the environ- ment, for which Environmental Impact Statements must be prepared.
1.1306 Actions which are categorically ex- cluded from environmental processing.
1.1307 Actions that may have a significant environmental effect, for which Environ- mental Assessments (EAs) must be pre- pared.
1.1308 Consideration of environmental as- sessments (EAs); findings of no signifi- cant impact.
1.1309 Application amendments. 1.1310 Radiofrequency radiation exposure
limits. 1.1311 Environmental information to be in-
cluded in the environmental assessment (EA).
1.1312 Facilities for which no preconstruction authorization is re- quired.
1.1313 Objections. 1.1314 Environmental impact statements
(EISs). 1.1315 The Draft Environmental Impact
Statement (DEIS); Comments. 1.1317 The Final Environmental Impact
Statement (FEIS). 1.1319 Consideration of the environmental
impact statements.
Subpart J—Pole Attachment Complaint Procedures
1.1401 Purpose. 1.1402 Definitions. 1.1403 Duty to provide access; modifica-
tions; notice of removal, increase or modification; petition for temporary stay; and cable operator notice.
1.1404 Complaint. 1.1405 File numbers. 1.1406 Dismissal of complaints. 1.1407 Response and reply. 1.1408 Number of copies and form of plead-
ings. 1.1409 Commission consideration of the
complaint. 1.1410 Remedies. 1.1411 Meetings and hearings. 1.1412 Enforcement. 1.1413 Forfeiture. 1.1414 State certification. 1.1415 Other orders. 1.1416 Imputation of rates; modification
costs. 1.1417 Allocation of Unusable Space Costs. 1.1418 Use of presumptions in calculating
the space factor.
Subpart K—Implementation of the Equal Access to Justice Act (EAJA) in Agen- cy Proceedings
GENERAL PROVISIONS
1.1501 Purpose of these rules. 1.1502 When the EAJA applies. 1.1503 Proceedings covered. 1.1504 Eligibility of applicants. 1.1505 Standards for awards. 1.1506 Allowable fees and expenses. 1.1507 Rulemaking on maximum rates for
attorney fees. 1.1508 Awards against other agencies.
INFORMATION REQUIRED FROM APPLICANTS
1.1511 Contents of application. 1.1512 Net worth exhibit. 1.1513 Documentation of fees and expenses. 1.1514 When an application may be filed.
PROCEDURES FOR CONSIDERING APPLICATIONS
1.1521 Filing and service of documents. 1.1522 Answer to application. 1.1523 Reply. 1.1524 Comments by other parties. 1.1525 Settlement. 1.1526 Further proceedings. 1.1527 Decision. 1.1528 Commission review. 1.1529 Judicial review. 1.1530 Payment of award.
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Subpart L—Random Selection Procedures for Mass Media Services
GENERAL PROCEDURES
1.1601 Scope. 1.1602 Designation for random selection. 1.1603 Conduct of random selection. 1.1604 Post-selection hearings. 1.1621 Definitions. 1.1622 Preferences. 1.1623 Probability calculation.
Subpart M—Cable Operations and Licensing System (COALS)
1.1701 Purpose. 1.1702 Scope. 1.1703 Definitions. 1.1704 Station files. 1.1705 Forms; electronic and manual filing. 1.1706 Content of filings. 1.1707 Acceptance of filings.
Subpart N—Enforcement of Nondiscrimina- tion on the Basis of Disability In Pro- grams or Activities Conducted by the Federal Communications Commission
1.1801 Purpose. 1.1802 Applications. 1.1803 Definitions. 1.1805 Federal Communications Commission
Section 504 Programs and Activities Ac- cessibility Handbook.
1.1810 Review of compliance. 1.1811 Notice. 1.1830 General prohibitions against dis-
crimination. 1.1840 Employment. 1.1849 Program accessibility: Discrimina-
tion prohibited. 1.1850 Program accessibility: Existing fa-
cilities. 1.1851 Building accessibility: New construc-
tion and alterations. 1.1870 Compliance procedures.
Subpart O—Collection of Claims Owed the United States
GENERAL PROVISIONS
1.1901 Definitions and construction. 1.1902 Exceptions. 1.1903 Use of procedures. 1.1904 Conformance to law and regulations. 1.1905 Other procedures; collection of for-
feiture penalties. 1.1906 Informal action. 1.1907 Return of property or collateral. 1.1908 Omissions not a defense. 1.1909 [Reserved] 1.1910 Effect of insufficient fee payments,
delinquent debts, or debarment.
ADMINISTRATIVE OFFSET—CONSUMER REPORT- ING AGENCIES—CONTRACTING FOR COLLEC- TION
1.1911 Demand for payment. 1.1912 Collection by administrative offset. 1.1913 Administrative offset against
amounts payable from Civil Service Re- tirement and Disability Fund.
1.1914 Collection in installments. 1.1915 Exploration of compromise. 1.1916 Suspending or terminating collection
action. 1.1917 Referrals to the Department of Jus-
tice and transfers of delinquent debt to the Secretary of Treasury.
1.1918 Use of consumer reporting agencies. 1.1919 Contracting for collection services. 1.1920–1.1924 [Reserved]
SALARY OFFSET-INDIVIDUAL DEBT
1.1925 Purpose. 1.1926 Scope. 1.1927 Notification. 1.1928 Hearing. 1.1929 Deduction from employee’s pay. 1.1930 Liquidation from final check or re-
covery from other payment. 1.1931 Non-waiver of rights by payments. 1.1932 Refunds. 1.1933 Interest, penalties and administrative
costs. 1.1934 Recovery when the Commission is not
creditor agency. 1.1935 Obtaining the services of a hearing
official. 1.1936 Administrative Wage Garnishment. 1.1937–1.1939 [Reserved]
INTEREST, PENALTIES, ADMINISTRATIVE COSTS AND OTHER SANCTIONS
1.1940 Assessment. 1.1941 Exemptions. 1.1942 Other sanctions. 1.1943–1.1949 [Reserved]
COOPERATION WITH THE INTERNAL REVENUE SERVICE
1.1950 Reporting discharged debts to the In- ternal Revenue Service.
1.1951 Offset against tax refunds. 1.1952 Use and disclosure of mailing address-
es.
GENERAL PROVISIONS CONCERNING INTERAGENCY REQUESTS
1.1953 Interagency requests.
Subpart P—Implementation of the Anti- Drug Abuse Act of 1988
1.2001 Purpose. 1.2002 Applicants required to submit infor-
mation. 1.2003 Applications affected.
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Federal Communications Commission Pt. 1
Subpart Q—Competitive Bidding Proceedings
GENERAL PROCEDURES
1.2101 Purpose. 1.2102 Eligibility of applications for com-
petitive bidding. 1.2103 Competitive bidding design options. 1.2104 Competitive bidding mechanisms. 1.2105 Bidding application and certification
procedures; prohibition of certain com- munications.
1.2106 Submission of upfront payments. 1.2107 Submission of down payment and fil-
ing of long-form applications. 1.2108 Procedures for filing petitions to
deny against long-form applications. 1.2109 License grant, denial, default, and
disqualification. 1.2110 Designated entities. 1.2111 Assignment or transfer of control: un-
just enrichment. 1.2112 Ownership disclosure requirements
for applications. 1.2113 Construction prior to grant of appli-
cation. 1.2114 Reporting of eligibility event.
Subpart R—Implementation of Section 4(g)(3) of the Communications Act: Procedures Governing Acceptance of Unconditional Gifts, Donations and Be- quests
1.3000 Purpose and scope. 1.3001 Definitions. 1.3002 Structural rules and prohibitions. 1.3003 Mandatory factors for evaluating
conflicts of interest. 1.3004 Public disclosure and reporting re-
quirements.
Subpart S—Preemption of Restrictions That ‘‘Impair’’ the Ability To Receive Tele- vision Broadcast Signals, Direct Broad- cast Satellite Services, or Multichannel Multipoint Distribution Services or the Ability To Receive or Transmit Fixed Wireless Communications Signals
1.4000 Restrictions impairing reception of television broadcast signals, direct broadcast satellite services or multi- channel multipoint distribution services.
Subpart T—Exempt Telecommunications Companies
1.5000 Purpose. 1.5001 Definitions. 1.5002 Contents of application and procedure
for filing. 1.5003 Effect of filing. 1.5004 Commission action.
1.5005 Notification of Commission action to the Securities and Exchange Commis- sion.
1.5006 Procedure for notifying Commission of material change in facts.
1.5007 Comments.
Subpart U—Implementation of Section 325(e) of the Communications Act: Procedures Governing Complaints Filed by Television Broadcast Stations Against Satellite Carriers for Retrans- mission Without Consent
1.6000 Purpose. 1.6001 Retransmission consent complaint
procedures. 1.6002 Form and content. 1.6003 Service requirements. 1.6004 Answers. 1.6005 Exclusive defenses. 1.6006 Counting of violations. 1.6007 Burden of proof. 1.6008 Determinations. 1.6009 Relief. 1.6010 Reporting of remedial measures. 1.6011 Effective date. 1.6012 Sunset provisions.
Subpart V—Implementation of Section 706 of the Telecommunications Act of 1996; Commission Collection of Ad- vanced Telecommunications Capa- bility Data
1.7000 Purpose. 1.7001 Scope and content of filed reports. 1.7002 Frequency of reports.
Subpart W—FCC Registration Number
1.8001 FCC Registration Number (FRN). 1.8002 Obtaining an FRN. 1.8003 Providing the FRN in commission fil-
ings. 1.8004 Penalty for failure to provide the
FRN.
Subpart X—Spectrum Leasing
SCOPE AND AUTHORITY
1.9001 Purpose and scope. 1.9003 Definitions. 1.9005 Included services.
GENERAL POLICIES AND PROCEDURES
1.9010 De facto control standard for spec- trum leasing arrangements.
1.9020 Spectrum manager leasing arrange- ments.
1.9030 Long-term de facto transfer leasing arrangements.
1.9035 Short-term de facto transfer leasing arrangements.
1.9040 Contractual requirements applicable to spectrum leasing arrangements.
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1.9045 Requirements for spectrum leasing arrangements entered into by licensees participating in the installment payment program.
1.9047 Special provisions relating to leases of educational broadband service spec- trum.
1.9048 Special provisions relating to spec- trum leasing arrangements involving li- censees in the Public Safety Radio Serv- ices.
1.9050 Who may sign spectrum leasing noti- fications and applications.
1.9055 Assignment of file numbers to spec- trum leasing notifications and applica- tions.
1.9060 Amendments, waivers, and dismissals affecting spectrum leasing notifications and applications.
1.9080 Private commons.
Subpart Y—International Bureau Filing System
1.10000 What is the purpose of these rules? 1.10001 Definitions. 1.10002 What happens if the rules conflict? 1.10003 When can I start operating? 1.10004 What am I allowed to do if I am ap-
proved? 1.10005 What is IBFS? 1.10006 Is electronic filing mandatory? 1.10007 What applications can I file elec-
tronically? 1.10008 What are IBFS file numbers? 1.10009 What are the steps for electronic fil-
ing? 1.10010 Do I need to send paper copies with
my electronic applications? 1.10011 Who may sign applications? 1.10012 When can I file on IBFS? 1.10013 How do I check the status of my ap-
plication after I file it? 1.10014 What happens after officially filing
my application? 1.10015 Are there exceptions for emergency
filings? 1.10016 How do I apply for special temporary
authority? 1.10017 How can I submit additional infor-
mation? 1.10018 May I amend my application?
Subpart Z—Communications Assistance for Law Enforcement Act
1.20000 Purpose. 1.20001 Scope. 1.20002 Definitions. 1.20003 Policies and procedures for employee
supervision and control. 1.20004 Maintaining secure and accurate
records. 1.20005 Submission of policies and proce-
dures and Commission review. 1.20006 Assistance capability requirements.
1.20007 Additional assistance capability re- quirements for wireline, cellular, and PCS telecommunications carriers.
1.20008 Penalties. APPENDIX A TO PART 1—A PLAN OF COOPERA-
TIVE PROCEDURE IN MATTERS AND CASES UNDER THE PROVISIONS OF SECTION 410 OF THE COMMUNICATIONS ACT OF 1934
APPENDIX B TO PART 1—NATIONWIDE PRO- GRAMMATIC AGREEMENT FOR THE COLLOCA- TION OF WIRELESS ANTENNAS
APPENDIX C TO PART 1—NATIONWIDE PRO- GRAMMATIC AGREEMENT REGARDING THE SECTION 106 NATIONAL HISTORIC PRESER- VATION ACT REVIEW PROCESS
AUTHORITY: 15 U.S.C. 79 et seq.; 47 U.S.C. 151, 154(i), 154(j), 155, 157, 225, 303(r), and 309.
EDITORIAL NOTE: Nomenclature changes to part 1 appear at 63 FR 54077, Oct. 8, 1998.
Subpart A—General Rules of Practice and Procedure
SOURCE: 28 FR 12415, Nov. 22, 1963, unless otherwise noted.
GENERAL
§ 1.1 Proceedings before the Commis- sion.
The Commission may on its own mo- tion or petition of any interested party hold such proceedings as it may deem necessary from time to time in connec- tion with the investigation of any mat- ter which it has power to investigate under the law, or for the purpose of ob- taining information necessary or help- ful in the determination of its policies, the carrying out of its duties or the formulation or amendment of its rules and regulations. For such purposes it may subpena witnesses and require the production of evidence. Procedures to be followed by the Commission shall, unless specifically prescribed in this part, be such as in the opinion of the Commission will best serve the pur- poses of such proceedings.
(Sec. 403, 48 Stat. 1094; 47 U.S.C. 403)
§ 1.2 Declaratory rulings. The Commission may, in accordance
with section 5(d) of the Administrative Procedure Act, on motion or on its own motion issue a declaratory ruling ter- minating a controversy or removing uncertainty.
(5 U.S.C. 554)
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Federal Communications Commission § 1.4
§ 1.3 Suspension, amendment, or waiv- er of rules.
The provisions of this chapter may be suspended, revoked, amended, or waived for good cause shown, in whole or in part, at any time by the Commis- sion, subject to the provisions of the Administrative Procedure Act and the provisions of this chapter. Any provi- sion of the rules may be waived by the Commission on its own motion or on petition if good cause therefor is shown.
CROSS REFERENCE: See subpart C of this part for practice and procedure involving rulemaking.
§ 1.4 Computation of time. (a) Purpose. The purpose of this rule
section is to detail the method for com- puting the amount of time within which persons or entities must act in response to deadlines established by the Commission. It also applies to com- putation of time for seeking both re- consideration and judicial review of Commission decisions.
(b) General Rule—Computation of Be- ginning Date When Action is Initiated by Commission or Staff. Unless otherwise provided, the first day to be counted when a period of time begins with an action taken by the Commission, an Administrative Law Judge or by mem- bers of the Commission or its staff pur- suant to delegated authority is the day after the day on which public notice of that action is given. See § 1.4(b) (1)–(5) of this section. Unless otherwise pro- vided, all Rules measuring time from the date of the issuance of a Commis- sion document entitled ‘‘Public No- tice’’ shall be calculated in accordance with this section. See § 1.4(b)(4) of this section for a description of the ‘‘Public Notice’’ document. Unless otherwise provided in § 1.4 (g) and (h) of this sec- tion, it is immaterial whether the first day is a ‘‘holiday.’’ For purposes of this section, the term public notice means the date of any of the following events: See § 1.4(e)(1) of this section for defini- tion of ‘‘holiday.’’
(1) For all documents in notice and comment and non-notice and comment rulemaking proceedings required by the Administrative Procedure Act, 5 U.S.C. 552, 553, to be published in the
FEDERAL REGISTER, including sum- maries thereof, the date of publication in the FEDERAL REGISTER.
NOTE TO PARAGRAPH (b)(1): Licensing and other adjudicatory decisions with respect to specific parties that may be associated with or contained in rulemaking documents are governed by the provisions of § 1.4(b)(2).
Example 1: A document in a Commission rule making proceeding is published in the FEDERAL REGISTER on Wednesday, May 6, 1987. Public notice commences on Wednes- day, May 6, 1987. The first day to be counted in computing the beginning date of a period of time for action in response to the docu- ment is Thursday, May 7, 1987, the ‘‘day after the day’’ of public notice.
Example 2: Section 1.429(e) provides that when a petition for reconsideration is timely filed in proper form, public notice of its fil- ing is published in the FEDERAL REGISTER. Section 1.429(f) provides that oppositions to a petition for reconsideration shall be filed within 15 days after public notice of the peti- tion’s filing in the FEDERAL REGISTER. Pub- lic notice of the filing of a petition for recon- sideration is published in the FEDERAL REG- ISTER on Wednesday, June 10, 1987. For pur- poses of computing the filing period for an opposition, the first day to be counted is Thursday, June 11, 1987, which is the day after the date of public notice. Therefore, op- positions to the reconsideration petition must be filed by Thursday, June 25, 1987, 15 days later.
(2) For non-rulemaking documents released by the Commission or staff, including the Commission’s section 271 determinations, 47 U.S.C. 271, the re- lease date.
Example 3: The Chief, Mass Media Bureau, adopts an order on Thursday, April 2, 1987. The text of that order is not released to the public until Friday, April 3, 1987. Public no- tice of this decision is given on Friday, April 3, 1987. Saturday, April 4, 1987, is the first day to be counted in computing filing peri- ods.
(3) For rule makings of particular ap- plicability, if the rule making docu- ment is to be published in the FEDERAL REGISTER and the Commission so states in its decision, the date of public notice will commence on the day of the FED- ERAL REGISTER publication date. If the decision fails to specify FEDERAL REG- ISTER publication, the date of public notice will commence on the release date, even if the document is subse- quently published in the FEDERAL REG- ISTER. See Declaratory Ruling, 51 FR 23059 (June 25, 1986).
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Example 4: An order establishing an inves- tigation of a tariff, and designating issues to be resolved in the investigation, is released on Wednesday, April 1, 1987, and is published in the FEDERAL REGISTER on Friday, April 10, 1987. If the decision itself specifies FEDERAL REGISTER publication, the date of public no- tice is Friday, April 10, 1987. If this decision does not specify FEDERAL REGISTER publica- tion, public notice occurs on Wednesday, April 1, 1987, and the first day to be counted in computing filing periods is Thursday, April 2, 1987.
(4) If the full text of an action docu- ment is not to be released by the Com- mission, but a descriptive document entitled ‘‘Public Notice’’ describing the action is released, the date on which the descriptive ‘‘Public Notice’’ is re- leased.
Example 5: At a public meeting the Com- mission considers an uncontested applica- tion to transfer control of a broadcast sta- tion. The Commission grants the application and does not plan to issue a full text of its decision on the uncontested matter. Five days after the meeting, a descriptive ‘‘Public Notice’’ announcing the action is publicly re- leased. The date of public notice commences on the day of the release date.
Example 6: A Public Notice of petitions for rule making filed with the Commission is re- leased on Wednesday, September 2, 1987; pub- lic notice of these petitions is given on Sep- tember 2, 1987. The first day to be counted in computing filing times is Thursday, Sep- tember 3, 1987.
(5) If a document is neither published in the FEDERAL REGISTER nor released, and if a descriptive document entitled ‘‘Public Notice’’ is not released, the date appearing on the document sent (e.g., mailed, telegraphed, etc.) to per- sons affected by the action.
Example 7: A Bureau grants a license to an applicant, or issues a waiver for non-con- forming operation to an existing licensee, and no ‘‘Public Notice’’ announcing the ac- tion is released. The date of public notice commences on the day appearing on the li- cense mailed to the applicant or appearing on the face of the letter granting the waiver mailed to the licensee.
(c) General Rule—Computation of Be- ginning Date When Action is Initiated by Act, Event or Default. Commission pro- cedures frequently require the com- putation of a period of time where the period begins with the occurrence of an act, event or default and terminates a specific number of days thereafter. Un-
less otherwise provided, the first day to be counted when a period of time be- gins with the occurrence of an act, event or default is the day after the day on which the act, event or default occurs.
Example 8: Commission Rule § 21.39(d) re- quires the filing of an application requesting consent to involuntary assignment or con- trol of the permit or license within thirty days after the occurrence of the death or legal disability of the licensee or permittee. If a licensee passes away on Sunday, March 1, 1987, the first day to be counted pursuant to § 1.4(c) is the day after the act or event. Therefore, Monday, March 2, 1987, is the first day of the thirty day period specified in § 21.39(d).
(d) General Rule—Computation of Ter- minal Date. Unless otherwise provided, when computing a period of time the last day of such period of time is in- cluded in the computation, and any ac- tion required must be taken on or be- fore that day.
Example 9: Paragraph 1.4(b)(1) of this sec- tion provides that ‘‘public notice’’ in a no- tice and comment rule making proceeding begins on the day of FEDERAL REGISTER pub- lication. Paragraph 1.4(b) of this section pro- vides that the first day to be counted in com- puting a terminal date is the ‘‘day after the day’’ on which public notice occurs. There- fore, if the commission allows or requires an action to be taken 20 days after public notice in the FEDERAL REGISTER, the first day to be counted is the day after the date of the FED- ERAL REGISTER publication. Accordingly, if the FEDERAL REGISTER document is pub- lished on Thursday, July 23, 1987, public no- tice is given on Thursday, July 23, and the first day to be counted in computing a 20 day period is Friday, July 24, 1987. The 20th day or terminal date upon which action must be taken is Wednesday, August 12, 1987.
(e) Definitions for purposes of this section:
(1) The term holiday means Saturday, Sunday, officially recognized Federal legal holidays and any other day on which the Commission’s offices are closed and not reopened prior to 5:30 p.m. For example, a regularly sched- uled Commission business day may be- come a holiday if its offices are closed prior to 5:30 p.m. due to adverse weath- er, emergency or other closing.
NOTE: As of August 1987, officially recog- nized Federal legal holidays are New Year’s Day, January 1; Martin Luther King’s Birth- day, third Monday in January; Washington’s
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Federal Communications Commission § 1.4
Birthday, third Monday in February; Memo- rial Day, last Monday in May; Independence Day, July 4; Labor Day, first Monday in Sep- tember; Columbus Day, second Monday in October; Veterans Day, November 11; Thanksgiving Day, fourth Thursday in No- vember; Christmas Day, December 25. If a legal holiday falls on Saturday or Sunday, the holiday is taken, respectively, on the preceding Friday or the following Monday. In addition, January 20, (Inauguration Day) following a Presidential election year is a legal holiday in the metropolitan Wash- ington, DC area. If Inauguration Day falls on Sunday, the next succeeding day is a legal holiday. See 5 U.S.C. 6103; Executive Order No. 11582, 36 FR 2957 (Feb. 11, 1971). The de- termination of a ‘‘holiday’’ will apply only to the specific Commission location(s) des- ignated as on ‘‘holiday’’ on that particular day.
(2) The term business day means all days, including days when the Commis- sion opens later than the time specified in Rule § 0.403, which are not ‘‘holi- days’’ as defined above.
(3) The term filing period means the number of days allowed or prescribed by statute, rule, order, notice or other Commission action for filing any docu- ment with the Commission. It does not include any additional days allowed for filing any document pursuant to para- graphs (g), (h) and (j) of this section.
(4) The term filing date means the date upon which a document must be filed after all computations of time au- thorized by this section have been made.
(f) Except as provided in § 0.401(b) of this chapter, all petitions, pleadings, tariffs or other documents not required to be accompanied by a fee and which are hand-delivered must be tendered for filing in complete form, as directed by the Rules, with the Office of the Secretary before 7 p.m., at 445 12th Street, SW., Washington, DC 20554. The Secretary will determine whether a tendered document meets the pre-7:00 p.m. deadline. Documents filed elec- tronically pursuant to § 1.49(f) must be received by the Commission’s elec- tronic filing system before midnight. Applications, attachments and plead- ings filed electronically in the Uni- versal Licensing System (ULS) pursu- ant to § 1.939(b) must be received before midnight on the filing date. Media Bu- reau applications and reports filed electronically pursuant to § 73.3500 of
this chapter must be received by the electronic filing system before mid- night on the filing date.
(g) Unless otherwise provided (e.g., §§ 1.773 and 76.1502(e)(1) of this chapter), if the filing period is less than 7 days, intermediate holidays shall not be counted in determining the filing date.
Example 10: A reply is required to be filed within 5 days after the filing of an opposition in a license application proceeding. The op- position is filed on Wednesday, June 10, 1987. The first day to be counted in computing the 5 day time period is Thursday, June 11, 1987. Saturday and Sunday are not counted be- cause they are holidays. The document must be filed with the Commission on or before the following Wednesday, June 17, 1987.
(h) If a document is required to be served upon other parties by statute or Commission regulation and the docu- ment is in fact served by mail (see § 1.47(f)), and the filing period for a re- sponse is 10 days or less, an additional 3 days (excluding holidays) will be al- lowed to all parties in the proceeding for filing a response. This paragraph (h) shall not apply to documents filed pur- suant to § 1.89, § 1.120(d), § 1.315(b) or § 1.316. For purposes of this paragraph (h) service by facsimile or by electronic means shall be deemed equivalent to hand delivery.
Example 11: A reply to an opposition for a petition for reconsideration must be filed within 7 days after the opposition is filed. 47 CFR 1.106(h). The rules require that the op- position be served on the person seeking re- consideration. 47 CFR 1.106(g). If the opposi- tion is served on the party seeking reconsid- eration by mail and the opposition is filed with the Commission on Monday, November 9, 1987, the first day to be counted is Tues- day, November 10, 1987 (the day after the day on which the event occurred, § 1.4(c)), and the seventh day is Monday, November 16. An ad- ditional 3 days (excluding holidays) is then added at the end of the 7 day period, and the reply must be filed no later than Thursday, November 19, 1987.
Example 12: Assume that oppositions to a petition in a particular proceeding are due 10 days after the petition is filed and must be served on the parties to the proceeding. If the petition is filed on October 28, 1993, the last day of the filing period for oppositions is Sunday, November 7. If service is made by mail, the opposition is due three days after November 7, or Wednesday, November 10.
(i) If both paragraphs (g) and (h) of this section are applicable, make the
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paragraph (g) computation before the paragraph (h) computation.
Example 13: Section 1.45(b) requires the fil- ing of replies to oppositions within five days after the time for filing oppositions has ex- pired. If an opposition has been filed on the last day of the filing period (Friday, July 10, 1987), and was served on the replying party by mail, § 1.4(i) of this section specifies that the paragraph (g) computation should be made before the paragraph (h) computation. Therefore, since the specified filing period is less than seven days, paragraph (g) is applied first. The first day of the filing period is Monday, July 13, 1987, and Friday, July 17, 1987 is the fifth day (the intervening weekend was not counted). Paragraph (h) is then ap- plied to add three days for mailing (exclud- ing holidays). That period begins on Monday, July 20, 1987. Therefore, Wednesday, July 22, 1987, is the date by which replies must be filed, since the intervening weekend is again not counted.
(j) Unless otherwise provided (e.g. § 76.1502(e) of this chapter) if, after making all the computations provided for in this section, the filing date falls on a holiday, the document shall be filed on the next business day. See paragraph (e)(1) of this section.
Example 14: The filing date falls on Friday, December 25, 1987. The document is required to be filed on the next business day, which is Monday, December 28, 1987.
(k) Where specific provisions of part 1 conflict with this section, those spe- cific provisions of part 1 are control- ling. See, e.g.,§§ 1.45(d), 1.773(a)(3) and 1.773(b)(2). Additionally, where § 76.1502(e) of this chapter conflicts with this section, those specific provi- sions of § 76.1502 are controlling. See e.g. 47 CFR 76.1502(e).
[52 FR 49159, Dec. 30, 1987; 53 FR 44196, Nov. 2, 1988, as amended at 56 FR 40567, 40568, Aug. 15, 1991; 58 FR 17529, Apr. 5, 1993; 61 FR 11749, Mar. 22, 1996; 62 FR 26238, May 13, 1997; 63 FR 24124, May 1, 1998; 64 FR 27201, May 19, 1999; 64 FR 60725, Nov. 8, 1999; 65 FR 46109, July 27, 2000; 67 FR 13223, Mar. 21, 2002; 71 FR 15618, Mar. 29, 2006; 74 FR 68544, Dec. 28, 2009]
§ 1.5 Mailing address furnished by li- censee.
(a) Each licensee shall furnish the Commission with an address to be used by the Commission in serving docu- ments or directing correspondence to that licensee. Unless any licensee ad- vises the Commission to the contrary,
the address contained in the licensee’s most recent application will be used by the Commission for this purpose.
(b) The licensee is responsible for making any arrangements which may be necessary in his particular cir- cumstances to assure that Commission documents or correspondence delivered to this address will promptly reach him or some person authorized by him to act in his behalf.
§ 1.6 Availability of station logs and records for Commission inspection.
(a) Station records and logs shall be made available for inspection or dupli- cation at the request of the Commis- sion or its representative. Such logs or records may be removed from the li- censee’s possession by a Commission representative or, upon request, shall be mailed by the licensee to the Com- mission by either registered mail, re- turn receipt requested, or certified mail, return receipt requested. The re- turn receipt shall be retained by the li- censee as part of the station records until such records or logs are returned to the licensee. A receipt shall be fur- nished when the logs or records are re- moved from the licensee’s possession by a Commission representative and this receipt shall be retained by the li- censee as part of the station records until such records or logs are returned to the licensee. When the Commission has no further need for such records or logs, they shall be returned to the li- censee. The provisions of this rule shall apply solely to those station logs and records which are required to be main- tained by the provisions of this chap- ter.
(b) Where records or logs are main- tained as the official records of a rec- ognized law enforcement agency and the removal of the records from the possession of the law enforcement agency will hinder its law enforcement activities, such records will not be re- moved pursuant to this section if the chief of the law enforcement agency promptly certifies in writing to the Federal Communications Commission that removal of the logs or records will hinder law enforcement activities of the agency, stating insofar as feasible the basis for his decision and the date when it can reasonably be expected
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Federal Communications Commission § 1.13
that such records will be released to the Federal Communications Commis- sion.
§ 1.7 Documents are filed upon receipt.
Unless otherwise provided in this Title, by Public Notice, or by decision of the Commission or of the Commis- sion’s staff acting on delegated author- ity, pleadings and other documents are considered to be filed with the Com- mission upon their receipt at the loca- tion designated by the Commission.
[60 FR 16055, Mar. 29, 1995]
§ 1.8 Withdrawal of papers.
The granting of a request to dismiss or withdraw an application or a plead- ing does not authorize the removal of such application or pleading from the Commission’s records.
§ 1.10 Transcript of testimony; copies of documents submitted.
In any matter pending before the Commission, any person submitting data or evidence, whether acting under compulsion or voluntarily, shall have the right to retain a copy thereof, or to procure a copy of any document sub- mitted by him, or of any transcript made of his testimony, upon payment of the charges therefor to the person furnishing the same, which person may be designated by the Commission. The Commission itself shall not be respon- sible for furnishing the copies.
[29 FR 14406, Oct. 20, 1964]
§ 1.12 Notice to attorneys of Commis- sion documents.
In any matter pending before the Commission in which an attorney has appeared for, submitted a document on behalf of or been otherwise designated by a person, any notice or other writ- ten communication pertaining to that matter issued by the Commission and which is required or permitted to be furnished to the person will be commu- nicated to the attorney, or to one of such attorneys if more than one is des- ignated. If direct communication with the party is appropriate, a copy of such communication will be mailed to the attorney.
[29 FR 14406, Oct. 20, 1964]
§ 1.13 Filing of petitions for review and notices of appeals of Commis- sion orders.
(a)(1) This section pertains to each party filing a petition for review in any United States court of appeals of a Commission Order, pursuant to section 402(a) of the Communications Act, 47 U.S.C. 402(a), and 28 U.S.C. 2342(l), that wishes to avail itself of procedures es- tablished for selection of a court in the case of multiple appeals, pursuant to 28 U.S.C. 2112(a). Each such party shall, within ten days after the issuance of that order, file with the General Coun- sel in the Office of General Counsel, Room 8–A741, 445 12th Street, SW., Washington, DC 20554, a copy of its pe- tition for review as filed and date- stamped by the court of appeals within which it was filed. Such copies of peti- tions for review must be filed by 5:30 p.m. Eastern Time on the tenth day of the filing period. A stamp indicating the time and date received by the Of- fice of General Counsel will constitute proof of filing. Upon receipt of any cop- ies of petitions for review, the Commis- sion shall follow the procedures estab- lished in section 28 U.S.C. 2112(a) to de- termine the court in which to file the record in that case.
(2) Computation of time of the ten- day period for filing copies of petitions for review of a Commission order shall be governed by Rule 26 of the Federal Rules of Appellate Procedure. The date of issuance of a Commission order for purposes of filing copies of petitions for review shall be the date of public no- tice as defined in § 1.4(b) of the Com- mission’s Rules, 47 CFR 1.4(b).
(b) Copies of notices of appeals filed pursuant to 47 U.S.C. 402(b) shall be served upon the General Counsel.
NOTE: For administrative efficiency, the Commission requests that any petitioner seeking judicial review of Commission ac- tions pursuant to 47 U.S.C. 402(a) serve a copy of its petition on the General Counsel regardless of whether it wishes to avail itself of the procedures for multiple appeals set forth in 47 U.S.C. 2112(a).
[54 FR 12453, Mar. 27, 1989, as amended at 65 FR 14476, Mar. 17, 2000; 71 FR 6381, Feb. 8, 2006]
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47 CFR Ch. I (10–1–10 Edition)§ 1.14
§ 1.14 Citation of Commission docu- ments.
The appropriate reference to the FCC Record shall be included as part of the citation to any document that has been printed in the Record. The citation should provide the volume, page num- ber and year, in that order (e.g., 1 FCC Rcd. 1 (1986). Older documents may continue to be cited to the FCC Re- ports, first or second series, if they were printed in the Reports (e.g., 1 FCC 2d 1 (1965)).
[51 FR 45890, Dec. 23, 1986]
§ 1.16 Unsworn declarations under penalty of perjury in lieu of affida- vits.
Any document to be filed with the Federal Communications Commission and which is required by any law, rule or other regulation of the United States to be supported, evidenced, es- tablished or proved by a written sworn declaration, verification, certificate, statement, oath or affidavit by the per- son making the same, may be sup- ported, evidenced, established or proved by the unsworn declaration, certification, verification, or state- ment in writing of such person, except that, such declaration shall not be used in connection with: (a) A deposition, (b) an oath of office, or (c) an oath re- quired to be taken before a specified of- ficial other than a notary public. Such declaration shall be subscribed by the declarant as true under penalty of per- jury, and dated, in substantially the following form:
(1) If executed without the United States:
‘‘I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on (date).
(Signature)’’.
(2) If executed within the United States, its territories, possessions, or commonwealths:
‘‘I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (date).
(Signature)’’.
[48 FR 8074, Feb. 25, 1983]
§ 1.17 Truthful and accurate state- ments to the Commission.
(a) In any investigatory or adjudica- tory matter within the Commission’s jurisdiction (including, but not limited to, any informal adjudication or infor- mal investigation but excluding any declaratory ruling proceeding) and in any proceeding to amend the FM or Television Table of Allotments (with respect to expressions of interest) or any tariff proceeding, no person subject to this rule shall;
(1) In any written or oral statement of fact, intentionally provide material factual information that is incorrect or intentionally omit material informa- tion that is necessary to prevent any material factual statement that is made from being incorrect or mis- leading; and
(2) In any written statement of fact, provide material factual information that is incorrect or omit material in- formation that is necessary to prevent any material factual statement that is made from being incorrect or mis- leading without a reasonable basis for believing that any such material fac- tual statement is correct and not mis- leading.
(b) For purpose of paragraph (a) of this section, ‘‘persons subject to this rule’’ shall mean the following:
(1) Any applicant for any Commission authorization;
(2) Any holder of any Commission au- thorization, whether by application or by blanket authorization or other rule;
(3) Any person performing without Commission authorization an activity that requires Commission authoriza- tion;
(4) Any person that has received a ci- tation or a letter of inquiry from the Commission or its staff, or is otherwise the subject of a Commission or staff in- vestigation, including an informal in- vestigation;
(5) In a proceeding to amend the FM or Television Table of Allotments, any person filing an expression of interest; and
(6) To the extent not already covered in this paragraph (b), any cable oper- ator or common carrier.
[68 FR 15098, Mar. 28, 2003]
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§ 1.18 Administrative Dispute Resolu- tion.
(a) The Commission has adopted an initial policy statement that supports and encourages the use of alternative dispute resolution procedures in its ad- ministrative proceedings and pro- ceedings in which the Commission is a party, including the use of regulatory negotiation in Commission rulemaking matters, as authorized under the Ad- ministrative Dispute Resolution Act and Negotiated Rulemaking Act.
(b) In accordance with the Commis- sion’s policy to encourage the fullest possible use of alternative dispute reso- lution procedures in its administrative proceedings, procedures contained in the Administrative Dispute Resolution Act, including the provisions dealing with confidentiality, shall also be ap- plied in Commission alternative dis- pute resolution proceedings in which the Commission itself is not a party to the dispute.
[56 FR 51178, Oct. 10, 1991, as amended at 57 FR 32181, July 21, 1992]
§ 1.19 Use of metric units required. Where parenthesized English units
accompany metric units throughout this chapter, and the two figures are not precisely equivalent, the metric unit shall be considered the sole re- quirement; except, however, that the use of metric paper sizes is not cur- rently required, and compliance with the English unit shall be considered sufficient when the Commission form requests that data showing compliance with that particular standard be sub- mitted in English units.
[58 FR 44893, Aug. 25, 1993]
PARTIES, PRACTITIONERS, AND WITNESSES
§ 1.21 Parties. (a) Any party may appear before the
Commission and be heard in person or by attorney.
(b) The appropriate Bureau Chief(s) of the Commission shall be deemed to be a party to every adjudicatory pro- ceeding (as defined in the Administra- tive Procedure Act) without the neces- sity of being so named in the order des- ignating the proceeding for hearing.
(c) When, in any proceeding, a plead- ing is filed on behalf of either the Gen- eral Counsel or the Chief Engineer, he shall thereafter be deemed a party to the proceeding.
(d) Except as otherwise expressly pro- vided in this chapter, a duly authorized corporate officer or employee may act for the corporation in any matter which has not been designated for an evidentiary hearing and, in the discre- tion of the presiding officer, may ap- pear and be heard on behalf of the cor- poration in an evidentiary hearing pro- ceeding.
[28 FR 12415, Nov. 22, 1963, as amended at 37 FR 8527, Apr. 28, 1972; 44 FR 39180, July 5, 1979; 51 FR 12616, Apr. 14, 1986]
§ 1.22 Authority for representation.
Any person, in a representative ca- pacity, transacting business with the Commission, may be required to show his authority to act in such capacity.
§ 1.23 Persons who may be admitted to practice.
(a) Any person who is a member in good standing of the bar of the Su- preme Court of the United States or of the highest court of any state, terri- tory or the District of Columbia, and who is not under any final order of any authority having power to suspend or disbar an attorney in the practice of law within any state, territory or the District of Columbia that suspends, en- joins, restrains, disbars, or otherwise restricts him or her in the practice of law, may represent others before the Commission.
(b) When such member of the bar act- ing in a representative capacity ap- pears in person or signs a paper in practice before the Commission, his personal appearance or signature shall constitute a representation to the Commission that, under the provisions of this chapter and the law, he is au- thorized and qualified to represent the particular party in whose behalf he acts. Further proof of authority to act in a representative capacity may be re- quired.
[28 FR 12415, Nov. 22, 1963, as amended at 57 FR 38285, Aug. 24, 1992]
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§ 1.24 Censure, suspension, or disbar- ment of attorneys.
(a) The Commission may censure, suspend, or disbar any person who has practiced, is practicing or holding him- self out as entitled to practice before it if it finds that such person:
(1) Does not possess the qualifica- tions required by § 1.23;
(2) Has failed to conform to standards of ethical conduct required of practi- tioners at the bar of any court of which he is a member;
(3) Is lacking in character or profes- sional integrity; and/or
(4) Displays toward the Commission or any of its hearing officers conduct which, if displayed toward any court of the United States or any of its Terri- tories or the District of Columbia, would be cause for censure, suspension, or disbarment.
(b) Except as provided in paragraph (c) of this section, before any member of the bar of the Commission shall be censured, suspended, or disbarred, charges shall be preferred by the Com- mission against such practitioner, and he or she shall be afforded an oppor- tunity to be heard thereon.
(c) Upon receipt of official notice from any authority having power to suspend or disbar an attorney in the practice of law within any state, terri- tory, or the District of Columbia which demonstrates that an attorney prac- ticing before the Commission is subject to an order of final suspension (not merely temporary suspension pending further action) or disbarment by such authority, the Commission may, with- out any preliminary hearing, enter an order temporarily suspending the at- torney from practice before it pending final disposition of a disciplinary pro- ceeding brought pursuant to § 1.24(a)(2), which shall afford such attorney an op- portunity to be heard and directing the attorney to show cause within thirty days from the date of said order why identical discipline should not be im- posed against such attorney by the Commission.
(d) Allegations of attorney mis- conduct in Commission proceedings shall be referred under seal to the Of- fice of General Counsel. Pending action by the General Counsel, the decision maker may proceed with the merits of
the matter but in its decision may make findings concerning the attor- ney’s conduct only if necessary to re- solve questions concerning an appli- cant and may not reach any conclu- sions regarding the ethical ramifica- tions of the attorney’s conduct. The General Counsel will determine if the allegations are substantial, and, if so, shall immediately notify the attorney and direct him or her to respond to the allegations. No notice will be provided to other parties to the proceeding. The General Counsel will then determine what further measures are necessary to protect the integrity of the Commis- sion’s administrative process, includ- ing but not limited to one or more of the following:
(1) Recommending to the Commis- sion the institution of a proceeding under paragraph (a) of this section;
(2) Referring the matter to the appro- priate State, territorial, or District of Columbia bar; or
(3) Consulting with the Department of Justice.
[28 FR 12415, Nov. 22, 1963, as amended at 57 FR 38285, Aug. 24, 1992; 60 FR 53277, Oct. 13, 1995]
§ 1.25 [Reserved]
§ 1.26 Appearances. Rules relating to appearances are set
forth in §§ 1.87, 1.91, 1.221, and 1.703.
§ 1.27 Witnesses; right to counsel. Any individual compelled to appear
in person in any Commission pro- ceeding may be accompanied, rep- resented, and advised by counsel as provided in this section. (Regulations as to persons seeking voluntarily to ap- pear and give evidence are set forth in § 1.225.)
(a) Counsel may advise his client in confidence, either upon his own initia- tive or that of the witness, before, dur- ing, and after the conclusion of the proceeding.
(b) Counsel for the witness will be permitted to make objections on the record, and to state briefly the basis for such objections, in connection with any examination of his client.
(c) At the conclusion of the examina- tion of his client, counsel may ask clarifying questions if in the judgment
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Federal Communications Commission § 1.45
of the presiding officer such ques- tioning is necessary or desirable in order to avoid ambiguity or incom- pleteness in the responses previously given.
(d) Except as provided by paragraph (c) of this section, counsel for the wit- ness may not examine or cross-examine any witness, or offer documentary evi- dence, unless authorized by the Com- mission to do so.
(5 U.S.C. 555)
[29 FR 12775, Sept. 10, 1964]
§§ 1.28–1.29 [Reserved]
PLEADINGS, BRIEFS, AND OTHER PAPERS
§ 1.41 Informal requests for Commis- sion action.
Except where formal procedures are required under the provisions of this chapter, requests for action may be submitted informally. Requests should set forth clearly and concisely the facts relied upon, the relief sought, the statutory and/or regulatory provisions (if any) pursuant to which the request is filed and under which relief is sought, and the interest of the person submitting the request. In application and licensing matters pertaining to the Wireless Radio Services, as defined in § 1.904 of this part, such requests may also be sent electronically, via the ULS.
[28 FR 12415, Nov. 22, 1963, as amended at 63 FR 68919, Dec. 14, 1998]
§ 1.42 Applications, reports, com- plaints; cross-reference.
(a) Rules governing applications and reports are contained in subparts D, E, and F of this part.
(b) Special rules governing com- plaints against common carriers aris- ing under the Communications Act are set forth in subpart E of this part.
(c) Rules governing the FCC Reg- istration Number (FRN) are contained in subpart W of this part.
[28 FR 12415, Nov. 22, 1963, as amended at 66 FR 47895, Sept. 14, 2001]
§ 1.43 Requests for stay; cross-ref- erence.
General rules relating to requests for stay of any order or decision are set
forth in §§ 1.41, 1.44(e), 1.45 (d) and (e), and 1.298(a). See also §§ 1.102, 1.106(n), and 1.115(h).
§ 1.44 Separate pleadings for different requests.
(a) Requests requiring action by the Commission shall not be combined in a pleading with requests for action by an administrative law judge or by any per- son or persons acting pursuant to dele- gated authority.
(b) Requests requiring action by an administrative law judge shall not be combined in a pleading with requests for action by the Commission or by any person or persons acting pursuant to delegated authority.
(c) Requests requiring action by any person or persons pursuant to dele- gated authority shall not be combined in a pleading with requests for action by any other person or persons acting pursuant to delegated authority.
(d) Pleadings which combine requests in a manner prohibited by paragraph (a), (b), or (c) of this section may be re- turned without consideration to the person who filed the pleading.
(e) Any request to stay the effective- ness of any decision or order of the Commission shall be filed as a separate pleading. Any such request which is not filed as a separate pleading will not be considered by the Commission.
NOTE: Matters which are acted on pursuant to delegated authority are set forth in sub- part B of part 0 of this chapter. Matters acted on by the hearing examiner are set forth in § 0.341.
§ 1.45 Pleadings; filing periods. Except as otherwise provided in this
chapter, pleadings in Commission pro- ceedings shall be filed in accordance with the provisions of this section. Pleadings associated with licenses, ap- plications, waivers and other docu- ments in the Wireless Radio Services may be filed via the ULS.
(a) Petitions. Petitions to deny may be filed pursuant to § 1.939 of this part.
(b) Oppositions. Oppositions to any motion, petition, or request may be filed within 10 days after the original pleading is filed.
(c) Replies. The person who filed the original pleading may reply to opposi- tions within 5 days after the time for
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filing oppositions has expired. The reply shall be limited to matters raised in the oppositions, and the response to all such matters shall be set forth in a single pleading; separate replies to in- dividual oppositions shall not be filed.
(d) Requests for temporary relief; short- er filing periods. Oppositions to a re- quest for stay of any order or to a re- quest for other temporary relief shall be filed within 7 days after the request is filed. Replies to oppositions should not be filed and will not be considered. The provisions of § 1.4(h) shall not apply in computing the filing date for oppositions to a request for stay or for other temporary relief.
(e) Ex parte disposition of certain plead- ings. As a matter of discretion, the Commission may rule ex parte upon re- quests for continuances and extensions of time, requests for permission to file pleadings in excess of the length pre- scribed in this chapter, and requests for temporary relief, without waiting for the filing of oppositions or replies.
NOTE: Where specific provisions contained in part 1 conflict with this section, those specific provisions are controlling. See, in particular, §§ 1.294(c), 1.298(a), and 1.773.
[28 FR 12415, Nov. 22, 1963, as amended at 33 FR 7153, May 15, 1968; 45 FR 64190, Sept. 29, 1980; 54 FR 31032, July 26, 1989; 54 FR 37682, Sept. 12, 1989; 63 FR 68919, Dec. 14, 1998]
§ 1.46 Motions for extension of time.
(a) It is the policy of the Commission that extensions of time shall not be routinely granted.
(b) Motions for extension of time in which to file responses to petitions for rulemaking, replies to such responses, comments filed in response to notice of proposed rulemaking, replies to such comments and other filings in rule- making proceedings conducted under Subpart C of this part shall be filed at least 7 days before the filing date. If a timely motion is denied, the responses and comments, replies thereto, or other filings need not be filed until 2 business days after the Commission acts on the motion. In emergency situ- ations, the Commission will consider a late-filed motion for a brief extension of time related to the duration of the emergency and will consider motions for acceptance of comments, reply
comments or other filings made after the filing date.
(c) If a motion for extension of time in which to make filings in proceedings other than notice and comment rule making proceedings is filed less than 7 days prior to the filing day, the party filing the motion shall (in addition to serving the motion on other parties) orally notify other parties and Com- mission staff personnel responsible for acting on the motion that the motion has been (or is being) filed.
[39 FR 43301, Dec. 12, 1974, as amended at 41 FR 9550, Mar. 5, 1976; 41 FR 14871, Apr. 8, 1976; 42 FR 28887, June 6, 1977; 63 FR 24124, May 1, 1998]
§ 1.47 Service of documents and proof of service.
(a) Where the Commission or any per- son is required by statute or by the provisions of this chapter to serve any document upon any person, service shall (in the absence of specific provi- sions in this chapter to the contrary) be made in accordance with the provi- sions of this section.
(b) Where any person is required to serve any document filed with the Commission, service shall be made by that person or by his representative on or before the day on which the docu- ment is filed.
(c) Commission counsel who formally participate in any proceeding shall be served in the same manner as other persons who participate in that pro- ceeding. The filing of a document with the Commission does not constitute service upon Commission counsel.
(d) Except in formal complaint pro- ceedings against common carriers under §§ 1.720 through 1.736, documents may be served upon a party, his attor- ney, or other duly constituted agent by delivering a copy or by mailing a copy to the last known address. See § 1.736. Documents that are required to be served must be served in paper form, even if documents are filed in elec- tronic form with the Commission, un- less the party to be served agrees to ac- cept service in some other form.
(e) Delivery of a copy pursuant to this section means handing it to the party, his attorney, or other duly con- stituted agent; or leaving it with the clerk or other person in charge of the
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office of the person being served; or, if there is no one in charge of such office, leaving it in a conspicuous place there- in; or, if such office is closed or the per- son to be served has no office, leaving it at his dwelling house or usual place of abode with some person of suitable age and discretion then residing there- in.
(f) Service by mail is complete upon mailing.
(g) Proof of service, as provided in this section, shall be filed before action is taken. The proof of service shall show the time and manner of service, and may be by written acknowledge- ment of service, by certificate of the person effecting the service, or by other proof satisfactory to the Com- mission. Failure to make proof of serv- ice will not affect the validity of the service. The Commission may allow the proof to be amended or supplied at any time, unless to do so would result in material prejudice to a party.
(h) Every common carrier and inter- connected VoIP provider, as defined in § 54.5 of this chapter, that is subject to the Communications Act of 1934, as amended, shall designate an agent in the District of Columbia, and may des- ignate additional agents if it so choos- es, upon whom service of all notices, process, orders, decisions, and require- ments of the Commission may be made for and on behalf of such carrier or interconnected VoIP provider in any proceeding before the Commission. Such designation shall include, for both the carrier or interconnected VoIP provider and its designated agents, a name, business address, tele- phone or voicemail number, facsimile number, and, if available, Internet e- mail address. Such carrier or inter- connected VoIP provider shall addi- tionally list any other names by which it is known or under which it does busi- ness, and, if the carrier or inter- connected VoIP provider is an affili- ated company, the parent, holding, or management company. Within thirty (30) days of the commencement of pro- vision of service, such carrier or inter- connected VoIP provider shall file such information with the Chief of the En- forcement Bureau’s Market Disputes Resolution Division. Such carriers and interconnected VoIP providers may file
a hard copy of the relevant portion of the Telecommunications Reporting Worksheet, as delineated by the Com- mission in the FEDERAL REGISTER, to satisfy this requirement. Each Tele- communications Reporting Worksheet filed annually by a common carrier or interconnected VoIP provider must contain a name, business address, tele- phone or voicemail number, facsimile number, and, if available, Internet e- mail address for its designated agents, regardless of whether such information has been revised since the previous fil- ing. Carriers and interconnected VoIP providers must notify the Commission within one week of any changes in their designation information by filing revised portions of the Telecommuni- cations Reporting Worksheet with the Chief of the Enforcement Bureau’s Market Disputes Resolution Division. A paper copy of this designation list shall be maintained in the Office of the Secretary of the Commission. Service of any notice, process, orders, decisions or requirements of the Commission may be made upon such carrier or interconnected VoIP provider by leav- ing a copy thereof with such designated agent at his office or usual place of res- idence. If such carrier or inter- connected VoIP provider fails to des- ignate such an agent, service of any no- tice or other process in any proceeding before the Commission, or of any order, decision, or requirement of the Com- mission, may be made by posting such notice, process, order, requirement, or decision in the Office of the Secretary of the Commission.
[28 FR 12415, Nov. 22, 1963, as amended at 40 FR 55644, Dec. 1, 1975; 53 FR 11852, Apr. 11, 1988; 63 FR 1035, Jan. 7, 1998; 63 FR 24124, May 1, 1998; 64 FR 41330, July 30, 1999; 64 FR 60725, Nov. 8, 1999; 71 FR 38796, July 10, 2006]
EFFECTIVE DATE NOTE: At 71 FR 38796, July 10, 2006, § 1.47(h) was amended. This section contains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 1.48 Length of pleadings. (a) Affidavits, statements, tables of
contents and summaries of filings, and other materials which are submitted with and factually support a pleading are not counted in determining the
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47 CFR Ch. I (10–1–10 Edition)§ 1.49
length of the pleading. If other mate- rials are submitted with a pleading, they will be counted in determining its length; and if the length of the plead- ings, as so computed, is greater than permitted by the provisions of this chapter, the pleading will be returned without consideration.
(b) It is the policy of the Commission that requests for permission to file pleadings in excess of the length pre- scribed by the provisions of this chap- ter shall not be routinely granted. Where the filing period is 10 days or less, the request shall be made within 2 business days after the period begins to run. Where the period is more than 10 days, the request shall be filed at least 10 days before the filing date. (See § 1.4.) If a timely request is made, the pleading need not be filed earlier than 2 business days after the Commission acts upon the request.
[41 FR 14871, Apr. 8, 1976, and 49 FR 40169, Oct. 15, 1984]
§ 1.49 Specifications as to pleadings and documents.
(a) All pleadings and documents filed in paper form in any Commission pro- ceeding shall be typewritten or pre- pared by mechanical processing meth- ods, and shall be filed on A4 (21 cm. × 29.7 cm.) or on 81⁄2 × 11 inch (21.6 cm. × 27.9 cm.) paper with the margins set so that the printed material does not ex- ceed 6 1⁄2 × 91⁄2 inches (16.5 cm. × 24.1 cm.). The printed material may be in any typeface of at least 12-point (0.42333 cm. or 12⁄72″) in height. The body of the text must be double spaced with a minimum distance of 7⁄32 of an inch (0.5556 cm.) between each line of text. Footnotes and long, indented quotations may be single spaced, but must be in type that is 12-point or larg- er in height, with at least 1⁄16 of an inch (0.158 cm.) between each line of text. Counsel are cautioned against employ- ing extended single spaced passages or excessive footnotes to evade prescribed pleading lengths. If single-spaced pas- sages or footnotes are used in this manner the pleading will, at the discre- tion of the Commission, either be re- jected as unacceptable for filing or dis- missed with leave to be refiled in prop- er form. Pleadings may be printed on both sides of the paper. Pleadings that
use only one side of the paper shall be stapled, or otherwise bound, in the upper left-hand corner; those using both sides of the paper shall be stapled twice, or otherwise bound, along the left-hand margin so that it opens like a book. The foregoing shall not apply to printed briefs specifically requested by the Commission, official publications, charted or maps, original documents (or admissible copies thereof) offered as exhibits, specially prepared exhibits, or if otherwise specifically provided. All copies shall be clearly legible.
(b) Except as provided in paragraph (d) of this section, all pleadings and documents filed with the Commission, the length of which as computed under this chapter exceeds ten pages, shall include, as part of the pleading or doc- ument, a table of contents with page references.
(c) Except as provided in paragraph (d) of this section, all pleadings and documents filed with the Commission, the length of which filings as computed under this chapter exceeds ten pages, shall include, as part of the pleading or document, a summary of the filing, suitably paragraphed, which should be a succinct, but accurate and clear con- densation of the substance of the filing. It should not be a mere repetition of the headings under which the filing is arranged. For pleadings and documents exceeding ten but not twenty-five pages in length, the summary should seldom exceed one and never two pages; for pleadings and documents exceeding twenty-five pages in length, the sum- mary should seldom exceed two and never five pages.
(d) The requirements of paragraphs (b) and (c) of this section shall not apply to:
(1) Interrogatories or answers to in- terrogatories, and depositions;
(2) FCC forms or applications; (3) Transcripts; (4) Contracts and reports; (5) Letters; or (6) Hearing exhibits, and exhibits or
appendicies accompanying any docu- ment or pleading submitted to the Commission.
(e) Petitions, pleadings, and other documents associated with licensing matters in the Wireless Radio Services
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Federal Communications Commission § 1.51
may be filed electronically in ULS. See § 22.6 for specifications.
(f)(1) In the following types of pro- ceedings, all pleadings, including per- missible ex parte submissions, notices of ex parte presentations, comments, reply comments, and petitions for re- consideration and replies thereto, may be filed in electronic format:
(i) General rulemaking proceedings other than broadcast allotment pro- ceedings;
(ii) Notice of inquiry proceedings; (iii) Petition for rulemaking pro-
ceedings (except broadcast allotment proceedings); and
(iv) Petition for forbearance pro- ceedings.
(2) For purposes of paragraphs (b) and (c) of this section, and any prescribed pleading lengths, the length of any doc- ument filed in electronic form shall be equal to the length of the document if printed out and formatted according to the specifications of paragraph (a) of this section, or shall be no more that 250 words per page.
NOTE: The table of contents and the sum- mary pages shall not be included in com- plying with any page limitation require- ments as set forth by Commission rule.
[40 FR 19198, May 2, 1975, as amended at 47 FR 26393, June 18, 1982; 51 FR 16322, May 2, 1986; 54 FR 31032, July 26, 1989; 58 FR 44893, Aug. 25, 1993; 59 FR 37721, July 25, 1994; 63 FR 24125, May 1, 1998; 63 FR 68920, Dec. 14, 1998; 74 FR 39227, Aug. 6, 2009]
§ 1.50 Specifications as to briefs. The Commission’s preference is for
briefs that are either typewritten, pre- pared by other mechanical processing methods, or, in the case of matters in the Wireless Radio Services, composed electronically and sent via ULS. Print- ed briefs will be accepted only if spe- cifically requested by the Commission. Typewritten, mechanically produced, or electronically transmitted briefs must conform to all of the applicable specifications for pleadings and docu- ments set forth in § 1.49.
[63 FR 68920, Dec. 14, 1998]
§ 1.51 Number of copies of pleadings, briefs and other papers.
Except as otherwise specifically pro- vided in the Commission’s rules and regulations, the number of copies of
pleadings, briefs, and other papers to be filed is as follows:
(a) In hearing proceedings, the fol- lowing number of copies shall be filed:
(1) If the paper filed relates to a mat- ter to be acted upon by the presiding officer or the Chief Administrative Law Judge, an original and 6 copies shall be filed.
(2) If the paper filed relates to mat- ters to be acted on by the Commission, an original and 14 copies shall be filed.
(3) If more than one person presided (is presiding) at the hearing an addi- tional copy shall be filed for each such additional person.
(b) In rulemaking proceedings which have not been designated for hearing, see section 1.419 of this chapter.
(c) In matters other than rule mak- ing and hearing cases, the following number of copies shall be filed:
(1) If the paper filed relates to mat- ters to be acted on by the Commission, an original and 4 copies shall be filed. If the matter relates to Part 22 of the rules, see § 22.6.
(2) If the paper filed related to mat- ters to be acted on by staff officials under delegated authority, an original and 4 copies shall be filed. If the matter relates to Part 22 of the rules, see § 22.6.
(d) Where statute or regulation pro- vides for service by the Commission of papers filed with the Commission, an additional copy of such papers shall be filed for each person to be served.
(e) The parties to any proceeding may, on notice, be required to file addi- tional copies of any or all filings made in that proceeding.
(f) For application and licensing mat- ters involving the Wireless Radio Serv- ices, pleadings, briefs or other docu- ments may be filed electronically in ULS, or if filed manually, one original and one copy of a pleading, brief or other document must be filed.
(g) Participants that file pleadings, briefs or other documents electroni- cally in ULS need only submit one copy, so long as the submission con- forms to any procedural or filing re- quirements established for formal elec- tronic comments. (see § 1.49)
(h) Pleadings, briefs or other docu- ments filed electronically in ULS by a party represented by an attorney shall include the name, street address, and
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47 CFR Ch. I (10–1–10 Edition)§ 1.52
telephone number of at least one attor- ney of record. Parties not represented by an attorney that file electronically in ULS shall provide their name, street address, and telephone number.
(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; (47 U.S.C. 154, 303))
[40 FR 48136, Oct. 14, 1975, as amended at 41 FR 50399, Nov. 16, 1976; 45 FR 64190, Sept. 29, 1980; 45 FR 79486, Dec. 1, 1980; 50 FR 26567, June 27, 1985; 54 FR 29037, July 11, 1989; 54 FR 31032, July 26, 1989; 62 FR 4170, Jan. 29, 1997; 63 FR 24125, May 1, 1998; 63 FR 68920, Dec. 14, 1998]
§ 1.52 Subscription and verification. The original of all petitions, motions,
pleadings, briefs, and other documents filed by any party represented by coun- sel shall be signed by at least one at- torney of record in his individual name, whose address shall be stated. A party who is not represented by an at- torney shall sign and verify the docu- ment and state his address. Either the original document, the electronic re- production of such original document containing the facsimile signature of the attorney or represented party, or, in the case of matters in the Wireless Radio Services, an electronic filing via ULS is acceptable for filing. If a fac- simile or electronic reproduction of such original document is filed, the signatory shall retain the original until the Commission’s decision is final and no longer subject to judicial re- view. If pursuant to § 1.429(h) a docu- ment is filed electronically, a signa- ture will be considered any symbol exe- cuted or adopted by the party with the intent that such symbol be a signature, including symbols formed by com- puter-generated electronic impulses. Except when otherwise specifically provided by rule or statute, documents signed by the attorney for a party need not be verified or accompanied by affi- davit. The signature or electronic re- production thereof by an attorney con- stitutes a certificate by him that he has read the document; that to the best of his knowledge, information, and be- lief there is good ground to support it; and that it is not interposed for delay. If the original of a document is not signed or is signed with intent to de- feat the purpose of this section, or an electronic reproduction does not con-
tain a facsimile signature, it may be stricken as sham and false, and the matter may proceed as though the doc- ument had not been filed. An attorney may be subjected to appropriate dis- ciplinary action, pursuant to § 1.24, for a willful violation of this section or if scandalous or indecent matter is in- serted.
[63 FR 24125, May 1, 1998, as amended at 63 FR 68920, Dec. 14, 1998]
FORBEARANCE PROCEEDINGS
§ 1.53 Separate pleadings for petitions for forbearance.
In order to be considered as a peti- tion for forbearance subject to the one- year deadline set forth in 47 U.S.C. 160(c), any petition requesting that the Commission exercise its forbearance authority under 47 U.S.C. 160 shall be filed as a separate pleading and shall be identified in the caption of such plead- ing as a petition for forbearance under 47 U.S.C. 160(c). Any request which is not in compliance with this rule is deemed not to constitute a petition pursuant to 47 U.S.C. 160(c), and is not subject to the deadline set forth there- in.
[65 FR 7460, Feb. 15, 2000]
§ 1.54 Petitions for forbearance must be complete as filed.
(a) Description of relief sought. Peti- tions for forbearance must identify the requested relief, including:
(1) Each statutory provision, rule, or requirement from which forbearance is sought.
(2) Each carrier, or group of carriers, for which forbearance is sought.
(3) Each service for which forbear- ance is sought.
(4) Each geographic location, zone, or area for which forbearance is sought.
(5) Any other factor, condition, or limitation relevant to determining the scope of the requested relief.
(b) Prima facie case. Petitions for for- bearance must contain facts and argu- ments which, if true and persuasive, are sufficient to meet each of the stat- utory criteria for forbearance.
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Federal Communications Commission § 1.56
(1) A petition for forbearance must specify how each of the statutory cri- teria is met with regard to each statu- tory provision or rule, or requirement from which forbearance is sought.
(2) If the petitioner intends to rely on data or information in the possession of third parties, the petition must iden- tify:
(i) The nature of the data or informa- tion.
(ii) The parties believed to have or control the data or information.
(iii) The relationship of the data or information to facts and arguments presented in the petition.
(3) The petitioner shall, at the time of filing, provide a copy of the petition to each third party identified as pos- sessing data or information on which the petitioner intends to rely.
(c) Identification of related matters. A petition for forbearance must identify any proceeding pending before the Commission in which the petitioner has requested, or otherwise taken a po- sition regarding, relief that is identical to, or comparable to, the relief sought in the forbearance petition. Alter- natively, the petition must declare that the petitioner has not, in a pend- ing proceeding, requested or otherwise taken a position on the relief sought.
(d) Filing requirements. Petitions for forbearance shall comply with the fil- ing requirements in § 1.49.
(1) Petitions for forbearance shall be e-mailed to forbearance@fcc.gov at the time for filing.
(2) All filings related to a forbearance petition, including all data, shall be provided in a searchable format. To be searchable, a spreadsheet containing a significant amount of data must be ca- pable of being manipulated to allow meaningful analysis.
(e) Contents. Petitions for forbear- ance shall include:
(1) A plain, concise, written summary statement of the relief sought.
(2) A full statement of the peti- tioner’s prima facie case for relief.
(3) Appendices that list: (i) The scope of relief sought as re-
quired in § 1.54(a); (ii) All supporting data upon which
the petition intends to rely, including a market analysis; and
(iii) Any supporting statements or af- fidavits.
(f) Supplemental information. The Commission will consider further facts and arguments entered into the record by a petitioner only:
(1) In response to facts and argu- ments introduced by commenters or opponents.
(2) By permission of the Commission.
[74 FR 39227, Aug. 6, 2009]
EFFECTIVE DATE NOTE: At 74 FR 39227, Aug. 6, 2009, § 1.54 was added. This section contains information collection and recordkeeping re- quirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 1.55 Public notice of petitions for for- bearance.
(a) Filing a petition for forbearance initiates the statutory time limit for consideration of the petition.
(b) The Commission will issue a pub- lic notice when it receives a properly filed petition for forbearance. The no- tice will include:
(1) A statement of the nature of the petition for forbearance.
(2) The scope of the forbearance sought and a description of the sub- jects and issues involved.
(3) The docket number assigned to the proceeding.
(4) A statement of the time for filing oppositions or comments and replies thereto.
[74 FR 39227, Aug. 6, 2009]
§ 1.56 Motions for summary denial of petitions for forbearance.
(a) Opponents of a petition for for- bearance may submit a motion for summary denial if it can be shown that the petition for forbearance, viewed in the light most favorable to the peti- tioner, cannot meet the statutory cri- teria for forbearance.
(b) A motion for summary denial may not be filed later than the due date for comments and oppositions an- nounced in the public notice.
(c) Oppositions to motions for sum- mary denial may not be filed later than the due date for reply comments an- nounced in the public notice.
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47 CFR Ch. I (10–1–10 Edition)§ 1.57
(d) No reply may be filed to an oppo- sition to a motion for summary denial.
[74 FR 39227, Aug. 6, 2009]
§ 1.57 Circulation and voting of peti- tions for forbearance.
(a) If a petition for forbearance in- cludes novel questions of fact, law or policy which cannot be resolved under outstanding precedents and decisions, the Chairman will circulate a draft order no later than 28 days prior to the statutory deadline, unless all Commis- sioners agree to a shorter period.
(b) The Commission will vote on any circulated order resolving a forbear- ance petition not later than seven days before the last day that action must be taken to prevent the petition from being deemed granted by operation of law.
[74 FR 39227, Aug. 6, 2009]
§ 1.58 Forbearance petition quiet pe- riod prohibition.
The prohibition in § 1.1203(a) on con- tacts with decisionmakers concerning matters listed in the Sunshine Agenda shall also apply to a petition for for- bearance for a period of 14 days prior to the statutory deadline under 47 U.S.C. 160(c) or as announced by the Commis- sion.
[74 FR 39227, Aug. 6, 2009]
§ 1.59 Withdrawal or narrowing of pe- titions for forbearance.
(a) A petitioner may withdraw or narrow a petition for forbearance with- out approval of the Commission by fil- ing a notice of full or partial with- drawal at any time prior to the end of the tenth business day after the due date for reply comments announced in the public notice.
(b) Except as provided in paragraph (a) of this section, a petition for for- bearance may be withdrawn, or nar- rowed so significantly as to amount to a withdrawal of a large portion of the forbearance relief originally requested by the petitioner, only with approval of the Commission.
[74 FR 39227, Aug. 6, 2009]
GENERAL APPLICATION PROCEDURES
§ 1.61 Procedures for handling applica- tions requiring special aeronautical study.
(a) Antenna Structure Registration is conducted by the Wireless Tele- communications Bureau as follows:
(1) Each antenna structure owner that must notify the FAA of proposed construction using FAA Form 7460–1 shall, upon proposing new or modified construction, register that antenna structure with the Wireless Tele- communications Bureau using FCC Form 854.
(2) If an Environmental Assessment is required under § 1.1307, the Bureau will address the environmental con- cerns prior to processing the registra- tion.
(3) If a final FAA determination of ‘‘no hazard’’ is not submitted along with FCC Form 854, processing of the registration may be delayed or dis- approved.
(4) If the owner of the antenna struc- ture cannot file FCC Form 854 because it is subject to a denial of Federal ben- efits under the Anti-Drug Abuse Act of 1988, 21 U.S.C. 862, the first licensee au- thorized to locate on the structure must register the structure using FCC Form 854, and provide a copy of the An- tenna Structure Registration (FCC Form 854R) to the owner. The owner re- mains responsible for providing a copy of FCC Form 854R to all tenant licens- ees on the structure and for posting the registration number as required by § 17.4(g) of this chapter.
(5) Upon receipt of FCC Form 854, and attached final FAA determination of ‘‘no hazard,’’ the Bureau prescribes an- tenna structure painting and/or light- ing specifications or other conditions in accordance with the FAA airspace recommendation and returns a com- pleted Antenna Structure Registration (FCC Form 854R) to the registrant. If the proposed structure is disapproved the registrant is so advised.
(b) Each operating Bureau or Office examines the applications for Commis- sion authorization for which it is re- sponsible to ensure compliance with FAA notification procedures as well as Commission Antenna Structure Reg- istration as follows:
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Federal Communications Commission § 1.62
(1) If Antenna Structure Registration is required, the operating Bureau re- views the application for the Antenna Structure Registration Number and proceeds as follows:
(i) If the application contains the An- tenna Structure Registration Number or if the applicant seeks a Cellular or PCS system authorization, the oper- ating Bureau processes the application.
(ii) If the application does not con- tain the Antenna Structure Registra- tion Number, but the structure owner has already filed FCC Form 854, the op- erating Bureau places the application on hold until Registration can be con- firmed, so long as the owner exhibits due diligence in filing.
(iii) If the application does not con- tain the Antenna Structure Registra- tion Number, and the structure owner has not filed FCC Form 854, the oper- ating Bureau notifies the applicant that FCC Form 854 must be filed and places the application on hold until Registration can be confirmed, so long as the owner exhibits due diligence in filing.
(2) If Antenna Structure Registration is not required, the operating Bureau processes the application.
(c) Where one or more antenna farm areas have been designated for a com- munity or communities (see § 17.9 of this chapter), an application proposing the erection of an antenna structure over 1,000 feet in height above ground to serve such community or commu- nities will not be accepted for filing unless:
(1) It is proposed to locate the an- tenna structure in a designated an- tenna farm area, or
(2) It is accompanied by a statement from the Federal Aviation Administra- tion that the proposed structure will not constitute a menace to air naviga- tion, or
(3) It is accompanied by a request for waiver setting forth reasons sufficient, if true, to justify such a waiver.
NOTE: By Commission Order (FCC 65–455), 30 FR 7419, June 5, 1965, the Commission issued the following policy statement con- cerning the height of radio and television an- tenna towers: ‘‘We have concluded that this objective can best be achieved by adopting the following policy: Applications for antenna towers high- er than 2,000 feet above ground will be pre-
sumed to be inconsistent with the public in- terest, and the applicant will have a burden of overcoming that strong presumption. The applicant must accompany its application with a detailed showing directed to meeting this burden. Only in the exceptional case, where the Commission concludes that a clear and compelling showing has been made that there are public interest reasons requiring a tower higher than 2,000 feet above ground, and after the parties have complied with ap- plicable FAA procedures, and full Commis- sion coordination with FAA on the question of menace to air navigation, will a grant be made. Applicants and parties in interest will, of course, be afforded their statutory hearing rights.’’
[28 FR 12415, Nov. 22, 1963, as amended at 32 FR 8813, June 21, 1967; 32 FR 20860, Dec. 28, 1967; 34 FR 6481, Apr. 15, 1969; 45 FR 55201, Aug. 19, 1980; 58 FR 13021, Mar. 9, 1993, 61 FR 4361, Feb. 6, 1996]
§ 1.62 Operation pending action on re- newal application.
(a)(1) Where there is pending before the Commission at the time of expira- tion of license any proper and timely application for renewal of license with respect to any activity of a continuing nature, in accordance with the provi- sions of section 9(b) of the Administra- tive Procedure Act, such license shall continue in effect without further ac- tion by the Commission until such time as the Commission shall make a final determination with respect to the renewal application. No operation by any licensee under this section shall be construed as a finding by the Commis- sion that the operation will serve the public interest, convenience, or neces- sity, nor shall such operation in any way affect or limit the action of the Commission with respect to any pend- ing application or proceeding.
(2) A licensee operating by virtue of this paragraph shall, after the date of expiration specified in the license, post, in addition to the original li- cense, any acknowledgment received from the Commission that the renewal application has been accepted for filing or a signed copy of the application for renewal of license which has been sub- mitted by the licensee, or in services other than broadcast and common car- rier, a statement certifying that the li- censee has mailed or filed a renewal ap- plication, specifying the date of mail- ing or filing.
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47 CFR Ch. I (10–1–10 Edition)§ 1.65
(b) Where there is pending before the Commission at the time of expiration of license any proper and timely appli- cation for renewal or extension of the term of a license with respect to any activity not of a continuing nature, the Commission may in its discretion grant a temporary extension of such li- cense pending determination of such application. No such temporary exten- sion shall be construed as a finding by the Commission that the operation of any radio station thereunder will serve the public interest, convenience, or ne- cessity beyond the express terms of such temporary extension of license, nor shall such temporary extension in any way affect or limit the action of the Commission with respect to any pending application or proceeding.
(c) Except where an instrument of authorization clearly states on its face that it relates to an activity not of a continuing nature, or where the non- continuing nature is otherwise clearly apparent upon the face of the author- ization, all licenses issued by the Com- mission shall be deemed to be related to an activity of a continuing nature.
(5 U.S.C. 558)
§ 1.65 Substantial and significant changes in information furnished by applicants to the Commission.
(a) Each applicant is responsible for the continuing accuracy and complete- ness of information furnished in a pending application or in Commission proceedings involving a pending appli- cation. Except as otherwise required by rules applicable to particular types of applications, whenever the information furnished in the pending application is no longer substantially accurate and complete in all significant respects, the applicant shall as promptly as pos- sible and in any event within 30 days, unless good cause is shown, amend or request the amendment of the applica- tion so as to furnish such additional or corrected information as may be appro- priate. Except as otherwise required by rules applicable to particular types of applications, whenever there has been a substantial change as to any other matter which may be of decisional sig- nificance in a Commission proceeding involving the pending application, the applicant shall as promptly as possible
and in any event within 30 days, unless good cause is shown, submit a state- ment furnishing such additional or cor- rected information as may be appro- priate, which shall be served upon par- ties of record in accordance with § 1.47. Where the matter is before any court for review, statements and requests to amend shall in addition be served upon the Commission’s General Counsel. For the purposes of this section, an applica- tion is ‘‘pending’’ before the Commis- sion from the time it is accepted for filing by the Commission until a Com- mission grant or denial of the applica- tion is no longer subject to reconsider- ation by the Commission or to review by any court.
(b) Applications in broadcast services subject to competitive bidding will be subject to the provisions of §§ 1.2105(b), 73.5002 and 73.3522 of this chapter re- garding the modification of their appli- cations.
(c) All broadcast permittees and li- censees must report annually to the Commission any adverse finding or ad- verse final action taken by any court or administrative body that involves conduct bearing on the permittee’s or licensee’s character qualifications and that would be reportable in connection with an application for renewal as re- flected in the renewal form. If a report is required by this paragraph(s), it shall be filed on the anniversary of the date that the licensee’s renewal appli- cation is required to be filed, except that licensees owning multiple stations with different anniversary dates need file only one report per year on the an- niversary of their choice, provided that their reports are not more than one year apart. Permittees and licensees bear the obligation to make diligent, good faith efforts to become knowl- edgeable of any such reportable adju- dicated misconduct.
NOTE: The terms adverse finding and adverse final action as used in paragraph (c) of this section include adjudications made by an ul- timate trier of fact, whether a government agency or court, but do not include factual determinations which are subject to review de novo unless the time for taking such re- view has expired under the relevant proce- dural rules. The pendency of an appeal of an adverse finding or adverse final action does
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Federal Communications Commission § 1.80
not relieve a permittee or licensee from its obligation to report the finding or action.
[48 FR 27200, June 13, 1983, as amended at 55 FR 23084, June 6, 1990; 56 FR 25635, June 5, 1991; 56 FR 44009, Sept. 6, 1991; 57 FR 47412, Oct. 16, 1992; 63 FR 48622, Sept. 11, 1998; 69 FR 72026, Dec. 10, 2004; 75 FR 4702, Jan. 29, 2010]
§ 1.68 Action on application for license to cover construction permit.
(a) An application for license by the lawful holder of a construction permit will be granted without hearing where the Commission, upon examination of such application, finds that all the terms, conditions, and obligations set forth in the application and permit have been fully met, and that no cause or circumstance arising or first coming to the knowledge of the Commission since the granting of the permit would, in the judgment of the Commission, make the operation of such station against the public interest.
(b) In the event the Commission is unable to make the findings in para- graph (a) of this section, the Commis- sion will designate the application for hearing upon specified issues.
(Sec. 319, 48 Stat. 1089, as amended; 47 U.S.C. 319)
§ 1.77 Detailed application procedures; cross references.
The application procedures set forth in §§ 1.61 through 1.68 are general in na- ture. Applicants should also refer to the Commission rules regarding the payment of statutory charges (subpart G of this part) and the use of the FCC Registration Number (FRN) (see sub- part W of this part). More detailed pro- cedures are set forth in this chapter as follows:
(a) Rules governing applications for authorizations in the Broadcast Radio Services are set forth in subpart D of this part.
(b) Rules governing applications for authorizations in the Common Carrier Radio Services are set forth in subpart E of this part.
(c) Rules governing applications for authorizations in the Private Radio Services are set forth in subpart F of this part.
(d) Rules governing applications for authorizations in the Experimental
Radio Services (other than broadcast) are set forth in part 5 of this chapter.
(e) Rules governing applications for authorizations in the Domestic Public Radio Services are set forth in part 21 of this chapter.
(f) Rules governing applications for authorizations in the Industrial, Sci- entific, and Medical Service are set forth in part 18 of this chapter.
(g) Rules governing applications for certification of equipment are set forth in part 2, subpart J, of this chapter.
(h) Rules governing applications for commercial radio operator licenses are set forth in part 13 of this chapter.
(i) Rules governing applications for authorizations in the Common Carrier and Private Radio terrestrial micro- wave services and Local Multipoint Distribution Services are set out in part 101 of this chapter.
[28 FR 12415, Nov. 22, 1963, as amended at 44 FR 39180, July 5, 1979; 47 FR 53378, Nov. 26, 1982; 61 FR 26670, May 28, 1996; 62 FR 23162, Apr. 29, 1997; 63 FR 36596, July 7, 1998; 66 FR 47895, Sept. 14, 2001]
MISCELLANEOUS PROCEEDINGS
§ 1.80 Forfeiture proceedings.
(a) Persons against whom and viola- tions for which a forfeiture may be as- sessed. A forfeiture penalty may be as- sessed against any person found to have:
(1) Willfully or repeatedly failed to comply substantially with the terms and conditions of any license, permit, certificate, or other instrument of au- thorization issued by the Commission;
(2) Willfully or repeatedly failed to comply with any of the provisions of the Communications Act of 1934, as amended; or of any rule, regulation or order issued by the Commission under that Act or under any treaty, conven- tion, or other agreement to which the United States is a party and which is binding on the United States;
(3) Violated any provision of section 317(c) or 508(a) of the Communications Act; or
(4) Violated any provision of section 1304, 1343, or 1464 of Title 18, United States Code.
A forfeiture penalty assessed under this section is in addition to any other
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penalty provided for by the Commu- nications Act, except that the pen- alties provided for in paragraphs (b)(1), (b)(2) and (b)(3) of this section shall not apply to conduct which is subject to a forfeiture penalty under sections 202(c), 203(e), 205(b), 214(d), 219(b), 220(d), 223(b), 362(a), 362(b), 386(a), 386(b), 503(b), 506, and 634 of the Communica- tions Act. The remaining provisions of this section are applicable to such con- duct.
(b) Limits on the amount of forfeiture assessed. (1) If the violator is a broad- cast station licensee or permittee, a cable television operator, or an appli- cant for any broadcast or cable tele- vision operator license, permit, certifi- cate, or other instrument of authoriza- tion issued by the Commission, except as otherwise noted in this paragraph, the forfeiture penalty under this sec- tion shall not exceed $37,500 for each violation or each day of a continuing violation, except that the amount as- sessed for any continuing violation shall not exceed a total of $375,000 for any single act or failure to act de- scribed in paragraph (a) of this section. There is no limit on forfeiture assess- ments for EEO violations by cable op- erators that occur after notification by the Commission of a potential viola- tion. See section 634(f)(2) of the Com- munications Act. Notwithstanding the foregoing in this section, if the violator is a broadcast station licensee or per- mittee or an applicant for any broad- cast license, permit, certificate, or other instrument of authorization issued by the Commission, and if the violator is determined by the Commis- sion to have broadcast obscene, inde- cent, or profane material, the for- feiture penalty under this section shall not exceed $325,000 for each violation or each day of a continuing violation, ex- cept that the amount assessed for any continuing violation shall not exceed a total of $3,000,000 for any single act or failure to act described in paragraph (a) of this section.
(2) If the violator is a common car- rier subject to the provisions of the Communications Act or an applicant for any common carrier license, per- mit, certificate, or other instrument of authorization issued by the Commis- sion, the amount of any forfeiture pen-
alty determined under this section shall not exceed $150,000 for each viola- tion or each day of a continuing viola- tion, except that the amount assessed for any continuing violation shall not exceed a total of $1,500,000 for any sin- gle act or failure to act described in paragraph (a) of this section.
(3) In any case not covered in para- graphs (b)(1) or (b)(2) of this section, the amount of any forfeiture penalty determined under this section shall not exceed $16,000 for each violation or each day of a continuing violation, ex- cept that the amount assessed for any continuing violation shall not exceed a total of $112,500 for any single act or failure to act described in paragraph (a) of this section.
(4) Factors considered in determining the amount of the forfeiture penalty. In determining the amount of the for- feiture penalty, the Commission or its designee will take into account the na- ture, circumstances, extent and grav- ity of the violations and, with respect to the violator, the degree of culpa- bility, any history of prior offenses, ability to pay, and such other matters as justice may require.
NOTE TO PARAGRAPH (b)(4):
GUIDELINES FOR ASSESSING FORFEITURES
The Commission and its staff may use these guidelines in particular cases. The Commission and its staff retain the discre- tion to issue a higher or lower forfeiture than provided in the guidelines, to issue no forfeiture at all, or to apply alternative or additional sanctions as permitted by the statute. The forfeiture ceiling per violation or per day for a continuing violation stated in section 503 of the Communications Act and the Commission’s rules are described in § 1.80(b)(5)(iii). These statutory maxima be- came effective September 2, 2008. Forfeitures issued under other sections of the Act are dealt with separately in section III of this note.
Section I. Base Amounts for Section 503 Forfeitures
Forfeitures ViolationAmount
Misrepresentation/lack of candor ............................ (1) Construction and/or operation without an instru-
ment of authorization for the service ................... $10,000 Failure to comply with prescribed lighting and/or
marking ................................................................ 10,000 Violation of public file rules ..................................... 10,000
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Forfeitures ViolationAmount
Violation of political rules: reasonable access, low- est unit charge, equal opportunity, and discrimi- nation ................................................................... 9,000
Unauthorized substantial transfer of control ........... 8,000 Violation of children’s television commercialization
or programming requirements ............................. 8,000 Violations of rules relating to distress and safety
frequencies ........................................................... 8,000 False distress communications ............................... 8,000 EAS equipment not installed or operational ............ 8,000 Alien ownership violation ......................................... 8,000 Failure to permit inspection ..................................... 7,000 Transmission of indecent/obscene materials .......... 7,000 Interference .............................................................. 7,000 Importation or marketing of unauthorized equip-
ment ..................................................................... 7,000 Exceeding of authorized antenna height ................. 5,000 Fraud by wire, radio or television ............................ 5,000 Unauthorized discontinuance of service ................. 5,000 Use of unauthorized equipment .............................. 5,000 Exceeding power limits ............................................ 4,000 Failure to respond to Commission communications 4,000 Violation of sponsorship ID requirements ............... 4,000 Unauthorized emissions .......................................... 4,000 Using unauthorized frequency ................................. 4,000 Failure to engage in required frequency coordina-
tion ....................................................................... 4,000 Construction or operation at unauthorized location 4,000 Violation of requirements pertaining to broad-
casting of lotteries or contests ............................. 4,000 Violation of transmitter control and metering re-
quirements ........................................................... 3,000 Failure to file required forms or information ............ 3,000 Failure to make required measurements or con-
duct required monitoring ...................................... 2,000 Failure to provide station ID .................................... 1,000 Unauthorized pro forma transfer of control ............. 1,000 Failure to maintain required records ....................... 1,000
1 Statutory Maximum for each Service.
Violations Unique to the Service
Violation Services affected Amount
Unauthorized conver- sion of long distance telephone service.
Common Carrier ........... $40,000
Violation of operator services requirements.
Common Carrier ........... 7,000
Violation of pay-per-call requirements.
Common Carrier ........... 7,000
Failure to implement rate reduction or re- fund order.
Cable ............................ 7,500
Violation of cable pro- gram access rules.
Cable ............................ 7,500
Violation of cable leased access rules.
Cable ............................ 7,500
Violation of cable cross- ownership rules.
Cable ............................ 7,500
Violation of cable broad- cast carriage rules.
Cable ............................ 7,500
Violation of pole attach- ment rules.
Cable ............................ 7,500
Failure to maintain di- rectional pattern with- in prescribed param- eters.
Broadcast ..................... 7,000
Violation of main studio rule.
Broadcast ..................... 7,000
Violation of broadcast hoax rule.
Broadcast ..................... 7,000
AM tower fencing .......... Broadcast ..................... 7,000
Violation Services affected Amount
Broadcasting telephone conversations without authorization.
Broadcast ..................... 4,000
Violation of enhanced underwriting require- ments.
Broadcast ..................... 2,000
Section II. Adjustment Criteria for Section 503 Forfeitures
Upward Adjustment Criteria
(1) Egregious misconduct. (2) Ability to pay/relative disincentive. (3) Intentional violation. (4) Substantial harm. (5) Prior violations of any FCC require-
ments. (6) Substantial economic gain. (7) Repeated or continuous violation.
Downward Adjustment Criteria
(1) Minor violation. (2) Good faith or voluntary disclosure. (3) History of overall compliance. (4) Inability to pay.
Section III. Non-Section 503 Forfeitures That Are Affected by the Downward Adjustment Factors
Unlike section 503 of the Act, which estab- lishes maximum forfeiture amounts, other sections of the Act, with one exception, state prescribed amounts of forfeitures for viola- tions of the relevant section. These amounts are then subject to mitigation or remission under section 504 of the Act. The one excep- tion is section 223 of the Act, which provides a maximum forfeiture per day. For conven- ience, the Commission will treat this amount as if it were a prescribed base amount, subject to downward adjustments. The following amounts are adjusted for infla- tion pursuant to the Debt Collection Im- provement Act of 1996 (DCIA), 28 U.S.C. 2461. These non-section 503 forfeitures may be ad- justed downward using the ‘‘Downward Ad- justment Criteria’’ shown for section 503 for- feitures in section II of this note.
Violation Statutory amount ($)
Sec. 202(c) Common Carrier Dis- crimination.
9,600, 530/day.
Sec. 203(e) Common Carrier Tariffs 9,600, 530/day. Sec. 205(b) Common Carrier Pre-
scriptions. 18,200.
Sec. 214(d) Common Carrier Line Extensions.
1,320/day.
Sec. 219(b) Common Carrier Re- ports.
1,320.
Sec. 220(d) Common Carrier Records & Accounts.
9,600/day.
Sec. 223(b) Dial-a-Porn ..................... 75,000/day. Sec. 364(a) Forfeitures (Ships) ......... 7,500 (owner). Sec. 364(b) Forfeitures (Ships) ......... 1,100 (vessel master). Sec. 386(a) Forfeitures (Ships) ......... 7,500/day (owner). Sec. 386(b) Forfeitures (Ships) ......... 1,100 (vessel master).
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Violation Statutory amount ($)
Sec. 634 Cable EEO ......................... 650/day.
(5) Inflation adjustments to the max- imum forfeiture amount. (i) Pursuant to the Debt Collection Improvement Act of 1996, Public Law 104–134 (110 Stat. 1321–358), which amends the Federal Civil Monetary Penalty Inflation Ad- justment Act of 1990, Public Law 101– 410 (104 Stat. 890; 28 U.S.C. 2461 note), the statutory maximum amount of a forfeiture penalty assessed under this section shall be adjusted for inflation at least once every four years using the method specified in the statute. This is to be done by determining the ‘cost-of- living adjustment’, which is the per- centage (if any) by which the CPI for June of the preceding year exceeds the CPI for June of the year the forfeiture amount was last set or adjusted. The inflation adjustment is determined by multiplying the cost-of-living adjust- ment by the statutory maximum amount. Round off this result using the rules in paragraph (b)(5)(ii) of this sec- tion. Add the rounded result to the statutory maximum forfeiture penalty amount. The sum is the statutory max- imum amount, adjusted for inflation.
(ii) The rounding rules are as follows: (A) Round increase to the nearest
multiple of $10 if the penalty is from $0 to $100;
(B) Round increase to the nearest multiple of $100 if the penalty is from $101 to $1,000;
(C) Round increase to the nearest multiple of $1,000 if the penalty is from $1,001 to $10,000;
(D) Round increase to the nearest multiple of $5,000 if the penalty is from $10,001 to $100,000;
(E) Round increase to the nearest multiple of $10,000 if the penalty is from $100,001 to $200,000; or
(F) Round increase to the nearest multiple of $25,000 if the penalty is over $200,001.
(iii) The application of the inflation adjustments required by the DCIA, 28 U.S.C. 2461, results in the following ad- justed statutory maximum forfeitures authorized by the Communications Act:
U.S. code citation
Maximum penalty after
DCIA ad- justment ($)
47 U.S.C. 202(c) ................................................ 9,600 530
47 U.S.C. 203(e) ............................................... 9,600 530
47 U.S.C. 205(b) ............................................... 18,200 47 U.S.C. 214(d) ............................................... 1,320 47 U.S.C. 219(b) ............................................... 1,320 47 U.S.C. 220(d) ............................................... 9,600 47 U.S.C. 223(b) ............................................... 75,000 47 U.S.C. 362(a) ............................................... 7,500 47 U.S.C. 362(b) ............................................... 1,100 47 U.S.C. 386(a) ............................................... 7,500 47 U.S.C. 386(b) ............................................... 1,100 47 U.S.C. 503(b)(2)(A) ...................................... 37,500
375,000 47 U.S.C. 503(b)(2)(B) ...................................... 150,000
1,500,000 47 U.S.C. 503(b)(2)(C) ...................................... 325,000
3,000,000 47 U.S.C. 503(b)(2)(D) ...................................... 16,000
112,500 47 U.S.C. 507(a) ............................................... 750 47 U.S.C. 507(b) ............................................... 110 47 U.S.C. 554 .................................................... 650
(c) Limits on the time when a pro- ceeding may be initiated. (1) In the case of a broadcast station, no forfeiture penalty shall be imposed if the viola- tion occurred more than 1 year prior to the issuance of the appropriate notice or prior to the date of commencement of the current license term, whichever is earlier. For purposes of this para- graph, ‘‘date of commencement of the current license term’’ means the date of commencement of the last term of license for which the licensee has been granted a license by the Commission. A separate license term shall not be deemed to have commenced as a result of continuing a license in effect under section 307(c) pending decision on an application for renewal of the license.
(2) In the case of a forfeiture imposed against a carrier under sections 202(c), 203(e), and 220(d), no forfeiture will be imposed if the violation occurred more than 5 years prior to the issuance of a notice of apparent liability.
(3) In all other cases, no penalty shall be imposed if the violation occurred more than 1 year prior to the date on which the appropriate notice is issued.
(d) Preliminary procedure in some cases; citations. No forfeiture penalty shall be imposed upon any person under this section, if such person does not hold a license, permit, certificate, or other
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Federal Communications Commission § 1.80
authorization issued by the Commis- sion, and if such person is not an appli- cant for a license, permit, certificate, or other authorization issued by the Commission, unless, prior to the issuance of the appropriate notice, such person: (1) Is sent a citation recit- ing the violation charged; (2) is given a reasonable opportunity (usually 30 days) to request a personal interview with a Commission official, at the field office which is nearest to such person’s place of residence; and (3) subsequently engages in conduct of the type de- scribed in the citation. However, a for- feiture penalty may be imposed, if such person is engaged in (and the violation relates to) activities for which a li- cense, permit, certificate, or other au- thorization is required or if such per- son is a cable television operator, or in the case of violations of section 303(q), if the person involved is a nonlicensee tower owner who has previously re- ceived notice of the obligations im- posed by section 303(q) from the Com- mission or the permittee or licensee who uses that tower. Paragraph (c) of this section does not limit the issuance of citations. When the requirements of this paragraph have been satisfied with respect to a particular violation by a particular person, a forfeiture penalty may be imposed upon such person for conduct of the type described in the ci- tation without issuance of an addi- tional citation.
(e) Alternative procedures. In the dis- cretion of the Commission, a forfeiture proceeding may be initiated either: (1) By issuing a notice of apparent liabil- ity, in accordance with paragraph (f) of this section, or (2) a notice of oppor- tunity for hearing, in accordance with paragraph (g).
(f) Notice of apparent liability. Before imposing a forfeiture penalty under the provisions of this paragraph, the Com- mission or its designee will issue a written notice of apparent liability.
(1) Content of notice. The notice of ap- parent liability will:
(i) Identify each specific provision, term, or condition of any act, rule, reg- ulation, order, treaty, convention, or other agreement, license, permit, cer- tificate, or instrument of authorization which the respondent has apparently
violated or with which he has failed to comply,
(ii) Set forth the nature of the act or omission charged against the respond- ent and the facts upon which such charge is based,
(iii) State the date(s) on which such conduct occurred, and
(iv) Specify the amount of the appar- ent forfeiture penalty.
(2) Delivery. The notice of apparent li- ability will be sent to the respondent, by certified mail, at his last known ad- dress (see § 1.5).
(3) Response. The respondent will be afforded a reasonable period of time (usually 30 days from the date of the notice) to show, in writing, why a for- feiture penalty should not be imposed or should be reduced, or to pay the for- feiture. Any showing as to why the for- feiture should not be imposed or should be reduced shall include a detailed fac- tual statement and such documenta- tion and affidavits as may be pertinent.
(4) Forfeiture order. If the proposed forfeiture penalty is not paid in full in response to the notice of apparent li- ability, the Commission, upon consid- ering all relevant information avail- able to it, will issue an order canceling or reducing the proposed forfeiture or requiring that it be paid in full and stating the date by which the for- feiture must be paid.
(5) Judicial enforcement of forfeiture order. If the forfeiture is not paid, the case will be referred to the Department of Justice for collection under section 504(a) of the Communications Act.
(g) Notice of opportunity for hearing. The procedures set out in this para- graph will ordinarily be followed only when a hearing is being held for some reason other than the assessment of a forfeiture (such as, to determine whether a renewal application should be granted) and a forfeiture is to be considered as an alternative or in addi- tion to any other Commission action. However, these procedures may be fol- lowed whenever the Commission, in its discretion, determines that they will better serve the ends of justice.
(1) Before imposing a forfeiture pen- alty under the provisions of this para- graph, the Commission will issue a no- tice of opportunity for hearing. The
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hearing will be a full evidentiary hear- ing before an administrative law judge, conducted under procedures set out in subpart B of this part, including proce- dures for appeal and review of initial decisions. A final Commission order as- sessing a forfeiture under the provi- sions of this paragraph is subject to ju- dicial review under section 402(a) of the Communications Act.
(2) If, after a forfeiture penalty is im- posed and not appealed or after a court enters final judgment in favor of the Commission, the forfeiture is not paid, the Commission will refer the matter to the Department of Justice for col- lection. In an action to recover the for- feiture, the validity and appropriate- ness of the order imposing the for- feiture are not subject to review.
(3) Where the possible assessment of a forfeiture is an issue in a hearing case to determine which pending appli- cation should be granted, and the ap- plicant facing a potential forfeiture is dismissed pursuant to a settlement agreement or otherwise, and the pre- siding judge has not made a determina- tion on the forfeiture issue, the order of dismissal shall be forwarded to the attention of the full Commission. Within the time provided by § 1.117, the Commission may, on its own motion, proceed with a determination of wheth- er a forfeiture against the dismissing applicant is warranted. If the Commis- sion so proceeds, it will provide the ap- plicant with a reasonable opportunity to respond to the forfeiture issue (see paragraph (f)(3) of this section) and make a determination under the proce- dures outlined in paragraph (f) of this section.
(h) Payment. The forfeiture should be paid by check or money order drawn to the order of the Federal Communica- tions Commission. The Commission does not accept responsibility for cash payments sent through the mails. The check or money order should be mailed to: Federal Communications Commis- sion, P.O. Box 979088, St. Louis, MO 63197–9000.
(i) Remission and mitigation. In its dis- cretion, the Commission, or its des- ignee, may remit or reduce any for- feiture imposed under this section. After issuance of a forfeiture order, any request that it do so shall be sub-
mitted as a petition for reconsideration pursuant to § 1.106.
(j) Effective date. Amendments to paragraph (b) of this section imple- menting Pub. L. No. 101–239 are effec- tive December 19, 1989.
[43 FR 49308, Oct. 23, 1978, as amended at 48 FR 15631, Apr. 12, 1983; 50 FR 40855, Oct. 7, 1985; 55 FR 25605, June 22, 1990; 56 FR 25638, June 5, 1991; 57 FR 23161, June 2, 1992; 57 FR 47006, Oct. 14, 1992; 57 FR 48333, Oct. 23, 1992; 58 FR 6896, Feb. 3, 1993; 58 FR 27473, May 10, 1993; 62 FR 4918, Feb. 3, 1997; 62 FR 43475, Aug. 14, 1997; 63 FR 26992, May 15, 1998; 65 FR 60868, Oct. 13, 2000; 69 FR 47789, Aug. 6, 2004; 72 FR 33914, June 20, 2007; 73 FR 9018, Feb. 19, 2008; 73 FR 44664, July 31, 2008]
§ 1.83 Applications for radio operator licenses.
(a) Application filing procedures for amateur radio operator licenses are set forth in part 97 of this chapter.
(b) Application filing procedures for commercial radio operator licenses are set forth in part 13 of this chapter. De- tailed information about application forms, filing procedures, and where to file applications for commercial radio operator licenses is contained in the bulletin ‘‘Commercial Radio Operator Licenses and Permits.’’ This bulletin is available from the Commission’s Forms Distribution Center by calling 1–800–418-FORM (3676).
[47 FR 53378, Nov. 26, 1982, as amended at 58 FR 13021, Mar. 9, 1993; 63 FR 68920, Dec. 14, 1998]
§ 1.85 Suspension of operator licenses. Whenever grounds exist for suspen-
sion of an operator license, as provided in § 303(m) of the Communications Act, the Chief of the Wireless Telecommuni- cations Bureau, with respect to ama- teur and commercial radio operator li- censes, may issue an order suspending the operator license. No order of sus- pension of any operator’s license shall take effect until 15 days’ notice in writing of the cause for the proposed suspension has been given to the oper- ator licensee, who may make written application to the Commission at any time within the said 15 days for a hear- ing upon such order. The notice to the operator licensee shall not be effective until actually received by him, and from that time he shall have 15 days in which to mail the said application. In
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Federal Communications Commission § 1.87
the event that physical conditions pre- vent mailing of the application before the expiration of the 15-day period, the application shall then be mailed as soon as possible thereafter, accom- panied by a satisfactory explanation of the delay. Upon receipt by the Commis- sion of such application for hearing, said order of suspension shall be des- ignated for hearing by the Chief, Wire- less Telecommunications Bureau and said suspension shall be held in abey- ance until the conclusion of the hear- ing. Upon the conclusion of said hear- ing, the Commission may affirm, mod- ify, or revoke said order of suspension. If the license is ordered suspended, the operator shall send his operator license to the Licensing and Technical Anal- ysis Branch, Public Safety and Private Wireless Division, Wireless Tele- communications Bureau, in Wash- ington, DC, on or before the effective date of the order, or, if the effective date has passed at the time notice is received, the license shall be sent to the Commission forthwith.
[63 FR 68920, Dec. 14, 1998]
§ 1.87 Modification of license or con- struction permit on motion of the Commission.
(a) Whenever it appears that a sta- tion license or construction permit should be modified, the Commission shall notify the licensee or permittee in writing of the proposed action and reasons therefor, and afford the li- censee or permittee at least thirty days to protest such proposed order of modification, except that, where safety of life or property is involved, the Com- mission may by order provide a shorter period of time.
(b) The notification required in para- graph (a) of this section may be effec- tuated by a notice of proposed rule making in regard to a modification or addition of an FM or television channel to the Table of Allotments (§§ 73.202 and 73.504) or Table of Assignments (§ 73.606). The Commission shall send a copy of any such notice of proposed rule making to the affected licensee or permittee by certified mail, return re- ceipt requested.
(c) Any other licensee or permittee who believes that its license or permit would be modified by the proposed ac-
tion may also protest the proposed ac- tion before its effective date.
(d) Any protest filed pursuant to this section shall be subject to the require- ments of section 309 of the Communica- tions Act of 1934, as amended, for peti- tions to deny.
(e) In any case where a hearing is conducted pursuant to the provisions of this section, both the burden of pro- ceeding with the introduction of evi- dence and the burden of proof shall be upon the Commission except that, with respect to any issue that pertains to the question of whether the proposed action would modify the license or per- mit of a person filing a protest pursu- ant to paragraph (c) of this section, such burdens shall be as described by the Commission.
(f) In order to utilize the right to a hearing and the opportunity to appear and give evidence upon the issues spec- ified in any hearing order, the licensee or permittee, in person or by attorney, shall, within the period of time as may be specified in the hearing order, file with the Commission a written state- ment stating that he or she will appear at the hearing and present evidence on the matters specified in the hearing order.
(g) The right to file a protest or have a hearing shall, unless good cause is shown in a petition to be filed not later than 5 days before the lapse of time specified in paragraph (a) or (f) of this section, be deemed waived:
(1) In case of failure to timely file the protest as required by paragraph (a) of this section or a written statement as required by paragraph (f) of this sec- tion.
(2) In case of filing a written state- ment provided for in paragraph (f) of this section but failing to appear at the hearing, either in person or by counsel.
(h) Where the right to file a protest or have a hearing is waived, the li- censee or permittee will be deemed to have consented to the modification as proposed and a final decision may be issued by the Commission accordingly. Irrespective of any waiver as provided for in paragraph (g) of this section or failure by the licensee or permittee to raise a substantial and material ques- tion of fact concerning the proposed
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modification in his protest, the Com- mission may, on its own motion, des- ignate the proposed modification for hearing in accordance with this sec- tion.
(i) Any order of modification issued pursuant to this section shall include a statement of the findings and the grounds and reasons therefor, shall specify the effective date of the modi- fication, and shall be served on the li- censee or permittee.
[52 FR 22654, June 15, 1987]
§ 1.88 Predesignation pleading proce- dure.
In cases where an investigation is being conducted by the Commission in connection with the operation of a broadcast station or a pending applica- tion for renewal of a broadcast license, the licensee may file a written state- ment to the Commission setting forth its views regarding the matters under investigation; the staff, in its discre- tion, may in writing, advise such li- censee of the general nature of the in- vestigation, and advise the licensee of its opportunity to submit such a state- ment to the staff. Any filing by the li- censee will be forwarded to the Com- mission in conjunction with any staff memorandum recommending that the Commission take action as a result of the invesigation. Nothing in this rule shall supersede the application of our ex parte rules to situations described in § 1.1203 of these rules.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; (47 U.S.C. 154, 303, 307))
[45 FR 65597, Oct. 3, 1980]
§ 1.89 Notice of violations. (a) Except in cases of willfulness or
those in which public health, interest, or safety requires otherwise, any per- son who holds a license, permit or other authorization appearing to have violated any provision of the Commu- nications Act or any provision of this chapter will, before revocation, suspen- sion, or cease and desist proceedings are instituted, be served with a written notice calling these facts to his or her attention and requesting a statement concerning the matter. FCC Form 793 may be used for this purpose. The No- tice of Violation may be combined with
a Notice of Apparent Liability to Mon- etary Forfeiture. In such event, not- withstanding the Notice of Violation, the provisions of § 1.80 apply and not those of § 1.89.
(b) Within 10 days from receipt of no- tice or such other period as may be specified, the recipient shall send a written answer, in duplicate, directly to the Commission office originating the official notice. If an answer cannot be sent or an acknowledgment cannot be made within such 10-day period by reason of illness or other unavoidable circumstance, acknowledgment and an- swer shall be made at the earliest prac- ticable date with a satisfactory expla- nation of the delay.
(c) The answer to each notice shall be complete in itself and shall not be ab- breviated by reference to other com- munications or answers to other no- tices. In every instance the answer shall contain a statement of action taken to correct the condition or omis- sion complained of and to preclude its recurrence. In addition:
(1) If the notice relates to violations that may be due to the physical or electrical characteristics of transmit- ting apparatus and any new apparatus is to be installed, the answer shall state the date such apparatus was or- dered, the name of the manufacturer, and the promised date of delivery. If the installation of such apparatus re- quires a construction permit, the file number of the application shall be given, or if a file number has not been assigned by the Commission, such iden- tification shall be given as will permit ready identification of the application.
(2) If the notice of violation relates to lack of attention to or improper op- eration of the transmitter, the name and license number of the operator in charge (where applicable) shall be given.
[48 FR 24890, June 3, 1983]
§ 1.91 Revocation and/or cease and de- sist proceedings; hearings.
(a) If it appears that a station license or construction permit should be re- voked and/or that a cease and desist order should be issued, the Commission will issue an order directing the person to show cause why an order of revoca- tion and/or a cease and desist order, as
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the facts may warrant, should not be issued.
(b) An order to show cause why an order of revocation and/or a cease and desist order should not be issued will contain a statement of the matters with respect to which the Commission is inquiring and will call upon the per- son to whom it is directed (the re- spondent) to appear before the Com- mission at a hearing, at a time and place stated in the order, but not less than thirty days after the receipt of such order, and given evidence upon the matters specified in the order to show cause. However, if safety of life or property is involved, the order to show cause may specify a hearing date less than thirty days from the receipt of such order.
(c) To avail himself of such oppor- tunity for hearing, the respondent, per- sonally or by his attorney, shall file with the Commission, within thirty days of the service of the order or such shorter period as may be specified therein, a written appearance stating that he will appear at the hearing and present evidence on the matters speci- fied in the order. The Commission in its discretion may accept a late ap- pearance. However, an appearance ten- dered after the specified time has ex- pired will not be accepted unless ac- companied by a petition stating with particularity the facts and reasons re- lied on to justify such late filing. Such petition for acceptance of late appear- ance will be granted only if the Com- mission determines that the facts and reasons stated therein constitute good cause for failure to file on time.
(d) Hearings on the matters specified in such orders to show cause shall ac- cord with the practice and procedure prescribed in this subpart and subpart B of this part, with the following ex- ceptions: (1) In all such revocation and/ or cease and desist hearings, the bur- den of proceeding with the introduc- tion of evidence and the burden of proof shall be upon the Commission; and (2) the Commission may specify in a show cause order, when the cir- cumstances of the proceeding require expedition, a time less than that pre- scribed in §§ 1.276 and 1.277 within which the initial decision in the proceeding shall become effective, exceptions to
such initial decision must be filed, par- ties must file requests for oral argu- ment, and parties must file notice of intention to participate in oral argu- ment.
(e) Correction of or promise to cor- rect the conditions or matters com- plained of in a show cause order shall not preclude the issuance of a cease and desist order. Corrections or prom- ises to correct the conditions or mat- ters complained of, and the past record of the licensee, may, however, be con- sidered in determining whether a rev- ocation and/or a cease and desist order should be issued.
(f) Any order of revocation and/or cease and desist order issued after hearing pursuant to this section shall include a statement of findings and the grounds therefor, shall specify the ef- fective date of the order, and shall be served on the person to whom such order is directed.
(Sec. 312, 48 Stat. 1086, as amended; 47 U.S.C. 312)
§ 1.92 Revocation and/or cease and de- sist proceedings; after waiver of hearing.
(a) After the issuance of an order to show cause, pursuant to § 1.91, calling upon a person to appear at a hearing before the Commission, the occurrence of any one of the following events or circumstances will constitute a waiver of such hearing and the proceeding thereafter will be conducted in accord- ance with the provisions of this sec- tion.
(1) The respondent fails to file a timely written appearance as pre- scribed in § 1.91(c) indicating that he will appear at a hearing and present evidence on the matters specified in the order.
(2) The respondent, having filed a timely written appearance as pre- scribed in § 1.91(c), fails in fact to ap- pear in person or by his attorney at the time and place of the duly scheduled hearing.
(3) The respondent files with the Commission, within the time specified for a written appearance in § 1.91(c), a written statement expressly waiving his rights to a hearing.
(b) When a hearing is waived under the provisions of paragraph (a) (1) or (3)
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of this section, a written statement signed by the respondent denying or seeking to mitigate or justify the cir- cumstances or conduct complained of in the order to show cause may be sub- mitted within the time specified in § 1.91(c). The Commission in its discre- tion may accept a late statement. How- ever, a statement tendered after the specified time has expired will not be accepted unless accompanied by a peti- tion stating with particularity the facts and reasons relied on to justify such late filing. Such petitions for ac- ceptance of a late statement will be granted only if the Commission deter- mines that the facts and reasons stated therein constitute good cause for fail- ure to file on time.
(c) Whenever a hearing is waived by the occurrence of any of the events or circumstances listed in paragraph (a) of this section, the Chief Administra- tive Law Judge (or the presiding officer if one has been designated) shall, at the earliest practicable date, issue an order reciting the events or circumstances constituting a waiver of hearing, ter- minating the hearing proceeding, and certifying the case to the Commission. Such order shall be served upon the re- spondent.
(d) After a hearing proceeding has been terminated pursuant to paragraph (c) of this section, the Commission will act upon the matters specified in the order to show cause in the regular course of business. The Commission will determine on the basis of all the information available to it from any source, including such further pro- ceedings as may be warranted, if a rev- ocation order and/or a cease and desist order should issue, and if so, will issue such order. Otherwise, the Commission will issue an order dismissing the pro- ceeding. All orders specified in this paragraph will include a statement of the findings of the Commission and the grounds and reasons therefor, will specify the effective date thereof, and will be served upon the respondent.
(e) Corrections or promise to correct the conditions or matters complained of in a show cause order shall not pre- clude the issuance of a cease and desist order. Corrections or promises to cor- rect the conditions or matters com- plained of, and the past record of the li-
censee, may, however, be considered in determining whether a revocation and/ or a cease and desist order should be issued.
(Sec. 312, 48 Stat. 1086, as amended; 47 U.S.C. 312)
[28 FR 12415, Nov. 22, 1963, as amended at 29 FR 6443, May 16, 1964; 37 FR 19372, Sept. 20, 1972]
§ 1.93 Consent orders. (a) As used in this subpart, a ‘‘con-
sent order’’ is a formal decree accept- ing an agreement between a party to an adjudicatory hearing proceeding held to determine whether that party has violated statutes or Commission rules or policies and the appropriate operating Bureau, with regard to such party’s future compliance with such statutes, rules or policies, and dis- posing of all issues on which the pro- ceeding was designated for hearing. The order is issued by the officer des- ignated to preside at the hearing or (if no officer has been designated) by the Chief Administrative Law Judge.
(b) Where the interests of timely en- forcement or compliance, the nature of the proceeding, and the public interest permit, the Commission, by its oper- ating Bureaus, may negotiate a con- sent order with a party to secure future compliance with the law in exchange for prompt disposition of a matter sub- ject to administrative adjudicative proceedings. Consent orders may not be negotiated with respect to matters which involve a party’s basic statutory qualifications to hold a license (see 47 U.S.C. 308 and 309).
[41 FR 14871, Apr. 8, 1976]
§ 1.94 Consent order procedures. (a) Negotiations leading to a consent
order may be initiated by the operating Bureau or by a party whose possible violations are issues in the proceeding. Negotiations may be initiated at any time after designation of a proceeding for hearing. If negotiations are initi- ated the presiding officer shall be noti- fied. Parties shall be prepared at the initial prehearing conference to state whether they are at that time willing to enter negotiations. See § 1.248(c)(7). If either party is unwilling to enter ne- gotiations, the hearing proceeding
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shall proceed. If the parties agree to enter negotiations, they will be af- forded an appropriate opportunity to negotiate before the hearing is com- menced.
(b) Other parties to the proceeding are entitled, but are not required, to participate in the negotiations, and may join in any agreement which is reached.
(c) Every agreement shall contain the following:
(1) An admission of all jurisdictional facts;
(2) A waiver of the usual procedures for preparation and review of an initial decision;
(3) A waiver of the right of judicial review or otherwise to challenge or contest the validity of the consent order;
(4) A statement that the designation order may be used in construing the consent order;
(5) A statement that the agreement shall become a part of the record of the proceeding only if the consent order is signed by the presiding officer and the time for review has passed without re- jection of the order by the Commission;
(6) A statement that the agreement is for purposes of settlement only and that its signing does not constitute an admission by any party of any viola- tion of law, rules or policy (see 18 U.S.C. 6002); and
(7) A draft order for signature of the presiding officer resolving by consent, and for the future, all issues specified in the designation order.
(d) If agreement is reached, it shall be submitted to the presiding officer or Chief Administrative Law Judge, as the case may be, who shall either sign the order, reject the agreement, or sug- gest to the parties that negotiations continue on such portion of the agree- ment as he considers unsatisfactory or on matters not reached in the agree- ment. If he rejects the agreement, the hearing shall proceed. If he suggests further negotiations, the hearing will proceed or negotiations will continue, depending on the wishes of parties to the agreement. If he signs the consent order, he shall close the record.
(e) Any party to the proceeding who has not joined in any agreement which is reached may appeal the consent
order under § 1.302, and the Commission may review the agreement on its own motion under the provisions of that section. If the Commission rejects the consent order, the proceeding will be remanded for further proceedings. If the Commission does not reject the consent order, it shall be entered in the record as a final order and is subject to judicial review on the initiative only of parties to the proceeding who did not join in the agreement. The Commission may revise the agreement and consent order. In that event, private parties to the agreement may either accept the revision or withdraw from the agree- ment. If the party whose possible viola- tions are issues in the proceeding with- draws from the agreement, the consent order will not be issued or made a part of the record, and the proceeding will be remanded for further proceedings.
(f) The provisions of this section shall not alter any existing procedure for informal settlement of any matter prior to designation for hearing (see, e.g., 47 U.S.C. 208) or for summary deci- sion after designation for hearing.
(g) Consent orders, pleadings relating thereto, and Commission orders with respect thereto shall be served on par- ties to the proceeding. Public notice will be given of orders issued by an ad- ministrative law judge, the Chief Ad- ministrative Law Judge, or the Com- mission. Negotiating papers constitute work product, are available to parties participating in negotiations, but are not routinely available for public in- spection.
[41 FR 14871, Apr. 8, 1976]
§ 1.95 Violation of consent orders.
Violation of a consent order shall subject the consenting party to any and all sanctions which could have been imposed in the proceeding result- ing in the consent order if all of the issues in that proceeding had been de- cided against the consenting party and to any further sanctions for violation noted as agreed upon in the consent order. The Commission shall have the burden of showing that the consent order has been violated in some (but not in every) respect. Violation of the consent order and the sanctions to be
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imposed shall be the only issues consid- ered in a proceeding concerning such an alleged violation.
[41 FR 14871, Apr. 8, 1976]
RECONSIDERATION AND REVIEW OF AC- TIONS TAKEN BY THE COMMISSION AND PURSUANT TO DELEGATED AUTHORITY; EFFECTIVE DATES AND FINALITY DATES OF ACTIONS
§ 1.101 General provisions. Under section 5(c) of the Communica-
tions Act of 1934, as amended, the Com- mission is authorized, by rule or order, to delegate certain of its functions to a panel of commissioners, an individual commissioner, an employee board, or an individual employee. Section 0.201(a) of this chapter describes in gen- eral terms the basic categories of dele- gations which are made by the Com- mission. Subpart B of part 0 of this chapter sets forth all delegations which have been made by rule. Sections 1.102 through 1.120 set forth procedural rules governing reconsideration and review of actions taken pursuant to authority delegated under section 5(c) of the Communications Act, and reconsider- ation of actions taken by the Commis- sion. As used in §§ 1.102 through 1.117, the term designated authority means any person, panel, or board which has been authorized by rule or order to ex- ercise authority under section 5(c) of the Communications Act.
[28 FR 12415, Nov. 22, 1963, as amended at 62 FR 4170, Jan. 29, 1997]
§ 1.102 Effective dates of actions taken pursuant to delegated authority.
(a) Final actions following review of an initial decision. (1) Final decisions of a commissioner, or panel of commis- sioners following review of an initial decision shall be effective 40 days after public release of the full text of such final decision.
(2) If a petition for reconsideration of such final decision is filed, the effect of the decision is stayed until 40 days after release of the final order dis- posing of the petition.
(3) If an application for review of such final decision is filed, or if the Commission on its own motion orders the record of the proceeding before it for review, the effect of the decision is
stayed until the Commission’s review of the proceeding has been completed.
(b) Non-hearing and interlocutory ac- tions. (1) Non-hearing or interlocutory actions taken pursuant to delegated authority shall, unless otherwise or- dered by the designated authority, be effective upon release of the document containing the full text of such action, or in the event such a document is not released, upon release of a public no- tice announcing the action in question.
(2) If a petition for reconsideration of a non-hearing action is filed, the des- ignated authority may in its discretion stay the effect of its action pending disposition of the petition for reconsid- eration. Petitions for reconsideration of interlocutory actions will not be en- tertained.
(3) If an application for review of a non-hearing or interlocutory action is filed, or if the Commission reviews the action on its own motion, the Commis- sion may in its discretion stay the ef- fect of any such action until its review of the matters at issue has been com- pleted.
[28 FR 12415, Nov. 22, 1963, as amended at 62 FR 4170, Jan. 29, 1997]
§ 1.103 Effective dates of Commission actions; finality of Commission ac- tions.
(a) Unless otherwise specified by law or Commission rule (e.g. §§ 1.102 and 1.427), the effective date of any Com- mission action shall be the date of pub- lic notice of such action as that latter date is defined in § 1.4(b) of these rules: Provided, That the Commission may, on its own motion or on motion by any party, designate an effective date that is either earlier or later in time than the date of public notice of such action. The designation of an earlier or later effective date shall have no effect on any pleading periods.
(b) Notwithstanding any determina- tions made under paragraph (a) of this section, Commission action shall be deemed final, for purposes of seeking reconsideration at the Commission or judicial review, on the date of public
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notice as defined in § 1.4(b) of these rules.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[46 FR 18556, Mar. 25, 1981]
§ 1.104 Preserving the right of review; deferred consideration of applica- tion for review.
(a) The provisions of this section apply to all final actions taken pursu- ant to delegated authority, including final actions taken by members of the Commission’s staff on nonhearing mat- ters. They do not apply to interlocu- tory actions of the Chief Administra- tive Law Judge in hearing proceedings, or to hearing designation orders issued under delegated authority. See §§ 0.351, 1.106(a) and 1.115(e).
(b) Any person desiring Commission consideration of a final action taken pursuant to delegated authority shall file either a petition for reconsider- ation or an application for review (but not both) within 30 days from the date of public notice of such action, as that date is defined in § 1.4(b) of these rules. The petition for reconsideration will be acted on by the designated authority or referred by such authority to the Commission: Provided, That a petition for reconsideration of an order desig- nating a matter for hearing will in all cases be referred to the Commission. The application for review will in all cases be acted upon by the Commis- sion.
NOTE: In those cases where the Commission does not intend to release a document con- taining the full text of its action, it will state that fact in the public notice announc- ing its action.
(c) If in any matter one party files a petition for reconsideration and a sec- ond party files an application for re- view, the Commission will withhold ac- tion on the application for review until final action has been taken on the peti- tion for reconsideration.
(d) Any person who has filed a peti- tion for reconsideration may file an ap- plication for review within 30 days from the date of public notice of such action, as that date is defined in § 1.4(b) of these rules. If a petition for recon- sideration has been filed, any person who has filed an application for review
may: (1) Withdraw his application for review, or (2) substitute an amended application therefor.
NOTE: In those cases where the Commission does not intend to release a document con- taining the full text of its action, it will state that fact in the public notice announc- ing its action.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[28 FR 12415, Nov. 22, 1963, as amended at 41 FR 14871, Apr. 8, 1976; 44 FR 60294, Oct. 19, 1979; 46 FR 18556, Mar. 25, 1981; 62 FR 4170, Jan. 29, 1997]
§ 1.106 Petitions for reconsideration. (a)(1) Petitions requesting reconsid-
eration of a final Commission action will be acted on by the Commission. Petitions requesting reconsideration of other final actions taken pursuant to delegated authority will be acted on by the designated authority or referred by such authority to the Commission. A petition for reconsideration of an order designating a case for hearing will be entertained if, and insofar as, the peti- tion relates to an adverse ruling with respect to petitioner’s participation in the proceeding. Petitions for reconsid- eration of other interlocutory actions will not be entertained. (For provisions governing reconsideration of Commis- sion action in notice and comment rule making proceedings, see § 1.429. This § 1.106 does not govern reconsideration of such actions.)
(2) Within the period allowed for fil- ing a petition for reconsideration, any party to the proceeding may request the presiding officer to certify to the Commission the question as to wheth- er, on policy in effect at the time of designation or adopted since designa- tion, and undisputed facts, a hearing should be held. If the presiding officer finds that there is substantial doubt, on established policy and undisputed facts, that a hearing should be held, he will certify the policy question to the Commission with a statement to that effect. No appeal may be filed from an order denying such a request. See also, §§ 1.229 and 1.251.
(b)(1) Subject to the limitations set forth in paragraph (b)(2) of this section, any party to the proceeding, or any other person whose interests are ad- versely affected by any action taken by
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the Commission or by the designated authority, may file a petition request- ing reconsideration of the action taken. If the petition is filed by a per- son who is not a party to the pro- ceeding, it shall state with particu- larity the manner in which the per- son’s interests are adversely affected by the action taken, and shall show good reason why it was not possible for him to participate in the earlier stages of the proceeding.
(2) Where the Commission has denied an application for review, a petition for reconsideration will be entertained only if one or more of the following cir- cumstances is present:
(i) The petition relies on facts which relate to events which have occurred or circumstances which have changed since the last opportunity to present such matters; or
(ii) The petition relies on facts un- known to petitioner until after his last opportunity to present such matters which could not, through the exercise of ordinary diligence, have been learned prior to such opportunity.
(3) A petition for reconsideration of an order denying an application for re- view which fails to rely on new facts or changed circumstances may be dis- missed by the staff as repetitious.
(c) A petition for reconsideration which relies on facts not previously presented to the Commission or to the designated authority may be granted only under the following cir- cumstances:
(1) The facts fall within one or more of the categories set forth in § 1.106(b)(2); or
(2) The Commission or the designated authority determines that consider- ation of the facts relied on is required in the public interest.
(d)(1) The petition shall state with particularity the respects in which pe- titioner believes the action taken by the Commission or the designated au- thority should be changed. The peti- tion shall state specifically the form or relief sought and, subject to this re- quirement, may contain alternative re- quests.
(2) The petition for reconsideration shall also, where appropriate, cite the findings of fact and/or conclusions of law which petitioner believes to be er-
roneous, and shall state with particu- larity the respects in which he believes such findings and conclusions should be changed. The petition may request that additional findings of fact and conclusions of law be made.
(e) Where a petition for reconsider- ation is based upon a claim of elec- trical interference, under appropriate rules in this chapter, to an existing station or a station for which a con- struction permit is outstanding, such petition, in addition to meeting the other requirements of this section, must be accompanied by an affidavit of a qualified radio engineer. Such affi- davit shall show, either by following the procedures set forth in this chapter for determining interference in the ab- sence of measurements, or by actual measurements made in accordance with the methods prescribed in this chapter, that electrical interference will be caused to the station within its normally protected contour.
(f) The petition for reconsideration and any supplement thereto shall be filed within 30 days from the date of public notice of the final Commission action, as that date is defined in § 1.4(b) of these rules, and shall be served upon parties to the proceeding. The petition for reconsideration shall not exceed 25 double spaced typewritten pages. No supplement or addition to a petition for reconsideration which has not been acted upon by the Commission or by the designated authority, filed after ex- piration of the 30 day period, will be considered except upon leave granted upon a separate pleading for leave to file, which shall state the grounds therefor.
(g) Oppositions to a petition for re- consideration shall be filed within 10 days after the petition is filed, and shall be served upon petitioner and par- ties to the proceeding. Oppositions shall not exceed 25 double spaced type- written pages.
(h) Petitioner may reply to opposi- tions within seven days after the last day for filing oppositions, and any such reply shall be served upon parties to the proceeding. Replies shall not ex- ceed 10 double spaced typewritten pages, and shall be limited to matters raised in the opposition.
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(i) Petitions for reconsideration, op- positions, and replies shall conform to the requirements of §§ 1.49, 1.51, and 1.52 and shall be submitted to the Sec- retary, Federal Communications Com- mission, Washington, D.C., 20554.
(j) The Commission or designated au- thority may grant the petition for re- consideration in whole or in part or may deny the petition. Its order will contain a concise statement of the rea- sons for the action taken. Where the petition for reconsideration relates to an instrument of authorization granted without hearing, the Commission or designated authority will take such ac- tion within 90 days after the petition is filed.
(k)(1) If the Commission or the des- ignated authority grants the petition for reconsideration in whole or in part, it may, in its decision:
(i) Simultaneously reverse or modify the order from which reconsideration is sought;
(ii) Remand the matter to a bureau or other Commission personnel for such further proceedings, including re- hearing, as may be appropriate; or
(iii) Order such other proceedings as may be necessary or appropriate.
(2) If the Commission or designated authority initiates further proceedings, a ruling on the merits of the matter will be deferred pending completion of such proceedings. Following comple- tion of such further proceedings, the Commission or designated authority may affirm, reverse, or modify its original order, or it may set aside the order and remand the matter for such further proceedings, including rehear- ing, as may be appropriate.
(3) Any order disposing of a petition for reconsideration which reverses or modifies the original order is subject to the same provisions with respect to reconsideration as the original order. In no event, however, shall a ruling which denies a petition for reconsider- ation be considered a modification of the original order. A petition for recon- sideration of an order which has been previously denied on reconsideration may be dismissed by the staff as repeti- tious.
NOTE: For purposes of this section, the word ‘‘order’’ refers to that portion of its ac- tion wherein the Commission announces its
judgment. This should be distinguished from the ‘‘memorandum opinion’’ or other mate- rial which often accompany and explain the order.
(l) No evidence other than newly dis- covered evidence, evidence which has become available only since the origi- nal taking of evidence, or evidence which the Commission or the des- ignated authority believes should have been taken in the original proceeding shall be taken on any rehearing or- dered pursuant to the provisions of this section.
(m) The filing of a petition for recon- sideration is not a condition precedent to judicial review of any action taken by the Commission or by the des- ignated authority, except where the person seeking such review was not a party to the proceeding resulting in the action, or relies on questions of fact or law upon which the Commission or designated authority has been af- forded no opportunity to pass. (See § 1.115(c).) Persons in those categories who meet the requirements of this sec- tion may qualify to seek judicial re- view by filing a petition for reconsider- ation.
(n) Without special order of the Com- mission, the filing of a petition for re- consideration shall not excuse any per- son from complying with or obeying any decision, order, or requirement of the Commission, or operate in any manner to stay or postpone the en- forcement thereof. However, upon good cause shown, the Commission will stay the effectiveness of its order or re- quirement pending a decision on the petition for reconsideration. (This paragraph applies only to actions of the Commission en banc. For provi- sions applicable to actions under dele- gated authority, see § 1.102.)
(o) Petitions for reconsideration of li- censing actions, as well as oppositions and replies thereto, that are filed with respect to the Wireless Radio Services, may be filed electronically via ULS.
(Secs. 4, 303, 307, 405, 48 Stat., as amended, 1066, 1082, 1083, 1095; 47 U.S.C. 154, 303, 307, 405)
[28 FR 12415, Nov. 22, 1963, as amended at 37 FR 7507, Apr. 15, 1972; 41 FR 1287, Jan. 7, 1976; 44 FR 60294, Oct. 19, 1979; 46 FR 18556, Mar. 25, 1981; 62 FR 4170, Jan. 29, 1997; 63 FR 68920, Dec. 14, 1998]
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§ 1.108 Reconsideration on Commis- sion’s own motion.
The Commission may, on its own mo- tion, set aside any action made or taken by it within 30 days from the date of public notice of such action, as that date is defined in § 1.4(b) of these rules.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[28 FR 12415, Nov. 22, 1963, as amended at 46 FR 18556, Mar. 25, 1981]
§ 1.110 Partial grants; rejection and designation for hearing.
Where the Commission without a hearing grants any application in part, or with any privileges, terms, or condi- tions other than those requested, or subject to any interference that may result to a station if designated appli- cation or applications are subsequently granted, the action of the Commission shall be considered as a grant of such application unless the applicant shall, within 30 days from the date on which such grant is made or from its effective date if a later date is specified, file with the Commission a written request rejecting the grant as made. Upon re- ceipt of such request, the Commission will vacate its original action upon the application and set the application for hearing in the same manner as other applications are set for hearing.
§ 1.113 Action modified or set aside by person, panel, or board.
(a) Within 30 days after public notice has been given of any action taken pur- suant to delegated authority, the per- son, panel, or board taking the action may modify or set it aside on its own motion.
(b) Within 60 days after notice of any sanction imposed under delegated au- thority has been served on the person affected, the person, panel, or board which imposed the sanction may mod- ify or set it aside on its own motion.
(c) Petitions for reconsideration and applications for review shall be di- rected to the actions as thus modified, and the time for filing such pleadings shall be computed from the date upon which public notice of the modified ac- tion is given or notice of the modified
sanction is served on the person af- fected.
§ 1.115 Application for review of action taken pursuant to delegated au- thority.
(a) Any person aggrieved by any ac- tion taken pursuant to delegated au- thority may file an application re- questing review of that action by the Commission. Any person filing an ap- plication for review who has not pre- viously participated in the proceeding shall include with his application a statement describing with particu- larity the manner in which he is ag- grieved by the action taken and show- ing good reason why it was not possible for him to participate in the earlier stages of the proceeding. Any applica- tion for review which fails to make an adequate showing in this respect will be dismissed.
(b)(1) The application for review shall concisely and plainly state the ques- tions presented for review with ref- erence, where appropriate, to the find- ings of fact or conclusions of law.
(2) Except as provided in paragraph (b)(5) of this section, the application for review shall specify with particu- larity, from among the following, the factor(s) which warrant Commission consideration of the questions pre- sented:
(i) The action taken pursuant to dele- gated authority is in conflict with stat- ute, regulation, case precedent, or es- tablished Commission policy.
(ii) The action involves a question of law or policy which has not previously been resolved by the Commission.
(iii) The action involves application of a precedent or policy which should be overturned or revised.
(iv) An erroneous finding as to an im- portant or material question of fact.
(v) Prejudicial procedural error. (3) The application for review shall
state with particularity the respects in which the action taken by the des- ignated authority should be changed.
(4) The application for review shall state the form of relief sought and, subject to this requirement, may con- tain alternative requests.
(c) No application for review will be granted if it relies on questions of fact
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or law upon which the designated au- thority has been afforded no oppor- tunity to pass.
NOTE: Subject to the requirements of § 1.106, new questions of fact or law may be presented to the designated authority in a petition for reconsideration.
(d) Except as provided in paragraph (e) of this section, the application for review and any supplemental thereto shall be filed within 30 days of public notice of such action, as that date is defined in section 1.4(b). Opposition to the application shall be filed within 15 days after the application for review is filed. Except as provided in paragraph (e)(3) of this section, replies to opposi- tions shall be filed within 10 days after the opposition is filed and shall be lim- ited to matters raised in the opposi- tion.
(e)(1) Applications for review of in- terlocutory rulings made by the Chief Administrative Law Judge (see § 0.351) shall be deferred until the time when exceptions are filed unless the Chief Judge certifies the matter to the Com- mission for review. A matter shall be certified to the Commission only if the Chief Judge determines that it presents a new or novel question of law or pol- icy and that the ruling is such that error would be likely to require remand should the appeal be deferred and raised as an exception. The request to certify the matter to the Commission shall be filed within 5 days after the ruling is made. The application for re- view shall be filed within 5 days after the order certifying the matter to the Commission is released or such ruling is made. Oppositions shall be filed within 5 days after the application is filed. Replies to oppositions shall be filed only if they are requested by the Commission. Replies (if allowed) shall be filed within 5 days after they are re- quested. A ruling certifying or not cer- tifying a matter to the Commission is final: Provided, however, That the Com- mission may, on its own motion, dis- miss the application for review on the ground that objections to the ruling should be deferred and raised as an ex- ception.
(2) The failure to file an application for review of an interlocutory ruling made by the Chief Administrative Law Judge or the denial of such application
by the Commission, shall not preclude any party entitled to file exceptions to the initial decision from requesting re- view of the ruling at the time when ex- ceptions are filed. Such requests will be considered in the same manner as exceptions are considered.
(3) Applications for review of a hear- ing designation order issued under del- egated authority shall be deferred until exceptions to the initial decision in the case are filed, unless the presiding Ad- ministrative Law Judge certifies such an application for review to the Com- mission. A matter shall be certified to the Commission only if the presiding Administrative Law Judge determines that the matter involves a controlling question of law as to which there is substantial ground for difference of opinion and that immediate consider- ation of the question would materially expedite the ultimate resolution of the litigation. A ruling refusing to certify a matter to the Commission is not ap- pealable. In addition, the Commission may dismiss, without stating reasons, an application for review that has been certified, and direct that the objections to the hearing designation order be de- ferred and raised when exceptions in the initial decision in the case are filed. A request to certify a matter to the Commission shall be filed with the presiding Administrative Law Judge within 5 days after the designation order is released. Any application for review authorized by the Administra- tive Law Judge shall be filed within 5 days after the order certifying the mat- ter to the Commission is released or such a ruling is made. Oppositions shall be filed within 5 days after the application for review is filed. Replies to oppositions shall be filed only if they are requested by the Commission. Replies (if allowed) shall be filed with- in 5 days after they are requested.
(4) Applications for review of final staff decisions issued on delegated au- thority in formal complaint pro- ceedings on the Enforcement Bureau’s Accelerated Docket (see, e.g., § 1.730) shall be filed within 15 days of public notice of the decision, as that date is defined in § 1.4(b). These applications for review oppositions and replies in Accelerated Docket proceedings shall
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be served on parties to the proceeding by hand or facsimile transmission.
(f) Applications for review, opposi- tions, and replies shall conform to the requirements of §§ 1.49, 1.51, and 1.52, and shall be submitted to the Sec- retary, Federal Communications Com- mission, Washington, DC 20554. Except as provided below, applications for re- view and oppositions thereto shall not exceed 25 double-space typewritten pages. Applications for review of inter- locutory actions in hearing proceedings (including designation orders) and op- positions thereto shall not exceed 5 double-spaced typewritten pages. When permitted (see paragraph (e)(3) of this section), reply pleadings shall not ex- ceed 5 double-spaced typewritten pages. The application for review shall be served upon the parties to the pro- ceeding. Oppositions to the application for review shall be served on the person seeking review and on parties to the proceeding. When permitted (see para- graph (e)(3) of this section), replies to the opposition(s) to the application for review shall be served on the person(s) opposing the application for review and on parties to the proceeding.
(g) The Commission may grant the application for review in whole or in part, or it may deny the application with or without specifying reasons therefor. A petition requesting recon- sideration of a ruling which denies an application for review will be enter- tained only if one or more of the fol- lowing circumstances is present:
(1) The petition relies on facts which related to events which have occurred or circumstances which have changed since the last opportunity to present such matters; or
(2) The petition relies on facts un- known to petitioner until after his last opportunity to present such matters which could not, through the exercise of ordinary diligence, have been learned prior to such opportunity.
(h)(1) If the Commission grants the application for review in whole or in part, it may, in its decision:
(i) Simultaneously reverse or modify the order from which review is sought;
(ii) Remand the matter to the des- ignated authority for reconsideration in accordance with its instructions, and, if an evidentiary hearing has been
held, the remand may be to the per- son(s) who conducted the hearing; or
(iii) Order such other proceedings, in- cluding briefs and oral argument, as may be necessary or appropriate.
(2) In the event the Commission or- ders further proceedings, it may stay the effect of the order from which re- view is sought. (See § 1.102.) Following the completion of such further pro- ceedings the Commission may affirm, reverse or modify the order from which review is sought, or it may set aside the order and remand the matter to the designated authority for reconsider- ation in accordance with its instruc- tions. If an evidentiary hearing has been held, the Commission may re- mand the matter to the person(s) who conducted the hearing for rehearing on such issues and in accordance with such instructions as may be appro- priate.
NOTE: For purposes of this section, the word ‘‘order’’ refers to that portion of its ac- tion wherein the Commission announces its judgment. This should be distinguished from the ‘‘memorandum opinion’’ or other mate- rial which often accompany and explain the order.
(i) An order of the Commission which reverses or modifies the action taken pursuant to delegated authority is sub- ject to the same provisions with re- spect to reconsideration as an original order of the Commission. In no event, however, shall a ruling which denies an application for review be considered a modification of the action taken pursu- ant to delegated authority.
(j) No evidence other than newly dis- covered evidence, evidence which has become available only since the origi- nal taking of evidence, or evidence which the Commission believes should have been taken in the original pro- ceeding shall be taken on any rehear- ing ordered pursuant to the provisions of this section.
(k) The filing of an application for re- view shall be a condition precedent to
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judicial review of any action taken pursuant to delegated authority.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[28 FR 12415, Nov. 22, 1963, as amended at 41 FR 14871, Apr. 8, 1976; 44 FR 60295, Oct. 19, 1979; 46 FR 18556, Mar. 25, 1981; 48 FR 12719, Mar. 28, 1983; 50 FR 39000, Sept. 26, 1985; 54 FR 40392, Oct. 2, 1989; 55 FR 36641, Sept. 6, 1990; 57 FR 19387, May 6, 1992; 62 FR 4170, Jan. 29, 1997; 63 FR 41446, Aug. 4, 1998; 67 FR 13223, Mar. 21, 2002]
§ 1.117 Review on motion of the Com- mission.
(a) Within 40 days after public notice is given of any action taken pursuant to delegated authority, the Commis- sion may on its own motion order the record of the proceeding before it for review.
(b) If the Commission reviews the proceeding on its own motion, it may order such further procedure as may be useful to it in its review of the action taken pursuant to delegated authority.
(c) With or without such further pro- cedure, the Commission may either af- firm, reverse, modify, or set aside the action taken, or remand the proceeding to the designated authority for recon- sideration in accordance with its in- structions. If an evidentiary hearing has been held, the Commission may re- mand the proceeding to the person(s) who conducted the hearing for rehear- ing on such issues and in accordance with such instructions as may be ap- propriate. An order of the Commission which reverses or modifies the action taken pursuant to delegated authority, or remands the matter for further pro- ceedings, is subject to the same provi- sions with respect to reconsideration as an original action of the Commis- sion.
§ 1.120 Protests of grants without hearing.
(a) The provisions of this section shall not be applicable to any applica- tion: (1) Filed on or after December 12, 1960; (2) filed before December 12, 1960, but substantially amended (as defined in the applicable provisions of this chapter) on or after that date; or (3) filed before December 12, 1960, and not thereafter substantially amended, but with respect to which the rules in this
chapter provide an opportunity for pe- titions to deny to be filed under section 309 of the Communications Act, as amended. See §§ 1.580 and 1.962.
(b) Where any instrument of author- ization for a radio station, other than a license pursuant to a construction per- mit, has been granted without a hear- ing, any party in interest may file a protest directed to such grant and re- quest a hearing on the application granted. Such protest shall be signed by the protestant and subscribed to under oath. Such protest must be filed with the Commission within 30 days after release of the document con- taining the full text of such action, or in case such a document is not re- leased, after release of a ‘‘Public No- tice’’ announcing the action in ques- tion and must separately set forth:
(1) Such allegations of fact as will show the protestant to be a party in in- terest, i.e., a person aggrieved or whose interests are adversely affected by the Commission’s authorization, protest of which is sought. Each such allegation of fact shall be separately stated.
(2) Facts indicating the reasons why the grant was improperly made or would otherwise not be in the public interest. Each such reason shall be sep- arately stated, and facts in support thereof shall be specified in detail and shall not include general non-specific conclusory arguments and allegations.
(3) The specific issues upon which protestant wishes a hearing to be held, which issues must relate directly to a matter specified with particularity as part of paragraph (b)(2) of this section.
(c) Arguments and citations of au- thority may be set forth in a brief ac- companying the protest but must be excluded from the protest itself.
(d) Oppositions to protests and briefs in support thereof shall contain all ma- terial, including that pertinent to the determination referred to in paragraph (i) of this section, deemed appropriate to the Commission’s resolution of the protest. Such oppositions and sup- porting briefs must be filed within 10 days after the filing of such protest, and any replies to such oppositions must be filed within 5 days after the filing of the oppositions.
(e) Protests, oppositions, and replies shall be filed with the Commission in
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original and 14 copies and shall be ac- companied by proof of service upon the grantee or the protestant, as the case may be, and/or their respective attor- neys.
(f) The Commission may upon consid- eration of a protest direct either the protestant or grantee or both to sub- mit further statements of fact under oath relating to the matters raised in the protest.
(g) Within 30 days from the date of the filing of the protest, the Commis- sion will enter findings as to whether such protest meets the requirements set forth in paragraphs (b) (1) and (2) of this section. If the Commission finds that one of these requirements is not met, it will dismiss the protest. If the Commission finds that these require- ments are met, it will designate the ap- plication in question for hearing. As to issues which the Commission believes present no grounds for setting aside the grant, even if the facts alleged were to be proven, the Commission may des- ignate such issues for oral argument only. The other issues will be des- ignated for evidentiary hearing except that the Commission may redraft the issues in accordance with the facts or substantive matters alleged in the pro- test and may also specify such addi- tional issues as it deems desirable. In any evidentiary hearing subsequently held upon issues specified by the Com- mission, upon its own initiative or adopted by it, both the burden of pro- ceeding with the introduction of evi- dence and the burden of proof shall be upon the grantee. With respect to issues resulting from facts set forth in the protest and not adopted or speci- fied by the Commission on its own mo- tion, both the burden of proceeding with the introduction of evidence and the burden of proof shall be upon the protestant.
(h) The procedure in such protest hearing shall be governed by the provi- sions of subpart B of this part, except as otherwise provided in this section.
(i) Pending hearing and decision, the effective date of the Commission’s ac- tion to which protest is made shall be postponed to the effective date of the Commission’s decision after hearing, unless the authorization involved is necessary to the maintenance or con-
duct of an existing service or unless the Commission affirmatively finds that the public interest requires that the grant remain in effect, in which event the Commission shall authorize the applicant to utilize the facilities or authorization in question pending the Commission’s decision after hearing.
(Sec. 7, 66 Stat. 715, as amended. See, in par- ticular, sec. 4 (a) and (d), 74 Stat. 889, 892; 47 U.S.C. 309)
[28 FR 12415, Nov. 22, 1963, as amended at 28 FR 14503, Dec. 31, 1963]
Subpart B—Hearing Proceedings
SOURCE: 28 FR 12425, Nov. 22, 1963, unless otherwise noted.
GENERAL
§ 1.201 Scope. This subpart shall be applicable to
the following cases which have been designated for hearing:
(a) Adjudication (as defined by the Administrative Procedure Act); and
(b) Rule making proceedings which are required by law to be made on the record after opportunity for a Commis- sion hearing.
NOTE: For special provisions relating to AM broadcast station applications involving other North American countries see § 73.3570.
[28 FR 12425, Nov. 22, 1963, as amended at 51 FR 32088, Sept. 9, 1986]
§ 1.202 Official reporter; transcript. The Commission will designate from
time to time an official reporter for the recording and transcribing of hear- ing proceedings. The transcript of the testimony taken, or argument had, at any hearing will not be furnished by the Commission, but will be open to in- spection under § 0.453(a)(1) of this chap- ter. Copies of such transcript, if de- sired, may be obtained from the official reporter upon payment of the charges therefor.
(5 U.S.C. 556)
[32 FR 20861, Dec. 28, 1967]
§ 1.203 The record. The transcript of testimony and ex-
hibits, together with all papers and re- quests filed in the proceeding, shall
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constitute the exclusive record for de- cision. Where any decision rests on of- ficial notice of a material fact not ap- pearing in the record, any party shall on timely request be afforded an oppor- tunity to show the contrary.
(5 U.S.C. 556)
§ 1.204 Pleadings; definition.
As used in this subpart, the term pleading means any written notice, mo- tion, petition, request, opposition, reply, brief, proposed findings, excep- tions, memorandum of law, or other paper filed with the Commission in a hearing proceeding. It does not include exhibits or documents offered in evi- dence. See § 1.356.
[29 FR 8219, June 30, 1964]
§ 1.205 Continuances and extensions.
Continuances of any proceeding or hearing and extensions of time for making any filing or performing any act required or allowed to be done within a specified time may be granted by the Commission or the presiding of- ficer upon motion for good cause shown, unless the time for performance or filing is limited by statute.
§ 1.207 Interlocutory matters, recon- sideration and review; cross ref- erences.
(a) Rules governing interlocutory pleadings in hearing proceedings are set forth in §§ 1.291 through 1.298.
(b) Rules governing appeal from rul- ings made by the presiding officer are set forth as §§ 1.301 and 1.302.
(c) Rules governing the reconsider- ation and review of actions taken pur- suant to delegated authority, and the reconsideration of actions taken by the Commission, are set forth in §§ 1.101 through 1.120.
[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 6443, May 16, 1964; 36 FR 19439, Oct. 6, 1971]
§ 1.209 Identification of responsible of- ficer in caption to pleading.
Each pleading filed in a hearing pro- ceeding shall indicate in its caption whether it is to be acted upon by the Commission, the Chief Administrative Law Judge, or the presiding officer. If
it is to be acted upon by the presiding officer, he shall be identified by name.
[29 FR 8219, June 30, 1964, as amended at 37 FR 19372, Sept. 20, 1972; 62 FR 4171, Jan. 29, 1997]
§ 1.211 Service. Except as otherwise expressly pro-
vided in this chapter, all pleadings filed in a hearing proceeding shall be served upon all other counsel in the proceeding or, if a party is not rep- resented by counsel, then upon such party. All such papers shall be accom- panied by proof of service. For provi- sions governing the manner of service, see § 1.47.
[29 FR 8219, June 30, 1964]
PARTICIPANTS AND ISSUES
§ 1.221 Notice of hearing; appearances. (a) Upon designation of an applica-
tion for hearing, the Commission issues an order containing the following:
(1) A statement as to the reasons for the Commission’s action.
(2) A statement as to the matters of fact and law involved, and the issues upon which the application will be heard.
(3) A statement as to the time, place, and nature of the hearing. (If the time and place are not specified, the order will indicate that the time and place will be specified at a later date.)
(4) A statement as to the legal au- thority and jurisdiction under which the hearing is to be held.
(b) The order designating an applica- tion for hearing is mailed to the appli- cant by the Reference Information Cen- ter of the Consumer and Governmental Affairs Bureau and this order or a sum- mary thereof is published in the FED- ERAL REGISTER. Reasonable notice of hearing will be given to the parties in all proceedings; and, whenever pos- sible, the Commission will give at least 60 days notice of comparative hearings.
(c) In order to avail himself of the op- portunity to be heard, the applicant, in person or by his attorney, shall, within 20 days of the mailing of the notice of designation for hearing by the Ref- erence Information Center of the Con- sumer and Governmental Affairs Bu- reau, file with the Commission, in trip- licate, a written appearance stating
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that he will appear of the date fixed for hearing and present evidence on the issues specified in the order. Where an applicant fails to file such a written appearance within the time specified, or has not filed prior to the expiration of that time a petition to dismiss with- out prejudice, or a petition to accept, for good cause shown, such written ap- pearance beyond expiration of said 20 days, the application will be dismissed with prejudice for failure to prosecute.
(d) The Commission will on its own motion name as parties to the hearing any person found to be a party in inter- est.
(e) In order to avail himself of the op- portunity to be heard, any person named as a party pursuant to para- graph (d) of this section shall, within 20 days of the mailing of the notice of his designation as a party, file with the Commission, in person or by attorney, a written appearance in triplicate, stating that he will appear at the hear- ing. Any person so named who fails to file this written statement within the time specified, shall, unless good cause for such failure is shown, forfeit his hearing rights.
(f)(1) A fee must accompany each written appearance filed with the Com- mission in certain cases designated for hearing. See subpart G, part 1 for the amount due. Except as provided in paragraph (g) of this section, the fee must accompany each written appear- ance at the time of its filing and must be in conformance with the require- ments of subpart G of the rules. A writ- ten appearance that does not contain the proper fee, or is not accompanied by a deferral request as per § 1.1115 of the rules, shall be dismissed and re- turned to the applicant by the fee proc- essing staff. The presiding judge will be notified of this action and may dismiss the applicant with prejudice for failure to prosecute if the written appearance is not resubmitted with the correct fee within the original 20 day filing period.
NOTE: If the parties file a settlement agree- ment prior to filing the Notice of Appearance or simultaneously with it, the hearing fee need not accompany the Notice of Appear- ance. In filing the Notice of Appearance, the applicant should clearly indicate that a set- tlement agreement has been filed. (The fact that there are ongoing negotiations that may lead to a settlement does not affect the
requirement to pay the fee.) If a settlement agreement is not effectuated, the Presiding Judge will require immediate payment of the fee.
(2) When a fee is required to accom- pany a written appearance as described in paragraph (f)(1) of this section, the written appearance must also contain FCC Registration Number (FRN) in conformance with subpart W of this part. The presiding judge will notify the party filing the appearance of the omitted FRN and dismiss the applicant with prejudice for failure to prosecute if the written appearance is not resub- mitted with the FRN within ten (10) business days of the date of notifica- tion.
(g) In comparative broadcast pro- ceedings involving applicants for new facilities, where the hearing fee was paid before designation of the applica- tions for hearing as required by the Public Notice described at § 73.3571(c), § 73.3572(d), or § 73.3573(g) of this chap- ter, a hearing fee payment should not be made with the filing of the Notice of Appearance.
(5 U.S.C. 554. Sec. 309, 48 Stat. 1085, as amend- ed; 47 U.S.C. 309)
[28 12424, Nov. 22, 1963, as amended at 51 FR 19347, May 29, 1986; 52 FR 5288, Feb. 20, 1987; 55 FR 19154, May 8, 1990; 56 FR 25638, June 5, 1991; 64 FR 60725, Nov. 8, 1999; 66 FR 47895, Sept. 14, 2001; 67 FR 13223, Mar. 21, 2002]
§ 1.223 Petitions to intervene.
(a) Where, in cases involving applica- tions for construction permits and sta- tion licenses, or modifications or re- newals thereof, the Commission has failed to notify and name as a party to the hearing any person who qualifies as a party in interest, such person may acquire the status of a party by filing, under oath and not more than 30 days after the publication in the FEDERAL REGISTER of the hearing issues or any substantial amendment thereto, a peti- tion for intervention showing the basis of its interest. Where such person’s in- terest is based upon a claim that a grant of the application would cause objectionable interference under appli- cable provisions of this chapter to such person as a licensee or permittee of an existing or authorized station, the peti- tion to intervene must be accompanied
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Federal Communications Commission § 1.224
by an affidavit of a qualified radio en- gineer which shall show, either by fol- lowing the procedures prescribed in this chapter for determining inter- ference in the absence of measure- ments or by actual measurements made in accordance with the methods prescribed in this chapter, the extent of such interference. Where the per- son’s status as a party in interest is es- tablished, the petition to intervene will be granted.
(b) Any other person desiring to par- ticipate as a party in any hearing may file a petition for leave to intervene not later than 30 days after the publi- cation in the FEDERAL REGISTER of the full text or a summary of the order des- ignating an application for hearing or any substantial amendment thereto. The petition must set forth the inter- est of petitioner in the proceedings, must show how such petitioner’s par- ticipation will assist the Commission in the determination of the issues in question, must set forth any proposed issues in addition to those already des- ignated for hearing, and must be ac- companied by the affidavit of a person with knowledge as to the facts set forth in the petition. The presiding of- ficer, in his discretion, may grant or deny such petition or may permit intervention by such persons limited to a particular stage of the proceeding.
(c) Any person desiring to file a peti- tion for leave to intervene later than 30 days after the publication in the FED- ERAL REGISTER of the full text or a summary of the order designating an application for hearing or any substan- tial amendment thereto shall set forth the interest of petitioner in the pro- ceeding, show how such petitioner’s participation will assist the Commis- sion in the determination of the issues in question, must set forth any pro- posed issues in addition to those al- ready designated for hearing, and must set forth reasons why it was not pos- sible to file a petition within the time prescribed by paragraphs (a) and (b) of this section. Such petition shall be ac- companied by the affidavit of a person with knowledge of the facts set forth in the petition, and where petitioner claims that a grant of the application would cause objectionable interference under applicable provisions of this
chapter, the petition to intervene must be accompanied by the affidavit of a qualified radio engineer showing the extent of such alleged interference ac- cording to the methods prescribed in paragraph (a) of this section. If, in the opinion of the presiding officer, good cause is shown for the delay in filing, he may in his discretion grant such pe- tition or may permit intervention lim- ited to particular issues or to a par- ticular stage of the proceeding.
(Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C. 309)
[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 7821, June 19, 1964; 41 FR 14872, Apr. 8, 1976; 51 FR 19347, May 29, 1986]
§ 1.224 Motion to proceed in forma pauperis.
(a) A motion to proceed in forma pauperis may be filed by an individual, a corporation, and unincorporated enti- ty, an association or other similar group, if the moving party is either of the following:
(1) A respondent in a revocation pro- ceeding, or a renewal applicant, who cannot carry on his livelihood without the radio license at stake in the pro- ceeding; or
(2) An intervenor in a hearing pro- ceeding who is in a position to intro- duce testimony which is of probable decisional significance, on a matter of substantial public interest importance, which cannot, or apparently will not, be introduced by other parties to the proceeding, and who is not seeking per- sonal financial gain.
(b) In the case of a licensee, the mo- tion to proceed in forma pauperis shall contain specific allegations of fact suf- ficient to show that the moving party is eligible under paragraph (a) of this section and that he cannot, because of his poverty, pay the expenses of litiga- tion and still be able to provide himself and his dependents with the necessities of life. Such allegations of fact shall be supported by affidavit of a person or persons with personal knowledge there- of. The information submitted shall de- tail the income and assets of the indi- vidual and his financial obligations and responsibilities, and shall contain an estimate of the cost of participation in
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the proceeding. Personal financial in- formation may be submitted to the presiding officer in confidence.
(c)(1) In the case of an individual in- tervenor, the motion to proceed in forma pauperis shall contain specific allegations of fact sufficient to show that he is eligible under paragraph (a) of this section and that he has dedi- cated financial resources to sustain his participation which are reasonable in light of his personal resources and other demands upon them but are inad- equate for effective participation in the proceeding. Such allegations of fact shall be supported by affidavit of a person or persons with personal knowl- edge thereof. The information sub- mitted shall detail the income and as- sets of the individual and his imme- diate family and his financial obliga- tions and responsibilities, and shall contain an estimate of the cost of par- ticipation. Personal financial informa- tion may be submitted to the presiding officer in confidence.
(2) In the case of an intervening group, the motion to proceed in forma pauperis shall contain specific allega- tions of fact sufficient to show that the moving party is eligible under para- graph (a) of this section and that it cannot pay the expenses of litigation and still be able to carry out the ac- tivities and purposes for which it was organized. Such allegations of fact shall be supported by affidavit of the President and Treasurer of the group, and/or by other persons having per- sonal knowledge thereof. The informa- tion submitted shall include a copy of the corporate charter or other docu- ments that describe the activities and purposes of the organization; a current balance sheet and profit and loss state- ment; facts showing, under all the cir- cumstances, that it would not be rea- sonable to expect added resources of in- dividuals composing the group to be pooled to meet the expenses of partici- pating in the proceeding; and an esti- mate of the cost of participation. Per- sonal financial information pertaining to members of the group may be sub- mitted to the presiding officer in con- fidence.
(d) If the motion is granted, the pre- siding officer may direct that a free copy of the transcript of testimony be
made available to the moving party and may relax the rules of procedure in any manner which will ease his finan- cial burden, is fair to other parties to the proceeding, and does not involve the payment of appropriated funds to a party.
[41 FR 53021, Dec. 3, 1976]
§ 1.225 Participation by non-parties; consideration of communications.
(a) Any person who wishes to appear and give evidence on any matter and who so advises the Secretary, will be notified by the Secretary if that mat- ter is designated for hearing. In the case of requests bearing more than one signature, notice of hearing will be given to the person first signing unless the request indicates that such notice should be sent to someone other than such person.
(b) No person shall be precluded from giving any relevant, material, and competent testimony at a hearing be- cause he lacks a sufficient interest to justify his intervention as a party in the matter.
(c) When a hearing is held, no com- munication will be considered in deter- mining the merits of any matter unless it has been received into evidence. The admissibility of any communication shall be governed by the applicable rules of evidence, and no communica- tion shall be admissible on the basis of a stipulation unless Commission coun- sel as well as counsel for all of the par- ties shall join in such stipulation.
§ 1.227 Consolidations. (a) The Commission, upon motion or
upon its own motion, will, where such action will best conduce to the proper dispatch of business and to the ends of justice, consolidate for hearing:
(1) Any cases which involve the same applicant or involve substantially the same issues, or
(2) Any applications which present conflicting claims, except where a ran- dom selection process is used.
(b)(1) In broadcast cases, except as provided in paragraph (b)(5) of this sec- tion, and except as otherwise provided in § 1.1601, et seq., no application will be consolidated for hearing with a pre- viously filed application or applica- tions unless such application, or such
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application as amended, if amended so as to require a new file number, is sub- stantially complete and tendered for filing by the close of business on the day preceding the day designated by Public Notice as the day any one of the previously filed applications is avail- able and ready for processing.
(2) In other than broadcast, common carrier, and safety and special radio services cases, any application that is mutually exclusive with another appli- cation or applications already des- ignated for hearing will be consoli- dated for hearing with such other ap- plication or applications only if the later application in question has been filed within 5 days after public notice has been given in the FEDERAL REG- ISTER of the Commission’s order which first designated for hearing the prior application or applications with which such application is in conflict.
(3) Common carrier cases: (i) General rule. Where an application is mutually exclusive with a previously filed appli- cation, the second application will be entitled to comparative consideration with the first or entitled to be included in a random selection process, only if the second has been properly filed at least one day before the Commission takes action on the first application. Specifically, the later filed application must have been received by the Com- mission, in a condition acceptable for filing, before the close of business on the day prior to the grant date or des- ignation date of the earlier filed appli- cation.
(ii) Domestic public fixed and public mobile. See Rule § 21.31 of this chapter for the requirements as to mutually ex- clusive applications. See also Rule § 21.23 of this chapter for the require- ments as to amendments of applica- tions.
(iii) Public coast stations (Maritime mo- bile service). See paragraph (b)(4) of this section.
(4) This paragraph applies when mu- tually exclusive applications subject to section 309(b) of the Communications Act and not subject to competitive bid- ding procedures pursuant to § 1.2102 of this chapter are filed in the Private Radio Services, or when there are more such applications for initial licenses than can be accommodated on avail-
able frequencies. Except for applica- tions filed under part 101, subparts H and O, Private Operational Fixed Microwave Service, and applications for high seas public coast stations (see §§ 80.122(b)(1) (first sentence), 80.357, 80.361, 80.363(a)(2), 80.371(a), (b), and (d), and § 80.374 of this chapter) mutual ex- clusivity will occur if the later applica- tion or applications are received by the Commission’s offices in Gettysburg, PA (or St. Louis, Missouri for applications requiring the fees set forth at part 1, subpart G of the rules) in a condition acceptable for filing within 30 days after the release date of public notice listing the first prior filed application (with which subsequent applications are in conflict) as having been accepted for filing or within such other period as specified by the Commission. For appli- cations in the Private Operational Fixed Microwave Service, mutual ex- clusivity will occur if two or more ac- ceptable applications that are in con- flict are filed on the same day. Applica- tions for high seas public coast sta- tions will be processed on a first come, first served basis, with the first accept- able application cutting off the filing rights of subsequent, conflicting appli- cations. Applications for high seas pub- lic coast stations received on the same day will be treated as simultaneously filed and, if granting more than one would result in harmful interference, must be resolved through settlement or technical amendment.
(5) Any mutually exclusive applica- tion filed after the date prescribed in paragraph (b)(1), (b)(2), (b)(3), or (b)(4) of this section will be dismissed with- out prejudice and will be eligible for re- filing only after a final decision is ren- dered by the Commission with respect to the prior application or applications or after such application or applica- tions are dismissed or removed from the hearing docket.
(6) An application which is mutually exclusive with an application for re- newal of license of a broadcast station filed on or before May 1, 1995 will be designated for comparative hearing with such license renewal application
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if it is substantially complete and ten- dered for filing no later than the date prescribed in § 73.3516(e).
[28 FR 12425, Nov. 22, 1963, as amended at 34 FR 7966, May 21, 1969; 37 FR 13983, July 15, 1972; 38 FR 26202, Sept. 19, 1973; 48 FR 27200, June 13, 1983; 48 FR 34039, July 27, 1983; 52 FR 10229, Mar. 31, 1987; 55 FR 46008, Oct. 31, 1990; 55 FR 46513, Nov. 5, 1990; 61 FR 18291, Apr. 25, 1996; 67 FR 34851, May 16, 2002; 67 FR 48563, July 25, 2002; 73 FR 9018, Feb. 19, 2008]
§ 1.229 Motions to enlarge, change, or delete issues.
(a) A motion to enlarge, change or delete the issues may be filed by any party to a hearing. Except as provided for in paragraph (b) of this section, such motions must be filed within 15 days after the full text or a summary of the order designating the case for hearing has been published in the FED- ERAL REGISTER.
(b)(1) In comparative broadcast pro- ceedings involving applicants for only new facilities, such motions shall be filed within 30 days of the release of the designation order, except that per- sons not named as parties to the pro- ceeding in the designation order may file such motions with their petitions to intervene up to 30 days after publi- cation of the full text or a summary of the designation order in the FEDERAL REGISTER. (See § 1.223 of this part).
(2) In comparative broadcast pro- ceedings involving renewal applicants, such motions shall be filed within 30 days after publication of the full text or a summary of the designation order in the FEDERAL REGISTER.
(3) Any person desiring to file a mo- tion to modify the issues after the ex- piration of periods specified in para- graphs (a), (b)(1), and (b)(2), of this sec- tion, shall set forth the reason why it was not possible to file the motion within the prescribed period. Except as provided in paragraph (c) of this sec- tion, the motion will be granted only if good cause is shown for the delay in fil- ing. Motions for modifications of issues which are based on new facts or newly discovered facts shall be filed within 15 days after such facts are discovered by the moving party.
(c) In the absence of good cause for late filing of a motion to modify the issues, the motion to enlarge will be considered fully on its merits if (and
only if) initial examination of the mo- tion demonstrates that it raises a ques- tion of probable decisional significance and such substantial public interest importance as to warrant consider- ation in spite of its untimely filing.
(d) Such motions, opposition thereto, and replies to oppositions shall contain specific allegations of fact sufficient to support the action requested. Such al- legations of fact, except for those of which official notice may be taken, shall be supported by affidavits of a person or persons having personal knowledge thereof. The failure to file an opposition or a reply will not nec- essarily be construed as an admission of any fact or argument contained in a pleading.
(e) In comparative broadcast pro- ceedings involving applicants for only new facilities, in addition to the show- ing with respect to the requested issue modification described in paragraph (d) of this section, the party requesting the enlargement of issues against an applicant in the proceeding shall iden- tify those documents the moving party wishes to have produced and any other discovery procedures the moving party wishes to employ in the event the re- quested issue is added to the pro- ceeding.
(1) In the event the motion to enlarge issues is granted, the Commission or delegated authority acting on the mo- tion will also rule on the additional discovery requests, and, if granted, such additional discovery will be scheduled to be completed within 30 days of the action on the motion.
(2) The moving party may file supple- mental discovery requests on the basis of information provided in responsive pleadings or discovered as a result of initial discovery on the enlarged issue. The grant or denial of any such supple- mental requests and the timing of the completion of such supplemental dis- covery are subject to the discretion of the presiding judge.
(3) The 30-day time limit for comple- tion of discovery on enlarged issues shall not apply where the persons sub- ject to such additional discovery are not parties to the proceeding. In such case, additional time will be required to afford such persons adequate notice
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Federal Communications Commission § 1.244
of the discovery procedures being em- ployed.
(f) In any case in which the presiding judge or the Commission grants a mo- tion to enlarge the issues to inquire into allegations that an applicant made misrepresentations to the Com- mission or engaged in other mis- conduct during the application process, the enlarged issues include notice that, after hearings on the enlarged issue and upon a finding that the alleged misconduct occurred and warrants such penalty, in addition to or in lieu of denying the application, the appli- cant may be liable for a forfeiture of up to the maximum statutory amount. See 47 U.S.C. 503(b)(2)(A).
[41 FR 14872, Apr. 8, 1976, as amended at 44 FR 34947, June 18, 1979; 51 FR 19347, May 29, 1986; 56 FR 792, Jan. 9, 1991; 56 FR 25639, June 5, 1991; 62 FR 4171, Jan. 29, 1997]
PRESIDING OFFICER
§ 1.241 Designation of presiding offi- cer.
(a) Hearings will be conducted by the Commission, by one or more commis- sioners, or by a law judge designated pursuant to section 11 of the Adminis- trative Procedure Act. If a presiding of- ficer becomes unavailable to the Com- mission prior to the taking of testi- mony another presiding officer will be designated.
(b) Unless the Commission deter- mines that due and timely execution of its functions requires otherwise, pre- siding officers shall be designated, and notice thereof released to the public, at least 10 days prior to the date set for hearing.
(5 U.S.C. 556)
§ 1.243 Authority of presiding officer. From the time he is designated to
preside until issuance of his decision or the transfer of the proceeding to the Commission or to another presiding of- ficer the presiding officer shall have such authority as is vested in him by law and by the provisions of this chap- ter, including authority to:
(a) Administer oaths and affirma- tions;
(b) Issue subpenas; (c) Examine witnesses; (d) Rule upon questions of evidence;
(e) Take or cause depositions to be taken;
(f) Regulate the course of the hear- ing, maintain decorum, and exclude from the hearing any person engaging in contemptuous conduct or otherwise disrupting the proceedings;
(g) Require the filing of memoranda of law and the presentation of oral ar- gument with respect to any question of law upon which he is required to rule during the course of the hearing;
(h) Hold conferences for the settle- ment or simplification of the issues by consent of the parties;
(i) Dispose of procedural requests or similar matters, as provided for in § 0.341 of this chapter;
(j) Take actions and make decisions in conformity with the Administrative Procedure Act;
(k) Act on motions to enlarge, mod- ify or delete the hearing issues; and
(l) Act on motions to proceed in forma pauperis pursuant to § 1.224.
(5 U.S.C. 556)
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 53022, Dec. 3, 1976]
§ 1.244 Designation of a settlement judge.
(a) In broadcast comparative cases involving applicants for only new fa- cilities, the applicants may request the appointment of a settlement judge to facilitate the resolution of the case by settlement.
(b) Where all applicants in the case agree that such procedures may be ben- eficial, such requests may be filed with the presiding judge no later than 15 days prior to the date scheduled by the presiding judge for the commencement of hearings. The presiding judge shall suspend the procedural dates in the case and forward the request to the Chief Administrative Law Judge for ac- tion.
(c) If, in the discretion of the Chief Administrative Law Judge, it appears that the appointment of a settlement judge will facilitate the settlement of the case, the Chief Judge will appoint a ‘‘neutral’’ as defined in 5 U.S.C. 581 and 583(a) to act as the settlement judge.
(1) The parties may request the ap- pointment of a settlement judge of
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their own choosing so long as that per- son is a ‘‘neutral’’ as defined in 5 U.S.C. 581.
(2) The appointment of a settlement judge in a particular case is subject to the approval of all the applicants in the proceeding. See 5 U.S.C. 583(b).
(3) The Commission’s Administrative Law Judges are eligible to act as set- tlement judges, except that an Admin- istrative Law Judge will not be ap- pointed as a settlement judge in any case in which the Administrative Law Judge also acts as the presiding officer.
(4) Other members of the Commis- sion’s staff who qualify as neutrals may be appointed as settlement judges, except that staff members whose duties include drafting, review, and/or rec- ommendations in adjudicatory matters pending before the Commission shall not be appointed as settlement judges.
(d) The settlement judge shall have the authority to require applicants to submit their Standardized Integration Statements and/or their written direct cases for review. The settlement judge may also meet with the applicants and/ or their counsel, individually and/or at joint conferences, to discuss their cases and the cases of their competitors. All such meetings will be off-the-record, and the settlement judge may express an opinion as to the relative compara- tive standing of the applicants and rec- ommend possible means to resolve the proceeding by settlement. The pro- ceedings before the settlement judge shall be subject to the confidentiality provisions of 5 U.S.C. 574. Moreover, no statements, offers of settlement, rep- resentations or concessions of the par- ties or opinions expressed by the settle- ment judge will be admissible as evi- dence in any Commission licensing pro- ceeding.
[56 FR 793, Jan. 9, 1991, as amended at 62 FR 4171, Jan. 29, 1997]
§ 1.245 Disqualification of presiding of- ficer.
(a) In the event that a presiding offi- cer deems himself disqualified and de- sires to withdraw from the case, he shall notify the Commission of his withdrawal at least 7 days prior to the date set for hearing.
(b) Any party may request the pre- siding officer to withdraw on the
grounds of personal bias or other dis- qualification.
(1) The person seeking disqualifica- tion shall file with the presiding officer an affidavit setting forth in detail the facts alleged to constitute grounds for disqualification. Such affidavit shall be filed not later than 5 days before the commencement of the hearing unless, for good cause shown, additional time is necessary.
(2) The presiding officer may file a response to the affidavit; and if he be- lieves himself not disqualified, shall so rule and proceed with the hearing.
(3) The person seeking disqualifica- tion may appeal a ruling of disquali- fication, and, in that event, shall do so at the time the ruling is made. Unless an appeal of the ruling is filed at this time, the right to request withdrawal of the presiding officer shall be deemed waived.
(4) If an appeal of the ruling is filed, the presiding officer shall certify the question, together with the affidavit and any response filed in connection therewith, to the Commission. The hearing shall be suspended pending a ruling on the question by the Commis- sion.
(5) The Commission may rule on the question without hearing, or it may re- quire testimony or argument on the issues raised.
(6) The affidavit, response, testimony or argument thereon, and the Commis- sion’s decision shall be part of the record in the case.
(5 U.S.C. 556)
[28 FR 12425, Nov. 22, 1963, as amended at 55 FR 36641, Sept. 6, 1990; 62 FR 4171, Jan. 29, 1997]
PREHEARING PROCEDURES
§ 1.246 Admission of facts and genuine- ness of documents.
(a) Within 20 days after the time for filing a notice of appearance has ex- pired; or within 20 days after the re- lease of an order adding parties to the proceeding (see §§ 1.223 and 1.227) or changing the issues (see § 1.229); or within such shorter or longer time as the presiding officer may allow on mo- tion or notice, a party may serve upon any other party a written request for the admission by the latter of the
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genuineness of any relevant documents identified in and exhibited by a clear copy with the request or of the truth of any relevant matters of fact set forth in the request.
(b) Each of the matters of which an admission is requested shall be deemed admitted unless, within a period des- ignated in the request, not less than 10 days after service thereof, or within such shorter or longer time as the pre- siding officer may allow on motion or notice, the party to whom the request is directed serves upon the party re- questing the admission either: (1) A sworn statement denying specifically the matters of which an admission is requested or setting forth in detail the reasons why he cannot truthfully admit or deny those matters, or (2) written objections on the ground that some or all of the requested admissions are privileged or irrelevant or that the request is otherwise improper in whole or in part. If written objections to a part of the request are made, the re- mainder of the request shall be an- swered within the period designated in the request. A denial shall fairly meet the substance of the requested admis- sion, and when good faith requires that a party deny only a part or a qualifica- tion of a matter of which an admission is requested, he shall specify so much of it as is true and deny only the re- mainder.
(c) A copy of the request and of any answer shall be served by the party fil- ing on all other parties to the pro- ceeding and upon the presiding officer.
(d) Written objections to the re- quested admissions may be ruled upon by the presiding officer without addi- tional pleadings.
[33 FR 463, Jan. 12, 1968, as amended at 35 FR 17333, Nov. 11, 1970]
§ 1.248 Prehearing conferences; hear- ing conferences.
(a) The Commission, on its own ini- tiative or at the request of any party, may direct the parties or their attor- neys to appear at a specified time and place for a conference prior to a hear- ing, or to submit suggestions in writ- ing, for the purpose of considering, among other things, the matters set forth in paragraph (c) of this section. The initial prehearing conference shall
be scheduled 30 days after the effective date of the order designating a case for hearing, unless good cause is shown for scheduling such conference at a later date.
(b)(1) The presiding officer (or the Commission or a panel of commis- sioners in a case over which it pre- sides), on his own initiative or at the request of any party, may direct the parties or their attorneys to appear at a specified time and place for a con- ference prior to or during the course of a hearing, or to submit suggestions in writing, for the purpose of considering any of the matters set forth in para- graph (c) of this section. The initial prehearing conference shall be sched- uled 30 days after the effective date of the order designating a case for hear- ing, unless good cause is shown for scheduling such conference at a later date.
(2) Except as circumstances other- wise require, the presiding officer shall allow a reasonable period prior to com- mencement of the hearing for the or- derly completion of all prehearing pro- cedures, including discovery, and for the submission and disposition of all prehearing motions. Where the cir- cumstances so warrant, the presiding officer shall, promptly after the hear- ing is ordered, call a preliminary pre- hearing conference, to inquire into the use of available procedures con- templated by the parties and the time required for their completion, to for- mulate a schedule for their completion, and to set a date for commencement of the hearing.
(c) In conferences held, or in sugges- tions submitted, pursuant to para- graphs (a) and (b) of this section, the following matters, among others, may be considered:
(1) The necessity or desirability of simplification, clarification, amplifi- cation, or limitation of the issues;
(2) The admission of facts and of the genuineness of documents (see § 1.246), and the possibility of stipulating with respect to facts;
(3) The procedure at the hearing; (4) The limitation of the number of
witnesses; (5) In cases arising under Title II of
the Communications Act, the necessity
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or desirability of amending the plead- ings and offers of settlement or pro- posals of adjustment; and
(6) In cases involving comparative broadcast applications:
(i) Narrowing the issues or the areas of inquiry and proof at the hearing;
(ii) [Reserved] (iii) Reports and letters relating to
surveys or contacts; (iv) Assumptions regarding the avail-
ability of equipment; (v) Network programming; (vi) Assumptions regarding the avail-
ability of networks proposed; (vii) Offers of letters in general; (viii) The method of handling evi-
dence relating to the past cooperation of existing stations owned and/or oper- ated by the applicants with organiza- tions in the area;
(ix) Proof of contracts, agreements, or understandings reduced to writing;
(x) Stipulations; (xi) Need for depositions; (xii) The numbering of exhibits; (xiii) The order or offer of proof with
relationship to docket number; (xiv) The date for the formal hearing;
and (xv) Such other matters as may expe-
dite the conduct of the hearing. (7) In proceedings in which consent
agreements may be negotiated (see § 1.93), the parties shall be prepared to state at the initial prehearing con- ference whether they are at that time willing to enter negotiations leading to a consent agreement.
(d) This paragraph applies to broad- cast proceedings only.
(1) At the prehearing conference pre- scribed by this section, the parties to the proceeding shall be prepared to dis- cuss the advisability of reducing any or all phases of their affirmative direct cases to written form.
(2) In hearings involving applications for new, improved and changed facili- ties and in comparative hearings in- volving only applications for new fa- cilities, where it appears that it will contribute significantly to the disposi- tion of the proceeding for the parties to submit all or any portion of their af- firmative direct cases in writing, the presiding officer may, in his discretion, require them to do so.
(3) In other broadcast proceedings, where it appears that it will contribute significantly to the disposition of the proceeding for the parties to submit all or any portion of their affirmative di- rect cases in writing, it is the policy of the Commission to encourage them to do so. However, the phase or phases of the proceeding to be submitted in writ- ing, the dates for the exchange of the written material, and other limitations upon the effect of adopting the written case procedure (such as whether mate- rial ruled out as incompetent may be restored by other competent testi- mony) is to be left to agreement of the parties as approved by the presiding of- ficer.
(4) In broadcast comparative cases in- volving applicants for only new facili- ties, oral testimony and cross examina- tion will be permitted only where, in the discretion of the presiding judge, material issues of decisional fact can- not be resolved without oral evi- dentiary hearing procedures or the public interest otherwise requires oral evidentiary proceedings.
(e) An official transcript of all con- ferences shall be made.
(f) The presiding officer may, upon the written request of a party or par- ties, approve the use of a speakerphone as a means of attendance at a pre- hearing conference if such use is found to conduce to the proper dispatch of business and the ends of justice.
[28 FR 12425, Nov. 22, 1963, as amended at 33 FR 463, Jan. 12, 1968; 36 FR 14133, July 30, 1971; 37 FR 7507, Apr. 15, 1972; 41 FR 14873, Apr. 8, 1976; 43 FR 33251, July 31, 1978; 56 FR 793, Jan. 9, 1991]
§ 1.249 Prehearing statement.
Immediately upon convening the for- mal hearing in any proceeding, the pre- siding officer shall enter upon the record a statement reciting all actions taken at the prehearing conferences, and incorporating into the record all of the stipulations and agreements of the parties which are approved by him, and any special rules which he may deem necessary to govern the course of the proceeding.
[28 FR 12425, Nov. 22, 1963. Redesignated at 33 FR 463, Jan. 12, 1968]
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Federal Communications Commission § 1.251
HEARING AND INTERMEDIATE DECISION
§ 1.250 Discovery and preservation of evidence; cross-reference.
For provisions relating to prehearing discovery and preservation of admis- sible evidence, see §§ 1.311 through 1.325.
[33 FR 463, Jan. 12, 1968]
§ 1.251 Summary decision. (a)(1) Any party to an adjudicatory
proceeding may move for summary de- cision of all or any of the issues set for hearing. The motion shall be filed at least 20 days prior to the date set for commencement of the hearing. The party filing the motion may not rest upon mere allegations or denials but must show, by affidavit or by other materials subject to consideration by the presiding officer, that there is no genuine issue of material fact for de- termination at the hearing.
(2) With the permission of the pre- siding officer, or upon his invitation, a motion for summary decision may be filed at any time before or after the commencement of the hearing. No ap- peal from an order granting or denying a request for permission to file a mo- tion for summary decision shall be al- lowed. If the presiding officer author- izes a motion for summary decision after the commencement of the hear- ing, proposed findings of fact and con- clusions of law on those issues which the moving party believes can be re- solved shall be attached to the motion, and any other party may file findings of fact and conclusions of law as an at- tachment to pleadings filed by him pursuant to paragraph (b) of this sec- tion.
(b) Within 14 days after a motion for summary decision is filed, any other party to the proceeding may file an op- position or a countermotion for sum- mary decision. A party opposing the motion may not rest upon mere allega- tions or denials but must show, by affi- davit or by other materials subject to consideration by the presiding officer, that there is a genuine issue of mate- rial fact for determination at the hear- ing, that he cannot, for good cause, present by affidavit or otherwise facts essential to justify his opposition, or that summary decision is otherwise in- appropriate.
(c) Affidavits shall be made on per- sonal knowledge, shall set forth such facts as would be admissible in evi- dence, and shall show affirmatively that the affiant is competent to testify to the matters stated therein.
(d) The presiding officer may, in his discretion, set the matter for argument and call for the submission of proposed findings, conclusions, briefs or memo- randa of law. The presiding officer, giv- ing appropriate weight to the nature of the proceeding, the issue or issues, the proof, and to the need for cross-exam- ination, may grant a motion for sum- mary decision to the extent that the pleadings, affidavits, materials ob- tained by discovery or otherwise, ad- missions, or matters officially noticed, show that there is no genuine issue as to any material fact and that a party is otherwise entitled to summary deci- sion. If it appears from the affidavits of a party opposing the motion that he cannot, for good cause shown, present by affidavit or otherwise facts essential to justify his opposition, the presiding officer may deny the motion, may order a continuance to permit affida- vits to be obtained or discovery to be had, or make such other order as is just.
(e) If all of the issues (or a dispositive issue) are determined on a motion for summary decision no hearing (or fur- ther hearing) will be held. The pre- siding officer will issue a Summary De- cision, which is subject to appeal or re- view in the same manner as an Initial Decision. See §§ 1.271 through 1.282. If some of the issues only (including no dispositive issue) are decided on a mo- tion for summary decision, or if the motion is denied, the presiding officer will issue a memorandum opinion and order, interlocutory in character, and the hearing will proceed on the remain- ing issues. Appeal from interlocutory rulings is governed by § 1.301.
(f) The presiding officer may take any action deemed necessary to assure that summary decision procedures are not abused. He may rule in advance of a motion that the proceeding is not ap- propriate for summary decision, and may take such other measures as are necessary to prevent any unwarranted delay.
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47 CFR Ch. I (10–1–10 Edition)§ 1.253
(1) Should it appear to the satisfac- tion of the presiding officer that a mo- tion for summary decision has been presented in bad faith or solely for the purpose of delay, or that such a motion is patently frivolous, he will enter a de- termination to that effect upon the record.
(2) If, on making such determination, the presiding officer concludes that the facts warrant disciplinary action against an attorney, he will certify the matter to the Commission with his findings and recommendations, for con- sideration under § 1.24.
(3) If, on making such determination, the presiding officer concludes that the facts warrant a finding of bad faith on the part of a party to the proceeding, he will certify the matter to the Com- mission, with his findings and rec- ommendations, for a determination as to whether the facts warrant addition of an issue as to the character quali- fications of that party.
[37 FR 7507, Apr. 15, 1972, as amended at 42 FR 56508, Oct. 26, 1977]
§ 1.253 Time and place of hearing. (a) The Commission will specify the
day on which and the place at which any hearing is to commence.
(b) The presiding officer will specify the days on which subsequent hearing sessions are to be held.
(c) If the Commission specifies that a hearing is to commence in the District of Columbia, it shall be moved there- from only by order of the Commission.
(d) If the Commission specifies that a hearing is to commence at a field loca- tion, all appropriate proceedings will be completed at such location before the hearing is moved therefrom. When such proceedings are completed, the presiding officer may move the hearing from the field location specified to an- other appropriate field location or to the District of Columbia.
§ 1.254 Nature of the hearing; burden of proof.
Any hearing upon an application shall be a full hearing in which the ap- plicant and all other parties in interest shall be permitted to participate but in which both the burden of proceeding with the introduction of evidence upon any issue specified by the Commission,
as well as the burden of proof upon all such issues, shall be upon the applicant except as otherwise provided in the order of designation.
(Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C. 309)
§ 1.255 Order of procedure.
(a) At hearings on a formal com- plaint or petition or in a proceeding for any instrument of authorization which the Commission is empowered to issue, the complainant, petitioner, or appli- cant, as the case may be, shall, unless the Commission otherwise orders, open and close. At hearings on protests, the protestant opens and closes the pro- ceedings in case the issues are not spe- cifically adopted by the Commission; otherwise the grantee does so. At hear- ings on orders to show cause, to cease and desist, to revoke or modify a sta- tion license under sections 312 and 316 of the Communications Act, or other like proceedings instituted by the Commission, the Commission shall open and close.
(b) At all hearings under Title II of the Communications Act, other than hearings on formal complaints, peti- tions, or applications, the respondent shall open and close unless otherwise specified by the Commission.
(c) In all other cases, the Commission or presiding officer shall designate the order of presentation. Intervenors shall follow the party in whose behalf inter- vention is made, and in all cases where the intervention is not in support of an original party, the Commission or pre- siding officer shall designate at what stage such intervenors shall be heard.
[28 FR 12425, Nov. 22, 1963, as amended at 33 FR 463, Jan. 12, 1968]
§ 1.258 Closing of the hearing.
The record of hearing shall be closed by an announcement to that effect at the hearing by the presiding officer when the taking of testimony has been concluded. In the discretion of the pre- siding officer, the record may be closed as of a future specified date in order to permit the admission into the record of exhibits to be prepared: Provided, The parties to the proceeding stipulate on
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Federal Communications Commission § 1.267
the record that they waive the oppor- tunity to cross-examine or present evi- dence with respect to such exhibits. The record in any hearing which has been adjourned may not be closed by such officer prior to the day on which the hearing is to resume, except upon 10 days’ notice to all parties to the pro- ceeding.
§ 1.260 Certification of transcript. After the close of the hearing, the
complete transcript of testimony, to- gether with all exhibits, shall be cer- tified as to identity by the presiding of- ficer and filed in the Office of the Sec- retary. Notice of such certification shall be served on all parties to the proceedings.
[71 FR 15618, Mar. 29, 2006]
§ 1.261 Corrections to transcript. At any time during the course of the
proceeding, or as directed by the pre- siding officer, but not later than 10 days after the date of notice of certifi- cation of the transcript, any party to the proceeding may file with the pre- siding officer a motion requesting the correction of the transcript, which mo- tion shall be accompanied by proof of service thereof upon all other parties to the proceeding. Within 5 days after the filing of such a motion, other par- ties may file a pleading in support of or in opposition to such motion. There- after, the presiding officer shall, by order, specify the corrections to be made in the transcript, and a copy of the order shall be served upon all par- ties and made a part of the record. The presiding officer, on his own initiative, may specify corrections to be made in the transcript on 5 days’ notice.
[40 FR 51441, Nov. 5, 1975]
§ 1.263 Proposed findings and conclu- sions.
(a) Each party to the proceeding may file proposed findings of fact and con- clusions, briefs, or memoranda of law: Provided, however, That the presiding officer may direct any party other than Commission counsel to file proposed findings of fact and conclusions, briefs, or memoranda of law. Such proposed findings of fact, conclusions, briefs, and memoranda of law shall be filed within
20 days after the record is closed, un- less additional time is allowed.
(b) All pleadings and other papers filed pursuant to this section shall be accompanied by proof of service there- of upon all other counsel in the pro- ceeding; if a party is not represented by counsel, proof of service upon such party shall be made.
(c) In the absence of a showing of good cause therefor, the failure to file proposed findings of fact, conclusions, briefs, or memoranda of law, when di- rected to do so, may be deemed a waiv- er of the right to participate further in the proceeding.
(5 U.S.C. 557)
§ 1.264 Contents of findings of fact and conclusions.
Proposed findings of fact shall be set forth in serially numbered paragraphs and shall set out in detail and with particularity all basic evidentiary facts developed on the record (with ap- propriate citations to the transcript of record or exhibit relied on for each evi- dentiary fact) supporting the conclu- sions proposed by the party filing same. Proposed conclusions shall be separately stated. Proposed findings of fact and conclusions submitted by a person other than an applicant may be limited to those issues in connection with the hearing which affect the in- terests of such person.
(5 U.S.C. 557)
§ 1.267 Initial and recommended deci- sions.
(a) Except as provided in this para- graph, in §§ 1.94, 1.251 and 1.274, or where the proceeding is terminated on motion (see § 1.302), the presiding offi- cer shall prepare an initial (or rec- ommended) decision, which shall be transmitted to the Secretary of the Commission. In the case of rate mak- ing proceedings conducted under sec- tions 201–205 of the Communications Act, the presumption shall be that the presiding officer shall prepare an ini- tial or recommended decision. The Sec- retary will make the decision public immediately and file it in the docket of the case.
(b) Each initial and recommended de- cision shall contain findings of fact and
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47 CFR Ch. I (10–1–10 Edition)§ 1.271
conclusions, as well as the reasons or basis therefor, upon all the material issues of fact, law, or discretion pre- sented on the record; each initial deci- sion shall also contain the appropriate rule or order, and the sanction, relief or denial thereof; and each rec- ommended decision shall contain rec- ommendations as to what disposition of the case should be made by the Com- mission. Each initial decision will show the date upon which it will be- come effective in accordance with the rules in this part in the absence of ex- ceptions, appeal, or review.
(c) The authority of the Presiding Of- ficer over the proceedings shall cease when he has filed his Initial or Rec- ommended Decision, or if it is a case in which he is to file no decision, when he has certified the case for decision: Pro- vided, however, That he shall retain limited jurisdiction over the pro- ceeding for the purpose of effecting cer- tification of the transcript and correc- tions to the transcript, as provided in §§ 1.260 and 1.261, respectively, and for the purpose of ruling initially on appli- cations for awards of fees and expenses under the Equal Access to Justice Act.
(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409, 5 U.S.C. 557; secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083: 47 U.S.C. 154, 303, 307)
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976; 47 FR 3786, Jan. 27, 1982]
REVIEW PROCEEDINGS
§ 1.271 Delegation of review function.
The Commission may direct, by order or rule, that its review function in a case or category of cases be performed by a commissioner, or a panel of com- missioners, in which event the commis- sioner or panel shall exercise the au- thority and perform the functions which would otherwise have been per- formed by the Commission under §§ 1.273 through 1.282.
NOTE: To provide for an orderly completion of cases, exceptions and related pleadings filed after March 1, 1996, shall be directed to the Commission and will not be acted upon by the Review Board.
[62 FR 4171, Jan. 29, 1997]
§ 1.273 Waiver of initial or rec- ommended decision.
At the conclusion of the hearing or within 20 days thereafter, all parties to the proceeding may agree to waive an initial or recommended decision, and may request that the Commission issue a final decision or order in the case. If the Commission has directed that its review function in the case be per- formed by a commissioner, a panel of commissioners, the request shall be di- rected to the appropriate review au- thority. The Commission or such re- view authority may in its discretion grant the request, in whole or in part, if such action will best conduce to the proper dispatch of business and to the ends of justice.
[28 FR 12425, Nov. 22, 1963, as amended at 62 FR 4171, Jan. 29, 1997]
§ 1.274 Certification of the record to the Commission for initial or final decision.
(a) Where the presiding officer is available to the Commission, and where the Commission finds upon the record that due and timely execution of its functions imperatively and un- avoidably so requires, the Commission may direct that the record in a pending proceeding be certified to it for initial or final decision. Unless the Commis- sion finds that due and timely execu- tion of its functions imperatively and unavoidably requires that no rec- ommended decision be issued, the pre- siding officer will prepare and file a recommended decision, which will be released with the Commission’s initial or final decision.
(b) Where the presiding officer be- comes unavailable to the Commission after the taking of testimony has been concluded, the Commission may direct that the record in a pending proceeding be certified to it for initial or final de- cision. In that event, the record shall be certified to the Commission by the Chief Administrative Law Judge.
(c)(1) Where the presiding officer be- comes unavailable to the Commission after the taking of evidence has com- menced but before it has been con- cluded, the Commission may order a rehearing before another presiding offi- cer designated in accordance with § 1.241.
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Federal Communications Commission § 1.276
(2) Upon a finding that due and time- ly execution of its functions impera- tively and unavoidably so requires, the Commission may (as an alternative) order that the hearing be continued by another presiding officer designated in accordance with § 1.241 or by the Com- mission itself. In that event, the officer continuing the hearing shall, upon completion of the hearing, certify the proceeding to the Commission for an initial or final decision. Unless the Commission finds upon the record that due and timely execution of its func- tions imperatively and unavoidably re- quires that no recommended decision be issued, the officer continuing the hearing shall prepare and file a rec- ommended decision to be released with the Commission’s initial or final deci- sion. If all the parties expressly con- sent, and if the Commission does not order otherwise, the officer continuing the hearing may prepare an initial de- cision.
(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409)
§ 1.276 Appeal and review of initial de- cision.
(a)(1) Within 30 days after the date on which public release of the full text of an initial decision is made, or such other time as the Commission may specify, any of the parties may appeal to the Commission by filing exceptions to the initial decision, and such deci- sion shall not become effective and shall then be reviewed by the Commis- sion, whether or not such exceptions may thereafter be withdrawn. It is the Commission’s policy that extensions of time for filing exceptions shall not be routinely granted.
(2) Exceptions shall be consolidated with the argument in a supporting brief and shall not be submitted sepa- rately. As used in this subpart, the term exceptions means the document consolidating the exceptions and sup- porting brief. The brief shall contain (i) a table of contents, (ii) a table of cita- tions, (iii) a concise statement of the case, (iv) a statement of the questions of law presented, and (v) the argument, presenting clearly the points of fact and law relied upon in support of the position taken on each question, with
specific reference to the record and all legal or other materials relied on.
(b) The Commission may on its own initiative provide, by order adopted not later than 20 days after the time for fil- ing exceptions expires, that an initial decision shall not become final, and that it shall be further reviewed or considered by the Commission.
(c) In any case in which an initial de- cision is subject to review in accord- ance with paragraph (a) or (b) of this section, the Commission may, on its own initiative or upon appropriate re- quests by a party, take any one or more of the following actions:
(1) Hear oral argument on the excep- tions;
(2) Require the filing of briefs; (3) Prior to or after oral argument or
the filing of exceptions or briefs, re- open the record and/or remand the pro- ceedings to the presiding officer to take further testimony or evidence;
(4) Prior to or after oral argument or the filing of exceptions or briefs, re- mand the proceedings to the presiding officer to make further findings or con- clusions; and
(5) Prior to or after oral argument or the filing of exceptions or briefs, issue, or cause to be issued by the presiding officer, a supplemental initial decision.
(d) No initial decision shall become effective before 50 days after public re- lease of the full text thereof is made unless otherwise ordered by the Com- mission. The timely filing of excep- tions, the further review or consider- ation of an initial decision on the Com- mission’s initiative, or the taking of action by the Commission under para- graph (c) of this section shall stay the effectiveness of the initial decision until the Commission’s review thereof has been completed. If the effective date of an initial decision falls within any further time allowed for the filing of exceptions, it shall be postponed automatically until 30 days after time for filing exceptions has expired.
(e) If no exceptions are filed, and the Commission has not ordered the review of an initial decision on its initiative, or has not taken action under para- graph (c) of this section, the initial de- cision shall become effective, an appro- priate notation to that effect shall be entered in the docket of the case, and
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47 CFR Ch. I (10–1–10 Edition)§ 1.277
a ‘‘Public Notice’’ thereof shall be given by the Commission. The provi- sions of § 1.108 shall not apply to such public notices.
(f) When any party fails to file excep- tions within the specified time to an initial decision which proposes to deny its application, such party shall be deemed to have no interest in further prosecution of its application, and its application may be dismissed with prejudice for failure to prosecute.
(Sec. 40, 48 Stat. 1096, as amended; 47 U.S.C. 409)
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976]
§ 1.277 Exceptions; oral arguments. (a) The consolidated supporting brief
and exceptions to the initial decision (see § 1.276(a)(2)), including rulings upon motions or objections, shall point out with particularity alleged material er- rors in the decision or ruling and shall contain specific references to the page or pages of the transcript of hearing, exhibit or order if any on which the ex- ception is based. Any objection not saved by exception filed pursuant to this section is waived.
(b) Within the period of time allowed in § 1.276(a) for the filing of exceptions, any party may file a brief in support of an initial decision, in whole or in part, which may contain exceptions and which shall be similar in form to the brief in support of exceptions (see § 1.276(a)(2)).
(c) Except by special permission, the consolidated brief and exceptions will not be accepted if the exceptions and argument exceed 25 double-spaced typewritten pages in length. (The table of contents and table of citations are not counted in the 25 page limit; how- ever, all other contents of and attach- ments to the brief are counted.) Within 10 days, or such other time as the Com- mission or delegated authority may specify, after the time for filing excep- tions has expired, any other party may file a reply brief, which shall not ex- ceed 25 double spaced typewritten pages and shall contain a table of con- tents and a table of citations. If excep- tions have been filed, any party may request oral argument not later than five days after the time for filing re- plies to the exceptions has expired. The
Commission or delegated authority, in its discretion, will grant oral argument by order only in cases where such oral presentations will assist in the resolu- tion of the issues presented. Within five days after release of an order des- ignating an initial decision for oral ar- gument, as provided in paragraph (d) of this section, any party who wishes to participate in oral argument shall file a written notice of intention to appear and participate in oral argument. Fail- ure to file a written notice shall con- stitute a waiver of the opportunity to participate.
(d) Each order scheduling a case for oral argument will contain the allot- ment of time for each party for oral ar- gument before the Commission. The Commission will grant, in its discre- tion, upon good cause shown, an exten- sion of such time upon petition by a party, which petition must be filed within 5 days after issuance of said order for oral argument.
(e) Within 10 days after a transcript of oral argument has been filed in the Office of the Secretary, any party who participated in the oral argument may file with the Commission a motion re- questing correction of the transcript, which motion shall be accompanied by proof of service thereof upon all other parties who participated in the oral ar- gument. Within 5 days after the filing of such a motion, other parties may file a pleading in support of or in oppo- sition to such motion. Thereafter, the officer who presided at the oral argu- ment shall, by order, specify the cor- rections to be made in the transcript, and a copy of the order shall be served upon all parties to the proceeding. The officer who presided at the oral argu- ment may, on his own initiative, by order, specify corrections to be made in the transcript on 5 days notice of the proposed corrections to all parties who participated in the oral argument.
(f) Any commissioner who is not present at oral argument and who is otherwise authorized to participate in a final decision may participate in
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Federal Communications Commission § 1.294
making that decision after reading the transcript of oral argument.
(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409)
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976; 41 FR 34259, Aug. 13, 1976; 44 FR 12426, Mar. 7, 1979; 56 FR 793, Jan. 9, 1991; 62 FR 4171, Jan. 29, 1997; 71 FR 15618, Mar. 29, 2006]
§ 1.279 Limitation of matters to be re- viewed.
Upon review of any initial decision, the Commission may, in its discretion, limit the issues to be reviewed to those findings and conclusions to which ex- ceptions have been filed, or to those findings and conclusions specified in the Commission’s order of review issued pursuant to § 1.276(b).
§ 1.282 Final decision of the Commis- sion.
(a) After opportunity has been af- forded for the filing of proposed find- ings of fact and conclusions, excep- tions, supporting statements, briefs, and for the holding of oral argument as provided in this subpart, the Commis- sion will issue a final decision in each case in which an initial decision has not become final.
(b) The final decision shall contain: (1) Findings of fact and conclusions,
as well as the reasons or basis therefor, upon all the material issues of fact, law or discretion presented on the record;
(2) Rulings on each relevant and ma- terial exception filed; the Commission will deny irrelevant exceptions, or those which are not of decisional sig- nificance, without a specific statement of reasons prescribed by paragraph (b)(1) of this section; and
(3) The appropriate rule or oder and the sanction, relief or denial thereof.
(Sec. 8(b), 60 Stat. 2422; 5 U.S.C. 1007(b))
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976]
INTERLOCUTORY ACTIONS IN HEARING PROCEEDINGS
§ 1.291 General provisions. (a)(1) The Commission acts on peti-
tions to amend, modify, enlarge or de- lete the issues in hearing proceedings which involve rule making matters ex-
clusively. It also acts on interlocutory pleadings filed in matters or pro- ceedings which are before the Commis- sion.
(2) The Chief Administrative Law Judge acts on those interlocutory mat- ters listed in § 0.351 of this chapter.
(3) All other interlocutory matters in hearing proceedings are acted on by the presiding officer. See §§ 0.218 and 0.341 of this chapter.
(4) Each interlocutory pleading shall indicate in its caption whether the pleading is to be acted upon by the Commission, the Chief Administrative Law Judge, or the presiding officer. If the pleading is to be acted upon by the presiding officer, he shall be identified by name.
(b) All interlocutory pleadings shall be submitted in accordance with the provisions of §§ 1.4, 1.44, 1.47, 1.48, 1.49, and 1.52.
(c)(1) Procedural rules governing in- terlocutory pleadings are set forth in §§ 1.294–1.298.
(2) Rules governing appeal from, and reconsideration of, interlocutory rul- ings made by the presiding officer are set forth in §§ 1.301 and 1.303.
(3) Rules governing the review of in- terlocutory rulings made by the Chief Administrative Law Judge are set forth in §§ 1.101, 1.102(b), 1.115, and 1.117. Petitions requesting reconsideration of an interlocutory ruling made by the Commission, or the Chief Administra- tive Law Judge will not be entertained. See, however, § 1.113.
(d) No initial decision shall become effective under § 1.276(e) until all inter- locutory matters pending before the Commission in the proceeding at the time the initial decision is issued have been disposed of and the time allowed for appeal from interlocutory rulings of the presiding officer has expired.
(Secs. 4(i), 303(r) and 5(c)(1) of the Commu- nications Act of 1934, as amended; 47 CFR 0.61 and 0.283)
[29 FR 6443, May 16, 1964, as amended at 29 FR 12773, Sept. 10, 1964; 37 FR 19372, Sept. 20, 1972; 41 FR 14873, Apr. 8, 1976; 49 FR 4381, Feb. 6, 1984; 62 FR 4171, Jan. 29, 1997]
§ 1.294 Oppositions and replies. (a) Any party to a hearing may file
an opposition to an interlocutory re- quest filed in that proceeding.
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47 CFR Ch. I (10–1–10 Edition)§ 1.296
(b) Except as provided in paragraph (c) of this section, oppositions shall be filed within 4 days after the original pleading is filed, and replies to opposi- tions will not be entertained. See, how- ever, § 1.732.
(c) Oppositions to pleadings in the following categories shall be filed with- in 10 days after the pleading is filed. Replies to such oppositions shall be filed within 5 days after the opposition is filed, and shall be limited to matters raised in the opposition.
(1) Petitions to amend, modify, en- large, or delete the issues upon which the hearing was ordered.
(2) [Reserved] (3) Petitions by adverse parties re-
questing dismissal of an application. (4) Joint requests for approval of
agreements filed pursuant to § 1.525. (d) Additional pleadings may be filed
only if specifically requested or au- thorized by the person(s) who is to make the ruling.
[29 FR 6444, May 16, 1964, as amended at 39 FR 10909, Mar. 22, 1974]
§ 1.296 Service. No pleading filed pursuant to § 1.51 or
§ 1.294 will be considered unless it is ac- companied by proof of service upon the parties to the proceeding.
(Secs. 4(i), 303(r) and 5(c)(1) of the Commu- nications Act of 1934, as amended; 47 CFR 0.61 and 0.283)
[49 FR 4381, Feb. 6, 1984, as amended at 62 FR 4171, Jan. 29, 1997]
§ 1.297 Oral argument. Oral argument with respect to any
contested interlocutory matter will be held when, in the opinion of the per- son(s) who is to make the ruling, the ends of justice will be best served thereby. Timely notice will be given of the date, time, and place of any such oral argument.
[29 FR 6444, May 16, 1964]
§ 1.298 Rulings; time for action. (a) Unless it is found that irreparable
injury would thereby be caused one of the parties, or that the public interest requires otherwise, or unless all parties have consented to the contrary, consid- eration of interlocutory requests will be withheld until the time for filing op-
positions (and replies, if replies are al- lowed) has expired. As a matter of dis- cretion, however, requests for continu- ances and extensions of time, requests for permission to file pleadings in ex- cess of the length prescribed in this chapter, and requests for temporary re- lief may be ruled upon ex parte without waiting for the filing of responsive pleadings.
(b) In the discretion of the presiding officer, rulings on interlocutory mat- ters may be made orally at the hear- ing. The presiding officer may, in his discretion, state his reasons on the record or subsequently issue a written statement of the reasons for his ruling, either separately or as part of the ini- tial decision.
[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 6444, May 16, 1964; 41 FR 14874, Apr. 8, 1976]
APPEAL AND RECONSIDERATION OF PRESIDING OFFICER’S RULING
§ 1.301 Appeal from presiding officer’s interlocutory ruling; effective date of ruling.
(a) Interlocutory rulings which are ap- pealable as a matter of right. Rulings listed in this paragraph are appealable as a matter of right. An appeal from such a ruling may not be deferred and raised as an exception to the initial de- cision.
(1) If the presiding officer’s ruling de- nies or terminates the right of any per- son to participate as a party to a hear- ing proceeding, such person, as a mat- ter of right, may file an appeal from that ruling.
(2) If the presiding officer’s ruling re- quires testimony or the production of documents, over objection based on a claim of privilege, the ruling on the claim of privilege is appealable as a matter of right.
(3) If the presiding officer’s ruling de- nies a motion to disqualify the pre- siding judge, the ruling is appealable as a matter of right.
(4) Rulings granting a joint request filed under § 1.525 without terminating the proceeding are appealable by any party as a matter of right.
(5) A ruling removing counsel from the hearing is appealable as a matter of right, by counsel on his own behalf or
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Federal Communications Commission § 1.302
by his client. (In the event of such rul- ing, the presiding officer will adjourn the hearing for such period as is rea- sonably necessary for the client to se- cure new counsel and for counsel to fa- miliarize himself with the case).
(b) Other interlocutory rulings. Except as provided in paragraph (a) of this sec- tion, appeals from interlocutory rul- ings of the presiding officer shall be filed only if allowed by the presiding officer. Any party desiring to file an appeal shall first file a request for per- mission to file appeal. The request shall be filed within 5 days after the order is released or (if no written order) after the ruling is made. Plead- ings responsive to the request shall be filed only if they are requested by the presiding officer. The request shall contain a showing that the appeal pre- sents a new or novel question of law or policy and that the ruling is such that error would be likely to require remand should the appeal be deferred and raised as an exception. The presiding officer shall determine whether the showing is such as to justify an inter- locutory appeal and, in accordance with his determination, will either allow or disallow the appeal or modify the ruling. If the presiding officer al- lows or disallows the appeal, his ruling is final: Provided, however, That the Commission may, on its own motion, dismiss an appeal allowed by the pre- siding officer on the ground that objec- tion to the ruling should be deferred and raised as an exception. In the dis- cretion of the presiding officer, the re- quest for permission to file appeal may be made orally, on the record of the proceeding. The request may be dis- posed of orally.
(1) If an appeal is not allowed, or is dismissed by the Commission, or if per- mission to file an appeal is not re- quested, objection to the ruling may be raised on review of the initial decision.
(2) If an appeal is allowed and is con- sidered on its merits, the disposition on appeal is final. Objection to the rul- ing or to the action on appeal may not be raised on review of the initial deci- sion.
(3) If the presiding officer modifies the ruling, any party adversely af- fected by the modified ruling may file a request for permission to file appeal,
pursuant to the provisions of this para- graph.
(c) Procedures, effective date. (1) Un- less the presiding officer orders other- wise, rulings made by him shall be ef- fective when the order is released or (if no written order) when the ruling is made. The Commission may stay the effect of any ruling which comes before it for consideration on appeal.
(2) Appeals filed under paragraph (a) of this section shall be filed within 5 days after the order is released or (if no written order) after the ruling is made. Appeals filed under paragraph (b) of this section shall be filed within 5 days after the appeal is allowed.
(3) The appeal shall conform with the specifications set out in § 1.49 and shall be subscribed and verified as provided in § 1.52.
(4) The appeal shall be served on par- ties to the proceeding (see §§ 1.47 and 1.211), and shall be filed with the Sec- retary, Federal Communications Com- mission, Washington, D.C. 20554.
(5) The appeal shall not exceed 5 dou- ble-spaced typewritten pages.
(6) Appeals are acted on by the Com- mission.
(7) Oppositions and replies shall be served and filed in the same manner as appeals and shall be served on appel- lant if he is not a party to the pro- ceeding. Oppositions shall be filed within 5 days after the appeal is filed. Replies shall not be permitted, unless the Commission specifically requests them. Oppositions shall not exceed 5 double-spaced typewritten pages. Re- plies shall not exceed 5 double-spaced typewritten pages.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[35 FR 17333, Nov. 11, 1970, as amended at 40 FR 39509, Aug. 28, 1975; 41 FR 14874, Apr. 8, 1976; 41 FR 28789, July 13, 1976; 46 FR 58682, Dec. 3, 1981; 55 FR 36641, Sept. 6, 1990; 62 FR 4171, Jan. 29, 1997]
§ 1.302 Appeal from presiding officer’s final ruling; effective date of ruling.
(a) If the presiding officer’s ruling terminates a hearing proceeding, any party to the proceeding, as a matter of right, may file an appeal from that rul- ing within 30 days after the ruling is released.
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47 CFR Ch. I (10–1–10 Edition)§ 1.311
(b) Any party who desires to preserve the right to appeal shall file a notice of appeal within 10 days after the ruling is released. If a notice of appeal is not filed within 10 days, the ruling shall be effective 30 days after the ruling is re- leased and within this period, may be reviewed by the Commission on its own motion. If an appeal is not filed fol- lowing notice of appeal, the ruling shall be effective 50 days after the day of its release and, within this period, may be reviewed by the Commission on its own motion. If an appeal is filed, or if the Commission reviews the ruling on its own motion, the effect of the rul- ing is further stayed pending the com- pletion of proceedings on appeal or re- view.
(c) The appeal shall conform with the specifications set out in § 1.49 and shall be subscribed and verified as provided in § 1.52.
(d) The appeal shall be served on par- ties to the proceeding (see §§ 1.47 and 1.211), and shall be filed with the Sec- retary, Federal Communications Com- mission, Washington, D.C. 20554.
(e) The appeal shall not exceed 25 double-spaced typewritten pages.
(f) The Commission will act on the appeal.
(g) Oppositions and replies shall be filed and served in the same manner as the appeal. Oppositions to an appeal shall be filed within 15 days after the appeal is filed. Replies to oppositions shall be filed within 10 days after the opposition is filed and shall be limited to matters raised in the oppositions. Oppositions shall not exceed 25 double- spaced typewritten pages. Replies shall not exceed 10 double-spaced type- written pages.
[35 FR 17333, Nov. 11, 1970, as amended at 36 FR 7423, Apr. 20, 1971; 62 FR 4171, Jan. 29, 1997]
THE DISCOVERY AND PRESERVATION OF EVIDENCE
AUTHORITY: Sections 1.311 through 1.325 are issued under secs. 4, 303, 409, 48 Stat., as amended, 1066, 1082, 1096; 47 U.S.C. 154, 303, 409, 5 U.S.C. 552.
§ 1.311 General. Sections 1.311 through 1.325 provide
for taking the deposition of any person
(including a party), for interrogatories to parties, and for orders to parties re- lating to the production of documents and things and for entry upon real property. These procedures may be used for the discovery of relevant facts, for the production and preservation of evidence for use at the hearing, or for both purposes.
(a) Applicability. For purposes of dis- covery, these proecdures may be used in any case of adjudication (as defined in the Administrative Procedure Act) which has been designated for hearing. For the preservation of evidence, they may be used in any case which has been designated for hearing and is con- ducted under the provisions of this sub- part (see § 1.201).
(b) Scope of examination. Persons and parties may be examined regarding any matter, not privileged, which is rel- evant to the hearing issues, including the existence, description, nature, cus- tody, condition and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of relevant facts. It is not ground for objection to use of these procedures that the testi- mony will be inadmissible at the hear- ing if the testimony sought appears reasonably calculated to lead to the discovery of admissible evidence. The use of these procedures against the Commission is subject to the following additional limitations:
(1) The informer’s privilege shall en- compass information which may lead to the disclosure of an informer’s iden- tity.
(2) Commission personnel may not be questioned by deposition for the pur- poses of discovery except on special order of the Commission, but may be questioned by written interrogatories under § 1.323. Interrogatories shall be served on the appropriate Bureau Chief (see § 1.21(b)). They will be answered and signed by those personnel with knowledge of the facts. The answers will be served by the Secretary of the Commission upon parties to the pro- ceeding.
(3) Commission records are not sub- ject to discovery under § 1.325. The in- spection of Commission records is gov- erned by the Freedom of Information Act, as amended, and by §§ 0.451
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Federal Communications Commission § 1.313
through 0.467 of this chapter. Commis- sion employees may be questioned by written interrogatories regarding the existence, nature, description, custody, condition and location of Commission records, but may not be questioned concerning their contents unless the records are available (or are made available) for inspection under §§ 0.451 through 0.467. See § 0.451(b)(5) of this chapter.
(4) Subject to paragraphs (b) (1) through (3) of this section, Commission personnel may be questioned generally by written interrogatories regarding the existence, description, nature, cus- tody, condition and location of rel- evant documents and things and re- garding the identity and location of persons having knowledge of relevant facts, and may otherwise only be exam- ined regarding facts of the case as to which they have direct personal knowl- edge.
(c) Schedule for use of the procedures. (1) In comparative broadcast pro- ceedings involving applicants for only new facilities, discovery commences with the release of the hearing designa- tion order, and, in routine cases, the discovery phase of the proceeding will be conducted in a manner intended to conclude that portion of the case with- in 90 days of the release of the designa- tion order.
(2) In all other proceedings, except as provided by special order of the pre- siding officer, discovery may be initi- ated before or after the prehearing con- ference provided for in § 1.248 of this part.
(3) In all proceedings, the presiding officer may at any time order the par- ties or their attorneys to appear at a conference to consider the proper use of these procedures, the time to be al- lowed for such use, and/or to hear agrument and render a ruling on dis- putes that arise under these rules.
(d) Who shall act. Actions provided for in §§ 1.311 through 1.325 will, in most cases, be taken by the officer des- ignated to preside at the hearing (see § 1.241). If the proceeding, or a par- ticular matter to which the action re- lates, is before the Commission, a com- missioner or panel of commissioners, or the Chief Administrative Law Judge, the action will be taken by such
officer or body. The term presiding offi- cer, as used in §§ 1.311 through 1.325 shall be understood to refer to the ap- propriate officer or body. See §§ 0.341, 0.351, 0.365, and 1.271 of this chapter.
(e) Stipulations regarding the taking of depositions. If all of the parties so stipu- late in writing and if there is no inter- ference to the conduct of the pro- ceeding, depositions may be taken be- fore any person, at any time (subject to the limitation below) or place, upon any notice and in any manner, and when so taken may be used like other depositions. An original and one copy of the stipulation shall be filed with the Secretary of the Commission, and a copy of the stipulation shall be served on the presiding officer, at least 3 days before the scheduled taking of the dep- osition.
[33 FR 463, Jan. 12, 1968, as amended at 40 FR 39509, Aug. 28, 1975; 47 FR 51873, Nov. 18, 1982; 56 FR 794, Jan. 9, 1991; 62 FR 4171, Jan. 29, 1997]
§ 1.313 Protective orders. The use of the procedures set forth in
§§ 1.311 through 1.325 of this part is sub- ject to control by the presiding officer, who may issue any order consistent with the provisions of those sections which is appropriate and just for the purpose of protecting parties and depo- nents or of providing for the proper conduct of the proceeding. Whenever doing so would be conducive to the effi- cient and expeditious conduct of the proceeding, the presiding officer may convene a conference to hear argument and issue a ruling on any disputes that may arise under these rules. The rul- ing, whether written or delivered on the record at a conference, may specify any measures, including the following to assure proper conduct of the pro- ceeding or to protect any party or de- ponent from annoyance, expense, embarassment or oppression:
(a) That depositions shall not be taken or that interrogatories shall not be answered.
(b) That certain matters shall not be inquired into.
(c) That the scope of the examination or interrogatories shall be limited to certain matters.
(d) That depositions may be taken only at some designated time or place,
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47 CFR Ch. I (10–1–10 Edition)§ 1.315
or before an officer, other than that stated in the notice.
(e) That depositions may be taken only by written interrogatories or only upon oral examination.
(f) That, after being sealed, the depo- sition shall be opened only by order of the presiding officer.
[33 FR 463, Jan. 12, 1968, as amended at 56 FR 794, Jan. 9, 1991]
§ 1.315 Depositions upon oral examina- tion—notice and preliminary proce- dure.
(a) Notice. A party to a hearing pro- ceeding desiring to take the deposition of any person upon oral examination shall give a minimum of 21 days notice in writing to every other party, to the person to be examined, and to the pre- siding officer. An original and three copies of the notice shall be filed with the Secretary of the Commission. Re- lated pleadings shall be served and filed in the same manner. The notice shall contain the following informa- tion:
(1) The name and address of each per- son to be examined, if known, and if the name is not known, a general de- scription sufficient to identify him or the particular class or group to which he belongs.
(2) The time and place for taking the deposition of each person to be exam- ined, and the name or descriptive title and address of the officer before whom the deposition is to be taken.
(3) The matters upon which each per- son will be examined. See § 1.319.
(b) Responsive pleadings. (1) Within 7 days after service of the notice to take depositions, a motion opposing the tak- ing of depositions may be filed by any party to the proceeding or by the per- son to be examined. See § 1.319(a).
(2) Within 14 days after service of the notice to take depositions, a response to the opposition motion may be filed by any party to the proceeding.
(3) Additional pleadings should not be filed and will not be considered.
(4) The computation of time provi- sions set forth in § 1.4(g) shall not apply to pleadings filed under the provisions of this paragraph.
(c) Protective order. On an opposition motion filed under paragraph (b) of this section, or on his own motion, the pre-
siding officer may issue a protective order. See § 1.313. A protective order issued by the presiding officer on his own motion may be issued at any time prior to the date specified in the notice for the taking of depositions.
(d) Authority to take depositions. (1) If an opposition motion is not filed with- in 7 days after service of the notice to take depositions, and if the presiding officer does not on his own motion issue a protective order prior to the time specified in the notice for the tak- ing of depositions, the depositions de- scribed in the notice may be taken. An order for the taking of depositions is not required.
(2) If an opposition motion is filed, the depositions described in the notice shall not be taken until the presiding officer has acted on that motion. If the presiding officer authorizes the taking of depositions, he may specify a time, place or officer for taking them dif- ferent from that specified in the notice to take depositions.
(3) If the presiding officer issues a protective order, the depositions de- scribed in the notice may be taken (if at all) only in accordance with the pro- visions of that order.
(e) Broadcast comparative proceedings involving applicants for only new facili- ties. In these cases, the 21-day advance notice provision of paragraph (a) of this section shall be inapplicable to depositions of active and passive own- ers of applicants in the proceeding. All applicants in such proceedings should be prepared to make their active and passive owners available for deposi- tions during the period commencing with the deadline for filing notices of appearance and ending 90 days after the release of the designation order, if such depositions are requested by a party to the proceeding. All such depo- sitions will be conducted in Wash- ington, DC or in the community of li- cense of the proposed station, at the deponent’s option, unless all parties agree to some other location.
[33 FR 10571, July 25, 1968, as amended at 56 FR 794, Jan. 9, 1991]
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Federal Communications Commission § 1.318
§ 1.316 Depositions upon written inter- rogatories—notice and preliminary procedure.
(a) Service of interrogatories; notice. A party to the hearing proceeding desir- ing to take the deposition of any per- son upon written interrogatories shall serve the interrogatories upon every other party and shall give a minimum of 35 days notice in writing to every other party and to the person to be ex- amined. An original and three copies of the interrogatories and the notice (and of all related pleadings) shall be filed with the Secretary of the Commission. A copy of the interrogatories and the notice (and of all related pleadings) shall be served on the presiding officer. The notice shall contain the following information:
(1) The name and address of each per- son to be examined, if known, and if the name is not known, a general de- scription sufficient to identify him or the particular class or group to which he belongs.
(2) The time and place for taking the deposition of each person to be exam- ined, and the name or descriptive title and address of the officer before whom the deposition is to be taken.
(3) The matters upon which each per- son will be examined. See § 1.319.
(b) Additional interrogatories. Within 7 days after the filing and service of the original interrogatories, any other party to the proceeding may, in the same manner, file and serve additional interrogatories to be asked of the same witness at the same time and place, with notice to the witness of any addi- tional matters upon which he will be examined.
(c) Cross interrogatories. Within 14 days after the filing and service of the original interrogatories, any party to the proceeding may, in the same man- ner, file and serve cross interrog- atories, which shall be limited to mat- ters raised in the original or in the ad- ditional interrogatories.
(d) Responsive pleadings. (1) Within 21 days after service of the original inter- rogatories, any party to the proceeding may move to limit or suppress any original, additional or cross interrog- atory, and the person to be examined may file a motion opposing the taking of depositions. See § 1.319(a).
(2) Within 28 days after service of the original interrogatories, a response to a motion to limit or suppress any in- terrogatory or to a motion opposing the taking of depositions may be filed by any party to the proceeding.
(3) Additional pleadings should not be filed and will not be considered.
(e) Protective order. On a motion to limit or suppress or an opposition mo- tion filed under paragraph (d) of this section, or on his own motion, the pre- siding officer may issue a protective order. See § 1.313. A protective order issued by the presiding officer on his own motion may be issued at any time prior to the date specified in the notice for the taking of depositions.
(f) Authority to take depositions. (1) If an opposition motion is not filed with- in 21 days after service of the notice to take depositions, and if the presiding officer does not on his own motion issue a protective order prior to the time specified in the notice for the tak- ing of depositions, the depositions de- scribed in the notice may be taken. An order for the taking of depositions is not required.
(2) If an opposition motion is filed, the depositions described in the notice shall not be taken until the presiding officer has acted on that motion. If the presiding officer authorizes the taking of depositions, he may specify a time, place or officer for taking them dif- ferent from that specified in the notice to take depositions.
(3) If the presiding officer issues a protective order, the depositions de- scribed in the notice may be taken (if at all) only in accordance with the pro- visions of that order.
NOTE: The computation of time provisions of § 1.4(g) shall not apply to interrogatories and pleadings filed under the provisions of this section.
[33 FR 10571, July 25, 1968]
§ 1.318 The taking of depositions. (a) Persons before whom depositions
may be taken. Depositions shall be taken before any judge of any court of the United States; any U.S. Commis- sioner; any clerk of a district court; any chancellor, justice or judge of a su- preme or superior court; the mayor or chief magistrate of a city; any judge of a county court, or court of common
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47 CFR Ch. I (10–1–10 Edition)§ 1.319
pleas of any of the United States; any notary public, not being of counsel or attorney to any party, nor interested in the event of the proceeding; or pre- siding officers, as provided in § 1.243.
(b) Attendance of witnesses. The at- tendance of witnesses at the taking of depositions may be compelled by the use of subpena as provided in §§ 1.331 through 1.340.
(c) Oath; transcript. The officer before whom the deposition is to be taken shall administer an oath or affirmation to the witness and shall personally, or by someone acting under his direction and in his presence record the testi- mony of the witness. The testimony may be taken stenographically or, upon approval by the presiding officer, testimony may be taken through the use of telephonically or electronically recorded methods, including videotape. In the event these latter methods are used for the deposition, the parties may agree to the waiver of the provi- sions of paragraphs (e) and (f) as appro- priate and as approved by the presiding officer.
(d) Examination. (1) In the taking of depositions upon oral examination, the parties may proceed with examination and cross-examination of deponents as permitted at the hearing. In lieu of participating in the oral examination, parties served with the notice to take depositions may transmit written in- terrogatories to the officer designated in the notice, who shall propound them to the witness and record the answers verbatim.
(2) In the taking of depositions upon written interrogatories, the party who served the original interrogatories shall transmit copies of all interrog- atories to the officer designated in the notice, who shall propound them to the witness and record the answers ver- batim.
(e) Submission of deposition to witness; changes; signing. When the testimony is fully transcribed, the deposition of each witness shall be submitted to him for examination and shall be read to or by him, unless such examination and reading are waiver by the witness and by the parties. Any changes in form or substance which the witness desires to make shall be entered upon the deposi- tion by the officer with a statement of
the reasons given by the witness for making them. The deposition shall then be signed by the witness, unless the parties by stipulation waive the signing, or the witness is ill, cannot be found, or refuses to sign. If the deposi- tion is not signed by the witness, the officer shall sign it and state on the record the fact of the waiver, the ill- ness or absence of the witness, or of his refusal to sign, together with the rea- son (if any) given therefor; and the dep- osition may then be used as fully as though signed, unless upon a motion to suppress, the presiding officer holds that the reason given for the refusal to sign requires rejection of the deposi- tion in whole or in part.
(f) Certification of deposition and filing by officer; copies. The officer shall cer- tify on the deposition that the witness was duly sworn by him, that the depo- sition is a true record of the testimony given by the witness, and that said offi- cer is not of counsel or attorney to ei- ther of the parties, nor interested in the event of the proceeding or inves- tigation. He shall then securely seal the deposition in an envelope endorsed with the title of the action and marked ‘‘Deposition of (here insert name of witness)’’ and shall promptly send the original and two copies of the deposi- tion and of all exhibits, together with the notice and any interrogatories re- ceived by him, by certified mail to the Secretary of the Commission.
[33 FR 463, Jan. 12, 1968, as amended at 47 FR 51873, Nov. 18, 1982]
§ 1.319 Objections to the taking of depositions.
(a) Objections to be made by motion prior to the taking of depositions. If there is objection to the substance of any in- terrogatory or to examination on any matter clearly covered by the notice to take depositions, the objection shall be made in a motion opposing the taking of depositions or in a motion to limit or suppress the interrogatory as pro- vided in §§ 1.315(b) and 1.316(d) and shall not be made at the taking of the depo- sition.
(b) Objections to be made at the taking of depositions. Errors and irregularities occurring at the oral examination in the manner of taking the deposition, in the form of the questions or answers,
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in the oath or affirmation, or in the conduct of parties, and errors of any kind which might be obviated, re- moved, or cured if promptly presented, are waived unless reasonable objection thereto is made at the taking of the deposition. If such objection is made, counsel shall, if possible, agree upon the measures required to obviate, re- move, or cure such errors. The meas- ures agreed upon shall be taken. If agreement cannot be reached, the ob- jection shall be noted on the deposition by the officer taking it, and the testi- mony objected to shall be taken sub- ject to the objection.
(c) Additional objections which may be made at the taking of depositions. Objec- tion may be made at the taking of depositions on the ground of relevancy or privilege, if the notice to take depo- sitions does not clearly indicate that the witness is to be examined on the matters to which the objection relates. See paragraph (a) of this section. Ob- jection may also be made on the ground that the examination is being conducted in such manner as to unrea- sonably annoy, embarrass, or oppress a deponent or party.
(1) When there is objection to a line of questioning, as permitted by this paragraph, counsel shall, if possible, reach agreement among themselves re- garding the proper limits of the exam- ination.
(2) If counsel cannot agree on the proper limits of the examination the taking of depositions shall continue on matters not objected to and counsel shall, within 24 hours, either jointly or individually, telegraph statements of their positions to the presiding officer, together with the telephone numbers at which they and the officer taking the depositions can be reached, or shall otherwise jointly confer with the pre- siding officer. If individual statements are submitted, copies shall be provided to all counsel participating in the tak- ing of depositions.
(3) The presiding officer shall promptly rule upon the question pre- sented or take such other action as may be appropriate under § 1.313, and shall give notice of his ruling, by tele- phone, to counsel who submitted state- ments and to the officer taking the
depositions. The presiding officer shall thereafter reduce his ruling to writing.
(4) The taking of depositions shall continue in accordance with the pre- siding officer’s ruling. Such rulings are not subject to appeal.
[33 FR 463, Jan. 12, 1968]
§ 1.321 Use of depositions at the hear- ing.
(a) No inference concerning the ad- missibility of a deposition in evidence shall be drawn because of favorable ac- tion on the notice to take depositions.
(b) Except as provided in this para- graph and in § 1.319, objection may be made at the hearing to receiving in evidence any deposition or part thereof for any reason which would require the exclusion of the evidence if the witness were then present and testifying.
(1) Objections to the competency of a witness, or the competency, relevancy or materiality of testimony are waived by failure to make them before or dur- ing the taking of depositions if (and only if) the ground of the objection is one which might have been obviated or removed if presented at that time.
(2) Objection on the ground of privi- lege is waived by failure to make it be- fore or during the taking of deposi- tions.
(c) A party shall not be deemed to make a person his own witness for any purpose by taking his deposition. The introduction in evidence of the deposi- tion or any part thereof for any pur- pose other than that of contradicting or impeaching the deponent makes the deponent the witness of the party in- troducing the deposition, but this shall not apply to the use by an adverse party of a deposition as described in paragraph (d)(2) of this section. At the hearing any party may rebut any rel- evant evidence contained in a deposi- tion whether introduced by him or by any other party.
(d) At the hearing (or in a pleading), any part or all of a deposition, so far as admissible, may be used against any party who was present or represented at the taking of the deposition or who had due notice thereof, in accordance with any one of the following provi- sions:
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(1) Any deposition may be used by any party for the purpose of contra- dicting or impeaching the testimony of deponent as a witness.
(2) The deposition of a party or of any one who at the time of taking the deposition was an officer, director, or managing agent of a public or private corporation, partnership or association which is a party may be used by an ad- verse party for any purpose.
(3) To the extent that the affirmative direct case of a party is made in writ- ing pursuant to § 1.248(d), the deposi- tion of any witness, whether or not a party, may be used by any party for any purpose, provided the witness is made available for cross-examination. In all cases, the deposition of a wit- ness, whether or not a party, may be used by any party for any purpose if the presiding officer finds: (i) That the witness is dead; or (ii) that the witness is out of the United States, unless it appears that the absence of the witness was procured by the party offering the deposition; or (iii) that the witness is unable to attend or testify because of age, sickness, infirmity, or imprison- ment; or (iv) upon application and no- tice, that such exceptional cir- cumstances exist as to make it desir- able in the interest of justice and with due regard to the importance of pre- senting the testimony of witnesses orally in open hearing, to allow the deposition to be used.
(4) If only part of a deposition is of- fered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part in- troduced, and any party may introduce any other parts.
(5) Substitution of parties does not affect the right to use depositions pre- viously taken; and, when an action in any hearing has been dismissed and an- other action involving the same sub- ject matter is afterward brought be- tween the same parties or their rep- resentatives or successors in interest, all depositions lawfully taken and duly filed in the former action may be used in the latter as if originally taken therefor.
[33 FR 463, Jan. 12, 1968, as amended at 41 FR 14874, Apr. 8, 1976]
§ 1.323 Interrogatories to parties. (a) Interrogatories. Any party may
serve upon any other party written in- terrogatories to be answered in writing by the party served or, if the party served is a public or private corpora- tion or a partnership or association, by any officer or agent, who shall furnish such information as is available to the party. A copy of the interrogatories shall be served upon all parties to the proceeding. An original and three cop- ies of the interrogatories, answers, and all related pleadings shall be filed with the Secretary of the Commission. A copy of the interrogatories, answers and all related pleadings shall be served on the presiding officer.
(1) Except as otherwise provided in a protective order, the number of inter- rogatories or sets of interrogatories is not limited.
(2) Except as provided in such an order, interrogatories may be served after a deposition has been taken, and a deposition may be sought after inter- rogatories have been answered.
(b) Answers and objections. Each inter- rogatory shall be answered separately and fully in writing under oath or affir- mation, unless it is objected to, in which event the reasons for objection shall be stated in lieu of an answer. The answers shall be signed by the per- son making them, and the objections by the attorney making them. The party upon whom the interrogatories were served shall serve a copy of the answers and objections upon all parties to the proceeding within 14 days after service of the interrogatories, or with- in such shorter or longer period as the presiding officer may allow. Answers may be used in the same manner as depositions of a party (see § 1.321(d)).
(c) Motion to compel an answer. Any party to the proceeding may, within 7 days, move for an order with respect to any objection or other failure to an- swer an interrogatory. For purposes of this paragraph, an evasive or incom- plete answer is a failure to answer; and if the motion is based on the assertion that the answer is evasive or incom- plete, it shall contain a statement as to the scope and detail of an answer which would be considered responsive and complete. The party upon whom the interrogatories were served may
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file a response within 7 days after the motion is filed, to which he may ap- pend an answer or an amended answer. Additional pleadings should not be sub- mitted and will not be considered.
(d) Action by the presiding officer. If the presiding officer determines that an objection is not justified, he shall order that the answer be served. If an interrogatory has not been answered, the presiding officer may rule that the right to object has been waived and may order that an answer be served. If an answer does not comply fully with the requirements of this section, the presiding officer may order that an amended answer be served, may specify the scope and detail of the matters to be covered by the amended answer, and may specify any appropriate proce- dural consequences (including adverse findings of fact and dismissal with prej- udice) which will follow from the fail- ure to make a full and responsive an- swer. If a full and responsive answer is not made, the presiding officer may issue an order invoking any of the pro- cedural consequences specified in the order to compel an answer.
(e) Appeal. As order to compel an an- swer is not subject to appeal.
[33 FR 10572, July 25, 1968, as amended at 35 FR 17334, Nov. 11, 1970]
§ 1.325 Discovery and production of documents and things for inspec- tion, copying, or photographing.
(a) A party to a Commission pro- ceeding may request any other party except the Commission to produce and permit inspection and copying or photographing, by or on behalf of the requesting party, of any designated documents, papers, books, accounts, letters, photographs, objects, or tan- gible things which constitute or con- tain evidence within the scope of the examination permitted by § 1.311(b) of this part and which are in his posses- sion, custody, or control or to permit entry upon designated land or other property in his possession or control for purposes of inspecting, measuring, surveying, or photographing the prop- erty or any designated object or oper- ation thereon within the scope of the examination permitted by § 1.311(b) of this part.
(1) Such requests need not be filed with the presiding officer, but copies of the request shall be served on all other parties to the proceeding.
(2) The party against whom the re- quest was made must, within 10 days, comply with the request or object to the request, claiming a privilege or raising other proper objections. If the request is not complied with in whole or in part, the requesting party may file a motion to compel production of documents or access to property with the presiding officer. A motion to com- pel must be accompanied by a copy of the original request and the responding party’s objection or claim of privilege. Motions to compel must be filed within five business days of the objection or claim of privilege.
(3) In resolving any disputes involv- ing the production of documents or ac- cess to property, the presiding officer may direct that the materials objected to be presented to him for in camera in- spection.
(b) Any party seeking the production of Commission records should proceed under § 0.460 or § 0.461 of this chapter. See §§ 0.451 through 0.467.
(c) In comparative broadcast pro- ceedings involving applicants for only new facilities, all applicants will serve the materials listed in the Standard Document Production Order and the Standardized Integration Statement on all other parties in the case that have filed Notices of Appearance. The ex- change of these materials must be ac- complished within five days after the date established for filing notices of appearance (see § 1.221).
(1) Standard Document Production Order. The following documents must be produced or objected to on grounds of privilege (Unless otherwise directed by the presiding officer, copies of these documents should not be filed with the presiding officer):
(i) All formation and organizational documents, including articles of incor- poration, by laws, partnership agree- ments, voting rights, proxies, and any amendments to the foregoing docu- ments;
(ii) All minutes of meetings relating to the application;
(iii) All documents relating to the rights or plans of persons or entities to
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purchase an interest in the applicant or of current owners to alineate their interests;
(iv) All documents relating to pledges, mortgages, security interests, or other encumbrances of any kind with respect to the applicant;
(v) All bank letters and other financ- ing documents with the dollar amounts unexpurgated;
(vi) All documents relating to the ap- plicant’s proposed transmitter site;
(vii) All documents relating to com- munications by proposed integrated principals with respect to their pro- posed participation in the management of the station and the disposition of their current employment;
(viii) All documents relating to prior integration pledges made by principals who propose to be integrated into the management of the station at issue;
(ix) All documents relating to com- munications by and between principals of the applicant concerning the appli- cation, including communications be- tween active and passive principals;
(x) Representative documents relat- ing to enhancement credits and pref- erences sought by the applicant’s prin- cipals for local residence, civic partici- pation, past broadcast experience, mi- nority/female status, and the like;
(xi) All documents relating to com- mitments to divest other media inter- ests; and
(xii) All documents that identify or describe the principals who are respon- sible for completing the application, arranging financing, obtaining the ap- plicant’s transmitter site, publishing the required notices, establishing the local public inspection file, and retain- ing lawyers, engineers, and other pro- fessionals.
(2) Standardized Integration Statement. On the same day that documents are exchanged pursuant to the Standard- ized Document Production Order, the following information must also be provided by all applicants (Copies of this statement should be filed with the presiding officer and served on all par- ties to the proceeding that have filed Notices of Appearance):
(i) The ownership structure of the ap- plicant, i.e., whether it is a partner- ship, limited partnership, or a corpora-
tion (if a corporation, indicate whether it has voting and non-voting stock);
(ii) The ownership percentage of each owner;
(iii) The identity of the owners who will work at the proposed station, what titles and duties they will have, how many hours they will work per week, and how they will reconcile any cur- rent business interests or employment with that commitment to the station;
(iv) All other media interests held by the persons identified under paragraph (c)(2)(ii), of this section;
(v) Whether the integrated owners will claim credit for minority or fe- male ownership and if so, specifically on what basis;
(vi) Whether the integrated owners will claim credit for local residence and civic involvement in the city of li- cense or service area and if so, specifi- cally on what basis (including a de- tailed chronology of past residence and a description of civic activities and their duration);
(vii) Whether the integrated owners will claim credit for previous broadcast experience and if so, provide a detailed list of the stations they worked at, the titles and duties they had, and the years in which they were so employed; and
(viii) Whether the applicant will claim a daytimer preference and if so, specifically on what basis.
(3) Supplemental document production. Parties may request additional rel- evant documents, not called for in the Standard Document Production Order, at any time after the release of the des- ignation order. Supplemental requests for documents based on materials ex- changed pursuant to the Standardized Document Production Order and Standardized Integration Statement must be filed no later than ten days after those standardized exchanges. Other supplemental document requests must be filed no later than ten days after receipt of the information on which those requests are based. Supple- mental document requests will be han- dled under the procedures established in paragraph (a) of this section. To fa- cilitate the resolution of disputes con- cerning the production of documents, the presiding officer may convene a
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pre-hearing conference to hear argu- ment on and dispose of any such dis- putes.
[33 FR 463, Jan. 12, 1968, as amended at 40 FR 39509, Aug. 28, 1975; 56 FR 794, Jan. 9, 1991; 56 FR 25639, June 5, 1991]
SUBPENAS
AUTHORITY: Sections 1.331 and 1.333 through 1.340 are issued under sec. 409, 48 Stat. 1096; 47 U.S.C. 409.
§ 1.331 Who may sign and issue.
Subpenas requiring the attendance and testimony of witnesses, and sub- penas requiring the production of any books, papers, schedules of charges, contracts, agreements, and documents relating to any matter under investiga- tion or hearing, may be signed and issued as follows:
(a) Hearings before the Commission en banc, an individual commissioner, or a panel of commissioners: By any commissioner participating in the con- duct of the hearing.
(b) Hearings before an administrative law judge: By the administrative law judge or, in his absence, by the Chief Administrative Law Judge.
§ 1.333 Requests for issuance of sub- pena.
(a) Unless submitted on the record while a hearing is in progress, requests for a subpena ad testificandum shall be submitted in writing.
(b) Requests for a subpena duces tecum shall be submitted in writing, duly subscribed and verified, and shall specify with particularity the books, papers, and documents desired and the facts expected to be proved thereby. Where the subpena duces tecum request is directed to a nonparty to the pro- ceeding, the presiding officer may issue the same, upon request, without an ac- companying subpena to enforce a no- tice to take depositions, provided for in paragraph (e) of this section, where it appears that the testimony of said per- son is not required in connection with the subpena duces tecum.
(c) All requests for subpenas shall be supported by a showing of the general relevance and materiality of the evi- dence sought.
(d) Requests for subpenas shall be submitted in triplicate, but need not be served on the parties to the proceeding.
(e) Requests for issuance of a subpena ad testificandum to enforce a notice to take depositions shall be submitted in writing. Such requests may be sub- mitted with the notice or at a later date. The request shall not be granted until the period for the filing of mo- tions opposing the taking of deposi- tions has expired or, if a motion has been filed, until that motion has been acted on. Regardless of the time when the subpena request is submitted, it need not be accompanied by a showing that relevant and material evidence will be adduced, but merely that the person will be examined regarding a nonprivileged matter which is relevant to the hearing issues. The subpena re- quest may ask that a subpena duces tecum be contemporaneously issued commanding the person to whom it is directed to produce designated books, papers, documents, or tangible things which constitute or contain evidence relating to any of the matters within the scope of the examination permitted by § 1.311(b) but in that event the sub- pena request will be subject to the pro- visions of § 1.313 and paragraph (b) of this section.
(f) Requests for issuance of a subpena duces tecum to enforce an order for the production of documents and things for inspection and copying under § 1.325 may be submitted with the motion re- questing the issuance of such an order. Regardless of the time when the sub- pena request is submitted, it need not be accompanied by a showing that rel- evant and material evidence will be ad- duced, but merely that the documents and things to be examined contain non- privileged matter which is relevant to the subject matter of the proceeding.
[28 FR 12425, Nov. 22, 1963, as amended at 33 FR 466, Jan. 12, 1968; 47 FR 51873, Nov. 18, 1982]
§ 1.334 Motions to quash.
Any person against whom a subpena is directed may file a motion to quash or limit the subpena, setting forth the reasons why the subpena should not be complied with or why it should be lim- ited in scope.
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§ 1.335 Rulings. Prompt notice, including a brief
statement of the reasons therefor, will be given of the denial, in whole or in part, of a request for subpena or of a motion to quash.
§ 1.336 Service of subpenas. (a) A subpena may be served by a
United States marshal or his deputy, by Commission personnel, or by any person who is not a party to the pro- ceeding and is not less than 18 years of age.
(b) Service of a subpena upon the per- son named therein shall be made by ex- hibiting the original subpena to him, by reading the original subpena to him if he is unable to read, by delivering the duplicate subpena to him, and by tendering to him the fees for one day’s attendance at the proceeding to which he is summoned and the mileage al- lowed by law. If the subpena is issued on behalf of the United States or an of- ficer or agency thereof, attendance fees and mileage need not be tendered.
§ 1.337 Return of service. (a) If service of the subpena is made
by a person other than a United States marshal or his deputy such person shall make affidavit thereof, stating the date, time, and manner of service.
(b) In case of failure to make service, the reasons for the failure shall be stated on the original subpena by the person who attempted to make service.
(c) The original subpena, bearing or accompanied by the required return af- fidavit or statement, shall be returned forthwith to the Secretary of the Com- mission or, if so directed on the sub- pena, to the official before whom the person named in the subpena is re- quired to appear.
§ 1.338 Subpena forms. (a) Subpena forms, marked ‘‘Origi-
nal’’, ‘‘Duplicate’’, and ‘‘Triplicate’’, and bearing the Commission’s seal, may be obtained from the Commis- sion’s Dockets Division. These forms are to be completed and submitted with any request for issuance of a sub- pena.
(b) If the request for issuance of a subpena is granted, the ‘‘Original’’ and
‘‘Duplicate’’ copies of the subpena are returned to the person who submitted the request. The ‘‘Triplicate’’ copy is retained for the Commission’s files.
(c) The ‘‘Original’’ copy of the sub- pena includes a form for proof of serv- ice. This form is to be executed by the person who effects service and returned by him to the Secretary of the Com- mission or, if so directed on the sub- pena, to the official before whom the person named in the subpena is re- quired to appear.
(d) The ‘‘Duplicate’’ copy of the sub- pena shall be served upon the person named therein and retained by him. This copy should be presented in sup- port of any claim for witness fees or mileage allowances for testimony on behalf of the Commission.
§ 1.339 Witness fees.
Witnesses who are subpenaed and re- spond thereto are entitled to the same fees, including mileage, as are paid for like service in the courts of the United States. Fees shall be paid by the party at whose instance the testimony is taken.
§ 1.340 Attendance of witness; disobe- dience.
The attendance of witnesses and the production of documentary evidence may be required from any place in the United States at any designated place of hearing. In case of disobedience to a subpena, the Commission or any party to a proceeding before the Commission may invoke the aid of any court of the United States in requiring the attend- ance and testimony of witnesses and the production of documentary evi- dence.
EVIDENCE
§ 1.351 Rules of evidence.
Except as otherwise provided in this subpart, the rules of evidence gov- erning civil proceedings in matters not involving trial by jury in the courts of the United States shall govern formal hearings. Such rules may be relaxed if the ends of justice will be better served by so doing.
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§ 1.352 Cumulative evidence. The introduction of cumulative evi-
dence shall be avoided, and the number of witnesses that may be heard in be- half of a party on any issue may be limited.
§ 1.353 Further evidence during hear- ing.
At any stage of a hearing, the pre- siding officer may call for further evi- dence upon any issue and may require such evidence to be submitted by any party to the proceeding.
§ 1.354 Documents containing matter not material.
If material and relevant matter of- fered in evidence is embraced in a doc- ument containing other matter not material or relevant, and not intended to be put in evidence, such document will not be received, but the party of- fering the same shall present to other counsel, and to the presiding officer, the original document, together with true copies of such material and rel- evant matter taken therefrom, as it is desired to introduce. Upon presen- tation of such matter, material and relevant, in proper form, it may be re- ceived in evidence, and become a part of the record. Other counsel will be af- forded an opportunity to introduce in evidence, in like manner, other por- tions of such document if found to be material and relevant.
§ 1.355 Documents in foreign language. Every document, exhibit, or other
paper written in a language other than English, which shall be filed in any proceeding, or in response to any order, shall be filed in the language in which it is written together with an English translation thereof duly verified under oath to be a true translation. Each copy of every such document, exhibit, or other paper filed shall be accom- panied by a separate copy of the trans- lation.
§ 1.356 Copies of exhibits. No document or exhibit, or part
thereof, shall be received as, or admit- ted in, evidence unless offered in dupli- cate. In addition, when exhibits of a documentary character are to be of- fered in evidence, copies shall be fur-
nished to other counsel unless the pre- siding officer otherwise directs.
§ 1.357 Mechanical reproductions as evidence.
Unless offered for the sole purpose of attempting to prove or demonstrate sound effect, mechanical or physical reproductions of sound waves shall not be admitted in evidence. Any party de- siring to offer any matter alleged to be contained therein or thereupon shall have such matter typewritten on paper of the size prescribed by § 1.49, and the same shall be identified and offered in duplicate in the same manner as other exhibits.
§ 1.358 Tariffs as evidence. In case any matter contained in a
tariff schedule on file with the Com- mission is offered in evidence, such tar- iff schedule need not be produced or marked for identification, but the mat- ter so offered shall be specified with particularity (tariff and page number) in such manner as to be readily identi- fied, and may be received in evidence by reference subject to check with the original tariff schedules on file.
§ 1.359 Proof of official record; authen- tication of copy.
An official record or entry therein, when admissible for any purpose, may be evidenced by an official publication thereof or by a copy attested by the of- ficer having legal custody of the record, or by his deputy, and accom- panied with a certificate that such offi- cer has the custody. If the office in which the record is kept is within the United States or within a territory or insular possession subject to the do- minion of the United States, the cer- tificate may be made by the judge of a court of record of the district or polit- ical subdivision in which the record is kept, authenticated by the seal of the court, or may be made by any public officer having a seal of office having of- ficial duties in the district or political subdivision in which the record is kept, authenticated by the seal of his office. If the office in which the record is kept is in a foreign state or country, the certificate may be made by a secretary of embassy or legation, consul general, consul, vice consul, or consular agent,
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or by any officer in the foreign service of the United States stationed in the foreign state or country in which the record is kept, and authenticated by the seal of his office.
§ 1.360 Proof of lack of record. The absence of an official record or
entry of a specified tenor in an official record may be evidenced by a written statement signed by an officer, or by his deputy, who would have custody of the official record, if it existed, that after diligent search no record or entry of a specified tenor is found to exist in the records of his office, accompanied by a certificate as provided in § 1.359. Such statement and certificate are ad- missible as evidence that the records of his office contain no such record or entry.
§ 1.361 Other proof of official record. Sections 1.359 and 1.360 do not pre-
vent the proof of official records or of entry or lack of entry therein by any method authorized by any applicable statute or by the rules of evidence at common law.
§ 1.362 Production of statements. After a witness is called and has
given direct testimony in a hearing, and before he is excused, any party may move for the production of any statement of such witness, or part thereof, pertaining to his direct testi- mony, in possession of the party call- ing the witness, if such statement has been reduced to writing and signed or otherwise approved or adopted by the witness. Such motion shall be directed to the presiding officer. If the party de- clines to furnish the statement, the testimony of the witness pertaining to the requested statement shall be stricken.
[33 FR 466, Jan. 12, 1968]
§ 1.363 Introduction of statistical data. (a) All statistical studies, offered in
evidence in common carrier hearing proceedings, including but not limited to sample surveys, econometric anal- yses, and experiments, and those parts of other studies involving statistical methodology shall be described in a summary statement, with supple-
mentary details added in appendices so as to give a comprehensive delineation of the assumptions made, the study plan utilized and the procedures under- taken. In the case of sample surveys, there shall be a clear description of the survey design, including the definition of the universe under study, the sam- pling frame, and the sampling units; an explanation of the method of selecting the sample and the characteristics measured or counted. In the case of econometric investigations, the econo- metric model shall be completely de- scribed and the reasons given for each assumption and statistical specifica- tion. The effects on the final results of changes in the assumptions should be made clear. When alternative models and variables have been employed, a record shall be kept of these alter- native studies, so as to be available upon request. In the case of experi- mental analyses, a clear and complete description of the experimental design shall be set forth, including a specifica- tion of the controlled conditions and how the controls were realized. In addi- tion, the methods of making observa- tions and the adjustments, if any, to observed data shall be described. In the case of every kind of statistical study, the following items shall be set forth clearly: The formulas used for statis- tical estimates, standard errors and test statistics, the description of sta- tistical tests, plus all related computa- tions, computer programs and final re- sults. Summary descriptions of input data shall be submitted. Upon request, the actual input data shall be made available.
(b) In the case of all studies and anal- yses offered in evidence in common carrier hearing proceedings, other than the kinds described in paragraph (a) of this section, there shall be a clear statement of the study plan, all rel- evant assumptions and a description of the techniques of data collection, esti- mation and/or testing. In addition, there shall be a clear statement of the facts and judgments upon which con- clusions are based and a statement of the relative weights given to the var- ious factors in arriving at each conclu- sion, together with an indication of the
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alternative courses of action consid- ered. Lists of input data shall be made available upon request.
[35 FR 16254, Oct. 16, 1970]
§ 1.364 Testimony by speakerphone.
(a) If all parties to the proceeding consent and the presiding officer ap- proves, the testimony of a witness may be taken by speakerphone.
(b) Documents used by the witness shall be made available to counsel by the party calling the witness in ad- vance of the speakerphone testimony. The taking of testimony by speakerphone shall be subject to such other ground rules as the parties may agree upon.
[43 FR 33251, July 31, 1978]
Subpart C—Rulemaking Proceedings
AUTHORITY: 5 U.S.C. 553.
SOURCE: 28 FR 12432, Nov. 22, 1963, unless otherwise noted.
GENERAL
§ 1.399 Scope.
This subpart shall be applicable to notice and comment rulemakings pro- ceedings conducted under 5 U.S.C. 553, and shall have no application to formal rulemaking (or rate making) pro- ceedings unless the Commission directs that it shall govern the conduct of a particular proceeding.
[42 FR 25735, May 19, 1977]
§ 1.400 Definitions.
As used in this subpart, the term party refers to any person who partici- pates in a proceeding by the timely fil- ing of a petition for rule making, com- ments on a notice of proposed rule making, a petition for reconsideration, or responsive pleadings in the manner prescribed by this subpart. The term does not include those who submit let- ters, telegrams or other informal mate- rials.
[41 FR 1287, Jan. 7, 1976]
PETITIONS AND RELATED PLEADINGS
§ 1.401 Petitions for rulemaking. (a) Any interested person may peti-
tion for the issuance, amendment or re- peal of a rule or regulation.
(b) The petition for rule making shall conform to the requirements of §§ 1.49, 1.52, and 1.419(b) (or § 1.420(e), if applica- ble), and shall be submitted or ad- dressed to the Secretary, Federal Com- munications Commission, Washington, DC 20554, or may be submitted elec- tronically.
(c) The petition shall set forth the text or substance of the proposed rule, amendment, or rule to be repealed, to- gether with all facts, views, arguments and data deemed to support the action requested, and shall indicate how the interests of petitioner will be affected.
(d) Petitions for amendment of the FM Table of Assignments (§ 73.202 of this chapter) or the Television Table of Assignments (§ 73.606) shall be served by petitioner on any Commission li- censee or permittee whose channel as- signment would be changed by grant of the petition. The petition shall be ac- companied by a certificate of service on such licensees or permittees. Peti- tions to amend the FM Table of Allot- ments must be accompanied by the ap- propriate construction permit applica- tion and payment of the appropriate application filing fee.
(e) Petitions which are moot, pre- mature, repetitive, frivolous, or which plainly do not warrant consideration by the Commission may be denied or dismissed without prejudice to the pe- titioner.
[28 FR 12432, Nov. 22, 1963, as amended at 28 FR 14503, Dec. 31, 1963; 40 FR 53391, Nov. 18, 1975; 45 FR 42621, June 25, 1980; 63 FR 24125, May 1, 1998; 71 FR 76215, Dec. 20, 2006]
§ 1.403 Notice and availability. All petitions for rule making (other
than petitions to amend the FM, Tele- vision, and Air-Ground Tables of As- signments) meeting the requirements of § 1.401 will be given a file number and, promptly thereafter, a ‘‘Public Notice’’ will be issued (by means of a Commission release entitled ‘‘Petitions for Rule Making Filed’’) as to the peti- tion, file number, nature of the pro- posal, and date of filing, Petitions for
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rule making are available at the Com- mission’s Reference Information Cen- ter, 445 12th Street, SW, Washington, DC and may also be available elec- tronically over the Internet at http:// www.fcc.gov/.
[67 FR 13223, Mar. 21, 2002]
§ 1.405 Responses to petitions; replies.
Except for petitions to amend the FM Television or Air-Ground Tables of As- signments:
(a) Any interested person may file a statement in support of or in opposi- tion to a petition for rule making prior to Commission action on the petition but not later than 30 days after ‘‘Public Notice’’, as provided for in § 1.403, is given of the filing of such a petition. Such a statement shall be accompanied by proof of service upon the petitioner on or prior to the date of filing in con- formity with § 1.47 and shall conform in other aspects with the requirements of §§ 1.49, 1.52, and 1.419(b).
(b) Any interested person may file a reply to statements in support of or in opposition to a petition for rule mak- ing prior to Commission action on the petition but not later than 15 days after the filing of such a statement. Such a reply shall be accompanied by proof of service upon the party or par- ties filing the statement or statements to which the reply is directed on or prior to the date of filing in conformity with § 1.47 and shall conform in other aspects with the requirements of §§ 1.49, 1.52, and 1.419(b).
(c) No additional pleadings may be filed unless specifically requested by the Commission or authorized by it.
(d) The Commission may act on a pe- tition for rule making at any time after the deadline for the filing of re- plies to statements in support of or in opposition to the petition. Statements in support of or in opposition to a peti- tion for rule making, and replies there- to, shall not be filed after Commission action.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[28 FR 12413, Nov. 22, 1963, as amended at 28 FR 14503, Dec. 31, 1963; 45 FR 42621, June 25, 1980; 46 FR 60404, Dec. 9, 1981]
§ 1.407 Action on petitions. If the Commission determines that
the petition discloses sufficient reasons in support of the action requested to justify the institution of a rulemaking proceeding, and notice and public pro- cedure thereon are required or deemed desirable by the Commission, an appro- priate notice of proposed rule making will be issued. In those cases where no- tice and public procedure thereon are not required, the Commission may issue a final order amending the rules. In all other cases the petition for rule making will be denied and the peti- tioner will be notified of the Commis- sion’s action with the grounds therefor.
RULEMAKING PROCEEDINGS
§ 1.411 Commencement of rulemaking proceedings.
Rulemaking proceedings are com- menced by the Commission, either on it own motion or on the basis of a peti- tion for rulemaking. See §§ 1.401–1.407.
§ 1.412 Notice of proposed rulemaking. (a) Except as provided in paragraphs
(b) and (c) of this section, prior notice of proposed rulemaking will be given.
(1) Notice is ordinarily given by pub- lication of a ‘‘Notice of Proposed Rule Making’’ in the FEDERAL REGISTER. A summary of the full decision adopted by the Commission constitutes a ‘‘No- tice of Proposed Rulemaking’’ for pur- poses of FEDERAL REGISTER publica- tion.
(2) If all persons subject to the pro- posed rules are named, the proposal may (in lieu of publication) be person- ally served upon those persons.
(3) If all persons subject to the pro- posed rules are named and have actual notice of the proposal as a matter of law, further prior notice of proposed rulemaking is not required.
(b) Rule changes (including adoption, amendment, or repeal of a rule or rules) relating to the following matters will ordinarily be adopted without prior notice:
(1) Any military, naval, or foreign af- fairs function of the United States.
(2) Any matter relating to Commis- sion management or personnel or to public property, loans, grants, benefits, or contracts.
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(3) Interpretative rules. (4) General statements of policy. (5) Rules of Commission organiza-
tion, procedure, or practice. (c) Rule changes may in addition be
adopted without prior notice in any situation in which the Commission for good cause finds that notice and public procedure are impracticable, unneces- sary, or contrary to the public interest. The finding of good cause and a state- ment of the basis for that finding are in such situations published with the rule changes.
(d) In addition to the notice provi- sions of paragraph (a) of this section, the Commission, before prescribing any requirements as to accounts, records, or memoranda to be kept by carriers, will notify the appropriate State agen- cies having jurisdiction over any car- rier involved of the proposed require- ments.
[28 FR 12432, Nov. 22, 1963, as amended at 51 FR 7445, Mar. 4, 1986]
§ 1.413 Content of notice. A notice of the proposed issuance,
amendment, or repeal of a rule will in- clude the following:
(a) A statement of the time, nature and place of any public rulemaking proceeding to be held.
(b) Reference to the authority under which the issuance, amendment or re- peal of a rule is proposed.
(c) Either the terms or substance of the proposed rule or a description of the subjects and issues involved.
(d) The docket number assigned to the proceeding.
(e) A statement of the time for filing comments and replies thereto.
§ 1.415 Comments and replies. (a) After notice of proposed rule-
making is issued, the Commission will afford interested persons an oppor- tunity to participate in the rulemaking proceeding through submission of writ- ten data, views, or arguments, with or without opportunity to present the same orally in any manner.
(b) A reasonable time will be pro- vided for submission of comments in support of or in opposition to proposed rules, and the time provided will be specified in the notice of proposed rule- making.
(c) A reasonable time will be pro- vided for filing comments in reply to the original comments, and the time provided will be specified in the notice of proposed rulemaking.
(d) No additional comments may be filed unless specifically requested or authorized by the Commission.
NOTE: In some (but not all) rulemaking proceedings, interested persons may also communicate with the Commission and its staff on an ex parte basis, provided certain procedures are followed. See §§ 1.420 and 1.1200 et seq. See also ll FCC 2d ll (1980) (i.e., this order).
(e) For time limits for filing motions for extension of time for filing re- sponses to petitions for rulemaking, re- plies to such responses, comments filed in response to notices of proposed rule- making, replies to such comments, see § 1.46(b).
[28 FR 12432, Nov. 22, 1963, as amended at 42 FR 28888, June 6, 1977; 45 FR 45591, July 7, 1980; 52 FR 37460, Oct. 7, 1987]
§ 1.419 Form of comments and replies; number of copies.
(a) Comments, replies, and other doc- uments filed in a rulemaking pro- ceeding shall conform to the require- ments of § 1.49.
(b) An original and 4 copies of all comments, briefs and other documents filed in a rulemaking proceeding shall be furnished the Commission. The dis- tribution of such copies shall be as fol- lows: Secretary (original and 1) .................... 2 Bureau .................................................. 2 Reference Information Center .............. 1
Total ........................................... 5
Participants filing the required 5 cop- ies who also wish each Commissioner to have a personal copy of the com- ments may file an additional 5 copies. The distribution of such copies shall be as follows: Commissioners ..................................... 5 Secretary .............................................. 2 Bureau .................................................. 2 Reference Information Center .............. 1
Total ........................................... 10
However, members of the general public who wish to express their inter- est by participating informally in a rulemaking proceeding may do so by
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submitting an original and one copy of their comments, without regard to form, provided only that the Docket Number is specified in the heading. In- formal comments filed after close of the reply comment period, or, if on re- consideration, the reconsideration reply comment period, should be la- beled ‘‘ex parte’’ pursuant to section 1.1206(a) of this chapter. Letters sub- mitted to Commissioners or Commis- sion staff will be treated in the same way as informal comments, as set forth above. Also such informal participants who wish the responsible members of the staff and the Commissioners to have personal copies may file an addi- tional 7 copies. The distribution of such copies shall be as follows: Commissioners ..................................... 5 Secretary .............................................. 2 Bureau .................................................. 2
Total ........................................... 9
(c) Any person desiring to file iden- tical documents in more than one docketed rulemaking proceeding shall furnish the Commission two additional copies of any such document for each additional docket. This requirement does not apply if the proceedings have been consolidated.
(d) Participants that file comments and replies in electronic form need only submit one copy of those com- ments, so long as the submission con- forms to any procedural or filing re- quirements established for formal elec- tronic comments.
(e) Comments and replies and other documents filed in electronic form by a party represented by an attorney shall include the name and mailing address of at least one attorney of record. Par- ties not represented by an attorney that file comments and replies and other documents in electronic form shall provide their name and mailing address.
[28 FR 12432, Nov. 22, 1963, as amended at 41 FR 50399, Nov. 16, 1976; 50 FR 26567, June 27, 1985; 54 FR 29037, July 11, 1989; 63 FR 24125, May 1, 1998; 63 FR 56091, Oct. 21, 1998; 67 FR 13223, Mar. 21, 2002]
§ 1.420 Additional procedures in pro- ceedings for amendment of the FM or TV Tables of Allotments, or for amendment of certain FM assign- ments.
(a) Comments filed in proceedings for amendment of the FM Table of Allot- ments (§ 73.202 of this chapter) or the Television Table of Allotments (§ 73.606 of this chapter) which are initiated on a petition for rule making shall be served on petitioner by the person who files the comments.
(b) Reply comments filed in pro- ceedings for amendment of the FM or Television Tables of Allotments shall be served on the person(s) who filed the comments to which the reply is di- rected.
(c) Such comments and reply com- ments shall be accompanied by a cer- tificate of service.
(d) Counterproposals shall be ad- vanced in initial comments only and will not be considered if they are ad- vanced in reply comments.
(e) An original and 4 copies of all pe- titions for rulemaking, comments, reply comments, and other pleadings shall be filed with the Commission.
(f) Petitions for reconsideration and responsive pleadings shall be served on parties to the proceeding and on any li- censee or permittee whose authoriza- tion may be modified to specify oper- ation on a different channel, and shall be accompanied by a certificate of service.
(g) The Commission may modify the license or permit of a UHF TV station to a VHF channel in the same commu- nity in the course of the rule making proceeding to amend § 73.606(b), or it may modify the license or permit of an FM station to another class of channel through notice and comment proce- dures, if any of the following condi- tions are met:
(1) There is no other timely filed ex- pression of interest, or
(2) If another interest in the proposed channel is timely filed, an additional equivalent class of channel is also al- lotted, assigned or available for appli- cation.
NOTE TO PARAGRAPH (g): In certain situa- tions, a licensee or permittee may seek an
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adjacent, intermediate frequency or co-chan- nel upgrade by application. See § 73.203(b) of this chapter.
(h) Where licensees (or permittees) of television broadcast stations jointly petition to amend § 73.606(b) and to ex- change channels, and where one of the licensees (or permittees) operates on a commercial channel while the other operates on a reserved noncommercial educational channel within the same band, and the stations serve substan- tially the same market, then the Com- mission may amend § 73.606(b) and mod- ify the licenses (or permits) of the peti- tioners to specify operation on the ap- propriate channels upon a finding that such action will promote the public in- terest, convenience, and necessity.
NOTE 1 TO PARAGRAPH (h): Licensees and permittees operating Class A FM stations who seek to upgrade their facilities to Class B1, B, C3, C2, C1, or C on Channel 221, and whose proposed 1 mV/m signal contours would overlap the Grade B contour of a tele- vision station operating on Channel 6 must meet a particularly heavy burden by dem- onstrating that grants of their upgrade re- quests are in the public interest. In this re- gard, the Commission will examine the record in rule making proceedings to deter- mine the availability of existing and poten- tial non-commercial education service.
(i) In the course of the rule making proceeding to amend § 73.202(b) or § 73.606(b), the Commission may modify the license or permit of an FM or tele- vision broadcast station to specify a new community of license where the amended allotment would be mutually exclusive with the licensee’s or permit- tee’s present assignment.
(j) Whenever an expression of interest in applying for, constructing, and oper- ating a station has been filed in a pro- ceeding to amend the FM or TV Table of Allotments, and the filing party seeks to dismiss or withdraw the ex- pression of interest, either unilaterally or in exchange for financial consider- ation, that party must file with the Commission a request for approval of the dismissal or withdrawal, a copy of any written agreement related to the dismissal or withdrawal, and an affi- davit setting forth:
(1) A certification that neither the party withdrawing its interest nor its principals has received or will receive any money or other consideration in
excess of legitimate and prudent ex- penses in exchange for the dismissal or withdrawal of the expression of inter- est;
(2) The exact nature and amount of any consideration received or prom- ised;
(3) An itemized accounting of the ex- penses for which it seeks reimburse- ment; and
(4) The terms of any oral agreement related to the dismissal or withdrawal of the expression of interest.
(5) In addition, within 5 days of a par- ty’s request for approval, each remain- ing party to any written or oral agree- ment must submit an affidavit setting forth:
(i) A certification that neither it nor its principals has paid or will pay money or other consideration in excess of the legitimate and prudent expenses of the party withdrawing its expression of interest; and
(ii) The terms of any oral agreement relating to the dismissal or withdrawal of the expression of interest.
NOTE TO § 1.420: The reclassification of a Class C station in accordance with the proce- dure set forth in Note 4 to § 73.3573 may be initiated through the filing of an original pe- tition for amendment of the FM Table of Al- lotments. The Commission will notify the af- fected Class C station licensee of the pro- posed reclassification by issuing a notice of proposed rule making, except that where a triggering petition proposes an amendment or amendments to the FM Table of Allot- ments in addition to the proposed reclassi- fication, the Commission will issue an order to show cause as set forth in Note 4 to § 73.3573, and a notice of proposed rule mak- ing will be issued only after the reclassifica- tion issue is resolved. Triggering petitions will be dismissed upon the filing, rather than the grant, of an acceptable construction per- mit application to increase antenna height to at least 451 meters HAAT by a subject Class C station.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[39 FR 44022, Dec. 20, 1974, as amended at 40 FR 53391, Nov. 18, 1975; 41 FR 1287, Jan. 7, 1976; 51 FR 15629, Apr. 25, 1986; 51 FR 20291, June 4, 1986; 52 FR 8260, Mar. 17, 1987; 52 FR 25866, July 9, 1987; 54 FR 16366, Apr. 24, 1989; 54 FR 26201, June 22, 1989; 55 FR 28914, July 16, 1990; 58 FR 38535, July 19, 1993; 59 FR 59503, Nov. 17, 1994; 61 FR 43472, Aug. 23, 1996; 65 FR 79776, Dec. 20, 2000; 71 FR 76215, Dec. 20, 2006]
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§ 1.421 Further notice of rulemaking. In any rulemaking proceeding where
the Commission deems it warranted, a further notice of proposed rulemaking will be issued with opportunity for par- ties of record and other interested per- sons to submit comments in con- formity with §§ 1.415 and 1.419.
§ 1.423 Oral argument and other pro- ceedings.
In any rulemaking where the Com- mission determines that an oral argu- ment, hearing or any other type of pro- ceeding is warranted, notice of the time, place and nature of such pro- ceeding will be published in the FED- ERAL REGISTER.
[58 FR 66300, Dec. 20, 1993]
§ 1.425 Commission action. The Commission will consider all rel-
evant comments and material of record before taking final action in a rule- making proceeding and will issue a de- cision incorporating its finding and a brief statement of the reasons therefor.
§ 1.427 Effective date of rules. (a) Any rule issued by the Commis-
sion will be made effective not less than 30 days from the time it is pub- lished in the FEDERAL REGISTER except as otherwise specified in paragraphs (b) and (c) of this section.
(b) For good cause found and pub- lished with the rule, any rule issued by the Commission may be made effective within less than 30 days from the time it is published in the FEDERAL REG- ISTER. Rules involving any military, naval or foreign affairs function of the United States; matters relating to agency management or personnel, pub- lic property, loans, grants, benefits or contracts; rules granting or recog- nizing exemption or relieving restric- tion; rules of organization, procedure or practice; or interpretative rules; and statements of policy may be made ef- fective without regard to the 30-day re- quirement.
(c) In cases of alterations by the Commission in the required manner or form of keeping accounts by carriers, notice will be served upon affected car- riers not less than 6 months prior to the effective date of such alterations.
§ 1.429 Petition for reconsideration. (a) Any interested person may peti-
tion for reconsideration of a final ac- tion in a proceeding conducted under this subpart (see §§ 1.407 and 1.425). Where the action was taken by the Commission, the petition will be acted on by the Commission. Where action was taken by a staff official under dele- gated authority, the petition may be acted on by the staff official or referred to the Commission for action.
NOTE: The staff has been authorized to act on rulemaking proceedings described in § 1.420 and is authorized to make editorial changes in the rules (see § 0.231(d)).
(b) A petition for reconsideration which relies on facts which have not previously been presented to the Com- mission will be granted only under the following circumstances:
(1) The facts relied on relate to events which have occurred or cir- cumstances which have changed since the last opportunity to present them to the Commission;
(2) The facts relied on were unknown to petitioner until after his last oppor- tunity to present them to the Commis- sion, and he could not through the ex- ercise of ordinary diligence have learned of the facts in question prior to such opportunity; or
(3) The Commission determines that consideration of the facts relied on is required in the public interest.
(c) The petition for reconsideration shall state with particularity the re- spects in which petitioner believes the action taken should be changed.
(d) The petition for reconsideration and any supplement thereto shall be filed within 30 days from the date of public notice of such action, as that date is defined in § 1.4(b). No supple- ment to a petition for reconsideration filed after expiration of the 30 day pe- riod will be considered, except upon leave granted pursuant to a separate pleading stating the grounds for ac- ceptance of the supplement. The peti- tion for reconsideration shall not ex- ceed 25 double-spaced typewritten pages. See also § 1.49(f).
(e) Except as provided in § 1.420(f), pe- titions for reconsideration need not be served on parties to the proceeding. (However, where the number of parties
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is relatively small, the Commission en- courages the service of petitions for re- consideration and other pleadings, and agreements among parties to exchange copies of pleadings. See also § 1.47(d) re- garding electronic service of docu- ments.) When a petition for reconsider- ation is timely filed in proper form, public notice of its filing is published in the FEDERAL REGISTER. The time for filing oppositions to the petition runs from the date of public notice. See § 1.4(b).
(f) Oppositions to a petition for re- consideration shall be filed within 15 days after the date of public notice of the petition’s filing and need be served only on the person who filed the peti- tion. See also § 1.49(d). Oppositions shall not exceed 25 double-spaced type- written pages. See § 1.49(f).
(g) Replies to an opposition shall be filed within 10 days after the time for filing oppositions has expired and need be served only on the person who filed the opposition. Replies shall not exceed 10 double-spaced typewritten pages. See also §§ 1.49(d) and 1.49(f).
(h) Petitions for reconsideration, op- positions and replies shall conform to the requirements of §§ 1.49 and 1.52, ex- cept that they need not be verified. Ex- cept as provided in § 1.420(e), an origi- nal and 11 copies shall be submitted to the Secretary, Federal Communica- tions Commission, Washington, D.C. 20554. Parties filing in electronic form need only submit one copy.
(i) The Commission may grant the petition for reconsideration in whole or in part or may deny the petition. Its order will contain a concise statement of the reasons for the action taken. Any order disposing of a petition for reconsideration which modifies rules adopted by the original order is, to the extent of such modification, subject to reconsideration in the same manner as the original order. Except in such cir- cumstance, a second petition for recon- sideration may be dismissed by the staff as repetitious.
(j) The filing of a petition for recon- sideration is not a condition precedent to judicial review of any action taken by the Commission, except where the person seeking such review was not a party to the proceeding resulting in the action or relies on questions of fact
or law upon which the Commission has been afforded no opportunity to pass. Subject to the provisions of paragraph (b) of this section, such a person may qualify to seek judicial review by filing a petition for reconsideration.
(k) Without special order of the Com- mission, the filing of a petition for re- consideration shall not excuse any per- son from complying with any rule or operate in any manner to stay or post- pone its enforcement. However, upon good cause shown, the Commission will stay the effective date of a rule pend- ing a decision on a petition for recon- sideration. See, however, § 1.420(f).
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[41 FR 1287, Jan. 7, 1976, as amended at 44 FR 5436, Jan. 26, 1979; 46 FR 18556, Mar. 25, 1981; 52 FR 49161, Dec. 30, 1987; 63 FR 24126, May 1, 1998]
INQUIRIES
§ 1.430 Proceedings on a notice of in- quiry.
The provisions of this subpart also govern proceedings commenced by issuing a ‘‘Notice of Inquiry,’’ except that such proceedings do not result in the adoption of rules, and Notices of Inquiry are not required to be pub- lished in the FEDERAL REGISTER.
[51 FR 7445, Mar. 4, 1986]
Subpart D—Broadcast Applications and Proceedings
SOURCE: 44 FR 38483, July 2, 1979, unless otherwise noted.
§ 1.502 Emergency Broadcast Author- izations.
See § 73.913.
GENERAL FILING REQUIREMENTS
§ 1.511 Applications required.
See § 73.3511.
§ 1.512 Where to file; number of copies.
See § 73.3512.
§ 1.513 Who may sign applications.
See § 73.3513.
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§ 1.514 Content of applications.
See § 73.3514.
§ 1.516 Specification of facilities.
See § 73.3516.
§ 1.517 Contingent applications.
See § 73.3517.
§ 1.518 Inconsistent or conflicting ap- plications.
See § 73.3518.
§ 1.519 Repetitious applications.
See § 73.3519.
§ 1.520 Multiple applications. See § 73.3520.
§ 1.522 Amendment of applications. See § 73.3522.
§ 1.525 Agreements between parties for amendment or dismissal of, or fail- ure to prosecute, broadcast applica- tions.
See § 73.3525.
§ 1.526 Records to be maintained lo- cally for public inspection by com- mercial applicants, permittees and licensees.
See § 73.3526.
§ 1.527 Records to be maintained lo- cally for public inspection by non- commercial educational applicants, permittees and licensees.
See § 73.3527.
§ 1.531 Formal and informal applica- tions.
See § 73.3511.
§ 1.533 Application forms for authority to construct a new station or make changes in an existing station.
See § 73.3533.
§ 1.534 Application for extension of construction permit or for construc- tion permit to replace expired con- struction permit.
See § 73.3534.
§ 1.536 Application for license to cover construction permit.
See § 73.3536.
§ 1.538 Application for modification of license.
See § 73.3538.
§ 1.539 Application for renewal of li- cense.
See § 73.3539.
§ 1.540 Application for voluntary as- signment or transfer of control.
See § 73.3540.
§ 1.541 Application for involuntary as- signment of license or transfer of control.
See § 73.3541.
§ 1.542 Application for temporary au- thorization.
See § 73.3542.
§ 1.543 Application for renewal or modification of special service au- thorization.
See § 73.3543.
§ 1.544 Application for broadcast sta- tion to conduct field strength meas- urements and for experimental op- eration.
See §§ 73.157 and 73.1510.
§ 1.545 Application for permit to de- liver programs to foreign countries.
See § 73.3545.
§ 1.546 Application to determine oper- ating power by direct measurement of antenna power.
See § 73.45.
§ 1.549 Requests for extension of au- thority to operate without required monitors, indicating instruments, and EBS Attention Signal devices.
See § 73.3549.
§ 1.550 Requests for new or modified call sign assignments.
See § 73.3550.
§ 1.561 Staff consideration of applica- tions which receive action by the Commission.
See § 73.3561.
§ 1.562 Staff consideration of applica- tions which do not require action by the Commission.
See § 73.3562.
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§ 1.564 Acceptance of applications. See § 73.3564.
§ 1.566 Defective applications. See § 73.3566.
§ 1.568 Dismissal of applications. See § 73.3568.
§ 1.570 AM broadcast station applica- tions involving other North Amer- ican countries.
See § 73.3570.
§ 1.571 Processing AM broadcast sta- tion applications.
See § 73.3571.
§ 1.572 Processing TV broadcast and translator station applications.
See § 73.3572.
§ 1.573 Processing FM broadcast and translator station applications.
See § 73.3573.
§ 1.574 Processing of international broadcast station applications.
See § 73.3574.
§ 1.578 Amendments to applications for renewal, assignment or transfer of control.
See § 73.3578.
§ 1.580 Local public notice of filing of broadcast applications.
See § 73.3580.
§ 1.584 Petitions to deny. See § 73.3584.
§ 1.587 Procedure for filing informal applications.
See § 73.3587.
§ 1.591 Grants without hearing. See § 73.3591.
§ 1.592 Conditional grant. See § 73.3592.
§ 1.593 Designation for hearing. See § 73.3593.
§ 1.594 Local public notice of designa- tion for hearing.
See § 73.3594.
§ 1.597 Procedures on transfer and as- signment applications.
See § 73.3597.
§ 1.598 Period of construction. See § 73.3598.
§ 1.599 Forfeiture of construction per- mit.
See § 73.3599.
§ 1.601 Simultaneous modification and renewal of license.
See § 73.3601.
§ 1.603 Special waiver procedure rel- ative to applications.
See § 73.3603.
§ 1.605 Retention of applications in hearing status after designation for hearing.
See § 73.3605.
§ 1.612 Annual employment report. See § 73.3612.
§ 1.613 Filing of contracts. See § 73.3613.
§ 1.615 Ownership reports. See § 73.3615.
Subpart E—Complaints, Applica- tions, Tariffs, and Reports In- volving Common Carriers
SOURCE: 28 FR 12450, Nov. 22, 1963, unless otherwise noted.
GENERAL
§ 1.701 Show cause orders. (a) The Commission may commence
any proceeding within its jurisdiction against any common carrier by serving upon the carrier an order to show cause. The order shall contain a state- ment of the particulars and matters concerning which the Commission is inquiring and the reasons for such ac- tion, and will call upon the carrier to appear before the Commission at a place and time therein stated and give evidence upon the matters specified in the order.
(b) Any carrier upon whom an order has been served under this section shall
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file its answer within the time speci- fied in the order. Such answer shall specifically and completely respond to all allegations and matters contained in the show cause order.
(c) All papers filed by a carrier in a proceeding under this section shall conform with the specifications of §§ 1.49 and 1.50 and the subscription and verification requirements of § 1.52.
[28 FR 12450, Nov. 22, 1963, as amended at 36 FR 7423, Apr. 20, 1971]
§ 1.703 Appearances. (a) Hearings. Except as otherwise re-
quired by § 1.221 regarding application proceedings, by § 1.91 regarding pro- ceedings instituted under section 312 of the Communications Act of 1934, as amended, or by Commission order in any proceeding, no written statement indicating intent to appear need be filed in advance of actual appearance at any hearing by any person or his at- torney.
(b) Oral arguments. Within 5 days after release of an order designating an initial decision for oral argument or within such other time as may be spec- ified in the order, any party who wish- es to participate in the oral argument shall file a written statement indi- cating that he will appear and partici- pate. Within such time as may be spec- ified in an order designating any other matter for oral argument, any person wishing to participate in the oral argu- ment shall file a written statement to that effect setting forth the reasons for his interest in the matter. The Com- mission will advise him whether he may participate. (See § 1.277 for pen- alties for failure to file appearance statements in proceedings involving oral arguments on initial decisions.)
(c) Commission counsel. The require- ment of paragraph (b) of this section shall not apply to counsel representing the Commission or the Chief of the En- forcement Bureau.
[28 FR 12450, Nov. 22, 1963, as amended at 67 FR 13223, Mar. 21, 2002]
COMPLAINTS
§ 1.711 Formal or informal complaints. Complaints filed against carriers
under section 208 of the Communica-
tions Act may be either formal or in- formal.
INFORMAL COMPLAINTS
§ 1.716 Form.
An informal complaint shall be in writing and should contain: (a) The name, address and telephone number of the complaint, (b) the name of the car- rier against which the complaint is made, (c) a complete statement of the facts tending to show that such carrier did or omitted to do anything in con- travention of the Communications Act, and (d) the specific relief of satisfac- tion sought.
[51 FR 16039, Apr. 30, 1986]
§ 1.717 Procedure. The Commission will forward infor-
mal complaints to the appropriate car- rier for investigation. The carrier will, within such time as may be prescribed, advise the Commission in writing, with a copy to the complainant, of its satis- faction of the complaint or of its re- fusal or inability to do so. Where there are clear indications from the carrier’s report or from other communications with the parties that the complaint has been satisfied, the Commission may, in its discretion, consider a complaint proceeding to be closed, without re- sponse to the complainant. In all other cases, the Commission will contact the complainant regarding its review and disposition of the matters raised. If the complainant is not satisfied by the car- rier’s response and the Commission’s disposition, it may file a formal com- plaint in accordance with § 1.721 of this part.
[51 FR 16039, Apr. 30, 1986]
§ 1.718 Unsatisfied informal com- plaints; formal complaints relating back to the filing dates of informal complaints.
When an informal complaint has not been satisfied pursuant to § 1.717, the complainant may file a formal com- plaint with this Commission in the form specified in § 1.721. Such filing will be deemed to relate back to the filing date of the informal complaint: Pro- vided, That the formal complaint: (a) Is filed within 6 months from the date of
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the carrier’s report, (b) makes ref- erence to the date of the informal com- plaint, and (c) is based on the same cause of action as the informal com- plaint. If no formal complaint is filed within the 6-month period, the com- plainant will be deemed to have aban- doned the unsatisfied informal com- plaint.
[51 FR 16040, Apr. 30, 1986]
§ 1.719 Informal complaints filed pur- suant to section 258.
(a) Notwithstanding the require- ments of §§ 1.716 through 1.718, the fol- lowing procedures shall apply to com- plaints alleging that a carrier has vio- lated section 258 of the Communica- tions Act of 1934, as amended by the Telecommunications Act of 1996, by making an unauthorized change of a subscriber’s preferred carrier, as de- fined by § 64.1100(e) of this chapter.
(b) Form. The complaint shall be in writing, and should contain: The com- plainant’s name, address, telephone number and e-mail address (if the com- plainant has one); the name of both the allegedly unauthorized carrier, as de- fined by § 64.1100(d) of this chapter, and authorized carrier, as defined by § 64.1100(c) of this chapter; a complete statement of the facts (including any documentation) tending to show that such carrier engaged in an unauthor- ized change of the subscriber’s pre- ferred carrier; a statement of whether the complainant has paid any disputed charges to the allegedly unauthorized carrier; and the specific relief sought.
(c) Procedure. The Commission will resolve slamming complaints under the definitions and procedures established in §§ 64.1100 through 64.1190 of this chap- ter. The Commission will issue a writ- ten (or electronic) order informing the complainant, the unauthorized carrier, and the authorized carrier of its find- ing, and ordering the appropriate rem- edy, if any, as defined by §§ 64.1160 through 64.1170 of this chapter.
(d) Unsatisfied Informal Complaints Involving Unauthorized Changes of a Subscriber’s Preferred Carrier; Formal Complaints Relating Back to the Fil- ing Dates of Informal Complaints. If the complainant is unsatisfied with the resolution of a complaint under this section, the complainant may file a
formal complaint with the Commission in the form specified in § 1.721. Such fil- ing will be deemed to relate back to the filing date of the informal com- plaint filed under this section, so long as the informal complaint complied with the requirements of paragraph (b) of this section and provided that: The formal complaint is filed within 45 days from the date an order resolving the in- formal complaint filed under this sec- tion is mailed or delivered electroni- cally to the complainant; makes ref- erence to both the informal complaint number assigned to and the initial date of filing the informal complaint filed under this section; and is based on the same cause of action as the informal complaint filed under this section. If no formal complaint is filed within the 45–day period, the complainant will be deemed to have abandoned its right to bring a formal complaint regarding the cause of action at issue.
[65 FR 47690, Aug. 3, 2000]
FORMAL COMPLAINTS
§ 1.720 General pleading requirements. Formal complaint proceedings are
generally resolved on a written record consisting of a complaint, answer, and joint statement of stipulated facts, dis- puted facts and key legal issues, along with all associated affidavits, exhibits and other attachments. Commission proceedings may also require or permit other written submissions such as briefs, written interrogatories, and other supplementary documents or pleadings. Those formal complaint pro- ceedings handled on the Enforcement Bureau’s Accelerated Docket are sub- ject to pleading and procedural rules that differ in some respects from the general rules for formal complaint pro- ceedings.
(a) Pleadings must be clear, concise, and explicit. All matters concerning a claim, defense or requested remedy, in- cluding damages, should be pleaded fully and with specificity.
(b) Pleadings must contain facts which, if true, are sufficient to con- stitute a violation of the Act or Com- mission order or regulation, or a de- fense to such alleged violation.
(c) Facts must be supported by rel- evant documentation or affidavit.
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(d) Legal arguments must be sup- ported by appropriate judicial, Com- mission, or statutory authority.
(e) Opposing authorities must be dis- tinguished.
(f) Copies must be provided of all non-Commission authorities relied upon which are not routinely available in national reporting systems, such as unpublished decisions or slip opinions of courts or administrative agencies.
(g) Parties are responsible for the continuing accuracy and completeness of all information and supporting au- thority furnished in a pending com- plaint proceeding. Information sub- mitted, as well as relevant legal au- thorities, must be current and updated as necessary and in a timely manner at any time before a decision is rendered on the merits of the complaint.
(h) Specific reference shall be made to any tariff provision relied on in sup- port of a claim or defense. Copies of relevant tariffs or relevant portions of tariffs that are referred to or relied upon in a complaint, answer, or other pleading shall be appended to such complaint, answer, or other pleading.
(i) All statements purporting to sum- marize or explain Commission orders or policies must cite, in standard legal form, the Commission ruling upon which such statements are based.
(j) Pleadings shall identify the name, address, telephone number, and fac- simile transmission number for either the filing party’s attorney or, where a party is not represented by an attor- ney, the filing party.
[53 FR 11852, Apr. 11, 1988, as amended at 58 FR 25572, Apr. 27, 1993; 63 FR 1035, Jan. 7, 1998; 63 FR 41446, Aug. 4, 1998; 64 FR 60725, Nov. 8, 1999]
§ 1.721 Format and content of com- plaints.
(a) Subject to paragraph (e) of this section governing supplemental com- plaints filed pursuant to § 1.722, and paragraph (f) of this section governing Accelerated Docket proceedings, a for- mal complaint shall contain:
(1) The name of each complainant and defendant;
(2) The occupation, address and tele- phone number of each complainant and, to the extent known, each defend- ant;
(3) The name, address, and telephone number of complainant’s attorney, if represented by counsel;
(4) Citation to the section of the Communications Act and/or order and/ or regulation of the Commission al- leged to have been violated.
(5) A complete statement of facts which, if proven true, would constitute such a violation. All material facts must be supported, pursuant to the re- quirements of § 1.720(c) and paragraph (a)(11) of this section, by relevant affi- davits and documentation, including copies of relevant written agreements, offers, counter-offers, denials, or other related correspondence. The statement of facts shall include a detailed expla- nation of the manner and time period in which a defendant has allegedly vio- lated the Act, Commission order, or Commission rule in question, including a full identification or description of the communications, transmissions, services, or other carrier conduct com- plained of and the nature of any injury allegedly sustained by the complain- ant. Assertions based on information and belief are expressly prohibited un- less made in good faith and accom- panied by an affidavit explaining the basis for the plaintiff’s belief and why the complainant could not reasonably ascertain the facts from the defendant or any other source;
(6) Proposed findings of fact, conclu- sions of law, and legal analysis rel- evant to the claims and arguments set forth in the complaint;
(7) The relief sought, including recov- ery of damages and the amount of dam- ages claimed, if known;
(8) Certification that the complain- ant has, in good faith, discussed or at- tempted to discuss the possibility of settlement with each defendant prior to the filing of the formal complaint. Such certification shall include a statement that, prior to the filing of the complaint, the complainant mailed a certified letter outlining the allega- tions that form the basis of the com- plaint it anticipated filing with the Commission to the defendant carrier or one of the defendant’s registered agents for service of process that in- vited a response within a reasonable period of time and a brief summary of all additional steps taken to resolve
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the dispute prior to the filing of the formal complaint. If no additional steps were taken, such certificate shall state the reason(s) why the complain- ant believed such steps would be fruit- less;
(9) Whether a separate action has been filed with the Commission, any court, or other government agency that is based on the same claim or same set of facts, in whole or in part, or whether the complaint seeks pro- spective relief identical to the relief proposed or at issue in a notice-and- comment proceeding that is concur- rently before the Commission;
(10) An information designation con- taining:
(i) The name, address, and position of each individual believed to have first- hand knowledge of the facts alleged with particularity in the complaint, along with a description of the facts within any such individual’s knowl- edge;
(ii) A description of all documents, data compilations and tangible things in the complainant’s possession, cus- tody, or control, that are relevant to the facts alleged with particularity in the complaint. Such description shall include for each document:
(A) The date it was prepared, mailed, transmitted, or otherwise dissemi- nated;
(B) The author, preparer, or other source;
(C) The recipient(s) or intended re- cipient(s);
(D) Its physical location; and (E) A description of its relevance to
the matters contained in the com- plaint; and
(iii) A complete description of the manner in which the complainant iden- tified all persons with information and designated all documents, data com- pilations and tangible things as being relevant to the dispute, including, but not limited to, identifying the indi- vidual(s) that conducted the informa- tion search and the criteria used to identify such persons, documents, data compilations, tangible things, and in- formation;
(11) Copies of all affidavits, docu- ments, data compilations and tangible things in the complainant’s possession, custody, or control, upon which the
complainant relies or intends to rely to support the facts alleged and legal ar- guments made in the complaint;
(12) A completed Formal Complaint Intake Form;
(13) A declaration, under penalty of perjury, by the complainant or com- plainant’s counsel describing the amount, method, and date of the com- plainant’s payment of the filing fee re- quired under § 1.1106 and the complain- ant’s 10-digit FCC Registration Num- ber, if any;
(14) A certificate of service; and (15) A FCC Registration Number is
required under Part 1, Subpart W. Sub- mission of a complaint without the FCC Registration Number as required by Part 1, subpart W will result in dis- missal of the complaint.
(b) The following format may be used in cases to which it is applicable, with such modifications as the cir- cumstances may render necessary:
BEFORE THE FEDERAL COMMUNICATIONS COMMISSION, WASHINGTON, DC 20554
In the matter of
llllllllllllllllllllllll
Complainant,
v.
llllllllllllllllllllllll
Defendant.
File No. (To be inserted by the Enforcement Bureau)
Complaint
To: The Commission. The complainant (here insert full name of
each complainant and, if a corporation, the corporate title of such complainant) shows that:
1. (Here state occupation, post office ad- dress, and telephone number of each com- plainant).
2. (Here insert the name, occupation and, to the extent known, address and telephone number of defendants).
3. (Here insert fully and clearly the specific act or thing complained of, together with such facts as are necessary to give a full un- derstanding of the matter, including rel- evant legal and documentary support).
Wherefore, complainant asks (here state specifically the relief desired).
llllllllllllllllllllllll
(Date)
llllllllllllllllllllllll
(Name of each complainant)
llllllllllllllllllllllll
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(Name, address, and telephone number of at- torney, if any)
(c) Where the complaint is filed pur- suant to § 47 U.S.C. § 271(d)(6)(B), the complainant shall clearly indicate whether or not it is willing to waive the ninety-day resolution deadline con- tained within 47 U.S.C. 271(d)(6)(B), in accordance with the requirements of § 1.736.
(d) The complainant may petition the staff, pursuant to § 1.3, for a waiver of any of the requirements of this section. Such waiver may be granted for good cause shown.
(e) Supplemental complaints. (1) Sup- plemental complaints filed pursuant to § 1.722 shall conform to the require- ments set out in this section and § 1.720, except that the requirements in §§ 1.720(b), 1.721(a)(4), (a) (5), (a)(8), (9), (a)(12), and (a)(13) shall not apply to such supplemental complaints;
(2) In addition, supplemental com- plaints filed pursuant to § 1.722 shall contain a complete statement of facts which, if proven true, would support complainant’s calculation of damages for each category of damages for which recovery is sought. All material facts must be supported, pursuant to the re- quirements of § 1.720(c) and paragraph (a)(11) of this section, by relevant affi- davits and other documentation. The statement of facts shall include a de- tailed explanation of the matters relied upon, including a full identification or description of the communications, transmissions, services, or other mat- ters relevant to the calculation of dam- ages and the nature of any injury alleg- edly sustained by the complainant. As- sertions based on information and be- lief are expressly prohibited unless made in good faith and accompanied by an affidavit explaining the basis for the complainant’s belief and why the com- plainant could not reasonably ascer- tain the facts from the defendant or any other source;
(3) Supplemental complaints filed pursuant to § 1.722 shall contain a cer- tification that the complainant has, in good faith, discussed or attempted to discuss the possibility of settlement with respect to damages for which re- covery is sought with each defendant prior to the filing of the supplemental complaint. Such certification shall in-
clude a statement that, no later than 30 days after the release of the liability order, the complainant mailed a cer- tified letter to the primary individual who represented the defendant carrier during the initial complaint proceeding outlining the allegations that form the basis of the supplemental complaint it anticipates filing with the Commission and inviting a response from the car- rier within a reasonable period of time. The certification shall also contain a brief summary of all additional steps taken to resolve the dispute prior to the filing of the supplemental com- plaint. If no additional steps were taken, such certification shall state the reason(s) why the complainant be- lieved such steps would be fruitless.
(f) Complaints on the Accelerated Dock- et. For the purpose of this paragraph (e), the term document also shall in- clude data compilations and tangible things.
(1) Formal complaints that have been accepted onto the Accelerated Docket shall conform to the requirements set out in this section with the following listed exceptions:
(i) The requirement in § 1.720(c) and paragraphs (a)(5) and (a)(11) of this sec- tion that factual assertions be sup- ported by affidavit shall not apply to complaints on the Accelerated Docket. Nevertheless, allegations of material fact, whether based on personal knowl- edge or information and belief, that cannot be supported by documentation remain subject to the provisions of § 1.52.
(ii) Complaints on the Accelerated Docket are not required to include pro- posed findings of fact, conclusions of law, and legal analysis relevant to the claims and arguments set forth in the complaint, as required in paragraph (a)(6) of this section. Nevertheless, complaints on the Accelerated Docket shall fully set out the facts and legal theories on which the complainant premises its claims.
(iii) In light of the requirement for staff-supervised settlement negotia- tions in § 1.730(b), complaints on the Accelerated Docket are not required to include a certification that the com- plainant has discussed or attempted to discuss the possibility of settlement
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with each defendant, as required in paragraph (a)(8) of this section.
(iv) In light of the automatic docu- ment production required in § 1.729(i)(1), complaints on the Acceler- ated Docket are not required to include a description of all relevant documents in the complainant’s possession, cus- tody or control, as required in para- graph (a)(10)(ii) of this section.
(v) Complaints on the Accelerated Docket are not required to provide the description, required in paragraph (a)(10)(iii) of this section, of the man- ner in which the complainant identi- fied persons with knowledge of, and documents relevant to, the dispute.
(2) Formal complaints that have been accepted onto the Accelerated Docket will comply with the following require- ments in addition to those require- ments generally applicable in formal complaint proceedings:
(i) As required in § 1.729(i)(1), com- plaints on the Accelerated Docket shall be accompanied, when served on de- fendants, by copies of documents, with- in the complainant’s possession, cus- tody or control, that are likely to bear significantly on the issues raised in the complaint. Unless otherwise directed, these documents shall not be filed with the Commission.
(ii) Complaints on the Accelerated Docket will bear the following notation in bold typeface above the normal cap- tion on the first page: ‘‘Accelerated Docket Proceeding: Answer Due Within Ten Days of Service Date.’’
[53 FR 11853, Apr. 11, 1988, as amended at 63 FR 1035, Jan. 7, 1998; 63 FR 41446, Aug. 4, 1998; 64 FR 60725, Nov. 8, 1999; 66 FR 16616, Mar. 27, 2001; 66 FR 47895, Sept. 14, 2001; 69 FR 41130, July 7, 2004]
§ 1.722 Damages. (a) If a complainant wishes to recover
damages, the complaint must contain a clear and unequivocal request for dam- ages.
(b) If a complainant wishes a deter- mination of damages to be made in the same proceeding as the determinations of liability and prospective relief, the complaint must contain the allegations and information required by paragraph (h) of this section.
(c) Notwithstanding paragraph (b) of this section, in any proceeding to
which no statutory deadline applies, if the Commission decides that a deter- mination of damages would best be made in a proceeding that is separate from and subsequent to the proceeding in which the determinations of liabil- ity and prospective relief are made, the Commission may at any time order that the initial proceeding will deter- mine only liability and prospective re- lief, and that a separate, subsequent proceeding initiated in accordance with paragraph (e) of this section will determine damages.
(d) If a complainant wishes a deter- mination of damages to be made in a proceeding that is separate from and subsequent to the proceeding in which the determinations of liability and pro- spective relief are made, the complain- ant must:
(1) Comply with paragraph (a) of this section, and
(2) State clearly and unequivocally that the complainant wishes a deter- mination of damages to be made in a proceeding that is separate from and subsequent to the proceeding in which the determinations of liability and pro- spective relief will be made.
(e) If a complainant proceeds pursu- ant to paragraph (d) of this section, or if the Commission invokes its author- ity under paragraph (c) of this section, the complainant may initiate a sepa- rate proceeding to obtain a determina- tion of damages by filing a supple- mental complaint that complies with § 1.721(e) and paragraph (h) of this sec- tion within sixty days after public no- tice (as defined in § 1.4(b) of this chap- ter) of a decision that contains a find- ing of liability on the merits of the original complaint.
(f) If a complainant files a supple- mental complaint for damages in ac- cordance with paragraph (e) of this sec- tion, the supplemental complaint shall be deemed, for statutory limitations purposes, to relate back to the date of the original complaint.
(g) Where a complainant chooses to seek the recovery of damages upon a supplemental complaint in accordance with the requirements of paragraph (e) of this section, the Commission will re- solve the separate, preceding liability
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complaint within any applicable com- plaint resolution deadlines contained in the Act.
(h) In all cases in which recovery of damages is sought, it shall be the re- sponsibility of the complainant to in- clude, within either the complaint or supplemental complaint for damages filed in accordance with paragraph (e) of this section, either:
(1) A computation of each and every category of damages for which recov- ery is sought, along with an identifica- tion of all relevant documents and ma- terials or such other evidence to be used by the complainant to determine the amount of such damages; or
(2) An explanation of: (i) The information not in the posses-
sion of the complaining party that is necessary to develop a detailed com- putation of damages;
(ii) Why such information is unavail- able to the complaining party;
(iii) The factual basis the complain- ant has for believing that such evi- dence of; damages exists;
(iv) A detailed outline of the method- ology that would be used to create a computation of damages with such evi- dence.
(i) Where a complainant files a sup- plemental complaint for damages in accordance with paragraph (e) of this section, the following procedures may apply:
(1) Issues concerning the amount, if any, of damages may be either des- ignated by the Enforcement Bureau for hearing before, or, if the parties agree, submitted for mediation to, a Commis- sion Administrative Law Judge. Such Administrative Law Judge shall be chosen in the following manner:
(i) By agreement of the parties and the Chief Administrative Law Judge; or
(ii) In the absence of such agreement, the Chief Administrative Law Judge shall designate the Administrative Law Judge.
(2) The Commission may, in its dis- cretion, order the defendant either to post a bond for, or deposit into an in- terest bearing escrow account, a sum equal to the amount of damages which the Commission finds, upon prelimi- nary investigation, is likely to be or- dered after the issue of damages is
fully litigated, or some lesser sum which may be appropriate, provided the Commission finds that the grant of this relief is favored on balance upon con- sideration of the following factors:
(i) The complainant’s potential irrep- arable injury in the absence of such de- posit;
(ii) The extent to which damages can be accurately calculated;
(iii) The balance of the hardships be- tween the complainant and the defend- ant; and
(iv) Whether public interest consider- ations favor the posting of the bond or ordering of the deposit.
(3) The Commission may, in its dis- cretion, suspend ongoing damages pro- ceedings for fourteen days, to provide the parties with a time within which to pursue settlement negotiations and/or alternative dispute resolution proce- dures.
(4) The Commission may, in its dis- cretion, end adjudication of damages with a determination of the sufficiency of a damages computation method or formula. No such method or formula shall contain a provision to offset any claim of the defendant against the complainant. The parties shall nego- tiate in good faith to reach an agree- ment on the exact amount of damages pursuant to the Commission-mandated method or formula. Within thirty days of the release date of the damages order, parties shall submit jointly to the Commission either:
(i) A statement detailing the parties’ agreement as to the amount of dam- ages;
(ii) A statement that the parties are continuing to negotiate in good faith and a request that the parties be given an extension of time to continue nego- tiations; or
(iii) A statement detailing the bases for the continuing dispute and the rea- sons why no agreement can be reached.
(j) Except where otherwise indicated, the rules governing initial formal com- plaint proceedings govern supple- mental formal complaint proceedings, as well.
[66 FR 16616, Mar. 27, 2001]
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Federal Communications Commission § 1.724
§ 1.723 Joinder of complainants and causes of action.
(a) Two or more complainants may join in one complaint if their respec- tive causes of action are against the same defendant and concern substan- tially the same facts and alleged viola- tion of the Communications Act.
(b) Two or more grounds of complaint involving the same principle, subject, or statement of facts may be included in one complaint, but should be sepa- rately stated and numbered.
[53 FR 11853, Apr. 11, 1988]
§ 1.724 Answers.
(a) Subject to paragraph (k) of this section governing Accelerated Docket proceedings, any carrier upon which a copy of a formal complaint is served shall answer such complaint in the manner prescribed under this section within twenty days of service of the formal complaint by the complainant, unless otherwise directed by the Com- mission.
(b) The answer shall advise the com- plainant and the Commission fully and completely of the nature of any de- fense, and shall respond specifically to all material allegations of the com- plaint. Every effort shall be made to narrow the issues in the answer. The defendant shall state concisely its de- fense to each claim asserted, admit or deny the averments on which the com- plainant relies, and state in detail the basis for admitting or denying such averment. General denials are prohib- ited. Denials based on information and belief are expressly prohibited unless made in good faith and accompanied by an affidavit explaining the basis for the defendant’s belief and why the defend- ant could not reasonably ascertain the facts from the complainant or any other source. If the defendant is with- out knowledge or information suffi- cient to form a belief as to the truth of an averment, the defendant shall so state and this has the effect of a denial. When a defendant intends in good faith to deny only part of an averment, the defendant shall specify so much of it as is true and shall deny only the remain- der. The defendant may deny the alle- gations of the complaint as specific de-
nials of either designated averments or paragraphs.
(c) The answer shall contain proposed findings of fact, conclusions of law, and legal analysis relevant to the claims and arguments set forth in the answer.
(d) Averments in a complaint or sup- plemental complaint filed pursuant to § 1.722 are deemed to be admitted when not denied in the answer.
(e) Affirmative defenses to allega- tions contained in the complaint shall be specifically captioned as such and presented separately from any denials made in accordance with paragraph (c) of this section.
(f) The answer shall include an infor- mation designation containing:
(1) The name, address, and position of each individual believed to have first- hand knowledge of the facts alleged with particularity in the answer, along with a description of the facts within any such individual’s knowledge;
(2) A description of all documents, data compilations and tangible things in the defendant’s possession, custody, or control, that are relevant to the facts alleged with particularity in the answer. Such description shall include for each document:
(i) The date it was prepared, mailed, transmitted, or otherwise dissemi- nated;
(ii) The author, preparer, or other source;
(iii) The recipient(s) or intended re- cipient(s);
(iv) Its physical location; and (v) A description of its relevance to
the matters in dispute. (3) A complete description of the
manner in which the defendant identi- fied all persons with information and designated all documents, data com- pilations and tangible things as being relevant to the dispute, including, but not limited to, identifying the indi- vidual(s) that conducted the informa- tion search and the criteria used to identify such persons, documents, data compilations, tangible things, and in- formation;
(g) The answer shall attach copies of all affidavits, documents, data com- pilations and tangible things in the de- fendant’s possession, custody, or con- trol, upon which the defendant relies or
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intends to rely to support the facts al- leged and legal arguments made in the answer.
(h) The answer shall contain certifi- cation that the defendant has, in good faith, discussed or attempted to dis- cuss, the possibility of settlement with the complainant prior to the filing of the formal complaint. Such certifi- cation shall include a brief summary of all steps taken to resolve the dispute prior to the filing of the formal com- plaint. If no such steps were taken, such certificate shall state the rea- son(s) why the defendant believed such steps would be fruitless;
(i) Where the complaint is filed pur- suant to 47 U.S.C. 271(d)(6)(B), the de- fendant shall clearly indicate its will- ingness to waive the 90-day resolution deadline contained within 47 U.S.C. 271(d)(6)(B), in accordance with the re- quirements of § 1.736.
(j) The defendant may petition the staff, pursuant to § 1.3, for a waiver of any of the requirements of this section. Such waiver may be granted for good cause shown.
(k) Accelerated Docket Proceedings. For the purpose of this paragraph (k), the term document also shall include data compilations and tangible things.
(1) Any party named as a defendant in an Accelerated Docket formal com- plaint shall answer such complaint in the manner prescribed under this sec- tion within ten days of service of the complaint by the complainant, unless otherwise directed by the Commission. Except as set forth in this paragraph (k), answers in Accelerated Docket pro- ceedings shall comply with the require- ments of this section.
(2) The requirement in § 1.720(c) and paragraph (g) of this section that fac- tual assertions be supported by affi- davit shall not apply to answers in Ac- celerated Docket proceedings. Never- theless, allegations of material fact, whether based on personal knowledge or information and belief, that cannot be supported by documentation remain subject to the provisions of § 1.52.
(3) Answers on the Accelerated Dock- et are not required to include proposed findings of fact, conclusions of law, and legal analysis relevant to the defenses and arguments set forth in the answer, as required in paragraph (c) of this sec-
tion. Nevertheless, answers on the Ac- celerated Docket shall fully set out the facts and legal theories on which the defendant premises its defenses.
(4) In light of the requirement for staff-supervised settlement negotia- tions required in § 1.730(b), answers on the Accelerated Docket are not re- quired to include a certification that the defendant has discussed, or at- tempted to discuss, the possibility of settlement with the complainant, as required in paragraph (h) of this sec- tion.
(5) As required in § 1.729(i)(1), answers on the Accelerated Docket shall be ac- companied, when served on complain- ants, by copies of documents, within the defendant’s possession, custody or control, that are likely to bear signifi- cantly on the issues raised in the pro- ceeding. Unless otherwise directed, these documents shall not be filed with the Commission. In light of this auto- matic document production require- ment, answers on the Accelerated Docket are not required to include a description of all relevant documents in the defendant’s possession, custody or control, as required in paragraph (f)(2) of this section.
(6) Answers on the Accelerated Dock- et are not required to provide the de- scription, required in paragraph (f)(3) of this section, of the manner in which the defendant identified persons with knowledge of, and documents relevant to, the dispute.
(7) In Accelerated Docket pro- ceedings, the defendant, as required in § 1.729(i)(1), shall serve, contempora- neously with its answer, the complain- ant(s) with copies of documents, within the defendant’s possession, custody or control, that are likely to bear signifi- cantly on the issues raised in the com- plaint and/or the answer.
[53 FR 11853, Apr. 11, 1988, as amended at 58 FR 25572, Apr. 27, 1993; 63 FR 1037, Jan. 7, 1998; 63 FR 41446, Aug. 4, 1998; 66 FR 16617, Mar. 27, 2001]
§ 1.725 Cross-complaints and counter- claims.
Cross-complaints seeking any relief within the jurisdiction of the Commis- sion against any carrier that is a party (complainant or defendant) to that pro- ceeding are expressly prohibited. Any
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Federal Communications Commission § 1.726
claim that might otherwise meet the requirements of a cross-complaint may be filed as a separate complaint in ac- cordance with §§ 1.720 through 1.736. For purposes of this subpart, the term ‘‘cross-complaint’’ shall include coun- terclaims.
[63 FR 1037, Jan. 7, 1998]
§ 1.726 Replies.
(a) Subject to paragraph (g) of this section governing Accelerated Docket proceedings, within three days after service of an answer containing affirm- ative defenses presented in accordance with the requirements of § 1.724(e), a complainant may file and serve a reply containing statements of relevant, ma- terial facts and legal arguments that shall be responsive to only those spe- cific factual allegations and legal argu- ments made by the defendant in sup- port of its affirmative defenses. Replies which contain other allegations or ar- guments will not be accepted or consid- ered by the Commission.
(b) Failure to reply to an affirmative defense shall be deemed an admission of such affirmative defense and of any facts supporting such affirmative de- fense that are not specifically contra- dicted in the complaint.
(c) The reply shall contain proposed findings of fact, conclusions of law, and legal analysis relevant to the claims and arguments set forth in the reply.
(d) The reply shall include an infor- mation designation containing:
(1) The name, address and position of each individual believed to have first- hand knowledge about the facts alleged with particularity in the reply, along with a description of the facts within any such individual’s knowledge.
(2) A description of all documents, data compilations and tangible things in the complainant’s possession, cus- tody, or control that are relevant to the facts alleged with particularity in the reply. Such description shall in- clude for each document:
(i) The date prepared, mailed, trans- mitted, or otherwise disseminated;
(ii) The author, preparer, or other source;
(iii) The recipient(s) or intended re- cipient(s);
(iv) Its physical location; and
(v) A description of its relevance to the matters in dispute.
(3) A complete description of the manner in which the complainant iden- tified all persons with information and designated all documents, data com- pilations and tangible things as being relevant to the dispute, including, but not limited to, identifying the indi- vidual(s) that conducted the informa- tion search and the criteria used to identify such persons, documents, data compilations, tangible things, and in- formation;
(e) The reply shall attach copies of all affidavits, documents, data com- pilations and tangible things in the complainant’s possession, custody, or control upon which the complainant relies or intends to rely to support the facts alleged and legal arguments made in the reply.
(f) The complainant may petition the staff, pursuant to § 1.3, for a waiver of any of the requirements of this section. Such waiver may be granted for good cause shown.
(g) Accelerated Docket Proceedings. For the purpose of this paragraph (g), the term document also shall include data compilations and tangible things.
(1) The filing of a separate pleading to reply to affirmative defenses is not permitted in Accelerated Docket pro- ceedings. Complainants in such pro- ceedings may include, in the § 1.733(i)(4) pre-status-conference filing, those statements that otherwise would have been the subject of a reply.
(2) In Accelerated Docket pro- ceedings, the failure to reply, in the pre-status-conference filing, to an af- firmative defense shall be deemed an admission of such affirmative defense and of any facts supporting such af- firmative defense that are not specifi- cally contradicted in the complaint.
(3) If a complainant replies to an af- firmative defense in its § 1.733(i)(4), pre- status-conference filing, it shall in- clude in that filing the information, re- quired by paragraph (d)(1) of this sec- tion, identifying individuals with first- hand knowledge of the facts alleged in the reply.
(4) An Accelerated Docket complain- ant that replies to an affirmative de- fense in its § 1.733(i)(4), pre-status-con- ference filing also shall serve on the
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47 CFR Ch. I (10–1–10 Edition)§ 1.727
defendant, at the same time as that fil- ing, those documents in the complain- ant’s possession, custody or control that were not previously produced to the defendant and that are likely to bear significantly on the issues raised in the reply. Such a complainant is not required to comply with the remainder of the requirements in paragraphs (d) and (e) of this section.
[63 FR 1037, Jan. 7, 1998, as amended at 63 FR 41447, Aug. 4, 1998; 66 FR 16617, Mar. 27, 2001]
§ 1.727 Motions. (a) A request to the Commission for
an order shall be by written motion, stating with particularity the grounds and authority therefor, and setting forth the relief or order sought.
(b) All dispositive motions shall con- tain proposed findings of fact and con- clusions of law, with supporting legal analysis, relevant to the contents of the pleading. Motions to compel dis- covery must contain a certification by the moving party that a good faith at- tempt to resolve the dispute was made prior to filing the motion. All facts re- lied upon in motions must be supported by documentation or affidavits pursu- ant to the requirements of § 1.720(c), ex- cept for those facts of which official notice may be taken.
(c) The moving party shall provide a proposed order for adoption, which ap- propriately incorporates the basis therefor, including proposed findings of fact and conclusions of law relevant to the pleading. The proposed order shall be clearly marked as a ‘‘Proposed Order.’’ The proposed order shall be submitted both as a hard copy and on computer disk in accordance with the requirements of § 1.734(d). Where appro- priate, the proposed order format should conform to that of a reported FCC order.
(d) Oppositions to any motion shall be accompanied by a proposed order for adoption, which appropriately incor- porates the basis therefor, including proposed findings of fact and conclu- sions of law relevant to the pleading. The proposed order shall be clearly captioned as a ‘‘Proposed Order.’’ The proposed order shall be submitted both as a hard copy and on computer disk in accordance with the requirements of § 1.734(d). Where appropriate, the pro-
posed order format should conform to that of a reported FCC order.
(e) Oppositions to motions may be filed and served within five business days after the motion is filed and served and not after. Oppositions shall be limited to the specific issues and al- legations contained in such motion; when a motion is incorporated in an answer to a complaint, the opposition to such motion shall not address any issues presented in the answer that are not also specifically raised in the mo- tion. Failure to oppose any motion may constitute grounds for granting of the motion.
(f) No reply may be filed to an opposi- tion to a motion.
(g) Motions seeking an order that the allegations in the complaint be made more definite and certain are prohib- ited.
(h) Amendments or supplements to complaints to add new claims or re- quests for relief are prohibited. Parties are responsible, however, for the con- tinuing accuracy and completeness of all information and supporting author- ity furnished in a pending complaint proceeding as required under § 1.720(g).
[53 FR 11854, Apr. 11, 1988, as amended at 58 FR 25572, Apr. 27, 1993; 63 FR 1036, Jan. 7, 1998; 63 FR 41447, Aug. 4, 1998]
§ 1.728 Formal complaints not stating a cause of action; defective plead- ings.
(a) Any document purporting to be a formal complaint which does not state a cause of action under the Commu- nications Act will be dismissed. In such case, any amendment or supplement to such document will be considered a new filing which must be made within the statutory periods of limitations of actions contained in section 415 of the Communications Act.
(b) Any other pleading filed in a for- mal complaint proceeding not in con- formity with the requirements of the applicable rules in this part may be deemed defective. In such case the Commission may strike the pleading or request that specified defects be cor- rected and that proper pleadings be filed with the Commission and served on all parties within a prescribed time
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Federal Communications Commission § 1.729
as a condition to being made a part of the record in the proceeding.
[53 FR 11854, Apr. 11, 1988]
§ 1.729 Discovery. (a) Subject to paragraph (i) of this
section governing Accelerated Docket proceedings, a complainant may file with the Commission and serve on a de- fendant, concurrently with its com- plaint, a request for up to ten written interrogatories. A defendant may file with the Commission and serve on a complainant, during the period start- ing with the service of the complaint and ending with the service of its an- swer, a request for up to ten written in- terrogatories. A complainant may file with the Commission and serve on a de- fendant, within three calendar days of service of the defendant’s answer, a re- quest for up to five written interrog- atories. Subparts of any interrogatory will be counted as separate interrog- atories for purposes of compliance with this limit. Requests for interrogatories filed and served pursuant to this proce- dure may be used to seek discovery of any non-privileged matter that is rel- evant to the material facts in dispute in the pending proceeding, provided, however, that requests for interrog- atories filed and served by a complain- ant after service of the defendant’s an- swer shall be limited in scope to spe- cific factual allegations made by the defendant in support of its affirmative defenses. This procedure may not be employed for the purpose of delay, har- assment or obtaining information that is beyond the scope of permissible in- quiry related to the material facts in dispute in the pending proceeding.
(b) Requests for interrogatories filed and served pursuant to paragraph (a) of this section shall contain a listing of the interrogatories requested and an explanation of why the information sought in each interrogatory is both necessary to the resolution of the dis- pute and not available from any other source.
(c) A responding party shall file with the Commission and serve on the pro- pounding party any opposition and ob- jections to the requests for interrog- atories as follows:
(1) By the defendant, within ten cal- endar days of service of the requests
for interrogatories served simulta- neously with the complaint and within five calendar days of the requests for interrogatories served following serv- ice of the answer;
(2) By the complainant, within five calendar days of service of the requests for interrogatories; and
(3) In no event less than three cal- endar days prior to the initial status conference as provided for in § 1.733(a).
(d) Commission staff will consider the requests for interrogatories, prop- erly filed and served pursuant to para- graph (a) of this section, along with any objections or oppositions thereto, properly filed and served pursuant to paragraph (b) of this section, at the ini- tial status conference, as provided for in § 1.733(a)(5), and at that time deter- mine the interrogatories, if any, to which parties shall respond, and set the schedule of such response.
(e) The interrogatories ordered to be answered pursuant to paragraph (d) of this section are to be answered sepa- rately and fully in writing under oath or affirmation by the party served, or if such party is a public or private cor- poration or partnership or association, by any officer or agent who shall fur- nish such information as is available to the party. The answers shall be signed by the person making them. The an- swers shall be filed with the Commis- sion and served on the propounding party.
(f) A propounding party asserting that a responding party has provided an inadequate or insufficient response to Commission-ordered discovery re- quest may file a motion to compel within ten days of the service of such response, or as otherwise directed by Commission staff, pursuant to the re- quirements of § 1.727.
(g) The Commission may, in its dis- cretion, require parties to provide doc- uments to the Commission in a scanned or other electronic format that provides:
(1) Indexing by useful identifying in- formation about the documents; and
(2) Technology that allows staff to annotate the index so as to make the format an efficient means of reviewing the documents.
(h) The Commission may allow addi- tional discovery, including, but not
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limited to, document production, depo- sitions and/or additional interrog- atories. In its discretion, the Commis- sion may modify the scope, means and scheduling of discovery in light of the needs of a particular case and the re- quirements of applicable statutory deadlines.
(i) Discovery in Accelerated Docket pro- ceedings. (1) Each party to an Acceler- ated Docket proceeding shall serve, with its initial pleading and with any reply statements in the pre-status-con- ference filing (see § 1.726(g)(1)), copies of all documents in the possession, cus- tody or control of the party that are likely to bear significantly on any claim or defense. For the purpose of this paragraph (i), document also shall include data compilations and tangible things. A document is likely to bear significantly on a claim or defense if it:
(i) Appears likely to have an influ- ence on, or affect the outcome of, a claim or defense;
(ii) Reflects the relevant knowledge of persons who, if their potential testi- mony were known, might reasonably be expected to be deposed or called as a witness by any of the parties;
(iii) Is something that competent counsel would consider reasonably nec- essary to prepare, evaluate or try a claim or defense; or
(iv) Would not support the disclosing party’s contentions.
(2) In their § 1.733(i)(4) pre-status-con- ference filings, parties to Accelerated Docket proceedings may request the production of additional documents. In their § 1.733(i)(4) filings, parties may also seek leave to conduct a reasonable number of depositions, including depo- sitions of expert witnesses, if any. When requesting additional discovery, each party shall be prepared at the sta- tus conference to justify its requests by identifying the specific issue or issues on which it expects to obtain evidence from each request.
(3) Interrogatories shall not be rou- tinely granted in Accelerated Docket proceedings. A party to an Accelerated Docket proceeding that prefers inter- rogatories to the other forms of avail- able discovery, for reasons of conven- ience or expense, may seek leave in its § 1.733(i)(4) pre-status-conference filing
to propound a limited number of inter- rogatories.
(4) Expert Witnesses. (i) Any complainant in an Acceler-
ated Docket proceeding that intends to rely on expert testimony for a purpose other than to rebut a defendant’s ex- pert evidence, shall identify its expert witnesses in the information designa- tion required by § 1.721(a)(10)(i). In its § 1.721(a)(10)(i) information designation, such a complainant shall also provide its expert statement. For purposes of this paragraph (i)(4), an expert state- ment shall include a brief statement of the opinions to be expressed by the ex- pert, the basis and reasons therefor and any data or other information that the witness considered in forming her opin- ions.
(ii) Any defendant in an Accelerated Docket proceeding that intends to rely on expert testimony shall identify its expert witnesses in the information designation required by § 1.724(f)(1). Such a defendant shall provide its ex- pert statement with its § 1.733(i)(4), pre- status-conference filing.
(iii) Any complainant in an Acceler- ated Docket proceeding that intends to rely on previously undisclosed expert testimony to rebut any portion of the defendant’s case shall identify the ex- pert and provide the appropriate expert statement at the initial status con- ference.
(iv) Expert witnesses shall be subject to deposition in Accelerated Docket proceedings under the same rules and limitations applicable to fact wit- nesses.
[63 FR 1038, Jan. 7, 1998, as amended at 63 FR 41447, Aug. 4, 1998]
§ 1.730 The Enforcement Bureau’s Ac- celerated Docket.
(a) Parties to formal complaint pro- ceedings against common carriers within the responsibility of the En- forcement Bureau (see §§ 0.111, 0.311, 0.314 of this chapter) may request in- clusion on the Bureau’s Accelerated Docket. As set out in §§ 1.720 through 1.736, proceedings on the Accelerated Docket are subject to shorter pleading deadlines and certain other procedural rules that do not apply to other formal complaint proceedings before the En- forcement Bureau.
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(b) Any party that contemplates fil- ing a formal complaint may submit a request to the Chief of the Enforce- ment Bureau’s Market Disputes Reso- lution Division, either by phone or in writing, seeking inclusion of its com- plaint, once filed, on the Accelerated Docket. In appropriate cases, Commis- sion staff shall schedule and supervise pre-filing settlement negotiations be- tween the parties to the dispute. If the parties do not resolve their dispute and the matter is accepted for handling on the Accelerated Docket, the complain- ant shall file its complaint with a let- ter stating that it has gained admis- sion to the Accelerated Docket. When it files its complaint, such a complain- ant shall also serve a copy of its com- plaint on the Commission staff that su- pervised the pre-filing settlement dis- cussions.
(c) Within five days of receiving serv- ice of a complaint, any defendant in a formal complaint proceeding may sub- mit by facsimile or hand delivery, to the Chief of the Enforcement Bureau’s Market Disputes Resolution Division, a request seeking inclusion of its pro- ceeding on the Accelerated Docket. Such a defendant contemporaneously shall transmit, in the same manner, a copy of its request to all parties to the proceeding. A defendant submitting such a request shall file and serve its answer in compliance with the require- ments of § 1.724(k), except that the de- fendant shall not be required to serve with its answer the automatic docu- ment production required by §§ 1.724(k)(7) and 1.729(i)(1). In pro- ceedings accepted onto the Accelerated Docket at a defendant’s request, the Commission staff will conduct super- vised settlement discussions as appro- priate. After accepting such a pro- ceeding onto the Accelerated Docket, Commission staff will establish a schedule for the remainder of the pro- ceeding, including the parties’ § 1.729(i)(1) automatic production of documents.
(d) During the thirty days following the effective date of these rules, any party to a pending formal complaint proceeding in which an answer has been filed or is past due may seek ad- mission of the proceeding to the Accel- erated Docket by submitting a request
by facsimile or hand delivery to the Chief of the Enforcement Bureau’s Market Disputes Resolution Division, with facsimile copies to all other par- ties to the proceeding by the same mode of transmission. If a pending pro- ceeding is accepted onto the Acceler- ated Docket, Commission staff will conduct supervised settlement discus- sions if appropriate and establish a schedule for the remainder of the pro- ceeding, including the parties’ § 1.729(i)(1) automatic production of documents if necessary.
(e) In determining whether to admit a proceeding onto the Accelerated Docket, Commission staff may con- sider factors from the following, non- exclusive list:
(1) Whether it appears that the par- ties to the dispute have exhausted the reasonable opportunities for settle- ment during the staff-supervised settle- ment discussions.
(2) Whether the expedited resolution of a particular dispute or category of disputes appears likely to advance competition in the telecommuni- cations market.
(3) Whether the issues in the pro- ceeding appear suited for decision under the constraints of the Acceler- ated Docket. This factor may entail, inter alia, examination of the number of distinct issues raised in a proceeding, the likely complexity of the necessary discovery, and whether the complain- ant bifurcates any damages claims for decision in a separate proceeding. See § 1.722(b).
(4) Whether the complainant states a claim for violation of the Act, or Com- mission rule or order that falls within the Commission’s jurisdiction.
(5) Whether it appears that inclusion of a proceeding on the Accelerated Docket would be unfair to one party because of an overwhelming disparity in the parties’ resources.
(6) Such other factors as the Commis- sion staff, within its substantial discre- tion, may deem appropriate and condu- cive to the prompt and fair adjudica- tion of complaint proceedings.
(f) If it appears at any time that a proceeding on the Accelerated Docket is no longer appropriate for such treat- ment, Commission staff may remove
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47 CFR Ch. I (10–1–10 Edition)§ 1.730
the matter from the Accelerated Dock- et either on its own motion or at the request of any party.
(g) Minitrials. (1) In Accelerated Docket pro-
ceedings, the Commission may conduct a minitrial, or hearing-type pro- ceeding, as an alternative to requiring that parties submit briefs in support of their cases. Minitrials typically will take place between 40 and 45 days after the filing of the complaint. A Commis- sion Administrative Law Judge (‘‘ALJ’’) typically will preside at the minitrial, administer oaths to wit- nesses, and time the parties’ presen- tation of their cases. In consultation with the Commission staff, the ALJ will rule on objections or procedural issues that may arise during the course of the minitrial.
(2) Before a minitrial, each party will receive a specific time allotment in which it may present evidence and make argument during the minitrial. The ALJ or other Commission staff presiding at the minitrial will deduct from each party’s time allotment any time that the party spends presenting either evidence or argument during the proceeding. The presiding official shall have broad discretion in determining any time penalty or deduction for a party who appears to be intentionally delaying either the proceeding or the presentation of another party’s case. Within the limits imposed by its time allotment, a party may present evi- dence and argument in whatever man- ner or format it chooses, provided, however, that the submission of writ- ten testimony shall not be permitted.
(3) Three days before a minitrial, each party to a proceeding shall serve on all other parties a copy of all exhib- its that the party intends to introduce during the minitrial and a list of all witnesses, including expert witnesses, that the party may call during the minitrial. Service of this material shall be accomplished either by hand or by facsimile transmission. Objections to any exhibits or proposed witness tes- timony will be heard before the begin- ning of the minitrial.
(4) No party will be permitted to call as a witness in a minitrial, or other- wise offer evidence from, an individual in that party’s employ, unless the indi-
vidual appears on the party’s informa- tion designation (see §§ 1.721(a)(10)(i) or 1.724(f)(1)) with a general description of the issues on which she will offer evi- dence. No party will be permitted to present expert evidence unless the party has complied fully with the ex- pert-disclosure requirements of § 1.729(i)(4). The Commission may per- mit exceptions to the rules in this paragraph (g)(4) for good cause shown.
(5) Two days before the beginning of the minitrial, parties shall file pro- posed findings of fact and conclusions of law. These submissions shall not ex- ceed 40 pages per party. Within three days after the conclusion of the mini- trial, parties may submit revised pro- posed findings of fact and conclusions of law to meet evidence introduced or arguments raised at the minitrial. These submissions shall not exceed 20 pages per party.
(6) The parties shall arrange for the stenographic transcription of minitrial proceedings so that transcripts are available and filed with the Commis- sion no more than three days after the conclusion of the minitrial. Absent an agreement to the contrary, the cost of the transcript shall be shared equally between the parties to the proceeding.
(h) Applications for review of staff decisions issued on delegated authority in Accelerated Docket proceedings shall comply with the filing and serv- ice requirements in § 1.115(e)(4). In those Accelerated Docket proceedings which raise issues that may not be de- cided on delegated authority (see 47 U.S.C. 155(c)(1); 47 CFR 0.291(d)), the staff decision issued after the minitrial will be a recommended decision subject to adoption or modification by the Commission. Any party to the pro- ceeding that seeks modification of the recommended decision may do so by filing comments challenging the deci- sion within 15 days of its release by the Commission’s Office of Media Rela- tions. (Compare § 1.4(b)(2).) Opposition comments may be filed within 15 days of the comments challenging the deci- sion; reply comments may be filed 10 days thereafter and shall be limited to issues raised in the opposition com- ments.
(i) If no party files comments chal- lenging the recommended decision, the
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Federal Communications Commission § 1.732
Commission will issue its decision adopting or modifying the rec- ommended decision within 45 days of its release. If parties to the proceeding file comments to the recommended de- cision, the Commission will issue its decision adopting or modifying the rec- ommended decision within 30 days of the filing of the final comments.
[63 FR 41448, Aug. 4, 1998, as amended at 64 FR 60725, Nov. 8, 1999]
§ 1.731 Confidentiality of information produced or exchanged by the par- ties.
(a) Any materials generated in the course of a formal complaint pro- ceeding may be designated as propri- etary by that party if the party be- lieves in good faith that the materials fall within an exemption to disclosure contained in the Freedom of Informa- tion Act (FOIA), 5 U.S.C. 552(b) (1) through (9). Any party asserting con- fidentiality for such materials shall so indicate by clearly marking each page, or portion thereof, for which a propri- etary designation is claimed. If a pro- prietary designation is challenged, the party claiming confidentiality shall have the burden of demonstrating, by a preponderance of the evidence, that the material designated as proprietary falls under the standards for nondisclo- sure enunciated in the FOIA.
(b) Materials marked as proprietary may be disclosed solely to the fol- lowing persons, only for use in pros- ecuting or defending a party to the complaint action, and only to the ex- tent necessary to assist in the prosecu- tion or defense of the case:
(1) Counsel of record representing the parties in the complaint action and any support personnel employed by such attorneys;
(2) Officers or employees of the op- posing party who are named by the op- posing party as being directly involved in the prosecution or defense of the case;
(3) Consultants or expert witnesses retained by the parties;
(4) The Commission and its staff; and (5) Court reporters and stenographers
in accordance with the terms and con- ditions of this section.
(c) These individuals shall not dis- close information designated as propri-
etary to any person who is not author- ized under this section to receive such information, and shall not use the in- formation in any activity or function other than the prosecution or defense in the case before the Commission. Each individual who is provided access to the information shall sign a nota- rized statement affirmatively stating that the individual has personally re- viewed the Commission’s rules and un- derstands the limitations they impose on the signing party.
(d) No copies of materials marked proprietary may be made except copies to be used by persons designated in paragraph (b) of this section. Each party shall maintain a log recording the number of copies made of all pro- prietary material and the persons to whom the copies have been provided.
(e) Upon termination of a formal complaint proceeding, including all ap- peals and petitions, all originals and reproductions of any proprietary mate- rials, along with the log recording per- sons who received copies of such mate- rials, shall be provided to the pro- ducing party. In addition, upon final termination of the complaint pro- ceeding, any notes or other work prod- uct derived in whole or in part from the proprietary materials of an oppos- ing or third party shall be destroyed.
[58 FR 25573, Apr. 27, 1993, as amended at 63 FR 1039, Jan. 7, 1998]
§ 1.732 Other required written submis- sions.
(a) The Commission may, in its dis- cretion, or upon a party’s motion show- ing good cause, require the parties to file briefs summarizing the facts and issues presented in the pleadings and other record evidence.
(b) Unless otherwise directed by the Commission, all briefs shall include all legal and factual claims and defenses previously set forth in the complaint, answer, or any other pleading sub- mitted in the proceeding. Claims and defenses previously made but not re- flected in the briefs will be deemed abandoned. The Commission may, in its discretion, limit the scope of any briefs to certain subjects or issues. A party shall attach to its brief copies of all documents, data compilations, tan- gible things, and affidavits upon which
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47 CFR Ch. I (10–1–10 Edition)§ 1.733
such party relies or intends to rely to support the facts alleged and legal ar- guments made in its brief and such brief shall contain a full explanation of how each attachment is relevant to the issues and matters in dispute. All such attachments to a brief shall be docu- ments, data compilations or tangible things, or affidavits made by persons, that were identified by any party in its information designations filed pursu- ant to §§ 1.721(a)(10)(i), (a)(10)(ii), 1.724(f)(1), (f)(2), and 1.726(d)(1), (d)(2). Any other supporting documentation or affidavits that is attached to a brief must be accompanied by a full expla- nation of the relevance of such mate- rials and why such materials were not identified in the information designa- tions. These briefs shall contain the proposed findings of fact and conclu- sions of law which the filing party is urging the Commission to adopt, with specific citation to the record, and sup- porting relevant authority and anal- ysis.
(c) In cases in which discovery is not conducted, absent an order by the Com- mission that briefs be filed, parties may not submit briefs. If the Commis- sion does authorize the filing of briefs in cases in which discovery is not con- ducted, briefs shall be filed concur- rently by both the complainant and de- fendant at such time as designated by the Commission staff and in accord- ance with the provisions of this sec- tion.
(d) In cases in which discovery is con- ducted, briefs shall be filed concur- rently by both the complainant and de- fendant at such time designated by the Commission staff.
(e) Briefs containing information which is claimed by an opposing or third party to be proprietary under § 1.731 shall be submitted to the Com- mission in confidence pursuant to the requirements of § 0.459 of this chapter and clearly marked ‘‘Not for Public In- spection.’’ An edited version removing all proprietary data shall also be filed with the Commission for inclusion in the public file. Edited versions shall be filed within five days from the date the unedited brief is submitted, and served on opposing parties.
(f) Initial briefs shall be no longer than twenty-five pages. Reply briefs
shall be no longer than ten pages. Ei- ther on its own motion or upon proper motion by a party, the Commission staff may establish other page limits for briefs.
(g) The Commission may require the parties to submit any additional infor- mation it deems appropriate for a full, fair, and expeditious resolution of the proceeding, including affidavits and ex- hibits.
(h) The parties shall submit a joint statement of stipulated facts, disputed facts, and key legal issues no later than two business days prior to the ini- tial status conference, scheduled in ac- cordance with the provisions of § 1.733(a).
[53 FR 11855, Apr. 11, 1988. Redesignated and amended at 58 FR 25573, Apr. 27, 1993; 63 FR 1039, Jan. 7, 1998]
§ 1.733 Status conference.
(a) In any complaint proceeding, the Commission may, in its discretion, di- rect the attorneys and/or the parties to appear before it for a status con- ference. Unless otherwise ordered by the Commission, and with the excep- tion of Accelerated Docket pro- ceedings, governed by paragraph (i) of this section, an initial status con- ference shall take place, at the time and place designated by the Commis- sion staff, ten business days after the date the answer is due to be filed. A status conference may include discus- sion of:
(1) Simplification or narrowing of the issues;
(2) The necessity for or desirability of additional pleadings or evidentiary submissions;
(3) Obtaining admissions of fact or stipulations between the parties as to any or all of the matters in con- troversy;
(4) Settlement of all or some of the matters in controversy by agreement of the parties;
(5) Whether discovery is necessary and, if so, the scope, type and schedule for such discovery;
(6) The schedule for the remainder of the case and the dates for any further status conferences; and
(7) Such other matters that may aid in the disposition of the complaint.
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Federal Communications Commission § 1.733
(b)(1) Subject to paragraph (i) of this section governing Accelerated Docket proceedings, parties shall meet and confer prior to the initial status con- ference to discuss:
(i) Settlement prospects; (ii) Discovery; (iii) Issues in dispute; (iv) Schedules for pleadings; (v) Joint statement of stipulated
facts, disputed facts, and key legal issues; and
(vi) In a 47 U.S.C. 271(d)(6)(B) pro- ceeding, whether or not the parties agree to waive the 47 U.S.C. 271(d)(6)(B) 90-day resolution deadline.
(2) Subject to paragraph (i) of this section governing Accelerated Docket proceedings, parties shall submit a joint statement of all proposals agreed to and disputes remaining as a result of such meeting to Commission staff at least two business days prior to the scheduled initial status conference.
(c) In addition to the initial status conference referenced in paragraph (a) of this section, any party may also re- quest that a conference be held at any time after the complaint has been filed.
(d) During a status conference, the Commission staff may issue oral rul- ings pertaining to a variety of inter- locutory matters relevant to the con- duct of a formal complaint proceeding including, inter alia, procedural mat- ters, discovery, and the submission of briefs or other evidentiary materials.
(e) Parties may make, upon written notice to the Commission and all at- tending parties at least three business days prior to the status conference, an audio recording of the Commission staff’s summary of its oral rulings. Al- ternatively, upon agreement among all attending parties and written notice to the Commission at least three business days prior to the status conference, the parties may make an audio recording of, or use a stenographer to transcribe, the oral presentations and exchanges between and among the participating parties, insofar as such communica- tions are ‘‘on-the-record’’ as deter- mined by the Commission staff, as well as the Commission staff’s summary of its oral rulings. A complete transcript of any audio recording or stenographic transcription shall be filed with the
Commission as part of the record, pur- suant to the provisions of paragraph (f)(2) of this section. The parties shall make all necessary arrangements for the use of a stenographer and the cost of transcription, absent agreement to the contrary, will be shared equally by all parties that agree to make the record of the status conference.
(f) The parties in attendance, unless otherwise directed, shall either:
(1) Submit a joint proposed order me- morializing the oral rulings made dur- ing the conference to the Commission by 5:30 pm, Eastern Time, on the busi- ness day following the date of the sta- tus conference, or as otherwise directed by Commission staff. In the event the parties in attendance cannot reach agreement as to the rulings that were made, the joint proposed order shall in- clude the rulings on which the parties agree, and each party’s alternative pro- posed rulings for those rulings on which they cannot agree. Commission staff will review and make revisions, if necessary, prior to signing and filing the submission as part of the record. The proposed order shall be submitted both as hard copy and on computer disk in accordance with the require- ments of § 1.734(d); or
(2) Pursuant to the requirements of paragraph (e) of this section, submit to the Commission by 5:30 pm., Eastern Time, on the third business day fol- lowing the status conference or as oth- erwise directed by Commission staff ei- ther:
(i) A transcript of the audio record- ing of the Commission staff’s summary of its oral rulings;
(ii) A transcript of the audio record- ing of the oral presentations and ex- changes between and among the par- ticipating parties, insofar as such com- munications are ‘‘on-the-record’’ as de- termined by the Commission staff, and the Commission staff’s summary of its oral rulings; or
(iii) A stenographic transcript of the oral presentations and exchanges be- tween and among the participating parties, insofar as such communica- tions are ‘‘on-the-record’’ as deter- mined by the Commission staff, and the Commission staff’s summary of its oral rulings.
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47 CFR Ch. I (10–1–10 Edition)§ 1.734
(g) Status conferences will be sched- uled by the Commission staff at such time and place as it may designate to be conducted in person or by telephone conference call.
(h) The failure of any attorney or party, following reasonable notice, to appear at a scheduled conference will be deemed a waiver by that party and will not preclude the Commission staff from conferring with those parties and/ or counsel present.
(i) Accelerated Docket Proceedings. (1) In Accelerated Docket proceedings, the initial status conference will be held 10 days after the answer is due to be filed.
(2) Prior to the initial status con- ference, the parties shall confer, either in person or by telephone, about:
(i) Discovery to which they can agree;
(ii) Facts to which they can stipu- late; and
(iii) Factual and legal issues in dis- pute.
(3) Two days before the status con- ference, parties shall submit to Com- mission staff a joint statement of:
(i) The agreements that they have reached with respect to discovery;
(ii) The facts to which they have agreed to stipulate; and
(iii) The disputed facts or legal issues of which they can agree to a joint statement.
(4) Two days before the status con- ference, each party also shall submit to Commission staff a separate statement which shall include, as appropriate, the party’s statement of the disputed facts and legal issues presented by the com- plaint proceeding and any additional discovery that the party seeks. A com- plainant that wishes to reply to a de- fendant’s affirmative defense shall do so in its pre-status-conference filing. To the extent that this filing contains statements replying to an affirmative defense, the complainant shall include, and/or serve with the statement, the witness information and documents re- quired in § 1.726(g)(3)–(4). A defendant that intends to rely on expert evidence shall include its expert statement in its pre-status conference filing. (See § 1.729(i)(4)(ii).)
[53 FR 11855, Apr. 11, 1988. Redesignated and amended at 58 FR 25573, Apr. 27, 1993; 63 FR 1039, Jan. 7, 1998; 63 FR 41449, Aug. 4, 1998]
§ 1.734 Specifications as to pleadings, briefs, and other documents; sub- scription.
(a) All papers filed in any formal complaint proceeding must be drawn in conformity with the requirements of §§ 1.49 and 1.50.
(b) All averments of claims or de- fenses in complaints and answers shall be made in numbered paragraphs. The contents of each paragraph shall be limited as far as practicable to a state- ment of a single set of circumstances. Each claim founded on a separate transaction or occurrence and each af- firmative defense shall be separately stated to facilitate the clear presen- tation of the matters set forth.
(c) The original of all pleadings and other submissions filed by any party shall be signed by the party, or by the party’s attorney. The signing party shall include in the document his or her address, telephone number, fac- simile number and the date on which the document was signed. Copies should be conformed to the original. Unless specifically required by rule or statute, pleadings need not be verified. The signature of an attorney or party shall be a certificate that the attorney or party has read the pleading, motion, or other paper; that to the best of his or her knowledge, information, and be- lief formed after reasonable inquiry, it is well grounded in fact and is war- ranted by existing law or a good faith argument for the extension, modifica- tion, or reversal of existing law; and that it is not interposed solely for pur- poses of delay or for any other im- proper purpose.
(d) All proposed orders shall be sub- mitted both as hard copies and on com- puter disk formatted to be compatible with the Commission’s computer sys- tem and using the Commission’s cur- rent wordprocessing software. Each disk should be submitted in ‘‘read only’’ mode. Each disk should be clear- ly labelled with the party’s name, pro- ceeding, type of pleading, and date of submission. Each disk should be ac- companied by a cover letter. Parties who have submitted copies of tariffs or reports with their hard copies need not include such tariffs or reports on the disk. Upon showing of good cause, the
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Federal Communications Commission § 1.735
Commission may waive the require- ments of this paragraph.
[53 FR 11855, Apr. 11, 1988. Redesignated at 58 FR 25573, Apr. 27, 1993, as amended at 63 FR 1040, Jan. 7, 1998]
§ 1.735 Copies; service; separate filings against multiple defendants.
(a) Complaints may generally be brought against only one named car- rier; such actions may not be brought against multiple defendants unless the defendant carriers are commonly owned or controlled, are alleged to have acted in concert, are alleged to be jointly liable to complainant, or the complaint concerns common questions of law or fact. Complaints may, how- ever, be consolidated by the Commis- sion for disposition.
(b) The complainant shall file an original copy of the complaint, accom- panied by the correct fee, in accord- ance with part 1, subpart G (see § 1.1106) and, on the same day:
(1) File three copies of the complaint with the Office of the Commission Sec- retary;
(2) Serve two copies on the Market Disputes Resolution Division, Enforce- ment Bureau;
(3) If the complaint is filed against a carrier concerning matters within the responsibility of the International Bu- reau (see § 0.261 of this chapter), serve a copy on the Chief, Policy Division, International Bureau; and
(4) If a complaint is addressed against multiple defendants, pay a separate fee, in accordance with part 1, subpart G (see § 1.1106), and file three copies of the complaint with the Office of the Commission Secretary for each addi- tional defendant.
(c) Generally, a separate file is set up for each defendant. An original plus two copies shall be filed of all plead- ings and documents, other than the complaint, for each file number as- signed.
(d) The complainant shall serve the complaint by hand delivery on either the named defendant or one of the named defendant’s registered agents for service of process on the same date that the complaint is filed with the Commission in accordance with the re- quirements of paragraph (b) of this sec- tion.
(e) Upon receipt of the complaint by the Commission, the Commission shall promptly send, by facsimile trans- mission to each defendant named in the complaint, notice of the filing of the complaint. The Commission shall send, by regular U.S. mail delivery, to each defendant named in the com- plaint, a copy of the complaint. The Commission shall additionally send, by regular U.S. mail to all parties, a schedule detailing the date the answer will be due and the date, time and loca- tion of the initial status conference.
(f) All subsequent pleadings and briefs filed in any formal complaint proceeding, as well as all letters, docu- ments or other written submissions, shall be served by the filing party on the attorney of record for each party to the proceeding, or, where a party is not represented by an attorney, each party to the proceeding either by hand deliv- ery, overnight delivery, or by facsimile transmission followed by regular U.S. mail delivery, together with a proof of such service in accordance with the re- quirements of § 1.47(g). Service is deemed effective as follows:
(1) Service by hand delivery that is delivered to the office of the recipient by 5:30 pm, local time of the recipient, on a business day will be deemed served that day. Service by hand delivery that is delivered to the office of the recipi- ent after 5:30 pm, local time of the re- cipient, on a business day will be deemed served on the following busi- ness day;
(2) Service by overnight delivery will be deemed served the business day fol- lowing the day it is accepted for over- night delivery by a reputable overnight delivery service such as, or comparable to, the US Postal Service Express Mail, United Parcel Service or Federal Ex- press; or
(3) Service by facsimile transmission that is fully transmitted to the office of the recipient by 5:30 pm, local time of the recipient, on a business day will be deemed served that day. Service by facsimile transmission that is fully transmitted to the office of the recipi- ent after 5:30 pm, local time of the re- cipient, on a business day will be deemed served on the following busi- ness day.
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47 CFR Ch. I (10–1–10 Edition)§ 1.736
(g) Supplemental complaint pro- ceedings. Supplemental complaints filed pursuant to section 1.722 shall conform to the requirements set out in this section, except that the complain- ant need not submit a filing fee, and the complainant may effect service pursuant to paragraph (f) of this sec- tion rather than paragraph (d) of this section numerals.
[53 FR 11855, Apr. 11, 1988. Redesignated and amended at 58 FR 25573, 25574, Apr. 27, 1993, as amended at 63 FR 1040, Jan. 7, 1998; 64 FR 60726, Nov. 8, 1999; 66 FR 16617, Mar. 27, 2001; 67 FR 13223, Mar. 21, 2002; 69 FR 41130, July 7, 2004]
§ 1.736 Complaints filed pursuant to 47 U.S.C. 271(d)(6)(B).
(a) Where a complaint is filed pursu- ant to 47 U.S.C. 271(d)(6)(B), parties shall indicate whether they are willing to waive the ninety-day resolution deadline contained in 47 U.S.C. 271(d)(6)(B) in the following manner:
(1) The complainant shall so indicate in both the complaint itself and in the Formal Complaint Intake Form, and the defendant shall so indicate in its answer; or
(2) The parties shall indicate their agreement to waive the ninety-day res- olution deadline to the Commission staff at the initial status conference, to be held in accordance with § 1.733 of the rules.
(b) Requests for waiver of the ninety- day resolution deadline for complaints filed pursuant to 47 U.S.C. 271(d)(6)(B) will not be entertained by the Commis- sion staff subsequent to the initial sta- tus conference, absent a showing by the complainant and defendant that such waiver is in the public interest.
[63 FR 1041, Jan. 7, 1998]
APPLICATIONS
§ 1.741 Scope. The general rules relating to applica-
tions contained in §§ 1.742 through 1.748 apply to all applications filed by car- riers except those filed by public cor- respondence radio stations pursuant to parts 80, 87, and 101 of this chapter, and those filed by common carriers pursu- ant to part 25 of this chapter. Parts 21 and 101 of this chapter contain general rules applicable to applications filed
pursuant to these parts. For general rules applicable to applications filed pursuant to parts 80 and 87 of this chapter, see such parts and subpart F of this part. For rules applicable to ap- plications filed pursuant to part 25, see said part.
[61 FR 26670, May 28, 1996]
§ 1.742 Place of filing, fees, and num- ber of copies.
All applications which do not require a fee shall be filed at the Commission’s main office in Washington, DC., Atten- tion: Office of the Secretary. Hand-de- livered applications will be dated by the Secretary upon receipt (mailed ap- plications will be dated by the Mail Branch) and then forwarded to the Wireline Competition Bureau. All ap- plications accompanied by a fee pay- ment should be filed with the Commis- sion’s lockbox bank in accordance with § 1.1105, Schedule of Fees. The number of copies required for each application and the nonrefundable processing fees and any applicable regulatory fees (see subpart G of this part) which must ac- company each application in order to qualify it for acceptance for filing and consideration are set forth in the rules in this chapter relating to various types of applications. However, if any application is not of the type covered by this chapter, an original and two copies of each such application shall be submitted.
[59 FR 30998, June 16, 1994, as amended at 67 FR 13223, Mar. 21, 2002]
§ 1.743 Who may sign applications.
(a) Except as provided in paragraph (b) of this section, applications, amend- ments thereto, and related statements of fact required by the Commission must be signed by the applicant, if the applicant is an individual; by one of the partners, if the applicant is a part- nership; by an officer or duly author- ized employee, if the applicant is a cor- poration; or by a member who is an of- ficer, if the applicant is an unincor- porated association. Applications, amendments, and related statements of
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fact filed on behalf of eligible govern- ment entities such as states and terri- tories of the United States, their polit- ical subdivisions, the District of Co- lumbia, and units of local government, including incorporated municipalities, must be signed by a duly elected or ap- pointed official who is authorized to do so under the laws of the applicable ju- risdiction.
(b) Applications, amendments there- to, and related statements of fact re- quired by the Commission may be signed by the applicant’s attorney in case of the applicant’s physical dis- ability or of his absence from the United States. The attorney shall in that event separately set forth the rea- son why the application is not signed by the applicant. In addition, if any matter is stated on the basis of the at- torney’s belief only (rather than his knowledge), he shall separately set forth his reasons for believing that such statements are true.
(c) Only the original of applications, amendments, or related statements of fact need be signed; copies may be con- formed.
(d) Applications, amendments, and related statements of fact need not be signed under oath. Willful false state- ments made therein, however, are pun- ishable by fine and imprisonment, U.S. Code, Title 18, section 1001, and by ap- propriate administrative sanctions, in- cluding revocation of station license pursuant to section 312(a)(1) of the Communications Act of 1934, as amend- ed.
(e) ‘‘Signed,’’ as used in this section, means an original hand-written signa- ture, except that by public notice in the FEDERAL REGISTER the Wireline Competition Bureau may allow signa- ture by any symbol executed or adopt- ed by the applicant with the intent that such symbol be a signature, in- cluding symbols formed by computer- generated electronic impulses.
[28 FR 12450, Nov. 22, 1963, as amended at 53 FR 17193, May 16, 1988; 59 FR 59503, Nov. 17, 1994; 67 FR 13223, Mar. 21, 2002]
§ 1.744 Amendments. (a) Any application not designated
for hearing may be amended at any time by the filing of signed amend- ments in the same manner, and with
the same number of copies, as was the initial application. If a petition to deny (or to designate for hearing) has been filed, the amendment shall be served on the petitioner.
(b) After any application is des- ignated for hearing, requests to amend such application may be granted by the presiding officer upon good cause shown by petition, which petition shall be properly served upon all other par- ties to the proceeding.
(c) The applicant may at any time be ordered to amend his application so as to make it more definite and certain. Such order may be issued upon motion of the Commission (or the presiding of- ficer, if the application has been des- ignated for hearing) or upon petition of any interested person, which petition shall be properly served upon the appli- cant and, if the application has been designated for hearing, upon all parties to the hearing.
[29 FR 6444, May 16, 1964, and 31 FR 14394, Nov. 9, 1966]
§ 1.745 Additional statements.
The applicant may be required to submit such additional documents and written statements of fact, signed and verified (or affirmed), as in the judg- ment of the Commission (or the pre- siding officer, if the application has been designated for hearing) may be necessary. Any additional documents and written statements of fact required in connection with applications under Title II of the Communications Act need not be verified (or affirmed).
[29 FR 6444, May 16, 1964]
§ 1.746 Defective applications.
(a) Applications not in accordance with the applicable rules in this chap- ter may be deemed defective and re- turned by the Commission without ac- ceptance of such applications for filing and consideration. Such applications will be accepted for filing and consider- ation if accompanied by petition show- ing good cause for waiver of the rule with which the application does not conform.
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(b) The assignment of a file number, if any, to an application is for the ad- ministrative convenience of the Com- mission and does not indicate the ac- ceptance of the application for filing and consideration.
§ 1.747 Inconsistent or conflicting ap- plications.
When an application is pending or undecided, no inconsistent or con- flicting application filed by the same applicant, his successor or assignee, or on behalf or for the benefit of said ap- plicant, his successor, or assignee, will be considered by the Commission.
§ 1.748 Dismissal of applications. (a) Before designation for hearing. Any
application not designated for hearing may be dismissed without prejudice at any time upon request of the applicant. An applicant’s request for the return of an application that has been accepted for filing and consideration, but not designated for hearing, will be deemed a request for dismissal without preju- dice. The Commission may dismiss an application without prejudice before it has been designated for hearing when the applicant fails to comply or justify noncompliance with Commission re- quests for additional information in connection with such application.
(b) After designation for hearing. A re- quest to dismiss an application without prejudice after it has been designated for hearing shall be made by petition properly served upon all parties to the hearing and will be granted only for good cause shown. An application may be dismissed with prejudice after it has been designated for hearing when the applicant:
(1) Fails to comply with the require- ments of § 1.221(c);
(2) Otherwise fails to prosecute his application; or
(3) Fails to comply or justify non- compliance with Commission requests for additional information in connec- tion with such application.
[28 FR 12450, Nov. 22, 1963, as amended at 29 FR 6445, May 16, 1964]
§ 1.749 Action on application under delegated authority.
Certain applications do not require action by the Commission but, pursu-
ant to the delegated authority con- tained in subpart B of part 0 of this chapter, may be acted upon by the Chief of the Wireline Competition Bu- reau subject to reconsideration by the Commission.
[67 FR 13223, Mar. 21, 2002]
SPECIFIC TYPES OF APPLICATIONS UNDER TITLE II OF COMMUNICATIONS ACT
§ 1.761 Cross reference. Specific types of applications under
Title III of the Communications Act in- volving public correspondence radio stations are specified in parts 23, 80, 87, and 101 of this chapter.
[61 FR 26671, May 28, 1996]
§ 1.763 Construction, extension, acqui- sition or operation of lines.
(a) Applications under section 214 of the Communications Act for authority to construct a new line, extend any line, acquire or operate any line or ex- tension thereof, or to engage in trans- mission over or by means of such addi- tional or extended line, to furnish tem- porary or emergency service, or to sup- plement existing facilities shall be made in the form and manner, with the number of copies and accompanied by the fees specified in part 63 of this chapter.
(b) In cases under this section requir- ing a certificate, notice is given to and a copy of the application is filed with the Secretary of Defense, the Secretary of State (with respect to such applica- tions involving service to foreign points), and the Governor of each State involved. Hearing is held if any of these persons desires to be heard or if the Commission determines that a hearing should be held. Copies of applications for certificates are filed with the regu- latory agencies of the States involved.
[28 FR 12450, Nov. 22, 1963, as amended at 64 FR 39939, July 23, 1999]
§ 1.764 Discontinuance, reduction, or impairment of service.
(a) Applications under section 214 of the Communications Act for the au- thority to discontinue, reduce, or im- pair service to a community or part of a community or for the temporary, emergency, or partial discontinuance,
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reduction, or impairment of service shall be made in the form and manner, with the number of copies specified in part 63 of this chapter (see also subpart G, part 1 of this chapter). Posted and public notice shall be given the public as required by part 63 of this chapter.
(b) In cases under this section requir- ing a certificate, notice is given to and a copy of the application is filed with the Secretary of Defense, the Secretary of State (with respect to such applica- tions involving service to foreign points), and the Governor of each State involved. Hearing is held if any of these persons desires to be heard or if the Commission determines that a hearing should be held. Copies of all formal ap- plications under this section request- ing authorizations (including certifi- cates) are filed with the Secretary of Defense, the Secretary of State (with respect to such applications involving service to foreign points) and the Gov- ernor of each State involved. Copies of all applications under this section re- questing authorizations (including cer- tificates) are filed with the regulatory agencies of the States involved.
[28 FR 12450, Nov. 22, 1963, as amended at 52 FR 5289, Feb. 20, 1987]
§ 1.767 Cable landing licenses. (a) Applications for cable landing li-
censes under 47 U.S.C. 34–39 and Execu- tive Order No. 10530, dated May 10, 1954, should be filed in accordance with the provisions of that Executive Order. These applications should contain:
(1) The name, address and telephone number(s) of the applicant;
(2) The Government, State, or Terri- tory under the laws of which each cor- porate or partnership applicant is orga- nized;
(3) The name, title, post office ad- dress, and telephone number of the offi- cer and any other contact point, such as legal counsel, to whom correspond- ence concerning the application is to be addressed;
(4) A description of the submarine cable, including the type and number of channels and the capacity thereof;
(5) A specific description of the cable landing stations on the shore of the United States and in foreign countries where the cable will land. The descrip- tion shall include a map showing spe-
cific geographic coordinates, and may also include street addresses, of each landing station. The map must also specify the coordinates of any beach joint where those coordinates differ from the coordinates of the cable sta- tion. The applicant initially may file a general geographic description of the landing points; however, grant of the application will be conditioned on the Commission’s final approval of a more specific description of the landing points, including all information re- quired by this paragraph, to be filed by the applicant no later than ninety (90) days prior to construction. The Com- mission will give public notice of the filing of this description, and grant of the license will be considered final if the Commission does not notify the ap- plicant otherwise in writing no later than sixty (60) days after receipt of the specific description of the landing points, unless the Commission des- ignates a different time period;
(6) A statement as to whether the cable will be operated on a common carrier or non-common carrier basis;
(7) A list of the proposed owners of the cable system, including each U.S. cable landing station, their respective voting and ownership interests in each U.S. cable landing station, their re- spective voting interests in the wet link portion of the cable system, and their respective ownership interests by segment in the cable;
(8) For each applicant of the cable system, a certification as to whether the applicant is, or is affiliated with, a foreign carrier, including an entity that owns or controls a foreign cable landing station in any of the cable’s destination markets. Include the citi- zenship of each applicant and informa- tion and certifications required in §§ 63.18(h) through (k), and in § 63.18(o), of this chapter;
(9) A certification that the applicant accepts and will abide by the routine conditions specified in paragraph (g) of this section; and
(10) Any other information that may be necessary to enable the Commission to act on the application.
NOTE TO PARAGRAPH (a)(10): Applicants for cable landing licenses may be subject to the consistency certification requirements of the Coastal Zone Management Act, 16 U.S.C.
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1456, if they propose to conduct activities, in or outside of a coastal zone of a state with a federally-approved management plan, affect- ing any land or water use or natural resource of that state’s coastal zone. Before filing their applications for a license to construct and operate a submarine cable system or to modify the construction of a previously ap- proved submarine cable system, applicants must determine whether they are required to certify that their proposed activities will comply with the enforceable policies of a coastal state’s approved management pro- gram. In order to make this determination, applicants should consult National Oceanic Atmospheric Administration (NOAA) regula- tions, 15 CFR part 930, subpart D, and review the approved management programs of coastal states in the vicinity of the proposed landing station to verify that this type of ap- plication is not a listed federal license activ- ity requiring review and that no state has sought or received NOAA approval to review the application as an unlisted activity. If it is determined that any certification is re- quired, applicants shall consult the affected coastal state(s) (or designated state agen- cy(ies)) in determining the contents of any required consistency certification(s). Appli- cants may also consult the Office of Ocean and Coastal Management (OCRM) within NOAA for guidance. The cable landing li- cense application filed with the Commission shall include any consistency certification required by section 1456(c)(3)(A) for any af- fected coastal state(s). Upon documentation from the applicant, or notification from each affected coastal state, that the state has ei- ther concurred, or by its inaction, is conclu- sively presumed to have concurred with the applicant’s consistency certification, the Commission may take action on the applica- tion.
(11)(i) If applying for authority to as- sign or transfer control of an interest in a cable system, the applicant shall complete paragraphs (a)(1) through (a)(3) of this section for both the trans- feror/assignor and the transferee/as- signee. Only the transferee/assignee needs to complete paragraphs (a)(8) through (a)(9) of this section. At the beginning of the application, the appli- cant should also include a narrative of the means by which the transfer or as- signment will take place. The applica- tion shall also specify, on a segment specific basis, the percentage of voting and ownership interests being trans- ferred or assigned in the cable system, including in a U.S. cable landing sta- tion. The Commission reserves the right to request additional information as to the particulars of the transaction
to aid it in making its public interest determination.
(ii) In the event the transaction re- quiring an assignment or transfer of control application also requires the filing of a foreign carrier affiliation no- tification pursuant to § 1.768, the appli- cant shall reference in the application the foreign carrier affiliation notifica- tion and the date of its filing. See § 1.768. See also paragraph (g)(7) of this section (providing for post-transaction notification of pro forma assignments and transfers of control).
(iii) An assignee or transferee must notify the Commission no later than thirty (30) days after either consumma- tion of the assignment or transfer or a decision not to consummate the assign- ment or transfer. The notification shall identify the file numbers under which the initial license and the authoriza- tion of the assignment or transfer were granted.
(b) These applications are acted upon by the Commission after obtaining the approval of the Secretary of State and such assistance from any executive de- partment or establishment of the Gov- ernment as it may require.
(c) Original files relating to sub- marine cable landing licenses and ap- plications for licenses since June 30, 1934, are kept by the Commission. Such applications for licenses (including all documents and exhibits filed with and made a part thereof, with the exception of any maps showing the exact location of the submarine cable or cables to be licensed) and the licenses issued pursu- ant thereto, with the exception of such maps, shall, unless otherwise ordered by the Commission, be open to public inspection in the offices of the Com- mission in Washington, D.C.
(d) Original files relating to licenses and applications for licenses for the landing operation of cables prior to June 30, 1934, were kept by the Depart- ment of State, and such files prior to 1930 have been transferred to the Exec- utive and Foreign Affairs Branch of the General Records Office of the National Archives. Requests for inspection of these files should, however, be ad- dressed to the Federal Communica- tions Commission, Washington, D.C., 20554; and the Commission will obtain such files for a temporary period in
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order to permit inspection at the of- fices of the Commission.
(e) A separate application shall be filed with respect to each individual cable system for which a license is re- quested, or for which modification or amendment of a previous license is re- quested. The application fee for a non common-carrier cable landing license is payment type code BJT. Applicants for common carrier cable landing li- censes shall pay the fees for both a common carrier cable landing license (payment type code CXT) and overseas cable construction (payment type code BIT). There is no application fee for modification of a cable landing license, except that the fee for assignment or transfer of control of a cable landing li- cense is payment type code CUT. See § 1.1107(2) of this chapter.
(f) Applicants shall disclose to any interested member of the public, upon written request, accurate information concerning the location and timing for the construction of a submarine cable system authorized under this section. This disclosure shall be made within 30 days of receipt of the request.
(g) Routine conditions. Except as oth- erwise ordered by the Commission, the following rules apply to each licensee of a cable landing license granted on or after March 15, 2002:
(1) Grant of the cable landing license is subject to:
(i) All rules and regulations of the Federal Communications Commission;
(ii) Any treaties or conventions relat- ing to communications to which the United States is or may hereafter be- come a party; and
(iii) Any action by the Commission or the Congress of the United States rescinding, changing, modifying or amending any rights accruing to any person by grant of the license;
(2) The location of the cable system within the territorial waters of the United States of America, its terri- tories and possessions, and upon its shores shall be in conformity with plans approved by the Secretary of the Army. The cable shall be moved or shifted by the licensee at its expense upon request of the Secretary of the Army, whenever he or she considers such course necessary in the public in- terest, for reasons of national defense,
or for the maintenance and improve- ment of harbors for navigational pur- poses;
(3) The licensee shall at all times comply with any requirements of United States government authorities regarding the location and conceal- ment of the cable facilities, buildings, and apparatus for the purpose of pro- tecting and safeguarding the cables from injury or destruction by enemies of the United States of America;
(4) The licensee, or any person or company controlling it, controlled by it, or under direct or indirect common control with it, does not enjoy and shall not acquire any right to handle traffic to or from the United States, its territories or its possessions unless such service is authorized by the Com- mission pursuant to section 214 of the Communications Act, as amended;
(5)(i) The licensee shall be prohibited from agreeing to accept special conces- sions directly or indirectly from any foreign carrier, including any entity that owns or controls a foreign cable landing station, where the foreign car- rier possesses sufficient market power on the foreign end of the route to affect competition adversely in the U.S. mar- ket, and from agreeing to accept spe- cial concessions in the future.
(ii) For purposes of this section, a special concession is defined as an ex- clusive arrangement involving serv- ices, facilities, or functions on the for- eign end of a U.S. international route that are necessary to land, connect, or operate submarine cables, where the arrangement is not offered to similarly situated U.S. submarine cable owners, indefeasible-right-of-user holders, or lessors, and includes arrangements for the terms for acquisition, resale, lease, transfer and use of capacity on the cable; access to collocation space; the opportunity to provide or obtain backhaul capacity; access to technical network information; and interconnec- tion to the public switched tele- communications network.
NOTE TO PARAGRAPH (g)(5): Licensees may rely on the Commission’s list of foreign car- riers that do not qualify for the presumption that they lack market power in particular foreign points for purposes of determining which foreign carriers are the subject of the requirements of this section. The Commis- sion’s list of foreign carriers that do not
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qualify for the presumption that they lack market power is available from the Inter- national Bureau’s World Wide Web site at http://www.fcc.gov/ib.
(6) Except as provided in paragraph (g)(7) of this section, the cable landing license and rights granted in the li- cense shall not be transferred, as- signed, or disposed of, or disposed of in- directly by transfer of control of the li- censee, unless the Federal Communica- tions Commission gives prior consent in writing;
(7) A pro forma assignee or person or company that is the subject of a pro forma transfer of control of a cable landing license is not required to seek prior approval for the pro forma trans- action. A pro forma assignee or person or company that is the subject of a pro forma transfer of control must notify the Commission no later than thirty (30) days after the assignment or trans- fer of control is consummated. The no- tification must certify that the assign- ment or transfer of control was pro forma, as defined in § 63.24 of this chap- ter, and, together with all previous pro forma transactions, does not result in a change of the licensee’s ultimate con- trol. The licensee may file a single no- tification for an assignment or transfer of control of multiple licenses issued in the name of the licensee if each license is identified by the file number under which it was granted;
(8) Unless the licensee has notified the Commission in the application of the precise locations at which the cable will land, as required by paragraph (a)(5) of this section, the licensee shall notify the Commission no later than ninety (90) days prior to commencing construction at that landing location. The Commission will give public notice of the filing of each description, and grant of the cable landing license will be considered final with respect to that landing location unless the Commis- sion issues a notice to the contrary no later than sixty (60) days after receipt of the specific description. See para- graph (a)(5) of this section;
(9) The Commission reserves the right to require the licensee to file an environmental assessment should it de- termine that the landing of the cable at the specific locations and construc- tion of necessary cable landing stations
may significantly affect the environ- ment within the meaning of § 1.1307 im- plementing the National Environ- mental Policy Act of 1969. See § 1.1307(a) and (b). The cable landing license is subject to modification by the Com- mission under its review of any envi- ronmental assessment or environ- mental impact statement that it may require pursuant to its rules. See also § 1.1306 note 1 and § 1.1307(c) and (d);
(10) The Commission reserves the right, pursuant to section 2 of the Cable Landing License Act, 47 U.S.C. 35, Executive Order No. 10530 as amend- ed, and section 214 of the Communica- tions Act of 1934, as amended, 47 U.S.C. 214, to impose common carrier regula- tion or other regulation consistent with the Cable Landing License Act on the operations of the cable system if it finds that the public interest so re- quires;
(11) The licensee, or in the case of multiple licensees, the licensees collec- tively, shall maintain de jure and de facto control of the U.S. portion of the cable system, including the cable land- ing stations in the United States, suffi- cient to comply with the requirements of the Commission’s rules and any spe- cific conditions of the license;
(12) The licensee shall comply with the requirements of § 1.768;
(13) The cable landing license is rev- ocable by the Commission after due no- tice and opportunity for hearing pursu- ant to section 2 of the Cable Landing License Act, 47 U.S.C. 35, or for failure to comply with the terms of the license or with the Commission’s rules; and
(14) The licensee must notify the Commission within thirty (30) days of the date the cable is placed into serv- ice. The cable landing license shall ex- pire twenty-five (25) years from the in- service date, unless renewed or ex- tended upon proper application. Upon expiration, all rights granted under the license shall be terminated.
(h) Applicants/Licensees. Except as otherwise required by the Commission, the following entities, at a minimum, shall be applicants for, and licensees on, a cable landing license:
(1) Any entity that owns or controls a cable landing station in the United States; and
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(2) All other entities owning or con- trolling a five percent (5%) or greater interest in the cable system and using the U.S. points of the cable system.
(i) Processing of cable landing license applications. The Commission will take action upon an application eligible for streamlined processing, as specified in paragraph (k) of this section, within forty-five (45) days after release of the public notice announcing the applica- tion as acceptable for filing and eligi- ble for streamlined processing. If the Commission deems an application seeking streamlined processing accept- able for filing but ineligible for stream- lined processing, or if an applicant does not seek streamlined processing, the Commission will issue public notice in- dicating that the application is ineli- gible for streamlined processing. With- in ninety (90) days of the public notice, the Commission will take action upon the application or provide public notice that, because the application raises questions of extraordinary complexity, an additional 90-day period for review is needed. Each successive 90-day pe- riod may be so extended.
(j) Applications for streamlining. Each applicant seeking to use the stream- lined grant procedure specified in para- graph (i) of this section shall request streamlined processing in its applica- tion. Applications for streamlined processing shall include the informa- tion and certifications required by paragraph (k) of this section. On the date of filing with the Commission, the applicant shall also send a complete copy of the application, or any major amendments or other material filings regarding the application, to: U.S. Co- ordinator, EB/CIP, U.S. Department of State, 2201 C Street, NW., Washington, DC 20520–5818; Office of Chief Counsel/ NTIA, U.S. Department of Commerce, 14th St. and Constitution Ave., NW., Washington, DC 20230; and Defense In- formation Systems Agency, Code RGC, 701 S. Courthouse Road, Arlington, Va. 22204, and shall certify such service on a service list attached to the applica- tion or other filing.
(k) Eligibility for streamlining. Each applicant must demonstrate eligibility for streamlining by:
(1) Certifying that it is not a foreign carrier and it is not affiliated with a
foreign carrier in any of the cable’s destination markets;
(2) Demonstrating pursuant to § 63.12(c)(l)(i) through (iii) of this chap- ter that any such foreign carrier or af- filiated foreign carrier lacks market power; or
(3) Certifying that the destination market where the applicant is, or has an affiliation with, a foreign carrier is a World Trade Organization (WTO) Member and the applicant agrees to ac- cept and abide by the reporting re- quirements set out in paragraph (l) of this section. An application that in- cludes an applicant that is, or is affili- ated with, a carrier with market power in a cable’s non-WTO Member destina- tion country is not eligible for stream- lining.
(4) Certifying that for applications for a license to construct and operate a submarine cable system or to modify the construction of a previously ap- proved submarine cable system, the submarine cable system will not be lo- cated in any states where the cable landing licenses may be subject to the consistency certification requirements of the Coastal Zone Management Act, 16 U.S.C. 1456.
(l) Reporting Requirements Applicable to Licensees Affiliated with a Carrier with Market Power in a Cable’s WTO Destina- tion Market. Any licensee that is, or is affiliated with, a carrier with market power in any of the cable’s WTO Mem- ber destination countries, and that re- quests streamlined processing of an ap- plication under paragraphs (j) and (k) of this section, must comply with the following requirements:
(1) File quarterly reports summa- rizing the provisioning and mainte- nance of all network facilities and services procured from the licensee’s affiliate in that destination market, within ninety (90) days from the end of each calendar quarter. These reports shall contain the following:
(i) The types of facilities and services provided (for example, a lease of wet link capacity in the cable, collocation of licensee’s equipment in the cable station with the ability to provide backhaul, or cable station and backhaul services provided to the li- censee);
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(ii) For provisioned facilities and services, the volume or quantity provisioned, and the time interval be- tween order and delivery; and
(iii) The number of outages and inter- vals between fault report and facility or service restoration; and
(2) File quarterly circuit status re- ports, within ninety (90) days from the end of each calendar quarter and in the format set out by the § 43.82 of this chapter annual circuit status manual with the exception that activated or idle circuits must be reported on a fa- cility-by-facility basis and derived cir- cuits need not be specified. See § 63.10(c)(5) of this chapter.
(m) (1) Except as specified in para- graph (m)(2) of this section, amend- ments to pending applications, and ap- plications to modify a license, includ- ing amendments or applications to add a new applicant or licensee, shall be signed by each initial applicant or li- censee, respectively. Joint applicants or licensees may appoint one party to act as proxy for purposes of complying with this requirement.
(2) Any licensee that seeks to relin- quish its interest in a cable landing li- cense shall file an application to mod- ify the license. Such application must include a demonstration that the appli- cant is not required to be a licensee under paragraph (h) of this section and that the remaining licensee(s) will re- tain collectively de jure and de facto control of the U.S. portion of the cable system sufficient to comply with the requirements of the Commission’s rules and any specific conditions of the li- cense, and must be served on each other licensee of the cable system.
(n) Subject to the availability of electronic forms, all applications and notifications described in this section must be filed electronically through the International Bureau Filing Sys- tem (IBFS). A list of forms that are available for electronic filing can be found on the IBFS homepage. For in- formation on electronic filing require- ments, see part 1, §§ 1.1000 through 1.10018 and the IBFS homepage at http://www.fcc.gov/ibfs. See also §§ 63.20 and 63.53 of this chapter.
NOTE TO § 1.767: The terms ‘‘affiliated’’ and ‘‘foreign carrier,’’ as used in this section, are defined as in § 63.09 of this chapter except
that the term ‘‘foreign carrier’’ also shall in- clude any entity that owns or controls a cable landing station in a foreign market.
[28 FR 12450, Nov. 22, 1963, as amended at 52 FR 5289, Feb. 20, 1987; 61 FR 15726, Apr. 9, 1996; 64 FR 19061, Apr. 19, 1999; 65 FR 51769, Aug. 25, 2000; 65 FR 54799, Sept. 11, 2000; 67 FR 1619, Jan. 14, 2002; 69 FR 40327, July 2, 2004; 70 FR 38796, July 6, 2005; 72 FR 54366, Sept. 25, 2007]
EFFECTIVE DATE NOTE: At 72 FR 54366, Sept. 25, 2007, § 1.767 was amended by adding paragraph (k)(4). This paragraph contains in- formation collection and recordkeeping re- quirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 1.768 Notification by and prior ap- proval for submarine cable landing licensees that are or propose to be- come affiliated with a foreign car- rier.
Any entity that is licensed by the Commission (‘‘licensee’’) to land or op- erate a submarine cable landing in a particular foreign destination market that becomes, or seeks to become, af- filiated with a foreign carrier that is authorized to operate in that market, including an entity that owns or con- trols a cable landing station in that market, shall notify the Commission of that affiliation.
(a) Affiliations requiring prior notifica- tion: Except as provided in paragraph (b) of this section, the licensee must notify the Commission, pursuant to this section, forty-five (45) days before consummation of either of the fol- lowing types of transactions:
(1) Acquisition by the licensee, or by any entity that controls the licensee, or by any entity that directly or indi- rectly owns more than twenty-five per- cent (25%) of the capital stock of the li- censee, of a controlling interest in a foreign carrier that is authorized to op- erate in a market where the cable lands; or
(2) Acquisition of a direct or indirect interest greater than twenty-five per- cent (25%), or of a controlling interest, in the capital stock of the licensee by a foreign carrier that is authorized to operate in a market where the cable lands, or by an entity that controls such a foreign carrier.
(b) Exceptions: (1) Notwithstanding paragraph (a) of this section, the noti- fication required by this section need
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not be filed before consummation, and may instead by filed pursuant to para- graph (c) of this section, if either of the following is true with respect to the named foreign carrier, regardless of whether the destination market where the cable lands is a World Trade Orga- nization (WTO) or non-WTO Member:
(i) The Commission has previously determined in an adjudication that the foreign carrier lacks market power in that destination market (for example, in an international section 214 applica- tion or a declaratory ruling pro- ceeding); or
(ii) The foreign carrier owns no fa- cilities in that destination market. For this purpose, a carrier is said to own facilities if it holds an ownership, inde- feasible-right-of-user, or leasehold in- terest in a cable landing station or in bare capacity in international or do- mestic telecommunications facilities (excluding switches).
(2) In the event paragraph (b)(1) of this section cannot be satisfied, not- withstanding paragraph (a) of this sec- tion, the notification required by this section need not be filed before con- summation, and may instead be filed pursuant to paragraph (c) of this sec- tion, if the licensee certifies that the destination market where the cable lands is a WTO Member and provides certification to satisfy either of the following:
(i) The licensee demonstrates that its foreign carrier affiliate lacks market power in the cable’s destination mar- ket pursuant to § 63.10(a)(3) of this chapter (see § 63.10(a)(3) of this chapter); or
(ii) The licensee agrees to comply with the reporting requirements con- tained in § 1.767(l) effective upon the ac- quisition of the affiliation. See § 1.767(l).
(c) Notification after consummation: Any licensee that becomes affiliated with a foreign carrier and has not pre- viously notified the Commission pursu- ant to the requirements of this section shall notify the Commission within thirty (30) days after consummation of the acquisition.
Example 1 to paragraph (c). Acquisition by a licensee (or by any entity that directly or in- directly controls, is controlled by, or is under direct or indirect common control with the licensee) of a direct or indirect in-
terest in a foreign carrier that is greater than twenty-five percent (25%) but not con- trolling is subject to paragraph (c) of this section but not to paragraph (a) of this sec- tion.
Example 2 to paragraph (c). Notification of an acquisition by a licensee of a hundred per- cent (100%) interest in a foreign carrier may be made after consummation, pursuant to paragraph (c) of this section, if the foreign carrier operates only as a resale carrier.
Example 3 to paragraph (c). Notification of an acquisition by a foreign carrier from a WTO Member of a greater than twenty-five percent (25%) interest in the capital stock of the licensee may be made after consumma- tion, pursuant to paragraph (c) of this sec- tion, if the licensee demonstrates in the post-notification that the foreign carrier lacks market power in the cable’s destina- tion market or the licensee agrees to comply with the reporting requirements contained in § 1.767(l) effective upon the acquisition of the affiliation.
(d) Cross-reference: In the event a transaction requiring a foreign carrier notification pursuant to this section also requires a transfer of control or assignment application pursuant to the requirements of the license granted under § 1.767 or § 1.767(g), the foreign carrier notification shall reference in the notification the transfer of control or assignment application and the date of its filing. See § 1.767(g).
(e) Contents of notification: The notifi- cation shall certify the following infor- mation:
(1) The name of the newly affiliated foreign carrier and the country or countries at the foreign end of the cable in which it is authorized to pro- vide telecommunications services to the public or where it owns or controls a cable landing station;
(2) Which, if any, of those countries is a Member of the World Trade Organi- zation;
(3) The name of the cable system that is the subject of the notification, and the FCC file number(s) under which the license was granted;
(4) The name, address, citizenship, and principal business of any person or entity that directly or indirectly owns at least ten percent (10%) of the equity of the licensee, and the percentage of equity owned by each of those entities (to the nearest one percent (1%));
(5) Interlocking directorates. The name of any interlocking directorates, as defined in § 63.09(g) of this chapter,
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with each foreign carrier named in the notification. See § 63.09(g) of this chap- ter.
(6) With respect to each foreign car- rier named in the notification, a state- ment as to whether the notification is subject to paragraph (a) or (c) of this section. In the case of a notification subject to paragraph (a) of this section, the licensee shall include the projected date of closing. In the case of a notifi- cation subject to paragraph (c) of this section, the licensee shall include the actual date of closing.
(7) If a licensee relies on an exception in paragraph (b) of this section, then a certification as to which exception the foreign carrier satisfies and a citation to any adjudication upon which the li- censee is relying. Licensees relying upon the exceptions in paragraph (b)(2) of this section must make the required certified demonstration in paragraph (b)(2)(i) of this section or the certified commitment to comply with the re- porting requirements in paragraph (b)(2)(ii) of this section in the notifica- tion required by paragraph (c) of this section.
(f) If the licensee seeks to be ex- cepted from the reporting requirements contained in § 1.767(l), the licensee should demonstrate that each foreign carrier affiliate named in the notifica- tion lacks market power pursuant to § 63.10(a)(3) of this chapter. See § 63.10(a)(3) of this chapter.
(g) Procedure. After the Commission issues a public notice of the submis- sions made under this section, inter- ested parties may file comments with- in fourteen (14) days of the public no- tice.
(1) If the Commission deems it nec- essary at any time before or after the deadline for submission of public com- ments, the Commission may impose re- porting requirements on the licensee based on the provisions of § 1.767(l). See § 1.767(l).
(2) In the case of a prior notification filed pursuant to paragraph (a) of this section in which the foreign carrier is authorized to operate in, or own a cable landing station in, a non-WTO Member, the licensee must dem- onstrate that it continues to serve the public interest for it to retain its inter- est in the cable landing license for that
segment of the cable that lands in the non-WTO destination market by dem- onstrating either that the foreign car- rier lacks market power in that des- tination market pursuant to § 63.10(a)(3) of this chapter or the mar- ket offers effective opportunities for U.S. companies to land and operate a submarine cable in that country. If the licensee is unable to make either re- quired showing or is notified that the affiliation may otherwise harm the public interest pursuant to the Com- mission’s policies and rules under 47 U.S.C. 34 through 39 and Executive Order No. 10530, dated May 10, 1954, then the Commission may impose con- ditions necessary to address any public interest harms or may proceed to an immediate authorization revocation hearing.
NOTE TO PARAGRAPH (g)(2): The assessment of whether a destination market offers effec- tive opportunities for U.S. companies to land and operate a submarine cable will be made under the standard established in Rules and Policies on Foreign Participation in the U.S. Telecommunications Market, Market Entry and Regulation of Foreign-Affiliated Entities, IB Docket Nos. 97–142 and 95–22, Report and Order and Order on Reconsideration, 12 FCC Rcd 23891, 23946 at paragraph 130, 62 FR 64741, December 9, 1997.
(h) All licensees are responsible for the continuing accuracy of information provided pursuant to this section for a period of forty-five (45) days after fil- ing. During this period if the informa- tion furnished is no longer accurate, the licensee shall as promptly as pos- sible, and in any event within ten (10) days, unless good cause is shown, file with the Commission a corrected noti- fication referencing the FCC file num- bers under which the original notifica- tion was provided.
(i) A licensee that files a prior notifi- cation pursuant to paragraph (a) of this section may request confidential treatment of its filing, pursuant to § 0.459 of this chapter, for the first twenty (20) days after filing.
(j) Subject to the availability of elec- tronic forms, all notifications de- scribed in this section must be filed electronically through the Inter- national Bureau Filing System (IBFS). A list of forms that are available for electronic filing can be found on the IBFS homepage. For information on
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electronic filing requirements, see part 1, §§ 1.1000 through 1.10018 and the IBFS homepage at http://www.fcc.gov/ibfs. See also §§ 63.20 and 63.53.
NOTE TO § 1.768: The terms ‘‘affiliated’’ and ‘‘foreign carrier,’’ as used in this section, are defined as in § 63.09 of this chapter except that the term ‘‘foreign carrier’’ also shall in- clude an entity that owns or controls a cable landing station in a foreign market.
[67 FR 1622, Jan. 14, 2002, as amended at 70 FR 38797, July 6, 2005]
TARIFFS
§ 1.771 Filing. Schedules of charges, and classifica-
tions, practices, and regulations affect- ing such charges, required under sec- tion 203 of the Communications Act shall be constructed, filed, and posted in accordance with and subject to the requirements of part 61 of this chapter.
§ 1.772 Application for special tariff permission.
Applications under section 203 of the Communications Act for special tariff permission shall be made in the form and manner, with the number of copies set out in part 61 of this chapter.
[52 FR 5289, Feb. 20, 1987]
§ 1.773 Petitions for suspension or re- jection of new tariff filings.
(a) Petition—(1) Content. Petitions seeking investigation, suspension, or rejection of a new or revised tariff fil- ing or any provision thereof shall specify the filing’s Federal Commu- nications Commission tariff number and carrier transmittal number, the items against which protest is made, and the specific reasons why the pro- tested tariff filing warrants investiga- tion, suspension, or rejection under the Communications Act. No petition shall include a prayer that it also be consid- ered a formal complaint. Any formal complaint shall be filed as a separate pleading as provided in § 1.721.
(i) Petitions seeking investigation, suspension, or rejection of a new or re- vised tariff filing or any provision of such a publication, must specify the pertinent Federal Communications Commission tariff number and carrier transmittal number; the matters pro- tested; and the specific reasons why
the tariff warrants investigation, sus- pension, or rejection. When a single pe- tition asks for more than one form of relief, it must separately and distinctly plead and support each form of relief. However, no petition may ask that it also be considered a formal complaint. Formal complaints must be separately lodged, as provided in § 1.721.
(ii) For purposes of this section, tar- iff filings by nondominant carriers will be considered prima facie lawful, and will not be suspended by the Commis- sion unless the petition requesting sus- pension shows:
(A) That there is a high probability the tariff would be found unlawful after investigation;
(B) That the harm alleged to com- petition would be more substantial than the injury to the public arising from the unavailability of the service pursuant to the rates and conditions proposed in the tariff filing;
(C) That irreparable injury will re- sult if the tariff filing is not suspended; and
(D) That the suspension would not otherwise be contrary to the public in- terest.
(iii) For the purpose of this section, any tariff filing by a local exchange carrier filed pursuant to the require- ments of § 61.39 will be considered prima facie lawful and will not be sus- pended by the Commission unless the petition requesting suspension shows that the cost and demand studies or av- erage schedule information was not provided upon reasonable request. If such a showing is not made, then the filing will be considered prima facie lawful and will not be suspended by the Commission unless the petition re- questing suspension shows each of the following:
(A) That there is a high probability the tariff would be found unlawful after investigation;
(B) That any unreasonable rate would not be corrected in a subsequent filing;
(C) That irreparable injury will re- sult if the tariff filing is not suspended; and
(D) That the suspension would not otherwise be contrary to the public in- terest.
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(iv) For the purposes of this section, tariff filings made pursuant to § 61.49(b) by carriers subject to price cap regula- tion will be considered prima facie law- ful, and will not be suspended by the Commission unless the petition shows that the support information required in § 61.49(b) was not provided, or unless the petition requesting suspension shows each of the following:
(A) That there is a high probability the tariff would be found unlawful after investigation;
(B) That the suspension would not substantially harm other interested parties;
(C) That irreparable injury will re- sult if the tariff filing is not suspended; and
(D) That the suspension would not otherwise be contrary to the public in- terest.
(v) For the purposes of this section, any tariff filing by a price cap LEC filed pursuant to the requirements of § 61.42(d)(4)(ii) of this chapter will be considered prima facie lawful, and will not be suspended by the Commission unless the petition requesting suspen- sion shows each of the following:
(A) That there is a high probability the tariff would be found unlawful after investigation;
(B) That any unreasonable rate would not be corrected in a subsequent filing;
(C) That irreparable injury will re- sult if the tariff filing is not suspended; and
(D) That the suspension would not otherwise be contrary to the public in- terest.
(2) When filed. All petitions seeking investigation, suspension, or rejection of a new or revised tariff filing shall meet the filing requirements of this paragraph. In case of emergency and within the time limits provided, a tele- graphic request for such relief may be sent to the Commission setting forth succinctly the substance of the matters required by paragraph (a)(1) of this sec- tion. A copy of any such telegraphic re- quest shall be sent simultaneously to the Chief, Wireline Competition Bu- reau, the Chief, Pricing Policy Divi- sion, and the publishing carrier. There- after, the request shall be confirmed by
petition filed and served in accordance with § 1.773(a)(4).
(i) Petitions seeking investigation, suspension, or rejection of a new or re- vised tariff filed pursuant to section 204(a)(3) of the Communications Act made on 7 days notice shall be filed and served within 3 calendar days after the date of the tariff filing.
(ii) Petitions seeking investigation, suspension, or rejection of a new or re- vised tariff filing made on less than 15 days notice shall be filed and served within 6 days after the date of the tar- iff filing.
(iii) Petitions seeking investigation, suspension, or rejection of a new or re- vised tariff filing made on at least 15 but less than 30 days notice shall be filed and served within 7 days after the date of the tariff filing.
(iv) Petitions seeking investigation, suspension, or rejection of a new or re- vised tariff filing made on at least 30 but less than 90 days notice shall be filed and served within 15 days after the date of the tariff filing.
(v) Petitions seeking investigation, suspension, or rejection of a new or re- vised tariff filing mode on 90 or more days notice shall be filed and served within 25 days after the date of the tar- iff filing.
(3) Computation of time. Intermediate holidays shall be counted in deter- mining the above filing dates. If the date for filing the petition falls on a holiday, the petition shall be filed on the next succeeding business day.
(4) Copies, service. An original and four copies of each petition shall be filed with the Commission as follows: The original and three copies of each petition shall be filed with the Sec- retary, 445 12th Street, SW., Wash- ington, DC 20554; one copy must be de- livered directly to the Commission’s copy contractor. Additional, separate copies shall be served simultaneously upon the Chief, Wireline Competition Bureau; and the Chief, Pricing Policy Division. Petitions seeking investiga- tion, suspension, or rejection of a new or revised tariff made on 15 days or less notice shall be served either personally or via facsimile on the filing carrier. If a petition is served via facsimile, a copy of the petition must also be sent to the filing carrier via first class mail
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on the same day of the facsimile trans- mission. Petitions seeking investiga- tion, suspension, or rejection of a new or revised tariff filing made on more than 15 days notice may be served on the filing carrier by mail.
(b) Reply—(1) When filed. A publishing carrier’s reply to a petition for relief from a tariff filing shall be filed in ac- cordance with the following periods:
(i) Replies to petitions seeking inves- tigation, suspension, or rejection of a new or revised tariff filed pursuant to section 204(a)(3) of the Act made on 7 days notice shall be filed and served within 2 days after the date the peti- tion is filed with the Commission.
(ii) Replies to petitions seeking in- vestigation, suspension, or rejection of a new or revised tariff filing made on less than 15 days notice shall be filed and served within 3 days after the date the petition is due to be filed with the Commission.
(iii) Replies to petitions seeking in- vestigation, suspension, or rejection of a new or revised tariff filing made on at least 15 but less than 30 days notice shall be filed and served within 4 days after service of the petition.
(iv) Replies to petitions seeking in- vestigation, suspension, or rejection of a new or revised tariff filing made on at least 30 but less than 90 days notice shall be filed and served within 5 days after service of the petition.
(v) Replies to petitions seeking inves- tigation, suspension, or rejection of a new or revised tariff filing made on 90 or more days notice shall be filed and served within 8 days after service of the petition.
(vi) Where all petitions against a tar- iff filing have not been filed on the same day, the publishing carrier may file a consolidated reply to all the peti- tions. The time for filing such a con- solidated reply will begin to run on the last date for timely filed petitions, as fixed by paragraphs (a)(2) (i) through (iv) of this section, and the date on which the consolidated reply is due will be governed by paragraphs (b)(1) (i) through (iv) of this section.
(2) Computation of time. Intermediate holidays shall be counted in deter- mining the 3-day filing date for replies to petitions seeking investigation, sus- pension, or rejection of a new or re-
vised tariff filing made on less than 15 days notice. Intermediate holidays shall not be counted in determining fil- ing dates for replies to petitions seek- ing investigation, suspension, or rejec- tion of a new or revised tariff filing made on 15 or more days notice. When a petition is permitted to be served upon the filing carrier by mail, an ad- ditional 3 days (counting holidays) may be allowed for filing the reply. If the date for filing the reply falls on a holi- day, the reply may be filed on the next succeeding business day.
(3) Copies, service. An original and four copies of each reply shall be filed with the Commission, as follows: the original and three copies must be filed with the Secretary, 445 12th Street, SW., Washington, DC 20554; one copy must be delivered directly to the Com- mission’s copy contractor. Additional separate copies shall be served simulta- neously upon the Chief, Wireline Com- petition Bureau, the Chief, Pricing Pol- icy Division and the petitioner. Replies to petitions seeking investigation, sus- pension, or rejection of a new or re- vised tariff made on 15 days or less no- tice shall be served on petitioners per- sonally or via facsimile. Replies to pe- titions seeking investigation, suspen- sion, or rejection of a new or revised tariff made on more than 15 days no- tice may be served upon petitioner per- sonally, by mail or via facsimile.
[45 FR 64190, Sept. 29, 1980, as amended at 49 FR 40876, Oct. 18, 1984; 49 FR 49466, Dec. 20, 1984; 52 FR 26682, July 16, 1987; 54 FR 19840, May 8, 1989; 58 FR 17529, Apr. 5, 1993; 58 FR 51247, Oct. 1, 1993; 62 FR 5777, Feb. 7, 1997; 64 FR 51264, Sept. 22, 1999; 65 FR 58466, Sept. 29, 2000; 67 FR 13223, Mar. 21, 2002; 71 FR 15618, Mar. 29, 2006; 74 FR 68544, Dec. 28, 2009]
§ 1.774 Pricing flexibility.
(a) Petitions. (1) A petition seeking pricing flexibility for specific services pursuant to part 69, subpart H, of this chapter, with respect to a metropolitan statistical area (MSA), as defined in § 22.909(a) of this chapter, or the non- MSA parts of a study area, must show that the price cap LEC has met the rel- evant thresholds set forth in part 69, subpart H, of this chapter.
(2) The petition must make a sepa- rate showing for each MSA for which the petitioner seeks pricing flexibility,
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and for the portion of the study area that falls outside any MSA.
(3) Petitions seeking pricing flexi- bility for services described in §§ 69.709(a) and 69.711(a) of this chapter must include:
(i) The total number of wire centers in the relevant MSA or non-MSA parts of a study area, as described in § 69.707 of this chapter;
(ii) The number and location of the wire centers in which competitors have collocated in the relevant MSA or non- MSA parts of a study area, as described in § 69.707 of this chapter;
(iii) In each wire center on which the price cap LEC bases its petition, the name of at least one collocator that uses transport facilities owned by a provider other than the price cap LEC to transport traffic from that wire cen- ter; and
(iv)(A) The percentage of the wire centers in the relevant MSA or non- MSA area, as described in § 69.707 of this chapter, in which competitors have collocated and use transport fa- cilities owned by a provider other than the price cap LEC to transport traffic from that wire center; or
(B) The percentage of total base pe- riod revenues generated by the services at issue in the petition that are attrib- utable to wire centers in the relevant MSA or non-MSA area, as described in § 69.707 of this chapter, in which com- petitors have collocated and use trans- port facilities owned by a provider other than the price cap LEC to trans- port traffic from that wire center.
(4) Petitions seeking pricing flexi- bility for services described in § 69.713(a) of this chapter must make a showing sufficient to meet the relevant requirements of § 69.713 of this chapter.
(b) Confidential treatment. A price cap LEC wishing to request confidential treatment of information contained in a pricing flexibility petition should demonstrate, by a preponderance of the evidence, that the information should be withheld from public inspection in accordance with the requirements of § 0.459 of this chapter.
(c) Oppositions. Any interested party may file comments or oppositions to a petition for pricing flexibility. Com- ments and oppositions shall be filed no later than 15 days after the petition is
filed. Time shall be computed pursuant to § 1.4.
(d) Replies. The petitioner may file a reply to any oppositions filed in re- sponse to its petition for pricing flexi- bility. Replies shall be filed no later than 10 days after comments are filed. Time shall be computed pursuant to § 1.4.
(e) Copies, service. (1)(i) Any price cap LEC filing a petition for pricing flexi- bility must submit its petition pursu- ant to the Commission’s Electronic Tariff Filing System (ETFS), following the procedures set forth in § 61.14(a) of this chapter.
(ii) The price cap LEC must provide to each party upon which the price cap LEC relies to meet its obligations under paragraph (a)(3)(iii) of this sec- tion, the information it provides about that party in its petition, even if the price cap LEC requests that the infor- mation be kept confidential under paragraph (b) of this section.
(A) The price cap LEC must certify in its pricing flexibility petition that it has made such information available to the party.
(B) The price cap LEC may provide data to the party in redacted form, re- vealing only that information to the party that relates to the party.
(C) The price cap LEC must provide to the Commission copies of the infor- mation it provides to such parties.
(2)(i) Interested parties filing opposi- tions or comments in response to a pe- tition for pricing flexibility may file those comments through ETFS.
(ii) Any interested party electing to file an opposition or comment in re- sponse to a pricing flexibility petition through a method other than ETFS must file an original and four copies of each opposition or comment with the Commission, as follows: the original and three copies of each pleading shall be filed with the Secretary, 445 12th Street, SW., Washington, DC 20554; one copy must be delivered directly to the Commission’s copy contractor. Addi- tional, separate copies shall be served upon the Chief, Wireline Competition Bureau and the Chief, Pricing Policy Division.
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(iii) In addition, oppositions and comments shall be served either per- sonally or via facsimile on the peti- tioner. If an opposition or comment is served via facsimile, a copy of the op- position or comment must be sent to the petitioner via first class mail on the same day as the facsimile trans- mission.
(3) Replies shall be filed with the Commission through ETFS. In addi- tion, petitioners choosing to file a reply must serve a copy on each party filing an opposition or comment, either personally or via facsimile. If a reply is served via facsimile, a copy of the reply must be sent to the recipient of that reply via first class mail on the same day as the facsimile trans- mission.
(f) Disposition. (1) A petition for pric- ing flexibility pertaining to special ac- cess and dedicated transport services shall be deemed granted unless the Chief, Wireline Competition Bureau, denies the petition no later than 90 days after the close of the pleading cycle. The period for filing applications for review begins the day the Bureau grants or denies the petition, or the day that the petition is deemed denied. Time shall be computed pursuant to § 1.4.
(2) A petition for pricing flexibility pertaining to common-line and traffic- sensitive services shall be deemed granted unless the Commission denies the petition no later than five months after the close of the pleading cycle. Time shall be computed pursuant to § 1.4.
[64 FR 51264, Sept. 22, 1999, as amended at 67 FR 13223, Mar. 21, 2002; 71 FR 15618, Mar. 29, 2006; 74 FR 68544, Dec. 28, 2009]
CONTRACTS, REPORTS, AND REQUESTS REQUIRED TO BE FILED BY CARRIERS
§ 1.781 Requests for extension of filing time.
Requests for extension of time within which to file contracts, reports, and re- quests referred to in §§ 1.783 through 1.814 shall be made in writing and may be granted for good cause shown.
CONTRACTS
§ 1.783 Filing.
Copies of carrier contracts, agree- ments, concessions, licenses, authoriza- tions or other arrangements, shall be filed as required by part 43 of this chap- ter.
FINANCIAL AND ACCOUNTING REPORTS AND REQUESTS
§ 1.785 Annual financial reports.
(a) An annual financial report shall be filed by telephone carriers and affili- ates as required by part 43 of this chap- ter on form M.
(b) Verified copies of annual reports filed with the Securities and Exchange Commission on its Form 10–K, Form 1– MD, or such other form as may be pre- scribed by that Commission for filing of equivalent information, shall be filed annually with this Commission by each person directly or indirectly con- trolling any communications common carrier in accordance with part 43 of this chapter.
(c) Carriers having separate depart- ments or divisions for carrier and non- carrier operations shall file separate supplemental annual reports with re- spect to such carrier and non-carrier operations in accordance with part 43 of this chapter.
[28 FR 12450, Nov. 22, 1963, as amended at 31 FR 747, Jan. 20, 1966; 47 FR 50697, Nov. 9, 1982; 49 FR 36503, Sept. 18, 1984; 50 FR 41152, Oct. 9, 1985; 58 FR 36143, July 6, 1993]
§ 1.786 [Reserved]
§ 1.787 Reports of proposed changes in depreciation rates.
Carriers shall file reports regarding proposed changes in depreciation rates as required by part 43 of this chapter.
§ 1.788 Reports regarding pensions and benefits.
Carriers shall file reports regarding pensions and benefits as required by part 43 of this chapter.
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47 CFR Ch. I (10–1–10 Edition)§ 1.789
§ 1.789 Reports regarding division of international telegraph communica- tion charges.
Carriers engaging in international telegraph communication shall file re- ports in regard to the division of com- munication charges as required by part 43 of this chapter.
§ 1.790 Reports relating to traffic by international carriers.
Carriers shall file periodic reports re- garding international point-to-point traffic as required by part 43 of this chapter.
[57 FR 8579, Mar. 11, 1992]
§ 1.791 Reports and requests to be filed under part 32 of this chapter.
Reports and requests shall be filed ei- ther periodically, upon the happening of specified events, or for specific ap- proval by class A and class B telephone companies in accordance with and sub- ject to the provisions of part 32 of this chapter.
[55 FR 30461, July 26, 1990]
§ 1.795 Reports regarding interstate rates of return.
Carriers shall file reports regarding interstate rates of return on FCC Form 492 as required by part 65 of this chap- ter.
[52 FR 274, Jan. 5, 1987]
SERVICES AND FACILITIES REPORTS
§ 1.802 Reports relating to continuing authority to supplement facilities or to provide temporary or emer- gency service.
Carriers receiving authority under part 63 of this chapter shall file quar- terly or semiannual reports as required therein.
§ 1.803 Reports relating to reduction in temporary experimental service.
As required in part 63 of this chapter, carriers shall report reductions in serv- ice which had previously been expanded on an experimental basis for a tem- porary period.
§ 1.805 Reports relating to service by carriers engaged in public radio service operations.
Monthly and quarterly reports must be filed with the Commission in con- nection with certain fixed public radio service operations. No form is pre- scribed. A complete description of the contents of these reports is contained in part 23 of this chapter.
MISCELLANEOUS REPORTS
§ 1.811 Reports regarding amendments to charters, by-laws and partner- ship agreements of carriers en- gaged in domestic public radio services.
Amendments to such documents shall be reported and filed in accord- ance with part 21 of this chapter.
§ 1.814 Reports regarding free service rendered the Government for na- tional defense.
Carriers rendering free service in connection with the national defense to any agency of the United States Government shall file reports in ac- cordance with part 2 of this chapter.
§ 1.815 Reports of annual employment. (a) Each common carrier licensee or
permittee with 16 or more full time employees shall file with the Commis- sion, on or before May 31 of each year, on FCC Form 395, an annual employ- ment report.
(b) A copy of every annual employ- ment report filed by the licensee or permittee pursuant to the provisions herein; and copies of all exhibits, let- ters, and other documents filed as part thereof, all amendments thereto, all correspondence between the permittee or licensee and the Commission per- taining to the reports after they have been filed and all documents incor- porated herein by reference are open for public inspection at the offices of the Commission.
(c) Cross references— (1) [Reserved] (2) Applicability of cable television EEO
reporting requirements for FSS facilities, see § 25.601 of this chapter.
[35 FR 12894, Aug. 14, 1970, as amended at 36 FR 3119, Feb. 18, 1971; 58 FR 42249, Aug. 9, 1993; 69 FR 72026, Dec. 10, 2004]
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Federal Communications Commission § 1.824
GRANTS BY RANDOM SELECTION
§ 1.821 Scope. The provisions of §§ 1.822 and 1.824 of
this part apply as indicated to those applications for permits, licenses or authorizations in the Multichannel Multipoint Distribution Service for which action may be taken by the Wireless Telecommunications Bureau pursuant to delegated authority.
[63 FR 68920, Dec. 14, 1998, as amended at 67 FR 13224, Mar. 21, 2002]
§ 1.822 General selection procedures. (a) Mutually exclusive applications
for permits and licenses in the services specified in § 1.821 may be designated for random selection according to the procedures established for each service. Following the random selection, the Commission shall determine whether the applicant is qualified to receive the permit or license. If, after reviewing the tentative selectee’s application and pleadings properly filed against it, the Commission determines that a substan- tial and material question of fact ex- ists, it shall designate the qualifying issue(s) for an expedited hearing.
(b) Expedited hearing procedures. (1) Hearings may be conducted by the Commission or an Administrative Law Judge. In the case of a question which requires oral testimony for its resolu- tion, the hearing will be conducted by an Administrative Law Judge.
(2) Parties have ten (10) days from publication in the FEDERAL REGISTER of the hearing designation order to file notices of appearance.
(3) When the Commission, under § 1.221, issues an order stating the time, place, and nature of the hearing, this order shall instruct the applicant to submit its direct case in writing within thirty (30) days from the order’s release date, or as otherwise specified in the order. The direct written case must set forth all those facts and circumstances related to the issues in the designation order. Documentary evidence upon which the applicant relies must be at- tached. Each exhibit must be numbered and must be accompanied by an affi- davit from someone who has personal knowledge of the facts in the submis- sion and who attests to the truth of the submission.
(4) The order will also specify those petitioners that directly raised an issue which was designated and will in- form these parties of their opportunity to submit a written rebuttal case with- in twenty (20) days after the direct case is due. The procedures in paragraph (b)(3) of this section will apply as to documentary evidence, exhibits, and affidavits.
(5) Appeal of initial decisions ren- dered by an Administrative Law Judge shall lie with the Commission.
[48 FR 27201, June 13, 1983. Redesignated and amended at 50 FR 5991, Feb. 13, 1985]
§ 1.824 Random selection procedures for Multichannel Multipoint Dis- tribution Service and Multipoint Distribution Service H-Channel sta- tions.
(a) If there are mutually exclusive applications for an initial conditional license or license, the Commission may use the random selection process to se- lect the conditional licensee or li- censee. Each such random selection shall be conducted under the direction of the Office of the Managing Director in conjunction with the Office of the Secretary. Following the random selec- tion, the Commission shall announce the tentative selectee and determine whether the applicant is qualified to receive the conditional license or li- cense. If the Commission determines that the tentative selectee is qualified, it shall grant the application. In the event that the tentative selectee’s ap- plication is denied, a second random selection will be conducted. Petitions for Reconsideration, Motions to Stay or Applications for Review may be sub- mitted at the time the Commission grants or denies the application of the tentative selectee. The filing periods specified in the rules shall apply for such pleadings.
(b) Competing applications for condi- tional licenses and licenses shall be designated for random selection in ac- cordance with §§ 1.1621, 1.1622 (a), (b), (c), (d), and (e), and 1.1623. No pref- erences pursuant to § 1.1622 (b)(2) or (b)(3) shall be granted to any MMDS or MDS H-channel applicant whose own- ers, when aggregated, have an owner- ship interest of more than 50 percent in the media of mass communication
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47 CFR Ch. I (10–1–10 Edition)§ 1.901
whose service areas, as set forth at § 1.1622 (e)(1) through (e)(7), wholly en- compass or are encompassed by the protected service area contour, com- puted in accordance with § 21.902(d) of this chapter, for which the license or conditional license is sought.
(c) Petitions to Deny may be filed only against the tentative selectee. These petitions must be filed within 30 days of the Public Notice announcing such tentative selection. A consoli- dated reply may be filed within 15 days of the due date for Petitions to Deny.
[50 FR 5992, Feb. 13, 1985, as amended at 56 FR 57815, Nov. 14, 1991]
Subpart F—Wireless Radio Serv- ices Applications and Pro- ceedings
SOURCE: 28 FR 12454, Nov. 22, 1963, unless otherwise noted.
SCOPE AND AUTHORITY
§ 1.901 Basis and purpose. These rules are issued pursuant to
the Communications Act of 1934, as amended, 47 U.S.C. 151 et seq. The pur- pose of these rules is to establish the requirements and conditions under which entities may be licensed in the Wireless Radio Services as described in this part and in parts 13, 20, 22, 24, 26, 27, 74, 80, 87, 90, 95, 97 and 101 of this chapter.
[68 FR 12755, Mar. 17, 2003]
§ 1.902 Scope. In case of any conflict between the
rules set forth in this subpart and the rules set forth in Parts 13, 20, 22, 24, 26, 27, 74, 80, 87, 90, 95, 97, and 101 of title 47, chapter I of the Code of Federal Regulations, the rules in part 1 shall govern.
[68 FR 12755, Mar. 17, 2003]
§ 1.903 Authorization required. (a) General rule. Stations in the Wire-
less Radio Services must be used and operated only in accordance with the rules applicable to their particular service as set forth in this title and with a valid authorization granted by the Commission under the provisions of
this part, except as specified in para- graph (b) of this section.
(b) Restrictions. The holding of an au- thorization does not create any rights beyond the terms, conditions and pe- riod specified in the authorization. Au- thorizations may be granted upon prop- er application, provided that the Com- mission finds that the applicant is qualified in regard to citizenship, char- acter, financial, technical and other criteria, and that the public interest, convenience and necessity will be served. See §§ 301, 308, and 309, 310 of this chapter.
(c) Subscribers. Authority for sub- scribers to operate mobile or fixed sta- tions in the Wireless Radio Services, except for certain stations in the Rural Radiotelephone Service, is included in the authorization held by the licensee providing service to them. Subscribers are not required to apply for, and the Commission does not accept, applica- tions from subscribers for individual mobile or fixed station authorizations in the Wireless Radio Services. Indi- vidual authorizations are required to operate rural subscriber stations in the Rural Radiotelephone Service, except as provided in § 22.703 of this chapter. Individual authorizations are required for end users of certain Specialized Mo- bile Radio Systems as provided in § 90.655 of this chapter. In addition, cer- tain ships and aircraft are required to be individually licensed under parts 80 and 87 of this chapter. See §§ 80.13, 87.18 of this chapter.
[63 FR 68921, Dec. 14, 1998, as amended at 70 FR 19305, Apr. 13, 2005]
§ 1.907 Definitions. Antenna structure. The term antenna
structure includes the radiating and re- ceiving elements, its supporting struc- tures, towers, and all appurtenances mounted thereon.
Application. A request on a standard form for a station license as defined in § 3(b) of the Communications Act, signed in accordance with § 1.917 of this part, or a similar request to amend a pending application or to modify or renew an authorization. The term also encompasses requests to assign rights granted by the authorization or to transfer control of entities holding au- thorizations.
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Federal Communications Commission § 1.907
Auctionable license. A Wireless Radio Service license identified in § 1.2102 of this part for which competitive bidding is used to select from among mutually exclusive applications.
Auctionable license application. A Wireless Radio Service license applica- tion identified in § 1.2102 of this part for which competitive bidding is used if the application is subject to mutually exclusive applications.
Authorization. A written instrument or oral statement issued by the FCC conveying authority to operate, for a specified term, to a station in the Wire- less Telecommunications Services.
Authorized bandwidth. The maximum bandwidth permitted to be used by a station as specified in the station li- cense. See § 2.202 of this chapter.
Authorized power. The maximum power a station is permitted to use. This power is specified by the Commis- sion in the station’s authorization or rules.
Control station. A fixed station, the transmissions of which are used to con- trol automatically the emissions or op- erations of a radio station, or a remote base station transmitter.
Effective radiated power (ERP). The product of the power supplied to the antenna multiplied by the gain of the antenna referenced to a half-wave dipole.
Equivalent Isotopically Radiated Power (EIRP). The product of the power sup- plied to the antenna multiplied by the antenna gain referenced to an isotropic antenna.
Fixed station. A station operating at a fixed location.
Harmful interference. Interference that endangers the functioning of a radionavigation service or of other safety services or seriously degrades, obstructs, or repeatedly interrupts a radio communications service oper- ating in accordance with the Radio Regulations.
Mobile relay station. A fixed trans- mitter used to facilitate the trans- mission of communications between mobile units.
Mobile station. A radio communica- tion station capable of being moved and which ordinarily does move.
Non-auctionable license. A Wireless Radio Service license identified in
§ 1.2102 of this part for which competi- tive bidding is not used to select from among mutually exclusive applica- tions.
Non-auctionable license application. A Wireless Radio Service license applica- tion for which § 1.2102 of this part pre- cludes the use of competitive bidding if the application is subject to mutually exclusive applications.
Private Wireless Services. Wireless Radio Services authorized by parts 80, 87, 90, 95, 97, and 101 that are not Wire- less Telecommunications Services, as defined in this part.
Radio station. A separate transmitter or a group of transmitters under simul- taneous common control, including the accessory equipment required for car- rying on a radio communications serv- ice.
Receipt date. The date an electronic or paper application is received at the appropriate location at the Commis- sion or U.S. Bank. Amendments to pending applications may result in the assignment of a new receipt date in ac- cordance with § 1.927 of this part.
Universal Licensing System. The Uni- versal Licensing System (ULS) is the consolidated database, application fil- ing system, and processing system for all Wireless Radio Services. ULS sup- ports electronic filing of all applica- tions and related documents by appli- cants and licensees in the Wireless Radio Services, and provides public ac- cess to licensing information.
Wireless Radio Services. All radio serv- ices authorized in parts 13, 20, 22, 24, 26, 27, 74, 80, 87, 90, 95, 97 and 101 of this chapter, whether commercial or pri- vate in nature.
Wireless Telecommunications Services. Wireless Radio Services, whether fixed or mobile, that meet the definition of ‘‘telecommunications service’’ as de- fined by 47 U.S.C. 153, as amended, and are therefore subject to regulation on a common carrier basis. Wireless Tele- communications Services include all radio services authorized by parts 20, 22, 24, 26, and 27 of this chapter. In ad- dition, Wireless Telecommunications Services include Public Coast Stations authorized by part 80 of this chapter, Commercial Mobile Radio Services au- thorized by part 90 of this chapter, and
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47 CFR Ch. I (10–1–10 Edition)§ 1.911
common carrier fixed microwave serv- ices, Local Television Transmission Service (LTTS), Local Multipoint Dis- tribution Service (LMDS), and Digital Electronic Message Service (DEMS), authorized by part 101 of this chapter.
[63 FR 68921, Dec. 14, 1998, as amended at 73 FR 9018, Feb. 19, 2008]
APPLICATION REQUIREMENTS AND PROCEDURES
§ 1.911 Station files. Applications, notifications, cor-
respondence, electronic filings and other material, and copies of author- izations, comprising technical, legal, and administrative data relating to each station in the Wireless Radio Services are maintained by the Com- mission in ULS. These files constitute the official records for these stations and supersede any other records, data- base or lists from the Commission or other sources.
[63 FR 68922, Dec. 14, 1998]
§ 1.913 Application and notification forms; electronic and manual filing.
(a) Application and notification forms. Applicants, licensees, and spectrum lessees (see § 1.9003) shall use the fol- lowing forms and associated schedules for all applications and notifications:
(1) FCC Form 601, Application for Au- thorization in the Wireless Radio Services. FCC Form 601 and associated schedules is used to apply for initial authoriza- tions, modifications to existing author- izations, amendments to pending appli- cations, renewals of station authoriza- tions, developmental authorizations, special temporary authority, notifica- tions, requests for extension of time, and administrative updates.
(2) FCC Form 602, Wireless Radio Serv- ices Ownership Form. FCC Form 602 is used by applicants and licensees in auctionable services to provide and up- date ownership information as required by §§ 1.919, 1.948, 1.2112, and any other section that requires the submission of such information.
(3) FCC Form 603, Application for As- signment of Authorization or Transfer of Control. FCC Form 603 is used by appli- cants and licensees to apply for Com- mission consent to assignments of ex- isting authorizations, to apply for
Commission consent to transfer con- trol of entities holding authorizations, to notify the Commission of the con- summation of assignments or trans- fers, and to request extensions of time for consummation of assignments or transfers. It is also used for Commis- sion consent to partial assignments of authorization, including partitioning and disaggregation.
(4) FCC Form 605, Quick-form Applica- tion for Authorization for Wireless Radio Services. FCC Form 605 is used to apply for Amateur, Ship, Aircraft, and Gen- eral Mobile Radio Service (GMRS) au- thorizations, as well as Commercial Radio Operator Licenses.
(5) FCC Form 608, Notification or Appli- cation for Spectrum Leasing Arrangement. FCC Form 608 is used by licensees and spectrum lessees (see § 1.9003) to notify the Commission regarding spectrum manager leasing arrangements and to apply for Commission consent for de facto transfer leasing arrangements pursuant to the rules set forth in part 1, subpart X. It is also used to notify the Commission if a licensee or spec- trum lessee establishes a private com- mons (see § 1.9080).
(6) FCC Form 609, Application to Re- port Eligibility Event. FCC Form 609 is used by licensees to apply for Commis- sion approval of reportable eligibility events, as defined in § 1.2114.
(b) Electronic filing. Except as speci- fied in paragraph (d) of this section or elsewhere in this chapter, all applica- tions and other filings using the appli- cation and notification forms listed in this section or associated schedules must be filed electronically in accord- ance with the electronic filing instruc- tions provided by ULS. For each Wire- less Radio Service that is subject to mandatory electronic filing, this para- graph is effective on July 1, 1999, or six months after the Commission begins use of ULS to process applications in the service, whichever is later. The Commission will announce by public notice the deployment date of each service in ULS.
(1) Attachments to applications and notifications should be uploaded along with the electronically filed applica- tions and notifications whenever pos- sible. The files, other than the ASCII table of contents, should be in Adobe
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Federal Communications Commission § 1.913
Acrobat Portable Document Format (PDF) whenever possible.
(2) Any associated documents sub- mitted with an application or notifica- tion must be uploaded as attachments to the application or notification whenever possible. The attachment should be uploaded via ULS in Adobe Acrobat Portable Document Format (PDF) whenever possible.
(c) Auctioned license applications. Auc- tioned license applications, as defined in § 1.907 of this part, shall also comply with the requirements of subpart Q of this part and the applicable Commis- sion orders and public notices issued with respect to each auction for a par- ticular service and spectrum.
(d) Manual filing. (1) ULS Forms 601, 603, 605, and 608 may be filed manually or electronically by applicants and li- censees in the following services:
(i) The part 90 Private Land Mobile Radio services for shared spectrum, spectrum in the public safety pool below 746 MHz, and spectrum in the public safety allocation above 746 MHz, except those filed by Commission-cer- tified frequency coordinators;
(ii) The part 97 Amateur Radio Serv- ice, except those filed by Volunteer Ex- amination Coordinators;
(iii) The part 95 General Mobile Radio Service and Personal Radio Service (excluding 218–219 MHz serv- ice);
(iv) The part 80 Maritime Services (excluding the VHF 156–162 MHz Public Coast Stations);
(v) The part 87 Aviation Services; (vi) Part 13 Commercial Radio Opera-
tors; and (vii) Part 101 licensees who are also
members of any of the groups listed in paragraph (d)(1)(i) through (d)(1)(vi) of this section.
(2) Manually filed applications must be submitted to the Commission at the appropriate address with the appro- priate filing fee. The addresses for fil- ing and the fee amounts for particular applications are listed in Subpart G of this part, and in the appropriate fee fil- ing guide for each service available from the Commission’s Forms Dis- tribution Center by calling 1–800–418- FORM (3676).
(3) Manually filed applications re- quiring fees as set forth at Subpart G,
of this part must be filed in accordance with § 0.401(b).
(4) Manually filed applications that do not require fees must be addressed and sent to Federal Communications Commission, 1270 Fairfield Road, Get- tysburg, Pennsylvania 17325–7245.
(5) Standard forms may be repro- duced and the copies used in accord- ance with the provisions of § 0.409 of this chapter.
(6) Attachments to manually filed ap- plications may be filed on a standard 3.5 magnetic diskette formatted to be readable by high density floppy drives operating under MS-DOS (version 3.X or later compatible versions). Each diskette submitted must contain an ASCII text file listing each filename and a brief description of the contents of each file and format for each docu- ment on the diskette. The files on the diskette, other than the table of con- tents, should be in Adobe Acrobat Portable Document Format (PDF) whenever possible. All diskettes sub- mitted must be legibly labelled ref- erencing the application and its filing date.
(e) Applications requiring prior coordi- nation. Parties filing applications that require frequency coordination shall, prior to filing, complete all applicable frequency coordination requirements in service-specific rules contained within this chapter. After appropriate frequency coordination, such applica- tions may be electronically filed via ULS or, if filed manually, must be for- warded to the appropriate address with the appropriate filing fee (if applicable) in accordance with subparagraph (d). Applications filed by the frequency co- ordinator on behalf of the applicant must be filed electronically.
(f) Applications for Amateur licenses. Each candidate for an amateur radio operator license which requires the ap- plicant to pass one or more examina- tion elements must present the admin- istering Volunteer Examiners (VE) with all information required by the rules prior to the examination. The VEs may collect the information re- quired by these rules in any manner of their choosing, including creating their own forms. Upon completion of the ex- amination, the administering VEs will immediately grade the test papers and
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47 CFR Ch. I (10–1–10 Edition)§ 1.915
will then issue a certificate for success- ful completion of an amateur radio op- erator examination (CSCE) if the appli- cant is successful. The VEs will send all necessary information regarding a candidate to the Volunteer-Examiner Coordinator (VEC) coordinating the ex- amination session. Applications filed with the Commission by VECs must be filed electronically via ULS. All other applications for amateur service li- censes may be submitted manually to FCC, 1270 Fairfield Road, Gettysburg, PA 17325–7245, or may be electronically filed via ULS. Feeable requests for van- ity call signs must be filed in accord- ance with § 0.401 of this chapter or elec- tronically filed via ULS.
(g) Section 337 Requests. Applications to provide public safety services sub- mitted pursuant to 47 U.S.C. 337 must be filed on the same form and in the same manner as other applications for the requested frequency(ies), except that applicants must select the service code reflective of the type of service the applicant intends to provide.
[63 FR 68922, Dec. 14, 1998, as amended at 66 FR 55, Jan. 2, 2001; 67 FR 34851, May 16, 2002; 68 FR 42995, July 21, 2003; 68 FR 66276, Nov. 25, 2003; 69 FR 77549, Dec. 27, 2004; 71 FR 26251, May 4, 2006]
EFFECTIVE DATE NOTE: At 69 FR 77549, Dec. 27, 2004, § 1.913(a)(5) was added. This para- graph contains information collection and recordkeeping requirements and will not be- come effective until approval has been given by the Office of Management and Budget.
§ 1.915 General application require- ments.
(a) General requirement. Except as pro- vided in paragraph (b) of this section, for all Wireless Radio Services, station licenses, as defined in section 308(a) of the Communications Act, as amended, operator licenses, modifications or re- newals of licenses, assignments or transfers of control of station licenses or any rights thereunder, and waiver requests associated with any of the foregoing shall be granted only upon an application filed pursuant to §§ 1.913 through 1.917 of this part.
(b)(1) Exception for emergency filings. The Commission may grant station li- censes, or modifications or renewals thereof, without the filing of a formal application in the following cases:
(i) an emergency found by the Com- mission to involve danger to life or property or to be due to damage to equipment;
(ii) a national emergency proclaimed by the President or declared by the Congress and during the continuance of any war in which the United States is engaged, when such action is necessary for the national defense or security or otherwise in furtherance of the war ef- fort; or
(iii) an emergency where the Com- mission finds that it would not be fea- sible to secure renewal applications from existing licensees or otherwise to follow normal licensing procedures.
(2) No such authorization shall be granted for or continue in effect be- yond the period of the emergency or war requiring it. The procedures to be followed for emergency requests sub- mitted under this subparagraph are the same as for seeking special temporary authority under § 1.931 of this part. After the end of the period of emer- gency, the party must submit its re- quest by filing the appropriate FCC form in accordance with paragraph (a) of this section.
[63 FR 68923, Dec. 14, 1998]
§ 1.917 Who may sign applications.
(a) Except as provided in paragraph (b) of this section, applications, amend- ments, and related statements of fact required by the Commission must be signed as follows (either electronically or manually, see paragraph (d) of this section): (1) By the applicant, if the ap- plicant is an individual; (2) by one of the partners if the applicant is a part- nership; (3) by an officer, director, or duly authorized employee, if the appli- cant is a corporation; (4) by a member who is an officer, if the applicant is an unincorporated association; or (5) by the trustee if the applicant is an ama- teur radio service club. Applications, amendments, and related statements of fact filed on behalf of eligible govern- ment entities such as states and terri- tories of the United States, their polit- ical subdivisions, the District of Co- lumbia, and units of local government, including unincorporated municipali- ties, must be signed by a duly elected or appointed official who is authorized
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Federal Communications Commission § 1.919
to do so under the laws of the applica- ble jurisdiction.
(b) Applications, amendments, and related statements of fact required by the Commission may be signed by the applicant’s attorney in case of the ap- plicant’s physical disability or absence from the United States, or by appli- cant’s designated vessel master when a temporary permit is requested for a vessel. The attorney shall, when appli- cable, separately set forth the reason why the application is not signed by the applicant. In addition, if any mat- ter is stated on the basis of the attor- ney’s or master’s belief only (rather than knowledge), the attorney or mas- ter shall separately set forth the rea- sons for believing that such statements are true. Only the original of applica- tions, amendments, and related state- ments of fact need be signed.
(c) Applications, amendments, and related statements of fact need not be signed under oath. Willful false state- ments made therein, however, are pun- ishable by fine and imprisonment, 18 U.S.C. 1001, and by appropriate admin- istrative sanctions, including revoca- tion of station license pursuant to 312(a)(1) of the Communications Act of 1934, as amended.
(d) ‘‘Signed,’’ as used in this section, means, for manually filed applications only, an original hand-written signa- ture or, for electronically filed applica- tions only, an electronic signature. An electronic signature shall consist of the name of the applicant transmitted electronically via ULS and entered on the application as a signature.
[63 FR 68923, Dec. 14, 1998]
§ 1.919 Ownership information. (a) Applicants or licensees in Wire-
less Radio Services that are subject to the ownership reporting requirements of § 1.2112 shall use FCC Form 602 to provide all ownership information re- quired by the chapter.
(b) Any applicant or licensee that is subject to the reporting requirements of § 1.2112 or § 1.2114 shall file an FCC Form 602, or file an updated form if the ownership information on a previously filed FCC Form 602 is not current, at the time it submits:
(1) An initial application for author- ization (FCC Form 601);
(2) An application for license renewal (FCC Form 601);
(3) An application for assignment of authorization or transfer of control (FCC Form 603); or
(4) A notification of consummation of a pro forma assignment of authoriza- tion or transfer of control (FCC Form 603) under the Commission’s forbear- ance procedures (see § 1.948(c ) of this part).
(5) An application reporting any re- portable eligibility event, as defined in § 1.2114.
(c) Reporting of Cellular Cross-Owner- ship Interests. (1) A cellular licensee of one channel block in a cellular geo- graphic service area (CGSA) must re- port current ownership information if the licensee, a party that owns a con- trolling or otherwise attributable in- terest in the licensee, or a party that actually controls the licensee, obtains a direct or indirect ownership interest of more than 10 percent in a cellular li- censee, a party that owns a controlling or otherwise attributable interest in a cellular licensee, or a party that actu- ally controls a cellular licensee, for the other channel block in an overlapping CGSA, if the overlap is located in whole or in part in a Rural Service Area (RSA), as defined in § 22.909 of this chapter. The ownership information must be filed on a FCC Form 602 within 30 days of the date of consummation of the transaction and reflect the specific levels of investment.
(2) For the purposes of paragraph (c) of this section, the following defini- tions and other provisions shall apply:
(i) Non-controlling interests. A direct or indirect non-attributable interest in both systems is excluded from the re- porting requirement set out in para- graph (c)(1) of this section.
(ii) Ownership attribution. For pur- poses of paragraph (c) of this section, ownership and other interests in cel- lular licensees will be attributed to their holders pursuant to the following criteria:
(A) Controlling interest shall be at- tributable. Controlling interest means majority voting equity ownership, any general partnership interest, or any
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means of actual working control (in- cluding negative control) over the op- eration of the licensee, in whatever manner exercised.
(B) Partnership and other ownership interests and any stock interest amounting to 20 percent or more of the equity, or outstanding stock, or out- standing voting stock of a cellular li- censee shall be attributed.
(C) Non-voting stock shall be attrib- uted as an interest in the issuing enti- ty if in excess of the amounts set forth in paragraph (c)(2)(ii)(B) of this sec- tion.
(D) Debt and instruments such as warrants, convertible debentures, op- tions, or other interests (except non- voting stock) with rights of conversion to voting interests shall not be attrib- uted unless and until converted.
(E) Limited partnership interests shall be attributed to limited partners and shall be calculated according to both the percentage of equity paid in and the percentage of distribution of profits and losses.
(F) Officers and directors of a cel- lular licensee shall be considered to have an attributable interest in the en- tity with which they are so associated. The officers and directors of an entity that controls a cellular licensee shall be considered to have an attributable interest in the cellular licensee.
(G) Ownership interests that are held indirectly by any party through one or more intervening corporations will be determined by successive multiplica- tion of the ownership percentages for each link in the vertical ownership chain and application of the relevant attribution benchmark to the resulting product, except that if the ownership percentage for an interest in any link in the chain exceeds 50 percent or rep- resents actual control, it shall be treated as if it were a 100 percent inter- est. (For example, if A owns 20 percent of B, and B owns 40 percent of licensee C, then A’s interest in licensee C would be 8 percent. If A owns 20 percent of B, and B owns 51 percent of licensee C, then A’s interest in licensee C would be 20 percent because B’s ownership of C exceeds 50 percent.)
(H) Any person who manages the op- erations of a cellular licensee pursuant to a management agreement shall be
considered to have an attributable in- terest in such licensee if such person, or its affiliate, has authority to make decisions or otherwise engage in prac- tices or activities that determine, or significantly influence:
(1) The nature or types of services of- fered by such licensee;
(2) The terms upon which such serv- ices are offered; or
(3) The prices charged for such serv- ices.
(I) Any licensee, or its affiliate, who enters into a joint marketing arrange- ments with a cellular licensee, or its affiliate, shall be considered to have an attributable interest, if such licensee or affiliate has authority to make deci- sions or otherwise engage in practices or activities that determine, or signifi- cantly influence:
(1) The nature or types of services of- fered by such licensee;
(2) The terms upon which such serv- ices are offered; or
(3) The prices charged for such serv- ices.
(3) Sunset Provisions. This notification requirement will sunset at the earlier of:
(i) Five years after February 14, 2005, or
(ii) At the cellular licensee’s specific deadline for renewal.
(d) A single FCC Form 602 may be as- sociated with multiple applications filed by the same applicant or licensee. If an applicant or licensee already has a current FCC Form 602 on file when it files an initial application, renewal ap- plication, application for assignment or transfer of control, or notification of a pro forma assignment or transfer, it may certify that it has a current FCC Form 602 on file.
(e) No filing fee is required to submit or update FCC Form 602.
(f) Applicants or licensees in Wireless Radio Services that are not subject to the ownership reporting requirements of § 1.2112 are not required to file FCC Form 602. However, such applicants and licensees may be required by the rules applicable to such services to dis- close the real party (or parties) in in- terest to the application, including (as required) a complete disclosure of the identity and relationship of those per- sons or entities directly or indirectly
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owning or controlling (or both) the ap- plicant or licensee.
[63 FR 68923, Dec. 14, 1998, as amended at 68 FR 42995, July 21, 2003; 69 FR 75170, Dec. 15, 2004; 71 FR 26251, May 4, 2006]
§ 1.923 Content of applications. (a) General. Applications must con-
tain all information requested on the applicable form and any additional in- formation required by the rules in this chapter and any rules pertaining to the specific service for which the applica- tion is filed.
(b) Reference to material on file. Ques- tions on application forms that call for specific technical data, or that can be answered yes or no or with another short answer, must be answered on the form. Otherwise, if documents, exhib- its, or other lengthy showings already on file with the FCC contain informa- tion required in an application, the ap- plication may incorporate such infor- mation by reference, provided that:
(1) The referenced information has been filed in ULS or, if manually filed outside of ULS, the information com- prises more than one ‘‘81⁄2×11’’ page.
(2) The referenced information is cur- rent and accurate in all material re- spects; and
(3) The application states specifically where the referenced information can actually be found, including:
(i) The station call sign or applica- tion file number and its location if the reference is to station files or pre- viously filed applications;
(ii) The title of the proceeding, the docket number, and any legal cita- tions, if the reference is to a docketed proceeding.
(c) Antenna locations. Applications for stations at fixed locations must de- scribe each transmitting antenna site by its geographical coordinates and also by its street address, or by ref- erence to a nearby landmark. Geo- graphical coordinates, referenced to NAD83, must be specified in degrees, minutes, and seconds to the nearest second of latitude and longitude.
(d) Antenna structure registration. Owners of certain antenna structures must notify the Federal Aviation Ad- ministration and register with the Commission as required by Part 17 of this chapter. Applications proposing
the use of one or more new or existing antenna structures must contain the FCC Antenna Registration Number(s) of each structure for which registra- tion is required. If registration is not required, the applicant must provide information in its application suffi- cient for the Commission to verify this fact.
(e) Environmental concerns. Each ap- plicant is required to indicate at the time its application is filed whether or not a Commission grant of the applica- tion may have a significant environ- mental effect, as defined by § 1.1307 of this chapter. If answered affirmatively, an Environmental Assessment, re- quired by § 1.1311 of this chapter, must be filed with the application and envi- ronmental review by the Commission must be completed prior to construc- tion.
(f) International coordination. Channel assignments and/or usage under this part are subject to the applicable pro- visions and requirements of treaties and other international agreements be- tween the United States government and the governments of Canada and Mexico.
(g) Quiet zones. Each applicant is re- quired to comply with the ‘‘Quiet Zone’’ rule (see § 1.924).
(h) Taxpayer Identification Number (TINs). Wireless applicants and licens- ees, including all attributable owners of auctionable licenses as defined by § 1.2112 of this part, are required to pro- vide their Taxpayer Identification Numbers (TINS) (as defined in 26 U.S.C. 6109) to the Commission, pursuant to the Debt Collection Improvement Act of 1996 (DCIA). Under the DCIA, the FCC may use an applicant or licensee’s TIN for purposes of collecting and re- porting to the Department of the Treasury any delinquent amounts aris- ing out of such person’s relationship with the Government. The Commission will not publicly disclose applicant or licensee TINs unless authorized by law, but will assign a ‘‘public identification number’’ to each applicant or licensee registering a TIN. This public identi- fication number will be used for agency purposes other than debt collection.
(i) Unless an exception is set forth elsewhere in this chapter, each appli- cant must specify an address where the
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applicant can receive mail delivery by the United States Postal Service. This address will be used by the Commission to serve documents or direct cor- respondence to the applicant.
[63 FR 68924, Dec. 14, 1998, as amended at 64 FR 53238, Oct. 1, 1999]
§ 1.924 Quiet zones. Areas implicated by this paragraph
are those in which it is necessary to re- strict radiation so as to minimize pos- sible impact on the operations of radio astronomy or other facilities that are highly sensitive to interference. Con- sent throughout this paragraph means written consent from the quiet zone, radio astronomy, research, and receiv- ing installation entity. The areas in- volved and procedures required are as follows:
(a) NRAO, NRRO. The requirements of this paragraph are intended to mini- mize possible interference at the Na- tional Radio Astronomy Observatory site located at Green Bank, Pocahontas County, West Virginia, and at the Naval Radio Research Observatory site at Sugar Grove, Pendleton County, West Virginia.
(1) Applicants and licensees planning to construct and operate a new or modified station at a permanent fixed location within the area bounded by N 39°15′0.4″ on the north, W 78°29′59.0″ on the east, N 37°30′0.4″ on the south, and W 80°29′59.2″ on the west must notify the Director, National Radio Astron- omy Observatory, Post Office Box No. 2, Green Bank, West Virginia 24944, in writing, of the technical details of the proposed operation. The notification must include the geographical coordi- nates of the antenna location, the an- tenna height, antenna directivity (if any), the channel, the emission type and power.
(2) When an application for authority to operate a station is filed with the FCC, the notification required in para- graph (a)(1) of this section may be made prior to, or simultaneously with the application. The application must state the date that notification in ac- cordance with paragraph (a)(1) of this section was made. After receipt of such applications, the FCC will allow a pe- riod of 20 days for comments or objec- tions in response to the notifications
indicated. If an applicant submits writ- ten consent from the National Radio Astronomy Observatory for itself or on behalf of the Naval Radio Research Ob- servatory, the FCC will process the ap- plication without awaiting the conclu- sion of the 20-day period. For services that do not require individual station authorization, entities that have ob- tained written consent from the Na- tional Radio Astronomy Observatory for itself or on behalf of the Naval Radio Research Observatory may begin to operate new or modified facilities prior to the end of the 20-day period. In instances in which notification has been made to the National Radio As- tronomy Observatory prior to applica- tion filing, the applicant must also pro- vide notice to the quiet zone entity upon actual filing of the application with the FCC. Such notice will be made simultaneous with the filing of the ap- plication and shall comply with the re- quirements of paragraph (a)(1) of this section.
(3) If an objection is received during the 20-day period from the National Radio Astronomy Observatory for itself or on behalf of the Naval Radio Research Observatory, the FCC will, after consideration of the record, take whatever action is deemed appropriate.
(b) Table Mountain. The requirements of this paragraph are intended to mini- mize possible interference at the Table Mountain Radio Receiving Zone of the Research Laboratories of the Depart- ment of Commerce located in Boulder County, Colorado.
(1) Licensees and applicants planning to construct and operate a new or modified station at a permanent fixed location in the vicinity of Boulder County, Colorado are advised to give consideration, prior to filing applica- tions, to the need to protect the Table Mountain Radio Receiving Zone from interference. To prevent degradation of the present ambient radio signal level at the site, the Department of Com- merce seeks to ensure that the field strengths of any radiated signals (ex- cluding reflected signals) received on this 1800 acre site (in the vicinity of co- ordinates 40°07′49.9″ North Latitude, 105°14′42.0″ West Longitude) resulting from new assignments (other than mo- bile stations) or from the modification
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or relocation of existing facilities do not exceed the values given in the fol- lowing table:
FIELD STRENGTH LIMITS FOR TABLE MOUNTAIN 1
Frequency range Field
strength (mV/m)
Power flux den-
sity (dBW/ m 2)
Below 540 kHz .................................. 10 ¥65.8 540 to 1600 kHz ................................ 20 ¥59.8 1.6 to 470 MHz .................................. 10 ¥65.8 470 to 890 MHz ................................. 30 ¥56.2 890 MHz and above .......................... 1 ¥85.8
1 NOTE: Equivalent values of power flux density are cal- culated assuming free space characteristic impedance of 376.7W (120πW).
(2) Advance consultation is rec- ommended, particularly for applicants that have no reliable data to indicate whether the field strength or power flux density figures in the above table would be exceeded by their proposed radio facilities. In general, coordina- tion is recommended for:
(i) Stations located within 2.4 kilo- meters (1.5 miles) of the Table Moun- tain Radio Receiving Zone;
(ii) Stations located within 4.8 kilo- meters (3 miles) transmitting with 50 watts or more effective radiated power (ERP) in the primary plane of polariza- tion in the azimuthal direction of the Table Mountain Radio Receiving Zone;
(iii) Stations located with 16 kilo- meters (10 miles) transmitting with 1 kW or more ERP in the primary plane of polarization in the azimuthal direc- tion of Table Mountain Radio Receiv- ing Zone;
(iv) Stations located within 80 kilo- meters (50 miles) transmitting with 25 kW or more ERP in the primary plane of polarization in the azimuthal direc- tion of Table Mountain Receiving Zone.
(3) Applicants concerned are urged to communicate with the Radio Fre- quency Management Coordinator, De- partment of Commerce, NOAA R/OM62, 325 Broadway, Boulder, CO 80305; tele- phone 303–497–6548, in advance of filing their applications with the Commis- sion.
(4) The FCC will not screen applica- tions to determine whether advance consultation has taken place. However, such consultation may avoid the filing of objections from the Department of Commerce or institution of pro-
ceedings to modify the authorizations of stations that radiate signals with a field strength or power flux density at the site in excess of those specified herein.
(c) Federal Communications Commission protected field offices. The requirements of this paragraph are intended to mini- mize possible interference to FCC mon- itoring activities.
(1) Licensees and applicants planning to construct and operate a new or modified station at a permanent fixed location in the vicinity of an FCC pro- tected field office are advised to give consideration, prior to filing applica- tions, to the need to avoid interfering with the monitoring activities of that office. FCC protected field offices are listed in § 0.121 of this chapter.
(2) Applications for stations (except mobile stations) that could produce on any channel a direct wave fundamental field strength of greater than 10 mV/m (¥65.8 dBW/m2 power flux density as- suming a free space characteristic im- pedance of 120π W) in the authorized bandwidth at the protected field office may be examined to determine the po- tential for interference with moni- toring activities. After consideration of the effects of the predicted field strength of the proposed station, in- cluding the cumulative effects of the signal from the proposed station with other ambient radio field strength lev- els at the protected field office, the FCC may add a condition restricting radiation toward the protected field of- fice to the station authorization.
(3) In the event that the calculated field strength exceeds 10 mV/m at the protected field office site, or if there is any question whether field strength levels might exceed that level, advance consultation with the FCC to discuss possible measures to avoid interference to monitoring activities should be con- sidered. Prospective applicants may communicate with: Chief, Enforcement Bureau, Federal Communications Com- mission, Washington, DC 20554.
(4) Advance consultation is rec- ommended for applicants that have no reliable data to indicate whether the field strength or power flux density fig- ure indicated would be exceeded by their proposed radio facilities. In gen- eral, coordination is recommended for:
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(i) Stations located within 2.4 kilo- meters (1.5 miles) of the protected field office;
(ii) Stations located within 4.8 kilo- meters (3 miles) with 50 watts or more average effective radiated power (ERP) in the primary plane of polarization in the azimuthal direction of the pro- tected field offices.
(iii) Stations located within 16 kilo- meters (10 miles) with 1 kw or more av- erage ERP in the primary plane of po- larization in the azimuthal direction of the protected field office;
(iv) Stations located within 80 kilo- meters (50 miles) with 25 kw or more average ERP in the primary plane of polarization in the azimuthal direction of the protected field office;
(v) Advance coordination for stations transmitting on channels above 1000 MHz is recommended only if the pro- posed station is in the vicinity of a pro- tected field office designated as a sat- ellite monitoring facility in § 0.121 of this chapter.
(vi) The FCC will not screen applica- tions to determine whether advance consultation has taken place. However, such consultation may serve to avoid the need for later modification of the authorizations of stations that inter- fere with monitoring activities at pro- tected field offices.
(d) Notification to the Arecibo Observ- atory. The requirements in this section are intended to minimize possible in- terference at the Arecibo Observatory in Puerto Rico. Licensees must make reasonable efforts to protect the Ob- servatory from interference. Licensees planning to construct and operate a new station at a permanent fixed loca- tion on the islands of Puerto Rico, Desecheo, Mona, Vieques or Culebra in services in which individual station li- censes are issued by the FCC; planning to construct and operate a new station at a permanent fixed location on these islands that may cause interference to the operations of the Arecibo Observ- atory in services in which individual station licenses are not issued by the FCC; or planning a modification of any existing station at a permanent fixed location on these islands that would in- crease the likelihood of causing inter- ference to the operations of the Are- cibo Observatory must notify the In-
terference Office, Arecibo Observatory, HC3 Box 53995, Arecibo, Puerto Rico 00612, in writing or electronically (e- mail address: prcz@naic.edu), of the technical parameters of the planned operation. Carriers may wish to use the interference guidelines provided by Cornell University as guidance in de- signing facilities to avoid interference to the Observatory. The notification must include identification of the geo- graphical coordinates of the antenna location (NAD–83 datum), the antenna height, antenna directivity (if any), proposed channel and FCC Rule Part, type of emission, and effective iso- tropic radiated power.
(1) In the Amateur radio service: (i) The provisions of paragraph (d) of
this section do not apply to repeaters that transmit on the 1.2 cm or shorter wavelength bands; and
(ii) The coordination provision of paragraph (d) of this section does not apply to repeaters that are located 16 km or more from the Arecibo observ- atory.
(2) In services in which individual station licenses are issued by the FCC, the notification required in paragraph (d) of this section may be made prior to, or simultaneously with, the filing of the application with the FCC, and at least 20 days in advance of the appli- cant’s planned operation. The applica- tion must state the date that notifica- tion in accordance with paragraph (d) of this section was made. In services in which individual station licenses are not issued by the FCC, the notification required in paragraph (d) of this sec- tion should be sent at least 45 days in advance of the applicant’s planned op- eration. In the latter services, the In- terference Office must inform the FCC of a notification by an applicant within 20 days if the Office plans to file com- ments or objections to the notification. After the FCC receives an application from a service applicant or is informed by the Interference Office of a notifica- tion from a service applicant, the FCC will allow the Interference Office a pe- riod of 20 days for comments or objec- tions in response to the application or notification. If an applicant submits written consent from the Interference Office, the FCC will process the appli- cation without awaiting the conclusion
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of the 20-day period. For services that do not require individual station au- thorization, entities that have ob- tained written consent from the Inter- ference Office may begin to operate new or modified facilities prior to the end of the 20-day period. In instances in which notification has been made to the Interference Office prior to applica- tion filing, the applicant must also pro- vide notice to the Interference Office upon actual filing of the application with the FCC. Such notice will be made simultaneous with the filing of the ap- plication and shall comply with the re- quirements of paragraph (d) of this sec- tion.
(3) If an objection to any planned service operation is received during the 20-day period from the Interference Of- fice, the FCC will take whatever action is deemed appropriate.
(4) The provisions of paragraph (d) of this section do not apply to operations that transmit on frequencies above 15 GHz.
(e) Government satellite earth stations. (1) To minimize or avoid harmful inter- ference to Government Satellite Earth Stations located in the Denver, Colo- rado and Washington, DC areas, any application for a new station license to operate in the 17.8–19.7 GHz band (ex- cept for low power operations governed by § 101.147(r)(10) of this chapter), or for modification of an existing station li- cense in this band which would change the frequency, power, emission, modu- lation, polarization, antenna height or directivity, or location of such a sta- tion, must be coordinated with the Federal Government by the Commis- sion before an authorization will be issued, if the station or proposed sta- tion is located in whole or in part with- in any of the areas defined by the fol- lowing rectangles or circles:
DENVER, CO AREA
Rectangle 1: 41°30′00″ N. Lat. on the north 103°10′00″ W. Long. on the east 38°30′00″ N. Lat. on the south 106°30′00″ W. Long. on the west
Rectangle 2: 38°30′00″ N. Lat. on the north 105°00′00″ W. Long. on the east 37°30′00″ N. Lat. on the south 105°50′00″ W. Long. on the west
Rectangle 3: 40°08′00″ N. Lat. on the north
107°00′00″ W. Long. on the east 39°56′00″ N. Lat. on the south 07°15′00″ W. Long. on the west
WASHINGTON, DC AREA
Rectangle 38°40′00″ N. Lat. on the north 78°50′00″ W. Long. on the east 38°10′00″ N. Lat. on the south 79°20′00″ W. Long. on the west; or
(2) Within a radius of 178 km of 38°48′00″ N. Lat./76°52′00″ W. Long.
(3) In addition, no application seek- ing authority to operate in the 17.8–19.7 GHz band will be accepted for filing if the proposed station is located within 20 km (or within 55 km if the applica- tion is for an outdoor low power oper- ation pursuant to § 101.147(r)(10) of this chapter) of the following coordinated:
Denver, CO area: 39°43′00″ N. Lat./104°46′00″ W. Long.
Washington, DC area: 38°48′00″ N. Lat./ 76°52′00″ W. Long.
(4) In the band 17.7–17.8 GHz, fixed service applications, under parts 74, 78, or 101 of this chapter, supporting Mul- tichannel Video Programming Dis- tributors shall be coordinated with the Federal Government by the Commis- sion before an authorization will be issued if the station or proposed sta- tion is located in whole or in part with- in any of the areas defined in para- graphs (e)(1) or (e)(2) of this section.
(f) 420–450 MHz band. (1) In the band 420–450 MHz, applicants should not ex- pect to be accommodated if their area of service is within 160 kilometers (100 miles) of the following locations:
(i) 41°45′00.2″ N, 70°30′58.3″ W., (ii) 64°17′00.0″ N., 149°10′00.0″ W., NOTE TO: Paragraph (f)(ii) is referenced to
NAD27.
(iii) 48°43′00.0″ N., 97°54′01.4″ W.; (2) Within 200 kilometers (124 miles)
of the following locations: (i) 32°38′00.5″ N., 83°34′59.7″ W., (ii) 31°25′00.6″ N., 100°24′01.3″ W.; (3) Within 240 kilometers (150 miles)
of the following location: (i) 39°07′59.6″ N., 121°26′03.9″ W.; (ii) [Reserved] (4) Within 320 kilometers (200 miles)
of the following locations: (i) 28°21′01.0″ N., 80°42′59.2″ W., (ii) 30°30′00.7″ N., 86°29′59.8″ W., (iii) 34°08′59.6″ N, 119°11′03.8″ W; (5) Or in the following locations:
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(i) The state of Arizona, (ii) The state of Florida, (iii) Portions of California and Ne-
vada south of 37°10′ N., (iv) And portions of Texas and New
Mexico bounded by 31°45′ N., 34°30′ N., 104°00′ W., and 107°30′ W.
(g) GOES. The requirements of this paragraph are intended to minimize harmful interference to Geostationary Operational Environmental Satellite earth stations receiving in the band 1670–1675 MHz, which are located at Wallops Island, Virginia; Fairbanks, Alaska; and Greenbelt, Maryland.
(1) Applicants and licensees planning to construct and operate a new or modified station within the area bounded by a circle with a radius of 100 kilometers (62.1 miles) that is centered on 37°56′44″ N, 75°27′37″ W (Wallops Is- land) or 64°58′22″ N, 147°30′04″ W (Fair- banks) or within the area bounded by a circle with a radius of 65 kilometers (40.4 miles) that is centered on 39°00′02″ N, 76°50′29″ W (Greenbelt) must notify the National Oceanic and Atmospheric Administration (NOAA) of the proposed operation. For this purpose, NOAA maintains the GOES coordination Web page at http://www.osd.noaa.gov/radio/ frequency.htm, which provides the tech- nical parameters of the earth stations and the point-of-contact for the notifi- cation. The notification shall include the following information: Requested frequency, geographical coordinates of the antenna location, antenna height above mean sea level, antenna direc- tivity, emission type, equivalent isotropically radiated power, antenna make and model, and transmitter make and model.
(2) Protection. (i) Wallops Island and Fairbanks. Licensees are required to protect the Wallops Island and Fair- banks sites at all times.
(ii) Greenbelt. Licensees are required to protect the Greenbelt site only when it is active. Licensees should coordi- nate appropriate procedures directly with NOAA for receiving notification of times when this site is active.
(3) When an application for authority to operate a station is filed with the FCC, the notification required in para- graph (f)(1) of this section should be sent at the same time. The application must state the date that notification
in accordance with paragraph (f)(1) of this section was made. After receipt of such an application, the FCC will allow a period of 20 days for comments or ob- jections in response to the notification.
(4) If an objection is received during the 20-day period from NOAA, the FCC will, after consideration of the record, take whatever action is deemed appro- priate.
NOTE TO § 1.924: Unless otherwise noted, all coordinates cited in this section are specified in terms of the North American Datum of 1983 (NAD 83).
[63 FR 68924, Dec. 14, 1998, as amended at 67 FR 6182, Feb. 11, 2002; 67 FR 13224, Mar. 21, 2002; 67 FR 41852, June 20, 2002; 67 FR 71111, Nov. 29, 2002; 69 FR 17957, Apr. 6, 2004; 70 FR 31372, June 1, 2005; 71 FR 69046, Nov. 29, 2006; 73 FR 25420, May 6, 2008]
§ 1.925 Waivers.
(a) Waiver requests generally. The Commission may waive specific re- quirements of the rules on its own mo- tion or upon request. The fees for such waiver requests are set forth in § 1.1102 of this part.
(b) Procedure and format for filing waiver requests. (1) Requests for waiver of rules associated with licenses or ap- plications in the Wireless Radio Serv- ices must be filed on FCC Form 601, 603, or 605.
(2) Requests for waiver must contain a complete explanation as to why the waiver is desired. If the information necessary to support a waiver request is already on file, the applicant may cross-reference the specific filing where the information may be found.
(3) The Commission may grant a re- quest for waiver if it is shown that:
(i) The underlying purpose of the rule(s) would not be served or would be frustrated by application to the instant case, and that a grant of the requested waiver would be in the public interest; or
(ii) In view of unique or unusual fac- tual circumstances of the instant case, application of the rule(s) would be in- equitable, unduly burdensome or con- trary to the public interest, or the ap- plicant has no reasonable alternative.
(4) Applicants requiring expedited processing of their request for waiver shall clearly caption their request for
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Federal Communications Commission § 1.928
waiver with the words ‘‘WAIVER—EX- PEDITED ACTION REQUESTED.’’
(c) Action on Waiver Requests. (i) The Commission, in its discretion, may give public notice of the filing of a waiver request and seek comment from the public or affected parties.
(ii) Denial of a rule waiver request associated with an application renders that application defective unless it contains an alternative proposal that fully complies with the rules, in which event, the application will be processed using the alternative proposal as if the waiver had not been requested. Appli- cations rendered defective may be dis- missed without prejudice.
[63 FR 68926, Dec. 14, 1998]
§ 1.926 Application processing; initial procedures.
Applications are assigned file num- bers and service codes in order to fa- cilitate processing. Assignment of a file number to an application is for ad- ministrative convenience and does not constitute a determination that the ap- plication is acceptable for filing. Pur- pose and service codes appear on the Commission forms.
[63 FR 68927, Dec. 14, 1998]
§ 1.927 Amendment of applications. (a) Pending applications may be
amended as a matter of right if they have not been designated for hearing or listed in a public notice as accepted for filing for competitive bidding, except as provided in paragraphs (b) through (e) of this section.
(b) Applicants for an initial license in auctionable services may amend such applications only in accordance with Subpart Q of this part.
(c) Amendments to non-auction ap- plications that are applied for under Part 101 or that resolve mutual exclu- sivity may be filed at any time, subject to the requirements of § 1.945 of this part.
(d) Any amendment to an application for modification must be consistent with, and must not conflict with, any other application for modification re- garding that same station.
(e) Amendments to applications des- ignated for hearing may be allowed by the presiding officer or, when a pro-
ceeding is stayed or otherwise pending before the full Commission, may be al- lowed by the Commission for good cause shown. In such instances, a writ- ten petition demonstrating good cause must be submitted and served upon the parties of record.
(f) Amendments to applications are also subject to the service-specific rules in applicable parts of this chap- ter.
(g) Where an amendment to an appli- cation specifies a substantial change in beneficial ownership or control (de jure or de facto) of an applicant, the appli- cant must provide an exhibit with the amendment application containing an affirmative, factual showing as set forth in § 1.948(i)(2).
(h) Where an amendment to an appli- cation constitutes a major change, as defined in § 1.929, the amendment shall be treated as a new application for de- termination of filing date, public no- tice, and petition to deny purposes.
(i) If a petition to deny or other in- formal objection has been filed, a copy of any amendment (or other filing) must be served on the petitioner. If the FCC has issued a public notice stating that the application appears to be mu- tually exclusive with another applica- tion (or applications), a copy of any amendment (or other filing) must be served on any such mutually exclusive applicant (or applicants).
[63 FR 68927, Dec. 14, 1998, as amended at 64 FR 53238, Oct. 1, 1999; 70 FR 61058, Oct. 20, 2005]
§ 1.928 Frequency coordination, Can- ada.
(a) As a result of mutual agreements, the Commission has, since May 1950 had an arrangement with the Canadian Department of Communications for the exchange of frequency assignment in- formation and engineering comments on proposed assignments along the Canada-United States borders in cer- tain bands above 30 MHz. Except as provided in paragraph (b) of this sec- tion, this arrangement involves assign- ments in the following frequency bands.
MHZ
30.56–32.00 33.00–34.00
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35.00–36.00 37.00–38.00 39.00–40.00 42.00–46.00 47.00–49.60 72.00–73.00 75.40–76.00 150.80–174.00 450–470 806.00–960.00 1850.0–2200.0 2450.0–2690.0 3700.0–4200.0 5925.0–7125.0
GHZ
10.55–10.68 10.70–13.25
(b) The following frequencies are not involved in this arrangement because of the nature of the services:
MHz
156.3 156.35 156.4 156.45 156.5 156.55 156.6 156.65 156.7 156.8 156.9 156.95 157.0 and 161.6 157.05 157.1 157.15 157.20 157.25 157.30 157.35 157.40.
(c) Assignments proposed in accord- ance with the railroad industry radio frequency allotment plan along the United States-Canada borders utilized by the Federal Communications Com- mission and the Department of Trans- port, respectively, may be excepted from this arrangement at the discre- tion of the referring agency.
(d) Assignments proposed in any radio service in frequency bands below 470 MHz appropriate to this arrange- ment, other than those for stations in the Domestic Public (land mobile or fixed) category, may be excepted from this arrangement at the discretion of the referring agency if a base station assignment has been made previously
under the terms of this arrangement or prior to its adoption in the same radio service and on the same frequency and in the local area, and provided the basic characteristics of the additional station are sufficiently similar tech- nically to the original assignment to preclude harmful interference to exist- ing stations across the border.
(e) For bands below 470 MHz, the areas which are involved lie between Lines A and B and between Lines C and D, which are described as follows:
Line A—Begins at Aberdeen, Wash., run- ning by great circle arc to the intersection of 48 deg. N., 120 deg. W., thence along parallel 48 deg. N., to the intersection of 95 deg. W., thence by great circle arc through the south- ernmost point of Duluth, Minn., thence by great circle arc to 45 deg. N., 85 deg. W., thence southward along meridian 85 deg. W., to its intersection with parallel 41 deg. N., thence along parallel 41 deg. N., to its inter- section with meridian 82 deg. W., thence by great circle arc through the southernmost point of Bangor, Maine, thence by great cir- cle arc through the southern-most point of Searsport, Maine, at which point it termi- nates; and
Line B—Begins at Tofino, B.C., running by great circle arc to the intersection of 50 deg. N., 125 deg. W., thence along parallel 50 deg. N., to the intersection of 90 deg. W., thence by great circle arc to the intersection of 45 deg. N., 79 deg. 30′ W., thence by great circle arc through the northernmost point of Drummondville, Quebec (lat: 45 deg. 52′ N., long: 72 deg. 30′ W.), thence by great circle arc to 48 deg. 30′ N., 70 deg. W., thence by great circle arc through the northernmost point of Campbellton, N.B., thence by great circle arc through the northernmost point of Liverpool, N.S., at which point it termi- nates.
Line C—Begins at the intersection of 70 deg. N., 144 deg. W., thence by great circle arc to the intersection of 60 deg. N., 143 deg. W., thence by great circle arc so as to in- clude all of the Alaskan Panhandle; and
Line D—Begins at the intersection of 70 deg. N., 138 deg. W., thence by great circle arc to the intersection of 61 deg. 20′ N., 139 deg. W., (Burwash Landing), thence by great circle arc to the intersection of 60 deg. 45′ N., 135 deg. W., thence by great circle arc to the intersection of 56 deg. N., 128 deg. W., thence south along 128 deg. meridian to Lat. 55 deg. N., thence by great circle arc to the intersec- tion of 54 deg. N., 130 deg. W., thence by great circle arc to Port Clements, thence to the Pacific Ocean where it ends.
(f) For all stations using bands be- tween 470 MHz and 1000 MHz; and for any station of a terrestrial service
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Federal Communications Commission § 1.929
using a band above 1000 MHz, the areas which are involved are as follows:
(1) For a station the antenna of which looks within the 200 deg. sector toward the Canada-United States bor- ders, that area in each country within 35 miles of the borders;
(2) For a station the antenna of which looks within the 160 deg. sector away from the Canada-United States borders, that area in each country within 5 miles of the borders; and
(3) The area in either country within coordination distance as described in Recommendation 1A of the Final Acts of the EARC, Geneva, 1963 of a receiv- ing earth station in the other country which uses the same band.
(g) Proposed assignments in the space radiocommunication services and proposed assignments to stations in frequency bands allocated coequally to space and terrestrial services above 1 GHz are not treated by these arrange- ments. Such proposed assignments are subject to the regulatory provisions of the International Radio Regulations.
(h) Assignments proposed in the fre- quency band 806–890 MHz shall be in ac- cordance with the Canada-United States agreement, dated April 7, 1982.
[64 FR 53238, Oct. 1, 1999]
§ 1.929 Classification of filings as major or minor.
Applications and amendments to ap- plications for stations in the wireless radio services are classified as major or minor ( see § 1.947). Categories of major and minor filings are listed in § 309 of the Communications Act of 1934.
(a) For all stations in all Wireless Radio Services, whether licensed geo- graphically or on a site-specific basis, the following actions are classified as major:
(1) Application for initial authoriza- tion;
(2) Any substantial change in owner- ship or control, including requests for partitioning and disaggregation;
(3) Application for renewal of author- ization;
(4) Application or amendment re- questing authorization for a facility that would have a significant environ- mental effect, as defined by §§ 1.1301 through 1.1319 of the rules;
(5) Application or amendment requir- ing frequency coordination pursuant to the Commission’s rules or inter- national treaty or agreement;
(6) Application or amendment re- questing to add a frequency or fre- quency block for which the applicant is not currently authorized, excluding re- moving a frequency.
(b) In the Cellular Radiotelephone Service:
(1) Request an authorization or an amendment to a pending application that would expand the cellular geo- graphic service area (COSA) of an ex- isting cellular system or, in the case of an amendment, as previously proposed in an application, except during the ap- plicable five-year build-out period, if any;
(2) Request that a CGSA boundary or portion of a CGSA boundary be deter- mined using an alternative method; or,
(3) Request an authorization for fa- cilities that would produce a de minimis service area boundary extension into unserved area in an adjacent market.
(c) In addition to those changes listed in paragraph (a) in this section, the fol- lowing are major changes applicable to stations licensed to provide base-to- mobile, mobile-to-base, mobile-to-mo- bile on a site-specific basis:
(1) In the Paging and Radiotelephone Service, Rural Radiotelephone Service and 800 MHz Specialized Mobile Radio Service (SMR), any change that would increase or expand the applicant’s ex- isting composite interference contour.
(2) In the 900 MHz SMR and 220 MHz Service, any change that would in- crease or expand the applicant’s serv- ice area as defined in the rule parts governing the particular radio service.
(3) In the Paging and Radiotelephone Service, Rural Radiotelephone Service, Offshore Radiotelephone Service, and Specialized Mobile Radio Service:
(i) Request an authorization or an amendment to a pending application that would establish for the filer a new fixed transmission path;
(ii) Request an authorization or an amendment to a pending application for a fixed station (i.e., control, re- peater, central office, rural subscriber, or inter-office station) that would in- crease the effective radiated power, an- tenna height above average terrain in
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any azimuth, or relocate an existing transmitter;
(4) In the Private Land Mobile Radio Services (PLMRS), the remote pickup broadcast auxiliary service, and GMRS systems licensed to non-individuals;
(i) Change in frequency or modifica- tion of channel pairs, except the dele- tion of one or more frequencies from an authorization;
(ii) Change in the type of emission; (iii) Change in effective radiated
power from that authorized or, for GMRS systems licensed to non-individ- uals, an increase in the transmitter power of a station;
(iv) Change in antenna height from that authorized;
(v) Change in the authorized location or number of base stations, fixed, con- trol, except for deletions of one or more such stations or, for systems op- erating on non-exclusive assignments in GMRS or the 470–512 MHz, 800 MHz or 900 MHz bands, a change in the num- ber of mobile transmitters, or a change in the area of mobile transmitters, or a change in the area of mobile operations from that authorized;
(vi) Change in the class of a land sta- tion, including changing from multiple licensed to cooperative use, and from shared to unshared use.
(d) In the microwave, aural broadcast auxiliary, and television broadcast auxiliary services:
(1) Except as specified in paragraph (d)(2) and (d)(3) of this section, the fol- lowing, in addition to those filings list- ed in paragraph (a) of this section, are major actions that apply to stations li- censed to provide fixed point-to-point, point-to-multipoint, or multipoint-to- point, communications on a site-spe- cific basis, or fixed or mobile commu- nications on an area-specific basis under part 101 of this chapter:
(i) Any change in transmit antenna location by more than 5 seconds in lati- tude or longitude for fixed point-to- point facilities (e.g., a 5 second change in latitude, longitude, or both would be minor); any change in coordinates of the center of operation or increase in radius of a circular area of operation, or any expansion in any direction in the latitude or longitude limits of a rectangular area of operation, or any
change in any other kind of area oper- ation;
(ii) Any increase in frequency toler- ance;
(iii) Any increase in bandwidth; (iv) Any change in emission type; (v) Any increase in EIRP greater
than 3 dB; (vi) Any increase in transmit an-
tenna height (above mean sea level) more than 3 meters, except as specified in paragraph (d)(3) of this section;
(vii) Any increase in transmit an- tenna beamwidth, except as specified in paragraph (d)(3) of this section;
(viii) Any change in transmit an- tenna polarization;
(ix) Any change in transmit antenna azimuth greater than 1 degree, except as specified in paragraph (d)(3) of this section ; or,
(x) Any change which together with all minor modifications or amend- ments since the last major modifica- tion or amendment produces a cumu- lative effect exceeding any of the above major criteria.
(2) Changes to transmit antenna loca- tion of Multiple Address System (MAS) Remote Units and Digital Electronic Message Service (DEMS) User Units are not major.
(3) Changes in accordance with para- graphs (d)(1)(vi), (d)(1)(vii) and (d)(1)(ix) of this section are not major for the following:
(i) Fixed Two-Way MAS on the re- mote to master path,
(ii) Fixed One-Way Inbound MAS on the remote to master path,
(iii) Multiple Two-Way MAS on the remote to master and master to remote paths,
(iv) Multiple One-Way Outbound MAS on the master to remote path,
(v) Mobile MAS Master, (vi) Fixed Two-Way DEMS on the
user to nodal path, and (vii) Multiple Two-Way DEMS on the
nodal to user and user to nodal paths.
NOTE TO PARAGRAPH (d)(3) OF § 1.929: For the systems and path types described in paragraph (d)(3) of this section, the data pro- vided by applicants is either a typical value for a certain parameter or a fixed value given in the Form instructions.
(e) In addition to those filings listed in paragraph (a) of this section, the fol- lowing are major actions that apply to
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Federal Communications Commission § 1.931
stations licensed to provide service in the Air-ground Radiotelephone Serv- ice:
(1) Request an authorization to relo- cate an existing General Aviation ground station; or,
(2) Request the first authorization for a new Commercial Aviation ground station at a location other than those listed in § 22.859 of this chapter.
(f) In addition to those changes listed in paragraph (a), the following are major changes that apply to stations licensed in the industrial radiopositioning stations for which fre- quencies are assigned on an exclusive basis, Maritime and Aviation services, except Maritime Public Coast VHF (CMRS), Ship and Aircraft stations:
(1) Any change in antenna azimuth; (2) Any change in beamwidth; (3) Any change in antenna location; (4) Any change in emission type; (5) Any increase in antenna height; (6) Any increase in authorized power; (7) Any increase in emission band-
width. (g) In addition to those changes list-
ed in paragraph (a), any change requir- ing international coordination in the Maritime Public Coast VHF (CMRS) Service is major.
(h) In addition to those changes list- ed in paragraph (a) of this section, the following are major changes that apply to ship stations:
(1) Any request for additional equip- ment;
(2) A change in ship category; (3) A request for assignment of a
Maritime Mobile Service Identity (MMSI) number; or
(4) A request to increase the number of ships on an existing fleet license.
(i) In addition to those changes listed in paragraph (a) of this section, the fol- lowing are major changes that apply to aircraft stations:
(1) A request to increase the number of aircraft on an existing fleet license; or
(2) A request to change the type of aircraft (private or air carrier).
(j) In addition to those changes listed in paragraph (a) of this section, the fol- lowing are major changes that apply to amateur licenses:
(1) An upgrade of an existing license; or
(2) A change of call sign. (k) Any change not specifically listed
above as major is considered minor (see § 1.947(b). This includes but is not lim- ited to:
(1) Any pro forma assignment or transfer of control;
(2) Any name change not involving change in ownership or control of the license;
(3) Any address and/or telephone number changes;
(4) Any changes in contact person; (5) Any change to vessel name on a
ship station license; (6) Any change to a site-specific li-
cense, except a PLMRS license under part 90, or a license under part 101, where the licensee’s interference con- tours are not extended and co-channel separation criteria are met, except those modifications defined in para- graph (c)(2) of this section; or
(7) Any conversion of multiple site- specific licenses into a single wide-area license, except a PLMRS license under part 90 or a license under part 101 of this chapter, where there is no change in the licensee’s composite interference contour or service area as defined in paragraph (c)(2) of this section.
[63 FR 68927, Dec. 14, 1998, as amended at 64 FR 53239, Oct. 1, 1999; 68 FR 12755, Mar. 17, 2003; 70 FR 19306, Apr. 13, 2005; 70 FR 61058, Oct. 20, 2005]
§ 1.931 Application for special tem- porary authority.
(a) Wireless Telecommunications Serv- ices. (1) In circumstances requiring im- mediate or temporary use of station in the Wireless Telecommunications Services, carriers may request special temporary authority (STA) to operate new or modified equipment. Such re- quests must be filed electronically using FCC Form 601 and must contain complete details about the proposed operation and the circumstances that fully justify and necessitate the grant of STA. Such requests should be filed in time to be received by the Commis- sion at least 10 days prior to the date of proposed operation or, where an ex- tension is sought, 10 days prior to the expiration date of the existing STA. Requests received less than 10 days prior to the desired date of operation may be given expedited consideration
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only if compelling reasons are given for the delay in submitting the request. Otherwise, such late-filed requests are considered in turn, but action might not be taken prior to the desired date of operation. Requests for STA must be accompanied by the proper filing fee.
(2) Grant without Public Notice. STA may be granted without being listed in a Public Notice, or prior to 30 days after such listing, if:
(i) The STA is to be valid for 30 days or less and the applicant does not plan to file an application for regular au- thorization of the subject operation;
(ii) The STA is to be valid for 60 days or less, pending the filing of an applica- tion for regular authorization of the subject operation;
(iii) The STA is to allow interim op- eration to facilitate completion of au- thorized construction or to provide substantially the same service as pre- viously authorized; or
(iv) The STA is made upon a finding that there are extraordinary cir- cumstances requiring operation in the public interest and that delay in the institution of such service would seri- ously prejudice the public interest.
(3) Limit on STA term. The Commis- sion may grant STA for a period not to exceed 180 days under the provisions of section 309(f) of the Communications Act of 1934, as amended, (47 U.S.C. 309(f)) if extraordinary circumstances so require, and pending the filing of an application for regular operation. The Commission may grant extensions of STA for a period of 180 days, but the applicant must show that extraor- dinary circumstances warrant such an extension.
(b) Private Wireless Services. (1) A li- censee of, or an applicant for, a station in the Private Wireless Services may request STA not to exceed 180 days for (A) operation of a new station or (B) operation of a licensed station in a manner which is beyond the scope of that authorized by the existing license. See §§ 1.962(b)(5) and (f). Where the ap- plicant, seeking a waiver of the 180 day limit, requests STA to operate as a pri- vate mobile radio service provider for a period exceeding 180 days, evidence of frequency coordination is required. Re- quests for shorter periods do not re- quire coordination and, if granted, will
be authorized on a secondary, non-in- terference basis.
(2) STA may be granted in the fol- lowing circumstances:
(i) In emergency situations; (ii) To permit restoration or reloca-
tion of existing facilities to continue communication service;
(iii) To conduct tests to determine necessary data for the preparation of an application for regular authoriza- tion;
(iv) For a temporary, non-recurring service where a regular authorization is not appropriate;
(v) In other situations involving cir- cumstances which are of such extraor- dinary nature that delay in the institu- tion of temporary operation would seri- ously prejudice the public interest.
(3) The nature of the circumstance which, in the opinion of the applicant justifies issuance of STA, must be fully described in the request. Applications for STA must be filed at least 10 days prior to the proposed operation. Appli- cations filed less than 10 days prior to the proposed operation date will be ac- cepted only upon a showing of good cause.
(4) The Commission may grant exten- sions of STA for a period of 180 days, but the applicant must show that ex- traordinary circumstances warrant such an extension.
(5) In special situations defined in § 1.915(b)(1), a request for STA may be made by telephone or telegraph pro- vided a properly signed application is filed within 10 days of such request.
(6) An applicant for an Aircraft Radio Station License may operate the radio station pending issuance of an Aircraft Radio Station License by the Commis- sion for a period of 90 days under tem- porary operating authority, evidenced by a properly executed certification made on FCC Form 605.
(7) Unless the Commission otherwise prescribes, a person who has been granted an operator license of Novice, Technician, Technician Plus, General, or Advanced class and who has prop- erly submitted to the administering VEs an application document for an op- erator license of a higher class, and who holds a CSCE indicating that he/ she has completed the necessary ex- aminations within the previous 365
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days, is authorized to exercise the rights and privileges of the higher op- erator class until final disposition of the application or until 365 days fol- lowing the passing of the examination, whichever comes first.
(8) An applicant for a Ship Radio sta- tion license may operate the radio sta- tion pending issuance of the ship sta- tion authorization by the Commission for a period of 90 days, under a tem- porary operating authority, evidenced by a properly executed certification made on FCC Form 605.
(9) An applicant for a station license in the Industrial/Business pool (other than an applicant who seeks to provide commercial mobile radio service as de- fined in Part 20 of this chapter) uti- lizing an already authorized facility may operate the station for a period of 180 days, under a temporary permit, evidenced by a properly executed cer- tification made on FCC Form 601, after filing an application for a station li- cense together with evidence of fre- quency coordination, if required, with the Commission. The temporary oper- ation of stations, other than mobile stations, within the Canadian coordi- nation zone will be limited to stations with a maximum of 5 watts effective radiated power and a maximum an- tenna height of 20 feet (6.1 meters) above average terrain.
(10) An applicant for a radio station license under Part 90, Subpart S, of this chapter (other than an applicant who seeks to provide commercial mo- bile radio service as defined in part 20 of this chapter) to utilize an already existing Specialized Mobile Radio Sys- tem (SMR) facility or to utilize an al- ready licensed transmitter may oper- ate the radio station for a period of up to 180 days, under a temporary permit. Such request must be evidenced by a properly executed certification of FCC Form 601 after the filing of an applica- tion for station license, provided that the antenna employed by the control station is a maximum of 20 feet (6.1 me- ters) above a man-made structure (other than an antenna tower) to which it is affixed.
(11) An applicant for an itinerant sta- tion license, an applicant for a new pri- vate land mobile radio station license in the frequency bands below 470 MHz
and in the one-way paging 929–930 MHz band (other than a commercial mobile radio service applicant or licensee on these bands) or an applicant seeking to modify or acquire through assignment or transfer an existing station below 470 MHz or in the one-way paging 929– 930 MHz band may operate the proposed station during the pendency of its ap- plication for a period of up to 180 days under a conditional permit. Condi- tional operations may commence upon the filing of a properly completed ap- plication that complies with § 90.127 if the application, when frequency co- ordination is required, is accompanied by evidence of frequency coordination in accordance with § 90.175 of this chap- ter. Operation under such a permit is evidenced by the properly executed Form 601 with certifications that sat- isfy the requirements of § 90.159(b).
(12) An applicant for a General Mo- bile Radio Service system license, sharing a multiple-licensed or coopera- tive shared base station used as a mo- bile relay station, may operate the sys- tem for a period of 180 days, under a Temporary Permit, evidenced by a properly executed certification made on FCC Form 605.
[63 FR 68928, Dec. 14, 1998]
§ 1.933 Public notices. (a) Generally. Periodically, the Com-
mission issues Public Notices in the Wireless Radio Services listing infor- mation of public significance. Cat- egories of Public Notice listings are as follows:
(1) Accepted for filing. Acceptance for filing of applications and major amend- ments thereto.
(2) Actions. Commission actions on pending applications previously listed as accepted for filing.
(3) Environmental considerations. Spe- cial environmental considerations as required by Part 1 of this chapter.
(4) Informative listings. Information that the Commission, in its discretion, believes to be of public significance. Such listings do not create any rights to file petitions to deny or other plead- ings.
(b) Accepted for filing public notices. The Commission will issue at regular intervals public notices listing applica- tions that have been received by the
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Commission in a condition acceptable for filing, or which have been returned to an applicant for correction. Any ap- plication that has been listed in a pub- lic notice as acceptable for filing and is (1) subject to a major amendment, or (2) has been returned as defective or in- complete and resubmitted to the Com- mission, shall be listed in a subsequent public notice. Acceptance for filing shall not preclude the subsequent dis- missal of an application as defective.
(c) Public notice prior to grant. Appli- cations for authorizations, major modi- fications, major amendments to appli- cations, and substantial assignment or transfer applications for the following categories of stations and services shall be placed on Public Notice as ac- cepted for filing prior to grant:
(1) Wireless Telecommunications Services.
(2) Industrial radiopositioning sta- tions for which frequencies are as- signed on an exclusive basis.
(3) Aeronautical enroute stations. (4) Aeronautical advisory stations. (5) Airport control tower stations. (6) Aeronautical fixed stations. (7) Alaska public fixed stations. (8) Broadband Radio Service; and (9) Educational Broadband Service. (d) No public notice prior to grant. The
following types of applications, no- tices, and other filings need not be placed on Public Notice as accepted for filing prior to grant:
(1) Applications or notifications con- cerning minor modifications to author- izations or minor amendments to appli- cations.
(2) Applications or notifications con- cerning non-substantial (pro forma) as- signments and transfers.
(3) Consent to an involuntary assign- ment or transfer under section 310(b) of the Communications Act.
(4) Applications for licenses under section 319(c) of the Communications Act.
(5) Requests for extensions of time to complete construction of authorized fa- cilities.
(6) Requests for special temporary authorization not to exceed 30 days where the applicant does not con- template the filing of an application for regular operation, or not to exceed
60 days pending or after the filing of an application for regular operation.
(7) Requests for emergency author- izations under section 308(a) of the Communications Act.
(8) Any application for temporary au- thorization under section 101.31(a) of this chapter.
(9) Any application for authorization in the Private Wireless Services.
[63 FR 68929, Dec. 14, 1998, as amended at 69 FR 72026, Dec. 10, 2004]
§ 1.934 Defective applications and dis- missal.
(a) Dismissal of applications. The Com- mission may dismiss any application in the Wireless Radio Services at the re- quest of the applicant; if the applica- tion is mutually exclusive with an- other application that is selected or granted in accordance with the rules in this part; for failure to prosecute or if the application is found to be defective; if the requested spectrum is not avail- able; or if the application is untimely filed. Such dismissal may be ‘‘without prejudice,’’ meaning that the Commis- sion may accept from the applicant an- other application for the same purpose at a later time, provided that the appli- cation is otherwise timely. Dismissal ‘‘with prejudice’’ means that the Com- mission will not accept another appli- cation from the applicant for the same purpose for a period of one year. Unless otherwise provided in this part, a dis- missed application will not be returned to the applicant.
(1) Dismissal at request of applicant. Any applicant may request that its ap- plication be withdrawn or dismissed. A request for the withdrawal of an appli- cation after it has been listed on Public Notice as tentatively accepted for fil- ing is considered to be a request for dismissal of that application without prejudice.
(i) If the applicant requests dismissal of its application with prejudice, the Commission will dismiss that applica- tion with prejudice.
(ii) If the applicant requests dis- missal of its application without preju- dice, the Commission will dismiss that application without prejudice, unless:
(A) It has been designated for com- parative hearing; or
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(B) It is an application for which the applicant submitted the winning bid in a competitive bidding process.
(2) If an applicant who is a winning bidder for a license in a competitive bidding process requests dismissal of its short-form or long-form applica- tion, the Commission will dismiss that application with prejudice. The appli- cant will also be subject to default pay- ments under Subpart Q of this part.
(3) An applicant who requests dis- missal of its application after that ap- plication has been designated for com- parative hearing may submit a written petition requesting that the dismissal be without prejudice. Such petition must demonstrate good cause and be served upon all parties of record. The Commission may grant such petition and dismiss the application without prejudice or deny the petition and dis- miss the application with prejudice.
(b) Dismissal of mutually exclusive ap- plications not granted. The Commission may dismiss mutually exclusive appli- cations:
(1) For which the applicant did not submit the winning bid in a competi- tive bidding process; or
(2) That receive comparative consid- eration in a hearing but are not grant- ed by order of the presiding officer.
(c) Dismissal for failure to prosecute. The Commission may dismiss applica- tions for failure of the applicant to prosecute or for failure of the applicant to respond substantially within a speci- fied time period to official correspond- ence or requests for additional infor- mation. Such dismissal will generally be without prejudice if the failure to prosecute or respond occurred prior to designation of the application for com- parative hearing, but may be with prej- udice in cases of non-compliance with § 1.945 of this part. Dismissal will gen- erally be with prejudice if the failure to prosecute or respond occurred after designation of the application for com- parative hearing. The Commission may dismiss applications with prejudice for failure of the applicant to comply with requirements related to a competitive bidding process.
(d) Dismissal as defective. The Com- mission may dismiss without prejudice an application that it finds to be defec- tive. An application is defective if:
(1) It is unsigned or incomplete with respect to required answers to ques- tions, informational showings, or other matters of a formal character;
(2) It requests an authorization that would not comply with one or more of the Commission’s rules and does not contain a request for waiver of these rule(s), or in the event the Commission denies such a waiver request, does not contain an alternative proposal that fully complies with the rules;
(3) The appropriate filing fee has not been paid; or
(4) The FCC Registration Number (FRN) has not been provided.
(5) It requests a vanity call sign and the applicant has pending another van- ity call sign application with the same receipt date.
(e) Dismissal because spectrum not available. The Commission may dismiss applications that request spectrum which is unavailable because:
(1) It is not allocated for assignment in the specific service requested;
(2) It was previously assigned to an- other licensee on an exclusive basis or cannot be assigned to the applicant without causing harmful interference; or
(3) Reasonable efforts have been made to coordinate the proposed facil- ity with foreign administrations under applicable international agreements, and an unfavorable response (harmful interference anticipated) has been re- ceived.
(f) Dismissal as untimely. The Commis- sion may dismiss without prejudice ap- plications that are premature or late filed, including applications filed prior to the opening date or after the closing date of a filing window, or after the cut-off date for a mutually exclusive application filing group.
[63 FR 68930, Dec. 14, 1998, as amended at 66 FR 47895, Sept. 14, 2001; 71 FR 66461, Nov. 15, 2006]
§ 1.935 Agreements to dismiss applica- tions, amendments or pleadings.
Parties that have filed applications that are mutually exclusive with one or more other applications, and then enter into an agreement to resolve the mutual exclusivity by withdrawing or
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requesting dismissal of the applica- tion(s), specific frequencies on the ap- plication or an amendment thereto, must obtain the approval of the Com- mission. Parties that have filed or threatened to file a petition to deny, informal objection or other pleading against an application and then seek to withdraw or request dismissal of, or re- frain from filing, the petition, either unilaterally or in exchange for a finan- cial consideration, must obtain the ap- proval of the Commission.
(a) The party withdrawing or re- questing dismissal of its application (or specific frequencies on the applica- tion), petition to deny, informal objec- tion or other pleading or refraining from filing a pleading must submit to the Commission a request for approval of the withdrawal or dismissal, a copy of any written agreement related to the withdrawal or dismissal, and an af- fidavit setting forth:
(1) A certification that neither the party nor its principals has received or will receive any money or other consid- eration in excess of the legitimate and prudent expenses incurred in preparing and prosecuting the application, peti- tion to deny, informal objection or other pleading in exchange for the withdrawal or dismissal of the applica- tion, petition to deny, informal objec- tion or other pleading, or threat to file a pleading, except that this provision does not apply to dismissal or with- drawal of applications pursuant to bona fide merger agreements;
(2) The exact nature and amount of any consideration received or prom- ised;
(3) An itemized accounting of the ex- penses for which it seeks reimburse- ment; and
(4) The terms of any oral agreement related to the withdrawal or dismissal of the application, petition to deny, in- formal objection or other pleading, or threat to file a pleading.
(b) In addition, within 5 days of the filing date of the applicant’s or peti- tioner’s request for approval, each re- maining party to any written or oral agreement must submit an affidavit setting forth:
(1) A certification that neither the applicant nor its principals has paid or will pay money or other consideration
in excess of the legitimate and prudent expenses of the petitioner in exchange for withdrawing or dismissing the ap- plication, petition to deny, informal objection or other pleading; and
(2) The terms of any oral agreement relating to the withdrawal or dismissal of the application, petition to deny, in- formal objection or other pleading.
(c) No person shall make or receive any payments in exchange for with- drawing a threat to file or refraining from filing a petition to deny, informal objection, or any other pleading against an application. For the pur- poses of this section, reimbursement by an applicant of the legitimate and pru- dent expenses of a potential petitioner or objector, incurred reasonably and di- rectly in preparing to file a petition to deny, will not be considered to be pay- ment for refraining from filing a peti- tion to deny or an informal objection. Payments made directly to a potential petitioner or objector, or a person re- lated to a potential petitioner or objec- tor, to implement non-financial prom- ises are prohibited unless specifically approved by the Commission.
(d) For the purposes of this section: (1) Affidavits filed pursuant to this
section must be executed by the filing party, if an individual; a partner hav- ing personal knowledge of the facts, if a partnership; or an officer having per- sonal knowledge of the facts, if a cor- poration or association.
(2) Each application, petition to deny, informal objection or other pleading is deemed to be pending before the Commission from the time the pe- tition to deny is filed with the Com- mission until such time as an order or correspondence of the Commission granting, denying or dismissing it is no longer subject to reconsideration by the Commission or to review by any court.
(3) ‘‘Legitimate and prudent ex- penses’’ are those expenses reasonably incurred by a party in preparing to file, filing, prosecuting and/or settling its application, petition to deny, informal objection or other pleading for which reimbursement is sought.
(4) ‘‘Other consideration’’ consists of financial concessions, including, but not limited to, the transfer of assets or the provision of tangible pecuniary
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benefit, as well as non-financial con- cessions that confer any type of benefit on the recipient.
(e) Notwithstanding the provisions of this section, any payments made or re- ceived in exchange for withdrawing a short-form application for a Commis- sion authorization awarded through competitive bidding shall be subject to the restrictions set forth in § 1.2105(c) of this chapter.
[63 FR 68931, Dec. 14, 1998]
§ 1.937 Repetitious or conflicting appli- cations.
(a) Where the Commission has, for any reason, dismissed with prejudice or denied any license application in the Wireless Radio Services, or revoked any such license, the Commission will not consider a like or new application involving service of the same kind to substantially the same area by sub- stantially the same applicant, its suc- cessor or assignee, or on behalf of or for the benefit of the original parties in interest, until after the lapse of 12 months from the effective date of final Commission action.
(b) [Reserved] (c) If an appeal has been taken from
the action of the Commission dis- missing with prejudice or denying any application in the Wireless Radio Serv- ices, or if the application is subse- quently designated for hearing, a like application for service of the same type to the same area, in whole or in part, filed by that applicant or by its suc- cessor or assignee, or on behalf or for the benefit of the parties in interest to the original application, will not be considered until the final disposition of such appeal.
(d) While an application is pending, any subsequent inconsistent or con- flicting application submitted by, on behalf of, or for the benefit of the same applicant, its successor or assignee will not be accepted for filing.
[63 FR 68931, Dec. 14, 1998, as amended at 68 FR 25842, May 14, 2003]
§ 1.939 Petitions to deny. (a) Who may file. Any party in inter-
est may file with the Commission a pe- tition to deny any application listed in a Public Notice as accepted for filing,
whether as filed originally or upon major amendment as defined in § 1.929 of this part.
(1) For auctionable license applica- tions, petitions to deny and related pleadings are governed by the proce- dures set forth in § 1.2108 of this part.
(2) Petitions to deny for non- auctionable applications that are sub- ject to petitions under § 309(d) of the Communications Act must comply with the provisions of this section and must be filed no later than 30 days after the date of the Public Notice list- ing the application or major amend- ment to the application as accepted for filing.
(b) Filing of petitions. Petitions to deny and related pleadings may be filed electronically via ULS. Manually filed petitions to deny must be filed with the Office of the Secretary, 445 12th Street, SW., Washington, DC 20554. At- tachments to manually filed applica- tions may be filed on a standard 31⁄4″ magnetic diskette formatted to be readable by high density floppy drives operating under MS–DOS (version 3.X or later compatible versions). Each diskette submitted must contain an ASCII text file listing each filename and a brief description of the contents of each file on the diskette. The files on the diskette, other than the table of contents, should be in Adobe Acrobat Portable Document Format (PDF) whenever possible. Petitions to deny and related pleadings must reference the file number of the pending applica- tion that is the subject of the petition.
(c) Service. A petitioner shall serve a copy of its petition to deny on the ap- plicant and on all other interested par- ties pursuant to § 1.47. Oppositions and replies shall be served on the petitioner and all other interested parties.
(d) Content. A petition to deny must contain specific allegations of fact suf- ficient to make a prima facie showing that the petitioner is a party in inter- est and that a grant of the application would be inconsistent with the public interest, convenience and necessity. Such allegations of fact, except for those of which official notice may be taken, shall be supported by affidavit of a person or persons with personal knowledge thereof.
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(e) Petitions to deny amended applica- tions. Petitions to deny a major amend- ment to an application may raise only matters directly related to the major amendment that could not have been raised in connection with the applica- tion as originally filed. This paragraph does not apply to petitioners who gain standing because of the major amend- ment.
(f) Oppositions and replies. The appli- cant and any other interested party may file an opposition to any petition to deny and the petitioner may file a reply thereto in which allegations of fact or denials thereof, except for those of which official notice may be taken, shall be supported by affidavit of a per- son or persons with personal knowledge thereof. Time for filing of oppositions and replies is governed by § 1.45 of this part for non-auctionable services and § 1.2108 of this part for auctionable services.
(g) Dismissal of petition. The Commis- sion may dismiss any petition to deny that does not comply with the require- ments of this section if the issues raised become moot, or if the peti- tioner or his/her attorney fails to ap- pear at a settlement conference pursu- ant to § 1.956 of this part. The reasons for the dismissal will be stated in the dismissal letter or order. When a peti- tion to deny is dismissed, any related responsive pleadings are also dismissed
(h) Grant of petitioned application. If a petition to deny has been filed and the Commission grants the application, the Commission will dismiss or deny the petition by issuing a concise statement of the reason(s) for dismissing or deny- ing the petition, disposing of all sub- stantive issues raised in the petition.
[63 FR 68931, Dec. 14, 1998, as amended at 64 FR 53240, Oct. 1, 1999; 70 FR 61058, Oct. 20, 2005; 71 FR 15619, Mar. 29, 2006; 74 FR 68544, Dec. 28, 2009]
§ 1.945 License grants. (a) License grants—auctionable license
applications. Procedures for grant of li- censes that are subject to competitive bidding under section 309(j) of the Com- munications Act are set forth in §§ 1.2108 and 1.2109 of this part.
(b) License grants—non-auctionable li- cense applications. No application that is not subject to competitive bidding
under § 309(j) of the Communications Act will be granted by the Commission prior to the 31st day following the issuance of a Public Notice of the ac- ceptance for filing of such application or of any substantial amendment thereof, unless the application is not subject to § 309(b) of the Communica- tions Act.
(c) Grant without hearing. In the case of both auctionable license applica- tions and non-mutually exclusive non- auctionable license applications, the Commission will grant the application without a hearing if it is proper upon its face and if the Commission finds from an examination of such applica- tion and supporting data, any pleading filed, or other matters which it may of- ficially notice, that:
(1) There are no substantial and ma- terial questions of fact;
(2) The applicant is legally, tech- nically, financially, and otherwise qualified;
(3) A grant of the application would not involve modification, revocation, or non-renewal of any other existing li- cense;
(4) A grant of the application would not preclude the grant of any mutually exclusive application; and
(5) A grant of the application would serve the public interest, convenience, and necessity.
(d) Grant of petitioned applications. The FCC may grant, without a formal hearing, an application against which petition(s) to deny have been filed. If any petition(s) to deny are pending (i.e. have not been dismissed or withdrawn by the petitioner) when an application is granted, the FCC will deny the peti- tion(s) and issue a concise statement of the reason(s) for the denial, disposing of all substantive issues raised in the petitions.
(e) Partial and conditional grants. The FCC may grant applications in part, and/or subject to conditions other than those normally applied to authoriza- tions of the same type. When the FCC does this, it will inform the applicant of the reasons therefor. Such partial or conditional grants are final unless the FCC revises its action in response to a petition for reconsideration. Such peti- tions for reconsideration must be filed by the applicant within thirty days
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after the date of the letter or order stating the reasons for the partial or conditional grant, and must reject the partial or conditional grant and return the instrument of authorization.
(f) Designation for hearing. If the Com- mission is unable to make the findings prescribed in subparagraph (c), it will formally designate the application for hearing on the grounds or reasons then obtaining and will notify the applicant and all other known parties in interest of such action.
(1) Orders designating applications for hearing will specify with particu- larity the matters in issue.
(2) Parties in interest, if any, who are not notified by the Commission of its action in designating a particular ap- plication for hearing may acquire the status of a party to the proceeding by filing a petition for intervention show- ing the basis of their interest not more than 30 days after publication in the FEDERAL REGISTER of the hearing issues or any substantial amendment thereto.
(3) The applicant and all other par- ties in interest shall be permitted to participate in any hearing subse- quently held upon such applications. Hearings may be conducted by the Commission or by the Chief of the Wireless Telecommunications Bureau, or, in the case of a question which re- quires oral testimony for its resolu- tion, an Administrative Law Judge. The burden of proceeding with the in- troduction of evidence and burden of proof shall be upon the applicant, ex- cept that with respect to any issue pre- sented by a petition to deny or a peti- tion to enlarge the issues, such burdens shall be as determined by the Commis- sion or the Chief of the Wireless Tele- communications Bureau.
[63 FR 68932, Dec. 14, 1998]
§ 1.946 Construction and coverage re- quirements.
(a) Construction and commencement of service requirements. For each of the Wireless Radio Services, requirements for construction and commencement of service or commencement of oper- ations are set forth in the rule part governing the specific service. For pur- poses of this section, the period be- tween the date of grant of an author-
ization and the date of required com- mencement of service or operations is referred to as the construction period.
(b) Coverage and substantial service re- quirements. In certain Wireless Radio Services, licensees must comply with geographic coverage requirements or substantial service requirements with- in a specified time period. These re- quirements are set forth in the rule part governing each specific service. For purposes of this section, the period between the date of grant of an author- ization and the date that a particular degree of coverage or substantial serv- ice is required is referred to as the cov- erage period.
(c) Termination of authorizations. If a licensee fails to commence service or operations by the expiration of its con- struction period or to meet its cov- erage or substantial service obligations by the expiration of its coverage pe- riod, its authorization terminates automatically (in whole or in part as set forth in the service rules), without specific Commission action, on the date the construction or coverage pe- riod expires.
(d) Licensee notification of compliance. A licensee who commences service or operations within the construction pe- riod or meets its coverage or substan- tial services obligations within the coverage period must notify the Com- mission by filing FCC Form 601. The notification must be filed within 15 days of the expiration of the applicable construction or coverage period. Where the authorization is site-specific, if service or operations have begun using some, but not all, of the authorized transmitters, the notification must show to which specific transmitters it applies.
(e) Requests for extension of time. Li- censees may request to extend a con- struction period or coverage period by filing FCC Form 601. The request must be filed before the expiration of the construction or coverage period.
(1) An extension request may be granted if the licensee shows that fail- ure to meet the construction or cov- erage deadline is due to involuntary loss of site or other causes beyond its control.
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(2) Extension requests will not be granted for failure to meet a construc- tion or coverage deadline due to delays caused by a failure to obtain financing, to obtain an antenna site, or to order equipment in a timely manner. If the licensee orders equipment within 90 days of its initial license grant, a pre- sumption of diligence is established.
(3) Extension requests will not be granted for failure to meet a construc- tion or coverage deadline because the licensee undergoes a transfer of control or because the licensee intends to as- sign the authorization. The Commis- sion will not grant extension requests solely to allow a transferee or assignee to complete facilities that the trans- feror or assignor failed to construct.
(4) The filing of an extension request does not automatically extend the con- struction or coverage period unless the request is based on involuntary loss of site or other circumstances beyond the licensee’s control, in which case the construction period is automatically extended pending disposition of the ex- tension request.
(5) A request for extension of time to construct a particular transmitter or other facility does not extend the con- struction period for other transmitters and facilities under the same author- ization.
[63 FR 68933, Dec. 14, 1998, as amended at 69 FR 46397, Aug. 3, 2004; 71 FR 52749, Sept. 7, 2006; 72 FR 48842, Aug. 24, 2007]
§ 1.947 Modification of licenses. (a) All major modifications, as de-
fined in § 1.929 of this part, require prior Commission approval. Applica- tions for major modifications also shall be treated as new applications for de- termination of filing date, Public No- tice, and petition to deny purposes.
(b) Licensees may make minor modi- fications to station authorizations, as defined in § 1.929 of this part (other than pro forma transfers and assign- ments), as a matter of right without prior Commission approval. Where other rule parts permit licensees to make permissive changes to technical parameters without notifying the Com- mission (e.g., adding, modifying, or de- leting internal sites), no notification is required. For all other types of minor modifications (e.g., name, address,
point of contact changes), licensees must notify the Commission by filing FCC Form 601 within thirty (30) days of implementing any such changes.
(c) Multiple pending modification ap- plications requesting changes to the same or related technical parameters on an authorization are not permitted. If a modification application is pend- ing, any additional changes to the same or related technical parameters may be requested only in an amend- ment to the pending modification ap- plication.
(d) Any proposed modification that requires a fee as set forth at part 1, subpart G, of this chapter must be filed in accordance with § 1.913.
[63 FR 68933, Dec. 14, 1998, as amended at 64 FR 53240, Oct. 1, 1999]
§ 1.948 Assignment of authorization or transfer of control, notification of consummation.
(a) General. Except as provided in this section, authorizations in the Wireless Radio Services may be assigned by the licensee to another party, voluntarily or involuntarily, directly or indirectly, or the control of a licensee holding such authorizations may be trans- ferred, only upon application to and ap- proval by the Commission.
(b) Limitations on transfers and assign- ments. (1) A change from less than 50% ownership to 50% or more ownership shall always be considered a transfer of control.
(2) In other situations a controlling interest shall be determined on a case- by-case basis considering the distribu- tion of ownership, and the relation- ships of the owners, including family relationships.
(3) Designated Entities, as defined in § 1.2110(a) of this part, must comply with §§ 1.2110 and 1.2111 of this part when seeking to assign or transfer con- trol of an authorization.
(4) Stations must meet all applicable requirements regarding transfers and assignments contained in the rules per- taining to the specific service in which the station is licensed.
(5) Licenses, permits, and authoriza- tions for stations in the Amateur, Ship, Aircraft, Commercial Operator and Personal Radio Services (except
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Federal Communications Commission § 1.948
218–219 MHz Service) may not be as- signed or transferred, unless otherwise stated.
(c) Application required. In the case of an assignment of authorization or transfer of control, the assignor must file an application for approval of the assignment on FCC Form 603. If the as- signee or transferee is subject to the ownership reporting requirements of § 1.2112, the assignee or transferee must also file an updated FCC Form 602 or certify that a current FCC Form 602 is on file.
(1) In the case of a non-substantial (pro forma) transfer or assignment in- volving a telecommunications carrier, as defined in § 153(44) of the Commu- nications Act, filing of the Form 603 and Commission approval in advance of the proposed transaction is not re- quired, provided that:
(i) the affected license is not subject to unjust enrichment provisions under subpart Q of this part;
(ii) the transfer or assignment does not involve a proxy contest; and
(iii) the transferee or assignee pro- vides notice of the transaction by filing FCC Form 603 within 30 days of its completion, and provides any necessary updates of ownership information on FCC Form 602.
(2) In the case of an involuntary as- signment or transfer, FCC Form 603 must be filed no later than 30 days after the event causing the involuntary assignment or transfer.
(d) Notification of consummation. In all Wireless Radio Services, licensees are required to notify the Commission of consummation of an approved transfer or assignment using FCC Form 603. The assignee or transferee is responsible for providing this notification, including the date the transaction was con- summated. For transfers and assign- ments that require prior Commission approval, the transaction must be con- summated and notification provided to the Commission within 180 days of pub- lic notice of approval, and notification of consummation must occur no later than 30 days after actual consumma- tion, unless a request for an extension of time to consummate is filed on FCC Form 603 prior to the expiration of this 180-day period. For transfers and as- signments that do not require prior
Commission approval, notification of consummation must be provided on FCC Form 603 no later than 30 days after consummation, along with any necessary updates of ownership infor- mation on FCC Form 602.
(e) Partial assignment of authorization. If the authorization for some, but not all, of the facilities of a radio station in the Wireless Radio Services is as- signed to another party, voluntarily or involuntarily, such action is a partial assignment of authorization. To re- quest Commission approval of a partial assignment of authorization, the as- signor must notify the Commission on FCC Form 603 of the facilities that will be deleted from its authorization upon consummation of the assignment.
(f) Partitioning and disaggregation. Where a licensee proposes to partition or disaggregate a portion of its author- ization to another party, the applica- tion will be treated as a request for partial assignment of authorization. The assignor must notify the Commis- sion on FCC Form 603 of the geographic area or spectrum that will be deleted from its authorization upon con- summation of the assignment.
(g) Involuntary transfer and assign- ment. In the event of the death or legal disability of a permittee or licensee, a member of a partnership, or a person directly or indirectly in control of a corporation which is a permittee or li- censee, the Commission shall be noti- fied promptly of the occurrence of such death or legal disability. Within 30 days after the occurrence of such death or legal disability (except in the case of a ship or amateur station), an applica- tion shall be filed for consent to invol- untary assignment of such permit or li- cense, or for involuntary transfer of control of such corporation, to a person or entity legally qualified to succeed to the foregoing interests under the laws of the place having jurisdiction over the estate involved. The procedures and forms to be used are the same pro- cedures and forms as those specified in paragraph (b) of this section. In the case of Ship, aircraft, Commercial Op- erator, Amateur, and Personal Radio Services (except for 218–219 MHz Serv- ice) involuntary assignment of licenses will not be granted; such licenses shall be surrendered for cancellation upon
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47 CFR Ch. I (10–1–10 Edition)§ 1.948
the death or legal disability of the li- censee. Amateur station call signs as- signed to the station of a deceased li- censee shall be available for reassign- ment pursuant to § 97.19 of this chapter.
(h) Disclosure requirements. Applicants for transfer or assignment of licenses in auctionable services must comply with the disclosure requirements of §§ 1.2111 and 1.2112 of this part.
(i) Trafficking. Applications for ap- proval of assignment or transfer may be reviewed by the Commission to de- termine if the transaction is for pur- poses of trafficking in service author- izations.
(1) Trafficking consists of obtaining or attempting to obtain an authoriza- tion for the principal purpose of specu- lation or profitable resale of the au- thorization rather than for the provi- sion of telecommunication services to the public or for the licensee’s own pri- vate use.
(2) The Commission may require sub- mission of an affirmative, factual showing, supported by affidavit of per- sons with personal knowledge thereof, to demonstrate that the assignor did not acquire the authorization for the principal purpose of speculation or profitable resale of the authorization. This showing may include, for example, a demonstration that the proposed as- signment is due to changed cir- cumstances (described in detail) affect- ing the licensee after the grant of the authorization, or that the proposed as- signment is incidental to a sale of other facilities or a merger of inter- ests.
(j) Processing of applications. Applica- tions for assignment of authorization or transfer of control relating to the Wireless Radio Services will be proc- essed pursuant either to general ap- proval procedures or the immediate ap- proval procedures, as discussed herein.
(1) General approval procedures. Appli- cations will be processed pursuant to the general approval procedures set forth in this paragraph unless they are submitted and qualify for the imme- diate approval procedures set forth in paragraph (j)(2) of this section.
(i) To be accepted for filing under these general approval procedures, the application must be sufficiently com- plete and contain all necessary infor-
mation and certifications requested on the applicable form, FCC Form 603, in- cluding any information and certifi- cations (including those of the pro- posed assignee or transferee relating to eligibility, basic qualifications, and foreign ownership) required by the rules of this chapter and any rules per- taining to the specific service for which the application is filed, and must include payment of the required appli- cation fee(s) (see § 1.1102).
(ii) Once accepted for filing, the ap- plication will be placed on public no- tice, except no prior public notice will be required for applications involving authorizations in the Private Wireless Services, as specified in § 1.933(d)(9).
(iii) Petitions to deny filed in accord- ance with section 309(d) of the Commu- nications Act must comply with the provisions of § 1.939, except that such petitions must be filed no later than 14 days following the date of the public notice listing the application as ac- cepted for filing.
(iv) No later than 21 days following the date of the public notice listing an application as accepted for filing, the Wireless Telecommunications Bureau (Bureau) will affirmatively consent to the application, deny the application, or determine to subject the application to further review. For applications for which no prior public notice is re- quired, the Bureau will affirmatively consent to the application, deny the application, or determine to subject the application to further review no later than 21 days following the date on which the application has been filed, if filed electronically, and any required application fee has been paid (see § 1.1102); if filed manually, the Bureau will affirmatively consent to the appli- cation, deny the application, or deter- mine to subject the application to fur- ther review no later than 21 days after the necessary data in the manually filed application is entered into ULS.
(v) If the Bureau determines to sub- ject the application to further review, it will issue a public notice so indi- cating. Within 90 days following the date of that public notice, the Bureau will either take action upon the appli- cation or provide public notice that an additional 90-day period for review is needed.
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Federal Communications Commission § 1.949
(vi) Consent to the application is not deemed granted until the Bureau af- firmatively acts upon the application.
(vii) Grant of consent to the applica- tion will be reflected in a public notice (see § 1.933(a)) promptly issued after the grant.
(viii) If any petition to deny is filed, and the Bureau grants the application, the Bureau will deny the petition(s) and issue a concise statement of the reason(s) for denial, disposing of all substantive issues raised in the peti- tion(s).
(2) Immediate approval procedures. Ap- plications that meet the requirements of paragraph (j)(2)(i) of this section qualify for the immediate approval procedures.
(i) To qualify for the immediate ap- proval procedures, the application must be sufficiently complete, contain all necessary information and certifi- cations (including those relating to eli- gibility, basic qualifications, and for- eign ownership), and include payment of the requisite application fee(s), as required for an application processed under the general approval procedures set forth in paragraph (j)(1) of this sec- tion, and also must establish, through certifications, that the following addi- tional qualifications are met:
(A) The license does not involve spec- trum licensed in a Wireless Radio Serv- ice that may be used to provide inter- connected mobile voice and/or data services under the applicable service rules and that would, if assigned or transferred, create a geographic over- lap with spectrum in any licensed Wireless Radio Service (including the same service) in which the proposed as- signee or transferee already holds a di- rect or indirect interest of 10% or more (see § 1.2112), either as a licensee or a spectrum lessee, and that could be used by the assignee or transferee to provide interconnected mobile voice and/or data services;
(B) The licensee is not a designated entity or entrepreneur subject to un- just enrichment requirements and/or transfer restrictions under applicable Commission rules (see §§ 1.2110 and 1.2111, and §§ 24.709, 24.714, and 24.839 of this chapter); and,
(C) The assignment or transfer of control does not require a waiver of, or
declaratory ruling pertaining to, any applicable Commission rules, and there is no pending issue as to whether the license is subject to revocation, can- cellation, or termination by the Com- mission.
(ii) Provided that the application es- tablishes that it meets all of the req- uisite elements to qualify for these im- mediate approval procedures, consent to the assignment or transfer of con- trol will be reflected in ULS. If the ap- plication is filed electronically, con- sent will be reflected in ULS on the next business day after the filing of the application; if filed manually, consent will be reflected in ULS on the next business day after the necessary data in the manually filed application is en- tered into ULS. Consent to the applica- tion is not deemed granted until the Bureau affirmatively acts upon the ap- plication.
(iii) Grant of consent to the applica- tion under these immediate approval procedures will be reflected in a public notice (see § 1.933(a)) promptly issued after the grant, and is subject to recon- sideration (see §§ 1.106(f), 1.108, 1.113).
[63 FR 68933, Dec. 14, 1998, as amended at 64 FR 62120, Nov. 16, 1999; 68 FR 42995, July 21, 2003; 68 FR 66276, Nov. 25, 2003; 69 FR 77549, Dec. 27, 2004; 69 FR 77944, Dec. 29, 2004]
EFFECTIVE DATE NOTE: At 69 FR 77549, Dec. 27, 2004, § 1.948(j)(2) was revised. This para- graph contains information collection and recordkeeping requirements and will not be- come effective until approval has been given by the Office of Management and Budget.
§ 1.949 Application for renewal of li- cense.
(a) Applications for renewal of au- thorizations in the Wireless Radio Services must be filed no later than the expiration date of the authorization for which renewal is sought, and no sooner than 90 days prior to expiration. Re- newal applications must be filed on the same form as applications for initial authorization in the same service, i.e., FCC Form 601 or 605. Additional re- newal requirements applicable to spe- cific services are set forth in the sub- parts governing those services.
(b) Licensees with multiple author- izations in the same service may re- quest a common day and month on which such authorizations expire for
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47 CFR Ch. I (10–1–10 Edition)§ 1.951
renewal purposes. License terms may be shortened by up to one year but will not be extended to accommodate the applicant’s selection.
[63 FR 68934, Dec. 14, 1998]
§ 1.951 Duty to respond to official com- munications.
Licensees or applicants in the Wire- less Radio Services receiving official notice of an apparent or actual viola- tion of a federal statute, international agreement, Executive Order, or regula- tion pertaining to communications shall respond in writing within 10 days to the office of the FCC originating the notice, unless otherwise specified. Re- sponses to official communications must be complete and self-contained without reference to other communica- tions unless copies of such other com- munications are attached to the re- sponse. Licensees or applicants may re- spond via ULS.
[63 FR 68934, Dec. 14, 1998]
§ 1.955 Termination of authorizations. (a) Authorizations in general remain
valid until terminated in accordance with this section, except that the Com- mission may revoke an authorization pursuant to section 312 of the Commu- nications Act of 1934, as amended. See 47 U.S.C. 312.
(1) Expiration. Authorizations auto- matically terminate, without specific Commission action, on the expiration date specified therein, unless a timely application for renewal is filed. See § 1.949 of this part. No authorization granted under the provisions of this part shall be for a term longer than ten years, except to the extent a longer term is authorized under § 27.13 of part 27 of this chapter.
(2) Failure to meet construction or cov- erage requirements. Authorizations automatically terminate (in whole or in part as set forth in the service rules), without specific Commission ac- tion, if the licensee fails to meet appli- cable construction or coverage require- ments. See § 1.946(c).
(3) Service discontinued. Authoriza- tions automatically terminate, with- out specific Commission action, if serv- ice is permanently discontinued. The Commission authorization or the indi-
vidual service rules govern the defini- tion of permanent discontinuance for purposes of this section. A licensee who discontinues operations shall notify the Commission of the discontinuance of operations by submitting FCC Form 601 or 605 requesting license cancella- tion.
(b) Special temporary authority (STA) automatically terminates with- out specific Commission action upon failure to comply with the terms and conditions therein, or at the end of the period specified therein, unless a time- ly request for an extension of the STA term is filed in accordance with § 1.931 of this part. If a timely filed request for extension of the STA term is dis- missed or denied, the STA automati- cally terminates, without specific Commission action, on the day after the applicant or the applicant’s attor- ney is notified of the Commission’s ac- tion dismissing or denying the request for extension.
(c) Authorizations submitted by li- censees for cancellation terminate when the Commission gives Public No- tice of such action.
[63 FR 68934, Dec. 14, 1998, as amended at 64 FR 53240, Oct. 1, 1999; 70 FR 61058, Oct. 20, 2005; 72 FR 27708, May 16, 2007; 72 FR 48843, Aug. 24, 2007]
EDITORIAL NOTE: At 64 FR 53240, Oct. 1, 1999, § 1.955 was amended by revising the last sentence of paragraph (b)(2) to read ‘‘See § 1.946(c) of this part.’’, effective Nov. 30, 1999. However, paragraph (b)(2) does not exist in the 1998 volume.
§ 1.956 Settlement conferences.
Parties are encouraged to use alter- native dispute resolution procedures to settle disputes. See subpart E of this part. In any contested proceeding, the Commission, in its discretion, may di- rect the parties or their attorneys to appear before it for a conference.
(a) The purposes of such conferences are:
(1) To obtain admissions of fact or stipulations between the parties as to any or all of the matters in con- troversy;
(2) To consider the necessity for or desirability of amendments to the pleadings, or of additional pleadings or evidentiary submissions;
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Federal Communications Commission § 1.958
(3) To consider simplification or nar- rowing of the issues;
(4) To encourage settlement of the matters in controversy by agreement between the parties; and
(5) To consider other matters that may aid in the resolution of the con- tested proceeding.
(b) Conferences are scheduled by the Commission at a time and place it may designate, to be conducted in person or by telephone conference call.
(c) The failure of any party or attor- ney, following reasonable notice, to ap- pear at a scheduled conference will be deemed a failure to prosecute, sub- jecting that party’s application or peti- tion to dismissal by the Commission.
[63 FR 68935, Dec. 14, 1998]
§ 1.957 Procedure with respect to ama- teur radio operator license.
Each candidate for an amateur radio license which requires the applicant to pass one or more examination elements must present the Volunteer Examiners (VEs) with a properly completed FCC Form 605 prior to the examination. Upon completion of the examination, the VEs will grade the test papers. If the applicant is successful, the VEs will forward the candidate’s applica- tion to a Volunteer-Examiner Coordi- nator (VEC). The VEs will then issue a certificate for sucessful completion of an amateur radio operator examina- tion. The VEC will forward the applica- tion to the Commission’s Gettysburg, Pennsylvania, facility.
[63 FR 68935, Dec. 14, 1998]
§ 1.958 Distance computation. The method given in this section
must be used to compute the distance between any two locations, except that, for computation of distance in- volving stations in Canada and Mexico, methods for distance computation specified in the applicable inter- national agreement, if any, must be used instead. The result of a distance calculation under parts 21 and 101 of this chapter must be rounded to the nearest tenth of a kilometer. The method set forth in this paragraph is considered to be sufficiently accurate for distances not exceeding 475 km (295 miles).
(a) Convert the latitudes and lon- gitudes of each reference point from degree-minute-second format to de- gree-decimal format by dividing min- utes by 60 and seconds by 3600, then adding the results to degrees.
LATX DD MM SS
LONX DDD MM SS
dd
dd
= + +
= + +
60 3600
60 3600 (b) Calculate the mean geodetic lati-
tude between the two reference points by averaging the two latitudes:
ML LAT LATdd dd=
+1 2 2
(c) Calculate the number of kilo- meters per degree latitude difference for the mean geodetic latitude cal- culated in paragraph (b) of this section as follows:
KPDlat = 111.13209 ¥ 0.56605 cos 2ML + 0.00120 cos 4ML
(d) Calculate the number of kilo- meters per degree of longitude dif- ference for the mean geodetic latitude calculated in paragraph (b) of this sec- tion as follows:
KPDlon = 111.41513 cos 5ML ¥ 0.09455 cos 3ML + 0.00012 cos 5ML
(e) Calculate the North-South dis- tance in kilometers as follows:
NS = KPDlat × (LAT1dd ¥ LAT2dd)
(f) Calculate the East-West distance in kilometers as follows:
EW = KPDlon × (LON1dd ¥ LON2dd)
(g) Calculate the distance between the locations by taking the square root of the sum of the squares of the East- West and North-South distances:
DIST NS EW= +2 2
(h) Terms used in this section are de- fined as follows:
(1) LAT1dd and LON1dd are the coordi- nates of the first location in degree- decimal format.
(2) LAT2dd and LON2dd are the coordi- nates of the second location in degree- decimal format.
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47 CFR Ch. I (10–1–10 Edition)§ 1.959
(3) ML is the mean geodetic latitude in degree-decimal format.
(4) KPDlat is the number of kilometers per degree of latitude at a given mean geodetic latitude.
(5) KPDlon is the number of kilo- meters per degree of longitude at a given mean geodetic latitude.
(6) NS is the North-South distance in kilometers.
(7) EW is the East-West distance in kilometers.
(8) DIST is the distance between the two locations, in kilometers.
[70 FR 19306, Apr. 13, 2005]
§ 1.959 Computation of average terrain elevation.
Except as otherwise specified in § 90.309(a)(4) of this chapter, average terrain elevation must be calculated by computer using elevations from a 30 second point or better topographic data file. The file must be identified. If a 30 second point data file is used, the ele- vation data must be processed for in- termediate points using interpolation techniques; otherwise, the nearest point may be used. In cases of dispute, average terrain elevation determina- tions can also be done manually, if the results differ significantly from the computer derived averages.
(a) Radial average terrain elevation is calculated as the average of the ele- vation along a straight line path from 3 to 16 kilometers (2 and 10 miles) ex- tending radially from the antenna site. If a portion of the radial path extends over foreign territory or water, such portion must not be included in the computation of average elevation un- less the radial path again passes over United States land between 16 and 134 kilometers (10 and 83 miles) away from the station. At least 50 evenly spaced data points for each radial should be used in the computation.
(b) Average terrain elevation is the average of the eight radial average ter- rain elevations (for the eight cardinal radials).
(c) For locations in Dade and Broward Counties, Florida, the method prescribed above may be used or aver- age terrain elevation may be assumed to be 3 meters (10 feet).
[70 FR 19306, Apr. 13, 2005]
REPORTS TO BE FILED WITH THE COMMISSION
§ 1.981 Reports, annual and semi- annual.
(a) Licensees of stations authorized for developmental operation shall sub- mit a report on the results of the devel- opmental program. The report shall be filed with and made a part of each ap- plication for renewal of authorization. The report shall be filed at the Com- mission’s offices in Washington, DC or alternatively may be sent to the com- mission electronically via the ULS.
(b) The report shall include com- prehensive and detailed information on the following:
(1) The final objective. (2) Results of operation to date. (3) Analysis of the results obtained. (4) Copies of any published reports. (5) Need for continuation of the pro-
gram. (6) Number of hours of operation on
each frequency. (c) Where required by the particular
service rules, licensees who have en- tered into agreements with other per- sons for the cooperative use of radio station facilities must submit annually an audited financial statement reflect- ing the nonprofit cost-sharing nature of the arrangement to the Commis- sion’s offices in Washington, DC or al- ternatively may be sent to the Com- mission electronically via the ULS, no later than three months after the close of the licensee’s fiscal year.
[63 FR 68935, Dec. 14, 1998]
Subpart G—Schedule of Statutory Charges and Procedures for Payment
SOURCE: 52 FR 5289, Feb. 20, 1987, unless otherwise noted.
§ 1.1101 Authority.
Authority to impose and collect these charges is contained in title III, section 3001 of the Omnibus Budget Reconciliation Act of 1989 (Pub. L. 101– 239), revising 47 U.S.C. 158, which di- rects the Commission to prescribe charges for certain of the regulatory services it provides to many of the
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Federal Communications Commission § 1.1102
communications entities within its ju- risdiction. This law revises section 8 of the Communications Act of 1934, as amended, which contains a Schedule of Charges as well as procedures for modi- fying and collecting these charges.
[55 FR 19155, May 8, 1990]
§ 1.1102 Schedule of charges for appli- cations and other filings in the wireless telecommunications serv- ices.
Those services designated with an as- terisk in the payment type code col-
umn have associated regulatory fees that must be paid at the same time the application fee is paid. Please refer to § 1.1152 for the appropriate regulatory fee that must be paid for this service. Remit manual filings and/or payment for these services to the: Federal Com- munications Commission, Wireless Bu- reau Applications, P.O. Box 979097, St. Louis, MO 63197–9000.
Service FCC Form No. Fee amount($)
Payment type code
1. Marine Coast: a. New; Renewal/Modification ...................................................... 601 & 159 ..................... 120.00 PBMR * b. Modification; Public Coast CMRS; Non-Profit .......................... 601 & 159 ..................... 120.00 PBMM c. Assignment of Authorization ..................................................... 603 & 159 ..................... 120.00 PBMM d. Transfer of Control ................................................................... 603 & 159 ..................... 60.00 PATM
Spectrum Leasing for Public Coast ............................... 608 & 159 ..................... e. Duplicate License ..................................................................... 601 & 159 ..................... 60.00 PADM f. Special Temporary Authority ..................................................... 601 & 159 ..................... 170.00 PCMM g. Renewal Only ........................................................................... 601 & 159 ..................... 120.00 PBMR * h. Renewal (Electronic Filing) ....................................................... 601 & 159 ..................... 120.00 PBMR * i. Renewal Only (Non-Profit; CMRS) ............................................ 601 & 159 ..................... 120.00 PBMM j. Renewal (Electronic Filing) Non-profit, CMRS .......................... 601 & 159 ..................... 120.00 PBMM k. Rule Waiver .............................................................................. 601, 603 or 608 & 159 175.00 PDWM l. Modification for Spectrum Leasing for Public Coast Stations ... 608 & 159 ..................... 120.00 PBMM
2. Aviation Ground: a. New; Renewal/Modification ...................................................... 601 & 159 ..................... 120.00 PBVR * b. Modification; Non-Profit ............................................................ 601 & 159 ..................... 120.00 PBVM c. Assignment of Authorization ..................................................... 603 & 159 ..................... 120.00 PBVM d. Transfer of Control ................................................................... 603 & 159 ..................... 60.00 PATM e. Duplicate License ..................................................................... 601 & 159 ..................... 60.00 PADM f. Special Temporary Authority ..................................................... 601 & 159 ..................... 170.00 PCVM g. Renewal Only ........................................................................... 601 & 159 ..................... 120.00 PBVR * h. Renewal (Electronic Filing) ....................................................... 601 & 159 ..................... 120.00 PBVR * i. Renewal Only, Non-Profit .......................................................... 601 & 159 ..................... 120.00 PBVM j. Renewal, Non-Profit (Electronic Filing) ..................................... 601 & 159 ..................... 120.00 PBVM k. Rule Waiver .............................................................................. 601 or 603 & 159 ......... 175.00 PDWM
3. Ship: a. New; Renewal/Modification; Renewal Only ............................. 605 & 159 ..................... 60.00 PASR * b. New; Renewal/Modification; Renewal Only (Electronic Filing) 605 & 159 ..................... 60.00 PASR * c. Renewal Only, Non-profit ......................................................... 605 & 159 ..................... 60.00 PASM d. Renewal Only, Non-profit (Electronic Filing) ............................ 605 & 159 ..................... 60.00 PASM e. Modification; Non-profit ............................................................. 605 & 159 ..................... 60.00 PASM f. Modification; Non-profit (Electronic Filing) ................................ 605 & 159 ..................... 60.00 PASM g. Duplicate License ..................................................................... 605 & 159 ..................... 60.00 PADM h. Duplicate License (Electronic Filing) ........................................ 605 & 159 ..................... 60.00 PADM i. Exemption from Ship Station Requirements ............................. 605 & 159 ..................... 175.00 PDWM j. Rule Waiver ............................................................................... 605 & 159 ..................... 175.00 PDWM k. Exemption from Ship Station Requirements (Electronic Filing) 605 & 159 ..................... 175.00 PDWM l. Rule Waiver (Electronic Filing) .................................................. 605 & 159 ..................... 175.00 PDWM
4. Aircraft: a. New; Renewal/Modification ...................................................... 605 & 159 ..................... 60.00 PAAR * b. New; Renewal/Modification (Electronic Filing) ......................... 605 & 159 ..................... 60.00 PAAR * c. Modification; Non-Profit ............................................................ 605 & 159 ..................... 60.00 PAAM d. Modification Non-Profit (Electronic Filing) ................................ 605 & 159 ..................... 60.00 PAAM e. Renewal Only ........................................................................... 605 & 159 ..................... 60.00 PAAR * f. Renewal (Electronic Filing) ........................................................ 605 & 159 ..................... 60.00 PAAR * g. Renewal Only Non-Profit .......................................................... 605 & 159 ..................... 60.00 PAAM h. Renewal; Renewal/Modification, Non-Profit (Electronic Filing) 605 & 159 ..................... 60.00 PAAM i. Duplicate License ...................................................................... 605 & 159 ..................... 60.00 PADM j. Duplicate License (Electronic Filing) ......................................... 605 & 159 ..................... 60.00 PADM k. Rule Waiver .............................................................................. 605 & 159 ..................... 175.00 PDWM l. Rule Waiver (Electronic Filing) .................................................. 605 & 159 ..................... 175.00 PDWM
5. Private Operational Fixed Microwave and Private DEMS: a. New; Renewal/Modification ...................................................... 601 & 159 ..................... 260.00 PEOR *
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Service FCC Form No. Fee amount($)
Payment type code
b. New; Renewal/Modification (Electronic Filing) ......................... 601 & 159 ..................... 260.00 PEOR * c. Modification; Consolidate Call Signs; Non-Profit ...................... 601 & 159 ..................... 260.00 PEOM d. Modification; Consolidate Call Signs; Non-Profit (Electronic
Filing). 601 & 159 ..................... 260.00 PEOM
e. Renewal Only ........................................................................... 601 & 159 ..................... 260.00 PEOR * f. Renewal (Electronic Filing) ........................................................ 601 & 159 ..................... 260.00 PEOR * g. Renewal Only, Non-Profit ......................................................... 601 & 159 ..................... 260.00 PEOM h. Renewal Non-Profit (Electronic Filing) ..................................... 601 & 159 ..................... 260.00 PEOM i. Assignment ................................................................................ 603 & 159 ..................... 260.00 PEOM j. Assignment (Electronic Filing) ................................................... 603 & 159 ..................... 260.00 PEOM k. Transfer of Control; ................................................................... 603 & 159 .....................
Spectrum Leasing .......................................................... 608 & 159 ..................... 60.00 PATM l. Transfer of Control; .................................................................... 603 & 159 .....................
Spectrum Leasing (Electronic Filing) ............................. 608 & 159 ..................... 60.00 PATM m. Duplicate License .................................................................... 601 & 159 ..................... 60.00 PADM n. Duplicate License (Electronic Filing) ........................................ 601 & 159 ..................... 60.00 PADM o. Special Temporary Authority .................................................... 601 & 159 ..................... 60.00 PAOM p. Special Temporary Authority (Electronic Filing) ....................... 601 & 159 ..................... 60.00 PAOM q. Rule Waiver .............................................................................. 601, 603 or 608 & 159 175.00 PDWM r. Rule Waiver (Electronic Filing) .................................................. 601, 603 or 608 & 159 175.00 PDWM s. Modification for Spectrum Leasing ........................................... 608 & 159 ..................... 260.00 PEOM t. Modification for Spectrum Leasing (Electronic Filing) ............... 608 & 159 ..................... 260.00 PEOM
6. Land Mobile: PMRS; Intelligent Transportation Service .................................... 601 & 159 ..................... 60.00 PALR * a. New or Renewal/Modification (Frequencies below 470 MHz
(except 220 MHz)) 902–928 MHz & RS. b. New; Renewal/Modification (Frequencies below 470 MHz (ex-
cept 220 MHz)) (Electronic Filing). 601 & 159 ..................... 60.00 PALR *
c. New; Renewal/Modification (Frequencies 470 MHz and above and 220 MHz Local).
601 & 159 ..................... 60.00 PALS *
d. New; Renewal/Modification (Frequencies 470 MHz and above and 220 MHz Local) (Electronic Filing).
601 & 159 ..................... 60.00 PALS *
e. New; Renewal/Modification (220 MHz Nationwide) ................. 601 & 159 ..................... 60.00 PALT * f. New; Renewal/Modification (220 MHz Nationwide) (Electronic
Filing). 601 & 159 ..................... 60.00 PALT *
g. Modification; Non-Profit; For Profit Special Emergency and Public Safety; and CMRS.
601 & 159 ..................... 60.00 PALM
h. Modification; Non-Profit; For Profit Special Emergency and Public Safety; and CMRS (Electronic Filing).
601 & 159 ..................... 60.00 PALM
i. Renewal Only ............................................................................ 601 & 159 ..................... 60.00 60.00 60.00
PALR * PALS * PALT *
j. Renewal (Electronic Filing) ........................................................ 601 & 159 ..................... 60.00 60.00 60.00
PALR * PALS * PALT *
k. Renewal Only (Non-Profit; CMRS; For-Profit Special Emer- gency and Public Safety).
601 & 159 ..................... 60.00 PALM
l. Renewal (Non-Profit; CMRS; For-Profit Special Emergency and Public Safety) (Electronic Filing).
601 & 159 ..................... 60.00 PALM
m. Assignment of Authorization (PMRS & CMRS) ...................... 603 & 159 ..................... 60.00 PALM n. Assignment of Authorization (PMRS & CMRS) (Electronic Fil-
ing). 603 & 159 ..................... 60.00 PALM
o. Transfer of Control (PMRS & CMRS); ..................................... 603 & 159 ..................... 60.00 PATM Spectrum Leasing .......................................................... 608 & 159 ..................... 60.00 PATM
p. Transfer of Control (PMRS & CMRS); ..................................... 603 & 159 ..................... 60.00 PATM Spectrum Leasing (Electronic Filing) ............................. 608 & 159 ..................... 60.00 PATM
q. Duplicate License ..................................................................... 601 & 159 ..................... 60.00 PADM r. Duplicate License (Electronic Filing) ......................................... 601 & 159 ..................... 60.00 PADM s. Special Temporary Authority .................................................... 601 & 159 ..................... 60.00 PALM t. Special Temporary Authority (Electronic Filing) ........................ 601 & 159 ..................... 60.00 PALM u. Rule Waiver .............................................................................. 601, 603 or 608 & 159 175.00 PDWM v. Rule Waiver (Electronic Filing) ................................................. 601, 603 or 608 & 159 175.00 PDWM w. Consolidate Call Signs ............................................................. 601 & 159 ..................... 60.00 PALM x. Consolidate Call Signs (Electronic Filing) ................................ 601 & 159 ..................... 60.00 PALM y. Modification for Spectrum Leasing ........................................... 608 & 159 ..................... 60.00 PALM z. Modification for Spectrum Leasing (Electronic Filing) .............. 608 & 159 ..................... 60.00 PALM
7. 218–219 MHz (previously IVDS): a. New; Renewal/Modification ...................................................... 601 & 159 ..................... 60.00 PAIR * b. New; Renewal/Modification (Electronic Filing) ......................... 601 & 159 ..................... 60.00 PAIR * c. Modification; Non-Profit ............................................................ 601 & 159 ..................... 60.00 PAIM d. Modification; Non-Profit (Electronic Filing) ............................... 601 & 159 ..................... 60.00 PAIM e. Renewal Only ........................................................................... 601 & 159 ..................... 60.00 PAIR *
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Service FCC Form No. Fee amount($)
Payment type code
f. Renewal (Electronic Filing) ........................................................ 601 & 159 ..................... 60.00 PAIR* g. Assignment of Authorization ..................................................... 603 & 159 ..................... 60.00 PAIM h. Assignment of Authorization (Electronic Filing) ....................... 603 & 159 ..................... 60.00 PAIM i. Transfer of Control; .................................................................... 603 & 159 ..................... 60.00 PATM
Spectrum Leasing .......................................................... 608 & 159 ..................... 60.00 PATM j. Transfer of Control; .................................................................... 603 & 159 ..................... 60.00 PATM
Spectrum Leasing (Electronic Filing) ............................. 608 & 159 ..................... 60.00 PATM k. Duplicate License ..................................................................... 601 & 159 ..................... 60.00 PADM l. Duplicate License (Electronic Filing) ......................................... 601 & 159 ..................... 60.00 PADM m. Special Temporary Authority ................................................... 601 & 159 ..................... 60.00 PAIM n. Special Temporary Authority (Electronic Filing) ....................... 601 & 159 ..................... 60.00 PAIM o. Modification for Spectrum Leasing ........................................... 608 & 159 ..................... 60.00 PAIM p. Modification for Spectrum Leasing (Electronic Filing) .............. 608 & 159 ..................... 60.00 PAIM
8. General Mobile Radio (GMRS): a. New; Renewal/Modification ...................................................... 605 & 159 ..................... 60.00 PAZR * b. New; Renewal/Modification (Electronic Filing) ......................... 605 & 159 ..................... 60.00 PAZR * c. Modification ............................................................................... 605 & 159 ..................... 60.00 PAZM d. Modification (Electronic Filing) ................................................. 605 & 159 ..................... 60.00 PAZM e. Renewal Only ........................................................................... 605 & 159 ..................... 60.00 PAZR * f. Renewal (Electronic Filing) ........................................................ 605 & 159 ..................... 60.00 PAZR * g. Duplicate License ..................................................................... 605 & 159 ..................... 60.00 PADM h. Duplicate License (Electronic Filing) ........................................ 605 & 159 ..................... 60.00 PADM i. Special Temporary Authority ..................................................... 605 & 159 ..................... 60.00 PAZM j. Special Temporary Authority (Electronic Filing) ........................ 605 & 159 ..................... 60.00 PAZM k. Rule Waiver .............................................................................. 605 & 159 ..................... 175.00 PDWM l. Rule Waiver (Electronic Filing) .................................................. 605 & 159 ..................... 175.00 PDWM
9. Restricted Radiotelephone: a. New (Lifetime Permit) ............................................................... 605 & 159 ..................... 60.00 PARR
New (Limited Use) .......................................................... 605 & 159 ..................... b. Duplicate/Replacement Permit ................................................. 605 & 159 ..................... 60.00 PADM
Duplicate/Replacement Permit (Limited Use) ................ 605 & 159 ..................... 60.00 PADM 10. Commercial Radio Operator:
a. Renewal Only; Renewal/Modification ....................................... 605 & 159 ..................... 60.00 PACS b. Duplicate ................................................................................... 605 & 159 ..................... 60.00 PADM
11. Hearing .................................................................................................. Corres & 159 ................ 11,205.00 PFHM 12. Common Carrier Microwave (Pt. To Pt., Local TV Trans. & Millimeter
Wave Service) 601 & 159 ..................... 260.00 CJPR *
a. New; Renewal/Modification (Electronic Filing Required) ......... b. Major Modification; Consolidate Call Signs (Electronic Filing
Required). 601 & 159 ..................... 260.00 CJPM
c. Renewal (Electronic Filing Required) ....................................... 601 & 159 ..................... 260.00 CJPR * d. Assignment of Authorization; Transfer of Control; ................... 603 & 159 ..................... 95.00 CCPM
Spectrum Leasing .......................................................... 608 & 159 ..................... 95.00 CCPM Additional Stations (Electronic Filing Required) ............. 603 or 608 & 159 ......... 60.00 CAPM
e. Duplicate License (Electronic Filing Required) ........................ 601 & 159 ..................... 60.00 PADM f. Extension of Construction Authority (Electronic Filing Re-
quired). 601 & 159 ..................... 95.00 CCPM
g. Special Temporary Authority .................................................... 601 & 159 ..................... 120.00 CEPM h. Special Temporary Authority (Electronic Filing) ....................... 601 & 159 ..................... 120.00 CEPM i. Major Modification for Spectrum Leasing (Electronic Filing Re-
quired). 608 & 159 ..................... 260.00 CJPM
13. Common Carrier Microwave (DEMS): a. New; Renewal/Modification (Electronic Filing Required) ......... 601 & 159 ..................... 260.00 CJLR * b. Major Modification; Consolidate Call Signs (Electronic Filing
Required). 601 & 159 ..................... 260.00 CJLM
c. Renewal (Electronic Filing Required) ....................................... 601 & 159 ..................... 260.00 CJLR * d. Assignment of Authorization; Transfer of Control; ................... 603 & 159 ..................... 95.00 CCLM
Spectrum Leasing .......................................................... 608 & 159 ..................... 95.00 CCLM Additional Stations (Electronic Filing Required) ............. 603 or 608 & 159 ......... 60.00 CALM
e. Duplicate License (Electronic Filing Required) ........................ 601 & 159 ..................... 60.00 PADM f. Extension of Construction Authority (Electronic Filing Re-
quired). 601 & 159 ..................... 95.00 CCLM
g. Special Temporary Authority .................................................... 601 & 159 ..................... 120.00 CELM h. Special Temporary Authority (Electronic Filing) ....................... 601 & 159 ..................... 120.00 CELM i. Major Modification for Spectrum Leasing (Electronic Filing Re-
quired). 608 & 159 ..................... 260.00 CJLM
14. Broadcast Auxiliary (Aural and TV Microwave): a. New; Modification; Renewal/Modification ................................. 601 & 159 ..................... 145.00 MEA b. New; Modification; Renewal/Modification (Electronic Filing) .... 601 & 159 ..................... 145.00 MEA c. Special Temporary Authority .................................................... 601 & 159 ..................... 170.00 MGA d. Special Temporary Authority (Electronic Filing) ....................... 601 & 159 ..................... 170.00 MGA e. Renewal Only ........................................................................... 601 & 159 ..................... 60.00 MAA
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Service FCC Form No. Fee amount($)
Payment type code
f. Renewal (Electronic Filing) ........................................................ 601 & 159 ..................... 60.00 MAA 15. Broadcast Auxiliary (Remote and Low Power):
a. New; Modification; Renewal/Modification ................................. 601 & 159 ..................... 145.00 MEA b. New; Modification; Renewal/Modification (Electronic Filing) .... 601 & 159 ..................... 145.00 MEA c. Renewal Only ........................................................................... 601 & 159 ..................... 60.00 MAA d. Renewal (Electronic Filing) ....................................................... 601 & 159 ..................... 60.00 MAA e. Special Temporary Authority .................................................... 601 & 159 ..................... 170.00 MGA f. Special Temporary Authority (Electronic Filing) ........................ 601 & 159 ..................... 170.00 MGA
16. Pt 22 Paging & Radiotelephone: a. New; Major Mod; Additional Facility; Major Amendment;
Major Renewal/Mod; Fill in Transmitter (Per Transmitter) (Electronic Filing Required).
601 & 159 ..................... 385.00 CMD
b. Minor Mod; Renewal; Minor Renewal/Mod; (Per Call Sign) 900 MHz Nationwide Renewal Net Organ; New Operator (Per Operator/Per City) Notice of Completion of Construction or Extension of Time to Construct (Per Application) (Electronic Filing Required).
601 & 159 ..................... 60.00 CAD
c. Auxiliary Test (Per Transmitter); Consolidate Call Signs (Per Call Sign) (Electronic Filing Required).
601 & 159 ..................... 335.00 CLD
d. Special Temporary Authority (Per Location/Per Frequency) ... 601 & 159 ..................... 335.00 CLD e. Special Temporary Authority (Per Location/Per Frequency)
(Electronic Filing). 601 & 159 ..................... 335.00 CLD
f. Assignment of License or Transfer of Control; ......................... 603 & 159 ..................... 385.00 CMD Spectrum Leasing (Full or Partial) (Per First Call Sign); 608 & 159 ..................... 385.00 CMD Additional Call Signs (Per Call Signs) (Electronic Filing
Required). 603 or 608 & 159 ......... 60.00 CAD
g. Subsidiary Comm. Service (Per Request) (Electronic Filing Required).
601 & 159 ..................... 170.00 CFD
h. Major Modification for Spectrum Leasing (Electronic Filing Required).
608 & 159 ..................... 385.00 CMD
i. Minor Modification for Spectrum Leasing (Electronic Filing Re- quired).
608 & 159 ..................... 60.00 CAD
17. Cellular: a. New; Major Mod; Additional Facility; Major Renewal/Mod (Per
Call Sign) (Electronic Filing Required). 601 & 159 ..................... 385.00 CMC
b. Minor Modification; Minor Renewal/Mod (Per Call Sign) (Elec- tronic Filing Required).
601 & 159 ..................... 100.00 CDC
c. Assignment of License; Transfer of Control (Full or Partial) (Per Call Sign).
603 & 159 ..................... 385.00 CMC
Spectrum Leasing (Electronic Filing Required) ............................ 608 & 159 d. Notice of Extension of Time to Complete Construction; (Per
Request) Renewal (Per Call Sign) (Electronic Filing Required). 601 & 159 ..................... 60.00 CAC
e. Special Temporary Authority (Per Request) ............................ 601 & 159 ..................... 335.00 CLC f. Special Temporary Authority (Per Request) (Electronic Filing) 601 & 159 ..................... 335.00 CLC g. Major Modification for Spectrum Leasing (Electronic Filing
Required). 608 & 159 ..................... 385.00 CMC
h. Minor Modification for Spectrum Leasing (Electronic Filing Required).
608 & 159 ..................... 100.00 CDC
18. Rural Radio: a. New; Major Renew/Mod; Additional Facility (Per Transmitter)
(Electronic Filing Required). 601 & 159 ..................... 175.00 CGRR *
b. Major Mod; Major Amendment (Per Transmitter) (Electronic Filing Required).
601 & 159 ..................... 175.00 CGRM
c. Minor Modification; (Per Transmitter) (Electronic Filing Re- quired).
601 & 159 ..................... 60.00 CARM
d. Assignment of License; Transfer of Control (Full or Partial) (Per Call Sign).
603 & 159 ..................... 175.00 CGRM
Spectrum Leasing .......................................................... 608 & 159 ..................... 175.00 CGRM Additional Calls (Per Call Sign) (Electronic Filing Re-
quired). 603 or 608 & 159 ......... 60.00 CARM
e. Renewal (Per Call Sign); Minor Renewal/Mod (Per Trans- mitter) (Electronic Filing Required).
601 & 159 ..................... 60.00 CARR *
f. Notice of Completion of Construction or Extension of Time to Construct (Per Application) (Electronic Filing Required).
601 & 159 ..................... 60.00 CARM
g. Special Temporary Authority (Per Transmitter) ....................... 601 & 159 ..................... 335.00 CLRM h. Special Temporary Authority (Per Transmitter) (Electronic Fil-
ing). 601 & 159 ..................... 335.00 CLRM
i. Combining Call Signs (Per Call Sign) (Electronic Filing Re- quired).
601 & 159 ..................... 335.00 CLRM
j. Auxiliary Test Station (Per Transmitter) (Electronic Filing Re- quired).
601 & 159 ..................... 335.00 CLRM
k. Major Modification for Spectrum Leasing (Electronic Filing Required).
608 & 159 ..................... 175.00 CGRM
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Payment type code
l. Minor Modification for Spectrum Leasing (Electronic Filing Re- quired).
608 & 159 ..................... 60.00 CARM
19. Offshore Radio: a. New; Major Mod; Additional Facility; Major Amendment;
Major Renew/Mod; Fill in Transmitters (Per Transmitter) (Electronic Filing Required).
601 & 159 ..................... 175.00 CGF
b. Consolidate Call Signs (Per Call Sign); Auxiliary Test (Per Transmitter) (Electronic Filing Required).
601 & 159 ..................... 335.00 CLF
c. Minor Modification; Minor Renewal/Modification (Per Trans- mitter); Notice of Completion of Construction or Extension of Time to Construct (Per Application); Renewal (Per Call Sign) (Electronic Filing Required).
601 & 159 ..................... 60.00 CAF
d. Assignment of License; Transfer of Control (Full or Partial) ... 603 & 159 ..................... 175.00 CGF Spectrum Leasing .......................................................... 608 & 159 ..................... 175.00 CGF Additional Calls (Electronic Filing Required) .................. 603 or 608 & 159 ......... 60.00 CAF
e. Special Temporary Authority (Per Transmitter) ....................... 601 & 159 ..................... 335.00 CLF f. Special Temporary Authority (Per Transmitter) (Electronic Fil-
ing). 601 & 159 ..................... 335.00 CLF
g. Major Modification for Spectrum Leasing (Electronic Filing Required).
608 & 159 ..................... 175.00 CGF
h. Minor Modification for Spectrum Leasing (Electronic Filing Required).
608 & 159 ..................... 60.00 CAF
20. Broadband Radio Service (Previously Multipoint Distribution Service) 601 & 159 ..................... 260.00 CJM a. New station (Electronic Filing Required) .................................. b. Major Modification of Licenses (Electronic Filing Required) .... 601 & 159 ..................... 260.00 CJM c. Certification of Completion of Construction (Electronic Filing
Required). 601 & 159 ..................... 755.00 CPM*
d. License Renewal (Electronic Filing Required) ......................... 601 & 159 ..................... 260.00 CJM e. Assignment of Authorization; Transfer of Control (first station)
(Electronic Filing Required). 603 & 159 ..................... 95.00 CCM
Spectrum Leasing (first station) ..................................... 608 & 159 ..................... 95.00 CCM Additional Station ........................................................... 608 & 159 ..................... 60.00 CAM
f. Extension of Construction Authorization (Electronic Filing Re- quired).
601 & 159 ..................... 220.00 CHM
g. Special Temporary Authority or Request for Waiver of Prior Construction Authorization (Electronic Filing).
601 & 159 ..................... 120.00 CEM
h. Special Temporary Authority .................................................... 601 & 159 ..................... 120.00 CEM i. Major Modification for Spectrum Leasing (Electronic Filing Re-
quired). 608 & 159 ..................... 260.00 CJM
21. Communications Assistance for Law Enforcement (CALEA) Petitions Correspondence & 159 5,880.00 CALA
[74 FR 5108, Jan. 29, 2009]
§ 1.1103 Schedule of charges for equipment approval, experimental radio services (or service).
Remit manual filings and/or payment for these services to the: Federal Commu- nications Commission, OET Services, P.O. Box 979095, St. Louis, MO 63197–9000.
Service FCC Form No. Fee amount($)
Payment type code
Equipment Approval Service(s): 1. Certification
a. Receivers (except TV and FM) (Electronic Filing Only) .......... 731 & 159 ..................... 475.00 EEC b. Devices Under Parts 11, 15 & 18 (except receivers) (Elec-
tronic Filing Only). 731 & 159 ..................... 1,220.00 EGC
c. All Other Devices (Electronic Filing Only) ................................ 731 & 159 ..................... 615.00 EFT d. Modifications and Class II Permissive Changes (Electronic
Filing Only). 731 & 159 ..................... 60.00 EAC
e. Request for Confidentiality under Certification (Electronic Fil- ing Only).
731 & 159 ..................... 175.00 EBC
f. Class III Permissive Changes (Electronic Filing Only) ............. 731 & 159 ..................... 615.00 ECC 2. Advance Approval of Subscription TV Systems ...................... Corres & 159 ................ 3,740.00 EIS a. Request for Confidentiality for Advance Approval of Subscrip-
tion TV Systems. Corres & 159 ................ 175.00 EBS
3. Assignment of Grantee Code a. For all Application Types, except Subscription TV (Electronic
Filing Only—Optional Electronic Payment). Electronic Assignment
& Form 159 or Op- tional Electronic Pay- ment.
60.00 EAG
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Service FCC Form No. Fee amount($)
Payment type code
4. Experimental Radio Service(s) a. New Station Authorization ........................................................ 442 & 159 ..................... 60.00 EAE b. Modification of Authorization .................................................... 442 & 159 ..................... 60.00 EAE c. Renewal of Station Authorization ............................................. 405 & 159 ..................... 60.00 EAE d. Assignment of License or Transfer of Control ......................... 702 & 159 or 703 & 159 60.00 EAE e. Special Temporary Authority .................................................... Corres & 159 ................ 60.00 EAE f. Additional fee required for any of the above applications that
request withholding from public inspection. Corres & 159 ................ 60.00 EAE
[74 FR 5112, Jan. 29, 2009]
§ 1.1104 Schedule of charges for applications and other filings for media services. Remit manual filings and/or payment for these services to the: Federal Commu-
nications Commission, Media Bureau Services, P.O. Box 979089, St. Louis, MO 63197–9000.
Service FCC Form No. Fee amount($)
Payment type code
1. Commercial TV Services: a. New and Major Change Construction Permits (per applica-
tion) (Electronic Filing). 301 & 159 ..................... 4,205.00 MVT
b. Minor Change (per application) (Electronic Filing) ................... 301 & 159 ..................... 940.00 MPT c. Main Studio Request ................................................................ Corres & 159 ................ 940.00 MPT d. New License (per application) (Electronic Filing) ..................... 302–TV & 159 285.00 MJT
302–DTV & 159. e. License Renewal (per application) (Electronic Filing) .............. 303–S & 159 ................ 170.00 MGT f. License Assignment; (i) Long Form (Electronic Filing) ............. 314 & 159 ..................... 940.00 MPT* (ii) Short Form (Electronic Filing) ................................................. 316 & 159 ..................... 135.00 MDT* g. Transfer of Control; (i) Long Form (Electronic Filing) .............. 315 & 159 ..................... 940.00 MPT* (ii) Short Form (Electronic Filing) ................................................. 316 & 159 ..................... 135.00 MDT* h. Call Sign (Electronic Filing) ...................................................... 380 & 159 ..................... 95.00 MBT i. Special Temporary Authority ..................................................... Corres & 159 ................ 170.00 MGT j. Petition for Rulemaking for New Community of License (Elec-
tronic Filing). 301 & 159 2,595.00 MRT
302–TV & 159. k. Ownership Report (Electronic Filing) ........................................ 323 & 159 60.00 MAT*
Corres & 159. 2. Commercial AM Radio Stations:
a. New or Major Change Construction Permit (Electronic Filing) 301 & 159 ..................... 3,740.00 MUR b. Minor Change (per application) (Electronic Filing) ................... 301 & 159 ..................... 940.00 MPR c. Main Studio Request (per request) .......................................... Corres & 159 ................ 940.00 MPR d. New License (per application) (Electronic Filing) ..................... 302–AM & 159 ............. 615.00 MMR e. AM Directional Antenna (per application) (Electronic Filing) ... 302–AM & 159 ............. 705.00 MOR f. AM Remote Control (per application) (Electronic Filing) .......... 301 & 159 ..................... 60.00 MAR g. License Renewal (per application) (Electronic Filing) .............. 303–S & 159 ................ 170.00 MGR h. License Assignment; (i) Long Form (Electronic Filing) ............ 314 & 159 ..................... 940.00 MPR* (ii) Short Form (Electronic Filing) ................................................. 316 & 159 ..................... 135.00 MDR* i. Transfer of Control; (i) Long Form (Electronic Filing) ............... 315 & 159 ..................... 940.00 MPR* (ii) Short Form (Electronic Filing) ................................................. 316 & 159 ..................... 135.00 MDR* j. Call Sign (Electronic Filing) ....................................................... 380 & 159 ..................... 95.00 MBR k. Special Temporary Authority .................................................... Corres & 159 ................ 170.00 MGR l. Ownership Report (Electronic Filing) ......................................... 323 & 159 60.00 MAR
or Corres & 159.
3. Commercial FM Radio Stations: a. New or Major Change Construction Permit (Electronic Filing) 301 & 159 ..................... 3,365.00 MTR b. Minor Change (Electronic Filing) .............................................. 301 & 159 ..................... 940.00 MPR c. Main Studio Request (per request) .......................................... Corres & 159 ................ 940.00 MPR d. New License (Electronic Filing) ................................................ 302–FM & 159 .............. 195.00 MHR e. FM Directional Antenna (Electronic Filing) ............................... 302–FM & 159 .............. 590.00 MLR f. License Renewal (per application) (Electronic Filing) ............... 303–S & 159 ................ 170.00 MGR g. License Assignment; (i) Long Form (Electronic Filing) ............ 314 & 159 ..................... 940.00 MPR* (ii) Short Form (Electronic Filing) ................................................. 316 & 159 ..................... 135.00 MDR* h. Transfer of Control; (i) Long Form (Electronic Filing) .............. 315 & 159 ..................... 940.00 MPR* (ii) Short Form (Electronic Filing) ................................................. 316 & 159 ..................... 135.00 MDR* i. Call Sign (Electronic Filing) ....................................................... 380 & 159 ..................... 95.00 MBR j. Special Temporary Authority ..................................................... Corres & 159 ................ 170.00 MGR k. Petition for Rulemaking for New Community of License or
Higher Class Channel (Electronic Filing). 301 & 159 2,595.00 MRR
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Payment type code
or 302–FM & 159.
l. Ownership Report (Electronic Filing) ......................................... 323 & 159 60.00 MAR or
Corres & 159. 4. FM Translators:
a. New or Major Change Construction Permit (Electronic Filing) 349 & 159 ..................... 705.00 MOF b. New License (Electronic Filing) ................................................ 350 & 159 ..................... 145.00 MEF c. License Renewal (Electronic Filing) ......................................... 303–S & 159 ................ 60.00 MAF d. Special Temporary Authority .................................................... Corres & 159 ................ 170.00 MGF e. License Assignment (Electronic Filing) .................................... 345 & 159 135.00 MDF*
314 & 159 316 & 159.
f. Transfer of Control (Electronic Filing) ....................................... 345 & 159 135.00 MDF* 315 & 159. 316 & 159.
5. TV Translators and LPTV Stations: a. New or Major Change Construction Permit (per application)
(Electronic Filing). 346 & 159 ..................... 705.00 MOL
b. New License (per application) (Electronic Filing) ..................... 347 & 159 ..................... 145.00 MEL c. License Renewal (Electronic Filing) ......................................... 303–S & 159 ................ 60.00 MAL* d. Special Temporary Authority .................................................... Corres & 159 ................ 170.00 MGL e. License Assignment (Electronic Filing) .................................... 345 & 159 135.00 MDL*
314 & 159. 316 & 159.
f. Transfer of Control (Electronic Filing) ....................................... 345 & 159 135.00 MDL* 315 & 159 316 & 159.
g. Call Sign (Electronic Filing) ...................................................... 380 & 159 ..................... 95.00 MBT 6. FM Booster Stations:
a. New or Major Change Construction Permit (Electronic Filing) 349 & 159 ..................... 705.00 MOF b. New License (Electronic Filing) ................................................ 350 & 159 ..................... 145.00 MEF c. Special Temporary Authority .................................................... Corres & 159 ................ 170.00 MGF
7. TV Booster Stations: a. New or Major Change (Electronic Filing) ................................. 346 & 159 ..................... 705.00 MOF b. New License (Electronic Filing) ................................................ 347 & 159 ..................... 145.00 MEF c. Special Temporary Authority .................................................... Corres & 159 ................ 170.00 MGF
8. Class A TV Services: a. New and Major Change Construction Permits (per applica-
tion) (Electronic Filing). 301–CA & 159 .............. 4,205.00 MVT
b. New License (per application) (Electronic Filing) ..................... 302–CA & 159 .............. 285.00 MJT c. License Renewal (per application) (Electronic Filing) .............. 303–S & 159 ................ 170.00 MGT d. Special Temporary Authority .................................................... Corres & 159 ................ 170.00 MGT e. License Assignment; (i) Long Form (Electronic Filing) ............ 314 & 159 ..................... 940.00 MPT* (ii) Short Form (Electronic Filing) ................................................. 316 & 159 ..................... 135.00 MDT* f. Transfer of Control; (i) Long Form (Electronic Filing) ............... 315 & 159 ..................... 940.00 MPT* (ii) Short Form (Electronic Filing) ................................................. 316 & 159 ..................... 135.00 MDT* g. Main Studio Request ................................................................ Corres & 159 ................ 940.00 MPT h. Call Sign (Electronic Filing) ...................................................... 380 & 159 ..................... 95.00 MBT
9. Cable Television Services: a. CARS License .......................................................................... 327 & 159 ..................... 260.00 TIC b. CARS Modifications .................................................................. 327 & 159 ..................... 260.00 TIC c. CARS License Renewal (Electronic Filing) .............................. 327 & 159 ..................... 260.00 TIC d. CARS License Assignment ...................................................... 327 & 159 ..................... 260.00 TIC e. CARS Transfer of Control ........................................................ 327 & 159 ..................... 260.00 TIC f. Special Temporary Authority ..................................................... Corres & 159 ................ 170.00 TGC g. Cable Special Relief Petition .................................................... Corres & 159 ................ 1,310.00 TQC h. Cable Community Registration (Electronic Filing) ................... 322 & 159 ..................... 60.00 TAC i. Aeronautical Frequency Usage Notifications (Electronic Filing) 321 & 159 ..................... 60.00 TAC
[74 FR 5112, Jan. 29, 2009]
§ 1.1105 Schedule of charges for applications and other filings for the wireline competition services.
Remit manual filings and/or payment for these services to the: Federal Commu- nications Commission, Wireline Competition Bureau Applications, P.O. Box 979091, St. Louis, MO 63197–9000.
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47 CFR Ch. I (10–1–10 Edition)§ 1.1106
Service FCC Form No. Fee amount($)
Payment type code
1. Domestic 214 Applications: a. Domestic Cable Construction ................................................... Corres & 159 ................ 1,015.00 CUT b. Other ......................................................................................... Corres & 159 ................ 1,015.00 CUT
2. Tariff Filings: a. Filing Fees (per transmittal or cover letter) .............................. Corres & 159 ................ 815.00 CQK b. Application for Special Permission Filing (request for waiver
of any rule in Part 61 of the Commission’s Rules) (per re- quest).
Corres & 159 ................ 815.00 CQK
c. Waiver of Part 69 Tariff Rules (per request) ............................ Corres & 159 ................ 815.00 CQK 3. Accounting:
a. Review of Depreciation Update Study (single state) ............... Corres & 159 ................ 34,275.00 BKA (i) Each Additional State ................................................ Corres & 159 ................ 1,130.00 CVA
b. Petition for Waiver (per petition): (i) Waiver of Part 69 Accounting Rules & Part 32 Ac-
counting Rules, Part 43 Reporting Requirements, Part 64 Allocation of Costs Rules, Part 65 Rate of Return & Rate Base Rules.
Corres & 159 ................ 7,725.00 BEA
(ii) Part 36 Separation Rules .......................................... Corres & 159 ................ 7,725.00 BEB
[74 FR 5114, Jan. 29, 2009]
§ 1.1106 Schedule of charges for applications and other filings for the enforce- ment services.
Remit manual filings and/or payment for these services to the: Federal Commu- nications Commission, Enforcement Bureau , P.O. Box 979094, St. Louis, MO 63197– 9000 with the exception of Accounting and Audits, which will be invoiced. Carriers should follow invoice instructions when making payment.
Service FCC Form No. Fee amount($)
Payment type code
1. Formal Complaints .................................................................................. Corres & 159 ................ $200.00 CIZ 2. Accounting and Audits:
a. Field Audit ................................................................................. Carriers will be invoiced for the amount due.
103,215.00 BMA
b. Review of Attest Audit .............................................................. Carriers will be invoiced for the amount due.
56,340.00 BLA
3. Development and Review of Agreed upon Procedures Engagement ... Corres & 159 ................ 56,340.00 BLA 4. Pole Attachment Complaint .................................................................... Corres & 159 ................ 250.00 TPC
[74 FR 5114, Jan. 29, 2009]
§ 1.1107 Schedule of charges for applications and other filings for the inter- national services.
Remit manual filings and/or payment for these services to the: Federal Commu- nications Commission, International Bureau Applications, P.O. Box 979093, St. Louis, MO 63197–9000.
Service FCC Form No. Fee amount($)
Payment type code
1. International Fixed Public Radio (Public & Control Stations) a. Initial Construction Permit (per station) .................................... 407 & 159 ..................... 850.00 CSN b. Assignment or Transfer (per Application) ................................ 702 & 159 or 704 & 159 850.00 CSN c. Renewal (per license ) .............................................................. 405 & 159 ..................... 615.00 CON d. Modification (per station) .......................................................... 403 & 159 ..................... 615.00 CON e. Extension of Construction Authorization (per station) .............. 701 & 159 ..................... 310.00 CKN f. Special Temporary Authority or request for Waiver (per re-
quest). Corres & 159 ................ 310.00 CKN
2. Section 214 Applications: a. Overseas Cable Construction .................................................. Corres & 159 ................ 15,120.00 BIT b. Cable Landing License: (i) Common Carrier ........................... Corres & 159 ................ 1,700.00 CXT (ii) Non-Common Carrier .............................................................. Corres & 159 ................ 16,820.00 BJT c. All other International 214 ApplicationsCorres & 159 .............. 1,015.00 ........................ CUT d. Special Temporary Authority (all services) .............................. Corres & 159 ................ 1,015.00 CUT e. Assignments or transfers (all services) .................................... Corres & 159 ................ 1,015.00 CUT
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Federal Communications Commission § 1.1107
Service FCC Form No. Fee amount($)
Payment type code
3. Fixed Satellite Transmit/Receive Earth Stations: a. Initial Application (per station) .................................................. 312 Main & Schedule B
& 159. 2,530.00 BAX
b. Modification of License (per station) ........................................ 312 Main & Schedule B & 159.
175.00 CGX
c. Assignment or Transfer: (i) First station ................................... 312 Main & Schedule A & 159.
500.00 CNX
(ii) Each Additional Station ........................................................... Attachment to 312– Schedule A.
170.00 CFX
d. Renewal of License (per station ) ............................................ 312–R & 159 ................ 175.00 CGX e. Special Temporary Authority (per request) .............................. 312 Main & 159 ............ 175.00 CGX f. Amendment of Pending Application (per station) ..................... 312 Main & Schedule B
& 159. 175.00 CGX
g. Extension of Construction Permit (modification) (per station) 312 Main & 159 ............ 175.00 CGX 4. Fixed Satellite transmit/receive Earth Stations (2 meters or less oper-
ating in the 4/6 GHz frequency band): a. Lead Application ....................................................................... 312 Main & Schedule B
& 159. 5,605.00 BDS
b. Routine Application (per station) .............................................. 312 Main & Schedule B & 159.
60.00 CAS
c. Modification of License (per station) ........................................ 312 Main & Schedule B & 159.
175.00 CGS
d. Assignment or Transfer: (i) First Station .................................. 312 Main & Schedule A & 159.
500.00 CNS
(ii) Each Additional Station ........................................................... Attachment to 312– Schedule A.
60.00 CAS
e. Renewal of License (per station) ............................................. 312–R & 159 ................ 175.00 CGS f. Special Temporary Authority (per request) ............................... 312 Main & 159 ............ 175.00 CGS g. Amendment of Pending Application (per station) .................... 312 Main & Schedule A
or B & 159. 175.00 CGS
h. Extension of Construction Permit (modification) (per station ) 312 & 159 ..................... 175.00 CGS 5. Receive Only Earth Stations:
a. Initial Applications for Registration or License (per station) .... 312 Main & Schedule B & 159.
385.00 CMO
b. Modification of License or Registration (per station) ............... 312 Main & Schedule B & 159.
175.00 CGO
c. Assignment or Transfer: (i) First Station .................................. 312 Main & Schedule A & 159.
500.00 CNO
(ii) Each Additional Station ........................................................... Attachment to 312– Schedule A.
170.00 CFO
d. Renewal of License (per station) ............................................. 312–R & 159 ................ 175.00 CGO e. Amendment of Pending Application (per station) .................... 312 Main & Schedule A
or B & 159. 175.00 CGO
f. Extension of Construction Permit (modification) (per station) .. 312 Main & 159 ............ 175.00 CGO g. Waivers (per request) ............................................................... Corres & 159 ................ 175.00 CGO
6. Fixed Satellite Very Small Aperture Terminal (VSAT) Systems: a. Initial Application (per station) .................................................. 312 Main & Schedule B
& 159. 9,330.00 BGV
b. Modification of License (per system) ....................................... 312 Main & Schedule B & 159.
175.00 CGV
c. Assignment or Transfer of System ........................................... 312 Main & Schedule A & 159.
2,495.00 CZV
d. Renewal of License (per system) ............................................. 312–R & 159 ................ 175.00 CGV e. Special Temporary Authority (per request) .............................. 312 & 159 ..................... 175.00 CGV f. Amendment of Pending Application (per system) ..................... 312 Main & Schedule A
or B & 159. 175.00 CGV
g. Extension of Construction Permit (modification) (per system) 312 & 159 ..................... 175.00 CGV 7. Mobile Satellite Earth Stations:
a. Initial Applications of Blanket Authorization ............................. 312 Main & Schedule B & 159.
9,330.00 BGB
b. Initial Application for Individual Earth Station ........................... 312 Main & Schedule B & 159.
2,240.00 CYB
c. Modification of License (per system) ........................................ 312 Main & Schedule B & 159.
175.00 CGB
d. Assignment or Transfer (per system) ....................................... 312 Main & Schedule A & 159.
2,495.00 CZB
e. Renewal of License (per system) ............................................. 312–R & 159 ................ 175.00 CGB f. Special Temporary Authority (per request) ............................... 312 & 159 ..................... 175.00 CGB g. Amendment of Pending Application (per system) .................... 312 Main & Schedule B
& 159. 175.00 CGB
h. Extension of Construction Permit (modification) (per system) 312 & 159 ..................... 175.00 CGB 8. Space Stations (Geostationary):
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47 CFR Ch. I (10–1–10 Edition)§ 1.1108
Service FCC Form No. Fee amount($)
Payment type code
a. Application for Authority to Launch & Operate (per satellite) .. 312 Main & Schedule S & 159.
115,990.00 BNY
(i) Initial Application ........................................................ 312 Main & Schedule S & 159.
115,990.00 BNY
(ii) Replacement Satellite ............................................... b. Assignment or Transfer (per satellite) ...................................... 312 Main & Schedule A
& 159. 8,285.00 BFY
c. Modification (per satellite) ......................................................... 312 Main & Schedule S (if needed) & 159.
8,285.00 BFY
d. Special Temporary Authority (per satellite) .............................. 312 & 159 ..................... 830.00 CRY e. Amendment of Pending Application (per satellite) ................... 312 Main & Schedule S
(if needed) & 159. 1,660.00 CWY
f. Extension of Launch Authority (per satellite) ............................ 312 Main & Corres & 159.
830.00 CRY
9. Space Stations (NGSO): a. Application for Authority to Launch & Operate (per system of
technically identical satellites). 312 Main & Schedule S
& 159. 399,455.00 CLW
b. Assignment or Transfer (per system) ....................................... 312 Main & Schedule A & 159.
11,420.00 CZW
c. Modification (per system) ......................................................... 312 Main & Schedule S (if needed) & 159.
28,535.00 CGW
d. Special Temporary Authority (per request) .............................. Corres & 159 ................ 2,860.00 CXW e. Amendment of Pending Application (per request) ................... 312 Main & Schedule S
& 159. 5,710.00 CAW
f. Extension of Launch Authority (per system) ............................. 312 Main & 159 ............ 2,860.00 CXW 10. Direct Broadcast Satellites:
a. Authorization to Construct or Major Modification (per satellite) 312 Main & Schedule S & 159.
3,365.00 MTD
b. Construction Permit and Launch Authority (per satellite) ........ 312 Main & Schedule S & 159.
32,660.00 MXD
c. License to Operate (per satellite) ............................................. 312 Main & Schedule S & 159.
940.00 MPD
d. Special Temporary Authority (per satellite) .............................. 312 Main & 159 ............ 170.00 MGD 11. International Broadcast Stations:
a. New Station & Facilities Change Construction Permit (per ap- plication).
309 & 159 ..................... 2,830.00 MSN
b. New License (per application) .................................................. 310 & 159 ..................... 640.00 MNN c. License Renewal (per application) ........................................... 311 & 159 ..................... 160.00 MFN d. License Assignment or Transfer of Control (per station li-
cense). 314 & 159 or 315 & 159
or 316 & 159. 100.00 MCN
e. Frequency Assignment & Coordination (per frequency hour) Corres & 159 ................ 60.00 MAN f. Special Temporary Authorization (per application) ................... Corres & 159 ................ 170.00 MGN
12. Permit to Deliver Programs to Foreign Broadcast Stations (per appli- cation):
a. Commercial Television Stations ............................................... 308 & 159 ..................... 95.00 MBT b. Commercial AM or FM Radio Stations .................................... 308 & 159 ..................... 95.00 MBR
13. Recognized Operating Agency (per application) .................................. Corres & 159 ................ 1,015.00 CUG
[74 FR 5115, Jan. 29, 2009]
§ 1.1108 Schedule of charges for applications and other filings for the inter- national telecommunication services.
Remit payment (along with a copy of invoice) for these services to the: Federal Communications Commission, International Telecommunication Fees, P.O. Box 979096, St. Louis, MO 63197–9000
1. Administrative Fee For Collections (per line item) ................................. 99 & 99A ...................... $2.00 IAT 2. Telecommunication Charges .................................................................. 99 & 99A ...................... ITTS
[74 FR 5117, Jan. 29, 2009]
§ 1.1109 Schedule of charges for applications and other filings for the Homeland services.
Remit manual filings and/or payment for these services to the: Federal Commu- nications Commission, Homeland Bureau Applications, P.O. Box 979092, St. Louis, MO 63197–9000
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Federal Communications Commission § 1.1112
1. Communication Assistance for Law Enforcement (CALEA) Petitions ... Corres & 159 ................ $5,880.00 CLEA
[74 FR 5117, Jan. 29, 2009]
§ 1.1110 Attachment of charges. The charges required to accompany a
request for the Commission’s regu- latory services listed in §§ 1.1102 through 1.1109 of this subpart will not be refundable to the applicant irrespec- tive of the Commission’s disposition of that request. Return or refund of charges will be made only in certain limited instances as set out at § 1.1115 of this subpart.
[74 FR 3445, Jan. 21, 2009]
§ 1.1111 Payment of charges. (a) The schedule of fees for applica-
tions and other filings (Bureau/Office Fee Filing Guides) lists those applica- tions and other filings that must be ac- companied by an FCC Form 159, Remit- tance Advice’ or the electronic version of the form, FCC Form 159–E, one of the forms that is automatically gen- erated when an applicant accesses the Commission’s on-line filing and pay- ment process.
(b) Applicants may access the Com- mission’s on-line filing (http:// www.fcc.gov/e-file.html) and fee payment program by accessing (http:// www.fcc.gov/feefiler.html). Applicants who use the on-line process will be di- rected to the appropriate electronic ap- plication and payment forms for com- pletion and submission of the required application(s) and payment informa- tion.
(c) Applications and other filings that are not submitted in accordance with these instructions will be re- turned as unprocessable.
NOTE TO PARAGRAPH (c): This requirement for the simultaneous submission of fee forms with applications or other filings does not apply to the payment of fees for which the Commission has established a billing proc- ess. See § 1.1121 of this subpart.
(d) Applications returned to appli- cants for additional information or cor- rections will not require an additional fee when resubmitted, unless the addi- tional information results in an in- crease of the original fee amount. Those applications not requiring an ad-
ditional fee should be resubmitted di- rectly to the Bureau/Office requesting the additional information. The origi- nal fee will be forfeited if the addi- tional information or corrections are not resubmitted to the appropriate Bu- reau/Office by the prescribed deadline. A forfeited application fee will not be refunded. If an additional fee is re- quired, the original fee will be returned and the application must be resub- mitted with a new remittance in the amount of the required fee to the Com- mission’s lockbox bank. Applicants should attach a copy of the Commis- sion’s request for additional or cor- rected information to their resubmis- sion.
(1) If the Bureau/Office staff discovers within 30 days after the resubmission that the required fee was not sub- mitted, the application will be dis- missed.
(2) If after 30 days the Bureau/Office staff discovers the required fee has not been paid, the application will be re- tained and a 25 percent late fee will be assessed on the deficient amount even if the Commission has completed its action on the application. Any Com- mission actions taken prior to timely payment of these charges are contin- gent and subject to recession.
(e) Should the staff change the status of an application, resulting in an in- crease in the fee due, the applicant will be billed for the remainder under the conditions established by § 1.1118(b) of the rules.
NOTE TO PARAGRAPH (e): Due to the statu- tory requirements applicable to tariff filings, the procedures for handling tariff filings may vary from the procedures set out in the rules.
[74 FR 3445, Jan. 21, 2009]
§ 1.1112 Form of payment. (a) Fee payments should be in the
form of a check, bank draft, on money order denominated in U.S. dollars and drawn on a United States financial in- stitution and made payable to the Fed- eral Communications Commission or by a Visa, MasterCard, American Ex- press, or Discover credit card. No other
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47 CFR Ch. I (10–1–10 Edition)§ 1.1113
credit card is acceptable. Fees for ap- plications and other filings paid by credit card will not be accepted unless the credit card section of FCC Form 159 is completed in full. The Commission discourages applicants from submit- ting cash and will not be responsible for cash sent through the mail. Per- sonal or corporate checks dated more than six months prior to their submis- sion to the Commission’s lockbox bank and postdated checks will not be ac- cepted and will be returned as defi- cient. Third party checks (i.e., checks with a third party as maker or en- dorser) will not be accepted.
(1) Specific procedures for electronic payments are announced in Bureau/Of- fice fee filing guides.
(2) It is the responsibility of the payer to insure that any electronic payment is made in the manner re- quired by the Commission. Failure to comply with the Commission’s proce- dures will result in the return of the application or other filing.
(3) Payments by wire transfer will be accepted; however, to insure proper credit, applicants must follow the in- structions set out in the appropriate Bureau/Office fee filing guide.
(b) Applicants are required to submit one payment instrument (check, bank draft or money order) and FCC Form 159 with each application or filing. Multiple payment instruments for a single application or filing are not per- mitted. Except that a separate Fee Form (FCC Form 159) will not be re- quired once the information require- ments of that form (the Fee Code, fee amount, and total fee remitted) are in- corporated into the underlying applica- tion form.
(c) The Commission may accept mul- tiple money orders in payment of a fee for a single application where the fee exceeds the maximum amount for a money order established by the issuing agency and the use of multiple money orders is the only practical method available for fee payment.
(d) The Commission may require pay- ment of fees with a cashier’s check upon notification to an applicant or filer or prospective group of applicants under the conditions set forth below in paragraphs (d) (1) and (2) of this sec- tion.
(1) Payment by cashier’s check may be required when a person or organiza- tion has made payment, on one or more occasions with a payment instrument on which the Commission does not re- ceive final payment and such failure is not excused by bank error.
(2) The Commission will notify the party in writing that future payments must be made by cashier’s check until further notice. If, subsequent to such notice, payment is not made by cash- ier’s check, the party’s payment will not be accepted and its application or other filing will be returned.
(e) All fees collected will be paid into the general fund of the United States Treasury in accordance with Pub. L. 99–272.
(f) The Commission will furnish a stamped receipt of an application only upon request that complies with the following instructions. In order to ob- tain a stamped receipt for an applica- tion (or other filing), the application package must include a copy of the first page of the application, clearly marked ‘‘copy’’, submitted expressly for the purpose of serving as a receipt of the filing. The copy should be the top document in the package. The copy will be date-stamped immediately and provided to the bearer of the submis- sion, if hand delivered. For submissions by mail, the receipt copy will be pro- vided through return mail if the filer has attached to the receipt copy a stamped self-addressed envelope of suf- ficient size to contain the date stamped copy of the application. No remittance receipt copies will be furnished.
[52 FR 5289, Feb. 20, 1987; 52 FR 38232, Oct. 15, 1987, as amended at 53 FR 40888, Oct. 19, 1988; 55 FR 19171, May 8, 1990. Redesignated at 59 FR 30998, June 16, 1994, as amended at 59 FR 30999, June 16, 1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 65 FR 49762, Aug. 15, 2000; 67 FR 46303, July 12, 2002; 67 FR 67337, Nov. 5, 2002. Redesignated and amended at 74 FR 3445, Jan. 21, 2009]
§ 1.1113 Filing locations. (a) Except as noted in this section,
applications and other filings, with at- tached fees and FCC Form 159, must be submitted to the locations and address- es set forth in §§ 1.1102 through 1.1109.
(1) Tariff filings shall be filed with the Secretary, Federal Communica- tions Commission, Washington DC
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Federal Communications Commission § 1.1114
20554. On the same day, the filer should submit a copy of the cover letter, the FCC Form 159, and the appropriate fee to the Commission’s lockbox bank at the address established in § 1.1105.
(2) Bills for collection will be paid at the Commission’s lockbox bank at the address of the appropriate service as established in §§ 1.1102 through 1.1109, as set forth on the bill sent by the Commission. Payments must be ac- companied by the bill sent by the Com- mission. Payments must be accom- panied by the bill to ensure proper credit.
(3) Petitions for reconsideration or applications for review of fee decisions pursuant to § 1.1119(b) of this subpart must be accompanied by the required fee for the application or other filing being considered or reviewed.
(4) Applicants claiming an exemption from a fee requirement for an applica- tion or other filing under 47 U.S.C. 158(d)(1) or § 1.1116 of this subpart shall file their applications in the appro- priate location as set forth in the rules for the service for which they are ap- plying, except that request for waiver accompanied by a tentative fee pay- ment should be filed at the Commis- sion’s lockbox bank at the address for the appropriate service set forth in §§ 1.1102 through 1.1109.
(b) Except as provided for in para- graph (c) of this section, all materials must be submitted as one package. The Commission will not take responsi- bility for matching fees, forms and ap- plications submitted at different times or locations. Materials submitted at other than the location and address re- quired by § 0.401(b) and paragraph (a) of this section will be returned to the ap- plicant or filer.
(c) Fees for applications and other filings pertaining to the Wireless Radio Services that are submitted electroni- cally via ULS may be paid electroni- cally or sent to the Commission’s lock box bank manually. When paying manually, applicants must include the application file number (assigned by the ULS electronic filing system on FCC Form 159) and submit such num- ber with the payment in order for the Commission to verify that the payment was made. Manual payments must be received no later than ten (10) days
after receipt of the application on ULS or the application will be dismissed. Payment received more than ten (10) days after electronic filing of an appli- cation on a Bureau/Office electronic fil- ing system (e.g., ULS) will be forfeited (see §§ 1.934 and 1.1111.)
(d) Fees for applications and other filings pertaining to the Multichannel Video and Cable Television Service (MVCTS) and the Cable Television Relay Service (CARS) that are sub- mitted electronically via the Cable Op- erations and Licensing System (COALS) may be paid electronically or sent to the Commission’s lock box bank manually. When paying manu- ally, applicants must include the FCC Form 159 generated by COALS (pre- filled with the transaction confirma- tion number) and completed with the necessary additional payment informa- tion to allow the Commission to verify that payment was made. Manual pay- ments must be received no later than ten (10) days after receipt of the appli- cation or filing in COALS or the appli- cation or filing will be dismissed.
[55 FR 19171, May 8, 1990. Redesignated at 59 FR 30998, June 16, 1994, as amended at 59 FR 30999, June 16, 1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 63 FR 68941, Dec. 14, 1998; 65 FR 49762, Aug. 15, 2000; 68 FR 27001, May 19, 2003; 69 FR 41176, July 7, 2004. Redesignated and amended at 74 FR 3445, Jan. 21, 2009; 74 FR 5117, Jan. 29, 2009; 75 FR 36550, June 28, 2010]
§ 1.1114 Conditionality of Commission or staff authorizations.
(a) Any instrument of authorization granted by the Commission, or by its staff under delegated authority, will be conditioned upon final payment of the applicable fee or delinquent fees and timely payment of bills issued by the Commission. As applied to checks, bank drafts and money orders, final payment shall mean receipt by the Treasury of funds cleared by the finan- cial institution on which the check, bank draft or money order is drawn.
(1) If, prior to a grant of an instru- ment of authorization, the Commission is notified that final payment has not been made, the application or filing will be:
(i) Dismissed and returned to the ap- plicant;
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47 CFR Ch. I (10–1–10 Edition)§ 1.1115
(ii) Shall lose its place in the proc- essing line;
(iii) And will not be accorded nunc pro tunc treatment if resubmitted after the relevant filing deadline.
(2) If, subsequent to a grant of an in- strument of authorization, the Com- mission is notified that final payment has not been made, the Commission will:
(i) Automatically rescind that instru- ment of authorization for failure to meet the condition imposed by this subsection; and
(ii) Notify the grantee of this action; and
(iii) Not permit nunc pro tunc treat- ment for the resubmission of the appli- cation or filing if the relevant deadline has expired.
(3) Upon receipt of a notification of rescision of the authorization, the grantee will immediately cease oper- ations initiated pursuant to the au- thorization.
(b) In those instances where the Com- mission has granted a request for de- ferred payment of a fee or issued a bill payable at a future date, further proc- essing of the application or filing, or the grant of authority, shall be condi- tioned upon final payment of the fee, plus other required payments for late payments, by the date prescribed by the deferral decision or bill. Failure to comply with the terms of the deferral decision or bill shall result in the auto- matic dismissal of the submission or rescision of the Commission authoriza- tion for failure to meet the condition imposed by this subpart. The Commis- sion reserves the right to return pay- ments received after the date estab- lished on the bill and exercise the con- ditions attached to the application. The Commission shall:
(1) Notify the grantee that the au- thorization has been rescinded;
(i) Upon such notification, the grant- ee will immediately cease operations initiated pursuant to the authoriza- tion.
(ii) [Reserved] (2) Not permit nunc pro tunc treat-
ment to applicants who attempt to refile after the original deadline for the underlying submission.
(c) (1) Where an applicant is found to be delinquent in the payment of appli-
cation fees, the Commission will make a written request for the delinquent fee, together with any penalties that may be due under this subpart. Such request shall inform the applicant/filer that failure to pay or make satisfac- tory payment arrangements will result in the Commission’s withholding ac- tion on, and/or as appropriate, dis- missal of, any applications or requests filed by the applicant. The staff shall also inform the applicant of the proce- dures for seeking Commission review of the staff’s fee determination.
(2) If, after final determination that the fee is due or that the applicant is delinquent in the payment of fees, and payment is not made in a timely man- ner, the staff will withhold action on the application or filing until payment or other satisfactory arrangement is made. If payment or satisfactory ar- rangement is not made within 30 days of the date of the original notification, the application will be dismissed.
[52 FR 5289, Feb. 20, 1987, as amended at 55 FR 19171, May 8, 1990. Redesignated at 59 FR 30998, June 16, 1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 69 FR 27847, May 17, 2004. Redesignated and amended at 74 FR 3445–3446, Jan. 21, 2009]
§ 1.1115 Return or refund of charges.
(a) All refunds will be issued to the payer named in the appropriate block of the FCC Form 159. The full amount of any fee submitted will be returned or refunded, as appropriate, under the authority granted at § 0.231.
(1) When no fee is required for the ap- plication or other filing. (see § 1.1111).
(2) When the fee processing staff or bureau/office determines that an insuf- ficient fee has been submitted within 30 calendar days of receipt of the applica- tion or filing and the application or fil- ing is dismissed.
(3) When the application is filed by an applicant who cannot fulfill a pre- scribed age requirement.
(4) When the Commission adopts new rules that nullify applications already accepted for filing, or new law or trea- ty would render useless a grant or other positive disposition of the appli- cation.
(5) When a waiver is granted in ac- cordance with this subpart.
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Federal Communications Commission § 1.1116
NOTE: Payments in excess of an application fee will be refunded only if the overpayment is $10 or more.
(6) When an application for new or modified facilities is not timely filed in accordance with the filing window as established by the Commission in a public notice specifying the earliest and latest dates for filing such applica- tions.
(b) Comparative hearings are no longer required.
(c) Applicants in the Media Services for first-come, first-served construc- tion permits will be entitled to a re- fund of the fee, if, within fifteen days of the issuance of a Public Notice, ap- plicant indicates that there is a pre- viously filed pending application for the same vacant channel, such appli- cant notifies the Commission that they no longer wish their application to re- main on file behind the first applicant and any other applicants filed before his or her application, and the appli- cant specifically requests a refund of the fee paid and dismissal of his or her application.
(d) Applicants for space station li- censes under the first-come, first served procedure set forth in part 25 of this title will be entitled to a refund of the fee if, before the Commission has placed the application on public notice, the applicant notifies the Commission that it no longer wishes to keep its ap- plication on file behind the licensee and any other applicants who filed their applications before its applica- tion, and specifically requests a refund of the fee and dismissal of its applica- tion.
[52 FR 5289, Feb. 20, 1987, as amended at 53 FR 40889, Oct. 19, 1988; 56 FR 795, Jan. 9, 1991; 56 FR 56602, Nov. 6, 1991. Redesignated at 59 FR 30998, June 16, 1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 65 FR 49762, Aug. 15, 2000; 67 FR 46303, July 12, 2002; 67 FR 67337, Nov. 5, 2002; 68 FR 51502, Aug. 27, 2003; 69 FR 41177, July 7, 2004; 71 54234, Sept. 14, 2006. Redesignated and amended at 74 FR 3445–3446, Jan. 21, 2009]
§ 1.1116 General exemptions to charges.
No fee established in §§ 1.1102 through 1.1109 of this subpart, unless otherwise qualified herein, shall be required for:
(a) Applications filed for the sole pur- pose of modifying an existing author-
ization (or a pending application for authorization) in order to comply with new or additional requirements of the Commission’s rules or the rules of an- other Federal agency. However, if the applicant also requests an additional modification, renewal, or other action, the appropriate fee for such additional request must accompany the applica- tion. Cases in which a fee will be paid include applications by FM and TV li- censees or permittees seeking to up- grade channel after a rulemaking.
(b) Applicants in the Special Emer- gency Radio and Public Safety Radio Services that are government entities or nonprofit entities. Applicants claim- ing nonprofit status must include a current Internal Revenue Service De- termination Letter documenting this nonprofit status.
(c) Applicants, permittees or licens- ees of noncommercial educational (NCE) broadcast stations in the FM or TV services, as well as AM applicants, permittees or licensees operating in ac- cordance with § 73.503 of this chapter.
(d) Applicants, permittees, or licens- ees qualifying under paragraph (c) of this section requesting Commission au- thorization in any other mass media radio service (except the international broadcast (HF) service) private radio service, or common carrier radio com- munications service otherwise requir- ing a fee, if the radio service is used in conjunction with the NCE broadcast station on an NCE basis.
(e) Other applicants, permittees, or licensees providing, or proposing to provide, an NCE or instructional serv- ice, but not qualifying under paragraph (c) of this section, may be exempt from filing fees, or be entitled to a refund, in the following circumstances.
(1) An applicant is exempt from filing fees if it is an organization that, like the Public Broadcasting Service or Na- tional Public Radio, receives funding directly or indirectly through the Pub- lic Broadcasting Fund, 47 U.S.C. 396(k), distributed by the Corporation for Pub- lic Broadcasting, where the authoriza- tion requested will be used in conjunc- tion with the organization on an NCE basis;
(2) An applicant for a translator or low power television station that pro- poses an NCE service will be entitled to
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47 CFR Ch. I (10–1–10 Edition)§ 1.1117
a refund of fees paid for the filing of the application when, after grant, it provides proof that it has received funding for the construction of the sta- tion through the National Tele- communications and Information Ad- ministration (NTIA) or other showings as required by the Commission.
(3) An applicant that has qualified for a fee refund under paragraph (e)(2) of this section and continues to operate as an NCE station is exempt from fees for broadcast auxiliary stations (sub- parts D, E, and F of part 74) or stations in the private radio or common carrier services where such authorization is to be used in conjunction with the NCE translator or low power station.
(4) An applicant that is the licensee in the Educational Broadband Service (EBS) (formerly, Instructional Tele- vision Fixed Service (ITFS)) (parts 27 and 74, e.g., §§ 27.1200, et seq., and 74.832(b), of this chapter) is exempt from filing fees where the authoriza- tion requested will be used by the ap- plicant in conjunction with the provi- sion of the EBS.
(f) Applicants, permittees or licens- ees who qualify as governmental enti- ties. For purposes of this exemption a governmental entity is defined as any state, possession, city, county, town, village, municipal corporation or simi- lar political organization or subpart thereof controlled by publicly elected or duly appointed public officials exer- cising sovereign direction and control over their respective communities or programs.
(g) Applications for Restricted Radio- telephone Operator Permits where the applicant intends to use the permit solely in conjunction with duties per- formed at radio facilities qualifying for fee exemption under paragraphs (c), (d), or (e) of this section.
NOTE: Applicants claiming exemptions under the terms of this subpart must certify as to their eligibility for the exemption through a cover letter accompanying the ap- plication or filing. This certification is not
required if the applicable FCC Form requests the information justifying the exemption.
[52 FR 5289, Feb. 20, 1987, as amended at 53 FR 40889, Oct. 19, 1988; 55 FR 19172, May 8, 1990; 56 FR 56602, Nov. 6, 1991. Redesignated and amended at 59 FR 30998, June 16, 1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 65 FR 49762, Aug. 15, 2000; 69 FR 41177, July 7, 2004; 71 FR 54234, Sept. 14, 2006. Redesignated and amended at 74 FR 3445– 3446, Jan. 21, 2009]
§ 1.1117 Adjustments to charges.
(a) The Schedule of Charges estab- lished by §§ 1.1102 through 1.1109 of this subpart shall be reviewed by the Com- mission on October 1, 1999 and every two years thereafter, and adjustments made, if any, will be reflected in the next publication of Schedule of Charges.
(1) The fees will be adjusted by the Commission to reflect the percentage change in the Consumer Price Index for all Urban Consumers (CPI-U) from the date of enactment of the authorizing legislation (December 19, 1989) to the date of adjustment, and every two years thereafter, to reflect the percent- age change in the CPI-U in the period between the enactment date and the adjustment date.
(2) Adjustments based upon the per- centage change in the CPI-U will be ap- plied against the base fees as enacted or amended by Congress in the year the fee was enacted or amended.
(b) Increases or decreases in charges will apply to all categories of fees cov- ered by this subpart. Individual fees will not be adjusted until the increase or decrease, as determined by the net change in the CPI-U since the date of enactment of the authorizing legisla- tion, amounts to at least $5 in the case of fees under $100, or 5% or more in the case of fees of $100 or greater. All fees will be adjusted upward to the next $5 increment.
(c) Adjustments to fees made pursu- ant to these procedures will not be sub- ject to notice and comment rulemakings, nor will these decisions be subject to petitions for reconsider- ation under § 1.429 of the rules. Re- quests for modifications will be limited
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Federal Communications Commission § 1.1119
to correction of arithmetical errors made during an adjustment cycle.
[52 FR 5289, Feb. 20, 1987, as amended at 53 FR 40889, Oct. 19, 1988; 55 FR 19172, May 8, 1990. Redesignated and amended at 59 FR 30998, June 16, 1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 65 FR 49762, Aug. 15, 2000; 69 FR 41177, July 7, 2004. Redes- ignated and amended at 74 FR 3445–3446, Jan. 21, 2009]
§ 1.1118 Penalty for late or insufficient payments.
(a) Filings subject to fees and accom- panied by defective fee submissions will be dismissed under § 1.1111 (d) of this subpart where the defect is discov- ered by the Commission’s staff within 30 calendar days from the receipt of the application or filing by the Commis- sion.
(1) A defective fee may be corrected by resubmitting the application or other filing, together with the entire correct fee.
(2) For purposes of determining whether the filing is timely, the date of resubmission with the correct fee will be considered the date of filing. How- ever, in cases where the fee payment fails due to error of the applicant’s bank, as evidenced by an affidavit of an officer of the bank, the date of the original submission will be considered the date of filing.
(b) Applications or filings accom- panied by insufficient fees or no fees, or where such applications or filings are made by persons or organizations that are delinquent in fees owed to the Commission, that are inadvertently forwarded to Commission staff for sub- stantive review will be billed for the amount due if the discrepancy is not discovered until after 30 calendar days from the receipt of the application or filing by the Commission. Applications or filings that are accompanied by in- sufficient fees or no fees will have a penalty charge equaling 25 percent of the amount due added to each bill. Any Commission action taken prior to timely payment of these charges is contingent and subject to rescission.
(c) Applicants to whom a deferral of payment is granted under the terms of this subsection will be billed for the amount due plus a charge equalling 25 percent of the amount due. Any Com- mission actions taken prior to timely
payment of these charges are contin- gent and subject to rescission.
(d) Failure to submit fees, following notice to the applicant of failure to submit the required fee, is subject to collection of the fee, including interest thereon, any associated penalties, and the full cost of collection to the Fed- eral government pursuant to the provi- sions of the Debt Collection Improve- ment Act of 1996 (DCIA), Public Law 104–134, 110 Stat. 1321, 1358 (Apr. 26, 1996), codified at 31 U.S.C. 3711 et seq. See 47 CFR 1.1901 through 1.1952. The debt collection processes described above may proceed concurrently with any other sanction in this paragraph.
[52 FR 5289, Feb. 20, 1987, as amended at 53 FR 40889, Oct. 19, 1988; 55 FR 19172, May 8, 1990. Redesignated and amended at 59 FR 30998, June 16, 1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 67 FR 67337, Nov. 5, 2002; 69 FR 41177, July 7, 2004; 69 FR 27847, May 17, 2004; 69 FR 41177, July 7, 2004. Redesignated and amended at 74 FR 3445– 3446, Jan. 21, 2009]
EDITORIAL NOTE: At 69 FR 57230, Sept. 24, 2004, § 1.1116(a) introductory text was cor- rected by changing the reference to ‘‘§ 1.1109(b)’’ to read ‘‘§ 1.1109(d)’’; however, the amendment could not be incorporated because that reference does not exist in the paragraph.
§ 1.1119 Petitions and applications for review.
(a) The fees established by this sub- part may be waived or deferred in spe- cific instances where good cause is shown and where waiver or deferral of the fee would promote the public inter- est.
(b) Requests for waivers or deferrals will only be considered when received from applicants acting in respect to their own applications. Requests for waivers or deferrals of entire classes of services will not be considered.
(c) Petitions for waivers, deferrals, fee determinations, reconsiderations and applications for review will be acted upon by the Managing Director with the concurrence of the General Counsel. All such filings within the scope of the fee rules shall be filed as a separate pleading and clearly marked to the attention of the Managing Di- rector. Any such request that is not filed as a separate pleading will not be
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considered by the Commission. Re- quests for deferral of a fee payment for financial hardship must be accom- panied by supporting documentation.
(1) Petitions and applications for re- view submitted with a fee must be sub- mitted to the Commission’s lock box bank at the address for the appropriate service set forth in §§ 1.1102 through 1.1107.
(2) If no fee payment is submitted, the request should be filed with the Commission’s Secretary.
(d) Deferrals of fees will be granted for an established period of time not to exceed six months.
(e) Applicants seeking waivers must submit the request for waiver with the application or filing, required fee and FCC Form 159, or a request for deferral. A petition for waiver and/or deferral of payment must be submitted to the Of- fice of the Managing Director as speci- fied in paragraph (c) of this section. Waiver requests that do not include these materials will be dismissed in ac- cordance with § 1.1111 of this subpart. Submitted fees will be returned if a waiver is granted. The Commission will not be responsible for delays in acting upon these requests.
(f) Petitions for waiver of a fee based on financial hardship will be subject to the provisions of paragraph 1.1166(e).
[52 FR 5289, Feb. 20, 1987, as amended at 55 FR 19172, May 8, 1990; 55 FR 38065, Sept. 17, 1990. Redesignated and amended at 59 FR 30998, June 16, 1994, as further amended at 59 FR 30999, June 16, 1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 65 FR 49762, Aug. 15, 2000; 66 FR 36202, July 11, 2001; 67 FR 67337, Nov. 5, 2002; 68 FR 48467, Aug. 13, 2003. Redesignated and amended at 74 FR 3445–3446, Jan. 21, 2009]
§ 1.1120 Error claims. (a) Applicants who wish to challenge
a staff determination of an insufficient fee or delinquent debt may do so in writing. A challenge to a determina- tion that a party is delinquent in pay- ing the full application fee must be ac- companied by suitable proof that the fee had been paid or waived (or deferred from payment during the period in question), or by the required applica- tion payment and any assessment pen- alty payment (see § 1.1118) of this sub- part). Failure to comply with these procedures will result in dismissal of
the challenge. These claims should be addressed to the Federal Communica- tions Commission, Attention: Finan- cial Operations, 445 12th St., SW., Washington, DC 20554 or e-mailed to ARINQUIRIES@fcc.gov.
(b) Actions taken by Financial Oper- ations staff are subject to the reconsid- eration and review provisions of §§ 1.106 and 1.115 of this part, EXCEPT THAT reconsideration and/or review will only be available where the applicant has made the full and proper payment of the underlying fee as required by this subpart.
(1) Petitions for reconsideration and/ or applications for review submitted by applicants that have not made the full and proper fee payment will be dis- missed; and
(2) If the fee payment should fail while the Commission is considering the matter, the petition for reconsider- ation or application for review will be dismissed.
[52 FR 5289, Feb. 20, 1987, as amended at 53 FR 40889, Oct. 19, 1988. Redesignated at 59 FR 30998, June 16, 1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 65 FR 49763, Aug. 15, 2000; 69 FR 27848, May 17, 2004. Redes- ignated and amended at 74 FR 3445–3446, Jan. 21, 2009]
§ 1.1121 Billing procedures.
(a) The fees required for the Inter- national Telecommunications Settle- ments (§ 1.1103 of this subpart), Ac- counting and Audits Field Audits and Review of Arrest Audits (§ 1.1106 of this subpart) should not be paid with the filing or submission of the request. The fees required for requests for Special Temporary Authority (see generally §§ 1.1102, 1.1104, 1.1106 & 1.1107 of this subpart) that the applicant believes is of an urgent or emergency nature and are filed directly with the appropriate Bureau or Office should not be paid with the filing of the request with that Bureau or Office.
(b) In these cases, the appropriate fee will be determined by the Commission and the filer will be billed for that fee. The bill will set forth the amount to be paid, the date on which payment is
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Federal Communications Commission § 1.1152
due, and the address to which the pay- ment should be submitted. See also § 1.1113 of this subpart.
[55 FR 19172, May 8, 1990, as amended at 58 FR 68541, Dec. 28, 1993. Redesignated and amended at 59 FR 30998, June 16, 1994. Redes- ignated at 60 FR 5326, Jan. 27, 1995, as amend- ed at 65 FR 49763, Aug. 15, 2000; 67 FR 67337, Nov. 5, 2002; 69 FR 41177, July 7, 2004. Redesig- nated and amended at 74 FR 3445–3446, Jan. 21, 2009]
§ 1.1151 Authority to prescribe and col- lect regulatory fees.
Authority to impose and collect reg- ulatory fees is contained in title VI,
section 6002(a) of the Omnibus Budget Reconciliation Act of 1993 (Pub. L. 103– 66, 107 Stat. 397), enacting section 9 of the Communications Act, 47 U.S.C. 159, which directs the Commission to pre- scribe and collect annual regulatory fees from designated regulatees in order to recover the costs of certain of its regulatory activities in the private radio, mass media, common carrier, and cable television services.
[59 FR 30999, June 16, 1994]
§ 1.1152 Schedule of annual regulatory fees and filing locations for wireless radio services.
Exclusive use services (per license) Fee amount 1 Address
1. Land Mobile (Above 470 MHz and 220 MHz Local, Base Station & SMRS) (47 CFR, Part 90)
(a) New, Renew/Mod (FCC 601 & 159).
$40.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) New, Renew/Mod (Elec- tronic Filing) (FCC 601 & 159).
40.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 601 & 159).
40.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Filing) (FCC 601 & 159).
40.00 FCC; P.O. Box 979097, St. Louis, MO 63197–9000.
220 MHz Nationwide (a) New, Renew/Mod (FCC
601 & 159). 40.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) New, Renew/Mod (Elec- tronic Filing) (FCC 601 & 159).
40.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 601 & 159).
40.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Filing) (FCC 601 & 159).
40.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
2. Microwave (47 CFR Pt. 101) (Pri- vate)
(a) New, Renew/Mod (FCC 601 & 159).
25.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) New, Renew/Mod (Elec- tronic Filing) (FCC 601 & 159).
25.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 601 & 159).
25.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Filing) (FCC 601 & 159).
25.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
3. 218–219 MHz Service (a) New, Renew/Mod (FCC
601 & 159). 65.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) New, Renew/Mod (Elec- tronic Filing) (FCC 601 & 159).
65.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 601 & 159).
65.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Filing) (FCC 601 & 159).
65.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
4. Shared Use Services Land Mobile (Frequencies Below 470
MHz—except 220 MHz) (a) New, Renew/Mod (FCC
601 & 159). 20.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
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Exclusive use services (per license) Fee amount 1 Address
(b) New, Renew/Mod (Elec- tronic Filing) (FCC 601 & 159).
20.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 601 & 159).
20.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Filing) (FCC 601 & 159).
20.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
General Mobile Radio Service (a) New, Renew/Mod (FCC
605 & 159). 5.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) New, Renew/Mod (Elec- tronic Filing) (FCC 605 & 159).
5.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 605 & 159).
5.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Filing) (FCC 605 & 159).
5.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
Rural Radio (Part 22) (a) New, Additional Facility,
Major Renew/Mod (Elec- tronic Filing) (FCC 601 & 159).
20.00 FCC, P.O. Box 979097, St. Louis, MO, 63197–9000.
(b) Renewal, Minor Renew/ Mod (Electronic Filing) (FCC 601 & 159).
20.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
Marine Coast (a) New Renewal/Mod (FCC
601 & 159). 45.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) New, Renewal/Mod (Elec- tronic Filing) (FCC 601 & 159).
45.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 601 & 159).
45.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Filing) (FCC 601 & 159).
45.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
Aviation Ground (a) New, Renewal/Mod (FCC
601 & 159). 10.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) New, Renewal/Mod (Elec- tronic Filing) (FCC 601 & 159).
10.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 601 & 159).
10.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Only) (FCC 601 & 159).
10.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
Marine Ship (a) New, Renewal/Mod (FCC
605 & 159). 10.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) New, Renewal/Mod (Elec- tronic Filing) (FCC 605 & 159).
10.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 605 & 159).
10.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Filing) (FCC 605 & 159).
10.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
Aviation Aircraft (a) New, Renew/Mod (FCC
605 & 159). 5.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) New, Renew/Mod (Elec- tronic Filing) (FCC 605 & 159).
5.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(c) Renewal Only (FCC 605 & 159).
5.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(d) Renewal Only (Electronic Filing) (FCC 605 & 159).
5.00 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
5. Amateur Vanity Call Signs (a) Initial or Renew (FCC 605
& 159). 1.33 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
(b) Initial or Renew (Elec- tronic Filing) (FCC 605 & 159).
1.33 FCC, P.O. Box 979097, St. Louis, MO 63197–9000.
6. CMRS Cellular/Mobile Services (per unit)
(FCC 159) ............................. .18 2 FCC, P.O. Box 979084, St. Louis, MO 63197–9000.
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Exclusive use services (per license) Fee amount 1 Address
7. CMRS Messaging Services (per unit)
(FCC 159) ............................. .08 3 FCC, P.O. Box 979084, St. Louis, MO 63197–9000. 8. Broadband Radio Service (formerly
MMDS and MDS). 310 FCC, P.O. Box 979084, St. Louis, MO 63197–9000.
9. Local Multipoint Distribution Service 310 FCC, P.O. Box 979084, St. Louis, MO 63197–9000.
1 Note that ‘‘small fees’’ are collected in advance for the entire license term. Therefore, the annual fee amount shown in this table that is a small fee (categories 1 through 5) must be multiplied by the 5- or 10-year license term, as appropriate, to arrive at the total amount of regulatory fees owed. It should be further noted that application fees may also apply as detailed in 1.1102.
2 These are standard fees that are to be paid in accordance with 1.1157(b). 3 These are standard fees that are to be paid in accordance with 1.1157(b).
[75 FR 41958, July 19, 2010]
§ 1.1153 Schedule of annual regulatory fees and filing locations for mass media services.
Radio [AM and FM] (47 CFR, Part 73) Fee amount Address
1. AM Class A: <=25,000 population ................................................. $675 FCC, Radio, P.O. Box 979084, St. Louis, MO
63197–9000. 25,001–75,000 population ........................................ 1,350 75,001–150,000 population ...................................... 2,025 150,001–500,000 population .................................... 3,050 500,001–1,200,000 population ................................. 4,400 1,200,001–3,000,000 population .............................. 6,750 >3,000,000 population .............................................. 8,100
2. AM Class B: <=25,000 population ................................................. 550 FCC, Radio, P.O. Box 979084, St. Louis, MO
63197–9000. 25,001–75,000 population ........................................ 1,075 75,001–150,000 population ...................................... 1,350 150,001–500,000 population .................................... 2,300 500,001–1,200,000 population ................................. 3,500 1,200,001–3,000,000 population .............................. 5,400 >3,000,000 population .............................................. 6,475
3. AM Class C: <=25,000 population ................................................. 500 FCC, Radio, P.O. Box 979084, St. Louis, MO
63197–9000. 25,001–75,000 population ........................................ 750 75,001–150,000 population ...................................... 1,000 150,001–500,000 population .................................... 1,500 500,001–1,200,000 population ................................. 2,500 1,200,001–3,000,000 population .............................. 3,750 >3,000,000 population .............................................. 4,750
4. AM Class D: <=25,000 population ................................................. 575 FCC, Radio, P.O. Box 979084, St. Louis, MO
63197–9000. 25,001–75,000 population ........................................ 875 75,001–150,000 population ...................................... 1,450 150,001–500,000 population .................................... 1,725 500,001–1,200,000 population ................................. 2,875 1,200,001–3,000,000 population .............................. 4,600 >3,000,000 population .............................................. 5,750
5. AM Construction Permit ...................................................... 390 FCC, Radio, P.O. Box 979084, St. Louis, MO 63197–9000.
6. FM Classes A, B1 and C3: <=25,000 population ................................................. 650 FCC, Radio, P.O. Box 979084, St. Louis, MO
63197–9000. 25,001–75,000 population ........................................ 1,325 75,001–150,000 population ...................................... 1,825 150,001–500,000 population .................................... 2,800 500,001–1,200,000 population ................................. 4,450 1,200,001–3,000,000 population .............................. 7,250 >3,000,000 population .............................................. 9,250
7. FM Classes B, C, C0, C1 and C2: <=25,000 population ................................................. 825 FCC, Radio, P.O. Box 979084, St. Louis, MO
63197–9000. 25,001–75,000 population ........................................ 1,450 75,001–150,000 population ...................................... 2,725 150,001–500,000 population .................................... 3,550 500,001–1,200,000 population ................................. 5,225
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47 CFR Ch. I (10–1–10 Edition)§ 1.1154
Radio [AM and FM] (47 CFR, Part 73) Fee amount Address
1,200,001–3,000,000 population .............................. 8,350 >3,000,000 population .............................................. 10,850
8. FM Construction Permits .................................................... 675 FCC, Radio, P.O. Box 979084, St. Louis, MO 63197–9000.
TV (47 CFR, Part 73) VHF Commercial:
1. Markets 1 thru 10 ................................................. 81,550 FCC, TV Branch, P.O. Box 979084, St. Louis, MO 63197–9000.
2. Markets 11 thru 25 ............................................... 63,275 3. Markets 26 thru 50 ............................................... 42,550 4. Markets 51 thru 100 ............................................. 23,750 5. Remaining Markets ............................................... 6,125 6. Construction Permits ............................................ 6,125
UHF Commercial: 1. Markets 1 thru 10 ................................................. 32,275 FCC, UHF Commercial, P.O. Box 979084, St.
Louis, MO 63197–9000. 2. Markets 11 thru 25 ............................................... 30,075 3. Markets 26 thru 50 ............................................... 18,900 4. Markets 51 thru 100 ............................................. 11,550 5. Remaining Markets ............................................... 3,050 6. Construction Permits ............................................ 3,050
Satellite UHF/VHF Commercial: 1. All Markets ............................................................ 1,300 FCC Satellite TV, P.O. Box 979084, St. Louis,
MO 63197–9000. 2. Construction Permits ............................................ 675
Low Power TV, Class A TV, TV/FM Translator, & TV/FM Booster (47 CFR Part 74).
415 FCC, Low Power, P.O. Box 979084, St. Louis, MO 63197–9000.
Broadcast Auxiliary .................................................................. 10 FCC, Auxiliary, P.O. Box 979084, St. Louis, MO 63197–9000.
[75 FR 41959, July 19, 2010]
§ 1.1154 Schedule of annual regulatory charges and filing locations for common carrier services.
Radio facilities Fee amount Address
1. Microwave (Domestic Public Fixed) (Electronic Filing) (FCC Form 601 & 159).
$25.00 FCC, P.O. Box 979097, St. Louis, MO 63197– 9000
Carriers 1. Interstate Telephone Service Providers (per inter-
state and international end-user revenues (see FCC Form 499–A).
.00349 FCC, Carriers, P.O. Box 979084, St. Louis, MO 63197–9000
[75 FR 41961, July 19, 2010]
§ 1.1155 Schedule of regulatory fees and filing locations for cable television serv- ices.
Fee amount Address
1. Cable Television Relay Service .......................................... $315 FCC, Cable, P.O. Box 979084, St. Louis, MO 63197–9000
2. Cable TV System (per subscriber) ..................................... .89
[75 FR 41961, July 19, 2010]
§ 1.1156 Schedule of regulatory fees and filing locations for international services. (a) The following schedule applies for the listed services:
Fee category Fee amount Address
Space Stations (Geostationary Orbit) ..................................... $127,925 FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000
Space Stations (Non-Geostationary Orbit) ............................. 138,050 FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000
Earth Stations: Transmit/Receive & Transmit only (per au- thorization or registration).
240 FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000
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(b)(1) International Terrestrial and Sat- ellite. Regulatory fees for International Bearer Circuits are to be paid by facili- ties-based common carriers that have active (used or leased) international bearer circuits as of December 31, of the prior year in any terrestrial or sat- ellite transmission facility for the pro- vision of service to an end user or re- sale carrier, which includes active cir- cuits to themselves or to their affili- ates. In addition, non-common carrier satellite operators must pay a fee for each circuit sold or leased to any cus- tomer, including themselves or their affiliates, other than an international
common carrier authorized by the Commission to provide U.S. inter- national common carrier services. ‘‘Active circuits’’ for these purposes in- clude backup and redundant circuits. In addition, whether circuits are used specifically for voice or data is not rel- evant in determining that they are ac- tive circuits.
(2) The fee amount, per active 64 KB circuit or equivalent will be deter- mined for each fiscal year. Payment, if mailed, shall be sent to: FCC, Inter- national, P.O. Box 979084, St. Louis, MO 63197–9000.
International terrestrial and satellite (capacity as of December 31, 2009) Fee amount Address
Terrestrial Common Carrier ................................ Satellite Common Carrier Satellite Non-Common Carrier
$0.39 per 64 KB Circuit ...................... FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000.
(c) Submarine cable: Regulatory fees for submarine cable systems will be paid annually, per cable landing li- cense, for all submarine cable systems operating as of December 31 of the
prior year. The fee amount will be de- termined by the Commission for each fiscal year. Payment, if mailed, shall be sent to: FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000.
Submarine cable systems (capacity as of Dec. 31, 2009) Fee amount Address
<2.5 Gbps ................................................................................ $14,625 FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000.
2.5 Gbps or greater, but less than 5 Gbps ............................. $29,250 FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000.
5 Gbps or greater, but less than 10 Gbps .............................. $58,500 FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000.
10 Gbps or greater, but less than 20 Gbps ............................ $116,975 FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000.
20 Gbps or greater .................................................................. $233,950 FCC, International, P.O. Box 979084, St. Louis, MO 63197–9000.
[75 FR 41961, July 19, 2010]
§ 1.1157 Payment of charges for regu- latory fees.
Payment of a regulatory fee, required under §§ 1.1152 through 1.1156, shall be filed in the following manner:
(a)(1) The amount of the regulatory fee payment that is due with any appli- cation for authorization shall be the multiple of the number of years in the entire term of the requested license or other authorization multiplied by the annual fee payment required in the Schedule of Regulatory Fees, effective at the time the application is filed. Ex- cept as set forth in § 1.1160, advance
payments shall be final and shall not be readjusted during the term of the li- cense or authorization, notwith- standing any subsequent increase or decrease in the annual amount of a fee required under the Schedule of Regu- latory Fees.
(2) Failure to file the appropriate regulatory fee due with an application for authorization will result in the re- turn of the accompanying application, including an application for which the Commission has assigned a specific fil- ing deadline.
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47 CFR Ch. I (10–1–10 Edition)§ 1.1158
(b)(1) Payments of standard regu- latory fees applicable to certain wire- less radio, mass media, common car- rier, cable and international services shall be filed in full on an annual basis at a time announced by the Commis- sion or the Managing Director, pursu- ant to delegated authority, and pub- lished in the FEDERAL REGISTER.
(2) Large regulatory fees, as annually defined by the Commission, may be submitted in installment payments or in a single payment on a date certain as announced by the Commission or the Managing Director, pursuant to delegated authority, and published in the FEDERAL REGISTER.
(c) Standard regulatory fee pay- ments, as well as any installment pay- ment, must be filed with a FCC Form 159, FCC Remittance Advice, and a FCC Form 159C, Remittance Advice Con- tinuation Sheet, if additional space is needed. Failure to submit a copy of FCC Form 159 with a standard regu- latory fee payment, or an installment payment, will result in the return of the submission and a 25 percent pen- alty if the payment is resubmitted after the date the Commission estab- lishes for the payment of standard reg- ulatory fees and for any installment payment.
(1) Any late filed regulatory fee pay- ment will be subject to the penalties set forth in section 1.1164.
(2) If one or more installment pay- ments are untimely submitted or not submitted at all, the eligibility of the subject regulatee to submit install- ment payments may be cancelled.
(d) Any Commercial Mobile Radio Service (CMRS) licensee subject to payment of an annual regulatory fee shall retain for a period of two (2) years from the date on which the regulatory fee is paid, those business records which were used to calculate the amount of the regulatory fee.
[60 FR 34031, June 29, 1995, as amended at 62 FR 59825, Nov. 5, 1997; 67 FR 46306, July 12, 2002]
§ 1.1158 Form of payment for regu- latory fees.
Any regulatory fee payment must be submitted in the form of a check, bank draft or money order denominated in U.S. dollars and drawn on a United
States financial institution and made payable to the Federal Communica- tions Commission or by Visa, Mastercard, American Express or Dis- cover credit cards only. The Commis- sion discourages applicants from sub- mitting cash payments and will not be responsible for cash sent through the mail. Personal or corporate checks dated more than six months prior to their submission to the Commission’s lockbox bank and postdated checks will not be accepted and will be re- turned as deficient.
(a) Upon authorization from the Commission following a written re- quest, electronic fund transfer (EFT) payment of a regulatory fee may be made as follows:
(1)(i) The payor may instruct its bank to make payment of the regu- latory fee directly to the Commission’s lockbox bank, or
(ii) The payor may authorize the Commission to direct its lockbox bank to withdraw funds directly from the payor’s bank account.
(2) No EFT payment of a regulatory fee will be accepted unless the payor has obtained the written authorization of the Commission to submit regu- latory fees electronically. Procedures for electronic payment of regulatory fees will be announced by Public No- tice. It is the responsibility of the payor to insure that any electronic payment is made in the manner re- quired by the Commission. Failure to comply with the Commission’s proce- dures for electronic fee payment will result in the return of the fee payment, and a penalty fee of 25 percent if the subsequent refiling of the fee payment is late. Failure to comply will also sub- ject the payor to the penalties set forth in § 1.1164.
(b) Multiple payment instruments for a single regulatory fee are not per- mitted, except that the Commission will accept multiple money orders in payment of any fee where the fee ex- ceeds the maximum amount for a money order established by the issuing entity and the use of multiple money orders is the only practicable means available for payment.
(c) Payment of multiple standard regulatory fees (including an install- ment payment) due on the same date,
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may be made with a single payment in- strument and cover mass media, com- mon carrier, international, and cable service fee payments. Each regulatee is solely responsible for accurately ac- counting for and listing each license or authorization and the number of sub- scribers, access lines, or other relevant units on the accompanying FCC Form 159 and, if needed, FCC Form 159C and for making full payment for every reg- ulatory fee listed on the accompanying form. Any omission or payment defi- ciency of a regulatory fee will result in a 25 percent penalty of the amount due and unpaid.
(d) Any regulatory fee payment (in- cluding a regulatory fee payment sub- mitted with an application in the wire- less radio service) made by credit card or money order must be submitted with a completed FCC Form 159. Fail- ure to accurately enter the credit card number and date of expiration and the payor’s signature in the appropriate blocks on FCC Form 159 will result in rejection of the credit card payment.
[60 FR 34031, June 29, 1995, as amended at 67 FR 46306, July 12, 2002]
§ 1.1159 Filing locations and receipts for regulatory fees.
(a) Regulatory fee payments must be directed to the location and address set forth in §§ 1.1152 through 1.1156 for the specific category of fee involved. Any regulatory fee required to be submitted with an application must be filed as a part of the application package accom- panying the application. The Commis- sion will not take responsibility for matching fees, forms and applications submitted at different times or loca- tions.
(b) Petitions for reconsideration or applications for review of fee decisions submitted with a standard regulatory fee payment pursuant to §§ 1.1152 through 1.1156 of the rules are to be filed with the Commission’s lockbox bank in the manner set forth in §§ 1.1152 through 1.1156 for payment of the fee subject to the petition for reconsider- ation or the application for review. Pe- titions for reconsideration and applica- tions for review that are submitted with no accompanying payment should be filed with the Secretary, Federal Communications Commission, Atten-
tion: Managing Director, Washington, D.C. 20554.
(c) Any request for exemption from a regulatory fee shall be filed with the Secretary, Federal Communications Commission, Attention: Managing Di- rector, Washington, D.C. 20554, except that requests for exemption accom- panied by a tentative fee payment shall be filed at the lockbox set forth for the appropriate service in §§ 1.1152 through 1.1156.
(d) The Commission will furnish a re- ceipt for a regulatory fee payment only upon request. In order to obtain a re- ceipt for a regulatory fee payment, the package must include an extra copy of the Form FCC 159 or, if a Form 159 is not required with the payment, a copy of the first page of the application or other filing submitted with the regu- latory fee payment, submitted ex- pressly for the purpose of serving as a receipt for the regulatory fee payment and application fee payment, if re- quired. The document should be clearly marked ‘‘copy’’ and should be the top document in the package. The copy will be date stamped immediately and provided to the bearer of the submis- sion, if hand delivered. For submissions by mail, the receipt copy will be pro- vided through return mail if the filer has attached to the receipt copy a stamped self-addressed envelope of suf- ficient size to contain the receipt docu- ment.
(e) The Managing Director may issue annually, at his discretion, a Public Notice setting forth the names of all commercial regulatees that have paid a regulatory fee and shall publish the Public Notice in the FEDERAL REG- ISTER.
[60 FR 34032, June 29, 1995, as amended at 62 FR 59825, Nov. 5, 1997]
§ 1.1160 Refunds of regulatory fees. (a) Regulatory fees will be refunded,
upon request, only in the following in- stances:
(1) When no regulatory fee is required or an excessive fee has been paid. In the case of an overpayment, the refund amount will be based on the appli- cants’, permittees’, or licensees’ entire submission. All refunds will be issued to the payor named in the appropriate block of the FCC Form 159. Payments
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in excess of a regulatory fee will be re- funded only if the overpayment is $10.00 or more.
(2) In the case of advance payment of regulatory fees, subject to § 1.1152, a re- fund will be issued based on unexpired full years:
(i) When the Commission adopts new rules that nullify a license or other au- thorization, or a new law or treaty ren- ders a license or other authorization useless;
(ii) When a licensee in the wireless radio service surrenders the license or other authorization subject to a fee payment to the Commission; or
(iii) When the Commission declines to grant an application submitted with a regulatory fee payment.
(3) When a waiver is granted in ac- cordance with § 1.1166.
(b) No pro-rata refund of an annual fee will be issued.
(c) No refunds will be issued based on unexpired partial years.
(d) No refunds will be processed with- out a written request from the appli- cant, permittee, licensee or agent.
[60 FR 34032, June 29, 1995, as amended at 67 FR 46307, July 12, 2002]
§ 1.1161 Conditional license grants and delegated authorizations.
(a) Grant of any application or an in- strument of authorization or other fil- ing for which a regulatory fee is re- quired to accompany the application or filing, will be conditioned upon final payment of the current or delinquent regulatory fees. Final payment shall mean receipt by the U.S. Treasury of funds cleared by the financial institu- tion on which the check, bank draft, money order, credit card (Visa, MasterCard, American Express, or Dis- cover), wire or electronic payment is drawn.
(1) If, prior to a grant of an instru- ment of authorization, the Commission is notified that final payment of the regulatory fee has not been made, the application or filing:
(i) Will be dismissed and returned; (ii) Shall lose its place in the proc-
essing line; and (iii) Will not be treated as timely
filed if resubmitted after the relevant filing deadline.
(2) If, subsequent to a grant of an in- strument of authorization or other fil- ing, the Commission is notified that final payment has not been made, the Commission will:
(i) Automatically rescind that instru- ment of authorization for failure to meet the condition imposed by this subsection;
(ii) Notify the grantee of this action; and
(iii) Treat as late filed any applica- tion resubmitted after the original deadline for filing the application.
(3) Upon receipt of a notification of rescission of the authorization, the grantee will immediately cease oper- ations initiated pursuant to the au- thorization.
(b) In those instances where the Com- mission has granted a request for de- ferred payment of a regulatory fee, fur- ther processing of the application or filing or the grant of authority shall be conditioned upon final payment of the regulatory fee and any required pen- alties for late payment prescribed by the deferral decision. Failure to com- ply with the terms of the deferral deci- sion shall result in the automatic dis- missal of the submission or rescission of the Commission authorization. Fur- ther, the Commission shall:
(1) Notify the grantee that the au- thorization has been rescinded. Upon such notification, the grantee will im- mediately cease operations initiated pursuant to the authorization; and
(2) Treat as late filed any application resubmitted after the original deadline for filing the application.
(c)(1) Where an applicant is found to be delinquent in the payment of regu- latory fees, the Commission will make a written request for the fee, together with any penalties that may be ren- dered under this subpart. Such request shall inform the regulatee that failure to pay may result in the Commission withholding action on any application or request filed by the applicant. The staff shall also inform the regulatee of the procedures for seeking Commission review of the staff’s determination.
(2) If, after final determination that the fee is due or that the applicant is delinquent in the payment of fees and payment is not made in a timely man- ner, the staff will withhold action on
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the application or filing until payment or other satisfactory arrangement is made. If payment or satisfactory ar- rangement is not made within 30 days, the application will be dismissed.
[60 FR 34032, June 29, 1995, as amended at 69 FR 27848, May 17, 2004]
§ 1.1162 General exemptions from reg- ulatory fees.
No regulatory fee established in §§ 1.1152 through 1.1156, unless other- wise qualified herein, shall be required for: (a) Applicants, permittees or li- censees in the Amateur Radio Service, except that any person requesting a vanity call-sign shall be subject to the payment of a regulatory fee, as pre- scribed in § 1.1152.
(b) Applicants, permittees, or licens- ees who qualify as government entities. For purposes of this exemption, a gov- ernment entity is defined as any state, possession, city, county, town, village, municipal corporation, or similar po- litical organization or subpart thereof controlled by publicly elected or duly appointed public officials exercising sovereign direction and control over their respective communities or pro- grams.
(c) Applicants and permittees who qualify as nonprofit entities. For pur- poses of this exemption, a nonprofit en- tity is defined as: an organization duly qualified as a nonprofit, tax exempt en- tity under section 501 of the Internal Revenue Code, 26 U.S.C. 501; or an enti- ty with current certification as a non- profit corporation or other nonprofit entity by state or other governmental authority.
(1) Any permittee, licensee or other entity subject to a regulatory fee and claiming an exemption from a regu- latory fee based upon its status as a nonprofit entity, as described above, shall file with the Secretary of the Commission (Attn: Managing Director) written documentation establishing the basis for its exemption within 60 days of its coming under the regu- latory jurisdiction of the Commission or at the time its fee payment would otherwise be due, whichever is sooner, or at such other time as required by the Managing Director. Acceptable documentation may include Internal Revenue Service determination letters,
state or government certifications or other documentation that non-profit status has been approved by a state or other governmental authority. Appli- cants, permittees and licensees are re- quired to file documentation of their nonprofit status only once, except upon request of the Managing Director.
(2) Within sixty (60) days of a change in nonprofit status, a licensee or per- mittee previously claiming a 501(C) ex- emption is required to file with the Secretary of the Commission (Attn: Managing Director) written notice of such change in its nonprofit status or ownership. Additionally, for-profit pur- chasers or assignees of a license, sta- tion or facility previously licensed or operated by a non-profit entity not subject to regulatory fees must notify the Secretary of the Commission (Attn: Managing Director) of such purchase or reassignment within 60 days of the ef- fective date of the purchase or assign- ment.
(d) Applicants, permittees or licens- ees in the Special Emergency Radio and Public Safety Radio services.
(e) Applicants, permittees or licens- ees of noncommercial educational (NCE) broadcast stations in the FM or TV services, as well as AM applicants, permittees or licensees operating in ac- cordance with § 73.503 of this chapter.
(f) Applicants, permittees, or licens- ees qualifying under paragraph (e) of this section requesting Commission au- thorization in any other mass media radio service (except the international broadcast (HF) service), wireless radio service, common carrier radio service, or international radio service requiring payment of a regulatory fee, if the service is used in conjunction with their NCE broadcast station on an NCE basis.
(g) Other applicants, permittees or li- censees providing, or proposing to pro- vide, a NCE or instructional service, but not qualifying under paragraph (e) of this section, may be exempt from regulatory fees, or be entitled to a re- fund, in the following circumstances:
(1) The applicant, permittee or li- censee is an organization that, like the Public Broadcasting Service or Na- tional Public Radio, receives funding directly or indirectly through the Pub- lic Broadcasting Fund, 47 U.S.C. 396(k),
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distributed by the Corporation for Pub- lic Broadcasting, where the authoriza- tion requested will be used in conjunc- tion with the organization on an NCE basis;
(2) An applicant, permittee or li- censee of a translator or low power tel- evision station operating or proposing to operate an NCE service who, after grant, provides proof that it has re- ceived funding for the construction of the station through the National Tele- communications and Information Ad- ministration (NTIA) or other showings as required by the Commission; or
(3) An applicant, permittee, or li- censee provided a fee refund under § 1.1160 and operating as an NCE sta- tion, is exempt from fees for broadcast auxiliary stations (subparts D, E, F, and G of part 74 of this chapter) or sta- tions in the wireless radio, common carrier, or international services where such authorization is to be used in con- junction with the NCE translator or low power station.
(h) An applicant, permittee or li- censee that is the licensee in the Edu- cational Broadband Service (EBS) (for- merly, Instructional Television Fixed Service (ITFS)) (parts 27 and 74, e.g., §§ 27.1200, et seq., and 74.832(b), of this chapter) is exempt from regulatory fees where the authorization requested will be used by the applicant in con- junction with the provision of the EBS.
(i) Applications filed in the wireless radio service for the sole purpose of modifying an existing authorization (or a pending application for authoriza- tion). However, if the applicant also re- quests a renewal or reinstatement of its license or other authorization for which the submission of a regulatory fee is required, the appropriate regu- latory fee for such additional request must accompany the application.
[60 FR 34033, June 29, 1995, as amended at 60 FR 34904, July 5, 1995; 62 FR 59825, Nov. 5, 1997; 71 FR 43872, Aug. 2, 2006]
§ 1.1163 Adjustments to regulatory fees.
(a) For Fiscal Year 1995, the amounts assessed for regulatory fees are set forth in §§ 1.1152 through 1.1156.
(b) For Fiscal year 1996 and there- after, the Schedule of Regulatory Fees, contained in §§ 1.1152 through 1.1156,
may be adjusted annually by the Com- mission pursuant to section 9 of the Communications Act. 47 U.S.C. 159. Ad- justments to the fees established for any category of regulatory fee pay- ment shall include projected cost in- creases or decreases and an estimate of the volume of licensees or units upon which the regulatory fee is calculated.
(c) The fees assessed shall: (1) Be derived by determining the
full-time equivalent number of employ- ees performing enforcement activities, policy and rulemaking activities, user information services, and international activities within the Wireline Competi- tion Bureau, Media Bureau, Inter- national Bureau and other offices of the Commission, adjusted to take into account factors that are reasonably re- lated to the benefits provided to the payor of the fee by the Commission’s activities, including such factors as service coverage area, shared use versus exclusive use, and other factors that the Commission determines are necessary in the public interest;
(2) Be established at amounts that will result in collection, during each fiscal year, of an amount that can rea- sonably be expected to equal the amount appropriated for such fiscal year for the performance of the activi- ties described in paragraph (c)(1) of this section.
(d) The Commission shall by rule amend the Schedule of Regulatory Fees by proportionate increases or decreases that reflect, in accordance with para- graph (c)(2) of this section, changes in the amount appropriated for the per- formance of the activities described in paragraph (c)(1) of this section, for such fiscal year. Such proportionate in- creases or decreases shall be adjusted to reflect unexpected increases or de- creases in the number of licensees or units subject to payment of such fees and result in collection of an aggregate amount of fees that will approximately equal the amount appropriated for the subject regulatory activities.
(e) The Commission shall, by rule, amend the Schedule of Regulatory Fees if the Commission determines that the Schedule requires amendment to com- ply with the requirements of paragraph (c)(1) of this section. In making such amendments, the Commission shall
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add, delete or reclassify services in the Schedule to reflect additional deletions or changes in the nature of its services as a consequence of Commission rule- making proceedings or changes in law.
(f) In making adjustments to regu- latory fees, the Commission will round such fees to the nearest $5.00 in the case of fees under $1,000.00, or to the nearest $25.00 in the case of fees of $1,000.00 or more.
[60 FR 34033, June 29, 1995, as amended at 67 FR 13224, Mar. 21, 2002]
§ 1.1164 Penalties for late or insuffi- cient regulatory fee payments.
Any late payment or insufficient payment of a regulatory fee, not ex- cused by bank error, shall subject the regulatee to a 25 percent penalty of the amount of the fee of installment pay- ment which was not paid in a timely manner. A timely fee payment or in- stallment payment is one received at the Commission’s lockbox bank by the due date specified by the Commission or by the Managing Director. A pay- ment will also be considered late filed if the payment instrument (check, money order, bank draft or credit card) is uncollectible.
(a) The Commission may, in its dis- cretion, following one or more late filed installment payments, require a regulatee to pay the entire balance of its regulatory fee by a date certain, in addition to assessing a 25 percent pen- alty.
(b) In cases were a fee payment fails due to error by the payor’s bank, as evidenced by an affidavit of an officer of the bank, the date of the original submission will be considered the date of filing.
(c) If a regulatory fee is paid in a timely manner, the regulatee will be notified of its deficiency. This notice will automatically assess a 25 percent penalty, subject the delinquent payor’s pending applications to dismissal, and may require a delinquent payor to show cause why its existing instru- ments of authorization should not be subject to rescission.
(d)(1) Where a regulatee’s new, re- newal or reinstatement application is required to be filed with a regulatory fee (as is the case with wireless radio services), the application will be dis-
missed if the regulatory fee is not in- cluded with the application package. In the case of a renewal or reinstatement application, the application may not be refiled unless the appropriate regu- latory fee plus the 25 percent penalty charge accompanies the refiled applica- tion.
(2) If the application that must be ac- companied by a regulatory fee is a mu- tually exclusive application with a fil- ing deadline, or any other application that must be filed by a date certain, the application will be dismissed if not accompanied by the proper regulatory fee and will be treated as late filed if resubmitted after the original date for filing application.
(e) Any pending or subsequently filed application submitted by a party will be dismissed if that party is deter- mined to be delinquent in paying a standard regulatory fee or an install- ment payment. The application may be resubmitted only if accompanied by the required regulatory fee and by any assessed penalty payment.
(f) In instances where the Commis- sion may revoke an existing instru- ment of authorization for failure to file a regulatory fee, the Commission will provide prior notice to the regulatee of such action and shall allow the licensee no less than 60 days to either pay the fee or show cause why the payment as- sessed is inapplicable or should other- wise be waived or deferred.
(1) An adjudicatory hearing will not be designated unless the response by the regulatee to the Order to Show Cause presents a substantial and mate- rial question of fact.
(2) Disposition of the proceeding shall be based upon written evidence only and the burden of proceeding with the introduction of evidence and the bur- den of proof shall be on the respondent regulatee.
(3) Unless the regulatee substantially prevails in the hearing, the Commis- sion may assess costs for the conduct of the proceeding against the respond- ent regulatee. See 47 U.S.C. 402(b)(5).
(4) Any regulatee failing to submit a regulatory fee, following notice to the regulatee of failure to submit the re- quired fee, is subject to collection of the fee, including interest thereon, any associated penalties, and the full cost
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of collection to the Federal govern- ment pursuant to section 3720A of the Internal Revenue Code, 31 U.S.C. 3717, and to the provisions of the Debt Col- lection Act, 31 U.S.C. 3717. See 47 CFR 1.1901 through 1.1952. The debt collec- tion processes described above may proceed concurrently with any other sanction in this paragraph.
(5) An application or filing by a regulatee that is delinquent in its debt to the Commission is also subject to dismissal under 47 CFR 1.1910.
[60 FR 34034, June 29, 1995, as amended at 69 FR 27848, May 17, 2004]
§ 1.1165 Payment by cashier’s check for regulatory fees.
Payment by cashier’s check may be required when a person or organization makes payment, on one or more occa- sions, with a payment instrument on which the Commission does not receive final payment and such error is not ex- cused by bank error.
[60 FR 34034, June 29, 1995]
§ 1.1166 Waivers, reductions and defer- rals of regulatory fees.
The fees established by sections 1.1152 through 1.1156 may be waived, re- duced or deferred in specific instances, on a case-by-case basis, where good cause is shown and where waiver, re- duction or deferral of the fee would promote the public interest. Requests for waivers, reductions or deferrals of regulatory fees for entire categories of payors will not be considered.
(a) Requests for waivers, reductions or deferrals will be acted upon by the Managing Director with the concur- rence of the General Counsel. All such filings within the scope of the fee rules shall be filed as a separate pleading and clearly marked to the attention of the Managing Director. Any such request that is not filed as a separate pleading will not be considered by the Commis- sion.
(1) If the request for waiver, reduc- tion or deferral is accompanied by a fee payment, the request must be sub- mitted to the Commission’s lockbox bank at the address for the appropriate service set forth in §§ 1.1152 through 1.1156 of this subpart.
(2) If no fee payment is submitted, the request should be filed with the Commission’s Secretary.
(b) Deferrals of fees will be granted for a period of six months following the date that the fee is initially due.
(c) Petitions for waiver of a regu- latory fee must be accompanied by the required fee and FCC Form 159. Sub- mitted fees will be returned if a waiver is granted. Waiver requests that do not include the required fees or forms will be dismissed unless accompanied by a petition to defer payment due to finan- cial hardship, supported by documenta- tion of the financial hardship.
(d) Petitions for reduction of a fee must be accompanied by the full fee payment and Form 159. Petitions for reduction accompanied by a fee pay- ment must be addressed to the Federal Communications Commission, Atten- tion: Petitions, Post Office Box 979084, St. Louis, Missouri, 63197–9000. Peti- tions for reduction that do not include the required fees or forms will be dis- missed unless accompanied by a peti- tion to defer payment due to financial hardship, supported by documentation of the financial hardship.
(e) Petitions for waiver of a fee based on financial hardship, including bank- ruptcy, will not be granted, even if oth- erwise consistent with Commission pol- icy, to the extent that the total regu- latory and application fees for which waiver is sought exceeds $500,000 in any fiscal year, including regulatory fees due in any fiscal year, but paid prior to the due date. In computing this amount, the amounts owed by an enti- ty and its subsidiaries and other affili- ated entities will be aggregated. In cases where the claim of financial hardship is not based on bankruptcy, waiver, partial waiver, or deferral of fees above the $500,000 cap may be con- sidered on a case-by-case basis.
[60 FR 34034, June 29, 1995, as amended at 65 FR 78989, Dec. 18, 2000; 66 FR 36206, July 11, 2001; 68 FR 48469, Aug. 13, 2003; 73 FR 9029, Feb. 19, 2008]
§ 1.1167 Error claims related to regu- latory fees.
(a) Challenges to determinations or an insufficient regulatory fee payment or delinquent fees should be made in
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writing. A challenge to a determina- tion that a party is delinquent in pay- ing a standard regulatory fee must be accompanied by suitable proof that the fee had been paid or waived (deferred from payment during the period in question), or by the required regu- latory payment and any assessed pen- alty payment (see § 1.1164(c) of this sub- part). Challenges submitted with a fee payment must be submitted to address stated on the invoice or billing state- ment. Challenges not accompanied by a fee payment should be filed with the Commission’s Secretary and clearly marked to the attention of the Man- aging Director or emailed to ARINQUIRIES@fcc.gov.
(b) The filing of a petition for recon- sideration or an application for review of a fee determination will not relieve licensees from the requirement that full and proper payment of the under- lying fee payment be submitted, as re- quired by the Commission’s action, or delegated action, on a request for waiv- er, reduction or deferment. Petitions for reconsideration and applications for review submitted with a fee pay- ment must be submitted to the same location as the original fee payment. Petitions for reconsideration and appli- cations for review not accompanied by
a fee payment should be filed with the Commission’s Secretary and clearly marked to the attention of the Man- aging Director.
(1) Failure to submit the fee by the date required will result in the assess- ment of a 25 percent penalty.
(2) If the fee payment should fail while the Commission is considering the matter, the petition for reconsider- ation or application for review will be dismissed.
[60 FR 34035, June 29, 1995, as amended at 69 FR 27848, May 17, 2004]
§ 1.1181 Authority to prescribe and col- lect fees for competitive bidding-re- lated services and products.
Authority to prescribe, impose, and collect fees for expenses incurred by the government is governed by the Independent Offices Appropriation Act of 1952, as amended, 31 U.S.C. 9701, which authorizes agencies to prescribe regulations that establish charges for the provision of government services and products. Under this authority, the Federal Communications Commission may prescribe and collect fees for com- petitive bidding-related services and products as specified in § 1.1182.
[60 FR 38280, July 26, 1995]
§ 1.1182 Schedule of fees for products and services provided by the Commission in connection with competitive bidding procedures.
Product or service Fee amount Payment procedure
On-line remote access 900 Number Tele- phone Service).
2.30 per minute ....................................... Charges included on customer’s long distance telephone bill.
Remote Bidding Software .......................... $175.00 per package .............................. Payment to auction contractor by credit card or check. (Public Notice will specify exact payment procedures.)
Bidder Information Package ...................... First package free; $16.00 per additional package (including postage) to same person or entity.
Payment to auction contractor by credit card or check. (Public Notice will specify exact payment procedures.)
[60 FR 38280, July 26, 1995]
Subpart H—Ex Parte Communications
SOURCE: 52 FR 21052, June 4, 1987, unless otherwise noted.
GENERAL
§ 1.1200 Introduction.
(a) Purpose. To ensure the fairness and integrity of its decision-making, the Commission has prescribed rules to regulate ex parte presentations in Com- mission proceedings. These rules speci- fy ‘‘exempt’’ proceedings, in which ex
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parte presentations may be made freely (§ 1.1204(b)), ‘‘permit-but-disclose’’ pro- ceedings, in which ex parte presen- tations to Commission decision-mak- ing personnel are permissible but sub- ject to certain disclosure requirements (§ 1.1206), and ‘‘restricted’’ proceedings in which ex parte presentations to and from Commission decision-making per- sonnel are generally prohibited (§ 1.1208). In all proceedings, a certain period (’’the Sunshine Agenda period’’) is designated in which all presentations to Commission decision-making per- sonnel are prohibited (§ 1.1203). The lim- itations on ex parte presentations de- scribed in this section are subject to certain general exceptions set forth in § 1.1204(a). Where the public interest so requires in a particular proceeding, the Commission and its staff retain the dis- cretion to modify the applicable ex parte rules by order, letter, or public notice. Joint Boards may modify the ex parte rules in proceedings before them.
(b) Inquiries concerning the propriety of ex parte presentations should be di- rected to the Office of General Counsel.
[62 FR 15853, Apr. 3, 1997]
§ 1.1202 Definitions. For the purposes of this subpart, the
following definitions apply: (a) Presentation. A communication di-
rected to the merits or outcome of a proceeding, including any attachments to a written communication or docu- ments shown in connection with an oral presentation directed to the mer- its or outcome of a proceeding. Ex- cluded from this term are communica- tions which are inadvertently or cas- ually made, inquiries concerning com- pliance with procedural requirements if the procedural matter is not an area of controversy in the proceeding, state- ments made by decisionmakers that are limited to providing publicly avail- able information about pending pro- ceedings, and inquiries relating solely to the status of a proceeding, including inquiries as to the approximate time that action in a proceeding may be taken. However, a status inquiry which states or implies a view as to the mer- its or outcome of the proceeding or a preference for a particular party, which states why timing is important to a particular party or indicates a view as
to the date by which a proceeding should be resolved, or which otherwise is intended to address the merits or outcome or to influence the timing of a proceeding is a presentation.
NOTE TO PARAGRAPH (a): A communication expressing concern about administrative delay or expressing concern that a pro- ceeding be resolved expeditiously will be treated as a permissible status inquiry so long as no reason is given as to why the pro- ceeding should be expedited other than the need to resolve administrative delay, no view is expressed as to the merits or out- come of the proceeding, and no view is ex- pressed as to a date by which the proceeding should be resolved. A presentation by a party in a restricted proceeding not designated for hearing requesting action by a particular date or giving reasons that a proceeding should be expedited other than the need to avoid administrative delay (and responsive presentations by other parties) may be made on an ex parte basis subject to the provisions of § 1.1204(a)(11).
(b) Ex parte presentation. Any presen- tation which:
(1) If written, is not served on the parties to the proceeding; or
(2) If oral, is made without advance notice to the parties and without op- portunity for them to be present.
NOTE TO PARAGRAPH (b): Written commu- nications include electronic submissions transmitted in the form of texts, such as by Internet electronic mail.
(c) Decision-making personnel. Any member, officer, or employee of the Commission, or, in the case of a Joint Board, its members or their staffs, who is or may reasonably be expected to be involved in formulating a decision, rule, or order in a proceeding. Any per- son who has been made a party to a proceeding or who otherwise has been excluded from the decisional process shall not be treated as a decision- maker with respect to that proceeding. Thus, any person designated as part of a separate trial staff shall not be con- sidered a decision-making person in the designated proceeding. Unseparated Bureau or Office staff shall be consid- ered decision-making personnel with respect to decisions, rules, and orders in which their Bureau or Office partici- pates in enacting, preparing, or review- ing.
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(d) Party. Unless otherwise ordered by the Commission, the following per- sons are parties:
(1) In a proceeding not designated for hearing, any person who files an appli- cation, waiver request, petition, mo- tion, request for a declaratory ruling, or other filing seeking affirmative re- lief (including a Freedom of Informa- tion Act request), and any person (other than an individual viewer or lis- tener filing comments regarding a pending broadcast application or mem- bers of Congress or their staffs or branches of the federal government or their staffs) filing a written submission referencing and regarding such pending filing which is served on the filer, or, in the case of an application, any person filing a mutually exclusive application;
NOTE 1 TO PARAGRAPH (d)(1): Persons who file mutually exclusive applications for serv- ices that the Commission has announced will be subject to competitive bidding or lotteries shall not be deemed parties with respect to each others’ applications merely because their applications are mutually exclusive. Therefore, such applicants may make pres- entations to the Commission about their own applications provided that no one has become a party with respect to their applica- tion by other means, e.g., by filing a petition or other opposition against the applicant or an associated waiver request, if the petition or opposition has been served on the appli- cant.
(2) Any person who files a complaint or request to revoke a license or other authorization or for an order to show cause which shows that the complain- ant has served it on the subject of the complaint or which is a formal com- plaint under 47 U.S.C. 208 and § 1.721 of this chapter or 47 U.S.C. 255 and either §§ 6.21 or 7.21 of this chapter, and the person who is the subject of such a complaint or request that shows serv- ice or is a formal complaint under 47 U.S.C. 208 and § 1.721 of this chapter or 47 U.S.C. 255 and either §§ 6.21 or 7.21 of this chapter;
(3) The subject of an order to show cause, hearing designation order, no- tice of apparent liability, or similar notice or order, or petition for such no- tice or order;
(4) In a proceeding designated for hearing, any person who has been given formal party status; and
(5) In an informal rulemaking pro- ceeding conducted under section 553 of the Administrative Procedure Act (other than a proceeding for the allot- ment of a broadcast channel) or a pro- ceeding before a Joint Board or before the Commission to consider the rec- ommendation of a Joint Board, mem- bers of the general public after the issuance of a notice of proposed rule- making or other order as provided under § 1.1206(a) (1) or (2).
(6) In an informal rulemaking pro- ceeding conducted under section 553 of the Administrative Procedure Act (other than a proceeding for the allot- ment of a broadcast channel) or a pro- ceeding before a Joint Board or before the Commission to consider the rec- ommendation of a Joint Board, mem- bers of the general public after the issuance of a notice of proposed rule- making or other order as provided under § 1.1206(a) (1) or (2).
NOTE 2 TO PARAGRAPH (d): To be deemed a party, a person must make the relevant fil- ing with the Secretary, the relevant Bureau or Office, or the Commission as a whole. Written submissions made only to the Chair- man or individual Commissioners will not confer party status.
NOTE 3 TO PARAGRAPH (d): The fact that a person is deemed a party for purposes of this subpart does not constitute a determination that such person has satisfied any other legal or procedural requirements, such as the operative requirements for petitions to deny or requirements as to timeliness. Nor does it constitute a determination that such person has any other procedural rights, such as the right to intervene in hearing proceedings. The Commission or the staff may also deter- mine in particular instances that persons who qualify as ‘‘parties’’ under § 1.1202(d) should nevertheless not be deemed parties for purposes of this subpart.
NOTE 4 TO PARAGRAPH (d): Individual lis- teners or viewers submitting comments re- garding a pending broadcast application pur- suant to § 1.1204(a)(8) will not become parties simply by service of the comments. The Media Bureau may, in its discretion, make such a commenter a party, if doing so would be conducive to the Commission’s consider- ation of the application or would otherwise be appropriate.
NOTE 5 TO PARAGRAPH (d): A member of Congress or his or her staff, or other agen- cies or branches of the federal government or their staffs will not become a party by serv- ice of a written submission regarding a pend- ing proceeding that has not been designated
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for hearing unless the submission affirma- tively seeks and warrants grant of party sta- tus.
(e) Matter designated for hearing. Any matter that has been designated for hearing before an administrative law judge or which is otherwise designated for hearing in accordance with proce- dures in 5 U.S.C. 554.
[62 FR 15854, Apr. 3, 1997, as amended at 64 FR 68947, Dec. 9, 1999; 64 FR 72571, Dec. 28, 1999; 65 FR 56261, Sept. 18, 2000; 67 FR 13224, Mar. 21, 2002]
SUNSHINE PERIOD PROHIBITION
§ 1.1203 Sunshine period prohibition. (a) With respect to any Commission
proceeding, all presentations to deci- sionmakers concerning matters listed on a Sunshine Agenda, whether ex parte or not, are prohibited during the period prescribed in paragraph (b) of this section unless:
(1) The presentation is exempt under § 1.1204(a);
(2) The presentation relates to settle- ment negotiations and otherwise com- plies with any ex parte restrictions in this subpart;
(3) The presentation occurs in the course of a widely attended speech or panel discussion and concerns a Com- mission action in an exempt or a per- mit-but-disclose proceeding that has been adopted (not including private presentations made on the site of a widely attended speech or panel discus- sion); or
(4) The presentation is made by a member of Congress or his or her staff, or by other agencies or branches of the Federal government or their staffs in a proceeding exempt under § 1.1204 or sub- ject to permit-but-disclose require- ments under § 1.1206. If the presentation is of substantial significance and clear- ly intended to affect the ultimate deci- sion, the presentation (or, if oral, a summary of the presentation) must be placed in the record of the proceeding by Commission staff or by the pre- senter in accordance with the proce- dures set forth in § 1.1206(b).
(b) The prohibition set forth in para- graph (a) of this section applies from the release of a public notice that a matter has been placed on the Sun- shine Agenda until the Commission:
(1) Releases the text of a decision or order relating to the matter;
(2) Issues a public notice stating that the matter has been deleted from the Sunshine Agenda; or
(3) Issues a public notice stating that the matter has been returned to the staff for further consideration, which- ever occurs first.
[62 FR 15855, Apr. 3, 1997, as amended at 64 FR 68947, Dec. 9, 1999]
GENERAL EXEMPTIONS
§ 1.1204 Exempt ex parte presentations and proceedings.
(a) Exempt ex parte presentations. The following types of presentations are ex- empt from the prohibitions in re- stricted proceedings (§ 1.1208), the dis- closure requirements in permit-but-dis- close proceedings (§ 1.1206), and the pro- hibitions during the Sunshine Agenda period prohibition (§ 1.1203):
(1) The presentation is authorized by statute or by the Commission’s rules to be made without service, see, e.g., § 1.333(d), or involves the filing of re- quired forms;
(2) The presentation is made by or to the General Counsel and his or her staff and concerns judicial review of a matter that has been decided by the Commission;
(3) The presentation directly relates to an emergency in which the safety of life is endangered or substantial loss of property is threatened, provided that, if not otherwise submitted for the record, Commission staff promptly places the presentation or a summary of the presentation in the record and discloses it to other parties as appro- priate.
(4) The presentation involves a mili- tary or foreign affairs function of the United States or classified security in- formation;
(5) The presentation is to or from an agency or branch of the Federal Gov- ernment or its staff and involves a matter over which that agency or branch and the Commission share ju- risdiction provided that, any new fac- tual information obtained through such a presentation that is relied on by the Commission in its decision-making process will, if not otherwise submitted
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for the record, be disclosed by the Com- mission no later than at the time of the release of the Commission’s deci- sion;
(6) The presentation is to or from the United States Department of Justice or Federal Trade Commission and in- volves a telecommunications competi- tion matter in a proceeding which has not been designated for hearing and in which the relevant agency is not a party or commenter (in an informal rulemaking or Joint board proceeding) provided that, any new factual informa- tion obtained through such a presen- tation that is relied on by the Commis- sion in its decision-making process will be disclosed by the Commission no later than at the time of the release of the Commission’s decision;
NOTE 1 TO PARAGRAPH (a): Under para- graphs (a)(5) and (a)(6) of this section, infor- mation will be relied on and disclosure will be made only after advance coordination with the agency involved in order to ensure that the agency involved retains control over the timing and extent of any disclosure that may have an impact on that agency’s jurisdictional responsibilities. If the agency involved does not wish such information to be disclosed, the Commission will not dis- close it and will disregard it in its decision- making process, unless it fits within another exemption not requiring disclosure (e.g., for- eign affairs). The fact that an agency’s views are disclosed under paragraphs (a)(5) and (a)(6) does not preclude further discussions pursuant to, and in accordance with, the ex- emption.
(7) The presentation is between Com- mission staff and an advisory coordi- nating committee member with respect to the coordination of frequency as- signments to stations in the private land mobile services or fixed services as authorized by 47 U.S.C. 332;
(8) The presentation is a written presentation made by a listener or viewer of a broadcast station who is not a party under § 1.1202(d)(1), and the presentation relates to a pending appli- cation that has not been designated for hearing for a new or modified broad- cast station or license, for renewal of a broadcast station license or for assign- ment or transfer of control of a broad- cast permit or license;
(9) The presentation is made pursu- ant to an express or implied promise of confidentiality to protect an individual
from the possibility of reprisal, or there is a reasonable expectation that disclosure would endanger the life or physical safety of an individual;
(10) The presentation is requested by (or made with the advance approval of) the Commission or staff for the clari- fication or adduction of evidence, or for resolution of issues, including pos- sible settlement, subject to the fol- lowing limitations:
(i) This exemption does not apply to restricted proceedings designated for hearing;
(ii) In restricted proceedings not des- ignated for hearing, any new written information elicited from such request or a summary of any new oral informa- tion elicited from such request shall promptly be served by the person mak- ing the presentation on the other par- ties to the proceeding. Information re- lating to how a proceeding should or could be settled, as opposed to new in- formation regarding the merits, shall not be deemed to be new information for purposes of this section. The Com- mission or its staff may waive the serv- ice requirement if service would be too burdensome because the parties are nu- merous or because the materials relat- ing to such presentation are volumi- nous. If the service requirement is waived, copies of the presentation or summary shall be placed in the record of the proceeding and the Commission or its staff shall issue a public notice which states that copies of the presen- tation or summary are available for in- spection. The Commission or its staff may determine that service or public notice would interfere with the effec- tive conduct of an investigation and dispense with the service and public notice requirements;
(iii) If the presentation is made in a proceeding subject to permit-but-dis- close requirements, disclosure of any new written information elicited from such request or a summary of any new oral information elicited from such re- quest must be made in accordance with the requirements of § 1.1206(b), pro- vided, however, that the Commission or its staff may determine that disclo- sure would interfere with the effective conduct of an investigation and dis- pense with the disclosure requirement.
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As in paragraph (a)(10)(ii) of this sec- tion, information relating to how a proceeding should or could be settled, as opposed to new information regard- ing the merits, shall not be deemed to be new information for purposes of this section;
NOTE 2 TO PARAGRAPH (a): If the Commis- sion or its staff dispenses with the service or notice requirement to avoid interference with an investigation, a determination will be made in the discretion of the Commission or its staff as to when and how disclosure should be made if necessary. See Amendment of Subpart H, Part I, 2 FCC Rcd 6053, 6054 ¶¶ 10– 14 (1987).
(iv) If the presentation is made in a proceeding subject to the Sunshine pe- riod prohibition, disclosure must be made in accordance with the require- ments of § 1.1206(b) or by other ade- quate means of notice that the Com- mission deems appropriate;
(v) In situations where new informa- tion regarding the merits is disclosed during settlement discussions, and the Commission or staff intends that the product of the settlement discussions will be disclosed to the other parties or the public for comment before any ac- tion is taken, the Commission or staff in its discretion may defer disclosure of such new information until com- ment is sought on the settlement pro- posal or the settlement discussions are terminated.
(11) The presentation is an oral pres- entation in a restricted proceeding not designated for hearing requesting ac- tion by a particular date or giving rea- sons that a proceeding should be expe- dited other than the need to avoid ad- ministrative delay. A detailed sum- mary of the presentation shall prompt- ly be filed in the record and served by the person making the presentation on the other parties to the proceeding, who may respond in support or opposi- tion to the request for expedition, in- cluding by oral ex parte presentation, subject to the same service require- ment.
(12) The presentation is between Commission staff and:
(i) The administrator of the inter- state telecommunications relay serv- ices fund relating to administration of the telecommunications relay services fund pursuant to 47 U.S.C. 225;
(ii) The North American Numbering Plan Administrator or the North American Numbering Plan Billing and Collection Agent relating to the ad- ministration of the North American Numbering Plan pursuant to 47 U.S.C. 251(e);
(iii) The Universal Service Adminis- trative Company relating to the ad- ministration of universal service sup- port mechanisms pursuant to 47 U.S.C. 254; or
(iv) The Number Portability Admin- istrator relating to the administration of local number portability pursuant to 47 U.S.C. 251(b)(2) and (e); provided that the relevant administrator has not filed comments or otherwise partici- pated as a party in the proceeding.
(b) Exempt proceedings. Unless other- wise provided by the Commission or the staff pursuant to § 1.1200(a), ex parte presentations to or from Commission decision-making personnel are permis- sible and need not be disclosed with re- spect to the following proceedings, which are referred to as ‘‘exempt’’ pro- ceedings:
(1) A notice of inquiry proceeding; (2) A petition for rulemaking, except
for a petition requesting the allotment of a broadcast channel (see also § 1.1206(a)(1)), or other request that the Commission modify its rules, issue a policy statement or issue an interpre- tive rule, or establish a Joint Board;
(3) A tariff proceeding (including di- rectly associated waiver requests or re- quests for special permission) prior to it being set for investigation (see also § 1.1206(a)(4));
(4) A proceeding relating to prescrip- tion of common carrier depreciation rates under section 220(b) of the Com- munications Act prior to release of a public notice of specific proposed de- preciation rates (see also § 1.1206(a)(9));
(5) An informal complaint proceeding under 47 U.S.C. 208 and § 1.717 of this chapter or 47 U.S.C. 255 and either §§ 6.17 or 7.17 of this chapter; and
(6) A complaint against a cable oper- ator regarding its rates that is not filed on the standard complaint form required by § 76.951 of this chapter (FCC Form 329).
NOTES 1–3 TO PARAGRAPH (b): [Reserved] NOTE 4 TO PARAGRAPH (b): In the case of pe-
titions for rulemaking that seek Commission
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preemption of state or local regulatory au- thority, the petitioner must serve the origi- nal petition on any state or local govern- ment, the actions of which are specifically cited as a basis for requesting preemption. Service should be made on those bodies with- in the state or local governments that are le- gally authorized to accept service of legal documents in a civil context. Such pleadings that are not served will be dismissed without consideration as a defective pleading and treated as a violation of the ex parte rules unless the Commission determines that the matter should be entertained by making it part of the record under § 1.1212(d) and the parties are so informed.
[62 FR 15855, Apr. 3, 1997, as amended at 64 FR 63251, Nov. 19, 1999; 64 FR 68948, Dec. 9, 1999]
NON-RESTRICTED PROCEEDINGS
§ 1.1206 Permit-but-disclose pro- ceedings.
(a) Unless otherwise provided by the Commission or the staff pursuant to § 1.1200(a), until the proceeding is no longer subject to administrative recon- sideration or review or to judicial re- view, ex parte presentations (other than ex parte presentations exempt under § 1.1204(a)) to or from Commission deci- sion-making personnel are permissible in the following proceedings, which are referred to as permit-but-disclose pro- ceedings, provided that ex parte presen- tations to Commission decision-mak- ing personnel are disclosed pursuant to paragraph (b) of this section:
NOTE 1 TO PARAGRAPH (a): In the case of pe- titions for declaratory ruling that seek Com- mission preemption of state or local regu- latory authority and petitions for relief under 47 U.S.C. 332(c)(7)(B)(v), the petitioner must serve the original petition on any state or local government, the actions of which are specifically cited as a basis for request- ing preemption. Service should be made on those bodies within the state or local govern- ments that are legally authorized to accept service of legal documents in a civil context. Such pleadings that are not served will be dismissed without consideration as a defec- tive pleading and treated as a violation of the ex parte rules unless the Commission de- termines that the matter should be enter- tained by making it part of the record under § 1.1212(d) and the parties are so informed.
(1) An informal rulemaking pro- ceeding conducted under section 553 of the Administrative Procedure Act other than a proceeding for the allot-
ment of a broadcast channel, upon re- lease of a Notice of Proposed Rule- making (see also § 1.1204(b)(2));
(2) A proceeding involving a rule change, policy statement or interpre- tive rule adopted without a Notice of Proposed Rule Making upon release of the order adopting the rule change, policy statement or interpretive rule;
(3) A declaratory ruling proceeding; (4) A tariff proceeding which has been
set for investigation under section 204 or 205 of the Communications Act (in- cluding directly associated waiver re- quests or requests for special permis- sion) (see also § 1.1204(b)(4));
(5) Unless designated for hearing, a proceeding under section 214(a) of the Communications Act that does not also involve applications under Title III of the Communications Act (see also § 1.1208);
(6) Unless designated for hearing, a proceeding involving an application for a Cable Landing Act license that does not also involve applications under Title III of the Communications Act (see also § 1.1208);
(7) A proceeding involving a request for information filed pursuant to the Freedom of Information Act;
NOTE 2 TO PARAGRAPH (a): Where the re- quested information is the subject of a re- quest for confidentiality, the person filing the request for confidentiality shall be deemed a party.
(8) A proceeding before a Joint Board or a proceeding before the Commission involving a recommendation from a Joint Board;
(9) A proceeding conducted pursuant to section 220(b) of the Communica- tions Act for prescription of common carrier depreciation rates upon release of a public notice of specific proposed depreciation rates (see also § 1.1204(b)(4));
(10) A proceeding to prescribe a rate of return for common carriers under section 205 of the Communications Act; and
(11) A cable rate complaint pro- ceeding pursuant to section 623(c) of the Communications Act where the complaint is filed on FCC Form 329.
(12) A modification request filed pur- suant to § 64.1001 of this chapter;
(13) Applications by Bell Operating Companies to provide in-region,
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interLATA services pursuant to § 271(d) of the Communications Act; and
(14) Petitions for Commission pre- emption of authority to review inter- connection agreements under § 252(e)(5) of the Communications Act and peti- tions for preemption under § 253 of the Communications Act.
NOTE 3 TO PARAGRAPH (a): In a permit-but- disclose proceeding involving only one ‘‘party,’’ as defined in § 1.1202(d) of this sec- tion, the party and the Commission may freely make presentations to each other and need not comply with the disclosure require- ments of paragraph (b) of this section.
(b) The following disclosure require- ments apply to ex parte presentations in permit but disclose proceedings:
(1) Written presentations. A person who makes a written ex parte presen- tation subject to this section shall, no later than the next business day after the presentation, submit two copies of the presentation to the Commission’s secretary under separate cover for in- clusion in the public record. The pres- entation (and cover letter) shall clear- ly identify the proceeding to which it relates, including the docket number, if any, shall indicate that two copies have been submitted to the Secretary, and must be labeled as an ex parte presentation. If the presentation re- lates to more than one proceeding, two copies shall be filed for each pro- ceeding. Alternatively, in rulemaking proceedings governed by § 1.49(f), the person making the presentation may file one copy of the presentation elec- tronically; no additional paper copies need to be filed.
(2) Oral presentations. A person who makes an oral ex parte presentation subject to this section that presents data or arguments not already re- flected in that person’s written com- ments, memoranda or other filings in that proceeding shall, no later than the next business day after the presen- tation, submit to the Commission’s Secretary, an original and one copy of a memorandum which summarizes the new data or arguments. Except in pro- ceedings subject to § 1.49(f) in which pleadings are filed electronically, a copy of the memorandum must also be submitted to the Commissioners or Commission employees involved in the oral presentation. In proceedings gov-
erned by § 1.49(f), the person making the presentation may, alternatively, electronically file one copy of the memorandum, which will be available to Commissioners and Commission em- ployees involved in the presentation through the Commission’s electronic comment filing system. Memoranda must contain a summary of the sub- stance of the ex parte presentation and not merely a listing of the subjects dis- cussed. More than a one or two sen- tence description of the views and ar- guments presented is generally re- quired. The memorandum (and cover letter) shall clearly identify the pro- ceeding to which it relates, including the docket number, if any, shall indi- cate that an original and one copy have been submitted to the Secretary or that one copy has been filed electroni- cally, and must be labeled as an ex parte presentation. If the presentation relates to more than one proceeding, two copies of the memorandum (or an original and one copy) shall be filed for each proceeding.
NOTE 1 TO PARAGRAPH (b): Where, for exam- ple, presentations occur in the form of dis- cussion at a widely attended meeting, prepa- ration of a memorandum as specified in the rule might be cumbersome. Under these cir- cumstances, the rule may be satisfied by submitting a transcript or tape recording of the discussion as an alternative to a memo- randum.
(3) Notwithstanding paragraphs (b)(1) and (b)(2) of this section, in permit-but- disclose proceedings presentations made by members of Congress or their staffs or by an agency or branch of the Federal Government or its staff shall be treated as ex parte presentations only if the presentations are of sub- stantial significance and clearly in- tended to affect the ultimate decision. The Commission staff shall prepare a written summary of any such oral pres- entations and place them in the record in accordance with paragraph (b)(2) of this section and place any such written presentations in the record in accord- ance with paragraph (b)(1) of this sec- tion.
(4) Notice of ex parte presentations. The Commission’s Secretary or, in the case of non-docketed proceedings, the rel- evant Bureau or Office shall place in
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the public file or record of the pro- ceeding written ex parte presentations and memoranda reflecting oral ex parte presentations. The Secretary shall issue a public notice listing any writ- ten ex parte presentations or written summaries of oral ex parte presen- tations received by his or her office re- lating to any permit-but-disclose pro- ceeding. Such public notices should generally be released at least twice per week.
NOTE 2 TO PARAGRAPH (b): Interested per- sons should be aware that some ex parte fil- ings, for example, those not filed in accord- ance with the requirements of this paragraph (b), might not be placed on the referenced public notice. All ex parte presentations and memoranda filed under this section will be available for public inspection in the public file or record of the proceeding, and parties wishing to ensure awareness of all filings should review the public file or record.
NOTE 3 TO PARAGRAPH (b): As a matter of convenience, the Secretary may also list on the referenced public notices materials, even if not ex parte presentations, that are filed after the close of the reply comment period or, if the matter is on reconsideration, the reconsideration reply comment period.
[62 FR 15856, Apr. 3, 1997, as amended at 63 FR 24126, May 1, 1998; 64 FR 68948, Dec. 9, 1999; 66 FR 3501, Jan. 16, 2001]
RESTRICTED PROCEEDINGS
§ 1.1208 Restricted proceedings. Unless otherwise provided by the
Commission or its staff pursuant to § 1.1200(a) of this section, ex parte pres- entations (other than ex parte presen- tations exempt under § 1.1204(a) of this section) to or from Commission deci- sion-making personnel are prohibited in all proceedings not listed as exempt in § 1.1204(b) or permit-but-disclose in § 1.1206(a) of this section until the pro- ceeding is no longer subject to admin- istrative reconsideration or review or judicial review. Proceedings in which ex parte presentations are prohibited, referred to as ‘‘restricted’’ proceedings, include, but are not limited to, all pro- ceedings that have been designated for hearing, proceedings involving amend- ments to the broadcast table of allot- ments, applications for authority under Title III of the Communications Act, and all waiver proceedings (except for those directly associated with tariff filings).
NOTE 1 TO § 1.1208: In a restricted pro- ceeding involving only one ‘‘party,’’ as de- fined in § 1.1202(d), the party and the Com- mission may freely make presentations to each other because there is no other party to be served or with a right to have an oppor- tunity to be present. See § 1.1202(b). There- fore, to determine whether presentations are permissible in a restricted proceeding with- out service or notice and an opportunity for other parties to be present the definition of a ‘‘party’’ should be consulted.
Examples: After the filing of an uncontested application or waiver request, the applicant or other filer would be the sole party to the proceeding. The filer would have no other party to serve with or give notice of any presentations to the Commission, and such presentations would therefore not be ‘‘ex parte presentations’’ as defined by § 1.1202(b) and would not be prohibited. On the other hand, in the example given, be- cause the filer is a party, a third person who wished to make a presentation to the Com- mission concerning the application or waiver request would have to serve or notice the filer. Further, once the proceeding involved additional ‘‘parties’’ as defined by § 1.1202(d) (e.g., an opponent of the filer who served the opposition on the filer), the filer and other parties would have to serve or notice all other parties.
NOTE 2 TO § 1.1208: Consistent with § 1.1200(a), the Commission or its staff may determine that a restricted proceeding not designated for hearing involves primarily issues of broadly applicable policy rather than the rights and responsibilities of spe- cific parties and specify that the proceeding will be conducted in accordance with the provisions of § 1.1206 governing permit-but- disclose proceedings.
[62 FR 15857, Apr. 3, 1997, as amended at 64 FR 68948, Dec. 9, 1999]
PROHIBITION ON SOLICITATION OF PRESENTATIONS
§ 1.1210 Prohibition on solicitation of presentations.
No person shall solicit or encourage others to make any improper presen- tation under the provisions of this sec- tion.
[64 FR 68949, Dec. 9, 1999]
PROCEDURES FOR HANDLING OF PROHIBITED EX PARTE PRESENTATIONS
§ 1.1212 Procedures for handling of prohibited ex parte presentations.
(a) Commission personnel who be- lieve that an oral presentation which is being made to them or is about to be
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made to them is prohibited shall promptly advise the person initiating the presentation that it is prohibited and shall terminate the discussion.
(b) Commission personnel who re- ceive oral ex parte presentations which they believe are prohibited shall for- ward to the Office of General Counsel a statement containing the following in- formation:
(1) The name of the proceeding; (2) The name and address of the per-
son making the presentation and that person’s relationship (if any) to the parties to the proceeding;
(3) The date and time of the presen- tation, its duration, and the cir- cumstances under which it was made;
(4) A full summary of the substance of the presentation;
(5) Whether the person making the presentation persisted in doing so after being advised that the presentation was prohibited; and
(6) The date and time that the state- ment was prepared.
(c) Commission personnel who re- ceive written ex parte presentations which they believe are prohibited shall forward them to the Office of General Counsel. If the circumstances in which the presentation was made are not ap- parent from the presentation itself, a statement describing those cir- cumstances shall be submitted to the Office of General Counsel with the presentation.
(d) Prohibited written ex parte pres- entations and all documentation relat- ing to prohibited written and oral ex parte presentations shall be placed in a public file which shall be associated with but not made part of the record of the proceeding to which the presen- tations pertain. Such materials may be considered in determining the merits of a restricted proceeding only if they are made part of the record and the parties are so informed.
(e) If the General Counsel determines that an ex parte presentation or presen- tation during the Sunshine period is prohibited by this subpart, he or she shall notify the parties to the pro- ceeding that a prohibited presentation has occurred and shall serve on the parties copies of the presentation (if written) and any statements describing the circumstances of the presentation.
Service by the General Counsel shall not be deemed to cure any violation of the rules against prohibited ex parte presentations.
(f) If the General Counsel determines that service on the parties would be unduly burdensome because the parties to the proceeding are numerous, he or she may issue a public notice in lieu of service. The public notice shall state that a prohibited presentation has been made and may also state that the pres- entation and related materials are available for public inspection.
(g) The General Counsel shall forward a copy of any statement describing the circumstances in which the prohibited ex parte presentation was made to the person who made the presentation. Within ten days thereafter, the person who made the presentation may file with the General Counsel a sworn dec- laration regarding the presentation and the circumstances in which it was made. The General Counsel may serve copies of the sworn declaration on the parties to the proceeding.
(h) Where a restricted proceeding precipitates a substantial amount of correspondence from the general pub- lic, the procedures in paragraphs (c) through (g) of this section will not be followed with respect to such cor- respondence. The correspondence will be placed in a public file and be made available for public inspection.
[62 FR 15857, Apr. 3, 1997]
§ 1.1214 Disclosure of information con- cerning violations of this subpart.
Any party to a proceeding or any Commission employee who has sub- stantial reason to believe that any vio- lation of this subpart has been solic- ited, attempted, or committed shall promptly advise the Office of General Counsel in writing of all the facts and circumstances which are known to him or her.
[62 FR 15858, Apr. 3, 1997]
SANCTIONS
§ 1.1216 Sanctions. (a) Parties. Upon notice and hearing,
any party to a proceeding who directly or indirectly violates or causes the vio- lation of any provision of this subpart,
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or who fails to report the facts and cir- cumstances concerning any such viola- tion as required by this subpart, may be disqualified from further participa- tion in that proceeding. In proceedings other than a rulemaking, a party who has violated or caused the violation of any provision of this subpart may be required to show cause why his or her claim or interest in the proceeding should not be dismissed, denied, dis- regarded, or otherwise adversely af- fected. In any proceeding, such alter- native or additional sanctions as may be appropriate may also be imposed.
(b) Commission personnel. Commission personnel who violate provisions of this subpart may be subject to appro- priate disciplinary or other remedial action as provided in part 19 of this chapter.
(c) Other persons. Such sanctions as may be appropriate under the cir- cumstances shall be imposed upon other persons who violate the provi- sions of this subpart.
[62 FR 15858, Apr. 3, 1997]
Subpart I—Procedures Imple- menting the National Environ- mental Policy Act of 1969
SOURCE: 51 FR 15000, Apr. 22, 1986, unless otherwise noted.
§ 1.1301 Basis and purpose. The provisions of this subpart imple-
ment Subchapter I of the National En- vironmental Policy Act of 1969, as amended, 42 U.S.C. 4321–4335.
§ 1.1302 Cross-reference; Regulations of the Council on Environmental Quality.
A further explanation regarding im- plementation of the National Environ- mental Policy Act is provided by the regulations issued by the Council on Environmental Quality, 40 CFR 1500– 1508.28.
§ 1.1303 Scope. The provisions of this subpart shall
apply to all Commission actions that may or will have a significant impact on the quality of the human environ- ment. To the extent that other provi- sions of the Commission’s rules and
regulations are inconsistent with the subpart, the provisions of this subpart shall govern.
[55 FR 20396, May 16, 1990]
§ 1.1304 Information and assistance. For general information and assist-
ance concerning the provisions of this subpart, the Office of General Counsel may be contacted, (202) 632–6990. For more specific information, the Bureau responsible for processing a specific ap- plication should be contacted.
§ 1.1305 Actions which normally will have a significant impact upon the environment, for which Environ- mental Impact Statements must be prepared.
Any Commission action deemed to have a significant effect upon the qual- ity of the human environment requires the preparation of a Draft Environ- mental Impact Statement (DEIS) and Final Environmental Impact State- ment (FEIS) (collectively referred to as EISs) (see §§ 1.1314, 1.1315 and 1.1317). The Commission has reviewed rep- resentative actions and has found no common pattern which would enable it to specify actions that will thus auto- matically require EISs.
NOTE: Our current application forms refer applicants to § 1.1305 to determine if their proposals are such that the submission of en- vironmental information is required (see § 1.1311). Until the application forms are re- vised to reflect our new environmental rules, applicants should refer to § 1.1307. Section 1.1307 now delineates those actions for which applicants must submit environmental infor- mation.
§ 1.1306 Actions which are categori- cally excluded from environmental processing.
(a) Except as provided in § 1.1307 (c) and (d), Commission actions not cov- ered by § 1.1307 (a) and (b) are deemed individually and cumulatively to have no significant effect on the quality of the human environment and are cat- egorically excluded from environ- mental processing.
(b) Specifically, any Commission ac- tion with respect to any new applica- tion, or minor or major modifications of existing or authorized facilities or equipment, will be categorically ex- cluded, provided such proposals do not:
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(1) Involve a site location specified under § 1.1307(a) (1)–(7), or
(2) Involve high intensity lighting under § 1.1307(a)(8).
(3) Result in human exposure to ra- diofrequency radiation in excess of the applicable safety standards specified in § 1.1307(b).
NOTE 1: The provisions of § 1.1307(a) of this part requiring the preparation of EAs do not encompass the mounting of antenna(s) on an existing building or antenna tower unless § 1.1307(a)(4) of this part is applicable. Such antennas are subject to § 1.1307(b) of this part and require EAs if their construction would result in human exposure to radiofrequency radiation in excess of the applicable health and safety guidelines cited in § 1.1307(b) of this part. The provisions of § 1.1307 (a) and (b) of this part do not encompass the installa- tion of aerial wire or cable over existing aer- ial corridors of prior or permitted use or the underground installation of wire or cable along existing underground corridors of prior or permitted use, established by the appli- cant or others. The use of existing buildings, towers or corridors is an environmentally de- sirable alternative to the construction of new facilities and is encouraged. The provi- sions of § 1.1307(a) and (b) of this part do not encompass the construction of new sub- marine cable systems.
NOTE 2: The specific height of an antenna tower or supporting structure, as well as the specific diameter of a satellite earth station, in and of itself, will not be deemed sufficient to warrant environmental processing, see §§ 1.1307 and 1.1308.
NOTE 3: The construction of an antenna tower or supporting structure in an estab- lished ‘‘antenna farm’’: (i.e., an area in which similar antenna towers are clustered, whether or not such area has been officially designated as an antenna farm), will be cat- egorically excluded unless one or more of the antennas to be mounted on the tower or struc- ture are subject to the provisions of § 1.1307(b) and the additional radiofrequency radiation from the antenna(s) on the new tower or struc- ture would cause human exposure in excess of the applicable health and safety guidelines cited in § 1.1307(b).
[51 FR 15000, Apr. 22, 1986, as amended at 51 FR 18889, May 23, 1986; 53 FR 28393, July 28, 1988; 56 FR 13414, Apr. 2, 1991; 64 FR 19061, Apr. 19, 1999]
§ 1.1307 Actions that may have a sig- nificant environmental effect, for which Environmental Assessments (EAs) must be prepared.
(a) Commission actions with respect to the following types of facilities may significantly affect the environment
and thus require the preparation of EAs by the applicant (see §§ 1.1308 and 1.1311) and may require further Com- mission environmental processing (see §§ 1.1314, 1.1315 and 1.1317):
(1) Facilities that are to be located in an officially designated wilderness area.
(2) Facilities that are to be located in an officially designated wildlife pre- serve.
(3) Facilities that: (i) May affect list- ed threatened or endangered species or designated critical habitats; or (ii) are likely to jeopardize the continued ex- istence of any proposed endangered or threatened species or likely to result in the destruction or adverse modifica- tion of proposed critical habitats, as determined by the Secretary of the In- terior pursuant to the Endangered Spe- cies Act of 1973.
NOTE: The list of endangered and threat- ened species is contained in 50 CFR 17.11, 17.22, 222.23(a) and 227.4. The list of des- ignated critical habitats is contained in 50 CFR 17.95, 17.96 and part 226. To ascertain the status of proposed species and habitats, in- quiries may be directed to the Regional Di- rector of the Fish and Wildlife Service, De- partment of the Interior.
(4) Facilities that may affect dis- tricts, sites, buildings, structures or objects, significant in American his- tory, architecture, archeology, engi- neering or culture, that are listed, or are eligible for listing, in the National Register of Historic Places. (See 16 U.S.C. 470w(5); 36 CFR part 60 and 800.) To ascertain whether a proposed action may affect properties that are listed or eligible for listing in the National Reg- ister of Historic Places, an applicant shall follow the procedures set forth in the rules of the Advisory Council on Historic Preservation, 36 CFR part 800, as modified and supplemented by the Nationwide Programmatic Agreement for the Collocation of Wireless Anten- nas, Appendix B to Part 1 of this Chap- ter, and the Nationwide Programmatic Agreement Regarding the Section 106 National Historic Preservation Act Re- view Process, Appendix C to Part 1 of this Chapter.
(5) Facilities that may affect Indian religious sites.
(6) Facilities to be located in a flood Plain (See Executive Order 11988.)
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(7) Facilities whose construction will involve significant change in surface features (e.g., wetland fill, deforest- ation or water diversion). (In the case of wetlands on Federal property, see Executive Order 11990.)
(8) Antenna towers and/or supporting structures that are to be equipped with high intensity white lights which are to be located in residential neighbor- hoods, as defined by the applicable zon- ing law.
(b) In addition to the actions listed in paragraph (a) of this section, Commis- sion actions granting construction per- mits, licenses to transmit or renewals thereof, equipment authorizations or modifications in existing facilities, re- quire the preparation of an Environ- mental Assessment (EA) if the par- ticular facility, operation or trans- mitter would cause human exposure to levels of radiofrequency radiation in excess of the limits in §§ 1.1310 and 2.1093 of this chapter. Applications to the Commission for construction per- mits, licenses to transmit or renewals thereof, equipment authorizations or modifications in existing facilities must contain a statement confirming compliance with the limits unless the facility, operation, or transmitter is categorically excluded, as discussed below. Technical information showing the basis for this statement must be submitted to the Commission upon re- quest. Such compliance statements may be omitted from license applica- tions for transceivers subject to the certification requirement in § 25.129 of this chapter.
(1) The appropriate exposure limits in §§ 1.1310 and 2.1093 of this chapter are generally applicable to all facilities, operations and transmitters regulated by the Commission. However, a deter-
mination of compliance with the expo- sure limits in § 1.1310 or § 2.1093 of this chapter (routine environmental evalua- tion), and preparation of an EA if the limits are exceeded, is necessary only for facilities, operations and transmit- ters that fall into the categories listed in table 1, or those specified in para- graph (b)(2) of this section. All other facilities, operations and transmitters are categorically excluded from mak- ing such studies or preparing an EA, except as indicated in paragraphs (c) and (d) of this section. For purposes of table 1, building-mounted antennas means antennas mounted in or on a building structure that is occupied as a workplace or residence. The term power in column 2 of table 1 refers to total operating power of the transmitting operation in question in terms of effec- tive radiated power (ERP), equivalent isotropically radiated power (EIRP), or peak envelope power (PEP), as defined in § 2.1 of this chapter. For the case of the Cellular Radiotelephone Service, subpart H of part 22 of this chapter; the Personal Communications Service, part 24 of this chapter and the Special- ized Mobile Radio Service, part 90 of this chapter, the phrase total power of all channels in column 2 of table 1 means the sum of the ERP or EIRP of all co-located simultaneously oper- ating transmitters owned and operated by a single licensee. When applying the criteria of table 1, radiation in all di- rections should be considered. For the case of transmitting facilities using sectorized transmitting antennas, ap- plicants and licensees should apply the criteria to all transmitting channels in a given sector, noting that for a highly directional antenna there is relatively little contribution to ERP or EIRP summation for other directions.
TABLE 1—TRANSMITTERS, FACILITIES AND OPERATIONS SUBJECT TO ROUTINE ENVIRONMENTAL EVALUATION
Service (title 47 CFR rule part) Evaluation required if:
Experimental Radio Services (part 5) ........................... Power > 100 W ERP (164 W EIRP). Paging and Radiotelephone Service (subpart E of part
22). Non-building-mounted antennas: height above ground level to lowest
point of antenna < 10 m and power > 1000 W ERP (1640 W EIRP). Building-mounted antennas: power > 1000 W ERP (1640 W EIRP).
Cellular Radiotelephone Service (subpart H of part 22) Non-building-mounted antennas: height above ground level to lowest point of antenna < 10 m and total power of all channels > 1000 W ERP (1640 W EIRP).
Building-mounted antennas: total power of all channels > 1000 W ERP (1640 W EIRP).
Personal Communications Services (part 24) .............. (1) Narrowband PCS (subpart D):
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TABLE 1—TRANSMITTERS, FACILITIES AND OPERATIONS SUBJECT TO ROUTINE ENVIRONMENTAL EVALUATION—Continued
Service (title 47 CFR rule part) Evaluation required if:
Non-building-mounted antennas: height above ground level to lowest point of antenna < 10 m and total power of all channels > 1000 W ERP (1640 W EIRP). Building-mounted antennas: total power of all channels > 1000 W ERP (1640 W EIRP).
(2) Broadband PCS (subpart E): Non-building-mounted antennas: height above ground level to lowest point of antenna < 10 m and total power of all channels > 2000 W ERP (3280 W EIRP). Building-mounted antennas: total power of all channels > 2000 W ERP (3280 W EIRP).
Satellite Communications Services (part 25) ................ All included. In addition, for NGSO subscriber equipment, licensees are required to
attach a label to subscriber transceiver antennas that: (1) provides adequate notice regarding potential radiofrequency safe- ty hazards, e.g., information regarding the safe minimum separation distance required between users and transceiver antennas; and (2) references the applicable FCC-adopted limits for radiofrequency exposure specified in § 1.1310 of this chapter.
Miscellaneous Wireless Communications Services (part 27 except subpart M).
(1) For the 1390–1392 MHz, 1392–1395 MHz, 1432–1435 MHz, 1670– 1675 MHz, and 2385–2390 MHz bands: Non-building-mounted antennas: height above ground level to lowest point of antenna < 10 m and total power of all channels > 2000 W ERP (3280 W EIRP). Building-mounted antennas: total power of all channels > 2000 W ERP (3280 W EIRP).
(2) For the 698–746 MHz, 746–764 MHz, 776–794 MHz, 2305–2320 MHz, and 2345–2360 MHz bands: Total power of all channels > 1000 W ERP (1640 W EIRP).
Broadband Radio Service and Educational Broadband Service (subpart M of part 27).
Non-building-mounted antennas: height above ground level to lowest point of antenna < 10 m and power > 1640 W EIRP.
Building-mounted antennas: power > 1640 W EIRP. BRS and EBS licensees are required to attach a label to subscriber
transceiver or transverter antennas that: (1) provides adequate notice regarding potential radiofrequency safety
hazards, e.g., information regarding the safe minimum separation dis- tance required between users and transceiver antennas; and
(2) references the applicable FCC-adopted limits for radiofrequency ex- posure specified in § 1.1310.
Radio Broadcast Services (part 73) .............................. All included. Experimental Radio, Auxiliary, Special Broadcast and
Other Program Distributional Services (part 74). Subparts A, G, L: power > 100 W ERP.
Stations in the Maritime Services (part 80) .................. Ship earth stations only. Private Land Mobile Radio Services Paging Oper-
ations (subpart P of part 90). Non-building-mounted antennas: height above ground level to lowest
point of antenna < 10 m and power > 1000 W ERP (1640 W EIRP). Building-mounted antennas: power > 1000 W ERP (1640 W EIRP).
Private Land Mobile Radio Services Specialized Mo- bile Radio (subpart S of part 90).
Non-building-mounted antennas: height above ground level to lowest point of antenna < 10 m and total power of all channels > 1000 W ERP (1640 W EIRP).
Building-mounted antennas: Total power of all channels > 1000 W ERP (1640 W EIRP).
Amateur Radio Service (part 97) .................................. Transmitter output power > levels specified in § 97.13(c)(1) of this chap- ter.
Local Multipoint Distribution Service (subpart L of part 101) and 24 GHz (subpart G of part 101).
Non-building-mounted antennas: height above ground level to lowest point of antenna < 10 m and power > 1640 W EIRP.
Building-mounted antennas: power > 1640 W EIRP. LMDS and 24 GHz Service licensees are required to attach a label to
subscriber transceiver antennas that: (1) provides adequate notice regarding potential radiofrequency safe- ty hazards, e.g., information regarding the safe minimum separation distance required between users and transceiver antennas; and (2) references the applicable FCC-adopted limits for radiofrequency exposure specified in § 1.1310.
70/80/90 GHz Bands (subpart Q of part 101) .............. Non-building-mounted antennas: height above ground level to lowest point of antenna < 10 m and power > 1640 W EIRP.
Building-mounted antennas: power > 1640 W EIRP. Licensees are required to attach a label to transceiver antennas that:
(1) provides adequate notice regarding potential radiofrequency safe- ty hazards, e.g., information regarding the safe minimum separation distance required between users and transceiver antennas; and
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TABLE 1—TRANSMITTERS, FACILITIES AND OPERATIONS SUBJECT TO ROUTINE ENVIRONMENTAL EVALUATION—Continued
Service (title 47 CFR rule part) Evaluation required if:
(2) references the applicable FCC-adopted limits for radiofrequency exposure specified in § 1.1310.
(2) Mobile and portable transmitting devices that operate in the Cellular Ra- diotelephone Service, the Personal Communications Services (PCS), the Satellite Communications Services, the Wireless Communications Service, the Maritime Services (ship earth sta- tions only), the Specialized Mobile Radio Service, and the 3650MHz Wire- less Broadband Service authorized under Subpart H of parts 22, 24, 25, 27, 80, and 90 of this chapter are subject to routine environmental evaluation for RF exposure prior to equipment au- thorization or use, as specified in §§ 2.1091 and 2.1093 of this chapter. Unli- censed PCS, unlicensed NII and milli- meter wave devices are also subject to routine environmental evaluation for RF exposure prior to equipment au- thorization or use, as specified in §§ 15.253(f), 15.255(g), 15.319(i), and 15.407(f) of this chapter. Portable trans- mitting equipment for use in the Wire- less Medical Telemetry Service (WMTS) is subject to routine environ- ment evaluation as specified in §§ 2.1093 and 5.1125 of this chapter. Equipment authorized for use in the Medical De- vice Radiocommunication Service (MedRadio) as a medical implant or body-worn transmitter (as defined in Appendix 1 to Subpart E of part 95 of this chapter) is subject to routine envi- ronmental evaluation for RF exposure prior to equipment authorization, as specified in § 2.1093 of this chapter by fi- nite difference time domain computa- tional modeling or laboratory measure- ment techniques. Where a showing is based on computational modeling, the Commission retains the discretion to request that specific absorption rate measurement data be submitted. All other mobile, portable, and unlicensed transmitting devices are categorically excluded from routine environmental evaluation for RF exposure under §§ 2.1091, 2.1093 of this chapter except as specified in paragraphs (c) and (d) of this section.
(3) In general, when the guidelines specified in § 1.1310 are exceeded in an accessible area due to the emissions from multiple fixed transmitters, ac- tions necessary to bring the area into compliance are the shared responsi- bility of all licensees whose transmit- ters produce, at the area in question, power density levels that exceed 5% of the power density exposure limit appli- cable to their particular transmitter or field strength levels that, when squared, exceed 5% of the square of the electric or magnetic field strength limit applicable to their particular transmitter. Owners of transmitter sites are expected to allow applicants and licensees to take reasonable steps to comply with the requirements con- tained in § 1.1307(b) and, where feasible, should encourage co-location of trans- mitters and common solutions for con- trolling access to areas where the RF exposure limits contained in § 1.1310 might be exceeded.
(i) Applicants for proposed (not oth- erwise excluded) transmitters, facili- ties or modifications that would cause non-compliance with the limits speci- fied in § 1.1310 at an accessible area pre- viously in compliance must submit an EA if emissions from the applicant’s transmitter or facility would result, at the area in question, in a power density that exceeds 5% of the power density exposure limit applicable to that trans- mitter or facility or in a field strength that, when squared, exceeds 5% of the square of the electric or magnetic field strength limit applicable to that trans- mitter or facility.
(ii) Renewal applicants whose (not otherwise excluded) transmitters or fa- cilities contribute to the field strength or power density at an accessible area not in compliance with the limits spec- ified in § 1.1310 must submit an EA if emissions from the applicant’s trans- mitter or facility results, at the area in question, in a power density that ex- ceeds 5% of the power density exposure
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limit applicable to that transmitter or facility or in a field strength that, when squared, exceeds 5% of the square of the electric or magnetic field strength limit applicable to that trans- mitter of facility.
(4) Transition Provisions. Applications filed with the Commission prior to Oc- tober 15, 1997 (or January 1, 1998, for the Amateur Radio Service only), for construction permits, licenses to trans- mit or renewals thereof, modifications in existing facilities or other author- izations or renewals thereof require the preparation of an Environmental As- sessment if the particular facility, op- eration or transmitter would cause human exposure to levels of radio- frequency radiation that are in excess of the requirements contained in para- graphs (b)(4)(i) through (b)(4)(iii) of this section. In accordance with § 1.1312, if no new application or Com- mission action is required for a li- censee to construct a new facility or physically modify an existing facility, e.g., geographic area licensees, and construction begins on or after October 15, 1997, the licensee will be required to prepare an Environmental Assessment if construction or modification of the facility would not comply with the pro- visions of paragraph (b)(1) of this sec- tion. These transition provisions do not apply to applications for equip- ment authorization or use for mobile, portable and unlicensed devices as specified in paragraph (b)(2) of this sec- tion.
(i) For facilities and operations li- censed or authorized under parts 5, 21 (subpart K), 25, 73, 74 (subparts A, G, I, and L), and 80 of this chapter, the ‘‘Radio Frequency Protection Guides’’ recommended in ‘‘American National Standard Safety Levels with Respect to Human Exposure to Radio Fre- quency Electromagnetic Fields, 300 kHz to 100 GHz’’, (ANSI C95.1–1982), issued by the American National Standards Institute (ANSI) and copy- right 1982 by the Institute of Electrical and Electronics Engineers, Inc., New York, New York shall apply. With re- spect to subpart K of part 21 and sub- part I of part 74 of this chapter, these requirements apply only to multipoint distribution service and instructional television fixed service stations trans-
mitting with an equivalent isotropically radiated power (EIRP) in excess of 200 watts. With respect to subpart L of part 74 of this chapter, these requirements apply only to FM booster and translator stations trans- mitting with an effective radiated power (ERP) in excess of 100 watts. With respect to part 80 of this chapter, these requirements apply only to ship earth stations.
(ii) For facilities and operations li- censed or authorized under part 24 of this chapter, licensees and manufactur- ers are required to ensure that their fa- cilities and equipment comply with IEEE C95.1–1991 (ANSI/IEEE C95.1–1992), ‘‘Safety Levels With Respect to Human Exposure to Radio Frequency Electro- magnetic Fields, 3 kHz to 300 GHz.’’ Measurement methods are specified in IEEE C95.3–1991, ‘‘Recommended Prac- tice for the Measurement of Poten- tially Hazardous Electromagnetic Fields—RF and Microwave.’’ Copies of these standards are available from IEEE Standards Board, 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855– 1331. Telephone: 1–800–678–4333. The lim- its for both ‘‘controlled’’ and ‘‘uncon- trolled’’ environments, as defined by IEEE C95.1–1991, will apply to all PCS base and mobile stations, as appro- priate.
(iii) Applications for all other types of facilities and operations are cat- egorically excluded from routine RF radiation evaluation except as provided in paragraphs (c) and (d) of this sec- tion.
(5) Existing transmitting facilities, de- vices and operations: All existing trans- mitting facilities, operations and de- vices regulated by the Commission must be in compliance with the re- quirements of paragraphs (b)(1) through (b)(3) of this section by Sep- tember 1, 2000, or, if not in compliance, file an Environmental Assessment as specified in § 1.1311.
(c) If an interested person alleges that a particular action, otherwise cat- egorically excluded, will have a signifi- cant environmental effect, the person shall submit to the Bureau responsible for processing that action a written pe- tition setting forth in detail the rea- sons justifying or circumstances neces- sitating environmental consideration
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in the decision-making process. (See § 1.1313). The Bureau shall review the petition and consider the environ- mental concerns that have been raised. If the Bureau determines that the ac- tion may have a significant environ- mental impact, the Bureau will require the applicant to prepare an EA (see §§ 1.1308 and 1.1311), which will serve as the basis for the determination to pro- ceed with or terminate environmental processing.
(d) If the Bureau responsible for proc- essing a particular action, otherwise categorically excluded, determines that the proposal may have a signifi- cant environmental impact, the Bu- reau, on its own motion, shall require the applicant to submit an EA. The Bu- reau will review and consider the EA as in paragraph (c) of this section.
(e) No State or local government or instrumentality thereof may regulate the placement, construction, and modi- fication of personal wireless service fa- cilities on the basis of the environ- mental effects of radio frequency emis- sions to the extent that such facilities comply with the regulations contained in this chapter concerning the environ- mental effects of such emissions. For purposes of this paragraph:
(1) The term personal wireless service means commercial mobile services, un- licensed wireless services, and common carrier wireless exchange access serv- ices;
(2) The term personal wireless service facilities means facilities for the provi- sion of personal wireless services;
(3) The term unlicensed wireless serv- ices means the offering of tele- communications services using duly authorized devices which do not re- quire individual licenses, but does not mean the provision of direct-to-home satellite services; and
(4) The term direct-to-home satellite services means the distribution or broadcasting of programming or serv- ices by satellite directly to the sub- scriber’s premises without the use of ground receiving or distribution equip- ment, except at the subscriber’s prem- ises or in the uplink process to the sat- ellite.
[51 FR 15000, Apr. 22, 1986]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 1.1307, see the List of CFR
Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
§ 1.1308 Consideration of environ- mental assessments (EAs); findings of no significant impact.
(a) Applicants shall prepare EAs for actions that may have a significant en- vironmental impact (see § 1.1307). An EA is described in detail in § 1.1311 of this part of the Commission rules.
(b) The EA is a document which shall explain the environmental con- sequences of the proposal and set forth sufficient analysis for the Bureau or the Commission to reach a determina- tion that the proposal will or will not have a significant environmental ef- fect. To assist in making that deter- mination, the Bureau or the Commis- sion may request further information from the applicant, interested persons, and agencies and authorities which have jurisdiction by law or which have relevant expertise.
NOTE: With respect to actions specified under § 1.1307 (a)(3) and (a)(4), the Commis- sion shall solicit and consider the comments of the Department of Interior, and the State Historic Preservation Officer and the Advi- sory Council on Historic Preservation, re- spectively, in accordance with their estab- lished procedures. See Interagency Coopera- tion—Endangered Species Act of 1973, as amended, 50 CFR part 402; Protection of His- toric and Cultural Properties, 36 CFR part 800. In addition, when an action interferes with or adversely affects an American Indian tribe’s religious site, the Commission shall solicit the views of that American Indian tribe. See § 1.1307(a)(5).
(c) If the Bureau or the Commission determines, based on an independent review of the EA and any applicable mandatory consultation requirements imposed upon Federal agencies (see note above), that the proposal will have a significant environmental im- pact upon the quality of the human en- vironment, it will so inform the appli- cant. The applicant will then have an opportunity to amend its application so as to reduce, minimize, or eliminate environmental problems. See § 1.1309. If the environmental problem is not eliminated, the Bureau will publish in the FEDERAL REGISTER a Notice of In- tent (see § 1.1314) that EISs will be pre- pared (see §§ 1.1315 and 1.1317), or
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(d) If the Bureau or Commission de- termines, based on an independent re- view of the EA, and any mandatory consultation requirements imposed upon Federal agencies (see the note to paragraph (b) of this section), that the proposal would not have a significant impact, it will make a finding of no significant impact. Thereafter, the ap- plication will be processed without fur- ther documentation of environmental effect. Pursuant to CEQ regulations, see 40 CFR 1501.4 and 1501.6, the appli- cant must provide the community no- tice of the Commission’s finding of no significant impact.
[51 FR 15000, Apr. 22, 1986; 51 FR 18889, May 23, 1986, as amended at 53 FR 28394, July 28, 1988]
§ 1.1309 Application amendments.
Applicants are permitted to amend their applications to reduce, minimize or eliminate potential environmental problems. As a routine matter, an ap- plicant will be permitted to amend its application within thirty (30) days after the Commission or the Bureau in- forms the applicant that the proposal will have a significant impact upon the quality of the human environment (see § 1.1308(c)). The period of thirty (30) days may be extended upon a showing of good cause.
§ 1.1310 Radiofrequency radiation ex- posure limits.
The criteria listed in table 1 shall be used to evaluate the environmental im- pact of human exposure to radio- frequency (RF) radiation as specified in § 1.1307(b), except in the case of port- able devices which shall be evaluated according to the provisions of § 2.1093 of this chapter. Further information on evaluating compliance with these lim- its can be found in the FCC’s OST/OET Bulletin Number 65, ‘‘Evaluating Com- pliance with FCC-Specified Guidelines for Human Exposure to Radiofrequency Radiation.’’
NOTE TO INTRODUCTORY PARAGRAPH: These limits are generally based on recommended exposure guidelines published by the Na- tional Council on Radiation Protection and Measurements (NCRP) in ‘‘Biological Effects and Exposure Criteria for Radiofrequency Electromagnetic Fields,’’ NCRP Report No. 86, Sections 17.4.1, 17.4.1.1, 17.4.2 and 17.4.3. Copyright NCRP, 1986, Bethesda, Maryland 20814. In the frequency range from 100 MHz to 1500 MHz, exposure limits for field strength and power density are also generally based on guidelines recommended by the American National Standards Institute (ANSI) in Sec- tion 4.1 of ‘‘IEEE Standard for Safety Levels with Respect to Human Exposure to Radio Frequency Electromagnetic Fields, 3 kHz to 300 GHz,’’ ANSI/IEEE C95.1–1992, Copyright 1992 by the Institute of Electrical and Elec- tronics Engineers, Inc., New York, New York 10017.
TABLE 1—LIMITS FOR MAXIMUM PERMISSIBLE EXPOSURE (MPE)
Frequency range (MHz)
Electric field strength
(V/m)
Magnetic field strength
(A/m)
Power density (mW/cm2)
Averaging time (minutes)
(A) Limits for Occupational/Controlled Exposures
0.3–3.0 .......................................................... 614 1.63 *(100) 6 3.0–30 ........................................................... 1842/f 4.89/f *(900/f2) 6 30–300 .......................................................... 61.4 0.163 1.0 6 300–1500 ...................................................... .............................. .............................. f/300 6 1500–100,000 ............................................... .............................. .............................. 5 6
(B) Limits for General Population/Uncontrolled Exposure
0.3–1.34 ........................................................ 614 1.63 *(100) 30 1.34–30 ......................................................... 824/f 2.19/f *(180/f2) 30 30–300 .......................................................... 27.5 0.073 0.2 30 300–1500 ...................................................... .............................. .............................. f/1500 30 1500–100,000 ............................................... .............................. .............................. 1.0 30
f = frequency in MHz * = Plane-wave equivalent power density NOTE 1 TO TABLE 1: Occupational/controlled limits apply in situations in which persons are exposed as a consequence of their
employment provided those persons are fully aware of the potential for exposure and can exercise control over their exposure. Limits for occupational/controlled exposure also apply in situations when an individual is transient through a location where occu- pational/controlled limits apply provided he or she is made aware of the potential for exposure.
NOTE 2 TO TABLE 1: General population/uncontrolled exposures apply in situations in which the general public may be ex- posed, or in which persons that are exposed as a consequence of their employment may not be fully aware of the potential for exposure or can not exercise control over their exposure.
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[61 FR 41016, Aug. 7, 1996]
§ 1.1311 Environmental information to be included in the environmental assessment (EA).
(a) The applicant shall submit an EA with each application that is subject to environmental processing (see § 1.1307). The EA shall contain the following in- formation:
(1) For antenna towers and satellite earth stations, a description of the fa- cilities as well as supporting structures and appurtenances, and a description of the site as well as the surrounding area and uses. If high intensity white light- ing is proposed or utilized within a res- idential area, the EA must also address the impact of this lighting upon the residents.
(2) A statement as to the zoning clas- sification of the site, and communica- tions with, or proceedings before and determinations (if any) made by zon- ing, planning, environmental or other local, state or Federal authorities on matters relating to environmental ef- fect.
(3) A statement as to whether con- struction of the facilities has been a source of controversy on environ- mental grounds in the local commu- nity.
(4) A discussion of environmental and other considerations which led to the selection of the particular site and, if relevant, the particular facility; the nature and extent of any unavoidable adverse environmental effects, and any alternative sites or facilities which have been or might reasonably be con- sidered.
(5) Any other information that may be requested by the Bureau or Commis- sion.
(6) If endangered or threatened spe- cies or their critical habitats may be affected, the applicant’s analysis must utilize the best scientific and commer- cial data available, see 50 CFR 402.14(c).
(b) The information submitted in the EA shall be factual (not argumentative or conclusory) and concise with suffi- cient detail to explain the environ- mental consequences and to enable the Commission or Bureau, after an inde- pendent review of the EA, to reach a determination concerning the pro- posal’s environmental impact, if any.
The EA shall deal specifically with any feature of the site which has special en- vironmental significance (e.g., wilder- ness areas, wildlife preserves, natural migration paths for birds and other wildlife, and sites of historic, architec- tural, or archeological value). In the case of historically significant sites, it shall specify the effect of the facilities on any district, site, building, struc- ture or object listed, or eligible for list- ing, in the National Register of His- toric Places. It shall also detail any substantial change in the character of the land utilized (e.g., deforestation, water diversion, wetland fill, or other extensive change of surface features). In the case of wilderness areas, wildlife preserves, or other like areas, the statement shall discuss the effect of any continuing pattern of human in- trusion into the area (e.g., necessitated by the operation and maintenance of the facilities).
(c) The EA shall also be accompanied with evidence of site approval which has been obtained from local or Fed- eral land use authorities.
(d) To the extent that such informa- tion is submitted in another part of the application, it need not be duplicated in the EA, but adequate cross-reference to such information shall be supplied.
(e) An EA need not be submitted to the Commission if another agency of the Federal Government has assumed responsibility for determining whether of the facilities in question will have a significant effect on the quality of the human environment and, if it will, for invoking the environmental impact statement process.
[51 FR 15000, Apr. 22, 1986, as amended at 51 FR 18889, May 23, 1986; 53 FR 28394, July 28, 1988]
§ 1.1312 Facilities for which no preconstruction authorization is re- quired.
(a) In the case of facilities for which no Commission authorization prior to construction is required by the Com- mission’s rules and regulations the li- censee or applicant shall initially as- certain whether the proposed facility may have a significant environmental impact as defined in § 1.1307 of this part
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or is categorically excluded from envi- ronmental processing under § 1.1306 of this part.
(b) If a facility covered by paragraph (a) of this section may have a signifi- cant environmental impact, the infor- mation required by § 1.1311 of this part shall be submitted by the licensee or applicant and ruled on by the Commis- sion, and environmental processing (if invoked) shall be completed, see § 1.1308 of this part, prior to the initiation of construction of the facility.
(c) If a facility covered by paragraph (a) of this section is categorically ex- cluded from environmental processing, the licensee or applicant may proceed with construction and operation of the facility in accordance with the applica- ble licensing rules and procedures.
(d) If, following the initiation of con- struction under this section, the li- censee or applicant discovers that the proposed facility may have a signifi- cant environmental effect, it shall im- mediately cease construction which may have that effect, and submit the information required by § 1.1311 of this part. The Commission shall rule on that submission and complete further environmental processing (if invoked), see § 1.1308 of this part, before such con- struction is resumed.
(e) Paragraphs (a) through (d) of this section shall not apply to the construc- tion of mobile stations.
[55 FR 20396, May 16, 1990, as amended at 56 FR 13414, Apr. 2, 1991]
§ 1.1313 Objections. (a) In the case of an application to
which section 309(b) of the Communica- tions Act applies, objections based on environmental considerations shall be filed as petitions to deny.
(b) Informal objections which are based on environmental considerations must be filed prior to grant of the con- struction permit, or prior to authoriza- tion for facilities that do not require construction permits, or pursuant to the applicable rules governing services subject to lotteries.
§ 1.1314 Environmental impact state- ments (EISs).
(a) Draft Environmental Impact Statements (DEISs) (§ 1.1315) and Final Environmental Impact Statements
(FEISs) (referred to collectively as EISs) (§ 1.1317) shall be prepared by the Bureau responsible for processing the proposal when the Commission’s or the Bureau’s analysis of the EA (§ 1.1308) indicates that the proposal will have a significant effect upon the environ- ment and the matter has not been re- solved by an amendment.
(b) As soon as practically feasible, the Bureau will publish in the FEDERAL REGISTER a Notice of Intent to prepare EISs. The Notice shall briefly identify the proposal, concisely describe the en- vironmental issues and concerns pre- sented by the subject application, and generally invite participation from af- fected or involved agencies, authorities and other interested persons.
(c) The EISs shall not address non- environmental considerations. To safe- guard against repetitive and unneces- sarily lengthy documents, the State- ments, where feasible, shall incor- porate by reference material set forth in previous documents, with only a brief summary of its content. In pre- paring the EISs, the Bureau will iden- tify and address the significant envi- ronmental issues and eliminate the in- significant issues from analysis.
(d) To assist in the preparation of the EISs, the Bureau may request further information from the applicant, inter- ested persons and agencies and authori- ties, which have jurisdiction by law or which have relevant expertise. The Bu- reau may direct that technical studies be made by the applicant and that the applicant obtain expert opinion con- cerning the potential environmental problems and costs associated with the proposed action, as well as comparative analyses of alternatives. The Bureau may also consult experts in an effort to identify measures that could be taken to minimize the adverse effects and al- ternatives to the proposed facilities that are not, or are less, objectionable. The Bureau may also direct that objec- tions be raised with appropriate local, state or Federal land use agencies or authorities (if their views have not been previously sought).
(e) The Bureau responsible for proc- essing the particular application and, thus, preparing the EISs shall draft
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supplements to Statements where sig- nificant new circumstances occur or in- formation arises relevant to environ- mental concerns and bearing upon the application.
(f) The Application, the EA, the DEIS, and the FEIS and all related documents, including the comments filed by the public and any agency, shall be part of the administrative record and will be routinely available for public inspection.
(g) If EISs are to be prepared, the ap- plicant must provide the community with notice of the availability of envi- ronmental documents and the sched- uling of any Commission hearings in that action.
(h) The timing of agency action with respect to applications subject to EISs is set forth in 40 CFR 1506.10. No deci- sion shall be made until ninety (90) days after the Notice of Availability of the Draft Environmental Impact State- ment is published in the Federal Reg- ister, and thirty (30) days after the No- tice of Availability of the Final Envi- ronmental Impact Statement is pub- lished in the FEDERAL REGISTER, which time period may run concurrently, See 40 CFR 1506.10(c); see also §§ 1.1315(b) and 1.1317(b).
(i) Guidance concerning preparation of the Draft and Final Environmental Statements is set out in 40 CFR part 1502.
[51 FR 15000, Apr. 22, 1986, as amended at 53 FR 28394, July 28, 1988]
§ 1.1315 The Draft Environmental Im- pact Statement (DEIS); Comments.
(a) The DEIS shall include: (1) A concise description of the pro-
posal, the nature of the area affected, its uses, and any specific feature of the area that has special environmental significance;
(2) An analysis of the proposal, and reasonable alternatives exploring the important consequent advantages and/ or disadvantages of the action and indi- cating the direct and indirect effects and their significance in terms of the short and long-term uses of the human environment.
(b) When a DEIS and supplements, if any, are prepared, the Commission shall send five copies of the Statement, or a summary, to the Office of Federal
Activities, Environmental Protection Agency. Additional copies, or sum- maries, will be sent to the appropriate regional office of the Environmental Protection Agency. Public Notice of the availability of the DEIS will be published in the FEDERAL REGISTER by the Environmental Protection Agency.
(c) When copies or summaries of the DEIS are sent to the Environmental Protection Agency, the copies or sum- maries will be mailed with a request for comment to Federal agencies hav- ing jurisdiction by law or special ex- pertise, to the Council on Environ- mental Quality, to the applicant, to in- dividuals, groups and state and local agencies known to have an interest in the environmental consequences of a grant, and to any other person who has requested a copy.
(d) Any person or agency may com- ment on the DEIS and the environ- mental effect of the proposal described therein within 45 days after notice of the availability of the statement is published in the FEDERAL REGISTER. A copy of those comments shall be mailed to the applicant by the person who files them pursuant to 47 CFR 1.47. An original and one copy shall be filed with the Commission. If a person sub- mitting comments is especially quali- fied in any way to comment on the en- vironmental impact of the facilities, a statement of his or her qualifications shall be set out in the comments. In addition, comments submitted by an agency shall identify the person(s) who prepared them.
(e) The applicant may file reply com- ments within 15 days after the time for filing comments has expired. Reply comments shall be filed with the Com- mission in the same manner as com- ments, and shall be served by the appli- cant on persons or agencies which filed comments.
(f) The preparation of a DEIS and the request for comments shall not open the application to attack on other grounds.
§ 1.1317 The Final Environmental Im- pact Statement (FEIS).
(a) After receipt of comments and reply comments, the Bureau will pre- pare a FEIS, which shall include a
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summary of the comments, and a re- sponse to the comments, and an anal- ysis of the proposal in terms of its en- vironmental consequences, and any reasonable alternatives, and rec- ommendations, if any, and shall cite the Commission’s internal appeal pro- cedures (See 47 CFR 1.101–1.120).
(b) The FEIS and any supplements will be distributed and published in the same manner as specified in § 1.1315. Copies of the comments and reply com- ments, or summaries thereof where the record is voluminous, shall be attached to the FEIS.
§ 1.1319 Consideration of the environ- mental impact statements.
(a) If the action is subject to a hear- ing:
(1) In rendering his initial decision, the Administrative Law Judge shall utilize the FEIS in considering the en- vironmental issues, together with all other non-environmental issues. In a comparative context, the respective parties shall be afforded the oppor- tunity to comment on the FEIS, and the Administrative Law Judge’s deci- sion shall contain an evaluation of the respective applications based on envi- ronmental and non-environmental pub- lic interest factors.
(2) Upon review of an initial decision, the Commission will consider and as- sess all aspects of the FEIS and will render its decision, giving due consid- eration to the environmental and non- environmental issues.
(b) In all non-hearing matters, the Commission, as part of its decision- making process, will review the FEIS, along with other relevant issues, to en- sure that the environmental effects are specifically assessed and given com- prehensive consideration.
[51 FR 15000, Apr. 22, 1986, as amended at 62 FR 4171, Jan. 29, 1997]
Subpart J—Pole Attachment Complaint Procedures
SOURCE: 43 FR 36094, Aug. 15, 1978, unless otherwise noted.
§ 1.1401 Purpose. The rules and regulations contained
in subpart J of this part provide com-
plaint and enforcement procedures to ensure that telecommunications car- riers and cable system operators have nondiscriminatory access to utility poles, ducts, conduits, and rights-of- way on rates, terms, and conditions that are just and reasonable.
[61 FR 45618, Aug. 29, 1996]
§ 1.1402 Definitions. (a) The term utility means any person
that is a local exchange carrier or an electric, gas, water, steam, or other public utility, and who owns or con- trols poles, ducts, conduits, or rights- of-way used, in whole or in part, for any wire communications. Such term does not include any railroad, any per- son that is cooperatively organized, or any person owned by the Federal Gov- ernment or any State.
(b) The term pole attachment means any attachment by a cable television system or provider of telecommuni- cations service to a pole, duct, conduit, or right-of-way owned or controlled by a utility.
(c) With respect to poles, the term us- able space means the space on a utility pole above the minimum grade level which can be used for the attachment of wires, cables, and associated equip- ment, and which includes space occu- pied by the utility. With respect to conduit, the term usable space means capacity within a conduit system which is available, or which could, with reasonable effort and expense, be made available, for the purpose of installing wires, cable and associated equipment for telecommunications or cable serv- ices, and which includes capacity occu- pied by the utility.
(d) The term complaint means a filing by a cable television system operator, a cable television system association, a utility, an association of utilities, a telecommunications carrier, or an as- sociation of telecommunications car- riers alleging that it has been denied access to a utility pole, duct, conduit, or right-of-way in violation of this sub- part and/or that a rate, term, or condi- tion for a pole attachment is not just and reasonable.
(e) The term complainant means a cable television system operator, a cable television system association, a utility, an association of utilities, a
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telecommunications carrier, or an as- sociation of telecommunications car- riers who files a complaint.
(f) The term respondent means a cable television system operator, a utility, or a telecommunications carrier against whom a complaint is filed.
(g) The term State means any State, territory, or possession of the United States, the District of Columbia, or any political subdivision, agency, or in- strumentality thereof.
(h) For purposes of this subpart, the term telecommunications carrier means any provider of telecommunications services, except that the term does not include aggregators of telecommuni- cations services (as defined in 47 U.S.C. 226) or incumbent local exchange car- riers (as defined in 47 U.S.C. 251(h)).
(i) The term conduit means a struc- ture containing one or more ducts, usu- ally placed in the ground, in which ca- bles or wires may be installed.
(j) The term conduit system means a collection of one or more conduits to- gether with their supporting infra- structure.
(k) The term duct means a single en- closed raceway for conductors, cable and/or wire.
(l) With respect to poles, the term unusable space means the space on a utility pole below the usable space, in- cluding the amount required to set the depth of the pole.
(m) The term attaching entity in- cludes cable system operators, tele- communications carriers, incumbent and other local exchange carriers, util- ities, governmental entities and other entities with a physical attachment to the pole, duct, conduit or right of way. It does not include governmental enti- ties with only seasonal attachments to the pole.
(n) The term inner-duct means a duct- like raceway smaller than a duct that is inserted into a duct so that the duct may carry multiple wires or cables.
[43 FR 36094, Aug. 15, 1978, as amended at 52 FR 31770, Aug. 24, 1987; 61 FR 43024, Aug. 20, 1996; 61 FR 45618, Aug. 29, 1996; 63 FR 12024, Mar. 12, 1998; 65 FR 31281, May 17, 2000; 66 FR 34580, June 29, 2001]
§ 1.1403 Duty to provide access; modi- fications; notice of removal, in- crease or modification; petition for temporary stay; and cable operator notice.
(a) A utility shall provide a cable tel- evision system or any telecommuni- cations carrier with nondiscriminatory access to any pole, duct, conduit, or right-of-way owned or controlled by it. Notwithstanding this obligation, a utility may deny a cable television sys- tem or any telecommunications carrier access to its poles, ducts, conduits, or rights-of-way, on a non-discriminatory basis where there is insufficient capac- ity or for reasons of safety, reliability and generally applicable engineering purposes.
(b) Requests for access to a utility’s poles, ducts, conduits or rights-of-way by a telecommunications carrier or cable operator must be in writing. If access is not granted within 45 days of the request for access, the utility must confirm the denial in writing by the 45th day. The utility’s denial of access shall be specific, shall include all rel- evant evidence and information sup- porting its denial, and shall explain how such evidence and information re- late to a denial of access for reasons of lack of capacity, safety, reliability or engineering standards.
(c) A utility shall provide a cable tel- evision system operator or tele- communications carrier no less than 60 days written notice prior to:
(1) Removal of facilities or termi- nation of any service to those facili- ties, such removal or termination aris- ing out of a rate, term or condition of the cable television system operator’s of telecommunications carrier’s pole attachment agreement;
(2) Any increase in pole attachment rates; or
(3) Any modification of facilities other than routine maintenance or modification in response to emer- gencies.
(d) A cable television system oper- ator or telecommunications carrier may file a ‘‘Petition for Temporary Stay’’ of the action contained in a no- tice received pursuant to paragraph (c) of this section within 15 days of receipt of such notice. Such submission shall not be considered unless it includes, in
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concise terms, the relief sought, the reasons for such relief, including a showing of irreparable harm and likely cessation of cable television service or telecommunication service, a copy of the notice, and certification of service as required by § 1.1404(b). The named re- spondent may file an answer within 7 days of the date the Petition for Tem- porary Stay was filed. No further fil- ings under this section will be consid- ered unless requested or authorized by the Commission and no extensions of time will be granted unless justified pursuant to § 1.46.5.
(e) Cable operators must notify pole owners upon offering telecommuni- cations services.
[61 FR 45618, Aug. 29, 1996, as amended at 63 FR 12025, Mar. 12, 1998]
EFFECTIVE DATE NOTE: At 63 FR 12025, Mar. 12, 1998, § 1.1403 was amended by revising the heading and adding new paragraph (e). The added text contains information collection and recordkeeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 1.1404 Complaint. (a) The complaint shall contain the
name and address of the complainant, name and address of the respondent, and shall contain a verification (in the form in § 1.721(b)), signed by the com- plainant or officer thereof if complain- ant is a corporation, showing com- plainant’s direct interest in the matter complained of. Counsel for the com- plainant may sign the complaint. Com- plainants may join together to file a joint complaint. Complaints filed by associations shall specifically identify each utility, cable television system operator, or telecommunications car- rier who is a party to the complaint and shall be accompanied by a docu- ment from each identified member cer- tifying that the complaint is being filed on its behalf.
(b) The complaint shall be accom- panied by a certification of service on the named respondent, and each of the Federal, State, and local governmental agencies that regulate any aspect of the services provided by the complain- ant or respondent.
(c) In a case where it is claimed that a rate, term, or condition is unjust or
unreasonable, the complaint shall con- tain a statement that the State has not certified to the Commission that it reg- ulates the rates, terms and conditions for pole attachments. The complaint shall include a statement that the util- ity is not owned by any railroad, any person who is cooperatively organized or any person owned by the Federal Government or any State.
(d) The complaint shall be accom- panied by a copy of the pole attach- ment agreement, if any, between the cable system operator or telecommuni- cations carrier and the utility. If there is no present pole attachment agree- ment, the complaint shall contain:
(1) A statement that the utility uses or controls poles, ducts, or conduits used or designated, in whole or in part, for wire communication; and
(2) A statement that the cable tele- vision system operator or tele- communications carrier currently has attachments on the poles, ducts, con- duits, or rights-of-way.
(e) The complaint shall state with specificity the pole attachment rate, term or condition which is claimed to be unjust or unreasonable.
(f) In any case, where it is claimed that a term or condition is unjust or unreasonable, the claim shall specify all information and argument relied upon to justify said claim.
(g) For attachments to poles, where it is claimed that either a rate is un- just or unreasonable, or a term or con- dition is unjust or unreasonable and examination of such term or condition requires review of the associated rate, the complaint shall provide data and information in support of said claim.
(1) The data and information shall in- clude, where applicable:
(i) The gross investment by the util- ity for pole lines;
(ii) The investment in crossarms and other items which do not reflect the cost of owning and maintaining poles, if available;
(iii) The depreciation reserve from the gross pole line investment;
(iv) The depreciation reserve from the investment in crossarms and other items which do not reflect the cost of owning and maintaining poles, if avail- able;
(v) The total number of poles:
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(A) Owned; and (B) Controlled or used by the utility.
If any of these poles are jointly owned, the complaint shall specify the number of such jointly owned poles and the percentage of each joint pole or the number of equivalent poles owned by the subject utility;
(vi) The total number of poles which are the subject of the complaint;
(vii) The number of poles included in paragraph (g)(1)(vi) of this section that are controlled or used by the utility through lease between the utility and other owner(s), and the annual amounts paid by the utility for such rental;
(viii) The number of poles included in paragraph (g)(1)(vi) of this section that are owned by the utility and that are leased to other users by the utility, and the annual amounts paid to the utility for such rental;
(ix) The annual carrying charges at- tributable to the cost of owning a pole. These charges may be expressed as a percentage of the net pole investment. With its pleading, the utility shall file a copy of the latest decision of the state regulatory body or state court which determines the treatment of ac- cumulated deferred taxes if it is at issue in the proceeding and shall note the section which specifically deter- mines the treatment and amount of ac- cumulated deferred taxes.
(x) The rate of return authorized for the utility for intrastate service. With its pleading, the utility shall file a copy of the latest decision of the state regulatory body or state court which establishes this authorized rate of re- turn if the rate of return is at issue in the proceeding and shall note the sec- tion which specifically establishes this authorized rate and whether the deci- sion is subject to further proceedings before the state regulatory body or a court. In the absence of a state author- ized rate of return, the rate of return set by the Commission for local ex- change carriers shall be used as a de- fault rate of return;
(xi) The average amount of usable space per pole for those poles used for pole attachments (13.5 feet may be in lieu of actual measurement, but may be rebutted);
(xii) The average amount of unusable space per pole for those poles used for pole attachments (a 24 foot presump- tion may be used in lieu of actual measurement, but the presumption may be rebutted); and
(xiii) Reimbursements received from CATV operators and telecommuni- cations carriers for non-recurring costs.
(2) Data and information should be based upon historical or original cost methodology, insofar as possible. Data should be derived from ARMIS, FERC 1, or other reports filed with state or federal regulatory agencies (identify source). Calculations made in connec- tion with these figures should be pro- vided to the complainant. The com- plainant shall also specify any other information and argument relied upon to attempt to establish that a rate, term, or condition is not just and rea- sonable.
(h) With respect to attachments within a duct or conduit system, where it is claimed that either a rate is un- just or unreasonable, or a term or con- dition is unjust or unreasonable and examination of such term or condition requires review of the associated rate, the complaint shall provide data and information in support of said claim.
(1) The data and information shall in- clude, where applicable:
(i) The gross investment by the util- ity for conduit;
(ii) The accumulated depreciation from the gross conduit investment;
(iii) The system duct length or sys- tem conduit length and the method used to determine it;
(iv) The length of the conduit subject to the complaint;
(v) The number of ducts in the con- duit subject to the complaint;
(vi) The number of inner-ducts in the duct occupied, if any. If there are no inner-ducts, the attachment is pre- sumed to occupy one-half duct.
(vii) The annual carrying charges at- tributable to the cost of owning con- duit. These charges may be expressed as a percentage of the net linear cost of a conduit. With its pleading, the utility shall file a copy of the latest decision of the state regulatory body or state court which determines the treatment of accumulated deferred taxes if it is at
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issue in the proceeding and shall note the section which specifically deter- mines the treatment and amount of ac- cumulated deferred taxes.
(viii) The rate of return authorized for the utility for intrastate service. With its pleading, the utility shall file a copy of the latest decision of the state regulatory body or state court which establishes this authorized rate of return if the rate of return is at issue in the proceeding and shall note the section which specifically estab- lishes this authorized rate and whether the decision is subject to further pro- ceedings before the state regulatory body or a court. In the absence of a state authorized rate of return, the rate of return set by the Commission for local exchange carriers shall be used as a default rate of return; and
(ix) Reimbursements received by utilities from CATV operators and tele- communications carriers for non-recur- ring costs.
(2) Data and information should be based upon historical or original cost methodology, insofar as possible. Data should be derived from ARMIS, FERC 1, or other reports filed with state or federal regulatory agencies (identify source). Calculations made in connec- tion with these figures should be pro- vided to the complainant. The com- plainant shall also specify any other information and argument relied upon to attempt to establish that a rate, term, or condition is not just and rea- sonable.
(i) With respect to rights-of-way, where it is claimed that either a rate is unjust or unreasonable, or a term or condition is unjust or unreasonable and examination of such term or condition requires review of the associated rate, the complaint shall provide data and information in support of said claim. The data and information shall in- clude, where applicable, equivalent in- formation as specified in paragraph (g) of this section.
(j) If any of the information and data required in paragraphs (g), (h) and (i) of this section is not provided to the cable television operator or telecommuni- cations carrier by the utility upon rea- sonable request, the cable television operator or telecommunications car- rier shall include a statement indi-
cating the steps taken to obtain the in- formation from the utility, including the dates of all requests. No complaint filed by a cable television operator or telecommunications carrier shall be dismissed where the utility has failed to provide the information required under paragraphs (g), (h) or (i) of this section, as applicable, after such rea- sonable request. A utility must supply a cable television operator or tele- communications carrier the informa- tion required in paragraph (g), (h) or (i) of this section, as applicable, along with the supporting pages from its ARMIS, FERC Form 1, or other report to a regulatory body, within 30 days of the request by the cable television op- erator or telecommunications carrier. The cable television operator or tele- communications carrier, in turn, shall submit these pages with its complaint. If the utility did not supply these pages to the cable television operator or tele- communications carrier in response to the information request, the utility shall supply this information in its re- sponse to the complaint.
(k) The complaint shall include a brief summary of all steps taken to re- solve the problem prior to filing. If no such steps were taken, the complaint shall state the reason(s) why it be- lieved such steps were fruitless.
(l) Factual allegations shall be sup- ported by affidavit of a person or per- sons with actual knowledge of the facts, and exhibits shall be verified by the person who prepares them.
(m) In a case where a cable television system operator or telecommuni- cations carrier claims that it has been denied access to a pole, duct, conduit or right-of-way despite a request made pursuant to section 47 U.S.C. § 224(f), the complaint shall be filed within 30 days of such denial. In addition to meeting the other requirements of this section, the complaint shall include the data and information necessary to support the claim, including:
(1) The reasons given for the denial of access to the utility’s poles, ducts, con- duits and rights-of-way;
(2) The basis for the complainant’s claim that the denial of access is im- proper;
(3) The remedy sought by the com- plainant;
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(4) A copy of the written request to the utility for access to its poles, ducts, conduits or rights-of-way; and
(5) A copy of the utility’s response to the written request including all infor- mation given by the utility to support its denial of access. A complaint alleg- ing improper denial of access will not be dismissed if the complainant is un- able to obtain a utility’s written re- sponse, or if the utility denies the com- plainant any other information needed to establish a prima facie case.
[43 FR 36094, Aug. 15, 1978, as amended at 44 FR 31649, June 1, 1979; 45 FR 17014, Mar. 17, 1980; 52 FR 31770, Aug. 24, 1987; 61 FR 43025, Aug. 20, 1996; 61 FR 45619, Aug. 29, 1996; 63 FR 12025, Mar. 12, 1998; 65 FR 31282, May 17, 2000; 65 FR 34820, May 31, 2000]
EFFECTIVE DATE NOTE 1: At 63 FR 12025, Mar. 12, 1998, § 1.1404 was amended by redesig- nating paragraphs (g)(12) and (h) through (k) as (g)(13) and (k) through (n) and adding new paragraphs (g)(12) and (h) through (j). The added text contains information collection and recordkeeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
EFFECTIVE DATE NOTE 2: At 65 FR 31282, May 17, 2000, § 1.1404 was amended by remov- ing paragraph (k), redesignating paragraphs (l), (m), and (n) as (k), (l), and (m), respec- tively, and revising paragraphs (g), (h), and the third sentence of paragraph (j). The re- vised text contains information collection and recordkeeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 1.1405 File numbers. Each complaint which appears to be
essentially complete under § 1.1404 will be accepted and assigned a file number. Such assignment is for administrative purposes only and does not necessarily mean that the complaint has been found to be in full compliance with other sections in this subpart. Peti- tions for temporary stay will also be assigned a file number upon receipt.
[44 FR 31650, June 1, 1979]
§ 1.1406 Dismissal of complaints. (a) The complaint shall be dismissed
for lack of jurisdiction in any case where a suitable certificate has been filed by a State pursuant to § 1.1414 of this subpart. Such certificate shall be
conclusive proof of lack of jurisdiction of this Commission. A complaint against a utility shall also be dismissed if the utility does not use or control poles, ducts, or conduits used or des- ignated, in whole or in part, for wire communication or if the utility does not meet the criteria of § 1.1402(a) of this subpart.
(b) If the complaint does not contain substantially all the information re- quired under § 1.1404 the Commission may dismiss the complaint or may re- quire the complainant to file addi- tional information. The complaint shall not be dismissed if the informa- tion is not available from public records or from the respondent utility after reasonable request.
(c) Failure by the complainant to re- spond to official correspondence or a request for additional information will be cause for dismissal.
(d) Dismissal under provisions of paragraph (b) of this section above will be with prejudice if the complaint has been dismissed previously. Such a com- plaint may be refiled no earlier than six months from the date it was so dis- missed.
[43 FR 36094, Aug. 15, 1978, as amended at 44 FR 31650, June 1, 1979]
§ 1.1407 Response and reply.
(a) Respondent shall have 30 days from the date the complaint was filed within which to file a response. Com- plainant shall have 20 days from the date the response was filed within which to file a reply. Extensions of time to file are not contemplated un- less justification is shown pursuant to § 1.46. Except as otherwise provided in § 1.1403, no other filings and no motions other than for extension of time will be considered unless authorized by the Commission. The response should set forth justification for the rate, term, or condition alleged in the complaint not to be just and reasonable. Factual allegations shall be supported by affi- davit of a person or persons with actual knowledge of the facts and exhibits shall be verified by the person who pre- pares them. The response, reply, and other pleadings may be signed by coun- sel.
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(b) The response shall be served on the complainant and all parties listed in complainant’s certificate of service.
(c) The reply shall be served on the respondent and all parties listed in re- spondent’s certificate of service.
(d) Failure to respond may be deemed an admission of the material factual allegations contained in the complaint.
[44 FR 31650, June 1, 1979]
§ 1.1408 Number of copies and form of pleadings.
(a) An original and three copies of the complaint, response, and reply shall be filed with the Commission.
(b) All papers filed in the complaint proceeding must be drawn in con- formity with the requirements of §§ 1.49, 1.50 and 1.52.
§ 1.1409 Commission consideration of the complaint.
(a) In its consideration of the com- plaint, response, and reply, the Com- mission may take notice of any infor- mation contained in publicly available filings made by the parties and may ac- cept, subject to rebuttal, studies that have been conducted. The Commission may also request that one or more of the parties make additional filings or provide additional information. Where one of the parties has failed to provide information required to be provided by these rules or requested by the Com- mission, or where costs, values or amounts are disputed, the Commission may estimate such costs, values or amounts it considers reasonable, or may decide adversely to a party who has failed to supply requested informa- tion which is readily available to it, or both.
(b) The complainant shall have the burden of establishing a prima facie case that the rate, term, or condition is not just and reasonable or that the denial of access violates 47 U.S.C. § 224(f). If, however, a utility argues
that the proposed rate is lower than its incremental costs, the utility has the burden of establishing that such rate is below the statutory minimum just and reasonable rate. In a case involving a denial of access, the utility shall have the burden of proving that the denial was lawful, once a prima facie case is established by the complainant.
(c) The Commission shall determine whether the rate, term or condition complained of is just and reasonable. For the purposes of this paragraph, a rate is just and reasonable if it assures a utility the recovery of not less than the additional costs of providing pole attachments, nor more than an amount determined by multiplying the per- centage of the total usable space, or the percentage of the total duct or con- duit capacity, which is occupied by the pole attachment by the sum of the op- erating expenses and actual capital costs of the utility attributable to the entire pole, duct, conduit, or right-of- way.
(d) The Commission shall deny the complaint if it determines that the complainant has not established a prima facie case, or that the rate, term or condition is just and reasonable, or that the denial of access was lawful.
(e) When parties fail to resolve a dis- pute regarding charges for pole attach- ments and the Commission’s complaint procedures under Section 1.1404 are in- voked, the Commission will apply the following formulas for determining a maximum just and reasonable rate:
(1) The following formula shall apply to attachments to poles by cable opera- tors providing cable services. This for- mula shall also apply to attachments to poles by any telecommunications carrier (to the extent such carrier is not a party to a pole attachment agree- ment) or cable operator providing tele- communications services until Feb- ruary 8, 2001:
Maximum Rate Space Factor
Net Cost o a Bare Pol
Carrying Ch e Rate= × ×
f e arg
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Federal Communications Commission § 1.1409
Where Space Factor Total Usab
= Space Occupied by Attachment le Space
(2) Subject to paragraph (f) of this section the following formula shall apply to attachments to poles by any telecommunications carrier (to the ex- tent such carrier is not a party to a
pole attachment agreement) or cable operator providing telecommuni- cations services beginning February 8, 2001:
Maximum Rate = Space Factor Net Cost of a Bare Pole Carrying Charge
Rate
e Factor =
Space Occupied
pace No. of Attaching Entities
t
× × ⎡
⎣ ⎢ ⎢
⎤
⎦ ⎥ ⎥
⎛ ⎝
⎞ ⎠ + ×
⎛ ⎝⎜
⎞ ⎠⎟
⎡
⎣
⎢ ⎢ ⎢ ⎢ ⎢
⎤
⎦
⎥ ⎥ ⎥ ⎥ ⎥
Where Spac
Unusable S
Pole Heigh
2 3
(3) The following formula shall apply to attachments to conduit by cable op-
erators and telecommunications car- riers:
Maximum Rate per
Linear ft. Number of No No Net Condui
/m. Ducts
Duct
of Inner Ducts of
Ducts t Investment
System Duct Length (ft./m.)
Carrying Charge
Rate (Percentage of Conduit Capacity) (Net Linear Cost of a Conduit)
= ×⎡ ⎣⎢
⎤ ⎦⎥
× × ⎡
⎣ ⎢
⎤
⎦ ⎥ ×
1 1
. .
simplified as:
Maximum Rate No
Net Condui Per Linear ft./m.
Duct
of Inner Ducts
t Investment
System Duct Length (ft./m.)
Carrying Charge
Rate = × ×1
.
If no inner-duct is installed the frac- tion, ‘‘1 Duct divided by the No. of Inner-Ducts’’ is presumed to be 1⁄2.
(f) Paragraph (e)(2) of this section shall become effective February 8, 2001 (i.e., five years after the effective date of the Telecommunications Act of 1996). Any increase in the rates for pole attachments that results from the adoption of such regulations shall be phased in over a period of five years be-
ginning on the effective date of such regulations in equal annual incre- ments. The five-year phase-in is to apply to rate increases only. Rate re- ductions are to be implemented imme- diately. The determination of any rate
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increase shall be based on data cur- rently available at the time of the cal- culation of the rate increase.
[43 FR 36094, Aug. 15, 1978, as amended at 52 FR 31770, Aug. 24, 1987; 61 FR 43025, Aug. 20, 1996; 61 FR 45619, Aug. 29, 1996; 63 FR 12025, Mar. 12, 1998; 65 FR 31282, May 17, 2000; 66 FR 34580, June 29, 2001]
§ 1.1410 Remedies.
If the Commission determines that the rate, term, or condition complained of is not just and reasonable, it may prescribe a just and reasonable rate, term, or condition and may:
(a) Terminate the unjust and unrea- sonable rate, term, or condition;
(b) Substitute in the pole attachment agreement the just and reasonable rate, term, or condition established by the Commission; and
(c) Order a refund, or payment, if ap- propriate. The refund or payment will normally be the difference between the amount paid under the unjust and/or unreasonable rate, term, or condition and the amount that would have been paid under the rate, term, or condition established by the Commission from the date that the complaint, as accept- able, was filed, plus interest.
[44 FR 31650, June 1, 1979]
§ 1.1411 Meetings and hearings.
The Commission may decide each complaint upon the filings and infor- mation before it, may require one or more informal meetings with the par- ties to clarify the issues or to consider settlement of the dispute, or may, in its discretion, order evidentiary proce- dures upon any issues it finds to have been raised by the filings.
§ 1.1412 Enforcement.
If the respondent fails to obey any order imposed under this subpart, the Commission on its own motion or by motion of the complainant may order the respondent to show cause why it should not cease and desist from vio- lating the Commission’s order.
§ 1.1413 Forfeiture.
(a) If any person willfully fails to obey any order imposed under this sub- part, or any Commission rule, or
(b) If any person shall in any written response to Commission correspond- ence or inquiry or in any application, pleading, report, or any other written statement submitted to the Commis- sion pursuant to this subpart make any misrepresentation bearing on any mat- ter within the jurisdiction of the Com- mission, the Commission may, in addi- tion to any other remedies, including criminal penalties under section 1001 of Title 18 of the United States Code, im- pose a forfeiture pursuant to section 503(b) of the Communications Act, 47 U.S.C. 503(b).
§ 1.1414 State certification.
(a) If the Commission does not re- ceive certification from a state that:
(1) It regulates rates, terms and con- ditions for pole attachments;
(2) In so regulating such rates, terms and conditions, the state has the au- thority to consider and does consider the interests of the subscribers of cable television services as well as the inter- ests of the consumers of the utility services; and,
(3) It has issued and made effective rules and regulations implementing the state’s regulatory authority over pole attachments (including a specific methodology for such regulation which has been made publicly available in the state), it will be rebuttably presumed that the state is not regulating pole at- tachments.
(b) Upon receipt of such certification, the Commission shall give public no- tice. In addition, the Commission shall compile and publish from time to time, a listing of states which have provided certification.
(c) Upon receipt of such certification, the Commission shall forward any pending case thereby affected to the state regulatory authority, shall so no- tify the parties involved and shall give public notice thereof.
(d) Certification shall be by order of the state regulatory body or by a per- son having lawful delegated authority under provisions of state law to submit such certification. Said person shall provide in writing a statement that he or she has such authority and shall cite the law, regulation or other instru- ment conferring such authority.
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(e) Notwithstanding any such certifi- cation, jurisdiction will revert to this Commission with respect to any indi- vidual matter, unless the state takes final action on a complaint regarding such matter:
(1) Within 180 days after the com- plaint is filed with the state, or
(2) Within the applicable periods pre- scribed for such final action in such rules and regulations of the state, if the prescribed period does not extend beyond 360 days after the filing of such complaint.
[43 FR 36094, Aug. 15, 1978, as amended at 44 FR 31650, June 1, 1979; 50 FR 18659, May 5, 1985]
§ 1.1415 Other orders. The Commission may issue such
other orders and so conduct its pro- ceedings as will best conduce to the proper dispatch of business and the ends of justice.
§ 1.1416 Imputation of rates; modifica- tion costs.
(a) A utility that engages in the pro- vision of telecommunications services or cable services shall impute to its costs of providing such services (and charge any affiliate, subsidiary, or as- sociate company engaged in the provi- sion of such services) an equal amount to the pole attachment rate for which such company would be liable under this section.
(b) The costs of modifying a facility shall be borne by all parties that ob- tain access to the facility as a result of the modification and by all parties that directly benefit from the modi- fication. Each party described in the preceding sentence shall share propor- tionately in the cost of the modifica- tion. A party with a preexisting at- tachment to the modified facility shall be deemed to directly benefit from a modification if, after receiving notifi- cation of such modification as provided in subpart J of this part, it adds to or modifies its attachment. Notwith- standing the foregoing, a party with a preexisting attachment to a pole, con- duit, duct or right-of-way shall not be required to bear any of the costs of re- arranging or replacing its attachment if such rearrangement or replacement is necessitated solely as a result of an
additional attachment or the modifica- tion of an existing attachment sought by another party. If a party makes an attachment to the facility after the completion of the modification, such party shall share proportionately in the cost of the modification if such modification rendered possible the added attachment.
[61 FR 43025, Aug. 20, 1996; 61 FR 45619, Aug. 29, 1996]
§ 1.1417 Allocation of Unusable Space Costs.
(a) With respect to the formula ref- erenced in § 1.1409(e)(2), a utility shall apportion the cost of providing unus- able space on a pole so that such appor- tionment equals two-thirds of the costs of providing unusable space that would be allocated to such entity under an equal apportionment of such costs among all attaching entities.
(b) All attaching entities attached to the pole shall be counted for purposes of apportioning the cost of unusable space.
(c) Utilities may use the following re- buttable presumptive averages when calculating the number of attaching entities with respect to the formula referenced in § 1.1409(e)(2). For non-ur- banized service areas (under 50,000 pop- ulation), a presumptive average num- ber of attaching entities of three (3). For urbanized service areas (50,000 or higher population), a presumptive av- erage number of attaching entities of five (5). If any part of the utility’s serv- ice area within the state has a designa- tion of urbanized (50,000 or higher popu- lation) by the Bureau of Census, United States Department of Commerce, then all of that service area shall be des- ignated as urbanized for purposes of de- termining the presumptive average number of attaching entities.
(d) A utility may establish its own presumptive average number of attach- ing entities for its urbanized and non- urbanized service area as follows:
(1) Each utility shall, upon request, provide all attaching entities and all entities seeking access the method- ology and information upon which the utilities presumptive average number of attachers is based.
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(2) Each utility is required to exer- cise good faith in establishing and up- dating its presumptive average number of attachers.
(3) The presumptive average number of attachers may be challenged by an attaching entity by submitting infor- mation demonstrating why the util- ity’s presumptive average is incorrect. The attaching entity should also sub- mit what it believes should be the pre- sumptive average and the methodology used. Where a complete inspection is impractical, a statistically sound sur- vey may be submitted.
(4) Upon successful challenge of the existing presumptive average number of attachers, the resulting data deter- mined shall be used by the utility as the presumptive number of attachers within the rate formula.
[63 FR 12026, Mar. 12, 1998, as amended at 66 FR 34581, June 29, 2001]
EFFECTIVE DATE NOTE: At 63 FR 12026, Mar. 12, 1998, § 1.1417 was added. The section con- tains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 1.1418 Use of presumptions in calcu- lating the space factor.
With respect to the formulas ref- erenced in § 1.1409(e)(1) and § 1.1409(e)(2), the space occupied by an attachment is presumed to be one (1) foot. The amount of usable space is presumed to be 13.5 feet. The amount of unusable space is presumed to be 24 feet. The pole height is presumed to be 37.5 feet. These presumptions may be rebutted by either party.
[66 FR 34581, June 29, 2001]
Subpart K—Implementation of the Equal Access to Justice Act (EAJA) in Agency Pro- ceedings
AUTHORITY: Sec. 203(a)(1), Pub. L. 96–481, 94 Stat. 2325 (5 U.S.C. 504(c)(1)).
SOURCE: 47 FR 3786, Jan. 27, 1982, unless otherwise noted.
GENERAL PROVISIONS
§ 1.1501 Purpose of these rules. The Equal Access to Justice Act, 5
U.S.C. 504 (called the EAJA in this sub- part), provides for the award of attor- ney’s fees and other expenses to eligi- ble individuals and entities who are parties to certain administrative pro- ceedings (called adversary adjudications) before the Commission. An eligible party may receive an award when it prevails over the Commission, unless the Commission’s position in the pro- ceeding was substantially justified or special circumstances make an award unjust, or when the demand of the Commission is substantially in excess of the decision in the adversary adju- dication and is unreasonable when compared with such decision, under the facts and circumstances of the case, unless the party has committed a will- ful violation of law or otherwise acted in bad faith, or special circumstances make an award unjust. The rules in this part describe the parties eligible for awards and the proceedings that are covered. They also explain how to apply for awards, and the procedures and standards that the Commission will use to make them.
[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39898, July 31, 1996]
§ 1.1502 When the EAJA applies. The EAJA applies to any adversary
adjudication pending or commenced be- fore the Commission on or after August 5, 1985. The provisions of § 1.1505(b) apply to any adversary adjudications commenced on or after March 29, 1996.
[61 FR 39898, July 31, 1996]
§ 1.1503 Proceedings covered. (a) The EAJA applies to adversary
adjudications conducted by the Com- mission. These are adjudications under 5 U.S.C. 554 in which the position of the Commission or any other agency of the United States, or any component of an agency, is presented by an attorney or other representative who enters an ap- pearance and participates in the pro- ceeding. Any proceeding in which this Agency may fix a lawful present or fu- ture rate is not covered by the EAJA. Proceedings to grant or renew licenses
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Federal Communications Commission § 1.1505
are also excluded, but proceedings to modify, suspend, or revoke licenses are covered if they are otherwise ‘‘adver- sary adjudications’’.
(b) The Commission may designate a proceeding as an adversary adjudica- tion for purposes of the EAJA by so stating in an order initiating the pro- ceeding or designating the matter for hearing. The Commission’s failure to designate a proceeding as an adversary adjudication shall not preclude the fil- ing of an application by a party who believes the proceeding is covered by the EAJA; whether the proceeding is covered will then be an issue for resolu- tion in proceedings on the application.
(c) If a proceeding includes both mat- ters covered by the EAJA and matters specifically excluded from coverage, any awards made will include only fees and expenses related to covered issues.
[47 FR 3786, Jan. 27, 1982, as amended at 52 FR 11653, Apr. 10, 1987]
§ 1.1504 Eligibility of applicants. (a) To be eligible for an award of at-
torney fees and other expenses under the EAJA, the applicant must be a party, as defined in 5 U.S.C. 551(3), to the adversary adjudication for which it seeks an award. The applicant must show that it meets all conditions of eli- gibility set out in this paragraph and in paragraph (b) of this section.
(b) The types of eligible applicants are as follows:
(1) An individual with a net worth of not more than $2 million;
(2) The sole owner of an unincor- porated business who has a net worth of not more than $7 million, including both personal and business interests, and not more than 500 employees;
(3) A charitable association as de- fined in section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) with not more than 500 employees;
(4) A cooperative association as de- fined in section 15(a) of the Agricul- tural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500 employees;
(5) Any other partnership, corpora- tion, association, unit of local govern- ment, or organization with a net worth of not more than $7 million and not more than 500 employees;
(6) For purposes of § 1.1505(b), a small entity as defined in 5 U.S.C. 601.
(c) For the purpose of eligibility, the net worth and number of employees of an applicant shall be determined as of the date the proceeding was initiated.
(d) An applicant who owns an unin- corporated business will be considered as an ‘‘individual’’ rather than a ‘‘sole owner of an unincorporated business’’ if the issues on which the applicant prevails are related primarily to per- sonal interests rather than to business interests.
(e) The number of employees of an applicant include all persons who regu- larly perform services for remunera- tion for the applicant, under the appli- cant’s direction and control. Part-time employees shall be included on a pro- portional basis.
(f) The net worth and number of em- ployees of the applicant and all of its affiliates shall be aggregated to deter- mine eligibility. Any individual, cor- poration or other entity that directly or indirectly controls or owns a major- ity of the voting shares or other inter- est of the applicant, or any corporation or other entity of which the applicant directly or indirectly owns or controls a majority of the voting shares or other interest, will be considered an af- filiate for purposes of this part, unless the Administrative Law Judge deter- mines that such treatment would be unjust and contrary to the purposes of the EAJA in light of the actual rela- tionship between the affiliated enti- ties. In addition, the Administrative Law Judge may determine that finan- cial relationships of the applicant other than those described in this para- graph constitute special circumstances that would make an award unjust.
(g) An applicant that participates in a proceeding primarily on behalf of one or more other persons or entities that would be ineligible is not itself eligible for an award.
[47 FR 3786, Jan. 27, 1982, as amended at 52 FR 11653, Apr. 10, 1987; 61 FR 39898, July 31, 1996]
§ 1.1505 Standards for awards. (a) A prevailing party may receive an
award for fees and expenses incurred in connection either with an adversary adjudication, or with a significant and discrete substantive portion of an ad- versary adjudication in which the
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party has prevailed over the position of the Commission.
(1) The position of the Commission includes, in addition to the position taken by the Commission in the adver- sary adjudication, the action or failure to act by the agency upon which the adversary adjudication is based.
(2) An award will be reduced or de- nied if the Commission’s position was substantially justified in law and fact, if special circumstances make an award unjust, or if the prevailing party unduly or unreasonably protracted the adversary adjudication.
(b) If, in an adversary adjudication arising from a Commission action to enforce a party’s compliance with a statutory or regulatory requirement, the demand of the Commission is sub- stantially in excess of the decision in the adversary adjudication and is un- reasonable when compared with that decision, under the facts and cir- cumstances of the case, the party shall be awarded the fees and other expenses related to defending against the exces- sive demand, unless the party has com- mitted a willful violation of law or oth- erwise acted in bad faith, or special cir- cumstances make an award unjust. The ‘‘demand’’ of the Commission means the express demand which led to the adversary adjudication, but it does not include a recitation by the Commission of the maximum statutory penalty in the administrative complaint, or else- where when accompanied by an express demand for a lesser amount.
(c) The burden of proof that an award should not be made is on the appro- priate Bureau (see § 1.21) whose rep- resentative shall be called ‘‘Bureau counsel’’ in this subpart K.
[61 FR 39899, July 31, 1996]
§ 1.1506 Allowable fees and expenses. (a) Awards will be based on rates cus-
tomarily charged by persons engaged in the business of acting as attorneys, agents and expert witnesses.
(b) No award for the fee of an attor- ney or agent under these rules may ex- ceed $75.00, or for adversary adjudica- tions commenced on or after March 29, 1996, $125.00, per hour. No award to compensate an expert witness may ex- ceed the highest rate at which the Commission pays expert witnesses.
However, an award may also include the reasonable expenses of the attor- ney; agent, or witness as a separate item, if the attorney, agent or witness ordinarily charges its clients sepa- rately for such expenses.
(c) In determining the reasonableness of the fee sought for an attorney, agent or expert witness, the Administrative Law Judge shall consider the following:
(1) If the attorney, agent or witness is in private practice, his or her cus- tomary fee for similar services, or, if an employee of the applicant, the fully allocated cost of the services;
(2) The prevailing rate for similar services in the community in which the attorney, agent or witness ordinarily performs services;
(3) The time actually spent in the representation of the applicant;
(4) The time reasonably spent in light of the difficulty or complexity of the issues in the proceeding; and
(5) Such other factors as may bear on the value of the service provided.
(d) The reasonable cost of any study, analysis, engineering report, test, project or similar matter prepared on behalf of a party may be awarded, to the extent that the charge for the serv- ice does not exceed the prevailing rate for similar services, and the study or other matter was necessary for prepa- ration of the applicant’s case.
(e) Fees may be awarded only for work performed after designation of a proceeding or after issuance of a show cause order.
[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39899, July 31, 1996]
§ 1.1507 Rulemaking on maximum rates for attorney fees.
(a) If warranted by an increase in the cost of living or by special cir- cumstances (such as limited avail- ability of attorneys qualified to handle certain types of proceedings), the Com- mission may adopt regulations pro- viding that attorney fees may be awarded at a rate higher than $125.00 per hour in some or all of the types of proceedings covered by this part. The Commission will conduct any rule- making proceedings for this purpose under the informal rulemaking proce- dures of the Administrative Procedure Act.
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(b) Any person may file with the Commission a petition for rulemaking to increase the maximum rate for at- torney fees, in accordance with subpart C of this chapter. The petition should identify the rate the petitioner be- lieves this agency should establish and the types of proceedings in which the rate should be used. It should also ex- plain fully the reasons why the higher rate is warranted. This agency will re- spond to the petition by initiating a rulemaking proceeding, denying the petition, or taking other appropriate action.
[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39899, July 31, 1996]
§ 1.1508 Awards against other agen- cies.
If an applicant is entitled to an award because it prevails over another agency of the United States that par- ticipates in a proceeding before the Commission and takes a position that is not substantially justified, the award or an appropriate portion of the award shall be made against that agen- cy. Counsel for that agency shall be treated as Bureau counsel for the pur- pose of this subpart.
[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39899, July 31, 1996]
INFORMATION REQUIRED FROM APPLICANTS
§ 1.1511 Contents of application.
(a) An application for an award of fees and expenses under EAJA shall dentify the applicant and the pro- ceeding for which an award is sought. Unless the applicant is an individual, the application shall state the number of employees of the applicant and de- scribe briefly the type and purpose of its organization or business. The appli- cation shall also:
(1) Show that the applicant has pre- vailed and identify the position of an agency or agencies in the proceeding that the applicant alleges was not sub- stantially justified; or
(2) Show that the demand by the agency or agencies in the proceeding was substantially in excess of, and was unreasonable when compared with, the decision in the proceeding.
(b) The application shall also include a declaration that the applicant is a small entity as defined in 5 U.S.C. 601 or a statement that the applicant’s net worth does not exceed $2 million (if an individual) or $7 million (for all other applicants, including their affiliates). However, an applicant may omit the statement concerning its net worth if:
(1) It attaches a copy of a ruling by the Internal Revenue Service that it qualifies as an organization described in section 501(c)(3) of the Internal Rev- enue Code (26 U.S.C. 501(c)(3)) or, in the case of a tax-exempt organization not required to obtain a ruling from the In- ternal Revenue Service on its exempt status, a statement that describes the basis for the applicant’s belief that it qualifies under such section; or
(2) It states that it is a cooperative association as defined in section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).
(c) The application shall state the amount of fees and expenses for which an award is sought.
(d) The application may also include any other matters that the applicant wishes the Commission to consider in determining whether and in what amount an award should be made.
(e) The application shall be signed by the applicant or an authorized officer or attorney of the applicant. It shall also contain or be accompanied by a written verification under oath or under penalty of perjury that the infor- mation provided in the application is true and correct.
[47 FR 3786, Jan. 27, 1982, as amended at 52 FR 11653, Apr. 10, 1987; 61 FR 39899, July 31, 1996]
§ 1.1512 Net worth exhibit.
(a) Each applicant except a qualified tax-exempt organization or cooperative association must provide with its ap- plication a detailed exhibit showing the net worth of the applicant and any affiliates (as defined in § 1.1504(f) of this part) at the time the proceeding was designated. The exhibit may be in any form convenient to the applicant that provides full disclosure of the appli- cant’s and its affiliates’ assets and li- abilities and is sufficient to determine whether the applicant qualifies under
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the standards in this subpart. The Ad- ministrative Law Judge may require an applicant to file additional informa- tion to determine its eligibility for an award.
(b) Ordinarily, the net worth exhibit will be included in the public record of the proceeding. However, an applicant that objects to public disclosure of in- formation in any portion of the exhibit and believes there are legal grounds for withholding it from disclosure may submit that portion of the exhibit di- rectly to the Administrative Law Judge in a sealed enevelope labeled ‘‘Confidential Financial Information’’, accompanied by a motion to withhold the information from public disclosure. The motion shall describe the informa- tion sought to be withheld and explain, in detail, why it falls within one or more of the specific exemptions from mandatory disclosure under the Free- dom of Information Act, 5 U.S.C. 552(b)(1)–(9), why public disclosue of the information would adversely affect the applicant, and why disclosure is not re- quired in the public interest. The mate- rial in question shall be served on Bu- reau counsel, but need not be served on any other party to the proceeding. If the Administrative Law Judge finds that the information should not be withheld from disclosure, it shall be placed in the public record of the pro- ceeding. Otherwise, any request to in- spect or copy the exhibit shall be dis- posed of in accordance with the Com- mission’s established procedures under the Freedom of Information Act, §§ 0.441 through 0.466 of this chapter.
§ 1.1513 Documentation of fees and ex- penses.
The application shall be accompanied by full documentation of the fees and expenses, including the cost of any study, analysis, engineering report, test, project or similar matter, for which an award is sought. A separate itemized statement shall be submitted for each professional firm or individual whose services are covered by the ap- plication, showing hours spent in con- nection with the proceeding by each in- dividual, a description of the specific services performed, the rate at which each fee has been computed, any ex- penses for which reimbursement is
sought, the total amount claimed, and the total amount paid or payable by the applicant or by any other person or entity for the services provided. The Administrative Law Judge may require the applicant to provide vouchers, re- ceipts, or other substantiation for any expenses claimed.
[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39899, July 31, 1996]
§ 1.1514 When an application may be filed.
(a) An application may be filed when- ever the applicant has prevailed in the proceeding or in a significant and dis- crete substantive portion of the pro- ceeding, or when the demand of the Commission is substantially in excess of the decision in the proceeding, but in no case later than 30 days after the Commission’s final disposition of the proceeding.
(b) If review or reconsideration is sought or taken of a decision as to which an applicant believes it has pre- vailed, proceedings for the award of fees shall be stayed pending final dis- position of the underlying controversy.
(c) For purposes of this rule, final dis- position means the later of
(1) The date on which an initial deci- sion or other recommended disposition of the merits of the proceeding by an Administrative Law Judge becomes ad- ministratively final;
(2) Issuance of an order disposing of any petitions for reconsideration of the Commission’s order in the proceeding;
(3) If no petition for reconsideration is filed, the last date on which such pe- tition could have been filed;
(4) Issuance of a final order by the Commission or any other final resolu- tion of a proceeding, such as settle- ment or voluntary dismissal, which is not subject to a petition for reconsider- ation, or to a petition for judicial re- view; or
(5) Completion of judicial action on the underlying controversy and any subsequent Commission action pursu- ant to judicial mandate.
[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39899, July 31, 1996]
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PROCEDURES FOR CONSIDERING APPLICATIONS
§ 1.1521 Filing and service of docu- ments.
Any application for an award or other pleading relating to an applica- tion shall be filed and served on all par- ties to the proceeding in the same man- ner as other pleadings in the pro- ceeding, except as provided in § 1.1512(b) for confidential financial information.
§ 1.1522 Answer to application. (a) Within 30 days after service of an
application Bureau counsel may file an answer to the application. Unless Bu- reau counsel requests an extension of time for filing or files a statement of intent to negotiate under paragraph (b) of this section, failure to file an answer within the 30-day period may be treat- ed as a consent to the award request.
(b) If Bureau counsel and the appli- cant believe that the issues in the fee application can be settled, they may jointly file a statement of their intent to negotiate a settlement. The filing of this statement shall extend the time for filing an answer for an additional 30 days, and further extensions may be granted by the Administrative Law Judge upon request by Bureau counsel and the applicant.
(c) The answer shall explain in detail any objections to the award requested and identify the facts relied on in sup- port of Bureau counsel’s position. If the answer is based on any alleged facts not already in the record of the proceeding, Bureau counsel shall in- clude with the answer either sup- porting affidavits or a request for fur- ther proceedings under § 1.1526.
§ 1.1523 Reply. Within 15 days after service of an an-
swer, the applicant may file a reply. If the reply is based on any alleged facts not already in the record of the pro- ceeding, the applicant shall include with the reply either supporting affida- vits or a request for further pro- ceedings under § 1.1526.
§ 1.1524 Comments by other parties. Any party to a proceeding other than
the applicant and Bureau counsel may file comments on an application within
30 days after it is served or an answer within 15 days after it is served. A com- menting party may not participate fur- ther in proceedings on the application unless the Administrative Law Judge determines that the public interest re- quires such participation in order to permit full exploration of matters raised in the comments.
[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39899, July 31, 1996]
§ 1.1525 Settlement. The applicant and Bureau counsel
may agree on a proposed settlement of the award before final action on the ap- plication, either in connection with a settlement of the underlying pro- ceeding, or after the underlying pro- ceeding has been concluded. If a pre- vailing party and Bureau counsel agree on a proposed settlement of an award before an application has been filed, the application shall be filed with the proposed settlement. If the Adminis- trative Law Judge approves the pro- posed settlement, it shall be forwarded to the Commission for final approval.
§ 1.1526 Further proceedings. (a) Ordinarily, the determination of
an award will be made on the basis of the written record. However, on re- quest of either the applicant or Bureau counsel, or on his or her own initiative, the Administrative Law Judge may order further proceedings, such as an informal conference, oral argument, additional written submissions or, as to issues other than excessive demand or substantial justification, an evi- dentiary hearing. Such further pro- ceedings shall be held only when nec- essary for full and fair resolution of the issues arising from the application, and shall be conducted as promptly as pos- sible. Whether or not the position of the agency embodied an excessive de- mand or was substantially justified shall be determined on the basis of the administrative record, as a whole, which is made in the adversary adju- dication for which fees and other ex- penses are sought.
(b) A request that the Administrative Law Judge order further proceedings under this section shall specifically identify the information sought or the disputed issues and shall explain why
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the additional proceedings are nec- essary to resolve the issues.
[47 FR 3786, Jan. 27, 1982, as amended at 52 FR 11653, Apr. 10, 1987; 61 FR 39899, July 31, 1996]
§ 1.1527 Decision. The Administrative Law Judge shall
issue an initial decision on the applica- tion as soon as possible after comple- tion of proceedings on the application. The decision shall include written find- ings and conclusions regarding the ap- plicant’s eligibility and whether the applicant was a prevailing party or whether the demand by the agency or agencies in the proceeding was sub- stantially in excess of, and was unrea- sonable when compared with, the deci- sion in the adversary adjudication, and an explanation of the reasons for any difference between the amount re- quested and the amount awarded. The decision shall also include, if at issue, findings on whether the Commission’s position substantially justified, wheth- er the applicant unduly protracted the proceedings, committed a willful viola- tion of law, or otherwise acted in bad faith, or whether special circumstances make an award unjust. If the applicant has sought an award against more than one agency, the decision shall allocate responsibility for payment of any award made among the agencies, and shall explain the reasons for the alloca- tion made.
[61 FR 39900, July 31, 1996]
§ 1.1528 Commission review. Either the applicant or Bureau coun-
sel may seek Commission review of the initial decision on the application, or the Commission may decide to review the decision on its own initiative, in accordance with §§ 1.276 through 1.282 of this chapter. Except as provided in § 1.1525, if neither the applicant nor Bu- reau counsel seeks review and the Com- mission does not take review on its own initiative, the initial decision on the application shall become a final de- cision of the Commission 50 days after it is issued. Whether to review a deci- sion is a matter within the discretion of the Commission. If review is taken, the Commission will issue a final deci- sion on the application or remand the
application to the Administrative Law Judge for further proceedings.
[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39900, July 31, 1996]
§ 1.1529 Judicial review. Judicial review of final agency deci-
sions on awards may be sought as pro- vided in 5 U.S.C. 504(c)(2).
§ 1.1530 Payment of award. An applicant seeking payment of an
award from the Commission shall sub- mit to the General Counsel a copy of the Commission’s final decision grant- ing the award, accompanied by a state- ment that the applicant will not seek review of the decision in the United States courts, or a copy of the court’s order directing payment. The Commis- sion will pay the amount awarded to the applicant unless judicial review of the award or the underlying decision of the adversary adjudication has been sought by the applicant or any other party to the proceeding.
Subpart L—Random Selection Pro- cedures for Mass Media Serv- ices
AUTHORITY: 47 U.S.C. 309(i).
SOURCE: 48 FR 27202, June 13, 1983, unless otherwise noted.
GENERAL PROCEDURES
§ 1.1601 Scope. The provisions of this subpart, and
the provisions referenced herein, shall apply to applications for initial li- censes or construction permits or for major changes in the facilities of au- thorized stations in the following serv- ices:
(a)–(b) [Reserved]
[48 FR 27202, June 13, 1983, as amended at 63 FR 48622, Sept. 11, 1998]
§ 1.1602 Designation for random selec- tion.
Applications in the services specified in § 1.1601 shall be tendered, accepted or dismissed, filed, publicly noted and subject to random selection and hear- ing in accordance with any relevant rules. Competing applications for an initial license or construction permit
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shall be designated for random selec- tion and hearing in accordance with the procedures set forth in §§ 1.1603 through 1.1623 and § 73.3572 of this chap- ter.
§ 1.1603 Conduct of random selection.
The random selection probabilities will be calculated in accordance with the formula set out in rules §§ 1.1621 through 1.1623.
[48 FR 27202, June 13, 1983, as amended at 48 FR 43330, Sept. 23, 1983]
§ 1.1604 Post-selection hearings.
(a) Following the random selection, the Commission shall announce the ‘‘tentative selectee’’ and, where per- mitted by § 73.3584 invite Petitions to Deny its application.
(b) If, after such hearing as may be necessary, the Commission determines that the ‘‘tentative selectee’’ has met the requirements of § 73.3591(a) it will make the appropriate grant. If the Commission is unable to make such a determination, it shall order that an- other random selection be conducted from among the remaining mutually exclusive applicants, in accordance with the provisions of this subpart.
(c) If, on the basis of the papers be- fore it, the Commission determines that a substantial and material ques- tion of fact exists, it shall designate that question for hearing. Hearings may be conducted by the Commission or, in the case of a matter which re- quires oral testimony for its resolu- tion, an Administrative Law Judge.
[48 FR 27202, June 13, 1983, as amended at 63 FR 48622, Sept. 11, 1998]
§ 1.1621 Definitions.
(a) Medium of mass communications means:
(1) A daily newspaper; (2) A cable television system; and (3) A license or construction permit
for (i) A television station, including low
power TV or TV translator, (ii) A standard (AM) radio station, (iii) An FM radio station, (iv) A direct broadcast satellite
transponder under the editorial control of the licensee, and
(v) A Multipoint Distribution Service station.
(b) Minority group means: (1) Blacks, (2) Hispanics (3) American Indians, (4) Alaska Natives, (5) Asians, and (6) Pacific Islanders. (c) Owner means the applicant and
any individual, partnership, trust, un- incorporated association, or corpora- tion which:
(1) If the applicant is a proprietor- ship, is the proprietor,
(2) If the applicant is a partnership, holds any partnership interest,
(3) If the applicant is a trust, is the beneficiary thereof,
(4) If the applicant is an unincor- porated association or non-stock cor- poration, is a member, or, in the case of a nonmembership association or cor- poration, a director,
(5) If the applicant is a stock corpora- tion, is the beneficial owner of voting shares.
NOTE 1: For purposes of applying the diver- sity preference to such entities only the other ownership interests of those with a 1% or more beneficial interest in the entity will be cognizable.
NOTE 2: For the purposes of this section, a daily newspaper is one which is published four or more days per week, which is in the English language, and which is circulated generally in the community of publication. A college newspaper is not considered as being circulated generally.
NOTE 3: For the purposes of applying the diversity preference, the ownership interests of the spouse of an applicant’s principal will not presumptively be attributed to the appli- cant.
[48 FR 27202, June 13, 1983, as amended at 50 FR 5992, Feb. 13, 1985]
§ 1.1622 Preferences. (a) Any applicant desiring a
perference in the random selection shall so indicate as part of its applica- tion. Such an applicant shall list any owner who owns all or part of a me- dium of mass communications or who is a member of a minority group, to- gether with a precise identification of the ownership interest held in such me- dium of mass communications or name of the minority group, respectively. Such an applicant shall also state
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whether more than 50% of the owner- ship interests in it are held by mem- bers of minority groups and the num- ber of media of mass communications more than 50% of whose ownership in- terests are held by the applicant and/or its owners.
(b) Preference factors as incorporated in the percentage calculations in § 1.1623, shall be granted as follows:
(1) Applicants, more than 50% of whose ownership interests are held by members of minority groups—2:1.
(2) Applicants whose owners in the aggregate hold more than 50% of the ownership interests in no other media of mass communications—2:1.
(3) Applicants whose owners in the aggregate hold more than 50% of the ownership interest in one, two or three other media of mass communications— 1.5:1.
(c) Applicants may receive pref- erences pursuant to § 1.1622(b)(1) and ei- ther § 1.1622 (b)(2) or (b)(3).
(d) Preferences will be determined on the basis of ownership interests as of the date of release of the latest Public Notice announcing the acceptance of the last-filed mutually exclusive appli- cation.
(e) No preferences pursuant to § 1.1622 (b)(2) or (b)(3) shall be granted to any LPTV or MDS applicant whose owners, when aggregated, have an ownership interest of more than 50 percent in the following media of mass communica- tions, if the service areas of those media as described herein wholly en- compass or are encompassed by the protected predicted contour, computed in accordance with § 74.707(a), of the low power TV or TV translator station for which the license or permit is sought, or computed in accordance with § 21.902(d), of the MDS station for which the license or permit is sought.
(1) AM broadcast station—predicted or measured 2 mV/m groundwave con- tour, computed in accordance with § 73.183 or § 73.186;
(2) FM broadcast station—predicted 1 mV/m contour, computed in accordance with § 73.313;
(3) TV broadcast station—Grade A contour, computed in accordance with § 73.684;
(4) Low power TV or TV translator station—protected predicted contour, computed in accordance with § 74.707(a);
(5) Cable television system franchise area, nor will the diversity preference be available to applicants whose pro- posed transmitter site is located within the franchise area of a cable system in which its owners, in the aggregate, have an ownership interest of more than 50 percent.
(6) Daily newspaper community of publication, nor will the diversity pref- erence be available to applicants whose proposed transmitter site is located within the community of publication of a daily newspaper in which its owners, in the aggregate, have an ownership in- terest of more than 50 percent.
(7) Multipoint Distribution Service— station service area, computed in ac- cordance with § 21.902(d).
[48 FR 27202, June 13, 1983, as amended at 50 FR 5992, Feb. 13, 1985; 50 FR 11161, Mar. 20, 1985]
§ 1.1623 Probability calculation.
(a) All calculations shall be com- puted to no less than three significant digits. Probabilities will be truncated to the number of significant digits used in a particular lottery.
(b) Divide the total number of appli- cants into 1.00 to determine pre-pref- erence probabilities.
(c) Multiply each applicant’s pre- preference probability by the applica- ble preference from §1.1622 (b)(2) or (b)(3).
(d) Divide each applicant’s prob- ability pursuant to paragraph (c) of this section by the sum of such prob- abilities to determine intermediate probabilities.
(e) Add the intermediate prob- abilities of all applicants who received a preference pursuant to § 1.1622 (b)(2) or (b)(3).
(f)(1) If the sum pursuant to para- graph (e) of this section is .40 or great- er, proceed to paragraph (g) of this sec- tion.
(2) If the sum pursuant to paragraph (e) of this section is less than .40, then multiply each such intermediate prob- ability by the ratio of .40 to such sum. Divide .60 by the number of applicants
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who did not receive a preference pursu- ant to § 1.1622 (b)(2) or (b)(3) to deter- mine their new intermediate prob- abilities.
(g) Multiply each applicant’s prob- ability pursuant to paragraph (f) of this section by the applicable pref- erence ratio from §1.1622(b)(1).
(h) Divide each applicant’s prob- ability pursuant to paragraph (g) of this section by the sum of such prob- abilities to determine the final selec- tion percentage.
Subpart M—Cable Operations and Licensing System (COALS)
SOURCE: 68 FR 27001, May 19, 2003, unless otherwise noted.
§ 1.1701 Purpose.
To provide electronic filing of appli- cations, notifications, registration statements, reports, and related docu- ments in the Multichannel Video and Cable Television Services and the Cable Television Relay Services.
§ 1.1702 Scope.
This subpart applies to filings re- quired by §§ 76.403, 76.1610, 76.1801, 76.1803, & 76.1804, and 78.11 through 78.36 of this chapter.
§ 1.1703 Definitions.
For purposes of this subpart, the fol- lowing definitions apply:
(a) Application. A request on Form 327 for a station license as defined in Sec- tion 3(b) of the Communications Act, completed in accordance with § 78.15 and signed in accordance with § 78.16 of this chapter, or a similar request to amend a pending application or to modify or renew an authorization. The term also encompasses requests to as- sign rights granted by the authoriza- tion or to transfer control of entities holding authorizations.
(b) Authorization. A written instru- ment issued by the FCC conveying au- thority to operate, for a specified pe- riod, a station in the Cable Television Relay Service. In addition, this term includes authority conveyed by oper- ation of rule upon filing notification of aeronautical frequency usage by
MVPDs or registration statements by cable operators.
(c) Cable Operations And Licensing System (COALS). The consolidated data- base, application filing system, and processing system for Multichannel Video and Cable Television Services (MVCTS) and the Cable Television Relay Service (CARS). COALS supports electronic filing of all applications, no- tifications, registrations, reports, and related documents by applicants and li- censees in the MVCTS and CARS, and provides public access to licensing in- formation.
(d) Cable Television Relay Service (CARS). All services authorized under part 78 of this title.
(e) Filings. Any application, notifica- tion, registration statement, or report in plain text or, when as prescribed, on FCC Forms 320, 321, 322, 324, 325, or 327, whether filed in paper form or elec- tronically.
(f) Multichannel Video and Cable Tele- vision Services (MVCTS). All services au- thorized or operated in accordance with part 76 of this title.
(g) Receipt date. The date an elec- tronic or paper application is received at the appropriate location at the Com- mission or the lock box bank. Major amendments to pending applications as defined in § 78.109 of this chapter, will result in the assignment of a new re- ceipt date.
(h) Signed. For manually filed appli- cations only, an original hand-written signature. For electronically filed ap- plications only, an electronic signa- ture. An electronic signature shall con- sist of the name of the applicant trans- mitted electronically via COALS and entered on the filing as a signature.
§ 1.1704 Station files. Applications, notifications, cor-
respondence, electronic filings and other material, and copies of author- izations, comprising technical, legal, and administrative data relating to each system in the Multichannel Video and Cable Television Services (MVCTS) and the Cable Television Relay Service (CARS) are maintained by the Commis- sion in COALS and the Public Ref- erence Room. These files constitute the official records for these stations and supersede any other records, database
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or lists from the Commission or other sources.
§ 1.1705 Forms; electronic and manual filing.
(a) Application forms. Operators in the Multichannel Video and Cable Tele- vision Services (MVCTS) and appli- cants and licensees the Cable Tele- vision Relay Service (CARS) shall use the following forms and associated schedules:
(1) FCC Form 320, Basic Signal Leakage Performance Report. FCC Form 320 is used by MVPDs to report compliance with the basic signal leakage perform- ance criteria.
(2) FCC Form 321, Aeronautical Fre- quency Notification. FCC Form 321 is used by MVPDs to notify the Commis- sion prior to operating channels in the aeronautical frequency bands.
(3) FCC Form 322, Cable Community Registration. FCC Form 322 is used by cable system operators to commence operation for each community unit.
(4) FCC Form 324, Operator, Address, and Operational Information Changes. FCC Form 324 is used by cable opera- tors to notify the Commission of changes in administrative data about the operator and operational status changes.
(5) FCC Form 325, Cable Television Sys- tem Report. FCC Form 325 is used by cable operators to report general infor- mation and signal and frequency dis- tribution data.
(6) FCC Form 327, Application for Cable Television Relay Service Station License. FCC Form 327 and associated schedules is used to apply for initial authoriza- tions, modifications to existing author- izations, amendments to pending appli- cations, and renewals of station au- thorizations. FCC Form 327 is also used to apply for Commission consent to as- signments of existing CARS authoriza- tions and to apply for Commission con- sent to the transfer of control of enti- ties holding CARS authorizations.
(b) Electronic filing. Six months after the Commission announces their avail- ability for electronic filing, all applica- tions and other filings using FCC Forms 320, 321, 322, 324, 325, and 327 and their respective associated schedules must be filed electronically in accord-
ance with the electronic filing instruc- tions provided by COALS.
(1) There will be two ways for parties to electronically file applications with the Commission: batch and interactive.
(i) Batch filing. Batch filing involves data transmission in a single action. Batch filers will follow a set Commis- sion format for entering data. Batch filers will then send, via file transfer protocol, batches of data to the Com- mission for compiling. COALS will compile such filings overnight and re- spond the next business day with a re- turn or dismissal of any defective fil- ings. Thus, batch filers will not receive immediate correction from the system as they enter the information.
(ii) Interactive filing. Interactive fil- ing involves data transmission with screen-by-screen prompting from the Commission’s COALS system. Inter- active filers will receive prompts from the system identifying data entries outside the acceptable ranges of data for the individual fields at the time the data entry is made.
(2) Attachments to applications must be uploaded along with the electroni- cally filed application whenever pos- sible.
(3) Any associated documents sub- mitted with an application must be uploaded as attachments to the appli- cation whenever possible. The attach- ment should be uploaded via COALS in Adobe Acrobat Portable Document Format (PDF) whenever possible.
(c) Manual filing. (1) Forms 320, 321, 322, 324, 325, and 327 may be filed manu- ally.
(2) Manual filings must be submitted to the Commission at the appropriate address with the appropriate filing fee. The addresses for filing and the fee amounts for particular applications are listed in subpart G of this part, and in the appropriate fee filing guide for each service available from the Com- mission’s Forms Distribution Center by calling 1–800–418–FORM (3676). The form may be downloaded from the Commission’s Web site: http:// www.fcc.gov.
(3) Manual filings requiring fees as set forth at subpart G, of this part must be filed in accordance with § 0.401(b) of this chapter.
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(4) Manual filings that do not require fees must be addressed and sent to the Media Bureau, Federal Communica- tions Commission, 445 12th Street, SW., Washington, DC 20554.
(5) FCC forms may be reproduced and the copies used in accordance with the provisions of § 0.409 of this chapter.
(d) Applications requiring prior coordi- nation. Parties filing applications that require frequency coordination shall, prior to filing, complete all applicable frequency coordination requirements in § 78.36 of this chapter.
§ 1.1706 Content of filings.
(a) General. Filings must contain all information requested on the applica- ble form and any additional informa- tion required by the rules in this title and any rules pertaining to the specific service for which the filing is made.
(b) Antenna locations. Applications for CARS stations and aeronautical fre- quency usage notifications must de- scribe each transmitting antenna site or center of the cable system, respec- tively, by its geographical coordinates. Geographical coordinates must be spec- ified in degrees, minutes, and seconds to the nearest tenth of a second of lati- tude and longitude. Submissions must provide such data using the NAD83 datum.
(c) Antenna structure registration. Owners of certain antenna structures must notify the Federal Aviation Ad- ministration and register with the Commission as required by Part 17 of this chapter. Applications proposing the use of one or more new or existing antenna structures must contain the FCC Antenna Registration Number(s) of each structure for which registra- tion is required. If registration is not required, the applicant must provide information in its application suffi- cient for the Commission to verify this fact.
(d) Environmental concerns. Each ap- plicant is required to indicate at the time its application is filed whether a Commission grant of the application may have a significant environmental effect, as defined by § 1.1307. If yes, an Environmental Assessment, required by § 1.1311, must be filed with the appli- cation and environmental review by
the Commission must be completed prior to construction.
(e) International coordination. Channel assignments and usage under part 78 are subject to the applicable provisions and requirements of treaties and other international agreements between the United States government and the gov- ernments of Canada and Mexico.
(f) Taxpayer Identification Number (TINs). All filers are required to pro- vide their Taxpayer Identification Numbers (TINS) (as defined in 26 U.S.C. 6109) to the Commission, pursuant to the Debt Collection Improvement Act of 1996 (DCIA). Under the DCIA, the FCC may use an applicant or licensee’s TIN for purposes of collecting and re- porting to the Department of the Treasury any delinquent amounts aris- ing out of such person’s relationship with the Government.
§ 1.1707 Acceptance of filings.
Regardless of filing method, all sub- missions with an insufficient fee, gross- ly deficient or inaccurate information, or those without a valid signature will be dismissed immediately. For any submission that is found subsequently to have minimally deficient or inac- curate information, we will notify the filer of the defect. We will allow 15 days from the date of this notification for correction or amendment of the submission if the amendment is minor. If the applicant files a timely corrected application, it will ordinarily be proc- essed as a minor amendment in accord- ance with the Commission’s rules. Thus it will have no effect on the ini- tial filing date of the application or the applicant’s filing priority. If, however, the amendment made by the applicant is not a simple correction, but con- stitutes a major amendment to the ap- plication, it will be governed by the rules and procedures applicable to major amendments, that is, it will be treated as a new application with a new filing date and new fees must be paid by the applicant. Finally, if the applicant fails to submit an amended application within the period specified in the notification, the application will be subject to dismissal for failure to prosecute.
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47 CFR Ch. I (10–1–10 Edition)§ 1.1801
Subpart N—Enforcement of Non- discrimination on the Basis of Disability In Programs or Ac- tivities Conducted By the Fed- eral Communications Com- mission
SOURCE: 68 FR 22316, Apr. 28, 2003, unless otherwise noted.
§ 1.1801 Purpose. The purpose of this part is to effec-
tuate section 119 of the Rehabilitation, Comprehensive Services, and Develop- mental Disabilities Amendments of 1978, which amended section 504 of the Rehabilitation Act of 1973 (section 504) to prohibit discrimination on the basis of disability in programs or activities conducted by Executive agencies or the United States Postal Service.
§ 1.1802 Applications. This part applies to all programs or
activities conducted by the Federal Communications Commission. The pro- grams or activities of entities that are licensed or certified by the Federal Communications Commission are not covered by these regulations.
§ 1.1803 Definitions. For purposes of this part, the term— Auxiliary aids means services or de-
vices that enable persons with im- paired sensory, manual, or speaking skills to have an equal opportunity to participate in, and enjoy the benefits of, programs or activities conducted by the Commission. For example, auxil- iary aids useful for persons with im- paired vision include readers, Brailled materials, audio recordings, and other similar services and devices. Auxiliary aids useful for persons with impaired hearing include telephone handset am- plifiers, telephones compatible with hearing aids, telecommunication de- vices for deaf persons (TTY/TDDs), in- terpreters, Computer-aided realtime transcription (CART), captioning, notetakers, written materials, and other similar services and devices.
Commission means Federal Commu- nications Commission.
Complete complaint means a written statement, or a complaint in audio, Braille, electronic, and/or video for-
mat, that contains the complainant’s name and address and describes the Commission’s alleged discriminatory action in sufficient detail to inform the Commission of the nature and date of the alleged violation of section 504. It shall be signed by the complainant or by someone authorized to do so on his or her behalf. The signature of the complainant, or signature of someone authorized by the complainant to do so on his or her behalf, shall be provided on print complaints. Complaints in audio, Braille, electronic, and/or video formats shall contain an affirmative identity statement of the individual, which for this purpose shall be consid- ered to be functionally equivalent to a complainant’s signature. Complaints filed on behalf of classes or third par- ties shall describe or identify (by name, if possible) the alleged victims of discrimination.
Facility means all or any portion of buildings, structures, equipment, roads, walks, parking lots, or other real or personal property.
General Counsel means the General Counsel of the Federal Communica- tions Commission.
Individual with a disability means any individual who has a physical or men- tal impairment that substantially lim- its one or more major life activities, has a record of such an impairment, or is regarded as having such an impair- ment. As used in this definition, the phrase:
(1) Physical or mental impairment in- cludes, but is not limited to—
(i) Any physiological disorder or con- dition, cosmetic disfigurement, or ana- tomical loss affecting one or more of the following body systems: Neuro- logical; musculoskeletal; special sense organs; respiratory, including speech organs; cardiovascular; reproductive; digestive; genitourinary; hemic and lymphatic; skin; and endocrine;
(ii) Any mental or psychological dis- order, such as mental retardation, or- ganic brain syndrome, emotional or mental illness, and specific learning disabilities;
(iii) Diseases and conditions such as orthopedic, visual, speech, and hearing impairments; cerebral palsy; epilepsy; muscular dystrophy; multiple sclerosis; cancer; heart disease; diabetes; mental
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retardation; emotional illness; and drug addiction and alcoholism.
(2) Major life activities include func- tions such as caring for one’s self, per- forming manual tasks, walking, seeing, hearing, speaking, breathing, learning, and working.
(3) Has a record of such an impairment means has a history of, or has been misclassified as having, a mental or physical impairment that substantially limits one or more major life activi- ties.
(4) Is regarded as having an impairment means—
(i) Has a physical or mental impair- ment that does not substantially limit major life activities but is treated by the Commission as constituting such a limitation;
(ii) Has a physical or mental impair- ment that substantially limits major life activities only as a result of the at- titudes of others toward such impair- ment; or
(iii) Has none of the impairments de- fined in paragraph (1) of this definition but is treated by the Commission as having such impairment.
Managing Director means the indi- vidual delegated authority as described in 47 CFR 0.11.
Programs or Activities mean any activ- ity of the Commission permitted or re- quired by its enabling statutes, includ- ing but not limited to any licensing or certification program, proceeding, in- vestigation, hearing, meeting, board or committee.
Qualified individual with a disability means—
(1) With respect to any Commission program or activity under which an in- dividual is required to perform services or to achieve a level of accomplish- ment, an individual with a disability who, with or without reasonable modi- fication to rules, policies, or practices or the provision of auxiliary aids, meets the essential eligibility require- ments for participation in the program or activity and can achieve the purpose of the program or activity; or
(2) With respect to any other pro- gram or activity, an individual with a disability who, with or without reason- able modification to rules, policies, or practices or the provision of auxiliary aids, meets the essential eligibility re-
quirements for participation in, or re- ceipt of benefits from, that program or activity; or
(3) The definition of that term as de- fined for purposes of employment in 29 CFR 1630.2(m), which is made applica- ble to this part by § 1.1840.
Section 504 means section 504 of the Rehabilitation Act of 1973, Public Law 93–112, 87 Stat. 394, 29 U.S.C. 794, as amended by the Rehabilitation Act Amendments of 1974, Public Law 93–516, 88 Stat. 1617, and the Rehabilitation, Comprehensive Services, and Develop- mental Disabilities Amendments of 1978, Public Law 95–602, 92 Stat. 2955, and the Rehabilitation Act Amend- ments of 1986, sec. 103(d), Public Law 99–506, 100 Stat. 1810. As used in this part, section 504 applies only to pro- grams or activities conducted by Exec- utive agencies and not to federally as- sisted programs.
Section 504 Officer is the Commission employee charged with overseeing the Commission’s section 504 programs and activities.
§ 1.1805 Federal Communications Com- mission Section 504 Programs and Activities Accessibility Handbook.
The Consumer & Governmental Af- fairs Bureau shall publish a ‘‘Federal Communications Commission Section 504 Programs and Activities Accessi- bility Handbook’’ (‘‘Section 504 Hand- book’’) for Commission staff, and shall update the Section 504 Handbook as necessary and at least every three years. The Section 504 Handbook shall be available to the public in hard copy upon request and electronically on the Commission’s Internet website. The Section 504 Handbook shall contain procedures for releasing documents, holding meetings, receiving comments, and for other aspects of Commission programs and activities to achieve ac- cessibility. These procedures will en- sure that the Commission presents a consistent and complete accommoda- tion policy pursuant to 29 U.S.C. 794, as amended. The Section 504 Handbook is for internal staff use and public infor- mation only, and is not intended to create any rights, responsibilities, or independent cause of action against the Federal Government.
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§ 1.1810 Review of compliance.
(a) The Commission shall, beginning in 2004 and at least every three years thereafter, review its current policies and practices in view of advances in relevant technology and achievability. Based on this review, the Commission shall modify its practices and proce- dures to ensure that the Commission’s programs and activities are fully acces- sible.
(b) The Commission shall provide an opportunity to interested persons, in- cluding individuals with disabilities or organizations representing individuals with disabilities, to participate in the review process by submitting com- ments. Written comments shall be signed by the commenter or by some- one authorized to do so on his or her behalf. The signature of the com- menter, or signature of someone au- thorized by the commenter to do so on his or her behalf, shall be provided on print comments. Comments in audio, Braille, electronic, and/or video for- mats shall contain an affirmative iden- tity statement of the individual, which for this purpose shall be considered to be functionally equivalent to a com- menter’s signature.
(c) The Commission shall maintain on file and make available for public inspection for four years following completion of the compliance review—
(1) A description of areas examined and problems identified;
(2) All comments and complaints filed regarding the Commission’s com- pliance; and
(3) A description of any modifications made.
§ 1.1811 Notice.
The Commission shall make avail- able to employees, applicants, partici- pants, beneficiaries, and other inter- ested persons information regarding the regulations set forth in this part, and their applicability to the programs or activities conducted by the Commis- sion. The Commission shall make such information available to such persons in such manner as the Section 504 Offi- cer finds necessary to apprise such per- sons of the protections against dis- crimination assured them by section 504.
§ 1.1830 General prohibitions against discrimination.
(a) No qualified individual with a dis- ability shall, on the basis of disability, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity conducted by the Commission.
(b) Discriminatory actions prohib- ited.
(1) The Commission, in providing any aid, benefit, or service, may not, di- rectly or through contractual, licens- ing, or other arrangements, on the basis of disability—
(i) Deny a qualified individual with a disability the opportunity to partici- pate in or benefit from the aid, benefit, or service;
(ii) Afford a qualified individual with a disability an opportunity to partici- pate in or benefit from the aid, benefit, or service that is not equal to that af- forded others;
(iii) Provide a qualified individual with a disability with an aid, benefit, or service that is not as effective in af- fording equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achieve- ment as that provided to others;
(iv) Provide different or separate aid, benefits, or services to individuals with disabilities or to any class of individ- uals with disabilities than is provided to others unless such action is nec- essary to provide qualified individuals with disabilities with aid, benefits, or services that are as effective as those provided to others;
(v) Deny a qualified individual with a disability the opportunity to partici- pate as a member of planning or advi- sory boards; or
(vi) Otherwise limit a qualified indi- vidual with a disability in the enjoy- ment of any right, privilege, advan- tage, or opportunity enjoyed by others receiving the aid, benefit, or service.
(2) The Commission may not deny a qualified individual with a disability the opportunity to participate in any program or activity even where the Commission is also providing equiva- lent permissibly separate or different programs or activities for persons with disabilities.
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Federal Communications Commission § 1.1849
(3) The Commission may not, directly or through contractual or other ar- rangements, utilize criteria or methods of administration—
(i) That have the purpose or effect of subjecting qualified individuals with disabilities to discrimination on the basis of disability; or
(ii) That have the purpose or effect of defeating or substantially impairing accomplishment of the objectives of a program or activity with respect to in- dividuals with disabilities.
(4) The Commission may not, in de- termining the site or location of a fa- cility, make selections—
(i) That have the purpose or effect of excluding individuals with disabilities from, denying them the benefits of, or otherwise subjecting them to discrimi- nation under any program or activity conducted by the Commission; or
(ii) That have the purpose or effect of defeating or substantially impairing the accomplishment of the objectives of a program or activity with respect to individuals with disabilities.
(5) The Commission, in the selection of procurement contractors, may not use criteria that subject qualified indi- viduals with disabilities to discrimina- tion on the basis of disability.
(6) The Commission may not admin- ister a licensing or certification pro- gram in a manner that subjects quali- fied individuals with disabilities to dis- crimination on the basis of disability, nor may the Commission establish re- quirements for the programs or activi- ties of licensees or certified entities that subject qualified individuals with disabilities to discrimination on the basis of disability. However, the pro- grams or activities of entities that are licensed or certified by the Commission are not, themselves, covered by this part.
(7) The Commission shall make rea- sonable modifications in policies, prac- tices, or procedures when the modifica- tions are necessary to avoid discrimi- nation on the basis of disability, unless the Commission can demonstrate that making the modifications would fun- damentally alter the nature of the pro- gram, service, or activity.
(c) This part does not prohibit the ex- clusion of persons without disabilities from the benefits of a program limited
by Federal statute or Executive order to individuals with disabilities, or the exclusion of a specific class of individ- uals with disabilities from a program limited by Federal statute or Execu- tive order to a different class of indi- viduals with disabilities.
(d) The Commission shall administer programs and activities in the most in- tegrated setting appropriate to the needs of qualified individuals with dis- abilities.
§ 1.1840 Employment. No qualified individual with a dis-
ability shall, on the basis of disability, be subjected to discrimination in em- ployment under any program or activ- ity conducted by the Commission. The definitions, requirements and proce- dures of section 501 of the Rehabilita- tion Act of 1973, 29 U.S.C. 791, as estab- lished by the Equal Employment Op- portunity Commission in 29 CFR parts 1614 and 1630, as well as the procedures set forth in the Basic Negotiations Agreement Between the Federal Com- munications Commission and National Treasury Employees Union, as amend- ed, and Subchapter III of the Civil Service Reform Act of 1978, 5 U.S.C. 7121(d), shall apply to employment in federally conducted programs or activi- ties.
§ 1.1849 Program accessibility: Dis- crimination prohibited.
(a) Except as otherwise provided in § 1.1850, no qualified individual with a disability shall, because the Commis- sion’s facilities are inaccessible to, or unusable, by individuals with disabil- ities, be denied the benefits of, be ex- cluded from participation in, or other- wise be subjected to discrimination under any program or activity con- ducted by the Commission.
(b) Individuals shall request accessi- bility to the Commission’s programs and facilities by contacting the Com- mission’s Section 504 Officer. Such con- tact may be made in the manner indi- cated in the FCC Section 504 Hand- book. The Commission will make every effort to provide accommodations re- quiring the assistance of other persons (e.g., American Sign Language inter- preters, communication access realtime translation (CART) providers,
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transcribers, captioners, and readers) if the request is made to the Commis- sion’s Section 504 Officer a minimum of five business days in advance of the program. If such requests are made fewer than five business days prior to an event, the Commission will make every effort to secure accommodation services, although it may be less likely that the Commission will be able to se- cure such services.
§ 1.1850 Program accessibility: Exist- ing facilities.
(a) General. Except as otherwise pro- vided in this paragraph, the Commis- sion shall operate each program or ac- tivity so that the program or activity, when viewed in its entirety, is readily accessible to and usable by individuals with disabilities. This paragraph does not—
(1) Necessarily require the Commis- sion to make each of its existing facili- ties accessible to and usable by individ- uals with disabilities;
(2) Require the Commission to take any action that it can demonstrate would result in a fundamental alter- ation in the nature of a program or ac- tivity, or in undue financial and ad- ministrative burdens. In those cir- cumstances where Commission per- sonnel believe that the proposed action would fundamentally alter the program or activity or would result in undue fi- nancial and administrative burdens, the Commission has the burden of proving that compliance with § 1.1850(a) would result in such alteration or bur- dens. The decision that compliance would result in such alteration or bur- dens must be made by the Managing Director, in consultation with the Sec- tion 504 Officer, after considering all Commission resources available for use in the funding and operation of the conducted program or activity, and must be accompanied by a written statement of the reasons for reaching that conclusion. If an action would re- sult in such an alteration or such bur- dens, the Commission shall take any other action that would not result in such an alteration or such burdens but would nevertheless ensure that individ- uals with disabilities receive the bene- fits and services of the program or ac- tivity.
(b) Methods. The Commission may comply with the requirements of this section through such means as the re- design of equipment, reassignment of services to accessible buildings, assign- ment of aides to beneficiaries, home visits, delivery of services at alternate accessible sites, alteration of existing facilities and construction of new fa- cilities, or any other methods that re- sult in making its programs or activi- ties readily accessible to and usable by individuals with disabilities. The Com- mission is not required to make struc- tural changes in existing facilities where other methods are effective in achieving compliance with this sec- tion. The Commission, in making alter- ations to existing buildings, shall meet accessibility requirements to the ex- tent compelled by the Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151–4157), and any regulations implementing it. In choosing among available methods for meeting the re- quirements of this section, the Com- mission shall give priority to those methods that offer programs and ac- tivities to qualified individuals with disabilities in the most integrated set- ting appropriate.
(c) Time period for compliance. The Commission shall comply with the ob- ligations established under this section within sixty (60) days of the effective date of this subpart, except that where structural changes in facilities are un- dertaken, such changes shall be made within three (3) years of the effective date of this part.
(d) Transition plan. In the event that structural changes to facilities will be undertaken to achieve program acces- sibility, the Commission shall develop, within six (6) months of the effective date of this subpart, a transition plan setting forth the steps necessary to complete such changes. The Commis- sion shall provide an opportunity to in- terested persons, including individuals with disabilities or organizations rep- resenting individuals with disabilities, to participate in the development of the transition plan by submitting com- ments (both oral and written). A copy of the transitional plan shall be made available for public inspection. The plan shall, at a minimum—
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Federal Communications Commission § 1.1870
(1) Identify physical obstacles in the Commission’s facilities that limit the accessibility of its programs or activi- ties to individuals with disabilities;
(2) Describe in detail the methods that will be used to make the facilities accessible;
(3) Specify the schedule for taking the steps necessary to achieve compli- ance with this section and, if the time period of the transition plan is longer than one (1) year, identify steps that will be taken during each year of the transition period; and
(4) Indicate the official responsible for implementation of the plan.
§ 1.1851 Building accessibility: New construction and alterations.
Each building or part of a building that is constructed or altered by, on behalf of, or for the use of the Commis- sion shall be designed, constructed, or altered so as to be readily accessible to and usable by individuals with disabil- ities. The definitions, requirements and standards of the Architectural Barriers Act, 42 U.S.C. 4151–4157, as established in 41 CFR 101–19.600 to 101–19.607, apply to buildings covered by this section.
§ 1.1870 Compliance procedures. (a) Except as provided in paragraph
(b) of this section, this section applies to all allegations of discrimination on the basis of disability in programs or activities conducted by the Commis- sion.
(b) The Commission shall process complaints alleging violations of sec- tion 504 with respect to employment according to the procedures established by the Equal Employment Opportunity Commission in 29 CFR part 1614 pursu- ant to section 501 of the Rehabilitation Act of 1973, 29 U.S.C. 791.
(c) Complaints alleging violation of section 504 with respect to the Commis- sion’s programs and activities shall be addressed to the Managing Director and filed with the Office of the Sec- retary, Federal Communications Com- mission, 445 12th Street, SW., Room TWB–204, Washington, DC 20554.
(d) Acceptance of complaint. (1) The Commission shall accept and inves- tigate all complete complaints, as de- fined in § 1.1803 of this part, for which it has jurisdiction. All such complaints
must be filed within one-hundred eighty (180) days of the alleged act of discrimination. The Commission may extend this time period for good cause.
(2) If the Commission receives a com- plaint that is not complete as defined in § 1.1803 of this part, the complainant will be notified within thirty (30) days of receipt of the incomplete complaint that additional information is needed. If the complainant fails to complete the complaint within thirty (30) days of receipt of this notice, the Commission shall dismiss the complaint without prejudice.
(e) If the Commission receives a com- plaint over which it does not have ju- risdiction, it shall promptly notify the complainant and shall make reason- able efforts to refer the complaint to the appropriate government entity.
(f) The Commission shall notify the Architectural and Transportation Bar- riers Compliance Board upon receipt of any complaint alleging that a building or facility that is subject to the Archi- tectural Barriers Act of 1968, as amend- ed, 42 U.S.C. 4151–4157, is not readily ac- cessible to and usable by individuals with disabilities.
(g) Within one-hundred eighty (180) days of the receipt of a complete com- plaint, as defined in § 1.1803, for which it has jurisdiction, the Commission shall notify the complainant of the re- sults of the investigation in a letter containing—
(1) Findings of fact and conclusions of law;
(2) A description of a remedy for each violation found; and
(3) A notice of the right to appeal. (h) Appeals of the findings of fact and
conclusions of law or remedies must be filed by the complainant within ninety (90) days of receipt from the Commis- sion of the letter required by § 1.1870(g). The Commission may extend this time for good cause.
(i) Timely appeals shall be accepted and processed by the Office of the Sec- retary, Federal Communications Com- mission, 445 12th Street, SW., Room TWB–204, Washington, DC 20554.
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47 CFR Ch. I (10–1–10 Edition)§ 1.1901
(j) The Commission shall notify the complainant of the results of the ap- peal within sixty (60) days of the re- ceipt of the appeal request. If the Com- mission determines that it needs addi- tional information from the complain- ant, and requests such information, the Commission shall have sixty (60) days from the date it receives the additional information to make its determination on the appeal.
(k) The time limits cited in (g) and (j) of this section may be extended with the permission of the General Counsel.
(l) The Commission may delegate its authority for conducting complaint in- vestigations to other federal agencies, except that the authority for making the final determination may not be delegated to another agency.
Subpart O—Collection of Claims Owed the United States
AUTHORITY: 31 U.S.C. 3701; 31 U.S.C. 3711 et seq.; 5 U.S.C. 5514; sec. 8(1) of E.O. 11609 (3 CFR, 1971–1975 Comp., p.586); redesignated in sec. 2–1 of E.O. 12107; (3 CFR, 1978 Comp., p. 264); 31 CFR parts 901–904; 5 CFR part 550.
SOURCE: 69 FR 27848, May 17, 2004, unless otherwise noted.
GENERAL PROVISIONS
§ 1.1901 Definitions and construction. For purposes of this subpart: (a) The term administrative offset
means withholding money payable by the United States Government to, or held by the Government for, a person, organization, or entity to satisfy a debt the person, organization, or entity owes the Government.
(b) The term agency or Commission means the Federal Communications Commission (including the Universal Service Fund, the Telecommunications Relay Service Fund, and any other re- porting components of the Commis- sion) or any other agency of the U.S. Government as defined by section 105 of title 5 U.S.C., the U.S. Postal Serv- ice, the U.S. Postal Rate Commission, a military department as defined by section 102 of title 5 U.S.C., an agency or court of the judicial branch, or an agency of the legislative branch, in- cluding the U.S. Senate and the U.S. House of Representatives.
(c) The term agency head means the Chairman of the Federal Communica- tions Commission.
(d) The term application includes in addition to petitions and applications elsewhere defined in the Commission’s rules, any request, as for assistance, re- lief, declaratory ruling, or decision, by the Commission or on delegated au- thority.
(e) The terms claim and debt are deemed synonymous and interchange- able. They refer to an amount of money, funds, or property that has been determined by an agency official to be due to the United States from any person, organization, or entity, ex- cept another Federal agency. For pur- poses of administrative offset under 31 U.S.C. 3716, the terms ‘‘claim’’ and ‘‘debt’’ include an amount of money, funds, or property owed by a person to a State, the District of Columbia, American Samoa, Guam, the United States Virgin Islands, the Common- wealth of the Northern Mariana Is- lands, or the Commonwealth of Puerto Rico. ‘‘Claim’’ and ‘‘debt’’ include amounts owed to the United States on account of extension of credit or loans made by, insured or guaranteed by the United States and all other amounts due the United States from fees, leases, rents, royalties, services, sales of real or personal property, overpayments, penalties, damages, interest, taxes, and forfeitures issued after a notice of ap- parent liability that have been par- tially paid or for which a court of com- petent jurisdiction has order payment and such order is final (except those arising under the Uniform Code of Mili- tary Justice), and other similar sources.
(f) The term creditor agency means the agency to which the debt is owed.
(g) The term debt collection center means an agency of a unit or sub- agency within an agency that has been designated by the Secretary of the Treasury to collect debt owed to the United States. The Financial Manage- ment Service (FMS), Fiscal Service, United States Treasury, is a debt col- lection center.
(h) The term demand letter includes written letters, orders, judgments, and memoranda from the Commission or on delegated authority.
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(i) The term ‘‘delinquent’’ means a claim or debt which has not been paid by the date specified by the agency un- less other satisfactory payment ar- rangements have been made by that date, or, at any time thereafter, the debtor has failed to satisfy an obliga- tion under a payment agreement or in- strument with the agency, or pursuant to a Commission rule. For purposes of this subpart only, an installment pay- ment under 47 CFR 1.2110(g) will not be considered deliquent until the expira- tion of all applicable grace periods and any other applicable periods under Commission rules to make the pay- ment due. The rules set forth in this subpart in no way affect the Commis- sion’s rules, as may be amended, re- garding payment for licenses (includ- ing installment, down, or final pay- ments) or automatic cancellation of Commission licenses (see 47 CFR 1.1902(f)).
(j) The term disposable pay means that part of current basic pay, special pay, incentive pay, retired pay, re- tainer pay, or in the case of an em- ployee not entitled to basic pay, other authorized pay remaining after the de- duction of any amount required by law to be withheld. Agencies must exclude deductions described in 5 CFR 581.105(b) through (f) to determine disposable pay subject to salary offset.
(k) The term employee means a cur- rent employee of the Commission or of another agency, including a current member of the Armed Forces or a Re- serve of the Armed Forces (Reserve).
(l) The term entity includes natural persons, legal associations, applicants, licensees, and regulatees.
(m) The term FCCS means the Fed- eral Claims Collection Standards joint- ly issued by the Secretary of the Treas- ury and the Attorney General of the United States at 31 CFR parts 900–904.
(n) The term paying agency means the agency employing the individual and authorizing the payment of his or her current pay.
(o) The term referral for litigation means referral to the Department of Justice for appropriate legal pro- ceedings except where the Commission has the statutory authority to handle the litigation itself.
(p) The term reporting component means any program, account, or entity required to be included in the Agency’s Financial Statements by generally ac- cepted accounting principles for Fed- eral Agencies.
(q) The term salary offset means an administrative offset to collect a debt under 5 U.S.C. 5514 by deduction(s) at one or more officially established pay intervals from the current pay account of an employee without his or her con- sent.
(r) The term waiver means the can- cellation, remission, forgiveness, or non-recovery of a debt or fee, includ- ing, but not limited to, a debt due to the United States, by an entity or an employee to an agency and as the waiv- er is permitted or required by 5 U.S.C. 5584, 10 U.S.C. 2774, 31 U.S.C. 3711, or any other law.
(s) Words in the plural form shall in- clude the singular, and vice-versa, and words signifying the masculine gender shall include the feminine, and vice- versa. The terms includes and including do not exclude matters not listed but do include matters of the same general class.
§ 1.1902 Exceptions. (a) Claims arising from the audit of
transportation accounts pursuant to 31 U.S.C. 3726 shall be determined, col- lected, compromised, terminated or settled in accordance with regulations published under the authority of 31 U.S.C. 3726 (see 41 CFR part 101–41).
(b) Claims arising out of acquisition contracts subject to the Federal Acqui- sition Regulations (FAR) shall be de- termined, collected, compromised, ter- minated, or settled in accordance with those regulations. (See 48 CFR part 32). If not otherwise provided for in the FAR, contract claims that have been the subject of a contracting officer’s final decision in accordance with sec- tion 6(a) of the Contract Disputes Act of 1978 (41 U.S.C. 605(a)), may be deter- mined, collected, compromised, termi- nated or settled under the provisions of this regulation, except that no addi- tional review of the debt shall be granted beyond that provided by the contracting officer in accordance with the provisions of section 6 of the Con- tract Disputes Act of 1978 (41 U.S.C.
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605), and the amount of any interest, administrative charge, or penalty charge shall be subject to the limita- tions, if any, contained in the contract out of which the claim arose.
(c) Claims based in whole or in part on conduct in violation of the antitrust laws, or in regard to which there is an indication of fraud, the presentation of a false claim, or a misrepresentation on the part of the debtor or any other party having an interest in the claim, shall be referred to the Department of Justice (DOJ) as only the DOJ has au- thority to compromise, suspend, or ter- minate collection action on such claims. The standards in the FCCS re- lating to the administrative collection of claims do apply, but only to the ex- tent authorized by the DOJ in a par- ticular case. Upon identification of a claim based in whole or in part on con- duct in violation of the antitrust laws or any claim involving fraud, the pres- entation of a false claim, or misrepre- sentation on the part of the debtor or any party having an interest in the claim, the Commission shall promptly refer the case to the Department of Justice for action. At its discretion, the DOJ may return the claim to the forwarding agency for further handling in accordance with the standards in the FCCS.
(d) Tax claims are excluded from the coverage of this regulation.
(e) The Commission will attempt to resolve interagency claims by negotia- tion in accordance with Executive Order 12146 (3 CFR 1980 Comp., pp. 409– 412).
(f) Nothing in this subpart shall supercede or invalidate other Commis- sion rules, such as the part 1 general competitive bidding rules (47 CFR part 1, subpart Q) or the service specific competitive bidding rules, as may be amended, regarding the Commission’s rights, including but not limited to the Commission’s right to cancel a license or authorization, obtain judgment, or collect interest, penalties, and admin- istrative costs.
§ 1.1903 Use of procedures. Procedures authorized by this regula-
tion (including, but not limited to, dis- closure to a consumer reporting agen- cy, contracting for collection services,
administrative offset and salary offset) may be used singly or in combination, so long as the requirements of applica- ble law and regulation are satisfied.
§ 1.1904 Conformance to law and regu- lations.
The requirements of applicable law (31 U.S.C. 3701–3719, as amended by Pub- lic Law 97–365, 96 Stat. 1749 and Public Law 104–134, 110 Stat. 1321, 1358) have been implemented in government-wide standards which include the Regula- tions of the Office of Personnel Man- agement (5 CFR part 550) and the Fed- eral Claims Collection Standards issued jointly by the Secretary of the Treasury and the Attorney General of the United States (31 CFR parts 900– 904). Not every item in the previous sentence described standards has been incorporated or referenced in this regu- lation. To the extent, however, that circumstances arise which are not cov- ered by the terms stated in these regu- lations, the Commission will proceed in any actions taken in accordance with applicable requirements found in the standards referred to in this section.
§ 1.1905 Other procedures; collection of forfeiture penalties.
Nothing contained in these regula- tions is intended to require the Com- mission to duplicate administrative or other proceedings required by contract or other laws or regulations, nor do these regulations supercede procedures permitted or required by other statutes or regulations. In particular, the as- sessment and collection of monetary forfeitures imposed by the Commission will be governed initially by the proce- dures prescribed by 47 U.S.C. 503, 504 and 47 CFR 1.80. After compliance with those procedures, the Commission may determine that the collection of a mon- etary forfeiture under the collection alternatives prescribed by this subpart is appropriate but need not duplicate administrative or other proceedings. Fees and penalties prescribed by law, e.g., 47 U.S.C. 158 and 159, and promul- gated under the authority of 47 U.S.C. 309(j) (e.g., 47 CFR part 1, subpart Q) may be collected as permitted by appli- cable law. Nothing contained herein is intended to restrict the Commission
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from exercising any other right to re- cover or collect amounts owed to it.
§ 1.1906 Informal action. Nothing contained in these regula-
tions is intended to preclude utiliza- tion of informal administrative actions or remedies which may be available (including, e.g., Alternative Dispute Resolution), and/or for the Commission to exercise rights as agreed to among the parties in written agreements, in- cluding notes and security agreements.
§ 1.1907 Return of property or collat- eral.
Nothing contained in this regulation is intended to deter the Commission from exercising any other right under law or regulation or by agreement it may have or possess, or to exercise its authority and right as a regulator under the Communications Act of 1934, as amended, and the Commission’s rules, and demanding the return of spe- cific property or from demanding, as a non-exclusive alternative, either the return of property or the payment of its value or the amount due the United States under any agreement or Com- mission rule.
§ 1.1908 Omissions not a defense. The failure or omission of the Com-
mission to comply with any provision in this regulation shall not serve as a defense to any debtor.
§ 1.1909 [Reserved]
§ 1.1910 Effect of insufficient fee pay- ments, delinquent debts, or debar- ment.
(a)(1) An application (including a pe- tition for reconsideration or any appli- cation for review of a fee determina- tion) or request for authorization sub- ject to the FCC Registration Number (FRN) requirement set forth in subpart W of this chapter will be examined to determine if the applicant has paid the appropriate application fee, appro- priate regulatory fees, is delinquent in its debts owed the Commission, or is debarred from receiving Federal bene- fits (see, e.g., 31 CFR 285.13; 47 CFR part 1, subpart P).
(2) Fee payments, delinquent debt, and debarment will be examined based
on the entity’s taxpayer identifying number (TIN), supplied when the entity acquired or was assigned an FRN. See 47 CFR 1.8002(b)(1).
(b)(1) Applications by any entity found not to have paid the proper ap- plication or regulatory fee will be han- dled pursuant to the rules set forth in 47 CFR part 1, subpart G.
(2) Action will be withheld on appli- cations, including on a petition for re- consideration or any application for re- view of a fee determination, or requests for authorization by any entity found to be delinquent in its debt to the Com- mission (see § 1.1901(j)), unless other- wise provided for in this regulation, e.g., 47 CFR 1.1928 (employee petition for a hearing). The entity will be in- formed that action will be withheld on the application until full payment or arrangement to pay any non-tax delin- quent debt owed to the Commission is made and/or that the application may be dismissed. See the provisisons of §§ 1.1108, 1.1109, 1.1116 and 1.1118. Any Commission action taken prior to the payment of delinquent non-tax debt owed to the Commission is contingent and subject to recission. Failure to make payment on any delinquent debt is subject to collection of the debt, in- cluding interest thereon, any associ- ated penalties, and the full cost of col- lection to the Federal government pur- suant to the provisions of the Debt Col- lection Improvement Act, 31 U.S.C. 3717.
(3) If a delinquency has not been paid or the debtor has not made other satis- factory arrangements within 30 days of the date of the notice provided pursu- ant to paragraph (b)(2) of this section, the application or request for author- ization will be dismissed.
(i) The provisions of paragraphs (b)(2) and (b)(3) of this section will not apply if the applicant has timely filed a chal- lenge through an administrative appeal or a contested judicial proceeding ei- ther to the existence or amount of the non-tax delinquent debt owed the Com- mission.
(ii) The provisions of paragraphs (b)(2) and (b)(3) of this section will not apply where more restrictive rules gov- ern treatment of delinquent debtors, such as 47 CFR 1.2105(a)(2)(x) and (xi).
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(c)(1) Applications for emergency or special temporary authority involving safety of life or property (including na- tional security emergencies) or involv- ing a brief transition period facili- tating continuity of service to a sub- stantial number of customers or end users, will not be subject to the provi- sions of paragraphs (a) and (b) of this section. However, paragraphs (a) and (b) will be applied to permanent au- thorizations for these services.
(2) Provisions of paragraph (a) and (b) of this section will not apply to appli- cation or requst for authorization to which 11 U.S.C. 525(a) is applicable.
[69 FR 57230, Sept. 24, 2004]
ADMINISTRATIVE OFFSET—CONSUMER REPORTING AGENCIES—CONTRACTING FOR COLLECTION
§ 1.1911 Demand for payment. (a) Written demand as described in
paragraph (b) of this section, and which may be in the form of a letter, order, memorandum, or other form of written communication, will be made promptly upon a debtor of the United States in terms that inform the debtor of the consequences of failing to cooperate to resolve the debt. The specific content, timing, and number of demand letters depend upon the type and amount of the debt, including, e.g., any notes and the terms of agreements of the parties, and the debtor’s response, if any, to the Commission’s letters or telephone calls. One demand letter will be deemed sufficient. In determining the timing of the demand letter(s), the Commission will give due regard to the need to refer debts promptly to the De- partment of Justice for litigation, in accordance with the FCCS. When nec- essary to protect the Government’s in- terest (for example, to prevent the ex- piration of a statute of limitations), written demand may be preceded by other appropriate actions under the FCCS, including immediate referral for litigation. The demand letter does not provide an additional period within to challenge the existence of, or amount of the non-tax debt if such time period has expired under Commission rules or other applicable limitation periods. Nothing contained herein is intended to limit the Commission’s authority or
discretion as may otherwise be per- mitted to collect debts owed.
(b) The demand letter will inform the debtor of:
(1) The basis for the indebtedness and the opportunities, if any, of the debtor to request review within the Commis- sion;
(2) The applicable standards for as- sessing any interest, penalties, and ad- ministrative costs (§§ 1.1940 and 1.1941);
(3) The date by which payment is to be made to avoid late charges and en- forced collection, which normally will not be more than 30 days from the date that the initial demand letter was mailed or hand-delivered; and
(4) The name, address, and phone number of a contact person or office within the Commission.
(c) The Commission will expend all reasonable effort to ensure that de- mand letters are mailed or hand-deliv- ered on the same day that they are dated. As provided for in any agree- ment among parties, or as may be re- quired by exigent circumstances, the Commission may use other forms of de- livery, including, e.g., facsimile tele- copier or electronic mail. There is no prescribed format for demand letters. The Commission utilizes demand let- ters and procedures that will lead to the earliest practicable determination of whether the debt can be resolved ad- ministratively or must be referred for litigation.
(d) The Commission may, as cir- cumstances and the nature of the debt permit, include in demand letters such items as the Commission’s willingness to discuss alternative methods of pay- ment; its policies with respect to the use of credit bureaus, debt collection centers, and collection agencies; the Commission’s remedies to enforce pay- ment of the debt (including assessment of interest, administrative costs and penalties, administrative garnishment, the use of collection agencies, Federal salary offset, tax refund offset, admin- istrative offset, and litigation); the re- quirement that any debt delinquent for more than 180 days be transferred to the Department of the Treasury for collection; and, depending on applica- ble statutory authority, the debtor’s entitlement to consideration of a waiv- er. Where applicable, the debtor will be
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provided with a period of time (nor- mally not more than 15 calendar days) from the date of the demand in which to exercise the opportunity to request a review.
(e) The Commission will respond promptly to communications from the debtor, within 30 days whenever fea- sible, and will advise debtors who dis- pute the debt that they must furnish available evidence to support their contentions.
(f) Prior to the initiation of the de- mand process or at any time during or after completion of the demand proc- ess, if the Commission determines to pursue, or is required to pursue, offset, the procedures applicable to offset in §§ 1.1912 and 1.1913, as applicable, will be followed. The availability of funds or money for debt satisfaction by offset and the Commission’s determination to pursue collection by offset shall release the Commission from the necessity of further compliance with paragraphs (a), (b), (c), and (d) of this section.
(g) Prior to referring a debt for liti- gation, the Commission will advise each person determined to be liable for the debt that, unless the debt can be collected administratively, litigation may be initiated. This notification will follow the requirements of Executive Order 12988 (3 CFR, 1996 Comp., pp. 157– 163) and may be given as part of a de- mand letter under paragraph (b) of this section or in a separate document. Litigation counsel for the Government will be advised that this notice has been given.
(h) When the Commission learns that a bankruptcy petition has been filed with respect to a debtor, before pro- ceeding with further collection action, the Commission may immediately seek legal advice from its counsel con- cerning the impact of the Bankruptcy Code on any pending or contemplated collection activities. Unless the Com- mission determines that the automatic stay imposed at the time of filing pur- suant to 11 U.S.C. 362 has been lifted or is no longer in effect, in most cases col- lection activity against the debtor should stop immediately.
(1) After seeking legal advice, a proof of claim will be filed in most cases with the bankruptcy court or the Trustee. The Commission will refer to
the provisions of 11 U.S.C. 106 relating to the consequences on sovereign im- munity of filing a proof of claim.
(2) If the Commission is a secured creditor, it may seek relief from the automatic stay regarding its security, subject to the provisions and require- ments of 11 U.S.C. 362.
(3) Offset is stayed in most cases by the automatic stay. However, the Com- mission will determine from its coun- sel whether its payments to the debtor and payments of other agencies avail- able for offset may be frozen by the Commission until relief from the auto- matic stay can be obtained from the bankruptcy court. The Commission will also determine from its counsel whether recoupment is available.
§ 1.1912 Collection by administrative offset.
(a) Scope. (1) The term administrative offset has the meaning provided in § 1.1901.
(2) This section does not apply to: (i) Debts arising under the Social Se-
curity Act, except as provided in 42 U.S.C. 404;
(ii) Payments made under the Social Security Act, except as provided for in 31 U.S.C. 3716(c) (see 31 CFR 285.4, Fed- eral Benefit Offset);
(iii) Debts arising under, or payments made under, the Internal Revenue Code (see 31 CFR 285.2, Tax Refund Offset) or the tariff laws of the United States;
(iv) Offsets against Federal salaries to the extent these standards are in- consistent with regulations published to implement such offsets under 5 U.S.C. 5514 and 31 U.S.C. 3716 (see 5 CFR part 550, subpart K, and 31 CFR 285.7, Federal Salary Offset);
(v) Offsets under 31 U.S.C. 3728 against a judgment obtained by a debt- or against the United States;
(vi) Offsets or recoupments under common law, State law, or Federal statutes specifically prohibiting offsets or recoupments of particular types of debts; or
(vii) Offsets in the course of judicial proceedings, including bankruptcy.
(3) Unless otherwise provided for by contract or law, debts or payments that are not subject to administrative offset under 31 U.S.C. 3716 may be col- lected by administrative offset under
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the common law or other applicable statutory authority.
(4) Unless otherwise provided by law, administrative offset of payments under the authority of 31 U.S.C. 3716 to collect a debt may not be conducted more than 10 years after the Govern- ment’s right to collect the debt first accrued, unless facts material to the Government’s right to collect the debt were not known and could not reason- ably have been known by the official or officials of the Government who were charged with the responsibility to dis- cover and collect such debts. This limi- tation does not apply to debts reduced to a judgment.
(5) In bankruptcy cases, the Commis- sion will seek legal advice from its counsel concerning the impact of the Bankruptcy Code, particularly 11 U.S.C. 106, 362, and 553, on pending or contemplated collections by offset.
(b) Mandatory centralized administra- tive offset. (1) The Commission is re- quired to refer past due, legally en- forceable nontax debts which are over 180 days delinquent to the Treasury for collection by centralized administra- tive offset. Debts which are less than 180 days delinquent also may be re- ferred to the Treasury for this purpose. See FCCS for debt certification require- ments.
(2) The names and taxpayer identi- fying numbers (TINs) of debtors who owe debts referred to the Treasury as described in paragraph (b)(1) of this section shall be compared to the names and TINs on payments to be made by Federal disbursing officials. Federal disbursing officials include disbursing officials of Treasury, the Department of Defense, the United States Postal Service, other Government corpora- tions, and disbursing officials of the United States designated by the Treas- ury. When the name and TIN of a debt- or match the name and TIN of a payee and all other requirements for offset have been met, the payment will be off- set to satisfy the debt.
(3) Federal disbursing officials will notify the debtor/payee in writing that an offset has occurred to satisfy, in part or in full, a past due, legally en- forceable delinquent debt. The notice shall include a description of the type and amount of the payment from which
the offset was taken, the amount of off- set that was taken, the identity of the creditor agency requesting the offset, and a contact point within the creditor agency who will respond to questions regarding the offset.
(4)(i) Before referring a delinquent debt to the Treasury for administrative offset, and subject to any agreement and/or waiver to the contrary by the debtor, the Commission shall ensure that offsets are initiated only after the debtor:
(A) Has been sent written notice of the type and amount of the debt, the intention of the Commission to use ad- ministrative offset to collect the debt, and an explanation of the debtor’s rights under 31 U.S.C. 3716; and
(B) The debtor has been given: (1) The opportunity to request within
15 days of the date of the written no- tice, after which opportunity is deemed waived, by the debtor, to inspect and copy Commission records related to the debt;
(2) The opportunity, unless otherwise waived by the debtor, for a review within the Commission of the deter- mination of indebtedness; and
(3) The opportunity to request within 15 days of the date of the written no- tice, after which the opportunity is deemed waived by the debtor, for the debtor to make a written agreement to repay the debt.
(ii) The Commission may omit the procedures set forth in paragraph (a)(4)(i) of this section when:
(A) The offset is in the nature of a recoupment;
(B) The debt arises under a contract as set forth in Cecile Industries, Inc. v. Cheney, 995 F.2d 1052 (Fed. Cir. 1993) (notice and other procedural protec- tions set forth in 31 U.S.C. 3716(a) do not supplant or restrict established procedures for contractual offsets ac- commodated by the Contracts Disputes Act); or
(C) In the case of non-centralized ad- ministrative offsets conducted under paragraph (c) of this section, the Com- mission first learns of the existence of the amount owed by the debtor when there is insufficient time before pay- ment would be made to the debtor/ payee to allow for prior notice and an
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opportunity for review. When prior no- tice and an opportunity for review are omitted, the Commission shall give the debtor such notice and an opportunity for review as soon as practicable and shall promptly refund any money ulti- mately found not to have been owed to the Government.
(iii) When the Commission previously has given a debtor any of the required notice and review opportunities with respect to a particular debt (see 31 CFR 901.2), the Commission need not dupli- cate such notice and review opportuni- ties before administrative offset may be initiated.
(5) Before the Commission refers de- linquent debts to the Treasury, the Of- fice of Managing Director must certify, in a form acceptable to the Treasury, that:
(i) The debt(s) is (are) past due and legally enforceable; and
(ii) The Commission has complied with all due process requirements under 31 U.S.C. 3716(a) and its regula- tions.
(6) Payments that are prohibited by law from being offset are exempt from centralized administrative offset. The Treasury shall exempt payments under means-tested programs from central- ized administrative offset when re- quested in writing by the head of the payment certifying or authorizing agency. Also, the Treasury may ex- empt other classes of payments from centralized offset upon the written re- quest of the head of the payment certi- fying or authorizing agency.
(7) Benefit payments made under the Social Security Act (42 U.S.C. 301 et seq.), part B of the Black Lung Benefits Act (30 U.S.C. 921 et seq.), and any law administered by the Railroad Retire- ment Board (other than tier 2 benefits), may be offset only in accordance with Treasury regulations, issued in con- sultation with the Social Security Ad- ministration, the Railroad Retirement Board, and the Office of Management and Budget. See 31 CFR 285.4.
(8) In accordance with 31 U.S.C. 3716(f), the Treasury may waive the provisions of the Computer Matching and Privacy Protection Act of 1988 con- cerning matching agreements and post- match notification and verification (5 U.S.C. 552a(o) and (p)) for centralized
administrative offset upon receipt of a certification from a creditor agency that the due process requirements enu- merated in 31 U.S.C. 3716(a) have been met. The certification of a debt in ac- cordance with paragraph (b)(5) of this section will satisfy this requirement. If such a waiver is granted, only the Data Integrity Board of the Department of the Treasury is required to oversee any matching activities, in accordance with 31 U.S.C. 3716(g). This waiver au- thority does not apply to offsets con- ducted under paragraphs (c) and (d) of this section.
(c) Non-centralized administrative off- set. (1) Generally, non-centralized ad- ministrative offsets are ad hoc case-by- case offsets that the Commission con- ducts, at the Commission’s discretion, internally or in cooperation with the agency certifying or authorizing pay- ments to the debtor. Unless otherwise prohibited by law, when centralized ad- ministrative offset is not available or appropriate, past due, legally enforce- able nontax delinquent debts may be collected through non-centralized ad- ministrative offset. In these cases, a creditor agency may make a request directly to a payment-authorizing agency to offset a payment due a debt- or to collect a delinquent debt. For ex- ample, it may be appropriate for a creditor agency to request that the Of- fice of Personnel Management (OPM) offset a Federal employee’s lump-sum payment upon leaving Government service to satisfy an unpaid advance.
(2) The Commission will make rea- sonable effort to ensure that such off- sets may occur only after:
(i) The debtor has been provided due process as set forth in paragraph (b)(4) of this section (subject to any waiver by the debtor); and
(ii) The payment authorizing agency has received written certification from the Commission that the debtor owes the past due, legally enforceable delin- quent debt in the amount stated, and that the creditor agency has fully com- plied with its regulations concerning administrative offset.
(3) Payment authorizing agencies shall comply with offset requests by creditor agencies to collect debts owed to the United States, unless the offset would not be in the best interests of
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the United States with respect to the program of the payment authorizing agency, or would otherwise be contrary to law. Appropriate use should be made of the cooperative efforts of other agencies in effecting collection by ad- ministrative offset.
(4) When collecting multiple debts by non-centralized administrative offset, agencies should apply the recovered amounts to those debts in accordance with the best interests of the United States, as determined by the facts and circumstances of the particular case, particularly the applicable statute of limitations.
§ 1.1913 Administrative offset against amounts payable from Civil Service Retirement and Disability Fund.
Upon providing the Office of Per- sonnel Management (OPM) with writ- ten certification that a debtor has been afforded the procedures provided in § 1.1912(b)(4), the Commission may re- quest OPM to offset a debtor’s antici- pated or future benefit payments under the Civil Service Retirement and Dis- ability Fund (Fund) in accordance with regulations codified at 5 CFR 831.1801– 831.1808. Upon receipt of such a request, OPM will identify and ‘‘flag’’ a debtor’s account in anticipation of the time when the debtor requests, or becomes eligible to receive, payments from the Fund. This will satisfy any require- ment that offset be initiated prior to the expiration of the time limitations referenced in § 1.1914(a)(4).
§ 1.1914 Collection in installments. (a) Subject to the Commission’s rules
pertaining to the installment loan pro- gram (see e.g., 47 CFR §1.2110(g)), sub- part Q or other agreements among the parties, the terms of which will con- trol, whenever feasible, the Commis- sion shall collect the total amount of a debt in one lump sum. If a debtor is fi- nancially unable to pay a debt in one lump sum, the Commission, in its sole discretion, may accept payment in reg- ular installments. The Commission will obtain financial statements from debtors who represent that they are unable to pay in one lump sum and which are able to verify independently such representations (see 31 CFR 902.2(g)). The Commission will require
and obtain a legally enforceable writ- ten agreement from the debtor that specifies all of the terms of the ar- rangement, including, as appropriate, sureties and other indicia of credit- worthiness (see Federal Credit Reform Act of 1990, 2 U.S.C. 661, et seq., OMB Circular A–129), and that contains a provision accelerating the debt in the event of default.
(b) The size and frequency of install- ment payments should bear a reason- able relation to the size of the debt and the debtor’s ability to pay. If possible, the installment payments will be suffi- cient in size and frequency to liquidate the debt in three years or less.
(c) Security for deferred payments will be obtained in appropriate cases. The Commission may accept install- ment payments notwithstanding the refusal of the debtor to execute a writ- ten agreement or to give security, at the Commission’s option.
(d) The Commission may deny the ex- tension of credit to any debtor who fails to provide the records requested or fails to show an ability to pay the debt.
§ 1.1915 Exploration of compromise.
The Commission may attempt to ef- fect compromise, preferably during the course of personal interviews, in ac- cordance with the standards set forth in part 902 of the Federal Claims Col- lection Standards (31 CFR part 902). The Commission will also consider a request submitted by the debtor to compromise the debt. Such requests should be submitted in writing with full justification of the offer and ad- dressing the bases for compromise at 31 CFR 902.2. Debtors will provide full fi- nancial information to support any re- quest for compromise based on the debtor’s inability to pay the debt. Un- less otherwise provided by law, when the principal balance of a debt, exclu- sive of interest, penalties, and adminis- trative costs, exceeds $100,000 or any higher amount authorized by the At- torney General, the authority to ac- cept the compromise rests with the De- partment of Justice. The Commission will evaluate an offer, using the factors
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set forth in 31 CFR 902.2 and, as appro- priate, refer the offer with the appro- priate financial information to the De- partment of Justice. Department of Justice approval is not required if the Commission rejects a compromise offer.
§ 1.1916 Suspending or terminating collection action.
The suspension or termination of col- lection action shall be made in accord- ance with the standards set forth in part 903 of the Federal Claims Collec- tion Standards (31 CFR part 903).
§ 1.1917 Referrals to the Department of Justice and transfer of delinquent debt to the Secretary of Treasury.
(a) Referrals to the Department of Justice shall be made in accordance with the standards set forth in part 904 of the Federal Claims Collection Standards (31 CFR part 904).
(b) The DCIA includes separate provi- sions governing the requirements that the Commission transfer delinquent debts to Treasury for general collec- tion purposes (cross-servicing) in ac- cordance with 31 U.S.C. 3711(g)(1) and (2), and notify Treasury of delinquent debts for the purpose of administrative offset in accordance with 31 U.S.C. 3716(c)(6). Title 31, U.S.C. 3711(g)(1) re- quires the Commission to transfer to Treasury all collection activity for a given debt. Under section 3711(g), Treasury will use all appropriate debt collection tools to collect the debt, in- cluding referral to a designated debt collection center or private collection agency, and administrative offset. Once a debt has been transferred to Treasury pursuant to the procedures at 31 CFR 285.12, the Commission will cease all collection activity related to that debt.
(c) All non-tax debts of claims owed to the Commission that have been de- linquent for a period of 180 days shall be transferred to the Secretary of the Treasury. Debts which are less than 180 days delinquent may also be referred to the Treasury. Upon such transfer the Secretary of the Treasury shall take appropriate action to collect or termi- nate collection actions on the debt or claim. A debt is past-due if it has not been paid by the date specified in the Commission’s initial written demand
for payment or applicable agreement or instrument (including a post-delin- quency payment agreement) unless other satisfactory payment arrange- ments have been made.
§ 1.1918 Use of consumer reporting agencies.
(a) The term individual means a nat- ural person, and the term consumer re- porting agency has the meaning pro- vided in the Federal Claims Collection Act, as amended, 31 U.S.C. 3701(a)(3) or the Fair Credit Reporting Act, 15 U.S.C. 168a(f).
(b) The Commission may disclose to a consumer reporting agency, or provide information to the Treasury who may disclose to a consumer reporting agen- cy from a system of records, informa- tion that an individual is responsible for a claim. System information in- cludes, for example, name, taxpayer identification number, business and home address, business and home tele- phone numbers, the amount of the debt, the amount of unpaid principle, the late period, and the payment his- tory. Before the Commission reports the information, it will:
(1) Provide notice required by section 5 U.S.C. 552a(e)(4) that information in the system may be disclosed to a con- sumer reporting agency;
(2) Review the claim to determine that it is valid and overdue;
(3) Make reasonable efforts using in- formation provided by the debtor in Commission files to notify the debtor, unless otherwise specified under the terms of a contract or agreement—
(i) That payment of the claim is over- due;
(ii) That, within not less than 60 days from the date of the notice, the Com- mission intends to disclose to a con- sumer reporting agency that the indi- vidual is responsible for that claim;
(iii) That information in the system of records may be disclosed to the con- sumer reporting agency; and
(iv) That unless otherwise specified and agreed to in an agreement, con- tract, or by the terms of a note and/or security agreement, or that the debt arises from the nonpayment of a Com- mission fee, penalty, or other statutory
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or regulatory obligations, the indi- vidual will be provided with an expla- nation of the claim, and, as appro- priate, procedures to dispute informa- tion in the records of the agency about the claim, and to administrative ap- peal or review of the claim; and
(4) Review Commission records to de- termine that the individual has not—
(i) Repaid or agreed to repay the claim under a written repayment plan agreed to and signed by both the indi- vidual and the Commission’s represent- ative; or, if eligible; and
(ii) Filed for review of the claim under paragraph (g) of this section;
(c) The Commission shall: (1) Dis- close to each consumer reporting agen- cy to which the original disclosure was made a substantial change in the con- dition or amount of the claim;
(2) Verify or correct promptly infor- mation about the claim, on request of a consumer reporting agency for verification of any or all information so disclosed; and
(3) Obtain assurances from each con- sumer reporting agency that they are complying with all laws of the United States relating to providing consumer credit information.
(d) The Commission shall ensure that information disclosed to the consumer reporting agency is limited to—
(1) Information necessary to estab- lish the identity of the individual, in- cluding name, address, and taxpayer identification number;
(2) The amount, status, and history of the claim; and
(3) The agency or program under which the claim arose.
(e) All accounts in excess of $100 that have been delinquent more than 31 days will normally be referred to a con- sumer reporting agency.
(f) Under the same provisions as de- scribed in paragraph (b) of this section, the Commission may disclose to a cred- it reporting agency, information relat- ing to a debtor other than a natural person. Such commercial debt accounts are not covered by the Privacy Act. Moreover, commercial debt accounts are subject to the Commission’s rules concerning debt obligation, including part 1 rules related to auction debt, and the agreements of the parties.
§ 1.1919 Contracting for collection services.
(a) Subject to the provisions of para- graph (b) of this section, the Commis- sion may contract with private collec- tion contractors, as defined in 31 U.S.C. 3701(f), to recover delinquent debts. In that regard, the Commission:
(1) Retains the authority to resolve disputes, compromise debts, suspend or terminate collection activity, and refer debts for litigation;
(2) Restricts the private collection contractor from offering, as an incen- tive for payment, the opportunity to pay the debt less the private collection contractor’s fee unless the Commission has granted such authority prior to the offer;
(3) Specifically requires, as a term of its contract with the private collection contractor, that the private collection contractor is subject to the Privacy Act of 1974 to the extent specified in 5 U.S.C. 552a(m), and to applicable Fed- eral and state laws and regulations per- taining to debt collection practices, in- cluding but not limited to the Fair Debt Collection Practices Act, 15 U.S.C. 1692; and
(4) The private collection contractor is required to account for all amounts collected.
(b) Although the Commission will use government-wide debt collection con- tracts to obtain debt collection serv- ices provided by private collection con- tractors, the Commission may refer debts to private collection contractors pursuant to a contract between the Commission and the private collection contractor in those situations where the Commission is not required to transfer debt to the Secretary of the Treasury for debt collection.
(c) Agencies may fund private collec- tion contractor in accordance with 31 U.S.C. 3718(d), or as otherwise per- mitted by law.
(d) The Commission may enter into contracts for locating and recovering assets of the United States, such as un- claimed assets, but it will first estab- lish procedures that are acceptable to Treasury before entering into con- tracts to recover assets of the United States held by a state government or a financial institution.
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(e) The Commission may enter into contracts for debtor asset and income search reports. In accordance with 31 U.S.C. 3718(d), such contracts may pro- vide that the fee a contractor charges the Commission for such services may be payable from the amounts recov- ered, unless otherwise prohibited by statute. In that regard, fees for those services will be added to the amount collected and are part of the adminis- trative collection costs passed on to the debtor. See § 1.1940.
§§ 1.1920–1.1924 [Reserved]
SALARY OFFSET-INDIVIDUAL DEBT
§ 1.1925 Purpose. Sections 1.1925 through 1.1939 apply
to individuals who are employees of the Commission and provides the standards to be followed by the Commission in implementing 5 U.S.C. 5514; sec. 8(1) of E.O. 11609 (3 CFR, 1971–1975 Comp., p.586); redesignated in sec. 2–1 of E.O. 12107 (3 CFR, 1978 Comp., p.264) to re- cover a debt from the pay account of a Commission employee. It also estab- lishes procedural guidelines to recover debts when the employee’s creditor and paying agencies are not the same.
§ 1.1926 Scope. (a) Coverage. This section applies to
the Commission and employees as de- fined by § 1.1901.
(b) Applicability. This section and 5 U.S.C. 5514 apply in recovering certain debts by offset, except where the em- ployee consents to the recovery, from the current pay account of that em- ployee. Because it is an administrative offset, debt collection procedures for salary offset which are not specified in 5 U.S.C. 5514 and these regulations should be consistent with the provi- sions of the Federal Claims Collection Standards (31 CFR parts 900–904).
(1) Excluded debts or claims. The proce- dures contained in this section do not apply to debts or claims arising under the Internal Revenue Code of 1954, as amended (26 U.S.C. 1 et seq.), the Social Security Act (42 U.S.C. 301 et seq.) or the tariff laws of the United States, or to any case where collection of a debt by salary offset is explicitly provided for or prohibited by another statute
(e.g., travel advances in 5 U.S.C. 5705 and employee training expenses in 5 U.S.C. 4108).
(2) Section 1.1926 does not preclude an employee from requesting waiver of an erroneous payment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 716, or in any way questioning the amount or valid- ity of a debt, in the manner prescribed by the Commissioner. Similarly, this subpart does not preclude an employee from requesting waiver of the collec- tion of a debt under any other applica- ble statutory authority.
(c) Time limit. Under 31 CFR 901.3(a)(4) offset may not be initiated more than 10 years after the Government’s right to collect the debt first accrued, unless an exception applies as stated in sec- tion 901.3(a)(4).
§ 1.1927 Notification. (a) Salary offset deductions will not
be made unless the Managing Director of the Commission, or the Managing Director’s designee, provides to the em- ployee at least 30 days before any de- duction, written notice stating at a minimum:
(1) The Commission’s determination that a debt is owed, including the ori- gin, nature, and amount of the debt;
(2) The Commission’s intention to collect the debt by means of deduction from the employee’s current disposable pay account;
(3) The frequency and amount of the intended deduction (stated as a fixed dollar amount or as a percentage of pay, not to exceed 15 percent of dispos- able pay) and the intention to continue the deductions until the debt is paid in full or otherwise resolved;
(4) An explanation of the Commis- sion’s policy concerning interest, pen- alties, and administrative costs (See §§ 1.1940 and 1.1941), a statement that such assessments must be made unless excused in accordance with the FCCS;
(5) The employee’s right to inspect and copy Government records relating to the debt or, if the employee or his or her representative cannot personally inspect the records, to request and re- ceive a copy of such records.
(6) If not previously provided, the op- portunity (under terms agreeable to the Commission) to establish a sched- ule for the voluntary repayment of the
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debt or to enter into a written agree- ment to establish a schedule for repay- ment of the debt in lieu of offset. The agreement must be in writing, signed by both the employee and the Man- aging Director (or designee) of the Commission and documented in Com- mission files (see the FCCS).
(7) The employee’s right to a hearing conducted by an official arranged by the Commission (an administrative law judge, or alternatively, a hearing offi- cial not under the control of the head of the Commission) if a petition is filed as prescribed by this subpart.
(8) The method and time period for petitioning for a hearing;
(9) That the timely filing of a peti- tion for hearing will stay the com- mencement of collection proceedings;
(10) That the final decision in the hearing (if one is requested) will be issued at the earliest practical date, but not later than 60 days after the fil- ing of the petition requesting the hear- ing unless the employee requests and the hearing official grants a delay in the proceedings;
(11) That any knowingly false, mis- leading, or frivolous statements, rep- resentations, or evidence may subject the employee to:
(i) Disciplinary procedures appro- priate under Chapter 75 of title 5, U.S.C., part 752 of title 5, Code of Fed- eral Regulations, or any other applica- ble statutes or regulations.
(ii) Penalties under the False Claims Act sections 3729–3731 of title 31, U.S.C., or any other applicable statutory au- thority; or
(iii) Criminal penalties under sec- tions 286, 287, 1001, and 1002 of title 18, U.S.C., or any other applicable statu- tory authority.
(12) Any other rights and remedies available to the employee under stat- utes or regulations governing the pro- gram for which the collection is being made; and
(13) Unless there are applicable con- tractual or statutory provisions to the contrary, that amounts paid on or de- ducted for the debt which are later waived or found not owed to the United States will be promptly refunded to the employee.
(b) Notifications under this section shall be hand delivered with a record
made of the date of delivery, or shall be mailed by certified mail, return receipt requested.
(c) No notification, hearing, written responses or final decisions under this regulation are required by the Commis- sion for:
(1) Any adjustment to pay arising out of an employee’s election of coverage, or change in coverage, under a Federal benefit program requiring periodic de- ductions from pay, if the amount to be recovered was accumulated over four pay periods or less;
(2) A routine intra-Commission ad- justment of pay that is made to correct an overpayment of pay attributable to clerical or administrative errors or delays in processing pay documents, if the overpayment occurred within the four pay periods preceding the adjust- ment, or as soon thereafter as prac- tical, the individual is provided written notice of the nature and the amount of the adjustment and point of contact for contesting such adjustment; or
(3) Any adjustment to collect a debt amounting to $50 or less, if, at the time of such adjustment, or as soon there- after as practical, the individual is pro- vided written notice of the nature and the amount of the adjustment and a point of contact for contesting such ad- justment.
§ 1.1928 Hearing.
(a) Petition for hearing. (1) An em- ployee may request a hearing by filing a written petition with the Managing Director of the Commission, or des- ignated official stating why the em- ployee believes the determination of the Commission concerning the exist- ence or the amount of the debt is in error.
(2) The employee’s petition must be executed under penalty of perjury by the employee and fully identify and ex- plain with reasonable specificity all the facts, evidence and witnesses, if any, which the employee believes sup- port his or her position.
(3) The petition must be filed no later than fifteen (15) calendar days from the date that the notification was hand de- livered or the date of delivery by cer- tified mail, return receipt requested.
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(4) If a petition is received after the fifteenth (15) calendar day deadline re- ferred to paragraph (a) (3) of this sec- tion, the Commission will nevertheless accept the petition if the employee can show, in writing, that the delay was due to circumstances beyond his or her control, or because of failure to receive notice of the time limit (unless other- wise aware of it).
(5) If a petition is not filed within the time limit specified in paragraph (a) (3) of this section, and is not accepted pur- suant to paragraph (a)(4) of this sec- tion, the employee’s right to hearing will be considered waived, and salary offset will be implemented by the Com- mission.
(b) Type of hearing. (1) The form and content of the hearing will be deter- mined by the hearing official who shall be a person outside the control or au- thority of the Commission except that nothing herein shall be construed to prohibit the appointment of an admin- istrative law judge by the Commission. In determining the type of hearing, the hearing officer will consider the nature and complexity of the transaction giv- ing rise to the debt. The hearing may be conducted as an informal conference or interview, in which the Commission and employee will be given a full op- portunity to present their respective positions, or as a more formal pro- ceeding involving the presentation of evidence, arguments and written sub- missions.
(2) The employee may represent him or herself, or may be represented by an attorney.
(3) The hearing official shall main- tain a summary record of the hearing.
(4) The decision of the hearing officer shall be in writing, and shall state:
(i) The facts purported to evidence the nature and origin of the alleged debt;
(ii) The hearing official’s analysis, findings, and conclusions, in the light of the hearing, as to—
(A) The employee’s and/or agency’s grounds,
(B) The amount and validity of the alleged debt, and,
(C) The repayment schedule, if appli- cable.
(5) The decision of the hearing offi- cial shall constitute the final adminis- trative decision of the Commission.
§ 1.1929 Deduction from employee’s pay.
(a) Deduction by salary offset, from an employee’s current disposable pay, shall be subject to the following condi- tions:
(1) Ordinarily, debts to the United States will be collected in full, in one lump sum. This will be done when funds are available for payment in one lump sum. However, if the employee is financially unable to pay in one lump sum or the amount of the debt exceeds 15 percent of disposable pay for an offi- cially established pay interval, collec- tion must be made in installments.
(2) The size of the installment deduc- tions will bear a reasonable relation- ship to the size of the debt and the em- ployee’s ability to pay (see the FCCS). However, the installments will not ex- ceed 15 percent of the disposable pay from which the deduction is made, un- less the employee has agreed in writing to the deduction of a greater amount.
(3) Deduction will generally com- mence with the next full pay interval (ordinarily the next biweekly pay pe- riod) following the date: of the employ- ee’s written consent to salary offset, the waiver of hearing, or the decision issued by the hearing officer.
(4) Installment deductions will be pro-rated for a period not greater than the anticipated period of employment except as provided in § 1.1930.
§ 1.1930 Liquidation from final check or recovery from other payment.
(a) If the employee retires or resigns or if his or her employment or period of active duty ends before collection of the debt is completed, offset of the en- tire remaining balance of the debt may be made from a final payment of any nature, including, but not limited to a final salary payment or lump-sum leave due the employee as the date of separation, to such extent as is nec- essary to liquidate the debt.
(b) If the debt cannot be liquidated by offset from a final payment, offset may be made from later payments of any kind due from the United States, including, but not limited to, the Civil
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Service Retirement and Disability Fund, pursuant to § 1.1913.
§ 1.1931 Non-waiver of rights by pay- ments.
An employee’s involuntary payment of all or any portion of a debt being collected under 5 U.S.C. 5514 shall not be construed as a waiver of any rights which the employee may have under 5 U.S.C. 5514 or any other provision of contract or law, unless statutory or contractual provisions provide to the contrary.
§ 1.1932 Refunds.
(a) Refunds shall promptly be made when—(1) A debt is waived or otherwise found not owing to the United States (unless expressly prohibited by statute or regulation); or
(2) The employee’s paying agency is directed by an administrative or judi- cial order to refund amounts deducted from his or her current pay.
(b) Refunds do not bear interest un- less required or permitted by law or contract.
§ 1.1933 Interest, penalties and admin- istrative costs.
The assessment of interest, penalties and administrative costs shall be in ac- cordance with §§ 1.1940 and 1.1941.
§ 1.1934 Recovery when the Commis- sion is not creditor agency.
(a) Responsibilities of creditor agency. Upon completion of the procedures es- tablished under 5 U.S.C. 5514, the cred- itor agency must do the following:
(1) Must certify, in writing, that the employee owes the debt, the amount and basis of the debt, the date on which payment(s) is due, the date of the Gov- ernment’s right to collect the debt first accrued, and that the creditor agency’s regulations implementing 5 U.S.C. 5514 have been approved by OPM.
(2) If the collection must be made in installments, the creditor agency also must advise the Commission of the number of installments to be collected, the amount of each installment, and the commencement date of the first in- stallment (if a date other than the next officially established pay period is re- quired).
(3) Unless the employee has con- sented to the salary offset in writing or signed a statement acknowledging re- ceipt of the required procedures, and the written consent or statement is forwarded to the Commission, the cred- itor agency also must advise the Com- mission of the action(s) taken under 5 U.S.C. 5514(b) and give the date(s) the action(s) was taken.
(4) Except as otherwise provided in this paragraph, the creditor agency must submit a debt claim containing the information specified in paragraphs (a)(1) through (a)(3) of this section and an installment agreement (or other in- struction on the payment schedule), if applicable to the Commission.
(5) If the employee is in the process of separating, the creditor agency must submit its claim to the Commission for collection pursuant to § 1.1930. The Commission will certify the total amount of its collection and provide copies to the creditor agency and the employee as stated in paragraph (c)(1) of this section. If the Commission is aware that the employee is entitled to payments from the Civil Service Re- tirement and Disability Fund, or other similar payments, it must provide written notification to the agency re- sponsible for making such payments that the debtor owes a debt (including the amount) and that there has been full compliance with the provisions of this section. However, the creditor agency must submit a properly cer- tified claim to the agency responsible for making such payments before col- lection can be made.
(6) If the employee is already sepa- rated and all payments from the Com- mission have been paid, the creditor agency may request, unless otherwise prohibited, that money due and pay- able to the employee from the Civil Service Retirement and Disability Fund (5 CFR 831.1801 et seq.), or other similar funds, be administratively off- set to collect the debt. (31 U.S.C. 3716 and 4 CFR 102.4)
(b) Responsibilities of the Commission— (1) Complete claim. When the Commis- sion receives a properly certified debt claim from a creditor agency, deduc- tions should be scheduled to begin pro- spectively at the next official estab- lished pay interval. The Commission
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will notify the employee that the Com- mission has received a certified debt claim from the creditor agency (includ- ing the amount) and written notice of the date deductions from salary will commence and of the amount of such deductions.
(2) Incomplete claim. When the Com- mission receives an incomplete debt claim from a creditor agency, the Com- mission will return the debt claim with a notice that procedures under 5 U.S.C. 5514 and this subpart must be provided, and a properly certified debt claim re- ceived, before action will be taken to collect from the employee’s current pay account.
(3) Review. The Commission will not review the merits of the creditor agen- cy’s determination with respect to the amount or validity of the debt certified by the creditor agency.
(c) Employees who transfer from one paying agency to another. (1) If, after the creditor agency has submitted the debt claim to the Commission, the em- ployee transfers to a position served by a different paying agency before the debt is collected in full, the Commis- sion must certify the total amount of the collection made on the debt. One copy of the certification must be fur- nished to the employee, another to the creditor agency along with notice of employee’s transfer. However, the cred- itor agency must submit a properly certified claim to the new paying agen- cy before collection can be resumed.
(2) When an employee transfers to an- other paying agency, the creditor agen- cy need not repeat the due process pro- cedures described by 5 U.S.C. 5514 and this subpart to resume the collection. However, the creditor agency is respon- sible for reviewing the debt upon re- ceiving the former paying agency’s no- tice of the employee’s transfer to make sure the collection is resumed by the new paying agency.
§ 1.1935 Obtaining the services of a hearing official.
(a) When the debtor does not work for the creditor agency and the cred- itor agency cannot provide a prompt and appropriate hearing before an ad- ministrative law judge or before a hearing official furnished pursuant to another lawful arrangement, the cred-
itor agency may contact an agent of the Commission designated in Appen- dix A of 5 CFR part 581 for a hearing of- ficial, and the Commission will then cooperate as provided by the FCCS and provide a hearing official.
(b) When the debtor works for the creditor agency, the creditor agency may contact any agent (of another agency) designated in appendix A of 5 CFR part 581 to arrange for a hearing official. Agencies must then cooperate as required by the FCCS and provide a hearing official.
(c) The determination of a hearing official designated under this section is considered to be an official certifi- cation regarding the existence and amount of the debt for purposes of exe- cuting salary offset under 5 U.S.C. 5514. A creditor agency may make a certifi- cation to the Secretary of the Treasury under 31 CFR 550.1108 or a paying agen- cy under 31 CFR 550.1109 regarding the existence and amount of the debt based on the certification of a hearing offi- cial. If a hearing official determines that a debt may not be collected via salary offset, but the creditor agency finds that the debt is still valid, the creditor agency may still seek collec- tion of the debt through other means, such as offset of other Federal pay- ments, litigation, etc.
§ 1.1936 Administrative wage garnish- ment.
(a) Purpose. This section provides procedures for the Commission to col- lect money from a debtor’s disposable pay by means of administrative wage garnishment to satisfy delinquent non- tax debt owed to the United States.
(b) Scope. (1) This section applies to Commission-administered programs that give rise to a delinquent nontax debt owed to the United States and to the Commission’s pursuit of recovery of such debt.
(2) This section shall apply notwith- standing any provision of State law.
(3) Nothing in this section precludes the compromise of a debt or the sus- pension or termination of collection action in accordance with applicable law. See, for example, the Federal Claims Collection Standards (FCCS), 31 CFR parts 900 through 904.
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(4) The receipt of payments pursuant to this section does not preclude the Commission from pursuing other debt collection remedies, including the off- set of Federal payments to satisfy de- linquent nontax debt owed to the United States. The Commission may pursue such debt collection remedies separately or in conjunction with ad- ministrative wage garnishment.
(5) This section does not apply to the collection of delinquent nontax debt owed to the Commission from the wages of Federal employees from their Federal employment. Federal pay is subject to the Federal salary offset procedures set forth in 5 U.S.C. 5514, §§ 1.1925 through 1.1935, and other appli- cable laws.
(6) Nothing in this section requires the Commission to duplicate notices or administrative proceedings required by contract or other laws or regulations.
(c) Definitions. In addition to the defi- nitions set forth in § 1.1901 as used in this section, the following definitions shall apply:
(1) Business day means Monday through Friday. For purposes of com- putation, the last day of the period will be included unless it is a Federal legal holiday.
(2) Certificate of service means a cer- tificate signed by a Commission offi- cial indicating the nature of the docu- ment to which it pertains, the date of mailing of the document, and to whom the document is being sent.
(3) Day means calendar day. For pur- poses of computation, the last day of the period will be included unless it is a Saturday, a Sunday, or a Federal legal holiday.
(4) Disposable pay means that part of the debtor’s compensation (including, but not limited to, salary, bonuses, commissions, and vacation pay) from an employer remaining after the de- duction of health insurance premiums and any amounts required by law to be withheld.
(5) Amounts required by law to be with- held include amounts for deductions such as social security taxes and with- holding taxes, but do not include any amount withheld pursuant to a court order.
(6) Employer means a person or entity that employs the services of others and
that pays their wages or salaries. The term employer includes, but is not lim- ited to, State and local Governments, but does not include an agency of the Federal Government.
(7) Garnishment means the process of withholding amounts from an employ- ee’s disposable pay and the paying of those amounts to a creditor in satisfac- tion of a withholding order.
(8) Withholding order means any order for withholding or garnishment of pay issued by an agency, or judicial or ad- ministrative body. For purposes of this section, the terms ‘‘wage garnishment order’’ and ‘‘garnishment order’’ have the same meaning as ‘‘withholding order.’’
(d) General rule. Whenever the Com- mission determines that a delinquent debt is owed by an individual, the Com- mission may initiate proceedings ad- ministratively to garnish the wages of the delinquent debtor as governed by procedures prescribed by 31 CFR 285. Wage garnishment will usually be per- formed for the Commission by the Treasury as part of the debt collection processes for Commission debts re- ferred to Treasury for further collec- tion action.
(e) Notice requirements. (1) At least 30 days before the initiation of garnish- ment proceedings, the Commission shall mail, by first class mail, to the debtor’s last known address a written notice informing the debtor of:
(i) The nature and amount of the debt;
(ii) The intention of the Commission to initiate proceedings to collect the debt through deductions from pay until the debt and all accumulated interest, penalties and administrative costs are paid in full; and
(iii) An explanation of the debtor’s rights, including those set forth in paragraph (e)(2) of this section, and the time frame within which the debtor may exercise his or her rights.
(2) The debtor shall be afforded the opportunity:
(i) To inspect and copy agency records related to the debt;
(ii) To enter into a written repay- ment agreement with the Commission under terms agreeable to the Commis- sion; and
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(iii) For a hearing in accordance with paragraph (f) of this section concerning the existence or the amount of the debt or the terms of the proposed repayment schedule under the garnishment order. However, the debtor is not entitled to a hearing concerning the terms of the proposed repayment schedule if these terms have been established by written agreement under paragraph (e)(2)(ii) of this section.
(3) The Commission will keep a copy of a certificate of service indicating the date of mailing of the notice. The certificate of service may be retained electronically so long as the manner of retention is sufficient for evidentiary purposes.
(f) Hearing. Pursuant to 31 CFR 285.11(f)(1), the Commission hereby adopts by reference the hearing proce- dures of 31 CFR 285.11(f).
(g) Wage garnishment order. (1) Unless the Commission receives information that the Commission believes justifies a delay or cancellation of the with- holding order, the Commission will send, by first class mail, a withholding order to the debtor’s employer within 30 days after the debtor fails to make a timely request for a hearing (i.e., with- in 15 business days after the mailing of the notice described in paragraph (e)(1) of this section), or, if a timely request for a hearing is made by the debtor, within 30 days after a final decision is made by the Commission to proceed with garnishment, or as soon as rea- sonably possible thereafter.
(2) The withholding order sent to the employer under paragraph (g)(1) of this section shall be in a form prescribed by the Secretary of the Treasury on the Commission’s letterhead and signed by the head of the Commission or his/her delegate. The order shall contain only the information necessary for the em- ployer to comply with the withholding order, including the debtor’s name, ad- dress, and social security number, as well as instructions for withholding and information as to where payments should be sent.
(3) The Commission will keep a copy of a certificate of service indicating the date of mailing of the order. The certificate of service may be retained electronically so long as the manner of
retention is sufficient for evidentiary purposes.
(h) Certification by employer. Along with the withholding order, the Com- mission shall send to the employer a certification in a form prescribed by the Secretary of the Treasury. The em- ployer shall complete and return the certification to the Commission within the time frame prescribed in the in- structions to the form addressing mat- ters such as information about the debtor’s employment status and dispos- able pay available for withholding.
(i) Amounts withheld. (1) After receipt of the garnishment order issued under this section, the employer shall deduct from all disposable pay paid to the ap- plicable debtor during each pay period the amount of garnishment described in paragraph (i)(2) of this section.
(2) Subject to the provisions of para- graphs (i)(3) and (i)(4) of this section, the amount of garnishment shall be the lesser of:
(i) The amount indicated on the gar- nishment order up to 15% of the debt- or’s disposable pay; or
(ii) The amount set forth in 15 U.S.C. 1673(a)(2) (Restriction on Garnish- ment). The amount set forth at 15 U.S.C. 1673(a)(2) is the amount by which a debtor’s disposable pay exceeds an amount equivalent to thirty times the minimum wage. See 29 CFR 870.10.
(3) When a debtor’s pay is subject to withholding orders with priority the following shall apply:
(i) Unless otherwise provided by Fed- eral law, withholding orders issued under this section shall be paid in the amounts set forth under paragraph (i)(2) of this section and shall have pri- ority over other withholding orders which are served later in time. Not- withstanding the foregoing, with- holding orders for family support shall have priority over withholding orders issued under this section.
(ii) If amounts are being withheld from a debtor’s pay pursuant to a with- holding order served on an employer before a withholding order issued pur- suant to this section, or if a with- holding order for family support is served on an employer at any time, the amounts withheld pursuant to the withholding order issued under this section shall be the lesser of:
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(A) The amount calculated under paragraph (i)(2) of this section, or
(B) An amount equal to 25% of the debtor’s disposable pay less the amount(s) withheld under the with- holding order(s) with priority.
(iii) If a debtor owes more than one debt to the Commission, the Commis- sion may issue multiple withholding orders provided that the total amount garnished from the debtor’s pay for such orders does not exceed the amount set forth in paragraph (i)(2) of this section. For purposes of this para- graph (i)(3)(iii), the term agency refers to the Commission that is owed the debt.
(4) An amount greater than that set forth in paragraphs (i)(2) and (i)(3) of this section may be withheld upon the written consent of debtor.
(5) The employer shall promptly pay to the Commission all amounts with- held in accordance with the with- holding order issued pursuant to this section.
(6) An employer shall not be required to vary its normal pay and disburse- ment cycles in order to comply with the withholding order.
(7) Any assignment or allotment by an employee of his earnings shall be void to the extent it interferes with or prohibits execution of the withholding order issued under this section, except for any assignment or allotment made pursuant to a family support judgment or order.
(8) The employer shall withhold the appropriate amount from the debtor’s wages for each pay period until the em- ployer receives notification from the Commission to discontinue wage with- holding. The garnishment order shall indicate a reasonable period of time within which the employer is required to commence wage withholding.
(j) Exclusions from garnishment. The Commission may not garnish the wages of a debtor who it knows has been in- voluntarily separated from employ- ment until the debtor has been reem- ployed continuously for at least 12 months. The debtor has the burden of informing the Commission of the cir- cumstances surrounding an involun- tary separation from employment.
(k) Financial hardship. (1) A debtor whose wages are subject to a wage
withholding order under this section, may, at any time, request a review by the Commission of the amount gar- nished, based on materially changed circumstances such as disability, di- vorce, or catastrophic illness which re- sult in demonstrated financial hard- ship.
(2) A debtor requesting a review under paragraph (k)(1) of this section shall submit the basis for claiming that the current amount of garnish- ment results in demonstrated financial hardship to the debtor, along with sup- porting documentation. The Commis- sion will consider any information sub- mitted; however, demonstrated finan- cial hardship must be based on finan- cial records that include Federal and state tax returns, affidavits executed under the pain and penalty of perjury, and, in the case of business-related fi- nancial hardship (e.g., the debtor is a partner or member of a business-agen- cy relationship) full financial state- ments (audited and/or submitted under oath) in accordance with procedures and standards established by the Com- mission.
(3) If a financial hardship is found, the Commission will downwardly ad- just, by an amount and for a period of time agreeable to the Commission, the amount garnisheed to reflect the debt- or’s financial condition. The Commis- sion will notify the employer of any ad- justments to the amounts to be with- held.
(l) Ending garnishment. (1) Once the Commission has fully recovered the amounts owed by the debtor, including interest, penalties, and administrative costs consistent with the FCCS, the Commission will send the debtor’s em- ployer notification to discontinue wage withholding.
(2) At least annually, the Commis- sion shall review its debtors’ accounts to ensure that garnishment has been terminated for accounts that have been paid in full.
(m) Actions prohibited by the employer. An employer may not discharge, refuse to employ, or take disciplinary action against the debtor due to the issuance of a withholding order under this sec- tion.
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(n) Refunds. (1) If a hearing official, at a hearing held pursuant to para- graph (f)(3) of this section, determines that a debt is not legally due and owing to the United States, the Com- mission shall promptly refund any amount collected by means of adminis- trative wage garnishment.
(2) Unless required by Federal law or contract, refunds under this section shall not bear interest.
(o) Right of action. The Commission may sue any employer for any amount that the employer fails to withhold from wages owed and payable to an em- ployee in accordance with paragraphs (g) and (i) of this section. However, a suit may not be filed before the termi- nation of the collection action involv- ing a particular debtor, unless earlier filing is necessary to avoid expiration of any applicable statute of limitations period. For purposes of this section, ‘‘termination of the collection action’’ occurs when the Commission has ter- minated collection action in accord- ance with the FCCS or other applicable standards. In any event, termination of the collection action will have been deemed to occur if the Commission has not received any payments to satisfy the debt from the particular debtor whose wages were subject to garnish- ment, in whole or in part, for a period of one (1) year.
§§ 1.1937–1.1939 [Reserved]
INTEREST, PENALTIES, ADMINISTRATIVE COSTS AND OTHER SANCTIONS
§ 1.1940 Assessment. (a) Except as provided in paragraphs
(g), (h), and (i) of this section or § 1.1941, the Commission shall charge interest, penalties, and administrative costs on debts owed to the United States pursuant to 31 U.S.C. 3717. The Commission will mail, hand-deliver, or use other forms of transmission, in- cluding facsimile telecopier service, a written notice to the debtor, at the debtor’s CORES contact address (see section 1.8002(b)) explaining the Com- mission’s requirements concerning these charges except where these re- quirements are included in a contrac- tual or repayment agreement, or other- wise provided in the Commission’s rules, as may be amended from time to
time. These charges shall continue to accrue until the debt is paid in full or otherwise resolved through com- promise, termination, or waiver of the charges. This provision is not intended to modify or limit the terms of any contract, note, or security agreement from the debtor, or to modify or limit the Commission’s rights under its rules with regard to the notice or the par- ties’ agreement to waive notice.
(b) The Commission shall charge in- terest on debts owed the United States as follows:
(1) Interest shall accrue from the date of delinquency, or as otherwise provided by the terms of any contract, note, or security agreement, regula- tion, or law.
(2) Unless otherwise established in a contract, note, or security agreement, repayment agreement, or by statute, the rate of interest charged shall be the rate established annually by the Treasury in accordance with 31 U.S.C. 3717. Pursuant to 31 U.S.C. 3717, an agency may charge a higher rate of in- terest if it reasonably determines that a higher rate is necessary to protect the rights of the United States. The agency should document the reason(s) for its determination that the higher rate is necessary.
(3) The rate of interest, as initially charged, shall remain fixed for the du- ration of the indebtedness. When a debtor defaults on a repayment agree- ment and seeks to enter into a new agreement, the agency may require payment of interest at a new rate that reflects the current value of funds to the Treasury at the time the new agreement is executed. Interest shall not be compounded, that is, interest shall not be charged on interest, pen- alties, or administrative costs required by this section. If, however, a debtor defaults on a previous repayment agreement, charges that accrued but were not collected under the defaulted agreement shall be added to the prin- cipal under the new repayment agree- ment.
(c) The Commission shall assess ad- ministrative costs incurred for proc- essing and handling delinquent debts. The calculation of administrative costs may be based on actual costs incurred or upon estimated costs as determined
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by the Commission. Commission ad- ministrative costs include the per- sonnel and service costs (e.g., tele- phone, copier, and overhead) to notify and collect the debt, without regard to the success of such efforts by the Com- mission.
(d) Unless otherwise established in a contract, repayment agreement, or by statute, the Commission will charge a penalty, pursuant to 31 U.S.C. 3717(e)(2), currently not to exceed six percent (6%) a year on the amount due on a debt that is delinquent for more than 90 days. This charge shall accrue from the date of delinquency. If the rate permitted under 31 U.S.C. 3717 is changed, the Commission will apply that rate.
(e) The Commission may increase an administrative debt by the cost of living adjustment in lieu of charging interest and penalties under this section. Ad- ministrative debt includes, but is not limited to, a debt based on fines, pen- alties, and overpayments, but does not include a debt based on the extension of Government credit, such as those arising from loans and loan guaranties. The cost of living adjustment is the percentage by which the Consumer Price Index for the month of June of the calendar year preceding the adjust- ment exceeds the Consumer Price Index for the month of June of the cal- endar year in which the debt was deter- mined or last adjusted. Increases to ad- ministrative debts shall be computed annually. Agencies should use this al- ternative only when there is a legiti- mate reason to do so, such as when cal- culating interest and penalties on a debt would be extremely difficult be- cause of the age of the debt.
(f) When a debt is paid in partial or installment payments, amounts re- ceived by the agency shall be applied first to outstanding penalties and ad- ministrative cost charges, second to accrued interest, and third to the out- standing principal.
(g) The Commission will waive the collection of interest and administra- tive charges imposed pursuant to this section on the portion of the debt that is paid within 30 days after the date on which interest began to accrue. The Commission will not extend this 30-day period except for good cause shown of
extraordinary and compelling cir- cumstances, completely documented and supported in writing, submitted and received before the expiration of the first 30-day period. The Commis- sion may, on good cause shown of ex- traordinary and compelling cir- cumstances, completely documented and supported in writing, waive inter- est, penalties, and administrative costs charged under this section, in whole or in part, without regard to the amount of the debt, either under the criteria set forth in these standards for the compromise of debts, or if the agency determines that collection of these charges is against equity and good con- science or is not in the best interest of the United States.
(h) The Commission retains the com- mon law right to impose interest and related charges on debts not subject to 31 U.S.C. 3717.
§ 1.1941 Exemptions.
(a) The preceding sections of this part, to the extent they reflect rem- edies or procedures prescribed by the Debt Collection Act of 1982 and the Debt Collection Improvement Act of 1996, such as administrative offset, use of credit bureaus, contracting for col- lection agencies, and interest and re- lated charges, do not apply to debts arising under, or payments made under, the Internal Revenue Code of 1986, as amended (26 U.S.C. 1 et seq.); the Social Security Act (42 U.S.C. 301 et seq.), except to the extent provided under 42 U.S.C. 404 and 31 U.S.C. 3716(c); or the tariff laws of the United States. These remedies and procedures, how- ever, may be authorized with respect to debts that are exempt from the Debt Collection Act of 1982 and the Debt Col- lection Improvement Act of 1996, to the extent that they are authorized under some other statute or the common law.
(b) This section should not be con- strued as prohibiting the use of these authorities or requirements when col- lecting debts owed by persons em- ployed by agencies administering the laws cited in paragraph (a) of this sec- tion unless the debt arose under those laws. However, the Commission is au- thorized to assess interest and related charges on debts which are not subject
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to 31 U.S.C. 3717 to the extent author- ized under the common law or other applicable statutory authority.
§ 1.1942 Other sanctions. The remedies and sanctions available
to the Commission in this subpart are not exclusive. The Commission may impose other sanctions, where per- mitted by law, for any inexcusable, prolonged, or repeated failure of a debtor to pay such a claim. In such cases, the Commission will provide no- tice, as required by law, to the debtor prior to imposition of any such sanc- tion.
§§ 1.1943–1.1949 [Reserved]
COOPERATION WITH THE INTERNAL REVENUE SERVICE
§ 1.1950 Reporting discharged debts to the Internal Revenue Service.
(a) In accordance with applicable pro- visions of the Internal Revenue Code and implementing regulations (26 U.S.C. 6050P; 26 CFR 1.6050P–1), when the Commission discharges a debt for less than the full value of the indebted- ness, it will report the outstanding bal- ance discharged, not including interest, to the Internal Revenue Service, using IRS Form 1099–C or any other form pre- scribed by the Service, when:
(1) The principle amount of the debt not in dispute is $600 or more; and
(2) The obligation has not been dis- charged in a bankruptcy proceeding; and
(3) The obligation is no longer col- lectible either because the time limit in the applicable statute for enforcing collection expired during the tax year, or because during the year a formal compromise agreement was reached in which the debtor was legally dis- charged of all or a portion of the obli- gation.
(b) The Treasury will prepare the Form 1099–C for those debts transferred to Treasury for collection and deemed uncollectible.
§ 1.1951 Offset against tax refunds. The Commission will take action to
effect administrative offset against tax refunds due to debtors under 26 U.S.C. 6402, in accordance with the provisions
of 31 U.S.C. 3720A and Treasury Depart- ment regulations.
§ 1.1952 Use and disclosure of mailing addresses.
(a) When attempting to locate a debt- or in order to collect or compromise a debt under this subpart or other au- thority, the Commission may send a request to the Secretary of the Treas- ury (or designee) to obtain a debtor’s mailing address from the records of the Internal Revenue Service.
(b) The Commission is authorized to use mailing addresses obtained under paragraph (a) of this section to enforce collection of a delinquent debt and may disclose such mailing addresses to other agencies and to collection agen- cies for collection purposes.
GENERAL PROVISIONS CONCERNING INTERAGENCY REQUESTS
§ 1.1953 Interagency requests.
(a) Requests to the Commission by other Federal agencies for administra- tive or salary offset shall be in writing and forwarded to the Financial Oper- ations Center, FCC, 445 12th Street, SW., Washington, DC 20554.
(b) Requests by the Commission to other Federal agencies holding funds payable to the debtor will be in writing and forwarded, certified return receipt, as specified by that agency in its regu- lations. If the agency’s rules governing this matter are not readily available or identifiable, the request will be sub- mitted to that agency’s office of legal counsel with a request that it be proc- essed in accordance with their internal procedures.
(c) Requests to and from the Commis- sion shall be accompanied by a certifi- cation that the debtor owes the debt (including the amount) and that the procedures for administrative or salary offset contained in this subpart, or comparable procedures prescribed by the requesting agency, have been fully complied with. The Commission will cooperate with other agencies in effect- ing collection.
(d) Requests to and from the Com- mission shall be processed within 30 calendar days of receipt. If such proc- essing is impractical or not feasible,
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notice to extend the time period for an- other 30 calendar days will be for- warded 10 calendar days prior to the expiration of the first 30-day period.
Subpart P—Implementation of the Anti-Drug Abuse Act of 1988
SOURCE: 57 FR 187, Jan. 3, 1992, unless oth- erwise noted.
§ 1.2001 Purpose. To determine eligibility for profes-
sional and/or commercial licenses issued by the Commission with respect to any denials of Federal benefits im- posed by Federal and/or state courts under authority granted in 21 U.S.C. 862.
[60 FR 39269, Aug. 2, 1995]
§ 1.2002 Applicants required to submit information.
(a) In order to be eligible for any new, modified, and/or renewed instru- ment of authorization from the Com- mission, including but not limited to, authorizations issued pursuant to sec- tions 214, 301, 302, 303(1), 308, 310(d), 318, 319, 325(b), 351, 361(b), 362(b), 381, and 385 of the Communications Act of 1934, as amended, by whatever name that in- strument may be designated, all appli- cants shall certify that neither the ap- plicant nor any party to the applica- tion is subject to a denial of Federal benefits that includes FCC benefits pursuant to section 5301 of the Anti- Drug Abuse Act of 1988. 21 U.S.C. 862. If a section 5301 certification has been in- corporated into the FCC application form being filed, the applicant need not submit a separate certification. If a section 5301 certification has not been incorporated into the FCC application form being filed, the applicant shall be deemed to have certified by signing the application, unless an exhibit is in- cluded stating that the signature does not constitute such a certification and explaining why the applicant is unable to certify. If no FCC application form is involved, the applicant must attach a certification to its written applica- tion. If the applicant is unable to so certify, the applicant shall be ineli- gible for the authorization for which it applied, and will have 90 days from the
filing of the application to comply with this rule. If a section 5301 certification has been incorporated into the FCC ap- plication form, failure to respond to the question concerning certification shall result in dismissal of the applica- tion pursuant to the relevant proc- essing rules.
(b) A party to the application, as used in paragraph (a) of this section shall include:
(1) If the applicant is an individual, that individual;
(2) If the applicant is a corporation or unincorporated association, all offi- cers, directors, or persons holding 5% or more of the outstanding stock or shares (voting and/or non-voting) of the applicant; and
(3) If the applicant is a partnership, all non-limited partners and any lim- ited partners holding a 5% or more in- terest in the partnership.
(c) The provisions of paragraphs (a) and (b) of this section are not applica- ble to the Amateur Radio Service, the Citizens Band Radio Service, the Radio Control Radio Service, to users in the Public Mobile Services and the Private Radio Services that are not individ- ually licensed by the Commission, or to Federal, State or local governmental entities or subdivisions thereof.
(d) The provisions of paragraphs (a) and (b) of this section are applicable to spectrum lessees (see § 1.9003 of subpart X of this part) engaged in spectrum manager leasing arrangements and de facto transfer leasing arrangements pursuant to the rules set forth in sub- part X of this part.
[57 FR 187, Jan. 3, 1992, as amended at 58 FR 8701, Feb. 17, 1993; 60 FR 39269, Aug. 2, 1995; 68 FR 66277, Nov. 25, 2003]
§ 1.2003 Applications affected.
The certification required by § 1.2002 must be filed with the following appli- cations and any other requests for au- thorization filed with the Commission, as well as for spectrum leasing notifi- cations and spectrum leasing applica- tions (see subpart X of this part), re- gardless of whether a specific form ex- ists.
FCC 301 Application for Construction Per- mit for Commercial Broadcast Station;
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FCC 301–A Application for Authority to Op- erate a Broadcast Station by Remote Con- trol or to Make Changes in a Remote Con- trol Authorization;
FCC 302 Application for New Broadcast Sta- tion License;
FCC 302—FM Application for FM Broadcast Station License;
FCC 303–S Application for Renewal of Li- cense for AM, FM, TV, Translator, or LPTV Station;
FCC 307 Application for Extension of Broad- cast Construction Permit or to Replace Ex- pired Construction Permit;
FCC 308 Application for Permit to Deliver Programs to Foreign Broadcast Stations;
FCC 309 Application for Authority to Con- struct or Make Changes in an Inter- national or Experimental Broadcast Sta- tion;
FCC 310 Application for an International, Experimental Television, Experimental Facsimile, or a Developmental Broadcast Station License;
FCC 311 Application for Renewal of an International or Experimental Broadcast License;
FCC 313 Application for Authorization in the Auxiliary Radio Broadcast Services;
FCC 313–R Application for Renewal of Aux- iliary Broadcast License;
FCC 314 Application for Consent to Assign- ment of Broadcast Station Construction Permit or License;
FCC 315 Application for Consent to Transfer of Control of Corporation Holding Broad- cast Station Construction Permit or Li- cense;
FCC 316 Application for Consent to Assign- ment of Radio Broadcast Station Construc- tion Permit or License or Transfer of Con- trol of Corporation Holding Radio Broad- cast Station Construction Permit or Li- cense;
FCC 327 Application for Cable Television Relay Service Station Authorzation;
FCC 330 Application for Authorization to Construct New or Make Changes in an In- structional Television Fixed and/or Re- sponse Station(s), or to Assign or Transfer Such Stations;
FCC 330–L Application for Instructional Television Fixed Station License;
FCC 330–R Application for Renewal of In- structional Television Fixed Station and/or Response Station(s) and Low Power Relay Station(s) License;
FCC 340 Application for Construction Per- mit for Noncommercial Educational Broadcast Station;
FCC 345 Application for Transfer of Control of a Corporate Licensee or Permittee, or Assignment of License or Permit, for an FM or TV Translator Station, or a Low Power Television Station;
FCC 346 Application for Authority to Con- struct or Make Changes in a Low Power TV, TV Translator or TV Booster Station;
FCC 347 Application for a Low Power TV, TV Translator or TV Booster Station Li- cense;
FCC 349 Application for Authority to Con- struct or Make Changes in an FM Trans- lator or FM Booster Station;
FCC 350 Application for an FM Translator or FM Booster Station License;
FCC 401 Application for New or Modified Common Carrier Radio Station Authoriza- tion Under part 22 of this chapter.
FCC 402 Application for Station Authoriza- tion in the Private Operational Fixed Microwave Radio Service;
FCC 402–R Renewal Notice and Certifi- cation in the Private Operational Fixed Microwave Radio Service;
FCC 403 Application for Radio Station Li- cense or Modification Thereof Under parts 23 or 25 of this chapter;
FCC 404 Application for Aircraft Radio Sta- tion License;
FCC 405 Application for Renewal of Radio Station License;
FCC 405–A Application for Renewal of Radio Station License and/or Notification of Change to License Information;
FCC 405–B Ship/Aircraft License Expiration Notice and/or Renewal Application;
FCC 406 Application for Ground Station Au- thorization in the Aviation Services;
FCC 407 Application for New or Modified Radio Station Construction Permit;
FCC 410 Registration of Canadian Radio Station Licensee and Application for Per- mit to Operate (Land Mobile);
FCC 442 Application for New or Modified Radio Station Authorization Under part 5 of this chapter—Experimental Radio Serv- ice (Other than Broadcast);
FCC 490 Application for Assignment or Transfer of Control Under part 22 of this chapter;
FCC 493 Application for Earth Station Au- thorization or Modification of Station Li- cense (Proposed);
FCC 494 Application for a New or Modified Microwave Radio Station License Under part 21 of this chapter;
FCC 494–A Certification of Completion of Construction Under part 21 of this chapter;
FCC 503 Application for Land Radio Station License in the Maritime Services;
FCC 506 Application for Ship Radio Station License;
FCC 574 Application for Private Land Mo- bile and General Mobile Radio Services;
FCC 574–R Application for Renewal of Radio Station License;
FCC 601 FCC Application for Wireless Tele- communications Bureau Radio Service Au- thorization;
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FCC 602 FCC Ownership Disclosure Informa- tion for the Wireless Telecommunications Services;
FCC 603 Wireless Telecommunications Bu- reau Application for Assignment of Au- thorization and Transfer of Control;
FCC 605 Quick Form Application for Author- ization in the Ship, Aircraft, Amateur, Re- stricted and Commercial Operator, and General Mobile Radio Services;
FCC 608 Notification or Application for Spec- trum Leasing Arrangement;
FCC 701 Application for Additional Time to Construct a Radio Station;
FCC 702 Application for Consent to Assign- ment of Radio Station Construction Per- mit or License;
FCC 703 Application for Consent to Transfer Control of Corporation Holding Station Li- cense;
FCC 704 Application for Consent to Transfer of Control of Corporation Holding Common Carrier Radio Station Construction Permit or License;
FCC 730 Application for Registration of Equipment to be Connected to the Tele- phone Network;
FCC 731 Application for Equipment Author- ization;
FCC 753 Restricted Radiotelephone Oper- ator Permit Application;
FCC 755 Application for Restricted Radio- telephone Operator Permit—Limited Use;
FCC 756 Application for Commercial Radio Operator License.
[57 FR 187, Jan. 3, 1992, as amended at 57 FR 48333, Oct. 23, 1992; 59 FR 63051, Dec. 7, 1994; 63 FR 68942, Dec. 14, 1998; 68 FR 66277, Nov. 25, 2003; 69 FR 77550, Dec. 27, 2004; 70 FR 19307, Apr. 13, 2005]
EFFECTIVE DATE NOTE: At 69 FR 77550, Dec. 27, 2004, § 1.2003 was amended. This section contains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
Subpart Q—Competitive Bidding Proceedings
SOURCE: 59 FR 44293, Aug. 26, 1994, unless otherwise noted.
GENERAL PROCEDURES
§ 1.2101 Purpose. The provisions of this subpart imple-
ment Section 309(j) of the Communica- tions Act of 1934, as added by the Omni- bus Budget Reconciliation Act of 1993 (Pub. L. 103–66) and the Balanced Budg- et Act of 1997 (Pub. L. 105–33), author- izing the Commission to employ com-
petitive bidding procedures to choose from among two or more mutually ex- clusive applications for certain initial licenses.
[63 FR 2340, Jan. 15, 1998]
§ 1.2102 Eligibility of applications for competitive bidding.
(a) Mutually exclusive initial appli- cations are subject to competitive bid- ding.
(b) The following types of license ap- plications are not subject to competi- tive bidding procedures:
(1) Public safety radio services, in- cluding private internal radio services used by state and local governments and non-government entities and in- cluding emergency road services pro- vided by not-for-profit organizations, that
(i) Are used to protect the safety of life, health, or property; and
(ii) Are not commercially available to the public;
(2) Initial licenses or construction permits for digital television service given to existing terrestrial broadcast licensees to replace their analog tele- vision service licenses; or
(3) Noncommercial educational and public broadcast stations described under 47 U.S.C. 397(6).
(c) Applications in the following services or classes of services are not subject to competitive bidding:
(1) Alaska-Private Fixed Stations (see 47 CFR part 80, subpart O);
(2) Broadcast radio (AM and FM) and broadcast television (VHF, UHF, LPTV) under 47 CFR part 73;
(3) Broadcast Auxiliary and Cable Television Relay Services (see 47 CFR part 74, subparts D, E, F, G, H and L and part 78, subpart B);
(4) Instructional Television Fixed Service (see 47 CFR part 74, subpart I);
(5) Maritime Support Stations (see 47 CFR part 80, subpart N);
(6) Marine Operational Fixed Sta- tions (see 47 CFR part 80, subpart N( �
(7) Marine Radiodetermination Sta- tions (see 47 CFR part 80, subpart M);
(8) Personal Radio Services (see 47 CFR part 95), except applications filed after July 26, 1993, in the Interactive Video Data Service (see 47 CFR part 95, subpart F);
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(9) Public Safety, Industrial/Land Transportation, General and Business Radio categories above 800 MHz, in- cluding finder’s preference requests for frequencies not allocated to the SMR service (see 47 CFR 90.173), and includ- ing, until further notice of the Com- mission, the Automated Vehicle Moni- toring Service (see 47 CFR 90.239);
(10) Private Land Mobile Radio Serv- ices between 470–512 MHz (see 47 CFR part 90, subparts B-F), including those based on finder’s preferences, (see 47 CFR 90.173);
(11) Private Land Mobile Radio Serv- ices below 470 MHz (see 47 CFR part 90, subparts B-F) except in the 220 MHz band (see 47 CFR part 90, subpart T), in- cluding those based on finder’s pref- erences (see 47 CFR §90.173); and
(12) Private Operational Fixed Serv- ices (see 47 CFR part 94).
NOTE TO § 1.2102: To determine the rules that apply to competitive bidding, specific service rules should also be consulted.
[59 FR 44293, Aug. 26, 1994, as amended at 60 FR 40718, Aug. 9, 1995; 62 FR 23163, Apr. 29, 1997; 63 FR 10780, Mar. 5, 1998]
§ 1.2103 Competitive bidding design options.
(a) The Commission will choose from one or more of the following types of auction designs for services or classes of services subject to competitive bid- ding:
(1) Simultaneous multiple-round auc- tions (using remote or on-site elec- tronic bidding);
(2) Sequential multiple round auc- tions (using either oral ascending or re- mote and/or on-site electronic bidding);
(3) Sequential or simultaneous sin- gle-round auctions (using either sealed paper or remote and/or on-site elec- tronic bidding); and
(4) Combinatorial (package) bidding auctions.
(b) The Commission may use combinatorial bidding, which would allow bidders to submit all or nothing bids on combinations of licenses or au- thorizations, in addition to bids on in- dividual licenses or authorizations. The Commission may require that to be de- clared the high bid, a combinatorial bid must exceed the sum of the indi- vidual bids by a specified amount. Combinatorial bidding may be used
with any type of auction. The Commis- sion may also allow bidders to submit contingent bids on individual and/or combinations of licenses.
(1) Apportioned package bid. The ap- portioned package bid on a license is an estimate of the price of an indi- vidual license included in a package of licenses in an auction with combinatorial (package) bidding. Ap- portioned package bids shall be deter- mined by the Commission according to a methodology it establishes in ad- vance of each auction with combinatorial bidding.
(2) Substitute for bid amount. The ap- portioned package bid on a license in- cluded in a package shall be used in place of the amount of an individual bid on that license when the bid amount is needed to determine the size of a designated entity bidding credit (see § 1.2110(f)(1) and (f)(2)), a new en- trant bidding credit (see § 73.5007), a bid withdrawal or default payment obliga- tion (see § 1.2104(g)), a tribal land bid- ding credit limit (see § 1.2110(f)(3)(iv)), or a size-based bidding credit unjust enrichment payment obligation (see § 1.2111(d), (e)(2) and (e)(3)), or for any other determination required by the Commission’s rules or procedures.
(c) The Commission may use single combined auctions, which combine bid- ding for two or more substitutable li- censes and award licenses to the high- est bidders until the available licenses are exhausted. This technique may be used in conjunction with any type of auction.
(d) The Commission may use real time bidding in all electronic auction designs.
[59 FR 44293, Aug. 26, 1994, as amended at 62 FR 13542, Mar. 21, 1997; 63 FR 2341, Jan. 15, 1998; 68 FR 42995, July 21, 2003; 71 FR 6226, Feb. 7, 2006]
§ 1.2104 Competitive bidding mecha- nisms.
(a) Sequencing. The Commission will establish the sequence in which mul- tiple licenses will be auctioned.
(b) Grouping. In the event the Com- mission uses either a simultaneous multiple round competitive bidding de- sign or combinatorial bidding, the
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Commission will determine which li- censes will be auctioned simulta- neously or in combination.
(c) Reserve Price. The Commission may establish a reserve price or prices, either disclosed or undisclosed, below which a license or licenses subject to auction will not be awarded. For any auction of eligible frequencies de- scribed in section 113(g)(2) of the Na- tional Telecommunications and Infor- mation Administration Organization Act (47 U.S.C. 923(g)(2)) requiring the recovery of estimated relocation costs, the Commission will establish a re- serve price or prices pursuant to which the total cash proceeds from any auc- tion of eligible frequencies shall equal at least 110 percent of the total esti- mated relocation costs provided to the Commission by the National Tele- communications and Information Ad- ministration pursuant to section 113(g)(4) of such Act (47 U.S.C. 923(g)(4)).
(d) Minimum Bid Increments, Minimum Opening Bids and Maximum Bid Incre- ments. The Commission may, by an- nouncement before or during an auc- tion, require minimum bid increments in dollar or percentage terms. The Commission also may establish min- imum opening bids and maximum bid increments on a service-specific basis.
(e) Stopping Rules. The Commission may establish stopping rules before or during multiple round auctions in order to terminate the auctions within a reasonable time.
(f) Activity Rules. The Commission may establish activity rules which re- quire a minimum amount of bidding activity.
(g) Withdrawal, Default and Disquali- fication Payment. As specified below, when the Commission conducts an auc- tion pursuant to § 1.2103, the Commis- sion will impose payments on bidders who withdraw high bids during the course of an auction, or who default on payments due after an auction closes or who are disqualified.
(1) Bid withdrawal prior to close of auc- tion. A bidder that withdraws a bid dur- ing the course of an auction is subject to a withdrawal payment equal to the difference between the amount of the withdrawn bid and the amount of the winning bid in the same or subsequent
auction(s). In the event that a bidding credit applies to any of the bids, the bid withdrawal payment is either the difference between the net withdrawn bid and the subsequent net winning bid, or the difference between the gross withdrawn bid and the subsequent gross winning bid, whichever is less. No withdrawal payment will be assessed for a withdrawn bid if either the subse- quent winning bid or any of the inter- vening subsequent withdrawn bids equals or exceeds that withdrawn bid. The withdrawal payment amount is de- ducted from any upfront payments or down payments that the withdrawing bidder has deposited with the Commis- sion. In the case of multiple bid with- drawals on a single license, the pay- ment for each bid withdrawal will be calculated based on the sequence of bid withdrawals and the amounts with- drawn in the same or subsequent auc- tion(s). In the event that a license for which there have been withdrawn bids subject to withdrawal payments is not won in the same auction, those bidders for which a final withdrawal payment cannot be calculated will be assessed an interim bid withdrawal payment of between 3 and 20 percent of their with- drawn bids, according to a percentage (or percentages) established by the Commission in advance of the auction. The interim bid withdrawal payment will be applied toward any final bid withdrawal payment that will be as- sessed at the close of a subsequent auc- tion of the corresponding license.
Example 1 to paragraph (g)(1). Bidder A withdraws a bid of $100. Subsequently, Bidder B places a bid of $90 and withdraws. In that same auction, Bidder C wins the license at a bid of $95. Withdrawal payments are assessed as follows: Bidder A owes $5 ($100–$95). Bidder B owes nothing.
Example 2 to paragraph (g)(1). Bidder A withdraws a bid of $100. Subsequently, Bidder B places a bid of $95 and withdraws. In that same auction, Bidder C wins the license at a bid of $90. Withdrawal payments are assessed as follows: Bidder A owes $5 ($100–$95). Bidder B owes $5 ($95–$90).
Example 3 to paragraph (g)(1). Bidder A withdraws a bid of $100. Subsequently, in that same auction, Bidder B places a bid of $90 and withdraws. In a subsequent auction, Bidder C places a bid of $95 and withdraws. Bidder D wins the license in that auction at a bid of $80. Assuming that the Commission
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established an interim bid withdrawal pay- ment of 3 percent in advance of the first auc- tion, withdrawal payments are assessed as follows: At the end of the first auction, Bid- der A and Bidder B are each assessed an in- terim withdrawal payment equal to 3 percent of their withdrawn bids pending Commission assessment of a final withdrawal payment (Bidder A would owe 3% of $100, or $3, and Bidder B would owe 3% of $90, or $2.70). At the end of the second auction, Bidder A would owe $5 ($100–$95) less the $3 interim withdrawal payment for a total of $2. Be- cause Bidder C placed a subsequent bid that was higher than Bidder B’s $90 bid, Bidder B would owe nothing. Bidder C would owe $15 ($95–$80).
(2) Default or disqualification after close of auction. A bidder assumes a binding obligation to pay its full bid amount upon acceptance of the win- ning bid at the close of an auction. If a bidder defaults or is disqualified after the close of such an auction, the de- faulting bidder will be subject to a de- fault payment consisting of a defi- ciency payment, described in § 1.2104(g)(2)(i), and an additional pay- ment, described in § 1.2104(g)(2)(ii) and (g)(2)(iii). The default payment will be deducted from any upfront payments or down payments that the defaulting bidder has deposited with the Commis- sion.
(i) Deficiency payment. The deficiency payment will equal the difference be- tween the amount of the defaulted bid and the amount of the winning bid in a subsequent auction, so long as there have been no intervening withdrawn bids that equal or exceed the defaulted bid or the subsequent winning bid. If the subsequent winning bid or any in- tervening subsequent withdrawn bid equals or exceeds the defaulted bid, no deficiency payment will be assessed. If there have been intervening subsequent withdrawn bids that are lower than the defaulted bid and higher than the sub- sequent winning bid, but no inter- vening withdrawn bids that equal or exceed the defaulted bid, the deficiency payment will equal the difference be- tween the amount of the defaulted bid and the amount of the highest inter- vening subsequent withdrawn bid. In the event that a bidding credit applies to any of the applicable bids, the defi- ciency payment will be based solely on net bids or solely on gross bids, which- ever results in a lower payment.
(ii) Additional payment—applicable percentage. When the default or dis- qualification follows an auction with- out combinatorial bidding, the addi- tional payment will equal between 3 and 20 percent of the applicable bid, ac- cording to a percentage (or percent- ages) established by the Commission in advance of the auction. When the de- fault or disqualification follows an auc- tion with combinatorial bidding, the additional payment will equal 25 per- cent of the applicable bid.
(iii) Additional payment—applicable bid. When no deficiency payment is as- sessed, the applicable bid will be the net amount of the defaulted bid. When a deficiency payment is assessed, the applicable bid will be the subsequent winning bid, using the same basis—i.e., net or gross—as was used in calcu- lating the deficiency payment.
(h) The Commission will generally release information concerning the identities of bidders before each auc- tion but may choose, on an auction-by- auction basis, to withhold the identity of the bidders associated with bidder identification numbers.
(i) The Commission may delay, sus- pend, or cancel an auction in the event of a natural disaster, technical obsta- cle, evidence of security breach, unlaw- ful bidding activity, administrative ne- cessity, or for any other reason that af- fects the fair and efficient conduct of the competitive bidding. The Commis- sion also has the authority, at its sole discretion, to resume the competitive bidding starting from the beginning of the current or some previous round or cancel the competitive bidding in its entirety.
(j) Bid apportionment. The Commis- sion may specify a method for appor- tioning a bid among portions of the li- cense (i.e., portions of the license’s service area or bandwidth, or both) when necessary to compare a bid on the original license or portions thereof with a bid on a corresponding reconfig- ured license for purposes of the Com- mission’s rules or procedures, such as
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to calculate a bid withdrawal or de- fault payment obligation in connection with the bid.
[59 FR 44293, Aug. 26, 1994, as amended at 63 FR 2341, Jan. 15, 1998; 65 FR 52344, Aug. 29, 2000; 68 FR 42995, July 21, 2003; 71 FR 6226, Feb. 7, 2006]
§ 1.2105 Bidding application and cer- tification procedures; prohibition of certain communications.
(a) Submission of Short-Form Applica- tion (FCC Form 175). In order to be eligi- ble to bid, an applicant must timely submit a short-form application (FCC Form 175), together with any appro- priate upfront payment set forth by Public Notice. Beginning January 1, 1999, all short-form applications must be filed electronically.
(1) All short-form applications will be due:
(i) On the date(s) specified by public notice; or
(ii) In the case of application filing dates which occur automatically by op- eration of law (see, e.g., 47 CFR 22.902), on a date specified by public notice after the Commission has reviewed the applications that have been filed on those dates and determined that mu- tual exclusivity exists.
(2) The short-form application must contain the following information:
(i) Identification of each license on which the applicant wishes to bid;
(ii)(A) The applicant’s name, if the applicant is an individual. If the appli- cant is a corporation, then the short- form application will require the name and address of the corporate office and the name and title of an officer or di- rector. If the applicant is a partner- ship, then the application will require the name, citizenship and address of all general partners, and, if a partner is not a natural person, then the name and title of a responsible person should be included as well. If the applicant is a trust, then the name and address of the trustee will be required. If the ap- plicant is none of the above, then it must identify and describe itself and its principals or other responsible per- sons; and
(B) Applicant ownership and other in- formation, as set forth in § 1.2112.
(iii) The identity of the person(s) au- thorized to make or withdraw a bid;
(iv) If the applicant applies as a des- ignated entity pursuant to § 1.2110, a statement to that effect and a declara- tion, under penalty of perjury, that the applicant is qualified as a designated entity under § 1.2110.
(v) Certification that the applicant is legally, technically, financially and otherwise qualified pursuant to section 308(b) of the Communications Act of 1934, as amended. The Commission will accept applications certifying that a request for waiver or other relief from the requirements of section 310 is pend- ing;
(vi) Certification that the applicant is in compliance with the foreign own- ership provisions of section 310 of the Communications Act of 1934, as amend- ed;
(vii) Certification that the applicant is and will, during the pendency of its application(s), remain in compliance with any service-specific qualifications applicable to the licenses on which the applicant intends to bid including, but not limited to, financial qualifications. The Commission may require certifi- cation in certain services that the ap- plicant will, following grant of a li- cense, come into compliance with cer- tain service-specific rules, including, but not limited to, ownership eligi- bility limitations;
(viii) An exhibit, certified as truthful under penalty of perjury, identifying all parties with whom the applicant has entered into partnerships, joint ventures, consortia or other agree- ments, arrangements or under- standings of any kind relating to the licenses being auctioned, including any such agreements relating to the post- auction market structure.
(ix) Certification under penalty of perjury that it has not entered and will not enter into any explicit or implicit agreements, arrangements or under- standings of any kind with any parties other than those identified pursuant to paragraph (a)(2)(viii) regarding the amount of their bids, bidding strategies or the particular licenses on which they will or will not bid.
(x) Certification that the applicant is not in default on any Commission li- censes and that it is not delinquent on any non-tax debt owed to any Federal agency.
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(xi) An attached statement made under penalty of perjury indicating whether or not the applicant has ever been in default on any Commission li- cense or has ever been delinquent on any non-tax debt owed to any Federal agency.
NOTE TO PARAGRAPH (a): The Commission may also request applicants to submit addi- tional information for informational pur- poses to aid in its preparation of required re- ports to Congress.
(b) Modification and Dismissal of Short- Form Application (FCC Form 175). (1) Any short-form application (FCC Form 175) that does not contain all of the certifications required pursuant to this section is unacceptable for filing and cannot be corrected subsequent to the applicable filing deadline. The applica- tion will be dismissed with prejudice and the upfront payment, if paid, will be returned.
(2) The Commission will provide bid- ders a limited opportunity to cure de- fects specified herein (except for failure to sign the application and to make certifications) and to resubmit a cor- rected application. During the resub- mission period for curing defects, a short-form application may be amend- ed or modified to cure defects identi- fied by the Commission or to make minor amendments or modifications. After the resubmission period has ended, a short-form application may be amended or modified to make minor changes or correct minor errors in the application. Major amendments cannot be made to a short-form application after the initial filing deadline. Major amendments include changes in owner- ship of the applicant that would con- stitute an assignment or transfer of control, changes in an applicant’s size which would affect eligibility for des- ignated entity provisions, and changes in the license service areas identified on the short-form application on which the applicant intends to bid. Minor amendments include, but are not lim- ited to, the correction of typographical errors and other minor defects not identified as major. An application will be considered to be newly filed if it is amended by a major amendment and may not be resubmitted after applica- ble filing deadlines.
(3) Applicants who fail to correct de- fects in their applications in a timely manner as specified by public notice will have their applications dismissed with no opportunity for resubmission.
(4) Applicants shall have a con- tinuing obligation to make any amend- ments or modifications that are nec- essary to maintain the accuracy and completeness of information furnished in pending applications. Such amend- ments or modifications shall be made as promptly as possible, and in no case more than five business days after ap- plicants become aware of the need to make any amendment or modification, or five business days after the report- able event occurs, whichever is later. An applicant’s obligation to make such amendments or modifications to a pending application continues until they are made.
(c) Prohibition of certain communica- tions. (1) Except as provided in para- graphs (c)(2), (c)(3), and (c)(4) of this section, after the short-form applica- tion filing deadline, all applicants for licenses in any of the same geographic license areas are prohibited from co- operating or collaborating with respect to, discussing with each other, or dis- closing to each other in any manner the substance of their own, or each other’s, or any other competing appli- cants’ bids or bidding strategies, or dis- cussing or negotiating settlement agreements, until after the down pay- ment deadline, unless such applicants are members of a bidding consortium or other joint bidding arrangement identified on the bidder’s short-form application pursuant to § 1.2105(a)(2)(viii).
(2) Applicants may modify their short-form applications to reflect for- mation of consortia or changes in own- ership at any time before or during an auction, provided such changes do not result in a change in control of the ap- plicant, and provided that the parties forming consortia or entering into ownership agreements have not applied for licenses in any of the same geo- graphic license areas. Such changes will not be considered major modifica- tions of the application.
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(3) After the filing of short-form ap- plications, applicants may make agree- ments to bid jointly for licenses, pro- vided the parties to the agreement have not applied for licenses in any of the same geographic license areas.
(4) After the filing of short-form ap- plications, a holder of a non-control- ling attributable interest in an entity submitting a short-form application may acquire an ownership interest in, form a consortium with, or enter into a joint bidding arrangement with, other applicants for licenses in the same geo- graphic license area, provided that:
(i) The attributable interest holder certifies to the Commission that it has not communicated and will not com- municate with any party concerning the bids or bidding strategies of more than one of the applicants in which it holds an attributable interest, or with which it has a consortium or joint bid- ding arrangement, and which have ap- plied for licenses in the same geo- graphic license area(s); and
(ii) The arrangements do not result in any change in control of an appli- cant; or
(iii) When an applicant has with- drawn from the auction, is no longer placing bids and has no further eligi- bility, a holder of a non-controlling, at- tributable interest in such an applicant may obtain an ownership interest in or enter into a consortium with another applicant for a license in the same geo- graphic service area, provided that the attributable interest holder certifies to the Commission that it did not commu- nicate with the new applicant prior to the date that the original applicant withdrew from the auction.
(5) Applicants must modify their short-form applications to reflect any changes in ownership or in membership of consortia or joint bidding arrange- ments.
(6) Any applicant that makes or re- ceives a communication of bids or bid- ding strategies prohibited under para- graph (c)(1) of this section shall report such communication in writing to the Commission immediately, and in no case later than five business days after the communication occurs. An appli- cant’s obligation to make such a report continues until the report has been made. Such reports shall be filed as di-
rected in public notices detailing pro- cedures for the bidding that was the subject of the reported communication. If no public notice provides direction, such notices shall be filed with the Chief of the Auctions and Spectrum Access Division, Wireless Tele- communications Bureau, by the most expeditious means available.
(7) For purposes of this paragraph: (i) The term applicant shall include
all controlling interests in the entity submitting a short-form application to participate in an auction (FCC Form 175), as well as all holders of partner- ship and other ownership interests and any stock interest amounting to 10 per- cent or more of the entity, or out- standing stock, or outstanding voting stock of the entity submitting a short- form application, and all officers and directors of that entity; and
(ii) The term bids or bidding strategies shall include capital calls or requests for additional funds in support of bids or bidding strategies.
Example: Company A is an applicant in area 1. Company B and Company C each own 10 percent of Company A. Company D is an applicant in area 1, area 2, and area 3. Com- pany C is an applicant in area 3. Without vio- lating the Commission’s Rules, Company B can enter into a consortium arrangement with Company D or acquire an ownership in- terest in Company D if Company B certifies either (1) that it has communicated with and will communicate neither with Company A or anyone else concerning Company A’s bids or bidding strategy, nor with Company C or anyone else concerning Company C’s bids or bidding strategy, or (2) that it has not com- municated with and will not communicate with Company D or anyone else concerning Company D’s bids or bidding strategy.
[63 FR 2341, Jan. 15, 1998, as amended at 63 FR 29958, June 2, 1998; 63 FR 50799, Sept. 23, 1998; 64 FR 59659, Nov. 3, 1999; 65 FR 52345, Aug. 29, 2000; 66 FR 54452, Oct. 29, 2001; 71 FR 15619, Mar. 29, 2006; 71 FR 26251, May 4, 2006; 72 FR 48843, Aug. 24, 2007; 75 FR 4702, Jan. 29, 2010; 75 FR 9797, Mar. 4, 2010]
§ 1.2106 Submission of upfront pay- ments.
(a) The Commission may require ap- plicants for licenses subject to com- petitive bidding to submit an upfront payment. In that event, the amount of the upfront payment and the proce- dures for submitting it will be set forth
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in a Public Notice. Any auction appli- cant that has previously been in de- fault on any Commission license or has previously been delinquent on any non- tax debt owed to any Federal agency must submit an upfront payment equal to 50 percent more than that set for each particular license. No interest will be paid on upfront payments.
(b) Upfront payments must be made by wire transfer in U.S. dollars from a financial institution whose deposits are insured by the Federal Deposit Insur- ance Corporation and must be made payable to the Federal Communica- tions Commission.
(c) If an upfront payment is not in compliance with the Commission’s Rules, or if insufficient funds are ten- dered to constitute a valid upfront pay- ment, the applicant shall have a lim- ited opportunity to correct its submis- sion to bring it up to the minimum valid upfront payment prior to the auc- tion. If the applicant does not submit at least the minimum upfront pay- ment, it will be ineligible to bid, its ap- plication will be dismissed and any up- front payment it has made will be re- turned.
(d) The upfront payment(s) of a bid- der will be credited toward any down payment required for licenses on which the bidder is the high bidder. Where the upfront payment amount exceeds the required deposit of a winning bidder, the Commission may refund the excess amount after determining that no bid withdrawal penalties are owed by that bidder.
(e) In accordance with the provisions of paragraph (d), in the event a penalty is assessed pursuant to § 1.2104 for bid withdrawal or default, upfront pay- ments or down payments on deposit with the Commission will be used to satisfy the bid withdrawal or default penalty before being applied toward any additional payment obligations that the high bidder may have.
[59 FR 44293, Aug. 26, 1994, as amended at 62 FR 13543, Mar. 21, 1997; 65 FR 52345, Aug. 29, 2000]
§ 1.2107 Submission of down payment and filing of long-form applications.
(a) After bidding has ended, the Com- mission will identify and notify the
high bidder and declare the bidding closed.
(b) Unless otherwise specified by pub- lic notice, within ten (10) business days after being notified that it is a high bidder on a particular license(s), a high bidder must submit to the Commis- sion’s lockbox bank such additional funds (the ‘‘down payment’’) as are necessary to bring its total deposits (not including upfront payments ap- plied to satisfy bid withdrawal or de- fault payments) up to twenty (20) per- cent of its high bid(s). (In single round sealed bid auctions conducted under § 1.2103, however, bidders may be re- quired to submit their down payments with their bids.) Unless otherwise spec- ified by public notice, this down pay- ment must be made by wire transfer in U.S. dollars from a financial institu- tion whose deposits are insured by the Federal Deposit Insurance Corporation and must be made payable to the Fed- eral Communications Commission. Down payments will be held by the Commission until the high bidder has been awarded the license and has paid the remaining balance due on the li- cense or authorization, in which case it will not be returned, or until the win- ning bidder is found unqualified to be a licensee or has defaulted, in which case it will be returned, less applicable pay- ments. No interest on any down pay- ment will be paid to the bidders.
(c) A high bidder that meets its down payment obligations in a timely man- ner must, within ten (10) business days after being notified that it is a high bidder, submit an additional applica- tion (the ‘‘long-form application’’) pur- suant to the rules governing the serv- ice in which the applicant is the high bidder. Notwithstanding any other pro- vision in title 47 of the Code of Federal Regulations to the contrary, high bid- ders need not submit an additional ap- plication filing fee with their long- form applications. Specific procedures for filing applications will be set out by Public Notice. Ownership disclosure re- quirements are set forth in § 1.2112. Be- ginning January 1, 1999, all long-form applications must be filed electroni- cally. An applicant that fails to submit the required long-form application
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under this paragraph and fails to estab- lish good cause for any late-filed sub- mission, shall be deemed to have de- faulted and will be subject to the pay- ments set forth in § 1.2104.
(d) As an exhibit to its long-form ap- plication, the applicant must provide a detailed explanation of the terms and conditions and parties involved in any bidding consortia, joint venture, part- nership or other agreement or arrange- ment it had entered into relating to the competitive bidding process prior to the time bidding was completed. Such agreements must have been en- tered into prior to the filing of short- form applications pursuant to § 1.2105.
(e) A winning bidder that seeks a bid- ding credit to serve a qualifying tribal land, as defined in § 1.2110(f)(3)(i), with- in a particular market must indicate on the long-form application (FCC Form 601) that it intends to serve a qualifying tribal land within that mar- ket.
(f) An applicant must also submit FCC Form 602 (see § 1.919 of this chap- ter) with its long form application (FCC Form 601).
(g)(1)(i) A consortium participating in competitive bidding pursuant to § 1.2110(b)(3)(i) that is a winning bidder may not apply as a consortium for li- censes covered by the winning bids. In- dividual members of the consortium or new legal entities comprising indi- vidual consortium members may apply for the licenses covered by the winning bids of the consortium. An individual member of the consortium or a new legal entity comprising two or more in- dividual consortium members applying for a license pursuant to this provision shall be the applicant for purposes of all related requirements and filings, such as filing FCC Form 602. However, the members filing separate long-form applications shall all use the consor- tium’s FCC Registration Number (‘‘FRN’’) on their long-form applica- tions. An application by an individual consortium member or a new legal en- tity comprising two or more individual consortium members for a license cov- ered by the winning bids of the consor- tium shall not constitute a major modification of the application or a change in control of the applicant for
purposes of Commission rules gov- erning the application.
(ii) Within ten business days after re- lease of the public notice announcing grant of a long-form application, that licensee must update its filings in the Commission’s Universal Licensing Sys- tem (‘‘ULS’’) to substitute its indi- vidual FRN for that of the consortium.
(2) The continuing eligibility for size- based benefits, such as size-based bid- ding credits or set-aside licenses, of a newly formed legal entity comprising two or more individual consortium members will be based on the size of such newly formed entity as of the fil- ing of its long-form application.
(3) Members of a consortium intend- ing to partition or disaggregate li- cense(s) among individual members or new legal entities comprising two or more individual consortium members must select one member or one new legal entity comprising two or more in- dividual consortium members to apply for the license(s). The applicant must include in its applications, as part of the explanation of terms and condi- tions provided pursuant to § 1.2107(d), the agreement of the applicable parties to partition or disaggregate the rel- evant license(s). Upon grant of the long-form application for that license, the licensee must then apply to parti- tion or disaggregate the license pursu- ant to those terms and conditions.
[59 FR 44293, Aug. 26, 1994, as amended at 61 FR 49075, Sept. 18, 1996; 62 FR 13543, Mar. 21, 1997; 63 FR 2342, Jan. 15, 1998; 63 FR 12659, Mar. 16, 1998; 63 FR 68942, Dec. 14, 1998; 65 FR 47354, Aug. 2, 2000; 67 FR 45365, July 9, 2002; 71 FR 6227, Feb. 7, 2006]
§ 1.2108 Procedures for filing petitions to deny against long-form applica- tions.
(a) Where petitions to deny are other- wise provided for under the Act or the commission’s Rules, and unless other service-specific procedures for the fil- ing of such petitions are provided for elsewhere in the Commission’s Rules, the procedures in this section shall apply to the filing of petitions to deny the long-form applications of winning bidders.
(b) Within a period specified by Pub- lic Notice and after the Commission by Public Notice announces that long-
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form applications have been accepted for filing, petitions to deny such appli- cations may be filed. The period for fil- ing petitions to deny shall be no more than ten (10) days. The appropriate li- censing Bureau, within its discretion, may, in exigent circumstances, reduce this period of time to no less than five (5) days. Any such petitions must con- tain allegations of fact supported by af- fidavit of a person or persons with per- sonal knowledge thereof.
(c) An applicant may file an opposi- tion to any petition to deny, and the petitioner a reply to such opposition. Allegations of fact or denials thereof must be supported by affidavit of a per- son or persons with personal knowledge thereof. The time for filing such oppo- sitions shall be at least five (5) days from the filing date for petitions to deny, and the time for filing replies shall be at least five (5) days from the filing date for oppositions. The Com- mission may grant a license based on any long-form application that has been accepted for filing. The Commis- sion shall in no case grant licenses ear- lier than seven (7) days following issuance of a public notice announcing long-form applications have been ac- cepted for filing.
(d) If the Commission determines that:
(1) An applicant is qualified and there is no substantial and material issue of fact concerning that determination, it will grant the application.
(2) An applicant is not qualified and that there is no substantial issue of fact concerning that determination, the Commission need not hold an evi- dentiary hearing and will deny the ap- plication.
(3) Substantial and material issues of fact require a hearing, it will conduct a hearing. The Commission may permit all or part of the evidence to be sub- mitted in written form and may permit employees other than administrative law judges to preside at the taking of written evidence. Such hearing will be conducted on an expedited basis.
[59 FR 44293, Aug. 26, 1994, as amended at 63 FR 2343, Jan. 15, 1998; 65 FR 52345, Aug. 29, 2000]
§ 1.2109 License grant, denial, default, and disqualification.
(a) Unless otherwise specified by pub- lic notice, auction winners are required to pay the balance of their winning bids in a lump sum within ten (10) busi- ness days following the release of a public notice establishing the payment deadline. If a winning bidder fails to pay the balance of its winning bids in a lump sum by the applicable deadline as specified by the Commission, it will be allowed to make payment within ten (10) business days after the payment deadline, provided that it also pays a late fee equal to five percent of the amount due. When a winning bidder fails to pay the balance of its winning bid by the late payment deadline, it is considered to be in default on its li- cense(s) and subject to the applicable default payments. Licenses will be awarded upon the full and timely pay- ment of winning bids and any applica- ble late fees.
(b) If a winning bidder withdraws its bid after the Commission has declared competitive bidding closed or fails to remit the required down payment with- in ten (10) business days after the Com- mission has declared competitive bid- ding closed, the bidder will be deemed to have defaulted, its application will be dismissed, and it will be liable for the default payment specified in §§ 1.2104(g)(2) or 1.2104(g)(3), whichever is applicable. In such event, the Com- mission, at its discretion, may either re-auction the license(s) to existing or new applicants or offer it to the other highest bidders (in descending order) at their final bids. If the license(s) is of- fered to the other highest bidders (in descending order), the down payment obligations set forth in § 1.2107(b) will apply. However, in combinatorial bid- ding auctions, the Commission will only re-auction the license(s) to exist- ing or new applicants. The Commission will not offer the package or licenses to the next highest bidder.
(c) A winning bidder who is found un- qualified to be a licensee, fails to remit the balance of its winning bid in a timely manner, or defaults or is dis- qualified for any reason after having made the required down payment, will be deemed to have defaulted, its appli- cation will be dismissed, and it will be
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liable for the payment set forth in §§ 1.2104(g)(2) or 1.2104(g)(3), whichever is applicable. In such event, the Com- mission may either re-auction the li- cense(s) to existing or new applicants or offer it to the other highest bidders (in descending order) at their final bids. However, in combinatorial bid- ding auctions, the Commission will only re-auction the license(s) to exist- ing or new applicants. The Commission will not offer the package or licenses to the next highest bidder.
(d) Bidders who are found to have violated the antitrust laws or the Com- mission’s rules in connection with their participation in the competitive bidding process may be subject, in ad- dition to any other applicable sanc- tions, to forfeiture of their upfront payment, down payment or full bid amount, and may be prohibited from participating in future auctions.
[59 FR 44293, Aug. 26, 1994, as amended at 62 FR 13544, Mar. 21, 1997; 63 FR 2343, Jan. 15, 1998; 68 FR 42996, July 21, 2003]
§ 1.2110 Designated entities.
(a) Designated entities are small businesses, businesses owned by mem- bers of minority groups and/or women, and rural telephone companies.
(b) Eligibility for small business and en- trepreneur provisions—(1) Size attribu- tion. (i) The gross revenues of the appli- cant (or licensee), its affiliates, its con- trolling interests, the affiliates of its controlling interests, and the entities with which it has an attributable ma- terial relationship shall be attributed to the applicant (or licensee) and con- sidered on a cumulative basis and ag- gregated for purposes of determining whether the applicant (or licensee) is eligible for status as a small business, very small business, or entrepreneur, as those terms are defined in the serv- ice-specific rules. An applicant seeking status as a small business, very small business, or entrepreneur, as those terms are defined in the service-spe- cific rules, must disclose on its short- and long-form applications, separately and in the aggregate, the gross reve- nues for each of the previous three years of the applicant (or licensee), its affiliates, its controlling interests, the affiliates of its controlling interests,
and the entities with which it has an attributable material relationship.
(ii) If applicable, pursuant to § 24.709 of this chapter, the total assets of the applicant (or licensee), its affiliates, its controlling interests, the affiliates of its controlling interests, and the enti- ties with which it has an attributable material relationship shall be attrib- uted to the applicant (or licensee) and considered on a cumulative basis and aggregated for purposes of determining whether the applicant (or licensee) is eligible for status as an entrepreneur. An applicant seeking status as an en- trepreneur must disclose on its short- and long-form applications, separately and in the aggregate, the gross reve- nues for each of the previous two years of the applicant (or licensee), its affili- ates, its controlling interests, the af- filiates of its controlling interests, and the entities with which it has an at- tributable material relationship.
(2) Aggregation of affiliate interests. Persons or entities that hold interests in an applicant (or licensee) that are affiliates of each other or have an iden- tity of interests identified in § 1.2110(c)(5)(iii) will be treated as though they were one person or entity and their ownership interests aggre- gated for purposes of determining an applicant’s (or licensee’s) compliance with the requirements of this section.
Example 1 to paragraph (b)(2): ABC Corp. is owned by individuals, A, B and C, each hav- ing an equal one-third voting interest in ABC Corp. A and B together, with two-thirds of the stock have the power to control ABC Corp. and have an identity of interest. If A&B invest in DE Corp., a broadband PCS applicant for block C, A and B’s separate in- terests in DE Corp. must be aggregated be- cause A and B are to be treated as one person or entity.
Example 2 to paragraph (b)(2): ABC Corp. has subsidiary BC Corp., of which it holds a controlling 51 percent of the stock. If ABC Corp. and BC Corp., both invest in DE Corp., their separate interests in DE Corp. must be aggregated because ABC Corp. and BC Corp. are affiliates of each other.
(3) Exceptions—(i) Consortium. Where an applicant to participate in bidding for Commission licenses or permits is a consortium either of entities eligible for size-based bidding credits an/or for closed bidding based on gross revenues and/or total assets, the gross revenues
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and/or total assets of each consortium member shall not be aggregated. Each consortium member must constitute a separate and distinct legal entity to qualify for this exception. Consortia that are winning bidders using this ex- ception must comply with the require- ments of § 1.2107(g) of this chapter as a condition of license grant.
(ii) Applicants without identifiable controlling interests. Where an appli- cant (or licensee) cannot identify con- trolling interests under the standards set forth in this section, the gross reve- nues of all interest holders in the appli- cant, and their affiliates, will be at- tributable.
(iii) Rural telephone cooperatives. (A)(1) An applicant will be exempt from §1.2110(c)(2)(ii)(F) for the purpose of at- tribution in § 1.2110(b)(1), if the appli- cant or a controlling interest in the ap- plicant, as the case may be, meets all of the following conditions:
(i) The applicant (or the controlling interest) is organized as a cooperative pursuant to state law;
(ii) The applicant (or the controlling interest) is a ‘‘rural telephone com- pany’’ as defined by the Communica- tions Act; and
(iii) The applicant (or the controlling interest) demonstrates either that it is eligible for tax-exempt status under the Internal Revenue Code or that it adheres to the cooperative principles articulated in Puget Sound Plywood, Inc. v. Commissioner of Internal Revenue, 44 T.C. 305 (1965).
(2) If the condition in paragraph (b)(3)(iii)(A)(1)(i) above cannot be met because the relevant jurisdiction has not enacted an organic statute that specifies requirements for organization as a cooperative, the applicant must show that it is validly organized and its articles of incorporation, by-laws, and/or other relevant organic docu- ments provide that it operates pursu- ant to cooperative principles.
(B) However, if the applicant is not an eligible rural telephone cooperative under paragraph (a) of this section, and the applicant has a controlling interest other than the applicant’s officers and directors or an eligible rural telephone cooperative’s officers and directors, paragraph (a) of this section applies with respect to the applicant’s officers
and directors and such controlling in- terest’s officers and directors only when such controlling interest is ei- ther:
(1) An eligible rural telephone coop- erative under paragraph (a) of this sec- tion or
(2) controlled by an eligible rural telephone cooperative under paragraph (a) of this section.
(iv) Applicants or licensees with mate- rial relationships—(A) Impermissible ma- terial relationships. An applicant or li- censee that would otherwise be eligible for designated entity benefits under this section and applicable service-spe- cific rules shall be ineligible for such benefits if the applicant or licensee has an impermissible material relation- ship. An applicant or licensee has an impermissible material relationship when it has arrangements with one or more entities for the lease or resale (including under a wholesale agree- ment) of, on a cumulative basis, more than 50 percent of the spectrum capac- ity of any one of the applicant’s or li- censee’s licenses.
(B) Attributable material relationships. An applicant or licensee must attribute the gross revenues (and, if applicable, the total assets) of any entity, (includ- ing the controlling interests, affiliates, and affiliates of the controlling inter- ests of that entity) with which the ap- plicant or licensee has an attributable material relationship. An applicant or licensee has an attributable material relationship when it has one or more arrangements with any individual enti- ty for the lease or resale (including under a wholesale agreement) of, on a cumulative basis, more than 25 percent of the spectrum capacity of any one of the applicant’s or licensee’s licenses.
(C) Grandfathering—(1) Licensees. An impermissible or attributable material relationship shall not disqualify a li- censee for previously awarded benefits with respect to a license awarded be- fore April 25, 2006, based on spectrum lease or resale (including wholesale) ar- rangements entered into before April 25, 2006.
(2) Applicants. An impermissible or attributable material relationship shall not disqualify an applicant seek- ing eligibility in an application for a li- cense, authorization, assignment, or
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transfer of control or for partitioning or disaggregation filed before April 25, 2006, based on spectrum lease or resale (including wholesale) arrangements en- tered into before April 25, 2006. Any ap- plicant seeking eligibility in an appli- cation for a license, authorization, as- signment, or transfer of control or for partitioning or disaggregation filed after April 25, 2006, or in an application to participate in an auction in which bidding begins on or after June 5, 2006, need not attribute the material rela- tionship(s) of those entities that are its affiliates based solely on § 1.2110(c)(5)(i)(C) if those affiliates en- tered into such material relationship(s) before April 25, 2006, and are subject to a contractual prohibition preventing them from contributing to the appli- cant’s total financing.
Example to paragraph (b)(3)(iv)(C)(2): Newco is an applicant seeking designated entity status in an auction in which bidding begins after the effective date of the rules. Investor is a controlling interest of Newco. Investor also is a controlling interest of Existing DE. Existing DE previously was awarded des- ignated entity benefits and has impermis- sible material relationships based on leasing agreements entered into before April 25, 2006, with a third party, Lessee, that were in com- pliance with the Commission’s designated eligibility standards prior to April 25, 2006. In this example, Newco would not be prohib- ited from acquiring designated entity bene- fits solely because of the existing impermis- sible material relationships of its affiliate, Existing DE. Newco, Investor, and Existing DE, however, would need to enter into a con- tractual prohibition that prevents Existing DE from contributing to the total financing of Newco.
(c) Definitions—(1) Small businesses. The Commission will establish the defi- nition of a small business on a service- specific basis, taking into consider- ation the characteristics and capital requirements of the particular service.
(2) Controlling interests. (i) For pur- poses of this section, controlling inter- est includes individuals or entities with either de jure or de facto control of the applicant. De jure control is evi- denced by holdings of greater than 50 percent of the voting stock of a cor- poration, or in the case of a partner- ship, general partnership interests. De facto control is determined on a case- by-case basis. An entity must disclose its equity interest and demonstrate at
least the following indicia of control to establish that it retains de facto con- trol of the applicant:
(A) The entity constitutes or ap- points more than 50 percent of the board of directors or management com- mittee;
(B) The entity has authority to ap- point, promote, demote, and fire senior executives that control the day-to-day activities of the licensee; and
(C) The entity plays an integral role in management decisions.
(ii) Calculation of certain interests. (A) Fully diluted requirement. (1) Except as set forth in paragraph (c)(2)(ii)(A)(2) of this section, ownership interests shall be calculated on a fully diluted basis; all agreements such as warrants, stock options and convertible debentures will generally be treated as if the rights thereunder already have been fully ex- ercised.
(2) Rights of first refusal and put op- tions shall not be calculated on a fully diluted basis for purposes of deter- mining de jure control; however, rights of first refusal and put options shall be calculated on a fully diluted basis if such ownership interests, in combina- tion with other terms to an agreement, deprive an otherwise qualified appli- cant or licensee of de facto control.
NOTE TO PARAGRAPH (c)(2)(ii)(A): Mutually exclusive contingent ownership interests, i.e., one or more ownership interests that, by their terms, are mutually exclusive of one or more other ownership interests, shall be cal- culated as having been fully exercised only in the possible combinations in which they can be exercised by their holder(s). A contin- gent ownership interest is mutually exclu- sive of another only if contractual language specifies that both interests cannot be held simultaneously as present ownership inter- ests.
(B) Partnership and other ownership interests and any stock interest eq- uity, or outstanding stock, or out- standing voting stock shall be attrib- uted as specified.
(C) Stock interests held in trust shall be attributed to any person who holds or shares the power to vote such stock, to any person who has the sole power to sell such stock, and to any person who has the right to revoke the trust at will or to replace the trustee at will. If the trustee has a familial, personal, or extra-trust business relationship to
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the grantor or the beneficiary, the grantor or beneficiary, as appropriate, will be attributed with the stock inter- ests held in trust.
(D) Non-voting stock shall be attrib- uted as an interest in the issuing enti- ty.
(E) Limited partnership interests shall be attributed to limited partners and shall be calculated according to both the percentage of equity paid in and the percentage of distribution of profits and losses.
(F) Officers and directors of the ap- plicant shall be considered to have a controlling interest in the applicant. The officers and directors of an entity that controls a licensee or applicant shall be considered to have a control- ling interest in the licensee or appli- cant. The personal net worth, including personal income of the officers and di- rectors of an applicant, is not attrib- uted to the applicant. To the extent that the officers and directors of an ap- plicant are affiliates of other entities, the gross revenues of the other entities are attributed to the applicant.
(G) Ownership interests that are held indirectly by any party through one or more intervening corporations will be determined by successive multiplica- tion of the ownership percentages for each link in the vertical ownership chain and application of the relevant attribution benchmark to the resulting product, except that if the ownership percentage for an interest in any link in the chain exceeds 50 percent or rep- resents actual control, it shall be treated as if it were a 100 percent inter- est.
(H) Any person who manages the op- erations of an applicant or licensee pursuant to a management agreement shall be considered to have a control- ling interest in such applicant or li- censee if such person, or its affiliate, has authority to make decisions or otherwise engage in practices or activi- ties that determine, or significantly in- fluence:
(1) The nature or types of services of- fered by such an applicant or licensee;
(2) The terms upon which such serv- ices are offered; or
(3) The prices charged for such serv- ices.
(I) Any licensee or its affiliate who enters into a joint marketing arrange- ment with an applicant or licensee, or its affiliate, shall be considered to have a controlling interest, if such applicant or licensee, or its affiliate, has author- ity to make decisions or otherwise en- gage in practices or activities that de- termine, or significantly influence:
(1) The nature or types of services of- fered by such an applicant or licensee;
(2) The terms upon which such serv- ices are offered; or
(3) The prices charged for such serv- ices.
(3) Businesses owned by members of mi- nority groups and/or women. Unless oth- erwise provided in rules governing spe- cific services, a business owned by members of minority groups and/or women is one in which minorities and/ or women who are U.S. citizens control the applicant, have at least greater than 50 percent equity ownership and, in the case of a corporate applicant, have a greater than 50 percent voting interest. For applicants that are part- nerships, every general partner must be either a minority and/or woman (or minorities and/or women) who are U.S. citizens and who individually or to- gether own at least 50 percent of the partnership equity, or an entity that is 100 percent owned and controlled by minorities and/or women who are U.S. citizens. The interests of minorities and women are to be calculated on a fully diluted basis; agreements such as stock options and convertible deben- tures shall be considered to have a present effect on the power to control an entity and shall be treated as if the rights thereunder already have been fully exercised. However, upon a dem- onstration that options or conversion rights held by non-controlling prin- cipals will not deprive the minority and female principals of a substantial financial stake in the venture or im- pair their rights to control the des- ignated entity, a designated entity may seek a waiver of the requirement that the equity of the minority and fe- male principals must be calculated on a fully-diluted basis. The term minor- ity includes individuals of Black or Af- rican American, Hispanic or Latino, American Indian or Alaskan Native,
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Asian, and Native Hawaiian or Pacific Islander extraction.
(4) Rural telephone companies. A rural telephone company is any local ex- change carrier operating entity to the extent that such entity—
(i) Provides common carrier service to any local exchange carrier study area that does not include either:
(A) Any incorporated place of 10,000 inhabitants or more, or any part there- of, based on the most recently avail- able population statistics of the Bu- reau of the Census, or
(B) Any territory, incorporated or unincorporated, included in an urban- ized area, as defined by the Bureau of the Census as of August 10, 1993;
(ii) Provides telephone exchange service, including exchange access, to fewer than 50,000 access lines;
(iii) Provides telephone exchange service to any local exchange carrier study area with fewer than 100,000 ac- cess lines; or
(iv) Has less than 15 percent of its ac- cess lines in communities of more than 50,000 on the date of enactment of the Telecommunications Act of 1996.
(5) Affiliate. (i) An individual or enti- ty is an affiliate of an applicant or of a person holding an attributable interest in an applicant if such individual or en- tity—
(A) Directly or indirectly controls or has the power to control the applicant, or
(B) Is directly or indirectly con- trolled by the applicant, or
(C) Is directly or indirectly con- trolled by a third party or parties that also controls or has the power to con- trol the applicant, or
(D) Has an ‘‘identity of interest’’ with the applicant.
(ii) Nature of control in determining affiliation.
(A) Every business concern is consid- ered to have one or more parties who directly or indirectly control or have the power to control it. Control may be affirmative or negative and it is imma- terial whether it is exercised so long as the power to control exists.
Example. An applicant owning 50 percent of the voting stock of another concern would have negative power to control such concern since such party can block any action of the other stockholders. Also, the bylaws of a cor-
poration may permit a stockholder with less than 50 percent of the voting stock to block any actions taken by the other stockholders in the other entity. Affiliation exists when the applicant has the power to control a con- cern while at the same time another person, or persons, are in control of the concern at the will of the party or parties with the power to control.
(B) Control can arise through stock ownership; occupancy of director, offi- cer or key employee positions; contrac- tual or other business relations; or combinations of these and other fac- tors. A key employee is an employee who, because of his/her position in the concern, has a critical influence in or substantive control over the operations or management of the concern.
(C) Control can arise through man- agement positions where a concern’s voting stock is so widely distributed that no effective control can be estab- lished.
Example. In a corporation where the offi- cers and directors own various size blocks of stock totaling 40 percent of the corporation’s voting stock, but no officer or director has a block sufficient to give him or her control or the power to control and the remaining 60 percent is widely distributed with no indi- vidual stockholder having a stock interest greater than 10 percent, management has the power to control. If persons with such man- agement control of the other entity are per- sons with attributable interests in the appli- cant, the other entity will be deemed an af- filiate of the applicant.
(iii) Identity of interest between and among persons. Affiliation can arise be- tween or among two or more persons with an identity of interest, such as members of the same family or persons with common investments. In deter- mining if the applicant controls or has the power to control a concern, persons with an identity of interest will be treated as though they were one per- son.
Example. Two shareholders in Corporation Y each have attributable interests in the same PCS application. While neither share- holder has enough shares to individually control Corporation Y, together they have the power to control Corporation Y. The two shareholders with these common invest- ments (or identity in interest) are treated as though they are one person and Corporation Y would be deemed an affiliate of the appli- cant.
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(A) Spousal affiliation. Both spouses are deemed to own or control or have the power to control interests owned or controlled by either of them, unless they are subject to a legal separation recognized by a court of competent ju- risdiction in the United States. In cal- culating their net worth, investors who are legally separated must include their share of interests in property held jointly with a spouse.
(B) Kinship affiliation. Immediate family members will be presumed to own or control or have the power to control interests owned or controlled by other immediate family members. In this context ‘‘immediate family member’’ means father, mother, hus- band, wife, son, daughter, brother, sis- ter, father- or mother-in-law, son- or daughter-in-law, brother- or sister-in- law, step-father or -mother, step-broth- er or -sister, step-son or -daughter, half brother or sister. This presumption may be rebutted by showing that the family members are estranged, the family ties are remote, or the family members are not closely involved with each other in business matters.
Example. A owns a controlling interest in Corporation X. A’s sister-in-law, B, has an attributable interest in a PCS application. Because A and B have a presumptive kinship affiliation, A’s interest in Corporation Y is attributable to B, and thus to the applicant, unless B rebuts the presumption with the necessary showing.
(iv) Affiliation through stock owner- ship. (A) An applicant is presumed to control or have the power to control a concern if he or she owns or controls or has the power to control 50 percent or more of its voting stock.
(B) An applicant is presumed to con- trol or have the power to control a con- cern even though he or she owns, con- trols or has the power to control less than 50 percent of the concern’s voting stock, if the block of stock he or she owns, controls or has the power to con- trol is large as compared with any other outstanding block of stock.
(C) If two or more persons each owns, controls or has the power to control less than 50 percent of the voting stock of a concern, such minority holdings are equal or approximately equal in size, and the aggregate of these minor- ity holdings is large as compared with
any other stock holding, the presump- tion arises that each one of these per- sons individually controls or has the power to control the concern; however, such presumption may be rebutted by a showing that such control or power to control, in fact, does not exist.
(v) Affiliation arising under stock op- tions, convertible debentures, and agreements to merge. Except as set forth in paragraph (c)(2)(ii)(A)(2) of this section, stock options, convertible de- bentures, and agreements to merge (in- cluding agreements in principle) are generally considered to have a present effect on the power to control the con- cern. Therefore, in making a size deter- mination, such options, debentures, and agreements are generally treated as though the rights held thereunder had been exercised. However, an affil- iate cannot use such options and de- bentures to appear to terminate its control over another concern before it actually does so.
Example 1 to paragraph (c)(5)(v). If company B holds an option to purchase a controlling interest in company A, who holds an attrib- utable interest in a PCS application, the sit- uation is treated as though company B had exercised its rights and had become owner of a controlling interest in company A. The gross revenues of company B must be taken into account in determining the size of the applicant.
Example 2. If a large company, BigCo, holds 70% (70 of 100 outstanding shares) of the vot- ing stock of company A, who holds an attrib- utable interest in a PCS application, and gives a third party, SmallCo, an option to purchase 50 of the 70 shares owned by BigCo, BigCo will be deemed to be an affiliate of company A, and thus the applicant, until SmallCo actually exercises its option to pur- chase such shares. In order to prevent BigCo from circumventing the intent of the rule which requires such options to be considered on a fully diluted basis, the option is not considered to have present effect in this case.
Example 3. If company A has entered into an agreement to merge with company B in the future, the situation is treated as though the merger has taken place.
NOTE TO PARAGRAPH (c)(5)(v): Mutually ex- clusive contingent ownership interests, i.e., one or more ownership interests that, by their terms, are mutually exclusive of one or more other ownership interests, shall be cal- culated as having been fully exercised only in the possible combinations in which they
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can be exercised by their holder(s). A contin- gent ownership interest is mutually exclu- sive of another only if contractual language specifies that both interests cannot be held simultaneously as present ownership inter- ests.
(vi) Affiliation under voting trusts. (A) Stock interests held in trust shall be deemed controlled by any person who holds or shares the power to vote such stock, to any person who has the sole power to sell such stock, and to any person who has the right to revoke the trust at will or to replace the trustee at will.
(B) If a trustee has a familial, per- sonal or extra-trust business relation- ship to the grantor or the beneficiary, the stock interests held in trust will be deemed controlled by the grantor or beneficiary, as appropriate.
(C) If the primary purpose of a voting trust, or similar agreement, is to sepa- rate voting power from beneficial own- ership of voting stock for the purpose of shifting control of or the power to control a concern in order that such concern or another concern may meet the Commission’s size standards, such voting trust shall not be considered valid for this purpose regardless of whether it is or is not recognized with- in the appropriate jurisdiction.
(vii) Affiliation through common man- agement. Affiliation generally arises where officers, directors, or key em- ployees serve as the majority or other- wise as the controlling element of the board of directors and/or the manage- ment of another entity.
(viii) Affiliation through common facili- ties. Affiliation generally arises where one concern shares office space and/or employees and/or other facilities with another concern, particularly where such concerns are in the same or re- lated industry or field of operations, or where such concerns were formerly af- filiated, and through these sharing ar- rangements one concern has control, or potential control, of the other concern.
(ix) Affiliation through contractual re- lationships. Affiliation generally arises where one concern is dependent upon another concern for contracts and busi- ness to such a degree that one concern has control, or potential control, of the other concern.
(x) Affiliation under joint venture ar- rangements. (A) A joint venture for size determination purposes is an associa- tion of concerns and/or individuals, with interests in any degree or propor- tion, formed by contract, express or implied, to engage in and carry out a single, specific business venture for joint profit for which purpose they combine their efforts, property, money, skill and knowledge, but not on a con- tinuing or permanent basis for con- ducting business generally. The deter- mination whether an entity is a joint venture is based upon the facts of the business operation, regardless of how the business operation may be des- ignated by the parties involved. An agreement to share profits/losses pro- portionate to each party’s contribution to the business operation is a signifi- cant factor in determining whether the business operation is a joint venture.
(B) The parties to a joint venture are considered to be affiliated with each other. Nothing in this subsection shall be construed to define a small business consortium, for purposes of deter- mining status as a designated entity, as a joint venture under attribution standards provided in this section.
(xi) Exclusion from affiliation coverage. For purposes of this section, Indian tribes or Alaska Regional or Village Corporations organized pursuant to the Alaska Native Claims Settlement Act (43 U.S.C. 1601 et seq.), or entities owned and controlled by such tribes or cor- porations, are not considered affiliates of an applicant (or licensee) that is owned and controlled by such tribes, corporations or entities, and that oth- erwise complies with the requirements of this section, except that gross reve- nues derived from gaming activities conducted by affiliate entities pursu- ant to the Indian Gaming Regulatory Act (25 U.S.C. 2701 et seq.) will be count- ed in determining such applicant’s (or licensee’s) compliance with the finan- cial requirements of this section, un- less such applicant establishes that it will not receive a substantial unfair competitive advantage because signifi- cant legal constraints restrict the ap- plicant’s ability to access such gross revenues.
(6) Consortium. A consortium of small businesses, very small businesses, or
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entrepreneurs is a conglomerate orga- nization composed of two or more enti- ties, each of which individually satis- fies the definition of a small business, very small business, or entrepreneur, as those terms are defined in the serv- ice-specific rules. Each individual member must constitute a separate and distinct legal entity to qualify.
(d) The Commission may set aside specific licenses for which only eligible designated entities, as specified by the Commission, may bid.
(e) The Commission may permit par- titioning of service areas in particular services for eligible designated enti- ties.
(f) Bidding credits. (1) The Commis- sion may award bidding credits (i.e., payment discounts) to eligible des- ignated entities. Competitive bidding rules applicable to individual services will specify the designated entities eli- gible for bidding credits, the licenses for which bidding credits are available, the amounts of bidding credits and other procedures.
(2) Size of bidding credits. A winning bidder that qualifies as a small busi- ness may use the following bidding credits corresponding to its respective average gross revenues for the pre- ceding 3 years:
(i) Businesses with average gross rev- enues for the preceding years, 3 years not exceeding $3 million are eligible for bidding credits of 35 percent;
(ii) Businesses with average gross revenues for the preceding years, 3 years not exceeding $15 million are eli- gible for bidding credits of 25 percent; and
(iii) Businesses with average gross revenues for the preceding years, 3 years not exceeding $40 million are eli- gible for bidding credits of 15 percent.
(3) Bidding credit for serving qualifying tribal land. A winning bidder for a mar- ket will be eligible to receive a bidding credit for serving a qualifying tribal land within that market, provided that it complies with § 1.2107(e). The fol- lowing definition, terms, and condi- tions shall apply for the purposes of this section and § 1.2107(e):
(i) Qualifying tribal land means any federally recognized Indian tribe’s res- ervation, Pueblo, or Colony, including former reservations in Oklahoma, Alas-
ka Native regions established pursuant to the Alaska Native Claims Settle- ment Act (85 Stat. 688), and Indian al- lotments, that has a wireline telephone subscription rate equal to or less than eighty-five (85) percent based on the most recently available U.S. Census Data.
(ii) Certification. (A) Within 180 days after the filing deadline for long-form applications, the winning bidder must amend its long-form application and attach a certification from the tribal government stating the following:
(1) The tribal government authorizes the winning bidder to site facilities and provide service on its tribal land;
(2) The tribal area to be served by the winning bidder constitutes qualifying tribal land; and
(3) The tribal government has not and will not enter into an exclusive contract with the applicant precluding entry by other carriers, and will not unreasonably discriminate among wireless carriers seeking to provide service on the qualifying tribal land.
(B) In addition, within 180 days after the filing deadline for long-form appli- cations, the winning bidder must amend its long-form application and file a certification that it will comply with the construction requirements set forth in paragraph (f)(3)(vii) of this sec- tion and consult with the tribal gov- ernment regarding the siting of facili- ties and deployment of service on the tribal land.
(C) If the winning bidder fails to sub- mit the required certifications within the 180-day period, the bidding credit will not be awarded, and the winning bidder must pay any outstanding bal- ance on its winning bid amount.
(iii) Bidding credit formula. Subject to the applicable bidding credit limit set forth in § 1.2110(f)(3)(iv), the bidding credit shall equal five hundred thou- sand (500,000) dollars for the first two hundred (200) square miles (518 square kilometers) of qualifying tribal land, and twenty-five hundred (2500) dollars for each additional square mile (2.590 square kilometers) of qualifying tribal land above two hundred (200) square miles (518 square kilometers).
(iv) Bidding credit limit. If the high bid is equal to or less than one million
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(1,000,000) dollars, the maximum bid- ding credit calculated pursuant to § 1.2110(f)(3)(iii) shall not exceed fifty (50) percent of the high bid. If the high bid is greater than one million (1,000,000) dollars, but equal to or less than two million (2,000,000) dollars, the maximum bidding credit calculated pursuant to § 1.2110(f)(3)(iii) shall not exceed five hundred thousand (500,000) dollars. If the high bid is greater than two million (2,000,000) dollars, the max- imum bidding credit calculated pursu- ant to § 1.2110(f)(3)(iii) shall not exceed thirty-five (35) percent of the high bid.
(v) Bidding credit limit in auctions sub- ject to specified reserve price(s). In any auction of eligible frequencies de- scribed in section 113(g)(2) of the Na- tional Telecommunications and Infor- mation Administration Organization Act (47 U.S.C. 923(g)(2) with reserve price(s) and in any auction with re- serve price(s) in which the Commission specifies that this provision shall apply, the aggregate amount available to be awarded as bidding credits for serving qualifying tribal land with re- spect to all licenses subject to a re- serve price shall not exceed the amount by which winning bids for those li- censes net of discounts the Commission takes into account when reporting net bids in the Public Notice closing the auction exceed the applicable reserve price. If the total amount that might be awarded as tribal land bidding cred- its based on applications for all li- censes subject to the reserve price ex- ceeds the aggregate amount available to be awarded, the Commission will award eligible applicants a pro rata tribal land bidding credit. The Com- mission may determine at any time that the total amount that might be awarded as tribal land bidding credits is less than the aggregate amount available to be awarded and grant full tribal land bidding credits to relevant applicants, including any that pre- viously received pro rata tribal land bidding credits. To determine the amount of an applicant’s pro rata trib- al land bidding credit, the Commission will multiply the full amount of the tribal land bidding credit for which the applicant would be eligible excepting this limitation ((f)(3)(v)) of this section by a fraction, consisting of a numer-
ator in the amount by which winning bids for licenses subject to the reserve price net of discounts the Commission takes into account when reporting net bids in the Public Notice closing the auction exceed the reserve price and a denominator in the amount of the ag- gregate maximum tribal land bidding credits for which applicants for such li- censes might have qualified excepting this limitation ((f)(3)(v)) of this sec- tion. When determining the aggregate maximum tribal land bidding credits for which applicants for such licenses might have qualified, the Commission shall assume that any applicant seek- ing a tribal land bidding credit on its long-form application will be eligible for the largest tribal land bidding cred- it possible for its bid for its license ex- cepting this limitation ((f)(3)(v)) of this section. After all applications seeking a tribal land bidding credit with re- spect to licenses covered by a reserve price have been finally resolved, the Commission will recalculate the pro rata credit. For these purposes, final determination of a credit occurs only after any review or reconsideration of the award of such credit has been con- cluded and no opportunity remains for further review or reconsideration. To recalculate an applicant’s pro rata tribal land bidding credit, the Commis- sion will multiply the full amount of the tribal land bidding credit for which the applicant would be eligible except- ing this limitation ((f)(3)(v)) of this sec- tion by a fraction, consisting of a nu- merator in the amount by which win- ning bids for licenses subject to the re- serve price net of discounts the Com- mission takes into account when re- porting net bids in the Public Notice closing the auction exceed the reserve price and a denominator in the amount of the aggregate amount of tribal land bidding credits for which all applicants for such licenses would have qualified excepting this limitation ((f)(3)(v)) of this section.
(vi) Application of credit. A pending request for a bidding credit for serving qualifying tribal land has no effect on a bidder’s obligations to make any auc- tion payments, including down and final payments on winning bids, prior to award of the bidding credit by the
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Commission. Tribal land bidding cred- its will be calculated and awarded prior to license grant. If the Commission grants an applicant a pro rata tribal land bidding credit prior to license grant, as provided by paragraph (f)(3)(v) of this section, the Commission shall recalculate the applicant’s pro rata tribal land bidding credit after all applications seeking tribal land bid- dings for licenses subject to the same reserve price have been finally re- solved. If a recalculated tribal land bid- ding credit is larger than the pre- viously awarded pro rata tribal land bidding credit, the Commission will award the difference.
(vii) Post-construction certification. Within fifteen (15) days of the third an- niversary of the initial grant of its li- cense, a recipient of a bidding credit under this section shall file a certifi- cation that the recipient has con- structed and is operating a system ca- pable of serving seventy-five (75) per- cent of the population of the qualifying tribal land for which the credit was awarded. The recipient must provide the total population of the tribal area covered by its license as well as the number of persons that it is serving in the tribal area.
(viii) Performance penalties. If a re- cipient of a bidding credit under this section fails to provide the post-con- struction certification required by paragraph (f)(3)(vii) of this section, then it shall repay the bidding credit amount in its entirety, plus interest. The interest will be based on the rate for ten-year U.S. Treasury obligations applicable on the date the license is granted. Such payment shall be made within thirty (30) days of the third an- niversary of the initial grant of its li- cense. Failure to repay the bidding credit amount and interest within the required time period will result in automatic termination of the license without specific Commission action. Repayment of bidding credit amounts pursuant to this provision shall not af- fect the calculation of amounts avail- able to be awarded as tribal land bid- ding credits pursuant to (f)(3)(v) of this section.
(g) Installment payments. The Com- mission may permit small businesses (including small businesses owned by
women, minorities, or rural telephone companies that qualify as small busi- nesses) and other entities determined to be eligible on a service-specific basis, which are high bidders for li- censes specified by the Commission, to pay the full amount of their high bids in installments over the term of their licenses pursuant to the following:
(1) Unless otherwise specified by pub- lic notice, each eligible applicant pay- ing for its license(s) on an installment basis must deposit by wire transfer in the manner specified in § 1.2107(b) suffi- cient additional funds as are necessary to bring its total deposits to ten (10) percent of its winning bid(s) within ten (10) days after the Commission has de- clared it the winning bidder and closed the bidding. Failure to remit the re- quired payment will make the bidder liable to pay a default payment pursu- ant to § 1.2104(g)(2).
(2) Within ten (10) days of the condi- tional grant of the license application of a winning bidder eligible for install- ment payments, the licensee shall pay another ten (10) percent of the high bid, thereby commencing the eligible li- censee’s installment payment plan. If a winning bidder eligible for installment payments fails to submit this addi- tional ten (10) percent of its high bid by the applicable deadline as specified by the Commission, it will be allowed to make payment within ten (10) business days after the payment deadline, pro- vided that it also pays a late fee equal to five percent of the amount due. When a winning bidder eligible for in- stallment payments fails to submit this additional ten (10) percent of its winning bid, plus the late fee, by the late payment deadline, it is considered to be in default on its license(s) and subject to the applicable default pay- ments. Licenses will be awarded upon the full and timely payment of second down payments and any applicable late fees.
(3) Upon grant of the license, the Commission will notify each eligible li- censee of the terms of its installment payment plan and that it must execute a promissory note and security agree- ment as a condition of the installment payment plan. Unless other terms are specified in the rules of particular serv- ices, such plans will:
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(i) Impose interest based on the rate of U.S. Treasury obligations (with ma- turities closest to the duration of the license term) at the time of licensing;
(ii) Allow installment payments for the full license term;
(iii) Begin with interest-only pay- ments for the first two years; and
(iv) Amortize principal and interest over the remaining term of the license.
(4) A license granted to an eligible entity that elects installment pay- ments shall be conditioned upon the full and timely performance of the li- censee’s payment obligations under the installment plan.
(i) Any licensee that fails to submit its quarterly payment on an install- ment payment obligation (the ‘‘Re- quired Installment Payment’’) may submit such payment on or before the last day of the next quarter (the ‘‘first additional quarter’’) without being considered delinquent. Any licensee making its Required Installment Pay- ment during this period (the ‘‘first ad- ditional quarter grace period’’) will be assessed a late payment fee equal to five percent (5%) of the amount of the past due Required Installment Pay- ment. The late payment fee applies to the total Required Installment Pay- ment regardless of whether the licensee submitted a portion of its Required In- stallment Payment in a timely man- ner.
(ii) If any licensee fails to make the Required Installment Payment on or before the last day of the first addi- tional quarter set forth in paragraph (g)(4)(i) of this section, the licensee may submit its Required Installment Payment on or before the last day of the next quarter (the ‘‘second addi- tional quarter’’), except that no such additional time will be provided for the July 31, 1998 suspension interest and in- stallment payments from C or F block licensees that are not made within 90 days of the payment resumption date for those licensees, as explained in Amendment of the Commission’s Rules Regarding Installment Payment Fi- nancing for Personal Communications Services (PCS) Licensees, Order on Re- consideration of the Second Report and Order, WT Docket No. 97–82, 13 FCC Rcd 8345 (1998). Any licensee making the Required Installment Payment during
the second additional quarter (the ‘‘second additional quarter grace pe- riod’’) will be assessed a late payment fee equal to ten percent (10%) of the amount of the past due Required In- stallment Payment. Licensees shall not be required to submit any form of request in order to take advantage of the first and second additional quarter grace periods.
(iii) All licensees that avail them- selves of these grace periods must pay the associated late payment fee(s) and the Required Installment Payment prior to the conclusion of the applica- ble additional quarter grace period(s). Payments made at the close of any grace period(s) will first be applied to satisfy any lender advances as required under each licensee’s ‘‘Note and Secu- rity Agreement,’’ with the remainder of such payments applied in the fol- lowing order: late payment fees, inter- est charges, installment payments for the most back-due quarterly install- ment payment.
(iv) If an eligible entity obligated to make installment payments fails to pay the total Required Installment Payment, interest and any late pay- ment fees associated with the Required Installment Payment within two quar- ters (6 months) of the Required Install- ment Payment due date, it shall be in default, its license shall automatically cancel, and it will be subject to debt collection procedures. A licensee in the PCS C or F blocks shall be in default, its license shall automatically cancel, and it will be subject to debt collection procedures, if the payment due on the payment resumption date, referenced in paragraph (g)(4)(ii) of this section, is more than ninety (90) days delinquent.
(h) The Commission may establish different upfront payment require- ments for categories of designated en- tities in competitive bidding rules of particular auctionable services.
(i) The Commission may offer des- ignated entities a combination of the available preferences or additional preferences.
(j) Designated entities must describe on their long-form applications how they satisfy the requirements for eligi- bility for designated entity status, and must list and summarize on their long- form applications all agreements that
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affect designated entity status such as partnership agreements, shareholder agreements, management agreements, spectrum leasing arrangements, spec- trum resale (including wholesale) ar- rangements, and all other agreements, including oral agreements, estab- lishing, as applicable, de facto or de jure control of the entity or the pres- ence or absence of impermissible and attributable material relationships. Designated entities also must provide the date(s) on which they entered into each of the agreements listed. In addi- tion, designated entities must file with their long-form applications a copy of each such agreement. In order to en- able the Commission to audit des- ignated entity eligibility on an ongoing basis, designated entities that are awarded eligibility must, for the term of the license, maintain at their facili- ties or with their designated agents the lists, summaries, dates, and copies of agreements required to be identified and provided to the Commission pursu- ant to this paragraph and to § 1.2114.
(k) The Commission may, on a serv- ice-specific basis, permit consortia, each member of which individually meets the eligibility requirements, to qualify for any designated entity provi- sions.
(l) The Commission may, on a serv- ice-specific basis, permit publicly-trad- ed companies that are owned by mem- bers of minority groups or women to qualify for any designated entity provi- sions.
(m) Audits. (1) Applicants and licens- ees claiming eligibility shall be subject to audits by the Commission, using in- house and contract resources. Selec- tion for audit may be random, on infor- mation, or on the basis of other fac- tors.
(2) Consent to such audits is part of the certification included in the short- form application (FCC Form 175). Such consent shall include consent to the audit of the applicant’s or licensee’s books, documents and other material (including accounting procedures and practices) regardless of form or type, sufficient to confirm that such appli- cant’s or licensee’s representations are, and remain, accurate. Such consent shall include inspection at all reason- able times of the facilities, or parts
thereof, engaged in providing and transacting business, or keeping records regarding FCC-licensed service and shall also include consent to the interview of principals, employees, cus- tomers and suppliers of the applicant or licensee.
(n) Annual reports. Each designated entity licensee must file with the Com- mission an annual report within five business days before the anniversary date of the designated entity’s license grant. The annual report shall include, at a minimum, a list and summaries of all agreements and arrangements (in- cluding proposed agreements and ar- rangements) that relate to eligibility for designated entity benefits. In addi- tion to a summary of each agreement or arrangement, this list must include the parties (including affiliates, con- trolling interests, and affiliates of con- trolling interests) to each agreement or arrangement, as well as the dates on which the parties entered into each agreement or arrangement. Annual re- ports will be filed no later than, and up to five business days before, the anni- versary of the designated entity’s li- cense grant.
(o) Gross revenues. Gross revenues shall mean all income received by an entity, whether earned or passive, be- fore any deductions are made for costs of doing business (e.g., cost of goods sold), as evidenced by audited financial statements for the relevant number of most recently completed calendar years or, if audited financial state- ments were not prepared on a calendar- year basis, for the most recently com- pleted fiscal years preceding the filing of the applicant’s short-form (FCC Form 175). If an entity was not in exist- ence for all or part of the relevant pe- riod, gross revenues shall be evidenced by the audited financial statements of the entity’s predecessor-in-interest or, if there is no identifiable predecessor- in-interest, unaudited financial state- ments certified by the applicant as ac- curate. When an applicant does not otherwise use audited financial state- ments, its gross revenues may be cer- tified by its chief financial officer or its equivalent and must be prepared in accordance with Generally Accepted Accounting Principles.
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(p) Total assets. Total assets shall mean the book value (except where generally accepted accounting prin- ciples (GAAP) require market valu- ation) of all property owned by an enti- ty, whether real or personal, tangible or intangible, as evidenced by the most recently audited financial statements or certified by the applicant’s chief fi- nancial offer or its equivalent if the ap- plicant does not otherwise use audited financial statements.
[63 FR 2343, Jan. 15, 1998; 63 FR 12659, Mar. 16, 1998, as amended at 63 FR 17122, Apr. 8, 1998; 65 FR 47355, Aug. 2, 2000; 65 FR 52345, Aug. 29, 2000; 65 FR 68924, Nov. 15, 2000; 67 FR 16650, Apr. 8, 2002; 67 FR 45365, July 9, 2002; 68 FR 23422, May 2, 2003; 68 FR 42996, July 21, 2003; 69 FR 61321, Oct. 18, 2004; 70 FR 57187, Sept. 30, 2005; 71 FR 6227, Feb. 7, 2006; 71 FR 26251, May 4, 2006]
§ 1.2111 Assignment or transfer of con- trol: unjust enrichment.
(a) Reporting requirement. An appli- cant seeking approval for a transfer of control or assignment (otherwise per- mitted under the Commission’s rules) of a license within three years of re- ceiving a new license through a com- petitive bidding procedure must, to- gether with its application for transfer of control or assignment, file with the Commission a statement indicating that its license was obtained through competitive bidding. Such applicant must also file with the Commission the associated contracts for sale, option agreements, management agreements, or other documents disclosing the local consideration that the applicant would receive in return for the transfer or as- signment of its license (see § 1.948). This information should include not only a monetary purchase price, but also any future, contingent, in-kind, or other consideration (e.g., management or consulting contracts either with or without an option to purchase; below market financing).
(b) Unjust enrichment payment: set- aside. As specified in this paragraph an applicant seeking approval for a trans- fer of control or assignment (otherwise permitted under the Commission’s rules) of, or for entry into a material relationship (see §§ 1.2110, 1.2114) (other- wise permitted under the Commission’s rules) involving, a license acquired by the applicant pursuant to a set-aside
for eligible designated entities under § 1.2110(c), or which proposes to take any other action relating to ownership or control that will result in loss of eli- gibility as a designated entity, must seek Commission approval and may be required to make an unjust enrichment payment (Payment) to the Commission by cashier’s check or wire transfer be- fore consent will be granted. The Pay- ment will be based upon a schedule that will take account of the term of the license, any applicable construc- tion benchmarks, and the estimated value of the set-aside benefit, which will be calculated as the difference be- tween the amount paid by the des- ignated entity for the license and the value of comparable non-set-aside li- cense in the free market at the time of the auction. The Commission will es- tablish the amount of the Payment and the burden will be on the applicants to disprove this amount. No Payment will be required if:
(1) The license is transferred or as- signed more than five years after its initial issuance, unless otherwise speci- fied; or
(2) The proposed transferee or as- signee is an eligible designated entity under § 1.2110(c) or the service-specific competitive bidding rules of the par- ticular service, and so certifies.
(c) Unjust enrichment payment: install- ment financing. (1) If a licensee that uti- lizes installment financing under this section seeks to assign or transfer con- trol of its license to an entity not meeting the eligibility standards for installment payments, the licensee must make full payment of the remain- ing unpaid principal and any unpaid in- terest accrued through the date of as- signment or transfer as a condition of approval.
(2) If a licensee that utilizes install- ment financing under this section seeks to make any change in ownership structure or to enter into a material relationship (see § 1.2110) that would re- sult in the licensee losing eligibility for installment payments, the licensee shall first seek Commission approval and must make full payment of the re- maining unpaid principal and any un- paid interest accrued through the date
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of such change as a condition of ap- proval. A licensee’s (or other attrib- utable entity’s) increased gross reve- nues or increased total assets due to nonattributable equity investments, debt financing, revenue from oper- ations or other investments, business development or expanded service shall not be considered to result in the li- censee losing eligibility for installment payments.
(3) If a licensee seeks to make any change in ownership or to enter into a material relationship (see § 1.2110) that would result in the licensee qualifying for a less favorable installment plan under this section, the licensee shall seek Commission approval and must adjust its payment plan to reflect its new eligibility status. A licensee may not switch its payment plan to a more favorable plan.
(d) Unjust enrichment payment: bidding credits. (1) A licensee that utilizes a bidding credit, and that during the ini- tial term seeks to assign or transfer control of a license to an entity that does not meet the eligibility criteria for a bidding credit, will be required to reimburse the U.S. Government for the amount of the bidding credit, plus in- terest based on the rate for ten year U.S. Treasury obligations applicable on the date the license was granted, as a condition of Commission approval of the assignment or transfer. If, within the initial term of the license, a li- censee that utilizes a bidding credit seeks to assign or transfer control of a license to an entity that is eligible for a lower bidding credit, the difference between the bidding credit obtained by the assigning party and the bidding credit for which the acquiring party would qualify, plus interest based on the rate for ten year U.S. treasury obli- gations applicable on the date the li- cense is granted, must be paid to the U.S. Government as a condition of Commission approval of the assign- ment or transfer. If, within the initial term of the license, a licensee that uti- lizes a bidding credit seeks to make any ownership change or to enter into a material relationship (see § 1.2110) that would result in the licensee losing eligibility for a bidding credit (or qualifying for a lower bidding credit), the amount of the bidding credit (or
the difference between the bidding credit originally obtained and the bid- ding credit for which the licensee would qualify after restructuring or entry into a material relationship), plus interest based on the rate for ten year U.S. treasury obligations applica- ble on the date the license is granted, must be paid to the U.S. Government as a condition of Commission approval of the assignment or transfer or of a re- portable eligibility event (see § 1.2114).
(2) Payment schedule. (i) For licenses initially granted after April 25, 2006, the amount of payments made pursu- ant to paragraph (d)(1) of this section will be 100 percent of the value of the bidding credit prior to the filing of the notification informing the Commission that the construction requirements ap- plicable at the end of the initial license term have been met. If the notification informing the Commission that the construction requirements applicable at the end of the initial license term have been met, the amount of the pay- ments will be reduced over time as fol- lows:
(A) A loss of eligibility in the first five years of the license term will re- sult in a forfeiture of 100 percent of the value of the bidding credit (or in the case of eligibility changing to qualify for a lower bidding credit, 100 percent of the difference between the bidding credit received and the bidding credit for which it is eligible);
(B) A loss of eligibility in years 6 and 7 of the license term will result in a forfeiture of 75 percent of the value of the bidding credit (or in the case of eli- gibility changing to qualify for a lower bidding credit, 75 percent of the dif- ference between the bidding credit re- ceived and the bidding credit for which it is eligible);
(C) A loss of eligibility in years 8 and 9 of the license term will result in a forfeiture of 50 percent of the value of the bidding credit (or in the case of eli- gibility changing to qualify for a lower bidding credit, 50 percent of the dif- ference between the bidding credit re- ceived and the bidding credit for which it is eligible); and
(D) A loss of eligibility in year 10 of the license term will result in a for- feiture of 25 percent of the value of the
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bidding credit (or in the case of eligi- bility changing to qualify for a lower bidding credit, 25 percent of the dif- ference between the bidding credit re- ceived and the bidding credit for which it is eligible).
(ii) For licenses initially granted be- fore April 25, 2006, the amount of pay- ments made pursuant to paragraph (d)(1) of this section will be reduced over time as follows:
(A) A transfer in the first two years of the license term will result in a for- feiture of 100 percent of the value of the bidding credit (or in the case of very small businesses transferring to small businesses, 100 percent of the dif- ference between the bidding credit re- ceived by the former and the bidding credit for which the latter is eligible);
(B) A transfer in year 3 of the license term will result in a forfeiture of 75 percent of the value of the bidding credit;
(C) A transfer in year 4 of the license term will result in a forfeiture of 50 percent of the value of the bidding credit;
(D) A transfer in year 5 of the license term will result in a forfeiture of 25 percent of the value of the bidding credit; and
(E) For a transfer in year 6 or there- after, there will be no payment.
(iii) These payments will have to be paid to the United States Treasury as a condition of approval of the assign- ment, transfer, ownership change, or reportable eligibility event (see § 1.2114).
(e) Unjust enrichment: partitioning and disaggregation—(1) Installment payments. Licensees making installment pay- ments, that partition their licenses or disaggregate their spectrum to entities not meeting the eligibility standards for installment payments, will be sub- ject to the provisions concerning un- just enrichment as set forth in this sec- tion.
(2) Bidding credits. Licensees that re- ceived a bidding credit that partition their licenses or disaggregate their spectrum to entities not meeting the eligibility standards for such a bidding credit, will be subject to the provisions concerning unjust enrichment as set forth in this section.
(3) Apportioning unjust enrichment payments. Unjust enrichment payments for partitioned license areas shall be calculated based upon the ratio of the population of the partitioned license area to the overall population of the li- cense area and by utilizing the most re- cent census data. Unjust enrichment payments for disaggregated spectrum shall be calculated based upon the ratio of the amount of spectrum disaggregated to the amount of spec- trum held by the licensee.
[59 FR 44293, Aug. 26, 1994, as amended at 63 FR 2346, Jan. 15, 1998; 63 FR 68942, Dec. 14, 1998; 71 FR 26252, May 4, 2006; 71 FR 34278, June 14, 2006]
§ 1.2112 Ownership disclosure require- ments for applications.
(a) Each application to participate in competitive bidding (i.e., short-form application (see 47 CFR 1.2105)), or for a license, authorization, assignment, or transfer of control shall fully disclose the following:
(1) List the real party or parties in interest in the applicant or applica- tion, including a complete disclosure of the identity and relationship of those persons or entities directly or indi- rectly owning or controlling (or both) the applicant;
(2) List the name, address, and citi- zenship of any party holding 10 percent or more of stock in the applicant, whether voting or nonvoting, common or preferred, including the specific amount of the interest or percentage held;
(3) List, in the case of a limited part- nership, the name, address and citizen- ship of each limited partner whose in- terest in the applicant is 10 percent or greater (as calculated according to the percentage of equity paid in or the per- centage of distribution of profits and losses);
(4) List, in the case of a general part- nership, the name, address and citizen- ship of each partner, and the share or interest participation in the partner- ship;
(5) List, in the case of a limited li- ability company, the name, address, and citizenship of each of its members whose interest in the applicant is 10 percent or greater;
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(6) List all parties holding indirect ownership interests in the applicant as determined by successive multiplica- tion of the ownership percentages for each link in the vertical ownership chain, that equals 10 percent or more of the applicant, except that if the owner- ship percentage for an interest in any link in the chain exceeds 50 percent or represents actual control, it shall be treated and reported as if it were a 100 percent interest; and
(7) List any FCC-regulated entity or applicant for an FCC license, in which the applicant or any of the parties identified in paragraphs (a)(1) through (a)(5) of this section, owns 10 percent or more of stock, whether voting or non- voting, common or preferred. This list must include a description of each such entity’s principal business and a de- scription of each such entity’s relation- ship to the applicant (e.g., Company A owns 10 percent of Company B (the ap- plicant) and 10 percent of Company C, then Companies A and C must be listed on Company B’s application, where C is an FCC licensee and/or license appli- cant).
(b) Designated entity status. In addi- tion to the information required under paragraph (a) of this section, each ap- plicant claiming eligibility for small business provisions shall disclose the following:
(1) On its application to participate in competitive bidding (i.e., short-form application (see 47 CFR 1.2105)):
(i) List the names, addresses, and citizenship of all officers, directors, af- filiates, and other controlling interests of the applicant, as described in § 1.2110, and, if a consortium of small busi- nesses or consortium of very small businesses, the members of the con- glomerate organization;
(ii) List any FCC-regulated entity or applicant for an FCC license, in which any controlling interest of the appli- cant owns a 10 percent or greater inter- est or a total of 10 percent or more of any class of stock, warrants, options or debt securities. This list must include a description of each such entity’s principal business and a description of each such entity’s relationship to the applicant; and
(iii) List and summarize all agree- ments or instruments (with appro-
priate references to specific provisions in the text of such agreements and in- struments) that support the applicant’s eligibility as a small business under the applicable designated entity provi- sions, including the establishment of de facto or de jure control or the pres- ence or absence of impermissible and attributable material relationships. Such agreements and instruments in- clude articles of incorporation and by- laws, partnership agreements, share- holder agreements, voting or other trust agreements, management agree- ments, franchise agreements, spectrum leasing arrangements, spectrum resale (including wholesale) arrangements, and any other relevant agreements (in- cluding letters of intent), oral or writ- ten;
(iv) List separately and in the aggre- gate the gross revenues, computed in accordance with § 1.2110, for each of the following: The applicant, its affiliates, its controlling interests, the affiliates of its controlling interests, and the en- tities with which it has an attributable material relationship; and if a consor- tium of small businesses, the members comprising the consortium.
(2) As an exhibit to its application for a license, authorization, assignment, or transfer of control:
(i) List the names, addresses, and citizenship of all officers, directors, and other controlling interests of the applicant, as described in § 1.2110;
(ii) List any FCC-regulated entity or applicant for an FCC license, in which any controlling interest of the appli- cant owns a 10 percent or greater inter- est or a total of 10 percent or more of any class of stock, warrants, options or debt securities. This list must include a description of each such entity’s principal business and a description of each such entity’s relationship to the applicant;
(iii) List and summarize all agree- ments or instruments (with appro- priate references to specific provisions in the text of such agreements and in- struments) that support the applicant’s eligibility as a small business under the applicable designated entity provi- sions, including the establishment of de facto or de jure control or the pres- ence or absence of impermissible and attributable material relationships.
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Such agreements and instruments in- clude articles of incorporation and by- laws, partnership agreements, share- holder agreements, voting or other trust agreements, management agree- ments, franchise agreements, spectrum leasing arrangements, spectrum resale (including wholesale) arrangements, and any other relevant agreements (in- cluding letters of intent), oral or writ- ten;
(iv) List and summarize any investor protection agreements, including rights of first refusal, supermajority clauses, options, veto rights, and rights to hire and fire employees and to ap- point members to boards of directors or management committees;
(v) List separately and in the aggre- gate the gross revenues, computed in accordance with § 1.2110, for each of the following: the applicant, its affiliates, its controlling interests, affiliates of its controlling interests, and parties with which it has attributable material relationships; and if a consortium of small businesses, the members com- prising the consortium; and
(vi) List and summarize, if seeking the exemption for rural telephone co- operatives pursuant to § 1.2110, all doc- umentation to establish eligibility pur- suant to the factors listed under § 1.2110(b)(3)(iii)(A).
(vii) List and summarize any agree- ments in which the applicant has en- tered into arrangements for the lease or resale (including wholesale agree- ments) of any of the spectrum capacity of the license that is the subject of the application.
[68 FR 42997, July 21, 2003, as amended at 70 FR 57187, Sept. 30, 2005; 71 FR 26253, May 4, 2006]
§ 1.2113 Construction prior to grant of application.
Subject to the provisions of this sec- tion, applicants for licenses awarded by competitive bidding may construct fa- cilities to provide service prior to grant of their applications, but must not operate such facilities until the FCC grants an authorization. If the conditions stated in this section are not met, applicants must not begin to construct facilities for licenses subject to competitive bidding.
(a) When applicants may begin con- struction. An applicant may begin con- struction of a facility upon release of the Public Notice listing the post-auc- tion long-form application for that fa- cility as acceptable for filing.
(b) Notification to stop. If the FCC for any reason determines that construc- tion should not be started or should be stopped while an application is pend- ing, and so notifies the applicant, oral- ly (followed by written confirmation) or in writing, the applicant must not begin construction or, if construction has begun, must stop construction im- mediately.
(c) Assumption of risk. Applicants that begin construction pursuant to this section before receiving an authoriza- tion do so at their own risk and have no recourse against the United States for any losses resulting from:
(1) Applications that are not granted; (2) Errors or delays in issuing public
notices; (3) Having to alter, relocate or dis-
mantle the facility; or (4) Incurring whatever costs may be
necessary to bring the facility into compliance with applicable laws, or FCC rules and orders.
(d) Conditions. Except as indicated, all pre-grant construction is subject to the following conditions:
(1) The application does not include a request for a waiver of one or more FCC rules;
(2) For any construction or alter- ation that would exceed the require- ments of § 17.7 of this chapter, the li- censee has notified the appropriate Re- gional Office of the Federal Aviation Administration (FAA Form 7460–1), filed a request for antenna height clearance and obstruction marking and lighting specifications (FCC Form 854) with the FCC, PRB, Support Services Branch, Gettysburg, PA 17325;
(3) The applicant has indicated in the application that the proposed facility would not have a significant environ- mental effect, in accordance with §§ 1.1301 through 1.1319;
(4) Under applicable international agreements and rules in this part, indi- vidual coordination of the proposed channel assignment(s) with a foreign administration is not required; and
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(5) Any service-specific restrictions not listed herein.
[63 FR 2348, Jan. 15, 1998]
§ 1.2114 Reporting of eligibility event. (a) A designated entity must seek
Commission approval for all reportable eligibility events. A reportable eligi- bility event is:
(1) Any spectrum lease (as defined in § 1.9003) or resale arrangement (includ- ing wholesale agreements) with one en- tity or on a cumulative basis that might cause a licensee to lose eligi- bility for installment payments, a set- aside license, or a bidding credit (or for a particular level of bidding credit) under § 1.2110 and applicable service- specific rules.
(2) Any other event that would lead to a change in the eligibility of a li- censee for designated entity benefits.
(b) Documents listed on and filed with application. A designated entity filing an application pursuant to this section must—
(1) List and summarize on the appli- cation all agreements and arrange- ments (including proposed agreements and arrangements) that give rise to or otherwise relate to a reportable eligi- bility event. In addition to a summary of each agreement or arrangement, this list must include the parties (including each party’s affiliates, its controlling interests, the affiliates of its control- ling interests, its spectrum lessees, and its spectrum resellers and wholesalers) to each agreement or arrangement, as well as the dates on which the parties entered into each agreement or ar- rangement.
(2) File with the application a copy of each agreement and arrangement list- ed pursuant to this paragraph.
(3) Maintain at its facilities or with its designated agents, for the term of the license, the lists, summaries, dates, and copies of agreements and arrange- ments required to be provided to the Commission pursuant to this section.
(c) Application fees. The application reporting the eligibility event will be treated as a transfer of control for pur- poses of determining the applicable ap- plication fees as set forth in § 1.1102.
(d) Streamlined approval procedures. (1) The eligibility event application will be placed on public notice once the ap-
plication is sufficiently complete and accepted for filing (see § 1.933).
(2) Petitions to deny filed in accord- ance with section 309(d) of the Commu- nications Act must comply with the provisions of § 1.939, except that such petitions must be filed no later than 14 days following the date of the Public Notice listing the application as ac- cepted for filing.
(3) No later than 21 days following the date of the Public Notice listing an application as accepted for filing, the Wireless Telecommunications Bureau (Bureau) will grant the application, deny the application, or remove the ap- plication from streamlined processing for further review.
(4) Grant of the application will be reflected in a Public Notice (see § 1.933(a)(2)) promptly issued after the grant.
(5) If the Bureau determines to re- move an application from streamlined processing, it will issue a Public Notice indicating that the application has been removed from streamlined proc- essing. Within 90 days of that Public Notice, the Bureau will either take ac- tion upon the application or provide public notice that an additional 90-day period for review is needed.
(e) Public notice of application. Appli- cations under this subpart will be placed on an informational public no- tice on a weekly basis (see § 1.933(a)).
(f) Contents of the application. The ap- plication must contain all information requested on the applicable form, any additional information and certifi- cations required by the rules in this chapter, and any rules pertaining to the specific service for which the appli- cation is filed.
(g) The designated entity is required to update any change in a relationship that gave rise to a reportable eligi- bility event.
[71 FR 26253, May 4, 2006, as amended at 71 FR 34278, June 14, 2006]
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Subpart R—Implementation of Section 4(g)(3) of the Com- munications Act: Procedures Governing Acceptance of Unconditional Gifts, Donations and Bequests
SOURCE: 59 FR 38128, July 27, 1994, unless otherwise noted.
§ 1.3000 Purpose and scope.
The purpose of this subpart is to im- plement the Telecommunications Au- thorization Act of 1992 which amended the Communications Act by creating section 4(g)(3), 47 U.S.C. 154(g)(3). The provisions of this subpart shall apply to gifts, donations and bequests made to the Commission itself. Travel reim- bursement for attendance at, or par- ticipation in, government-sponsored meetings or events required to carry out the Commission’s statutory or reg- ulatory functions may also be accepted under this subpart. The acceptance of gifts by Commission employees, most notably gifts of food, drink and enter- tainment, is governed by the govern- ment-wide standards of employee con- duct established at 5 CFR part 2635. Travel, subsistence and related ex- penses for non-government-sponsored meetings or events will continue to be accepted pursuant to the Government Employees Training Act, 41 U.S.C. 4111 or 31 U.S.C. 1353, and its General Serv- ices Administration’s implementing regulations, 41 CFR 304–1.8, as applica- ble.
§ 1.3001 Definitions.
For purposes of this subpart: (a) The term agency means the Fed-
eral Communications Commission. (b) The term gift means any uncondi-
tional gift, donation or bequest of real, personal and other property (including voluntary and uncompensated services as authorized under 5 U.S.C. 3109).
(c) The terms agency ethics official, designated agency ethics official, em- ployee, market value, person, and prohib- ited source, have the same meaning as found in 5 CFR 2635.102, 2635.203.
§ 1.3002 Structural rules and prohibi- tions.
(a) General prohibitions. An employee shall not:
(1) Directly or indirectly, solicit or coerce the offering of a gift, donation or bequest to the Commission from a regulated entity or other prohibited source; or
(2) Accept gifts of cash pursuant to this subpart.
(b) Referral of offers to designated agency ethics official. Any person who seeks to offer any gift to the Commis- sion under the provisions of this sub- part shall make such offer to the Com- mission’s designated agency ethics offi- cial. In addition, any Commission em- ployee who is contacted by a potential donor or the representative thereof for the purpose of discussing the possi- bility of making a gift, donation or be- quest to the Commission shall imme- diately refer such person or persons to the Commission’s designated agency ethics official. The designated agency ethics official shall, in consultation with other agency ethics officials, make a determination concerning whether acceptance of such offers would create a conflict of interest or the appearance of a conflict of interest. Agency ethics officials may also advise potential donors and their representa- tives of the types of equipment, prop- erty or services that may be of use to the Commission and the procedures for effectuating gifts set forth in this sub- part. The Commission may, in its dis- cretion, afford public notice before ac- cepting any gift under authority of this subpart.
§ 1.3003 Mandatory factors for evalu- ating conflicts of interest.
No gift shall be accepted under this subpart unless a determination is made that its acceptance would not create a conflict of interest or the appearance of a conflict of interest. In making con- flict of interest determinations, des- ignated agency ethics officials shall consider the following factors:
(a) Whether the benefits of the in- tended gift will accrue to an individual employee and, if so—
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(1) Whether the employee is respon- sible for matters affecting the poten- tial donor that are currently before the agency; and
(2) The significance of the employee’s role in any such matters;
(b) The nature and sensitivity of any matters pending at the Commission af- fecting the intended donor;
(c) The timing of the intended gift; (d) The market value of the intended
gift; (e) The frequency of other gifts made
by the same donor; and (f) The reason underlying the in-
tended gift given in a written state- ment from the proposed donor.
§ 1.3004 Public disclosure and report- ing requirements.
(a) Public disclosure of gifts accepted from prohibited sources. The Commis- sion’s Security Operations Office, Of- fice of the Managing Director, shall maintain a written record of gifts ac- cepted from prohibited sources by the Commission pursuant to section 4(g)(3) authority, which will include:
(1) The identity of the prohibited source;
(2) A description of the gift; (3) The market value of the gift; (4) Documentation concerning the
prohibited source’s reason for the gift as required in § 1.3003(f);
(5) A signed statement of verification from the prohibited source that the gift is unconditional and is not contin- gent on any promise or expectation that the Commission’s receipt of the gift will benefit the proposed donor in any regulatory matter; and
(6) The date the gift is accepted by the Commission.
(b) Reporting Requirements for all gifts. The Commission shall file a semi-an- nual report to Congress listing the gift, donor and value of all gifts accepted from any donor under this subpart.
Subpart S—Preemption of Restric- tions That ‘‘Impair’’ the Ability To Receive Television Broad- cast Signals, Direct Broadcast Satellite Services, or Multi- channel Multipoint Distribution Services or the Ability To Re- ceive or Transmit Fixed Wire- less Communications Signals
SOURCE: 66 FR 2333, Jan. 11, 2001, unless otherwise noted.
§ 1.4000 Restrictions impairing recep- tion of television broadcast signals, direct broadcast satellite services or multichannel multipoint dis- tribution services.
(a)(1) Any restriction, including but not limited to any state or local law or regulation, including zoning, land-use, or building regulations, or any private covenant, contract provision, lease pro- vision, homeowners’ association rule or similar restriction, on property within the exclusive use or control of the an- tenna user where the user has a direct or indirect ownership or leasehold in- terest in the property that impairs the installation, maintenance, or use of:
(i) An antenna that is: (A) Used to receive direct broadcast
satellite service, including direct-to- home satellite service, or to receive or transmit fixed wireless signals via sat- ellite, and
(B) One meter or less in diameter or is located in Alaska;
(ii) An antenna that is: (A) Used to receive video program-
ming services via multipoint distribu- tion services, including multichannel multipoint distribution services, in- structional television fixed services, and local multipoint distribution serv- ices, or to receive or transmit fixed wireless signals other than via sat- ellite, and
(B) That is one meter or less in di- ameter or diagonal measurement;
(iii) An antenna that is used to re- ceive television broadcast signals; or
(iv) A mast supporting an antenna described in paragraphs (a)(1)(i), (a)(1)(ii), or (a)(1)(iii) of this section; is prohibited to the extent it so impairs, subject to paragraph (b) of this section.
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(2) For purposes of this section, ‘‘fixed wireless signals’’ means any commercial non-broadcast communica- tions signals transmitted via wireless technology to and/or from a fixed cus- tomer location. Fixed wireless signals do not include, among other things, AM radio, FM radio, amateur (‘‘HAM’’) radio, Citizen’s Band (CB) radio, and Digital Audio Radio Service (DARS) signals.
(3) For purposes of this section, a law, regulation, or restriction impairs installation, maintenance, or use of an antenna if it:
(i) Unreasonably delays or prevents installation, maintenance, or use;
(ii) Unreasonably increases the cost of installation, maintenance, or use; or
(iii) Precludes reception or trans- mission of an acceptable quality sig- nal.
(4) Any fee or cost imposed on a user by a rule, law, regulation or restriction must be reasonable in light of the cost of the equipment or services and the rule, law, regulation or restriction’s treatment of comparable devices. No civil, criminal, administrative, or other legal action of any kind shall be taken to enforce any restriction or reg- ulation prohibited by this section ex- cept pursuant to paragraph (d) or (e) of this section. In addition, except with respect to restrictions pertaining to safety and historic preservation as de- scribed in paragraph (b) of this section, if a proceeding is initiated pursuant to paragraph (d) or (e) of this section, the entity seeking to enforce the antenna restrictions in question must suspend all enforcement efforts pending com- pletion of review. No attorney’s fees shall be collected or assessed and no fine or other penalties shall accrue against an antenna user while a pro- ceeding is pending to determine the va- lidity of any restriction. If a ruling is issued adverse to a user, the user shall be granted at least a 21-day grace pe- riod in which to comply with the ad- verse ruling; and neither a fine nor a penalty may be collected from the user if the user complies with the adverse ruling during this grace period, unless the proponent of the restriction dem- onstrates, in the same proceeding which resulted in the adverse ruling,
that the user’s claim in the proceeding was frivolous.
(b) Any restriction otherwise prohib- ited by paragraph (a) of this section is permitted if:
(1) It is necessary to accomplish a clearly defined, legitimate safety ob- jective that is either stated in the text, preamble, or legislative history of the restriction or described as applying to that restriction in a document that is readily available to antenna users, and would be applied to the extent prac- ticable in a non-discriminatory manner to other appurtenances, devices, or fix- tures that are comparable in size and weight and pose a similar or greater safety risk as these antennas and to which local regulation would normally apply; or
(2) It is necessary to preserve a pre- historic or historic district, site, build- ing, structure or object included in, or eligible for inclusion on, the National Register of Historic Places, as set forth in the National Historic Preservation Act of 1966, as amended, 16 U.S.C. 470, and imposes no greater restrictions on antennas covered by this rule than are imposed on the installation, mainte- nance, or use of other modern appur- tenances, devices, or fixtures that are comparable in size, weight, and appear- ance to these antennas; and
(3) It is no more burdensome to af- fected antenna users than is necessary to achieve the objectives described in paragraphs (b)(1) or (b)(2) of this sec- tion.
(c) In the case of an antenna that is used to transmit fixed wireless signals, the provisions of this section shall apply only if a label is affixed to the antenna that:
(1) Provides adequate notice regard- ing potential radiofrequency safety hazards, e.g., information regarding the safe minimum separation distance required between users and transceiver antennas; and
(2) References the applicable FCC- adopted limits for radiofrequency expo- sure specified in § 1.1310 of this chapter.
(d) Local governments or associa- tions may apply to the Commission for a waiver of this section under § 1.3 of this chapter. Waiver requests must comply with the procedures in para- graphs (f) and (h) of this section and
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will be put on public notice. The Com- mission may grant a waiver upon a showing by the applicant of local con- cerns of a highly specialized or unusual nature. No petition for waiver shall be considered unless it specifies the re- striction at issue. Waivers granted in accordance with this section shall not apply to restrictions amended or en- acted after the waiver is granted. Any responsive pleadings must be served on all parties and filed within 30 days after release of a public notice that such petition has been filed. Any re- plies must be filed within 15 days thereafter.
(e) Parties may petition the Commis- sion for a declaratory ruling under § 1.2 of this chapter, or a court of competent jurisdiction, to determine whether a particular restriction is permissible or prohibited under this section. Petitions to the Commission must comply with the procedures in paragraphs (f) and (h) of this section and will be put on public notice. Any responsive pleadings in a Commission proceeding must be served on all parties and filed within 30 days after release of a public notice that such petition has been filed. Any re- plies in a Commission proceeding must be served on all parties and filed within 15 days thereafter.
(f) Copies of petitions for declaratory rulings and waivers must be served on interested parties, including parties against whom the petitioner seeks to enforce the restriction or parties whose restrictions the petitioner seeks to pro- hibit. A certificate of service stating on whom the petition was served must be filed with the petition. In addition, in a Commission proceeding brought by an association or a local government, constructive notice of the proceeding must be given to members of the asso- ciation or to the citizens under the local government’s jurisdiction. In a court proceeding brought by an asso- ciation, an association must give con- structive notice of the proceeding to its members. Where constructive no- tice is required, the petitioner or plain- tiff must file with the Commission or the court overseeing the proceeding a copy of the constructive notice with a statement explaining where the notice was placed and why such placement was reasonable.
(g) In any proceeding regarding the scope or interpretation of any provi- sion of this section, the burden of dem- onstrating that a particular govern- mental or nongovernmental restriction complies with this section and does not impair the installation, maintenance, or use of devices used for over-the-air reception of video programming serv- ices or devices used to receive or trans- mit fixed wireless signals shall be on the party that seeks to impose or maintain the restriction.
(h) All allegations of fact contained in petitions and related pleadings be- fore the Commission must be supported by affidavit of a person or persons with actual knowledge thereof. An original and two copies of all petitions and pleadings should be addressed to the Secretary, Federal Communications Commission, 445 12th Street, SW, Washington, DC 20554. Copies of the pe- titions and related pleadings will be available for public inspection in the Reference Information Center, Con- sumer and Governmental Affairs Bu- reau, Federal Communications Com- mission, 445 12th Street, SW, Wash- ington, DC 20554. Copies will be avail- able for purchase from the Commis- sion’s contract copy center, and the Commission decisions will be available on the Internet.
[66 FR 2333, Jan. 11, 2001, as amended at 67 FR 13224, Mar. 21, 2002]
Subpart T—Exempt Telecommunications Companies
§ 1.5000 Purpose.
The purpose of part 1, subpart T, is to implement Section 34(a) of the Public Utility Holding Company Act of 1935, 15 U.S.C. § 79 et seq., as added by Section 103 of the Telecommunications Act of 1996, Public Law No. 104–104, 110 Stat. 56 (1996).
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]
§ 1.5001 Definitions.
(a) For the purpose of this part, the terms telecommunications services and information services shall have the same meanings as provided in the Commu- nications Act of 1934, as amended;
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(b) Commission shall be defined as the Federal Communications Commis- sion; and
(c) ETC shall be defined as an exempt telecommunications company.
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]
§ 1.5002 Contents of application and procedure for filing.
(a) A person seeking status as an ex- empt telecommunications company (applicant) must file with the Commis- sion with respect to the company or companies which are eligible compa- nies owned or operated by the appli- cant, and serve on the Securities and Exchange Commission and any affected State commission, the following:
(1) A brief description of the planned activities of the company or companies which are or will be eligible companies owned and/or operated by the appli- cant;
(2) A sworn statement, by a rep- resentative legally authorized to bind the applicant, attesting to any facts or representations presented to dem- onstrate eligibility for ETC status, in- cluding a representation that the appli- cant is engaged directly, or indirectly, wherever located, through one or more affiliates (as defined in Section 2(a)(11)(B) of the Public Utility Holding Company Act of 1935), and exclusively in the business of providing:
(i) Telecommunications services; (ii) Information services; (iii) Other services or products sub-
ject to the jurisdiction of the Commis- sion; or
(iv) Products or services that are re- lated or incidental to the provision of a product or service described in para- graph (a)(1)(i), (a)(1)(ii), or (a)(1)(iii); and
(3) A sworn statement, by a rep- resentative legally authorized to bind the applicant, certifying that the appli- cant satisfies part 1, subpart P, of the Commission’s regulations, 47 CFR 1.2001 through 1.2003, regarding imple- mentation of the Anti-Drug Abuse Act of 1988, 21 U.S.C. 862.
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]
§ 1.5003 Effect of filing.
A person applying in good faith for a Commission determination of exempt telecommunications company status will be deemed to be an exempt tele- communications company from the date of receipt of the application until the date of Commission action pursu- ant to § 1.5004.
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]
§ 1.5004 Commission action.
If the Commission has not issued an order granting or denying an applica- tion within 60 days of receipt of the ap- plication, the application will be deemed to have been granted as a mat- ter of law.
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]
§ 1.5005 Notification of Commission ac- tion to the Securities and Exchange Commission.
The Secretary of the Commission will notify the Securities and Exchange Commission whenever a person is de- termined to be an exempt tele- communications company.
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]
§ 1.5006 Procedure for notifying Com- mission of material change in facts.
If there is any material change in facts that may affect an ETC’s eligi- bility for ETC status under Section 34(a)(1) of the Public Utility Holding Company Act of 1935, the ETC must, within 30 days of the change in fact, ei- ther:
(a) Apply to the Commission for a new determination of ETC status;
(b) File a written explanation with the Commission of why the material change in facts does not affect the ETC’s status; or
(c) Notify the Commission that it no longer seeks to maintain ETC status.
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]
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§ 1.5007 Comments.
(a) Any person wishing to be heard concerning an application for ETC sta- tus may file comments with the Com- mission within fifteen (15) days from the release date of a public notice re- garding the application, or such other period of time set by the Commission. Any comments must be limited to the adequacy or accuracy of the applica- tion.
(b) Any person who files comments with the Commission must also serve copies of all comments on the appli- cant.
(c) An applicant has seven (7) days to reply to any comments filed regarding the adequacy and accuracy of its appli- cation, or such other period of time as set by the Commission. Such reply shall be served on the commenters.
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]
Subpart U—Implementation of Section 325(e) of the Commu- nications Act: Procedures Governing Complaints Filed by Television Broadcast Sta- tions Against Satellite Carriers for Retransmission Without Consent
SOURCE: 65 FR 10720, Feb. 29, 2000, unless otherwise noted.
§ 1.6000 Purpose.
The purpose of part 1, Subpart U, is to implement Section 325(e) of the Communications Act of 1934, as amend- ed, 47 U.S.C. 325(e), et seq., as added by section 1009 of the Satellite Home Viewer Improvement Act of 1999, Pub- lic Law 106–113, section 1000(9), 113 Stat. 1501, Appendix I (1999). The procedures set forth in this subpart supersede 47 U.S.C. 312.
§ 1.6001 Retransmission consent com- plaint procedures.
By whom. If a television broadcast station believes that a satellite carrier has retransmitted its broadcast sta- tion’s signal to any person in the local market of such station in violation of 47 U.S.C. 325 (b)(1), the station may file
a complaint with the Commission under this section.
§ 1.6002 Form and content. (a) The following format shall be
used for complaints of this type:
Before the Federal Communications Commission
Washington, D.C. 20554
In the Matter of Complainant, v. Defendant File No. (to be inserted by the staff)
Complaint
To: The Commission. The complainant (here insert the name, ad- dress, and call letters of the complaining tel- evision broadcast station) avers that: On (here insert the dates upon which the alleged transmission occurred), retransmission of the broadcast television station’s signal was made by (insert here name and address of the satellite carrier) to (here insert the street address of at least one person in the local market of the station to whom the alleged retransmission was made). The complainant avers that (here insert a statement that the retransmission was not expressly authorized by the television broadcast station), and re- quests that the appropriate relief be granted by the Commission, as provided by the perti- nent provisions of the Communications Act of 1934, as amended, and the Commission’s Rules. Date: (here insert the name and address of counsel for the complaining station).
(b) A complaint lacking any of the foregoing information shall be dis- missed by the FCC without prejudice to the complaining station.
(c) Additional information may be provided, and, where applicable, should conform to the requirements set forth in §§ 1.48 through 1.52 of the Commis- sion’s rules.
§ 1.6003 Service requirements. (a) General. Pursuant to 47 U.S.C.
325(e), for purposes of any proceeding under this subsection, any satellite carrier that retransmits the signal of any broadcast station shall be deemed to designate the Secretary of the Com- mission as its agent for service of proc- ess.
(b) Specific. (1) A television broadcast station shall serve a satellite carrier with a complaint concerning an alleged
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violation of 47 U.S.C. 325(b)(1) by filing the original and two copies of the com- plaint on the Secretary of the Commis- sion and serving a copy of the com- plaint by means of two commonly used overnight delivery services, each ad- dressed to the chief executive officer of the satellite carrier at its principal place of business and each marked ‘‘URGENT LITIGATION MATTER’’ on the outer packaging. Service shall be deemed complete one business day after a copy of the complaint is pro- vided to the delivery services for over- night delivery. On receipt of a com- plaint filed by a television broadcast station under this subsection, the Sec- retary of the Commission shall send the original complaint by United States mail, postage prepaid, receipt requested, addressed to the chief execu- tive officer of the satellite carrier at its principal place of business.
(2) Satellite carriers shall provide the name, address, and telephone number (including area code) of their chief ex- ecutive officers to the Secretary of the Commission, no later than April 15, 2000. Satellite carriers shall update this information, as necessary, in the event that the identity or the address of their respective chief executive officers changes. These updates shall be made by United States mail within seven (7) days of such changes. Complaints sent to the last known address shall be deemed served if the satellite carrier fails to notify the Secretary of the Commission in accordance with this provision.
§ 1.6004 Answers.
Within five (5) business days after the date of service, without regard to § 1.4 of this part, the satellite carrier shall file its answer with the Commission, and shall contemporaneously serve the answer upon counsel designated in the complaint, at the address listed for such counsel in the complaint. Service of the answer shall be made by use of one commonly used overnight delivery service and by the United States mail.
§ 1.6005 Exclusive defenses.
(a) The defenses listed in paragraphs (a)(1) through (a)(4) of this section, are the only defenses available to a sat-
ellite carrier against which a com- plaint under this section is filed.
(1) The satellite carrier did not re- transmit the television broadcast sta- tion’s signal to any person in the ‘‘local market’’ of the television broad- cast station, as that term is defined in 17 U.S.C. 122(j) (Designated Market Area as determined by Nielsen Media Research and county containing the station’s community of license), during the time period specified in the com- plaint;
(2) The television broadcast station had, in a writing signed by an officer of the television broadcast station, ex- pressly authorized the retransmission of the station by the satellite carrier to each person in the ‘‘local market’’ of the television broadcast station, as that term is defined in 17 U.S.C. 122(j), to which the satellite carrier made such retransmissions for the entire time period during which it is alleged that a violation of 47 U.S.C. 325 (b)(1) has occurred;
(3) The retransmission was made after January 1, 2002, and the television broadcast station had elected to assert the right to carriage under 47 U.S.C. 338 as against the satellite carrier for the relevant period; or
(4) The television broadcast station whose signal is being retransmitted is a noncommercial television broadcast station.
(b) [Reserved]
§ 1.6006 Counting of violations.
Each day of retransmission without consent of a particular television broadcast station to one or more per- sons in the local market of the station shall be considered a separate violation of 47 U.S.C. 325(b)(1).
§ 1.6007 Burden of proof.
With respect to each alleged viola- tion, the burden of proof shall be on a television broadcast station to estab- lish that the satellite carrier retrans- mitted the station to at least one per- son in the local market of the station on the day in question. The burden of proof shall be on the satellite carrier with respect to all defenses other than the defense under § 1.6005(a)(1).
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§ 1.6008 Determinations.
(a) In General. Within forty five (45) days after the filing of a complaint, the Commission shall issue a final deter- mination in any proceeding brought under this subsection. The Commis- sion’s final determination shall specify the number of violations committed by the satellite carrier. The Commission shall hear witnesses only if it clearly appears, based on the written filings by the parties, that there is a genuine dis- pute about material facts. Except as provided in the preceding sentence, the Commission may issue a final ruling based on the written filings by the par- ties.
(b) Discovery. The Commission may direct the parties to exchange perti- nent documents, and if necessary, to take prehearing depositions, on such schedule as the Commission may ap- prove, but only if the Commission first determines that such discovery is nec- essary to resolve a genuine dispute about material facts, consistent with the obligation to make a final deter- mination within forty five (45) days. In this connection, the Commission may utilize the discovery or other evi- dentiary procedures set forth in §§ 1.311 through 1.364 of the Commission’s rules.
§ 1.6009 Relief.
If the Commission determines that a satellite carrier has retransmitted the television broadcast station to at least one person in the local market of such station and has failed to meet its bur- den of proving one of the defenses under § 1.6005 (a)(2) through (a)(4) with respect to such retransmission, the Commission shall:
(a) Make a finding that the satellite carrier violated 47 U.S.C. 325(b)(1) with respect to that station; and
(b) Issue an order, within forty-five (45) days after the filing of the com- plaint, containing—
(1) A cease-and-desist order directing the satellite carrier immediately to stop making any further retrans- missions of the television broadcast station to any person within the local market of such station until such time as the Commission determines that the satellite carrier is in compliance with
47 U.S.C. 325(b)(1) with respect to such station;
(2) If the satellite carrier is found to have violated 47 U.S.C. 325(b)(1) with respect to more than two television broadcast stations, a cease-and-desist order directing the satellite carrier to stop making any further retrans- mission of any television broadcast station to any person within the local market of the stations identified in the cease-and-desist order, until such time as the Commission, after giving notice to the station, determines that the sat- ellite carrier is in compliance with 47 U.S.C. 325(b)(1) with respect to such stations; and
(3) An award to the complainant of that complainant’s costs and reason- able attorney’s fees. Such award shall be made only after the complainant submits appropriate documentation in support of its request.
(c) Any cease-and-desist order issued hereunder shall include a statement of findings and the grounds therefor, shall specify the effective date of the order, and shall be served by the Commission upon the satellite carrier to which such order is directed.
§ 1.6010 Reporting of remedial meas- ures.
Any satellite carrier found to have violated Section 47 U.S.C. 325(b)(1) shall, upon receipt of the cease-and-de- sist order, immediately take all nec- essary steps to comply with the stat- ute. Within two (2) days of receipt of the cease-and-desist order, the satellite carrier shall notify the Secretary of the Commission of steps taken to com- ply with the statute by written submis- sion. The submission certified by the satellite carrier’s chief executive offi- cer shall also contain a copy of the per- tinent cease-and-desist order, and shall be delivered to the Secretary of the Commission by means of one com- monly used overnight delivery service, in addition to a copy delivered by United States mail.
EFFECTIVE DATE NOTE: At 65 FR 10721, Feb. 29, 2000, § 1.6010 was added. This section con- tains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
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§ 1.6011 Effective date. The rules in section 1.6000 through
section 1.6009 shall become effective May 30, 2000. Section 1.6010 contains in- formation collection requirements that are not effective until approved by the Office of Management and Budget. The effective date for this section will be announced by the Commission in the FEDERAL REGISTER.
§ 1.6012 Sunset provisions. No complaint may be filed under this
rule section after December 31, 2001. This rule subpart shall continue to apply to any complaint filed on or be- fore such date. See 47 U.S.C. 325 (e)(12).
Subpart V—Implementation of Section 706 of the Tele- communications Act of 1996; Commission Collection of Ad- vanced Telecommunications Capability Data
SOURCE: 65 FR 19684, Apr. 12, 2000; 65 FR 24654, Apr. 27, 2000, unless otherwise noted.
§ 1.7000 Purpose. The purpose of this subpart is to set
out the terms by which certain com- mercial and government-controlled en- tities report data to the Commission concerning the deployment of advanced telecommunications capability, defined pursuant to 47 U.S.C. 157 as ‘‘high- speed, switched, broadband tele- communications capability that en- ables users to originate and receive high-quality voice, data, graphics, and video telecommunications using any technology,’’ and the deployment of services that are competitive with ad- vanced telecommunications capability.
§ 1.7001 Scope and content of filed re- ports.
(a) Definitions. Terms used in this subpart have the following meanings:
(1) Facilities-based providers. Those en- tities that provide broadband services over their own facilities or over Unbundled Network Elements (UNEs), special access lines, and other leased lines and wireless channels that the en- tity obtains from a communications service provider and equips as broadband.
(2) Own facilities. Lines and wireless channels the entity actually owns and facilities that it obtained the right to use from other entities as dark fiber or satellite transponder capacity.
(3) One-way broadband lines or wireless channels. Lines or wireless channels with information carrying capability in excess of 200 Kbps in at least one di- rection, but not both.
(4) Own facilities. Lines and wireless channels the entity actually owns and facilities that it obtained the right to use from other entities as dark fiber or satellite transponder capacity.
(b) All commercial and government- controlled entities, including but not limited to common carriers and their affiliates (as defined in 47 U.S.C. 153 (1)), cable television companies, fixed wireless providers, terrestrial and sat- ellite mobile wireless providers, utili- ties and others, that are facilities- based providers, shall file with the Commission a completed FCC Form 477, in accordance with the Commis- sion’s rules and the instructions to the FCC Form 477, for each state in which they provide service.
(c) Respondents identified in para- graph (b) of this section shall include in each report a certification signed by an appropriate official of the respond- ent (as specified in the instructions to FCC Form 477).
(d) Respondents may make requests for Commission non-disclosure of pro- vider-specific data contained in FCC Form 477 under § 0.459 of this chapter by so indicating on Form 477 at the time that the subject data are sub- mitted. The Commission shall make all decisions regarding non-disclosure or provider-specific information, except that the Chief of the Wireline Competi- tion Bureau may release provider-spe- cific information to a state commis- sion provided that the state commis- sion has protections in place that would preclude disclosure of any con- fidential information.
(e) Respondents identified in para- graph (b) of this section shall file a re- vised version of FCC Form 477 if and when they discover a significant error in their filed FCC Form 477. For counts, a difference amounting to 5
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percent of the filed number is consid- ered significant. For percentages, a dif- ference of 5 percentage points is con- sidered significant.
(f) Failure to file the FCC Form 477 in accordance with the Commission’s rules and the instructions to the Form 477 may lead to enforcement action pursuant to the Act and any other ap- plicable law.
[65 FR 19684, Apr. 12, 2000; 65 FR 24654, Apr. 27, 2000, as amended at 67 FR 13224, Mar. 21, 2002; 69 FR 77938, Dec. 29, 2004; 69 FR 72027, Dec. 10, 2004; 73 FR 37881, July 2, 2008]
EFFECTIVE DATE NOTE: At 73 FR 37881, July 2, 2008, Section 1.7001 was amended by revis- ing paragraphs (a)(2), (b), and (c). This text contains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 1.7002 Frequency of reports. Entities subject to the provisions of
§ 1.7001 shall file reports semi-annually. Reports shall be filed each year on or before March 1st (reporting data about the status of their broadband deploy- ment as of December 31 of the prior year) and September 1st (reporting data about the status of their broadband deployment as of June 31 of the current year). Entities becoming subject to the provisions of § 1.7001 for the first time within a calendar year shall file data for the reporting period in which they become eligible and semi-annually thereafter. Entities sub- ject to the provisions of § 1.7001 shall make an initial filing of the FCC Form 477 on May 15, 2000 (reporting data about the status of their broadband de- ployment as of December 31, 1999).
[65 FR 19684, Apr. 12, 2000; 65 FR 24654, Apr. 27, 2000]
Subpart W—FCC Registration Number
SOURCE: 66 FR 47895, Sept. 14, 2001, unless otherwise noted.
§ 1.8001 FCC Registration Number (FRN).
(a) The FCC Registration Number (FRN) is a 10-digit unique identifying number that is assigned to entities doing business with the Commission.
(b) The FRN is obtained through the Commission Registration System (CORES) over the Internet at the CORES link at www.fcc.gov or by filing FCC Form 160.
§ 1.8002 Obtaining an FRN. (a) The FRN must be obtained by
anyone doing business with the Com- mission, see 31 U.S.C. 7701(c)(2), includ- ing but not limited to:
(1) Anyone required to pay statutory charges under subpart G of this part;
(2) Anyone applying for a license, in- cluding someone who is exempt from paying statutory charges under subpart G of this part, see §§ 1.1114 and 1.1162;
(3) Anyone participating in a spec- trum auction;
(4) Anyone holding or obtaining a spectrum auction license or loan;
(5) Anyone paying statutory charges on behalf of another entity or person; and
(6) Any applicant or service provider participating in the Schools and Li- braries Universal Service Support Pro- gram, part 54, subpart F, of this chap- ter.
(b)(1) When registering for an FRN through the CORES, an entity’s name, entity type, contact name and title, address, and taxpayer identifying num- ber (TIN) must be provided. For indi- viduals, the TIN is the social security number (SSN).
(2) Information provided when reg- istering for an FRN must be kept cur- rent by registrants either by updating the information on-line at the CORES link at www.fcc.gov or by filing FCC Form 161 (CORES Update/Change Form).
(c) A business may obtain as many FRNs as it deems appropriate for its business operations. Each subsidiary with a different TIN must obtain a sep- arate FRN. Multiple FRNs shall not be obtained to evade payment of fees or other regulatory responsibilities.
(d) An FRN may be assigned by the Commission, which will promptly no- tify the entity of the assigned FRN.
(e) An FRN may be assigned by the Billing and Collection Agent for North American Numbering Plan Administra- tion and the Administrators of the Uni- versal Service Fund and the Tele- communications Relay Services Fund.
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In each instance, the Billing and Col- lection Agent for North American Numbering Plan Administration and the Administrators of the Universal Service Fund and the Telecommuni- cations Relay Services Fund shall promptly notify the entity of the as- signed FRN.
[66 FR 47895, Sept. 14, 2001, as amended at 67 FR 36818, May 28, 2002; 68 FR 66277, Nov. 25, 2003; 69 FR 55109, Sept. 13, 2004; 70 FR 21651, Apr. 27, 2005]
§ 1.8003 Providing the FRN in Commis- sion filings.
The FRN must be provided with any filings requiring the payment of statu- tory charges under subpart G of this part, anyone applying for a license (whether or not a fee is required), in- cluding someone who is exempt from paying statutory charges under subpart G of this part, anyone participating in a spectrum auction, making up-front payments or deposits in a spectrum auction, anyone making a payment on an auction loan, anyone making a con- tribution to the Universal Service Fund, any applicant or service provider participating in the Schools and Li- braries Universal Service Support Pro- gram, and anyone paying a forfeiture or other payment. A list of applica- tions and other instances where the FRN is required will be posted on our Internet site and linked to the CORES page.
[69 FR 55109, Sept. 13, 2004]
§ 1.8004 Penalty for Failure to Provide the FRN.
(a) Electronic filing systems for fil- ings that require the FRN will not ac- cept a filing without the appropriate FRN. If a party seeks to make an elec- tronic filing and does not have an FRN, the system will direct the party to the CORES website to obtain an FRN.
(b) Except as provided in paragraph (d) of this section or in other Commis- sion rules, filings subject to the FRN requirement and submitted without an FRN will be returned or dismissed.
(c) Where the Commission has not es- tablished a filing deadline for an appli- cation, a missing or invalid FRN on such an application may be corrected and the application resubmitted. Ex- cept as provided in paragraph (d) of
this section or in other Commission rules, the date that the resubmitted application is received by the Commis- sion with a valid FRN will be consid- ered the official filing date.
(d) Except for the filing of tariff pub- lications (see 47 CFR 61.1(b)) or as pro- vided in other Commission rules, where the Commission has established a fil- ing deadline for an application and that application may be filed on paper, a missing or invalid FRN on such an application may be corrected with ten (10) business days of notification to the filer by the Commission staff and, in the event of such timely correction, the original date of filing will be re- tained as the official filing date.
[66 FR 47895, Sept. 14, 2001, as amended at 67 FR 36818, May 28, 2002]
Subpart X—Spectrum Leasing
SOURCE: 68 FR 66277, Nov. 25, 2003, unless otherwise noted.
SCOPE AND AUTHORITY
§ 1.9001 Purpose and scope.
(a) The purpose of part 1, subpart X is to implement policies and rules per- taining to spectrum leasing arrange- ments between licensees in the services identified in this subpart and spectrum lessees. This subpart also implements policies for private commons arrange- ments. These policies and rules also implicate other Commission rule parts, including parts 1, 2, 20, 22, 24, 26, 27, 80, 90, 95, and 101 of title 47, chapter I of the Code of Federal Regulations.
(b) Licensees holding exclusive use rights are permitted to engage in spec- trum leasing whether their operations are characterized as commercial, com- mon carrier, private, or non-common carrier.
[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77550, Dec. 27, 2004]
§ 1.9003 Definitions.
De facto transfer leasing arrangement. A spectrum leasing arrangement in which a licensee retains de jure control of its license while transferring de facto control of the leased spectrum to a
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spectrum lessee, pursuant to the spec- trum leasing rules set forth in this sub- part.
FCC Form 608. FCC Form 608 is the form to be used by licensees and spec- trum lessees that enter into spectrum leasing arrangements pursuant to the rules set forth in this subpart. Parties are required to submit this form elec- tronically when entering into spectrum leasing arrangements under this sub- part, except that licensees falling with- in the provisions of § 1.913(d), may file the form either electronically or manu- ally.
Long-term de facto transfer leasing ar- rangement. A long-term de facto trans- fer leasing arrangement is a de facto transfer leasing arrangement that has an individual term, or series of com- bined terms, of more than one year.
Private commons. A ‘‘private com- mons’’ arrangement is an arrangement, distinct from a spectrum leasing ar- rangement but permitted in the same services for which spectrum leasing ar- rangements are allowed, in which a li- censee or spectrum lessee makes cer- tain spectrum usage rights under a par- ticular license authorization available to a class of third-party users employ- ing advanced communications tech- nologies that involve peer-to-peer (de- vice-to-device) communications and that do not involve use of the licensee’s or spectrum lessee’s end-to-end phys- ical network infrastructure (e.g., base stations, mobile stations, or other re- lated elements).
Short-term de facto transfer leasing ar- rangement. A short-term de facto trans- fer leasing arrangement is a de facto transfer leasing arrangement that has an individual or combined term of not longer than one year.
Spectrum leasing application. The ap- plication submitted to the Commission by a licensee and a spectrum lessee seeking approval of a de facto transfer leasing arrangement.
Spectrum leasing arrangement. An ar- rangement between a licensed entity and a third-party entity in which the licensee leases certain of its spectrum usage rights in the licensed spectrum to the third-party entity, the spectrum lessee, pursuant to the rules set forth in this subpart. The arrangement may involve the leasing of any amount of li-
censed spectrum, in any geographic area or site encompassed by the li- cense, for any period of time during the term of the license authorization. Two different types of spectrum leasing ar- rangements, spectrum manager leasing arrangements and de facto transfer leasing arrangements, are permitted under this subpart.
Spectrum leasing notification. The re- quired notification submitted by a li- censee to the Commission regarding a spectrum manager leasing arrange- ment.
Spectrum lessee. Any third-party enti- ty that leases, pursuant to the spec- trum leasing rules set forth in this sub- part, certain spectrum usage rights held by a licensee. This term includes reference to third-party entities that lease spectrum usage rights as spec- trum sublessees under spectrum sub- leasing arrangements.
Spectrum manager leasing arrangement. A spectrum leasing arrangement in which a licensee retains both de jure control of its license and de facto con- trol of the leased spectrum that it leases to a spectrum lessee, pursuant to the spectrum leasing rules set forth in this subpart.
[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77550, Dec. 27, 2004]
EFFECTIVE DATE NOTE: At 69 FR 77550, Dec. 27, 2004, § 1.9003 was amended. This section contains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 1.9005 Included services.
The spectrum leasing policies and rules of this subpart apply to the fol- lowing services in the Wireless Radio Services in which commercial or pri- vate licensees hold exclusive use rights:
(a) The Paging and Radiotelephone Service (part 22 of this chapter);
(b) The Rural Radiotelephone Service (part 22 of this chapter);
(c) The Air-Ground Radiotelephone Service (part 22 of this chapter);
(d) The Cellular Radiotelephone Service (part 22 of this chapter);
(e) The Offshore Radiotelephone Service (part 22 of this chapter);
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(f) The narrowband Personal Commu- nications Service (part 24 of this chap- ter);
(g) The broadband Personal Commu- nications Service (part 24 of this chap- ter);
(h) The Broadband Radio Service (part 27 of this chapter);
(i) The Educational Broadband Serv- ice (part 27 of this chapter);
(j) The Wireless Communications Service in the 698–746 MHz band (part 27 of this chapter);
(k) The Wireless Communications Service in the 746–763 MHz, 775–793 MHz, and 805–806 MHz bands (part 27 of this chapter);
(l) The Wireless Communications Service in the 1390–1392 MHz band (part 27 of this chapter);
(m) The Wireless Communications Service in the paired 1392–1395 MHz and 1432–1435 MHz bands (part 27 of this chapter);
(n) The Wireless Communications Service in the 1670–1675 MHz band (part 27 of this chapter);
(o) The Wireless Communications Service in the 2305–2320 and 2345–2360 MHz bands (part 27 of this chapter);
(p) [Reserved] (q) The Advanced Wireless Services
(part 27 of this chapter); (r) The VHF Public Coast Station
service (part 80 of this chapter); (s) The Automated Maritime Tele-
communications Systems service (part 80 of this chapter);
(t) The Public Safety Radio Services (part 90 of this chapter);
(u) The 220 MHz Service (excluding public safety licensees) (part 90 of this chapter);
(v) The Specialized Mobile Radio Service in the 800 MHz and 900 MHz bands (including exclusive use SMR li- censes in the General Category chan- nels) (part 90 of this chapter);
(w) The Location and Monitoring Service (LMS) with regard to licenses for multilateration LMS systems (part 90 of this chapter);
(x) Paging operations under part 90 of this chapter;
(y) The Business and Industrial/Land Transportation (B/ILT) channels (part 90 of this chapter) (including all B/ILT channels above 512 MHz and those in the 470–512 MHz band where a licensee
has achieved exclusivity, but excluding B/ILT channels in the 470–512 MHz band where a licensee has not achieved ex- clusivity and those channels below 470 MHz, including those licensed pursuant to 47 CFR 90.187(b)(2)(v));
(z) The 218–219 MHz band (part 95 of this chapter);
(aa) The Local Multipoint Distribu- tion Service (part 101 of this chapter);
(bb) The 24 GHz Band (part 101 of this chapter);
(cc) The 39 GHz Band (part 101 of this chapter);
(dd) The Multiple Address Systems band (part 101 of this chapter);
(ee) The Local Television Trans- mission Service (part 101 of this chap- ter);
(ff) The Private-Operational Fixed Point-to-Point Microwave Service (part 101 of this chapter);
(gg) The Common Carrier Fixed Point-to-Point Microwave Service (part 101 of this chapter);
(hh) The Multipoint Video Distribu- tion and Data Service (part 101 of this chapter); and,
(ii) The 700 MHz Guard Bands Service (part 27 of this chapter).
[69 FR 77551, Dec. 27, 2004, as amended at 71 FR 29815, May 24, 2006; 72 FR 27708, May 16, 2007; 72 FR 48843, Aug. 24, 2007]
GENERAL POLICIES AND PROCEDURES
§ 1.9010 De facto control standard for spectrum leasing arrangements.
(a) Under the rules established for spectrum leasing arrangements in this subpart, the following standard is ap- plied for purposes of determining whether a licensee retains de facto con- trol under section 310(d) of the Commu- nications Act with regard to spectrum that it leases to a spectrum lessee.
(b) A licensee will be deemed to have retained de facto control of leased spec- trum if it enters into a spectrum leas- ing arrangement and acts as a spec- trum manager with regard to portions of the licensed spectrum that it leases to a spectrum lessee, provided the li- censee satisfies the following two con- ditions:
(1) Licensee responsibility for lessee compliance with Commission policies and rules. The licensee must remain fully responsible for ensuring the spectrum
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lessee’s compliance with the Commu- nications Act and all applicable poli- cies and rules directly related to the use of the leased spectrum.
(i) Through contractual provisions and actual oversight and enforcement of such provisions, the licensee must act in a manner sufficient to ensure that the spectrum lessee operates in conformance with applicable technical and use rules governing the license au- thorization.
(ii) The licensee must maintain a reasonable degree of actual working knowledge about the spectrum lessee’s activities and facilities that affect its ongoing compliance with the Commis- sion’s policies and rules. These respon- sibilities include: Coordinating oper- ations and modifications of the spec- trum lessee’s system to ensure compli- ance with Commission rules regarding non-interference with co-channel and adjacent channel licensees (and any au- thorized spectrum user); making all de- terminations as to whether an applica- tion is required for any individual spec- trum lessee stations (e.g., those that require frequency coordination, sub- mission of an Environmental Assess- ment under § 1.1307 of subpart I of this part, those that require international or Interdepartment Radio Advisory Committee (IRAC) coordination, those that affect radio frequency quiet zones described in § 1.924 of subpart F of this part, or those that require notification to the Federal Aviation Administra- tion under part 17 of this chapter); and, ensuring that the spectrum lessee com- plies with the Commission’s safety guidelines relating to human exposure to radiofrequency (RF) radiation (e.g., § 1.1307(b) and related rules of subpart I of this part). The licensee is respon- sible for resolving all interference-re- lated matters, including conflicts be- tween its spectrum lessee and any other spectrum lessee or licensee (or authorized spectrum user). The li- censee may use agents (e.g., counsel, engineering consultants) when car- rying out these responsibilities, so long as the licensee exercises effective con- trol over its agents’ actions.
(iii) The licensee must be able to in- spect the spectrum lessee’s operations and must retain the right to terminate the spectrum leasing arrangement in
the event the spectrum lessee fails to comply with the terms of the arrange- ment and/or applicable Commission re- quirements. If the licensee or the Com- mission determines that there is any violation of the Commission’s rules or that the spectrum lessee’s system is causing harmful interference, the li- censee must immediately take steps to remedy the violation, resolve the inter- ference, suspend or terminate the oper- ation of the system, or take other measures to prevent further harmful interference until the situation can be remedied. If the spectrum lessee re- fuses to resolve the interference, rem- edy the violation, or suspend or termi- nate operations, either at the direction of the licensee or by order of the Com- mission, the licensee must use all rea- sonable legal means necessary to en- force compliance.
(2) Licensee responsibility for inter- actions with the Commission, including all filings, required under the license author- ization and applicable service rules di- rectly related to the leased spectrum. The licensee remains responsible for the following interactions with the Com- mission:
(i) The licensee must file the nec- essary notification with the Commis- sion, as required under § 1.9020(e).
(ii) The licensee is responsible for making all required filings (e.g., appli- cations, notifications, correspondence) associated with the license authoriza- tion that are directly affected by the spectrum lessee’s use of the licensed spectrum. The licensee may use agents (e.g., counsel, engineering consultants) to complete these filings, so long as the licensee exercises effective control over its agents’ actions and complies with any signature requirements for such filings.
[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77551, Dec. 27, 2004]
§ 1.9020 Spectrum manager leasing ar- rangements.
(a) Overview. Under the provisions of this section, a licensee (in any of the included services) and a spectrum les- see may enter into a spectrum manager leasing arrangement, without the need for prior Commission approval, pro- vided that the licensee retains de jure
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control of the license and de facto con- trol, as defined and explained in this subpart, of the leased spectrum. The li- censee must notify the Commission of the spectrum leasing arrangement pur- suant to the rules set forth in this sec- tion. The term of a spectrum manager leasing arrangement may be no longer than the term of the license authoriza- tion.
(b) Rights and responsibilities of the li- censee. (1) The licensee is directly and primarily responsible for ensuring the spectrum lessee’s compliance with the Communications Act and applicable Commission policies and rules.
(2) The licensee retains responsibility for maintaining its compliance with applicable eligibility and ownership re- quirements imposed on it pursuant to the license authorization.
(3) The licensee must retain a copy of the spectrum leasing agreement and make it available upon request by the Commission.
(c) Rights and responsibilities of the spectrum lessee. (1) The spectrum lessee must comply with the Communications Act and with Commission requirements associated with the license.
(2) The spectrum lessee is responsible for establishing that it meets the eligi- bility and qualification requirements applicable to spectrum lessees under the rules set forth in this section.
(3) The spectrum lessee must comply with any obligations that apply di- rectly to it as a result of its own status as a service provider (e.g., Title II obli- gations if the spectrum lessee acts as a telecommunications carrier or acts as a common carrier).
(4) In addition to the licensee being directly accountable to the Commis- sion for ensuring the spectrum lessee’s compliance with the Commission’s operational rules and policies (as dis- cussed in this subpart), the spectrum lessee is independently accountable to the Commission for complying with the Communications Act and Commission policies and rules, including those that apply directly to the spectrum lessee as a result of its own status as a serv- ice provider.
(5) In leasing spectrum from a li- censee, the spectrum lessee must ac- cept Commission oversight and en- forcement consistent with the license
authorization. The spectrum lessee must cooperate fully with any inves- tigation or inquiry conducted by either the Commission or the licensee, allow the Commission or the licensee to con- duct on-site inspections of trans- mission facilities, and suspend oper- ations at the direction of the Commis- sion or the licensee and to the extent that such suspension would be con- sistent with the Commission’s suspen- sion policies.
(6) The spectrum lessee must retain a copy of the spectrum leasing agree- ment and make it available upon re- quest by the Commission.
(d) Applicability of particular service rules and policies. Under a spectrum manager leasing arrangement, the service rules and policies apply in the following manner to the licensee and spectrum lessee:
(1) Interference-related rules. The in- terference and radiofrequency (RF) safety rules applicable to use of the spectrum by the licensee as a condition of its license authorization also apply to the use of the spectrum leased by the spectrum lessee.
(2) General eligibility rules. (i) The spectrum lessee must meet the same eligibility and qualification require- ments that are applicable to the li- censee under its license authorization, with the following exceptions. A spec- trum lessee entering into a spectrum leasing arrangement involving a li- censee in the Educational Broadband Service (see § 27.1201 of this chapter) is not required to comply with the eligi- bility requirements pertaining to such a licensee so long as the spectrum les- see meets the other eligibility and qualification requirements applicable to part 27 services (see § 27.12 of this chapter). A spectrum lessee entering into a spectrum leasing arrangement involving a licensee in the Public Safe- ty Radio Services (see part 90, subpart B and § 90.311(a)(1)(i) of this chapter) is not required to comply with the eligi- bility requirements pertaining to such a licensee so long as the spectrum les- see is an entity providing communica- tions in support of public safety oper- ations (see § 90.523(b) of this chapter).
(ii) The spectrum lessee must meet applicable foreign ownership eligibility
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requirements (see sections 310(a), 310(b) of the Communications Act).
(iii) The spectrum lessee must satisfy any qualification requirements, includ- ing character qualifications, applicable to the licensee under its license au- thorization.
(iv) The spectrum lessee must not be a person subject to the denial of Fed- eral benefits under the Anti-Drug Abuse Act of 1988 (see § 1.2001 et seq. of subpart P of this part).
(v) The licensee may reasonably rely on the spectrum lessee’s certifications that it meets the requisite eligibility and qualification requirements con- tained in the notification required by this section.
(3) Use restrictions. To the extent that the licensee is restricted from using the licensed spectrum to offer par- ticular services under its license au- thorization, the use restrictions apply to the spectrum lessee as well.
(4) Designated entity/entrepreneur rules. A licensee that holds a license pursuant to small business and/or en- trepreneur provisions (see § 1.2110 and § 24.709 of this chapter) and continues to be subject to unjust enrichment re- quirements (see § 1.2111 and § 24.714 of this chapter) and/or transfer restric- tions (see § 24.839 of this chapter) may enter into a spectrum manager leasing arrangement with a spectrum lessee, regardless of whether the spectrum les- see meets the Commission’s designated entity eligibility requirements (see § 1.2110) or its entrepreneur eligibility requirements to hold certain C and F block licenses in the broadband per- sonal communications services (see § 1.2110 and § 24.709 of this chapter), so long as the spectrum manager leasing arrangement does not result in the spectrum lessee’s becoming a ‘‘con- trolling interest’’ or ‘‘affiliate’’ (see § 1.2110) of the licensee such that the li- censee would lose its eligibility as a designated entity or entrepreneur. To the extent there is any conflict be- tween the revised de facto control standard for spectrum leasing arrange- ments, as set forth in this subpart, and the definition of controlling interest (including its de facto control standard) set forth in § 1.2110, the latter defini- tion governs for determining whether the licensee has maintained the req-
uisite degree of ownership and control to allow it to remain eligible for the li- cense or for other benefits such as bid- ding credits and installment payments.
(5) Construction/performance require- ments. Any performance or build-out requirement applicable under a license authorization (e.g., a requirement that the licensee construct and operate one or more specific facilities, cover a cer- tain percentage of geographic area, cover a certain percentage of popu- lation, or provide substantial service) always remains a condition of the li- cense, and legal responsibility for meeting such obligation is not dele- gable to the spectrum lessee(s).
(i) The licensee may attribute to itself the build-out or performance ac- tivities of its spectrum lessee(s) for purposes of complying with any appli- cable performance or build-out require- ment.
(ii) If a licensee relies on the activi- ties of a spectrum lessee to meet the li- censee’s performance or build-out obli- gation, and the spectrum lessee fails to engage in those activities, the Commis- sion will enforce the applicable per- formance or build-out requirements against the licensee, consistent with the applicable rules.
(iii) If there are rules applicable to the license concerning the discontinu- ance of operation, the licensee is ac- countable for any such discontinuance and the rules will be enforced against the licensee regardless of whether the licensee was relying on the activities of a lessee to meet particular perform- ance requirements.
(6) Regulatory classification. If the reg- ulatory status of the licensee (e.g., common carrier or non-common car- rier status) is prescribed by rule, the regulatory status of the spectrum les- see is prescribed in the same manner, except that § 20.9(a) of this chapter shall not preclude a licensee in the services covered by that rule from en- tering into a spectrum leasing arrange- ment with a spectrum lessee that chooses to operate on a Private Mobile Radio Service (PMRS), private, or non- commercial basis.
(7) Regulatory fees. The licensee re- mains responsible for payment of the required regulatory fees that must be paid in advance of its license term (see
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§ 1.1152). Where, however, regulatory fees are paid annually on a per-unit basis (such as for Commercial Mobile Radio Services (CMRS) pursuant to § 1.1152), the licensee and spectrum les- see are each required to pay fees for those units associated with its respec- tive operations.
(8) E911 requirements. If E911 obliga- tions apply to the licensee (see § 20.18 of this chapter), the licensee retains the obligations with respect to leased spec- trum.
(e) Notifications regarding spectrum manager leasing arrangements. A li- censee that seeks to enter into a spec- trum manager leasing arrangement must notify the Commission of the ar- rangement in advance of the spectrum lessee’s commencement of operations. The spectrum manager lease notifica- tion will be processed pursuant either to the general notification procedures or the immediate processing proce- dures, as set forth herein. The licensee must submit the notification to the Commission by electronic filing using the Universal Licensing System (ULS) and FCC Form 608, except that a li- censee falling within the provisions of § 1.913(d) may file the notification ei- ther electronically or manually.
(1) General notification procedures. No- tifications of spectrum manager leas- ing arrangements will be processed pursuant the general notification pro- cedures set forth in this paragraph un- less they are submitted and qualify for the immediate processing procedures set forth in paragraph (e)(2) of this sec- tion.
(i) To be accepted under these gen- eral notification procedures, the notifi- cation must be sufficiently complete and contain all information and certifi- cations requested on the applicable form, FCC Form 608, including any in- formation and certifications (including those of the spectrum lessee relating to eligibility, basic qualifications, and foreign ownership) required by the rules in this chapter and any rules per- taining to the specific service for which the notification is filed. No ap- plication fees are required for the filing of a spectrum manager leasing notifi- cation.
(ii) The licensee must submit such notification at least 21 days in advance
of commencing operations unless the arrangement is for a term of one year or less, in which case the licensee must provide notification to the Commission at least ten (10) days in advance of op- eration. If the licensee and spectrum lessee thereafter seek to extend this leasing arrangement for an additional term beyond the initial term, the li- censee must provide the Commission with notification of the new spectrum leasing arrangement at least 21 days in advance of operation under the ex- tended term.
(iii) A notification filed pursuant to these general notification procedures will be placed on an informational pub- lic notice on a weekly basis (see § 1.933(a)) once accepted, and is subject to reconsideration (see §§ 1.106(f), 1.108, 1.113).
(2) Immediate processing procedures. Notifications that meet the require- ments of paragraph (e)(2)(i) of this sec- tion qualify for the immediate proc- essing procedures.
(i) To qualify for these immediate processing procedures, the notification must be sufficiently complete and con- tain all necessary information and cer- tifications (including those relating to eligibility, basic qualifications, and foreign ownership) required for notifi- cations processed under the general no- tification procedures set forth in para- graph (e)(1)(i) of this section, and also must establish, through certifications, that the following additional qualifica- tions are met:
(A) The license does not involve spec- trum licensed in a Wireless Radio Serv- ice that may be used to provide inter- connected mobile voice and/or data services under the applicable service rules and that would, if the spectrum leasing arrangement were con- summated, create a geographic overlap with spectrum in any licensed Wireless Service (including the same service) in which the proposed spectrum lessee al- ready holds a direct or indirect interest of 10% or more (see § 1.2112), either as a licensee or a spectrum lessee, and that could be used by the spectrum lessee to provide interconnected mobile voice and/or data services;
(B) The licensee is not a designated entity or entrepreneur subject to un- just enrichment requirements and/or
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transfer restrictions under applicable Commission rules (see §§ 1.2110 and 1.2111, and §§ 24.709, 24.714, and 24.839 of this chapter); and,
(C) The spectrum leasing arrange- ment does not require a waiver of, or declaratory ruling pertaining to, any applicable Commission rules.
(ii) Provided that the notification es- tablishes that the proposed spectrum manager leasing arrangement meets all of the requisite elements to qualify for these immediate processing proce- dures, ULS will reflect that the notifi- cation has been accepted. If a quali- fying notification is filed electroni- cally, the acceptance will be reflected in ULS on the next business day after filing of the notification; if filed manu- ally, the acceptance will be reflected in ULS on the next business day after the necessary data from the manually filed notification is entered into ULS. Once the notification has been accepted, as reflected in ULS, the spectrum lessee may commence operations under the spectrum leasing arrangement, con- sistent with the term of the arrange- ment.
(iii) A notification filed pursuant to these immediate processing procedures will be placed on an informational pub- lic notice on a weekly basis (see § 1.933(a)) once accepted, and is subject to reconsideration (see §§ 1.106(f), 1.108, 1.113).
(f) Effective date of a spectrum manager leasing arrangement. The spectrum man- ager leasing arrangement will be deemed effective in the Commission’s records, and for purposes of the appli- cation of the rules set forth in this sec- tion, as of the beginning date of the term as specified in the spectrum leas- ing notification.
(g) Commission termination of a spec- trum manager leasing arrangement. The Commission retains the right to inves- tigate and terminate any spectrum manager leasing arrangement if it de- termines, post-notification, that the arrangement constitutes an unauthor- ized transfer of de facto control of the leased spectrum, is otherwise in viola- tion of the rules in this chapter, or raises foreign ownership, competitive, or other public interest concerns. In- formation concerning any such termi- nation will be placed on public notice.
(h) Expiration, extension, or termi- nation of a spectrum leasing arrangement. (1) Absent Commission termination or except as provided in paragraph (h)(2) or (h)(3) of this section, a spectrum leasing arrangement entered into pur- suant to this section will expire on the termination date set forth in the spec- trum leasing notification.
(2) A spectrum leasing arrangement may be extended beyond the initial term set forth in the spectrum leasing notification provided that the licensee notifies the Commission of the exten- sion in advance of operation under the extended term and does so pursuant to the general notification procedures or immediate processing procedures set forth in this section, whichever is ap- plicable. If the general notification procedures are applicable, the licensee must notify the Commission at least 21 days in advance of operation under the extended term.
(3) If a spectrum leasing arrangement is terminated earlier than the termi- nation date set forth in the notifica- tion, either by the licensee or by the parties’ mutual agreement, the li- censee must file a notification with the Commission, no later than ten (10) days after the early termination, indicating the date of the termination. If the par- ties fail to put the spectrum leasing ar- rangement into effect, they must so notify the Commission consistent with the provisions of this section.
(4) The Commission will place infor- mation concerning an extension or an early termination of a spectrum leas- ing arrangement on public notice.
(i) Assignment of a spectrum leasing ar- rangement. The spectrum lessee may as- sign its spectrum leasing arrangement to another entity provided that the li- censee has agreed to such an assign- ment, is in privity with the assignee, and notifies the Commission before the consummation of the assignment, pur- suant to the applicable notification procedures set forth in this section. In the case of a non-substantial (pro forma) assignment that falls within the class of pro forma transactions for which prior Commission approval would not be required under § 1.948(c)(1), the licensee must file noti- fication of the assignment with the Commission, using FCC Form 608 and
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providing any necessary updates of ownership information, within 30 days of its completion. The Commission will place information related to the as- signment, whether substantial or pro forma, on public notice.
(j) Transfer of control of a spectrum les- see. The licensee must notify the Com- mission of any transfer of control of a spectrum lessee before the consumma- tion of the transfer of control, pursu- ant to the applicable notification pro- cedures of this section. In the case of a non-substantial (pro forma) transfer of control that falls within the class of pro forma transactions for which prior Commission approval would not be re- quired under § 1.948(c)(1), the licensee must file notification of the transfer of control with the Commission, using FCC Form 608 and providing any nec- essary updates of ownership informa- tion, within 30 days of its completion. The Commission will place information related to the transfer of control, whether substantial or pro forma, on public notice.
(k) Revocation or automatic cancella- tion of a license or a spectrum lessee’s op- erating authority. (1) In the event an au- thorization held by a licensee that has entered into a spectrum leasing ar- rangement is revoked or cancelled, the spectrum lessee will be required to ter- minate its operations no later than the date on which the licensee ceases to have any authority to operate under the license, except as provided in para- graph (j)(2) of this section.
(2) In the event of a license revoca- tion or cancellation, the Commission will consider a request by the spectrum lessee for special temporary authority (see § 1.931) to provide the spectrum les- see with an opportunity to transition its users in order to minimize service disruption to business and other activi- ties.
(3) In the event of a license revoca- tion or cancellation, and the required termination of the spectrum lessee’s operations, the former spectrum lessee does not, as a result of its former sta- tus, receive any preference over any other party should the spectrum lessee seek to obtain the revoked or cancelled license.
(l) Subleasing. A spectrum lessee may sublease the leased spectrum usage
rights subject to the licensee’s consent and the licensee’s establishment of privity with the spectrum sublessee. The licensee must submit a notifica- tion regarding the spectrum subleasing arrangement in accordance with the applicable notification procedures set forth in this section.
(m) Renewal. Although the term of a spectrum manager leasing arrange- ment may not be longer than the term of a license authorization, a licensee and spectrum lessee that have entered into an arrangement whose term con- tinues to the end of the current term of the license authorization may, contin- gent on the Commission’s grant of the license renewal, renew the spectrum leasing arrangement to extend into the term of the renewed license authoriza- tion. The Commission must be notified of the renewal of the spectrum leasing arrangement at the same time that the licensee submits its application for li- cense renewal (see § 1.949). The spec- trum lessee may operate under the ex- tended term, without further action by the Commission, until such time as the Commission shall make a final deter- mination with respect to the renewal of the license authorization and the ex- tension of the spectrum leasing ar- rangement into the term of the re- newed license authorization.
[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 72027, Dec. 10, 2004; 69 FR 77551, Dec. 27, 2004]
EFFECTIVE DATE NOTE: At 69 FR 77551, Dec. 27, 2004, § 1.9020(e)(2) was revised. This para- graph contains information collection and recordkeeping requirements and will not be- come effective until approval has been given by the Office of Management and Budget.
§ 1.9030 Long-term de facto transfer leasing arrangements.
(a) Overview. Under the provisions of this section, a licensee (in any of the included services) and a spectrum les- see may enter into a long-term de facto transfer leasing arrangement in which the licensee retains de jure control of the license while de facto control of the leased spectrum is transferred to the spectrum lessee for the duration of the spectrum leasing arrangement, subject to prior Commission consent pursuant to the application procedures set forth in this section. A ‘‘long-term’’ de facto
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transfer leasing arrangement has an in- dividual term, or series of combined terms, of more than one year. The term of a long-term de facto transfer leasing arrangement may be no longer than the term of the license authorization.
(b) Rights and responsibilities of the li- censee. (1) Except as provided in para- graph (b)(2) of this section, the licensee is relieved of primary and direct re- sponsibility for ensuring that the spec- trum lessee’s operations comply with the Communications Act and Commis- sion policies and rules.
(2) The licensee is responsible for its own violations, including those related to its spectrum leasing arrangement with the spectrum lessee, and for ongo- ing violations or other egregious be- havior on the part of the spectrum les- see about which the licensee has knowledge or should have knowledge.
(3) The licensee must retain a copy of the spectrum leasing agreement and make it available upon request by the Commission.
(c) Rights and responsibilities of the spectrum lessee. (1) The spectrum lessee assumes primary responsibility for complying with the Communications Act and applicable Commission policies and rules.
(2) The spectrum lessee is granted an instrument of authorization pertaining to the de facto transfer leasing arrange- ment that brings it within the scope of the Commission’s direct forfeiture pro- visions under section 503(b) of the Com- munications Act.
(3) The spectrum lessee is responsible for interacting with the Commission regarding the leased spectrum and for making all related filings (e.g., all ap- plications and notifications, submis- sions of any materials required to sup- port a required Environmental Assess- ment, any reports required by Commis- sion rules and applicable to the lessee, information necessary to facilitate international or Interdepartment Radio Advisory Committee (IRAC) co- ordination).
(4) The spectrum lessee is required to maintain accurate information on file pursuant to Commission rules (see § 1.65 of subpart A of this part).
(5) The spectrum lessee must retain a copy of the spectrum leasing agree-
ment and make it available upon re- quest by the Commission.
(d) Applicability of particular service rules and policies. Under a long-term de facto transfer leasing arrangement, the service rules and policies apply in the following manner to the licensee and spectrum lessee:
(1) Interference-related rules. The in- terference and radiofrequency (RF) safety rules applicable to use of the spectrum by the licensee as a condition of its license authorization also apply to the use of the spectrum leased by the spectrum lessee.
(2) General eligibility rules. (i) The spectrum lessee must meet the same eligibility and qualification require- ments that are applicable to the li- censee under its license authorization. A spectrum lessee entering into a spec- trum leasing arrangement involving a licensee in the Educational Broadband Service (see § 27.1201 of this chapter) is not required to comply with the eligi- bility requirements pertaining to such a licensee so long as the spectrum les- see meets the other eligibility and qualification requirements applicable to part 27 services (see § 27.12 of this chapter). A spectrum lessee entering into a spectrum leasing arrangement involving a licensee in the Public Safe- ty Radio Services (see part 90, subpart B and § 90.311(a)(1)(i) of this chapter) is not required to comply with the eligi- bility requirements pertaining to such a licensee so long as the spectrum les- see is an entity providing communica- tions in support of public safety oper- ations (see § 90.523(b) of this chapter).
(ii) The spectrum lessee must meet applicable foreign ownership eligibility requirements (see sections 310(a), 310(b) of the Communications Act).
(iii) The spectrum lessee must satisfy any qualification requirements, includ- ing character qualifications, applicable to the licensee under its license au- thorization.
(iv) The spectrum lessee must not be a person subject to denial of Federal benefits under the Anti-Drug Abuse Act of 1988 (see § 1.2001 et seq. of subpart P of this part).
(3) Use restrictions. To the extent that the licensee is restricted from using
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the licensed spectrum to offer par- ticular services under its license au- thorization, the use restrictions apply to the spectrum lessee as well.
(4) Designated entity/entrepreneur rules. (i) A licensee that holds a license pursuant to small business and/or en- trepreneur provisions (see § 1.2110 and § 24.709 of this chapter) and continues to be subject to unjust enrichment re- quirements (see § 1.2111 and § 24.714 of this chapter) and/or transfer restric- tions (see § 24.839 of this chapter) may enter into a long-term de facto transfer leasing arrangement with any entity under the streamlined processing pro- cedures described in this section, sub- ject to any applicable unjust enrich- ment payment obligations and/or transfer restrictions (see § 1.2111 and § 24.839 of this chapter).
(ii) A licensee holding a license won in closed bidding (see § 24.709 of this chapter) may, during the first five years of the license term, enter into a spectrum leasing arrangement with an entity not eligible to hold such a li- cense pursuant to the requirements of § 24.709(a) of this chapter so long as it has met its five-year construction re- quirement (see §§ 24.203, 24.839(a)(6) of this chapter).
(iii) The amount of any unjust en- richment payment will be determined by the Commission as part of its review of the application under the same rules that apply in the context of a license assignment or transfer of control (see § 1.2111 and § 24.714 of this chapter). If the spectrum leasing arrangement in- volves only part of the license area and/or part of the bandwidth covered by the license, the unjust enrichment obligation will be apportioned as though the license were being parti- tioned and/or disaggregated (see § 1.2111(e) and § 24.714(c) of this chapter). A licensee will receive no reduction in its unjust enrichment payment obliga- tion for a spectrum leasing arrange- ment that ends prior to the end of the fifth year of the license term.
(iv) A licensee that participates in the Commission’s installment payment program (see § 1.2110(g) may enter into a long-term de facto transfer leasing ar- rangement without triggering unjust enrichment obligations provided that the lessee would qualify for as favor-
able a category of installment pay- ments. A licensee using installment payment financing that seeks to lease to an entity not meeting the eligibility standards for as favorable a category of installment payments must make full payment of the remaining unpaid prin- cipal and any unpaid interest accrued through the effective date of the spec- trum leasing arrangement (see § 1.2111(c)). This requirement applies re- gardless of whether the licensee is leas- ing all or a portion of its bandwidth and/or license area.
(5) Construction/performance require- ments. Any performance or build-out requirement applicable under a license authorization (e.g., a requirement that the licensee construct and operate one or more specific facilities, cover a cer- tain percentage of geographic area, cover a certain percentage of popu- lation, or provide substantial service) always remains a condition of the li- cense, and the legal responsibility for meeting such obligation is not dele- gable to the spectrum lessee(s).
(i) The licensee may attribute to itself the build-out or performance ac- tivities of its spectrum lessee(s) for purposes of complying with any appli- cable build-out or performance require- ment.
(ii) If a licensee relies on the activi- ties of a spectrum lessee to meet the li- censee’s performance or build-out obli- gation, and the spectrum lessee fails to engage in those activities, the Commis- sion will enforce the applicable per- formance or build-out requirements against the licensee, consistent with the applicable rules.
(iii) If there are rules applicable to the license concerning the discontinu- ance of operation, the licensee is ac- countable for any such discontinuance and the rules will be enforced against the licensee regardless of whether the licensee was relying on the activities of a lessee to meet particular perform- ance requirements.
(6) Regulatory classification. If the reg- ulatory status of the licensee (e.g., common carrier or non-common car- rier status) is prescribed by rule, the regulatory status of the spectrum les- see is prescribed in the same manner, except that § 20.9(a) of this chapter shall not preclude a licensee in the
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services covered by that rule from en- tering into a spectrum leasing arrange- ment with a spectrum lessee that chooses to operate on a PMRS, private, or non-commercial basis.
(7) Regulatory fees. The licensee re- mains responsible for payment of the required regulatory fees that must be paid in advance of its license term (see § 1.1152). Where, however, regulatory fees are paid annually on a per-unit basis (such as for CMRS services pursu- ant to § 1.1152), the licensee and spec- trum lessee each are required to pay fees for those units associated with its respective operations.
(8) E911 requirements. To the extent the licensee is required to meet E911 obligations (see § 20.18 of this chapter), the spectrum lessee is required to meet those obligations with respect to the spectrum leased under the spectrum leasing arrangement insofar as the spectrum lessee’s operations are en- compassed within the E911 obligations.
(e) Applications for long-term de facto transfer leasing arrangements. Applica- tions for long-term de facto transfer leasing arrangements will be processed either pursuant to the general approval procedures or the immediate approval procedures, as discussed herein. Spec- trum leasing parties must submit the application by electronic filing using ULS and FCC Form 608, and obtain Commission consent prior to consum- mating the transfer of de facto control of the leased spectrum, except that parties falling within the provisions of § 1.913(d) may file the application either electronically or manually.
(1) General approval procedures. Appli- cations for long-term de facto transfer leasing arrangements will be processed pursuant to the general approval proce- dures set forth in this paragraph unless they are submitted and qualify for the immediate approval procedures set forth in paragraph (e)(2) of this section.
(i) To be accepted for filing under these general approval procedures, the application must be sufficiently com- plete and contain all information and certifications requested on the applica- ble form, FCC Form 608, including any information and certifications (includ- ing those of the spectrum lessee relat- ing to eligibility, basic qualifications, and foreign ownership) required by the
rules in this chapter and any rules per- taining to the specific service for which the application is filed. In addi- tion, the spectrum leasing application must include payment of the required application fee(s); for purposes of de- termining the applicable application fee(s), the application will be treated as a transfer of control (see § 1.1102).
(ii) Once accepted for filing, the ap- plication will be placed on public no- tice, except no prior public notice will be required for applications involving authorizations in the Private Wireless Services, as specified in § 1.933(d)(9).
(iii) Petitions to deny filed in accord- ance with section 309(d) of the Commu- nications Act must comply with the provisions of § 1.939, except that such petitions must be filed no later than 14 days following the date of the public notice listing the application as ac- cepted for filing.
(iv) No later than 21 days following the date of the public notice listing an application as accepted for filing, the Wireless Telecommunications Bureau (Bureau) will affirmatively consent to the application, deny the application, or determine to subject the application to further review. For applications for which no prior public notice is re- quired, the Bureau will affirmatively consent to the application, deny the application, or determine to subject the application to further review no later than 21 days following the date on which the application has been filed and any required application fee has been paid (see § 1.1102).
(v) If the Bureau determines to sub- ject the application to further review, it will issue a public notice so indi- cating. Within 90 days following the date of that public notice, the Bureau will either take action upon the appli- cation or provide public notice that an additional 90-day period for review is needed.
(vi) Consent to the application is not deemed granted until the Bureau af- firmatively acts upon the application.
(vii) Grant of consent to the applica- tion will be reflected in a public notice (see § 1.933(a)) promptly issued after the grant, and is subject to reconsideration (see §§ 1.106(f), 1.108, 1.113).
(viii) If any petition to deny is filed, and the Bureau grants the application,
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the Bureau will deny the petition(s) and issue a concise statement of the reason(s) for denial, disposing of all substantive issues raised in the peti- tion(s).
(2) Immediate approval procedures. Ap- plications that meet the requirements of paragraph (e)(2)(i) of this section qualify for the immediate approval procedures.
(i) To qualify for the immediate ap- proval procedures, the application must be sufficiently complete, contain all necessary information and certifi- cations (including those relating to eli- gibility, basic qualifications, and for- eign ownership), and include payment of the requisite application fee(s), as required for an application processed under the general approval procedures set forth in paragraph (e)(1)(i) of this section, and also must establish, through certifications, that the fol- lowing additional qualifications are met:
(A) The license does not involve spec- trum licensed in a Wireless Radio Serv- ice that may be used to provide inter- connected mobile voice and/or data services under the applicable service rules and that would, if the spectrum leasing arrangement were con- summated, create a geographic overlap with spectrum in any licensed Wireless Service (including the same service) in which the proposed spectrum lessee al- ready holds a direct or indirect interest of 10% or more (see § 1.2112), either as a licensee or a spectrum lessee, and that could be used by the spectrum lessee to provide interconnected mobile voice and/or data services;
(B) The licensee is not a designated entity or entrepreneur subject to un- just enrichment requirements and/or transfer restrictions under applicable Commission rules (see §§ 1.2110 and 1.2111, and §§ 24.709, 24.714, and 24.839 of this chapter); and,
(C) The spectrum leasing arrange- ment does not require a waiver of, or declaratory ruling pertaining to, any applicable Commission rules.
(ii) Provided that the application es- tablishes that it meets all of the req- uisite elements to qualify for these im- mediate approval procedures, consent to the de facto transfer spectrum leas- ing arrangement will be reflected in
ULS. If the application is filed elec- tronically, consent will be reflected in ULS on the next business day after fil- ing of the application; if filed manu- ally, consent will be reflected in ULS on the next business day after the nec- essary data from the manually filed ap- plication is entered into ULS. Consent to the application is not deemed grant- ed until the Bureau affirmatively acts upon the application, as reflected in ULS.
(iii) Grant of consent to the applica- tion under these immediate approval procedures will be reflected in a public notice (see § 1.933(a)) promptly issued after grant, and is subject to reconsid- eration (see §§ 1.106(f), 1.108, 1.113).
(f) Effective date of a de facto transfer leasing arrangement. If the Commission consents to the de facto transfer leasing arrangement, the de facto transfer leas- ing arrangement will be deemed effec- tive in the Commission’s records, and for purposes of the application of the rules set forth in this section, on the date set forth in the application. If the Commission consents to the arrange- ment after that specified date, the spectrum leasing application will be- come effective on the date of the Com- mission affirmative consent.
(g) Expiration, extension, or termi- nation of spectrum leasing arrangement. (1) Except as provided in paragraph (g)(2) or (g)(3) of this section, a spec- trum leasing arrangement entered into pursuant to this section will expire on the termination date set forth in the application. The Commission’s consent to the de facto transfer leasing applica- tion includes consent to return the leased spectrum to the licensee at the end of the term of the spectrum leasing arrangement.
(2) A spectrum leasing arrangement may be extended beyond the initial term set forth in the spectrum leasing application pursuant to the applicable application procedures set forth in § 1.9030(e). Where there is pending be- fore the Commission at the date of ter- mination of the spectrum leasing ar- rangement a proper and timely appli- cation seeking to extend the arrange- ment, the parties may continue to op- erate under the original spectrum leas- ing arrangement without further ac- tion by the Commission until such
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time as the Commission shall make a final determination with respect to the application.
(3) If a spectrum leasing arrangement is terminated earlier than the termi- nation date set forth in the notifica- tion, either by the licensee or by the parties’ mutual agreement, the li- censee must file a notification with the Commission, no later than ten (10) days after the early termination, indicating the date of the termination. If the par- ties fail to put the spectrum leasing ar- rangement into effect, they must so notify the Commission consistent with the provisions of this section.
(4) The Commission will place infor- mation concerning an extension or an early termination of a spectrum leas- ing arrangement on public notice.
(h) Assignment of spectrum leasing ar- rangement. The spectrum lessee may as- sign its lease to another entity pro- vided that the licensee has agreed to such an assignment, there is privity be- tween the licensee and the assignee, and the assignment is approved by the Commission pursuant to the same ap- plication and approval procedures set forth in this section. In the case of a non-substantial (pro forma) assignment that falls within the class of pro forma transactions for which prior Commis- sion approval would not be required under § 1.948(c)(1), the parties involved in the assignment must file notifica- tion of the assignment with the Com- mission, using FCC Form 608 and pro- viding any necessary updates of owner- ship information, within 30 days of its completion. The Commission will place information related to the assignment, whether substantial or pro forma, on public notice.
(i) Transfer of control of a spectrum les- see. A spectrum lessee seeking the transfer of control must obtain Com- mission consent using the same appli- cation and Commission consent proce- dures set forth in this section. In the case of a non-substantial (pro forma) transfer of control that falls within the class of pro forma transactions for which prior Commission approval would not be required under § 1.948(c)(1), the parties involved in the transfer of control must file notifica- tion of the transfer of control with the Commission, using FCC Form 608 and
providing any necessary updates of ownership information, within 30 days of its completion. The Commission will place information related to the trans- fer of control, whether substantial or pro forma, on public notice.
(j) Revocation or automatic cancellation of a license or the spectrum lessee’s oper- ating authority. (1) In the event an au- thorization held by a licensee that has entered into a spectrum leasing ar- rangement is revoked or cancelled, the spectrum lessee will be required to ter- minate its operations no later than the date on which the licensee ceases to have authority to operate under the li- cense, except as provided in paragraph (i)(2) of this section.
(2) In the event of a license revoca- tion or cancellation, the Commission will consider a request by the spectrum lessee for special temporary authority (see § 1.931) to provide the spectrum les- see with an opportunity to transition its users in order to minimize service disruption to business and other activi- ties.
(3) In the event of a license revoca- tion or cancellation, and the required termination of the spectrum lessee’s operations, the former spectrum lessee does not, as a result of its former sta- tus, receive any preference over any other party should the spectrum lessee seek to obtain the revoked or cancelled license.
(k) Subleasing. A spectrum lessee may sublease spectrum usage rights subject to the following conditions. Parties en- tering into a spectrum subleasing ar- rangement are required to comply with the Commission’s rules for obtaining approval for spectrum leasing arrange- ments provided in this subpart and are governed by those same policies. The application filed by parties to a spec- trum subleasing arrangement must in- clude written consent from the licensee to the proposed arrangement. Once a spectrum subleasing arrangement has been approved by the Commission, the sublessee becomes the party primarily responsible for compliance with Com- mission rules and policies.
(l) Renewal. Although the term of a long-term de facto transfer spectrum leasing arrangement may not be longer than the term of a license authoriza- tion, a licensee and spectrum lessee
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that have entered into an arrangement whose term continues to the end of the current term of the license authoriza- tion may, contingent on the Commis- sion’s grant of the license renewal, ex- tend the spectrum leasing arrangement into the term of the renewed license authorization. The Commission must be notified of the renewal of the spec- trum leasing arrangement at the same time that the licensee submits its ap- plication for license renewal (see § 1.949). The spectrum lessee may oper- ate under the extended term, without further action by the Commission, until such time as the Commission shall make a final determination with respect to the renewal of the license authorization and the extension of the spectrum leasing arrangement into the term of the renewed license authoriza- tion.
[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 72027, Dec. 10, 2004; 69 FR 77554, Dec. 27, 2004]
EFFECTIVE DATE NOTE: At 69 FR 77554, Dec. 27, 2004, § 1.9030(e) was revised. This para- graph contains information collection and recordkeeping requirements and will not be- come effective until approval has been given by the Office of Management and Budget.
§ 1.9035 Short-term de facto transfer leasing arrangements.
(a) Overview. Under the provisions of this section, a licensee (in any of the included services) and a spectrum les- see may enter into a short-term de facto transfer leasing arrangement in which the licensee retains de jure con- trol of the license while de facto con- trol of the leased spectrum is trans- ferred to the spectrum lessee for the duration of the spectrum leasing ar- rangement, subject to prior Commis- sion consent pursuant to the applica- tion procedures set forth in this sec- tion. A ‘‘short-term’’ de facto transfer leasing arrangement has an individual or combined term of not longer than one year. The term of a short-term de facto transfer leasing arrangement may be no longer than the term of the li- cense authorization.
(b) Rights and responsibilities of li- censee. The rights and responsibilities applicable to a licensee that enters into a short-term de facto transfer leas- ing arrangement are the same as those
applicable to a licensee that enters into a long-term de facto transfer leas- ing arrangement, as set forth in § 1.9030(b).
(c) Rights and responsibilities of spec- trum lessee. The rights and responsibil- ities applicable to a spectrum lessee that enters into a short-term de facto transfer leasing arrangement are the same as those applicable to a spectrum lessee that enters into a long-term de facto transfer leasing arrangement, as set forth in § 1.9030(c).
(d) Applicability of particular service rules and policies. Under a short-term de facto leasing arrangement, the service rules and policies apply to the licensee and spectrum lessee in the same man- ner as under long-term de facto transfer leasing arrangements (see § 1.9030(d)), except as provided herein:
(1) Use restrictions and regulatory clas- sification. Use restrictions applicable to the licensee also apply to the spectrum lessee except that § 20.9(a) of this chap- ter shall not preclude a licensee in the services covered by that rule from en- tering into a spectrum leasing arrange- ment with a spectrum lessee that chooses to operate on a PMRS, private, or non-commercial basis, and except that a licensee with an authorization that restricts use of spectrum to non- commercial uses may enter into a short-term de facto transfer leasing ar- rangement that allows the spectrum lessee to use the spectrum commer- cially.
(2) Designated entity/entrepreneur rules. Unjust enrichment provisions (see § 1.2111) and transfer restrictions (see § 24.839 of this chapter) do not apply with regard to a short-term de facto transfer leasing arrangement.
(3) Construction/performance require- ments. The licensee is not permitted to attribute to itself the activities of its spectrum lessee when seeking to estab- lish that performance or build-out re- quirements applicable to the licensee have been met.
(4) E911 requirements. If E911 obliga- tions apply to the licensee (see § 20.18 of this chapter), the licensee retains the obligations with respect to leased spec- trum. A spectrum lessee entering into a short-term de facto transfer leasing arrangement is not separately required
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to comply with any such obligations in relation to the leased spectrum.
(e) Spectrum leasing application. Short-term de facto transfer leasing ar- rangements will be processed pursuant to immediate approval procedures, as discussed herein. Parties entering into a short-term de facto transfer leasing arrangement are required to file an electronic application with the Com- mission, using FCC Form 608, and ob- tain Commission consent prior to con- summating the transfer of de facto con- trol of the leased spectrum, except that parties falling within the provisions of § 1.913(d) may file the application either electronically or manually.
(1) To be accepted for filing under these immediate approval procedures, the application must be sufficiently complete and contain all information and certifications requested on the ap- plicable form, FCC Form 608, including any information and certifications (in- cluding those relating to the spectrum lessee relating to eligibility, basic qualifications, and foreign ownership) required by the rules of this chapter and any rules pertaining to the specific service for which the application is re- quired. In addition, the application must include payment of the required application fee; for purposes of deter- mining the applicable application fee, the application will be treated as a transfer of control (see § 1.1102). Fi- nally, the spectrum leasing arrange- ment must not require a waiver of, or declaratory ruling, pertaining to any applicable Commission rules.
(2) Provided that the application es- tablishes that it meets all of the req- uisite elements to qualify for these im- mediate approval procedures, consent to the short-term de facto transfer spectrum leasing arrangement will be reflected in ULS. If the application is filed electronically, consent will be re- flected in ULS on the next business day after filing of the application; if filed manually, consent will be reflected in ULS on the next business day after the necessary data from the manually filed application is entered into ULS. Con- sent to the application is not deemed granted until the Bureau affirmatively acts upon the application, as reflected in ULS.
(3) Grant of consent to the applica- tion under these procedures will be re- flected in a public notice (see § 1.933(a)) promptly issued after grant, and is sub- ject to reconsideration (see §§ 1.106(f), 1.108, 1.113).
(f) Effective date of spectrum leasing ar- rangement. The spectrum leasing ar- rangement will be deemed effective in the Commission’s records, and for pur- poses of the application of the rules set forth in this section, on the date set forth in the application. If the Com- mission consents to the arrangement after that specified date, the spectrum leasing application will become effec- tive on the date of the Commission af- firmative consent.
(g) Restrictions on the use of short-term de facto transfer leasing arrangements. (1) The licensee and spectrum lessee are not permitted to use the special rules and expedited procedures applicable to short-term de facto transfer leasing ar- rangements for arrangements that in fact will exceed one year, or that the parties reasonably expect to exceed one year.
(2) The licensee and spectrum lessee must submit, in sufficient time prior to the expiration of the short-term de facto transfer spectrum leasing ar- rangement, the appropriate application under the rules and procedures applica- ble to long-term de facto leasing ar- rangements, and obtain Commission consent pursuant to those procedures.
(h) Expiration, extension, or termi- nation of the spectrum leasing arrange- ment. (1) Except as provided in para- graph (h)(2) or (h)(3) of this section, a spectrum leasing arrangement entered into pursuant to this section will ex- pire on the termination date set forth in the short-term de facto transfer leas- ing arrangement. The Commission’s approval of the short-term de facto transfer leasing application includes consent to return the leased spectrum to the licensee at the end of the term of the spectrum leasing arrangement.
(2) Upon proper application (see para- graph (e) of this section), a short-term de facto transfer leasing arrangement may be extended beyond the initial term set forth in the application pro- vided that the initial term and exten- sion(s) together would not result in a
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leasing arrangement that exceeds a total of one year.
(3) If a spectrum leasing arrangement is terminated earlier than the termi- nation date set forth in the notifica- tion, either by the licensee or by the parties’ mutual agreement, the li- censee must file a notification with the Commission, no later than ten (10) days after the early termination, indicating the date of the termination. If the par- ties fail to put the spectrum leasing ar- rangement into effect, they must so notify the Commission consistent with the provisions of this section.
(i) Conversion of a short-term spectrum leasing arrangement into a long-term de facto transfer leasing arrangement. (1) In the event the licensee and spectrum lessee involved in a short-term de facto transfer leasing arrangement seek to extend the spectrum leasing arrange- ment beyond the one-year limit for short-term de facto transfer leasing ar- rangements, the parties may do so pro- vided that they meet the conditions set forth in paragraphs (i)(2) and (i)(3) of this section.
(2) If a licensee that holds a license that continues to be subject to transfer restrictions and/or requirements relat- ing to unjust enrichment pursuant to the Commission’s small business and/or entrepreneur provisions (see § 1.2110 and § 24.709 of this chapter) seeks to extend a short-term de facto transfer leasing arrangement with its spectrum lessee (or related entities, as determined pur- suant to § 1.2110(b)(2)) beyond one year, it may convert its arrangement into a long-term de facto transfer spectrum leasing arrangement provided that it complies with the procedures for enter- ing into a long-term de facto transfer leasing arrangement and that it pays any unjust enrichment that would have been owed had the licensee filed a long- term de facto transfer spectrum leasing application at the time it applied for the initial short-term de facto transfer leasing arrangement.
(3) The licensee and spectrum lessee are not permitted to convert a short- term de facto transfer leasing arrange- ment into a long-term de facto transfer leasing arrangement if the parties would have been restricted, in the first instance, from entering into a long- term de facto transfer leasing arrange-
ment because of a transfer, use, or other restriction applicable to the par- ticular service (see § 1.9030).
(j) Assignment of spectrum leasing ar- rangement. The rule applicable to long- term de facto transfer leasing arrange- ments (see § 1.9030(g)) applies in the same manner to short-term de facto transfer leasing arrangements.
(k) Transfer of control of spectrum les- see. The rule applicable to long-term de facto transfer leasing arrangements (see § 1.9030(h)) applies in the same manner to short-term de facto transfer leasing arrangements.
(l) Revocation or automatic cancellation of a license or the spectrum lessee’s oper- ating authority. The rule applicable to long-term de facto transfer leasing ar- rangements (see § 1.9030(i)) applies in the same manner to short-term de facto transfer leasing arrangements.
(m) Subleasing. A spectrum lessee that has entered into a short-term de facto transfer leasing arrangement is not permitted to enter into a spectrum subleasing arrangement.
(n) Renewal. The rule applicable with regard to long-term de facto transfer leasing arrangements (see § 1.9030(l)) ap- plies in the same manner to short-term de facto transfer leasing arrangements, except that the renewal of the short- term de facto transfer leasing arrange- ment to extend into the term of the re- newed license authorization cannot en- able the combined terms of the short- term de facto transfer leasing arrange- ments to exceed one year. The Com- mission must be notified of the renewal of the spectrum leasing arrangement at the same time that the licensee sub- mits its application for license renewal (see § 1.949).
[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77557, Dec. 27, 2004]
EFFECTIVE DATE NOTE: At 69 FR 77557, Dec. 27, 2004, § 1.9035(e) was revised. This para- graph contains information collection and recordkeeping requirements and will not be- come effective until approval has been given by the Office of Management and Budget.
§ 1.9040 Contractual requirements ap- plicable to spectrum leasing ar- rangements.
(a) Agreements between licensees and spectrum lessees concerning spectrum
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leasing arrangements entered into pur- suant to the rules of this subpart must contain the following provisions:
(1) The spectrum lessee must comply at all times with applicable rules set forth in this chapter and other applica- ble law, and the spectrum leasing ar- rangement may be revoked, cancelled, or terminated by the licensee or Com- mission if the spectrum lessee fails to comply with the applicable require- ments;
(2) If the license is revoked, can- celled, terminated, or otherwise ceases to be in effect, the spectrum lessee has no continuing authority or right to use the leased spectrum unless otherwise authorized by the Commission;
(3) The spectrum leasing arrange- ment is not an assignment, sale, or transfer of the license itself;
(4) The spectrum leasing arrange- ment shall not be assigned to any enti- ty that is ineligible or unqualified to enter into a spectrum leasing arrange- ment under the applicable rules as set forth in this subpart;
(5) The licensee shall not consent to an assignment of a spectrum leasing arrangement unless such assignment complies with applicable Commission rules and regulations.
(b) Agreements between licensees that hold licenses subject to the Com- mission’s installment payment pro- gram (see § 1.2110 of subpart Q of this part and related service-specific rules) and spectrum lesseeys must contain the following additional provisions:
(1) The express acknowledgement that the license remains subject to the Commission’s priority lien and secu- rity interest in the license and related proceeds, consistent with the provi- sions set forth in § 1.9045; and
(2) The agreement that the spectrum lessee shall not hold itself out to the public as the holder of the license and shall not hold itself out as a licensee by virtue of its having entered into a spectrum leasing arrangement.
§ 1.9045 Requirements for spectrum leasing arrangements entered into by licensees participating in the in- stallment payment program.
(a) If a licensee that holds a license subject to the Commission’s install- ment payment program (see § 1.2110 of
subpart Q of this part and related serv- ice-specific rules) enters into a spec- trum leasing arrangement pursuant to the rules in this subpart, the licensee remains fully and solely responsible for the outstanding debt amount owed to the Commission. Nothing in a spec- trum leasing arrangement, or arising from a spectrum lessee’s bankruptcy or receivership, can modify the licensee’s sole responsibility for its obligation to repay its entire debt obligation under the installment payment program pur- suant to applicable Commission rules and regulations and the associated note(s) and security agreement(s).
(b) If a licensee holds a license sub- ject to the installment payment pro- gram rules (see § 1.2110 and related serv- ice-specific rules), the licensee and any spectrum lessee must execute the Com- mission-approved financing documents. No licensee or potential spectrum les- see may file a spectrum leasing notifi- cation or application without having first executed such Commission-ap- proved financing documentation. In ad- dition, they must certify in the spec- trum leasing notification or applica- tion that they have both executed such documentation.
[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77558, Dec. 27, 2004]
§ 1.9047 Special provisions relating to leases of educational broadband service spectrum.
Licensees in the Educational Broad- casting Service may enter into spec- trum leasing arrangements with spec- trum lessees only insofar as such ar- rangements comply with the applicable requirements for spectrum leasing ar- rangements involving spectrum in that service as set forth in § 27.1214 of this chapter
[69 FR 72027, Dec. 10, 2004]
§ 1.9048 Special provisions relating to spectrum leasing arrangements in- volving licensees in the Public Safe- ty Radio Services.
Licensees in the Public Safety Radio Services (see part 90, subpart B and § 90.311(a)(1)(i) of this chapter) may enter into spectrum leasing arrange- ments with other public safety entities eligible for such a license authoriza- tion as well as with entities providing
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communications in support of public safety operations (see § 90.523(b) of this chapter).
[69 FR 77558, Dec. 27, 2004]
§ 1.9050 Who may sign spectrum leas- ing notifications and applications.
Under the rules set forth in this sub- part, certain notifications and applica- tions to the Commission must be filed by licensees and spectrum lessees that enter into spectrum leasing arrange- ments. In addition, the rules require that certain notifications and applica- tions be filed by the licensee and/or the spectrum lessee after they have en- tered into such arrangements. Whether the signature of the licensee, the spec- trum lessee, or both, is required will depend on the particular notification or application involved, and whether the leasing arrangement concerns a spectrum manager leasing arrange- ment or a de facto transfer leasing ar- rangement.
(a) Except as provided in paragraph (b) of this section, the notifications, applications, amendments, and related statements of fact required by the Commission (including certifications) must be signed as follows (either elec- tronically or manually, see paragraph (d) of this section):
(1) By the licensee or spectrum les- see, if an individual;
(2) By one of the partners if the li- censee or lessee is a partnership;
(3) By an officer, director, or duly au- thorized employee, if the licensee or lessee is a corporation; or
(4) By a member who is an officer, if the licensee or lessee is an unincor- porated association.
(b) Notifications, applications, amendments, and related statements of fact required by the Commission may be signed by the licensee or spectrum lessee’s attorney in case of the licens- ee’s or lessee’s physical disability or absence from the United States. The attorney shall, when applicable, sepa- rately set forth the reason why the ap- plication is not signed by the licensee or lessee. In addition, if any matter is stated on the basis of the attorney’s belief only (rather than knowledge), the attorney shall separately set forth the reasons for believing that such statements are true. Only the original
of notifications, applications, amend- ments, and related statements of fact need be signed.
(c) Notifications, applications, amendments, and related statements of fact need not be signed under oath. Willful false statements made therein, however, are punishable by fine and imprisonment (see 18 U.S.C. section 1001), and by appropriate administra- tive sanctions, including revocation of license pursuant to section 312(a)(1) of the Communications Act of 1934 or rev- ocation of the spectrum leasing ar- rangement.
(d) ‘‘Signed,’’ as used in this section, means, for manually filed notifications and applications only, an original hand-written signature or, for elec- tronically filed notifications and appli- cations only, an electronic signature. An electronic signature shall consist of the name of the licensee or spectrum lessee transmitted electronically via ULS and entered on the application as a signature.
§ 1.9055 Assignment of file numbers to spectrum leasing notifications and applications.
Spectrum leasing notifications or ap- plications submitted pursuant to the rules of this subpart are assigned file numbers and service codes in order to facilitate processing in the manner in which applications in subpart F are as- signed file numbers (see § 1.926 of sub- part F of this part).
§ 1.9060 Amendments, waivers, and dismissals affecting spectrum leas- ing notifications and applications.
(a) Notifications and applications re- garding spectrum leasing arrangements may be amended in accordance with the policies, procedures, and standards applicable to applications as set forth in subpart F of this part (see §§ 1.927 and 1.929 of subpart F of this part).
(b) The Commission may waive spe- cific requirements of the rules affect- ing spectrum leasing arrangements and the use of leased spectrum, on its own motion or upon request, in accordance with the policies, procedures, and standards set forth in subpart F of this part (see § 1.925 of subpart F of this part).
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(c) Notifications and pending applica- tions regarding spectrum leasing ar- rangements may be dismissed in ac- cordance with the policies, procedures, and standards applicable to applica- tions as set forth in subpart F of this part (see § 1.935 of subpart F of this part).
§ 1.9080 Private commons.
(a) Overview. A ‘‘private commons’’ arrangement is an arrangement, dis- tinct from a spectrum leasing arrange- ment but permitted in the same serv- ices for which spectrum leasing ar- rangements are allowed, in which a li- censee or spectrum lessee makes cer- tain spectrum usage rights under a par- ticular license authorization available to a class of third-party users employ- ing advanced communications tech- nologies that involve peer-to-peer (de- vice-to-device) communications and that do not involve use of the licensee’s or spectrum lessee’s end-to-end phys- ical network infrastructure (e.g., base stations, mobile stations, or other re- lated elements). In a private commons arrangement, the licensee or spectrum lessee authorizes users of certain com- munications devices employing par- ticular technical parameters, as speci- fied by the licensee or spectrum lessee, to operate under the license authoriza- tion. A private commons arrangement differs from a spectrum leasing ar- rangement in that, unlike spectrum leasing arrangements, a private com- mons arrangement does not involve in- dividually negotiated spectrum access rights with entities that seek to pro- vide network-based services to end- users. A private commons arrangement does not affect unlicensed operations in a particular licensed band to the extent that they are permitted pursuant to part 15.
(b) Licensee/spectrum lessee responsibil- ities. As the manager of any private commons, the licensee or spectrum les- see:
(1) Establishes the technical and op- erating terms and conditions of use by users of the private commons, includ- ing those relating to the types of com- munications devices that may be used within the private commons, con- sistent with the terms and conditions
of the underlying license authoriza- tion;
(2) Retains de facto control of the use of spectrum by users within the private commons, including maintaining rea- sonable oversight over the users’ use of the spectrum in the private commons so as to ensure that the use of the spec- trum, and communications equipment employed, comply with all applicable technical and service rules (including requirements relating to radio- frequency radiation) and maintaining the ability to ensure such compliance; and,
(3) Retains direct responsibility for ensuring that the users of the private commons, and the equipment em- ployed, comply with all applicable technical and service rules, including requirements relating to radio- frequency radiation and requirements relating to interference.
(c) Notification requirements. Prior to permitting users to commence oper- ations within a private commons, the licensee or spectrum lessee must notify the Commission, using FCC Form 608, that it is establishing a private com- mons arrangement. This notification must include information that de- scribes: the location(s) or coverage area(s) of the private commons under the license authorization; the term of the arrangement; the general terms and conditions for users that would be gaining spectrum access to the private commons; the technical requirements and equipment that the licensee or spectrum lessee has approved for use within the private commons; and, the types of communications uses that are to be allowed within the private com- mons.
[69 FR 77558, Dec. 27, 2004]
EFFECTIVE DATE NOTE: At 69 FR 77558, Dec. 27, 2004, § 1.9080 was added. This section con- tains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
Subpart Y—International Bureau Filing System
SOURCE: 69 FR 29895, May 26, 2004, unless otherwise noted. Redesignated at 69 FR 40327, July 2, 2004.
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47 CFR Ch. I (10–1–10 Edition)§ 1.10000
§ 1.10000 What is the purpose of these rules?
(a) These rules are issued under the Communications Act of 1934, as amend- ed, 47 U.S.C. 151 et seq., and the Sub- marine Cable Landing License Act, 47 U.S.C. 34–39.
(b) This subpart describes procedures for electronic filing of International and Satellite Services applications using the International Bureau Filing System.
(c) More licensing and application de- scriptions and directions, including but not limited to specifying which Inter-
national and Satellite service applica- tions must be filed electronically, are in parts 1, 25, 63, and 64 of this chapter.
[69 FR 47793, Aug. 6, 2004]
§ 1.10001 Definitions. All other applications. We consider all
other applications officially filed once you file the application in IBFS and applicable filing fees are received and approved by the FCC, unless the appli- cation is determined to be fee-exempt. We determine your official filing date based on one of the following situa- tions:
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Federal Communications Commission § 1.10001
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47 CFR Ch. I (10–1–10 Edition)§ 1.10002
Application. A request for an earth or space station radio station license, an international cable landing license, or an international service authorization, or a request to amend a pending appli- cation or to modify or renew licenses or authorizations. The term also in- cludes the other requests that may be filed in IBFS such as transfers of con- trol and assignments of license applica- tions, earth station registrations, and foreign carrier affiliation notifications.
Authorizations. Generally, a written document or oral statement issued by us giving authority to operate or pro- vide service.
International Bureau Filing System. The International Bureau Filing Sys- tem (IBFS) is a database, application filing system, and processing system for all International and Satellite serv- ices. IBFS supports electronic filing of many applications and related docu- ments in the International Bureau, and provides public access to this informa- tion.
International Services. All inter- national services authorized under parts 1, 63 and 64 of this chapter.
Official Filing Date. Satellite Space Station Applications
(other than DBS and DARS) and Applica- tions for Earth Stations to Access a Non- U.S. Satellite Not Currently Authorized to Provide the Proposed Service in the Pro- posed Frequencies in the United States. We consider a Satellite Space Station application (other than DBS and DARS) and an Application for an Earth Station to Access a Non-U.S. Satellite Not Currently Authorized to Provide the Proposed Service in the Proposed Frequencies in the United States offi- cially filed the moment you file them through IBFS. The system tracks the date and time of filing (to the milli- second). For purposes of the queue dis- cussed in § 25.158 of this chapter, we will base the order of the applications in the queue on the date and time the applications are filed, rather than the ‘‘Official Filing Date’’ as defined here.
Satellite Services. All satellite services authorized under part 25 of this chap- ter.
Submission ID. The Submission ID is the confirmation number you receive from IBFS once you have successfully filed your application. It is also the
number we use to match your filing to your payment. Your IBFS Submission ID will always start with the letters ‘‘IB’’ and include the year in which you file as well as a sequential number, (e.g., IB2003000123).
Us. In this subpart, ‘‘us’’ refers to the Commission.
We. In this subpart, ‘‘we’’ refers to the Commission.
You. In this subpart, ‘‘you’’ refers to applicants, licensees, your representa- tives, or other entities authorized to provide services.
[69 FR 29895, May 26, 2004. Redesignated at 69 FR 40327, July 2, 2004, as amended at 73 FR 9029, Feb. 19, 2008]
§ 1.10002 What happens if the rules conflict?
The rules concerning parts 1, 25, 63 and 64 of this chapter govern over the electronic filing in this subpart.
§ 1.10003 When can I start operating? You can begin operating your facility
or providing services once we grant your application to do so, under the conditions set forth in your license or authorization.
§ 1.10004 What am I allowed to do if I am approved?
If you are approved and receive a li- cense or authorization, you must oper- ate in accordance with, and not be- yond, your terms of approval.
§ 1.10005 What is IBFS? (a) The International Bureau Filing
System (IBFS) is a database, applica- tion filing system, and processing sys- tem for all International and Satellite Services. IBFS supports electronic fil- ing of many applications and related documents in the International Bu- reau, and provides public access to this information.
(b) We maintain applications, notifi- cations, correspondence, and other ma- terials filed electronically with the International Bureau in IBFS.
§ 1.10006 Is electronic filing manda- tory?
Electronic filing is mandatory for all applications for international and sat- ellite services for which an Inter- national Bureau Filing System (IBFS)
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Federal Communications Commission § 1.10009
form is available. Applications for which an electronic form is not avail- able must be filed by paper until new forms are introduced. See §§ 63.20 and 63.53. As each new IBFS form becomes available for electronic filing, the Com- mission will issue a public notice an- nouncing the availability of the new form and the effective date of manda- tory filing for this particular type of filing. As each new form becomes effec- tive, manual filings will not be accept- ed by the Commission and the filings will be returned to the applicant with- out processing. Mandatory electronic filing requirements for applications for international and satellite services are set forth in parts 1, 25, 63, and 64 of this chapter. A list of forms that are avail- able for electronic filing can be found on the IBFS homepage. For informa- tion on electronic filing requirements, see part 1, §§ 1.1000 through 1.10018 and the IBFS homepage at http:// www.fcc.gov/ibfs.
[70 FR 38797, July 6, 2005]
§ 1.10007 What applications can I file electronically?
(a) For a complete list of applica- tions or notifications that must be filed electronically, see the IBFS Web site at http://www.fcc.gov/ibfs.
(b) Many applications require exhib- its or attachments. If attachments are required, you must attach documenta- tion to your electronic application be- fore filing. We accept attachments in the following formats: Word, Adobe Acrobat, Excel and Text.
(c) For paper filing rules and proce- dures, see parts 1, 25, 63 or 64.
[69 FR 29895, May 26, 2004. Redesignated at 69 FR 40327, July 2, 2004. Amended at 69 FR 47793, Aug. 6, 2004; 70 FR 38797, July 6, 2005]
§ 1.10008 What are IBFS file numbers?
(a) We assign file numbers to elec- tronic applications in order to facili- tate processing.
(b) We only assign file numbers for administrative convenience; they do not mean that an application is accept- able for filing.
(c) For a description of file number information, see The International Bu- reau Filing System File Number For-
mat Public Notice, DA–04–568 (released February 27, 2004).
§ 1.10009 What are the steps for elec- tronic filing?
(a) Step 1: Register for an FCC Registra- tion Number (FRN). (See subpart W, §§ 1.8001 through 1.8004.)
(1) If you already have an FRN, go to Step 2.
(2) In order to process your electronic application, you must have an FRN. You may obtain an FRN either directly from the Commission Registration Sys- tem (CORES) at http://www.fcc.gov/e- file/, or through IBFS as part of your filing process. If you need to know more about who needs an FRN, visit CORES at http://www.fcc.gov/e-file/.
(3) If you are a(n): (i) Applicant, (ii) Transferee and assignee, (iii) Transferor and assignor, (iv) Licensee/Authorization Holder,
or (v) Payer, you are required to have
and use an FRN when filing applica- tions and/or paying fees through IBFS.
(4) We use your FRN to give you se- cured access to IBFS and to pre-fill the application you file.
(b) Step 2: Register with IBFS. (1) If you are already registered with
IBFS, go to Step 3. (2) In order to complete and file your
electronic application, you must reg- ister in IBFS, located at http:// www.fcc.gov/ibfs.
(3) You can register your account in: (i) Your name, (ii) Your company’s name, or (iii) Your client’s name. (4) IBFS will issue you an account
number as part of the registration process. You will create your own pass- word.
(5) If you forget your password, send an e-mail to the IBFS helpline at ibfsinfo@fcc.gov or contact the helpline at (202) 418–2222 for assistance.
(c) Step 3: Log into IBFS, select the ap- plication you want to file, provide the re- quired FRN(s) and password(s) and fill out your application. You must com- pletely fill out forms and provide all requested information as provided in parts 1, 25, 63 and 64 of this chapter.
(1) You must provide an address where you can receive mail delivery by
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47 CFR Ch. I (10–1–10 Edition)§ 1.10010
the United States Postal Service. You are also encouraged to provide an e- mail address. This information is used to contact you regarding your applica- tion and to request additional docu- mentation, if necessary.
(2) Reference to material on file. You must answer questions on application forms that call for specific technical data, or that require yes or no answers or other short answers. However, if documents or other lengthy showings are already on file with us and contain the required information, you may in- corporate the information by reference, as long as:
(i) The referenced information is filed in IBFS or, if manually filed, the infor- mation is more than one ‘‘81⁄2 inch by 11 inch’’ page.
(ii) The referenced information is current and accurate in all material re- spects; and
(iii) The application states where we can find the referenced information as well as:
(A) The application file number, if the reference is to previously-filed ap- plications
(B) The title of the proceeding, the docket number, and any legal citation, if the reference is to a docketed pro- ceeding.
(d) Step 4: File your application. If you file your application successfully through IBFS, a confirmation screen will appear showing you the date and time of your filing and your submission ID. Print this verification for your records as proof of online filing.
(e) Step 5: Pay for your application. (1) Most applications require that
you pay a fee to us before we can begin processing your application. You can determine the amount of your fee in three ways:
(i) You can refer to § 1.1107, (ii) You can refer to the Inter-
national and Satellite Services fee guide located at http://www.fcc.gov/fees/ appfees.html, or
(iii) You can run a draft Form 159 through IBFS, in association with a filed application, and the system will automatically enter your required fee on the form.
(2) A complete FCC Form 159 must accompany all fee payments. You must provide the FRN for both the applicant
and the payer. You also must include your IBFS Submission ID number on your FCC Form 159 in the box labeled ‘‘FCC Code 2.’’ In addition, for applica- tions for transfer of control or assign- ment of license, call signs involved in the transaction must be entered into the ‘‘FCC Code 1’’ box on the FCC Form 159. (This may require the use of mul- tiple rows on the FCC Form 159 for a single application where more than one call sign is involved.)
(i) You may use a paper version of FCC Form 159, or
(ii) You can generate a pre-filled FCC Form 159 from IBFS using your IBFS Submission ID. For specific instruc- tions on using IBFS to generate your FCC Form 159, go to the IBFS Web site (http://www.fcc.gov/ibfs) and click on the ‘‘Getting Started’’ button.
(3) You have 3 payment options: (i) Pay by credit card (through IBFS
or by regular mail), (ii) Pay by check, bank draft or
money order, or (iii) Pay by wire transfer or other
electronic payments. (4) You have 14 calendar days from
the date you file your application in IBFS to submit your fee payment to U.S. Bank. Your FCC Form 159 must be stamped ‘‘received’’ by U.S. Bank by the 14th day. If not, we will dismiss your application.
(5) If you send your Form 159 and payment to U.S. Bank in paper form, you should mail your completed Form 159 and payment to the address speci- fied in § 1.1107 of the Commission’s rules. If you file electronically, do not send copies of your application with your payment and Form 159.
(6) For more information on fee pay- ments, refer to Payment Instructions found on the IBFS Internet site at http://www.fcc.gov/ibfs.
(7) Step 5 is not applicable if your ap- plication is fee exempt.
[73 FR 9029, Feb. 19, 2008]
§ 1.10010 Do I need to send paper cop- ies with my electronic applications?
(a) If you file electronically through IBFS, the electronic record is the offi- cial record.
(b) If you file electronically, you do not need to submit paper copies of your application.
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Federal Communications Commission § 1.10014
(c) If you submit paper copies of your application with your payment, we will consider them as copies and may not retain them.
§ 1.10011 Who may sign applications?
(a) ‘‘Signed’’ in this section refers to electronically filed applications. An electronic application is ‘‘signed’’ when there is an electronic signature. An electronic signature is the typed name of the person ‘‘signing’’ the applica- tion, which is then electronically transmitted via IBFS.
(b) For all electronically filed appli- cations, you (or the signor) must actu- ally sign a paper copy of the applica- tion, and keep the signed original in your files for future reference.
(c) You only need to sign the original of applications, amendments, and re- lated statements of fact.
(d) Sign applications, amendments, and related statements of fact as fol- lows (either electronically or manu- ally):
(1) By you, if you are an individual; (2) By one of the partners, if you are
a partnership; (3) By an officer, director, or duly au-
thorized employee, if you are a cor- poration; or
(4) By a member who is an officer, if you are an unauthorized association.
(e) If you file applications, amend- ments, and related statements of fact on behalf of eligible government enti- ties, an elected or appointed official who may sign under the laws of the ap- plicable jurisdiction must sign the doc- ument. Eligible government entities are:
(1) States and territories of the United States,
(2) Political subdivisions of these states and territories,
(3) The District of Columbia, and (4) Units of local government. (f) If you are either physically dis-
abled or absent from the United States, your attorney may sign applications, amendments and related statements of facts on your behalf.
(1) Your attorney must explain why you are not signing the documents.
(2) If your attorney states any matter based solely on his belief (rather than knowledge), your attorney must ex-
plain his reasons for believing that such statements are true.
(g) It is unnecessary to sign applica- tions, amendments, and related state- ments of fact under oath. However, willful false statements are punishable by a fine and imprisonment, 18 U.S.C. 1001, and by administrative sanctions.
§ 1.10012 When can I file on IBFS?
IBFS is available 24 hours a day, seven (7) days a week for filing.
§ 1.10013 How do I check the status of my application after I file it?
You can check the status of your ap- plication through the ‘‘Search Tools’’ on the IBFS homepage. The IBFS homepage is located at www.fcc.gov/ ibfs.
§ 1.10014 What happens after officially filing my application?
(a) We give you an IBFS file number. (b) We electronically route your ap-
plication to an analyst who conducts an initial review of your application. If your application is incomplete, we will either dismiss the application, or con- tact you by telephone, letter or email to ask for additional information with- in a specific time. In cases where we ask for additional information, if we do not receive it within the specified time, we will dismiss your application. In either case, we will dismiss your ap- plication without prejudice, so that you may file again with a complete ap- plication.
(c) If your application is complete, and we verify receipt of your payment, it will appear on an ‘‘Accepted for Fil- ing’’ Public Notice, unless public no- tice is not required. An ‘‘Accepted for Filing’’ Public Notice gives the public a certain amount of time to comment on your filing. This period varies de- pending upon the type of application.
(1) Certain applications do not have to go on an ‘‘Accepted for Filing’’ Pub- lic Notice prior to initiation of service, but instead are filed as notifications to the Commission of prior actions by the carriers as authorized by the rules. Ex- amples include pro forma notifications of transfer of control and assignment and certain foreign carrier notifica- tions.
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47 CFR Ch. I (10–1–10 Edition)§ 1.10014
(2) Each ‘‘Accepted for Filing’’ Public Notice has a report number. Examples of various types of applications and
their corresponding report number (the ‘‘x’’ represents a sequential number) follow.
Type of application Report No.
325-C Applications ........................................................................ 325-xxxxx Accounting Rate Change .............................................................. ARC-xxxxx Foreign Carrier Affiliation Notification ........................................... FCN-xxxxx International High Frequency ....................................................... IHF-xxxxx International Public Fixed ............................................................. IPF-xxxxx Recognized Operating Agency ..................................................... ROA-xxxxx Satellite Space Station ................................................................. SAT-xxxxx Satellite Earth Station ................................................................... SES-xxxxx International Telecommunications:
Streamlined .................................................................... TEL-xxxxxS Non-streamlined ............................................................. TEL-xxxxxNS and/or DA
Submarine Cable Landing: Streamlined .................................................................... SCL-xxxxxS Non-streamlined ............................................................. SCL-xxxxxNS and/or DA
(d) After the Public Notice, your ap- plication may undergo legal, technical and/or financial review as deemed nec- essary. In addition, some applications require coordination with other gov- ernment agencies.
(e) After review, we decide whether to grant or deny applications or wheth- er to take other necessary action. Grants, denials and any other nec- essary actions are noted in the IBFS database. Some filings may not require any affirmative action, such as some Foreign Carrier Affiliation Notifica- tion Filings. Other filings, such as
some International Section 214 Appli- cations, International Accounting Rate Change Filings and Requests for as- signment of Data Network Identifica- tion Codes, may be granted automati- cally on a specific date unless the ap- plicant is notified otherwise prior to that date, as specified in the rules.
(f) We list most actions taken on pub- lic notices. Each ‘‘Action Taken’’ Pub- lic Notice has a report number. Exam- ples of various types of applications and their corresponding report number (the ‘‘x’’ represents a sequential num- ber) follow.
Type of application Report No.
325-C Applications ........................................................................ 325-xxxxx Accounting Rate Change .............................................................. No action taken PN released Foreign Carrier Affiliation Notification ........................................... No action taken PN released International High Frequency ....................................................... IHF-xxxxx International Public Fixed ............................................................. IPF-xxxxx Recognized Operating Agency ..................................................... No action taken PN released Satellite Space Station ................................................................. SAT-xxxxx (occasionally) Satellite Earth Station ................................................................... SES-xxxxx International Telecommunications ................................................ TEL-xxxxx and DA Submarine Cable Landing ............................................................ TEL-xxxxx and DA
(g) Other actions are taken by formal written Order, oral actions that are fol- lowed up with a written document, or grant stamp of the application. In all cases, the action dates are available online through the IBFS system.
(h) Issuing and Mailing Licenses for Granted Applications. Not all applica-
tions handled through IBFS and grant- ed by the Commission result in the issuance of a paper license or author- ization. A list of application types and their corresponding authorizations fol- lows.
Type of application Type of license/authorization issued
325–C Application ......................................................................... FCC permit mailed to permittee or contact, as specified in the application.
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Federal Communications Commission § 1.10014
Type of application Type of license/authorization issued
Accounting Rate Change .............................................................. No authorizing document is issued by the Commission. In some cases, a Commission order may be issued related to an Accounting Rate Change filing.
Data Network Identification Code Filing ....................................... Letter confirming the grant of a new DNIC or the reassign- ment of an existing DNIC is mailed to the applicant or its designated representative.
Foreign Carrier Affiliation Notification ........................................... No authorizing document is issued by the Commission. In some cases, a Commission order may be issued related to a Foreign Carrier Affiliation Notification.
International High Frequency: Construction Permits, ..................................................... Licenses, Modifications, Renewals, and Transfers of Control/Assignment of License
For all applications, an original, stamped authorization is issued to the applicant and a copy of the authorization is sent to the specified contact.
International Public Fixed: 1. Construction Permits .................................................. 1. Once the operating license is granted, the construction pe-
riod therein is specified as a condition on the license. 2. Request for Special Temporary Authority .................. 2. Letter, grant-stamped request, or short order. 3. New Authorization ...................................................... 3. License issued and mailed to applicant (original) and speci-
fied contact (copy). 4. Amendment ................................................................ 4. If granted, the action is incorporated into the license for the
underlying application. 5. Modification ................................................................ 5. License issued and mailed to applicant (original) and speci-
fied contact (copy). 6. Renewal ..................................................................... 6. License issued and mailed to applicant (original) and speci-
fied contact (copy). 7. Transfer of Control/Assignment of License ............... 7. If granted, Form A–732 authorization issued and mailed to
applicant (original), parties to the transaction, and the appli- cant’s specified contact (copy).
Recognized Operating Agency ..................................................... The FCC sends a letter to the Department of State requesting grant or denial of recognized operating agency status. (The applicant is mailed a courtesy copy.) The Department of State issues a letter to both the Commission and the Appli- cant advising of their decision.
Satellite Space Station: 1. Request for Special Temporary Authority .................. 1. Letter, grant-stamped request, or short order. 2. New Authorization ...................................................... 2. Generally issued by Commission Order. 3. Amendment ................................................................ 3. Generally issued as part of a Commission Order acting
upon the underlying application. 4. Modification ................................................................ 4. Generally issued by Commission Order. 5. Transfer of Control/Assignment of License ............... 5. Generally issued by Commission Order or Public Notice.
Also, Form A–732 authorization issued and mailed to appli- cant (original), parties to the transaction, and the applicant’s specified contact (copy).
Satellite Earth Station: 1. Request for Special Temporary Authority .................. 1. Letter, grant-stamped request, or short order. 2. New Authorization ...................................................... 2. License issued and mailed to applicant (original) and speci-
fied contact (copy). 3. Amendment ................................................................ 3. If granted, the action is incorporated into the license for the
underlying application. 4. Modification ................................................................ 4. License issued and mailed to applicant (original) and speci-
fied contact (copy). 5. Renewal ..................................................................... 5. License issued and mailed to applicant (original) and speci-
fied contact (copy). 6. Transfer of Control/Assignment of License ............... 6. If granted, Form A–732 authorization issued and mailed to
applicant (original), parties to the transaction, and the appli- cant’s specified contact (copy).
International Telecommunications—Section 214: 1. Streamlined (New, Transfer of Control, Assignment) 1. Action Taken Public Notice serves as the authorization doc-
ument. This notice is issued weekly and is available online both at IBFS (http://www.fcc.gov/ibfs) and the Electronic Document Management System (EDOCS) (http:// www.fcc.gov/e-file/).
2. Non-streamlined (New, Transfer of Control, Assign- ment).
2. Decisions are generally issued by PN; some are done by Commission Order.
3. Request for Special Temporary Authority .................. 3. Letter, grant-stamped request issued to applicant. International Signaling Point Code Filing ..................................... Letter issued to applicant. Submarine Cable Landing License Application:
1. Streamlined (New, Transfer of Control, Assignment) 1. Action Taken Public Notice serves as the authorization doc- ument. This notice is issued weekly and is available online both at IBFS, which can be found at http://www.fcc.gov/ibfs, and the Electronic Document Management System (EDOCS), which can be found at http://www.fcc.gov/e-file/.
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Type of application Type of license/authorization issued
2. Non-Streamlined (New, Transfer of Control, Assign- ment).
2. Decisions are generally issued by PN; some are done by Commission Order.
§ 1.10015 Are there exceptions for emergency filings?
(a) Sometimes we grant licenses, modifications or renewals even if no one files an application. Instances where this may occur include:
(1) If we find there is an emergency involving danger to life or property, or because equipment is damaged;
(2) If the President proclaims, or if Congress declares, a national emer- gency;
(3) During any war in which the United States is engaged and when grants, modifications or renewals are necessary for national defense, security or in furtherance of the war effort; or
(4) If there is an emergency where we find that it is not feasible to secure re- newal applications from existing li- censees or to follow normal licensing procedures.
(b) Emergency authorizations stop at the end of emergency periods or wars. After the emergency period or war, you must submit your request by filing the appropriate form either manually or electronically.
(c) The procedures for emergency re- quests, as described in this section, are as specified in §§ 25.120 and 63.25 of this chapter.
§ 1.10016 How do I apply for special temporary authority?
(a) Requests for Special Temporary Authority (STA) may be filed via IBFS for most services. We encourage you to file STA applications through IBFS as it will ensure faster receipt of your re- quest.
(b) For specific information on the content of your request, refer to §§ 25.120 and 63.25 of this chapter.
§ 1.10017 How can I submit additional information?
In response to an official request for information from the International Bu- reau, you can submit additional infor- mation electronically directly to the requestor, or by mail to the Office of
the Secretary, Attention: International Bureau.
§ 1.10018 May I amend my application? (a) If the service rules allow, you
may amend pending applications. (b) If an electronic version of an
amendment application is available in IBFS, you may file your amendment electronically through IBFS.
Subpart Z—Communications As- sistance for Law Enforcement Act
SOURCE: 71 FR 38108, July 5, 2006, unless otherwise noted.
§ 1.20000 Purpose. Pursuant to the Communications As-
sistance for Law Enforcement Act (CALEA), Public Law 103–414, 108 Stat. 4279 (1994) (codified as amended in sec- tions of 18 U.S.C. and 47 U.S.C.), this subpart contains rules that require a telecommunications carrier to:
(a) Ensure that any interception of communications or access to call-iden- tifying information effected within its switching premises can be activated only in accordance with appropriate legal authorization, appropriate carrier authorization, and with the affirmative intervention of an individual officer or employee of the carrier acting in ac- cordance with regulations prescribed by the Commission; and
(b) Implement the assistance capa- bility requirements of CALEA section 103, 47 U.S.C. 1002, to ensure law en- forcement access to authorized wire and electronic communications or call- identifying information.
§ 1.20001 Scope. The definitions included in 47 CFR
1.20002 shall be used solely for the pur- pose of implementing CALEA require- ments.
§ 1.20002 Definitions. For purposes of this subpart:
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(a) Appropriate legal authorization. The term appropriate legal authorization means:
(1) A court order signed by a judge or magistrate authorizing or approving interception of wire or electronic com- munications; or
(2) Other authorization, pursuant to 18 U.S.C. 2518(7), or any other relevant federal or state statute.
(b) Appropriate carrier authorization. The term appropriate carrier authoriza- tion means the policies and procedures adopted by telecommunications car- riers to supervise and control officers and employees authorized to assist law enforcement in conducting any inter- ception of communications or access to call-identifying information.
(c) Appropriate authorization. The term appropriate authorization means both appropriate legal authorization and appropriate carrier authorization.
(d) LEA. The term LEA means law en- forcement agency; e.g., the Federal Bu- reau of Investigation or a local police department.
(e) Telecommunications carrier. The term telecommunications carrier in- cludes:
(1) A person or entity engaged in the transmission or switching of wire or electronic communications as a com- mon carrier for hire;
(2) A person or entity engaged in pro- viding commercial mobile service (as defined in sec. 332(d) of the Commu- nications Act of 1934 (47 U.S.C. 332(d))); or
(3) A person or entity that the Com- mission has found is engaged in pro- viding wire or electronic communica- tion switching or transmission service such that the service is a replacement for a substantial portion of the local telephone exchange service and that it is in the public interest to deem such a person or entity to be a telecommuni- cations carrier for purposes of CALEA.
§ 1.20003 Policies and procedures for employee supervision and control.
A telecommunications carrier shall: (a) Appoint a senior officer or em-
ployee responsible for ensuring that any interception of communications or access to call-identifying information effected within its switching premises can be activated only in accordance
with a court order or other lawful au- thorization and with the affirmative intervention of an individual officer or employee of the carrier.
(b) Establish policies and procedures to implement paragraph (a) of this sec- tion, to include:
(1) A statement that carrier per- sonnel must receive appropriate legal authorization and appropriate carrier authorization before enabling law en- forcement officials and carrier per- sonnel to implement the interception of communications or access to call- identifying information;
(2) An interpretation of the phrase ‘‘appropriate authorization’’ that en- compasses the definitions of appro- priate legal authorization and appro- priate carrier authorization, as used in paragraph (b)(1) of this section;
(3) A detailed description of how long it will maintain its records of each interception of communications or ac- cess to call-identifying information pursuant to § 1.20004;
(4) In a separate appendix to the poli- cies and procedures document:
(i) The name and a description of the job function of the senior officer or em- ployee appointed pursuant to para- graph (a) of this section; and
(ii) Information necessary for law en- forcement agencies to contact the sen- ior officer or employee appointed pur- suant to paragraph (a) of this section or other CALEA points of contact on a seven days a week, 24 hours a day basis.
(c) Report to the affected law en- forcement agencies, within a reason- able time upon discovery:
(1) Any act of compromise of a lawful interception of communications or ac- cess to call-identifying information to unauthorized persons or entities; and
(2) Any act of unlawful electronic surveillance that occurred on its prem- ises.
§ 1.20004 Maintaining secure and accu- rate records.
(a) A telecommunications carrier shall maintain a secure and accurate record of each interception of commu- nications or access to call-identifying information, made with or without ap- propriate authorization, in the form of single certification.
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(1) This certification must include, at a minimum, the following information:
(i) The telephone number(s) and/or circuit identification numbers in- volved;
(ii) The start date and time that the carrier enables the interception of communications or access to call iden- tifying information;
(iii) The identity of the law enforce- ment officer presenting the authoriza- tion;
(iv) The name of the person signing the appropriate legal authorization;
(v) The type of interception of com- munications or access to call-identi- fying information (e.g., pen register, trap and trace, Title III, FISA); and
(vi) The name of the telecommuni- cations carriers’ personnel who is re- sponsible for overseeing the intercep- tion of communication or access to call-identifying information and who is acting in accordance with the carriers’ policies established under § 1.20003.
(2) This certification must be signed by the individual who is responsible for overseeing the interception of commu- nications or access to call-identifying information and who is acting in ac- cordance with the telecommunications carrier’s policies established under § 1.20003. This individual will, by his/her signature, certify that the record is complete and accurate.
(3) This certification must be com- piled either contemporaneously with, or within a reasonable period of time after the initiation of the interception of the communications or access to call-identifying information.
(4) A telecommunications carrier may satisfy the obligations of para- graph (a) of this section by requiring the individual who is responsible for overseeing the interception of commu- nication or access to call-identifying information and who is acting in ac- cordance with the carriers’ policies es- tablished under § 1.20003 to sign the cer- tification and append the appropriate legal authorization and any extensions that have been granted. This form of certification must at a minimum in- clude all of the information listed in paragraph (a) of this section.
(b) A telecommunications carrier shall maintain the secure and accurate records set forth in paragraph (a) of
this section for a reasonable period of time as determined by the carrier.
(c) It is the telecommunications car- rier’s responsibility to ensure its records are complete and accurate.
(d) Violation of this rule is subject to the penalties of § 1.20008.
[71 FR 38108, July 5, 2006]
§ 1.20005 Submission of policies and procedures and Commission review.
(a) Each telecommunications carrier shall file with the Commission the policies and procedures it uses to com- ply with the requirements of this sub- chapter. These policies and procedures shall be filed with the Federal Commu- nications Commission within 90 days of the effective date of these rules, and thereafter, within 90 days of a carrier’s merger or divestiture or a carrier’s amendment of its existing policies and procedures.
(b) The Commission shall review each telecommunications carrier’s policies and procedures to determine whether they comply with the requirements of §§ 1.20003 and 1.20004.
(1) If, upon review, the Commission determines that a telecommunications carrier’s policies and procedures do not comply with the requirements estab- lished under §§ 1.20003 and 1.20004, the telecommunications carrier shall mod- ify its policies and procedures in ac- cordance with an order released by the Commission.
(2) The Commission shall review and order modification of a telecommuni- cations carrier’s policies and proce- dures as may be necessary to insure compliance by telecommunications carriers with the requirements of the regulations prescribed under §§ 1.20003 and 1.20004.
[71 FR 38108, July 5, 2006]
§ 1.20006 Assistance capability require- ments.
(a) Telecommunications carriers shall provide to a Law Enforcement Agency the assistance capability re- quirements of CALEA regarding wire and electronic communications and call-identifying information, see 47 U.S.C. 1002. A carrier may satisfy these requirements by complying with pub- licly available technical requirements
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or standards adopted by an industry as- sociation or standard-setting organiza- tion, such as J–STD–025 (current version), or by the Commission.
(b) Telecommunications carriers shall consult, as necessary, in a timely fashion with manufacturers of its tele- communications transmission and switching equipment and its providers of telecommunications support serv- ices for the purpose of ensuring that current and planned equipment, facili- ties, and services comply with the as- sistance capability requirements of 47 U.S.C. 1002.
(c) A manufacturer of telecommuni- cations transmission or switching equipment and a provider of tele- communications support service shall, on a reasonably timely basis and at a reasonable charge, make available to the telecommunications carriers using its equipment, facilities, or services such features or modifications as are necessary to permit such carriers to comply with the assistance capability requirements of 47 U.S.C. 1002.
§ 1.20007 Additional assistance capa- bility requirements for wireline, cellular, and PCS telecommuni- cations carriers.
(a) Definition—(1) Call-identifying in- formation. Call identifying information means dialing or signaling information that identifies the origin, direction, destination, or termination of each communication generated or received by a subscriber by means of any equip- ment, facility, or service of a tele- communications carrier. Call-identi- fying information is ‘‘reasonably avail- able’’ to a carrier if it is present at an intercept access point and can be made available without the carrier being un- duly burdened with network modifica- tions.
(2) Collection function. The location where lawfully authorized intercepted communications and call-identifying information is collected by a law en- forcement agency (LEA).
(3) Content of subject-initiated con- ference calls. Capability that permits a LEA to monitor the content of con- versations by all parties connected via a conference call when the facilities under surveillance maintain a circuit connection to the call.
(4) Destination. A party or place to which a call is being made (e.g., the called party).
(5) Dialed digit extraction. Capability that permits a LEA to receive on the call data channel a digits dialed by a subject after a call is connected to an- other carrier’s service for processing and routing.
(6) Direction. A party or place to which a call is re-directed or the party or place from which it came, either in- coming or outgoing (e.g., a redirected- to party or redirected-from party).
(7) IAP. Intercept access point is a point within a carrier’s system where some of the communications or call- identifying information of an intercept subject’s equipment, facilities, and services are accessed.
(8) In-band and out-of-band signaling. Capability that permits a LEA to be in- formed when a network message that provides call identifying information (e.g., ringing, busy, call waiting signal, message light) is generated or sent by the IAP switch to a subject using the facilities under surveillance. Excludes signals generated by customer prem- ises equipment when no network signal is generated.
(9) J–STD–025. The standard, includ- ing the latest version, developed by the Telecommunications Industry Associa- tion (TIA) and the Alliance for Tele- communications Industry Solutions (ATIS) for wireline, cellular, and broadband PCS carriers. This standard defines services and features to support lawfully authorized electronic surveil- lance, and specifies interfaces nec- essary to deliver intercepted commu- nications and call-identifying informa- tion to a LEA. Subsequently, TIA and ATIS published J–STD–025–A and J– STD–025–B.
(10) Origin. A party initiating a call (e.g., a calling party), or a place from which a call is initiated.
(11) Party hold, join, drop on con- ference calls. Capability that permits a LEA to identify the parties to a con- ference call conversation at all times.
(12) Subject-initiated dialing and sig- naling information. Capability that per- mits a LEA to be informed when a sub- ject using the facilities under surveil- lance uses services that provide call identifying information, such as call
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forwarding, call waiting, call hold, and three-way calling. Excludes signals generated by customer premises equip- ment when no network signal is gen- erated.
(13) Termination. A party or place at the end of a communication path (e.g. the called or call-receiving party, or the switch of a party that has placed another party on hold).
(14) Timing information. Capability that permits a LEA to associate call- identifying information with the con- tent of a call. A call-identifying mes- sage must be sent from the carrier’s IAP to the LEA’s Collection Function within eight seconds of receipt of that message by the IAP at least 95% of the time, and with the call event time- stamped to an accuracy of at least 200 milliseconds.
(b) In addition to the requirements in § 1.20006, wireline, cellular, and PCS telecommunications carriers shall pro- vide to a LEA the assistance capability requirements regarding wire and elec- tronic communications and call identi- fying information covered by J–STD– 025 (current version), and, subject to the definitions in this section, may sat- isfy these requirements by complying with J–STD–025 (current version), or by another means of their own choosing. These carriers also shall provide to a LEA the following capabilities:
(1) Content of subject-initiated con- ference calls;
(2) Party hold, join, drop on con- ference calls;
(3) Subject-initiated dialing and sig- naling information;
(4) In-band and out-of-band signaling; (5) Timing information; (6) Dialed digit extraction, with a
toggle feature that can activate/deacti- vate this capability.
§ 1.20008 Penalties.
In the event of a telecommunications carrier’s violation of this subchapter, the Commission shall enforce the pen- alties articulated in 47 U.S.C. 503(b) of the Communications Act of 1934 and 47 CFR 1.80.
APPENDIX A TO PART 1—A PLAN OF CO- OPERATIVE PROCEDURE IN MATTERS AND CASES UNDER THE PROVISIONS OF SECTION 410 OF THE COMMUNICA- TIONS ACT OF 1934
(Approved by the Federal Communications Commission October 25, 1938, and approved by the National Association of Railroad and Utilities Commissioners on November 17, 1938.)
PRELIMINARY STATEMENT CONCERNING THE
PURPOSE AND EFFECT OF THE PLAN
Section 410 of the Communications Act of 1934 authorizes cooperation between the Fed- eral Communications Commission, herein- after called the Federal Commission, and the State commissions of the several States, in the administration of said Act. Subsection (a) authorizes the reference of any matter arising in the administration of said Act to a board to be composed of a member or mem- bers from each of the States in which the wire, or radio communication affected by or involved in the proceeding takes place, or is proposed. Subsection (b) authorizes con- ferences by the Federal Commission with State commissions regarding the relation- ship between rate structures, accounts, charges, practices, classifications, and regu- lations of carriers subject to the jurisdiction of such State commissions and of said Fed- eral Commission and joint hearings with State commissions in connection with any matter with respect to which the Federal Commission is authorized to act.
Obviously, it is impossible to determine in advance what matters should be the subject of a conference, what matters should be re- ferred to a board, and what matters should be heard at a joint hearing of State commis- sions and the Federal Commission. It is un- derstood, therefore, that the Federal Com- mission or any State commission will freely suggest cooperation with respect to any pro- ceedings or matter affecting any carrier sub- ject to the jurisdiction of said Federal Com- mission and of a State commission, and con- cerning which it is believed that cooperation will be in the public interest.
To enable this to be done, whenever a pro- ceeding shall be instituted before any com- mission, Federal or State, in which another commission is believed to be interested, no- tice should be promptly given each such in- terested commission by the commission be- fore which the proceeding has been insti- tuted. Inasmuch, however, as failure to give notice as contemplated by the provisions of this plan will sometimes occur purely through inadvertence, any such failure should not operate to deter any commission from suggesting that any such proceeding be
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made the subject matter of cooperative ac- tion, if cooperation therein is deemed desir- able.
It is understood that each commission whether or not represented in the National Association of Railroad and Utilities Com- missioners, must determine its own course of action with respect to any proceeding in the light of the law under which, at any given time, it is called upon to act, and must be guided by its own views of public policy; and that no action taken by such Association can in any respect prejudice such freedom of action. The approval by the Association of this plan of cooperative procedure, which was jointly prepared by the Association’s standing Committee on Cooperation between Federal and State commissions and said Fed- eral Commission, is accordingly rec- ommendatory only; but such plan is designed to be, and it is believed that it will be, a helpful step in the promotion of cooperative relations between the State commissions and said Federal Commission.
NOTICE OF INSTITUTION OF PROCEEDING
Whenever there shall be instituted before the Federal Commission any proceeding in- volving the rates of any telephone or tele- graph carrier, the State commissions of the States affected thereby will be notified im- mediately thereof by the Federal Commis- sion, and each notice given a State commis- sion will advise such commission that, if it deems the proceeding one which should be considered under the cooperative provisions of the Act, it should either directly or through the National Association of Rail- road and Utilities Commissioners, notify the Federal Commission as to the nature of its interest in said matter and request a con- ference, the creation of a joint board, or a joint hearing as may be desired, indicating its preference and the reasons therefor. Upon receipt of such request the Federal Commis- sion will consider the same and may confer with the commission making the request and with other interested commission, or with representatives of the National Association of Railroad and Utilities Commissioners, in such manner as may be most suitable; and if cooperation shall appear to be practicable and desirable, shall so advise each interested State commission, directly, when such co- operation will be by joint conference or by reference to a joint board appointed under said sec. 410 (a), and, as hereinafter provided, when such cooperation will be by a joint hearing under said sec. 410(b).
Each State commission should in like manner notify the Federal Commission of any proceeding instituted before it involving the toll telephone rates or the telegraph rates of any carrier subject to the jurisdic- tion of the Federal Commission.
PROCEDURE GOVERNING JOINT CONFERENCES
The Federal Commission, in accordance with the indicated procedure, will confer with any State commission regarding any matter relating to the regulation of public utilities subject to the jurisdiction of either commission. The commission desiring a con- ference upon any such matter should notify the other without delay, and thereupon the Federal Commission will promptly arrange for a conference in which all interested State commissions will be invited to be present.
PROCEDURE GOVERNING MATTERS REFERRED TO
A BOARD
Whenever the Federal Commission, either upon its own motion or upon the suggestion of a State commission, or at the request of any interested party, shall determine that it is desirable to refer a matter arising in the administration of the Communications Act of 1934 to a board to be composed of a mem- ber or members from the State or States af- fected or to be affected by such matter, the procedure shall be as follows:
The Federal Commission will send a re- quest to each interested State commission to nominate a specified number of members to serve on such board.
The representation of each State con- cerned shall be equal, unless one or more of the States affected chooses to waive such right of equal representation. When the member or members of any board have been nominated and appointed, in accordance with the provisions of the Communications Act of 1934, the Federal Commission will make an order referring the particular mat- ter to such board, and such order shall fix the time and place of hearing, define the force and effect the action of the board shall have, and the manner in which its pro- ceedings shall be conducted. The rules of practice and procedure, as from time to time adopted or prescribed by the Federal Com- mission, shall govern such board, as far as applicable.
PROCEDURE GOVERNING JOINT HEARINGS
Whenever the Federal Commission, either upon its own motion or upon suggestions made by or on behalf of any interested State commission or commissions, shall determine that a joint hearing under said sec. 410(b) is desirable in connection with any matter pending before said Federal Commission, the procedure shall be as follows:
(a) The Federal Commission will notify the general solicitor of the National Association of Railroad and Utilities Commissioners that said Association, or, if not more than eight States are within the territory affected by
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the proceeding, the State commissions inter- ested, are invited to name Cooperating Com- missioners to sit with the Federal Commis- sion for the hearing and consideration of said proceeding.
(b) Upon receipt of any notice from said Federal Commission inviting cooperation, if not more than eight States are involved, the general solicitor shall at once advise the State commissions of said States, they being represented in the membership of the asso- ciation, of the receipt of such notice, and shall request each such commission to give advice to him in writing, before a date to be indicated by him in his communication re- questing such advice (1) whether such com- mission will cooperate in said proceeding, (2) if it will, by what commissioner it will be represented therein.
(c) Upon the basis of replies received, the general solicitor shall advise the Federal Commission what States, if any, are desirous of making the proceeding cooperative and by what commissioners they will be rep- resented, and he shall give like advice to each State commission interested therein.
(d) If more than eight States are interested in the proceeding, because within territory for which rates will be under consideration therein, the general solicitor shall advise the president of the association that the associa- tion is invited to name a cooperating com- mittee of State commissioners representing the States interested in said proceeding.
The president of the association shall thereupon advise the general solicitor in writing (1) whether the invitation is accept- ed on behalf of the association, and (2) the names of commissioners selected to sit as a cooperating committee. The president of the association shall have the authority to ac- cept or to decline said invitation for the as- sociation, and to determine the number of commissioners who shall be named on the cooperating committee, provided that his ac- tion shall be concurred in by the chairman of the association’s executive committee. In the event of any failure of the president of the association and chairman of its execu- tive committee to agree, the second vice president of the association (or the chairman of its committee on cooperation between State and Federal commissions, if there shall be no second vice president) shall be consulted, and the majority opinion of the three shall prevail. Consultations and ex- pressions of opinion may be by mail or tele- graph.
(e) If any proceeding, involving more than eight States, is pending before the Federal Commission, in which cooperation has not been invited by that Commission, which the association’s president and the first and sec- ond vice presidents, or any two of them, con- sider should be made a cooperating pro- ceeding, they may instruct the general solic- itor to suggest to the Federal Commission
that the proceeding be made a cooperative proceeding; and any State commission con- sidering that said proceeding should be made cooperative may request the president of the association or the chairman of its executive committee to make such suggestion after consideration with the executive officers above named. If said Federal Commission shall assent to the suggestion, made as aforesaid, the president of the association shall have the same authority to proceed, and shall proceed in the appointment of a co- operating committee, as is provided in other cases involving more than eight States, wherein the Federal Commission has invited cooperation, and the invitation has been ac- cepted.
(f) Whenever any case is pending before the Federal Commission involving eight States or less, which a commission of any of said States considers should be made cooperative, such commission, either directly or through the general solicitor of the association, may suggest to the Federal Commission that the proceeding be made cooperative. If said Fed- eral Commission accedes to such suggestion, it will notify the general solicitor of the as- sociation to that effect and thereupon the general solicitor shall proceed as is provided in such case when the invitation has been made by the Federal Commission without State commission suggestion.
APPOINTMENT OF COOPERATING COMMISSIONERS BY THE PRESIDENT
In the appointment of any cooperating committee, the president of the association shall make appointments only from commis- sions of the States interested in the par- ticular proceeding in which the committee is to serve. He shall exercise his best judgment to select cooperating commissioners who are especially qualified to serve upon cooper- ating committees by reason of their ability and fitness; and in no case shall he appoint a commissioner upon a cooperating com- mittee until he shall have been advised by such commissioner that it will be prac- ticable for him to attend the hearings in the proceeding in which the committee is to serve, including the arguments therein, and the cooperative conferences, which may be held following the submission of the pro- ceeding, to an extent that will reasonably enable him to be informed upon the issues in the proceeding and to form a reasonable judgment in the matters to be determined.
TENURE OF COOPERATORS
(a) No State commissioner shall sit in a co- operative proceeding under this plan except a commissioner who has been selected by his commission to represent it in a proceeding involving eight States or less, or has been se- lected by the president of the association to
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sit in a case involving more than eight States, in the manner hereinbefore provided.
(b) A commissioner who has been selected, as hereinbefore provided, to serve as a mem- ber of a cooperating committee in any pro- ceeding, shall without further appointment, and without regard to the duration of time involved, continue to serve in said pro- ceeding until the final disposition thereof, including hearings and conferences after any order or reopening, provided that he shall continue to be a State commissioner.
(c) No member of a cooperating committee shall have any right or authority to des- ignate another commissioner to serve in his place at any hearing or conference in any proceeding in which he has been appointed to serve.
(d) Should a vacancy occur upon any co- operating committee, in a proceeding involv- ing more than eight States, by reason of the death of any cooperating commissioner, or of his ceasing to be a State commissioner, or of other inability to serve, it shall be the duty of the president of the association to fill the vacancy by appointment, if, after commu- nication with the chairman of the cooper- ating committee, it be deemed necessary to fill such vacancy.
(e) In the event of any such vacancy occur- ring upon a cooperating committee involving not more than eight States, the vacancy shall be filled by the commission from which the vacancy occurs.
COOPERATING COMMITTEE TO DETERMINE RE- SPECTING ANY REPORT OF STATEMENT OF ITS ATTITUDE
(a) Whenever a cooperating committee shall have concluded its work, or shall deem such course advisable, the committee shall consider whether it is necessary and desir- able to make a report to the interested State commissions, and, if it shall determine to make a report, it shall cause the same to be distributed through the secretary of the as- sociation, or through the general solicitor to all interested commissions.
(b) If a report of the Federal Commission will accompany any order to be made in said proceeding, the Federal Commission will state therein the concurrence or nonconcur- rence of said cooperating committee in the decision or order of said Federal Commis- sion.
CONSTRUCTION HEREOF IN CERTAIN RESPECTS EXPRESSLY PROVIDED
It is understood and provided that no State or States shall be deprived of the right of participation and cooperation as herein- before provided because of nonmembership in the association. With respect to any such State or States, all negotiations herein spec- ified to be carried on between the Federal Commission and any officer of such associa-
tion shall be conducted by the Federal Com- mission directly with the chairman of the commission of such State or States.
[28 FR 12462, Nov. 22, 1963, as amended at 29 FR 4801, Apr. 4, 1964]
APPENDIX B TO PART 1—NATIONWIDE PROGRAMMATIC AGREEMENT FOR THE COLLOCATION OF WIRELESS ANTEN- NAS
NATIONWIDE PROGRAMMATIC AGREEMENT FOR THE COLLOCATION OF WIRELESS ANTENNAS
EXECUTED BY THE FEDERAL COMMUNICATIONS COMMISSION, THE NATIONAL CONFERENCE OF STATE HISTORIC PRESERVATION OFFICERS AND THE ADVISORY COUNCIL ON HISTORIC PRESERVATION
Whereas, the Federal Communications Commission (FCC) establishes rules and pro- cedures for the licensing of wireless commu- nications facilities in the United States and its Possessions and Territories; and,
Whereas, the FCC has largely deregulated the review of applications for the construc- tion of individual wireless communications facilities and, under this framework, appli- cants are required to prepare an Environ- mental Assessment (EA) in cases where the applicant determines that the proposed facil- ity falls within one of certain environmental categories described in the FCC’s rules (47 CFR 1.1307), including situations which may affect historical sites listed or eligible for listing in the National Register of Historic Places (‘‘National Register’’); and,
Whereas, Section 106 of the National His- toric Preservation Act (16 U.S.C. 470 et seq.) (‘‘the Act’’) requires federal agencies to take into account the effects of their under- takings on historic properties and to afford the Advisory Council on Historic Preserva- tion (Council) a reasonable opportunity to comment; and,
Whereas, Section 800.14(b) of the Council’s regulations, ‘‘Protection of Historic Prop- erties’’ (36 CFR 800.14(b)), allows for pro- grammatic agreements to streamline and tailor the Section 106 review process to par- ticular federal programs; and,
Whereas, in August 2000, the Council estab- lished a Telecommunications Working Group to provide a forum for the FCC, Industry rep- resentatives, State Historic Preservation Of- ficers (SHPOs) and Tribal Historic Preserva- tion Officers (THPOs), and the Council to discuss improved coordination of Section 106 compliance regarding wireless communica- tions projects affecting historic properties; and,
Whereas, the FCC, the Council and the Working Group have developed this Colloca- tion Programmatic Agreement in accordance with 36 CFR 800.14(b) to address the Section
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106 review process as it applies to the col- location of antennas (collocation being de- fined in Stipulation I.A below); and,
Whereas, the FCC encourages collocation of antennas where technically and economi- cally feasible, in order to reduce the need for new tower construction; and,
Whereas, the parties hereto agree that the effects on historic properties of collocations of antennas on towers, buildings and struc- tures are likely to be minimal and not ad- verse, and that in the cases where an adverse effect might occur, the procedures provided and referred to herein are proper and suffi- cient, consistent with Section 106, to assure that the FCC will take such effects into ac- count; and
Whereas, the execution of this Nationwide Collocation Programmatic Agreement will streamline the Section 106 review of colloca- tion proposals and thereby reduce the need for the construction of new towers, thereby reducing potential effects on historic prop- erties that would otherwise result from the construction of those unnecessary new tow- ers; and,
Whereas, the FCC and the Council have agreed that these measures should be incor- porated into a Nationwide Programmatic Agreement to better manage the Section 106 consultation process and streamline reviews for collocation of antennas; and,
Whereas, since collocations reduce both the need for new tower construction and the po- tential for adverse effects on historic prop- erties, the parties hereto agree that the terms of this Agreement should be inter- preted and implemented wherever possible in ways that encourage collocation; and
Whereas, the parties hereto agree that the procedures described in this Agreement are, with regard to collocations as defined herein, a proper substitute for the FCC’s compliance with the Council’s rules, in accordance and consistent with Section 106 of the National Historic Preservation Act and its imple- menting regulations found at 36 CFR part 800; and
Whereas, the FCC has consulted with the National Conference of State Historic Pres- ervation Officers (NCSHPO) and requested the President of NCSHPO to sign this Na- tionwide Collocation Programmatic Agree- ment in accordance with 36 CFR Section 800.14(b)(2)(iii); and,
Whereas, the FCC sought comment from In- dian tribes and Native Hawaiian Organiza- tions regarding the terms of this Nationwide Programmatic Agreement by letters of Janu- ary 11, 2001 and February 8, 2001; and,
Whereas, the terms of this Programmatic Agreement do not apply on ‘‘tribal lands’’ as defined under Section 800.16(x) of the Coun- cil’s regulations, 36 CFR 800.16(x) (‘‘Tribal lands means all lands within the exterior boundaries of any Indian reservation and all dependent Indian communities.’’); and,
Whereas, the terms of this Programmatic Agreement do not preclude Indian tribes or Native Hawaiian Organizations from con- sulting directly with the FCC or its licens- ees, tower companies and applicants for an- tenna licenses when collocation activities off tribal lands may affect historic properties of religious and cultural significance to Indian tribes or Native Hawaiian organizations; and,
Whereas, the execution and implementa- tion of this Nationwide Collocation Pro- grammatic Agreement will not preclude members of the public from filing complaints with the FCC or the Council regarding ad- verse effects on historic properties from any existing tower or any activity covered under the terms of this Programmatic Agreement.
Now therefore, the FCC, the Council, and NCSHPO agree that the FCC will meet its Section 106 compliance responsibilities for the collocation of antennas as follows.
STIPULATIONS
The FCC, in coordination with licensees, tower companies and applicants for antenna licenses, will ensure that the following meas- ures are carried out.
I. DEFINITIONS
For purposes of this Nationwide Pro- grammatic Agreement, the following defini- tions apply.
A. ’’Collocation’’ means the mounting or installation of an antenna on an existing tower, building or structure for the purpose of transmitting and/or receiving radio fre- quency signals for communications purposes.
B. ’’Tower’’ is any structure built for the sole or primary purpose of supporting FCC- licensed antennas and their associated facili- ties.
C.’’Substantial increase in the size of the tower’’ means:
(1) The mounting of the proposed antenna on the tower would increase the existing height of the tower by more than 10%, or by the height of one additional antenna array with separation from the nearest existing antenna not to exceed twenty feet, which- ever is greater, except that the mounting of the proposed antenna may exceed the size limits set forth in this paragraph if nec- essary to avoid interference with existing antennas; or
(2) The mounting of the proposed antenna would involve the installation of more than the standard number of new equipment cabi- nets for the technology involved, not to ex- ceed four, or more than one new equipment shelter; or
(3) The mounting of the proposed antenna would involve adding an appurtenance to the body of the tower that would protrude from the edge of the tower more than twenty feet,
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1 Suitable methods for determining the age of a building include, but are not limited to: (1) obtaining the opinon of a consultant who meets the Secretary of Interior’s Profes- sional Qualifications Standards (36 CFR Part 61) or (2) consulting public records.
or more than the width of the tower struc- ture at the level of the appurtenance, which- ever is greater, except that the mounting of the proposed antenna may exceed the size limits set forth in this paragraph if nec- essary to shelter the antenna from inclement weather or to connect the antenna to the tower via cable; or
(4) The mounting of the proposed antenna would involve excavation outside the current tower site, defined as the current boundaries of the leased or owned property surrounding the tower and any access or utility ease- ments currently related to the site.
II. APPLICABILITY
A. This Nationwide Collocation Pro- grammatic Agreement applies only to the collocation of antennas as defined in Stipu- lation I.A, above.
B. This Nationwide Collocation Pro- grammatic Agreement does not cover any Section 106 responsibilities that federal agencies other than the FCC may have with regard to the collocation of antennas.
III. COLLOCATION OF ANTENNAS ON TOWERS CONSTRUCTED ON OR BEFORE MARCH 16, 2001
A. An antenna may be mounted on an ex- isting tower constructed on or before March 16, 2001 without such collocation being re- viewed under the consultation process set forth under Subpart B of 36 CFR Part 800, un- less:
1. The mounting of the antenna will result in a substantial increase in the size of the tower as defined in Stipulation I.C, above; or
2. The tower has been determined by the FCC to have an effect on one or more his- toric properties, unless such effect has been found to be not adverse through a no adverse effect finding, or if found to be adverse or po- tentially adverse, has been resolved, such as through a conditional no adverse effect de- termination, a Memorandum of Agreement, a programmatic agreement, or otherwise in compliance with Section 106 and Subpart B of 36 CFR Part 800; or
3. The tower is the subject of a pending en- vironmental review or related proceeding be- fore the FCC involving compliance with Sec- tion 106 of the National Historic Preserva- tion Act; or
4. The collocation licensee or the owner of the tower has received written or electronic notification that the FCC is in receipt of a complaint from a member of the public, a SHPO or the Council, that the collocation has an adverse effect on one or more historic properties. Any such complaint must be in writing and supported by substantial evi- dence describing how the effect from the col- location is adverse to the attributes that qualify any affected historic property for eli- gibility or potential eligibility for the Na- tional Register.
IV. COLLOCATION OF ANTENNAS ON TOWERS CONSTRUCTED AFTER MARCH 16, 2001
A. An antenna may be mounted on an ex- isting tower constructed after March 16, 2001 without such collocation being reviewed under the consultation process set forth under Subpart B of 36 CFR Part 800, unless:
1. The Section 106 review process for the tower set forth in 36 CFR Part 800 and any associated environmental reviews required by the FCC have not been completed; or
2. The mounting of the new antenna will result in a substantial increase in the size of the tower as defined in Stipulation I.C, above; or
3. The tower as built or proposed has been determined by the FCC to have an effect on one or more historic properties, unless such effect has been found to be not adverse through a no adverse effect finding, or if found to be adverse or potentially adverse, has been resolved, such as through a condi- tional no adverse effect determination, a Memorandum of Agreement, a programmatic agreement, or otherwise in compliance with Section 106 and Subpart B of 36 CFR Part 800; or
4. The collocation licensee or the owner of the tower has received written or electronic notification that the FCC is in receipt of a complaint from a member of the public, a SHPO or the Council, that the collocation has an adverse effect on one or more historic properties. Any such complaint must be in writing and supported by substantial evi- dence describing how the effect from the col- location is adverse to the attributes that qualify any affected historic property for eli- gibility or potential eligibility for the Na- tional Register.
V. COLLOCATION OF ANTENNAS ON BUILDINGS AND NON-TOWER STRUCTURES OUTSIDE OF HISTORIC DISTRICTS
A. An antenna may be mounted on a build- ing or non-tower structure without such col- location being reviewed under the consulta- tion process set forth under Subpart B of 36 CFR Part 800, unless:
1. The building or structure is over 45 years old;1 or
2. The building or structure is inside the boundary of a historic district, or if the an- tenna is visible from the ground level of the historic district, the building or structure is within 250 feet of the boundary of the his- toric district; or
3. The building or non-tower structure is a designated National Historic Landmark, or
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listed in or eligible for listing in the Na- tional Register of Historic Places based upon the review of the licensee, tower company or applicant for an antenna license; or
4. The collocation licensee or the owner of the tower has received written or electronic notification that the FCC is in receipt of a complaint from a member of the public, a SHPO or the Council, that the collocation has an adverse effect on one or more historic properties. Any such complaint must be in writing and supported by substantial evi- dence describing how the effect from the col- location is adverse to the attributes that qualify any affected historic property for eli- gibility or potential eligibility for the Na- tional Register.
B. Subsequent to the collocation of an an- tenna, should the SHPO/THPO or Council de- termine that the collocation of the antenna or its associated equipment installed under the terms of Stipulation V has resulted in an adverse effect on historic properties, the SHPO/THPO or Council may notify the FCC accordingly. The FCC shall comply with the requirements of Section 106 and 36 CFR Part 800 for this particular collocation.
VI. RESERVATION OF RIGHTS
Neither execution of this Agreement, nor implementation of or compliance with any term herein shall operate in any way as a waiver by any party hereto, or by any person or entity complying herewith or affected hereby, of a right to assert in any court of law any claim, argument or defense regard- ing the validity or interpretation of any pro- vision of the National Historic Preservation Act (16 U.S.C. 470 et seq.) or its implementing regulations contained in 36 CFR Part 800.
VII. MONITORING
A. FCC licensees shall retain records of the placement of all licensed antennas, including collocations subject to this Nationwide Pro- grammatic Agreement, consistent with FCC rules and procedures.
B. The Council will forward to the FCC and the relevant SHPO any written objections it receives from members of the public regard- ing a collocation activity or general compli- ance with the provisions of this Nationwide Programmatic Agreement within thirty (30) days following receipt of the written objec- tion. The FCC will forward a copy of the written objection to the appropriate licensee or tower owner.
VIII. AMENDMENTS
If any signatory to this Nationwide Col- location Programmatic Agreement believes that this Agreement should be amended, that signatory may at any time propose amendments, whereupon the signatories will consult to consider the amendments. This
agreement may be amended only upon the written concurrence of the signatories.
IX. TERMINATION
A. If the FCC determines that it cannot implement the terms of this Nationwide Col- location Programmatic Agreement, or if the FCC, NCSHPO or the Council determines that the Programmatic Agreement is not being properly implemented by the parties to this Programmatic Agreement, the FCC, NCSHPO or the Council may propose to the other signatories that the Programmatic Agreement be terminated.
B. The party proposing to terminate the Programmatic Agreement shall notify the other signatories in writing, explaining the reasons for the proposed termination and the particulars of the asserted improper imple- mentation. Such party also shall afford the other signatories a reasonable period of time of no less than thirty (30) days to consult and remedy the problems resulting in improper implementation. Upon receipt of such notice, the parties shall consult with each other and notify and consult with other entities that are either involved in such implementation or that would be substantially affected by termination of this Agreement, and seek al- ternatives to termination. Should the con- sultation fail to produce within the original remedy period or any extension, a reasonable alternative to termination, a resolution of the stated problems, or convincing evidence of substantial implementation of this Agree- ment in accordance with its terms , this Pro- grammatic Agreement shall be terminated thirty days after notice of termination is served on all parties and published in the FEDERAL REGISTER.
C. In the event that the Programmatic Agreement is terminated, the FCC shall ad- vise its licensees and tower construction companies of the termination and of the need to comply with any applicable Section 106 requirements on a case-by-case basis for collocation activities.
X. ANNUAL MEETING OF THE SIGNATORIES
The signatories to this Nationwide Col- location Programmatic Agreement will meet on or about September 10, 2001, and on or about September 10 in each subsequent year, to discuss the effectiveness of this Agree- ment, including any issues related to im- proper implementation, and to discuss any potential amendments that would improve the effectiveness of this Agreement.
XI. DURATION OF THE PROGRAMMATIC AGREEMENT
This Programmatic Agreement for colloca- tion shall remain in force unless the Pro- grammatic Agreement is terminated or su- perseded by a comprehensive Programmatic
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Agreement for wireless communications an- tennas.
Execution of this Nationwide Pro- grammatic Agreement by the FCC, NCSHPO and the Council, and implementation of its terms, evidence that the FCC has afforded the Council an opportunity to comment on the collocation as described herein of anten- nas covered under the FCC’s rules, and that the FCC has taken into account the effects of these collocations on historic properties in accordance with Section 106 of the Na- tional Historic Preservation Act and its im- plementing regulations, 36 CFR Part 800. Federal Communications Commission llllllllllllllllllllllll
Date: llllllllllllllllllll Advisory Council on Historic Preservation llllllllllllllllllllllll
Date: llllllllllllllllllll National Conference of State Historic Pres- ervation Officers llllllllllllllllllllllll
Date: llllllllllllllllllll
[70 FR 578, Jan. 4, 2005]
APPENDIX C TO PART 1—NATIONWIDE PROGRAMMATIC AGREEMENT RE- GARDING THE SECTION 106 NATIONAL HISTORIC PRESERVATION ACT RE- VIEW PROCESS
NATIONWIDE PROGRAMMATIC AGREEMENT FOR REVIEW OF EFFECTS ON HISTORIC PROP- ERTIES FOR CERTAIN UNDERTAKINGS AP- PROVED BY THE FEDERAL COMMUNICATIONS COMMISSION
EXECUTED BY THE FEDERAL COMMUNICATIONS COMMISSION, THE NATIONAL CONFERENCE OF STATE HISTORIC PRESERVATION OFFICERS AND THE ADVISORY COUNCIL ON HISTORIC PRESERVATION
September 2004
Introduction
Whereas, Section 106 of the National His- toric Preservation Act of 1966, as amended (‘‘NHPA’’) (codified at 16 U.S.C. 470f), re- quires federal agencies to take into account the effects of certain of their Undertakings on Historic Properties (see Section II, below), included in or eligible for inclusion in the National Register of Historic Places (‘‘National Register’’), and to afford the Ad- visory Council on Historic Preservation (‘‘Council’’) a reasonable opportunity to comment with regard to such Undertakings; and
Whereas, under the authority granted by Congress in the Communications Act of 1934, as amended (47 U.S.C. 151 et seq.), the Federal Communications Commission (‘‘Commis- sion’’) establishes rules and procedures for
the licensing of non-federal government communications services, and the registra- tion of certain antenna structures in the United States and its Possessions and Terri- tories; and
Whereas, Congress and the Commission have deregulated or streamlined the applica- tion process regarding the construction of individual Facilities in many of the Commis- sion’s licensed services; and
Whereas, under the framework established in the Commission’s environmental rules, 47 CFR 1.1301–1.1319, Commission licensees and applicants for authorizations and antenna structure registrations are required to pre- pare, and the Commission is required to independently review and approve, a pre-con- struction Environmental Assessment (‘‘EA’’) in cases where a proposed tower or antenna may significantly affect the environment, including situations where a proposed tower or antenna may affect Historic Properties that are either listed in or eligible for listing in the National Register, including prop- erties of religious and cultural importance to an Indian tribe or Native Hawaiian organiza- tion (‘‘NHO’’) that meet the National Reg- ister criteria; and
Whereas, the Council has adopted rules im- plementing Section 106 of the NHPA (codi- fied at 36 CFR Part 800) and setting forth the process, called the ‘‘Section 106 process,’’ for complying with the NHPA; and
Whereas, pursuant to the Commission’s rules and the terms of this Nationwide Pro- grammatic Agreement for Review of Effects on Historic Properties for Certain Under- takings Approved by the Federal Commu- nications Commission (‘‘Nationwide Agree- ment’’), Applicants (see Section II.A.2) have been authorized, consistent with the terms of the memorandum from the Council to the Commission, titled ‘‘Delegation of Authority for the Section 106 Review of Telecommuni- cations Projects,’’ dated September 21, 2000, to initiate, coordinate, and assist the Com- mission with compliance with many aspects of the Section 106 review process for their Facilities; and
Whereas, in August 2000, the Council estab- lished a Telecommunications Working Group (the ‘‘Working Group’’) to provide a forum for the Commission, the Council, the Na- tional Conference of State Historic Preserva- tion Officers (‘‘Conference’’), individual State Historic Preservation Officers (‘‘SHPOs’’), Tribal Historic Preservation Of- ficers (‘‘THPOs’’), other tribal representa- tives, communications industry representa- tives, and other interested members of the public to discuss improved Section 106 com- pliance and to develop methods of stream- lining the Section 106 review process; and
Whereas, Section 214 of the NHPA (16 U.S.C. 470v) authorizes the Council to pro- mulgate regulations implementing exclu- sions from Section 106 review, and Section
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800.14(b) of the Council’s regulations (36 CFR 800.14(b)) allows for programmatic agree- ments to streamline and tailor the Section 106 review process to particular federal pro- grams, if they are consistent with the Coun- cil’s regulations; and
Whereas, the Commission, the Council, and the Conference executed on March 16, 2001, the Nationwide Programmatic Agreement for the Collocation of Wireless Antennas (the ‘‘Collocation Agreement’’), in order to streamline review for the collocation of an- tennas on existing towers and other struc- tures and thereby reduce the need for the construction of new towers (Attachment 1 to this Nationwide Agreement); and
Whereas, the Council, the Conference, and the Commission now agree it is desirable to further streamline and tailor the Section 106 review process for Facilities that are not ex- cluded from Section 106 review under the Collocation Agreement while protecting His- toric Properties that are either listed in or eligible for listing in the National Register; and
Whereas, the Working Group agrees that a nationwide programmatic agreement is a de- sirable and effective way to further stream- line and tailor the Section 106 review process as it applies to Facilities; and
Whereas, this Nationwide Agreement will, upon its execution by the Council, the Con- ference, and the Commission, constitute a substitute for the Council’s rules with re- spect to certain Commission Undertakings; and
Whereas, the Commission sought public comment on a draft of this Nationwide Agreement through a Notice of Proposed Rulemaking released on June 9, 2003;
Whereas, the Commission has actively sought and received participation and com- ment from Indian tribes and NHOs regarding this Nationwide Agreement; and
Whereas, the Commission has consulted with federally recognized Indian tribes re- garding this Nationwide Agreement (see Re- port and Order, FCC 04–222, at ¶ 31); and
Whereas, this Nationwide Agreement pro- vides for appropriate public notification and participation in connection with the Section 106 process; and
Whereas, Section 101(d)(6) of the NHPA pro- vides that federal agencies ‘‘shall consult with any Indian tribe or Native Hawaiian or- ganization’’ that attaches religious and cul- tural significance to properties of traditional religious and cultural importance that may be determined to be eligible for inclusion in the National Register and that might be af- fected by a federal undertaking (16 U.S.C. 470a(d)(6)); and
Whereas, the Commission has adopted a ‘‘Statement of Policy on Establishing a Gov- ernment-to-Government Relationship with Indian Tribes’’ dated June 23, 2000, pursuant to which the Commission: recognizes the
unique legal relationship that exists between the federal government and Indian tribal governments, as reflected in the Constitu- tion of the United States, treaties, federal statutes, Executive orders, and numerous court decisions; affirms the federal trust re- lationship with Indian tribes, and recognizes that this historic trust relationship requires the federal government to adhere to certain fiduciary standards in its dealings with In- dian tribes; commits to working with Indian tribes on a government-to-government basis consistent with the principles of tribal self- governance; commits, in accordance with the federal government’s trust responsibility, and to the extent practicable, to consult with tribal governments prior to imple- menting any regulatory action or policy that will significantly or uniquely affect tribal governments, their land and resources; strives to develop working relationships with tribal governments, and will endeavor to identify innovative mechanisms to facilitate tribal consultations in the Commission’s reg- ulatory processes; and endeavors to stream- line its administrative process and proce- dures to remove undue burdens that its deci- sions and actions place on Indian tribes; and
Whereas, the Commission does not delegate under this Programmatic Agreement any portion of its responsibilities to Indian tribes and NHOs, including its obligation to consult under Section 101(d)(6) of the NHPA; and
Whereas, the terms of this Nationwide Agreement are consistent with and do not attempt to abrogate the rights of Indian tribes or NHOs to consult directly with the Commission regarding the construction of Facilities; and
Whereas, the execution and implementa- tion of this Nationwide Agreement will not preclude Indian tribes or NHOs, SHPO/ THPOs, local governments, or members of the public from filing complaints with the Commission or the Council regarding effects on Historic Properties from any Facility or any activity covered under the terms of the Nationwide Agreement; and
Whereas, Indian tribes and NHOs may re- quest Council involvement in Section 106 cases that present issues of concern to In- dian tribes or NHOs (see 36 CFR Part 800, Ap- pendix A, Section (c)(4)); and
Whereas, the Commission, after consulting with federally recognized Indian tribes, has developed an electronic Tower Construction Notification System through which Indian tribes and NHOs may voluntarily identify the geographic areas in which Historic Prop- erties to which they attach religious and cul- tural significance may be located, Appli- cants may ascertain which participating In- dian tribes and NHOs have identified such an interest in the geographic area in which they propose to construct Facilities, and Appli- cants may voluntarily provide electronic no- tification of proposed Facilities construction
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for the Commission to forward to partici- pating Indian tribes, NHOs, and SHPOs/ THPOs; and
Whereas, the Council, the Conference and the Commission recognize that Applicants’ use of qualified professionals experienced with the NHPA and Section 106 can stream- line the review process and minimize poten- tial delays; and
Whereas, the Commission has created a po- sition and hired a cultural resources profes- sional to assist with the Section 106 process; and
Whereas, upon execution of this Nationwide Agreement, the Council may still provide ad- visory comments to the Commission regard- ing the coordination of Section 106 reviews; notify the Commission of concerns raised by consulting parties and the public regarding an Undertaking; and participate in the reso- lution of adverse effects for complex, con- troversial, or other non-routine projects;
Now Therefore, in consideration of the above provisions and of the covenants and agreements contained herein, the Council, the Conference and the Commission (the ‘‘Parties’’) agree as follows:
I. APPLICABILITY AND SCOPE OF THIS NATIONWIDE AGREEMENT
A. This Nationwide Agreement (1) Excludes from Section 106 review certain Under- takings involving the construction and modification of Facilities, and (2) stream- lines and tailors the Section 106 review proc- ess for other Undertakings involving the construction and modification of Facilities. An illustrative list of Commission activities in relation to which Undertakings covered by this Agreement may occur is provided as Attachment 2 to this Agreement.
B. This Nationwide Agreement applies only to federal Undertakings as determined by the Commission (‘‘Undertakings’’). The Com- mission has sole authority to determine what activities undertaken by the Commis- sion or its Applicants constitute Under- takings within the meaning of the NHPA. Nothing in this Agreement shall preclude the Commission from revisiting or affect the ex- isting ability of any person to challenge any prior determination of what does or does not constitute an Undertaking. Maintenance and servicing of Towers, Antennas, and associ- ated equipment are not deemed to be Under- takings subject to Section 106 review.
C. This Agreement does not apply to An- tenna Collocations that are exempt from Section 106 review under the Collocation Agreement (see Attachment 1). Pursuant to the terms of the Collocation Agreement, such Collocations shall not be subject to the Section 106 review process and shall not be submitted to the SHPO/THPO for review. This Agreement does apply to collocations that are not exempt from Section 106 review under the Collocation Agreement.
D. This Agreement does not apply on ‘‘tribal lands’’ as defined under Section 800.16(x) of the Council’s regulations, 36 CFR §800.16(x) (‘‘Tribal lands means all lands within the exterior boundaries of any Indian reservation and all dependent Indian com- munities.’’). This Nationwide Agreement, however, will apply on tribal lands should a tribe, pursuant to appropriate tribal proce- dures and upon reasonable notice to the Council, Commission, and appropriate SHPO/ THPO, elect to adopt the provisions of this Nationwide Agreement. Where a tribe that has assumed SHPO functions pursuant to Section 101(d)(2) of the NHPA (16 U.S.C. 470(d)(2)) has agreed to application of this Nationwide Agreement on tribal lands, the term SHPO/THPO denotes the Tribal His- toric Preservation Officer with respect to re- view of proposed Undertakings on those trib- al lands. Where a tribe that has not assumed SHPO functions has agreed to application of this Nationwide Agreement on tribal lands, the tribe may notify the Commission of the tribe’s intention to perform the duties of a SHPO/THPO, as defined in this Nationwide Agreement, for proposed Undertakings on its tribal lands, and in such instances the term SHPO/THPO denotes both the State Historic Preservation Officer and the tribe’s author- ized representative. In all other instances, the term SHPO/THPO denotes the State His- toric Preservation Officer.
E. This Nationwide Agreement governs only review of Undertakings under Section 106 of the NHPA. Applicants completing the Section 106 review process under the terms of this Nationwide Agreement may not initiate construction without completing any envi- ronmental review that is otherwise required for effects other than historic preservation under the Commission’s rules (See 47 CFR 1.1301–1.1319). Completion of the Section 106 review process under this Nationwide Agree- ment satisfies an Applicant’s obligations under the Commission’s rules with respect to Historic Properties, except for Undertakings that have been determined to have an ad- verse effect on Historic Properties and that therefore require preparation and filing of an Environmental Assessment (See 47 CFR 1.1307(a)(4)).
F. This Nationwide Agreement does not govern any Section 106 responsibilities that agencies other than the Commission may have with respect to those agencies’ federal Undertakings.
II. DEFINITIONS
A. The following terms are used in this Na- tionwide Agreement as defined below:
1. Antenna. An apparatus designed for the purpose of emitting radio frequency (‘‘RF’’) radiation, to be operated or operating from a fixed location pursuant to Commission au- thorization, for the transmission of writing, signs, signals, data, images, pictures, and
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sounds of all kinds, including the transmit- ting device and any on-site equipment, switches, wiring, cabling, power sources, shelters or cabinets associated with that an- tenna and added to a Tower, structure, or building as part of the original installation of the antenna. For most services, an An- tenna will be mounted on or in, and is dis- tinct from, a supporting structure such as a Tower, structure or building. However, in the case of AM broadcast stations, the entire Tower or group of Towers constitutes the Antenna for that station. For purposes of this Nationwide Agreement, the term An- tenna does not include unintentional radi- ators, mobile stations, or devices authorized under Part 15 of the Commission’s rules.
2. Applicant. A Commission licensee, per- mittee, or registration holder, or an appli- cant or prospective applicant for a wireless or broadcast license, authorization or an- tenna structure registration, and the duly authorized agents, employees, and contrac- tors of any such person or entity.
3. Area of Potential Effects (‘‘APE’’). The geographic area or areas within which an Undertaking may directly or indirectly cause alterations in the character or use of Historic Properties, if any such properties exist.
4. Collocation. The mounting or installa- tion of an Antenna on an existing Tower, building, or structure for the purpose of transmitting radio frequency signals for telecommunications or broadcast purposes.
5. Effect. An alteration to the characteris- tics of a Historic Property qualifying it for inclusion in or eligibility for the National Register.
6. Experimental Authorization. An author- ization issued to conduct experimentation utilizing radio waves for gathering scientific or technical operation data directed toward the improvement or extension of an estab- lished service and not intended for reception and use by the general public. ‘‘Experimental Authorization’’ does not include an ‘‘Experi- mental Broadcast Station’’ authorized under Part 74 of the Commission’s rules.
7. Facility. A Tower or an Antenna. The term Facility may also refer to a Tower and its associated Antenna(s).
8. Field Survey. A research strategy that utilizes one or more visits to the area where construction is proposed as a means of iden- tifying Historic Properties.
9. Historic Property. Any prehistoric or historic district, site, building, structure, or object included in, or eligible for inclusion in, the National Register maintained by the Secretary of the Interior. This term includes artifacts, records, and remains that are re- lated to and located within such properties. The term includes properties of traditional religious and cultural importance to an In- dian tribe or NHO that meet the National Register criteria.
10. National Register. The National Reg- ister of Historic Places, maintained by the Secretary of the Interior’s office of the Keep- er of the National Register.
11. SHPO/THPO Inventory. A set of records of previously gathered information, author- ized by state or tribal law, on the absence, presence and significance of historic and ar- chaeological resources within the state or tribal land.
12. Special Temporary Authorization. Au- thorization granted to a permittee or li- censee to allow the operation of a station for a limited period at a specified variance from the terms of the station’s permanent author- ization or requirements of the Commission’s rules applicable to the particular class or type of station.
13. Submission Packet. The document to be submitted initially to the SHPO/THPO to fa- cilitate review of the Applicant’s findings and any determinations with regard to the potential impact of the proposed Under- taking on Historic Properties in the APE. There are two Submission Packets: (a) The New Tower Submission Packet (FCC Form 620) (See Attachment 3) and (b) The Colloca- tion Submission Packet (FCC Form 621) (See Attachment 4). Any documents required to be submitted along with a Form are part of the Submission Packet.
14. Tower. Any structure built for the sole or primary purpose of supporting Commis- sion-licensed or authorized Antennas, includ- ing the on-site fencing, equipment, switches, wiring, cabling, power sources, shelters, or cabinets associated with that Tower but not installed as part of an Antenna as defined herein.
B. All other terms not defined above or elsewhere in this Nationwide Agreement shall have the same meaning as set forth in the Council’s rules section on Definitions (36 CFR 800.16) or the Commission’s rules (47 CFR Chapter I).
C. For the calculation of time periods under this Agreement, ‘‘days’’ mean ‘‘cal- endar days.’’ Any time period specified in the Agreement that ends on a weekend or a Fed- eral or State holiday is extended until the close of the following business day.
D. Written communications include com- munications by e-mail or facsimile.
III. UNDERTAKINGS EXCLUDED FROM SECTION 106 REVIEW
Undertakings that fall within the provi- sions listed in the following sections III.A. through III.F. are excluded from Section 106 review by the SHPO/THPO, the Commission, and the Council, and, accordingly, shall not be submitted to the SHPO/THPO for review. The determination that an exclusion applies to an Undertaking should be made by an au- thorized individual within the Applicant’s organization, and Applicants should retain documentation of their determination that
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1 A tract of land that is planned, developed, and operated as an integrated facility for a number of individual industrial uses, with consideration to transportation facilities, circulation, parking, utility needs, aes- thetics and compatibility.
2 A structure or grouping of structures, housing retail business, set back far enough from the street to permit parking spaces to be placed between the building entrances and the public right of way.
3 A group of commercial establishments planned, constructed, and managed as a total entity, with customer and employee parking provided on-site, provision for goods delivery separated from customer access, aesthetic considerations and protection from the ele- ments, and landscaping and signage in ac- cordance with an approved plan.
an exclusion applies. Concerns regarding the application of these exclusions from Section 106 review may be presented to and consid- ered by the Commission pursuant to Section XI.
A. Enhancement of a tower and any associ- ated excavation that does not involve a col- location and does not substantially increase the size of the existing tower, as defined in the Collocation Agreement. For towers con- structed after March 16, 2001, this exclusion applies only if the tower has completed the Section 106 review process and any associ- ated environmental reviews required by the Commission.
B. Construction of a replacement for an ex- isting communications tower and any associ- ated excavation that does not substantially increase the size of the existing tower under elements 1–3 of the definition as defined in the Collocation Agreement (see Attachment 1 to this Agreement, Stipulation 1.c.1–3) and that does not expand the boundaries of the leased or owned property surrounding the tower by more than 30 feet in any direction or involve excavation outside these expanded boundaries or outside any existing access or utility easement related to the site. For tow- ers constructed after March 16, 2001, this ex- clusion applies only if the tower has com- pleted the Section 106 review process and any associated environmental reviews required by the Commission’s rules.
C. Construction of any temporary commu- nications Tower, Antenna structure, or re- lated Facility that involves no excavation or where all areas to be excavated will be lo- cated in areas described in Section VI.D.2.c.i below, including but not limited to the fol- lowing:
1. A Tower or Antenna authorized by the Commission for a temporary period, such as any Facility authorized by a Commission grant of Special Temporary Authority (‘‘STA’’) or emergency authorization;
2. A cell on wheels (COW) transmission Fa- cility;
3. A broadcast auxiliary services truck, TV pickup station, remote pickup broadcast sta- tion (e.g., electronic newsgathering vehicle) authorized under Part 74 or temporary fixed or transportable earth station in the fixed satellite service (e.g., satellite newsgathering vehicle) authorized under Part 25;
4. A temporary ballast mount Tower; 5. Any Facility authorized by a Commis-
sion grant of an experimental authorization. For purposes of this Section III.C, the term
‘‘temporary’’ means ‘‘for no more than twen- ty-four months duration except in the case of those Facilities associated with national security.’’
D. Construction of a Facility less than 200 feet in overall height above ground level in
an existing industrial park, 1 commercial strip mall, 2 or shopping center 3 that occu- pies a total land area of 100,000 square feet or more, provided that the industrial park, strip mall, or shopping center is not located within the boundaries of or within 500 feet of a Historic Property, as identified by the Ap- plicant after a preliminary search of rel- evant records. Proposed Facilities within this exclusion must complete the process of participation of Indian tribes and NHOs pur- suant to Section IV of this Agreement. If as a result of this process the Applicant or the Commission identifies a Historic Property that may be affected, the Applicant must complete the Section 106 review process pur- suant to this Agreement notwithstanding the exclusion.
E. Construction of a Facility in or within 50 feet of the outer boundary of a right-of- way designated by a Federal, State, local, or Tribal government for the location of com- munications Towers or above-ground utility transmission or distribution lines and associ- ated structures and equipment and in active use for such purposes, provided:
1. The proposed Facility would not con- stitute a substantial increase in size, under elements 1–3 of the definition in the Colloca- tion Agreement, over existing structures lo- cated in the right-of-way within the vicinity of the proposed Facility, and;
2. The proposed Facility would not be lo- cated within the boundaries of a Historic Property, as identified by the Applicant after a preliminary search of relevant records.
Proposed Facilities within this exclusion must complete the process of participation of Indian tribes and NHOs pursuant to Sec- tion IV of this Agreement. If as a result of this process the Applicant or the Commis- sion identifies a Historic Property that may be affected, the Applicant must complete the Section 106 review process pursuant to this Agreement notwithstanding the exclusion.
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F. Construction of a Facility in any area previously designated by the SHPO/THPO at its discretion, following consultation with appropriate Indian tribes and NHOs, as hav- ing limited potential to affect Historic Prop- erties. Such designation shall be documented by the SHPO/THPO and made available for public review.
IV. PARTICIPATION OF INDIAN TRIBES AND NA- TIVE HAWAIIAN ORGANIZATIONS IN UNDER- TAKINGS OFF TRIBAL LANDS
A. The Commission recognizes its responsi- bility to carry out consultation with any In- dian tribe or NHO that attaches religious and cultural significance to a Historic Prop- erty if the property may be affected by a Commission undertaking. This responsibility is founded in Sections 101(d)(6)(a–b) and 106 of the NHPA (16 U.S.C. 470a(d)(6)(a–b) and 470f), the regulations of the Council (36 CFR Part 800), the Commission’s environmental regulations (47 CFR 1.1301–1.1319), and the unique legal relationship that exists between the federal government and Indian Tribal governments, as reflected in the Constitu- tion of the United States, treaties, federal statutes, Executive orders, and numerous court decisions. This historic trust relation- ship requires the federal government to ad- here to certain fiduciary standards in its dealings with Indian Tribes. (Commission Statement of Policy on Establishing a Gov- ernment-to-Government Relationship with Indian Tribes).
B. As an initial step to enable the Commis- sion to fulfill its duty of consultation, Appli- cants shall use reasonable and good faith ef- forts to identify any Indian tribe or NHO that may attach religious and cultural sig- nificance to Historic Properties that may be affected by an Undertaking. Applicants should be aware that frequently, Historic Properties of religious and cultural signifi- cance to Indian tribes and NHOs are located on ancestral, aboriginal, or ceded lands of such tribes and organizations and Applicants should take this into account when com- plying with their responsibilities. Where an Indian tribe or NHO has voluntarily provided information to the Commission’s Tower Con- struction Notification System regarding the geographic areas in which Historic Prop- erties of religious and cultural significance to that Indian tribe or NHO may be located, reference to the Tower Construction Notifi- cation System shall constitute a reasonable and good faith effort at identification with respect to that Indian tribe or NHO. In addi- tion, such reasonable and good faith efforts may include, but are not limited to, seeking relevant information from the relevant SHPO/THPO, Indian tribes, state agencies, the U.S. Bureau of Indian Affairs (‘‘BIA’’), or, where applicable, any federal agency with land holdings within the state (e.g., the U.S.
Bureau of Land Management). Although these agencies can provide useful informa- tion in identifying potentially affected In- dian tribes, contacting BIA, the SHPO or other federal and state agencies is not a sub- stitute for seeking information directly from Indian tribes that may attach religious and cultural significance to a potentially af- fected Historic Property, as described below.
C. After the Applicant has identified In- dian tribes and NHOs that may attach reli- gious and cultural significance to poten- tially affected Historic Properties, the Com- mission has the responsibility, and the Com- mission imposes on the Applicant the obliga- tion, to ensure that contact is made at an early stage in the planning process with such Indian tribes and NHOs in order to begin the process of ascertaining whether such His- toric Properties may be affected. This initial contact shall be made by the Commission or the Applicant, in accordance with the wishes of the Indian tribe or NHO. This contact shall constitute only an initial effort to con- tact the Indian tribe or NHO, and does not in itself fully satisfy the Applicant’s obliga- tions or substitute for government-to-gov- ernment consultation unless the Indian tribe or NHO affirmatively disclaims further in- terest or the Indian tribe or NHO has other- wise agreed that such contact is sufficient. Depending on the preference of the Indian tribe or NHO, the means of initial contact may include, without limitation:
1. Electronic notification through the Commission’s Tower Construction Notifica- tion System;
2. Written communication from the Com- mission at the request of the Applicant;
3. Written, e-mail, or telephonic notifica- tion directly from the Applicant to the In- dian tribe or NHO;
4. Any other means that the Indian Tribe or NHO has informed the Commission are ac- ceptable, including through the adoption of best practices pursuant to Section IV.J, below; or
5. Any other means to which an Indian tribe or NHO and an Applicant have agreed pursuant to Section IV.K, below.
D. The Commission will use its best efforts to ascertain the preferences of each Indian tribe and NHO for initial contact, and to make these preferences available to Appli- cants in a readily accessible format. In addi- tion, the Commission will use its best efforts to ascertain, and to make available to Appli- cants, any locations or types of construction projects, within the broad geographic areas in which Historic Properties of religious and cultural significance to an Indian tribe or NHO may be located, for which the Indian tribe or NHO does not expect notification. To the extent they are comfortable doing so, the Commission encourages Indian tribes and
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NHOs to accept the Tower Construction No- tification System as an efficient and thor- ough means of making initial contact.
E. In the absence of any contrary indica- tion of an Indian tribe’s or NHO’s preference, where an Applicant does not have a pre-ex- isting relationship with an Indian tribe or NHO, initial contact with the Indian tribe or NHO shall be made through the Commission. Unless the Indian tribe or NHO has indicated otherwise, the Commission may make this initial contact through the Tower Construc- tion Notification System. An Applicant that has a pre-existing relationship with an In- dian tribe or NHO shall make initial contact in the manner that is customary to that re- lationship or in such other manner as may be accepted by the Indian tribe or NHO. An Applicant shall copy the Commission on any initial written or electronic direct contact with an Indian tribe or NHO, unless the In- dian tribe or NHO has agreed through a best practices agreement or otherwise that such copying is not necessary.
F. Applicants’ direct contacts with Indian tribes and NHOs, where accepted by the In- dian tribe or NHO, shall be made in a sen- sitive manner that is consistent with the reasonable wishes of the Indian tribe or NHO, where such wishes are known or can be reasonably ascertained. In general, unless an Indian tribe or NHO has provided guidance to the contrary, Applicants shall follow the fol- lowing guidelines:
1. All communications with Indian tribes shall be respectful of tribal sovereignty;
2. Communications shall be directed to the appropriate representative designated or identified by the tribal government or other governing body;
3. Applicants shall provide all information reasonably necessary for the Indian tribe or NHO to evaluate whether Historic Properties of religious and cultural significance may be affected. The parties recognize that it may be neither feasible nor desirable to provide complete information about the project at the time of initial contact, particularly when initial contact is made early in the process. Unless the Indian tribe or NHO af- firmatively disclaims interest, however, it shall be provided with complete information within the earliest reasonable time frame;
4. The Applicant must ensure that Indian tribes and NHOs have a reasonable oppor- tunity to respond to all communications. Or- dinarily, 30 days from the time the relevant tribal or NHO representative may reasonably be expected to have received an inquiry shall be considered a reasonable time. Should a tribe or NHO request additional time to re- spond, the Applicant shall afford additional time as reasonable under the circumstances. However, where initial contact is made auto- matically through the Tower Construction Notification System, and where an Indian tribe or NHO has stated that it is not inter-
ested in reviewing proposed construction of certain types or in certain locations, the Ap- plicant need not await a response to contact regarding proposed construction meeting that description;
5. Applicants should not assume that fail- ure to respond to a single communication es- tablishes that an Indian tribe or NHO is not interested in participating, but should make a reasonable effort to follow up.
G. The purposes of communications be- tween the Applicant and Indian tribes or NHOs are: (1) To ascertain whether Historic Properties of religious and cultural signifi- cance to the Indian tribe or NHO may be af- fected by the undertaking and consultation is therefore necessary, and (2) where pos- sible, with the concurrence of the Indian tribe or NHO, to reach an agreement on the presence or absence of effects that may obvi- ate the need for consultation. Accordingly, the Applicant shall promptly refer to the Commission any request from a federally recognized Indian tribe for government-to- government consultation. The Commission will then carry out government-to-govern- ment consultation with the Indian tribe. Ap- plicants shall also seek guidance from the Commission in the event of any substantive or procedural disagreement with an Indian tribe or NHO, or if the Indian tribe or NHO does not respond to the Applicant’s inquir- ies. Applicants are strongly advised to seek guidance from the Commission in cases of doubt.
H. If an Indian tribe or NHO indicates that a Historic Property of religious and cultural significance to it may be affected, the Appli- cant shall invite the commenting tribe or or- ganization to become a consulting party. If the Indian tribe or NHO agrees to become a consulting party, it shall be afforded that status and shall be provided with all of the information, copies of submissions, and other prerogatives of a consulting party as provided for in 36 CFR 800.2.
I. Information regarding Historic Prop- erties to which Indian tribes or NHOs attach religious and cultural significance may be highly confidential, private, and sensitive. If an Indian tribe or NHO requests confiden- tiality from the Applicant, the Applicant shall honor this request and shall, in turn, request confidential treatment of such mate- rials or information in accordance with the Commission’s rules and Section 304 of the NHPA (16 U.S.C. 470w–3(a)) in the event they are submitted to the Commission. The Com- mission shall provide such confidential treatment consistent with its rules and ap- plicable federal laws. Although the Commis- sion will strive to protect the privacy inter- ests of all parties, the Commission cannot guarantee its own ability or the ability of Applicants to protect confidential, private, and sensitive information from disclosure under all circumstances.
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J. In order to promote efficiency, minimize misunderstandings, and ensure that commu- nications among the parties are made in ac- cordance with each Indian tribe or NHO’s reasonable preferences, the Commission will use its best efforts to arrive at agreements regarding best practices with Indian tribes and NHOs and their representatives. Such best practices may include means of making initial contacts with Indian tribes and NHOs as well as guidelines for subsequent discus- sions between Applicants and Indian tribes or NHOs in fulfillment of the requirements of the Section 106 process. To the extent pos- sible, the Commission will strive to achieve consistency among best practice agreements with Indian tribes and NHOs. Where best practices exist, the Commission encourages Applicants to follow those best practices.
K. Nothing in this Section shall be con- strued to prohibit or limit Applicants and In- dian tribes or NHOs from entering into or continuing pre-existing arrangements or agreements governing their contacts, pro- vided such arrangements or agreements are otherwise consistent with federal law and no modification is made in the roles of other parties to the process under this Nationwide Agreement without their consent. Docu- mentation of such alternative arrangements or agreements should be filed with the Com- mission.
V. PUBLIC PARTICIPATION AND CONSULTING PARTIES
A. On or before the date an Applicant sub- mits the appropriate Submission Packet to the SHPO/THPO, as prescribed by Section VII, below, the Applicant shall provide the local government that has primary land use jurisdiction over the site of the planned Un- dertaking with written notification of the planned Undertaking.
B. On or before the date an Applicant sub- mits the appropriate Submission Packet to the SHPO/THPO, as prescribed by Section VII, below, the Applicant shall provide writ- ten notice to the public of the planned Un- dertaking. Such notice may be accomplished (1) through the public notification provisions of the relevant local zoning or local historic preservation process for the proposed Facil- ity; or (2) by publication in a local newspaper of general circulation. In the alternative, an Applicant may use other appropriate means of providing public notice, including seeking the assistance of the local government.
C. The written notice to the local govern- ment and to the public shall include: (1) The location of the proposed Facility including its street address; (2) a description of the proposed Facility including its height and type of structure; (3) instruction on how to submit comments regarding potential effects on Historic Properties; and (4) the name, ad- dress, and telephone number of a contact person.
D. A SHPO/THPO may make available lists of other groups, including Indian tribes, NHOs and organizations of Indian tribes or NHOs, which should be provided notice for Undertakings to be located in particular areas.
E. If the Applicant receives a comment re- garding potentially affected Historic Prop- erties, the Applicant shall consider the com- ment and either include it in the initial sub- mission to the SHPO/THPO, or, if the initial submission has already been made, imme- diately forward the comment to the SHPO/ THPO for review. An Applicant need not sub- mit to the SHPO/THPO any comment that does not substantially relate to potentially affected Historic Properties.
F. The relevant SHPO/THPO, Indian tribes and NHOs that attach religious and cultural significance to Historic Properties that may be affected, and the local government are en- titled to be consulting parties in the Section 106 review of an Undertaking. The Council may enter the Section 106 process for a given Undertaking, on Commission invitation or on its own decision, in accordance with 36 CFR Part 800, Appendix A. An Applicant shall consider all written requests of other individuals and organizations to participate as consulting parties and determine which should be consulting parties. An Applicant is encouraged to grant such status to individ- uals or organizations with a demonstrated legal or economic interest in the Under- taking, or demonstrated expertise or stand- ing as a representative of local or public in- terest in historic or cultural resources pres- ervation. Any such individual or organiza- tion denied consulting party status may pe- tition the Commission for review of such de- nial. Applicants may seek assistance from the Commission in identifying and involving consulting parties. All entities granted con- sulting party status shall be identified to the SHPO/THPO as part of the Submission Pack- et.
G. Consulting parties are entitled to: (1) Receive notices, copies of submission pack- ets, correspondence and other documents provided to the SHPO/THPO in a Section 106 review; and (2) be provided an opportunity to have their views expressed and taken into account by the Applicant, the SHPO/THPO and, where appropriate, by the Commission.
VI. IDENTIFICATION, EVALUATION, AND ASSESSMENT OF EFFECTS
A. In preparing the Submission Packet for the SHPO/THPO and consulting parties pur- suant to Section VII of this Nationwide Agreement and Attachments 3 and 4, the Ap- plicant shall: (1) Define the area of potential effects (APE); (2) identify Historic Properties
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within the APE; (3) evaluate the historic sig- nificance of identified properties as appro- priate; and (4) assess the effects of the Un- dertaking on Historic Properties. The stand- ards and procedures described below shall be applied by the Applicant in preparing the Submission Packet, by the SHPO/THPO in reviewing the Submission Packet, and where appropriate, by the Commission in making findings.
B. Exclusion of Specific Geographic Areas from Review.
The SHPO/THPO, consistent with relevant State or tribal procedures, may specify geo- graphic areas in which no review is required for direct effects on archeological resources or no review is required for visual effects.
C. Area of Potential Effects. 1. The term ‘‘Area of Potential Effects’’ is
defined in Section II.A.3 of this Nationwide Agreement. For purposes of this Nationwide Agreement, the APE for direct effects and the APE for visual effects are further defined and are to be established as described below.
2. The APE for direct effects is limited to the area of potential ground disturbance and any property, or any portion thereof, that will be physically altered or destroyed by the Undertaking.
3. The APE for visual effects is the geo- graphic area in which the Undertaking has the potential to introduce visual elements that diminish or alter the setting, including the landscape, where the setting is a char- acter-defining feature of a Historic Property that makes it eligible for listing on the Na- tional Register.
4. Unless otherwise established through consultation with the SHPO/THPO, the pre- sumed APE for visual effects for construc- tion of new Facilities is the area from which the Tower will be visible:
a. Within a half mile from the tower site if the proposed Tower is 200 feet or less in over- all height;
b. Within 3⁄4 of a mile from the tower site if the proposed Tower is more than 200 but no more than 400 feet in overall height; or
c. Wthin 1 1⁄2 miles from the proposed tower site if the proposed Tower is more than 400 feet in overall height.
5. In the event the Applicant determines, or the SHPO/THPO recommends, that an al- ternative APE for visual effects is necessary, the Applicant and the SHPO/THPO may mu- tually agree to an alternative APE.
6. If the Applicant and the SHPO/THPO, after using good faith efforts, cannot reach an agreement on the use of an alternative APE, either the Applicant or the SHPO/ THPO may submit the issue to the Commis- sion for resolution. The Commission shall make its determination concerning an alter- native APE within a reasonable time.
D. Identification and Evaluation of His- toric Properties.
1. Identification and Evaluation of Historic Properties Within the APE for Visual Ef- fects.
a. Except to identify Historic Properties of religious and cultural significance to Indian tribes and NHOs, Applicants shall identify Historic Properties within the APE for vis- ual effects by reviewing the following records. Applicants are required to review such records only to the extent they are available at the offices of the SHPO/THPO or can be found in publicly available sources identified by the SHPO/THPO. With respect to these properties, Applicants are not re- quired to undertake a Field Survey or other measures other than reviewing these records in order to identify Historic Properties:
i. Properties listed in the National Reg- ister;
ii. Properties formally determined eligible for listing by the Keeper of the National Register;
iii. Properties that the SHPO/THPO cer- tifies are in the process of being nominated to the National Register;
iv. Properties previously determined eligi- ble as part of a consensus determination of eligibility between the SHPO/THPO and a Federal Agency or local government rep- resenting the Department of Housing and Urban Development (HUD); and
v. Properties listed in the SHPO/THPO In- ventory that the SHPO/THPO has previously evaluated and found to meet the National Register criteria, and that are identified ac- cordingly in the SHPO/THPO Inventory.
b. At an early stage in the planning process and in accordance with Section IV of this Nationwide Agreement, the Commission or the Applicant, as appropriate, shall gather information from Indian tribes or NHOs identified pursuant to Section IV.B to assist in identifying Historic Properties of reli- gious and cultural significance to them with- in the APE for visual effects. Such informa- tion gathering may include a Field Survey where appropriate.
c. Based on the sources listed above and public comment received pursuant to Sec- tion V of this Nationwide Agreement, the Applicant shall include in its Submission Packet a list of properties it has identified as apparent Historic Properties within the APE for visual effects.
i. During the review period described in Section VII.A, the SHPO/THPO may identify additional properties included in the SHPO/ THPO Inventory and located within the APE that the SHPO/THPO considers eligible for listing on the National Register, and notify the Applicant pursuant to Section VII.A.4.
ii. The SHPO/THPO may also advise the Applicant that previously identified prop- erties on the list no longer qualify for inclu- sion in the National Register.
d. Applicants are encouraged at their dis- cretion to use the services of professionals
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who meet the Secretary of the Interior’s Professional Qualification Standards when identifying Historic Properties within the APE for visual effects.
e. Applicants are not required to evaluate the historic significance of properties identi- fied pursuant to Section VI.D.1.a., but may rely on the previous evaluation of these properties. Applicants may, at their discre- tion, evaluate whether such properties are no longer eligible for inclusion in the Na- tional Register and recommend to the SHPO/ THPO their removal from consideration. Any such evaluation shall be performed by a pro- fessional who meets the Secretary of the In- terior’s Professional Qualification Stand- ards.
2. Identification and Evaluation of Historic Properties Within the APE for Direct Ef- fects.
a. In addition to the properties identified pursuant to Section VI.D.1, Applicants shall make a reasonable good faith effort to iden- tify other above ground and archeological Historic Properties, including buildings, structures, and historic districts, that lie within the APE for direct effects. Such rea- sonable and good faith efforts may include a Field Survey where appropriate.
b. Identification and evaluation of Historic Properties within the APE for direct effects, including any finding that an archeological Field Survey is not required, shall be under- taken by a professional who meets the Sec- retary of the Interior’s Professional Quali- fication Standards. Identification and eval- uation relating to archeological resources shall be performed by a professional who meets the Secretary of the Interior’s Profes- sional Qualification Standards in arche- ology.
c. Except as provided below, the Applicant need not undertake a Field Survey for ar- cheological resources where:
i. the depth of previous disturbance ex- ceeds the proposed construction depth (ex- cluding footings and other anchoring mecha- nisms) by at least 2 feet as documented in the Applicant’s siting analysis; or
ii. geomorphological evidence indicates that cultural resource-bearing soils do not occur within the project area or may occur but at depths that exceed 2 feet below the proposed construction depth.
d. At an early stage in the planning process and in accordance with Section IV of this Nationwide Agreement, the Commission or the Applicant, as appropriate, shall gather information from Indian tribes or NHOs identified pursuant to Section IV.B to assist in identifying archeological Historic Prop- erties of religious and cultural significance to them within the APE for direct effects. If an Indian tribe or NHO provides evidence that supports a high probability of the pres- ence of intact archeological Historic Prop- erties within the APE for direct effects, the
Applicant shall conduct an archeological Field Survey notwithstanding Section VI.D.2.c.
e. Where the Applicant pursuant to Sec- tions VI.D.2.c and VI.D.2.d finds that no ar- cheological Field Survey is necessary, it shall include in its Submission Packet a re- port substantiating this finding. During the review period described in Section VII.A, the SHPO/THPO may, based on evidence that supports a high probability of the presence of intact archeological Historic Properties within the APE for direct effects, notify the Applicant that the Submission Packet is in- adequate without an archeological Field Survey pursuant to Section VII.A.4.
f. The Applicant shall conduct an archeo- logical Field Survey within the APE for di- rect effects if neither of the conditions in Section VI.D.2.c applies, or if required pursu- ant to Section VI.D.2.d or e. The Field Sur- vey shall be conducted in consul-tation with the SHPO/THPO and consulting Indian tribes or NHOs.
g. The Applicant, in consultation with the SHPO/THPO and appropriate Indian tribes or NHOs, shall apply the National Register cri- teria (36 CFR Part 63) to properties identified within the APE for direct effects that have not previously been evaluated for National Register eligibility, with the exception of those identified pursuant to Section VI.D.1.a.
3. Dispute Resolution. Where there is a dis- agreement regarding the identification or eligibility of a property, and after attempt- ing in good faith to resolve the issue the Ap- plicant and the SHPO/THPO continue to dis- agree, the Applicant or the SHPO/THPO may submit the issue to the Commission. The Commission shall handle such submissions in accordance with 36 CFR 800.4(c)(2).
E. Assessment of Effects 1. Applicants shall assess effects of the Un-
dertaking on Historic Properties using the Criteria of Adverse Effect (36 CFR 800.5(a)(1)).
2. In determining whether Historic Prop- erties in the APE may be adversely affected by the Undertaking, the Applicant should consider factors such as the topography, vegetation, known presence of Historic Prop- erties, and existing land use.
3. An Undertaking will have a visual ad- verse effect on a Historic Property if the vis- ual effect from the Facility will noticeably diminish the integrity of one or more of the characteristics qualifying the property for inclusion in or eligibility for the National Register. Construction of a Facility will not cause a visual adverse effect except where visual setting or visual elements are char- acter-defining features of eligibility of a His- toric Property located within the APE.
4. For collocations not excluded from re- view by the Collocation Agreement or this Agreement, the assessment of effects will
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consider only effects from the newly added or modified Facilities and not effects from the existing Tower or Antenna.
5. Assessment pursuant to this Agreement shall be performed by professionals who meet the Secretary of the Interior’s Professional Qualification Standards.
VII. PROCEDURES
A. Use of the Submission Packet
1. For each Undertaking within the scope of this Nationwide Agreement, the Applicant shall initially determine whether there are no Historic Properties affected, no adverse effect on Historic Properties, or an adverse effect on Historic Properties. The Applicant shall prepare a Submission Packet and sub- mit it to the SHPO/THPO and to all con- sulting parties, including any Indian tribe or NHO that is participating as a consulting party.
2. The SHPO/THPO shall have 30 days from receipt of the requisite documentation to re- view the Submission Packet.
3. If the SHPO/THPO receives a comment or objection, in accordance with Section V.E, more than 25 but less than 31 days following its receipt of the initial submission, the SHPO/THPO shall have five calendar days to consider such comment or objection before the Section 106 process is complete or the matter may be submitted to the Commis- sion.
4. If the SHPO/THPO determines the Appli- cant’s Submission Packet is inadequate, or if the SHPO/THPO identifies additional His- toric Properties within the APE, the SHPO/ THPO will immediately notify the Applicant and describe any deficiencies. The SHPO/ THPO may close its file without prejudice if the Applicant does not resubmit an amended Submission Packet within 60 days following the Applicant’s receipt of the returned Sub- mission Packet. Resubmission of the Sub- mission Packet to the SHPO/THPO com- mences a new 30 day period for review.
B. Determinations of No Historic Properties Affected
1. If the SHPO/THPO concurs in writing with the Applicant’s determination of no Historic Properties affected, it is deemed that no Historic Properties exist within the APE or the Undertaking will have no effect on any Historic Properties located within the APE. The Section 106 process is then complete, and the Applicant may proceed with the project, unless further processing for reasons other than Section 106 is re- quired.
2. If the SHPO/THPO does not provide writ- ten notice to the Applicant that it agrees or disagrees with the Applicant’s determination of no Historic Properties affected within 30 days following receipt of a complete Submis- sion Packet, it is deemed that no Historic
Properties exist within the APE or the Un- dertaking will have no effect on Historic Properties. The Section 106 process is then complete and the Applicant may proceed with the project, unless further processing for reasons other than Section 106 is re- quired.
3. If the SHPO/THPO provides written no- tice within 30 days following receipt of the Submission Packet that it disagrees with the Applicant’s determination of no Historic Properties affected, it should provide a short and concise explanation of exactly how the criteria of eligibility and/or criteria of Ad- verse Effect would apply. The Applicant and the SHPO/THPO should engage in further discussions and make a reasonable and good faith effort to resolve their disagreement.
4. If the SHPO/THPO and Applicant do not resolve their disagreement, the Applicant may at any time choose to submit the mat- ter, together with all relevant documents, to the Commission, advising the SHPO/THPO accordingly.
C. Determinations of No Adverse Effect
1. If the SHPO/THPO concurs in writing with the Applicant’s determination of no ad- verse effect, the Facility is deemed to have no adverse effect on Historic Properties. The Section 106 process is then complete and the Applicant may proceed with the project, un- less further processing for reasons other than Section 106 is required.
2. If the SHPO/THPO does not provide writ- ten notice to the Applicant that it agrees or disagrees with the Applicant’s determination of no adverse effect within thirty days fol- lowing its receipt of a complete Submission Packet, the SHPO/THPO is presumed to have concurred with the Applicant’s determina- tion. The Applicant shall, pursuant to proce- dures to be promulgated by the Commission, forward a copy of its Submission Packet to the Commission, together with all cor- respondence with the SHPO/THPO and any comments or objections received from the public, and advise the SHPO/THPO accord- ingly. The Section 106 process shall then be complete unless the Commission notifies the Applicant otherwise within 15 days after the Commission receives the Submission Packet and accompanying material electronically or 25 days after the Commission receives this material by other means.
3. If the SHPO/THPO provides written no- tice within 30 days following receipt of the Submission Packet that it disagrees with the Applicant’s determination of no adverse ef- fect, it should provide a short and concise ex- planation of the Historic Properties it be- lieves to be affected and exactly how the cri- teria of Adverse Effect would apply. The Ap- plicant and the SHPO/THPO should engage in further discussions and make a reasonable and good faith effort to resolve their dis- agreement.
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4. If the SHPO/THPO and Applicant do not resolve their dispute, the Applicant may at any time choose to submit the matter, to- gether with all relevant documents, to the Commission, advising the SHPO/THPO ac- cordingly.
5. Whenever the Applicant or the Commis- sion concludes, or a SHPO/THPO advises, that a proposed project will have an adverse effect on a Historic Property, after applying the criteria of Adverse Effect, the Applicant and the SHPO/THPO are encouraged to in- vestigate measures that would avoid the ad- verse effect and permit a conditional ‘‘No Adverse Effect’’ determination.
6. If the Applicant and SHPO/THPO mutu- ally agree upon conditions that will result in no adverse effect, the Applicant shall advise the SHPO/THPO in writing that it will com- ply with the conditions. The Applicant can then make a determination of no adverse ef- fect subject to its implementation of the conditions. The Undertaking is then deemed conditionally to have no adverse effect on Historic Properties, and the Applicant may proceed with the project subject to compli- ance with those conditions. Where the Com- mission has previously been involved in the matter, the Applicant shall notify the Com- mission of this resolution.
D. Determinations of Adverse Effect
1. If the Applicant determines at any stage in the process that an Undertaking would have an adverse effect on Historic Properties within the APE(s), or if the Commission so finds, the Applicant shall submit to the SHPO/THPO a plan designed to avoid, mini- mize, or mitigate the adverse effect.
2. The Applicant shall forward a copy of its submission with its mitigation plan and the entire record to the Council and the Commis- sion. Within fifteen days following receipt of the Applicant’s submission, the Council shall indicate whether it intends to participate in the negotiation of a Memorandum of Agree- ment by notifying both the Applicant and the Commission.
3. Where the Undertaking would have an adverse effect on a National Historic Land- mark, the Commission shall request the Council to participate in consultation and shall invite participation by the Secretary of the Interior.
4. The Applicant, SHPO/THPO, and con- sulting parties shall negotiate a Memo- randum of Agreement that shall be sent to the Commission for review and execution.
5. If the parties are unable to agree upon mitigation measures, they shall submit the matter to the Commission, which shall co- ordinate additional actions in accordance with the Council’s rules, including 36 CFR 800.6(b)(1)(v) and 800.7.
E. Retention of Information
The SHPO/THPO shall, subject to applica- ble state or tribal laws and regulations, and in accordance with its rules and procedures governing historic property records, retain the information in the Submission Packet pertaining to the location and National Reg- ister eligibility of Historic Properties and make such information available to Federal agencies and Applicants in other Section 106 reviews, where disclosure is not prevented by the confidentiality standards in 36 CFR 800.11(c).
F. Removal of Obsolete Towers
Applicants that construct new Towers under the terms of this Nationwide Agree- ment adjacent to or within the boundaries of a Historic Property are encouraged to dis- assemble such Towers should they become obsolete or remain vacant for a year or more.
VIII. EMERGENCY SITUATIONS
Unless the Commission deems it necessary to issue an emergency authorization in ac- cordance with its rules, or the Undertaking is otherwise excluded from Section 106 re- view pursuant to the Collocation Agreement or Section III of this Agreement, the proce- dures in this Agreement shall apply.
IX. INADVERTENT OR POST-REVIEW DISCOVERIES
A. In the event that an Applicant discovers a previously unidentified site within the APE that may be a Historic Property that would be affected by an Undertaking, the Ap- plicant shall promptly notify the Commis- sion, the SHPO/THPO and any potentially af- fected Indian tribe or NHO, and within a rea- sonable time shall submit to the Commis- sion, the SHPO/THPO and any potentially af- fected Indian tribe or NHO, a written report evaluating the property’s eligibility for in- clusion in the National Register. The Appli- cant shall seek the input of any potentially affected Indian tribe or NHO in preparing this report. If found during construction, construction must cease until evaluation has been completed.
B. If the Applicant and SHPO/THPO concur that the discovered resource is eligible for listing in the National Register, the Appli- cant will consult with the SHPO/THPO, and Indian tribes or NHOs as appropriate, to evaluate measures that will avoid, minimize, or mitigate adverse effects. Upon agreement regarding such measures, the Applicant shall implement them and notify the Commission of its action.
C. If the Applicant and SHPO/THPO cannot reach agreement regarding the eligibility of a property, the matter will be referred to the Commission for review in accordance with Section VI.D.3. If the Applicant and the
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SHPO/THPO cannot reach agreement on measures to avoid, minimize, or mitigate ad- verse effects, the matter shall be referred to the Commission for appropriate action.
D. If the Applicant discovers any human or burial remains during implementation of an Undertaking, the Applicant shall cease work immediately, notify the SHPO/THPO and Commission, and adhere to applicable State and Federal laws regarding the treatment of human or burial remains.
X. CONSTRUCTION PRIOR TO COMPLIANCE WITH SECTION 106
A. The terms of Section 110(k) of the Na- tional Historic Preservation Act (16 U.S.C. 470h–2(k)) (‘‘Section 110(k)’’) apply to Under- takings covered by this Agreement. Any SHPO/THPO, potentially affected Indian tribe or NHO, the Council, or a member of the public may submit a complaint to the Commission alleging that a facility has been constructed or partially constructed after the effective date of this Agreement in viola- tion of Section 110(k). Any such complaint must be in writing and supported by substan- tial evidence specifically describing how Sec- tion 110(k) has been violated. Upon receipt of such complaint the Commission will assume responsibility for investigating the applica- bility of Section 110(k) in accordance with the provisions herein.
B. If upon its initial review, the Commis- sion concludes that a complaint on its face demonstrates a probable violation of Section 110(k), the Commission will immediately no- tify and provide the relevant Applicant with copies of the Complaint and order that all construction of a new tower or installation of any new collocations immediately cease and remain suspended pending the Commis- sion’s resolution of the complaint.
C. Within 15 days of receipt, the Commis- sion will review the complaint and take ap- propriate action, which the Commission may determine, and which may include the fol- lowing:
1. Dismiss the complaint without further action if the complaint does not establish a probable violation of Section 110(k) even if the allegations are taken as true;
2. Provide the Applicant with a copy of the complaint and request a written response within a reasonable time;
3. Request from the Applicant a back- ground report which documents the history and chronology of the planning and con- struction of the Facility;
4. Request from the Applicant a summary of the steps taken to comply with the re- quirements of Section 106 as set forth in this Nationwide Agreement, particularly the ap- plication of the Criteria of Adverse Effect;
5. Request from the Applicant copies of any documents regarding the planning or construction of the Facility, including cor- respondence, memoranda, and agreements;
6. If the Facility was constructed prior to full compliance with the requirements of Section 106, request from the Applicant an explanation for such failure, and possible measures that can be taken to mitigate any resulting adverse effects on Historic Prop- erties.
D. If the Commission concludes that there is a probable violation of Section 110(k) (i.e., that ‘‘with intent to avoid the requirements of Section 106, [an Applicant] has inten- tionally significantly adversely affected a Historic Property’’), the Commission shall notify the Applicant and forward a copy of the documentation set forth in Section X.C. to the Council and, as appropriate, the SHPO/THPO and other consulting parties, along with the Commission’s opinion regard- ing the probable violation of Section 110(k). The Commission will consider the views of the consulting parties in determining a reso- lution, which may include negotiating a Memorandum of Agreement (MOA) that will resolve any adverse effects. The Commission, SHPO/THPO, Council, and Applicant shall sign the MOA to evidence acceptance of the mitigation plan and conclusion of the Sec- tion 106 review process.
E. Nothing in Section X or any other provi- sion of this Agreement shall preclude the Commission from continuing or instituting enforcement proceedings under the Commu- nications Act and its rules against an Appli- cant that has constructed a Facility prior to completing required review under this Agreement. Sanctions for violations of the Commission’s rules may include any sanc- tions allowed under the Communications Act and the Commission’s rules.
F. The Commission shall provide copies of all concluding reports or orders for all Sec- tion 110(k) investigations conducted by the Commission to the original complainant, the Applicant, the relevant local government, and other consulting parties.
G. Facilities that are excluded from Sec- tion 106 review pursuant to the Collocation Agreement or Section III of this Agreement are not subject to review under this provi- sion. Any parties who allege that such Fa- cilities have violated Section 110(k) should notify the Commission in accordance with the provisions of Section XI, Public Com- ments and Objections.
XI. PUBLIC COMMENTS AND OBJECTIONS
Any member of the public may notify the Commission of concerns it has regarding the application of this Nationwide Agreement within a State or with regard to the review of individual Undertakings covered or ex- cluded under the terms of this Agreement. Comments related to telecommunications activities shall be directed to the Wireless Telecommunications Bureau and those re- lated to broadcast facilities to the Media Bu- reau. The Commission will consider public
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comments and following consultation with the SHPO/THPO, potentially affected Indian tribes and NHOs, or Council, where appro- priate, take appropriate actions. The Com- mission shall notify the objector of the out- come of its actions.
XII. AMENDMENTS
The signatories may propose modifications or other amendments to this Nationwide Agreement. Any amendment to this Agree- ment shall be subject to appropriate public notice and comment and shall be signed by the Commission, the Council, and the Con- ference.
XIII. TERMINATION
A. Any signatory to this Nationwide Agreement may request termination by writ- ten notice to the other parties. Within sixty (60) days following receipt of a written re- quest for termination from a signatory, all other signatories shall discuss the basis for the termination request and seek agreement on amendments or other actions that would avoid termination.
B. In the event that this Agreement is ter- minated, the Commission and all Applicants shall comply with the requirements of 36 CFR Part 800.
XIV. ANNUAL REVIEW
The signatories to this Nationwide Agree- ment will meet annually on or about the an- niversary of the effective date of the Agree- ment to discuss the effectiveness of this Agreement, including any issues related to improper implementation, and to discuss any potential amendments that would improve the effectiveness of this Agreement.
XV. RESERVATION OF RIGHTS
Neither execution of this Agreement, nor implementation of or compliance with any term herein, shall operate in any way as a waiver by any party hereto, or by any person or entity complying herewith or affected hereby, of a right to assert in any court of law any claim, argument or defense regard- ing the validity or interpretation of any pro- vision of the NHPA or its implementing reg- ulations contained in 36 CFR Part 800.
XVI. SEVERABILITY
If any section, subsection, paragraph, sen- tence, clause or phrase in this Agreement is, for any reason, held to be unconstitutional or invalid or ineffective, such decision shall not affect the validity or effectiveness of the remaining portions of this Agreement.
In witness whereof, the Parties have caused this Agreement to be executed by their re- spective authorized officers as of the day and year first written above.
Federal Communications Commission
llllllllllllllllllllllll
Chairman Date lllllllllllllllllllll Advisory Council on Historic Preservation llllllllllllllllllllllll
Chairman Date lllllllllllllllllllll National Conference of State Historic Pres- ervation Officers llllllllllllllllllllllll
Date lllllllllllllllllllll
[70 FR 580, Jan. 4, 2005]
PART 2—FREQUENCY ALLOCA- TIONS AND RADIO TREATY MAT- TERS; GENERAL RULES AND REG- ULATIONS
Subpart A—Terminology
Sec. 2.1 Terms and definitions.
Subpart B—Allocation, Assignment, and Use of Radio Frequencies
2.100 International regulations in force. 2.101 Frequency and wavelength bands. 2.102 Assignment of frequencies. 2.103 Federal use of non-Federal fre-
quencies. 2.104 International Table of Frequency Allo-
cations. 2.105 United States Table of Frequency Al-
locations. 2.106 Table of Frequency Allocations. 2.107 Radio astronomy station notification. 2.108 Policy regarding the use of the fixed-
satellite allocations in the 3.6–3.7, 4.5–4.8, and 5.85–5.925 GHz bands.
Subpart C—Emissions
2.201 Emission, modulation, and trans- mission characteristics.
2.202 Bandwidths.
Subpart D—Call Signs and Other Forms of Identifying Radio Transmissions
2.301 Station identification requirement. 2.302 Call signs. 2.303 Other forms of identification of sta-
tions.
Subpart E—Distress, Disaster, and Emergency Communications
2.401 Distress messages. 2.402 Control of distress traffic. 2.403 Retransmission of distress message. 2.404 Resumption of operation after dis-
tress. 2.405 Operation during emergency.
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2.406 National defense; free service. 2.407 National defense; emergency
authorization.
Subparts F–G [Reserved]
Subpart H—Prohibition Against Eavesdropping
2.701 Prohibition against use of a radio de- vice for eavesdropping.
Subpart I—Marketing of Radiofrequency Devices
2.801 Radiofrequency device defined. 2.803 Marketing of radio frequency devices
prior to equipment authorization. 2.807 Statutory exceptions. 2.811 Transmitters operated under part 73 of
this chapter. 2.813 Transmitters operated in the Instruc-
tional Television Fixed Service. 2.815 External radio frequency power ampli-
fiers.
Subpart J—Equipment Authorization Procedures
GENERAL PROVISIONS
2.901 Basis and purpose. 2.902 Verification. 2.906 Declaration of Conformity. 2.907 Certification. 2.908 Identical defined. 2.909 Responsible party.
APPLICATION PROCEDURES FOR EQUIPMENT AUTHORIZATIONS
2.911 Written application required. 2.913 Submittal of equipment authorization
application or information to the Com- mission.
2.915 Grant of application. 2.917 Dismissal of application. 2.919 Denial of application. 2.921 Hearing on application. 2.923 Petition for reconsideration; applica-
tion for review. 2.924 Marketing of electrically identical
equipment having multiple trade names and models or type numbers under the same FCC Identifier.
2.925 Identification of equipment. 2.926 FCC identifier.
CONDITIONS ATTENDANT TO AN EQUIPMENT AUTHORIZATION
2.927 Limitations on grants. 2.929 Changes in name, address, ownership
or control of grantee. 2.931 Responsibility of the grantee. 2.932 Modification of equipment. 2.933 Change in identification of equipment. 2.936 FCC inspection.
2.937 Equipment defect and/or design change.
2.938 Retention of records. 2.939 Revocation or withdrawal of equip-
ment authorization. 2.941 Availability of information relating to
grants. 2.943 Submission of equipment for testing. 2.944 Software defined radios. 2.945 Sampling tests of equipment compli-
ance. 2.946 Penalty for failure to provide test
samples and data. 2.947 Measurement procedure. 2.948 Description of measurement facilities.
VERIFICATION
2.951 Cross reference. 2.952 Limitation on verification. 2.953 Responsibility for compliance. 2.954 Identification. 2.955 Retention of records. 2.956 FCC inspection and submission of
equipment for testing.
TELECOMMUNICATION CERTIFICATION BODIES (TCBS)
2.960 Designation of Telecommunication Certification Bodies (TCBs).
2.962 Requirements for Telecommunication Certification Bodies.
CERTIFICATION
2.1031 Cross reference. 2.1033 Application for certification. 2.1035 [Reserved] 2.1041 Measurement procedure. 2.1043 Changes in certificated equipment. 2.1046 Measurements required: RF power
output. 2.1047 Measurements required: Modulation
characteristics. 2.1049 Measurements required: Occupied
bandwidth. 2.1051 Measurements required: Spurious
emissions at antenna terminals. 2.1053 Measurements required: Field
strength of spurious radiation. 2.1055 Measurements required: Frequency
stability. 2.1057 Frequency spectrum to be inves-
tigated. 2.1060 Equipment for use in the amateur
radio service.
DECLARATION OF CONFORMITY
2.1071 Cross reference. 2.1072 Limitation on Declaration of Con-
formity. 2.1073 Responsibilities. 2.1074 Identification. 2.1075 Retention of records. 2.1076 FCC inspection and submission of
equipment for testing. 2.1077 Compliance information.
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1 The terms permissible interference and ac- cepted interference are used in the coordina- tion of frequency assignments between ad- ministrations.
RADIOFREQUENCY RADIATION EXPOSURE
2.1091 Radiofrequency radiation exposure evaluation: mobile devices.
2.1093 Radiofrequency radiation exposure evaluation: portable devices.
Subpart K—Importation of Devices Capable of Causing Harmful Interference
2.1201 Purpose. 2.1202 Exclusions. 2.1203 General requirement for entry into
the U.S.A. 2.1204 Import conditions. 2.1205 Filing of required declaration. 2.1207 Examination of imported equipment.
Subpart L [Reserved]
Subpart M—Advance Approval of Subscription TV Transmission Systems
ADVANCE APPROVAL PROCEDURE
2.1400 Application for advance approval under part 73.
Subpart N—FCC Procedure for Testing Class A, B and S Emergency Position Indicating Radiobeacons (EPIRBs)
GENERAL
2.1501 Introduction. 2.1503 Test environment. 2.1505 Test instrumentation and equipment.
ENVIRONMENTAL AND OPERATIONAL TEST PROCEDURES
2.1507 Test frequencies. 2.1509 Environmental and duration tests. 2.1511 Measurements of radiated emissions. 2.1513 Measurements of modulation charac-
teristics. 2.1515 Spectral measurements.
DATA RECORDING/REPORTING REQUIREMENTS
2.1517 Data recording/reporting require- ments.
FIGURE 1 TO SUBPART N—MEASUREMENT SITE FIGURE 2 TO SUBPART N—TYPICAL AUDIO
WAVEFORM FIGURE 3 TO SUBPART N—EXAMPLE OF IDEAL
EPIRB SPECTRUM FIGURE 4 TO SUBPART N—EXAMPLE OF EPIRB
CARRIER COMPONENT
AUTHORITY: 47 U.S.C. 154, 302a, 303, and 336, unless otherwise noted.
SOURCE: 28 FR 12465, Nov. 22, 1963, unless otherwise noted.
EDITORIAL NOTE: Nomenclature changes to part 2 appear at 63 FR 54077, Oct. 8, 1998.
Subpart A—Terminology
§ 2.1 Terms and definitions. (a) Where a term or definition ap-
pears in this part of the Commission’s Rules, it shall be the definitive term or definition and shall prevail throughout the Commission’s Rules.
(b) The source of each definition is indicated as follows: CS—Annex to the Constitution of the
International Telecommunication Union (ITU)
CV—Annex to the Convention of the ITU
FCC—Federal Communications Com- mission
RR—ITU Radio Regulations (c) The following terms and defini-
tions are issued: Accepted Interference. 1 Interference at
a higher level than defined as permis- sible interference and which has been agreed upon between two or more ad- ministrations without prejudice to other administrations. (RR)
Active Satellite. A satellite carrying a station intended to transmit or re- transmit radiocommunication signals. (RR)
Active Sensor. A measuring instru- ment in the earth exploration-satellite service or in the space research service by means of which information is ob- tained by transmission and reception of radio waves. (RR)
Adaptive System. A radiocommunication system which varies its radio characteristics accord- ing to channel quality. (RR)
Administration. Any governmental de- partment or service responsible for dis- charging the obligations undertaken in the Constitution of the International Telecommunication Union, in the Con- vention of the International Tele- communication Union and in the Ad- ministrative Regulations. (CS)
Aeronautical Earth Station. An Earth station in the fixed-satellite service, or, in some cases, in the aeronautical mobile-satellite service, located at a specified fixed point on land to provide
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a feeder link for the aeronautical mo- bile-satellite service. (RR)
Aeronautical Fixed Service. A radiocommunication service between specified fixed points provided pri- marily for the safety of air navigation and for the regular, efficient and eco- nomical operation of air transport. (RR)
Aeronautical Fixed Station. A station in the aeronautical fixed service. (RR)
Aeronautical Mobile Off-Route (OR) Service. An aeronautical mobile service intended for communications, includ- ing those relating to flight coordina- tion, primarily outside national or international civil air routes. (RR)
Aeronautical Mobile Route (R) Service. An aeronautical mobile service re- served for communications relating to safety and regularity of flight, pri- marily along national or international civil air routes. (RR)
Aeronautical Mobile-Satellite Off-Route (OR) Service. An aeronautical mobile- satellite service intended for commu- nications, including those relating to flight coordination, primarily outside national and international civil air routes. (RR)
Aeronautical Mobile-Satellite Route (R) Service. An aeronautical mobile-sat- ellite service reserved for communica- tions relating to safety and regularity of flights, primarily along national or international civil air routes. (RR)
Aeronautical Mobile-Satellite Service. A mobile-satellite service in which mo- bile earth stations are located on board aircraft; survival craft stations and emergency position-indicating radio- beacon stations may also participate in this service. (RR)
Aeronautical Mobile Service. A mobile service between aeronautical stations and aircraft stations, or between air- craft stations, in which survival craft stations may participate; emergency position-indicating radiobeacon sta- tions may also participate in this serv- ice on designated distress and emer- gency frequencies. (RR)
Aeronautical Radionavigation-Satellite Service. A radionavigation-satellite service in which earth stations are lo- cated on board aircraft. (RR)
Aeronautical Radionavigation Service. A radio-navigation service intended for
the benefit and for the safe operation of aircraft. (RR)
Aeronautical Station. A land station in the aeronautical mobile service.
NOTE: In certain instances, an aeronautical station may be located, for example, on board ship or on a platform at sea. (RR)
Aircraft Earth Station. A mobile earth station in the aeronautical mobile-sat- ellite service located on board an air- craft. (RR)
Aircraft Station. A mobile station in the aeronautical mobile service, other than a survival craft station, located on board an aircraft. (RR)
Allocation (of a frequency band). Entry in the Table of Frequency Allocations of a given frequency band for the pur- pose of its use by one or more terres- trial or space radiocommunication services or the radio astronomy service under specified conditions. This term shall also be applied to the frequency band concerned. (RR)
Allotment (of a radio frequency or radio frequency channel). Entry of a des- ignated frequency channel in an agreed plan, adopted by a competent con- ference, for use by one or more admin- istrations for a terrestrial or space radiocommunication service in one or more identified countries or geo- graphical area and under specified con- ditions. (RR)
Altitude of the Apogee or Perigee. The altitude of the apogee or perigee above a specified reference surface serving to represent the surface of the Earth. (RR)
Amateur-Satellite Service. A radiocommunication service using space stations on earth satellites for the same purposes as those of the ama- teur service. (RR)
Amateur Service. A radiocommunication service for the purpose of self-training, intercommuni- cation and technical investigations carried out by amateurs, that is, by duly authorized persons interested in radio technique solely with a personal aim and without pecuniary interest. (RR)
Amateur Station. A station in the amateur service. (RR)
Assigned Frequency. The centre of the frequency band assigned to a station. (RR)
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Assigned Frequency Band. The fre- quency band within which the emission of a station is authorized; the width of the band equals the necessary band- width plus twice the absolute value of the frequency tolerance. Where space stations are concerned, the assigned frequency band includes twice the max- imum Doppler shift that may occur in relation to any point of the Earth’s surface. (RR)
Assignment (of a radio frequency or radio frequency channel). Authorization given by an administration for a radio station to use a radio frequency or radio frequency channel under speci- fied conditions. (RR)
Base Earth Station. An earth station in the fixed-satellite service or, in some cases, in the land mobile-satellite service, located at a specified fixed point or within a specified area on land to provide a feeder link for the land mobile-satellite service. (RR)
Base Station. A land station in the land mobile service. (RR)
Broadcasting-Satellite Service. A radiocommunication service in which signals transmitted or retransmitted by space stations are intended for di- rect reception by the general public.
NOTE: In the broadcasting-satellite service, the term direct reception shall encompass both individual reception and community re- ception. (RR)
Broadcasting Service. A radiocommunication service in which the transmissions are intended for di- rect reception by the general public. This service may include sound trans- missions, television transmissions or other types of transmission. (CS)
Broadcasting Station. A station in the broadcasting service. (RR)
Carrier Power (of a radio transmitter). The average power supplied to the an- tenna transmission line by a trans- mitter during one radio frequency cycle taken under the condition of no modulation. (RR)
Characteristic Frequency. A frequency which can be easily identified and measured in a given emission.
NOTE: A carrier frequency may, for exam- ple, be designated as the characteristic fre- quency. (RR)
Class of Emission. The set of charac- teristics of an emission, designated by
standard symbols, e.g., type of modula- tion, modulating signal, type of infor- mation to be transmitted, and also if appropriate, any additional signal characteristics. (RR)
Coast Earth Station. An earth station in the fixed-satellite service or, in some cases, in the maritime mobile- satellite service, located at a specified fixed point on land to provide a feeder link for the maritime mobile-satellite service. (RR)
Coast Station. A land station in the maritime mobile service. (RR)
Community Reception (in the broad- casting-satellite service). The reception of emissions from a space station in the broadcasting-satellite service by receiving equipment, which in some cases may be complex and have anten- nae larger than those for individual re- ception, and intended for use: (1) by a group of the general public at one loca- tion; or (2) through a distribution sys- tem covering a limited area. (RR)
Conterminous United States. The con- tiguous 48 States and the District of Columbia. (FCC)
Coordinated Universal Time (UTC). Time scale, based on the second (SI), as defined in Recommendation ITU–R TF.460–6.
NOTE: For most practical purposes associ- ated with the ITU Radio Regulations, UTC is equivalent to mean solar time at the prime meridian (0° longitude), formerly expressed in GMT. (RR)
Coordination Area. When determining the need for coordination, the area sur- rounding an earth station sharing the same frequency band with terrestrial stations, or surrounding a transmitting earth station sharing the same bidirectionally allocated frequency band with receiving earth stations, be- yond which the level of permissible in- terference will not be exceeded and co- ordination is therefore not required. (RR)
Coordination Contour. The line enclos- ing the coordination area. (RR)
Coordination Distance. When deter- mining the need for coordination, the distance on a given azimuth from an earth station sharing the same fre- quency band with terrestrial stations, or from a transmitting earth station sharing the same bidirectionally allo- cated frequency band with receiving
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3 In general, duplex operation and semi-du- plex operation require two frequencies in radiocommunication; simplex operation may use either one or two.
earth stations, beyond which the level of permissible interference will not be exceeded and coordination is therefore not required. (RR)
Deep Space. Space at distance from the Earth equal to, or greater than, 2×106 kilometers. (RR)
Differential Global Positioning System (DGPS) Station. A differential RNSS station for specific augmentation of GPS.
Differential Radionavigation Satellite Service (Differential RNSS) Station. A station used for the transmission of differential correction data and related information (such as ionospheric data and RNSS satellite integrity informa- tion) as an augmentation to an RNSS system for the purpose of improved navigation accuracy.
Direct Sequence Systems. A spread spectrum system in which the carrier has been modulated by a high speed spreading code and an information data stream. The high speed code sequence dominates the ‘‘modulating function’’ and is the direct cause of the wide spreading of the transmitted signal.
Duplex Operation. Operating method in which transmission is possible si- multaneously in both directions of a telecommunication channel. 3 (RR)
Earth Exploration-Satellite Service. A radiocommunication service between earth stations and one or more space stations, which may include links be- tween space stations in which:
(1) Information relating to the char- acteristics of the Earth and its natural phenomena is obtained from active sensors or passive sensors on earth sat- ellites;
(2) Similar information is collected from air-borne or earth-based plat- forms;
(3) Such information may be distrib- uted to earth stations within the sys- tem concerned;
(4) Platform interrogation may be in- cluded.
NOTE: This service may also include feeder links necesary for its operation. (RR)
Earth Station. A station located ei- ther on the earth’s surface or within
the major portion of earth’s atmos- phere and intended for communication:
(1) With one or more space stations; or
(2) With one or more stations of the same kind by means of one or more re- flecting satellites or other objects in space. (RR)
Effective Radiated Power (e.r.p) (in a given direction). The product of the power supplied to the antenna and its gain relative to a half-wave dipole in a given direction. (RR)
Emergency Position-Indicating Radio- beacon Station. A station in the mobile service the emissions of which are in- tended to facilitate search and rescue operations. (RR)
Emission. Radiation produced, or the production of radiation, by a radio transmitting station.
NOTE: For example, the energy radiated by the local oscillator of a radio receiver would not be an emission but a radiation. (RR)
Equivalent Isotropically Radiated Power (e.i.r.p.). The product of the power suppled to the antenna and the antenna gain in a given direction rel- ative to an isotropic antenna. (RR)
Equivalent Monopole Radiated Power (e.m.r.p.) (in a given direction). The prod- uct of the power supplied to the an- tenna and its gain relative to a short vertical antenna in a given direction. (RR)
Equivalent Satellite Link Noise Tem- perature. The noise temperature re- ferred to the output of the receiving antenna of the earth station cor- responding to the radio-frequency noise power which produces the total ob- served noise at the output of the sat- ellite link excluding the noise due to interference coming from satellite links using other satellites and from terrestrial systems. (RR)
Experimental Station. A station uti- lizing radio waves in experiments with a view to the development of science or technique.
NOTE: This definition does not include amateur stations. (RR)
Facsimile. A form of telegraphy for the transmission of fixed images, with or without half-tones, with a view to their reproduction in a permanent form. (RR)
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Feeder Link. A radio link from an earth station at a given location to a space station, or vice versa, conveying information for a space radiocommunication service other than for the fixed-satellite service. The given location may be at a specified fixed point, or at any fixed point with- in specified areas. (RR)
Fixed-Satellite Service. A radiocommunication service between earth stations at given positions, when one or more satellites are used; the given position may be a specified fixed point or any fixed point within speci- fied areas; in some cases this service includes satellite-to-satellite links, which may also be operated in the inter-satellite service; the fixed-sat- ellite service may also include feeder links for other space radiocommunication services. (RR)
Fixed Service. A radiocommunication service between specified fixed points. (RR)
Fixed Station. A station in the fixed service. (RR)
Frequency Assignment Subcommittee (FAS). A subcommittee of the Inter- department Radio Advisory Committee (IRAC) within NTIA that develops and executes procedures for the assignment and coordination of Federal radio fre- quencies. (FCC)
Frequency Hopping Systems. A spread spectrum system in which the carrier is modulated with the coded informa- tion in a conventional manner causing a conventional spreading of the RF en- ergy about the frequency carrier. The frequency of the carrier is not fixed but changes at fixed intervals under the di- rection of a coded sequence. The wide RF bandwidth needed by such a system is not required by spreading of the RF energy about the carrier but rather to accommodate the range of frequencies to which the carrier frequency can hop. The test of a frequency hopping system is that the near term distribution of hops appears random, the long term distribution appears evenly distributed over the hop set, and sequential hops are randomly distributed in both direc- tion and magnitude of change in the hop set.
Frequency-Shift Telegraphy. Teleg- raphy by frequency modulation in which the telegraph signal shifts the
frequency of the carrier between pre- determined values. (RR)
Frequency Tolerance. The maximum permissible departure by the centre frequency of the frequency band occu- pied by an emission from the assigned frequency or, by the characteristic fre- quency of an emission from the ref- erence frequency.
NOTE: The frequency tolerance is expressed in parts in 106 or in hertz. (RR)
Full Carrier Single-Sideband Emission. A single-sideband emission without suppression of the carrier. (RR)
Gain of an Antenna. The ratio, usu- ally expressed in decibels, of the power required at the input of a loss free ref- erence antenna to the power supplied to the input of the given antenna to produce, in a given direction, the same field strength or the same power flux- density at the same distance. When not specified otherwise, the gain refers to the direction of maximum radiation. The gain may be considered for a speci- fied polarization.
NOTE: Depending on the choice of the ref- erence antenna a distinction is made be- tween:
(1) Absolute or isotropic gain (Gi), when the reference antenna is an isotropic an- tenna isolated in space;
(2) Gain relative to a half-wave dipole (Gd), when the reference antenna is a half-wave dipole isolated in space whose equatorial plane contains the given direction;
(3) Gain relative to a short vertical an- tenna (Gv), when the reference antenna is a linear conductor, much shorter than one quarter of the wavelength, normal to the surface of a perfectly conducting plane which contains the given direction. (RR)
General Purpose Mobile Service. A mo- bile service that includes all mobile communications uses including those within the Aeronautical Mobile, Land Mobile, or the Maritime Mobile Serv- ices.
Geostationary Satellite. A geosynchro- nous satellite whose circular and direct orbit lies in the plane of the Earth’s equator and which thus remains fixed relative to the Earth; by extension, a geosynchronous satellite which re- mains approximately fixed relative to the Earth. (RR)
Geostationary Satellite Orbit. The orbit in which a satellite must be placed to be a geostationary satellite. (RR)
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Geosynchronous Satellite. An Earth satellite whose period of revolution is equal to the period of rotation of the Earth about its axis. (RR)
Government Master File (GMF). NTIA’s database of Federal assignments. It also includes non-Federal authoriza- tions coordinated with NTIA for the bands allocated for shared Federal and non-Federal use. (FCC)
Harmful Interference. Interference which endangers the functioning of a radionavigation service or of other safety services or seriously degrades, obstructs, or repeatedly interrupts a radiocommunication service operating in accordance with [the ITU] Radio Regulations. (CS)
High Altitude Platform Station (HAPS). A station located on an object at an al- titude of 20 to 50 km and at a specified, nominal, fixed point relative to the Earth. (RR)
Hybrid Spread Spectrum Systems. Hy- brid spread spectrum systems are those which use combinations of two or more types of direct sequence, frequency hopping, time hopping and pulsed FM modulation in order to achieve their wide occupied bandwidths.
Inclination of an Orbit (of an earth sat- ellite). The angle determined by the plane containing the orbit and the plane of the Earth’s equator measured in degrees between 0° and 180° and in counter-clockwise direction from the Earth’s equatorial plane at the ascend- ing node of the orbit. (RR)
Individual Reception (in the broad- casting-satellite service). The reception of emissions from a space station in the broadcasting-satellite service by simple domestic installations and in particular those possessing small an- tennae. (RR)
Industrial, Scientific and Medical (ISM) (of radio frequency energy) Applications. Operation of equipment or appliances designed to generate and use locally radio-frequency energy for industrial, scientific, medical, domestic or similar purposes, excluding applications in the field of telecommunications. (RR)
Instrument Landing System (ILS). A radionavigation system which provides aircraft with horizontal and vertical guidance just before and during landing and, at certain fixed points, indicates
the distance to the reference point of landing. (RR)
Instrument Landing System Glide Path. A system of vertical guidance em- bodied in the instrument landing sys- tem which indicates the vertical devi- ation of the aircraft from its optimum path of descent. (RR)
Instrument Landing System Localizer. A system of horizontal guidance em- bodied in the instrument landing sys- tem which indicates the horizontal de- viation of the aircraft from its opti- mum path of descent along the axis of the runway. (RR)
Insular area. A jurisdiction that is neither a part of one of the several States nor a Federal district. The U.S. insular areas are listed in 47 CFR 2.105(a) at notes 2 and 3. (FCC)
Interdepartment Radio Advisory Com- mittee (IRAC). A committee of the Fed- eral departments, agencies, and admin- istrations that advises NTIA in assign- ing frequencies to Federal radio sta- tions and in developing and executing policies, programs, procedures, and technical criteria pertaining to the al- location, management, and use of the spectrum. The IRAC consists of a main committee, subcommittees, and sev- eral ad hoc groups that consider var- ious aspects of spectrum management policy. The FCC serves as a member of the Frequency Assignment Sub- committee and as Liaison Representa- tive on the main committee, all other subcommittees and ad hoc groups. (FCC)
Interference. The effect of unwanted energy due to one or a combination of emissions, radiations, or inductions upon reception in a radiocommunication system, mani- fested by any performance degradation, misinterpretation, or loss of informa- tion which could be extracted in the absence of such unwanted energy. (RR)
International Telecommunication Union (ITU). An international organization within the United Nations System where governments and the private sector coordinate global telecom net- works and services. The ITU is headquartered in Geneva, Switzerland and its internet address is www.itu.int. (FCC)
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Inter-Satellite Service. A radiocommunication service providing links between artificial satellites. (RR)
Ionospheric Scatter. The propagation of radio waves by scattering as a result of irregularities or discontinuities in the ionization of the ionosphere. (RR)
Land Earth Station. An earth station in the fixed-satellite service or, in some cases, in the mobile-satellite service, located at a specified fixed point or within a specified area on land to provide a feeder link for the mobile- satellite service. (RR)
Land Mobile Earth Station. A mobile earth station in the land mobile-sat- ellite service capable of surface move- ment within the geographical limits of a country or continent. (RR)
Land Mobile-Satellite Service. A mo- bile-satellite service in which mobile earth stations are located on land. (RR)
Land Mobile Service. A mobile service between base stations and land mobile stations, or between land mobile sta- tions. (RR)
Land Mobile Station. A mobile station in the land mobile service capable of surface movement within the geo- graphical limits of a country or con- tinent.
Land Station. A station in the mobile service not intended to be used while in motion. (RR)
Left-Hand (or Anti-Clockwise) Polarized Wave. An elliptically or circularly-po- larized wave, in fixed plane, normal to the direction of propagation, whilst looking in the direction of propagation, rotates with time in a left hand or anti-clockwise direction. (RR)
Line A. Begins at Aberdeen, Wash- ington running by great circle arc to the intersection of 48° N., 120° W., thence along parallel 48° N., to the intersection of 95° W., thence by great circle arc through the southernmost point of Duluth, Minn., thence by great circle arc to 45° N., 85° W., thence southward along meridian 85° W., to its intersection with parallel 41° N., thence along parallel 41° N., to its intersection with meridian 82° W., thence by great circle arc through the southernmost point of Bangor, Maine, thence by great circle arc through the southern- most point of Searsport, Maine, at which point it terminates. (FCC)
Line B. Begins at Tofino, B.C., run- ning by great circle arc to the intersec- tion of 50° N., 125° W., thence along par- allel 50° N., to the intersection of 90° W., thence by great circle arc to the intersection of 45° N., 79°30′ W., thence by great circle arc through the north- ernmost point of Drummondville, Que- bec (Lat. 45°52′ N., Long 72°30′ W.), thence by great circle arc to 48°30′ N., 70° W., thence by great circle arc through the northernmost point of Compbellton, N.B., thence by great cir- cle are through the northernmost point of Liverpool, N.S., at which point it terminates. (FCC)
Line C. Begins at the intersection of 70° N., 144° W., thence by great circle arc to the intersection of 60° N., 143° W., thence by great circle arc so as to include all of the Alaskan Panhandle. (FCC)
Line D. Begins at the intersection of 70° N., 138° W., thence by great circle arc to the intersection of 61°20′ N., 139° W. (Burwash Landing), thence by great circle arc to the intersection of 60°45′ N., 135° W., thence by great circle arc to the intersection of 56° N., 128° W., thence south along 128° meridian to Lat. 55° N., thence by great circle arc to the intersection of 54° N., 130° W., thence by great circle arc to Port Clements, thence to the Pacific Ocean where it ends. (FCC)
Maritime Mobile-Satellite Service. A mobile-satellite service in which mo- bile earth stations are located on board ships; survival craft stations and emer- gency position-indicating radiobeacon stations may also participate in this service. (RR)
Maritime Mobile Service. A mobile service between coast stations and ship stations, or between ship stations, or between associated on-board commu- nication stations; survival craft sta- tions and emergency position-indi- cating radiobeacon stations may also participate in this service. (RR)
Maritime Radionavigation-Satellite Service. A radionavigation-satellite service in which earth stations are lo- cated on board ships. (RR)
Maritime Radionavigation Service. A radionavigation service intended for the benefit and for the safe operation of ships. (RR)
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Marker Beacon. A transmitter in the aeronautical radionavigation service which radiates vertically a distinctive pattern for providing position informa- tion to aircraft. (RR)
Mean Power (of a radio transmitter). The average power supplied to the an- tenna transmission line by a trans- mitter during an interval of time suffi- ciently long compared with the lowest frequency encountered in the modula- tion taken under normal operating conditions. (RR)
Meteorological Aids Service. A radiocommunication service used for meteorological, including hydrological, observation and exploration. (RR)
Meteorological-Satellite Service. An earth exploration-satellite service for meteorological purposes. (RR)
Mobile Earth Station. An earth station in the mobile-satellite service intended to be used while in motion or during halts at unspecified points. (RR)
Mobile-Satellite Service. A radiocommunication service:
(1) Between mobile earth stations and one or more space stations, or be- tween space stations used by this serv- ice; or
(2) Between mobile earth stations by means of one or more space stations.
NOTE: This service may also include feeder links necessary for its operation. (RR)
Mobile Service. A radiocommunication service between mobile and land sta- tions, or between mobile stations. (CV)
Mobile Station. A station in the mo- bile service intended to be used while in motion or during halts at unspec- ified points. (RR)
Multi-Satellite Link. A radio link be- tween a transmitting earth station and a receiving earth station through two or more satellites, without any inter- mediate earth station.
NOTE: A multisatellite link comprises one up-link, one or more satellite-to-satellite links and one down-link. (RR)
National Telecommunications and In- formation Administration (NTIA). An agency of the United States Depart- ment of Commerce that serves as the President’s principal advisor on tele- communications and information pol- icy issues. NTIA manages Federal use of the radio spectrum and coordinates Federal use with the FCC. NTIA sets
forth regulations for Federal use of the radio spectrum within its Manual of Regulations & Procedures for Federal Radio Frequency Management (NTIA Manuan( �/i>. (FCC)
Necessary Bandwidth. For a given class of emission, the width of the fre- quency band which is just sufficient to ensure the transmission of information at the rate and with the quality re- quired under specified conditions. (RR)
Non-Voice, Non-Geostationary Mobile- Satellite Service. A mobile-satellite serv- ice reserved for use by non-geo- stationary satellites in the provision of non-voice communications which may include satellite links between land earth stations at fixed locations.
Occupied Bandwidth. The width of a frequency band such that, below the lower and above the upper frequency limits, the mean powers emitted are each equal to a specified percentage Beta/2 of the total mean power of a given emission.
NOTE: Unless otherwise specified by the CCIR for the appropriate class of emission, the value of Beta/2 should be taken as 0.5%. (RR)
On-Board Communication Station. A low-powered mobile station in the mar- itime mobile service intended for use for internal communications on board a ship, or between a ship and its life- boats and life-rafts during lifeboat drills or operations, or for communica- tion within a group of vessels being towed or pushed, as well as for line handling and mooring instructions. (RR)
Orbit. The path, relative to a speci- fied frame of reference, described by the centre of mass of a satellite or other object in space subjected pri- marily to natural forces, mainly the force of gravity. (RR)
Out-of-band domain (of an emission). The frequency range, immediately out- side the necessary bandwidth but ex- cluding the spurious domain, in which out-of-band emissions generally pre- dominate. Out-of-band emissions, de- fined based on their source, occur in the out-of-band domain and, to a lesser extent, in the spurious domain. Spu- rious emissions likewise may occur in the out-of-band domain as well as in the spurious domain. (RR)
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3 See footnote under Accepted Interference.
Out-of-band Emission. Emission on a frequency or frequencies immediately outside the necessary bandwidth which results from the modulation process, but excluding spurious emissions. (RR)
Passive Sensor. A measuring instru- ment in the earth exploration-satellite service or in the space research service by means of which information is ob- tained by reception of radio waves of natural origin. (RR)
Peak Envelope Power (of a radio trans- mitter). The average power supplied to the antenna transmission line by a transmitter during one radio frequency cycle at the crest of the modulation en- velope taken under normal operating conditions. (RR)
Period (of a satellite). The time elaps- ing between two consecutive passages of a satellite through a characteristic point on its orbit. (RR)
Permissible Interference.3 Observed or predicted interference which complies with quantitative interference and sharing criteria contained in these [ITU Radio] Regulations or in ITU–R Recommendations or in special agree- ments as provided for in these Regula- tions. (RR)
Port Operations Service. A maritime mobile service in or near a port, be- tween coast stations and ship stations, or between ship stations, in which mes- sages are restricted to those relating to the operational handling, the move- ment and the safty of ships and, in emergency, to the safety of persons.
NOTE: Messages which are of a public cor- respondence nature shall be excluded from this service. (RR)
Port Station. A coast station in the port operations service. (RR)
Power. Whenever the power of a radio transmitter, etc. is referred to it shall be expressed in one of the following forms, according to the class of emis- sion, using the arbitrary symbols indi- cated:
(1) Peak envelope power (PX or pX); (2) Mean power (PY or pY); (3) Carrier power (PZ or pZ).
NOTE 1: For different classes of emission, the relationships between peak envelope power, mean power and carrier power, under the conditions of normal operation and of no
modulation, are contained in ITU–R Rec- ommendations which may be used as a guide.
NOTE 2: For use in formulae, the symbol p denotes power expressed in watts and the symbol P denotes power expressed in deci- bels relative to a reference level. (RR)
Primary Radar. A radiodetermination system based on the comparison of ref- erence signals with radio signals re- flected from the position to be deter- mined. (RR)
Protection Ratio. The minimum value of the wanted-to-unwanted signal ratio, usually expressed in decibels, at the receiver input determined under specified conditions such that a speci- fied reception quality of the wanted signal is achieved at the receiver out- put. (RR)
Public Correspondence. Any tele- communication which the offices and stations must, by reason of their being at the disposal of the public, accept for transmission. (CS)
Pulsed FM Systems. A pulsed FM sys- tem is a spread spectrum system in which a RF carrier is modulated with a fixed period and fixed duty cycle se- quence. At the beginning of each trans- mitted pulse, the carrier frequency is frequency modulated causing an addi- tional spreading of the carrier. The pattern of the frequency modulation will depend upon the spreading func- tion which is chosen. In some systems the spreading function is a linear FM chirp sweep, sweeping either up or down in frequency.
Radar. A radiodetermination system based on the comparison of reference signals with radio signals reflected, or retrainsmitted, from the position to be determined. (RR)
Radar Beacon (RACON). A trans- mitter-receiver associated with a fixed navigational mark which, when trig- gered by a radar, automatically re- turns a distinctive signal which can ap- pear on the display of the triggering radar, providing range, bearing and identification information. (RR)
Radiation. The outward flow of en- ergy from any source in the form of radio waves. (RR)
Radio. A general term applied to the use of radio waves. (RR)
Radio Altimeter. Radionavigation equipment, on board an aircraft or spacecraft or the spacecraft above the
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Federal Communications Commission § 2.1
Earth’s surface or another surface. (RR)
Radio Astronomy. Astronomy based on the reception of radio waves of cosmic origin. (RR)
Radio Astronomy Service. A service in- volving the use of radio astronomy. (RR)
Radio Astronomy Station. A station in the radio astronomy service. (RR)
Radiobeacon Station. A station in the radionavigation service the emissions of which are intended to enable a mo- bile station to determine its bearing or direction in relation to radiobeacon station. (RR)
Radiocommunication. Telecommuni- cation by means of radio waves. (CS) (CV)
Radiocommunication Service. A service as defined in this Section involving the transmission, emission and/or recep- tion of radio waves for specific tele- communication purposes.
NOTE: In these [international] Radio Regu- lations, unless otherwise stated, any radiocommunication service relates to ter- restrial radiocommunication. (RR)
Radiodetermination. The determina- tion of the position, velocity and/or other characteristics of an object, or the obtaining of information relating to these parameters, by means of the propagation properties of radio waves. (RR)
Radiodetermination-Satellite Service. A radiocommunication service for the purpose of radiodetermination involv- ing the use or one of more space sta- tions. This service may also include feeder links necessary for its own oper- ation. (RR)
Radiodetermination Service. A radiocommunication service for the purpose of radiodetermination. (RR)
Radiodetermination Station. A station in the radiodetermination serviice. (RR)
Radio Direction-Finding. Radio- determination using the reception of radio waves for the purpose of deter- mining the direction of a station or ob- ject. (RR)
Radio Direction-Finding Station. A radiodetermination station using radio direction-finding. (RR)
Radiolocation. Radiodetermination used for purposes other than those of radionavigation. (RR)
Radiolocation Land Station. A station in the radiolocation service not in- tended to be used while in motion. (RR)
Radiolocation Mobile Station. A sta- tion in the radiolocation service in- tended to be used while in motion or during halts at unspecified points. (RR)
Radiolocation Service. A radio- determination service for the purpose of radiolocation. (RR)
Radionavigation. Radiodetermination used for the purposes of navigation, in- cluding obstruction warning.
Radionavigation Land Station. A sta- tion in the radionavigation service not intended to be used while in motion. (RR)
Radionavigation Mobile Station. A sta- tion in the radionavigation service in- tended to be used while in motion or during halts at unspecified points. (RR)
Radionavigation-Satellite Service. A radiodetermination-satellite service used for the purpose of radio- navigation. This service may also in- clude feeder links necessary for its op- eration. (RR)
Radionavigation Service. A radiod- etermination service for the purpose of radionavigation. (RR)
Radiosonde. An automatic radio transmitter in the meteorological aids service usually carried on an aircraft, free ballon, kite or parachute, and which transmits meteorological data. (RR)
Radiotelegram. A telegram, origi- nating in or intended for a mobile sta- tion or a mobile earth station trans- mitted on all or part of its route over the radiocommunication channels of the mobile service or of the mobile-sat- ellite service. (RR)
Radiotelemetry. Telemetry by means of radio waves. (RR)
Radiotelephone Call. A telephone call, originating in or intended for a mobile station or a mobile earth station, transmitted on all or part of its route over the radiocommunication channels of the mobile service or of the mobile- satellite service. (RR)
Radiotelex Call. A telex call, origi- nating in or intended for a mobile sta- tion or a mobile earth station, trans- mitted on all or part of its route over the radiocommunication channels of the mobile service or the mobile-sat- ellite service. (RR)
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47 CFR Ch. I (10–1–10 Edition)§ 2.1
4 See footnote under Duplex Operation. 5 (See footnote under Duplex Operations.)
Radio Waves or Hertzian Waves. Elec- tromagnetic waves of frequencies arbi- trarily lower than 3,000 GHz, propa- gated in space without aritificial guide. (RR)
Reduced Carrier Single-Sideband Emis- sion. A single-sideband emission in which the degree of carrier suppession enables the carrier to be reconstrituted and to be used for demodulation. (RR)
Reference Frequency. A frequency hav- ing a fixed and specified position with respect to the assigned frequency. The displacement of this frequency with re- spect to the assigned frequency has the same absolute value and sign that the displacement of the characteristic fre- quency has with respect to the centre of the frequency band occupied by the emission. (RR)
Reflecting Satellite. A satellite in- tended to reflect radiocommunication signals. (RR)
Right-Hand (or Clockwise) Polarized Wave. An Elliptically or circularly-po- larized wave, in which the electric field vector, observed in any fixed plane, normal to the direction of propagation, whilst looking in the direction of prop- agation, rotates with time in a right- hand or clockwise direction. (RR)
Safety Service. Any radiocommunication service used per- manently or temporarily for the safe- guarding of human life and property. (RR)
Satellite. A body which revolves around another body of preponderant mass and which has a motion primarily and permanently determined by the force of attraction of that other body. (RR)
Satellite Link. A radio link between a transmitting earth station and a re- ceiving earth station through one sat- ellite. A satellite link comprises one up-link and one down-link. (RR)
Satellite Network. A satellite system or a part of a satellite system, con- sisting of only one satellite and the co- operating earth stations. (RR)
Satellite System. A space system using one or more artificial earth satellites. (RR)
Secondary Radar. A radiodetermin- ation system based on the comparison of reference signals with radio signals retransmitted from the position to be determined. (RR)
Semi-Duplex Operation.4 A method which is simplex operation on one end of the circuit and duplex operation at the other. (RR)
Simplex Operation.4 Operating method in which transmission is made possible alternatively in each direction of a telecommunication channel, for exam- ple, by means of manual control.
Ship Earth Station. A mobile earth station in the maritime mobile-sat- ellite service located on board ship. (RR)
Ship Movement Service. A safety serv- ice in the maritime mobile service other than a port operations service, between coast stations and ship sta- tions, or between ship stations, in which messages are restricted to those relating to the movement of ships. Messages which are of a public cor- respondence nature shall be excluded from this service. (RR)
Ship’s Emergency Transmitter. A ship’s transmitter to be used exclusively on a distress frequency for distress, urgency or safety purposes. (RR)
Ship Station. A mobile station in the maritime mobile service located on board a vessel which is not perma- nently moored, other than a survival craft station. (RR)
Simplex Operation. Operating method in which transmission is made possible alternatively in each direction of a telecommunication channel, for exam- ple, by means of manual control. 5 (RR)
Single-Sideband Emission. An ampli- tude modulated emission with one side- band only. (RR)
Software defined radio. A radio that includes a transmitter in which the op- erating parameters of frequency range, modulation type or maximum output power (either radiated or conducted), or the circumstances under which the transmitter operates in accordance with Commission rules, can be altered by making a change in software with- out making any changes to hardware components that affect the radio fre- quency emissions. In accordance with § 2.944 of this part, only radios in which the software is designed or expected to be modified by a party other than the manufacturer and would affect the
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above-listed operating parameters or circumstances under which the radio transmits must be certified as software defined radios.
Spacecraft. A man-made vehicle which is intended to go beyond the major portion of the Earth’s atmos- phere. (RR)
Space Operation Service. A radiocommunication service concerned exclusively with the operation of spacecraft, in particular space track- ing, space telemetry, and space tele- command.
NOTE: These functions will normally be provided within the service in which the space station is operating. (RR)
Space Radiocommunication. Any radiocommunication involving the use of one or more space stations or the use of one or more reflecting satellites or other objects in space. (RR)
Space Research Service. A radiocommunication service in which spacecraft or other objects in space are used for scientific or technological re- search purposes. (RR)
Space Station. A station located on an object which is beyond, is intended to go beyond, or has been beyond, the major portion of the Earth’s atmos- phere. (RR)
Space System. Any group of cooper- ating Earth stations and/or space sta- tions employing space radiocommunication for specific pur- poses. (RR)
Space Telecommand. The use of radiocommunication for the trans- mission of signals to a space station to initiate, modify or terminate functions of equipment on a space object, incuding the space station. (RR)
Space Telemetry. The use of telemetry for transmission for a space station of results of measurements made in a spacecraft, including those relating to the functioning of the spacecraft. (RR)
Space Tracking. Determination of the orbit, velocity or instanteneous posi- tion of an object in space by means of radiodetermination, excluding primary radar, for the purpose of following the movement of the object. (RR)
Special Service. A radiocommunication service, not oth- erwise defined in this Section, carried on exclusively for specific needs of gen-
eral utility, and not open to public cor- respondence. (RR)
Spread Spectrum Systems. A spread spectrum system is an information bearing communications system in which: (1) Information is conveyed by modulation of a carrier by some con- ventional means, (2) the bandwidth is deliberately widened by means of a spreading function over that which would be needed to transmit the infor- mation alone. (In some spread spec- trum systems, a portion of the infor- mation being conveyed by the system may be contained in the spreading function.)
Spurious domain (of an emission): The frequency range beyond the out-of- band domain in which spurious emis- sions generally predominate. (RR)
Spurious Emission. Emission on a fre- quency or frequencies which are out- side the necessary bandwidth and the level of which may be reduced without affecting the corresponding trans- mission of information. Spurious emis- sions include harmonic emissions, parasitic emissions, intermodulation products and frequency conversion products, but exclude out-of-band emis- sions. (RR)
Standard Frequency and Time Signal- Satellite Service. A radiocommunication service using space stations on earth satellites for the same purposes as those of the standard frequency and time signal service.
NOTE: This service may also include feeder links necessary for its operation. (RR)
Standard Frequency and Time Signal Service. A radiocommunication service for scientific, technical and other pur- poses, providing the transmission of specified frequencies, time signals, or both, of stated high precision, intended for general reception. (RR)
Standard Frequency and Time Signal Station. A station in the standard fre- quency and time signal service. (RR)
Station. One or more transmitters or receivers or a combination of transmit- ters and receivers, including the acces- sory equipment, necessary at one loca- tion for carrying on a radiocommunication service, or the radio astronomy service.
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47 CFR Ch. I (10–1–10 Edition)§ 2.100
5 A graphic document records information in a permanent form and is capable of being filed and consulted; it may take the form of written or printed matter or of a fixed image.
NOTE: Each station shall be classified by the service in which it operates permanently or temporarily. (RR)
Suppressed Carrier Single-Sideband Emission. A single-sideband emission in which the carrier is virtually sup- pressed and not intended to be used for demodulation. (RR)
Survival Craft Station. A mobile sta- tion in the maritime mobile service or the aeronautical mobile service in- tended solely for survival purposes and located on any lifeboat, life-raft or other survival equipment. (RR)
Telecommand. The use of tele- communication for the transmission of signals to initiate, modify or terminate functions of equipment at a distance. (RR)
Telecommunication. Any transmission, emission or reception of signs, signals, writings, images and sounds or intel- ligence of any nature by wire, radio, optical or other electromagnetic sys- tems. (CS)
Telegram. Written matter intended to be transmitted by telegraphy for deliv- ery to the addressee. This term also in- cludes radiotelegrams unless otherwise specified. (CS)
NOTE: In this definition the term teleg- raphy has the same general meaning as de- fined in the Convention.
Telegraphy.5 A form of telecommuni- cation in which the transmitted infor- mation is intended to be recorded on arrival as a graphic document; the transmitted information may some- times be presented in an alternative form or may be stored for subsequent use. (CS)
Telemetry. The use of telecommuni- cation for automatically indicating or recording measurements at a distance from the measuring instrument. (RR)
Telephony. A form of telecommuni- cation primarily intended for the ex- change of information in the form of speech. (CS)
Television. A form of telecommuni- cation for the transmission of tran- sient images of fixed or moving ob- jects. (RR)
Terrestrial Radiocommunication. Any radiocommunication other than space radiocommunication or radio astron- omy. (RR)
Terrestrial Station. A station effecting terrestrial radiocommunication.
NOTE: In these [international Radio] Regu- lations, unless otherwise stated, any station is a terrestrial station. (RR)
Time Hopping Systems. A time hopping system is a spread spectrum system in which the period and duty cycle of a pulsed RF carrier are varied in a pseudorandom manner under the con- trol of a coded sequence. Time hopping is often used effectively with frequency hopping to form a hybrid time-division, multiple-access (TDMA) spread spec- trum system.
Transponder. A transmitter-receiver facility the function of which is to transmit signals automatically when the proper interrogation is received. (FCC)
Tropospheric Scatter. The propagation of radio waves by scattering as a result of irregularities or discontinuities in the physical properties of the tropo- sphere. (RR)
Unwanted Emissions. Consist of spu- rious emissions and out-of-band emis- sions. (RR)
[49 FR 2368, Jan. 19, 1984, as amended at 50 FR 25239, June 18, 1985; 51 FR 37399, Oct. 22, 1986; 52 FR 7417, Mar. 11, 1987; 54 FR 49980, Dec. 4, 1990; 55 FR 28761, July 13, 1990; 56 FR 42703, Aug. 29, 1991; 58 FR 68058, Dec. 23, 1993; 62 FR 26242, May 13, 1997; 65 FR 60109, Oct. 10, 2000; 66 FR 50840, Oct. 5, 2001; 68 FR 74330, Dec. 23, 2003; 70 FR 23039, May 4, 2005; 70 FR 46583, Aug. 10, 2005; 71 FR 15619, Mar. 29, 2006; 72 FR 31192, June 6, 2007; 73 FR 25421, May 6, 2008]
Subpart B—Allocation, Assign- ment, and Use of Radio Fre- quencies
SOURCE: 49 FR 2373, Jan. 19, 1984, unless otherwise noted.
§ 2.100 International regulations in force.
The ITU Radio Regulations, edition of 2004, have been incorporated to the ex- tent practicable in Subparts A and B of this part.
[70 FR 46583, Aug. 10, 2005]
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§ 2.101 Frequency and wavelength bands.
(a) The radio spectrum shall be sub- divided into nine frequency bands, which shall be designated by progres- sive whole numbers in accordance with the following table. As the unit of fre- quency is the hertz (Hz), frequencies shall be expressed:
(1) In kilohertz (kHz), up to and in- cluding 3 000 kHz;
(2) In megahertz (MHz), above 3 MHz, up to and including 3 000 MHz;
(3) In gigahertz (GHz), above 3 GHz, up to and including 3 000 GHz.
(b) However, where adherence to these provisions would introduce seri- ous difficulties, for example in connec- tion with the notification and registra- tion of frequencies, the lists of fre- quencies and related matters, reason- able departures may be made.
Band number Symbols
Frequency range (lower limit exclusive, upper limit inclusive) Corresponding metric subdivision
Metric abbreviations for the bands
4 .............. VLF .................... 3 to 30 kHz .................................... Myriametric waves ................................ B.Mam 5 .............. LF ...................... 30 to 300 kHz ................................ Kilometric waves ................................... B.km 6 .............. MF ..................... 300 to 3 000 kHz ........................... Hectometric waves ............................... B.hm 7 .............. HF ...................... 3 to 30 MHz ................................... Decametric waves ................................ B.dam 8 .............. VHF ................... 30 to 300 MHz ............................... Metric waves ......................................... B.m 9 .............. UHF ................... 300 to 3 000 MHz ......................... Decimetric waves ................................. B.dm 10 ............ SHF ................... 3 to 30 GHz ................................... Centimetric waves ................................ B.cm 11 ............ EHF ................... 30 to 300 GHz ............................... Millimetric waves .................................. B.mm 12 ............ ............................ 300 to 3 000 GHz .......................... Decimillimetric waves ...........................
Note 1: ‘‘Band N’’ (N = band number) extends from 0.3 × 10N Hz to 3 × 10N Hz. Note 2: Prefix: k = kilo (103), M = mega (106), G = giga (109).
(c) In communications between ad- ministrations and the ITU, no names, symbols or abbreviations should be used for the various frequency bands other than those specified in this sec- tion.
[70 FR 46583, Aug. 10, 2005; 70 FR 53074, Sept. 7, 2005]
§ 2.102 Assignment of frequencies. (a) Except as otherwise provided in
this section, the assignment of fre- quencies and bands of frequencies to all stations and classes of stations and the licensing and authorizing of the use of all such frequencies between 9 kHz and 275 GHz, and the actual use of such fre- quencies for radiocommunication or for any other purpose, including the transfer of energy by radio, shall be in accordance with the Table of Fre- quency Allocations in § 2.106.
(b) On the condition that harmful in- terference will not be caused to serv- ices operating in accordance with the Table of Frequency Allocations the fol- lowing exceptions to paragraph (a) of this section may be authorized:
(1) In individual cases the Commis- sion may, without rule making pro- ceedings, authorize on a temporary basis only, the use of frequencies not in accordance with the Table of Fre-
quency Allocations for projects of short duration or emergencies where the Commission finds that important or exceptional circumstances require such utilization. Such authorizations are not intended to develop a service to be operated on frequencies other than those allocated such service.
(2) A station for the development of techniques or equipment to be em- ployed by services set forth in column 5 of the Table of Frequency Allocations may be authorized the use of fre- quencies allocated to those services or classes of stations.
(3) Experimental stations, pursuant to part 5 of this chapter, may be au- thorized the use of any frequency or frequency band not exclusively allo- cated to the passive services (including the radio astronomy service).
(4) In the event a band is reallocated so as to delete its availability for use by a particular service, the Commis- sion may provide for the further in- terim use of the band by stations in that service for a temporary, specific period of time.
(c) Non-Federal stations may be au- thorized to use Federal frequencies in the bands above 25 MHz if the Commis- sion finds, after consultations with the
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appropriate Federal agency or agen- cies, that such use is necessary for co- ordination of Federal and non-Federal activities: Provided, however, that:
(1) Non-Federal operation on Federal frequencies shall conform with the con- ditions agreed upon by the Commission and NTIA (the more important of which are contained in paragraphs (c)(2), (c)(3), and (c)(4) of this section);
(2) Such operations shall be in ac- cordance with NTIA rules governing the service to which the frequencies in- volved are allocated;
(3) Such operations shall not cause harmful interference to Federal sta- tions and, should harmful interference result, that the interfering non-Federal operation shall immediately termi- nate; and
(4) Non-Federal operation has been certified as necessary by the Federal agency involved and this certification has been furnished, in writing, to the non-Federal licensee with which com- munication is required.
(d) Aircraft stations may commu- nicate with stations of the maritime mobile service. They shall then con- form to those provisions of the inter- national Radio Regulations which relate to the maritime mobile service. For this purpose aircraft stations should use the frequencies allocated to the maritime mobile service. However, having regard to interference which may be caused by aircraft stations at high altitudes, maritime mobile fre- quencies in the bands above 30 MHz shall not be used by aircraft stations in any specific area without the prior agreement of all administrations of the area in which interference is likely to be caused. In particular, aircraft sta- tions operating in Region 1 should not use frequencies in the bands above 30 MHz allocated to the maritime mobile service by virtue of any agreement be- tween administrations in that Region.
(e) Non-Federal services operating on frequencies in the band 25–50 MHz must recognize that it is shared with various services of other countries; that harm- ful interference may be caused by skywave signals received from distant stations of all services of the United States and other countries radiating power on frequencies in this band; and that no protection from such harmful
interference generally can be expected. Persons desiring to avoid such harmful interference should consider operation on available frequencies higher in the radio spectrum not generally subject to this type of difficulty.
(f) The stations of a service shall use frequencies so separated from the lim- its of a band allocated to that service as not to cause harmful interference to allocated services in immediately ad- joining frequency bands.
(g) In the bands above 25 MHz which are allocated to the non-Federal land mobile service, fixed stations may be authorized on the following conditions:
(1) That such stations are authorized in the service shown in Column 5 of the Table of Frequency Allocations in the band in question;
(2) That harmful interference will not be caused to services operating in ac- cordance with the Table of Frequency Allocations.
(h) Special provisions regarding the use of spectrum allocated to the fixed and land mobile services below 25 MHz by non-Federal stations.
(1) Only in the following cir- cumstances will authority be extended to stations in the fixed service to oper- ate on frequencies below 25 MHz.
(i) With respect to aeronautical fixed stations, only when a showing can be made that more suitable facilities are not available.
(ii) With respect to fixed stations, ex- cept aeronautical fixed stations, only to:
(A) Provide communication circuits in emergency and/or disaster situa- tions, where safety of life and property are concerned;
(B) Provide standby and/or backup fa- cilities to satellite and cable circuits used for international public cor- respondence;
(C) Provide standby and/or backup communications circuits to regular do- mestic communication circuits which have been disrupted by disasters and/or emergencies;
(D) Provide communication circuits wholly within the State of Alaska and the United States insular areas in the Pacific; and
(E) Provide communication circuits to support operations which are highly important to the national interest and
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where other means of telecommuni- cation are unavailable.
(2) Only in the following cir- cumstances will authority be extended to stations in the land mobile service to operate below 25 MHz.
(i) Provide communication circuits in emergency and/or disaster situa- tions, where safety of life and property are concerned;
(ii) Provide standby and/or backup communications circuits to regular do- mestic communication circuits which have been disrupted by disasters and/or emergencies;
(iii) Provide communication circuits wholly within the State of Alaska and the United States insular areas in the Pacific; and
(iv) Provide communication circuits to support operations which are highly important to the national interest and where other means of telecommuni- cation are unavailable.
(3) Except in the State of Alaska and the United States Pacific insular areas, the Commission does not intend to seek international protection for as- signments made pursuant to para- graphs (h) (1)(ii) and (2) of this section; this results in the following con- straints upon the circuits/assignments.
(i) The Commission will not accept responsibility for protection of the cir- cuits from harmful interference caused by foreign operations.
(ii) In the event that a complaint of harmful interference resulting from op- eration of these circuits is received from a foreign source, the offending circuit(s) must cease operation on the particular frequency concerned.
(iii) In order to accommodate the sit- uations described in paragraphs (h)(3) (i) and (ii) of this section, equipments shall be capable of transmitting and re- ceiving on any frequency in the bands assigned to the particular operation and capable of immediate change among the frequencies.
[49 FR 2373, Jan. 19, 1984, 70 FR 46585, Aug. 10, 2005]
§ 2.103 Federal use of non-Federal fre- quencies.
(a) Federal stations may be author- ized to use non-Federal frequencies in the bands above 25 MHz (except the 763– 775 MHz and 793–805 MHz public safety
bands) if the Commission finds that such use is necessary for coordination of Federal and non-Federal activities: Provided, however, that:
(1) Federal operation on non-Federal frequencies shall conform with the con- ditions agreed upon by the Commission and NTIA (the more important of which are contained in paragraphs (a)(2), (a)(3) and (a)(4) of this section);
(2) Such operations shall be in ac- cordance with Commission rules gov- erning the service to which the fre- quencies involved are allocated;
(3) Such operations shall not cause harmful interference to non-Federal stations and, should harmful inter- ference result, that the interfering Federal operation shall immediately terminate; and
(4) Federal operation has been cer- tified as necessary by the non-Federal licensees involved and this certifi- cation has been furnished, in writing, to the Federal agency with which com- munication is required.
(b) Federal stations may be author- ized to use channels in the 769–775 MHz, 799–805 MHz and 4940–4990 MHz public safety bands with non-Federal entities if the Commission finds such use nec- essary; where:
(1) The stations are used for inter- operability or part of a Federal/non- Federal shared or joint-use system;
(2) The Federal entity obtains the ap- proval of the non-Federal (State/local government) licensee(s) or applicant(s) involved;
(3) Federal operation is in accordance with the Commission’s Rules governing operation of this band and conforms with any conditions agreed upon by the Commission and NTIA; and
(4) Interoperability, shared or joint- use systems are the subject of a mutual agreement between the Federal and non-Federal entities. This section does not preclude other arrangements or agreements as permitted under part 90 of the rules. See 47 CFR 90.179 and 90.421 of this chapter.
(c) Federal stations may be author- ized to use channels in the 763–768 MHz and 793–798 MHz public safety bands with non-Federal entities where:
(1) The Federal entity obtains the prior approval of the Public Safety Broadband Licensee (and such approval
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1 It should be noted that where the words ‘‘regions’’ or ‘‘regional’’ are without a cap- ital ‘‘R,’’ they do not relate to the three Re- gions here defined for purposes of frequency allocation.
granted by the Public Safety Broadband Licensee is consistent with the terms and conditions of the Net- work Sharing Agreement under 90.1406 of this chapter); and
(2) Federal operation is in accordance with the Commission’s rules governing operation of this band and conforms to any conditions agreed upon by the Commission and NTIA.
[63 FR 58650, Nov. 2, 1998, as amended at 68 FR 38638, June 30, 2003; 70 FR 46586, Aug. 10, 2005; 72 FR 48843, Aug. 24, 2007]
§ 2.104 International Table of Fre- quency Allocations.
(a) The International Table of Fre- quency Allocations is subdivided into the Region 1 Table (column 1 of § 2.106), the Region 2 Table (column 2 of § 2.106), and the Region 3 Table (column 3 of § 2.106). The International Table is in- cluded for informational purposes only.
(b) Regions. For the allocation of fre- quencies the International Tele- communication Union (ITU) has di- vided the world into three Regions 1 as shown in Figure 1 of this section and described as follows:
(1) Region 1. Region 1 includes the area limited on the east by line A (lines A, B and C are defined below) and on the west by line B, excluding any of the territory of the Islamic Republic of Iran which lies between these limits. It also includes the whole of the territory of Armenia, Azerbaijan, the Russian Federation, Georgia, Kazakhstan, Mon- golia, Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan, Turkey and Ukraine and the area to the north of the Russian Federation which lies be- tween lines A and C.
(2) Region 2. Region 2 includes the area limited on the east by line B and on the west by line C.
(3) Region 3. Region 3 includes the area limited on the east by line C and on the west by line A, except any of the territory of Armenia, Azerbaijan, the Russian Federation, Georgia, Kazakhstan, Mongolia, Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan,
Turkey and Ukraine and the area to the north of the Russian Federation. It also includes that part of the territory of the Islamic Republic of Iran lying outside of those limits.
(4) The lines A, B and C are defined as follows:
(i) Line A. Line A extends from the North Pole along meridian 40° East of Greenwich to parallel 40° North; thence by great circle arc to the intersection of meridian 60° East and the Tropic of Cancer; thence along the meridian 60° East to the South Pole.
(ii) Line B. Line B extends from the North Pole along meridian 10° West of Greenwich to its intersection with par- allel 72° North; thence by great circle arc to the intersection of meridian 50° West and parallel 40° North; thence by great circle arc to the intersection of meridian 20° West and parallel 10° South; thence along meridian 20° West to the South Pole.
(iii) Line C. Line C extends from the North Pole by great circle arc to the intersection of parallel 65°30′ North with the international boundary in Bering Strait; thence by great circle arc to the intersection of meridian 165° East of Greenwich and parallel 50° North; thence by great circle arc to the intersection of meridian 170° West and parallel 10° North; thence along par- allel 10° North to its intersection with meridian 120° West; thence along me- ridian 120° West to the South Pole.
(c) Areas. To further assist in the international allocation of the radio spectrum, the ITU has established five special geographical areas and they are defined as follows:
(1) The term ‘‘African Broadcasting Area’’ means:
(i) African countries, parts of coun- tries, territories and groups of terri- tories situated between the parallels 40° South and 30° North;
(ii) Islands in the Indian Ocean west of meridian 60° East of Greenwich, situ- ated between the parallel 40° South and the great circle arc joining the points 45° East, 11°30′ North and 60° East, 15° North; and
(iii) Islands in the Atlantic Ocean east of line B, situated between the parallels 40° South and 30° North.
(2) The ‘‘European Broadcasting Area’’ is bounded on the west by the
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western boundary of Region 1, on the east by the meridian 40° East of Green- wich and on the south by the parallel 30° North so as to include the northern part of Saudi Arabia and that part of those countries bordering the Medi- terranean within these limits. In addi- tion, Iraq, Jordan and that part of the territory of the Syrian Arab Republic, Turkey and Ukraine lying outside the above limits are included in the Euro- pean Broadcasting Area.
(3) The ‘‘European Maritime Area’’ is bounded to the north by a line extend- ing along parallel 72° North from its intersection with meridian 55° East of Greenwich to its intersection with me- ridian 5° West, then along meridian 5° West to its intersection with parallel 67° North, thence along parallel 67° North to its intersection with meridian 32° West; to the west by a line extend- ing along meridian 32° West to its intersection with parallel 30° North; to the south by a line extending along parallel 30° North to its intersection with meridian 43° East; to the east by a line extending along meridian 43° East to its intersection with parallel 60° North, thence along parallel 60° North to its intersection with meridian 55° East and thence along meridian 55° East to its intersection with parallel 72° North.
(4) The ‘‘Tropical Zone’’ (see Figure 1 of this section) is defined as:
(i) The whole of that area in Region 2 between the Tropics of Cancer and Capricorn.
(ii) The whole of that area in Regions 1 and 3 contained between the parallels 30° North and 35° South with the addi- tion of:
(A) The area contained between the meridians 40° East and 80° East of Greenwich and the parallels 30° North and 40° North; and
(B) That part of Libyan Arab Jamahiriya north of parallel 30° North.
(iii) In Region 2, the Tropical Zone may be extended to parallel 33° North, subject to special agreements between the countries concerned in that Region (see Article 6 of the ITU Radio Regula- tions).
(5) A sub-Region is an area consisting of two or more countries in the same Region.
(d) Categories of services and alloca- tions. (1) Primary and secondary serv- ices. Where, in a box of the Inter- national Table in § 2.106, a band is indi- cated as allocated to more than one service, either on a worldwide or Re- gional basis, such services are listed in the following order:
(i) Services the names of which are printed in ‘‘capitals’’ (example: FIXED); these are called ‘‘primary’’ services; and
(ii) Services the names of which are printed in ‘‘normal characters’’ (exam- ple: Mobile); these are called ‘‘sec- ondary’’ services (see paragraph (d)(3) of this section).
(2) Additional remarks shall be print- ed in normal characters (example: MO- BILE except aeronautical mobile).
(3) Stations of a secondary service: (i) Shall not cause harmful inter-
ference to stations of primary services to which frequencies are already as- signed or to which frequencies may be assigned at a later date;
(ii) Cannot claim protection from harmful interference from stations of a primary service to which frequencies are already assigned or may be as- signed at a later date; and
(iii) Can claim protection, however, from harmful interference from sta- tions of the same or other secondary service(s) to which frequencies may be assigned at a later date.
(4) Where a band is indicated in a footnote of the International Table as allocated to a service ‘‘on a secondary basis’’ in an area smaller than a Re- gion, or in a particular country, this is a secondary service (see paragraph (d)(3) of this section).
(5) Where a band is indicated in a footnote of the International Table as allocated to a service ‘‘on a primary basis’’, in an area smaller than a Re- gion, or in a particular country, this is a primary service only in that area or country.
(e) Additional allocations. (1) Where a band is indicated in a footnote of the International Table as ‘‘also allocated’’ to a service in an area smaller than a Region, or in a particular country, this is an ‘‘additional’’ allocation, i.e. an al- location which is added in this area or
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in this country to the service or serv- ices which are indicated in the Inter- national Table.
(2) If the footnote does not include any restriction on the service or serv- ices concerned apart from the restric- tion to operate only in a particular area or country, stations of this service or these services shall have equality of right to operate with stations of the other primary service or services indi- cated in the International Table.
(3) If restrictions are imposed on an additional allocation in addition to the restriction to operate only in a par- ticular area or country, this is indi- cated in the footnote of the Inter- national Table.
(f) Alternative allocations. (1) Where a band is indicated in a footnote of the International Table as ‘‘allocated’’ to one or more services in an area smaller than a Region, or in a particular coun- try, this is an ‘‘alternative’’ allocation, i.e. an allocation which replaces, in this area or in this country, the alloca- tion indicated in the Table.
(2) If the footnote does not include any restriction on stations of the serv- ice or services concerned, apart from the restriction to operate only in a par- ticular area or country, these stations of such a service or services shall have an equality of right to operate with stations of the primary service or serv- ices, indicated in the International Table, to which the band is allocated in other areas or countries.
(3) If restrictions are imposed on sta- tions of a service to which an alter- native allocation is made, in addition to the restriction to operate only in a particular country or area, this is indi- cated in the footnote.
(g) Miscellaneous provisions. (1) Where it is indicated in the International Table that a service or stations in a service may operate in a specific fre- quency band subject to not causing harmful interference to another service or to another station in the same serv- ice, this means also that the service which is subject to not causing harmful interference cannot claim protection from harmful interference caused by the other service or other station in the same service.
(2) Where it is indicated in the Inter- national Table that a service or sta- tions in a service may operate in a spe- cific frequency band subject to not claiming protection from another serv- ice or from another station in the same service, this means also that the serv- ice which is subject to not claiming protection shall not cause harmful in- terference to the other service or other station in the same service.
(3) Except if otherwise specified in a footnote, the term ‘‘fixed service’’, where appearing in the International Table, does not include systems using ionospheric scatter propagation.
(h) Description of the International Table of Frequency Allocations. (1) The heading of the International Table in- cludes three columns, each of which corresponds to one of the Regions (see paragraph (b) of this section). Where an allocation occupies the whole of the width of the Table or only one or two of the three columns, this is a world- wide allocation or a Regional alloca- tion, respectively.
(2) The frequency band referred to in each allocation is indicated in the left- hand top corner of the part of the Table concerned.
(3) Within each of the categories specified in paragraph (d)(1) of this sec- tion, services are listed in alphabetical order according to the French lan- guage. The order of listing does not in- dicate relative priority within each category.
(4) In the case where there is a par- enthetical addition to an allocation in the International Table, that service allocation is restricted to the type of operation so indicated.
(5) The footnote references which ap- pear in the International Table below the allocated service or services apply to more than one of the allocated serv- ices, or to the whole of the allocation concerned.
(6) The footnote references which ap- pear to the right of the name of a serv- ice are applicable only to that par- ticular service.
(7) In certain cases, the names of countries appearing in the footnotes have been simplified in order to short- en the text.
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FIGURE 1 TO § 2.104—MAP
[65 FR 4636, Jan. 31, 2000, as amended at 70 FR 46586, Aug. 10, 2005]
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1 See 2.104(b) for definitions of the ITU Re- gions.
2 The operation of stations in the U.S. insu- lar areas located in Region 2 is generally governed by the United States Table. The U.S. insular areas located in Region 2 are comprised of the Caribbean insular areas and two of the eleven Pacific insular areas. The Caribbean insular areas are Puerto Rico, the United States Virgin Islands, and Navassa Is- land. The Pacific insular areas located in Re- gion 2 are Johnston Atoll and Midway Atoll.
3 The operation of stations in the Pacific insular areas located in Region 3 is generally governed by the Region 3 Table (i.e., column 3 of § 2.106). The Pacific insular areas located in Region 3 are American Samoa, Guam, the Northern Mariana Islands, Baker Island, Howland Island, Jarvis Island, Kingman Reef, Palmyra Island, and Wake Island.
4 Section 305(a) of the Communications Act of 1934, as amended. See Public Law 102–538, 106 Stat. 3533 (1992).
5 The Communications Act of 1934, as amended.
6 The radio services are defined in 47 CFR 2.1.
§ 2.105 United States Table of Fre- quency Allocations.
(a) The United States Table of Fre- quency Allocations (United States Table) is subdivided into the Federal Table of Frequency Allocations (Fed- eral Table, column 4 of § 2.106) and the non-Federal Table of Frequency Allo- cations (non-Federal Table, column 5 of § 2.106). The United States Table is based on the Region 2 Table because the relevant area of jurisdiction is lo- cated primarily in Region 2 1 (i.e., the 50 States, the District of Columbia, the Caribbean insular areas, 2 and some of the Pacific insular areas). 3 The Federal Table is administered by NTIA 4 and the non-Federal Table is administered by the Federal Communications Com- mission (FCC). 5
(b) In the United States, radio spec- trum may be allocated to either Fed- eral or non-Federal use exclusively, or for shared use. In the case of shared use, the type of service(s) permitted need not be the same [e.g., Federal FIXED, non-Federal MOBILE]. The terms used to designate categories of services and allocations 6 in columns 4 and 5 of § 2.106 correspond to the terms in the ITU Radio Regulations.
(c) Category of services. (1) Any seg- ment of the radio spectrum may be al- located to the Federal and/or non-Fed-
eral sectors either on an exclusive or shared basis for use by one or more radio services. In the case where an al- location has been made to more than one service, such services are listed in the following order:
(i) Services, the names of which are printed in ‘‘capitals’’ [example: FIXED]; these are called ‘‘primary’’ services;
(ii) Services, the names of which are printed in ‘‘normal characters’’ [exam- ple: Mobile]; these are called ‘‘sec- ondary’’ services.
(2) Stations of a secondary service: (i) Shall not cause harmful inter-
ference to stations of primary services to which frequencies are already as- signed or to which frequencies may be assigned at a later date;
(ii) Cannot claim protection from harmful interference from stations of a primary service to which frequencies are already assigned or may be as- signed at a later date; and
(iii) Can claim protection, however, from harmful interference from sta- tions of the same or other secondary service(s) to which frequencies may be assigned at a later date.
(d) Format of the United States Table. (1) The frequency band referred to in each allocation, column 4 for Federal operations and column 5 for non-Fed- eral operations, is indicated in the left- hand top corner of the column. If there is no service or footnote indicated for a band of frequencies in column 4, then the Federal sector has no access to that band except as provided for by § 2.103. If there is no service or footnote indicated for a band of frequencies in column 5, then the non-Federal sector has no access to that band except as provided for by § 2.102.
(2) When the Federal Table and the non-Federal Table are exactly the same for a shared band, the line be- tween columns 4 and 5 is deleted and the allocations are shown once.
(3) The Federal Table, given in col- umn 4, is included for informational purposes only.
(4) In the case where there is a par- enthetical addition to an allocation in the United States Table [example: FIXED-SATELLITE (space-to-earth)], that service allocation is restricted to the type of operation so indicated.
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(5) The following symbols are used to designate footnotes in the United States Table:
(i) Any footnote consisting of ‘‘5.’’ followed by one or more digits, e.g., 5.53, denotes an international footnote. Where an international footnote is ap- plicable, without modification, to both Federal and non-Federal operations, the Commission places the footnote in both the Federal Table and the non- Federal Table (columns 4 and 5) and the international footnote is binding on both Federal users and non-Federal licensees. If, however, an international footnote pertains to a service allocated only for Federal or non-Federal use, the international footnote will be placed only in the affected Table. For example, footnote 5.142 pertains only to the amateur service, and thus, footnote 5.142 is shown only in the non-Federal Table.
(ii) Any footnote consisting of the letters ‘‘US’’ followed by one or more digits, e.g., US7, denotes a stipulation affecting both Federal and non-Federal operations. United States footnotes ap- pear in both the Federal Table and the non-Federal Table.
(iii) Any footnote consisting of the letters ‘‘NG’’ followed by one or more digits, e.g., NG2, denotes a stipulation applicable only to non-Federal oper- ations. Non-Federal footnotes appear solely in the non-Federal Table (col- umn 5).
(iv) Any footnote consisting of the letter ‘‘G’’ followed by one or more dig- its, e.g., G2, denotes a stipulation ap- plicable only to Federal operations. Federal footnotes appear solely in the Federal Table (column 4).
(6) The coordinates of latitude and longitude that are listed in United
States, Federal, and non-Federal foot- notes are referenced to the North American Datum of 1983 (NAD 83).
(e) Rule Part Cross References. If a fre- quency or frequency band has been al- located to a radiocommunication serv- ice in the non-Federal Table, then a cross reference may be added for the pertinent FCC Rule part (column 6 of § 2.106). For example, the band 849–851 MHz is allocated to the aeronautical mobile service for non-Federal use, rules for the use of the 849–851 MHz band have been added to Part 22—Pub- lic Mobile Services (47 CFR part 22), and a cross reference, Public Mobile (22), has been added in column 6 of § 2.106. The exact use that can be made of any given frequency or frequency band (e.g., channelling plans, allowable emissions, etc.) is given in the FCC Rule part(s) so indicated. The FCC Rule parts in this column are not allo- cations and are provided for informa- tional purposes only. This column also may contain explanatory notes for in- formational purposes only.
(f) The FCC Online Table of Fre- quency Allocations is updated shortly after a final rule that amends § 2.106 is released. The address for the FCC Radio Spectrum Home Page, which in- cludes the FCC Online Table and the FCC Allocation History File, is http:// www.fcc.gov/oet/spectrum.
[65 FR 4640, Jan. 31, 2000, as amended at 70 FR 46587, Aug. 10, 2005; 73 FR 25421, May 6, 2008]
§ 2.106 Table of Frequency Allocations.
EDITORIAL NOTE: The text of § 2.106 begins on the following page.
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INTERNATIONAL FOOTNOTES
5.53 Administrations authorizing the use of frequencies below 9 kHz shall ensure that no harmful interference is caused thereby to
the services to which the bands above 9 kHz are allocated.
5.54 Administrations conducting sci- entific research using frequencies below 9
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kHz are urged to advise other administra- tions that may be concerned in order that such research may be afforded all practicable protection from harmful interference.
5.55 Additional allocation: in Armenia, Azerbaijan, Bulgaria, Georgia, Kyrgyzstan, the Russian Federation, Tajikistan and Turkmenistan, the band 14–17 kHz is also al- located to the radionavigation service on a primary basis.
5.56 The stations of services to which the bands 14–19.95 kHz and 20.05–70 kHz and in Region 1 also the bands 72–84 kHz and 86–90 kHz are allocated may transmit standard frequency and time signals. Such stations shall be afforded protection from harmful in- terference. In Armenia, Azerbaijan, Belarus, Bulgaria, the Russian Federation, Georgia, Kazakhstan, Mongolia, Kyrgyzstan, Slo- vakia, the Czech Rep., Tajikistan and Turkmenistan, the frequencies 25 kHz and 50 kHz will be used for this purpose under the same conditions.
5.57 The use of the bands 14–19.95 kHz, 20.05–70 kHz and 70–90 kHz (72–84 kHz and 86– 90 kHz in Region 1) by the maritime mobile service is limited to coast radiotelegraph stations (A1A and F1B only). Exceptionally, the use of class J2B or J7B emissions is au- thorized subject to the necessary bandwidth not exceeding that normally used for class A1A or F1B emissions in the band concerned.
5.58 Additional allocation: In Armenia, Azerbaijan, the Russian Federation, Georgia, Kazakhstan, Kyrgyzstan, Tajikistan and Turkmenistan, the band 67–70 kHz is also al- located to the radionavigation service on a primary basis.
5.59 Different category of service: in Ban- gladesh and Pakistan, the allocation of the bands 70–72 kHz and 84–86 kHz to the fixed and maritime mobile services is on a pri- mary basis (see No. 5.33).
5.60 In the bands 70–90 kHz (70–86 kHz in Region 1) and 110–130 kHz (112–130 kHz in Re- gion 1), pulsed radionavigation systems may be used on condition that they do not cause harmful interference to other services to which these bands are allocated.
5.61 In Region 2, the establishment and operation of stations in the maritime radio- navigation service in the bands 70–90 kHz and 110–130 kHz shall be subject to agreement ob- tained under No. 9.21 with administrations whose services, operating in accordance with the Table, may be affected. However, sta- tions of the fixed, maritime mobile and radiolocation services shall not cause harm- ful interference to stations in the maritime radionavigation service established under such agreements.
5.62 Administrations which operate sta- tions in the radionavigation service in the band 90–110 kHz are urged to coordinate tech- nical and operating characteristics in such a way as to avoid harmful interference to the services provided by these stations.
5.64 Only classes A1A or F1B, A2C, A3C, F1C or F3C emissions are authorized for sta- tions of the fixed service in the bands allo- cated to this service between 90 kHz and 160 kHz (148.5 kHz in Region 1) and for stations of the maritime mobile service in the bands allocated to this service between 110 kHz and 160 kHz (148.5 kHz in Region 1). Exception- ally, class J2B or J7B emissions are also au- thorized in the bands between 110 kHz and 160 kHz (148.5 kHz in Region 1) for stations of the maritime mobile service.
5.65 Different category of service: in Ban- gladesh, the allocation of the bands 112–117.6 kHz and 126–129 kHz to the fixed and mari- time mobile services is on a primary basis (see No. 5.33).
5.66 Different category of service: in Ger- many, the allocation of the band 115–117.6 kHz to the fixed and maritime mobile serv- ices is on a primary basis (see No. 5.33) and to the radionavigation service on a sec- ondary basis (see No. 5.32).
5.67 Additional allocation: in Azerbaijan, Bulgaria, Mongolia, Kyrgyzstan, Romania and Turkmenistan, the band 130–148.5 kHz is also allocated to the radionavigation service on a secondary basis. Within and between these countries this service shall have an equal right to operate.
5.68 Alternative allocation: In Angola, Bu- rundi, Congo (Rep. of the), Malawi, the Dem. Rep. of the Congo, Rwanda and South Africa, the band 160–200 kHz is allocated to the fixed service on a primary basis.
5.69 Additional allocation: in Somalia, the band 200–255 kHz is also allocated to the aeronautical radionavigation service on a primary basis.
5.70 Alternative allocation: In Angola, Bot- swana, Burundi, Cameroon, the Central Afri- can Rep., Congo (Rep. of the), Ethiopia, Le- sotho, Madagascar, Malawi, Mozambique, Namibia, Nigeria, Oman, the Dem. Rep. of the Congo, Rwanda, South Africa, Swaziland, Tanzania, Chad, Zambia and Zimbabwe, the band 200–283.5 kHz is allocated to the aero- nautical radionavigation service on a pri- mary basis.
5.71 Alternative allocation: in Tunisia, the band 255–283.5 kHz is allocated to the broad- casting service on a primary basis.
5.72 Norwegian stations of the fixed serv- ice situated in northern areas (north of 60° N) subject to auroral disturbances are al- lowed to continue operation on four fre- quencies in the bands 283.5–490 kHz and 510– 526.5 kHz.
5.73 The band 285–325 kHz (283.5–325 kHz in Region 1) in the maritime radionavigation service may be used to transmit supple- mentary navigational information using nar- row-band techniques, on condition that no harmful interference is caused to radio- beacon stations operating in the radio- navigation service.
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3 Note by the Secretariat: This Resolution was revised by WRC–03.
5.74 Additional Allocation: in Region 1, the frequency band 285.3–285.7 kHz is also allo- cated to the maritime radionavigation serv- ice (other than radiobeacons) on a primary basis.
5.75 Different category of service: in Arme- nia, Azerbaijan, Belarus, Georgia, Moldova, Kyrgyzstan, the Russian Federation, Tajikistan, Turkmenistan, Ukraine and the Black Sea areas of Bulgaria and Romania, the allocation of the band 315–325 kHz to the maritime radionavigation service is on a pri- mary basis under the condition that in the Baltic Sea area, the assignment of fre- quencies in this band to new stations in the maritime or aeronautical radionavigation services shall be subject to prior consulta- tion between the administrations concerned.
5.76 The frequency 410 kHz is designated for radio direction-finding in the maritime radionavigation service. The other radio- navigation services to which the band 405–415 kHz is allocated shall not cause harmful in- terference to radio direction-finding in the band 406.5–413.5 kHz.
5.77 Different category of service: in Aus- tralia, China, the French Overseas Terri- tories of Region 3, India, Indonesia (until 1 January 2005), Iran (Islamic Republic of), Japan, Pakistan, Papua New Guinea and Sri Lanka, the allocation of the band 415–495 kHz to the aeronautical radionavigation service is on a primary basis. Administrations in these countries shall take all practical steps necessary to ensure that aeronautical radio- navigation stations in the band 435–495 kHz do not cause interference to reception by coast stations of ship stations transmitting on frequencies designated for ship stations on a worldwide basis (see No. 52.39).
5.78 Different category of service: in Cuba, the United States of America and Mexico, the allocation of the band 415–435 kHz to the aeronautical radionavigation service is on a primary basis.
5.79 The use of the bands 415–495 kHz and 505–526.5 kHz (505–510 kHz in Region 2) by the maritime mobile service is limited to radio- telegraphy.
5.79A When establishing coast stations in the NAVTEX service on the frequencies 490 kHz, 518 kHz and 4209.5 kHz, administrations are strongly recommended to coordinate the operating characteristics in accordance with the procedures of the International Maritime Organization (IMO) (see Resolution 339 (Rev.WRC–97)) 3.
5.80 In Region 2, the use of the band 435– 495 kHz by the aeronautical radionavigation service is limited to non-directional beacons not employing voice transmission.
5.82 In the maritime mobile service, the frequency 490 kHz is, from the date of full implementation of the GMDSS (see Resolu-
tion 331 (Rev.WRC–97)) 3, to be used exclu- sively for the transmission by coast stations of navigational and meteorological warnings and urgent information to ships, by means of narrow-band direct-printing telegraphy. The conditions for use of the frequency 490 kHz are prescribed in Articles 31 and 52. In using the band 415–495 kHz for the aeronautical radionavigation service, administrations are requested to ensure that no harmful inter- ference is caused to the frequency 490 kHz.
5.83 The frequency 500 kHz is an inter- national distress and calling frequency for Morse radiotelegraphy. The conditions for its use are prescribed in Articles 31 and 52, and in Appendix 13.
5.84 The conditions for the use of the fre- quency 518 kHz by the maritime mobile serv- ice are prescribed in Articles 31 and 52 and in Appendix 13.
5.86 In Region 2, in the band 525–535 kHz the carrier power of broadcasting stations shall not exceed 1 kW during the day and 250 W at night.
5.87 Additional allocation: In Angola, Bot- swana, Lesotho, Malawi, Mozambique, Na- mibia, South Africa, Swaziland and Zimbabwe, the band 526.5–535 kHz is also al- located to the mobile service on a secondary basis.
5.87A Additional allocation: in Uzbekistan, the band 526.5–1606.5 kHz is also allocated to the radionavigation service on a primary basis. Such use is subject to agreement ob- tained under No. 9.21 with administrations concerned and limited to ground-based radiobeacons in operation on 27 October 1997 until the end of their lifetime.
5.88 Additional allocation: in China, the band 526.5–535 kHz is also allocated to the aeronautical radionavigation service on a secondary basis.
5.89 In Region 2, the use of the band 1605– 1705 kHz by stations of the broadcasting service is subject to the Plan established by the Regional Administrative Radio Con- ference (Rio de Janeiro, 1988).
The examination of frequency assignments to stations of the fixed and mobile services in the band 1625–1705 kHz shall take account of the allotments appearing in the Plan es- tablished by the Regional Administrative Radio Conference (Rio de Janeiro, 1988).
5.90 In the band 1605–1705 kHz, in cases where a broadcasting station of Region 2 is concerned, the service area of the maritime mobile stations in Region 1 shall be limited to that provided by ground-wave propaga- tion.
5.91 Additional allocation: in the Phil- ippines and Sri Lanka, the band 1606.5–1705 kHz is also allocated to the broadcasting service on a secondary basis.
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5.92 Some countries of Region 1 use radio- determination systems in the bands 1606.5– 1625 kHz, 1635–1800 kHz, 1850–2160 kHz, 2194– 2300 kHz, 2502–2850 kHz and 3500–3800 kHz, subject to agreement obtained under No. 9.21. The radiated mean power of these sta- tions shall not exceed 50 W.
5.93 Additional allocation: in Angola, Ar- menia, Azerbaijan, Belarus, Georgia, Hun- gary, Kazakstan, Latvia, Lithuania, Moldova, Mongolia, Nigeria, Uzbekistan, Po- land, Kyrgyzstan, Slovakia, the Czech Rep., the Russian Federation, Tajikistan, Chad, Turkmenistan and Ukraine, the bands 1625– 1635 kHz, 1800–1810 kHz and 2160–2170 kHz and, in Bulgaria, the bands 1625–1635 kHz and 1800– 1810 kHz, are also allocated to the fixed and land mobile services on a primary basis, sub- ject to agreement obtained under No. 9.21.
5.96 In Germany, Armenia, Austria, Azer- baijan, Belarus, Denmark, Estonia, the Rus- sian Federation, Finland, Georgia, Hungary, Ireland, Iceland, Israel, Kazakhstan, Latvia, Liechtenstein, Lithuania, Malta, Moldova, Norway, Uzbekistan, Poland, Kyrgyzstan, Slovakia, the Czech Rep., the United King- dom, Sweden, Switzerland, Tajikistan, Turkmenistan and Ukraine, administrations may allocate up to 200 kHz to their amateur service in the bands 1715–1800 kHz and 1850– 2000 kHz. However, when allocating the bands within this range to their amateur service, administrations shall, after prior consultation with administrations of neighbouring countries, take such steps as may be necessary to prevent harmful inter- ference from their amateur service to the fixed and mobile services of other countries. The mean power of any amateur station shall not exceed 10 W.
5.97 In Region 3, the Loran system oper- ates either on 1850 kHz or 1950 kHz, the bands occupied being 1825–1875 kHz and 1925–1975 kHz respectively. Other services to which the band 1800–2000 kHz is allocated may use any frequency therein on condition that no harmful interference is caused to the Loran system operating on 1850 kHz or 1950 kHz.
5.98 Alternative allocation: In Angola, Ar- menia, Azerbaijan, Belarus, Belgium, Bul- garia, Cameroon, Congo (Rep. of the), Den- mark, Egypt, Eritrea, Spain, Ethiopia, the Russian Federation, Georgia, Greece, Italy, Kazakhstan, Lebanon, Lithuania, Moldova, the Syrian Arab Republic, Kyrgyzstan, So- malia, Tajikistan, Tunisia, Turkmenistan, Turkey and Ukraine, the band 1810–1830 kHz is allocated to the fixed and mobile, except aeronautical mobile, services on a primary basis.
5.99 Additional allocation: In Saudi Arabia, Austria, Bosnia and Herzegovina, Iraq, the Libyan Arab Jamahiriya, Uzbekistan, Slo- vakia, Romania, Serbia and Montenegro, Slovenia, Chad, and Togo, the band 1810–1830 kHz is also allocated to the fixed and mobile,
except aeronautical mobile, services on a primary basis.
5.100 In Region 1, the authorization to use the band 1810–1830 kHz by the amateur serv- ice in countries situated totally or partially north of 40° N shall be given only after con- sultation with the countries mentioned in Nos. 5.98 and 5.99 to define the necessary steps to be taken to prevent harmful inter- ference between amateur stations and sta- tions of other services operating in accord- ance with Nos. 5.98 and 5.99.
5.101 Alternative allocation: in Burundi and Lesotho, the band 1810–1850 kHz is allocated to the fixed and mobile, except aeronautical mobile, services on a primary basis.
5.102 Alternative allocation: in Argentina, Bolivia, Chile, Mexico, Paraguay, Peru, Uru- guay and Venezuela, the band 1850–2000 kHz is allocated to the fixed, mobile except aero- nautical mobile, radiolocation and radio- navigation services on a primary basis.
5.103 In Region 1, in making assignments to stations in the fixed and mobile services in the bands 1850–2045 kHz, 2194–2498 kHz, 2502–2625 kHz and 2650–2850 kHz, administra- tions should bear in mind the special re- quirements of the maritime mobile service.
5.104 In Region 1, the use of the band 2025– 2045 kHz by the meteorological aids service is limited to oceanographic buoy stations.
5.105 In Region 2, except in Greenland, coast stations and ship stations using radiotelephony in the band 2065–2107 kHz shall be limited to class J3E emissions and to a peak envelope power not exceeding 1 kW. Preferably, the following carrier fre- quencies should be used: 2065.0 kHz, 2079.0 kHz, 2082.5 kHz, 2086.0 kHz, 2093.0 kHz, 2096.5 kHz, 2100.0 kHz and 2103.5 kHz. In Argentina and Uruguay, the carrier frequencies 2068.5 kHz and 2075.5 kHz are also used for this pur- pose, while the frequencies within the band 2072–2075.5 kHz are used as provided in No. 52.165.
5.106 In Regions 2 and 3, provided no harmful interference is caused to the mari- time mobile service, the frequencies between 2065 kHz and 2107 kHz may be used by sta- tions of the fixed service communicating only within national borders and whose mean power does not exceed 50 W. In noti- fying the frequencies, the attention of the Bureau should be drawn to these provisions.
5.107 Additional allocation: In Saudi Ara- bia, Eritrea, Ethiopia, Iraq, the Libyan Arab Jamahiriya, Lesotho, Somalia and Swazi- land, the band 2160–2170 kHz is also allocated to the fixed and mobile, except aeronautical mobile (R), services on a primary basis. The mean power of stations in these services shall not exceed 50 W.
5.108 The carrier frequency 2182 kHz is an international distress and calling frequency for radiotelephony. The conditions for the
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use of the band 2173.5–2190.5 kHz are pre- scribed in Articles 31 and 52 and in Appendix 13.
5.109 The frequencies 2187.5 kHz, 4207.5 kHz, 6312 kHz, 8414.5 kHz, 12577 kHz and 16804.5 kHz are international distress fre- quencies for digital selective calling. The conditions for the use of these frequencies are prescribed in Article 31.
5.110 The frequencies 2174.5 kHz, 4177.5 kHz, 6268 kHz, 8376.5 kHz, 12520 kHz and 16695 kHz are international distress frequencies for narrow-band direct-printing telegraphy. The conditions for the use of these fre- quencies are prescribed in Article 31.
5.111 The carrier frequencies 2182 kHz, 3023 kHz, 5680 kHz, 8364 kHz and the fre- quencies 121.5 MHz, 156.8 MHz and 243 MHz may also be used, in accordance with the procedures in force for terrestrial radiocommunication services, for search and rescue operations concerning manned space vehicles. The conditions for the use of the frequencies are prescribed in Article 31 and in Appendix 13.
The same applies to the frequencies 10003 kHz, 14993 kHz and 19993 kHz, but in each of these cases emissions must be confined in a band of ±3 kHz about the frequency.
5.112 Alternative allocation: In Bosnia and Herzegovina, Denmark, Malta, Serbia and Montenegro, and Sri Lanka, the band 2194– 2300 kHz is allocated to the fixed and mobile, except aeronautical mobile, services on a primary basis.
5.113 For the conditions for the use of the bands 2300–2495 kHz (2498 kHz in Region 1), 3200–3400 kHz, 4750–4995 kHz and 5005–5060 kHz by the broadcasting service, see Nos. 5.16 to 5.20, 5.21 and 23.3 to 23.10.
5.114 Alternative allocation: In Bosnia and Herzegovina, Denmark, Iraq, Malta, and Ser- bia and Montenegro, the band 2502–2625 kHz is allocated to the fixed and mobile, except aeronautical mobile, services on a primary basis.
5.115 The carrier (reference) frequencies 3023 kHz and 5680 kHz may also be used, in accordance with Article 31 and Appendix 13 by stations of the maritime mobile service engaged in coordinated search and rescue op- erations.
5.116 Administrations are urged to au- thorize the use of the band 3155–3195 kHz to provide a common worldwide channel for low power wireless hearing aids. Additional channels for these devices may be assigned by administrations in the bands between 3155 kHz and 3400 kHz to suit local needs.
It should be noted that frequencies in the range 3000 kHz to 4000 kHz are suitable for hearing aid devices which are designed to op- erate over short distances within the induc- tion field.
5.117 Alternative allocation: In Bosnia and Herzegovina, Côte d’Ivoire, Denmark, Egypt, Liberia, Malta, Serbia and Montenegro, Sri
Lanka and Togo, the band 3155–3200 kHz is al- located to the fixed and mobile, except aero- nautical mobile, services on a primary basis.
5.118 Additional allocation: In the United States, Mexico, Peru and Uruguay, the band 3230–3400 kHz is also allocated to the radio- location service on a secondary basis.
5.119 Additional allocation: in Honduras, Mexico, Peru and Venezuela, the band 3500– 3750 kHz is also allocated to the fixed and mobile services on a primary basis.
5.122 Alternative allocation: in Argentina, Bolivia, Chile, Ecuador, Paraguay, Peru and Uruguay, the band 3750–4000 kHz is allocated to the fixed and mobile, except aeronautical mobile, services on a primary basis.
5.123 Additional allocation: in Botswana, Lesotho, Malawi, Mozambique, Namibia, South Africa, Swaziland, Zambia and Zimbabwe, the band 3900–3950 kHz is also al- located to the broadcasting service on a pri- mary basis, subject to agreement obtained under No. 9.21.
5.125 Additional allocation: in Greenland, the band 3950–4000 kHz is also allocated to the broadcasting service on a primary basis. The power of the broadcasting stations oper- ating in this band shall not exceed that nec- essary for a national service and shall in no case exceed 5 kW.
5.126 In Region 3, the stations of those services to which the band 3995–4005 kHz is allocated may transmit standard frequency and time signals.
5.127 The use of the band 4000–4063 kHz by the maritime mobile service is limited to ship stations using radiotelephony (see No. 52.220 and Appendix 17).
5.128 In Afghanistan, Argentina, Armenia, Azerbaijan, Belarus, Botswana, Burkina Faso, the Central African Rep., China, Geor- gia, India, Kazakstan, Mali, Niger, Kyrgyzstan, Russian Federation, Tajikistan, Chad, Turkmenistan and Ukraine, in the bands 4063–4123 kHz, 4130–4133 kHz and 4408– 4438 kHz, stations of limited power in the fixed service which are situated at least 600 km from the coast may operate on condition that harmful interference is not caused to the maritime mobile service.
5.129 On condition that harmful inter- ference is not caused to the maritime mobile service, the frequencies in the bands 4063– 4123 kHz and 4130–4438 kHz may be used ex- ceptionally by stations in the fixed service communicating only within the boundary of the country in which they are located with a mean power not exceeding 50 W.
5.130 The conditions for the use of the car- rier frequencies 4125 kHz and 6215 kHz are prescribed in Articles 31 and 52 and in Appen- dix 13.
5.131 The frequency 4209.5 kHz is used ex- clusively for the transmission by coast sta- tions of meteorological and navigational warnings and urgent information to ships by
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3 Note by the Secretariat: This Resolution was revised by WRC–03.
means of narrow-band direct-printing tech- niques.
5.132 The frequencies 4210 kHz, 6314 kHz, 8416.5 kHz, 12579 kHz, 16806.5 kHz, 19680.5 kHz, 22376 kHz and 26100.5 kHz are the inter- national frequencies for the transmission of maritime safety information (MSI) (see Ap- pendix 17).
5.133 Different category of service: in Arme- nia, Azerbaijan, Belarus, Georgia, Kazakstan, Latvia, Lithuania, Moldova, Uzbekistan, Kyrgyzstan, Russian Federation, Tajikistan, Turkmenistan and Ukraine, the allocation of the band 5130–5250 kHz to the mobile, except aeronautical mobile, service is on a primary basis (see No. 5.33).
5.134 The use of the bands 5900–5950 kHz, 7300–7350 kHz, 9400–9500 kHz, 11600–11650 kHz, 12050–12100 kHz, 13570–13600 kHz, 13800–13870 kHz, 15600–15800 kHz, 17480–17550 kHz and 18900–19020 kHz by the broadcasting service as from 1 April 2007 is subject to the applica- tion of the procedure of Article 12. Adminis- trations are encouraged to use these bands to facilitate the introduction of digitally modulated emissions in accordance with the provisions of Resolution 517 (Rev.WRC–03).
5.136 The band 5900–5950 kHz is allocated, until 1 April 2007, to the fixed service on a primary basis, as well as to the following services: In Region 1 to the land mobile serv- ice on a primary basis, in Region 2 to the mobile except aeronautical mobile (R) serv- ice on a primary basis, and in Region 3 to the mobile except aeronautical mobile (R) serv- ice on a secondary basis, subject to applica- tion of the procedure referred to in Resolu- tion 21 (Rev.WRC–95) 3. After 1 April 2007, fre- quencies in this band may be used by sta- tions in the above-mentioned services, com- municating only within the boundary of the country in which they are located, on the condition that harmful interference is not caused to the broadcasting service. When using frequencies for these services, adminis- trations are urged to use the minimum power required and to take account of the seasonal use of frequencies by the broad- casting service published in accordance with the Radio Regulations.
5.137 On condition that harmful inter- ference is not caused to the maritime mobile service, the bands 6200–6213.5 kHz and 6220.5– 6525 kHz may be used exceptionally by sta- tions in the fixed service, communicating only within the boundary of the country in which they are located, with a mean power not exceeding 50 W. At the time of notifica- tion of these frequencies, the attention of the Bureau will be drawn to the above condi- tions.
5.138 The following bands: 6765–6795 kHz (centre frequency 6780 kHz),
433.05–434.79 MHz (centre frequency 433.92 MHz) in Region 1 except in the countries mentioned in No. 5.280,
61–61.5 GHz (centre frequency 61.25 GHz), 122–123 GHz (centre frequency 122.5 GHz), and 244–246 GHz (centre frequency 245 GHz) are designated for industrial, scientific and medical (ISM) applications. The use of these frequency bands for ISM applications shall be subject to special authorization by the ad- ministration concerned, in agreement with other administrations whose radiocommunication services might be af- fected. In applying this provision, adminis- trations shall have due regard to the latest relevant ITU-R Recommendations.
5.138A Until 29 March 2009, the band 6765– 7000 kHz is allocated to the fixed service on a primary basis and to the land mobile serv- ice on a secondary basis. After this date, this band is allocated to the fixed and the mobile except aeronautical mobile (R) services on a primary basis.
5.139 Different category of service: Until 29 March 2009, in Armenia, Azerbaijan, Belarus, the Russian Federation, Georgia, Kazakhstan, Latvia, Lithuania, Moldova, Mongolia, Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan and Ukraine, the allocation of the band 6765–7000 kHz to the land mobile service is on a primary basis (see No. 5.33).
5.140 Additional allocation: In Angola, Iraq, Kenya, Rwanda, Somalia and Togo, the band 7000–7050 kHz is also allocated to the fixed service on a primary basis.
5.141 Alternative allocation: in Egypt, Eri- trea, Ethiopia, Guinea, Libya and Mada- gascar, the band 7000–7050 kHz is allocated to the fixed service on a primary basis.
5.141A Additional allocation: In Uzbekistan and Kyrgyzstan, the bands 7000–7100 kHz and 7100–7200 kHz are also allocated to the fixed and land mobile services on a secondary basis.
5.141B Additional allocation: After 29 March 2009, in Algeria, Saudi Arabia, Aus- tralia, Bahrain, Botswana, Brunei Darussalam, China, Comoros, Korea (Rep. of), Diego Garcia, Djibouti, Egypt, United Arab Emirates, Eritrea, Indonesia, Iran (Is- lamic Republic of), Japan, Jordan, Kuwait, the Libyan Arab Jamahiriya, Morocco, Mau- ritania, New Zealand, Oman, Papua New Guinea, Qatar, the Syrian Arab Republic, Singapore, Sudan, Tunisia, Viet Nam and Yemen, the band 7100–7200 kHz is also allo- cated to the fixed and the mobile, except aeronautical mobile (R), services on a pri- mary basis.
5.141C In Regions 1 and 3, the band 7100– 7200 kHz is allocated to the broadcasting service until 29 March 2009 on a primary basis.
5.142 Until 29 March 2009, the use of the band 7100–7300 kHz in Region 2 by the ama- teur service shall not impose constraints on
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3 Note by the Secretariat: This Resolution was revised by WRC–03.
the broadcasting service intended for use within Region 1 and Region 3. After 29 March 2009 the use of the band 7200–7300 kHz in Re- gion 2 by the amateur service shall not im- pose constraints on the broadcasting service intended for use within Region 1 and Region 3.
5.143 The band 7300–7350 kHz is allocated, until 1 April 2007, to the fixed service on a primary basis and to the land mobile service on a secondary basis, subject to application of the procedure referred to in Resolution 21 (Rev.WRC–95) 3. After 1 April 2007, fre- quencies in this band may be used by sta- tions in the above-mentioned services, com- municating only within the boundary of the country in which they are located, on condi- tion that harmful interference is not caused to the broadcasting service. When using fre- quencies for these services, administrations are urged to use the minimum power re- quired and to take account of the seasonal use of frequencies by the broadcasting serv- ice published in accordance with the Radio Regulations.
5.143A In Region 3, the band 7350–7450 kHz is allocated, until 29 March 2009, to the fixed service on a primary basis and to the land mobile service on a secondary basis. After 29 March 2009, frequencies in this band may be used by stations in the above-mentioned services, communicating only within the boundary of the country in which they are located, on condition that harmful inter- ference is not caused to the broadcasting service. When using frequencies for these services, administrations are urged to use the minimum power required and to take ac- count of the seasonal use of frequencies by the broadcasting service published in accord- ance with the Radio Regulations.
5.143B In Region 1, the band 7350–7450 kHz is allocated, until 29 March 2009, to the fixed service on a primary basis and to the land mobile service on a secondary basis. After 29 March 2009, on condition that harmful inter- ference is not caused to the broadcasting service, frequencies in the band 7350–7450 kHz may be used by stations in the fixed and land mobile services communicating only within the boundary of the country in which they are located, each station using a total radi- ated power that shall not exceed 24 dBW.
5.143C Additional allocation: After 29 March 2009 in Algeria, Saudi Arabia, Bah- rain, Comoros, Djibouti, Egypt, United Arab Emirates, Iran (Islamic Republic of), the Libyan Arab Jamahiriya, Jordan, Kuwait, Morocco, Mauritania, Oman, Qatar, the Syr- ian Arab Republic, Sudan, Tunisia and
Yemen, the bands 7350–7400 kHz and 7400–7450 kHz are also allocated to the fixed service on a primary basis.
5.143D In Region 2, the band 7350–7400 kHz is allocated, until 29 March 2009, to the fixed service on a primary basis and to the land mobile service on a secondary basis. After 29 March 2009, frequencies in this band may be used by stations in the above-mentioned services, communicating only within the boundary of the country in which they are located, on condition that harmful inter- ference is not caused to the broadcasting service. When using frequencies for these services, administrations are urged to use the minimum power required and to take ac- count of the seasonal use of frequencies by the broadcasting service published in accord- ance with the Radio Regulations.
5.143E Until 29 March 2009, the band 7450– 8100 kHz is allocated to the fixed service on a primary basis and to the land mobile serv- ice on a secondary basis.
5.144 In Region 3, the stations of those services to which the band 7995–8005 kHz is allocated may transmit standard frequency and time signals.
5.145 The conditions for the use of the car- rier frequencies 8291 kHz, 12290 kHz and 16420 kHz are prescribed in Articles 31 and 52 and in Appendix 13.
5.146 The bands 9400–9500 kHz, 11600–11650 kHz, 12050–12100 kHz, 15600–15800 kHz, 17480– 17550 kHz and 18900–19020 kHz are allocated to the fixed service on a primary basis until 1 April 2007, subject to application of the pro- cedure referred to in Resolution 21 (Rev.WRC–95). After 1 April 2007, frequencies in these bands may be used by stations in the fixed service, communicating only within the boundary of the country in which they are located, on condition that harmful inter- ference is not caused to the broadcasting service. When using frequencies in the fixed service, administrations are urged to use the minimum power required and to take ac- count of the seasonal use of frequencies by the broadcasting service published in accord- ance with the Radio Regulations.
5.147 On condition that harmful inter- ference is not caused to the broadcasting service, frequencies in the bands 9775–9900 kHz, 11650–11700 kHz and 11975–12050 kHz may be used by stations in the fixed service com- municating only within the boundary of the country in which they are located, each sta- tion using a total radiated power not exceed- ing 24 dBW.
5.149 In making assignments to stations of other services to which the bands:
13360–13410 kHz, 4990–5000 MHz, 94.1–100 GHz,
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3 Note by the Secretariat: This Resolution was revised by WRC–03.
25550–25670 kHz, 6650–6675.2 MHz, 102–109.5 GHz, 37.5–38.25 MHz, 10.6–10.68 GHz, 111.8–114.25 GHz, 73–74.6 MHz in Regions 1 and 3, 14.47–14.5 GHz, 128.33–128.59 GHz, 150.05–153 MHz in Region 1, 22.01–22.21 GHz, 129.23–129.49 GHz, 322–328.6 MHz, 22.21–22.5 GHz, 130–134 GHz, 406.1–410 MHz, 22.81–22.86 GHz, 136–148.5 GHz, 608–614 MHz in Regions 1 and 3, 23.07–23.12 GHz, 151.5–158.5 GHz, 1330–1400 MHz, 31.2–31.3 GHz, 168.59–168.93 GHz, 1610.6–1613.8 MHz, 31.5–31.8 GHz in Regions 1 and 3, 171.11–171.45 GHz, 1660–1670 MHz, 36.43–36.5 GHz, 172.31–172.65 GHz, 1718.8–1722.2 MHz, 42.5–43.5 GHz, 173.52–173.85 GHz, 2655–2690 MHz, 42.77–42.87 GHz, 195.75–196.15 GHz, 3260–3267 MHz, 43.07–43.17 GHz, 209–226 GHz, 3332–3339 MHz, 43.37–43.47 GHz, 241–250 GHz, 3345.8–3352.5 MHz, 48.94–49.04 GHz, 252–275 GHz 4825–4835 MHz, 76–86 GHz, 4950–4990 MHz, 92–94 GHz,
are allocated, administrations are urged to take all practicable steps to protect the radio astronomy service from harmful inter- ference. Emissions from spaceborne or air- borne stations can be particularly serious sources of interference to the radio astron- omy service (see Nos. 4.5 and 4.6 and Article 29).
5.150 The following bands:
13553–13567 kHz (centre frequency 13560 kHz), 26957–27283 kHz (centre frequency 27120 kHz), 40.66–40.70 MHz (centre frequency 40.68 MHz), 902–928 MHz in Region 2 (centre frequency 915
MHz), 2400–2500 MHz (centre frequency 2450 MHz), 5725–5875 MHz (centre frequency 5800 MHz),
and 24–24.25 GHz (centre frequency 24.125 GHz)
are also designated for industrial, scientific and medical (ISM) applications. Radiocommunication services operating within these bands must accept harmful in- terference which may be caused by these ap- plications. ISM equipment operating in these bands is subject to the provisions of No. 15.13.
5.151 The bands 13570–13600 kHz and 13800– 13870 kHz are allocated, until 1 April 2007, to the fixed service on a primary basis and to the mobile except aeronautical mobile (R) service on a secondary basis, subject to ap- plication of the procedure referred to in Res- olution 21 (Rev.WRC–95) 3. After 1 April 2007, frequencies in these bands may be used by stations in the above-mentioned services, communicating only within the boundary of the country in which they are located, on the condition that harmful interference is not caused to the broadcasting service. When using frequencies in these services, adminis- trations are urged to use the minimum power required and to take account of the seasonal use of frequencies by the broad-
casting service published in accordance with the Radio Regulations.
5.152 Additional allocation: in Armenia, Azerbaijan, China, Côte d’Ivoire, the Russian Federation, Georgia, Iran (Islamic Republic of), Kazakhstan, Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan and Ukraine, the band 14250–14350 kHz is also allocated to the fixed service on a primary basis. Stations of the fixed service shall not use a radiated power exceeding 24 dBW.
5.153 In Region 3, the stations of those services to which the band 15995–16005 kHz is allocated may transmit standard frequency and time signals.
5.154 Additional allocation: in Armenia, Azerbaijan, the Russian Federation, Georgia, Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan and Ukraine, the band 18068– 18168 kHz is also allocated to the fixed serv- ice on a primary basis for use within their boundaries, with a peak envelope power not exceeding 1 kW.
5.155 Additional allocation: in Armenia, Azerbaijan, Belarus, Bulgaria, the Russian Federation, Georgia, Kazakhstan, Moldova, Mongolia, Uzbekistan, Kyrgyzstan, Slovakia, the Czech Rep., Tajikistan, Turkmenistan and Ukraine, the band 21850–21870 kHz is also allocated to the aeronautical mobile (R) service on a primary basis.
5.155A In Armenia, Azerbaijan, Belarus, Bulgaria, Georgia, Kazakstan, Moldova, Mongolia, Uzbekistan, Kyrgyzstan, Slovakia, the Czech Rep., the Russian Federation, Tajikistan, Turkmenistan and Ukraine, the use of the band 21850–21870 kHz by the fixed service is limited to provision of services re- lated to aircraft flight safety.
5.155B The band 21870–21924 kHz is used by the fixed service for provision of services re- lated to aircraft flight safety.
5.156 Additional allocation: in Nigeria, the band 22720–23200 kHz is also allocated to the meteorological aids service (radiosondes) on a primary basis.
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5.156A The use of the band 23200–23350 kHz by the fixed service is limited to provision of services related to aircraft flight safety.
5.157 The use of the band 23350–24000 kHz by the maritime mobile service is limited to inter-ship radiotelegraphy.
5.160 Additional allocation: in Botswana, Burundi, Lesotho, Malawi, Dem. Rep. of the Congo, Rwanda and Swaziland, the band 41– 44 MHz is also allocated to the aeronautical radionavigation service on a primary basis.
5.161 Additional allocation: in Iran (Islamic Republic of) and Japan, the band 41–44 MHz is also allocated to the radiolocation service on a secondary basis.
5.162 Additional allocation: in Australia and New Zealand, the band 44–47 MHz is also allocated to the broadcasting service on a primary basis.
5.162A Additional allocation: in Germany, Austria, Belgium, Bosnia and Herzegovina, China, Vatican, Denmark, Spain, Estonia, Finland, France, Ireland, Iceland, Italy, Lat- via, The Former Yugoslav Republic of Mac- edonia, Liechtenstein, Lithuania, Luxem- bourg, Moldova, Monaco, Norway, the Neth- erlands, Poland, Portugal, Slovakia, the Czech Rep., the United Kingdom, the Russian Federation, Sweden and Switzerland the band 46–68 MHz is also allocated to the radio- location service on a secondary basis. This use is limited to the operation of wind pro- filer radars in accordance with Resolution 217 (WRC–97).
5.163 Additional allocation: in Armenia, Azerbaijan, Belarus, the Russian Federation, Georgia, Hungary, Kazakhstan, Latvia, Lith- uania, Moldova, Mongolia, Uzbekistan, Kyrgyzstan, Slovakia, the Czech Rep., Tajikistan, Turkmenistan and Ukraine, the bands 47–48.5 MHz and 56.5–58 MHz are also allocated to the fixed and land mobile serv- ices on a secondary basis.
5.164 Additional allocation: in Albania, Ger- many, Austria, Belgium, Bosnia and Herzegovina, Botswana, Bulgaria, Côte; d’Ivoire, Denmark, Spain, Estonia, Finland, France, Gabon, Greece, Ireland, Israel, Italy, the Libyan Arab Jamahiriya, Jordan, Leb- anon, Liechtenstein, Luxembourg, Mada- gascar, Mali, Malta, Morocco, Mauritania, Monaco, Nigeria, Norway, the Netherlands, Poland, Syrian Arab Republic, the United Kingdom, Serbia and Montenegro, Slovenia, Sweden, Switzerland, Swaziland, Chad, Togo, Tunisia and Turkey, the band 47–68 MHz, in Romania the band 47–58 MHz, in South Afri- ca the band 47–50 MHz, and in the Czech Rep. the band 66–68 MHz, are also allocated to the land mobile service on a primary basis. How- ever, stations of the land mobile service in the countries mentioned in connection with each band referred to in this footnote shall not cause harmful interference to, or claim protection from, existing or planned broad- casting stations of countries other than
those mentioned in connection with the band.
5.165 Additional allocation: in Angola, Cameroon, the Congo, Madagascar, Mozam- bique, Somalia, Sudan, Tanzania and Chad, the band 47–68 MHz is also allocated to the fixed and mobile, except aeronautical mo- bile, services on a primary basis.
5.166 Alternative allocation: in New Zea- land, the band 50–51 MHz is allocated to the fixed, mobile and broadcasting services on a primary basis; the band 53–54 MHz is allo- cated to the fixed and mobile services on a primary basis.
5.167 Alternative allocation: in Bangladesh, Brunei Darussalam, India, Indonesia, Iran (Islamic Republic of), Malaysia, Pakistan, Singapore and Thailand, the band 50–54 MHz is allocated to the fixed, mobile and broad- casting services on a primary basis.
5.168 Additional allocation: in Australia, China and the Dem. People’s Rep. of Korea, the band 50–54 MHz is also allocated to the broadcasting service on a primary basis.
5.169 Alternative allocation: in Botswana, Burundi, Lesotho, Malawi, Namibia, Dem. Rep. of the Congo, Rwanda, South Africa, Swaziland, Zambia and Zimbabwe, the band 50–54 MHz is allocated to the amateur service on a primary basis.
5.170 Additional allocation: in New Zealand, the band 51–53 MHz is also allocated to the fixed and mobile services on a primary basis.
5.171 Additional allocation: in Botswana, Burundi, Lesotho, Malawi, Mali, Namibia, Dem. Rep. of the Congo, Rwanda, South Afri- ca, Swaziland and Zimbabwe, the band 54–68 MHz is also allocated to the fixed and mo- bile, except aeronautical mobile, services on a primary basis.
5.172 Different category of service: in the French Overseas Departments in Region 2, Guyana, Jamaica and Mexico, the allocation of the band 54–68 MHz to the fixed and mobile services is on a primary basis (see No. 5.33).
5.173 Different category of service: in the French Overseas Departments in Region 2, Guyana, Jamaica and Mexico, the allocation of the band 68–72 MHz to the fixed and mobile services is on a primary basis (see No. 5.33).
5.174 Alternative allocation: in Bulgaria, Hungary and Romania, the band 68–73 MHz is allocated to the broadcasting service on a primary basis and used in accordance with the decisions in the Final Acts of the Special Regional Conference (Geneva, 1960).
5.175 Alternative allocation: in Armenia, Azerbaijan, Belarus, Georgia, Kazakstan, Latvia, Lithuania, Moldova, Mongolia, Uzbekistan, Kyrgyzstan, the Russian Federa- tion, Tajikistan, Turkmenistan and Ukraine, the bands 68–73 MHz and 76–87.5 MHz are allo- cated to the broadcasting service on a pri- mary basis. The services to which these bands are allocated in other countries and the broadcasting service in the countries
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listed above are subject to agreements with the neighbouring countries concerned.
5.176 Additional allocation: in Australia, China, Korea (Rep. of), Estonia (subject to agreement obtained under No. 9.21), the Phil- ippines, the Dem. People’s Rep. of Korea and Samoa, the band 68–74 MHz is also allocated to the broadcasting service on a primary basis.
5.177 Additional allocation: in Armenia, Azerbaijan, Belarus, Bulgaria, the Russian Federation, Georgia, Kazakhstan, Latvia, Moldova, Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan and Ukraine, the band 73–74 MHz is also allocated to the broadcasting service on a primary basis, sub- ject to agreement obtained under No. 9.21.
5.178 Additional allocation: in Colombia, Costa Rica, Cuba, El Salvador, Guatemala, Guyana, Honduras and Nicaragua, the band 73–74.6 MHz is also allocated to the fixed and mobile services on a secondary basis.
5.179 Additional allocation: in Armenia, Azerbaijan, Belarus, Bulgaria, China, the Russian Federation, Georgia, Kazakhstan, Lithuania, Moldova, Mongolia, Kyrgyzstan, Slovakia, Tajikistan, Turkmenistan and Ukraine, the bands 74.6–74.8 MHz and 75.2–75.4 MHz are also allocated to the aeronautical radionavigation service, on a primary basis, for ground-based transmitters only.
5.180 The frequency 75 MHz is assigned to marker beacons. Administrations shall re- frain from assigning frequencies close to the limits of the guardband to stations of other services which, because of their power or geographical position, might cause harmful interference or otherwise place a constraint on marker beacons.
Every effort should be made to improve further the characteristics of airborne re- ceivers and to limit the power of transmit- ting stations close to the limits 74.8 MHz and 75.2 MHz.
5.181 Additional allocation: in Egypt, Israel and the Syrian Arab Republic, the band 74.8– 75.2 MHz is also allocated to the mobile serv- ice on a secondary basis, subject to agree- ment obtained under No. 9.21. In order to en- sure that harmful interference is not caused to stations of the aeronautical radio- navigation service, stations of the mobile service shall not be introduced in the band until it is no longer required for the aero- nautical radionavigation service by any ad- ministration which may be identified in the application of the procedure invoked under No. 9.21.
5.182 Additional allocation: in Western Samoa, the band 75.4–87 MHz is also allo- cated to the broadcasting service on a pri- mary basis.
5.183 Additional allocation: in China, Korea (Rep. of), Japan, the Philippines and the Dem. People’s Rep. of Korea, the band 76–87 MHz is also allocated to the broadcasting service on a primary basis.
5.184 Additional allocation: in Bulgaria and Romania, the band 76–87.5 MHz is also allo- cated to the broadcasting service on a pri- mary basis and used in accordance with the decisions contained in the Final Acts of the Special Regional Conference (Geneva, 1960).
5.185 Different category of service: in the United States, the French Overseas Depart- ments in Region 2, Guyana, Jamaica, Mexico and Paraguay, the allocation of the band 76– 88 MHz to the fixed and mobile services is on a primary basis (see No. 5.33).
5.187 Alternative allocation: in Albania, the band 81–87.5 MHz is allocated to the broad- casting service on a primary basis and used in accordance with the decisions contained in the Final Acts of the Special Regional Conference (Geneva, 1960).
5.188 Additional allocation: in Australia, the band 85–87 MHz is also allocated to the broadcasting service on a primary basis. The introduction of the broadcasting service in Australia is subject to special agreements between the administrations concerned.
5.190 Additional allocation: in Monaco, the band 87.5–88 MHz is also allocated to the land mobile service on a primary basis, subject to agreement obtained under No. 9.21.
5.192 Additional allocation: in China and Korea (Rep. of), the band 100–108 MHz is also allocated to the fixed and mobile services on a primary basis.
5.194 Additional allocation: in Azerbaijan, Lebanon, Syria, Kyrgyzstan, Somalia and Turkmenistan, the band 104–108 MHz is also allocated to the mobile, except aeronautical mobile (R), service on a secondary basis.
5.197 Additional allocation: in Japan, Paki- stan and Syria, the band 108–111.975 MHz is also allocated to the mobile service on a sec- ondary basis, subject to agreement obtained under No. 9.21. In order to ensure that harm- ful interference is not caused to stations of the aeronautical radionavigation service, stations of the mobile service shall not be in- troduced in the band until it is no longer re- quired for the aeronautical radionavigation service by any administration which may be identified in the application of the proce- dures invoked under No. 9.21.
5.197A The band 108–117.975 MHz may also be used by the aeronautical mobile (R) serv- ice on a primary basis, limited to systems that transmit navigational information in support of air navigation and surveillance functions in accordance with recognized international aviation standards. Such use shall be in accordance with Resolution 413 (WRC–03) and shall not cause harmful inter- ference to nor claim protection from sta- tions operating in the aeronautical radio- navigation service which operate in accord- ance with international aeronautical stand- ards.
5.198 Additional allocation: the band 117.975–136 MHz is also allocated to the aero- nautical mobile-satellite (R) service on a
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secondary basis, subject to agreement ob- tained under No. 9.21.
5.199 The bands 121.45–121.55 MHz and 242.95–243.05 MHz are also allocated to the mobile-satellite service for the reception on board satellites of emissions from emergency position-indicating radiobeacons transmit- ting at 121.5 MHz and 243 MHz (see Appendix 13).
5.200 In the band 117.975–136 MHz, the fre- quency 121.5 MHz is the aeronautical emer- gency frequency and, where required, the fre- quency 123.1 MHz is the aeronautical fre- quency auxiliary to 121.5 MHz. Mobile sta- tions of the maritime mobile service may communicate on these frequencies under the conditions laid down in Article 31 and Appen- dix 13 for distress and safety purposes with stations of the aeronautical mobile service.
5.201 Additional allocation: in Angola, Ar- menia, Azerbaijan, Belarus, Bulgaria, Esto- nia, Georgia, Hungary, Iran (Islamic Repub- lic of), Iraq, Japan, Kazakstan, Latvia, Moldova, Mongolia, Mozambique, Uzbekistan, Papua New Guinea, Poland, Kyrgyzstan, Slovakia, the Czech Rep., Roma- nia, Russian Federation, Tajikistan, Turkmenistan and Ukraine, the band 132–136 MHz is also allocated to the aeronautical mobile (OR) service on a primary basis. In assigning frequencies to stations of the aero- nautical mobile (OR) service, the adminis- tration shall take account of the frequencies assigned to stations in the aeronautical mo- bile (R) service.
5.202 Additional allocation: in Saudi Ara- bia, Armenia, Azerbaijan, Belarus, Bulgaria, the United Arab Emirates, Georgia, Iran (Is- lamic Republic of), Jordan, Latvia, Moldova, Oman, Uzbekistan, Poland, Syria, Kyrgyzstan, Slovakia, the Czech Rep., Roma- nia, the Russian Federation, Tajikistan, Turkmenistan and Ukraine, the band 136–137 MHz is also allocated to the aeronautical mobile (OR) service on a primary basis. In assigning frequencies to stations of the aero- nautical mobile (OR) service, the adminis- tration shall take account of the frequencies assigned to stations in the aeronautical mo- bile (R) service.
5.203 In the band 136–137 MHz, existing operational meteorological satellites may continue to operate, under the conditions de- fined in No. 4.4 with respect to the aero- nautical mobile service, until 1 January 2002. Administrations shall not authorize new fre- quency assignments in this band to stations in the meteorological-satellite service.
5.203A Additional allocation: in Israel, Mauritania, Qatar and Zimbabwe, the band 136–137 MHz is also allocated to the fixed and mobile, except aeronautical mobile (R), serv- ices on a secondary basis until 1 January 2005.
5.203B Additional allocation: in Saudi Ara- bia, United Arab Emirates, Oman and Syrian Arab Republic, the band 136–137 MHz is also
allocated to the fixed and mobile, except aeronautical mobile, services on a secondary basis until 1 January 2005.
5.204 Different category of service: in Af- ghanistan, Saudi Arabia, Bahrain, Ban- gladesh, Bosnia and Herzegovina, Brunei Darussalam, China, Cuba, the United Arab Emirates, India, Indonesia, Iran (Islamic Re- public of), Iraq, Malaysia, Oman, Pakistan, the Philippines, Qatar, Serbia and Monte- negro, Singapore, Thailand and Yemen, the band 137–138 MHz is allocated to the fixed and mobile, except aeronautical mobile (R), services on a primary basis (see No. 5.33).
5.205 Different category of service: in Israel and Jordan, the allocation of the band 137– 138 MHz to the fixed and mobile, except aero- nautical mobile, services is on a primary basis (see No. 5.33).
5.206 Different category of service: in Arme- nia, Azerbaijan, Belarus, Bulgaria, Egypt, Finland, France, Georgia, Greece, Kazakstan, Lebanon, Moldova, Mongolia, Uzbekistan, Poland, Kyrgyzstan, Syria, Slo- vakia, the Czech Rep., Romania, the Russian Federation, Tajikistan, Turkmenistan and Ukraine, the allocation of the band 137–138 MHz to the aeronautical mobile (OR) service is on a primary basis (see No. 5.33).
5.207 Additional allocation: in Australia, the band 137–144 MHz is also allocated to the broadcasting service on a primary basis until that service can be accommodated within re- gional broadcasting allocations.
5.208 The use of the band 137–138 MHz by the mobile-satellite service is subject to co- ordination under No. 9.11A.
5.208A In making assignments to space stations in the mobile-satellite service in the bands 137–138 MHz, 387–390 MHz and 400.15–401 MHz, administrations shall take all prac- ticable steps to protect the radio astronomy service in the bands 150.05–153 MHz, 322–328.6 MHz, 406.1–410 MHz and 608–614 MHz from harmful interference from unwanted emis- sions. The threshold levels of interference detrimental to the radio astronomy service are shown in Table 1 of Recommendation ITU-R RA.769–1.
5.209 The use of the bands 137–138 MHz, 148–150.05 MHz, 399.9–400.05 MHz, 400.15–401 MHz, 454–456 MHz and 459–460 MHz by the mo- bile-satellite service is limited to non-geo- stationary-satellite systems.
5.210 Additional allocation: in France, Italy, the Czech Rep. and the United King- dom, the bands 138–143.6 MHz and 143.65–144 MHz are also allocated to the space research service (space-to-Earth) on a secondary basis.
5.211 Additional allocation: in Germany, Saudi Arabia, Austria, Bahrain, Belgium, Bosnia and Herzegovina, Denmark, the United Arab Emirates, Spain, Finland, Greece, Ireland, Israel, Kenya, Kuwait, The Former Yugoslav Republic of Macedonia, Liechtenstein, Luxembourg, Mali, Malta,
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Norway, the Netherlands, Qatar, the United Kingdom, Somalia, Sweden, Switzerland, Tanzania, Tunisia, Turkey and Yugoslavia, the band 138–144 MHz is also allocated to the maritime mobile and land mobile services on a primary basis.
5.212 Alternative allocation: in Angola, Bot- swana, Burundi, Cameroon, the Central Afri- can Rep., Congo (Rep. of the), Gabon, Gam- bia, Ghana, Guinea, Iraq, Libyan Arab Jamahiriya, Jordan, Lesotho, Liberia, Ma- lawi, Mozambique, Namibia, Oman, Uganda, the Dem. Rep. of the Congo, Rwanda, Sierra Leone, South Africa, Swaziland, Chad, Togo, Zambia and Zimbabwe, the band 138–144 MHz is allocated to the fixed and mobile services on a primary basis.
5.213 Additional allocation: in China, the band 138–144 MHz is also allocated to the radiolocation service on a primary basis.
5.214 Additional allocation: in Bosnia and Herzegovina, Croatia, Eritrea, Ethiopia, Kenya, The Former Yugoslav Republic of Macedonia, Malta, Somalia, Sudan, Tanzania and Yugoslavia, the band 138–144 MHz is also allocated to the fixed service on a primary basis.
5.216 Additional allocation: in China, the band 144–146 MHz is also allocated to the aeronautical mobile (OR) service on a sec- ondary basis.
5.217 Alternative allocation: in Afghanistan, Bangladesh, Cuba, Guyana and India, the band 146–148 MHz is allocated to the fixed and mobile services on a primary basis.
5.218 Additional allocation: the band 148– 149.9 MHz is also allocated to the space oper- ation service (Earth-to-space) on a primary basis, subject to agreement obtained under No. 9.21. The bandwidth of any individual transmission shall not exceed ±25 kHz.
5.219 The use of the band 148–149.9 MHz by the mobile-satellite service is subject to co- ordination under No. 9.11A. The mobile-sat- ellite service shall not constrain the develop- ment and use of the fixed, mobile and space operation services in the band 148–149.9 MHz.
5.220 The use of the bands 149.9–150.05 MHz and 399.9–400.05 MHz by the mobile-satellite service is subject to coordination under No. 9.11A. The mobile-satellite service shall not constrain the development and use of the radionavigation-satellite service in the bands 149.9–150.05 MHz and 399.9–400.05 MHz.
5.221 Stations of the mobile-satellite serv- ice in the band 148–149.9 MHz shall not cause harmful interference to, or claim protection from, stations of the fixed or mobile services operating in accordance with the Table of Frequency Allocations in the following coun- tries: Albania, Algeria, Germany, Saudi Ara- bia, Australia, Austria, Bahrain, Bangladesh, Barbados, Belarus, Belgium, Benin, Bosnia and Herzegovina, Botswana, Brunei Darussalam, Bulgaria, Cameroon, China, Cy- prus, Congo (Rep. of the), Korea (Rep. of), Côte d’Ivoire, Croatia, Cuba, Denmark,
Egypt, the United Arab Emirates, Eritrea, Spain, Estonia, Ethiopia, the Russian Fed- eration, Finland, France, Gabon, Ghana, Greece, Guinea, Guinea Bissau, Hungary, India, Iran (Islamic Republic of), Ireland, Iceland, Israel, Italy, the Libyan Arab Jamahiriya, Jamaica, Japan, Jordan, Kazakhstan, Kenya, Kuwait, The Former Yugoslav Republic of Macedonia, Lesotho, Latvia, Lebanon, Liechtenstein, Lithuania, Luxembourg, Malaysia, Mali, Malta, Mauri- tania, Moldova, Mongolia, Mozambique, Na- mibia, Norway, New Zealand, Oman, Uganda, Uzbekistan, Pakistan, Panama, Papua New Guinea, Paraguay, the Netherlands, the Phil- ippines, Poland, Portugal, Qatar, the Syrian Arab Republic, Kyrgyzstan, Slovakia, Roma- nia, the United Kingdom, Senegal, Serbia and Montenegro, Sierra Leone, Singapore, Slovenia, Sri Lanka, South Africa, Sweden, Switzerland, Swaziland, Tanzania, Chad, Thailand, Togo, Tonga, Trinidad and Tobago, Tunisia, Turkey, Ukraine, Viet Nam, Yemen, Zambia, and Zimbabwe.
5.222 Emissions of the radionavigation- satellite service in the bands 149.9–150.05 MHz and 399.9–400.05 MHz may also be used by re- ceiving earth stations of the space research service.
5.223 Recognizing that the use of the band 149.9–150.05 MHz by the fixed and mobile serv- ices may cause harmful interference to the radionavigation-satellite service, adminis- trations are urged not to authorize such use in application of No. 4.4.
5.224A The use of the bands 149.9–150.05 MHz and 399.9–400.05 MHz by the mobile-sat- ellite service (Earth-to-space) is limited to the land mobile-satellite service (Earth-to- space) until 1 January 2015.
5.224B The allocation of the bands 149.9– 150.05 MHz and 399.9–400.05 MHz to the radio- navigation-satellite service shall be effective until 1 January 2015.
5.225 Additional allocation: in Australia and India, the band 150.05–153 MHz is also al- located to the radio astronomy service on a primary basis.
5.226 The frequency 156.8 MHz is the inter- national distress, safety and calling fre- quency for the maritime mobile VHF radio- telephone service. The conditions for the use of this frequency are contained in Article 31 and Appendix 13.
In the bands 156–156.7625 MHz, 156.8375– 157.45 MHz, 160.6–160.975 MHz and 161.475– 162.05 MHz, each administration shall give priority to the maritime mobile service on only such frequencies as are assigned to sta- tions of the maritime mobile service by the administration (see Articles 31 and 52, and Appendix 13).
Any use of frequencies in these bands by stations of other services to which they are allocated should be avoided in areas where such use might cause harmful interference to
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the maritime mobile VHF radiocommunication service.
However, the frequency 156.8 MHz and the frequency bands in which priority is given to the maritime mobile service may be used for radiocommunications on inland waterways subject to agreement between interested and affected administrations and taking into ac- count current frequency usage and existing agreements.
5.227 In the maritime mobile VHF service the frequency 156.525 MHz is to be used exclu- sively for digital selective calling for dis- tress, safety and calling. The conditions for the use of this frequency are prescribed in Articles 31 and 52, and Appendices 13 and 18.
5.229 Alternative allocation: in Morocco, the band 162–174 MHz is allocated to the broadcasting service on a primary basis. The use of this band shall be subject to agree- ment with administrations having services, operating or planned, in accordance with the Table which are likely to be affected. Sta- tions in existence on 1 January 1981, with their technical characteristics as of that date, are not affected by such agreement.
5.230 Additional allocation: in China, the band 163–167 MHz is also allocated to the space operation service (space-to-Earth) on a primary basis, subject to agreement obtained under No. 9.21.
5.231 Additional allocation: in Afghanistan, China and Pakistan, the band 167–174 MHz is also allocated to the broadcasting service on a primary basis. The introduction of the broadcasting service into this band shall be subject to agreement with the neighbouring countries in Region 3 whose services are likely to be affected.
5.232 Additional allocation: in Japan, the band 170–174 MHz is also allocated to the broadcasting service on a primary basis.
5.233 Additional allocation: in China, the band 174–184 MHz is also allocated to the space research (space-to-Earth) and the space operation (space-to-Earth) services on a primary basis, subject to agreement ob- tained under No. 9.21. These services shall not cause harmful interference to, or claim protection from, existing or planned broad- casting stations.
5.234 Different category of service: in Mex- ico, the allocation of the band 174–216 MHz to the fixed and mobile services is on a primary basis (see No. 5.33).
5.235 Additional allocation: in Germany, Austria, Belgium, Denmark, Spain, Finland, France, Israel, Italy, Liechtenstein, Malta, Monaco, Norway, the Netherlands, the United Kingdom, Sweden and Switzerland, the band 174–223 MHz is also allocated to the land mobile service on a primary basis. How- ever, the stations of the land mobile service shall not cause harmful interference to, or claim protection from, broadcasting sta- tions, existing or planned, in countries other than those listed in this footnote.
5.237 Additional allocation: in Congo (Rep. of the), Eritrea, Ethiopia, Gambia, Guinea, the Libyan Arab Jamahiriya, Malawi, Mali, Sierra Leone, Somalia, Chad and Zimbabwe, the band 174–223 MHz is also allocated to the fixed and mobile services on a secondary basis.
5.238 Additional allocation: in Bangladesh, India, Pakistan and the Philippines, the band 200–216 MHz is also allocated to the aeronautical radionavigation service on a primary basis.
5.240 Additional allocation: in China and India, the band 216–223 MHz is also allocated to the aeronautical radionavigation service on a primary basis and to the radiolocation service on a secondary basis.
5.241 In Region 2, no new stations in the radiolocation service may be authorized in the band 216–225 MHz. Stations authorized prior to 1 January 1990 may continue to oper- ate on a secondary basis.
5.242 Additional allocation: in Canada, the band 216–220 MHz is also allocated to the land mobile service on a primary basis.
5.243 Additional allocation: in Somalia, the band 216–225 MHz is also allocated to the aeronautical radionavigation service on a primary basis, subject to not causing harm- ful interference to existing or planned broad- casting services in other countries.
5.245 Additional allocation: in Japan, the band 222–223 MHz is also allocated to the aeronautical radionavigation service on a primary basis and to the radiolocation serv- ice on a secondary basis.
5.246 Alternative allocation: in Spain, France, Israel and Monaco, the band 223–230 MHz is allocated to the broadcasting and land mobile services on a primary basis (see No. 5.33) on the basis that, in the preparation of frequency plans, the broadcasting service shall have prior choice of frequencies; and al- located to the fixed and mobile, except land mobile, services on a secondary basis. How- ever, the stations of the land mobile service shall not cause harmful interference to, or claim protection from, existing or planned broadcasting stations in Morocco and Alge- ria.
5.247 Additional allocation: in Saudi Ara- bia, Bahrain, the United Arab Emirates, Jor- dan, Oman, Qatar and Syria, the band 223–235 MHz is also allocated to the aeronautical radionavigation service on a primary basis.
5.250 Additional allocation: in China, the band 225–235 MHz is also allocated to the radio astronomy service on a secondary basis.
5.251 Additional allocation: in Nigeria, the band 230–235 MHz is also allocated to the aeronautical radionavigation service on a primary basis, subject to agreement obtained under No. 9.21.
5.252 Alternative allocation: in Botswana, Lesotho, Malawi, Mozambique, Namibia, South Africa, Swaziland, Zambia and
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Zimbabwe, the bands 230–238 MHz and 246–254 MHz are allocated to the broadcasting serv- ice on a primary basis, subject to agreement obtained under No. 9.21.
5.254 The bands 235–322 MHz and 335.4–399.9 MHz may be used by the mobile-satellite service, subject to agreement obtained under No. 9.21, on condition that stations in this service do not cause harmful interference to those of other services operating or planned to be operated in accordance with the Table of Frequency Allocations except for the addi- tional allocation made in footnote No. 5.256A.
5.255 The bands 312–315 MHz (Earth-to- space) and 387–390 MHz (space-to-Earth) in the mobile-satellite service may also be used by non-geostationary-satellite systems. Such use is subject to coordination under No. 9.11A.
5.256 The frequency 243 MHz is the fre- quency in this band for use by survival craft stations and equipment used for survival purposes (see Appendix 13).
5.256A Additional allocation: In China, the Russian Federation, Kazakhstan and Ukraine, the band 258–261 MHz is also allo- cated to the space research service (Earth- to-space) and space operation service (Earth- to-space) on a primary basis. Stations in the space research service (Earth-to-space) and space operation service (Earth-to-space) shall not cause harmful interference to, nor claim protection from, nor constrain the use and development of the mobile service sys- tems and mobile-satellite service systems operating in the band. Stations in space re- search service (Earth-to-space) and space op- eration service (Earth-to-space) shall not constrain the future development of fixed service systems of other countries.
5.257 The band 267–272 MHz may be used by administrations for space telemetry in their countries on a primary basis, subject to agreement obtained under No. 9.21.
5.258 The use of the band 328.6–335.4 MHz by the aeronautical radionavigation service is limited to Instrument Landing Systems (glide path).
5.259 Additional allocation: in Egypt, Israel, Japan, and Syria, the band 328.6–335.4 MHz is also allocated to the mobile service on a secondary basis, subject to agreement obtained under No. 9.21. In order to ensure that harmful interference is not caused to stations of the aeronautical radionavigation service, stations of the mobile service shall not be introduced in the band until it is no longer required for the aeronautical radio- navigation service by any administration which may be identified in the application of the procedure invoked under No. 9.21.
5.260 Recognizing that the use of the band 399.9–400.05 MHz by the fixed and mobile serv- ices may cause harmful interference to the radionavigation satellite service, adminis-
trations are urged not to authorize such use in application of No. 4.4.
5.261 Emissions shall be confined in a band of ±25 kHz about the standard frequency 400.1 MHz.
5.262 Additional allocation: In Saudi Ara- bia, Armenia, Azerbaijan, Bahrain, Belarus, Bosnia and Herzegovina, Botswana, Bulgaria, Colombia, Costa Rica, Cuba, Egypt, the United Arab Emirates, Ecuador, the Russian Federation, Georgia, Hungary, Iran (Islamic Republic of), Iraq, Israel, Jordan, Kazakhstan, Kuwait, Liberia, Malaysia, Moldova, Uzbekistan, Pakistan, the Phil- ippines, Qatar, the Syrian Arab Republic, Kyrgyzstan, Romania, Serbia and Monte- negro, Singapore, Somalia, Tajikistan, Turkmenistan and Ukraine, the band 400.05– 401 MHz is also allocated to the fixed and mobile services on a primary basis.
5.263 The band 400.15–401 MHz is also allo- cated to the space research service in the space-to-space direction for communications with manned space vehicles. In this applica- tion, the space research service will not be regarded as a safety service.
5.264 The use of the band 400.15–401 MHz by the mobile-satellite service is subject to coordination under No. 9.11A. The power flux-density limit indicated in Annex 1 of Appendix 5 shall apply until such time as a competent world radiocommunication con- ference revises it.
5.266 The use of the band 406–406.1 MHz by the mobile-satellite service is limited to low power satellite emergency position-indi- cating radiobeacons (see also Article 31 and Appendix 13).
5.267 Any emission capable of causing harmful interference to the authorized uses of the band 406–406.1 MHz is prohibited.
5.268 Use of the band 410–420 MHz by the space research service is limited to commu- nications within 5 km of an orbiting, manned space vehicle. The power flux-density at the surface of the Earth produced by emissions from extra-vehicular activities shall not ex- ceed ¥153 dB(W/m2) for 0° ≤ d ≤ 5°, ¥153 + 0.077 (d ¥5) dB(W/m2) for 5° ≤ d ≤ 70° and ¥148 dB(W/m2) for 70° ≤ d ≤ 90°, where d is the angle of arrival of the radio-frequency wave and the reference bandwidth is 4 kHz. No. 4.10 does not apply to extra-vehicular activities. In this frequency band the space research (space-to-space) service shall not claim pro- tection from, nor constrain the use and de- velopment of, stations of the fixed and mo- bile services.
5.269 Different category of service: in Aus- tralia, the United States, India, Japan and the United Kingdom, the allocation of the bands 420–430 MHz and 440–450 MHz to the radiolocation service is on a primary basis (see No. 5.33).
5.270 Additional allocation: in Australia, the United States, Jamaica and the Phil- ippines, the bands 420–430 MHz and 440–450
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MHz are also allocated to the amateur serv- ice on a secondary basis.
5.271 Additional allocation: In Azerbaijan, Belarus, China, India, Latvia, Lithuania, Kyrgyzstan and Turkmenistan, the band 420– 460 MHz is also allocated to the aeronautical radionavigation service (radio altimeters) on a secondary basis.
5.272 Different category of service: in France, the allocation of the band 430–434 MHz to the amateur service is on a sec- ondary basis (see No. 5.32).
5.273 Different category of service: In the Libyan Arab Jamahiriya, the allocation of the bands 430–432 MHz and 438–440 MHz to the radiolocation service is on a secondary basis (see No. 5.32).
5.274 Alternative allocation: in Denmark, Norway and Sweden, the bands 430–432 MHz and 438–440 MHz are allocated to the fixed and mobile, except aeronautical mobile, services on a primary basis.
5.275 Additional allocation: in Bosnia and Herzegovina, Croatia, Estonia, Finland, Lat- via, The Former Yugoslav Republic of Mac- edonia, Libya, Slovenia and Yugoslavia, the bands 430–432 MHz and 438–440 MHz are also allocated to the fixed and mobile, except aeronautical mobile, services on a primary basis.]
5.276 Additional allocation: in Afghanistan, Algeria, Saudi Arabia, Bahrain, Bangladesh, Brunei Darussalam, Burkina Faso, Burundi, Egypt, the United Arab Emirates, Ecuador, Eritrea, Ethiopia, Greece, Guinea, India, In- donesia, Iran (Islamic Republic of), Iraq, Israel, Italy, Jordan, Kenya, Kuwait, Leb- anon, Libya, Liechtenstein, Malaysia, Malta, Nigeria, Oman, Pakistan, the Philippines, Qatar, Syria, the Dem. People’s Rep. of Korea, Singapore, Somalia, Switzerland, Tanzania, Thailand, Togo, Turkey and Yemen, the band 430–440 MHz is also allo- cated to the fixed service on a primary basis and the bands 430–435 MHz and 438–440 MHz are also allocated to the mobile, except aero- nautical mobile, service on a primary basis.
5.277 Additional allocation: In Angola, Ar- menia, Azerbaijan, Belarus, Cameroon, Congo (Rep. of the), Djibouti, the Russian Federation, Georgia, Hungary, Israel, Kazakhstan, Mali, Moldova, Mongolia, Uzbekistan, Poland, Kyrgyzstan, Slovakia, the Czech Rep., Romania, Rwanda, Tajikistan, Chad, Turkmenistan and Ukraine, the band 430–440 MHz is also allo- cated to the fixed service on a primary basis.
5.278 Different category of service: in Argen- tina, Colombia, Costa Rica, Cuba, Guyana, Honduras, Panama and Venezuela, the allo- cation of the band 430–440 MHz to the ama- teur service is on a primary basis (see No. 5.33).
5.279 Additional allocation: in Mexico, the bands 430–435 MHz and 438–440 MHz are also allocated on a primary basis to the land mo-
bile service, subject to agreement obtained under No. 9.21.
5.279A The use of this band by sensors in the Earth exploration-satellite service (ac- tive) shall be in accordance with Rec- ommendation ITU–R SA.1260–1. Additionally, the Earth exploration-satellite service (ac- tive) in the band 432–438 MHz shall not cause harmful interference to the aeronautical radionavigation service in China.
The provisions of this footnote in no way diminish the obligation of the Earth explo- ration-satellite service (active) to operate as a secondary service in accordance with Nos. 5.29 and 5.30.
5.280 In Germany, Austria, Bosnia and Herzegovina, Croatia, The Former Yugoslav Republic of Macedonia, Liechtenstein, Por- tugal, Slovenia, Switzerland and Yugoslavia, the band 433.05–434.79 MHz (centre frequency 433.92 MHz) is designated for industrial, sci- entific and medical (ISM) applications. Radiocommunication services of these coun- tries operating within this band must accept harmful interference which may be caused by these applications. ISM equipment oper- ating in this band is subject to the provi- sions of No. 15.13.
5.281 Additional allocation: in the French Overseas Departments in Region 2 and India, the band 433.75–434.25 MHz is also allocated to the space operation service (Earth-to- space) on a primary basis. In France and in Brazil, the band is allocated to the same service on a secondary basis.
5.282 In the bands 435–438 MHz, 1260–1270 MHz, 2400–2450 MHz, 3400–3410 MHz (in Re- gions 2 and 3 only) and 5650–5670 MHz, the amateur-satellite service may operate sub- ject to not causing harmful interference to other services operating in accordance with the Table (see No. 5.43). Administrations au- thorizing such use shall ensure that any harmful interference caused by emissions from a station in the amateur-satellite serv- ice is immediately eliminated in accordance with the provisions of No. 25.11. The use of the bands 1260–1270 MHz and 5650–5670 MHz by the amateur-satellite service is limited to the Earth-to-space direction.
5.283 Additional allocation: in Austria, the band 438–440 MHz is also allocated to the fixed and mobile, except aeronautical mo- bile, services on a primary basis.
5.284 Additional allocation: in Canada, the band 440–450 MHz is also allocated to the amateur service on a secondary basis.
5.285 Different category of service: in Can- ada, the allocation of the band 440–450 MHz to the radiolocation service is on a primary basis (see No. 5.33).
5.286 The band 449.75–450.25 MHz may be used for the space operation service (Earth- to-space) and the space research service (Earth-to-space), subject to agreement ob- tained under No. 9.21.
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7 Note by the Secretariat: This Resolution was abrogated by WRC–03.
5.286A The use of the bands 454–456 MHz and 459–460 MHz by the mobile-satellite serv- ice is subject to coordination under No. 9.11A.
5.286B The use of the band 454–455 MHz in the countries listed in No. 5.286D, 455–456 MHz and 459–460 MHz in Region 2, and 454–456 MHz and 459–460 MHz in the countries listed in No. 5.286E, by stations in the mobile-sat- ellite service, shall not cause harmful inter- ference to, or claim protection from, stations of the fixed or mobile services operating in accordance with the Table of Frequency Al- locations.
5.286C The use of the band 454–455 MHz in the countries listed in No. 5.286D, 455–456 MHz and 459–460 MHz in Region 2, and 454–456 MHz and 459–460 MHz in the countries listed in No. 5.286E, by stations in the mobile-sat- ellite service, shall not constrain the devel- opment and use of the fixed and mobile serv- ices operating in accordance with the Table of Frequency Allocations.
5.286D Additional allocation: in Canada, the United States, Mexico and Panama, the band 454–455 MHz is also allocated to the mobile- satellite service (Earth-to-space) on a pri- mary basis.
5.286E Additional allocation: in Cape Verde, Indonesia, Nepal, Nigeria and Papua New Guinea, the bands 454–456 MHz and 459–460 MHz are also allocated to the mobile-sat- ellite (Earth-to-space) service on a primary basis.
5.287 In the maritime mobile service, the frequencies 457.525 MHz, 457.550 MHz, 457.575 MHz, 467.525 MHz, 467.550 MHz and 467.575 MHz may be used by on-board communica- tion stations. Where needed, equipment de- signed for 12.5 kHz channel spacing using also the additional frequencies 457.5375 MHz, 457.5625 MHz, 467.5375 MHz and 467.5625 MHz may be introduced for on-board communica- tions. The use of these frequencies in terri- torial waters may be subject to the national regulations of the administration concerned. The characteristics of the equipment used shall conform to those specified in Rec- ommendation ITU–R M.1174 (see Resolution 341 (WRC–97) 7).
5.288 In the territorial waters of the United States and the Philippines, the pre- ferred frequencies for use by on-board com- munication stations shall be 457.525 MHz, 457.550 MHz, 457.575 MHz and 457.600 MHz paired, respectively, with 467.750 MHz, 467.775 MHz, 467.800 MHz and 467.825 MHz. The char- acteristics of the equipment used shall con- form to those specified in Recommendation ITU–R M.1174–1.
5.289 Earth exploration-satellite service applications, other than the meteorological- satellite service, may also be used in the
bands 460–470 MHz and 1690–1710 MHz for space-to-Earth transmissions subject to not causing harmful interference to stations op- erating in accordance with the Table.
5.290 Different category of service: in Af- ghanistan, Azerbaijan, Belarus, China, Japan, Mongolia, Uzbekistan, Kyrgyzstan, Slovakia, the Russian Federation, Tajikistan, Turkmenistan and Ukraine, the allocation of the band 460–470 MHz to the me- teorological-satellite service (space-to- Earth) is on a primary basis (see No. 5.33), subject to agreement obtained under No. 9.21.
5.291 Additional allocation: in China, the band 470–485 MHz is also allocated to the space research (space-to-Earth) and the space operation (space-to-Earth) services on a primary basis subject to agreement ob- tained under No. 9.21 and subject to not caus- ing harmful interference to existing and planned broadcasting stations.
5.291A Additional allocation: in Germany, Austria, Denmark, Estonia, Finland, Liech- tenstein, Norway, Netherlands, the Czech Rep. and Switzerland, the band 470–494 MHz is also allocated to the radiolocation service on a secondary basis. This use is limited to the operation of wind profiler radars in ac- cordance with Resolution 217 (WRC–97).
5.292 Different category of service: in Mex- ico and Venezuela, the allocation of the band 470–512 MHz to the fixed and mobile services, and in Argentina and Uruguay to the mobile service, is on a primary basis (see No. 5.33), subject to agreement obtained under No. 9.21.
5.293 Different category of service: in Can- ada, Chile, Colombia, Cuba, the United States, Guyana, Honduras, Jamaica, Mexico, Panama and Peru, the allocation of the bands 470–512 MHz and 614–806 MHz to the fixed and mobile services is on a primary basis (see No. 5.33), subject to agreement ob- tained under No. 9.21. In Argentina and Ecua- dor, the allocation of the band 470–512 MHz to the fixed and mobile services is on a pri- mary basis (see No. 5.33), subject to agree- ment obtained under No. 9.21.
5.294 Additional allocation: In Burundi, Cameroon, Congo (Rep. of the), Côte d’Ivoire, Ethiopia, Israel, the Libyan Arab Jamahiriya, Kenya, Lebanon, Malawi, the Syrian Arab Republic, Sudan, Chad and Yemen, the band 470–582 MHz is also allo- cated to the fixed service on a secondary basis.
5.296 Additional allocation: in Germany, Austria, Belgium, Côte d’Ivoire, Denmark, Spain, Finland, France, Ireland, Israel, Italy, the Libyan Arab Jamahiriya, Lithuania, Malta, Morocco, Monaco, Norway, the Neth- erlands, Portugal, the Syrian Arab Republic, the United Kingdom, Sweden, Switzerland, Swaziland and Tunisia, the band 470–790 MHz is also allocated on a secondary basis to the
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land mobile service, intended for applica- tions ancillary to broadcasting. Stations of the land mobile service in the countries list- ed in this footnote shall not cause harmful interference to existing or planned stations operating in accordance with the Table in countries other than those listed in this footnote.
5.297 Additional allocation: in Costa Rica, Cuba, El Salvador, the United States, Guate- mala, Guyana, Honduras, Jamaica and Mex- ico, the band 512–608 MHz is also allocated to the fixed and mobile services on a primary basis, subject to agreement obtained under No. 9.21.
5.298 Additional allocation: in India, the band 549.75–550.25 MHz is also allocated to the space operation service (space-to-Earth) on a secondary basis.
5.300 Additional allocation: in Israel, Libya, Syria and Sudan, the band 582–790 MHz is also allocated to the fixed and mobile, except aeronautical mobile, services on a secondary basis.
5.302 Additional allocation: in the United Kingdom, the band 590–598 MHz is also allo- cated to the aeronautical radionavigation service on a primary basis. All new assign- ments to stations in the aeronautical radio- navigation service, including those trans- ferred from the adjacent bands, shall be sub- ject to coordination with the Administra- tions of the following countries: Germany, Belgium, Denmark, Spain, France, Ireland, Luxembourg, Morocco, Norway and the Netherlands.
5.304 Additional allocation: in the African Broadcasting Area (see Nos. 5.10 to 5.13), the band 606–614 MHz is also allocated to the radio astronomy service on a primary basis.
5.305 Additional allocation: in China, the band 606–614 MHz is also allocated to the radio astronomy service on a primary basis.
5.306 Additional allocation: in Region 1, ex- cept in the African Broadcasting Area (see Nos. 5.10 to 5.13), and in Region 3, the band 608–614 MHz is also allocated to the radio as- tronomy service on a secondary basis.
5.307 Additional allocation: in India, the band 608–614 MHz is also allocated to the radio astronomy service on a primary basis.
5.309 Different category of service: in Costa Rica, El Salvador and Honduras, the alloca- tion of the band 614–806 MHz to the fixed service is on a primary basis (see No. 5.33), subject to agreement obtained under No. 9.21.
5.311 Within the frequency band 620–790 MHz, assignments may be made to television stations using frequency modulation in the broadcasting-satellite service subject to agreement between the administrations con- cerned and those having services, operating in accordance with the Table, which may be affected (see Resolutions 33 (Rev.WRC–03) and 507 (Rev.WRC–03)). Such stations shall not produce a power flux-density in excess of
the value ¥129 dB(W/m2) for angles of arrival less than 20° (see Recommendation 705) with- in the territories of other countries without the consent of the administrations of those countries. Resolution 545 (WRC–03) applies.
5.312 Additional allocation: In Armenia, Azerbaijan, Belarus, Bulgaria, the Russian Federation, Georgia, Hungary, Kazakhstan, Moldova, Mongolia, Uzbekistan, Poland, Kyrgyzstan, Slovakia, the Czech Rep., Roma- nia, Tajikistan, Turkmenistan and Ukraine, the band 645–862 MHz is also allocated to the aeronautical radionavigation service on a primary basis.
5.314 Additional allocation: in Austria, Italy, Moldova, Uzbekistan, the United King- dom and Swaziland, the band 790–862 MHz is also allocated to the land mobile service on a secondary basis.
5.315 Alternative allocation: in Greece, Italy and Tunisia, the band 790–838 MHz is al- located to the broadcasting service on a pri- mary basis.
5.316 Additional allocation: In Germany, Saudi Arabia, Bosnia and Herzegovina, Burkina Faso, Cameroon, Côte d’Ivoire, Cro- atia, Denmark, Egypt, Finland, Greece, Israel, the Libyan Arab Jamahiriya, Jordan, Kenya, The Former Yugoslav Republic of Macedonia, Liechtenstein, Mali, Monaco, Norway, the Netherlands, Portugal, the United Kingdom, the Syrian Arab Republic, Serbia and Montenegro, Sweden and Switzer- land, the band 790–830 MHz, and in these same countries and in Spain, France, Gabon and Malta, the band 830–862 MHz, are also al- located to the mobile, except aeronautical mobile, service on a primary basis. However, stations of the mobile service in the coun- tries mentioned in connection with each band referred to in this footnote shall not cause harmful interference to, or claim pro- tection from, stations of services operating in accordance with the Table in countries other than those mentioned in connection with the band.
5.317 Additional allocation: in Region 2 (ex- cept Brazil and the United States), the band 806–890 MHz is also allocated to the mobile- satellite service on a primary basis, subject to agreement obtained under No. 9.21. The use of this service is intended for operation within national boundaries.
5.317A Administrations wishing to imple- ment International Mobile Telecommuni- cations-2000 (IMT–2000) may use those parts of the band 806–960 MHz which are allocated to the mobile service on a primary basis and are used or planned to be used for mobile systems (see Resolution 224 (WRC–2000)). This identification does not preclude the use of these bands by any application of the serv- ices to which they are allocated and does not establish priority in the Radio Regulations.
5.318 Additional allocation: in Canada, the United States and Mexico, the ands 849–851 MHz and 894–896 MHz are also allocated to
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the aeronautical mobile service on a primary basis, for public correspondence with air- craft. The use of the band 849–851 MHz is lim- ited to transmissions from aeronautical sta- tions and the use of the band 894–896 MHz is limited to transmissions from aircraft sta- tions.
5.319 Additional allocation: in Belarus, Rus- sian Federation and Ukraine, the bands 806– 840 MHz (Earth-to-space) and 856–890 MHz (space-to-Earth) are also allocated to the mobile-satellite, except aeronautical mobile- satellite (R), service. The use of these bands by this service shall not cause harmful inter- ference to, or claim protection from, services in other countries operating in accordance with the Table of Frequency Allocations and is subject to special agreements between the administrations concerned.
5.320 Additional allocation: in Region 3, the bands 806–890 MHz and 942–960 MHz are also allocated to the mobile-satellite, except aeronautical mobile-satellite (R), service on a primary basis, subject to agreement ob- tained under No. 9.21. The use of this service is limited to operation within national boundaries. In seeking such agreement, ap- propriate protection shall be afforded to services operating in accordance with the Table, to ensure that no harmful inter- ference is caused to such services.
5.321 Alternative allocation: in Italy, the band 838–854 MHz is allocated to the broad- casting service on a primary basis as from 1 January 1995.
5.322 In Region 1, in the band 862–960 MHz, stations of the broadcasting service shall be operated only in the African Broadcasting Area (see Nos. 5.10 to 5.13) excluding Algeria, Egypt, Spain, Libya, Morocco, Namibia, Ni- geria, South Africa, Tanzania, Zimbabwe and Zambia, subject to agreement obtained under No. 9.21.
5.323 Additional allocation: In Armenia, Azerbaijan, Belarus, Bulgaria, the Russian Federation, Hungary, Kazakhstan, Moldova, Mongolia, Uzbekistan, Poland, Kyrgyzstan, Slovakia, the Czech Rep., Romania, Tajikistan, Turkmenistan and Ukraine, the band 862–960 MHz is also allocated to the aeronautical radionavigation service on a primary basis. Such use is subject to agree- ment obtained under No. 9.21 with adminis- trations concerned and limited to ground- based radiobeacons in operation on 27 Octo- ber 1997 until the end of their lifetime.
5.325 Different category of service: in the United States, the allocation of the band 890– 942 MHz to the radiolocation service is on a primary basis (see No. 5.33), subject to agree- ment obtained under No. 9.21.
5.325A Different category of service: in Cuba, the allocation of the band 902–915 MHz to the land mobile service is on a primary basis.
5.326 Different category of service: in Chile, the band 903–905 MHz is allocated to the mo-
bile, except aeronautical mobile, service on a primary basis, subject to agreement obtained under No. 9.21.
5.327 Different category of service: in Aus- tralia, the allocation of the band 915–928 MHz to the radiolocation service is on a primary basis (see No. 5.33).
5.328 The use of the band 960–1215 MHz by the aeronautical radionavigation service is reserved on a worldwide basis for the oper- ation and development of airborne electronic aids to air navigation and any directly asso- ciated ground-based facilities.
5.328A Stations in the radionavigation- satellite service in the band 1164–1215 MHz shall operate in accordance with the provi- sions of Resolution 609 (WRC–03) and shall not claim protection from stations in the aeronautical radionavigation service in the band 960–1215 MHz. No. 5.43A does not apply. The provisions of No. 21.18 shall apply.
5.328B The use of the bands 1164–1300 MHz, 1559–1610 MHz and 5010–5030 MHz by systems and networks in the radionavigation-sat- ellite service for which complete coordina- tion or notification information, as appro- priate, is received by the Radiocommunication Bureau after 1 January 2005 is subject to the application of the pro- visions of Nos. 9.12, 9.12A and 9.13. Resolution 610 (WRC–03) shall also apply.
5.329 Use of the radionavigation-satellite service in the band 1215–1300 MHz shall be subject to the condition that no harmful in- terference is caused to, and no protection is claimed from, the radionavigation service authorized under No. 5.331. Furthermore, the use of the radionavigation-satellite service in the band 1215–1300 MHz shall be subject to the condition that no harmful interference is caused to the radiolocation service. No. 5.43 shall not apply in respect of the radio- location service. Resolution 608 (WRC–03) shall apply.
5.329A Use of systems in the radio- navigation-satellite service (space-to-space) operating in the bands 1215–1300 MHz and 1559–1610 MHz is not intended to provide safe- ty service applications, and shall not impose any additional constraints on other systems or services operating in accordance with the Table.
5.330 Additional allocation: In Angola, Saudi Arabia, Bahrain, Bangladesh, Cam- eroon, China, the United Arab Emirates, Eri- trea, Ethiopia, Guyana, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, the Libyan Arab Jamahiriya, Japan, Jordan, Ku- wait, Lebanon, Mozambique, Nepal, Paki- stan, the Philippines, Qatar, the Syrian Arab Republic, Somalia, Sudan, Chad, Togo and Yemen, the band 1215–1300 MHz is also allo- cated to the fixed and mobile services on a primary basis.
5.331 Additional allocation: In Algeria, Ger- many, Saudi Arabia, Australia, Austria, Bahrain, Belarus, Belgium, Benin, Bosnia
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2 5.340.1 The allocation to the earth explo- ration-satellite service (passive) and the space research service (passive) in the band 50.2–50.4 GHz should not impose undue con- straints on the use of the adjacent bands by the primary allocated services in those bands.
and Herzegovina, Brazil, Burkina Faso, Bu- rundi, Cameroon, China, Korea (Rep. of), Croatia, Denmark, Egypt, the United Arab Emirates, Estonia, the Russian Federation, Finland, France, Ghana, Greece, Guinea, Equatorial Guinea, Hungary, India, Indo- nesia, Iran (Islamic Republic of), Iraq, Ire- land, Israel, Jordan, Kenya, Kuwait, The Former Yugoslav Republic of Macedonia, Le- sotho, Latvia, Liechtenstein, Lithuania, Luxembourg, Madagascar, Mali, Mauritania, Nigeria, Norway, Oman, the Netherlands, Po- land, Portugal, Qatar, the Syrian Arab Re- public, Slovakia, the United Kingdom, Ser- bia and Montenegro, Slovenia, Somalia, Sudan, Sri Lanka, South Africa, Sweden, Switzerland, Thailand, Togo, Turkey, Ven- ezuela and Viet Nam, the band 1215–1300 MHz is also allocated to the radionavigation serv- ice on a primary basis. In Canada and the United States, the band 1240–1300 MHz is also allocated to the radionavigation service, and use of the radionavigation service shall be limited to the aeronautical radionavigation service.
5.332 In the band 1215–1260 MHz, active spaceborne sensors in the Earth exploration- satellite and space research services shall not cause harmful interference to, claim pro- tection from, or otherwise impose con- straints on operation or development of the radiolocation service, the radionavigation- satellite service and other services allocated on a primary basis.
5.334 Additional allocation: In Canada and the United States, the band 1350–1370 MHz is also allocated to the aeronautical radio- navigation service on a primary basis.
5.335 In Canada and the United States in the band 1240–1300 MHz, active spaceborne sensors in the earth exploration-satellite and space research services shall not cause inter- ference to, claim protection from, or other- wise impose constraints on operation or de- velopment of the aeronautical radio- navigation service.
5.335A In the band 1260–1300 MHz, active spaceborne sensors in the Earth exploration- satellite and space research services shall not cause harmful interference to, claim pro- tection from, or otherwise impose con- straints on operation or development of the radiolocation service and other services allo- cated by footnotes on a primary basis.
5.337 The use of the bands 1300–1350 MHz, 2700–2900 MHz and 9000–9200 MHz by the aero- nautical radionavigation service is restricted to ground-based radars and to associated air- borne transponders which transmit only on frequencies in these bands and only when ac- tuated by radars operating in the same band.
5.337A The use of the band 1300–1350 MHz by earth stations in the radionavigation-sat- ellite service and by stations in the radio- location service shall not cause harmful in- terference to, nor constrain the operation
and development of, the aeronautical-radio- navigation service.
5.338 In Azerbaijan, Mongolia, Kyrgyzstan, Slovakia, the Czech Rep., Roma- nia and Turkmenistan, existing installations of the radionavigation service may continue to operate in the band 1350–1400 MHz.
5.339 The bands 1370–1400 MHz, 2640–2655 MHz, 4950–4990 MHz and 15.20–15.35 GHz are also allocated to the space research (passive) and Earth exploration-satellite (passive) services on a secondary basis.
5.339A Additional allocation: The band 1390– 1392 MHz is also allocated to the fixed-sat- ellite service (Earth-to-space) on a secondary basis and the band 1430–1432 MHz is also allo- cated to the fixed-satellite service (space-to- Earth) on a secondary basis. These alloca- tions are limited to use for feeder links for non-geostationary-satellite networks in the mobile-satellite service with service links below 1 GHz, and Resolution 745 (WRC–03) ap- plies.
5.340 All emissions are prohibited in the following bands:
1400–1427 MHz, 2690–2700 MHz, except those provided for by
No. 5.422, 10.68–10.7 GHz, except those provided for by
No. 5.483, 15.35–15.4 GHz, except those provided for by
No. 5.511, 23.6–24 GHz, 31.3–31.5 GHz, 31.5–31.8 GHz, in Region 2, 48.94–49.04 GHz, from airborne stations, 50.2–50.4 GHz 2, 52.6–54.25 GHz, 86–92 GHz, 100–102 GHz, 109.5–111.8 GHz, 114.25–116 GHz, 148.5–151.5 GHz, 164–167 GHz, 182–185 GHz, 190–191.8 GHz, 200–209 GHz, 226–231.5 GHz, 250–252 GHz.
5.341 In the bands 1400–1727 MHz, 101–120 GHz and 197–220 GHz, passive research is being conducted by some countries in a pro- gramme for the search for intentional emis- sions of extraterrestrial origin.
5.342 Additional allocation: in Armenia, Azerbaijan, Belarus, Bulgaria, Uzbekistan, Kyrgystan, the Russian Federation and
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3 Note by the Secretariat: This Resolution was revised by WRC–03.
3 Note by the Secretariat: This Resolution was revised by WRC–03.
Ukraine, the band 1429–1535 MHz is also allo- cated to the aeronautical mobile service on a primary basis exclusively for the purposes of aeronautical telemetry within the national territory. As of 1 April 2007, the use of the band 1452–1492 MHz is subject to agreement between the administrations concerned.
5.343 In Region 2, the use of the band 1435– 1535 MHz by the aeronautical mobile service for telemetry has priority over other uses by the mobile service.
5.344 Alternative allocation: in the United States, the band 1452–1525 MHz is allocated to the fixed and mobile services on a primary basis (see also No. 5.343).
5.345 Use of the band 1452–1492 MHz by the broadcasting-satellite service, and by the broadcasting service, is limited to digital audio broadcasting and is subject to the pro- visions of Resolution 528 (WARC–92) 3.
5.347 Different category of service: in Ban- gladesh, Bosnia and Herzegovina, Botswana, Bulgaria, Burkina Faso, Cuba, Denmark, Egypt, Greece, Ireland, Italy, Mozambique, Portugal, Serbia and Montenegro, Sri Lanka, Swaziland, Yemen and Zimbabwe, the alloca- tion of the band 1452–1492 MHz to the broad- casting-satellite service and the broad- casting service is on a secondary basis until 1 April 2007.
5.347A In the bands:
1452–1492 MHz, 1525–1559 MHz, 1613.8–1626.5 MHz, 2655–2670 MHz, 2670–2690 MHz, 21.4–22 GHz, Resolution 739 (WRC–03) applies.
5.348 The use of the band 1518–1525 MHz by the mobile-satellite service is subject to co- ordination under No. 9.11A. In the band 1518– 1525 MHz stations in the mobile-satellite service shall not claim protection from the stations in the fixed service. No. 5.43A does not apply.
5.348A In the band 1518–1525 MHz, the co- ordination threshold in terms of the power flux-density levels at the surface of the Earth in application of No. 9.11A for space stations in the mobile-satellite (space-to- Earth) service, with respect to the land mo- bile service use for specialized mobile radios or used in conjunction with public switched telecommunication networks (PSTN) oper- ating within the territory of Japan, shall be ¥150 dB(W/m2) in any 4 kHz band for all an- gles of arrival, instead of those given in Table 5–2 of Appendix 5. In the band 1518–1525 MHz stations in the mobile-satellite service shall not claim protection from stations in the mobile service in the territory of Japan. No. 5.43A does not apply.
5.348B In the band 1518–1525 MHz, stations in the mobile-satellite service shall not claim protection from aeronautical mobile telemetry stations in the mobile service in the territory of the United States (see Nos. 5.343 and 5.344) and in the countries listed in No. 5.342. No. 5.43A does not apply.
5.348C For the use of the bands 1518–1525 MHz and 1668–1675 MHz by the mobile-sat- ellite service, see Resolution 225 (Rev.WRC– 03).
5.349 Different category of service: in Saudi Arabia, Azerbaijan, Bahrain, Bosnia and Herzegovina, Cameroon, Egypt, France, Iran (Islamic Republic of), Iraq, Israel, Kazakstan, Kuwait, The Former Yugoslav Republic of Macedonia, Lebanon, Morocco, Qatar, Syria, Kyrgyzstan, Romania, Turkmenistan, Yemen and Yugoslavia, the allocation of the band 1525–1530 MHz to the mobile, except aeronautical mobile, service is on a primary basis (see No. 5.33).
5.350 Additional allocation: in Azerbaijan, Kyrgyzstan and Turkmenistan, the band 1525–1530 MHz is also allocated to the aero- nautical mobile service on a primary basis.
5.351 The bands 1525–1544 MHz, 1545–1559 MHz, 1626.5–1645.5 MHz and 1646.5–1660.5 MHz shall not be used for feeder links of any serv- ice. In exceptional circumstances, however, an earth station at a specified fixed point in any of the mobile-satellite services may be authorized by an administration to commu- nicate via space stations using these bands.
5.351A For the use of the bands 1525–1544 MHz, 1545–1559 MHz, 1610–1626.5 MHz, 1626.5– 1645.5 MHz, 1646.5–1660.5 MHz, 1980–2010 MHz, 2170–2200 MHz, 2483.5–2500 MHz, 2500–2520 MHz and 2670–2690 MHz by the mobile-satellite service, see Resolutions 212 (Rev.WRC–97) and 225 (WRC–2000) 3.
5.352A In the band 1525–1530 MHz, stations in the mobile-satellite service, except sta- tions in the maritime mobile-satellite serv- ice, shall not cause harmful interference to, or claim protection from, stations of the fixed service in France and French overseas territories in Region 3, Algeria, Saudi Ara- bia, Egypt, Guinea, India, Israel, Italy, Jor- dan, Kuwait, Mali, Malta, Morocco, Mauri- tania, Nigeria, Oman, Pakistan, Philippines, Qatar, Syria, Tanzania, Viet Nam and Yemen notified prior to 1 April 1998.
5.353A In applying the procedures of Sec- tion II of Article 9 to the mobile-satellite service in the bands 1530–1544 MHz and 1626.5– 1645.5 MHz, priority shall be given to accom- modating the spectrum requirements for dis- tress, urgency and safety communications of the Global Maritime Distress and Safety System (GMDSS). Maritime mobile-satellite distress, urgency and safety communications shall have priority access and immediate
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availability over all other mobile satellite communications operating within a network. Mobile-satellite systems shall not cause un- acceptable interference to, or claim protec- tion from, distress, urgency and safety com- munications of the GMDSS. Account shall be taken of the priority of safety-related com- munications in the other mobile-satellite services. (The provisions of Resolution 222 (WRC–2000) shall apply.)
5.354 The use of the bands 1525–1559 MHz and 1626.5–1660.5 MHz by the mobile-satellite services is subject to coordination under No. 9.11A.
5.355 Additional allocation: In Bahrain, Bangladesh, Congo (Rep. of the), Egypt, Eri- trea, Iraq, Israel, Kuwait, Lebanon, Malta, Qatar, Syrian Arab Republic, Somalia, Sudan, Chad, Togo and Yemen, the bands 1540–1559 MHz, 1610–1645.5 MHz and 1646.5–1660 MHz are also allocated to the fixed service on a secondary basis.
5.356 The use of the band 1544–1545 MHz by the mobile-satellite service (space-to-Earth) is limited to distress and safety communica- tions (see Article 31).
5.357 Transmissions in the band 1545–1555 MHz from terrestrial aeronautical stations directly to aircraft stations, or between air- craft stations, in the aeronautical mobile (R) service are also authorized when such trans- missions are used to extend or supplement the satellite-to-aircraft links.
5.357A In applying the procedures of Sec- tion II of Article 9 to the mobile-satellite service in the bands 1545–1555 MHz and 1646.5– 1656.5 MHz, priority shall be given to accom- modating the spectrum requirements of the aeronautical mobile-satellite (R) service pro- viding transmission of messages with pri- ority 1 to 6 in Article 44. Aeronautical mo- bile-satellite (R) service communications with priority 1 to 6 in Article 44 shall have priority access and immediate availability, by pre-emption if necessary, over all other mobile-satellite communications operating within a network. Mobile-satellite systems shall not cause unacceptable interference to, or claim protection from, aeronautical mo- bile-satellite (R) service communications with priority 1 to 6 in Article 44. Account shall be taken of the priority of safety-re- lated communications in the other mobile- satellite services. (The provisions of Resolu- tion 222 (WRC–2000) shall apply.)
5.359 Additional allocation: In Germany, Saudi Arabia, Armenia, Austria, Azerbaijan, Belarus, Benin, Bosnia and Herzegovina, Bul- garia, Cameroon, Spain, the Russian Federa- tion, France, Gabon, Georgia, Greece, Guin- ea, Guinea-Bissau, Hungary, the Libyan Arab Jamahiriya, Jordan, Kazakhstan, Ku- wait, Lebanon, Lithuania, Mauritania, Moldova, Mongolia, Uganda, Uzbekistan, Pakistan, Poland, the Syrian Arab Republic, Kyrgyzstan, the Dem. People’s Rep. of Korea, Romania, Swaziland, Tajikistan, Tan-
zania, Tunisia, Turkmenistan and Ukraine, the bands 1550–1559 MHz, 1610–1645.5 MHz and 1646.5–1660 MHz are also allocated to the fixed service on a primary basis. Administra- tions are urged to make all practicable ef- forts to avoid the implementation of new fixed-service stations in these bands.
5.362A In the United States, in the bands 1555–1559 MHz and 1656.5–1660.5 MHz, the aero- nautical mobile-satellite (R) service shall have priority access and immediate avail- ability, by pre-emption if necessary, over all other mobile-satellite communications oper- ating within a network. Mobile-satellite sys- tems shall not cause unacceptable inter- ference to, or claim protection from, aero- nautical mobile-satellite (R) service commu- nications with priority 1 to 6 in Article 44. Account shall be taken of the priority of safety-related communications in the other mobile-satellite services.
5.362B Additional allocation: The band 1559– 1610 MHz is also allocated to the fixed service on a primary basis until 1 January 2005 in Germany, Armenia, Azerbaijan, Belarus, Benin, Bosnia and Herzegovina, Bulgaria, Spain, the Russian Federation, France, Gabon, Georgia, Greece, Guinea, Guinea- Bissau, Hungary, Kazakhstan, Lithuania, Moldova, Mongolia, Nigeria, Uganda, Uzbekistan, Pakistan, Poland, Kyrgyzstan, the Dem. People’s Rep. of Korea, Romania, Senegal, Swaziland, Tajikistan, Tanzania, Turkmenistan and Ukraine, and until 1 Jan- uary 2010 in Saudi Arabia, Cameroon, the Libyan Arab Jamahiriya, Jordan, Kuwait, Lebanon, Mali, Mauritania, the Syrian Arab Republic and Tunisia. After these dates, the fixed service may continue to operate on a secondary basis until 1 January 2015, at which time this allocation shall no longer be valid. Administrations are urged to take all practicable steps to protect the radio- navigation-satellite service and the aero- nautical radionavigation service and not au- thorize new frequency assignments to fixed- service systems in this band.
5.362C Additional allocation: in Bahrain, Bangladesh, Congo, Egypt, Eritrea, Iraq, Israel, Jordan, Kuwait, Lebanon, Malta, Mo- rocco, Qatar, Syria, Somalia, Sudan, Chad, Togo and Yemen, the band 1559–1610 MHz is also allocated to the fixed service on a sec- ondary basis until 1 January 2015, at which time this allocation shall no longer be valid. Administrations are urged to take all prac- ticable steps to protect the radionavigation- satellite service and not authorize new fre- quency assignments to fixed-service systems in this band.
5.363 Alternative allocation: in Sweden, the band 1590–1626.5 MHz is allocated to the aero- nautical radionavigation service on a pri- mary basis.
5.364 The use of the band 1610–1626.5 MHz by the mobile-satellite service (Earth-to-
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space) and by the radiodetermination-sat- ellite service (Earth-to-space) is subject to coordination under No. 9.11A. A mobile earth station operating in either of the services in this band shall not produce a peak e.i.r.p. density in excess of ¥15 dB(W/4 kHz) in the part of the band used by systems operating in accordance with the provisions of No. 5.366 (to which No. 4.10 applies), unless otherwise agreed by the affected administrations. In the part of the band where such systems are not operating, the mean e.i.r.p. density of a mobile earth station shall not exceed ¥3 dB(W/4 kHz). Stations of the mobile-satellite service shall not claim protection from sta- tions in the aeronautical radionavigation service, stations operating in accordance with the provisions of No. 5.366 and stations in the fixed service operating in accordance with the provisions of No. 5.359. Administra- tions responsible for the coordination of mo- bile-satellite networks shall make all prac- ticable efforts to ensure protection of sta- tions operating in accordance with the provi- sions of No. 5.366.
5.365 The use of the band 1613.8–1626.5 MHz by the mobile-satellite service (space-to- Earth) is subject to coordination under No. 9.11A.
5.366 The band 1610–1626.5 MHz is reserved on a worldwide basis for the use and develop- ment of airborne electronic aids to air navi- gation and any directly associated ground- based or satellite-borne facilities. Such sat- ellite use is subject to agreement obtained under No. 9.21.
5.367 Additional allocation: The bands 1610– 1626.5 MHz and 5000–5150 MHz are also allo- cated to the aeronautical mobile-satellite (R) service on a primary basis, subject to agreement obtained under No. 9.21.
5.368 With respect to the radiodetermin- ation-satellite and mobile-satellite services the provisions of No. 4.10 do not apply in the band 1610–1626.5 MHz, with the exception of the aeronautical radionavigation-satellite service.
5.369 Different category of service: in An- gola, Australia, Burundi, China, Eritrea, Ethiopia, India, Iran (Islamic Republic of), Israel, the Libyan Arab Jamahiriya, Leb- anon, Liberia, Madagascar, Mali, Pakistan, Papua New Guinea, Syrian Arab Republic, the Dem. Rep. of the Congo, Sudan, Swazi- land, Togo and Zambia, the allocation of the band 1610–1626.5 MHz to the radiodetermin- ation-satellite service (Earth-to-space) is on a primary basis (see No. 5.33), subject to agreement obtained under No. 9.21 from countries not listed in this provision.
5.370 Different category of service: in Ven- ezuela, the allocation to the radiodetermin- ation-satellite service in the band 1610–1626.5 MHz (Earth-to-space) is on a secondary basis.
5.371 Additional allocation: in Region 1, the bands 1610–1626.5 MHz (Earth-to-space) and 2483.5–2500 MHz (space-to-Earth) are also al-
located to the radiodetermination-satellite service on a secondary basis, subject to agreement obtained under No. 9.21.
5.372 Harmful interference shall not be caused to stations of the radio astronomy service using the band 1610.6–1613.8 MHz by stations of the radiodetermination-satellite and mobile-satellite services (No. 29.13 ap- plies).
5.374 Mobile earth stations in the mobile- satellite service operating in the bands 1631.5–1634.5 MHz and 1656.5–1660 MHz shall not cause harmful interference to stations in the fixed service operating in the countries listed in No. 5.359.
5.375 The use of the band 1645.5–1646.5 MHz by the mobile-satellite service (Earth-to- space) and for inter-satellite links is limited to distress and safety communications (see Article 31).
5.376 Transmissions in the band 1646.5– 1656.5 MHz from aircraft stations in the aero- nautical mobile (R) service directly to ter- restrial aeronautical stations, or between aircraft stations, are also authorized when such transmissions are used to extend or supplement the aircraft-to-satellite links.
5.376A Mobile earth stations operating in the band 1660–1660.5 MHz shall not cause harmful interference to stations in the radio astronomy service.
5.379 Additional allocation: in Bangladesh, India, Indonesia, Nigeria and Pakistan, the band 1660.5–1668.4 MHz is also allocated to the meteorological aids service on a sec- ondary basis.
5.379A Administrations are urged to give all practicable protection in the band 1660.5– 1668.4 MHz for future research in radio as- tronomy, particularly by eliminating air-to- ground transmissions in the meteorological aids service in the band 1664.4–1668.4 MHz as soon as practicable.
5.379B The use of the band 1668–1675 MHz by the mobile-satellite service is subject to coordination under No. 9.11A.
5.379C In order to protect the radio as- tronomy service in the band 1668–1670 MHz, the aggregate power flux-density values pro- duced by mobile earth stations in a network of the mobile-satellite service operating in this band shall not exceed ¥181 dB(W/m2) in 10 MHz and ¥194 dB(W/m2) in any 20 kHz at any radio astronomy station recorded in the Master International Frequency Register, for more than 2% of integration periods of 2000 s.
5.379D For sharing of the band 1668–1675 MHz between the mobile-satellite service and the fixed, mobile and space research (passive) services, Resolution 744 (WRC–03) shall apply.
5.379E In the band 1668.4–1675 MHz, sta- tions in the mobile-satellite service shall not cause harmful interference to stations in the meteorological aids service in China, Iran (Islamic Republic of), Japan and Uzbekistan.
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In the band 1668.4–1675 MHz, administrations are urged not to implement new systems in the meteorological aids service and are en- couraged to migrate existing meteorological aids service operations to other bands as soon as practicable.
5.380 The bands 1670–1675 MHz and 1800– 1805 MHz are intended for use, on a world- wide basis, by administrations wishing to implement aeronautical public correspond- ence. The use of the band 1670–1675 MHz by stations in the systems for public cor- respondence with aircraft is limited to trans- missions from aeronautical stations and the use of the band 1800–1805 MHz is limited to transmissions from aircraft stations.
5.380A In the band 1670–1675 MHz, stations in the mobile-satellite service shall not cause harmful interference to, nor constrain the development of, existing earth stations in the meteorological-satellite service noti- fied in accordance with Resolution 670 (WRC– 03).
5.381 Additional allocation: In Afghanistan, Costa Rica, Cuba, India, Iran (Islamic Repub- lic of) and Pakistan, the band 1690–1700 MHz is also allocated to the fixed and mobile, ex- cept aeronautical mobile, services on a pri- mary basis.
5.382 Different category of service: in Saudi Arabia, Armenia, Azerbaijan, Bahrain, Belarus, Bosnia and Herzegovina, Bulgaria, Congo (Rep. of the), Egypt, the United Arab Emirates, Eritrea, Ethiopia, the Russian Federation, Guinea, Hungary, Iraq, Israel, Jordan, Kazakhstan, Kuwait, the Former Yugoslav Republic of Macedonia, Lebanon, Mauritania, Moldova, Mongolia, Oman, Uzbekistan, Poland, Qatar, the Syrian Arab Republic, Kyrgyzstan, Romania, Serbia and Montenegro, Somalia, Tajikistan, Tanzania, Turkmenistan, Ukraine and Yemen, the allo- cation of the band 1690–1700 MHz to the fixed and mobile, except aeronautical mobile, services is on a primary basis (see No. 5.33), and in the Dem. People’s Rep. of Korea, the allocation of the band 1690–1700 MHz to the fixed service is on a primary basis (see No. 5.33) and to the mobile, except aeronautical mobile, service on a secondary basis.
5.384 Additional allocation: in India, Indo- nesia and Japan, the band 1700–1710 MHz is also allocated to the space research service (space-to-Earth) on a primary basis.
5.384A The bands, or portions of the bands, 1710–1885 MHz and 2500–2690 MHz, are identified for use by administrations wishing to implement International Mobile Tele- communications-2000 (IMT–2000) in accord- ance with Resolution 223 (WRC–2000). This identification does not preclude the use of these bands by any application of the serv- ices to which they are allocated and does not establish priority in the Radio Regulations.
5.385 Additional allocation: the band 1718.8– 1722.2 MHz is also allocated to the radio as-
tronomy service on a secondary basis for spectral line observations.
5.386 Additional allocation: The band 1750– 1850 MHz is also allocated to the space oper- ation (Earth-to-space) and space research (Earth-to-space) services in Region 2, in Aus- tralia, Guam, India, Indonesia and Japan on a primary basis, subject to agreement ob- tained under No. 9.21, having particular re- gard to troposcatter systems.
5.387 Additional allocation: In Azerbaijan, Belarus, Georgia, Kazakhstan, Mongolia, Kyrgyzstan, Slovakia, Romania, Tajikistan and Turkmenistan, the band 1770–1790 MHz is also allocated to the meteorological-satellite service on a primary basis, subject to agree- ment obtained under No. 9.21.
5.388 The bands 1885–2025 MHz and 2110– 2200 MHz are intended for use, on a world- wide basis, by administrations wishing to implement International Mobile Tele- communications-2000 (IMT–2000). Such use does not preclude the use of these bands by other services to which they are allocated. The bands should be made available for IMT– 2000 in accordance with Resolution 212 (Rev.WRC–97). (See also Resolution 223 (WRC–2000).)
5.388A In Regions 1 and 3, the bands 1885– 1980 MHz, 2010–2025 MHz and 2110–2170 MHz and, in Region 2, the bands 1885–1980 MHz and 2110–2160 MHz may be used by high altitude platform stations as base stations to provide International Mobile Telecommunications— 2000 (IMT–2000), in accordance with Resolu- tion 221 (Rev.WRC–03). Their use by IMT–2000 applications using high altitude platform stations as base stations does not preclude the use of these bands by any station in the services to which they are allocated and does not establish priority in the Radio Regula- tions.
5.388B In Algeria, Saudi Arabia, Bahrain, Benin, Burkina Faso, Cameroon, Comoros, Côte d’Ivoire, China, Cuba, Djibouti, Egypt, United Arab Emirates, Eritrea, Ethiopia, Gabon, Ghana, India, Iran (Islamic Republic of), Israel, the Libyan Arab Jamahiriya, Jor- dan, Kenya, Kuwait, Mali, Morocco, Mauri- tania, Nigeria, Oman, Uganda, Qatar, the Syrian Arab Republic, Senegal, Singapore, Sudan, Tanzania, Chad, Togo, Tunisia, Yemen, Zambia and Zimbabwe, for the pur- pose of protecting fixed and mobile services, including IMT–2000 mobile stations, in their territories from co-channel interference, a high altitude platform station (HAPS) oper- ating as an IMT–2000 base station in neighbouring countries, in the bands referred to in No. 5.388A, shall not exceed a co-chan- nel power flux-density of ¥127 dB(W/(m2 MHz)) at the Earth’s surface outside a coun- try’s borders unless explicit agreement of the affected administration is provided at the time of the notification of HAPS.
5.389A The use of the bands 1980–2010 MHz and 2170–2200 MHz by the mobile-satellite
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4 Note by the Secretariat: This Resolution was revised by WRC–2000.
5 Note by the Secretariat: This Resolution was revised by WRC–2000.
3 Note by the Secretariat: This Resolution was revised by WRC–03.
service is subject to coordination under No. 9.11A and to the provisions of Resolution 716 (WRC–95) 4. The use of these bands shall not commence before 1 January 2000; however the use of the band 1980–1990 MHz in Region 2 shall not commence before 1 January 2005.
5.389B The use of the band 1980–1990 MHz by the mobile-satellite service shall not cause harmful interference to or constrain the development of the fixed and mobile services in Argentina, Brazil, Canada, Chile, Ecuador, the United States, Honduras, Ja- maica, Mexico, Peru, Suriname, Trinidad and Tobago, Uruguay and Venezuela.
5.389C The use of the bands 2010–2025 MHz and 2160–2170 MHz in Region 2 by the mobile- satellite service shall not commence before 1 January 2002 and is subject to coordination under No. 9.11A and to the provisions of Res- olution 716 (WRC–95). 4
5.389E The use of the bands 2010–2025 MHz and 2160–2170 MHz by the mobile-satellite service in Region 2 shall not cause harmful interference to or constrain the development of the fixed and mobile services in Regions 1 and 3.
5.389F In Algeria, Benin, Cape Verde, Egypt, Iran (Islamic Republic of), Mali, Syria and Tunisia, the use of the bands 1980– 2010 MHz and 2170–2200 MHz by the mobile- satellite service shall neither cause harmful interference to the fixed and mobile services, nor hamper the development of those serv- ices prior to 1 January 2005, nor shall the former service request protection from the latter services.
5.390 In Argentina, Brazil, Chile, Colom- bia, Cuba, Ecuador, Suriname and Uruguay, the use of the bands 2010–2025 MHz and 2160– 2170 MHz by the mobile-satellite services shall not cause harmful interference to sta- tions in the fixed and mobile services before 1 January 2005. After this date, the use of these bands is subject to coordination under No. 9.11A and to the provisions of Resolution 716 (WRC–95). 5
5.391 In making assignments to the mo- bile service in the bands 2025–2110 MHz and 2200–2290 MHz, administrations shall not in- troduce high-density mobile systems, as de- scribed in Recommendation ITU-R SA.1154, and shall take that Recommendation into account for the introduction of any other type of mobile system.
5.392 Administrations are urged to take all practicable measures to ensure that space-to-space transmissions between two or more non-geostationary satellites, in the space research, space operations and Earth exploration-satellite services in the bands 2025–2110 MHz and 2200–2290 MHz, shall not
impose any constraints on Earth-to-space, space-to-Earth and other space-to-space transmissions of those services and in those bands between geostationary and non-geo- stationary satellites.
5.392A Additional allocation: in Russian Federation, the band 2160–2200 MHz is also al- located to the space research service (space- to-Earth) on a primary basis until 1 January 2005. Stations in the space research service shall not cause harmful interference to, or claim protection from, stations in the fixed and mobile services operating in this fre- quency band.
5.393 Additional allocation: in the United States, India and Mexico, the band 2310–2360 MHz is also allocated to the broadcasting- satellite service (sound) and complementary terrestrial sound broadcasting service on a primary basis. Such use is limited to digital audio broadcasting and is subject to the pro- visions of Resolution 528 (WARC–92), with the exception of resolves 3 in regard to the limitation on broadcasting-satellite systems in the upper 25 MHz.
5.394 In the United States, the use of the band 2300–2390 MHz by the aeronautical mo- bile service for telemetry has priority over other uses by the mobile services. In Canada, the use of the band 2300–2483.5 MHz by the aeronautical mobile service for telemetry has priority over other uses by the mobile services.
5.395 In France and Turkey, the use of the band 2310–2360 MHz by the aeronautical mo- bile service for telemetry has priority over other uses by the mobile service.
5.396 Space stations of the broadcasting- satellite service in the band 2310–2360 MHz operating in accordance with No. 5.393 that may affect the services to which this band is allocated in other countries shall be coordi- nated and notified in accordance with Reso- lution 33 (Rev.WRC–97) 3. Complementary terrestrial broadcasting stations shall be subject to bilateral coordination with neighbouring countries prior to their bring- ing into use.
5.397 Different category of service: in France, the band 2450–2500 MHz is allocated on a primary basis to the radiolocation serv- ice (see No. 5.33). Such use is subject to agreement with administrations having serv- ices operating or planned to operate in ac- cordance with the Table of Frequency Allo- cations which may be affected.
5.398 In respect of the radiodetermin- ation-satellite service in the band 2483.5–2500 MHz, the provisions of No. 4.10 do not apply.
5.399 In Region 1, in countries other than those listed in No. 5.400, harmful interference shall not be caused to, or protection shall
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not be claimed from, stations of the radio- location service by stations of the radio- determination satellite service.
5.400 Different category of service: In An- gola, Australia, Bangladesh, Burundi, China, Eritrea, Ethiopia, India, Iran (Islamic Re- public of), the Libyan Arab Jamahiriya, Leb- anon, Liberia, Madagascar, Mali, Pakistan, Papua New Guinea, the Dem. Rep. of the Congo, the Syrian Arab Republic, Sudan, Swaziland, Togo and Zambia, the allocation of the band 2483.5–2500 MHz to the radio- determination-satellite service (space-to- Earth) is on a primary basis (see No. 5.33), subject to agreement obtained under No. 9.21 from countries not listed in this provision.
5.402 The use of the band 2483.5–2500 MHz by the mobile-satellite and the radio- determination-satellite services is subject to the coordination under No. 9.11A. Adminis- trations are urged to take all practicable steps to prevent harmful interference to the radio astronomy service from emissions in the 2483.5–2500 MHz band, especially those caused by second-harmonic radiation that would fall into the 4990–5000 MHz band allo- cated to the radio astronomy service world- wide.
5.403 Subject to agreement obtained under No. 9.21, the band 2520–2535 MHz (until 1 Jan- uary 2005 the band 2500–2535 MHz) may also be used for the mobile-satellite (space-to- Earth), except aeronautical mobile-satellite, service for operation limited to within na- tional boundaries. The provisions of No. 9.11A apply.
5.404 Additional allocation: in India and Iran (Islamic Republic of), the band 2500– 2516.5 MHz may also be used for the radio- determination-satellite service (space-to- Earth) for operation limited to within na- tional boundaries, subject to agreement ob- tained under No. 9.21.
5.405 Additional allocation: in France, the band 2500–2550 MHz is also allocated to the radiolocation service on a primary basis. Such use is subject to agreement with the administrations having services operating or planned to operate in accordance with the Table which may be affected.
5.407 In the band 2500–2520 MHz, the power flux-density at the surface of the Earth from space stations operating in the mobile-sat- ellite (space-to-Earth) service shall not ex- ceed ¥152 dB(W/(m2 4 kHz)) in Argentina, un- less otherwise agreed by the administrations concerned.
5.409 Administrations shall make all prac- ticable efforts to avoid developing new tro- pospheric scatter systems in the band 2500– 2690 MHz.
5.410 The band 2500–2690 MHz may be used for tropospheric scatter systems in Region 1, subject to agreement obtained under No. 9.21.
5.411 When planning new tropospheric scatter radio-relay links in the band 2500–
2690 MHz, all possible measures shall be taken to avoid directing the antennae of these links towards the geostationary-sat- ellite orbit.
5.412 Alternative allocation: in Azerbaijan, Bulgaria, Kyrgyzstan and Turkmenistan, the band 2500–2690 MHz is allocated to the fixed and mobile, except aeronautical mobile, services on a primary basis.
5.413 In the design of systems in the broadcasting-satellite service in the bands between 2500 MHz and 2690 MHz, administra- tions are urged to take all necessary steps to protect the radio astronomy service in the band 2690–2700 MHz.
5.414 The allocation of the frequency band 2500–2520 MHz to the mobile-satellite service (space-to-Earth) shall be effective on 1 Janu- ary 2005 and is subject to coordination under No. 9.11A.
5.415 The use of the bands 2500–2690 MHz in Region 2 and 2500–2535 MHz and 2655–2690 MHz in Region 3 by the fixed-satellite serv- ice is limited to national and regional sys- tems, subject to agreement obtained under No. 9.21, giving particular attention to the broadcasting-satellite service in Region 1. In the direction space-to-Earth, the power flux- density at the Earth’s surface shall not ex- ceed the values given in Article 21, Table 21– 4.
5.415A Additional allocation: in India and Japan, subject to agreement obtained under No. 9.21, the band 2515–2535 MHz may also be used for the aeronautical mobile-satellite service (space-to-Earth) for operation lim- ited to within their national boundaries.
5.416 The use of the band 2520–2670 MHz by the broadcasting-satellite service is limited to national and regional systems for commu- nity reception, subject to agreement ob- tained under No. 9.21.
5.417A In applying provision No. 5.418, in Korea (Rep. of) and Japan, resolves 3 of Reso- lution 528 (Rev.WRC–03) is relaxed to allow the broadcasting-satellite service (sound) and the complementary terrestrial broad- casting service to additionally operate on a primary basis in the band 2605–2630 MHz. This use is limited to systems intended for national coverage. An administration listed in this provision shall not have simulta- neously two overlapping frequency assign- ments, one under this provision and the other under No. 5.416. The provisions of No. 5.416 and Table 21–4 of Article 21 do not apply. Use of non-geostationary-satellite systems in the broadcasting-satellite service (sound) in the band 2605–2630 MHz is subject to the provisions of Resolution 539 (Rev.WRC–03). The power flux-density at the Earth’s surface produced by emissions from a geostationary broadcasting-satellite service (sound) space station operating in the band 2605–2630 MHz for which complete Appendix 4 coordination information, or notification in- formation, has been received after 4 July
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2003, for all conditions and for all methods of modulation, shall not exceed the following limits:
¥130 dB(W/(m2 · MHz)) ............................................................... for 0° ≤ q ≤ 5° ¥130 + 0.4 (q ¥ 5) dB(W/(m2 · MHz)) ............................................ for 5° < q ≤ 25° ¥122 dB(W/(m2 · MHz)) ............................................................... for 25° < q ≤ 90°
where q is the angle of arrival of the incident wave above the horizontal plane, in degrees. These limits may be exceeded on the terri- tory of any country whose administration has so agreed. In the case of the broad- casting-satellite service (sound) networks of Korea (Rep. of), as an exception to the limits above, the power flux-density value of ¥122 dB(W/(m2 ·MHz)) shall be used as a threshold for coordination under No. 9.11 in an area of 1000 km around the territory of the adminis- tration notifying the broadcasting-satellite service (sound) system, for angles of arrival greater than 35°.
5.417B In Korea (Rep. of) and Japan, use of the band 2605–2630 MHz by non-geo- stationary-satellite systems in the broad- casting-satellite service (sound), pursuant to No. 5.417A, for which complete Appendix 4 coordination information, or notification in- formation, has been received after 4 July 2003, is subject to the application of the pro- visions of No. 9.12A, in respect of geo- stationary-satellite networks for which com- plete Appendix 4 coordination information, or notification information, is considered to have been received after 4 July 2003, and No. 22.2 does not apply. No. 22.2 shall continue to apply with respect to geostationary-satellite networks for which complete Appendix 4 co- ordination information, or notification in- formation, is considered to have been re- ceived before 5 July 2003.
5.417C Use of the band 2605–2630 MHz by non-geostationary-satellite systems in the broadcasting-satellite service (sound), pursu- ant to No. 5.417A, for which complete Appen- dix 4 coordination information, or notifica- tion information, has been received after 4
July 2003, is subject to the application of the provisions of No. 9.12.
5.417D Use of the band 2605–2630 MHz by geostationary-satellite networks for which complete Appendix 4 coordination informa- tion, or notification information, has been received after 4 July 2003 is subject to the ap- plication of the provisions of No. 9.13 with respect to non-geostationary-satellite sys- tems in the broadcasting-satellite service (sound), pursuant to No. 5.417A, and No. 22.2 does not apply.
5.418 Additional allocation: in Korea (Rep. of), India, Japan, Pakistan and Thailand, the band 2535–2655 MHz is also allocated to the broadcasting-satellite service (sound) and complementary terrestrial broadcasting service on a primary basis. Such use is lim- ited to digital audio broadcasting and is sub- ject to the provisions of Resolution 528 (Rev.WRC–03). The provisions of No. 5.416 and Table 21–4 of Article 21, do not apply to this additional allocation. Use of non-geo- stationary-satellite systems in the broad- casting-satellite service (sound) is subject to Resolution 539 (Rev.WRC–03). Geostationary broadcasting-satellite service (sound) sys- tems for which complete Appendix 4 coordi- nation information has been received after 1 June 2005 are limited to systems intended for national coverage. The power flux-density at the Earth’s surface produced by emissions from a geostationary broadcasting-satellite service (sound) space station operating in the band 2630–2655 MHz, and for which com- plete Appendix 4 coordination information has been received after 1 June 2005, shall not exceed the following limits, for all condi- tions and for all methods of modulation:
¥130 dB(W/(m2 · MHz)) ............................................................... for 0° ≤ q ≤ 5° ¥130 + 0.4 (q ¥ 5) dB(W/(m2 · MHz)) ............................................ for 5° < q ≤ 25° ¥122 dB(W/(m2 · MHz)) ............................................................... for 25°< q ≤ 90°
where q is the angle of arrival of the incident wave above the horizontal plane, in degrees. These limits may be exceeded on the terri- tory of any country whose administration has so agreed. As an exception to the limits above, the pfd value of ¥122 dB(W/(m2 ·MHz)) shall be used as a threshold for coordination under No. 9.11 in an area of 1500 km around the territory of the administration notifying the broadcasting-satellite service (sound) system. In addition, the power flux-density
value shall not exceed ¥100 dB(W/(m2 ·MHz)) anywhere on the territory of the Russian Federation.
In addition, an administration listed in this provision shall not have simultaneously two overlapping frequency assignments, one under this provision and the other under No. 5.416 for systems for which complete Appen- dix 4 coordination information has been re- ceived after 1 June 2005.
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5.418A In certain Region 3 countries listed in No. 5.418, use of the band 2630–2655 MHz by non-geostationary-satellite systems in the broadcasting-satellite service (sound) for which complete Appendix 4 coordination in- formation, or notification information, has been received after 2 June 2000, is subject to the application of the provisions of No. 9.12A, in respect of geostationary-satellite net- works for which complete Appendix 4 coordi- nation information, or notification informa- tion, is considered to have been received after 2 June 2000, and No. 22.2 does not apply. No. 22.2 shall continue to apply with respect to geostationary-satellite networks for which complete Appendix 4 coordination in- formation, or notification information, is considered to have been received before 3 June 2000.
5.418B Use of the band 2630–2655 MHz by non-geostationary-satellite systems in the broadcasting-satellite service (sound), pursu- ant to No. 5.418, for which complete Appen- dix 4 coordination information, or notifica- tion information, has been received after 2 June 2000, is subject to the application of the provisions of No. 9.12.
5.418C Use of the band 2630–2655 MHz by geostationary-satellite networks for which complete Appendix 4 coordination informa- tion, or notification information, has been received after 2 June 2000 is subject to the application of the provisions of No. 9.13 with respect to non-geostationary-satellite sys- tems in the broadcasting-satellite service (sound), pursuant to No. 5.418 and No. 22.2 does not apply.
5.419 The allocation of the frequency band 2670–2690 MHz to the mobile-satellite service shall be effective from 1 January 2005. When introducing systems of the mobile-satellite service in this band, administrations shall take all necessary steps to protect the sat- ellite systems operating in this band prior to 3 March 1992. The coordination of mobile-sat- ellite systems in the band shall be in accord- ance with No. 9.11A.
5.420 The band 2655–2670 MHz (until 1 Jan- uary 2005 the band 2655–2690 MHz) may also be used for the mobile-satellite (Earth-to- space), except aeronautical mobile-satellite, service for operation limited to within na- tional boundaries, subject to agreement ob- tained under No. 9.21. The coordination under No. 9.11A applies.
5.420A Additional allocation: in India and Japan, subject to agreement obtained under No. 9.21, the band 2670–2690 MHz may also be used for the aeronautical mobile-satellite service (Earth-to-space) for operation lim- ited to within their national boundaries.
5.422 Additional allocation: in Saudi Ara- bia, Armenia, Azerbaijan, Bahrain, Belarus, Bosnia and Herzegovina, Brunei Darussalam, Congo (Rep. of the), Côte d’Ivoire, Cuba, Egypt, the United Arab Emirates, Eritrea, Ethiopia, the Russian Federation, Gabon,
Georgia, Guinea, Guinea-Bissau, Iran (Is- lamic Republic of), Iraq, Israel, Jordan, Leb- anon, Mauritania, Moldova, Mongolia, Nige- ria, Oman, Uzbekistan, Pakistan, the Phil- ippines, Qatar, Syrian Arab Republic, Kyrgyzstan, the Dem. Rep. of the Congo, Ro- mania, Serbia and Montenegro, Somalia, Tajikistan, Tunisia, Turkmenistan, Ukraine and Yemen, the band 2690–2700 MHz is also al- located to the fixed and mobile, except aero- nautical mobile, services on a primary basis. Such use is limited to equipment in oper- ation by 1 January 1985.
5.423 In the band 2700–2900 MHz, ground- based radars used for meteorological pur- poses are authorized to operate on a basis of equality with stations of the aeronautical radionavigation service.
5.424 Additional allocation: in Canada, the band 2850–2900 MHz is also allocated to the maritime radionavigation service, on a pri- mary basis, for use by shore-based radars.
5.424A In the band 2900–3100 MHz, stations in the radiolocation service shall not cause harmful interference to, nor claim protec- tion from, radar systems in the radio- navigation service.
5.425 In the band 2900–3100 MHz, the use of the shipborne interrogator-transponder sys- tem (SIT) shall be confined to the sub-band 2930–2950 MHz.
5.426 The use of the band 2900–3100 MHz by the aeronautical radionavigation service is limited to ground-based radars.
5.427 In the bands 2900–3100 MHz and 9300– 9500 MHz, the response from radar tran- sponders shall not be capable of being con- fused with the response from radar beacons (racons) and shall not cause interference to ship or aeronautical radars in the radio- navigation service, having regard, however, to No. 4.9.
5.428 Additional allocation: in Azerbaijan, Cuba, Mongolia, Kyrgyzstan, Romania and Turkmenistan, the band 3100–3300 MHz is also allocated to the radionavigation service on a primary basis.
5.429 Additional allocation: in Saudi Ara- bia, Bahrain, Bangladesh, Brunei Darussalam, China, Congo (Rep. of the), Korea (Rep. of), the United Arab Emirates, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, the Libyan Arab Jamahiriya, Japan, Jordan, Kenya, Kuwait, Lebanon, Ma- laysia, Oman, Pakistan, Qatar, the Syrian Arab Republic, Dem. People’s Rep. of Korea and Yemen, the band 3300–3400 MHz is also al- located to the fixed and mobile services on a primary basis. The countries bordering the Mediterranean shall not claim protection for their fixed and mobile services from the radiolocation service.
5.430 Additional allocation: in Azerbaijan, Cuba, Mongolia, Kyrgyzstan, Romania and Turkmenistan, the band 3300–3400 MHz is also allocated to the radionavigation service on a primary basis.
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5.431 Additional allocation: in Germany, Israel and the United Kingdom, the band 3400–3475 MHz is also allocated to the ama- teur service on a secondary basis.
5.432 Different category of service: in Korea (Rep. of), Japan and Pakistan, the allocation of the band 3400–3500 MHz to the mobile, ex- cept aeronautical mobile, service is on a pri- mary basis (see No. 5.33).
5.433 In Regions 2 and 3, in the band 3400– 3600 MHz the radiolocation service is allo- cated on a primary basis. However, all ad- ministrations operating radiolocation sys- tems in this band are urged to cease oper- ations by 1985. Thereafter, administrations shall take all practicable steps to protect the fixed-satellite service and coordination re- quirements shall not be imposed on the fixed-satellite service.
5.435 In Japan, in the band 3620–3700 MHz, the radiolocation service is excluded.
5.438 Use of the band 4200–4400 MHz by the aeronautical radionavigation service is re- served exclusively for radio altimeters in- stalled on board aircraft and for the associ- ated transponders on the ground. However, passive sensing in the Earth exploration-sat- ellite and space research services may be au- thorized in this band on a secondary basis (no protection is provided by the radio altim- eters).
5.439 Additional allocation: in Iran (Islamic Republic of) and Libya, the band 4200–4400 MHz is also allocated to the fixed service on a secondary basis.
5.440 The standard frequency and time signal-satellite service may be authorized to use the frequency 4202 MHz for space-to- Earth transmissions and the frequency 6427 MHz for Earth-to-space transmissions. Such transmissions shall be confined within the limits of ±2 MHz of these frequencies, subject to agreement obtained under No. 9.21.
5.441 The use of the bands 4500–4800 MHz (space-to-Earth), 6725–7025 MHz (Earth-to- space) by the fixed-satellite service shall be in accordance with the provisions of Appen- dix 30B. The use of the bands 10.7–10.95 GHz (space-to-Earth), 11.2–11.45 GHz (space-to- Earth) and 12.75–13.25 GHz (Earth-to-space) by geostationary-satellite systems in the fixed-satellite service shall be in accordance with the provisions of Appendix 30B. The use of the bands 10.7–10.95 GHz (space-to Earth), 11.2–11.45 GHz (space-to-Earth) and 12.75–13.25 GHz (Earth-to-space) by a non-geo- stationary-satellite system in the fixed-sat- ellite service is subject to application of the provisions of No. 9.12 for coordination with other non-geostationary-satellite systems in the fixed-satellite service. Non-geo- stationary-satellite systems in the fixed-sat- ellite service shall not claim protection from geostationary-satellite networks in the fixed-satellite service operating in accord- ance with the Radio Regulations, irrespec- tive of the dates of receipt by the Bureau of
the complete coordination or notification in- formation, as appropriate, for the non-geo- stationary-satellite systems in the fixed-sat- ellite service and of the complete coordina- tion or notification information, as appro- priate, for the geostationary-satellite net- works, and No. 5.43A does not apply. Non- geostationary-satellite systems in the fixed- satellite service in the above bands shall be operated in such a way that any unaccept- able interference that may occur during their operation shall be rapidly eliminated.
5.442 In the bands 4825–4835 MHz and 4950– 4990 MHz, the allocation to the mobile serv- ice is restricted to the mobile, except aero- nautical mobile, service.
5.443 Different category of service: in Argen- tina, Australia and Canada, the allocation of the bands 4825–4835 MHz and 4950–4990 MHz to the radio astronomy service is on a primary basis (see No. 5.33).
5.443B In order not to cause harmful in- terference to the microwave landing system operating above 5030 MHz, the aggregate power flux-density produced at the Earth’s surface in the band 5030–5150 MHz by all the space stations within any radionavigation- satellite service system (space-to-Earth) op- erating in the band 5010–5030 MHz shall not exceed ¥124.5 dB(W/m2) in a 150 kHz band. In order not to cause harmful interference to the radio astronomy service in the band 4990– 5000 MHz, radionavigation-satellite service systems operating in the band 5010–5030 MHz shall comply with the limits in the band 4990–5000 MHz defined in Resolution 741 (WRC–03).
5.444 The band 5030–5150 MHz is to be used for the operation of the international stand- ard system (microwave landing system) for precision approach and landing. The require- ments of this system shall take precedence over other uses of this band. For the use of this band, No. 5.444A and Resolution 114 (Rev.WRC–03) apply.
5.444A Additional allocation: the band 5091– 5150 MHz is also allocated to the fixed-sat- ellite service (Earth-to-space) on a primary basis. This allocation is limited to feeder links of non-geostationary mobile-satellite systems in the mobile-satellite service and is subject to coordination under No. 9.11A.
In the band 5091–5150 MHz, the following con- ditions also apply: —Prior to 1 January 2018, the use of the band
5091–5150 MHz by feeder links of non-geo- stationary-satellite systems in the mobile- satellite service shall be made in accord- ance with Resolution 114 (Rev.WRC–03);
—Prior to 1 January 2018, the requirements of existing and planned international standard systems for the aeronautical radionavigation service which cannot be met in the 5000–5091 MHz band, shall take precedence over other uses of this band;
—After 1 January 2012, no new assignments shall be made to earth stations providing
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feeder links of non-geostationary mobile- satellite systems;
—After 1 January 2018, the fixed-satellite service will become secondary to the aero- nautical radionavigation service. 5.446 Additional allocation: in the countries
listed in Nos. 5.369 and 5.400, the band 5150– 5216 MHz is also allocated to the radio- determination-satellite service (space-to- Earth) on a primary basis, subject to agree- ment obtained under No. 9.21. In Region 2, the band is also allocated to the radio- determination-satellite service (space-to- Earth) on a primary basis. In Regions 1 and 3, except those countries listed in Nos. 5.369 and 5.400, the band is also allocated to the radiodetermination-satellite service (space- to-Earth) on a secondary basis. The use by the radiodetermination-satellite service is limited to feeder links in conjunction with the radiodetermination-satellite service op- erating in the bands 1610–1626.5 MHz and/or 2483.5–2500 MHz. The total power flux-density at the Earth’s surface shall in no case exceed ¥159 dB(W/m2) in any 4 kHz band for all an- gles of arrival.
5.446A The use of the bands 5150–5350 MHz and 5470–5725 MHz by the stations in the mo- bile service shall be in accordance with Reso- lution 229 (WRC–03).
5.446B In the band 5150–5250 MHz, stations in the mobile service shall not claim protec- tion from earth stations in the fixed-sat- ellite service. No. 5.43A does not apply to the mobile service with respect to fixed-satellite service earth stations.
5.447 Additional allocation: In Israel, Leb- anon, Pakistan, the Syrian Arab Republic and Tunisia, the band 5150–5250 MHz is also allocated to the mobile service, on a primary basis, subject to agreement obtained under No. 9.21. In this case, the provisions of Reso- lution 229 (WRC–03) do not apply.
5.447A The allocation to the fixed-sat- ellite service (Earth-to-space) is limited to feeder links of non-geostationary-satellite systems in the mobile-satellite service and is subject to coordination under No. 9.11A.
5.447B Additional allocation: the band 5150– 5216 MHz is also allocated to the fixed-sat- ellite service (space-to-Earth) on a primary basis. This allocation is limited to feeder links of non-geostationary-satellite systems in the mobile-satellite service and is subject to provisions of No. 9.11A. The power flux- density at the Earth’s surface produced by space stations of the fixed-satellite service operating in the space-to-Earth direction in the band 5150–5216 MHz shall in no case ex- ceed ¥164 dB(W/m2) in any 4 kHz band for all angles of arrival.
5.447C Administrations responsible for fixed-satellite service networks in the band 5150–5250 MHz operated under Nos. 5.447A and 5.447B shall coordinate on an equal basis in accordance with No. 9.11A with administra- tions responsible for non-geostationary-sat-
ellite networks operated under No. 5.446 and brought into use prior to 17 November 1995. Satellite networks operated under No. 5.446 brought into use after 17 November 1995 shall not claim protection from, and shall not cause harmful interference to, stations of the fixed-satellite service operated under Nos. 5.447A and 5.447B.
5.447D The allocation of the band 5250–5255 MHz to the space research service on a pri- mary basis is limited to active spaceborne sensors. Other uses of the band by the space research service are on a secondary basis.
5.447E Additional allocation: The band 5250– 5350 MHz is also allocated to the fixed service on a primary basis in the following countries in Region 3: Australia, Korea (Rep. of), India, Indonesia, Iran (Islamic Republic of), Japan, Malaysia, Papua New Guinea, the Phil- ippines, Sri Lanka, Thailand and Viet Nam. The use of this band by the fixed service is intended for the implementation of fixed wireless access systems and shall comply with Recommendation ITU–R F.1613. In addi- tion, the fixed service shall not claim protec- tion from the radiodetermination, Earth ex- ploration-satellite (active) and space re- search (active) services, but the provisions of No. 5.43A do not apply to the fixed service with respect to the Earth exploration-sat- ellite (active) and space research (active) services. After implementation of fixed wire- less access systems in the fixed service with protection for the existing radiodetermin- ation systems, no more stringent constraints should be imposed on the fixed wireless ac- cess systems by future radiodetermination implementations.
5.447F In the band 5250–5350 MHz, stations in the mobile service shall not claim protec- tion from the radiolocation service, the Earth exploration-satellite service (active) and the space research service (active). These services shall not impose on the mo- bile service more stringent protection cri- teria, based on system characteristics and interference criteria, than those stated in Recommendations ITU-R M.1638 and ITU-R SA.1632.
5.448 Additional allocation: In Azerbaijan, Libyan Arab Jamahiriya, Mongolia, Kyrgyzstan, Slovakia, Romania and Turkmenistan, the band 5250–5350 MHz is also allocated to the radionavigation service on a primary basis.
5.448A The Earth exploration-satellite (active) and space research (active) services in the frequency band 5250–5350 MHz shall not claim protection from the radiolocation service. No. 5.43A does not apply.
5.448B The Earth exploration-satellite service (active) operating in the band 5350– 5570 MHz and space research service (active) operating in the band 5460–5570 MHz shall not cause harmful interference to the aero- nautical radionavigation service in the band 5350–5460 MHz, the radionavigation service in
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the band 5460–5470 MHz and the maritime radionavigation service in the band 5470–5570 MHz.
5.448C The space research service (active) operating in the band 5350–5460 MHz shall not cause harmful interference to nor claim pro- tection from other services to which this band is allocated.
5.448D In the frequency band 5350–5470 MHz, stations in the radiolocation service shall not cause harmful interference to, nor claim protection from, radar systems in the aeronautical radionavigation service oper- ating in accordance with No. 5.449.
5.449 The use of the band 5350–5470 MHz by the aeronautical radionavigation service is limited to airborne radars and associated airborne beacons.
5.450 Additional allocation: In Austria, Azerbaijan, Iran (Islamic Republic of), Mon- golia, Kyrgyzstan, Romania, Turkmenistan and Ukraine, the band 5470–5650 MHz is also allocated to the aeronautical radio- navigation service on a primary basis.
5.450A In the band 5470–5725 MHz, stations in the mobile service shall not claim protec- tion from radiodetermination services. Radiodetermination services shall not im- pose on the mobile service more stringent protection criteria, based on system charac- teristics and interference criteria, than those stated in Recommendation ITU-R M.1638.
5.450B In the frequency band 5470–5650 MHz, stations in the radiolocation service, except ground-based radars used for meteoro- logical purposes in the band 5600–5650 MHz, shall not cause harmful interference to, nor claim protection from, radar systems in the maritime radionavigation service.
5.451 Additional allocation: in the United Kingdom, the band 5470–5850 MHz is also allo- cated to the land mobile service on a sec- ondary basis. The power limits specified in Nos. 21.2, 21.3, 21.4 and 21.5 shall apply in the band 5725–5850 MHz.
5.452 Between 5600 MHz and 5650 MHz, ground-based radars used for meteorological purposes are authorized to operate on a basis of equality with stations of the maritime radionavigation service.
5.453 Additional allocation: in Saudi Ara- bia, Bahrain, Bangladesh, Brunei Darussalam, Cameroon, China, Congo (Rep. of the), Korea (Rep. of), C‘‘te d’Ivoire, Egypt, the United Arab Emirates, Gabon, Guinea, Equatorial Guinea, India, Indonesia, Iran (Is- lamic Republic of), Iraq, Israel, the Libyan Arab Jamahiriya, Japan, Jordan, Kenya, Ku- wait, Lebanon, Madagascar, Malaysia, Nige- ria, Oman, Pakistan, the Philippines, Qatar, the Syrian Arab Republic, the Dem. People’s Rep. of Korea, Singapore, Sri Lanka, Swazi- land, Tanzania, Chad, Thailand, Togo, Viet Nam and Yemen, the band 5650–5850 MHz is also allocated to the fixed and mobile serv- ices on a primary basis. In this case, the pro-
visions of Resolution 229 (WRC–03) do not apply.
5.454 Different category of service: in Azer- baijan, the Russian Federation, Georgia, Mongolia, Uzbekistan, Kyrgyzstan, Tajikistan and Turkmenistan, the allocation of the band 5670–5725 MHz to the space re- search service is on a primary basis (see No. 5.33).
5.455 Additional allocation: in Armenia, Azerbaijan, Belarus, Cuba, the Russian Fed- eration, Georgia, Hungary, Kazakhstan, Lat- via, Moldova, Mongolia, Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan and Ukraine, the band 5670–5850 MHz is also allo- cated to the fixed service on a primary basis.
5.456 Additional allocation: in Cameroon, the band 5755–5850 MHz is also allocated to the fixed service on a primary basis.
5.457A In the bands 5925–6425 MHz and 14– 14.5 GHz, earth stations located on board ves- sels may communicate with space stations of the fixed-satellite service. Such use shall be in accordance with Resolution 902 (WRC–03).
5.457B In the bands 5925–6425 MHz and 14– 14.5 GHz, earth stations located on board ves- sels may operate with the characteristics and under the conditions contained in Reso- lution 902 (WRC–03) in Algeria, Saudi Arabia, Bahrain, Comoros, Djibouti, Egypt, United Arab Emirates, the Libyan Arab Jamahiriya, Jordan, Kuwait, Morocco, Mauritania, Oman, Qatar, the Syrian Arab Republic, Sudan, Tunisia and Yemen, in the maritime mobile-satellite service on a secondary basis. Such use shall be in accordance with Resolu- tion 902 (WRC–03).
5.458 In the band 6425–7075 MHz, passive microwave sensor measurements are carried out over the oceans. In the band 7075–7250 MHz, passive microwave sensor measure- ments are carried out. Administrations should bear in mind the needs of the Earth exploration-satellite (passive) and space re- search (passive) services in their future plan- ning of the bands 6425–7025 MHz and 7075–7250 MHz.
5.458A In making assignments in the band 6700–7075 MHz to space stations of the fixed- satellite service, administrations are urged to take all practicable steps to protect spec- tral line observations of the radio astronomy service in the band 6650–6675.2 MHz from harmful interference from unwanted emis- sions.
5.458B The space-to-Earth allocation to the fixed-satellite service in the band 6700– 7075 MHz is limited to feeder links for non- geostationary satellite systems of the mo- bile-satellite service and is subject to coordi- nation under No. 9.11A. The use of the band 6700–7075 MHz (space-to-Earth) by feeder links for non-geostationary satellite systems in the mobile-satellite service is not subject to No. 22.2.
5.458C Administrations making submis- sions in the band 7025–7075 MHz (Earth-to-
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6 Note by the Secretariat: This Resolution was revised by WRC–2000.
space) for geostationary-satellite systems in the fixed-satellite service after 17 November 1995 shall consult on the basis of relevant ITU-R Recommendations with the adminis- trations that have notified and brought into use non-geostationary-satellite systems in this frequency band before 18 November 1995 upon request of the latter administrations. This consultation shall be with a view to fa- cilitating shared operation of both geo- stationary-satellite systems in the fixed-sat- ellite service and non-geostationary-satellite systems in this band.
5.459 Additional allocation: in Russian Fed- eration, the frequency bands 7100–7155 MHz and 7190–7235 MHz are also allocated to the space operation service (Earth-to-space) on a primary basis, subject to agreement obtained under No. 9.21.
5.460 The use of the band 7145–7190 MHz by the space research service (Earth-to-space) is restricted to deep space; no emissions to deep space shall be effected in the band 7190– 7235 MHz. Geostationary satellites in the space research service operating in the band 7190–7235 MHz shall not claim protection from existing and future stations of the fixed and mobile services and No. 5.43A does not apply.
5.461 Additional allocation: the bands 7250– 7375 MHz (space-to-Earth) and 7900–8025 MHz (Earth-to-space) are also allocated to the mobile-satellite service on a primary basis, subject to agreement obtained under No. 9.21.
5.461A The use of the band 7450–7550 MHz by the meteorological-satellite service (space-to-Earth) is limited to geostationary- satellite systems. Non-geostationary mete- orological-satellite systems in this band no- tified before 30 November 1997 may continue to operate on a primary basis until the end of their lifetime.
5.461B The use of the band 7750–7850 MHz by the meteorological-satellite service (space-to-Earth) is limited to non-geo- stationary satellite systems.
5.462A In Regions 1 and 3 (except for Japan), in the band 8025–8400 MHz, the Earth exploration-satellite service using geo- stationary satellites shall not produce a power flux-density in excess of the following provisional values for angles of arrival (q), without the consent of the affected adminis- tration:
¥174 dB(W/m2) in a 4 kHz band for 0° ≤ q < 5° ¥174 + 0.5 (¥5) dB(W/m2) in a 4 kHz band for
5° ≤ q < 25° ¥164 dB(W/m2) in a 4 kHz band for 25° ≤ q ≤
90° These values are subject to study under
Resolution 124 (WRC–97). 6
5.463 Aircraft stations are not permitted to transmit in the band 8025–8400 MHz.
5.465 In the space research service, the use of the band 8400–8450 MHz is limited to deep space.
5.466 Different category of service: in Israel, Singapore and Sri Lanka, the allocation of the band 8400–8500 MHz to the space research service is on a secondary basis (see No. 5.32).
5.468 Additional allocation: in Saudi Ara- bia, Bahrain, Bangladesh, Brunei Darussalam, Burundi, Cameroon, China, Congo (Rep. of the), Costa Rica, Egypt, the United Arab Emirates, Gabon, Guyana, Indo- nesia, Iran (Islamic Republic of), Iraq, the Libyan Arab Jamahiriya, Jamaica, Jordan, Kenya, Kuwait, Lebanon, Malaysia, Mali, Morocco, Mauritania, Nepal, Nigeria, Oman, Pakistan, Qatar, Syrian Arab Republic, the Dem. People’s Rep. of Korea, Senegal, Singa- pore, Somalia, Swaziland, Tanzania, Chad, Togo, Tunisia and Yemen, the band 8500–8750 MHz is also allocated to the fixed and mobile services on a primary basis.
5.469 Additional allocation: in Armenia, Azerbaijan, Belarus, the Russian Federation, Georgia, Hungary, Lithuania, Moldova, Mon- golia, Uzbekistan, Poland, Kyrgyzstan, the Czech Rep., Romania, Tajikistan, Turkmenistan and Ukraine, the band 8500– 8750 MHz is also allocated to the land mobile and radionavigation services on a primary basis.
5.469A In the band 8550–8650 MHz, stations in the Earth exploration-satellite service (active) and space research service (active) shall not cause harmful interference to, or constrain the use and development of, sta- tions of the radiolocation service.
5.470 The use of the band 8750–8850 MHz by the aeronautical radionavigation service is limited to airborne Doppler navigation aids on a centre frequency of 8800 MHz.
5.471 Additional allocation: in Algeria, Ger- many, Bahrain, Belgium, China, the United Arab Emirates, France, Greece, Indonesia, Iran (Islamic Republic of), Libya, the Neth- erlands, Qatar and Sudan, the bands 8825–8850 MHz and 9000–9200 MHz are also allocated to the maritime radionavigation service, on a primary basis, for use by shore-based radars only.
5.472 In the bands 8850–9000 MHz and 9200– 9225 MHz, the maritime radionavigation service is limited to shore-based radars.
5.473 Additional allocation: in Armenia, Austria, Azerbaijan, Belarus, Bulgaria, Cuba, the Russian Federation, Georgia, Hungary, Moldova, Mongolia, Uzbekistan, Poland, Kyrgyzstan, Romania, Tajikistan, Turkmenistan and Ukraine, the bands 8850– 9000 MHz and 9200–9300 MHz are also allo- cated to the radionavigation service on a pri- mary basis.
5.474 In the band 9200–9500 MHz, search and rescue transponders (SART) may be
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used, having due regard to the appropriate ITU-R Recommendation (see also Article 31).
5.475 The use of the band 9300–9500 MHz by the aeronautical radionavigation service is limited to airborne weather radars and ground-based radars. In addition, ground- based radar beacons in the aeronautical radionavigation service are permitted in the band 9300–9320 MHz on condition that harm- ful interference is not caused to the mari- time radionavigation service. In the band 9300–9500 MHz, ground-based radars used for meteorological purposes have priority over other radiolocation devices.
5.476 In the band 9300–9320 MHz in the radionavigation service, the use of shipborne radars, other than those existing on 1 Janu- ary 1976, is not permitted until 1 January 2001.
5.476A In the band 9500–9800 MHz, stations in the Earth exploration-satellite service (active) and space research service (active) shall not cause harmful interference to, or constrain the use and development of, sta- tions of the radionavigation and radio- location services.
5.477 Different category of service: in Alge- ria, Saudi Arabia, Bahrain, Bangladesh, Brunei Darussalam, Cameroon, Egypt, the United Arab Emirates, Eritrea, Ethiopia, Guyana, India, Indonesia, Iran (Islamic Re- public of), Iraq, Jamaica, Japan, Jordan, Ku- wait, Lebanon, Liberia, Malaysia, Nigeria, Oman, Pakistan, Qatar, the Dem. People’s Rep. of Korea, Singapore, Somalia, Sudan, Trinidad and Tobago, and Yemen, the alloca- tion of the band 9800–10000 MHz to the fixed service is on a primary basis (see No. 5.33).
5.478 Additional allocation: in Azerbaijan, Bulgaria, Mongolia, Kyrgyzstan, Romania, Turkmenistan and Ukraine, the band 9800– 10000 MHz is also allocated to the radio- navigation service on a primary basis.
5.479 The band 9975–10025 MHz is also allo- cated to the meteorological-satellite service on a secondary basis for use by weather ra- dars.
5.480 Additional allocation: in Argentina, Brazil, Chile, Costa Rica, Cuba, El Salvador, Ecuador, Guatemala, Honduras, Mexico, Paraguay, Peru, Uruguay and Venezuela, the band 10–10.45 GHz is also allocated to the fixed and mobile services on a primary basis.
5.481 Additional allocation: in Germany, Angola, Brazil, China, Costa Rica, Côte d’Ivoire, El Salvador, Ecuador, Spain, Guate- mala, Hungary, Japan, Kenya, Morocco, Ni- geria, Oman, Uzbekistan, Paraguay, Peru, the Dem. People’s Rep. of Korea, Tanzania, Thailand and Uruguay, the band 10.45–10.5 GHz is also allocated to the fixed and mobile services on a primary basis.
5.482 In the band 10.6–10.68 GHz, stations of the fixed and mobile, except aeronautical mobile, services shall be limited to a max- imum equivalent isotropically radiated power of 40 dBW and the power delivered to
the antenna shall not exceed –3 dBW. These limits may be exceeded subject to agreement obtained under No. 9.21. However, in Saudi Arabia, Armenia, Azerbaijan, Bahrain, Ban- gladesh, Belarus, China, the United Arab Emirates, Georgia, India, Indonesia, Iran (Is- lamic Republic of), Iraq, Japan, Kazakhstan, Kuwait, Latvia, Lebanon, Moldova, Nigeria, Pakistan, the Philippines, Qatar, the Syrian Arab Republic, Tajikistan and Turkmenistan, the restrictions on the fixed and mobile, except aeronautical mobile, services are not applicable.
5.483 Additional allocation: In Saudi Ara- bia, Armenia, Azerbaijan, Bahrain, Belarus, Bosnia and Herzegovina, China, Colombia, Korea (Rep. of), Costa Rica, Egypt, the United Arab Emirates, Georgia, Iran (Islamic Republic of), Iraq, Israel, Jordan, Kazakhstan, Kuwait, Lebanon, Mongolia, Uzbekistan, Qatar, Kyrgyzstan, the Dem. People’s Rep. of Korea, Romania, Serbia and Montenegro, Tajikistan, Turkmenistan and Yemen, the band 10.68–10.7 GHz is also allo- cated to the fixed and mobile, except aero- nautical mobile, services on a primary basis. Such use is limited to equipment in oper- ation by 1 January 1985.
5.484 In Region 1, the use of the band 10.7– 11.7 GHz by the fixed-satellite service (Earth- to-space) is limited to feeder links for the broadcasting-satellite service.
5.484A The use of the bands 10.95–11.2 GHz (space-to-Earth), 11.45–11.7 GHz (space-to- Earth), 11.7–12.2 GHz (space-to-Earth) in Re- gion 2, 12.2–12.75 GHz (space-to-Earth) in Re- gion 3, 12.5–12.75 GHz (space-to-Earth) in Re- gion 1, 13.75–14.5 GHz (Earth-to-space), 17.8– 18.6 GHz (space-to-Earth), 19.7–20.2 GHz (space-to-Earth), 27.5–28.6 GHz (Earth-to- space), 29.5–30 GHz (Earth-to-space) by a non- geostationary-satellite system in the fixed- satellite service is subject to application of the provisions of No. 9.12 for coordination with other non-geostationary-satellite sys- tems in the fixed-satellite service. Non-geo- stationary-satellite systems in the fixed-sat- ellite service shall not claim protection from geostationary-satellite networks in the fixed-satellite service operating in accord- ance with the Radio Regulations, irrespec- tive of the dates of receipt by the Bureau of the complete coordination or notification in- formation, as appropriate, for the non-geo- stationary-satellite systems in the fixed-sat- ellite service and of the complete coordina- tion or notification information, as appro- priate, for the geostationary-satellite net- works, and No. 5.43A does not apply. Non- geostationary-satellite systems in the fixed- satellite service in the above bands shall be operated in such a way that any unaccept- able interference that may occur during their operation shall be rapidly eliminated.
5.485 In Region 2, in the band 11.7–12.2 GHz, transponders on space stations in the
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fixed-satellite service may be used addition- ally for transmissions in the broadcasting- satellite service, provided that such trans- missions do not have a maximum e.i.r.p. greater than 53 dBW per television channel and do not cause greater interference or re- quire more protection from interference than the coordinated fixed-satellite service frequency assignments. With respect to the space services, this band shall be used prin- cipally for the fixed-satellite service.
5.486 Different category of service: in Mex- ico and the United States, the allocation of the band 11.7–12.1 GHz to the fixed service is on a secondary basis (see No. 5.32).
5.487 In the band 11.7–12.5 GHz in Regions 1 and 3, the fixed, fixed-satellite, mobile, ex- cept aeronautical mobile, and broadcasting services, in accordance with their respective allocations, shall not cause harmful inter- ference to, or claim protection from, broad- casting-satellite stations operating in ac- cordance with the Regions 1 and 3 Plan in Appendix 30.
5.487A Additional allocation: in Region 1, the band 11.7–12.5 GHz, in Region 2, the band 12.2–12.7 GHz and, in Region 3, the band 11.7– 12.2 GHz, are also allocated to the fixed-sat- ellite service (space-to-Earth) on a primary basis, limited to non-geostationary systems and subject to application of the provisions of No. 9.12 for coordination with other non- geostationary-satellite systems in the fixed- satellite service. Non-geostationary-satellite systems in the fixed-satellite service shall not claim protection from geostationary-sat- ellite networks in the broadcasting-satellite service operating in accordance with the Radio Regulations, irrespective of the dates of receipt by the Bureau of the complete co- ordination or notification information, as appropriate, for the non-geostationary-sat- ellite systems in the fixed-satellite service and of the complete coordination or notifica- tion information, as appropriate, for the geo- stationary-satellite networks, and No. 5.43A does not apply. Non-geostationary-satellite systems in the fixed-satellite service in the above bands shall be operated in such a way that any unacceptable interference that may occur during their operation shall be rapidly eliminated.
5.488 The use of the band 11.7–12.2 GHz by geostationary-satellite networks in the fixed-satellite service in Region 2 is subject to application of the provisions of No. 9.14 for coordination with stations of terrestrial services in Regions 1, 2 and 3. For the use of the band 12.2–12.7 GHz by the broadcasting- satellite service in Region 2, see Appendix 30.
5.489 Additional allocation: in Peru, the band 12.1–12.2 GHz is also allocated to the fixed service on a primary basis.
5.490 In Region 2, in the band 12.2–12.7 GHz, existing and future terrestrial radiocommunication services shall not cause harmful interference to the space services
operating in conformity with the broad- casting-satellite Plan for Region 2 contained in Appendix 30.
5.492 Assignments to stations of the broadcasting-satellite service which are in conformity with the appropriate regional Plan or included in the Regions 1 and 3 List in Appendix 30 may also be used for trans- missions in the fixed-satellite service (space- to-Earth), provided that such transmissions do not cause more interference, or require more protection from interference, than the broadcasting-satellite service transmissions operating in conformity with the Plan or the List, as appropriate.
5.493 The broadcasting-satellite service in the band 12.5–12.75 GHz in Region 3 is limited to a power flux-density not exceeding ¥111 dB(W/(m2 · 27 MHz)) for all conditions and for all methods of modulation at the edge of the service area.
5.494 Additional allocation: In Algeria, An- gola, Saudi Arabia, Bahrain, Cameroon, the Central African Rep., Congo (Rep. of the), Côte d’Ivoire, Egypt, the United Arab Emir- ates, Eritrea, Ethiopia, Gabon, Ghana, Guin- ea, Iraq, Israel, the Libyan Arab Jamahiriya, Jordan, Kuwait, Lebanon, Madagascar, Mali, Morocco, Mongolia, Nigeria, Qatar, the Syr- ian Arab Republic, the Dem. Rep. of the Congo, Somalia, Sudan, Chad, Togo and Yemen, the band 12.5–12.75 GHz is also allo- cated to the fixed and mobile, except aero- nautical mobile, services on a primary basis.
5.495 Additional allocation: In Bosnia and Herzegovina, Croatia, France, Greece, Liech- tenstein, Monaco, Uganda, Portugal, Roma- nia, Serbia and Montenegro, Slovenia, Swit- zerland, Tanzania and Tunisia, the band 12.5– 12.75 GHz is also allocated to the fixed and mobile, except aeronautical mobile, services on a secondary basis.
5.496 Additional allocation: in Austria, Azerbaijan, Kyrgyzstan and Turkmenistan, the band 12.5–12.75 GHz is also allocated to the fixed service and the mobile, except aero- nautical mobile, service on a primary basis. However, stations in these services shall not cause harmful interference to fixed-satellite service earth stations of countries in Region 1 other than those listed in this footnote. Co- ordination of these earth stations is not re- quired with stations of the fixed and mobile services of the countries listed in this foot- note. The power flux-density limit at the Earth’s surface given in Table 21–4 of Article 21, for the fixed-satellite service shall apply on the territory of the countries listed in this footnote.
5.497 The use of the band 13.25–13.4 GHz by the aeronautical radionavigation service is limited to Doppler navigation aids.
5.498A The Earth exploration-satellite (active) and space research (active) services operating in the band 13.25–13.4 GHz shall not cause harmful interference to, or constrain
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the use and development of, the aeronautical radionavigation service.
5.499 Additional allocation: in Bangladesh, India and Pakistan, the band 13.25–14 GHz is also allocated to the fixed service on a pri- mary basis.
5.500 Additional allocation: In Algeria, An- gola, Saudi Arabia, Bahrain, Brunei Darussalam, Cameroon, Egypt, the United Arab Emirates, Gabon, Indonesia, Iran (Is- lamic Republic of), Iraq, Israel, Jordan, Ku- wait, Lebanon, Madagascar, Malaysia, Mali, Malta, Morocco, Mauritania, Nigeria, Paki- stan, Qatar, the Syrian Arab Republic, Singapore, Sudan, Chad and Tunisia, the band 13.4–14 GHz is also allocated to the fixed and mobile services on a primary basis.
5.501 Additional allocation: In Azerbaijan, Hungary, Japan, Mongolia, Kyrgyzstan, Ro- mania, the United Kingdom and Turkmenistan, the band 13.4–14 GHz is also allocated to the radionavigation service on a primary basis.
5.501A The allocation of the band 13.4– 13.75 GHz to the space research service on a primary basis is limited to active spaceborne sensors. Other uses of the band by the space research service are on a secondary basis.
5.501B In the band 13.4–13.75 GHz, the Earth exploration-satellite (active) and space research (active) services shall not cause harmful interference to, or constrain the use and development of, the radio- location service.
5.502 In the band 13.75–14 GHz, an earth station of a geostationary fixed-satellite service network shall have a minimum an- tenna diameter of 1.2 m and an earth station of a non-geostationary fixed-satellite service system shall have a minimum antenna di- ameter of 4.5 m. In addition, the e.i.r.p., averaged over one second, radiated by a sta- tion in the radiolocation or radionavigation services shall not exceed 59 dBW for ele- vation angles above 2° and 65 dBW at lower angles. Before an administration brings into use an earth station in a geostationary-sat- ellite network in the fixed-satellite service in this band with an antenna size smaller than 4.5 m, it shall ensure that the power flux-density produced by this earth station does not exceed:
—¥115 dB(W/(m2 · 10 MHz)) for more than 1% of the time produced at 36 m above sea level at the low water mark, as officially recognized by the coastal State;
—¥115 dB(W/(m2 · 10 MHz)) for more than 1% of the time produced 3 m above ground at the border of the territory of an adminis- tration deploying or planning to deploy land mobile radars in this band, unless prior agreement has been obtained.
For earth stations within the fixed-sat- ellite service having an antenna diameter greater than or equal to 4.5 m, the e.i.r.p. of
any emission should be at least 68 dBW and should not exceed 85 dBW.
5.503 In the band 13.75–14 GHz, geo- stationary space stations in the space re- search service for which information for ad- vance publication has been received by the Bureau prior to 31 January 1992 shall operate on an equal basis with stations in the fixed- satellite service; after that date, new geo- stationary space stations in the space re- search service will operate on a secondary basis. Until those geostationary space sta- tions in the space research service for which information for advance publication has been received by the Bureau prior to 31 Janu- ary 1992 cease to operate in this band: —In the band 13.77–13.78 GHz, the e.i.r.p. den-
sity of emissions from any earth station in the fixed-satellite service operating with a space station in geostationary-satellite orbit shall not exceed: (i) 4.7D + 28 dB(W/40 kHz), where D is the
fixed-satellite service earth station antenna diameter (m) for antenna diameters equal to or greater than 1.2 m and less than 4.5 m;
(ii) 49.2 + 20 log(D/4.5) dB(W/40 kHz), where D is the fixed-satellite service earth station antenna diameter (m) for antenna diameters equal to or greater than 4.5 m and less than 31.9 m;
(iii) 66.2 dB(W/40 kHz) for any fixed-sat- ellite service earth station for antenna diam- eters (m) equal to or greater than 31.9 m;
(iv) 56.2 dB(W/4 kHz) for narrow-band (less than 40 kHz of necessary bandwidth) fixed- satellite service earth station emissions from any fixed-satellite service earth station having an antenna diameter of 4.5 m or greater; —The e.i.r.p. density of emissions from any
earth station in the fixed-satellite service operating with a space station in non-geo- stationary-satellite orbit shall not exceed 51 dBW in the 6 MHz band from 13.772 to 13.778 GHz. Automatic power control may be used to
increase the e.i.r.p. density in these fre- quency ranges to compensate for rain at- tenuation, to the extent that the power flux- density at the fixed-satellite service space station does not exceed the value resulting from use by an earth station of an e.i.r.p. meeting the above limits in clear-sky condi- tions.
5.504 The use of the band 14–14.3 GHz by the radionavigation service shall be such as to provide sufficient protection to space sta- tions of the fixed-satellite service.
5.504A In the band 14–14.5 GHz, aircraft earth stations in the secondary aeronautical mobile-satellite service may also commu- nicate with space stations in the fixed-sat- ellite service. The provisions of Nos. 5.29, 5.30 and 5.31 apply.
5.504B Aircraft earth stations operating in the aeronautical mobile-satellite service
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in the band 14–14.5 GHz shall comply with the provisions of Annex 1, Part C of Rec- ommendation ITU-R M.1643, with respect to any radio astronomy station performing ob- servations in the 14.47–14.5 GHz band located on the territory of Spain, France, India, Italy, the United Kingdom and South Africa.
5.504C In the band 14–14.25 GHz, the power flux-density produced on the territory of the countries of Saudi Arabia, Botswana, C‘‘te d’Ivoire, Egypt, Guinea, India, Iran (Islamic Republic of), Kuwait, Lesotho, Nigeria, Oman, the Syrian Arab Republic and Tunisia by any aircraft earth station in the aero- nautical mobile-satellite service shall not exceed the limits given in Annex 1, Part B of Recommendation ITU–R M.1643, unless oth- erwise specifically agreed by the affected ad- ministration(s). The provisions of this foot- note in no way derogate the obligations of the aeronautical mobile-satellite service to operate as a secondary service in accordance with No. 5.29.
5.505 Additional allocation: In Algeria, An- gola, Saudi Arabia, Bahrain, Bangladesh, Botswana, Brunei Darussalam, Cameroon, China, Congo (Rep. of the), Korea (Rep. of), Egypt, the United Arab Emirates, Gabon, Guatemala, Guinea, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Japan, Jordan, Kuwait, Lesotho, Lebanon, Malay- sia, Mali, Morocco, Mauritania, Oman, Paki- stan, the Philippines, Qatar, the Syrian Arab Republic, the Dem. People’s Rep. of Korea, Singapore, Somalia, Sudan, Swaziland, Tan- zania, Chad and Yemen, the band 14–14.3 GHz is also allocated to the fixed service on a pri- mary basis.
5.506 The band 14–14.5 GHz may be used, within the fixed-satellite service (Earth-to- space), for feeder links for the broadcasting- satellite service, subject to coordination with other networks in the fixed-satellite service. Such use of feeder links is reserved for countries outside Europe.
5.506A In the band 14–14.5 GHz, ship earth stations with an e.i.r.p. greater than 21 dBW shall operate under the same conditions as earth stations located on board vessels, as provided in Resolution 902 (WRC–03). This footnote shall not apply to ship earth sta- tions for which the complete Appendix 4 in- formation has been received by the Bureau prior to 5 July 2003.
5.506B Earth stations located on board vessels communicating with space stations in the fixed-satellite service may operate in the frequency band 14–14.5 GHz without the need for prior agreement from Cyprus, Greece and Malta, within the minimum dis- tance given in Resolution 902 (WRC–03) from these countries.
5.508 Additional allocation: In Germany, Bosnia and Herzegovina, France, Italy, Liby- an Arab Jamahiriya, The Former Yugoslav Rep. of Macedonia, the United Kingdom, Ser- bia and Montenegro and Slovenia, the band
14.25–14.3 GHz is also allocated to the fixed service on a primary basis.
5.508A In the band 14.25–14.3 GHz, the power flux-density produced on the territory of the countries of Saudi Arabia, Botswana, China, Côte d’Ivoire, Egypt, France, Guinea, India, Iran (Islamic Republic of), Italy, Ku- wait, Lesotho, Nigeria, Oman, the Syrian Arab Republic, the United Kingdom and Tu- nisia by any aircraft earth station in the aeronautical mobile-satellite service shall not exceed the limits given in Annex 1, Part B of Recommendation ITU–R M.1643, unless otherwise specifically agreed by the affected administration(s). The provisions of this footnote in no way derogate the obligations of the aeronautical mobile-satellite service to operate as a secondary service in accord- ance with No. 5.29.
5.509 Additional allocation: in Japan the band 14.25–14.3 GHz is also allocated to the mobile, except aeronautical mobile, service on a primary basis.
5.509A In the band 14.3–14.5 GHz, the power flux-density produced on the territory of the countries of Saudi Arabia, Botswana, Cameroon, China, Côte d’Ivoire, Egypt, France, Gabon, Guinea, India, Iran (Islamic Republic of), Italy, Kuwait, Lesotho, Mo- rocco, Nigeria, Oman, the Syrian Arab Re- public, the United Kingdom, Sri Lanka, Tu- nisia and Viet Nam by any aircraft earth station in the aeronautical mobile-satellite service shall not exceed the limits given in Annex 1, Part B of Recommendation ITU–R M.1643, unless otherwise specifically agreed by the affected administration(s). The provi- sions of this footnote in no way derogate the obligations of the aeronautical mobile-sat- ellite service to operate as a secondary serv- ice in accordance with No. 5.29.
5.510 The use of the band 14.5–14.8 GHz by the fixed-satellite service (Earth-to-space) is limited to feeder links for the broadcasting- satellite service. This use is reserved for countries outside Europe.
5.511 Additional allocation: in Saudi Ara- bia, Bahrain, Bosnia and Herzegovina, Cam- eroon, Egypt, the United Arab Emirates, Guinea, Iran (Islamic Republic of), Iraq, Israel, Kuwait, Lebanon, Libya, Pakistan, Qatar, Syria, Slovenia, Somalia and Yugo- slavia, the band 15.35–15.4 GHz is also allo- cated to the fixed and mobile services on a secondary basis.
5.511A The band 15.43–15.63 GHz is also al- located to the fixed-satellite service (space- to-Earth) on a primary basis. Use of the band 15.43–15.63 GHz by the fixed-satellite service (space-to-Earth and Earth-to-space) is lim- ited to feeder links of non-geostationary sys- tems in the mobile-satellite service, subject to coordination under No. 9.11A. The use of the frequency band 15.43–15.63 GHz by the fixed-satellite service (space-to-Earth) is limited to feeder links of non-geostationary systems in the mobile-satellite service for
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which advance publication information has been received by the Bureau prior to 2 June 2000. In the space-to-Earth direction, the minimum earth station elevation angle above and gain towards the local horizontal plane and the minimum coordination dis- tances to protect an earth station from harmful interference shall be in accordance with Recommendation ITU-R S.1341. In order to protect the radio astronomy service in the band 15.35–15.4 GHz, the aggregate power flux-density radiated in the 15.35–15.4 GHz band by all the space stations within any feeder-link of a non-geostationary system in the mobile-satellite service (space-to-Earth) operating in the 15.43–15.63 GHz band shall not exceed the level of -156 dB(W/m2) in a 50 MHz bandwidth, into any radio astronomy observatory site for more than 2% of the time.
5.511C Stations operating in the aero- nautical radionavigation service shall limit the effective e.i.r.p. in accordance with Rec- ommendation ITU-R S.1340. The minimum coordination distance required to protect the aeronautical radionavigation stations (No. 4.10 applies) from harmful interference from feeder-link earth stations and the maximum e.i.r.p. transmitted towards the local hori- zontal plane by a feeder-link earth station shall be in accordance with Recommendation ITU-R S.1340.
5.511D Fixed-satellite service systems for which complete information for advance publication has been received by the Bureau by 21 November 1997 may operate in the bands 15.4–15.43 GHz and 15.63–15.7 GHz in the space-to-Earth direction and 15.63–15.65 GHz in the Earth-to-space direction. In the bands 15.4–15.43 GHz and 15.65–15.7 GHz, emissions from a non-geostationary space station shall not exceed the power flux-density limits at the Earth’s surface of ¥146 dB(W/(m2 · MHz)) for any angle of arrival. In the band 15.63– 15.65 GHz, where an administration plans emissions from a non-geostationary space station that exceed ¥146 dB(W/(m2 · MHz)) for any angle of arrival, it shall coordinate under No. 9.11A with the affected administra- tions. Stations in the fixed-satellite service operating in the band 15.63–15.65 GHz in the Earth-to-space direction shall not cause harmful interference to stations in the aero- nautical radionavigation service (No. 4.10 ap- plies).
5.512 Additional allocation: In Algeria, An- gola, Saudi Arabia, Austria, Bahrain, Ban- gladesh, Bosnia and Herzegovina, Brunei Darussalam, Cameroon, Congo (Rep. of the), Costa Rica, Egypt, El Salvador, the United Arab Emirates, Eritrea, Finland, Guatemala, India, Indonesia, Iran (Islamic Republic of), the Libyan Arab Jamahiriya, Jordan, Kenya, Kuwait, Malaysia, Mali, Morocco, Mauri- tania, Mozambique, Nepal, Nicaragua, Oman, Pakistan, Qatar, Serbia and Montenegro, Singapore, Slovenia, Somalia, Sudan, Swazi-
land, Tanzania, Chad, Togo and Yemen, the band 15.7–17.3 GHz is also allocated to the fixed and mobile services on a primary basis.
5.513 Additional allocation: in Israel, the band 15.7–17.3 GHz is also allocated to the fixed and mobile services on a primary basis. These services shall not claim protection from or cause harmful interference to serv- ices operating in accordance with the Table in countries other than those included in No. 5.512.
5.513A Spaceborne active sensors oper- ating in the band 17.2–17.3 GHz shall not cause harmful interference to, or constrain the development of, the radiolocation and other services allocated on a primary basis.
5.514 Additional allocation: In Algeria, An- gola, Saudi Arabia, Austria, Bahrain, Ban- gladesh, Bosnia and Herzegovina, Cameroon, Costa Rica, El Salvador, the United Arab Emirates, Finland, Guatemala, India, Iran (Islamic Republic of), Iraq, Israel, Italy, the Libyan Arab Jamahiriya, Japan, Jordan, Ku- wait, Lithuania, Nepal, Nicaragua, Nigeria, Oman, Uzbekistan, Pakistan, Qatar, Kyrgyzstan, Serbia and Montenegro, Slo- venia and Sudan, the band 17.3–17.7 GHz is also allocated to the fixed and mobile serv- ices on a secondary basis. The power limits given in Nos. 21.3 and 21.5 shall apply.
5.515 In the band 17.3–17.8 GHz, sharing be- tween the fixed-satellite service (Earth-to- space) and the broadcasting-satellite service shall also be in accordance with the provi- sions of § 1 of Annex 4 of Appendix 30A.
5.516 The use of the band 17.3–18.1 GHz by geostationary-satellite systems in the fixed- satellite service (Earth-to-space) is limited to feeder links for the broadcasting-satellite service. The use of the band 17.3–17.8 GHz in Region 2 by systems in the fixed-satellite service (Earth-to-space) is limited to geo- stationary satellites. For the use of the band 17.3–17.8 GHz in Region 2 by feeder links for the broadcasting-satellite service in the band 12.2–12.7 GHz, see Article 11. The use of the bands 17.3–18.1 GHz (Earth-to-space) in Regions 1 and 3 and 17.8–18.1 GHz (Earth-to- space) in Region 2 by non-geostationary-sat- ellite systems in the fixed-satellite service is subject to application of the provisions of No. 9.12 for coordination with other non-geo- stationary-satellite systems in the fixed-sat- ellite service. Non-geostationary-satellite systems in the fixed-satellite service shall not claim protection from geostationary-sat- ellite networks in the fixed-satellite service operating in accordance with the Radio Reg- ulations, irrespective of the dates of receipt by the Bureau of the complete coordination or notification information, as appropriate, for the non-geostationary-satellite systems in the fixed-satellite service and of the com- plete coordination or notification informa- tion, as appropriate, for the geostationary- satellite networks, and No. 5.43A does not apply. Non-geostationary-satellite systems
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in the fixed-satellite service in the above bands shall be operated in such a way that any unacceptable interference that may occur during their operation shall be rapidly eliminated.
5.516A In the band 17.3–17.7 GHz, earth sta- tions of the fixed-satellite service (space-to- Earth) in Region 1 shall not claim protection from the broadcasting-satellite service feed-
er-link earth stations operating under Ap- pendix 30A, nor put any limitations or re- strictions on the locations of the broad- casting-satellite service feeder-link earth stations anywhere within the service area of the feeder link.
5.516B The following bands are identified for use by high-density applications in the fixed-satellite service:
17.3–17.7 GHz ............................................................... (space-to-Earth) in Region 1, 18.3–19.3 GHz ............................................................... (space-to-Earth) in Region 2, 19.7–20.2 GHz ............................................................... (space-to-Earth) in all Regions, 39.5–40 GHz ................................................................. (space-to-Earth) in Region 1, 40–40.5 GHz ................................................................. (space-to-Earth) in all Regions, 40.5–42 GHz ................................................................. (space-to-Earth) in Region 2, 47.5–47.9 GHz ............................................................... (space-to-Earth) in Region 1, 48.2–48.54 GHz ............................................................. (space-to-Earth) in Region 1, 49.44–50.2 GHz ............................................................. (space-to-Earth) in Region 1, and 27.5–27.82 GHz ............................................................. (Earth-to-space) in Region 1, 28.35–28.45 GHz ............................................................ (Earth-to-space) in Region 2, 28.45–28.94 GHz ............................................................ (Earth-to-space) in all Regions, 28.94–29.1 GHz ............................................................. (Earth-to-space) in Region 2 and 3, 29.25–29.46 GHz ............................................................ (Earth-to-space) in Region 2, 29.46–30 GHz ................................................................ (Earth-to-space) in all Regions, 48.2–50.2 GHz ............................................................... (Earth-to-space) in Region 2.
This identification does not preclude the use of these bands by other fixed-satellite service applications or by other services to which these bands are allocated on a co-pri- mary basis and does not establish priority in these Radio Regulations among users of the bands. Administrations should take this into account when considering regulatory provi- sions in relation to these bands. See Resolu- tion 143 (WRC–03).
5.517 In Region 2, the allocation to the broadcasting-satellite service in the band 17.3–17.8 GHz shall come into effect on 1 April 2007. After that date, use of the fixed-sat- ellite (space-to-Earth) service in the band 17.7–17.8 GHz shall not claim protection from and shall not cause harmful interference to operating systems in the broadcasting-sat- ellite service.
5.518 Different category of service: in Region 2, the allocation of the band 17.7–17.8 GHz to the mobile service is on a primary basis until 31 March 2007.
5.519 Additional allocation: the band 18.1– 18.3 GHz is also allocated to the meteorolog- ical-satellite service (space-to-Earth) on a primary basis. Its use is limited to geo- stationary satellites and shall be in accord- ance with the provisions of Article 21, Table 21–4.
5.520 The use of the band 18.1–18.4 GHz by the fixed-satellite service (Earth-to-space) is limited to feeder links of geostationary-sat- ellite systems in the broadcasting-satellite service.
5.521 Alternative allocation: In Germany, Denmark, the United Arab Emirates and Greece, the band 18.1–18.4 GHz is allocated to the fixed, fixed-satellite (space-to-Earth) and
mobile services on a primary basis (see No. 5.33). The provisions of No. 5.519 also apply.
5.522A The emissions of the fixed service and the fixed-satellite service in the band 18.6–18.8 GHz are limited to the values given in Nos. 21.5A and 21.16.2, respectively.
5.522B The use of the band 18.6–18.8 GHz by the fixed-satellite service is limited to geostationary systems and systems with an orbit of apogee greater than 20 000 km.
5.522C In the band 18.6–18.8 GHz, in Alge- ria, Saudi Arabia, Bahrain, Egypt, the United Arab Emirates, Jordan, Lebanon, Libya, Morocco, Oman, Qatar, Syria, Tunisia and Yemen, fixed-service systems in oper- ation at the date of entry into force of the Final Acts of WRC–2000 are not subject to the limits of No. 21.5A.
5.523A The use of the bands 18.8–19.3 GHz (space-to-Earth) and 28.6–29.1 GHz (Earth-to- space) by geostationary and non-geo- stationary fixed-satellite service networks is subject to the application of the provisions of No. 9.11A and No. 22.2 does not apply. Ad- ministrations having geostationary-satellite networks under coordination prior to 18 No- vember 1995 shall cooperate to the maximum extent possible to coordinate pursuant to No. 9.11A with non-geostationary-satellite net- works for which notification information has been received by the Bureau prior to that date, with a view to reaching results accept- able to all the parties concerned. Non-geo- stationary-satellite networks shall not cause unacceptable interference to geostationary fixed-satellite service networks for which complete Appendix 4 notification informa- tion is considered as having been received by the Bureau prior to 18 November 1995.
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3 Note by the Secretariat: This Resolution was revised by WRC–03.
5.523B The use of the band 19.3–19.6 GHz (Earth-to-space) by the fixed-satellite serv- ice is limited to feeder links for non-geo- stationary-satellite systems in the mobile- satellite service. Such use is subject to the application of the provisions of No. 9.11A, and No. 22.2 does not apply.
5.523C No. 22.2 shall continue to apply in the bands 19.3–19.6 GHz and 29.1–29.4 GHz, be- tween feeder links of non-geostationary mo- bile-satellite service networks and those fixed-satellite service networks for which complete Appendix 4 coordination informa- tion, or notification information, is consid- ered as having been received by the Bureau prior to 18 November 1995.
5.523D The use of the band 19.3–19.7 GHz (space-to-Earth) by geostationary fixed-sat- ellite service systems and by feeder links for non-geostationary-satellite systems in the mobile-satellite service is subject to the ap- plication of the provisions of No. 9.11A, but not subject to the provisions of No. 22.2. The use of this band for other non-geostationary fixed-satellite service systems, or for the cases indicated in Nos. 5.523C and 5.523E, is not subject to the provisions of No. 9.11A and shall continue to be subject to Articles 9 (ex- cept No. 9.11A) and 11 procedures, and to the provisions of No. 22.2.
5.523E No. 22.2 shall continue to apply in the bands 19.6–19.7 GHz and 29.4–29.5 GHz, be- tween feeder links of non-geostationary mo- bile-satellite service networks and those fixed-satellite service networks for which complete Appendix 4 coordination informa- tion, or notification information, is consid- ered as having been received by the Bureau by 21 November 1997.
5.524 Additional allocation: in Afghanistan, Algeria, Angola, Saudi Arabia, Bahrain, Ban- gladesh, Brunei Darussalam, Cameroon, China, the Congo, Costa Rica, Egypt, the United Arab Emirates, Gabon, Guatemala, Guinea, India, Iran (Islamic Republic of), Iraq, Israel, Japan, Jordan, Kuwait, Leb- anon, Malaysia, Mali, Morocco, Mauritania, Nepal, Nigeria, Oman, Pakistan, the Phil- ippines, Qatar, the Dem. Rep. of the Congo, Syria, the Dem. People’s Rep. of Korea, Singapore, Somalia, Sudan, Tanzania, Chad, Togo and Tunisia, the band 19.7–21.2 GHz is also allocated to the fixed and mobile serv- ices on a primary basis. This additional use shall not impose any limitation on the power flux-density of space stations in the fixed- satellite service in the band 19.7–21.2 GHz and of space stations in the mobile-satellite serv- ice in the band 19.7–20.2 GHz where the allo- cation to the mobile-satellite service is on a primary basis in the latter band.
5.525 In order to facilitate interregional coordination between networks in the mo- bile-satellite and fixed-satellite services, carriers in the mobile-satellite service that are most susceptible to interference shall, to the extent practicable, be located in the
higher parts of the bands 19.7–20.2 GHz and 29.5–30 GHz.
5.526 In the bands 19.7–20.2 GHz and 29.5–30 GHz in Region 2, and in the bands 20.1–20.2 GHz and 29.9–30 GHz in Regions 1 and 3, net- works which are both in the fixed-satellite service and in the mobile-satellite service may include links between earth stations at specified or unspecified points or while in motion, through one or more satellites for point-to-point and point-to-multipoint com- munications.
5.527 In the bands 19.7–20.2 GHz and 29.5–30 GHz, the provisions of No. 4.10 do not apply with respect to the mobile-satellite service.
5.528 The allocation to the mobile-sat- ellite service is intended for use by networks which use narrow spot-beam antennas and other advanced technology at the space sta- tions. Administrations operating systems in the mobile-satellite service in the band 19.7– 20.1 GHz in Region 2 and in the band 20.1–20.2 GHz shall take all practicable steps to en- sure the continued availability of these bands for administrations operating fixed and mobile systems in accordance with the provisions of No. 5.524.
5.529 The use of the bands 19.7–20.1 GHz and 29.5–29.9 GHz by the mobile-satellite service in Region 2 is limited to satellite networks which are both in the fixed-sat- ellite service and in the mobile-satellite service as described in No. 5.526.
5.530 In Regions 1 and 3, the allocation to the broadcasting-satellite service in the band 21.4–22 GHz shall come into effect on 1 April 2007. The use of this band by the broad- casting-satellite service after that date and on an interim basis prior to that date is sub- ject to the provisions of Resolution 525 (WARC–92) 3
5.531 Additional allocation: in Japan, the band 21.4–22 GHz is also allocated to the broadcasting service on a primary basis.
5.532 The use of the band 22.21–22.5 GHz by the Earth exploration-satellite (passive) and space research (passive) services shall not impose constraints upon the fixed and mo- bile, except aeronautical mobile, services.
5.533 The inter-satellite service shall not claim protection from harmful interference from airport surface detection equipment stations of the radionavigation service.
5.535 In the band 24.75–25.25 GHz, feeder links to stations of the broadcasting-sat- ellite service shall have priority over other uses in the fixed-satellite service (Earth-to- space). Such other uses shall protect and shall not claim protection from existing and future operating feeder-link networks to such broadcasting satellite stations.
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5.535A The use of the band 29.1–29.5 GHz (Earth-to-space) by the fixed-satellite serv- ice is limited to geostationary-satellite sys- tems and feeder links to non-geostationary- satellite systems in the mobile-satellite service. Such use is subject to the applica- tion of the provisions of No. 9.11A, but not subject to the provisions of No. 22.2, except as indicated in Nos. 5.523C and 5.523E where such use is not subject to the provisions of No. 9.11A and shall continue to be subject to Articles 9 (except No. 9.11A) and 11 proce- dures, and to the provisions of No. 22.2.
5.536 Use of the 25.25–27.5 GHz band by the inter-satellite service is limited to space re- search and Earth exploration-satellite appli- cations, and also transmissions of data origi- nating from industrial and medical activities in space.
5.536A Administrations operating earth stations in the Earth exploration-satellite service or the space research service shall not claim protection from stations in the fixed and mobile services operated by other administrations. In addition, earth stations in the Earth exploration-satellite service or in the space research service should be oper- ated taking into account Recommendations ITU–R SA.1278 and ITU–R SA.1625, respec- tively.
5.536B In Germany, Saudi Arabia, Austria, Belgium, Brazil, Bulgaria, China, Korea (Rep. of), Denmark, Egypt, United Arab Emirates, Spain, Estonia, Finland, France, Hungary, India, Iran (Islamic Republic of), Ireland, Israel, Italy, Jordan, Kenya, Kuwait, Lebanon, Libya, Liechtenstein, Lithuania, Moldova, Norway, Oman, Uganda, Pakistan, the Philippines, Poland, Portugal, Syria, Slovakia, the Czech Rep., Romania, the United Kingdom, Singapore, Sweden, Swit- zerland, Tanzania, Turkey, Viet Nam and Zimbabwe, earth stations operating in the Earth exploration-satellite service in the band 25.5–27 GHz shall not claim protection from, or constrain the use and deployment of, stations of the fixed and mobile services.
5.536C In Algeria, Saudi Arabia, Bahrain, Botswana, Brazil, Cameroon, Comoros, Cuba, Djibouti, Egypt, United Arab Emirates, Es- tonia, Finland, Iran (Islamic Republic of), Israel, Jordan, Kenya, Kuwait, Lithuania, Malaysia, Morocco, Nigeria, Oman, Qatar, Syrian Arab Republic, Somalia, Sudan, Tan- zania, Tunisia, Uruguay, Zambia and Zimbabwe, earth stations operating in the space research service in the band 25.5–27 GHz shall not claim protection from, or con- strain the use and deployment of, stations of the fixed and mobile services.
5.537 Space services using non-geo- stationary satellites operating in the inter- satellite service in the band 27–27.5 GHz are exempt from the provisions of No. 22.2.
5.537A In Bhutan, Korea (Rep. of), the Russian Federation, Indonesia, Iran (Islamic Republic of), Japan, Kazakhstan, Lesotho,
Malaysia, Maldives, Mongolia, Myanmar, Uzbekistan, Pakistan, Philippines, Kyrgyzstan, the Dem. People’s Rep. of Korea, Sri Lanka, Thailand and Viet Nam, the allocation to the fixed service in the band 27.5–28.35 GHz may also be used by high altitude platform stations (HAPS). The use of HAPS within the band 27.5–28.35 GHz is limited, within the territory of the countries listed above, to a single 300 MHz sub-band. Such use of 300 MHz of the fixed-service allo- cation by HAPS in the above countries is further limited to operation in the HAPS-to- ground direction and shall not cause harmful interference to, nor claim protection from, other types of fixed-service systems or other co-primary services. Furthermore, the devel- opment of these other services shall not be constrained by HAPS. See Resolution 145 (WRC–03).
5.538 Additional allocation: The bands 27.500–27.501 GHz and 29.999–30.000 GHz are also allocated to the fixed-satellite service (space-to-Earth) on a primary basis for the beacon transmissions intended for up-link power control. Such space-to-Earth trans- missions shall not exceed an equivalent isotropically radiated power (e.i.r.p.) of +10 dBW in the direction of adjacent satellites on the geostationary-satellite orbit. In the band 27.500–27.501 GHz, such space-to-Earth transmissions shall not produce a power flux-density in excess of the values specified in Article 21, Table 21–4 on the Earth’s sur- face.
5.539 The band 27.5–30 GHz may be used by the fixed-satellite service (Earth-to-space) for the provision of feeder links for the broadcasting-satellite service.
5.540 Additional allocation: the band 27.501– 29.999 GHz is also allocated to the fixed-sat- ellite service (space-to-Earth) on a secondary basis for beacon transmissions intended for up-link power control.
5.541 In the band 28.5–30 GHz, the earth ex- ploration-satellite service is limited to the transfer of data between stations and not to the primary collection of information by means of active or passive sensors.
5.541A Feeder links of non-geostationary networks in the mobile-satellite service and geostationary networks in the fixed-satellite service operating in the band 29.1–29.5 GHz (Earth-to-space) shall employ uplink adapt- ive power control or other methods of fade compensation, such that the earth station transmissions shall be conducted at the power level required to meet the desired link performance while reducing the level of mu- tual interference between both networks. These methods shall apply to networks for which Appendix 4 coordination information is considered as having been received by the Bureau after 17 May 1996 and until they are changed by a future competent world radiocommunication conference. Adminis- trations submitting Appendix 4 information
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for coordination before this date are encour- aged to utilize these techniques to the extent practicable.
5.542 Additional allocation: in Algeria, Saudi Arabia, Bahrain, Bangladesh, Brunei Darussalam, Cameroon, China, Congo, Egypt, the United Arab Emirates, Eritrea, Ethiopia, Guinea, India, Iran (Islamic Repub- lic of), Iraq, Japan, Jordan, Kuwait, Leb- anon, Malaysia, Mali, Morocco, Mauritania, Nepal, Pakistan, the Philippines, Qatar, Syria, the Dem. People’s Rep. of Korea, So- malia, Sudan, Sri Lanka and Chad, the band 29.5–31 GHz is also allocated to the fixed and mobile services on a secondary basis. The power limits specified in Nos. 21.3 and 21.5 shall apply.
5.543 The band 29.95–30 GHz may be used for space-to-space links in the Earth explo- ration-satellite service for telemetry, track- ing, and control purposes, on a secondary basis.
5.543A In Bhutan, Korea (Rep. of), the Russian Federation, Indonesia, Iran (Islamic Republic of), Japan, Kazakhstan, Lesotho, Malaysia, Maldives, Mongolia, Myanmar, Uzbekistan, Pakistan, the Philippines, Kyrgyzstan, the Dem. People’s Rep. of Korea, Sri Lanka, Thailand and Viet Nam, the allocation to the fixed service in the band 31–31.3 GHz may also be used by sys- tems using high altitude platform stations (HAPS) in the ground-to-HAPS direction. The use of the band 31–31.3 GHz by systems using HAPS is limited to the territory of the countries listed above and shall not cause harmful interference to, nor claim protec- tion from, other types of fixed-service sys- tems, systems in the mobile service and sys- tems operated under No. 5.545. Furthermore, the development of these services shall not be constrained by HAPS. Systems using HAPS in the band 31–31.3 GHz shall not cause harmful interference to the radio astronomy service having a primary allocation in the band 31.3–31.8 GHz, taking into account the protection criterion as given in Rec- ommendation ITU–R RA.769. In order to en- sure the protection of satellite passive serv- ices, the level of unwanted power density into a HAPS ground station antenna in the band 31.3–31.8 GHz shall be limited to ¥106 dB(W/MHz) under clear-sky conditions, and may be increased up to ¥100 dB(W/MHz) under rainy conditions to take account of rain attenuation, provided the effective im- pact on the passive satellite does not exceed the impact under clear-sky conditions as given above. See Resolution 145 (WRC–03).
5.544 In the band 31–31.3 GHz the power flux-density limits specified in Article 21, Table 21–4 shall apply to the space research service.
5.545 Different category of service: In Arme- nia, Azerbaijan, Georgia, Mongolia, Kyrgyzstan, Tajikistan and Turkmenistan, the allocation of the band 31–31.3 GHz to the
space research service is on a primary basis (see No. 5.33).
5.546 Different category of service: In Saudi Arabia, Armenia, Azerbaijan, Belarus, Egypt, the United Arab Emirates, Spain, Es- tonia, the Russian Federation, Finland, Georgia, Hungary, Iran (Islamic Republic of), Israel, Jordan, Latvia, Lebanon, Moldova, Mongolia, Uzbekistan, Poland, the Syrian Arab Republic, Kyrgyzstan, Romania, the United Kingdom, South Africa, Tajikistan, Turkmenistan and Turkey, the allocation of the band 31.5–31.8 GHz to the fixed and mo- bile, except aeronautical mobile, services is on a primary basis (see No. 5.33).
5.547 The bands 31.8–33.4 GHz, 37–40 GHz, 40.5–43.5 GHz, 51.4–52.6 GHz, 55.78–59 GHz and 64–66 GHz are available for high-density ap- plications in the fixed service (see Resolu- tions 75 (WRC–2000) and 79 (WRC–2000)). Ad- ministrations should take this into account when considering regulatory provisions in relation to these bands. Because of the po- tential deployment of high-density applica- tions in the fixed-satellite service in the bands 39.5–40 GHz and 40.5–42 GHz (see No. 5.516B), administrations should further take into account potential constraints to high- density applications in the fixed service, as appropriate.
5.547A Administrations should take prac- tical measures to minimize the potential in- terference between stations in the fixed serv- ice and airborne stations in the radio- navigation service in the 31.8–33.4 GHz band, taking into account the operational needs of the airborne radar systems.
5.547B Alternative allocation: in the United States, the band 31.8–32 GHz is allocated to the radionavigation and space research (deep space) (space-to-Earth) services on a primary basis.
5.547C Alternative allocation: In the United States, the band 32–32.3 GHz is allocated to the radionavigation and space research (deep space) (space-to-Earth) services on a primary basis.
5.547D Alternative allocation: in the United States, the band 32.3–33 GHz is allocated to the inter-satellite and radionavigation serv- ices on a primary basis.
5.547E Alternative allocation: in the United States, the band 33–33.4 GHz is allocated to the radionavigation service on a primary basis.
5.548 In designing systems for the inter- satellite service in the band 32.3–33 GHz, for the radionavigation service in the band 32–33 GHz, and for the space research service (deep space) in the band 31.8–32.3 GHz, administra- tions shall take all necessary measures to prevent harmful interference between these services, bearing in mind the safety aspects of the radionavigation service (see Rec- ommendation 707).
5.549 Additional allocation: In Saudi Ara- bia, Bahrain, Bangladesh, Egypt, the United
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3 Note by the Secretariat: This Resolution was revised by WRC–03.
Arab Emirates, Gabon, Indonesia, Iran (Is- lamic Republic of), Iraq, Israel, the Libyan Arab Jamahiriya, Jordan, Kuwait, Lebanon, Malaysia, Mali, Malta, Morocco, Mauritania, Nepal, Nigeria, Oman, Pakistan, the Phil- ippines, Qatar, the Syrian Arab Republic, the Dem. Rep. of the Congo, Singapore, Somalia, Sudan, Sri Lanka, Togo, Tunisia and Yemen, the band 33.4–36 GHz is also allocated to the fixed and mobile services on a primary basis.
5.549A In the band 35.5–36.0 GHz, the mean power flux-density at the Earth’s surface, generated by any spaceborne sensor in the Earth exploration-satellite service (active) or space research service (active), for any angle greater than 0.8 ° from the beam centre shall not exceed ¥73.3 dB(W/m2) in this band.
5.550 Different category of service: In Arme- nia, Azerbaijan, Belarus, the Russian Federa- tion, Georgia, Mongolia, Uzbekistan, Kyrgyzstan, Tajikistan and Turkmenistan, the allocation of the band 34.7–35.2 GHz to the space research service is on a primary basis (see No. 5.33).
5.551F Different category of service: in Japan, the allocation of the band 41.5–42.5 GHz to the mobile service is on a primary basis (see No. 5.33).
5.551H The equivalent power flux-density (epfd) produced in the band 42.5–43.5 GHz by all space stations in any non-geostationary- satellite system in the fixed-satellite service (space-to-Earth), or in the broadcasting-sat- ellite service (space-to-Earth) operating in the 42–42.5 GHz band, shall not exceed the following values at the site of any radio as- tronomy station for more than 2% of the time:
¥230 dB(W/m2) in 1 GHz and ¥246 dB(W/m2) in any 500 kHz of the 42.5–43.5 GHz band at the site of any radio astronomy station reg- istered as a single-dish telescope; and
¥209 dB(W/m2) in any 500 kHz of the 42.5– 43.5 GHz band at the site of any radio astron- omy station registered as a very long base- line interferometry station.
These epfd values shall be evaluated using the methodology given in Recommendation ITU-R S.1586 and the reference antenna pat- tern and the maximum gain of an antenna in the radio astronomy service given in Rec- ommendation ITU-R RA.1631 and shall apply over the whole sky and for elevation angles higher than the minimum operating angle qmin of the radiotelescope (for which a default value of 5° should be adopted in the absence of notified information).
These values shall apply at any radio as- tronomy station that either:
—Was in operation prior to 5 July 2003 and has been notified to the Radiocommunication Bureau before 4 Jan- uary 2004; or
—Was notified before the date of receipt of the complete Appendix 4 information for coordination or notification, as appro-
priate, for the space station to which the limits apply.
Other radio astronomy stations notified after these dates may seek an agreement with administrations that have authorized the space stations. In Region 2, Resolution 743 (WRC–03) shall apply. The limits in this footnote may be exceeded at the site of a radio astronomy station of any country whose administration so agreed.
5.551I The power flux-density in the band 42.5–43.5 GHz produced by any geostationary space station in the fixed-satellite service (space-to-Earth), or the broadcasting-sat- ellite service (space-to-Earth) operating in the 42–42.5 GHz band, shall not exceed the following values at the site of any radio as- tronomy station: —137 dB(W/m2) in 1 GHz and ¥153 dB(W/m2)
in any 500 kHz of the 42.5–43.5 GHz band at the site of any radio astronomy station registered as a single-dish telescope; and
—116 dB(W/m2) in any 500 kHz of the 42.5–43.5 GHz band at the site of any radio astron- omy station registered as a very long base- line interferometry station. These values shall apply at the site of any
radio astronomy station that either:
—was in operation prior to 5 July 2003 and has been notified to the Bureau before 4 Jan- uary 2004; or —was notified before the date of receipt of
the complete Appendix 4 information for coordination or notification, as appro- priate, for the space station to which the limits apply.
Other radio astronomy stations notified after these dates may seek an agreement with administrations that have authorized the space stations. In Region 2, Resolution 743 (WRC–03) shall apply. The limits in this footnote may be exceeded at the site of a radio astronomy station of any country whose administration so agreed.
5.552 The allocation of the spectrum for the fixed-satellite service in the bands 42.5– 43.5 GHz and 47.2–50.2 GHz for Earth-to-space transmission is greater than that in the band 37.5–39.5 GHz for space-to-Earth transmission in order to accommodate feeder links to broadcasting satellites. Administrations are urged to take all practicable steps to reserve the band 47.2–49.2 GHz for feeder links for the broadcasting-satellite service operating in the band 40.5–42.5 GHz.
5.552A The allocation to the fixed service in the bands 47.2–47.5 GHz and 47.9–48.2 GHz is designated for use by high altitude platform stations. The use of the bands 47.2–47.5 GHz and 47.9–48.2 GHz is subject to the provisions of Resolution 122 (WRC–97) 3.
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5.553 In the bands 43.5–47 GHz and 66–71 GHz, stations in the land mobile service may be operated subject to not causing harmful interference to the space radiocommunication services to which these bands are allocated (see No. 5.43).
5.554 In the bands 43.5–47 GHz, 66–71 GHz, 95–100 GHz, 123–130 GHz, 191.8–200 GHz and 252–265 GHz, satellite links connecting land stations at specified fixed points are also au- thorized when used in conjunction with the mobile-satellite service or the radio- navigation-satellite service.
5.554A The use of the bands 47.5–47.9 GHz, 48.2–48.54 GHz and 49.44–50.2 GHz by the fixed- satellite service (space-to-Earth) is limited to geostationary satellites.
5.555 Additional allocation: the band 48.94– 49.04 GHz is also allocated to the radio as- tronomy service on a primary basis.
5.555B The power flux-density in the band 48.94–49.04 GHz produced by any geo- stationary space station in the fixed-sat- ellite service (space-to-Earth) operating in the bands 48.2–48.54 GHz and 49.44–50.2 GHz shall not exceed ¥151.8 dB (W/m2) in any 500 kHz band at the site of any radio astronomy station.
5.556 In the bands 51.4–54.25 GHz, 58.2–59 GHz and 64–65 GHz, radio astronomy observa- tions may be carried out under national ar- rangements.
5.556A Use of the bands 54.25–56.9 GHz, 57– 58.2 GHz and 59–59.3 GHz by the inter-sat- ellite service is limited to satellites in the geostationary-satellite orbit. The single- entry power flux-density at all altitudes from 0 km to 1000 km above the Earth’s sur- face produced by a station in the inter-sat- ellite service, for all conditions and for all methods of modulation, shall not exceed ¥147 dB(W/(m2 · 100 MHz)) for all angles of arrival.
5.556B Additional allocation: in Japan, the band 54.25–55.78 GHz is also allocated to the mobile service on a primary basis for low- density use.
5.557 Additional allocation: in Japan, the band 55.78–58.2 GHz is also allocated to the radiolocation service on a primary basis.
5.557A In the band 55.78–56.26 GHz, in order to protect stations in the Earth explo- ration-satellite service (passive), the max- imum power density delivered by a trans- mitter to the antenna of a fixed service sta- tion is limited to ¥26 dB(W/MHz).
5.558 In the bands 55.78–58.2 GHz, 59–64 GHz, 66–71 GHz, 122.25–123 GHz, 130–134 GHz, 167–174.8 GHz and 191.8–200 GHz, stations in the aeronautical mobile service may be oper- ated subject to not causing harmful inter- ference to the inter-satellite service (see No. 5.43).
5.558A Use of the band 56.9–57 GHz by inter-satellite systems is limited to links be- tween satellites in geostationary-satellite orbit and to transmissions from non-geo-
stationary satellites in high-Earth orbit to those in low-Earth orbit. For links between satellites in the geostationary-satellite orbit, the single entry power flux-density at all altitudes from 0 km to 1000 km above the Earth’s surface, for all conditions and for all methods of modulation, shall not exceed ¥147 dB(W/(m2 · 100 MHz)) for all angles of arrival.
5.559 In the band 59–64 GHz, airborne ra- dars in the radiolocation service may be op- erated subject to not causing harmful inter- ference to the inter-satellite service (see No. 5.43).
5.559A The band 75.5–76 GHz is also allo- cated to the amateur and amateur-satellite services on a primary basis until the year 2006.
5.560 In the band 78–79 GHz radars located on space stations may be operated on a pri- mary basis in the Earth exploration-satellite service and in the space research service.
5.561 In the band 74–76 GHz, stations in the fixed, mobile and broadcasting services shall not cause harmful interference to sta- tions of the fixed-satellite service or stations of the broadcasting-satellite service oper- ating in accordance with the decisions of the appropriate frequency assignment planning conference for the broadcasting-satellite service.
5.561A The 81–81.5 GHz band is also allo- cated to the amateur and amateur-satellite services on a secondary basis.
5.561B In Japan, use of the band 84–86 GHz, by the fixed-satellite service (Earth-to- space) is limited to feeder links in the broad- casting-satellite service using the geo- stationary-satellite orbit.
5.562 The use of the band 94–94.1 GHz by the Earth exploration-satellite (active) and space research (active) services is limited to spaceborne cloud radars.
5.562A In the bands 94–94.1 GHz and 130–134 GHz, transmissions from space stations of the Earth exploration-satellite service (ac- tive) that are directed into the main beam of a radio astronomy antenna have the poten- tial to damage some radio astronomy receiv- ers. Space agencies operating the transmit- ters and the radio astronomy stations con- cerned should mutually plan their operations so as to avoid such occurrences to the max- imum extent possible.
5.562B In the bands 105–109.5 GHz, 111.8– 114.25 GHz, 155.5–158.5 GHz and 217–226 GHz, the use of this allocation is limited to space- based radio astronomy only.
5.562C Use of the band 116–122.25 GHz by the inter-satellite service is limited to sat- ellites in the geostationary-satellite orbit. The single-entry power flux-density produced by a station in the inter-satellite service, for all conditions and for all methods of modula- tion, at all altitudes from 0 km to 1000 km above the Earth’s surface and in the vicinity
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of all geostationary orbital positions occu- pied by passive sensors, shall not exceed ¥148 dB(W/(m2 · MHz)) for all angles of ar- rival.
5.562D Additional allocation: In Korea (Rep. of), the bands 128–130 GHz, 171–171.6 GHz, 172.2–172.8 GHz and 173.3–174 GHz are also al- located to the radio astronomy service on a primary basis until 2015.
5.562E The allocation to the Earth explo- ration-satellite service (active) is limited to the band 133.5–134 GHz.
5.562F In the band 155.5–158.5 GHz, the al- location to the Earth exploration-satellite (passive) and space research (passive) serv- ices shall terminate on 1 January 2018.
5.562G The date of entry into force of the allocation to the fixed and mobile services in the band 155.5–158.5 GHz shall be 1 January 2018.
5.562H Use of the bands 174.8–182 GHz and 185–190 GHz by the inter-satellite service is limited to satellites in the geostationary- satellite orbit. The single-entry power flux- density produced by a station in the inter- satellite service, for all conditions and for all methods of modulation, at all altitudes from 0 to 1000 km above the Earth’s surface and in the vicinity of all geostationary or- bital positions occupied by passive sensors, shall not exceed ¥144 dB(W/(m2 · MHz)) for all angles of arrival.
5.563A In the bands 200–209 GHz, 235–238 GHz, 250–252 GHz and 265–275 GHz, ground- based passive atmospheric sensing is carried out to monitor atmospheric constituents.
5.563B The band 237.9–238 GHz is also allo- cated to the Earth exploration-satellite serv- ice (active) and the space research service (active) for spaceborne cloud radars only.
5.565 The frequency band 275–1000 GHz may be used by administrations for experi- mentation with, and development of, various active and passive services. In this band a need has been identified for the following spectral line measurements for passive serv- ices: —Radio astronomy service: 275–323 GHz, 327–
371 GHz, 388–424 GHz, 426–442 GHz, 453–510 GHz, 623–711 GHz, 795–909 GHz and 926–945 GHz;
—Earth exploration-satellite service (pas- sive) and space research service (passive): 275–277 GHz, 294–306 GHz, 316–334 GHz, 342– 349 GHz, 363–365 GHz, 371–389 GHz, 416–434 GHz, 442–444 GHz, 496–506 GHz, 546–568 GHz, 624–629 GHz, 634–654 GHz, 659–661 GHz, 684– 692 GHz, 730–732 GHz, 851–853 GHz and 951– 956 GHz.
Future research in this largely unexplored spectral region may yield additional spectral lines and continuum bands of interest to the passive services. Administrations are urged to take all practicable steps to protect these passive services from harmful interference until the date when the allocation Table is
established in the above-mentioned fre- quency band.
UNITED STATES (US) FOOTNOTES
(These footnotes, each consisting of the let- ters ‘‘US’’ followed by one or more digits, de- note stipulations applicable to both Federal and non-Federal operations and thus appear in both the Federal Table and the non-Fed- eral Table.)
US1 The bands 2501–2502 kHz, 5003–5005 kHz, 10003–10005 kHz, 15005–15010 kHz, 19990– 19995 kHz, 20005–20010 kHz, and 25005–25010 kHz are also allocated to the space research service on a secondary basis for Federal use. In the event of interference to the reception of the standard frequency and time broad- casts, these space research transmissions are subject to immediate temporary or perma- nent shutdown.
US7 In the band 420–450 MHz and within the following areas, the peak envelope power output of a transmitter employed in the amateur service shall not exceed 50 watts, unless expressly authorized by the FCC after mutual agreement, on a case-by-case basis, between the District Director of the applica- ble field office and the military area fre- quency coordinator at the applicable mili- tary base. For areas (e) through (g), the ap- propriate military coordinator is located at Peterson AFB, CO.
(a) Arizona, Florida, and New Mexico. (b) Those portions of California and Nevada
that are south of latitude 37°10′ N. (c) That portion of Texas that is west of
longitude 104° W. (d) Within 322 km (200 miles) of Eglin AFB,
FL (30°30′ N, 86°30′ W); Patrick AFB, FL (28°21′ N, 80°43′ W); and the Pacific Missile Test Center, Point Mugu, CA (34°09′ N, 119°11′ W).
(e) Within 240 km (150 miles) of Beale AFB, CA (39°08′ N, 121°26′ W).
(f) Within 200 km (124 miles) of Goodfellow AFB, TX (31°25′ N, 100°24′ W) and Robins AFB, GA (32°38′ N, 83°35′ W).
(g) Within 160 km (100 miles) of Clear, AK (64°17′ N, 149°10′ W); Concrete, ND (48°43′ N, 97°54′ W); and Otis AFB, MA (41°45′ N, 70°32′ W).
US8 The use of the frequencies 170.475, 171.425, 171.575, and 172.275 MHz east of the Mississippi River, and 170.425, 170.575, 171.475, 172.225 and 172.375 MHz west of the Mis- sissippi River may be authorized to fixed, land and mobile stations operated by non- Federal forest firefighting agencies. In addi- tion, land stations and mobile stations oper- ated by non-Federal conservation agencies, for mobile relay operation only, may be au- thorized to use the frequency 172.275 MHz east of the Mississippi River and the fre- quency 171.475 MHz west of the Mississippi River. The use of any of the foregoing nine frequencies shall be on the condition that no
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harmful interference will be caused to Gov- ernment stations.
US11 On the condition that harmful inter- ference is not caused to present or future Federal stations in the band 162–174 MHz, the frequencies 166.25 MHz and 170.15 MHz may be authorized to non-Federal stations, as fol- lows:
(a) Eligibles in the Public Safety Radio Pool may be authorized to operate in the fixed and land mobile services for locations within 150 miles (241.4 kilometers) of New York City; and
(b) Remote pickup broadcast stations may be authorized to operate in the land mobile service for locations within the conterminous United States, excluding loca- tions within 150 miles of New York City and the Tennessee Valley Authority Area (TVA Area). The TVA Area is bounded on the west by the Mississippi River, on the north by the parallel of latitude 37°30′ N, and on the east and south by that arc of the circle with cen- ter at Springfield, IL, and radius equal to the airline distance between Springfield, IL, and Montgomery, AL, subtended between the foregoing west and north boundaries.
US13 The following center frequencies, each with a channel bandwidth not greater than 12.5 kHz, are available for assignment to non-Federal fixed stations for the specific purpose of transmitting hydrological and meteorological data in cooperation with Federal agencies, subject to the condition that harmful interference will not be caused to Federal stations:
HYDRO CHANNELS (MHZ)
169.425 ...................... 170.2625 171.100 406.1250 169.4375 .................... 170.275 171.1125 406.1750 169.450 ...................... 170.2875 171.125 412.6625 169.4625 .................... 170.300 171.825 412.6750 169.475 ...................... 170.3125 171.8375 412.6875 169.4875 .................... 170.325 171.850 412.7125 169.500 ...................... 171.025 171.8625 412.7250 169.5125 .................... 171.0375 171.875 412.7375 169.525 ...................... 171.050 171.8875 412.7625 170.225 ...................... 171.0625 171.900 412.7750 170.2375 .................... 171.075 171.9125 415.1250 170.250 ...................... 171.0875 171.925 415.1750
New assignments on the frequencies 406.125 MHz and 406.175 MHz are to be primarily for paired operations with the frequencies 415.125 MHz and 415.175 MHz, respectively.
US14 When 500 kHz is being used for dis- tress purposes, ship and coast stations using morse telegraph may use 512 kHz for calling.
US18 In the bands 9–14 kHz, 90–110 kHz, 190–415 kHz, 510–535 kHz, and 2700–2900 MHz, navigation aids in the U.S. and its insular areas are normally operated by the Federal Government. However, authorizations may be made by the FCC for non-Federal oper- ations in these bands subject to the conclu- sion of appropriate arrangements between the FCC and the Federal agencies concerned
and upon special showing of need for service which the Federal Government is not yet prepared to render.
US25 The use of frequencies in the band 25.85–26.175 MHz may be authorized in any area to non-Federal remote pickup broadcast base and mobile stations on the condition that harmful interference is not caused to stations of the broadcasting service in the band 25.85–26.1 MHz and to stations of the maritime mobile service in the band 26.1– 26.175 MHz. Frequencies within the band 26.1– 26.175 MHz may also be assigned for use by low power auxiliary stations.
US26 The bands 117.975–121.4125 MHz, 123.5875–128.8125 MHz and 132.0125–136.0 MHz are for air traffic control communications.
US28 The band 121.5875–121.9375 MHz is for use by aeronautical utility land and mobile stations, and for air traffic control commu- nications.
US30 The band 121.9375–123.0875 MHz is available to FAA aircraft for communica- tions pursuant to flight inspection functions in accordance with the Federal Aviation Act of 1958.
US31 The frequencies 122.700, 122.725, 122.750, 122.800, 122.950, 122.975, 123.000, 123.050 and 123.075 MHz may be assigned to aero- nautical advisory stations. In addition, at landing areas having a part-time or no air- drome control tower or FAA flight service station, these frequencies may be assigned on a secondary non-interference basis to aeronautical utility mobile stations, and may be used by FAA ground vehicles for safety related communications during in- spections conducted at such landing areas.
The frequencies 122.850, 122.900 and 122.925 MHz may be assigned to aeronautical multicom stations. In addition, 122.850 MHz may be assigned on a secondary noninter- ference basis to aeronautical utility mobile stations. In case of 122.925 MHz, US213 ap- plies.
Air carrier aircraft stations may use 122.000 and 122.050 MHz for communication with aeronautical stations of the Federal Aviation Administration and 122.700, 122.800, 122.900 and 123.000 MHz for communications with aeronautical stations pertaining to safety of flight with and in the vicinity of landing areas not served by a control tower.
Frequencies in the band 121.9375–122.6875 MHz may be used by aeronautical stations of the Federal Aviation Administration for communication with aircraft stations.
US32 Except for the frequencies 123.3 and 123.5 MHz, which are not authorized for Fed- eral use, the band 123.1125–123.5875 MHz is available for FAA communications incident to flight test and inspection activities perti- nent to aircraft and facility certification on a secondary basis.
US33 The band 123.1125–123.5875 MHz is for use by flight test and aviation instructional
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stations. The frequency 121.950 MHz is avail- able for aviation instructional stations.
US41 In the band 2450–2500 MHz, the Fed- eral radiolocation service is permitted on condition that harmful interference is not caused to non-Federal services.
US44 In the band 2900–3100 MHz, the non- Federal radiolocation service may be author- ized on the condition that no harmful inter- ference is caused to Federal services.
US48 In the band 9000–9200 MHz, the use of the radiolocation service by non-Federal li- censees may be authorized on the condition that harmful interference is not caused to the aeronautical radionavigation service or to the Federal radiolocation service.
US49 In the band 5460–5470 MHz, the non- Federal radiolocation service may be author- ized on the condition that it does not cause harmful interference to the aeronautical or maritime radionavigation services or to the Federal radiolocation service.
US50 In the band 5470–5650 MHz, the radio- location service may be authorized for non- Federal use on the condition that harmful interference is not caused to the maritime radionavigation service or to the Federal radiolocation service.
US51 In the band 9300–9500 MHz, the radio- location service may be authorized for non- Federal use on the condition that harmful interference is not caused to the Federal radiolocation service.
US53 In view of the fact that the band 13.25–13.4 GHz is allocated to doppler naviga- tion aids, Federal and non-Federal airborne doppler radars in the aeronautical radio- navigation service are permitted in the band 8750–8850 MHz only on the condition that they must accept any interference that may be experienced from stations in the radio- location service in the band 8500–10000 MHz.
US58 In the band 10–10.5 GHz, pulsed emis- sions are prohibited, except for weather ra- dars on board meteorological satellites in the band 10–10.025 GHz. The amateur service and the non-Federal radiolocation service, which shall not cause harmful interference to the Federal radiolocation service, are the only non-Federal services permitted in this band. The non-Federal radiolocation service is limited to survey operations as specified in footnote US108.
US59 The band 10.5–10.55 GHz is restricted to systems using type NON (AO) emission with a power not to exceed 40 watts into the antenna.
US65 The use of the band 5460–5650 MHz by the maritime radionavigation service is lim- ited to shipborne radars.
US66 The use of the band 9300–9500 MHz by the aeronautical radionavigation service is limited to airborne radars and associated airborne beacons. In addition, ground-based radar beacons in the aeronautical radio- navigation service are permitted in the band 9300–9320 MHz on the condition that harmful
interference is not caused to the maritime radionavigation service.
US67 The use of the band 9300–9500 MHz by the meteorological aids service is limited to ground-based radars. Radiolocation installa- tions will be coordinated with the meteoro- logical aids service and, insofar as prac- ticable, will be adjusted to meet the require- ments of the meteorological aids service.
US69 In the band 31.8–33.4 GHz, ground- based radionavigation aids are not permitted except where they operate in cooperation with airborne or shipborne radionavigation devices.
US70 The meteorological aids service al- location in the band 400.15–406.0 MHz does not preclude the operation therein of associ- ated ground transmitters.
US71 In the band 9300–9320 MHz, low-pow- ered maritime radionavigation stations shall be protected from harmful interference caused by the operation of land-based equip- ment.
US74 In the bands 25.55–25.67, 73.0–74.6, 406.1–410.0, 608–614, 1400–1427 (see US368), 1660.5–1670.0, 2690–2700, and 4990–5000 MHz, and in the bands 10.68–10.7, 15.35–15.4, 23.6–24.0, 31.3–31.5, 86–92, 100–102, 109.5–111.8, 114.25–116, 148.5–151.5, 164–167, 200–209, and 250–252 GHz, the radio astronomy service shall be pro- tected from unwanted emissions only to the extent that such radiation exceeds the level which would be present if the offending sta- tion were operating in compliance with the technical standards or criteria applicable to the service in which it operates. Radio as- tronomy observations in these bands are per- formed at the locations listed in US311.
US77 Federal stations may also be au- thorized: (a) Port operations use on a sim- plex basis by coast and ship stations of the frequencies 156.6 and 156.7 MHz; (b) Duplex port operations use of the frequency 157.0 MHz for ship stations and 161.6 MHz for coast stations; (c) Inter-ship use of 156.3 MHz on a simplex basis; and (d) Vessel traffic services under the control of the U.S. Coast Guard on a simplex basis by coast and ship stations on the frequencies 156.25, 156.55, 156.6 and 156.7 MHz. (e) Navigational bridge-to-bridge and navigational communications on a simplex basis by coast and ship stations on the fre- quencies 156.375 and 156.65 MHz
US78 In the mobile service, the fre- quencies between 1435 and 1525 MHz will be assigned for aeronautical telemetry and as- sociated telecommand operations for flight testing of manned or unmanned aircraft and missiles, or their major components. Permis- sible usage includes telemetry associated with launching and reentry into the Earth’s atmosphere as well as any incidental orbit- ing prior to reentry of manned objects under- going flight tests. The following frequencies are shared with flight telemetry mobile sta- tions: 1444.5, 1453.5, 1501.5, 1515.5, and 1524.5 MHz.
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US80 Federal stations may use the fre- quency 122.9 MHz subject to the following conditions: (a) All operations by Federal sta- tions shall be restricted to the purpose for which the frequency is authorized to non- Federal stations, and shall be in accordance with the appropriate provisions of the Com- mission’s Rules and Regulations, Part 87, Aviation Services; (b) Use of the frequency is required for coordination of activities with Commission licensees operating on this fre- quency; and (c) Federal stations will not be authorized for operation at fixed locations.
US81 The band 38–38.25 MHz is used by both Federal and non-Federal radio astron- omy observatories. No new fixed or mobile assignments are to be made and Federal sta- tions in the band 38–38.25 MHz will be moved to other bands on a case-by-case basis, as re- quired, to protect radio astronomy observa- tions from harmful interference. As an ex- ception, however, low powered military transportable and mobile stations used for tactical and training purposes will continue to use the band. To the extent practicable, the latter operations will be adjusted to re- lieve such interference as may be caused to radio astronomy observations. In the event of harmful interference from such local oper- ations, radio astronomy observatories may contact local military commands directly, with a view to effecting relief. A list of mili- tary commands, areas of coordination, and points of contact for purposes of relieving in- terference may be obtained upon request from the Office of Engineering and Tech- nology, FCC, Washington, DC 20554.
US82 In the bands 4146–4152 kHz, 6224–6233 kHz, 8294–8300 kHz, 12353–12368 kHz, 16528– 16549 kHz, 18825–18846 kHz, 22159–22180 kHz, and 25100–25121 kHz, the assignable fre- quencies may be authorized on a shared non- priority basis to Federal and non-Federal ship and coast stations (SSB telephony, with peak envelope power not to exceed 1 kW).
US87 The band 449.75–450.25 MHz may be used by Federal and non-Federal stations for space telecommand (Earth-to-space) at spe- cific locations, subject to such conditions as may be applied on a case-by-case basis. Oper- ators shall take all practical steps to keep the carrier frequency close to 450 MHz.
US90 In the band 2025–2110 MHz, the power flux-density at the Earth’s surface produced by emissions from a space station in the space operation, Earth exploration-satellite, or space research service that is transmit- ting in the space-to-space direction, for all conditions and all methods of modulation, shall not exceed the following values in any 4 kHz sub-band:
(a) ¥154 dBW/m2 for angles of arrival above the horizontal plane (d) of 0° to 5°,
(b) ¥154 + 0.5(d ¥ 5) dBW/m2 for d of 5° to 25°, and
(c) ¥144 dBW/m2 for d of 25° to 90°.
US93 In the conterminous United States, the frequency 108.0 MHz may be authorized for use by VOR test facilities, the operation of which is not essential for the safety of life or property, subject to the condition that no interference is caused to the reception of FM broadcasting stations operating in the band 88–108 MHz. In the event that such inter- ference does occur, the licensee or other agency authorized to operate the facility shall discontinue operation on 108 MHz and shall not resume operation until the inter- ference has been eliminated or the complaint otherwise satisfied. VOR test facilities oper- ating on 108 MHz will not be protected against interference caused by FM broad- casting stations operating in the band 88–108 MHz nor shall the authorization of a VOR test facility on 108 MHz preclude the Com- mission from authorizing additional FM broadcasting stations.
US99 In the band 1668.4–1670 MHz, the me- teorological aids service (radiosonde) will avoid operations to the maximum extent practicable. Whenever it is necessary to op- erate radiosondes in the band 1668.4–1670 MHz within the United States, notification of the operations shall be sent as far in advance as possible to the Electromagnetic Manage- ment Unit, Room 1030, National Science Foundation, 4201 Wilson Blvd., Arlington, VA 22230.
US102 In Alaska only, the frequency 122.1 MHz may also be used for air carrier air traf- fic control purposes at locations where other frequencies are not available to air carrier aircraft stations for air traffic control.
US104 In the band 90–110 kHz, the LORAN radionavigation system has priority in the United States and its insular areas. Radio- location land stations making use of LORAN type equipment may be authorized to both Federal and non-Federal licensees on a sec- ondary basis for offshore radiolocation ac- tivities only at specific locations and subject to such technical and operational conditions (e.g., power, emission, pulse rate and phase code, hours of operation), including on-the- air testing, as may be required on a case-by- case basis to ensure protection of the LORAN radionavigation system from harm- ful interference and to ensure mutual com- patibility among radiolocation operators. Such authorizations to stations in the radio- location service are further subject to show- ing of need for service which is not currently provided and which the Federal Government is not yet prepared to render by way of the radionavigation service.
US106 The frequency 156.75 MHz is avail- able for assignment to Federal and non-Fed- eral stations for environmental communica- tions in accordance with an agreed plan.
US107 The frequency 156.8 MHz is the na- tional distress, safety and calling frequency for the maritime mobile VHF radiotelephone service for use by Federal and non-Federal
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ship and coast stations. Guard bands of 156.7625–156.7875 and 156.8125–156.8375 MHz are maintained.
US108 In the bands 3300–3500 MHz and 10– 10.5 GHz, survey operations, using transmit- ters with a peak power not to exceed five watts into the antenna, may be authorized for Federal and non-Federal use on a sec- ondary basis to other Federal radiolocation operations.
US110 In the band 9200–9300 MHz, the use of the radiolocation service by non-Federal licensees may be authorized on the condition that harmful interference is not caused to the maritime radionavigation service or to the Federal radiolocation service.
US112 The frequency 123.1 MHz is for search and rescue communications. This fre- quency may be assigned for air traffic con- trol communications at special aeronautical events on the condition that no harmful in- terference is caused to search and rescue communications during any period of search and rescue operations in the locale involved.
US116 In the bands 890–902 MHz and 935– 941 MHz, no new assignments are to be made to Federal radio stations after July 10, 1970, except on a case-by-case basis to experi- mental stations. Federal assignments exist- ing prior to July 10, 1970, shall be on a sec- ondary basis to stations in the non-Federal land mobile service and shall be subject to adjustment or removal from the bands 890– 902 MHz, 928–932 MHz, and 935–941 MHz at the request of the FCC.
US117 In the band 406.1–410 MHz, the fol- lowing provisions shall apply:
(a) Stations in the fixed and mobile serv- ices are limited to a transmitter output power of 125 watts, and new authorizations for stations, other than mobile stations, are subject to prior coordination by the appli- cant in the following areas:
(1) Within Puerto Rico and the United States Virgin Islands, contact Spectrum Manager, Arecibo Observatory, HC3 Box 53995, Arecibo, PR 00612. Phone: 787–878–2612, Fax: 787–878–1861, E-mail: prcz@naic.edu.
(2) Within 350 km of the Very Large Array (34°04′44″ N, 107°37′06″ W), contact Spectrum Manager, National Radio Astronomy Observ- atory, P.O. Box O, 1003 Lopezville Road, Socorro, NM 87801. Phone: 505–835–7000, Fax: 505–835–7027, E-mail: nrao-rfi@nrao.edu.
(3) Within 10 km of the Table Mountain Ob- servatory (40°07′50″ N, 105°14′40″ W) and for op- erations only within the sub-band 407–409 MHz, contact Radio Frequency Coordinator, Department of Commerce, 325 Broadway, Boulder, CO 80303. Phone: 303–497–6548, Fax: 303–497–3384.
(b) Non-Federal use is limited to the radio astronomy service and as provided by US13.
US201 In the band 460–470 MHz, space sta- tions in the Earth exploration-satellite serv- ice may be authorized for space-to-Earth transmissions on a secondary basis with re-
spect to the fixed and mobile services. When operating in the meteorological-satellite service, such stations shall be protected from harmful interference from other applications of the Earth exploration-satellite service. The power flux-density produced at the Earth′s surface by any space station in this band shall not exceed ¥152 dBW/m2/4 kHz.
US203 Radio astronomy observations of the formaldehyde line frequencies 4825–4835 MHz and 14.470–14.500 GHz may be made at certain radio astronomy observatories as in- dicated below:
BANDS TO BE OBSERVED
4 GHz 14GHz Observatory
X ......... ............ National Astronomy and Ionosphere Cen- ter, Arecibo, Puerto Rico.
X ......... X ........ National Radio Astronomy Observatory, Green Bank, W. Va.
X ......... X ........ National Radio Astronomy Observatory, Socorro, New Mexico.
X ......... X ........ Hat Creek Observatory (U of Calif.), Hat Creek, Cal.
X ......... X ........ Haystack Radio Observatory (MIT-Lincoln Lab), Tyngsboro, Mass.
X ......... X ........ Owens Vally Radio Observatory (Cal. Tech.), Big Pine, Cal.
............ X ........ Five College Radio Astronomy Observ- atory Quabbin Reservoir (near Am- herst), Massachusetts.
Every practicable effort will be made to avoid the assignment of frequencies to sta- tions in the fixed or mobile services in these bands. Should such assignments result in harmful interference to these observations, the situation will be remedied to the extent practicable.
US205 Tropospheric scatter systems are prohibited in the band 2500–2690 MHz.
US208 Planning and use of the band 1559– 1626.5 MHz necessitate the development of technical and/or operational sharing criteria to ensure the maximum degree of electro- magnetic compatibility with existing and planned systems within the band.
US209 The use of frequencies 460.6625, 460.6875, 460.7125, 460.7375, 460.7625, 460.7875, 460.8125, 460.8375, 460.8625, 465.6625, 465.6875, 465.7125, 465.7375, 465.7625, 465.7875, 465.8125, 465.8375, and 465.8625 MHz may be authorized, with 100 mW or less output power, to Federal and non-Federal radio stations for one-way, non-voice bio-medical telemetry operations in hospitals, or medical or convalescent cen- ters.
US210 In the bands 40.66–40.7 MHz and 216– 220 MHz, frequencies may be authorized to Federal and non-Federal stations on a sec- ondary basis for the tracking of, and tele- metering of scientific data from, ocean buoys and wildlife. Operation in these bands is subject to the technical standards speci- fied in Section 8.2.42 of the NTIA Manual for Federal use, or 47 CFR 90.248 for non-Federal
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use. After January 1, 2002, no new assign- ments shall be authorized in the band 216–217 MHz.
US211 In the bands 1670–1690, 5000–5250 MHz and 10.7–11.7, 15.1365–15.35, 15.4–15.7, 22.5– 22.55, 24–24.05, 31.0–31.3, 31.8–32.0, 40.5–42.5, 116– 122.25, 123–130, 158.5–164, 167–168, 191.8–200, and 252–265 GHz, applicants for airborne or space station assignments are urged to take all practicable steps to protect radio astronomy observations in the adjacent bands from harmful interference; however, US74 applies.
US212 In, or within 92.6 km (50 nautical miles) of, the State of Alaska, the carrier frequency 5167.5 kHz (assigned frequency 5168.9 kHz) is designated for emergency com- munications. This frequency may also be used in the Alaska-Private Fixed Service for calling and listening, but only for estab- lishing communications before switching to another frequency. The maximum power is limited to 150 watts peak envelope power (PEP).
US213 The frequency 122.925 MHz is for use only for communications with or be- tween aircraft when coordinating natural re- sources programs of Federal or State natural resources, agencies, including forestry man- agement and fire suppression, fish and game management and protection and environ- mental monitoring and protection.
US214 The frequency 157.1 MHz is the pri- mary frequency for liaison communications between ship stations and stations of the United States Coast Guard.
US216 The frequencies 150.775 MHz, 150.790 MHz, 152.0075 MHz, and 163.250 MHz, and the bands 462.94688–463.19688 MHz and 467.94688– 468.19688 shall be authorized for the purpose of delivering or rendering medical services to individuals (medical radiocommunication systems), and shall be authorized on a pri- mary basis for Federal and non-Federal use. The frequency 152.0075 MHz may also be used for the purpose of conducting public safety radio communications that include, but are not limited to, the delivering or rendering of medical services to individuals.
(a) The use of the frequencies 150.775 MHz and 150.790 MHz is limited to mobile stations operating with a maximum e.r.p. of 100 watts. Airborne operations are prohibited.
(b) The use of the frequencies 152.0075 MHz and 163.250 MHz is limited to base stations that are authorized only for one-way paging communications to mobile receivers. Trans- missions for the purpose of activating or controlling remote objects on these fre- quencies shall not be authorized.
(c) Non-Federal licensees in the Public Safety Radio Pool holding a valid authoriza- tion on May 27, 2005, to operate on the fre- quencies 150.7825 MHz and 150.7975 MHz may, upon proper renewal application, continue to be authorized for such operation; provided that harmful interference is not caused to present or future Federal stations in the
band 150.05–150.8 MHz and, should harmful in- terference result, that the interfering non- Federal operation shall immediately termi- nate.
US217 In the band 420–450 MHz, pulse- ranging radiolocation systems may be au- thorized for use along the shoreline of the conterminous United States and Alaska. In the sub-band 420–435 MHz, spread spectrum radiolocation systems may be authorized within the conterminous United States and Alaska. All stations operating in accordance with this provision shall be secondary to sta- tions operating in accordance with the Table of Frequency Allocations. Authorizations shall be granted on a case-by-case basis; however, operations proposed to be located within the following geographic areas should not expect to be accommodated:
(a) Arizona, Florida, and New Mexico. (b) Those portions of California and Nevada
that are south of latitude 37°10′ N. (c) That portion of Texas that is west of
longitude 104° W. (d) Within 322 km (200 miles) of Eglin AFB,
FL (30°30′ N, 86°30′ W); Patrick AFB, FL (28°21′ N, 80°43′ W); and the Pacific Missile Test Center, Point Mugu, CA (34°09′ N, 119°11′ W).
(e) Within 240 km (150 miles) of Beale AFB, CA (39°08′ N, 121°26′ W).
(f) Within 200 km (124 miles) of Goodfellow AFB, TX (31°25′ N, 100°24′ W) and Robins AFB, GA (32°38′ N, 83°35′ W).
(g) Within 160 km (100 miles) of Clear, AK (64°17′ N, 149°10′ W); Concrete, ND (48°43′ N, 97°54′ W); and Otis AFB, MA (41°45′ N, 70°32′ W).
US218 The band 902–928 MHz is available for Location and Monitoring Service (LMS) systems subject to not causing harmful in- terference to the operation of all Federal stations authorized in this band. These sys- tems must tolerate interference from the op- eration of industrial, scientific, and medical (ISM) equipment and the operation of Fed- eral stations authorized in this band.
US220 The frequencies 36.25 and 41.71 MHz may be authorized to Federal stations and non-Federal stations in the petroleum radio service, for oil spill containment and cleanup operations. The use of these frequencies for oil spill containment or cleanup operations is limited to the inland and coastal water- way regions.
US221 Use of the mobile service in the bands 525–535 kHz and 1605–1615 kHz is lim- ited to distribution of public service infor- mation from Travelers Information stations operating on 530 kHz and 1610 kHz.
US222 In the band 2025–2035 MHz, geo- stationary operational environmental sat- ellite (GOES) earth stations in the space re- search and Earth exploration-satellite serv- ices may be authorized on a coequal basis for Earth-to-space transmissions for tracking, telemetry, and telecommand at Honolulu, HI
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(21°21′12″ N, 157°52′36″ W); Seattle, WA (47°34′15″ N, 122°33′10″ W); and Wallops Island, VA (37°56′44″ N, 75°27′42″ W).
US224 Federal systems utilizing spread spectrum techniques for terrestrial commu- nication, navigation and identification may be authorized to operate in the band 960–1215 MHz on the condition that harmful inter- ference will not be caused to the aero- nautical radionavigation service. These sys- tems will be handled on a case-by-case basis. Such systems shall be subject to a review at the national level for operational require- ments and electromagnetic compatibility prior to development, procurement or modi- fication.
US225 In addition to its present Federal use, the band 510–525 kHz is available to Fed- eral and non-Federal aeronautical radio- navigation stations inland of the Territorial Base Line as coordinated with the military services. In addition, the frequency 510 kHz is available for non-Federal ship-helicopter
operations when beyond 100 nautical miles from shore and required for aeronautical radionavigation.
US226 In the State of Hawaii, stations in the aeronautical radionavigation service shall not cause harmful interference to U.S. Navy reception from its station at Honolulu on 198 kHz.
US229 Federal use of the fixed and land mobile services in the band 216–220 MHz and of the aeronautical mobile service in the sub-band 217–220 MHz shall be limited to tele- metering and associated telecommand oper- ations. NTIA shall not authorize new Federal assignments in the sub-band 216–217 MHz. The sub-band 216.88–217.08 MHz is allocated to the radiodetermination service on a pri- mary basis for Federal use, limited to the Navy′s Space Surveillance (SPASUR) radar system at the following nine sites.
(a) Three stations transmit at a very high power and other operations may be affected within the following areas:
Transmitter sites Coordinates Frequency Interference radius
Gila River (Phoenix), AZ ......... 33°06′32″ N, 112°01′45″ W ... 216.97 MHz ............................ 150 km (93.2 miles). Lake Kickapoo (Archer City),
TX. 33°32′47″ N, 98°45′46″ W ..... 216.983 MHz .......................... 250 km (155.3 miles).
Jordan Lake (Wetumpka), AL 32°39′33″ N, 86°15′52″ W ..... 216.99 MHz ............................ 150 km.
(b) Reception of the sub-band 216.965–216.995 MHz shall be protected from harmful inter- ference within 50 kilometers (31.1 miles) of the following sites:
Receive sites Coordinates
Elephant Butte, NM ............... 33°26′35″ N, 106°59′50″ W Fort Stewart, GA .................... 31°58′36″ N, 081°30′34″ W Hawkinsville, GA .................... 32°17′20″ N, 083°32′10″ W Red River, AR ....................... 33°19′48″ N, 093°33′01″ W San Diego, CA ....................... 32°34′42″ N, 116°58′11″ W Silver Lake, MS ..................... 33°08′42″ N, 091°01′16″ W
US230 The bands 422.1875–425.4875 MHz and 427.1875–429.9875 MHz are allocated to the land mobile service on a primary basis for non-Federal use within 80.5 kilometers (50 miles) of Cleveland, OH (41°29′51.2″ N, 81°41′49.5″ W) and Detroit, MI (42°19′48.1″ N, 83°02′56.7″ W). The bands 423.8125–425.4875 MHz and 428.8125–429.9875 MHz are allocated to the land mobile service on a primary basis for non-Federal use within 80.5 kilometers of Buffalo, NY (42°52′52.2″ N, 78°52′20.1″ W).
US231 When an assignment cannot be ob- tained in the bands between 200 kHz and 525 kHz, which are allocated to aeronautical radionavigation, assignments may be made to aeronautical radiobeacons in the mari- time mobile band 435–490 kHz, on a secondary basis, subject to the coordination and agree- ment of those agencies having assignments within the maritime mobile band which may be affected. Assignments to Federal aero- nautical radionavigation radiobeacons in the
band 435–490 kHz shall not be a bar to any re- quired changes to the maritime mobile radio service and shall be limited to non-voice emissions.
US239 Aeronautical radionavigation sta- tions (radiobeacons) may be authorized, pri- marily for off-shore use, in the band 525–535 kHz on a non-interference basis to travelers information stations.
US240 The bands 1715–1725 and 1740–1750 kHz are allocated on a primary basis and the bands 1705–1715 kHz and 1725–1740 kHz on a secondary basis to the aeronautical radio- navigation service (radiobeacons).
US244 The band 136–137 MHz is allocated to the non-Federal aeronautical mobile (R) service on a primary basis, and is subject to pertinent international treaties and agree- ments. The frequencies 136, 136.025, 136.05, 136.075, 136.1, 136.125, 136.15, 136.175, 136.2, 136.225, 136.25, 136.275, 136.3, 136.325, 136.35, 136.375, 136.4, 136.425, 136.45, and 136.475 MHz are available on a shared basis to the Federal Aviation Administration for air traffic con- trol purposes, such as automatic weather ob- servation stations (AWOS), automatic ter- minal information services (ATIS), flight in- formation services-broadcast (FIS-B), and airport control tower communications.
US245 In the bands 3600–3650 MHz (space- to-Earth), 4500–4800 MHz (space-to-Earth), and 5850–5925 MHz (Earth-to-space), the use of the non-Federal fixed-satellite service is limited to international inter-continental
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1 Medical telemetry equipment shall not cause harmful interference to radio astron- omy operations in the band 608–614 MHz and shall be coordinated under the requirements found in 47 CFR 95.1119.
systems and is subject to case-by-case elec- tromagnetic compatibility analysis. The FCC’s policy for these bands is codified at 47 CFR 2.108.
US246 No station shall be authorized to transmit in the following bands: 73–74.6 MHz, 608–614 MHz, except for medical telemetry equipment, 1 1400–1427 MHz, 1660.5–1668.4 MHz, 2690–2700 MHz, 4990–5000 MHz, 10.68–10.7 GHz, 15.35–15.4 GHz, 23.6–24 GHz, 31.3–31.8 GHz, 50.2– 50.4 GHz, 52.6–54.25 GHz, 86–92 GHz, 100–102 GHz, 109.5–111.8 GHz, 114.25–116 GHz, 148.5– 151.5 GHz, 164–167 GHz, 182–185 GHz, 190–191.8 GHz, 200–209 GHz, 226–231.5 GHz, 250–252 GHz.
US247 The band 10100–10150 kHz is allo- cated to the fixed service on a primary basis outside the United States and its insular areas. Transmissions from stations in the amateur service shall not cause harmful in- terference to this fixed service use and sta- tions in the amateur service shall make all necessary adjustments (including termi- nation of transmission) if harmful inter- ference is caused.
US251 The band 12.75–13.25 GHz is also al- located to the space research (deep space) (space-to-Earth) service for reception only at Goldstone, CA (35°20′ N, 116°53′ W).
US252 The band 2110–2120 MHz is also allo- cated to the space research service (deep space) (Earth-to-space) on a primary basis at Goldstone, CA (35°20′ N, 116°53′ W).
US254 In the band 18.6–18.8 GHz the fixed and mobile services shall be limited to a maximum equivalent isotropically radiated power of +35 dBW and the power delivered to the antenna shall not exceed ¥3 dBW.
US255 In addition to any other applicable limits, the power flux-density across the 200 MHz band 18.6–18.8 GHz produced at the sur- face of the Earth by emissions from a space station under assumed free-space propaga- tion conditions shall not exceed ¥95 dB(W/ m 2) for all angles of arrival. This limit may be exceeded by up to 3 dB for no more than 5% of the time.
US258 In the bands 8025–8400 MHz and 25.5– 27 GHz, the Earth exploration-satellite serv- ice (space-to-Earth) is allocated on a pri- mary basis for non-Federal use. Authoriza- tions are subject to a case-by-case electro- magnetic compatibility analysis.
US259 In the band 17.3–17.7 GHz, Federal stations in the radiolocation service shall operate with an e.i.r.p. of less than 51 dBW.
US260 Aeronautical mobile communica- tions which are an integral part of aero- nautical radionavigation systems may be satisfied in the bands 1559–1626.5 MHz, 5000– 5250 MHz and 15.4–15.7 GHz.
US261 The use of the band 4200–4400 MHz by the aeronautical radionavigation service is reserved exclusively for airborne radio al- timeters. Experimental stations will not be authorized to develop equipment for oper- ational use in this band other than equip- ment related to altimeter stations. However, passive sensing in the earth-exploration sat- ellite and space research services may be au- thorized in this band on a secondary basis (no protection is provided from the radio al- timeters).
US262 The band 7145–7190 MHz is also allo- cated to the space research service (deep space) (Earth-to-space) on a secondary basis for non-Federal use. Federal and non-Federal use of the bands 7145–7190 MHz and 34.2–34.7 GHz by the space research service (deep space) (Earth-to-space) and of the band 31.8– 32.3 GHz by the space research service (deep space) (space-to-Earth) is limited to Goldstone, CA (35°20′ N, 116°53′ W).
US263 In the bands 21.2–21.4 GHz, 22.21–22.5 GHz, 36–37 GHz, and 56.26–58.2 GHz, the space research and Earth exploration-satellite services shall not receive protection from the fixed and mobile services operating in accordance with the Table of Frequency Al- locations.
US264 In the band 48.94–49.04 GHz, air- borne stations shall not be authorized.
US265 In the band 10.6–10.68 GHz, the fixed service shall be limited to an e.i.r.p. of 40 dBW and the power delivered to the antenna shall not exceed ¥3 dBW per 250 kHz.
US266 Non-Federal licensees in the Public Safety Radio Pool holding a valid authoriza- tion on June 30, 1958, to operate in the fre- quency band 156.27–157.45 MHz or on the fre- quencies 161.85 MHz or 161.91 MHz may, upon proper application, continue to be authorized for such operation, including expansion of existing systems, until such time as harmful interference is caused to the operation of any authorized station other than those li- censed in the Public Safety Radio Pool.
US267 In the band 902–928 MHz, amateur stations shall transmit only in the sub-bands 902–902.4, 902.6–904.3, 904.7–925.3, 925.7–927.3, and 927.7–928 MHz within the States of Colo- rado and Wyoming, bounded by the area of latitudes 39° N and 42° N and longitudes 103° W and 108° W.
US268 The bands 890–902 MHz and 928–942 MHz are also allocated to the radiolocation service for Federal ship stations (off-shore ocean areas) on the condition that harmful interference is not caused to non-Federal land mobile stations. The provisions of foot- note US116 apply.
US269 In the band 2655–2690 MHz, radio as- tronomy observations are performed at the locations listed in US311. Licensees are urged to coordinate their systems through the Electromagnetic Spectrum Management
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Unit, Division of Astronomical Sciences, Na- tional Science Foundation, Room 1030, 4201 Wilson Blvd., Arlington, VA 2230.
US271 The use of the band 17.3–17.8 GHz by the fixed-satellite service (earth-to-space) is limited to feeder links for broadcasting-sat- ellite service.
US273 In the bands 74.6–74.8 MHz and 75.2– 75.4 MHz, stations in the fixed and mobile services are limited to a maximum power of 1 watt from the transmitter into the antenna transmission line.
US275 The band 902–928 MHz is allocated on a secondary basis to the amateur service subject to not causing harmful interference to the operations of Federal stations author- ized in this band or to Location and Moni- toring Service (LMS) systems. Stations in the amateur service must tolerate any inter- ference from the operations of industrial, scientific, and medical (ISM) devices, LMS systems, and the operations of Federal sta- tions authorized in this band. Further, the amateur service is prohibited in those por- tions of Texas and New Mexico bounded on the south by latitude 31°41′ North, on the east by longitude 104°11′ West, and on the north by latitude 34°30′ North, and on the west by longitude 107°30′West; in addition, outside this area but within 150 miles of these boundaries of White Sands Missile Range the service is restricted to a max- imum transmitter peak envelope power out- put of 50 watts.
US276 Except as otherwise provided for herein, use of the band 2360–2395 MHz by the mobile service is limited to aeronautical telemetering and associated telecommand operations for flight testing of aircraft, mis- siles or major components thereof. The fol- lowing three frequencies are shared on a co- equal basis by Federal and non-Federal sta- tions for telemetering and associated tele- command operations of expendable and reus- able launch vehicles, whether or not such op- erations involve flight testing: 2364.5 MHz, 2370.5 MHz, and 2382.5 MHz. All other mobile telemetering uses shall not cause harmful in- terference to, or claim protection from inter- ference from, the above uses.
US277 The band 10.6–10.68 GHz is also allo- cated on a primary basis to the radio astron- omy service. However, the radio astronomy service shall not receive protection from sta- tions in the fixed service which are licensed to operate in the one hundred most populous urbanized areas as defined by the 1990 U.S. Census. For the list of observatories oper- ating in this band see 47 CFR 2.106, footnote US355.
US278 In the bands 22.55–23.55 GHz and 32.3–33 GHz, non-geostationary inter-satellite links may operate on a secondary basis to geostationary inter-satellite links.
US279 The frequency 2182 kHz may be au- thorized to fixed stations associated with the maritime mobile service for the sole purpose
of transmitting distress calls and distress traffic, and urgency and safety signals and messages.
US281 In the band 25070–25210 kHz, non- Federal stations in the Industrial/Business Pool shall not cause harmful interference to, and must accept interference from, stations in the maritime mobile service operating in accordance with the Table of Frequency Al- locations.
US282 In the band 4650–4700 kHz, fre- quencies may be authorized for non-Federal communication with helicopters in support of off-shore drilling operations on the condi- tion that harmful interference will not be caused to services operating in accordance with the Table of Frequency Allocations.
US283 In the bands 2850–3025 kHz, 3400–3500 kHz, 4650–4700 kHz, 5450–5680 kHz, 6525–6685 kHz, 10005–10100 kHz, 11275–11400 kHz, 13260– 13360 kHz, and 17900–17970 kHz, frequencies may be authorized for non-Federal flight test purposes on the condition that harmful in- terference will not be caused to services op- erating in accordance with the Table of Fre- quency Allocations.
US285 Under exceptional circumstances, the carrier frequencies 2635 kHz, 2638 kHz, and 2738 kHz may be authorized to coast sta- tions.
US290 In the band 1900–2000 kHz, amateur stations may continue to operate on a sec- ondary basis to the radiolocation service, pending a decision as to their disposition through a future rule making proceeding in conjunction with the implementation of the standard broadcasting service in the band 1625–1705 kHz.
US294 In the spectrum below 490 kHz, electric utilities operate Power Line Carrier (PLC) systems on power transmission lines for communications important to the reli- ability and security of electric service to the public. These PLC systems operate under the provisions of 47 CFR part 15 or Chapter 7 of the NTIA Manual, on an unprotected and noninterference basis with respect to author- ized radio users. Notification of intent to place new or revised radio frequency assign- ments or PLC frequency uses in the bands below 490 kHz is to be made in accordance with the Rules and Regulations of the FCC and NTIA, and users are urged to minimize potential interference to the degree prac- ticable. This footnote does not provide any allocation status to PLC radio frequency uses.
US296 In the bands designated for ship wide-band telegraphy, facsimile and special transmission systems, the following assign- able frequencies are available to non-Federal stations on a shared basis with Federal sta- tions: 2070.5 kHz, 2072.5 kHz, 2074.5 kHz, 2076.5 kHz, 4154 kHz, 4170 kHz, 6235 kHz, 6259 kHz, 8302 kHz, 8338 kHz, 12370 kHz, 12418 kHz, 16551 kHz, 16615 kHz, 18848 kHz, 18868 kHz, 22182 kHz, 22238 kHz, 25123 kHz, and 25159 kHz.
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US297 The bands 47.2–49.2 GHz and 81–82.5 GHz are also available for feeder links for the broadcasting-satellite service.
US298 Channels 27555 kHz, 27615 kHz, 27635 kHz, 27655 kHz, 27765 kHz, and 27860 kHz are available for use by forest product licensees on a secondary basis to Federal operations including experimental stations. Non-Fed- eral operations on these channels will not exceed 150 watts output power and are lim- ited to the states of Washington, Oregon, Maine, North Carolina, South Carolina, Ten- nessee, Georgia, Florida, Alabama, Mis- sissippi, Louisiana, and Texas (eastern por- tion).
US299 In Alaska, the band 1615–1705 kHz is also allocated to the maritime mobile and Alaska fixed services on a secondary basis to Region 2 broadcast operations.
US300 The frequencies 169.445, 169.505, 170.245, 170.305, 171.045, 171.105, 171.845 and 171.905 MHz are available for wireless micro- phone operations on a secondary basis to Federal and non-Federal operations.
US301 Except as provided in NG30, broad- cast auxiliary stations licensed as of Novem- ber 21, 1984, to operate in the band 942–944 MHz may continue to operate on a co-equal primary basis to other stations and services operating in the band in accordance with the Table of Frequency Allocations.
US303 In the band 2285–2290 MHz, non-Fed- eral space stations in the space research, space operations and Earth exploration-sat- ellite services may be authorized to transmit to the Tracking and Data Relay Satellite System subject to such conditions as may be applied on a case-by-case basis. Such trans- missions shall not cause harmful inter- ference to authorized Federal stations. The power flux-density at the Earth’s surface from such non-Federal stations shall not ex- ceed–144 to –154 dBW/m2/4 kHz, depending on angle of arrival, in accordance with ITU Radio Regulation 21.16.
US307 The band 5150–5216 MHz is also allo- cated to the fixed-satellite service (space-to- Earth) for feeder links in conjunction with the radiodetermination-satellite service op- erating in the bands 1610–1626.5 MHz and 2483.5–2500 MHz. The total power flux-density at the Earth′s surface shall in no case exceed ¥159 dBW/m2 per 4 kHz for all angles of ar- rival.
US308 In the bands 1549.5–1558.5 MHz and 1651–1660 MHz, those requirements of the aeronautical mobile-satellite (R) service that cannot be accommodated in the bands 1545–1549.5 MHz, 1558.5–1559 MHz, 1646.5–1651 MHz, and 1660–1660.5 MHz shall have priority access with real-time preemptive capability for communications in the mobile-satellite service. Systems not interoperable with the aeronautical mobile-satellite (R) service shall operate on a secondary basis. Account shall be taken of the priority of safety-re- lated communications in the mobile-satellite service.
US309 In the bands 1545–1559 MHz, trans- missions from terrestrial aeronautical sta- tions directly to aircraft stations, or be- tween aircraft stations, in the aeronautical mobile (R) service are also authorized when such transmissions are used to extend or supplement the satellite-to-aircraft links. In the band 1646.5–1660.5 MHz, transmissions from aircraft stations in the aeronautical mobile (R) service directly to terrestrial aeronautical stations, or between aircraft stations, are also authorized when such transmissions are used to extend or supple- ment the aircraft-to-satellite links.
US310 In the band 14.896–15.121 GHz, non- Federal space stations in the space research service may be authorized on a secondary basis to transmit to Tracking and Data Relay Satellites subject to such conditions as may be applied on a case-by-case basis. Such transmissions shall not cause harmful interference to authorized Federal stations. The power flux-density (pfd) produced by such non-Federal stations at the Earth′s sur- face in any 1 MHz band for all conditions and methods of modulation shall not exceed:
¥124 dB(W/m2 for 0° < q ≤ 5° ¥124 + (q ¥5)/2 dB(W/m2) for 5° < q ≤ 25° ¥114 dB(W/m2) for 25° < q ≤ 90° where q is the angle of arrival of the radio- frequency wave (degrees above the hori- zontal). These limits relate to the pfd and angles of arrival which would be obtained under free-space propagation conditions.
US311 Radio astronomy observations may be made in the bands 1350–1400 MHz, 1718.8– 1722.2 MHz, and 4950–4990 MHz on an unpro- tected basis at the following radio astron- omy observatories:
Allen Telescope Array, Hat Creek, CA Rectangle between latitudes 40°00′ N and 42°00′ N and between longitudes 120°15′ W and 122°15′ W.
NASA Goldstone Deep Space Communications Complex, Goldstone,
CA. 80 kilometers (50 mile) radius centered on 35°20′ N,
116°53′ W. National Astronomy and Ionosphere
Center, Arecibo, PR. Rectangle between latitudes 17°30′ N and 19°00′ N and
between longitudes 65°10′ W and 68°00′ W. National Radio Astronomy Observ-
atory, Socorro, NM. Rectangle between latitudes 32°30′ N and 35°30′ N and
between longitudes 106°00′ W and 109°00′ W.
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National Radio Astronomy Observ- atory, Green Bank, WV.
Rectangle between latitudes 37°30′ N and 39°15′ N and between longitudes 78°30′ W and 80°30′ W.
National Radio Astronomy Observ- atory, Very Long Baseline Array Stations.
80 kilometer radius centered on:
North latitude West longitude
Brewster, WA ................................................................................ 48°08′ .................................... 119°41′ Fort Davis, TX ............................................................................... 30°38′ .................................... 103°57′ Hancock, NH ................................................................................. 42°56′ .................................... 71°59′ Kitt Peak, AZ ................................................................................. 31°57′ .................................... 111°37′ Los Alamos, NM ............................................................................ 35°47′ .................................... 106°15′ Mauna Kea, HI .............................................................................. 19°48′ .................................... 155°27′ North Liberty, IA ............................................................................ 41°46′ .................................... 91°34′ Owens Valley, CA ......................................................................... 37°14′ .................................... 118°17′ Pie Town, NM ................................................................................ 34°18′ .................................... 108°07′ Saint Croix, VI ............................................................................... 17°45′ .................................... 64°35′
Owens Valley Radio Observatory, Big Pine, CA.
Two contiguous rectangles, one between latitudes 36°00′ N and 37°00′ N and between longitudes 117°40′ W and 118°30′ W and the second between latitudes 37°00′ N and 38°00′ N and between lon- gitudes 118°00′ W and 118°50′ W.
In the bands 1350–1400 MHz and 4950–4990 MHz, every practicable effort will be made to avoid the assignment of frequencies to sta- tions in the fixed and mobile services that could interfere with radio astronomy obser- vations within the geographic areas given above. In addition, every practicable effort will be made to avoid assignment of fre- quencies in these bands to stations in the aeronautical mobile service which operate outside of those geographic areas, but which may cause harmful interference to the listed observatories. Should such assignments re- sult in harmful interference to these observ- atories, the situation will be remedied to the extent practicable.
US312 The frequency 173.075 MHz may also be authorized on a primary basis to non- Federal stations in the Public Safety Radio Pool, limited to police licensees, for stolen vehicle recovery systems (SVRS). As of May 27, 2005, new SVRS licenses shall be issued for an authorized bandwidth not to exceed 12.5 kHz. Stations that operate as part of a stolen vehicle recovery system that was au- thorized and in operation prior to May 27, 2005 may operate with an authorized band- width not to exceed 20 kHz until May 27, 2019. After that date, all SVRS shall operate with an authorized bandwidth not to exceed 12.5 kHz.
US315 In the bands 1530–1544 MHz and 1626.5–1645.5 MHz, maritime mobile-satellite distress and safety communications, e.g., GMDSS, shall have priority access with real- time preemptive capability in the mobile- satellite service. Communications of mobile- satellite system stations not participating in the GMDSS shall operate on a secondary
basis to distress and safety communications of stations operating in the GMDSS. Ac- count shall be taken of the priority of safe- ty-related communications in the mobile- satellite service.
US316 The band 2900–3000 MHz is also allo- cated to the meteorological aids service on a primary basis for Federal use. Operations in this service are limited to Next Generation Weather Radar (NEXRAD) systems where ac- commodation in the band 2700–2900 MHz is not technically practical and are subject to coordination with existing authorized sta- tions.
US319 In the bands 137–138 MHz, 148–149.9 MHz, 149.9–150.05 MHz, 399.9–400.05 MHz, 400.15–401 MHz, 1610–1626.5 MHz, and 2483.5– 2500 MHz, Federal stations in the mobile-sat- ellite service shall be limited to earth sta- tions operating with non-Federal space sta- tions.
US320 The use of the bands 137–138 MHz, 148–150.05 MHz, 399.9–400.05 MHz, and 400.15– 401 MHz by the mobile-satellite service is limited to non-voice, non-geostationary sat- ellite systems and may include satellite links between land earth stations at fixed lo- cations.
US323 In the band 148–149.9 MHz, no indi- vidual mobile earth station shall transmit on the same frequency being actively used by fixed and mobile stations and shall transmit no more than 1% of the time during any 15 minute period; except, individual mobile earth stations in this band that do not avoid frequencies actively being used by the fixed and mobile services shall not exceed a power density of ¥16 dBW/4 kHz and shall transmit no more than 0.25% of the time during any 15
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minute period. Any single transmission from any individual mobile earth station oper- ating in this band shall not exceed 450 ms in duration and consecutive transmissions from a single mobile earth station on the same frequency shall be separated by at least 15 seconds. Land earth stations in this band shall be subject to electromagnetic compat- ibility analysis and coordination with terres- trial fixed and mobile stations.
US324 In the band 400.15–401 MHz, Federal and non-Federal satellite systems shall be subject to electromagnetic compatibility analysis and coordination.
US325 In the band 148–149.9 MHz fixed and mobile stations shall not claim protection from land earth stations in the mobile-sat- ellite service that have been previously co- ordinated; Federal fixed and mobile stations exceeding 27 dBW EIRP, or an emission band- width greater than 38 kHz, will be coordi- nated with existing mobile-satellite service space stations.
US327 The band 2310–2360 MHz is allocated to the broadcasting-satellite service (sound) and complementary terrestrial broadcasting service on a primary basis. Such use is lim- ited to digital audio broadcasting and is sub- ject to the provisions of Resolution 528.
US334 In the band 17.8–20.2 GHz, Federal space stations in both geostationary (GSO) and non-geostationary satellite orbits (NGSO) and associated earth stations in the fixed-satellite service (space-to-Earth) may be authorized on a primary basis. For a Fed- eral geostationary satellite network to oper- ate on a primary basis, the space station shall be located outside the arc, measured from east to west, 70° West longitude to 120° West longitude. Coordination between Fed- eral fixed-satellite systems and non-Federal space and terrestrial systems operating in accordance with the United States Table of Frequency Allocations is required.
(a) In the sub-band 17.8–19.7 GHz, the power flux-density (pfd) at the surface of the Earth produced by emissions from a Federal GSO space station or from a Federal space station in a NGSO constellation of 50 or fewer sat- ellites, for all conditions and for all methods of modulation, shall not exceed the following values in any 1 MHz band:
(1) ¥115 dB(W/m2) for angles of arrival above the horizontal plane (d) between 0° and 5°,
(2) ¥115 + 0.5(d¥5) dB(W/m2) for d between 5° and 25°, and
(3) ¥105 dB(W/m2) for d between 25° and 90°. (b) In the sub-band 17.8–19.3 GHz, the pfd at
the surface of the Earth produced by emis- sions from a Federal space station in an NGSO constellation of 51 or more satellites, for all conditions and for all methods of mod- ulation, shall not exceed the following val- ues in any 1 MHz band:
(1) ¥115 ¥ X dB(W/m2) for d between 0° and 5°,
(2) ¥115 ¥ X + ((10 + X)/20)(d¥5) dB(W/m2) for d between 5° and 25°, and
(3) ¥105 dB(W/m2) for d between 25° and 90°; where X is defined as a function of the num- ber of satellites, n, in an NGSO constellation as follows:
For n ≤ 288, X = (5/119) (n¥50) dB; and For n > 288, X = (1/69) (n + 402) dB.
US335 In the band 220–222 MHz, Federal and non-Federal use of the fixed and land mobile services is restricted as follows:
(a) The sub-bands 220–220.55/221.0–221.55, 220.6–220.8/221.6–221.8, 220.85–220.9/221.85–221.9 and 220.925–221/221.925–222 MHz (Channels 1– 110, 121–160, 171–180 and 186–200, respectively) are available for exclusive non-Federal use. These sub-bands are also available for tem- porary fixed geophysical telemetry oper- ations on a secondary basis to the fixed and land mobile services.
(b) The sub-bands 220.55–220.6/221.55–221.6 MHz (Channels 111–120) are available for ex- clusive Federal use.
(c) The sub-bands 220.8–220.85/221.8–221.85 and 220.9–220.925/221.9–221.925 MHz (Channels 161–170 and 181–185, respectively) are avail- able for shared Federal and non-Federal use.
US337 In the band 13.75–13.8 GHz, the FCC shall coordinate earth stations in the fixed- satellite service with NTIA on a case-by-case basis in order to minimize harmful inter- ference to the Tracking and Data Relay Sat- ellite System’s forward space-to-space link (TDRSS forward link-to-LEO).
US338 The following provisions shall apply in the band 2305–2320 MHz:
(a) In the sub-band 2305–2310 MHz, space-to- Earth operations are prohibited.
(b) Within 145 km of Goldstone, CA (35°25′33″ N., 116°53′23″ W.), Wireless Commu- nications Service (WCS) licensees operating base stations in the band 2305–2320 MHz shall, prior to operation of those base stations, achieve a mutually satisfactory coordination agreement with the National Aeronautics and Space Administration (NASA).
NOTE: NASA operates a deep space facility in Goldstone in the band 2290–2300 MHz.
US339 The bands 2310–2320 and 2345–2360 MHz are also available for aeronautical tele- metering and associated telecommand oper- ations for flight testing of manned or un- manned aircraft, missiles or major compo- nents thereof on a secondary basis to the Wireless Communications Service. The fol- lowing two frequencies are shared on a co- equal basis by Federal and non-Federal sta- tions for telemetering and associated tele- command operations of expendable and re- usable launch vehicles whether or not such operations involve flight testing: 2312.5 and 2352.5 MHz. Other mobile telemetering uses may be provided on a non-interference basis to the above uses. The broadcasting-satellite service (sound) during implementation
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should also take cognizance of the expend- able and reusable launch vehicle frequencies 2312.5 and 2352.5 MHz, to minimize the im- pact on this mobile service use to the extent possible.
US340 The band 2–30 MHz is available on a non-interference basis to Federal and non- Federal maritime and aeronautical stations for the purposes of measuring the quality of reception on radio channels. See 47 CFR 87.149 for the list of protected frequencies and bands within this frequency range. Ac- tual communications shall be limited to those frequencies specifically allocated to the maritime mobile and aeronautical mo- bile services.
US342 In making assignments to stations of other services to which the bands: 13360–13410 kHz 25550–25670 kHz 37.5–38.25 MHz 322–328.6 MHz* 1330–1400 MHz* 1610.6–1613.8 MHz* 1660–1660.5 MHz* 1668.4–1670 MHz* 3260–3267 MHz* 3332–3339 MHz* 3345.8–3352.5 MHz* 4825–4835 MHz* 4950–4990 MHz 6650–6675.2 MHz* 14.47–14.5 GHz* 22.01–22.21 GHz* 22.21–22.5 GHz 22.81–22.86 GHz* 23.07–23.12 Gz* 31.2–31.3 GHz 36.43–36.5 GHz* 42.5–43.5 GHz 42.77–42.87 GHz* 43.07–43.17 GHz* 43.37–43.47 GHz* 48.94–49.04 GHz* 76–86 GHz 92–94 GHz 94.1–100 GHz 102–109.5 GHz 111.8–114.25 GHz 128.33–128.59 GHz* 129.23–129.49 GHz* 130–134 GHz 136–148.5 GHz 151.5–158.5 GHz 168.59–168.93 GHz* 171.11–171.45 GHz* 172.31–172.65 GHz* 173.52–173.85 GHz* 195.75–196.15 GHz* 209–226 GHz 241–250 GHz 252–275 GHz are allocated (*indicates radio astronomy use for spectral line observations), all prac-
ticable steps shall be taken to protect the radio astronomy service from harmful inter- ference. Emissions from spaceborne or air- borne stations can be particularly serious sources of interference to the radio astron- omy service (see ITU Radio Regulations at Nos. 4.5 and 4.6 and Article 29).
US343 Differential-Global-Positioning- System (DGPS) Stations, limited to ground- based transmitters, may be authorized on a primary basis in the bands 108–117.975 and 1559–1610 MHz for the specific purpose of transmitting DGPS information intended for aircraft navigation. Such use shall be in ac- cordance with ITU Resolution 413 (WRC–03).
US344 In the band 5091–5250 MHz, the FCC shall coordinate earth stations in the fixed- satellite service (Earth-to-space) with NTIA (see Recommendation ITU–R S.1342). In order to better protect the operation of the inter- national standard system (microwave land- ing system) in the band 5000–5091 MHz, non- Federal tracking and telecommand oper- ations should be conducted in the band 5150– 5250 MHz.
US345 In the band 401–406 MHz, the mo- bile, except aeronautical mobile, service is allocated on a secondary basis and is limited to, with the exception of military tactical mobile stations, Medical Device Radiocommunication Service (MedRadio) op- erations. MedRadio stations are authorized by rule on the condition that harmful inter- ference is not caused to stations in the mete- orological aids, meteorological-satellite, and Earth exploration-satellite services, and that MedRadio stations accept interference from stations in the meteorological aids, me- teorological-satellite, and Earth exploration- satellite services.
US346 Except as provided for below and by US222, Federal use of the band 2025–2110 MHz by the space operation service (Earth- to-space), Earth exploration-satellite service (Earth-to-space), and space research service (Earth-to-space) shall not constrain the de- ployment of the Television Broadcast Auxil- iary Service, the Cable Television Relay Service, or the Local Television Trans- mission Service. To facilitate compatible op- erations between non-Federal terrestrial re- ceiving stations at fixed sites and Federal earth station transmitters, coordination is required. To facilitate compatible operations between non-Federal terrestrial transmit- ting stations and Federal spacecraft receiv- ers, the terrestrial transmitters in the band 2025–2110 MHz shall not be high-density sys- tems (see Recommendations ITU–R SA.1154 and ITU–R F.1247). Military satellite control stations at the following sites shall operate on a co-equal, primary basis with non-Fed- eral operations:
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Facility Coordinates
Naval Satellite Control Network, Prospect Harbor, ME ........................................................ 44°24′16″ N, 068°00′46″ W New Hampshire Tracking Station, New Boston AFS, NH .................................................... 42°56′52″ N, 071°37′36″ W Eastern Vehicle Check-out Facility & GPS Ground Antenna & Monitoring Station, Cape
Canaveral, FL. 28°29′09″ N, 080°34′33″ W
Buckley AFB, CO .................................................................................................................. 39°42′55″ N, 104°46′36″ W Colorado Tracking Station, Schriever AFB, CO .................................................................... 38°48′21″ N, 104°31′43″ W Kirtland AFB, NM ................................................................................................................... 34°59′46″ N, 106°30′28″ W Camp Parks Communications Annex, Pleasanton, CA ........................................................ 37°43′51″ N, 121°52′50″ W Naval Satellite Control Network, Laguna Peak, CA .............................................................. 34°06′31″ N, 119°03′53″ W Vandenberg Tracking Station, Vandenberg AFB, CA ........................................................... 34°49′21″ N, 120°30′07″ W Hawaii Tracking Station, Kaena Pt, Oahu, HI ....................................................................... 21°33′44″ N, 158°14′31″ W Guam Tracking Stations, Anderson AFB, and Naval CTS, Guam ....................................... 13°36′54″ N, 144°51′18″ E
US347 In the band 2025–2110 MHz, non-Fed- eral Earth-to-space and space-to-space trans- missions may be authorized in the space re- search and Earth exploration-satellite serv- ices subject to such conditions as may be ap- plied on a case-by-case basis. Such trans- missions shall not cause harmful inter- ference to Federal and non-Federal stations operating in accordance with the Table of Frequency Allocations.
US348 The band 3650–3700 MHz is also allo- cated to the Federal radiolocation service on a primary basis at the following sites: St. Inigoes, MD (38°10′ N, 76°23′ W); Pascagoula, MS (30°22′ N, 88°29′ W); and Pensacola, FL (30°21′28″ N, 87°16′26″ W). The FCC shall co- ordinate all non-Federal operations within 80 km of these sites with NTIA on a case-by- case basis.
US349 The band 3650–3700 MHz is also allo- cated to the Federal radiolocation service on a non-interference basis for use by ship sta- tions located at least 44 nautical miles in off-shore ocean areas on the condition that harmful interference is not caused to non- Federal operations.
US350 In the band 1427–1432 MHz, Federal use of the land mobile service and non-Fed- eral use of the fixed and land mobile services is limited to telemetry and telecommand op- erations as described further:
(a) Medical operations. The use of the band 1427–1432 MHz for medical telemetry and telecommand operations (medical oper- ations) shall be authorized for both Federal and non-Federal stations.
(1) Medical operations shall be authorized in the band 1427–1429.5 MHz in the United States and its insular areas, except in the following locations: Austin/Georgetown, Texas; Detroit and Battle Creek, Michigan; Pittsburgh, Pennsylvania; Richmond/Nor-
folk, Virginia; Spokane, Washington; and Washington, DC metropolitan area (collec- tively, the ‘‘carved-out’’ locations). See Sec- tion 47 CFR 90.259(b)(4) for a detailed descrip- tion of these areas.
(2) In the carved-out locations, medical op- erations shall be authorized in the band 1429– 1431.5 MHz.
(3) Medical operations may operate on fre- quencies in the band 1427–1432 MHz other than those described in paragraphs (a)(1) and (2) only if the operations were registered with a designated frequency coordinator prior to April 14, 2010.
(b) Non-medical operations. The use of the band 1427–1432 MHz for non-medical telem- etry and telecommand operations (non-med- ical operations) shall be limited to non-Fed- eral stations.
(1) Non-medical operations shall be author- ized on a secondary basis to the Wireless Medical Telemetry Service (WMTS) in the band 1427–1429.5 MHz and on a primary basis in the band 1429.5–1432 MHz in the United States and its insular areas, except in the carved-out locations.
(2) In the carved-out locations, non-med- ical operations shall be authorized on a sec- ondary basis in the band 1429–1431.5 MHz and on a primary basis in the bands 1427–1429 MHz and 1431.5–1432 MHz.
US351 In the band 1390–1400 MHz, Federal operations (except for medical telemetry and telecommand operations in the sub-band 1395–1400 MHz) are on a non-interference basis to non-Federal operations and shall not constrain implementation of non-Federal op- erations. However, Federal operations au- thorized as of March 22, 1995 at 17 sites iden- tified below will be continued on a fully pro- tected basis until January 1, 2009.
80 km radius of operation centered on:
State Site Coordinates
AK ......... Ft. Greely ....................................................................................................................... 63°47′ N, 145°52′ W AL .......... Ft. Rucker ...................................................................................................................... 31°13′ N, 085°49′ W AL .......... Redstone ........................................................................................................................ 34°35′ N, 086°35′ W AZ ......... Ft. Huachuca .................................................................................................................. 31°33′ N, 110°18′ W AZ ......... Yuma .............................................................................................................................. 32°29′ N, 114°20′ W CA ......... China Lake ..................................................................................................................... 35°41′ N, 117°41′ W
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80 km radius of operation centered on:
State Site Coordinates
CA ......... Edwards AFB ................................................................................................................. 34°54′ N, 117°53′ W CA ......... Pacific Missile Range ..................................................................................................... 34°07′ N, 119°30′ W FL .......... Eglin AFB ....................................................................................................................... 30°28′ N, 086°31′ W MD ........ Aberdeen PG ................................................................................................................. 39°29′ N, 076°08′ W MD ........ Patuxent River ............................................................................................................... 38°17′ N, 076°25′ W NC ......... Cherry Point ................................................................................................................... 34°57′ N, 076°56′ W NM ........ Holloman AFB ................................................................................................................ 33°29′ N, 106°50′ W NM ........ WSM Range ................................................................................................................... 32°10′ N, 106°21′ W OH ......... Wright-Patterson AFB .................................................................................................... 39°50′ N, 084°03′ W UT ......... Dugway PG .................................................................................................................... 40°11′ N, 112°53′ W UT ......... Utah Test Range ............................................................................................................ 40°57′ N, 113°05′ W
US352 In the band 1427–1432 MHz, Federal operations, except for medical telemetry and medical telecommand operations, are on a non-interference basis to authorized non- Federal operations and shall not hinder the implementation of any non-Federal oper- ations.
US353 In the bands 56.24–56.29 GHz, 58.422– 58.472 GHz, 59.139–59.189 GHz, 59.566–59.616 GHz, 60.281–60.331 GHz, 60.41–60.46 GHz, and 62.461–62.511 GHz, space-based radio astron- omy observations may be made on an unpro- tected basis.
US354 In the band 58.422–58.472 GHz, air- borne stations and space stations in the space-to-Earth direction shall not be author- ized.
US355 In the band 10.7–11.7 GHz, non-geo- stationary satellite orbit licensees in the fixed-satellite service (space-to-Earth), prior to commencing operations, shall coordinate with the following radio astronomy observ- atories to achieve a mutually acceptable agreement regarding the protection of the radio telescope facilities operating in the band 10.6–10.7 GHz:
Observatory North latitude West longitude Elevation(in meters)
Arecibo Observatory, PR .......................................................... 18°20′39″ ................... 66°45′10″ ................... 496 Green Bank Telescope (GBT), WV .......................................... 38°25′59″ ................... 79°50′23″ ................... 825 Very Large Array (VLA), Socorro, NM ...................................... 34°04′44″ ................... 107°37′06″ ................. 2126 Very Long Baseline Array (VLBA) Stations:
Brewster, WA .............................................................. 48°07′52″ ................... 119°41′00″ ................. 255 Fort Davis, TX ............................................................. 30°38′06″ ................... 103°56′41″ ................. 1615 Hancock, NH ............................................................... 42°56′01″ ................... 71°59′12″ ................... 309 Kitt Peak, AZ ............................................................... 31°57′23″ ................... 111°36′45″ ................. 1916 Los Alamos, NM ......................................................... 35°46′30″ ................... 106°14′44″ ................. 1967 Mauna Kea, HI ............................................................ 19°48′05″ ................... 155°27′20″ ................. 3720 North Liberty, IA .......................................................... 41°46′17″ ................... 91°34′27″ ................... 241 Owens Valley, CA ....................................................... 37°13′54″ ................... 118°16′37″ ................. 1207 Pie Town, NM ............................................................. 34°18′04″ ................... 108°07′09″ ................. 2371 St. Croix, VI ................................................................. 17°45′24″ ................... 64°35′01″ ................... 16
US356 In the band 13.75–14 GHz, an earth station in the fixed-satellite service shall have a minimum antenna diameter of 4.5 m and the e.i.r.p. of any emission should be at least 68 dBW and should not exceed 85 dBW. In addition the e.i.r.p., averaged over one second, radiated by a station in the radio- location service shall not exceed 59 dBW. Re- ceiving space stations in the fixed-satellite service shall not claim protection from radiolocation transmitting stations oper- ating in accordance with the United States Table of Frequency Allocations. ITU Radio Regulation No. 5.43A does not apply.
US357 In the band 13.75–14 GHz, geo- stationary space stations in the space re- search service for which information for ad- vance publication has been received by the ITU Radiocommunication Bureau (Bureau)
prior to 31 January 1992 shall operate on an equal basis with stations in the fixed-sat- ellite service; after that date, new geo- stationary space stations in the space re- search service will operate on a secondary basis. Until those geostationary space sta- tions in the space research service for which information for advance publication has been received by the Bureau prior to 31 Janu- ary 1992 cease to operate in this band:
a. The e.i.r.p. density of emissions from any earth station in the fixed-satellite serv- ice operating with a space station in geo- stationary-satellite orbit shall not exceed 71 dBW in any 6 MHz band from 13.77 to 13.78 GHz;
b. The e.i.r.p. density of emissions from any earth station in the fixed-satellite serv- ice operating with a space station in non-
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geostationary-satellite orbit shall not exceed 51 dBW in any 6 MHz band from 13.77 to 13.78 GHz.
Automatic power control may be used to increase the e.i.r.p. density in any 6 MHz band in these frequency ranges to com- pensate for rain attenuation, to the extent that the power flux-density at the fixed-sat- ellite service space station does not exceed the value resulting from use by an earth sta- tion of an e.i.r.p. of 71 dBW or 51 dBW, as ap- propriate, in any 6 MHz band in clear-sky conditions.
US359 In the band 15.43–15.63 GHz, use of the fixed-satellite service (Earth-to-space) is limited to non-Federal feeder links of non- geostationary systems in the mobile-sat- ellite service. The FCC shall coordinate
Earth stations in this band with NTIA (see Annex 3 of Recommendation ITU–R S.1340).
US360 The band 33–36 GHz is also allo- cated to the fixed-satellite service (space-to- Earth) on a primary basis for Federal use. Coordination between Federal fixed-satellite service systems and non-Federal systems op- erating in accordance with the United States Table of Frequency Allocations is required.
US361 In the band 1432–1435 MHz, Federal stations in the fixed and mobile services may operate indefinitely on a primary basis at the 23 sites listed below. All other Federal stations in the fixed and mobile services shall operate in the band 1432–1435 MHz on a primary basis until reaccommodated in ac- cordance with the National Defense Author- ization Act of 1999.
Location North latitude/westlongitude
Operating radius (Km)
Location North latitude/westlongitude
Operating radius (Km)
China Lake/Edwards AFB, CA 35°29′/117°16′ ..... 100 AUTEC .............................. 24°30′/078°00′ ......... 80 White Sands Missile Range/
Holloman AFB, NM. 32°11′/106°20′ ..... 160 Beaufort MCAS, SC ......... 32°26′/080°40′ ......... 160
Utah Test and Training Range/Dugway Proving Ground, Hill AFB, UT.
40°57′/113°05′ ..... 160 MCAS Cherry Point, NC ... 34°54′/076°53′ ........ 100
Patuxent River, MD ................ 38°17′/076°24′ ..... 70 NAS Cecil Field, FL .......... 30°13′/081°52′ ........ 160 Nellis AFB, NV ....................... 37°29′/114°14′ ..... 130 CNAS Fallon, NV .............. 39°30′/118°46′ ......... 100 Fort Huachuca, AZ ................. 31°33′/110°18′ ..... 80 NAS Oceana, VA .............. 36°49′/076°01′ ........ 100 Eglin AFB/Gulfport ANG ......... 30°28′/086°31′ ..... 140 NAS Whidbey ................... 48°21′/122°39′ ........ 70 Range, MS/Fort Rucker, AL ... .............................. ................ Island, WA. Yuma Proving Ground, AZ ..... 32°29′/114°20′ ..... 160 NCTAMS, GUM ................ 13°35′/144°51′(East) 80 Fort Greeley, AK .................... 63°47′/145°52′ ..... 80 Lemoore, CA .................... 36°20′/119°57′ ........ 120 Redstone Arsenal, AL ............ 34°35′/086°35′ ..... 80 Savannah River, SC ......... 33°15′/081°39′ ........ 3 Alpene Range, MI .................. 44°23′/083°20′ ..... 80 Camp Shelby, MS .................. 31°20′/089°18′ ..... 80 Naval Space Operations
Center, ME. 44°24′/068°01′ ........ 80
US362 The band 1670–1675 MHz is allocated to the meteorological-satellite service (space-to-Earth) on a primary basis for Fed- eral use. Earth station use of this allocation is limited to Wallops Island, VA (37°56′44″ N, 75°27′37″ W), Fairbanks, AK (64°58′22″ N, 147°30′04″ W), and Greenbelt, MD (39°00′02″ N, 76°50′29″ W). Applicants for non-Federal sta- tions within 100 kilometers of the Wallops Is- land or Fairbanks coordinates and within 65 kilometers of the Greenbelt coordinates shall notify NOAA in accordance with the procedures specified in 47 CFR 1.924.
US364 Consistent with US18, stations may be authorized on a primary basis in the band 285–325 kHz for the specific purpose of trans- mitting differential global positioning sys- tem information.
US366 In the bands 5900–5950 kHz, 7300–7350 kHz, 9400–9500 kHz, 11600–11650 kHz, 12050– 12100 kHz, 13570–13600 kHz, 13800–13870 kHz, 15600–15800 kHz, 17480–17550 kHz, and 18900– 19020 kHz, the following provisions shall apply to stations in the fixed and mobile ex- cept aeronautical mobile services:
(a) All Stations. Federal and non-Federal stations shall:
(1) Be limited to communicating only within the United States and its insular areas;
(2) Not cause harmful interference to the reception of, and must accept interference from, international broadcast stations;
(3) Be limited to the minimum power re- quired to achieve reliable communications; and
(4) Take account of the seasonal use of fre- quencies by the broadcasting service pub- lished in accordance with Article 12 of the ITU Radio Regulations.
(b) Existing and Future Federal Stations. (1) Frequencies in all of the above listed fre- quency bands may be used by existing and future Federal stations in the fixed service; and
(2) Frequencies in the bands 5900–5950 kHz, 7300–7350 kHz, 13570–13600 kHz, and 13800–13870 kHz may also be used by existing and future Federal stations in the mobile except aero- nautical mobile service.
(c) Grandfathered non-Federal Stations. (1) Frequencies in the bands 5900–5950 kHz, 7300– 7350 kHz, 9400–9500 kHz, 11600–11650 kHz, 12050–12100 kHz, 13800–13870 kHz, and 15600–
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15800 kHz may continue to be used by non- Federal stations in the fixed service that were licensed prior to March 25, 2007; and
(2) Frequencies in the bands 5900–5950 kHz and 7300–7350 kHz may continue to be used by non-Federal stations in the mobile except aeronautical mobile service that were li- censed prior to March 25, 2007.
US367 On the condition that harmful in- terference is not caused to the broadcasting service, frequencies in the bands 9775–9900 kHz, 11650–11700 kHz, and 11975–12050 kHz may be used by Federal stations in the fixed service communicating within the United States and its insular areas that are author- ized as of June 12, 2003. Each such station shall be limited to a total radiated power of 24 dBW.
US368 (a) The use of the bands 1390–1392 MHz and 1430–1432 MHz by the fixed-satellite service is limited to feeder links for the Non- Voice Non-Geostationary Mobile-Satellite Service and is contingent on:
(1) The completion of ITU–R studies on all identified compatibility issues as shown in Annex 1 of Resolution 745 (WRC–2003);
(2) Measurement of emissions from equip- ment that would be employed in operational systems and demonstrations to validate the studies as called for in Resolution 745 (WRC– 2003); and
(3) Compliance with any technical and operational requirements that may be im- posed at WRC–07 to protect other services in these bands and passive services in the band 1400–1427 MHz from unwanted emissions.
(b) The FCC shall coordinate individual as- signments with NTIA (see, for example, Rec- ommendations ITU–R RA.769–2 and ITU–R SA.1029–2) to ensure the protection of passive services in the band 1400–1427 MHz. As part of the coordination requirements, the feeder uplink and downlink systems shall be tested and certified to be in conformance with the technical and operational out-of-band re- quirements for the protection of passive services in the band 1400–1427 MHz. Certifi- cation and all supporting documentation shall be submitted to the FCC at least three months prior to launch.
US378 In the band 1710–1755 MHz, the fol- lowing provisions apply:
(a) Federal fixed and tactical radio relay stations may operate indefinitely on a pri- mary basis within 80 km of Cherry Point, NC (34°58′ N, 076°56′ W) and Yuma, AZ (32°32′ N, 113°58′ W).
(b) Federal fixed and tactical radio relay stations shall operate on a secondary basis to primary non-Federal operations at the 14 sites listed below:
State Location Coordinates
80 km radius of operation centered on:
CA ......... China Lake ..................................................................................................................... 35°41′ N, 117°41′ W CA ......... Pacific Missile Test Range/Point Mugu ......................................................................... 34°07′ N, 119°30′ W FL .......... Eglin AFB ....................................................................................................................... 30°29′ N, 086°31′ W MD ........ Patuxent River ............................................................................................................... 38°17′ N, 076°25′ W NM ........ White Sands Missile Range ........................................................................................... 33°00′ N, 106°30′ W NV ......... Nellis AFB ...................................................................................................................... 36°14′ N, 115°02′ W UT ......... Hill AFB .......................................................................................................................... 41°07′ N, 111°58′ W AL .......... Fort Rucker .................................................................................................................... 31°13′ N, 085°49′ W CA ......... Fort Irwin ........................................................................................................................ 35°16′ N, 116°41′ W GA ......... Fort Benning .................................................................................................................. 32°22′ N, 084°56′ W GA ......... Fort Stewart ................................................................................................................... 31°52′ N, 081°37′ W KY ......... Fort Campbell ................................................................................................................ 36°41′ N, 087°28′ W NC ......... Fort Bragg ...................................................................................................................... 35°09′ N, 079°01′ W WA ........ Fort Lewis ...................................................................................................................... 47°05′ N, 122°36′ W
(c) In the sub-band 1710–1720 MHz, precision guided munitions shall operate on a primary basis until inventory is exhausted or until December 31, 2008, whichever is earlier.
(d) All other Federal stations in the fixed and mobile services shall operate on a pri- mary basis until reaccommodated in accord- ance with the Commercial Spectrum En- hancement Act.
US379 In the band 55.78–56.26 GHz, in order to protect stations in the Earth exploration- satellite service (passive), the maximum power density delivered by a transmitter to the antenna of a fixed service station is lim- ited to¥28.5 dB(W/MHz).
US380 In the bands 1525–1544 MHz, 1545– 1559 MHz, 1610–1645.5 MHz, 1646.5–1660.5 MHz, 2000–2020 MHz, 2180–2200 MHz, and 2483.5–2500 MHz, a non-Federal licensee in the mobile- satellite service (MSS) may also operate an ancillary terrestrial component in conjunc- tion with its MSS network, subject to the Commission’s rules for ancillary terrestrial components and subject to all applicable conditions and provisions of its MSS author- ization.
US381 The frequencies 5332 kHz, 5348 kHz, 5368 kHz, 5373 kHz, and 5405 kHz are allocated to the amateur service on a secondary basis. Amateur use of these frequencies shall be
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limited to 50 watts e.r.p. and to single side- band suppressed carrier modulation (emis- sion designator 2K8J3E), upper sideband voice transmissions only.
US382 In the band 39.5–40 GHz, Federal earth stations in the mobile-satellite service (space-to-Earth) shall not claim protection from non-Federal stations in the fixed and mobile services. ITU Radio Regulation No. 5.43A does not apply.
US384 In the band 401–403 MHz, the non- Federal Earth exploration-satellite (Earth- to-space) and meteorological-satellite (Earth-to-space) services are limited to earth stations transmitting to Federal space sta- tions.
US388 In the bands 81–86 GHz, 92–94 GHz, and 94.1–95 GHz and within the coordination distances indicated below, assignments to al- located services shall be coordinated with the following radio astronomy observatories. New observatories shall not receive protec- tion from fixed stations that are licensed to operate in the one hundred most populous urbanized areas as defined by the U.S. Cen- sus Bureau for the year 2000.
NOTE: Satisfactory completion of the co- ordination procedure utilizing the auto- mated mechanism, see 47 CFR 101.1523, will be deemed to establish sufficient separation from radio astronomy observatories, regard- less of whether the distances set forth above are met.
Telescope and site
150 kilometer (93 mile) radius
centered on:
North lati- tude
West lon- gitude
National Radio Astronomy Observatory (NRAO), Robert C. Byrd Telescope, Green Bank, WV ........ 38°25′59″ 79°50′23″ NRAO, Very Large Array, Socorro, NM ................................................................................................ 34°04′44″ 107°37′06″ University of Arizona 12-m Telescope, Kitt Peak, AZ .......................................................................... 31°57′12″ 111°36′53″ Caltech Telescope, Owens Valley, CA ................................................................................................. 37°13′54″ 118°17′36″ Five College Observatory, Amherst, MA .............................................................................................. 42°23′30″ 72°20′42″ Haystack Observatory, Westford, MA ................................................................................................... 42°37′24″ 71°29′18″ James Clerk Maxwell Telescope, Mauna Kea, HI ................................................................................ 19°49′33″ 155°28′47″ Combined Array for Research in Millimeter-wave Astronomy (CARMA), CA ...................................... 37°16′43″ 118°08′32″
NRAO, Very Long Baseline Array Stations
25 kilometer (15.5 mile) radius centered on:
North lati- tude
West lon- gitude
Brewster, WA ........................................................................................................................................ 48°07′52″ 119°41′00″ Fort Davis, TX ....................................................................................................................................... 30°38′06″ 103°56′41″ Hancock, NH ......................................................................................................................................... 42°56′01″ 71°59′12″ Kitt Peak, AZ ......................................................................................................................................... 31°57′23″ 111°36′45″ Los Alamos, NM .................................................................................................................................... 35°46′30″ 106°14′44″ Mauna Kea, HI ...................................................................................................................................... 19°48′05″ 155°27′20″ North Liberty, IA .................................................................................................................................... 41°46′17″ 91°34′27″ Owens Valley, CA ................................................................................................................................. 37°13′54″ 118°16′37″ Pie Town, NM ........................................................................................................................................ 34°18′04″ 108°07′09″ Saint Croix, VI ....................................................................................................................................... 17°45′24″ 64°35′01″
US389 In the bands 71–76 GHz and 81–86 GHz, stations in the fixed, mobile, and broad- casting services shall not cause harmful in- terference to, nor claim protection from, Federal stations in the fixed-satellite service at any of the following 28 military installa- tions:
Military installation State Nearby city
Redstone Arsenal ................................. AL ... Huntsville Fort Huachuca ...................................... AZ .. Sierra Vista Yuma Proving Ground ......................... AZ .. Yuma Beale AFB ............................................ CA .. Marysville Camp Parks Reserve Forces Training
Area. CA .. Dublin
China Lake Naval Air Weapons Sta- tion.
CA .. Ridgecrest
Edwards AFB ....................................... CA .. Rosamond Fort Irwin .............................................. CA .. Barstow
Military installation State Nearby city
Marine Corps Air Ground Combat Center.
CO .. Twentynine Palms
Buckley AFB ......................................... GA .. Aurora (Den- ver)
Schriever AFB ...................................... CO .. Colorado Springs
Fort Gordon .......................................... GA .. Augusta Naval Satellite Operations Center ....... GU .. Finegayan
(Guam) Naval Computer and Telecommuni-
cations Area Master Station, Pacific. HI ... Wahiawa
(Oahu Is.) Fort Detrick ........................................... MD Frederick Nellis AFB ............................................ NV .. Las Vegas Nevada Test Site ................................. NV .. Amargosa
Valley Tonapah Test Range Airfield ............... NV .. Tonapah Cannon AFB ......................................... NM Clovis White Sands Missile Range ................. NM White Sands Dyess AFB ........................................... TX .. Abilene
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Military installation State Nearby city
Fort Bliss .............................................. TX .. El Paso Fort Sam Houston ................................ TX .. San Antonio Goodfellow AFB ................................... TX .. San Angelo Kelly AFB ............................................. TX .. San Antonio Utah Test and Training Range ............ UT .. Fort Belvoir ........................................... VA .. Alexandria Naval Satellite Operations Center ....... VA .. Chesapeake
US390 Federal stations in the space re- search service (active) operating in the band 5350–5460 MHz shall not cause harmful inter- ference to, nor claim protection from, Fed- eral and non-Federal stations in the aero- nautical radionavigation service nor Federal stations in the radiolocation service.
US391 In the band 2495–2500 MHz, the mo- bile-satellite service (space-to-Earth) shall not receive protection from non-Federal sta- tions in the fixed and mobile except aero- nautical mobile services operating in that band.
US393 In the band 2025–2110 MHz, the mili- tary services may operate stations in the fixed and mobile except aeronautical mobile services on a secondary and coordinated basis at the following sites:
Site Coordinates Radius of operation
(km)
Nellis AFB, NV ............. 36° 14′ N 115° 02′ W 80 China Lake, CA. .......... 35° 41′ N 117° 41′ W 50 Ft. Irwin, CA ................. 35° 16′ N 116° 41′ W 50 Pacific Missile Test
Range/Pt. Mugu, CA. 34° 07′ N 119° 30′ W 80
Yuma, AZ ..................... 32° 32′ N 113° 58′ W 80 White Sands Missile
Range, NM. 33° 00′ N 106° 30′ W 80
US394 Until March 29, 2009, the band 6765– 7000 kHz is allocated to the fixed service on a primary basis and to the mobile service on a secondary basis. After this date, this band is allocated to the fixed and the mobile ex- cept aeronautical mobile (R) services on a primary basis.
US395 Until March 29, 2009, the use of the band 7100–7200 kHz in Region 1 and Region 3 by the amateur service shall not impose con- straints on the broadcasting service intended for use within Region 1 and Region 3.
US396 The band 7350–7400 kHz is allocated exclusively to the broadcasting service in ac- cordance with the schedule specified below, except that, in Alaska, the sub-band 7368.5– 7371.3 kHz is allocated to the fixed service on an exclusive basis for non-Federal use in ac- cordance with 47 CFR 80.387.
(a) Until March 29, 2009, the band 7350–7400 kHz is allocated to the fixed service on a pri- mary basis and to the mobile except aero- nautical mobile service on a secondary basis for Federal and non-Federal use.
(b) After March 29, 2009, authority to oper- ate in the band 7350–7400 kHz shall not be ex- tended to new non-Federal stations in the
fixed and mobile except aeronautical mobile services.
(c) After March 29, 2009, Federal and non- Federal stations in the fixed and mobile ex- cept aeronautical mobile services shall:
(1) Be limited to communications wholly within the United States and its insular areas;
(2) Not cause harmful interference to the broadcasting service;
(3) Be limited to the minimum power need- ed to achieve communications; and
(4) Take account of the seasonal use of fre- quencies by the broadcasting service pub- lished in accordance with Article 12 of the ITU Radio Regulations.
US397 In the band 432–438 MHz, the Earth exploration-satellite service (active) is allo- cated on a secondary basis for Federal use. Stations in the Earth exploration-satellite service (active) shall not be operated within line-of-sight of the United States except for the purpose of short duration pre-operational testing. Operations under this allocation shall not cause harmful interference to, nor claim protection from, any other services al- located in the band 432–438 MHz in the United States, including secondary services and the amateur-satellite service.
US398 In the bands 1390–1400 MHz and 1427–1432 MHz, airborne and space-to-Earth operations, except for feeder downlinks for the Non-Voice Non-Geostationary Mobile- Satellite Service in the band 1430–1432 MHz (see US368), are prohibited.
US399 The frequency bands 161.9625– 161.9875 MHz (AIS 1 with its center frequency at 161.975 MHz) and 162.0125–162.0375 MHz (AIS 2 with its center frequency at 162.025 MHz) are allocated to the maritime mobile service on a primary basis for Federal Government and non-Federal Government use, and shall be used exclusively for Automatic Identifica- tion Systems (AIS). However, in VHF Public Coast Service Areas (VPCSAs) 1–9, site-based stations licensed prior to November 13, 2006, may continue to operate on a co-primary basis in the frequency band 161.9625–161.9875 MHz until expiration of the license term for licenses in active status as of November 13, 2006. Also, in VPCSAs 10–42, site-based sta- tions licensed in the frequency band 161.9625– 161.9875 MHz prior to March 2, 2009 may re- main authorized to operate on a co-primary basis in that frequency band until March 4, 2024, and geographical stations licensed in the frequency band 161.9625–161.9875 MHz prior to March 2, 2009 may continue to oper- ate on a co-primary basis in that frequency band until March 2, 2011. See 47 CFR 80.371(c)(1)(ii) for the definitions of VPCSAs, and geographic license.
US400 The use of the center frequency 978 MHz may be authorized to Universal Access Transceiver (UAT) stations on a primary basis for the specific purpose of transmitting
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datalink information in support of the Auto- matic Dependent Surveillance—Broadcast (ADS–B) Service, Traffic Information Serv- ices—Broadcast (TIS–B), and Flight Informa- tion—Broadcast (FIS–B).
US401 In the band 17.7–17.8 GHz, Federal earth stations in the fixed-satellite service (space-to-Earth) may be authorized in the Denver, CO and Washington, DC areas on a primary basis. Before commencement of op- erations, the FCC shall coordinate fixed service applications supporting Multichannel Video Programming Distributors (MVPD) with NTIA.
US402 In the band 17.3–17.7 GHz, existing Federal satellites and associated earth sta- tions in the fixed-satellite service (Earth-to- space) are authorized to operate on a pri- mary basis in the frequency bands and areas listed below. Receiving earth stations in the broadcasting-satellite service within the bands and areas listed below shall not claim protection from Federal earth stations in the fixed-satellite service.
(a) 17.600–17.700 GHz for stations within a 120 km radius of 38° 49′ N latitude and 76° 52′ W longitude.
(b) 17.375–17.475 GHz for stations within a 160 km radius of 39° 42′ N latitude and 104° 45′ W longitude.
NON-FEDERAL GOVERNMENT (NG) FOOTNOTES
(These footnotes, each consisting of the let- ters ‘‘NG’’ followed by one or more digits, de- note stipulations applicable only to non-Fed- eral operations and thus appear solely in the non-Federal Table.)
NG1 The band 535–1705 kHz is also allo- cated to the mobile service on a secondary basis for the distribution of public service in- formation from Travelers Information Sta- tions operating in accordance with the provi- sions of 47 CFR 90.242 on 10 kilohertz spaced channels from 540 kHz to 1700 kHz.
NG2 Facsimile broadcasting stations may be authorized in the band 88–108 MHz.
NG3 Control stations in the domestic pub- lic mobile radio service may be authorized frequencies in the band 72–73 and 75.4–76 MHz on the condition that harmful interference will not be caused to operational fixed sta- tions.
NG4 The use of the frequencies in the band 152.84–153.38 MHz may be authorized, in any area, to remote pickup broadcast base and mobile stations on the condition that harmful interference will not be caused to stations operating in accordance with the Table of Frequency Allocations.
NG6 Stations in the public safety radio services authorized as of June 30, 1958, to use frequencies in the band 159.51–161.79 MHz in areas other than Puerto Rico and the Virgin Islands may continue such operation, includ- ing expansion of existing systems, on the condition that harmful interference will not be caused to stations in the services to which
these bands are allocated. In Puerto Rico and the Virgin Islands this authority is lim- ited to frequencies in the band 160.05–161.37 MHz. No new public radio service system will be authorized to operate on these fre- quencies.
NG12 Frequencies in the bands 454.40–455 MHz and 459.40–460 MHz may be assigned to domestic public land and mobile stations to provide a two-way air-ground public radio- telephone service.
NG17 Stations in the land transportation radio services authorized as of May 15, 1958 to operate on the frequency 161.61 MHz may, upon proper application, continue to be au- thorized for such operation, including expan- sion of existing systems, on the condition that harmful interference will not be caused to the operation of any authorized station in the maritime mobile service. No new land transportation radio service system will be authorized to operate on 161.61 MHz.
NG19 Fixed stations associated with the maritime mobile service may be authorized, for purposes of communication with coast stations, to use frequencies assignable to ship stations in this band on the condition that harmful interference will not be caused to services operating in accordance with the Table of Frequency Allocations.
NG28 In Puerto Rico and the United States Virgin Islands, the band 160.86–161.4 MHz is available for assignment to remote pickup broadcast stations on a shared basis with stations in the Industrial/Business Pool.
NG30 In Puerto Rico, the band 942–944 MHz is alternatively allocated to the fixed service (aural broadcast auxiliary stations).
NG42 In the band 10–10.5 GHz, non-Federal stations in the radiolocation service shall not cause harmful interference to the ama- teur service.
NG49 The following frequencies may be authorized for mobile operations in the Man- ufacturers Radio Service subject to the con- dition that no interference is caused to the reception of television stations operating on channels 4 and 5 and that their use is limited to a manufacturing facility:
MHZ
72.02 72.04 72.06 72.08 72.10 72.12 72.14 72.16 72.18 72.20
72.22 72.24 72.26 72.28 72.30 72.32 72.34 72.36 72.38 72.40
Further, the following frequencies may be authorized for mobile operations in the Spe- cial Industrial Radio Service, Manufacturers Radio Service, Railroad Radio Service and
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Forest Products Radio Service subject to the condition that no interference is caused to the reception of television stations operating on channels 4 and 5; and that their use is limited to a railroad yard, manufacturing plant, logging site, mill, or similar indus- trial facility.
MHZ
72.44 72.48 72.52 72.56 72.60
75.44 75.48 75.52 75.56 75.60
NG51 In Puerto Rico and the United States Virgin Islands, the use of band 150.8– 151.49 MHz by the fixed and land mobile serv- ices is limited to stations in the Industrial/ Business Pool.
NG53 In the band 13.15–13.25 GHz, the fol- lowing provisions shall apply:
(a) The sub-band 13.15–13.2 GHz is reserved for television pickup (TVPU) and cable tele- vision relay service (CARS) pickup stations inside a 50 km radius of the 100 television markets delineated in 47 CFR 76.51; and out- side these areas, TVPU stations, CARS sta- tions and non-geostationary satellite orbit fixed-satellite service (NGSO FSS) gateway earth stations shall operate on a co-primary basis.
(b) The sub-band 13.2–13.2125 GHz is re- served for TVPU stations on a primary basis and for CARS pickup stations on a secondary basis inside a 50 km radius of the 100 tele- vision markets delineated in 47 CFR 76.51; and outside these areas, TVPU stations and NGSO FSS gateway earth stations shall op- erate on a co-primary basis and CARS sta- tions shall operate on a secondary basis.
(c) In the band 13.15–13.25 GHz, fixed tele- vision auxiliary stations licensed pursuant to applications accepted for filing before September 1, 1979, may continue operation, subject to periodic license renewals.
(d) In the sub-band 13.15–13.2125 GHz, NGSO FSS gateway uplink transmissions shall be limited to a maximum e.i.r.p. of 3.2 dBW to- wards 0° on the radio horizon.
NOTE: The above provisions shall not apply to geostationary satellite orbit (GSO) FSS operations in the band 12.75–13.25 GHz.
NG56 In the bands 72–73 and 75.4–76 MHz, the use of mobile radio remote control of models is on a secondary basis to all other fixed and mobile operations. Such operations are subject to the condition that inter- ference will not be caused to common carrier domestic public stations, to remote control of industrial equipment operating in the band 72–76 MHz, or to the reception of tele- vision signals on channels 4 (66–72 MHz) or 5 (76–82 MHz). Television interference shall be considered to occur whenever reception of regularly used television signals is impaired or destroyed, regardless of the strength of the television signal or the distance to the television station.
NG59 The frequencies 37.60 and 37.85 MHz may be authorized only for use by base, mo- bile, and operational fixed stations partici- pating in an interconnected or coordinated power service utility system.
NG66 The band 470–512 MHz (TV channels 14–20) is allocated to the broadcasting service on an exclusive basis throughout the United States and its insular areas, except as de- scribed below:
(a) In the urbanized areas listed in the table below, the indicated frequency bands are allocated to the land mobile service on an exclusive basis for assignment to eligibles in the Public Mobile Services, the Public Safety Radio Pool, and the Industrial/Busi- ness Radio Pool, except that:
(1) Licensees in the land mobile service that are regulated as Commercial Mobile Radio Service (CMRS) providers may also use their assigned spectrum to provide fixed service on a primary basis.
(2) The use of the band 482–488 MHz (TV channel 16) is limited to eligibles in the Pub- lic Safety Radio Pool in or near (i) the Los Angeles urbanized area; and (ii) New York City; Nassau, Suffolk, and Westchester Coun- ties in New York State; and Bergen County, NJ.
Urbanized area Bands(MHz) TV channels
Boston, MA ................................................ 470–476, 482–488 14, 16 Chicago, IL-Northwestern IN ...................... 470–476, 476–482 14, 15 Cleveland, OH ............................................ 470–476, 476–482 14, 15 Dallas-Fort Worth, TX ................................ 482–488 16 Detroit, MI ................................................... 476–482, 482–488 15, 16 Houston, TX ............................................... 488–494 17 Los Angeles, CA ........................................ 470–476, 482–488, 506–512 14, 16, 20 Miami, FL ................................................... 470–476 14 New York, NY-Northeastern NJ ................. 470–476, 476–482, 482–488 14, 15, 16 Philadelphia, PA-NJ ................................... 500–506, 506–512 19, 20 Pittsburgh, PA ............................................ 470–476, 494–500 14, 18 San Francisco-Oakland, CA ...................... 482–488, 488–494 16, 17 Washington, DC-MD-VA ............................ 488–494, 494–500 17, 18
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(b) In the Gulf of Mexico offshore from the Louisiana-Texas coast, the band 476–494 MHz (TV channels 15–17) is allocated to the fixed and mobile services on a primary basis for assignment to eligibles in the Public Mobile and Private Land Mobile Radio Services.
(c) In Hawaii, the band 488–494 MHz (TV channel 17) is allocated exclusively to the fixed service for use by common carrier con- trol and repeater stations for point-to-point inter-island communications only.
(d) The use of these allocations is further subject to the conditions set forth in 47 CFR parts 22 and 90.
NG70 In Puerto Rico and the Virgin Is- lands only, the bands 159.240–159.435 and 160.410–160.620 MHz are also available for as- signment to base stations and mobile sta- tions in the special industrial radio service.
NG104 The use of the bands 10.7–11.7 GHz (space-to-Earth) and 12.75–13.25 GHz (Earth- to-space) by the fixed-satellite service in the geostationary-satellite orbit shall be limited to international systems, i.e., other than do- mestic systems.
NG111 The band 157.4375–157.4625 MHz may be used for one way paging operations in the special emergency radio service.
NG112 The frequencies 25.04, 25.08, 150.980, 154.585, 158.445, 159.480, 454.000 and 459.000 MHz may be authorized to stations in the Indus- trial/Business Pool for use primarily in oil spill containment and cleanup operations and secondarily in regular land mobile com- munication.
NG115 In the bands 54–72 MHz, 76–88 MHz, 174–216 MHz, 470–608 MHz, and 614–698 MHz, wireless microphones and wireless assist video devices may be authorized on a non-in- terference basis, subject to the terms and conditions set forth in 47 CFR part 74, sub- part H.
NG117 The frequency 156.050 and 156.175 MHz may be assigned to stations in the mar- itime mobile service for commercial and port operations in the New Orleans Vessel Traffic Service (VTS) area and the frequency 156.250 MHz may be assigned to stations in the mar- itime mobile service for port operating in the New Orleans and Houston VTS areas.
NG118 In the bands 2025–2110 MHz, 6875– 7125 MHz, and 12.7–13.25 GHz, television translator relay stations may be authorized to use frequencies on a secondary basis to other stations in the Television Broadcast Auxiliary Service that are operating in ac- cordance with the Table of Frequency Allo- cations.
NG120 Frequencies in the band 928–960 MHz may be assigned for multiple address systems and mobile operations on a primary basis as specified in 47 CFR part 101.
NG124 In the bands 30.85–34, 37–38, 39–40, 42–47.41, 150.995–156.25, 158.715–159.465, 453.0125– 453.9875, 458.0125–458.9875, 460.0125–465.6375, and 467.9375–467.9875 MHz, police licensees are authorized to operate low-power transmit-
ters on a secondary basis in accordance with the provisions of 47 CFR 2.803 and 90.20(e)(5).
NG128 In the band 535–1705 kHz, AM broadcast licensees or permittees may use their AM carrier on a secondary basis to transmit signals intended for both broadcast and non-broadcast purposes. In the band 88– 108 MHz, FM broadcast licensees or permit- tees are permitted to use subcarriers on a secondary basis to transmit signals intended for both broadcast and non-broadcast pur- poses. In the bands 54–72, 76–88, 174–216, 470– 608 and 614–806 MHz, TV broadcast licensees or permittees are permitted to use subcar- riers on a secondary basis for both broadcast and non-broadcast purposes.
NG134 In the band 10.45–10.5 GHz, non- Federal stations in the radiolocation service shall not cause harmful interference to the amateur and amateur-satellite services.
NG135 In the 420–430 MHz band the ama- teur service is not allocated north of line A (def. § 2.1).
NG141 In Alaska, the frequencies 42.4 MHz and 44.1 MHz are authorized on a primary basis for meteor burst communications by fixed stations in the Rural Radio Service op- erating under the provisions of 47 CFR part 22. In Alaska, the frequencies 44.2 MHz and 45.9 MHz are authorized on a primary basis for meteor burst communications by fixed private radio stations operating under the provisions of 47 CFR part 90. The private radio station frequencies may be used by Common Carrier stations on a secondary, noninterference basis and the Common Car- rier frequencies may be used by private radio stations for meteor burst communications on a secondary, noninterference basis. Users shall cooperate to the extent practical to minimize potential interference. Stations utilizing meteor burst communications shall not cause harmful interference to stations of other radio services operating in accordance with the Table of Frequency Allocations.
NG142 TV broadcast stations authorized to operate in the bands 54–72 MHz, 76–88 MHz, 174–216 MHz, 470–608 MHz, and 614–806 MHz may use a portion of the television vertical blanking interval for the transmission of telecommunications signals, on the condi- tion that harmful interference will not be caused to the reception of primary services, and that such telecommunications services must accept any interference caused by pri- mary services operating in these bands.
NG143 In the band 11.7–12.2 GHz, protec- tion from harmful interference shall be af- forded to transmissions from space stations not in conformance with ITU Radio Regula- tion No. 5.488 only if the operations of such space stations impose no unacceptable con- straints on operations or orbit locations of space stations in conformance with No. 5.488.
NG144 Stations authorized as of Sep- tember 9, 1983 to use frequencies in the bands 17.7–18.3 GHz and 19.3–19.7 GHz may, upon
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proper application, continue operations. Fixed stations authorized in the band 18.3– 19.3 GHz that remain coprimary under the provisions of 47 CFR 21.901(e), 74.502(c), 74.602(g), 78.18(a)(4), and 101.147(r) may con- tinue operations consistent with the provi- sions of those sections.
NG145 In the band 11.7–12.2 GHz, tran- sponders on space stations in the fixed-sat- ellite service may be used additionally for transmissions in the broadcasting-satellite service, provided that such transmissions do not have a maximum e.i.r.p. greater than 53 dBW per television channel and do not cause greater interference or require more protec- tion from interference than the coordinated fixed-satellite service frequency assign- ments. With respect to the space services, this band shall be used principally for the fixed-satellite service.
NG147 In the band 2483.5–2500 MHz, non- Federal stations in the fixed and mobile services that are licensed under 47 CFR parts 74, 90, or 101, which were licensed as of July 25, 1985, and those whose initial applications were filed on or before July 25, 1985, may continue to operate on a primary basis with the mobile-satellite and radiodetermination- satellite services, and in the sub-band 2495– 2500 MHz, these grandfathered stations may also continue to operate on a primary basis with stations in the fixed and mobile except aeronautical mobile services that are li- censed under 47 CFR part 27.
NG148 The frequencies 154.585 MHz, 159.480 MHz, 160.725 MHz, 160.785 MHz, 454.000 MHz and 459.000 MHz may be authorized to mari- time mobile stations for offshore radio- location and associated telecommand oper- ations.
NG149 The bands 54–72 MHz, 76–88 MHz, 174–216 MHz, 470–512 MHz, 512–608 MHz, and 614–698 MHz are also allocated to the fixed service to permit subscription television op- erations in accordance with 47 CFR part 73.
NG152 The use of the band 219–220 MHz by the amateur service is limited to stations participating, as forwarding stations, in point-to-point fixed digital message for- warding systems, including intercity packet backbone networks.
NG153 The band 2160–2165 MHz is reserved for future emerging technologies on a co-pri- mary basis with the fixed and mobile serv- ices. Allocations to specific services will be made in future proceedings. Authorizations in the band 2160–2162 MHz for stations in the Multipoint Distribution Service applied for after January 16, 1992, shall be on a sec- ondary basis to emerging technologies.
NG155 The bands 159.500–159.675 MHz and 161.375–161.550 MHz are allocated to the mari- time service as described in 47 CFR part 80. Additionally, the frequencies 159.550, 159.575 and 159.600 MHz are available for low-power intership communications.
NG156 The band 2000–2020 MHz is also allo- cated to the fixed and mobile services on a primary basis for facilities where the receipt date of the initial application was prior to June 27, 2000, and on a secondary basis for all other initial applications. Not later than De- cember 9, 2013, the band 2000–2020 MHz is allo- cated to the fixed and mobile services on a secondary basis.
NG158 The bands 763–775 MHz and 793–805 MHz are available for assignment to the pub- lic safety services, as described in 47 CFR part 90.
NG159 In the band 698–806 MHz, stations authorized under 47 CFR part 74, subparts E, F, and G may continue to operate indefi- nitely on a secondary basis to all other sta- tions operating in that band.
NG160 In the band 5850–5925 MHz, the use of the non-Federal mobile service is limited to Dedicated Short Range Communications operating in the Intelligent Transportation System radio service.
NG163 The use of the band 17.3–17.7 GHz by the broadcasting-satellite service is lim- ited to geostationary satellites.
NG164 The use of the band 18.3–18.8 GHz by the fixed-satellite service (space-to- Earth) is limited to systems in the geo- stationary-satellite orbit.
NG165 The use of the band 18.8–19.3 GHz by the fixed-satellite service (space-to- Earth) is limited to systems in non-geo- stationary-satellite orbits.
NG166 The use of the band 19.3–19.7 GHz by the fixed-satellite service (space-to- Earth) is limited to feeder links for the mo- bile-satellite service.
NG167 The use of the band 24.75–25.25 GHz by the fixed-satellite service (Earth-to- space) is limited to feeder links for the broadcasting-satellite service.
NG168 The band 2180–2200 MHz is also allo- cated to the fixed and mobile services on a primary basis for facilities where the receipt date of the initial application was prior to January 16, 1992, and on a secondary basis for all other initial applications. Not later than December 9, 2013, the band 2180–2200 MHz is allocated to the fixed and mobile services on a secondary basis.
NG169 After December 1, 2000, operations on a primary basis by the fixed-satellite service (space-to-Earth) in the band 3650–3700 MHz shall be limited to grandfathered earth stations. All other fixed-satellite service earth station operations in the band 3650–3700 MHz shall be on a secondary basis. Grand- fathered earth stations are those authorized prior to December 1, 2000, or granted as a re- sult of an application filed prior to December 1, 2000, and constructed within 12 months of initial authorization. License applications for primary operations for new earth sta- tions, major amendments to pending earth station applications, or applications for
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major modifications to earth station facili- ties filed on or after December 18, 1998, and prior to December 1, 2000, shall not be ac- cepted unless the proposed facilities are within 16.1 kilometers (10 miles) of an au- thorized primary earth station operating in the band 3650–3700 MHz. License applications for primary operations by new earth sta- tions, major amendments to pending earth station applications, and applications for major modifications to earth station facili- ties, filed after December 1, 2000, shall not be accepted, except for changes in polarization, antenna orientation or ownership of a grand- fathered earth station.
NG171 In the band 6875–7125 MHz, the fol- lowing two channels should be used for air- borne TV pickup stations, wherever possible: 7075–7100 MHz and 7100–7125 MHz.
NG172 In the band 7025–7075 MHz, the fixed-satellite service (space-to-Earth) is al- located on a primary basis, but the use of this allocation shall be limited to two grand- fathered satellite systems. Associated earth stations located within 300 meters of the fol- lowing locations shall be grandfathered: (a) In the band 7025–7075 MHz, Brewster, WA (48°08′46.7″ N., 119°42′8.0″ W.); and (b) In the sub-band 7025–7055 MHz, Clifton, TX (31°47′58.5″ N., 97°36′46.7″ W.) and Finca Pascual, PR (17°58′41.8″ N., 67°8′12.6″ W.).
NG173 In the band 216–220 MHz, secondary telemetry operations are permitted subject to the requirements of 47 CFR 90.259. After January 1, 2002, no new assignments shall be authorized in the sub-band 216–217 MHz.
NG175 In the band 38.6–40 GHz, television pickup stations that were authorized on or before April 16, 2003, may continue to operate on a secondary basis to stations operating in accordance with the Table of Frequency Al- locations.
NG177 In the bands 1990–2000 MHz and 2020–2025 MHz, where the receipt date of the initial application for facilities in the fixed and mobile services was prior to June 27, 2000, said facilities shall operate on a pri- mary basis and all later-applied-for facilities shall operate on a secondary basis to any service licensed pursuant to the allocation adopted in FCC 03–16, 68 FR 11986, March 13, 2003 (‘‘Advanced Wireless Services’’). Not later than December 9, 2013, all such facili- ties in the bands 1990–2000 MHz and 2020–2025 MHz shall operate on a secondary basis to Advanced Wireless Services.
NG178 In the band 2165–2180 MHz, where the receipt date of the initial application for facilities in the fixed and mobile services was prior to January 16, 1992, said facilities shall operate on a primary basis and all later-applied-for facilities shall operate on a secondary basis to any service licensed pur- suant to the allocation adopted in FCC 03–16, 68 FR 11986, March 13, 2003 (‘‘Advanced Wire- less Services’’). Not later than December 9, 2013, all such facilities in the band 2165–2180
MHz shall operate on a secondary basis to Advanced Wireless Services.
NG180 In the band 3700–4200 MHz (space- to-Earth) earth stations on vessels (ESVs) may be authorized to communicate with space stations of the fixed-satellite service and, while docked, may be coordinated for up to 180 days, renewable. ESVs in motion must operate on a secondary basis.
NG181 In the band 5925–6425 MHz (Earth- to-space), earth stations on vessels are an application of the fixed-satellite service (FSS) and may be authorized to commu- nicate with space stations of the FSS on a primary basis.
NG182 In the bands 10.95–11.2 GHz and 11.45–11.7 GHz, earth stations on vessels may be authorized to communicate with U.S. earth stations through space stations of the fixed-satellite service but must accept inter- ference from terrestrial systems operating in accordance with Commission Rules.
NG183 In the bands 11.7–12.2 GHz (space- to-Earth) and 14.0–14.5 GHz (Earth-to-space), earth stations on vessels are an application of the fixed-satellite service (FSS) and may be authorized to communicate with space stations of the FSS on a primary basis.
NG184 Land mobile stations in the bands 11.7–12.2 GHz and 14.2–14.4 GHz and fixed sta- tions in the band 11.7–12.1 GHz that are li- censed pursuant to 47 CFR part 101, subpart J as of March 1, 2005 may continue to operate on a secondary basis until their license ex- pires. Existing licenses issued pursuant to 47 CFR part 101, subpart J will not be renewed in the bands 11.7–12.2 GHz and 14.2–14.4 GHz.
NG185 In the band 3650–3700 MHz, the use of the non-Federal fixed-satellite service (space-to-Earth) is limited to international inter-continental systems.
NG186 In the bands 10.95–11.2 GHz and 11.45–11.7 GHz (space-to-Earth), Vehicle- Mounted Earth Stations (VMES) as regu- lated under 47 CFR part 25 may be author- ized to communicate with geostationary sat- ellite orbit space stations of the fixed-sat- ellite service but must accept interference from stations of the fixed service operating in accordance with the Commission’s rules.
NG187 In the bands 11.7–12.2 GHz (space- to-Earth) and 14.0–14.5 GHz (Earth-to-space), Vehicle-Mounted Earth Stations (VMES) as regulated under 47 CFR part 25 are an appli- cation of the fixed-satellite service and may be authorized to communicate with geo- stationary satellite orbit space stations of the fixed-satellite service on a primary basis.
FEDERAL GOVERNMENT (G) FOOTNOTES
(These footnotes, each consisting of the let- ter ‘‘G’’ followed by one or more digits, de- note stipulations applicable only to Federal operations and thus appear solely in the Fed- eral Table.)
G2 In the bands 216–217 MHz, 220–225 MHz, 420–450 MHz (except as provided by US217 and
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G129), 890–902 MHz, 928–942 MHz, 1300–1390 MHz, 2310–2390 MHz, 2417–2450 MHz, 2700–2900 MHz, 3300–3500 MHz (except as provided by footnote US108), 5650–5925 MHz, and 9000–9200 MHz, the Federal radiolocation service is limited to the military services.
G5 In the bands 162.0125–173.2, 173.4–174, 406.1–410 and 410–420 MHz, use by the military services is limited by the provisions specified in the channeling plans shown in Sections 4.3.7 and 4.3.9 of the NTIA Manual.
G6 Military tactical fixed and mobile op- erations may be conducted nationally on a secondary basis: (a) To the meteorological aids service in the band 403–406 MHz; and (b) To the radio astronomy service in the band 406.1–410 MHz. Such fixed and mobile oper- ations are subject to local coordination to ensure that harmful interference will not be caused to the services to which the bands are allocated.
G8 Low power Federal radio control oper- ations are permitted in the band 420–450 MHz.
G11 Federal fixed and mobile radio serv- ices, including low power radio control oper- ations, are permitted in the band 902–928 MHz on a secondary basis.
G15 Use of the band 2700–2900 MHz by the military fixed and shipborne air defense radiolocation installations will be fully co- ordinated with the meteorological aids and aeronautical radionavigation services. The military air defense installations will be moved from the band 2700–2900 MHz at the earliest practicable date. Until such time as military air defense installations can be ac- commodated satisfactorily elsewhere in the spectrum, such operations will, insofar as practicable, be adjusted to meet the require- ments of the aeronautical radionavigation service.
G19 Use of the band 9000–9200 MHz by mili- tary fixed and shipborne air defense radio- location installations will be fully coordi- nated with the aeronautical radionavigation service, recognizing fully the safety aspects of the latter. Military air defense installa- tions will be accommodated ultimately out- side this band. Until such time as military defense installations can be accommodated satisfactorily elsewhere in the spectrum such operations will, insofar as practicable, be adjusted to meet the requirements of the aeronautical radionavigation services.
G27 In the bands 255–328.6 MHz, 335.4–399.9 MHz, and 1350–1390 MHz, the fixed and mobile services are limited to the military services.
G30 In the bands 138–144 MHz, 148–149.9 MHz, and 150.05–150.8 MHz, the fixed and mo- bile services are limited primarily to oper- ations by the military services.
G32 Except for weather radars on mete- orological satellites in the band 9975–10025 MHz and for Federal survey operations (see footnote US108), Federal radiolocation in the
band 10–10.5 GHz is limited to the military services.
G34 In the band 34.4–34.5 GHz, weather ra- dars on board meteorological satellites for cloud detection are authorized to operate on the basis of equality with military radio- location devices. All other non-military radiolocation in the band 33.4–36.0 GHz shall be secondary to the military services.
G42 The space operation service (Earth- to-space) is limited to the band 1761–1842 MHz, and is limited to space command, con- trol, range and range rate systems.
G56 Federal radiolocation in the bands 1215–1300, 2900–3100, 5350–5650 and 9300–9500 MHz is primarily for the military services; however, limited secondary use is permitted by other Federal agencies in support of ex- perimentation and research programs. In ad- dition, limited secondary use is permitted for survey operations in the band 2900–3100 MHz.
G59 In the bands 902–928 MHz, 3100–3300 MHz, 3500–3650 MHz, 5250–5350 MHz, 8500–9000 MHz, 9200–9300 MHz, 13.4–14.0 GHz, 15.7–17.7 GHz and 24.05–24.25 GHz, all Federal non- military radiolocation shall be secondary to military radiolocation, except in the sub- band 15.7–16.2 GHz airport surface detection equipment (ASDE) is permitted on a co- equal basis subject to coordination with the military departments.
G100 The bands 235–322 MHz and 335.4–399.9 MHz are also allocated on a primary basis to the mobile-satellite service, limited to mili- tary operations.
G104 In the bands 7450–7550 and 8175–8215 MHz, it is agreed that although the military space radio communication systems, which include earth stations near the proposed me- teorological-satellite installations will pre- cede the meteorological-satellite installa- tions, engineering adjustments to either the military or the meteorological-satellite sys- tems or both will be made as mutually re- quired to assure compatible operations of the systems concerned.
G109 All assignments in the band 157.0375– 157.1875 MHz are subject to adjustment to other frequencies in this band as long term U.S. maritime VHF planning develops, par- ticularly that planning incident to support of the National VHF-FM Radiotelephone Safety and Distress System (See Doc. 15624/1– 1.9.111/1.9.125).
G110 Federal ground-based stations in the aeronautical radionavigation service may be authorized between 3500–3650 MHz when ac- commodation in the band 2700–2900 MHz is not technically and/or economically feasible.
G114 The band 1369.05–1390 MHz is also allo- cated to the fixed-satellite service (space-to- Earth) and to the mobile-satellite service (space-to-Earth) on a primary basis for the relay of nuclear burst data.
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Federal Communications Commission § 2.107
G115 In the band 13360–13410 kHz, the fixed service is allocated on a primary basis out- side the conterminous United States. Within the conterminous United States, assign- ments in the fixed service are permitted, and will be protected for national defense pur- poses or, if they are to be used only in an emergency jeopardizing life, public safety, or important property under conditions calling for immediate communication where other means of communication do not exist.
G116 The band 7125–7155 MHz is also allo- cated for earth-to-space transmissions in the Space Operations Service at a limited num- ber of sites (not to exceed two), subject to es- tablished coordination procedures.
G117 In the bands 7.25–7.75 GHz, 7.9–8.4 GHz, 17.3–17.7 GHz, 17.8–21.2 GHz, 30–31 GHz, 33–36 GHz, 39.5–41 GHz, 43.5–45.5 GHz and 50.4–51.4 GHz, the Federal fixed-satellite and mobile- satellite services are limited to military sys- tems.
G118 Federal fixed stations may be au- thorized in the band 1700–1710 MHz only if spectrum is not available in the band 1755– 1850 MHz.
G120 Development of airborne primary ra- dars in the band 2360–2390 MHz with peak transmitter power in excess of 250 watts for use in the United States is not permitted.
G122 In the bands 2300–2310 MHz, 2395–2400 MHz, 2400–2417 MHz, and 4940–4990 MHz, Fed- eral operations may be authorized on a non- interference basis to authorized non-Federal operations, and shall not constrain the im- plementation of any non-Federal operations.
G124 The band 2417–2450 MHz was identi- fied for reallocation, effective August 10, 1995, for mixed Federal and non-Federal use under Title VI of the Omnibus Budget Rec- onciliation Act of 1993.
G127 Federal Travelers Information Sta- tions (TIS) on 1610 kHz have coprimary sta- tus with AM Broadcast assignments. Federal TIS authorized as of August 4, 1994, preclude subsequent assignment for conflicting allot- ments.
G128 Use of the band 56.9–57 GHz by inter- satellite systems is limited to transmissions between satellites in geostationary orbit, to transmissions between satellites in geo- stationary satellite orbit and those in high- Earth orbit, to transmissions from satellites in geostationary satellite orbit to those in low-Earth orbit, and to transmissions from non-geostationary satellites in high-Earth orbit to those in low-Earth orbit. For links between satellites in the geostationary sat- ellite orbit, the single entry power flux-den- sity at all altitudes from 0 km to 1000 km above the Earth’s surface, for all conditions and for all methods of modulation, shall not exceed –147 dB (W/m2/100 MHz) for all angles of arrival.
G129 Federal wind profilers are authorized to operate on a primary basis in the radio- location service in the frequency band 448–
450 MHz with an authorized bandwidth of no more than 2 MHz centered on 449 MHz, sub- ject to the following conditions: (1) wind pro- filer locations must be pre-coordinated with the military services to protect fixed mili- tary radars; and (2) wind profiler operations shall not cause harmful interference to, nor claim protection from, military mobile radiolocation stations that are engaged in critical national defense operations.
G130 Federal stations in the radiolocation service operating in the band 5350–5470 MHz, shall not cause harmful interference to, nor claim protection from, Federal stations in the aeronautical radionavigation service op- erating in accordance with ITU Radio Regu- lation No. 5.449.
G131 Federal stations in the radiolocation service operating in the band 5470–5650 MHz, with the exception of ground-based radars used for meteorological purposes operating in the band 5600–5650 MHz, shall not cause harmful interference to, nor claim protec- tion from, Federal stations in the maritime radionavigation service.
G132 Use of the radionavigation-satellite service in the band 1215–1240 MHz shall be subject to the condition that no harmful in- terference is caused to, and no protection is claimed from, the radionavigation service authorized under ITU Radio Regulation No. 5.331. Furthermore, the use of the radio- navigation-satellite service in the band 1215– 1240 MHz shall be subject to the condition that no harmful interference is caused to the radiolocation service. ITU Radio Regulation No. 5.43 shall not apply in respect of the radiolocation service. ITU Resolution 608 (WRC–03) shall apply.
G133 In the band 7190–7235 MHz, emissions to deep space are prohibited. Geostationary satellites in the space research service oper- ating in the band 7190–7235 MHz shall not claim protection from existing and future stations in the fixed service and ITU Radio Regulation No. 5.43A does not apply.
[49 FR 2373, Jan. 19, 1984]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 2.106, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
§ 2.107 Radio astronomy station notifi- cation.
(a) Pursuant to No. 1492 of Article 13 and Section F of Appendix 3 to the international Radio Regulations (Gene- va, 1982), operators of radio astronomy stations desiring international recogni- tion of their use of specific radio as- tronomy frequencies or bands of fre- quencies for reception, should file the
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following information with the Com- mission for inclusion in the Master International Frequency Register:
(1) The center of the frequency band observed, in kilohertz up to 28,000 kHz inclusive, in megahertz above 28,000 kHz to 10,500 MHz inclusive and in gigahertz above 10,500 MHz.
(2) The date (actual or foreseen, as appropriate) when reception of the fre- quency band begins.
(3) The name and location of the sta- tion, including geographical coordi- nates in degrees and minutes.
(4) The width of the frequency band (in kHz) observed by the station.
(5) The antenna type and dimensions, effective area and angular coverage in azimuth and elevation.
(6) The regular hours of reception (in UTC) of the observed frequency.
(7) The overall receiving system noise temperature (in kelvins) referred to the output of the receiving antenna.
(8) The class of observations to be taken. Class A observations are those in which the sensitivity of the equip- ment is not a primary factor. Class B observations are those of such a nature that they can be made only with ad- vanced low-noise receivers using the best techniques.
(9) The name and mailing address of the operator.
(b) The permanent discontinuance of observations, or any change to the in- formation above, should also be filed with the Commission.
(c) Observations being conducted on frequencies or frequency bands not al- located to the radio astronomy service should be reported as in paragraph (a) of this section for information pur- poses. Information in this category will not be submitted for entry in the Mas- ter International Frequency Register and protection from interference will not be afforded such operations by sta- tions in other services.
§ 2.108 Policy regarding the use of the fixed-satellite allocations in the 3.6– 3.7, 4.5–4.8, and 5.85–5.925 GHz bands.
The use of the fixed-satellite alloca- tions in the United States in the above bands will be governed by footnote US245. Use of the fixed-satellite service allocations in these bands is for the international fixed-satellite service,
that is, for international inter-conti- nental communications. Case-by-case electromagnetic compatibility analysis is required with all users of the bands. It is anticipated that one earth station on each coast can be successfully co- ordinated. Specific locations of these earth stations depend upon service re- quirements and case-by-case EMC anal- yses that demonstrate compatible op- erations.
Subpart C—Emissions § 2.201 Emission, modulation, and
transmission characteristics. The following system of designating
emission, modulation, and trans- mission characteristics shall be em- ployed.
(a) Emissions are designated accord- ing to their classification and their necessary bandwidth.
(b) A minimum of three symbols are used to describe the basic characteris- tics of radio waves. Emissions are clas- sified and symbolized according to the following characteristics:
(1) First symbol—type of modulation of the main character;
(2) Second symbol—nature of sig- nal(s) modulating the main carrier;
(3) Third symbol—type of informa- tion to be transmitted.
NOTE: A fourth and fifth symbol are pro- vided for additional information and are shown in Appendix 6, part A of the ITU Radio Regulations. Use of the fourth and fifth sym- bol is optional. Therefore, the symbols may be used as described in Appendix 6, but are not required by the Commission.
(c) First Symbol—types of modula- tion of the main carrier:
(1) Emission of an unmodulated carrier ......................................... N (2) Emission in which the main carrier is amplitude-modulated (including cases where sub-car- riers are angle-modulated):. —Double-sideband ....................... A —Single-sideband, full carrier ..... H —Single-sideband, reduced or
variable level carrier ................ R —Single-sideband, suppressed
carrier ...................................... J —Independent sidebands .............. B —Vestigial sideband .................... C (3) Emission in which the main carrier is angle-modulated:.
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2 In this context the word ‘‘information’’ does not include information of a constant, unvarying nature such as is provided by standard frequency emissions, continuous wave and pulse radars, etc.
—Frequency modulation ............. F —Phase modulation ..................... G
NOTE: Whenever frequency modulation ‘‘F’’ is indicated, Phase modulation ‘‘G’’ is also acceptable.
(4) Emission in which the main carrier is amplitude and angle- modulated either simultaneously or in a pre-established sequence .. D (5) Emission of pulses: 1. —Sequence of unmodulated
pulses ........................................ P —A sequence of pulses:
—Modulated in amplitude ........ K —Modulated in width/duration L —Modulated in position/phase .. M —In which the carrier is angle-
modulated during the period of the pulse ............................ Q
—Which is a combination of the foregoing or is produced by other means ........................... V
(6) Cases not covered above, in which an emission consists of the main carrier modulated, either simultaneously or in a pre-estab- lished sequence, in a combination of two or more of the following modes: amplitude, angle, pulse ... W (7) Cases not otherwise covered ... X
1 Emissions where the main carrier is directly modulated by a signal which has been coded into quantized form (e.g. pulse code modulation) should be designated under (2) or (3).
(d) Second Symbol—nature of sig- nal(s) modulating the main carrier:
(1) No modulating signal ............. 0 (2) A single channel containing quantized or digital information without the use of a modulating sub-carrier, excluding time-divi- sion muliplex ............................... 1 (3) A single channel containing quantized or digital information with the use of a modulating sub- carrier, excluding time-division multiplex ..................................... 2 (4) A single channel containing analogue information .................. 3 (5) Two or more channels con- taining quantized or digital in- formation .................................... 7 (6) Two or more channels con- taining analogue information ..... 8 (7) Composite system with one or more channels containing quan- tized or digital information, to- gether with one or more channels containing analogue information 9
(8) Cases not otherwise covered ... X
(e) Third Symbol—type of informa- tion to be transmitted: 2
(1) No information transmitted ... N (2) Telegraphy—for aural recep- tion .............................................. A (3) Telegraphy—for automatic re- ception ........................................ B (4) Facsimile ................................ C (5) Data transmission, telemetry, telecommand ............................... D (6) Telephony (including sound broadcasting) ............................... E (7) Television (video) ................... F (8) Combination of the above ....... W (9) Cases not otherwise covered ... X
(f) Type B emission: As an exception to the above principles, damped waves are symbolized in the Commission’s rules and regulations as type B emis- sion. The use of type B emissions is for- bidden.
(g) Whenever the full designation of an emission is necessary, the symbol for that emission, as given above, shall be preceded by the necessary band- width of the emission as indicated in § 2.202(b)(1).
[49 FR 48697, Dec. 14, 1984]
§ 2.202 Bandwidths. (a) Occupied bandwidth. The fre-
quency bandwidth such that, below its lower and above its upper frequency limits, the mean powers radiated are each equal to 0.5 percent of the total mean power radiated by a given emis- sion. In some cases, for example multi- channel frequency-division systems, the percentage of 0.5 percent may lead to certain difficulties in the practical application of the definitions of occu- pied and necessary bandwidth; in such cases a different percentage may prove useful.
(b) Necessary bandwidth. For a given class of emission, the minimum value of the occupied bandwidth sufficient to ensure the transmission of information at the rate and with the quality re- quired for the system employed, under specified conditions. Emissions useful
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for the good functioning of the receiv- ing equipment as, for example, the emission corresponding to the carrier of reduced carrier systems, shall be in- cluded in the necessary bandwidth.
(1) The necessary bandwidth shall be expressed by three numerals and one letter. The letter occupies the position of the decimal point and represents the unit of bandwidth. The first character shall be neither zero nor K, M or G.
(2) Necessary bandwidths:
between 0.001 and 999 Hz shall be expressed in Hz (letter H);
between 1.00 and 999 kHz shall be expressed in kHz (letter K);
between 1.00 and 999 MHz shall be expressed in MHz (letter M);
between 1.00 and 999 GHz shall be expressed in GHz (letter G).
(3) Examples:
0.002 Hz—H002 0.1 Hz—H100 25.3 Hz—25H3 400 Hz—400H 2.4 kHz—2K40 6 kHz—6K00 12.5 kHz—12K5 180.4 kHz—180K
180.5 kHz—181K 180.7 kHz—181K 1.25 MHz—1M25 2 MHz—2M00 10 MHz—10M0 202 MHz—202M 5.65 GHz—5G65
(c) The necessary bandwidth may be determined by one of the following methods:
(1) Use of the formulas included in the table, in paragraph (g) of this sec- tion, which also gives examples of nec- essary bandwidths and designation of corresponding emissions;
(2) For frequency modulated radio systems which have a substantially lin- ear relationship between the value of input voltage to the modulator and the resulting frequency deviation of the carrier and which carry either single sideband suppressed carrier frequency division multiplex speech channels or television, computation in accordance with provisions of paragraph (f) of this section and formulas and methods indi- cated in the table, in paragraph (g) of this section;
(3) Computation in accordance with Recommendations of the International Radio Consultative Committee (C.C.I.R.);
(4) Measurement in cases not covered by paragraph (c) (1), (2), or (3) of this section.
(d) The value so determined should be used when the full designation of an emission is required. However, the nec- essary bandwidth so determined is not the only characteristic of an emission to be considered in evaluating the in- terference that may be caused by that emission.
(e) In the formulation of the table in paragraph (g) of this section, the fol- lowing terms are employed:
Bn = Necessary bandwidth in hertz B = Modulation rate in bauds N = Maximum possible number of black plus
white elements to be transmitted per sec- ond, in facsimile
M = Maximum modulation frequency in hertz
C = Sub-carrier frequency in hertz D = Peak frequency deviation, i.e., half the
difference between the maximum and min- imum values of the instantaneous fre- quency. The instantaneous frequency in hertz is the time rate of change in phase in radians divided by 2
t = Pulse duration in seconds at half-ampli- tude
tr = Pulse rise time in seconds between 10% and 90% of maximum amplitude
K = An overall numerical factor which varies according to the emission and which de- pends upon the allowable signal distortion.
Nc = Number of baseband telephone channels in radio systems employing multichannel multiplexing
P = Continuity pilot sub-carrier frequency (Hz) (continuous signal utilized to verify performance of frequency-division multi- plex systems).
(f) Determination of values of D and Bn for systems specified in paragraph (c)(2) of this section:
(1) Determination of D in systems for multichannel telephony:
(i) The rms value of the per-channel deviation for the system shall be speci- fied. (In the case of systems employing preemphasis or phase modulation, this value of per-channel deviation shall be specified at the characteristic baseband frequency.)
(ii) The value of D is then calculated by multiplying the rms value of the per-channel deviation by the appro- priate factors, as follows:
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Federal Communications Commission § 2.202
Number of message circuits Multiplying factors Limits of X (Pavg (dBmO))
More than 3, but less than 12 ...................... 4.47 × [a factor specified by the equipment manu- facturer or station licensee, subject to Com- mission approval].
3.76 antilog (X+2 log10 Nc) At least 12, but less than 60 ........................ ————————————— X: ¥2 to +2.6.
20 3.76 antilog (X+4 log10 Nc)
At least 60, but less than 240 ...................... ————————————— X: ¥5.6 to ¥1.0. 20
3.76 antilog (X+10 log10 Nc) 240 or more .................................................. ————————————— X: ¥19.6 to ¥15.0.
20
Where X represents the average power in a message circuit in dBmO; Nc is the number of circuits in the multiplexed message load; 3.76 corresponds to a peak load factor of 11.5 dB.
(2) The necessary bandwidth (Bn) nor- mally is considered to be numerically equal to:
(i) 2M+2DK, for systems having no continuity pilot subcarrier or having a continuity pilot subcarrier whose fre- quency is not the highest modulating the main carrier;
(ii) 2P+2DK, for systems having a continuity pilot subcarrier whose fre- quency exceeds that of any other signal modulating the main carrier, unless the conditions set forth in paragraph (f)(3) of this section are met.
(3) As an exception to paragraph (f)(2)(ii) of this section, the necessary bandwidth (Bn) for such systems is nu-
merically equal to 2P or 2M+2DK, whichever is greater, provided the fol- lowing conditions are met:
(i) The modulation index of the main carrier due to the continuity pilot sub- carrier does not exceed 0.25, and
(ii) In a radio system of multichannel telephony, the rms frequency deviation of the main carrier due to the con- tinuity pilot subcarrier does not exceed 70 percent of the rms value of the per- channel deviation, or, in a radio sys- tem for television, the rms deviation of the main carrier due to the pilot does not exceed 3.55 percent of the peak de- viation of the main carrier.
(g) Table of necessary bandwidths:
Description of emission Necessary bandwidth Designation of
emissionFormula Sample calculation
I. NO MODULATING SIGNAL
Continuous wave emis- sion.
N0N (zero)
II. AMPLITUDE MODULATION
1. Signal With Quantized or Digital Information
Continuous wave teleg- raphy.
Bn=BK, K=5 for fading circuits, K=3 for non-fading circuits
25 words per minute; B=20, K=5, Bandwidth: 100 Hz
100HA1A
Telegraphy by on-off keying of a tone mod- ulated carrier.
Bn=BK+2M, K=5 for fading circuits, K=3 for non-fading circuits
25 words per minute; B=20, M=1000, K=5, Bandwidth: 2100 Hz=2.1 kHz
2K10A2A
Selective calling signal, single-sideband full carrier.
Bn=M Maximum code frequency is: 2110 Hz, M=2110, Bandwidth: 2110 Hz=2.11 kHz
2K11H2B
Direct-printing teleg- raphy using a fre- quency shifted modu- lating sub-carrier sin- gle-sideband sup- pressed carrier.
Bn=2M+2DK, M=B÷2 B=50, D=35 Hz (70 Hz shift), K=1.2, Band- width: 134 Hz
134HJ2B
Telegraphy, single side- band reduced carrier.
Bn=central frequency+M+DK, M=B÷2
15 channels; highest central frequency is: 2805 Hz, B=100, D=42.5 Hz (85 Hz shift), K=0.7 Bandwidth: 2.885 Hz=2.885 kHz
2K89R7B
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Description of emission Necessary bandwidth Designation of
emissionFormula Sample calculation
2. Telephony (Commercial Quality)
Telephony double-side- band.
Bn=2M M=3000, Bandwidth=6000 Hz=6 kHz 6K00A3E
Telephony, single-side- band, full carrier.
Bn=2M M=3000, Bandwidth: 3000 Hz=3 kHz 3K00H3E
Telephony, single-side- band suppressed car- rier.
Bn=M¥lowest modulation fre- quency
M=3000, lowest modulation frequency is 3000 Hz, 2700 Hz Bandwidth: 2700Hz=2.7 kHz
2K70J3E
Telephony with separate frequency modulated signal to control the level of demodulated speech signal, single- sideband, reduced carrier.
Bn=M Maximum control frequency is 2990 Hz, M=2990, Bandwidth: 2990 Hz=2.99 kHz
2K99R3E
Telephony with privacy, single-sideband, sup- pressed carrier (two or more channels).
Bn=Nc M¥lowest modulation fre- quency in the lowest channel
Nc=2, M=3000 lowest modulation frequency is 250 Hz, Bandwidth: 5750 Hz=5.75 kHz
5K75J8E
Telephony, independent sideband (two or more channels).
Bn=sum of M for each sideband 2 channels, M=3000, Bandwidth: 6000 Hz=6 kHz
6K00B8E
3. Sound Broadcasting
Sound broadcasting, double-sideband.
Bn=2M, M may vary between 4000 and 10000 depending on the quality desired
Speech and music, M=4000, Bandwidth: 8000 Hz= 8 kHz
8K00A3E
Sound broadcasting, sin- gle-sideband reduced carrier (single chan- nel).
Bn=M, M may vary between 4000 and 10000 depending on the quality desired
Speech and music, M=4000, Bandwidth: 4000 Hz= 4 kHz
4K00R3E
Sound broadcasting, sin- gle-sideband, sup- pressed carrier.
Bn=M¥lowest modulation fre- quency
Speech and music, M=4500, lowest modula- tion frequency=50 Hz, Bandwidth: 4450 Hz=4.45 kHz
4K45J3E
4. Television
Television, vision and sound.
Refer to CCIR documents for the bandwidths of the commonly used television systems
Number of lines=525; Nominal video band- width: 4.2 MHz, Sound carrier relative to video carrier=4.5 MHz
5M75C3F
Total vision bandwidth: 5.75 MHz; FM aural bandwidth including guardbands: 250,000 Hz
250KF3E
Total bandwidth: 6 MHz 6M25C3F
5. Facsimile
Analogue facsimile by sub-carrier frequency modulation of a sin- gle-sideband emission with reduced carrier.
Bn=C¥N÷2+DK, K=1.1 (typically) N=1100, corresponding to an index of co- operation of 352 and a cycler rotation speed of 60 rpm. Index of cooperation is the product of the drum diameter and num- ber of lines per unit length C=1900, D=400 Hz, Bandwidth=2.890 Hz=2.89 kHz
2K89R3C
Analogue facsimile; fre- quency modulation of an audio frequency sub-carrier which modulates the main carrier, single-side- band suppressed car- rier.
Bn=2M+2DK, M=N/2, K=1.1 (typi- cally)
N=1100, D=400 Hz, Bandwidth: 1980 Hz=1.98 kHz
1K98J3C
6. Composite Emissions
Double-sideband, tele- vision relay.
Bn=2C+2M+2D Video limited to 5 MHz, audio on 6.5 MHz fre- quency modulated subcarrier deviation=50 kHz: C=6.5×106 D=50×103 Hz, M=15,000, Bandwidth: 13.13×106 Hz=13.13 MHz
13M2A8W
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Description of emission Necessary bandwidth Designation of
emissionFormula Sample calculation
Double-sideband radio relay system.
Bn=2M 10 voice channels occupying baseband be- tween 1 kHz and 164 kHz; M=164,000 bandwith=328,000 Hz=328 kHz
328KA8E
Double-sideband emis- sion of VOR with voice (VOR=VHF omnidirectional radio range).
Bn=2Cmax+2M+2DK, K=1 (typi- cally)
The main carrier is modulated by: —a 30 Hz sub-carrier—a carrier resulting from a 9960 Hz tone frequency modulated by a 30 Hz tone—a telephone channel—a 1020 Hz keyed tone for continual Morse identifica- tion. Cmax=9960, M=30, D=480 Hz, Band- width: 20,940 Hz=20.94 kHz
20K9A9W
Independent sidebands; several telegraph channels together with several telephone channels.
Bn=sum of M for each sideband Normally composite systems are operated in accordance with standardized channel ar- rangements, (e.g. CCIR Rec. 348–2) 3 tele- phone channels and 15 telegraphy chan- nels require the bandwidth 12,000 Hz=12 kHz
12K0B9W
III-A. FREQUENCY MODULATION
1. Signal With Quantized or Digital Information
Telegraphy without error-correction (single channel).
Bn=2M+2DK, M=B÷2, K=1.2 (typi- cally)
B=100, D=85 Hz (170 Hz shift), Bandwidth: 304 Hz
304HF1B
Four-frequency duplex telegraphy.
Bn2M+2DK, B=Modulation rate in bands of the faster channel. If the channels are synchronized: M=B÷2, otherwise M=2B, K=1.1 (typically)
Spacing between adjacent frequencies=400 Hz; Synchronized channels; B=100, M=50, D=600 Hz, Bandwidth: 1420 Hz=1.42 kHz
1K42F7B
2. Telephony (Commercial Quality)
Commercial telephony ... Bn=2M+2DK, K=1 (typically, but under conditions a higher value may be necessary
For an average case of commercial teleph- ony, M=3,000, Bandwidth: 16,000 Hz=16 kHz
16K0F3E
3. Sound Broadcasting
Sound broadcasting ...... Bn=2M+2DK, K=1 (typically) Monaural, D=75,000 Hz, M=15,000, Band- width: 18,000 Hz=180 kHz
180KF3E
4. Facsimile
Facsimile by direct fre- quency modulation of the carrier; black and white.
Bn=2M+2DK, M=N÷2, K=1.1 (typi- cally)
N=1100 elements/sec; D=400 Hz, Bandwidth: 1980 Hz=1.98 kHZ
1K98F1C
Analogue facsimile ........ Bn=2M+2DK, M=N÷2, K=1.1 (typi- cally)
N=1100 elements/sec; D=400 Hz, Bandwidth: 1980 Hz=1.98 kHz
1K98F3C
5. Composite Emissions (See Table III-B)
Radio-relay system, fre- quency division multi- plex.
Bn=2P+2DK, K=1 Microwave radio relay system specifications: 60 telephone channels occupying baseband between 60 and 300 kHz; rms per-channel deviation 200 kHz; pilot at 331 kHz pro- duces 200 kHz rms deviation of main car- rier. Computation of Bn : D=(200×1033×3.76×1.19), Hz=0.895×106, P=0.331×106 Hz; Band- width: 2.452×106 Hz
2M45F8E
Radio-relay system fre- quency division mul- tiple.
Bn=2M+2DK, K=1 Microwave radio relay relay systems speci- fications: 1200 telephone channels occu- pying baseband between 60 and 5564 kHz; rms per channel deviation 200 kHz; continunity pilot at 6199 kHz produces 140 kHz rms deviation of main carrier. Computa- tion of Bn : D=(200×103×3.76×3.63)=2.73×106; M=5.64×106 Hz; P=6.2×106 Hz; (2M+2DK<2P; Bandwidth 16.59×106 Hz
16M6F8E
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47 CFR Ch. I (10–1–10 Edition)§ 2.202
Description of emission Necessary bandwidth Designation of
emissionFormula Sample calculation
Radio-relay system, fre- quency division multi- plex.
Bn=2P Microwave radio relay system specifications: Multiplex 600 telephone channels occupying baseband between 60 and 2540 kHz; con- tinuity pilot at 8500 kHz produces 140 kHz rms deviation of main carrier. Computation of Bn : D=(200×103×3.76×2.565)=1.93×106 Hz; M=2.54×106 Hz; 2DK)≤2P Bandwidth: 17×106 Hz
17M0F8E
Unmodulated pulse emission.
Bn=2K÷t, K depends upon the ratio of pulse rise time. Its value usually falls between 1 and 10 and in many cases it does not need to exceed 6
Primary Radar Range resolution: 150 m, K=1.5 (triangular pulse where tùtr, only components down to 27 dB from the strong- est are considered) Then t=2×range resolu- tion÷velocity of light=2×150÷3×108=1×10¥6 seconds, Bandwidth: 3×106 Hz=3 MHz
3M00P0N
6. Composite Emissions
Radio-relay system ........ Bn=2K÷t, K=1.6 Pulse position modulated by 36 voice channel baseband; pulse width at half amplitude=0.4 us, Bandwidth: 8×106 Hz=8 MHz (Band- width independent of the number of voice channels)
8M00M7E
Radio-relay system ........ Bn = 2K/t K=1.6
Pulse position modulated by 36 voice channel baseband: pulse width at half amplitude 0.4 μS; Bn = 8×10 6 Hz = 8 MHz (Bandwidth independent of the number of voice chan- nels)
8M00M7E
Composite transmission digital modulation using DSB-AM (Micro- wave radio relay sys- tem).
Bn = 2RK/log2S Digital modulation used to send 5 megabits per second by use of amplitude modulation of the main carrier with 4 signaling states
R = 5×10 6 bits per second; K = 1; S = 4; Bn = 5 MHz
5M00K7
Binary Frequency Shift Keying.
(0.03 < 2D/R < 1.0); Bn = 3.86D + 0.27R (1.0 < 2D/R <2) Bn = 2.4D + 1.0R
Digital modulation used to send 1 megabit per second by frequency shift keying with 2 sig- naling states and 0.75 MHz peak deviation of the carrier
R = 1×10 6 bps; D = 0.75×10 6 Hz; Bn = 2.8 MHz
2M80F1D
Multilevel Frequency Shift Keying.
Bn = (R/log2S) + 2DK Digital modulation to send 10 megabits per second by use of frequency shift keying with four signaling states and 2 MHz peak deviation of the main carrier
R = 10×10 6 bps; D = 2 MHz; K = 1; S = 4; Bn = 9 MHz
9M00F7D
Phase Shift Keying ........ Bn = 2RK/log2S Digital modulation used to send 10 megabits per second by use of phase shift keying with 4 signaling states
R = 10×10 6 bps; K = 1; S = 4; Bn = 10 MHz
10M0G7D
Quadrature Amplitude Modulation (QAM).
Bn = 2R/log2S 64 QAM used to send 135 Mbps has the same necessary bandwidth as 64–PSK used to send 135 Mbps;
R = 135×10 6 bps; S = 64; Bn = 45 MHz
45M0W
Minimum Shift Keying ... 2-ary: Bn = R(1.18) 4-ary: Bn = R(2.34)
Digital modulation used to send 2 megabits per second using 2-ary minimum shift key- ing
R = 2.36×10 6 bps; Bn = 2.36 MHz
2M36G1D
[28 FR 12465, Nov. 22, 1963, as amended at 37 FR 8883, May 2, 1972; 37 FR 9996, May 18, 1972; 48 FR 16492, Apr. 18, 1983; 49 FR 48698, Dec. 14, 1984; 68 FR 68543, Dec. 9, 2003]
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Federal Communications Commission § 2.302
Subpart D—Call Signs and Other Forms of Identifying Radio Transmissions
AUTHORITY: Secs. 4, 5, 303, 48 Stat., as amended, 1066, 1068, 1082; 47 U.S.C. 154, 155, 303.
§ 2.301 Station identification require- ment.
Each station using radio frequencies shall identify its transmissions accord- ing to the procedures prescribed by the rules governing the class of station to which it belongs with a view to the elimination of harmful interference and the general enforcement of appli- cable radio treaties, conventions, regu- lations, arrangements, and agreements in force, and the enforcement of the Communications Act of 1934, as amend- ed, and the Commission’s rules.
[34 FR 5104, Mar. 12, 1969]
§ 2.302 Call signs.
The table which follows indicates the composition and blocks of inter- national call signs available for assign- ment when such call signs are required by the rules pertaining to particular classes of stations. When stations oper- ating in two or more classes are au- thorized to the same licensee for the same location, the Commission may elect to assign a separate call sign to each station in a different class. (In ad- dition to the U.S. call sign allocations listed below, call sign blocks AAA through AEZ and ALA through ALZ have been assigned to the Department of the Army; call sign block AFA through AKZ has been assigned to the Department of the Air Force; and call sign block NAA through NZZ has been assigned jointly to the Department of the Navy and the U.S. Coast. Guard.
Class of station Composition of call sign Call sign blocks
Coast (Class I) except for coast telephone in Alaska.
3 letters ................................................. KAA through KZZ. WAA through WZZ.
Coast (Classes II and III) and maritime radio- determination.
3 letters, 3 digits ................................... KAA200 through KZZ999. WAA200 through WZZ999.
Coast telephone in Alaska ............................. 3 letters, 2 digits. 3 letters, 3 digits (for stations assigned
frequencies above 30 MHz). KAA20 through KZZ99. WAA20 through WZZ99. WZZ200 through WZZ999.
Fixed ............................................................... 3 letters, 2 digits ................................... 3 letters, 3 digits (for stations assigned
frequencies above 30 MHz).
KAA20 through KZZ99. WAA20 through WZZ99. WAA200 through WZZ999.
Marine receiver test ....................................... 3 letters, 3 digits (plus general geo- graphic location when required).
KAA200 through KZZ999. WAA200 through WZZ999.
Ship telegraph ................................................ 4 letters 1 ............................................... KAAA through KZZZ. WAAA through WZZZ.
Ship telephone ............................................... 2 letters, 4 digits, or 3 letters, 4 digits 1 WA2000 through WZ9999, through WZZ9999.
Ship telegraph plus telephone ....................... 4 letters ................................................. KAAA through KZZZ. WAAA through WZZZ.
Ship radar ....................................................... Same as ship telephone and/or tele- graph call sign, or, if ship has no telephone or telegraph: 2 letters, 4 digits, or 3 letters, 4 digits.
WA2000 through WZ9999, through WZZ9999.
Ship survival craft ........................................... Call sign of the parent ship followed by 2 digits.
KAAA20 through KZZZ99. WAAA20 through WZZZ99.
Cable-repair ship marker buoy ....................... Call sign of the parent ship followed by the letters ‘‘BT’’ and the identifying number of the buoy.
Marine utility ................................................... 2 letters, 4 digits ................................... KA2000 through KZ9999. Shipyard mobile .............................................. 2 letters, 4 digits ................................... KA2000 through KZ9999. Aircraft telegraph ............................................ 5 letters ................................................. KAAAA through KZZZZ.
WAAAA through WZZZZ. Aircraft telegraph and telephone .................... 5 letters 2 ............................................... KAAAA through KZZZZ.
WAAAA through WZZZZ. Aircraft telephone ........................................... 5 letters 2 (whenever a call sign is as-
signed). KAAAA through KZZZZ. WAAAA through WZZZZ.
Aircraft survival craft ...................................... Whenever a call sign 2 is assigned, call sign of the parent aircraft followed by a single digit other than 0 or 1.
Aeronautical ................................................... 3 letters, 1 digit 2 ................................... KAA2 through KZZ9. WAA2 through WZZ9.
Land mobile (base) ........................................ 3 letters, 3 digits ................................... KAA200 through KZZ999. WAA200 through WZZ999
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47 CFR Ch. I (10–1–10 Edition)§ 2.303
Class of station Composition of call sign Call sign blocks
Land mobile (mobile telegraph) ..................... 4 letters, 1 digit ..................................... KAAA2 through KZZZ9. WAAA2 through WZZZ9.
Land mobile (mobile telephone) ..................... 2 letters, 4 digits ................................... KA2000 through KZ9999. WA2000 through WZ9999
Broadcasting (standard) ................................. 4 letters 3 (plus location of station) ....... KAAA through KZZZ. WAAA through WZZZ.
Broadcasting (FM) .......................................... 4 letters (plus location of station) ......... KAAA through KZZZ. WAAA through WZZZ.
Broadcasting with suffix ‘‘FM’’ ........................ 6 letters 3 (plus location of station) ....... KAAA-FM through KZZZ-–FM. WAAA-FM through WZZZ-FM.
Broadcasting (television) ................................ 4 letters (plus location of station) ......... KAAA through KZZZ. WAAA through WZZZ.
Broadcasting with suffix ‘‘TV’’ ........................ 6 letters 3 (plus location of station) ....... KAAA-TV through KZZZ-TV. WAAA-TV through WZZ-TV.
Television broadcast translator ...................... 1 letter—output channel number—2 let- ters.
K02AA through K83ZZ. W02AA through W83ZZ.
Disaster station, except U.S. Government ..... 4 letters, 1 digit ..................................... KAAA2 through KZZZ9. WAAA2 through WZZZ9.
Experimental (letter ‘‘X’’ follows the digit) ...... 2 letters, 1 digit, 3 letters ...................... KA2XAA through KZ9XZZ. WA2XAA through WZ9XZZ.
Amateur (letter ‘‘X’’ may not follow digit) ....... 1 letter, 1 digit, 1 letter 4 ....................... K1A through K0Z. N1A through N0Z. W1A through W0Z.
Amateur .......................................................... 1 letter, 1 digit, 2 letters 4 ...................... K1AA through K0ZZ. N1AA through N0ZZ. W1AA through W0ZZ.
Do ............................................................ 1 letter, 1 digit, 3 letters 4 ...................... K1AAA through K0ZZZ. N1AAA through N0ZZZ. W1AAA through W0ZZZ.
Do ............................................................ 2 letters, 1 digit, 1 letter 4 ...................... AA1A through AI0Z. KA1A through KZ0Z. NA1A through NZ0Z. WA1A through WZ0Z.
Do ............................................................ 2 letters, 1 digit, 2 letters 4 .................... AA1AA through AL0ZZ. KA1AA through KZ0ZZ. NA1AA through NZ0ZZ. WA1AA through WZ0ZZ.
Amateur (letter ‘‘X’’ may not follow digit) ....... 2 letters, 1 digit, 3 letters 4 .................... AA1AAA through AL0ZZZ. KA1AAA through KZ0ZZZ. NA1AAA through NZ0ZZZ. WA1AAA through WZ0ZZZ.
Standard frequency ........................................ ............................................................... WWV, WWVB through WWVI, WWVL, WWVS.
Personal radio ................................................ 3 letters, 4 digits, or 4 letters, 4 digits. KAA0001 through KZZ9999, WAA0001 through WPZ9999, KAAA0001 through KZZZ9999.
Personal radio, temporary permit .................. 3 letters, 5 digits ................................... KAA00000 through KZZ99999. Personal radio in trust territories. ................... 1 letter, 4 digits ..................................... K0001 through K9999. Business radio temporary permit ................... 2 letters, 7 digits ................................... WT plus local telephone number. Part 90 temporary permit ............................... 2 letters, 7 digits ................................... WT plus local telephone number. Part 90 conditional permit .............................. 2 letters, 7 digits ................................... WT plus local telephone number. General Mobile Radio Service, temporary
permit. 2 letters, 7 digits ................................... WT plus business or residence tele-
phone number.
NOTE: The symbol 0 indicates the digit zero. 1 Ships with transmitter-equipped survival craft shall be assigned four letter call signs. 2 See § 2.303. 3 A 3 letter call sign now authorized for and in continuous use by a licensee of a standard broadcasting station may continue to
be used by that station. The same exception applies also to frequency modulation and television broadcasting stations using 5 letter call signs consisting of 3 letters with the suffix ‘‘FM’’ or ‘‘TV’’.
4 Plus other identifying data as may be specified.
[34 FR 5104, Mar. 12, 1969; as amended at 54 50239, Dec. 5, 1989]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 2.302, see the List of CFR Sec- tions Affected in the Finding Aids section of this volume.
§ 2.303 Other forms of identification of stations.
(a) The following table indicates forms of identification which may be
used in lieu of call signs by the speci- fied classes of stations. Such recog- nized means of identification may be one or more of the following: name of
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Federal Communications Commission § 2.303
station, location of station, operating agency, official registration mark, flight identification number, selective call number or signal, selective call identification number or signal, char- acteristic signal, characteristic of emission or other clearly distin-
guishing form of identification readily recognized internationally. Reference should be made to the appropriate part of the rules for complete information on identification procedures for each service.
Class of station Identification, other than assigned call sign
Aircraft (U.S. registry) telephone ..................... Registration number preceded by the type of the aircraft, or the radiotelephony designator of the aircraft operating agency followed by the flight identification number.
Aircraft (foreign registry) telephone ................. Foreign registry identification consisting of five characters. This may be pre- ceded by the radiotelephony designator of the aircraft operating agency or it may be preceded by the type of the aircraft.
Aeronautical ..................................................... Name of the city, area, or airdrome served together with such additional identi- fication as may be required.
Aircraft survival craft ........................................ Appropriate reference to parent aircraft, e.g., the air carrier parent aircraft flight number or identification, the aircraft registration number, the name of the air- craft manufacturer, the name of the aircraft owner, or any other pertinent in- formation.
Ship telegraph .................................................. When an official call sign is not yet assigned: Complete name of the ship and name of licensee. On 156.65 MHz: Name of ship. Digital selective call.
Ship telegraph .................................................. Digital selective call. Public coast (radiotelephone) and Limited
Coast (Radiotelephone). The approximate geographic location in a format approved by the Commission.
Coast station identification number. Public coast (radiotelegraph) ........................... Coast station identification number. Fixed ................................................................ Geographic location. When an approved method of superimposed identification
is used, QTT DE (abbreviated name of company or station). Fixed: Rural subscriber service ....................... Assigned telephone number. Land mobile: Public safety, forestry conserva-
tion, highway maintenance, local govern- ment, shipyard, land transportation, and aviation services.
Name of station licensee (in abbreviated form if practicable), or location of sta- tion, or name of city, area, or facility served. Individual stations may be identi- fied by additional digits following the more general identification.
Land mobile: Industrial service ........................ Mobile unit cochannel with its base station: Unit identifier on file in the base sta- tion records. Mobile unit not cochannel with its base station: Unit identifier on file in the base station records and the assigned call sign of either the mobile or base station. Temporary base station: Unit designator in addition to base station identification.
Land mobile: Domestic public and rural radio Special mobile unit designation assigned by licensee or by assigned telephone number.
Land mobile: Railroad radio service ................ Name of railroad, train number, caboose number, engine number, or name of fixed wayside station or such other number or name as may be specified for use of railroad employees to identify a specific fixed point or mobile unit. A railroad’s abbreviated name or initial letters may be used where such are in general usage. Unit designators may be used in addition to the station identi- fication to identify an individual unit or transmitter of a base station.
Land mobile: Broadcasting (remote pickup) .... Identification of associated broadcasting station. Broadcasting (Emergency Broadcast System) State and operational area identification. Broadcasting (aural STL and intercity relay) ... Call sign of the broadcasting station with which it is associated. Broadcasting (television auxiliary) ................... Call sign of the TV broadcasting station with which it is licensed as an auxiliary,
or call sign of the TV broadcasting station whose signals are being relayed, or by network identification.
Broadcasting (television booster). ................... Retransmission of the call sign of the primary station. Disaster station ................................................ By radiotelephony: Name, location, or other designation of station when same
as that of an associated station in some other service. Two or more separate units of a station operated at different locations are separately identified by the addition of a unit name, number, or other designation at the end of its au- thorized means of identification.
(b) Digital selective calls will be au- thorized by the Commission and will be formed by groups of numbers (0 through 9), however, the first digit must be other than 0, as follows:
(1) Coast station identification num- ber: 4 digits.
(2) Ship station selective call num- ber: 5 digits.
(3) Predetermined group of ship sta- tions: 5 digits.
(c) Ship stations operating under a temporary operating authority shall identify by a call sign consisting of the
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47 CFR Ch. I (10–1–10 Edition)§ 2.401
letter ‘‘K’’ followed by the vessel’s Fed- eral or State registration number, or a call sign consisting of the letters ‘‘KUS’’ followed by the vessel’s docu- mentation number. However, if the ves- sel has no registration number or docu- mentation number, the call sign shall consist of the name of the vessel and the name of the licensee as they appear on the station application form.
[28 FR 12465, Nov. 22, 1963, as amended at 40 FR 57675, Dec. 11, 1975; 41 FR 44042, Oct. 6, 1976; 42 FR 31008, June 17, 1977; 44 FR 62284, Oct. 30, 1979]
Subpart E—Distress, Disaster, and Emergency Communications
§ 2.401 Distress messages. Each station licensee shall give abso-
lute priority to radiocommunications or signals relating to ships or aircraft in distress; shall cease all sending on frequencies which will interfere with hearing a radiocommunication or sig- nal of distress and except when en- gaged in answering or aiding the ship or aircraft in distress, shall refrain from sending any radiocommunications or signals until there is assurance that no interference will be caused with the radiocommunications or signals relat- ing thereto; and shall assist the ship or aircraft in distress, so far as possible, by complying with its instructions.
§ 2.402 Control of distress traffic. The control of distress traffic is the
responsibility of the mobile station in distress or of the mobile station which, by the application of the provisions of § 2.403, has sent the distress call. These stations may, however, delegate the control of the distress traffic to an- other station.
§ 2.403 Retransmission of distress mes- sage.
Any station which becomes aware that a mobile station is in distress may transmit the distress message in the following cases:
(a) When the station in distress is not itself in a position to transmit the message.
(b) In the case of mobile stations, when the master or the person in charge of the ship, aircraft, or other
vehicles carrying the station which in- tervenes believes that further help is necessary.
(c) In the case of other stations, when directed to do so by the station in con- trol of distress traffic or when it has reason to believe that a distress call which it has intercepted has not been received by any station in a position to render aid.
§ 2.404 Resumption of operation after distress.
No station having been notified to cease operation shall resume operation on frequency or frequencies which may cause interference until notified by the station issuing the original notice that the station involved will not interfere with distress traffic as it is then being routed or until the receipt of a general notice that the need for handling dis- tress traffic no longer exists.
§ 2.405 Operation during emergency.
The licensee of any station (except amateur, standard broadcast, FM broadcast, noncommercial educational FM broadcast, or television broadcast) may, during a period of emergency in which normal communication facilities are disrupted as a result of hurricane, flood, earthquake, or similar disaster, utilize such station for emergency communication service in commu- nicating in a manner other than that specified in the instrument of author- ization: Provided:
(a) That as soon as possible after the beginning of such emergency use, no- tice be sent to the Commission at Washington, D.C., and to the Engineer in Charge of the district in which the station is located, stating the nature of the emergency and the use to which the station is being put, and
(b) That the emergency use of the station shall be discontinued as soon as substantially normal communication facilities are again available, and
(c) That the Commission at Wash- ington, D.C., and the Engineer in Charge shall be notified immediately when such special use of the station is terminated: Provided further,
(d) That in no event shall any station engage in emergency transmission on frequencies other than, or with power
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Federal Communications Commission § 2.803
in excess of, that specified in the in- strument of authorization or as other- wise expressly provided by the Com- mission, or by law: And provided fur- ther,
(e) That any such emergency commu- nication undertaken under this section shall terminate upon order of the Com- mission.
NOTE: Part 73 of this chapter contains pro- visions governing emergency operation of standard, FM, noncommercial educational FM, and television broadcast stations. Part 97 of this chapter contains such provisions for amateur stations.
[28 FR 13785, Dec. 18, 1963]
§ 2.406 National defense; free service.
Any common carrier subject to the Communications Act may render to any agency of the United States Gov- ernment free service in connection with the preparation for the national defense. Every such carrier rendering any such free service shall make and file, in duplicate, with the Commission, on or before the 31st day of July and on or before the 31st day of January in each year, reports covering the periods of 6 months ending on the 30th day of June and the 31st day of December, re- spectively, next prior to said dates. These reports shall show the names of the agencies to which free service was rendered pursuant to this rule, the gen- eral character of the communications handled for each agency, and the charges in dollars which would have ac- crued to the carrier for such service rendered to each agency if charges for all such communications had been col- lected at the published tariff rates.
§ 2.407 National defense; emergency authorization.
The Federal Communications Com- mission may authorize the licensee of any radio station during a period of na- tional emergency to operate its facili- ties upon such frequencies, with such power and points of communication, and in such a manner beyond that spec- ified in the station license as may be requested by the Army, Navy, or Air Force.
Subparts F–G [Reserved]
Subpart H—Prohibition Against Eavesdropping
§ 2.701 Prohibition against use of a radio device for eavesdropping.
(a) No person shall use, either di- rectly or indirectly, a device required to be licensed by section 301 of the Communications Act of 1934, as amend- ed, for the purpose of overhearing or recording the private conversations of others unless such use is authorized by all of the parties engaging in the con- versation.
(b) Paragraph (a) of this section shall not apply to operations of any law en- forcement officers conducted under lawful authority.
[31 FR 3400, Mar. 4, 1966]
Subpart I—Marketing of Radio- frequency Devices
SOURCE: 35 FR 7898, May 22, 1970, unless otherwise noted.
§ 2.801 Radiofrequency device defined. As used in this part, a radiofrequency
device is any device which in its oper- ation is capable of emitting radio- frequency energy by radiation, conduc- tion, or other means. Radiofrequency devices include, but are not limited to:
(a) The various types of radio com- munication transmitting devices de- scribed throughout this chapter.
(b) The incidental, unintentional and intentional radiators defined in part 15 of this chapter.
(c) The industrial, scientific, and medical equipment described in part 18 of this chapter.
(d) Any part or component thereof which in use emits radiofrequency en- ergy by radiation, conduction, or other means.
[35 FR 7898, May 22, 1970, as amended at 54 FR 17711, Apr. 25, 1989]
§ 2.803 Marketing of radio frequency devices prior to equipment author- ization.
(a) Except as provided elsewhere in this section, no person shall sell or lease, or offer for sale or lease (includ- ing advertising for sale or lease), or im- port, ship, or distribute for the purpose of selling or leasing or offering for sale
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47 CFR Ch. I (10–1–10 Edition)§ 2.803
or lease, any radio frequency device un- less:
(1) In the case of a device subject to certification, such device has been au- thorized by the Commission in accord- ance with the rules in this chapter and is properly identified and labelled as required by § 2.925 and other relevant sections in this chapter; or
(2) In the case of a device that is not required to have a grant of equipment authorization issued by the Commis- sion, but which must comply with the specified technical standards prior to use, such device also complies with all applicable administrative (including verification of the equipment or au- thorization under a Declaration of Con- formity, where required), technical, la- belling and identification requirements specified in this chapter.
(b) The provisions of paragraph (a) of this section do not prohibit conditional sales contracts between manufacturers and wholesalers or retailers where de- livery is contingent upon compliance with the applicable equipment author- ization and technical requirements, nor do they prohibit agreements between such parties to produce new products, manufactured in accordance with des- ignated specifications.
(c) Notwithstanding the provisions of paragraphs (a), (b), (d) and (f) of this section, a radio frequency device may be advertised or displayed, e.g., at a trade show or exhibition, prior to equipment authorization or, for devices not subject to the equipment author- ization requirements, prior to a deter- mination of compliance with the appli- cable technical requirements provided that the advertising contains, and the display is accompanied by, a con- spicuous notice worded as follows:
This device has not been authorized as re- quired by the rules of the Federal Commu- nications Commission. This device is not, and may not be, offered for sale or lease, or sold or leased, until authorization is ob- tained.
(1) If the product being displayed is a prototype of a product that has been properly authorized and the prototype, itself, is not authorized due to dif- ferences between the prototype and the authorized product, the following dis- claimer notice may be used in lieu of
the notice stated in paragraph (c) in- troductory text of this section:
Prototype. Not for sale.
(2) Except as provided elsewhere in this chapter, devices displayed under the provisions of paragraphs (c) intro- ductory text, and (c)(1) of this section may not be activated or operated.
(d) Notwithstanding the provisions of paragraph (a) of this section, the offer for sale solely to business, commercial, industrial, scientific or medical users (but not an offer for sale to other par- ties or to end users located in a resi- dential environment) of a radio fre- quency device that is in the concep- tual, developmental, design or pre-pro- duction stage is permitted prior to equipment authorization or, for devices not subject to the equipment author- ization requirements, prior to a deter- mination of compliance with the appli- cable technical requirements provided that the prospective buyer is advised in writing at the time of the offer for sale that the equipment is subject to the FCC rules and that the equipment will comply with the appropriate rules be- fore delivery to the buyer or to centers of distribution. If a product is mar- keted in compliance with the provi- sions of this paragraph, the product does not need to be labelled with the statement in paragraph (c) of this sec- tion.
(e)(1) Notwithstanding the provisions of paragraph (a) of this section, prior to equipment authorization or deter- mination of compliance with the appli- cable technical requirements any radio frequency device may be operated, but not marketed, for the following pur- poses and under the following condi- tions:
(i) Compliance testing; (ii) Demonstrations at a trade show
provided the notice contained in para- graph (c) of this section is displayed in a conspicuous location on, or imme- diately adjacent to, the device;
(iii) Demonstrations at an exhibition conducted at a business, commercial, industrial, scientific, or medical loca- tion, but excluding locations in a resi- dential environment, provided the no- tice contained in paragraphs (c) or (d)
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Federal Communications Commission § 2.803
of this section, as appropriate, is dis- played in a conspicuous location on, or immediately adjacent to, the device;
(iv) Evaluation of product perform- ance and determination of customer acceptability, provided such operation takes place at the manufacturer’s fa- cilities during developmental, design, or pre-production states; or
(v) Evaluation of product perform- ance and determination of customer acceptability where customer accept- ability of a radio frequency device can- not be determined at the manufactur- er’s facilities because of size or unique capability of the device, provided the device is operated at a business, com- mercial, industrial, scientific, or med- ical user’s site, but not at a residential site, during the development, design or pre-production stages. A product oper- ated under this provision shall be labelled, in a conspicuous location, with the notice in paragraph (c) of this section.
(2) For the purpose of paragraphs (e)(1)(iv) and (e)(1)(v) of this section, the term manufacturer’s facilities in- cludes the facilities of the party re- sponsible for compliance with the regu- lations and the manufacturer’s prem- ises, as well as the facilities of other entities working under the authoriza- tion of the responsible party in connec- tion with the development and manu- facture, but not marketing, of the equipment.
(e)(3) The provisions of paragraphs (e)(1)(i), (e)(1)(ii), (e)(1)(iii), (e)(1)(iv), and (e)(1)(v) of this section do not eliminate any requirements for station licenses for products that normally re- quire a license to operate, as specified elsewhere in this chapter.
(i) Manufacturers should note that station licenses are not required for some products, e.g., products operating under part 15 of this chapter and cer- tain products operating under part 95 of this chapter.
(ii) Instead of obtaining a special temporary authorization or an experi- mental license, a manufacturer may operate its product for demonstration or evaluation purposes under the au- thority of a local FCC licensed service provider. However, the licensee must grant permission to the manufacturer to operate in this manner. Further, the
licensee continues to remain respon- sible for complying with all of the op- erating conditions and requirements associated with its license.
(4) Marketing, as used in this section, includes sale or lease, or offering for sale or lease, including advertising for sale or lease, or importation, shipment, or distribution for the purpose of sell- ing or leasing or offering for sale or lease.
(5) Products operating under the pro- visions of this paragraph (e) shall not be recognized to have any vested or recognizable right to continued use of any frequency. Operation is subject to the conditions that no harmful inter- ference is caused and that any inter- ference received must be accepted. Op- eration shall be required to cease upon notification by a Commission rep- resentative that the device is causing harmful interference and shall not re- sume until the condition causing the harmful interference is corrected.
(f) For radio frequency devices sub- ject to verification and sold solely to business, commercial, industrial, sci- entific, and medical users (excluding products sold to other parties or for op- eration in a residential environment), parties responsible for verification of the devices shall have the option of en- suring compliance with the applicable technical specifications of this chapter at each end user’s location after instal- lation, provided that the purchase or lease agreement includes a proviso that such a determination of compliance be made and is the responsibility of the party responsible for verification of the equipment. If the purchase or lease agreement contains this proviso and the responsible party has the product measured to ensure compliance at the end user’s location, the product does not need to be labelled with the state- ment in paragraph (c) of this section.
(g) The provisions in paragraphs (b) through (f) of this section apply only to devices that are designed to comply with, and to the best of the responsible party’s knowledge will, upon testing, comply with all applicable require- ments in this chapter. The provisions in paragraphs (b) through (f) of this section do not apply to radio frequency devices that could not be authorized or legally operated under the current
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47 CFR Ch. I (10–1–10 Edition)§ 2.807
rules. Such devices shall not be oper- ated, advertised, displayed, offered for sale or lease, sold or leased, or other- wise marketed absent a license issued under part 5 of this chapter or a special temporary authorization issued by the Commission.
(h) The provisions in subpart K of this part continue to apply to imported radio frequency devices.
[62 FR 10468, Mar. 7, 1997, as amended at 63 FR 31646, June 10, 1998; 63 FR 36597, July 7, 1998]
§ 2.807 Statutory exceptions. As provided by Section 302(c) of the
Communications Act of 1934, as amend- ed, § 2.803 shall not be applicable to:
(a) Carriers transporting radio- frequency devices without trading in them.
(b) Radiofrequency devices manufac- tured solely for export.
(c) The manufacture, assembly, or in- stallation of radiofrequency devices for its own use by a public utility engaged in providing electric service: Provided, however, That no such device shall be operated if it causes harmful inter- ference to radio communications.
(d) Radiofrequency devices for use by the Government of the United States or any agency thereof: Provided, how- ever, That this exception shall not be applicable to any device after it has been disposed of by such Government or agency.
[35 FR 7898, May 22, 1970, as amended at 62 FR 10470, Mar. 7, 1997]
§ 2.811 Transmitters operated under part 73 of this chapter.
Section 2.803(a) through (d) shall not be applicable to a transmitter operated in any of the Radio Broadcast Services regulated under part 73 of this chapter, provided the conditions set out in part 73 of this chapter for the acceptability of such transmitter for use under li- censing are met.
[62 FR 10470, Mar. 7, 1997]
§ 2.813 Transmitters operated in the Instructional Television Fixed Serv- ice.
Section 2.803 (a) through (d) shall not be applicable to a transmitter operated in the Instructional Television Fixed
Service regulated under part 74 of this chapter, provided the conditions in § 74.952 of this chapter for the accept- ability of such transmitter for licens- ing are met.
[62 FR 10470, Mar. 7, 1997]
§ 2.815 External radio frequency power amplifiers.
(a) As used in this part, an external radio frequency power amplifier is any device which, (1) when used in conjunc- tion with a radio transmitter as a sig- nal source is capable of amplification of that signal, and (2) is not an integral part of a radio transmitter as manufac- tured.
(b) No person shall manufacture, sell or lease, offer for sale or lease (includ- ing advertising for sale or lease) or im- port, ship or distribute for the purpose of selling or leasing or offering for sale or lease, any external radio frequency power amplifier capable of operation on any frequency or frequencies below 144 MHz unless the amplifier has re- ceived a grant of certification in ac- cordance with subpart J of this part and other relevant parts of this chap- ter. These amplifiers shall comply with the following:
(1) The external radio frequency power amplifier shall not be capable of amplification in the frequency band 26– 28 MHz.
(2) The amplifier shall not be capable of easy modification to permit its use as an amplifier in the frequency band 26–28 MHz.
(3) No more than 10 external radio frequency power amplifiers may be constructed for evaluation purposes in preparation for the submission of an application for a grant of certification.
(4) If the external radio frequency power amplifier is intended for oper- ation in the Amateur Radio Service under part 97 of this chapter, the re- quirements of §§ 97.315 and 97.317 of this chapter shall be met.
[40 FR 1246, Jan. 7, 1975; 40 FR 6474, Feb. 12, 1975, as amended at 43 FR 12687, Mar. 27, 1978; 43 FR 33725, Aug. 1, 1978; 46 FR 18981, Mar. 27, 1981; 62 FR 10470, Mar. 7, 1997; 71 FR 66461, Nov. 15, 2006]
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Federal Communications Commission § 2.909
Subpart J—Equipment Authorization Procedures
SOURCE: 39 FR 5919, Feb. 15, 1974, unless otherwise noted.
GENERAL PROVISIONS
§ 2.901 Basis and purpose. (a) In order to carry out its respon-
sibilities under the Communications Act and the various treaties and inter- national regulations, and in order to promote efficient use of the radio spec- trum, the Commission has developed technical standards for radio frequency equipment and parts or components thereof. The technical standards appli- cable to individual types of equipment are found in that part of the rules gov- erning the service wherein the equip- ment is to be operated. In addition to the technical standards provided, the rules governing the service may re- quire that such equipment be verified by the manufacturer or importer, be authorized under a Declaration of Con- formity, or receive an equipment au- thorization from the Commission by one of the following procedures: certifi- cation or registration.
(b) The following sections describe the verification procedure, the proce- dure for a Declaration of Conformity, and the procedures to be followed in obtaining certification from the Com- mission and the conditions attendant to such a grant.
[61 FR 31045, June 19, 1996, as amended at 62 FR 10470, Mar. 7, 1997; 63 FR 36597, July 7, 1998]
§ 2.902 Verification. (a) Verification is a procedure where
the manufacturer makes measure- ments or takes the necessary steps to insure that the equipment complies with the appropriate technical stand- ards. Submittal of a sample unit or representative data to the Commission demonstrating compliance is not re- quired unless specifically requested by the Commission pursuant to § 2.957, of this part.
(b) Verification attaches to all items subsequently marketed by the manu- facturer or importer which are iden- tical as defined in § 2.908 to the sample
tested and found acceptable by the manufacturer.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[46 FR 23249, Apr. 24, 1981]
§ 2.906 Declaration of Conformity. (a) A Declaration of Conformity is a
procedure where the responsible party, as defined in § 2.909, makes measure- ments or takes other necessary steps to ensure that the equipment complies with the appropriate technical stand- ards. Submittal of a sample unit or representative data to the Commission demonstrating compliance is not re- quired unless specifically requested pursuant to § 2.1076.
(b) The Declaration of Conformity at- taches to all items subsequently mar- keted by the responsible party which are identical, as defined in § 2.908, to the sample tested and found acceptable by the responsible party.
[61 FR 31045, June 19, 1996]
§ 2.907 Certification. (a) Certification is an equipment au-
thorization issued by the Commission, based on representations and test data submitted by the applicant.
(b) Certification attaches to all units subsequently marketed by the grantee which are identical (see § 2.908) to the sample tested except for permissive changes or other variations authorized by the Commission pursuant to § 2.1043.
[39 FR 5919, Feb. 15, 1974, as amended at 39 FR 27802, Aug. 1, 1974; 63 FR 36597, July 7, 1998]
§ 2.908 Identical defined. As used in this subpart, the term
identical means identical within the variation that can be expected to arise as a result of quantity production tech- niques.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[46 FR 23249, Apr. 24, 1981]
§ 2.909 Responsible party. The following parties are responsible
for the compliance of radio frequency equipment with the applicable stand- ards:
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47 CFR Ch. I (10–1–10 Edition)§ 2.911
(a) In the case of equipment which re- quires the issuance by the Commission of a grant of equipment authorization, the party to whom that grant of au- thorization is issued (the grantee) If the radio frequency equipment is modi- fied by any party other than the grant- ee and that party is not working under the authorization of the grantee pursu- ant to § 2.929(b), the party performing the modification is responsible for compliance of the product with the ap- plicable administrative and technical provisions in this chapter.
(b) In the case of equipment subject to authorization under the verification procedure, the manufacturer or, in the case of imported equipment, the im- porter. If subsequent to manufacture and importation, the radio frequency equipment is modified by any party not working under the authority of the re- sponsible party, the party performing the modification becomes the new re- sponsible party.
(c) In the case of equipment subject to authorization under the Declaration of Conformity procedure:
(1) The manufacturer or, if the equip- ment is assembled from individual component parts and the resulting sys- tem is subject to authorization under a Declaration of Conformity, the assem- bler.
(2) If the equipment, by itself, is sub- ject to a Declaration of Conformity and that equipment is imported, the im- porter.
(3) Retailers or original equipment manufacturers may enter into an agreement with the responsible party designated in paragraph (c)(1) or (c)(2) of this section to assume the respon- sibilities to ensure compliance of equipment and become the new respon- sible party.
(4) If the radio frequency equipment is modified by any party not working under the authority of the responsible party, the party performing the modi- fications, if located within the U.S., or the importer, if the equipment is im- ported subsequent to the modifica- tions, becomes the new responsible party.
(d) If, because of modifications per- formed subsequent to authorization, a new party becomes responsible for en- suring that a product complies with
the technical standards and the new party does not obtain a new equipment authorization, the equipment shall be labelled, following the specifications in § 2.925(d), with the following: ‘‘This product has been modified by [insert name, address and telephone number of the party performing the modifica- tions].’’
[54 FR 17712, Apr. 25, 1989, as amended at 61 FR 31045, June 19, 1996; 62 FR 10470, Mar. 7, 1997; 62 FR 41880, Aug. 4, 1997]
APPLICATION PROCEDURES FOR EQUIPMENT AUTHORIZATIONS
§ 2.911 Written application required.
(a) An application for equipment au- thorization shall be filed on a form pre- scribed by the Commission.
(b) Each application shall be accom- panied by all information required by this subpart and by those parts of the rules governing operation of the equip- ment, and by requisite test data, dia- grams, etc., as specified in this subpart and in those sections of rules whereunder the equipment is to be op- erated.
(c) Each application including amendments thereto, and related state- ments of fact required by the Commis- sion, shall be personally signed by the applicant if the applicant is an indi- vidual; by one of the partners if the ap- plicant is a partnership; by an officer, if the applicant is a corporation; or by a member who is an officer, if the ap- plicant is an unincorporated associa- tion: Provided, however, That the appli- cation may be signed by the applicant’s authorized representative who shall in- dicate his title, such as plant manager, project engineer, etc.
(d) Technical test data shall be signed by the person who performed or supervised the tests. The person sign- ing the test data shall attest to the ac- curacy of such data. The Commission may require such person to submit a statement showing that he is qualified to make or supervise the required measurements.
(e) The signatures of the applicant and the person certifying the test data shall be made personally by those per- sons on the original application; copies of such documents may be conformed.
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Federal Communications Commission § 2.921
Signatures and certifications need not be made under oath.
(f) Each application shall be accom- panied by the processing fee prescribed in subpart G of part 1 of this chapter.
(g) Signed, as used in this section, means an original handwritten signa- ture; however, the Office of Engineer- ing and Technology may allow signa- ture by any symbol executed or adopt- ed by the applicant with the intent that such symbol be a signature, in- cluding symbols formed by computer- generated electronic impulses.
[39 FR 5919, Feb. 15, 1974, as amended at 39 FR 27802, Aug. 1, 1974; 52 FR 5294, Feb. 20, 1987. Redesignated at 54 FR 17712, Apr. 25, 1989; 63 FR 36598, July 7, 1998]
§ 2.913 Submittal of equipment author- ization application or information to the Commission.
(a) All applications for equipment au- thorization must be filed electronically via the Internet. Information on the procedures for electronically filing equipment authorization applications can be obtained from the address in paragraph (c) of this section and from the Internet at https://gullfoss2.fcc.gov/ prod/oet/cf/eas/index.cfm.
(b) Unless otherwise directed, fees for applications for the equipment author- ization, pursuant to § 1.1103 of this chapter, must be submitted either elec- tronically via the Internet at https:// gullfoss2.fcc.gov/prod/oet/cf/eas/index.cfm or by following the procedures de- scribed in § 0.401(b) of this chapter. The address for fees submitted by mail is: Federal Communications Commission, Equipment Approval Services, P.O. Box 979095, St. Louis, MO 63197–9000. If the applicant chooses to make use of an air courier/package delivery service, the following address must appear on the outside of the package/envelope: Fed- eral Communications Commission, c/o Lockbox 979095, SL–MO–C2–GL, 1005 Convention Plaza, St. Louis, MO 63101.
(c) Any equipment samples requested by the Commission pursuant to the provisions of subpart J of this part shall, unless otherwise directed, be sub- mitted to the Federal Communications Commission Laboratory, 7435 Oakland Mills Road, Columbia, Maryland, 21046.
[69 FR 54033, Sept. 7, 2004, as amended at 73 FR 9030, Feb. 19, 2008]
§ 2.915 Grant of application. (a) The Commission will grant an ap-
plication for certification if it finds from an examination of the application and supporting data, or other matter which it may officially notice, that:
(1) The equipment is capable of com- plying with pertinent technical stand- ards of the rule part(s) under which it is to be operated; and,
(2) A grant of the application would serve the public interest, convenience and necessity.
(b) Grants will be made in writing showing the effective date of the grant and any special condition(s) attaching to the grant.
(c) Certification shall not attach to any equipment, nor shall any equip- ment authorization be deemed effec- tive, until the application has been granted.
[39 FR 5919, Feb. 15, 1974, as amended at 48 FR 3621, Jan. 26, 1983; 62 FR 10470, Mar. 7, 1997; 63 FR 36598, July 7, 1998]
§ 2.917 Dismissal of application. (a) An application which is not in ac-
cordance with the provisions of this subpart may be dismissed.
(b) Any application, upon written re- quest signed by the applicant or his at- torney, may be dismissed prior to a de- termination granting or denying the authorization requested.
(c) If an applicant is requested by the Commission to file additional docu- ments or information and fails to sub- mit the requested material within 60 days, the application may be dismissed.
[39 FR 5919, Feb. 15, 1974, as amended at 62 FR 10470, Mar. 7, 1997]
§ 2.919 Denial of application. If the Commission is unable to make
the findings specified in § 2.915(a), it will deny the application. Notification to the applicant will include a state- ment of the reasons for the denial.
§ 2.921 Hearing on application. Whenever it is determined that an
application for equipment authoriza- tion presents substantial factual ques- tions relating to the qualifications of the applicant or the equipment (or the effects of the use thereof), the Commis- sion may designate the application for
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47 CFR Ch. I (10–1–10 Edition)§ 2.923
hearing. A hearing on an application for an equipment authorization shall be conducted in the same manner as a hearing on a radio station application as set out in subpart B of part 1 of this chapter.
§ 2.923 Petition for reconsideration; application for review.
Persons aggrieved by virtue of an equipment authorization action may file with the Commission a petition for reconsideration or an application for review. Rules governing the filing of petitions for reconsideration and appli- cations for review are set forth in §§ 1.106 and 1.115, respectively, of this chapter.
§ 2.924 Marketing of electrically iden- tical equipment having multiple trade names and models or type numbers under the same FCC Iden- tifier.
The grantee of an equipment author- ization may market devices having dif- ferent model/type numbers or trade names without additional authoriza- tion from the Commission, provided that such devices are electrically iden- tical and the equipment bears an FCC Identifier validated by a grant of equipment authorization. A device will be considered to be electrically iden- tical if no changes are made to the de- vice authorized by the Commission, or if the changes made to the device would be treated as class I permissive changes within the scope of § 2.1043(b)(1). Changes to the model number or trade name by anyone other than the grantee, or under the author- ization of the grantee, shall be per- formed following the procedures in § 2.933.
[62 FR 10470, Mar. 7, 1997, as amended at 63 FR 36598, July 7, 1998]
§ 2.925 Identification of equipment.
(a) Each equipment covered in an ap- plication for equipment authorization shall bear a nameplate or label listing the following:
(1) FCC Identifier consisting of the two elements in the exact order speci- fied in § 2.926. The FCC Identifier shall be preceded by the term FCC ID in cap- ital letters on a single line, and shall
be of a type size large enough to be leg- ible without the aid of magnification.
Example: FCC ID XXX123. XXX—Grantee Code 123—Equipment Product Code
(2) Any other statements or labeling requirements imposed by the rules gov- erning the operation of the specific class of equipment, except that such statement(s) of compliance may appear on a separate label at the option of the applicant/grantee.
(3) Equipment subject only to reg- istration will be identified pursuant to part 68 of this chapter.
(b) Any device subject to more than one equipment authorization procedure may be assigned a single FCC Identi- fier. However, a single FCC Identifier is required to be assigned to any device consisting of two or more sections as- sembled in a common enclosure, on a common chassis or circuit board, and with common frequency controlling circuits. Devices to which a single FCC Identifier has been assigned shall be identified pursuant to paragraph (a) of this section.
(1) Separate FCC Identifiers may be assigned to a device consisting of two or more sections assembled in a com- mon enclosure, but constructed on sep- arate sub-units or circuit boards with independent frequency controlling cir- cuits. The FCC Identifier assigned to any transmitter section shall be pre- ceded by the term TX FCC ID, the FCC Identifier assigned to any receiver sec- tion shall be preceded by the term RX FCC ID and the identifier assigned to any remaining section(s) shall be pre- ceded by the term FCC ID.
(2) Where telephone equipment sub- ject to part 68 of this chapter, and a ra- diofrequency device subject to equip- ment authorization requirements are assembled in a common enclosure, the nameplate/label shall display the FCC Registration Number in the format specified in part 68 and the FCC Identi- fier in the format specified in para- graph (a) of this section.
(3) Applications filed on or after May 1, 1981, and applications filed earlier re- questing equipment authorization using the single system of identifica- tion pursuant to section (a)(1) will re- ceive a review of the identification por- tion by the Commission’s Laboratory
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Federal Communications Commission § 2.926
with respect to nameplate/label design within 30 days after receipt at the Lab- oratory. Failure by the Laboratory to reject a nameplate design proposed in any particular application within this time period will constitute de-facto ac- ceptance of the nameplate/label design for that particular equipment. Such de facto acceptance will be limited to the equipment covered by the particular application and will not be considered to establish a precedent for other appli- cations. This review deadline applies only to the proposed nameplate/label design, not to the remainder of the ap- plication.
(4) For a transceiver, the receiver portion of which is subject to verification pursuant to § 15.101 of this chapter, the FCC Identifier required for the transmitter portion shall be pre- ceded by the term FCC ID.
(c) [Reserved] (d) In order to validate the grant of
equipment authorization, the name- plate or label shall be permanently af- fixed to the equipment and shall be readily visible to the purchaser at the time of purchase.
(1) As used here, permanently affixed means that the required nameplate data is etched, engraved, stamped, in- delibly printed, or otherwise perma- nently marked on a permanently at- tached part of the equipment enclo- sure. Alternatively, the required infor- mation may be permanently marked on a nameplate of metal, plastic, or other material fastened to the equipment en- closure by welding, riveting, etc., or with a permanent adhesive. Such a nameplate must be able to last the ex- pected lifetime of the equipment in the environment in which the equipment will be operated and must not be read- ily detachable.
(2) As used here, readily visible means that the nameplate or nameplate data must be visible from the outside of the equipment enclosure. It is preferable that it be visible at all times during normal installation or use, but this is not a prerequisite for grant of equip- ment authorization.
(e) A software defined radio may be equipped with a means such as a user display screen to display the FCC iden- tification number normally contained in the nameplate or label. The informa-
tion must be readily accessible, and the user manual must describe how to ac- cess the electronic display.
(f) Where it is shown that a perma- nently affixed nameplate is not desir- able or is not feasible, an alternative method of positively identifying the equipment may be used if approved by the Commission. The proposed alter- native method of identification and the justification for its use must be in- cluded with the application for equip- ment authorization.
NOTE: As an example, a device intended to be implanted within the body of a test ani- mal or person would probably require an al- ternate method of identification.
(g) The term FCC ID and the coded identification assigned by the Commis- sion shall be in a size of type large enough to be readily legible, consistent with the dimensions of the equipment and its nameplate. However, the type size for the FCC Identifier is not re- quired to be larger than eight-point.
[44 FR 17177, Mar. 21, 1979, as amended at 44 FR 55574, Sept. 27, 1979; 46 FR 21013, Apr. 8, 1981; 52 FR 21687, June 9, 1987; 54 FR 1698, Jan. 17, 1989; 62 FR 10470, Mar. 7, 1997; 66 FR 50840, Oct. 5, 2001]
§ 2.926 FCC identifier.
(a) A grant of equipment authoriza- tion issued by the Commission will list the validated FCC Identifier consisting of the grantee code assigned by the FCC pursuant to paragraph (b) of this section, and the equipment product code assigned by the grantee pursuant to paragraph (c) of this section. See § 2.925.
(b) The grantee code assigned pursu- ant to paragraph (c) of this section is assigned permanently to applicants/ grantees and is valid only for the party specified as the applicant/grantee in the code assignment(s).
(c) A grantee code will have three characters consisting of Arabic numer- als, capital letters, or combination thereof. A prospective grantee or his authorized representative may receive a grantee code electronically via the Internet at https://gullfoss2.fcc.gov/prod/ oet/cf/eas/index.cfm. The code may be ob- tained at any time prior to submittal of the application for equipment au- thorization. However, the fee required
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47 CFR Ch. I (10–1–10 Edition)§ 2.927
by § 1.1103 of this chapter must be sub- mitted and validated within 30 days of the issuance of the grantee code, or the code will be removed from the Commis- sion’s records and a new grantee code will have to be obtained.
(1) After assignment of a grantee code each grantee will continue to use the same grantee code for subsequent equipment authorization applications.
In the event the grantee name is changed or ownership is transferred, the circumstances shall be reported to the Commission so that a new grantee code can be assigned, if appropriate. See §§ 2.934 and 2.935 for additional in- formation.
(2) [Reserved] (d) The equipment product code as-
signed by the grantee shall consist of a series of Arabic numerals, capital let- ters or a combination thereof, and may include the dash or hyphen (-). The total of Arabic numerals, capital let- ters and dashes or hyphens shall not exceed 14 and shall be one which has not been previously used in conjunc- tion with:
(1) The same grantee code, or (2) An application denied pursuant to
§ 2.919 of this chapter. (e) No FCC Identifier may be used on
equipment to be marketed unless that specific identifier has been validated by a grant of equipment authorization issued by the Commission. This shall not prohibit placement of an FCC iden- tifier on a transceiver which includes a verified receiver subject to § 15.101, pro- vided that the transmitter portion of such transceiver is covered by a valid grant of type acceptance or certifi- cation. The FCC Identifier is uniquely assigned to the grantee and may not be placed on the equipment without au- thorization by the grantee. See § 2.803 for conditions applicable to the display at trade shows of equipment which has not been granted equipment authoriza- tion where such grant is required prior to marketing. Labelling of such equip- ment may include model or type num- bers, but shall not include a purported FCC Identifier.
[44 FR 17179, Mar. 21, 1979, as amended at 46 FR 21014, Apr. 8, 1981; 52 FR 21687, June 9, 1987; 54 FR 1698, Jan. 17, 1989; 62 FR 10471, Mar. 7, 1997; 69 FR 54033, Sept. 7, 2004]
CONDITIONS ATTENDANT TO AN EQUIPMENT AUTHORIZATION
§ 2.927 Limitations on grants. (a) A grant of equipment authoriza-
tion is valid only when the FCC Identi- fier is permanently affixed on the de- vice and remains effective until re- voked or withdrawn, rescinded, surren- dered, or a termination date is other- wise established by the Commission.
(b) A grant of an equipment author- ization signifies that the Commission has determined that the equipment has been shown to be capable of compliance with the applicable technical standards if no unauthorized change is made in the equipment and if the equipment is properly maintained and operated. The issuance of a grant of equipment au- thorization shall not be construed as a finding by the Commission with re- spect to matters not encompassed by the Commission’s rules, especially with respect to compliance with 18 U.S.C. 2512.
(c) No person shall, in any adver- tising matter, brochure, etc., use or make reference to an equipment au- thorization in a deceptive or mis- leading manner or convey the impres- sion that such equipment authoriza- tion reflects more than a Commission determination that the device or prod- uct has been shown to be capable of compliance with the applicable tech- nical standards of the Commission’s rules.
[39 FR 5919, Feb. 15, 1974, as amended at 44 FR 29066, May 18, 1979; 62 FR 10471, Mar. 7, 1997]
§ 2.929 Changes in name, address, own- ership or control of grantee.
(a) An equipment authorization issued by the Commission may not be assigned, exchanged or in any other way transferred to a second party, ex- cept as provided in this section.
(b) The grantee of an equipment au- thorization may license or otherwise authorize a second party to manufac- ture the equipment covered by the grant of the equipment authorization provided:
(1) The equipment manufactured by such second party bears the FCC Iden- tifier as is set out in the grant of the equipment authorization.
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Federal Communications Commission § 2.933
NOTE TO PARAGRAPH (b)(1): Any change in the FCC Identifier desired as a result of such production or marketing agreement will re- quire the filing of a new application for an equipment authorization as specified in § 2.933.
(2) The grantee of the equipment au- thorization shall continue to be respon- sible to the Commission for the equip- ment produced pursuant to such an agreement.
(c) Whenever there is a change in the name and/or address of the grantee of an equipment authorization, notice of such change(s) shall be submitted to the Commission via the Internet at https://gullfoss2.fcc.gov/prod/oet/cf/eas/ index.cfm within 30 days after the grantee starts using the new name and/ or address.
(d) In the case of transactions affect- ing the grantee, such as a transfer of control or sale to another company, mergers, or transfer of manufacturing rights, notice must be given to the Commission via the Internet at https:// gullfoss2.fcc.gov/prod/oet/cf/eas/index.cfm within 60 days after the consummation of the transaction. Depending on the circumstances in each case, the Com- mission may require new applications for equipment authorization. In reach- ing a decision the Commission will consider whether the acquiring party can adequately ensure and accept re- sponsibility for continued compliance with the regulations. In general, new applications for each device will not be required. A single application for equipment authorization may be filed covering all the affected equipment.
[63 FR 36598, July 7, 1998, as amended at 69 FR 54033, Sept. 7, 2004]
§ 2.931 Responsibility of the grantee.
In accepting a grant of an equipment authorization, the grantee warrants that each unit of equipment marketed under such grant and bearing the iden- tification specified in the grant will conform to the unit that was measured and that the data (design and rated operational characteristics) filed with the application for certification con- tinues to be representative of the equipment being produced under such grant within the variation that can be
expected due to quantity production and testing on a statistical basis.
[63 FR 36598, July 7, 1998]
§ 2.932 Modification of equipment.
(a) A new application for an equip- ment authorization shall be filed when- ever there is a change in the design, circuitry or construction of an equip- ment or device for which an equipment authorization has been issued, except as provided in paragraphs (b) through (d) of this section.
(b) Permissive changes may be made in certificated equipment, and equip- ment that was authorized under the former type acceptance procedure, pur- suant to § 2.1043.
(c) Permissive changes may be made in equipment that was authorized under the former notification proce- dure without submittal of information to the Commission, unless the equip- ment is currently subject to authoriza- tion under the certification procedure. However, the grantee shall submit in- formation documenting continued compliance with the pertinent require- ments upon request.
(d) All requests for permissive changes submitted to the Commission must be accompanied by the anti-drug abuse certification required under § 1.2002 of this chapter.
[63 FR 36598, July 7, 1998, as amended at 66 FR 50840, Oct. 5, 2001; 70 FR 23039, May 4, 2005]
§ 2.933 Change in identification of equipment.
(a) A new application for equipment authorization shall be filed whenever there is a change in the FCC Identifier for the equipment with or without a change in design, circuitry or construc- tion. However, a change in the model/ type number or trade name performed in accordance with the provisions in § 2.924 of this chapter is not considered to be a change in identification and does not require additional authoriza- tion from the Commission.
(b) An application filed pursuant to paragraph (a) of this section where no change in design, circuitry or construc- tion is involved, need not be accom- panied by a resubmission of equipment
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47 CFR Ch. I (10–1–10 Edition)§ 2.936
or measurement or test data custom- arily required with a new application, unless specifically requested by the Commission. In lieu thereof, the appli- cant shall attach a statement setting out:
(1) The original identification used on the equipment prior to the change in identification.
(2) The date of the original grant of the equipment authorization.
(3) How the equipment bearing the modified identification differs from the original equipment.
(4) Whether the original test results continue to be representative of and applicable to the equipment bearing the changed identification.
(5) The photographs required by § 2.1033(b)(7) or § 2.1033(c)(12) showing the exterior appearance of the equip- ment, including the operating controls available to the user and the identi- fication label. Photographs of the con- struction, the component placement on the chassis, and the chassis assembly are not required to be submitted unless specifically requested by the Commis- sion.
(c) If the change in the FCC Identifier also involves a change in design or cir- cuitry which falls outside the purview of a permissive change described in § 2.1043, a complete application shall be filed pursuant to § 2.911.
[63 FR 36598, July 7, 1998]
§ 2.936 FCC inspection. Upon reasonable request, each re-
sponsible party shall submit the fol- lowing to the Commission or shall make the following available for in- spection:
(a) The records required by §§ 2.938, 2.955, and 2.1075.
(b) A sample unit of the equipment covered under an authorization.
(c) The manufacturing plant and fa- cilities.
[62 FR 10471, Mar. 7, 1997]
§ 2.937 Equipment defect and/or design change.
When a complaint is filed with the Commission concerning the failure of equipment subject to this chapter to comply with pertinent requirements of the Commission’s rules, and the Com-
mission determines that the complaint is justified and arises out of an equip- ment fault attributable to the respon- sible party, the Commission may re- quire the responsible party to inves- tigate such complaint and report the results of such investigation to the Commission. The report shall also indi- cate what action if any has been taken or is proposed to be taken by the re- sponsible party to correct the defect, both in terms of future production and with reference to articles in the posses- sion of users, sellers and distributors.
[61 FR 31046, June 19, 1996]
§ 2.938 Retention of records.
(a) For each equipment subject to the Commission’s equipment authorization standards, the responsible party shall maintain the records listed as follows:
(1) A record of the original design drawings and specifications and all changes that have been made that may affect compliance with the standards and the requirements of § 2.931.
(2) A record of the procedures used for production inspection and testing to ensure conformance with the stand- ards and the requirements of § 2.931.
(3) A record of the test results that demonstrate compliance with the ap- propriate regulations in this chapter.
(b) The provisions of paragraph (a) of this section shall also apply to a manu- facturer of equipment produced under the provisions of § 2.929(b). The reten- tion of the records by the manufac- turer under these circumstances shall satisfy the grantee’s responsibility under paragraph (a) of this section.
(c) The records listed in paragraph (a) of this section shall be retained for one year for equipment subject to author- ization under the certification proce- dure or former type acceptance proce- dure, or for two years for equipment subject to authorization under any other procedure, after the manufacture of said equipment has been perma- nently discontinued, or until the con- clusion of an investigation or a pro- ceeding if the responsible party (or, under paragraph (b) of this section, the manufacturer) is officially notified that an investigation or any other ad- ministrative proceeding involving its equipment has been instituted.
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Federal Communications Commission § 2.944
(d) If radio frequency equipment is modified by any party other than the original responsible party, and that party is not working under the author- ization of the original responsible party, the party performing the modi- fications is not required to obtain the original design drawings specified in paragraph (a)(1) of this section. How- ever, the party performing the modi- fications must maintain records show- ing the changes made to the equipment along with the records required in paragraphs (a)(3) of this section. A new equipment authorization may also be required. See, for example, §§ 2.909, 2.924, 2.933, and 2.1043.
[62 FR 10471, Mar. 7, 1997, as amended at 63 FR 36599, July 7, 1998]
§ 2.939 Revocation or withdrawal of equipment authorization.
(a) The Commission may revoke any equipment authorization:
(1) For false statements or represen- tations made either in the application or in materials or response submitted in connection therewith or in records required to be kept by § 2.938.
(2) If upon subsequent inspection or operation it is determined that the equipment does not conform to the per- tinent technical requirements or to the representations made in the original application.
(3) If it is determined that changes have been made in the equipment other than those authorized by the rules or otherwise expressly authorized by the Commission.
(4) Because of conditions coming to the attention of the Commission which would warrant it in refusing to grant an original application.
(b) Revocation of an equipment au- thorization shall be made in the same manner as revocation of radio station licenses.
(c) The Commission may withdraw any equipment authorization in the event of changes in its technical stand- ards. The procedure to be followed will be set forth in the order promulgating such new technical standards (after ap- propriate rulemaking proceedings) and will provide a suitable amortization pe-
riod for equipment in hands of users and in the manufacturing process.
[39 FR 5919, Feb. 15, 1974, as amended at 51 FR 39535, Oct. 29, 1986]
§ 2.941 Availability of information re- lating to grants.
(a) Grants of equipment authoriza- tion, other than for receivers and equipment authorized for use under parts 15 or 18 of this chapter, will be publicly announced in a timely manner by the Commission. Information about the authorization of a device using a particular FCC Identifier may be ob- tained by contacting the Commission’s Office of Engineering and Technology Laboratory.
(b) Information relating to equip- ment authorizations, such as data sub- mitted by the applicant in connection with an authorization application, lab- oratory tests of the device, etc., shall be available in accordance with §§ 0.441 through 0.470 of this chapter.
[62 FR 10472, Mar. 7, 1997]
§ 2.943 Submission of equipment for testing.
(a) The Commission may require an applicant to submit one or more sam- ple units for measurement at the Com- mission’s laboratory.
(b) In the event the applicant be- lieves that shipment of the sample to the Commission’s laboratory is imprac- tical because of the size or weight of the equipment, or the power require- ment, or for any other reason, the ap- plicant may submit a written expla- nation why such shipment is imprac- tical and should not be required.
[39 FR 5919, Feb. 15, 1974, as amended at 48 FR 3621, Jan. 26, 1983; 63 FR 36599, July 7, 1998]
§ 2.944 Software defined radios.
(a) Manufacturers must take steps to ensure that only software that has been approved with a software defined radio can be loaded into the radio. The software must not allow the user to op- erate the transmitter with operating frequencies, output power, modulation types or other radio frequency param- eters outside those that were approved.
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47 CFR Ch. I (10–1–10 Edition)§ 2.945
Manufacturers may use means includ- ing, but not limited to the use of a pri- vate network that allows only authen- ticated users to download software, electronic signatures in software or coding in hardware that is decoded by software to verify that new software can be legally loaded into a device to meet these requirements and must de- scribe the methods in their application for equipment authorization.
(b) Any radio in which the software is designed or expected to be modified by a party other than the manufacturer and would affect the operating param- eters of frequency range, modulation type or maximum output power (either radiated or conducted), or the cir- cumstances under which the trans- mitter operates in accordance with Commission rules, must comply with the requirements in paragraph (a) of this section and must be certified as a software defined radio.
(c) Applications for certification of software defined radios must include a high level operational description or flow diagram of the software that con- trols the radio frequency operating pa- rameters.
[70 FR 23039, May 4, 2005]
§ 2.945 Sampling tests of equipment compliance.
The Commission will, from time to time, request the responsible party to submit equipment subject to this chap- ter to determine the extent to which subsequent production of such equip- ment continues to comply with the data filed by the applicant (or on file with the responsible party for equip- ment subject to notification or a Dec- laration of Conformity). Shipping costs to the Commission’s laboratory and re- turn shall be borne by the responsible party.
[61 FR 31046, June 19, 1996]
§ 2.946 Penalty for failure to provide test samples and data.
(a) Any responsible party, as defined in § 2.909, or any party who markets equipment subject to the provisions of this chapter, shall provide test sam- ple(s) or data upon request by the Com- mission. Failure to comply with such a request within 14 days may be cause for
forfeiture, pursuant to § 1.80 of this chapter, or other administrative sanc- tions such as suspending action on any applications for equipment authoriza- tion submitted by such party while the matter is being resolved.
(b) The Commission may consider ex- tensions of time upon submission of a showing of good cause.
[63 FR 36599, July 7, 1998]
§ 2.947 Measurement procedure.
(a) The Commission will accept data which have been measured in accord- ance with the following standards or measurement procedures:
(1) Those set forth in bulletins or re- ports prepared by the Commission’s Of- fice of Engineering and Technology. These will be issued as required, and specified in the particular part of the rules where applicable.
(2) Those acceptable to the Commis- sion and published by national engi- neering societies such as the Electronic Industries Association, the Institute of Electrical and Electronic Engineers, Inc., and the American National Stand- ards Institute.
(3) Any measurement procedure ac- ceptable to the Commission may be used to prepare data demonstrating compliance with the requirements of this chapter.
(b) Information submitted pursuant to paragraph (a) of this section shall completely identify the specific stand- ard or measurement procedure used.
(c) In the case of equipment requiring measurement procedures not specified in the references set forth in para- graphs (a) (1) and (2) of this section, the applicant shall submit a detailed de- scription of the measurement proce- dures actually used.
(d) A listing of the test equipment used shall be submitted.
(e) If deemed necessary, the Commis- sion may require additional informa- tion concerning the measurement pro- cedures employed in obtaining the data submitted for equipment authorization purposes.
[42 FR 44987, Sept. 8, 1977, as amended at 44 FR 39181, July 5, 1979; 51 FR 12616, Apr. 14, 1986]
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Federal Communications Commission § 2.948
§ 2.948 Description of measurement fa- cilities.
(a) Each party making measurements of equipment that is subject to an equipment authorization under part 15 or part 18 of this chapter, regardless of whether the measurements are filed with the Commission or kept on file by the party responsible for compliance of equipment marketed within the U.S. or its possessions, shall compile a descrip- tion of the measurement facilities em- ployed.
(1) If the measured equipment is sub- ject to the verification procedure, the description of the measurement facili- ties shall be retained by the party re- sponsible for verification of the equip- ment.
(i) If the equipment is verified through measurements performed by an independent laboratory, it is accept- able for the party responsible for verification of the equipment to rely upon the description of the measure- ment facilities retained by or placed on file with the Commission by that lab- oratory. In this situation, the party re- sponsible for verification of the equip- ment is not required to retain a dupli- cate copy of the description of the measurement facilities.
(ii) If the equipment is verified based on measurements performed at the in- stallation site of the equipment, no specific site calibration data is re- quired. It is acceptable to retain the description of the measurement facili- ties at the site at which the measure- ments were performed.
(2) If the equipment is to be author- ized by the Commission under the cer- tification procedure, the description of the measurement facilities shall be filed with the Commission’s Labora- tory in Columbia, Maryland. The data describing the measurement facilities need only be filed once but must be up- dated as changes are made to the meas- urement facilities or as otherwise de- scribed in this section. At least every three years, the organization respon- sible for filing the data with the Com- mission shall certify that the data on file is current. A laboratory that has been accredited in accordance with paragraph (d) of this section is not re- quired to file a description of its facili- ties with the Commission’s laboratory,
provided the accrediting organization (or designating authority in the case of foreign laboratories) submits the fol- lowing information to the Commis- sion’s laboratory:
(i) Laboratory name, location of test site(s), mailing address and contact in- formation;
(ii) Name of accrediting organization; (iii) Date of expiration of accredita-
tion; (iv) Designation number; (v) FCC Registration Number (FRN); (vi) A statement as to whether or not
the laboratory performs testing on a contract basis;
(vii) For laboratories outside the United States, the name of the mutual recognition agreement or arrangement under which the accreditation of the laboratory is recognized.
(3) If the equipment is to be author- ized under the Declaration of Con- formity procedure, the laboratory making the measurements must be ac- credited in accordance with paragraph (d) of this section.
(b) The description shall contain the following information:
(1) Location of the test site. (2) Physical description of the test
site accompanied by photographs of size A4 (21 cm × 29.7 cm) or 8×10 inches (20.3 cm × 25.4 cm). Smaller photo- graphs may be used if they clearly show the details of the test site and are mounted on full size sheets of paper.
(3) A drawing showing the dimensions of the site, physical layout of all sup- porting structures, and all structures within 5 times the distance between the measuring antenna and the device being measured.
(4) Description of structures used to support the device being measured and the test instrumentation.
(5) List of measuring equipment used. (6) Information concerning the cali-
bration of the measuring equipment, i.e., the date the equipment was last calibrated and how often the equip- ment is calibrated.
(7) If desired, a statement as to whether the test site is available to do measurement services for the public on a fee basis.
(8) For a measurement facility that will be used for testing radiated emis- sions, a plot of site attenuation data
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47 CFR Ch. I (10–1–10 Edition)§ 2.948
taken pursuant to the procedures con- tained in Sections 5.4.6 through 5.5 of the following procedure: American Na- tional Standards Institute (ANSI) C63.4–2001, entitled ‘‘American Na- tional Standard for Methods of Meas- urement of Radio-Noise Emissions from Low-Voltage Electrical and Elec- tronic Equipment in the Range of 9 kHz to 40 GHz’’ published by the Amer- ican National Standards Institute on June 22, 2001 as document number SH94908. This incorporation by ref- erence was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of C63.4–2001 may be obtained from: IEEE Customer Service, P.O. Box 1331, Piscataway, NJ 08855–1331, or UPS only IEEE Customer Service, 445 Hoes Lane, Piscataway, NJ 08854; telephone 1–800–678–4333 or +1–732–981–0600 (out- side the United States and Canada). Copies of ANSI C63.4–2001 may be in- spected at the following locations:
(i) Federal Communications Commis- sion, 445 12th Street, SW., Office of En- gineering and Technology (Room 7– B144), Washington, DC 20554,
(ii) Federal Communications Com- mission Laboratory, 7435 Oakland Mills Road, Columbia, MD 21046, or
(iii) at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202–741–6030, or go to: http://www.archives.gov/ federal register/ codeloflfederal regulations/ ibrllocations.html.
(9) A description of the types of equipment intended to be measured or other information regarding the types of measurements that would be per- formed at the test facility.
(c) The Commission will publish a list of those parties who have filed the information required by this section, provided they indicate that they wish to perform measurement services for the public on a fee basis. However, it should be noted that the Commission does not endorse or approve any facil- ity on this list.
(d) A laboratory that has been ac- credited with a scope covering the re- quired measurements shall be deemed competent to test and submit test data for equipment subject to verification,
Declaration of Conformity, and certifi- cation. Such a laboratory shall be ac- credited by an approved accreditation organization based on the Inter- national Organization for Standardiza- tion/International Electrotechnical Commission (ISO/IEC) Standard 17025, ‘‘General Requirements for the Com- petence of Calibration and Testing Laboratories.’’ The organization ac- crediting the laboratory must be ap- proved by the Commission’s Office of Engineering and Technology, as indi- cated in § 0.241 of this chapter, to per- form such accreditation based on ISO/ IEC 58, ‘‘Calibration and Testing Lab- oratory Accreditation Systems—Gen- eral Requirements for Operation and Recognition.’’ The frequency for re- validation of the test site and the in- formation that is required to be filed or retained by the testing party shall comply with the requirements estab- lished by the accrediting organization. However, in all cases, test site re- validation shall occur on an interval not to exceed two years.
(e) The accreditation of a laboratory located outside of the United States, or its possessions, will be acceptable only under one of the following conditions:
(1) If the accredited laboratory has been designated by a foreign desig- nating authority and recognized by the Commission under the terms of a gov- ernment-to-government Mutual Rec- ognition Agreement/Arrangement; or
(2) If the laboratory has been recog- nized by the Commission as being ac- credited by an organization that has entered into an arrangement between accrediting organizations and the ar- rangement has been recognized by the Commission.
[54 FR 17712, Apr. 25, 1989, as amended at 57 FR 24990, June 12, 1992; 58 FR 37430, July 12, 1993; 58 FR 44893, Aug. 25, 1993; 61 FR 31046, June 19, 1996; 62 FR 41880, Aug. 4, 1997; 63 FR 36599, July 7, 1998; 65 FR 58466, Sept. 29, 2000; 68 FR 68544, Dec. 9, 2003; 69 FR 18803, Apr. 9, 2004; 69 FR 54033, Sept. 7, 2004; 69 FR 55982, Sept. 17, 2004]
VERIFICATION
AUTHORITY: Sections 2.951 through 2.957 are issued under secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307.
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Federal Communications Commission § 2.955
SOURCE: Sections 2.951 through 2.957 appear at 46 FR 23249, Apr. 24, 1981, unless otherwise noted.
§ 2.951 Cross reference. The provisions of § 2.901, et seq., shall
apply to equipment subject to verification.
§ 2.952 Limitation on verification. (a) Verification signifies that the
manufacturer or importer has deter- mined that the equipment has been shown to be capable of compliance with the applicable technical standards if no unauthorized change is made in the equipment and if the equipment is properly maintained and operated. Compliance with these standards shall not be construed to be a finding by the manufacturer or importer with respect to matters not encompassed by the Commission’s rules.
(b) Verification of the equipment by the manufacturer or importer is effec- tive until a termination date is other- wise established by the Commission.
(c) No person shall, in any adver- tising matter, brochure, etc., use or make reference to a verification in a deceptive or misleading manner or con- vey the impression that such verification reflects more than a deter- mination by the manufacturer or im- porter that the device or product has been shown to be capable of compliance with the applicable technical standards of the Commission’s rules.
§ 2.953 Responsibility for compliance. (a) In verifying compliance, the re-
sponsible party, as defined in § 2.909 warrants that each unit of equipment marketed under the verification proce- dure will be identical to the unit tested and found acceptable with the stand- ards and that the records maintained by the responsible party continue to reflect the equipment being produced under such verification within the vari- ation that can be expected due to quan- tity production and testing on a statis- tical basis.
(b) The importer of equipment sub- ject to verification may upon receiving a written statement from the manufac- turer that the equipment complies with the appropriate technical stand- ards rely on the manufacturer or inde-
pendent testing agency to verify com- pliance. The test records required by § 2.955 however should be in the English language and made available to the Commission upon a reasonable request, in accordance with § 2.956.
(c) In the case of transfer of control of equipment, as in the case of sale or merger of the grantee, the new manu- facturer or importer shall bear the re- sponsibility of continued compliance of the equipment.
(d) Verified equipment shall be reverified if any modification or change adversely affects the emanation characteristics of the modified equip- ment. The party designated in § 2.909 bears responsibility for continued com- pliance of subsequently produced equipment.
[39 FR 5919, Feb. 15, 1974, as amended at 62 FR 10472, Mar. 7, 1997]
§ 2.954 Identification.
Devices subject only to verification shall be uniquely identified by the per- son responsible for marketing or im- porting the equipment within the United States. However, the identifica- tion shall not be of a format which could be confused with the FCC Identi- fier required on certified, notified or type accepted equipment. The importer or manufacturer shall maintain ade- quate identification records to facili- tate positive identification for each verified device.
[62 FR 10472, Mar. 7, 1997]
§ 2.955 Retention of records.
(a) For each equipment subject to verification, the responsible party, as shown in § 2.909 shall maintain the records listed as follows:
(1) A record of the original design drawings and specifications and all changes that have been made that may affect compliance with the require- ments of § 2.953.
(2) A record of the procedures used for production inspection and testing (if tests were performed) to insure the conformance required by § 2.953. (Sta- tistical production line emission test- ing is not required.)
(3) A record of the measurements made on an appropriate test site that
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47 CFR Ch. I (10–1–10 Edition)§ 2.956
demonstrates compliance with the ap- plicable regulations in this chapter. The record shall:
(i) Indicate the actual date all test- ing was performed;
(ii) State the name of the test labora- tory, company, or individual per- forming the verification testing. The Commission may request additional in- formation regarding the test site, the test equipment or the qualifications of the company or individual performing the verification tests;
(iii) Contain a description of how the device was actually tested, identifying the measurement procedure and test equipment that was used;
(iv) Contain a description of the equipment under test (EUT) and sup- port equipment connected to, or in- stalled within, the EUT;
(v) Identify the EUT and support equipment by trade name and model number and, if appropriate, by FCC Identifier and serial number;
(vi) Indicate the types and lengths of connecting cables used and how they were arranged or moved during testing;
(vii) Contain at least two drawings or photographs showing the test set-up for the highest line conducted emission and showing the test set-up for the highest radiated emission. These draw- ings or photographs must show enough detail to confirm other information contained in the test report. Any pho- tographs used must be focused origi- nals without glare or dark spots and must clearly show the test configura- tion used;
(viii) List all modifications, if any, made to the EUT by the testing com- pany or individual to achieve compli- ance with the regulations in this chap- ter;
(ix) Include all of the data required to show compliance with the appro- priate regulations in this chapter; and
(x) Contain, on the test report, the signature of the individual responsible for testing the product along with the name and signature of an official of the responsible party, as designated in § 2.909.
(4) For equipment subject to the pro- visions in part 15 of this chapter, the records shall indicate if the equipment was verified pursuant to the transition
provisions contained in § 15.37 of this chapter.
(b) The records listed in paragraph (a) of this section shall be retained for two years after the manufacture of said equipment item has been permanently discontinued, or until the conclusion of an investigation or a proceeding if the manufacturer or importer is officially notified that an investigation or any other administrative proceeding in- volving his equipment has been insti- tuted.
[54 FR 17713, Apr. 25, 1989, as amended at 62 FR 10472, Mar. 7, 1997]
§ 2.956 FCC inspection and submission of equipment for testing.
(a) Each responsible party shall upon receipt of reasonable request:
(1) Submit to the Commission the records required by § 2.955.
(2) Submit one or more sample units for measurements at the Commission’s Laboratory.
(i) Shipping costs to the Commis- sion’s Laboratory and return shall be borne by the responsible party.
(ii) In the event the responsible party believes that shipment of the sample to the Commission’s Laboratory is im- practical because of the size or weight of the equipment, or the power require- ment, or for any other reason, the re- sponsible party may submit a written explanation why such shipment is im- practical and should not be required.
(b) Requests for the submission of the records in § 2.955 or for the submission of sample units are covered under the provisions of § 2.946.
[62 FR 10472, Mar. 7, 1997]
TELECOMMUNICATION CERTIFICATION BODIES (TCBS)
§ 2.960 Designation of Telecommuni- cation Certification Bodies (TCBs).
(a) The Commission may designate Telecommunication Certification Bod- ies (TCBs) to approve equipment as re- quired under this part. Certification of equipment by a TCB shall be based on an application with all the information specified in this part. The TCB shall process the application to determine whether the product meets the Com- mission’s requirements and shall issue
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a written grant of equipment author- ization. The grant shall identify the TCB and the source of authority for issuing it.
(b) The Federal Communications Commission shall designate TCBs in the United States to approve equip- ment subject to certification under the Commission’s rules. TCBs shall be ac- credited by the National Institute of Standards and Technology (NIST) under its National Voluntary Con- formity Assessment Evaluation (NVCASE) program, or other recog- nized programs based on ISO/IEC Guide 65, to comply with the Commission’s qualification criteria for TCBs. NIST may, in accordance with its proce- dures, allow other appropriately quali- fied accrediting bodies to accredit TCBs and testing laboratories. TCBs shall comply with the requirements in § 2.962 of this part.
(c) In accordance with the terms of an effective bilateral or multilateral mutual recognition agreement or ar- rangement (MRA) to which the United States is a party, bodies outside the United States shall be permitted to au- thorize equipment in lieu of the Com- mission. A body in an MRA partner economy may authorize equipment to U.S. requirements only if that econ- omy permits bodies in the United States to authorize equipment to its requirements. The authority desig- nating these telecommunication cer- tification bodies shall meet the fol- lowing criteria.
(1) The organization accrediting the prospective telecommunication certifi- cation body shall be capable of meeting the requirements and conditions of ISO/IEC Guide 61.
(2) The organization assessing the telecommunication certification body shall appoint a team of qualified ex- perts to perform the assessment cov- ering all of the elements within the scope of accreditation. For assessment of telecommunications equipment, the areas of expertise to be used during the assessment shall include, but not be limited to, electromagnetic compat- ibility and telecommunications equip- ment (wired and wireless).
[64 FR 4995, Feb. 2, 1999]
§ 2.962 Requirements for Tele- communication Certification Bod- ies.
(a) Telecommunication certification bodies (TCBs) designated by the Com- mission, or designated by another au- thority pursuant to an effective bilat- eral or multilateral mutual recogni- tion agreement or arrangement to which the United States is a party, shall comply with the following re- quirements.
(b) Certification methodology. (1) The certification system shall be based on type testing as identified in sub-clause 1.2(a) of ISO/IEC Guide 65.
(2) Certification shall normally be based on testing no more than one un- modified representative sample of each product type for which certification is sought. Additional samples may be re- quested if clearly warranted, such as when certain tests are likely to render a sample inoperative.
(c) Criteria for Designation. (1) To be designated as a TCB under this section, an entity shall, by means of accredita- tion, meet all the appropriate speci- fications in ISO/IEC Guide 65 for the scope of equipment it will certify. The accreditation shall specify the group of equipment to be certified and the ap- plicable regulations for product evalua- tion.
(2) The TCB shall demonstrate expert knowledge of the regulations for each product with respect to which the body seeks designation. Such expertise shall include familiarity with all applicable technical regulations, administrative provisions or requirements, as well as the policies and procedures used in the application thereof.
(3) The TCB shall have the technical expertise and capability to test the equipment it will certify and shall also be accredited in accordance with ISO/ IEC Standard 17025 to demonstrate it is competent to perform such tests.
(4) The TCB shall demonstrate an ability to recognize situations where interpretations of the regulations or test procedures may be necessary. The appropriate key certification and lab- oratory personnel shall demonstrate a knowledge of how to obtain current and correct technical regulation inter- pretations. The competence of the Telecommunication Certification Body
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shall be demonstrated by assessment. The general competence, efficiency, ex- perience, familiarity with technical regulations and products included in those technical regulations, as well as compliance with applicable parts of the ISO/IEC Standard 17025 and Guide 65, shall be taken into consideration.
(5) A TCB shall participate in any consultative activities, identified by the Commission or NIST, to facilitate a common understanding and interpre- tation of applicable regulations.
(6) The Commission will provide pub- lic notice of the specific methods that will be used to accredit TCBs, con- sistent with these qualification cri- teria.
(7) A TCB shall be reassessed for con- tinued accreditation on intervals not exceeding two years.
(d) Sub-contractors. (1) In accordance with the provisions of sub-clause 4.4 of ISO/IEC Guide 65, the testing of a prod- uct, or a portion thereof, may be per- formed by a sub-contractor of a des- ignated TCB, provided the laboratory has been assessed by the TCB as com- petent and in compliance with the ap- plicable provisions of ISO/IEC Guide 65 and other relevant standards and guides.
(2) When a subcontractor is used, the TCB shall be responsible for the test results and shall maintain appropriate oversight of the subcontractor to en- sure reliability of the test results. Such oversight shall include periodic audits of products that have been test- ed.
(e) Designation of a TCB. (1) The Com- mission will designate as a TCB any or- ganization that meets the qualification criteria and is accredited by NIST or its recognized accreditor.
(2) The Commission will withdraw the designation of a TCB if the TCB’s accreditation by NIST or its recognized accreditor is withdrawn, if the Com- mission determines there is just cause for withdrawing the designation, or if the TCB requests that it no longer hold the designation. The Commission will provide a TCB with 30 days notice of its intention to withdraw the designation and provide the TCB with an oppor- tunity to respond.
(3) A list of designated TCBs will be published by the Commission.
(f) Scope of responsibility. (1) A TCB shall certify equipment in accordance with the Commission’s rules and poli- cies.
(2) A TCB shall accept test data from any source, subject to the require- ments in ISO/IEC Guide 65, and shall not unnecessarily repeat tests.
(3) A TCB may establish and assess fees for processing certification appli- cations and other tasks as required by the Commission.
(4) A TCB may rescind a grant of cer- tification within 30 days of grant for administrative errors. After that time, a grant can only be revoked by the Commission through the procedures in § 2.939 of this part. A TCB shall notify both the applicant and the Commission when a grant is rescinded.
(5) A TCB may not: (i) Grant a waiver of the rules, or cer-
tify equipment for which the Commis- sion rules or requirements do not exist or for which the application of the rules or requirements is unclear.
(ii) Take enforcement actions; or (iii) Authorize a transfer of control of
a grantee. (6) All TCB actions are subject to
Commission review. (g) Post-certification requirements. (1) A
TCB shall supply an electronic copy of each approved application form and grant of certification to the Commis- sion.
(2) In accordance with ISO/IEC Guide 65, a TCB is required to conduct appro- priate post-market surveillance activi- ties. These activities shall be based on type testing a few samples of the total number of product types which the cer- tification body has certified. Other types of surveillance activities of a product that has been certified are per- mitted, provided they are no more on- erous than testing type. The Commis- sion may at any time request a list of products certified by the certification body and may request and receive cop- ies of product evaluation reports. The Commission may also request that a TCB perform post-market surveillance, under Commission guidelines, of a spe- cific product it has certified.
(3) If during post market surveillance of a certified product, a TCB deter- mines that a product fails to comply
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with the applicable technical regula- tions, the Telecommunication Certifi- cation Body shall immediately notify the grantee and the Commission. A fol- low-up report shall also be provided within thirty days of the action taken by the grantee to correct the situation.
(4) Where concerns arise, the TCB shall provide a copy of the application file to the Commission within 30 cal- endar days of a request for the file made by the Commission to the TCB and the manufacturer. Where appro- priate, the file should be accompanied by a request for confidentiality for any material that may qualify for confiden- tial treatment under the Commission’s Rules. If the application file is not pro- vided within 30 calendar days, a state- ment shall be provided to the Commis- sion as to why it cannot be provided.
(h) In case of a dispute with respect to designation or recognition of a TCB and the testing or certification of prod- ucts by a TCB, the Commission will be the final arbiter. Manufacturers and designated TCBs will be afforded at least 30 days to comment before a deci- sion is reached. In the case of a TCB designated or recognized, or a product certified pursuant to an effective bilat- eral or multilateral mutual recogni- tion agreement or arrangement (MRA) to which the United States is a party, the Commission may limit or withdraw its recognition of a TCB designated by an MRA party and revoke the certifi- cation of products using testing or cer- tification provided by such a TCB. The Commission shall consult with the Of- fice of the United States Trade Rep- resentative (USTR), as necessary, con- cerning any disputes arising under an MRA for compliance with the Tele- communications Trade Act of 1988 (Section 1371–1382 of the Omnibus Trade and Competitiveness Act of 1988).
[64 FR 4995, Feb. 2, 1999, as amended at 66 FR 27601, May 18, 2001; 69 FR 54034, Sept. 7, 2004]
CERTIFICATION
§ 2.1031 Cross reference.
The general provisions of this sub- part § 2.901 et seq. shall apply to appli- cations for and grants of certification.
§ 2.1033 Application for certification. (a) An application for certification
shall be filed on FCC Form 731 with all questions answered. Items that do not apply shall be so noted.
(b) Applications for equipment oper- ating under Parts 11, 15 and 18 of the rules shall be accompanied by a tech- nical report containing the following information:
(1) The full name and mailing address of the manufacturer of the device and the applicant for certification.
(2) FCC identifier. (3) A copy of the installation and op-
erating instructions to be furnished the user. A draft copy of the instructions may be submitted if the actual docu- ment is not available. The actual docu- ment shall be furnished to the FCC when it becomes available.
(4) A brief description of the circuit functions of the device along with a statement describing how the device operates. This statement should con- tain a description of the ground system and antenna, if any, used with the de- vice.
(5) A block diagram showing the fre- quency of all oscillators in the device. The signal path and frequency shall be indicated at each block. The tuning range(s) and intermediate fre- quency(ies) shall be indicated at each block. A schematic diagram is also re- quired for intentional radiators.
(6) A report of measurements show- ing compliance with the pertinent FCC technical requirements. This report shall identify the test procedure used (e.g., specify the FCC test procedure, or industry test procedure that was used), the date the measurements were made, the location where the measurements were made, and the device that was tested (model and serial number, if available). The report shall include sample calculations showing how the measurement results were converted for comparison with the technical re- quirements.
(7) A sufficient number of photo- graphs to clearly show the exterior ap- pearance, the construction, the compo- nent placement on the chassis, and the chassis assembly. The exterior views shall show the overall appearance, the antenna used with the device (if any), the controls available to the user, and
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the required identification label in suf- ficient detail so that the name and FCC identifier can be read. In lieu of a pho- tograph of the label, a sample label (or facsimile thereof) may be submitted together with a sketch showing where this label will be placed on the equip- ment. Photographs shall be of size A4 (21 cm × 29.7 cm) or 8×10 inches (20.3 cm × 25.4 cm). Smaller photographs may be submitted provided they are sharp and clear, show the necessary detail, and are mounted on A4 (21 cm × 29.7 cm) or 8.5×11 inch (21.6 cm × 27.9 cm) paper. A sample label or facsimile together with the sketch showing the placement of this label shall be on the same size paper.
(8) If the equipment for which certifi- cation is being sought must be tested with peripheral or accessory devices connected or installed, a brief descrip- tion of those peripherals or accessories. The peripheral or accessory devices shall be unmodified, commercially available equipment.
(9) For equipment subject to the pro- visions of part 15 of this chapter, the application shall indicate if the equip- ment is being authorized pursuant to the transition provisions in § 15.37 of this chapter.
(10) Applications for the certification of scanning receivers shall include a statement describing the methods used to comply with the design require- ments of all parts of § 15.121 of this chapter. The application must specifi- cally include a statement assessing the vulnerability of the equipment to pos- sible modification and describing the design features that prevent the modi- fication of the equipment by the user to receive transmissions from the Cel- lular Radiotelephone Service. The ap- plication must also demonstrate com- pliance with the signal rejection re- quirement of § 15.121 of this chapter, in- cluding details on the measurement procedures used to demonstrate com- pliance.
(11) Applications for certification of transmitters operating within the 59.0– 64.0 GHz band under part 15 of this chapter shall also be accompanied by an exhibit demonstrating compliance with the provisions of § 15.255 (g) and (i) of this chapter.
(12) An application for certification of a software defined radio must in- clude the information required by § 2.944.
(c) Applications for equipment other than that operating under parts 15 and 18 of the rules shall be accompanied by a technical report containing the fol- lowing information:
(1) The full name and mailing address of the manufacturer of the device and the applicant for certification.
(2) FCC identifier. (3) A copy of the installation and op-
erating instructions to be furnished the user. A draft copy of the instructions may be submitted if the actual docu- ment is not available. The actual docu- ment shall be furnished to the FCC when it becomes available.
(4) Type or types of emission. (5) Frequency range. (6) Range of operating power values
or specific operating power levels, and description of any means provided for variation of operating power.
(7) Maximum power rating as defined in the applicable part(s) of the rules.
(8) The dc voltages applied to and dc currents into the several elements of the final radio frequency amplifying device for normal operation over the power range.
(9) Tune-up procedure over the power range, or at specific operating power levels.
(10) A schematic diagram and a de- scription of all circuitry and devices provided for determining and stabi- lizing frequency, for suppression of spu- rious radiation, for limiting modula- tion, and for limiting power.
(11) A photograph or drawing of the equipment identification plate or label showing the information to be placed thereon.
(12) Photographs (8″×10″) of the equip- ment of sufficient clarity to reveal equipment construction and layout, in- cluding meters, if any, and labels for controls and meters and sufficient views of the internal construction to define component placement and chas- sis assembly. Insofar as these require- ments are met by photographs or draw- ings contained in instruction manuals supplied with the certification request, additional photographs are necessary only to complete the required showing.
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(13) For equipment employing digital modulation techniques, a detailed de- scription of the modulation system to be used, including the response charac- teristics (frequency, phase and ampli- tude) of any filters provided, and a de- scription of the modulating wavetrain, shall be submitted for the maximum rated conditions under which the equipment will be operated.
(14) The data required by §§ 2.1046 through 2.1057, inclusive, measured in accordance with the procedures set out in § 2.1041.
(15) The application for certification of an external radio frequency power amplifier under part 97 of this chapter need not be accompanied by the data required by paragraph (b)(14) of this section. In lieu thereof, measurements shall be submitted to show compliance with the technical specifications in subpart C of part 97 of this chapter and such information as required by § 2.1060 of this part.
(16) An application for certification of an AM broadcast stereophonic ex- citer-generator intended for inter- facing with existing certified, or for- merly type accepted or notified trans- mitters must include measurements made on a complete stereophonic transmitter. The instruction book must include complete specifications and circuit requirements for inter- connecting with existing transmitters. The instruction book must also provide a full description of the equipment and measurement procedures to monitor modulation and to verify that the com- bination of stereo exciter-generator and transmitter meet the emission limitations of § 73.44.
(17) Applications for certification re- quired by § 25.129 of this chapter shall include any additional equipment test data required by that section.
(18) An application for certification of a software defined radio must in- clude the information required by § 2.944.
(d) Applications for certification of equipment operating under part 20, that a manufacturer is seeking to cer- tify as hearing aid compatible, as set forth in § 20.19 of that part, shall in- clude a statement indicating compli- ance with the test requirements of § 20.19 and indicating the appropriate
U-rating for the equipment. The manu- facturer of the equipment shall be re- sponsible for maintaining the test re- sults.
(e) A single application may be filed for a composite system that incor- porates devices subject to certification under multiple rule parts, however, the appropriate fee must be included for each device. Separate applications must be filed if different FCC Identi- fiers will be used for each device.
[63 FR 36599, July 7, 1998, as amended at 63 FR 42278, Aug. 7, 1998; 64 FR 22561, Apr. 27, 1999; 67 FR 42734, June 25, 2002; 68 FR 54175, Sept. 16, 2003; 68 FR 68545, Dec. 9, 2003; 69 FR 5709, Feb. 6, 2004; 70 FR 23039, May 4, 2005]
§ 2.1035 [Reserved]
§ 2.1041 Measurement procedure. For equipment operating under parts
15 and 18, the measurement procedures are specified in the rules governing the particular device for which certifi- cation is requested. For equipment op- erating in the authorized radio serv- ices, measurements are required as specified in §§ 2.1046, 2.1047, 2.1049, 2.1051, 2.1053, 2.1055 and 2.1057. See also § 2.947.
[63 FR 36600, July 7, 1998]
§ 2.1043 Changes in certificated equip- ment.
(a) Except as provided in paragraph (b)(3) of this section, changes to the basic frequency determining and stabi- lizing circuitry (including clock or data rates), frequency multiplication stages, basic modulator circuit or max- imum power or field strength ratings shall not be performed without applica- tion for and authorization of a new grant of certification. Variations in electrical or mechanical construction, other than these indicated items, are permitted provided the variations ei- ther do not affect the characteristics required to be reported to the Commis- sion or the variations are made in com- pliance with the other provisions of this section. Changes to the software installed in a transmitter that do not affect the radio frequency emissions do not require a filing with the Commis- sion and may be made by parties other than the holder of the grant of certifi- cation.
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(b) Three classes of permissive changes may be made in certificated equipment without requiring a new ap- plication for and grant of certification. None of the classes of changes shall re- sult in a change in identification.
(1) A Class I permissive change in- cludes those modifications in the equipment which do not degrade the characteristics reported by the manu- facturer and accepted by the Commis- sion when certification is granted. No filing with the Commission is required for a Class I permissive change.
(2) A Class II permissive change in- cludes those modifications which de- grade the performance characteristics as reported to the Commission at the time of the initial certification. Such degraded performance must still meet the minimum requirements of the ap- plicable rules. When a Class II permis- sive change is made by the grantee, the grantee shall supply the Commission with complete information and the re- sults of tests of the characteristics af- fected by such change. The modified equipment shall not be marketed under the existing grant of certification prior to acknowledgement by the Commis- sion that the change is acceptable.
(3) A Class III permissive change in- cludes modifications to the software of a software defined radio transmitter that change the frequency range, mod- ulation type or maximum output power (either radiated or conducted) outside the parameters previously approved, or that change the circumstances under which the transmitter operates in ac- cordance with Commission rules. When a Class III permissive change is made, the grantee shall supply the Commis- sion with a description of the changes and test results showing that the equipment complies with the applica- ble rules with the new software loaded, including compliance with the applica- ble RF exposure requirements. The modified software shall not be loaded into the equipment, and the equipment shall not be marketed with the modi- fied software under the existing grant of certification, prior to acknowledge- ment by the Commission that the change is acceptable. Class III changes are permitted only for equipment in which no Class II changes have been
made from the originally approved de- vice.
NOTE TO PARAGRAPH (b)(3): Any software change that degrades spurious and out-of- band emissions previously reported to the Commission at the time of initial certifi- cation would be considered a change in fre- quency or modulation and would require a Class III permissive change or new equip- ment authorization application.
(4) Class I and Class II permissive changes may only be made by the hold- er of the grant of certification, except as specified below.
(c) A grantee desiring to make a change other than a permissive change shall file an application on FCC Form 731 accompanied by the required fees. The grantee shall attach a description of the change(s) to be made and a statement indicating whether the change(s) will be made in all units (in- cluding previous production) or will be made only in those units produced after the change is authorized.
(d) A modification which results in a change in the identification of a device with or without change in circuitry re- quires a new application for, and grant of certification. If the changes affect the characteristics required to be re- ported, a complete application shall be filed. If the characteristics required to be reported are not changed the abbre- viated procedure of § 2.933 may be used.
(e) Equipment that has been certifi- cated or formerly type accepted for use in the Amateur Radio Service pursuant to the requirements of part 97 of this chapter may be modified without re- gard to the conditions specified in paragraph (b) of this section, provided the following conditions are met:
(1) Any person performing such modi- fications on equipment used under part 97 of this chapter must possess a valid amateur radio operator license of the class required for the use of the equip- ment being modified.
(2) Modifications made pursuant to this paragraph are limited to equip- ment used at licensed amateur radio stations.
(3) Modifications specified or per- formed by equipment manufacturers or suppliers must be in accordance with the requirements set forth in para- graph (b) of this section.
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(4) Modifications specified or per- formed by licensees in the Amateur Radio Service on equipment other than that at specific licensed amateur radio stations must be in accordance with the requirements set forth in para- graph (b) of this section.
(5) The station licensee shall be re- sponsible for ensuring that modified equipment used at his station will com- ply with the applicable technical standards in part 97 of this chapter.
(f) For equipment other than that op- erating under parts 15 or 18, when a Class II permissive change is made by other than the grantee of certification, the information and data specified in paragraph (b)(2) of this section shall be supplied by the person making the change. The modified equipment shall not be operated under an authorization of the Commission prior to acknowl- edgement by the Commission that the change is acceptable.
(g) The interconnection of a certifi- cated or formerly type accepted AM broadcast stereophonic exciter-gener- ator with a certificated or formerly type accepted AM broadcast trans- mitter in accordance with the manu- facturer’s instructions and upon com- pletion of measurements showing that the modified transmitter meets the emission limitation requirements of § 73.44 is defined as a Class I permissive change for compliance with this sec- tion.
(h) The interconnection of a multi- plexing exciter with a certificated or formerly type accepted AM broadcast transmitter in accordance with the manufacturer’s instructions without electrical or mechanical modification of the transmitter circuits and comple- tion of equipment performance meas- urements showing the transmitter meets the minimum performance re- quirements applicable thereto is de- fined as a Class I permissive change for compliance with this section.
(i) The addition of TV broadcast sub- carrier generators to a certificated or formerly type accepted TV broadcast transmitter or the addition of FM broadcast subcarrier generators to a type accepted FM broadcast trans- mitter, provided the transmitter ex- citer is designed for subcarrier oper- ation without mechanical or electrical
alterations to the exciter or other transmitter circuits.
(j) The addition of TV broadcast stereophonic generators to a certifi- cated or formerly type accepted TV broadcast transmitter or the addition of FM broadcast stereophonic genera- tors to a certificated or formerly type accepted FM broadcast transmitter, provided the transmitter exciter is de- signed for stereophonic sound oper- ation without mechanical or electrical alterations to the exciter or other transmitter circuits.
(k) The addition of subscription TV encoding equipment for which the FCC has granted advance approval under the provisions of § 2.1400 in subpart M and § 73.644(c) of part 73 to a certifi- cated or formerly type accepted trans- mitter is considered a Class I permis- sive change.
(l) Notwithstanding the provisions of this section, broadcast licensees or per- mittees are permitted to modify cer- tificated or formerly type accepted equipment pursuant to § 73.1690 of the FCC’s rules.
[63 FR 36600, July 7, 1998, as amended at 66 FR 50840, Oct. 5, 2001; 70 FR 23040, May 4, 2005]
§ 2.1046 Measurements required: RF power output.
(a) For transmitters other than sin- gle sideband, independent sideband and controlled carrier radiotelephone, power output shall be measured at the RF output terminals when the trans- mitter is adjusted in accordance with the tune-up procedure to give the val- ues of current and voltage on the cir- cuit elements specified in § 2.1033(c)(8). The electrical characteristics of the radio frequency load attached to the output terminals when this test is made shall be stated.
(b) For single sideband, independent sideband, and single channel, con- trolled carrier radiotelephone trans- mitters the procedure specified in para- graph (a) of this section shall be em- ployed and, in addition, the trans- mitter shall be modulated during the test as follows. In all tests, the input level of the modulating signal shall be such as to develop rated peak envelope power or carrier power, as appropriate, for the transmitter.
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47 CFR Ch. I (10–1–10 Edition)§ 2.1047
(1) Single sideband transmitters in the A3A or A3J emission modes—by two tones at frequencies of 400 Hz and 1800 Hz (for 3.0 kHz authorized band- width), or 500 Hz and 2100 Hz (3.5 kHz authorized bandwidth), or 500 Hz and 2400 Hz (for 4.0 kHz authorized band- width), applied simultaneously, the input levels of the tones so adjusted that the two principal frequency com- ponents of the radio frequency signal produced are equal in magnitude.
(2) Single sideband transmitters in the A3H emission mode—by one tone at a frequency of 1500 Hz (for 3.0 kHz au- thorized bandwidth), or 1700 Hz (for 3.5 kHz authorized bandwidth), or 1900 Hz (for 4.0 kHz authorized bandwidth), the level of which is adjusted to produce a radio frequency signal component equal in magnitude to the magnitude of the carrier in this mode.
(3) As an alternative to paragraphs (b) (1) and (2) of this section other tones besides those specified may be used as modulating frequencies, upon a sufficient showing of need. However, any tones so chosen must not be har- monically related, the third and fifth order intermodulation products which occur must fall within the ¥25 dB step of the emission bandwidth limitation curve, the seventh and ninth order intermodulation product must fall within the 35 dB step of the referenced curve and the eleventh and all higher order products must fall beyond the ¥35 dB step of the referenced curve.
(4) Independent sideband transmit- ters having two channels by 1700 Hz tones applied simultaneously in both channels, the input levels of the tones so adjusted that the two principal fre- quency components of the radio fre- quency signal produced are equal in magnitude.
(5) Independent sideband transmit- ters having more than two channels by an appropriate signal or signals applied to all channels simultaneously. The input signal or signals shall simulate the input signals specified by the man- ufacturer for normal operation.
(6) Single-channel controlled-carrier transmitters in the A3 emission mode— by a 2500 Hz tone.
(c) For measurements conducted pur- suant to paragraphs (a) and (b) of this section, all calculations and methods
used by the applicant for determining carrier power or peak envelope power, as appropriate, on the basis of meas- ured power in the radio frequency load attached to the transmitter output ter- minals shall be shown. Under the test conditions specified, no components of the emission spectrum shall exceed the limits specified in the applicable rule parts as necessary for meeting occu- pied bandwidth or emission limita- tions.
[39 FR 5919, Feb. 15, 1974. Redesignated and amended at 63 FR 36599, July 7, 1998]
§ 2.1047 Measurements required: Mod- ulation characteristics.
(a) Voice modulated communication equipment. A curve or equivalent data showing the frequency response of the audio modulating circuit over a range of 100 to 5000 Hz shall be submitted. For equipment required to have an audio low-pass filter, a curve showing the fre- quency response of the filter, or of all circuitry installed between the modu- lation limiter and the modulated stage shall be submitted.
(b) Equipment which employs modula- tion limiting. A curve or family of curves showing the percentage of mod- ulation versus the modulation input voltage shall be supplied. The informa- tion submitted shall be sufficient to show modulation limiting capability throughout the range of modulating frequencies and input modulating sig- nal levels employed.
(c) Single sideband and independent sideband radiotelephone transmitters which employ a device or circuit to limit peak envelope power. A curve showing the peak envelope power output versus the modulation input voltage shall be supplied. The modulating signals shall be the same in frequency as specified in paragraph (c) of § 2.1049 for the occupied bandwidth tests.
(d) Other types of equipment. A curve or equivalent data which shows that the equipment will meet the modula- tion requirements of the rules under which the equipment is to be licensed.
[39 FR 5919, Feb. 15, 1974. Redesignated and amended at 63 FR 36599, July 7, 1998]
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Federal Communications Commission § 2.1049
§ 2.1049 Measurements required: Occu- pied bandwidth.
The occupied bandwidth, that is the frequency bandwidth such that, below its lower and above its upper frequency limits, the mean powers radiated are each equal to 0.5 percent of the total mean power radiated by a given emis- sion shall be measured under the fol- lowing conditions as applicable:
(a) Radiotelegraph transmitters for manual operation when keyed at 16 dots per second.
(b) Other keyed transmitters—when keyed at the maximum machine speed.
(c) Radiotelephone transmitters equipped with a device to limit modu- lation or peak envelope power shall be modulated as follows. For single side- band and independent sideband trans- mitters, the input level of the modu- lating signal shall be 10 dB greater than that necessary to produce rated peak envelope power.
(1) Other than single sideband or independent sideband transmitters— when modulated by a 2500 Hz tone at an input level 16 dB greater than that nec- essary to produce 50 percent modula- tion. The input level shall be estab- lished at the frequency of maximum re- sponse of the audio modulating circuit.
(2) Single sideband transmitters in A3A or A3J emission modes—when modulated by two tones at frequencies of 400 Hz and 1800 Hz (for 3.0 kHz au- thorized bandwidth), or 500 Hz and 2100 Hz (for 3.5 kHz authorized bandwidth), or 500 Hz and 2400 Hz (for 4.0 kHz au- thorized bandwidth), applied simulta- neously. The input levels of the tones shall be so adjusted that the two prin- cipal frequency components of the radio frequency signal produced are equal in magnitude.
(3) Single sideband transmitters in the A3H emission mode—when modu- lated by one tone at a frequency of 1500 Hz (for 3.0 kHz authorized bandwidth), or 1700 Hz (for 3.5 kHz authorized band- width), or 1900 Hz (for 4.0 kHz author- ized bandwidth), the level of which is adjusted to produce a radio frequency signal component equal in magnitude to the magnitude of the carrier in this mode.
(4) As an alternative to paragraphs (c) (2) and (3) of this section, other tones besides those specified may be
used as modulating frequencies, upon a sufficient showing of need. However, any tones so chosen must not be har- monically related, the third and fifth order intermodulation products which occur must fall within the ¥25 dB step of the emission bandwidth limitation curve, the seventh and ninth order products must fall within the ¥35 dB step of the referenced curve and the eleventh and all higher order products must fall beyond the ¥35 dB step of the referenced curve.
(5) Independent sideband transmit- ters having two channels—when modu- lated by 1700 Hz tones applied simulta- neously to both channels. The input levels of the tones shall be so adjusted that the two principal frequency com- ponents of the radio frequency signal produced are equal in magnitude.
(d) Radiotelephone transmitters without a device to limit modulation or peak envelope power shall be modu- lated as follows. For single sideband and independent sideband transmitters, the input level of the modulating sig- nal should be that necessary to produce rated peak envelope power.
(1) Other than single sideband or independent sideband transmitters— when modulated by a 2500 Hz tone of sufficient level to produce at least 85 percent modulation. If 85 percent mod- ulation is unattainable, the highest percentage modulation shall be used.
(2) Single sideband transmitters in A3A or A3J emission modes—when modulated by two tones at frequencies of 400 Hz and 1800 Hz (for 3.0 kHz au- thorized bandwidth), or 500 Hz and 2100 Hz (for 3.5 kHz authorized bandwidth), or 500 Hz and 2400 Hz (for 4.0 kHz au- thorized bandwidth), applied simulta- neously. The input levels of the tones shall be so adjusted that the two prin- cipal frequency components of the radio frequency signal produced are equal in magnitude.
(3) Single sideband transmitters in the A3H emission mode—when modu- lated by one tone at a frequency of 1500 Hz (for 3.0 kHz authorized bandwidth), or 1700 Hz (for 3.5 kHz authorized band- width), or 1900 Hz (for 4.0 kHz author- ized bandwidth), the level of which is adjusted to produce a radio frequency signal component equal in magnitude
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47 CFR Ch. I (10–1–10 Edition)§ 2.1049
to the magnitude of the carrier in this mode.
(4) As an alternative to paragraphs (d) (2) and (3) of this section, other tones besides those specified may be used as modulating frequencies, upon a sufficient showing of need. However any tones so chosen must not be har- monically related, the third and fifth order intermodulation products which occur must fall within the ¥25 dB step of the emission bandwidth limitation curve, the seventh and ninth order products must fall within the ¥35 dB step of the referenced curve and the eleventh and all higher order products must fall beyond the ¥35 dB step of the referenced curve.
(5) Independent sideband transmit- ters having two channels—when modu- lated by 1700 Hz tones applied simulta- neously to both channels. The input levels of the tones shall be so adjusted that the two principal frequency com- ponents of the radio frequency signal produced are equal in magnitude.
(e) Transmitters for use in the Radio Broadcast Services:
(1) AM broadcast transmitters for monaural operation—when amplitude modulated 85% by a 7,500 Hz input sig- nal.
(2) AM broadcast stereophonic oper- ation—when the transmitter operated under any stereophonic modulation condition not exceeding 100% on nega- tive peaks and tested under the condi- tions specified in § 73.128 in part 73 of the FCC rules for AM broadcast sta- tions.
(3) FM broadcast transmitter not used for multiplex operation—when modulated 85 percent by a 15 kHz input signal.
(4) FM broadcast transmitters for multiplex operation under Subsidiary Communication Authorization (SCA)— when carrier is modulated 70 percent by a 15 kHz main channel input signal, and modulated an additional 15 percent simultaneously by a 67 kHz subcarrier (unmodulated).
(5) FM broadcast transmitter for stereophonic operation—when modu- lated by a 15 kHz input signal to the main channel, a 15 kHz input signal to
the stereophonic subchannel, and the pilot subcarrier simultaneously. The input signals to the main channel and stereophonic subchannel each shall produce 38 percent modulation of the carrier. The pilot subcarrier should produce 9 percent modulation of the carrier.
(6) Television broadcast monaural transmitters—when modulated 85% by a 15 kHz input signal.
(7) Television broadcast stereophonic sound transmitters—when the trans- mitter is modulated with a 15 kHz input signal to the main channel and the stereophonic subchannel, any pilot subcarrier(s) and any unmodulated auxiliary subcarrier(s) which may be provided. The signals to the main chan- nel and the stereophonic subchannel must be representative of the system being tested and when combined with any pilot subcarrier(s) or other auxil- iary subcarriers shall result in 85% de- viation of the maximum specified aural carrier deviation.
(f) Transmitters for which peak fre- quency deviation (D) is determined in accordance with § 2.202(f), and in which the modulating baseband comprises more than 3 independent speech chan- nels—when modulated by a test signal determined in accordance with the fol- lowing:
(1) A modulation reference level is es- tablished for the characteristic baseband frequency. (Modulation ref- erence level is defined as the average power level of a sinusoidal test signal delivered to the modulator input which provides the specified value of per- channel deviation.)
(2) Modulation reference level being established, the total rms deviation of the transmitter is measured when a test signal consisting of a band of ran- dom noise extending from below 20 kHz to the highest frequency in the baseband, is applied to the modulator input through any preemphasis net- works used in normal service. The av- erage power level of the test signal shall exceed the modulation reference level by the number of decibels deter- mined using the appropriate formula in the following table:
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Federal Communications Commission § 2.1053
Number of message circuits that modulate the transmitter
Number of dB by which the average power (Pavg) level test sig- nal shall exceed the modulation reference level Limits of Pavg (dBm0)
More than 3, but less than 12 ........... To be specified by the equipment manufacturer subject to FCC approval.
At least 12, but less than 60 ............. X+2 log10 Nc .................................................................................. X: ¥2 to +2.6 At least 60, but less than 240 ........... X+4 log10 Nc .................................................................................. X: ¥5.6 to ¥1.0 240 or more ....................................... X+10 log10 Nc ................................................................................ X: ¥19.6 to ¥15.0
Where X represents the average power in a message circuit in dBm0; Nc is the number of circuits in the multiplexed message load. Pavg shall be selected by the transmitter manufacturer and included with the technical data submitted with the application for type acceptance. (See § 2.202(e) in this chapter.)
(g) Transmitters in which the modu- lating baseband comprises not more than three independent channels— when modulated by the full com- plement of signals for which the trans- mitter is rated. The level of modula- tion for each channel should be set to that prescribed in rule parts applicable to the services for which the trans- mitter is intended. If specific modula- tion levels are not set forth in the rules, the tests should provide the manufacturer’s maximum rated condi- tion.
(h) Transmitters employing digital modulation techniques—when modu- lated by an input signal such that its amplitude and symbol rate represent the maximum rated conditions under which the equipment will be operated. The signal shall be applied through any filter networks, pseudo-random genera- tors or other devices required in nor- mal service. Additionally, the occupied bandwidth shall be shown for operation with any devices used for modifying the spectrum when such devices are op- tional at the discretion of the user.
(i) Transmitters designed for other types of modulation—when modulated by an appropriate signal of sufficient amplitude to be representative of the type of service in which used. A de- scription of the input signal should be supplied.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[39 FR 5919, Feb. 15, 1974, as amended at 39 FR 35664, Oct. 3, 1974; 47 FR 13164, Mar. 29, 1982; 48 FR 16493, Apr. 18, 1983; 49 FR 18105, Apr. 27, 1984. Redesignated at 63 FR 36599, July 7, 1998]
§ 2.1051 Measurements required: Spu- rious emissions at antenna termi- nals.
The radio frequency voltage or pow- ers generated within the equipment
and appearing on a spurious frequency shall be checked at the equipment out- put terminals when properly loaded with a suitable artificial antenna. Curves or equivalent data shall show the magnitude of each harmonic and other spurious emission that can be de- tected when the equipment is operated under the conditions specified in § 2.1049 as appropriate. The magnitude of spurious emissions which are attenu- ated more than 20 dB below the permis- sible value need not be specified.
[39 FR 5919, Feb. 15, 1974. Redesignated and amended at 63 FR 36599, July 7, 1998]
§ 2.1053 Measurements required: Field strength of spurious radiation.
(a) Measurements shall be made to detect spurious emissions that may be radiated directly from the cabinet, control circuits, power leads, or inter- mediate circuit elements under normal conditions of installation and oper- ation. Curves or equivalent data shall be supplied showing the magnitude of each harmonic and other spurious emission. For this test, single side- band, independent sideband, and con- trolled carrier transmitters shall be modulated under the conditions speci- fied in paragraph (c) of § 2.1049, as ap- propriate. For equipment operating on frequencies below 890 MHz, an open field test is normally required, with the measuring instrument antenna lo- cated in the far-field at all test fre- quencies. In the event it is either im- practical or impossible to make open field measurements (e.g. a broadcast transmitter installed in a building) measurements will be accepted of the equipment as installed. Such measure- ments must be accompanied by a de- scription of the site where the meas- urements were made showing the loca- tion of any possible source of reflec- tions which might distort the field
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47 CFR Ch. I (10–1–10 Edition)§ 2.1055
strength measurements. Information submitted shall include the relative ra- diated power of each spurious emission with reference to the rated power out- put of the transmitter, assuming all emissions are radiated from halfwave dipole antennas.
(b) The measurements specified in paragraph (a) of this section shall be made for the following equipment:
(1) Those in which the spurious emis- sions are required to be 60 dB or more below the mean power of the trans- mitter.
(2) All equipment operating on fre- quencies higher than 25 MHz.
(3) All equipment where the antenna is an integral part of, and attached di- rectly to the transmitter.
(4) Other types of equipment as re- quired, when deemed necessary by the Commission.
[39 FR 5919, Feb. 15, 1974. Redesignated and amended at 63 FR 36599, July 7, 1998]
§ 2.1055 Measurements required: Fre- quency stability.
(a) The frequency stability shall be measured with variation of ambient temperature as follows:
(1) From ¥30° to +50° centigrade for all equipment except that specified in paragraphs (a) (2) and (3) of this sec- tion.
(2) From ¥20° to +50° centigrade for equipment to be licensed for use in the Maritime Services under part 80 of this chapter, except for Class A, B, and S Emergency Position Indicating Radiobeacons (EPIRBS), and equip- ment to be licensed for use above 952 MHz at operational fixed stations in all services, stations in the Local Tele- vision Transmission Service and Point- to-Point Microwave Radio Service under part 21 of this chapter, equip- ment licensed for use aboard aircraft in the Aviation Services under part 87 of this chapter, and equipment authorized for use in the Family Radio Service under part 95 of this chapter.
(3) From 0° to +50° centigrade for equipment to be licensed for use in the Radio Broadcast Services under part 73 of this chapter.
(b) Frequency measurements shall be made at the extremes of the specified temperature range and at intervals of not more than 10° centigrade through
the range. A period of time sufficient to stabilize all of the components of the oscillator circuit at each tempera- ture level shall be allowed prior to fre- quency measurement. The short term transient effects on the frequency of the transmitter due to keying (except for broadcast transmitters) and any heating element cycling normally oc- curring at each ambient temperature level also shall be shown. Only the por- tion or portions of the transmitter con- taining the frequency determining and stabilizing circuitry need be subjected to the temperature variation test.
(c) In addition to all other require- ments of this section, the following in- formation is required for equipment in- corporating heater type crystal oscilla- tors to be used in mobile stations, for which type acceptance is first re- quested after March 25, 1974, except for battery powered, hand carried, portable equipment having less than 3 watts mean output power.
(1) Measurement data showing vari- ation in transmitter output frequency from a cold start and the elapsed time necessary for the frequency to stabilize within the applicable tolerance. Tests shall be made after temperature sta- bilization at each of the ambient tem- perature levels; the lower temperature limit, 0° centigrade and +30° centigrade with no primary power applied.
(2) Beginning at each temperature level specified in paragraph (c)(1) of this section, the frequency shall be measured within one minute after ap- plication of primary power to the transmitter and at intervals of no more than one minute thereafter until ten minutes have elapsed or until suffi- cient measurements are obtained to in- dicate clearly that the frequency has stabilized within the applicable toler- ance, whichever time period is greater. During each test, the ambient tempera- ture shall not be allowed to rise more than 10° centigrade above the respec- tive beginning ambient temperature level.
(3) The elapsed time necessary for the frequency to stabilize within the appli- cable tolerance from each beginning ambient temperature level as deter- mined from the tests specified in this
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Federal Communications Commission § 2.1060
paragraph shall be specified in the in- struction book for the transmitter fur- nished to the user.
(4) When it is impracticable to sub- ject the complete transmitter to this test because of its physical dimensions or power rating, only its frequency de- termining and stabilizing portions need be tested.
(d) The frequency stability shall be measured with variation of primary supply voltage as follows:
(1) Vary primary supply voltage from 85 to 115 percent of the nominal value for other than hand carried battery equipment.
(2) For hand carried, battery powered equipment, reduce primary supply volt- age to the battery operating end point which shall be specified by the manu- facturer.
(3) The supply voltage shall be meas- ured at the input to the cable normally provided with the equipment, or at the power supply terminals if cables are not normally provided. Effects on fre- quency of transmitter keying (except for broadcast transmitters) and any heating element cycling at the nomi- nal supply voltage and at each extreme also shall be shown.
(e) When deemed necessary, the Com- mission may require tests of frequency stability under conditions in addition to those specifically set out in para- graphs (a), (b), (c), and (d) of this sec- tion. (For example measurements showing the effect of proximity to large metal objects, or of various types of antennas, may be required for port- able equipment.)
[39 FR 5919, Feb. 14, 1974, as amended at 51 FR 31304, Sept. 2, 1986; 56 FR 11682, Mar. 20, 1991. Redesignated at 63 FR 36599, July 7, 1998. 68 FR 68545, Dec. 9, 2003]
§ 2.1057 Frequency spectrum to be in- vestigated.
(a) In all of the measurements set forth in §§ 2.1051 and 2.1053, the spec- trum shall be investigated from the lowest radio frequency signal gen- erated in the equipment, without going below 9 kHz, up to at least the fre- quency shown below:
(1) If the equipment operates below 10 GHz: to the tenth harmonic of the highest fundamental frequency or to 40 GHz, whichever is lower.
(2) If the equipment operates at or above 10 GHz and below 30 GHz: to the fifth harmonic of the highest funda- mental frequency or to 100 GHz, which- ever is lower.
(3) If the equipment operates at or above 30 GHz: to the fifth harmonic of the highest fundamental frequency or to 200 GHz, whichever is lower.
(b) Particular attention should be paid to harmonics and subharmonics of the carrier frequency as well as to those frequencies removed from the carrier by multiples of the oscillator frequency. Radiation at the frequencies of multiplier stages should also be checked.
(c) The amplitude of spurious emis- sions which are attenuated more than 20 dB below the permissible value need not be reported.
(d) Unless otherwise specified, meas- urements above 40 GHz shall be per- formed using a minimum resolution bandwidth of 1 MHz.
[61 FR 14502, Apr. 2, 1996. Redesignated and amended at 63 FR 36599, July 7, 1998]
§ 2.1060 Equipment for use in the ama- teur radio service.
(a) The general provisions of §§ 2.925, 2.1031, 2.1033, 2.1041, 2.1043, 2.1051, 2.1053 and 2.1057 shall apply to applications for, and grants of, certification for equipment operated under the require- ments of part 97 of this chapter, the Amateur Radio Service.
(b) When performing the tests speci- fied in §§ 2.1051 and 2.1053 of this part, the center of the transmitted band- width shall be within the operating fre- quency band by an amount equal to 50 percent of the bandwidth utilized for the tests. In addition, said tests shall be made on at least one frequency in each of the bands within which the equipment is capable of tuning.
(c) Certification of external radio fre- quency power amplifiers may be denied when denial would prevent the use of these amplifiers in services other than the Amateur Radio Service.
[63 FR 36601, July 7, 1998, as amended at 71 FR 66461, Nov. 15, 2006]
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47 CFR Ch. I (10–1–10 Edition)§ 2.1071
DECLARATION OF CONFORMITY
§ 2.1071 Cross reference. The general provisions of this sub-
part, shall apply to equipment subject to a Declaration of Conformity.
[61 FR 31046, June 19, 1996]
§ 2.1072 Limitation on Declaration of Conformity.
(a) The Declaration of Conformity signifies that the responsible party, as defined in § 2.909, has determined that the equipment has been shown to com- ply with the applicable technical standards if no unauthorized change is made in the equipment and if the equipment is properly maintained and operated. Compliance with these stand- ards shall not be construed to be a find- ing by the responsible party with re- spect to matters not encompassed by the Commission’s rules.
(b) A Declaration of Conformity by the responsible party is effective until a termination date is otherwise estab- lished by the Commission.
(c) No person shall, in any adver- tising matter, brochure, etc., use or make reference to a Declaration of Conformity in a deceptive or mis- leading manner or convey the impres- sion that such a Declaration of Con- formity reflects more than a deter- mination by the responsible party that the device or product has been shown to be capable of complying with the ap- plicable technical standards of the Commission’s rules.
[61 FR 31046, June 19, 1996]
§ 2.1073 Responsibilities. (a) The responsible party, as defined
in § 2.909, must warrant that each unit of equipment marketed under a Dec- laration of Conformity is identical to the unit tested and found acceptable with the standards and that the records maintained by the responsible party continue to reflect the equipment being produced under the Declaration of Conformity within the variation that can be expected due to quantity production and testing on a statistical basis.
(b) The responsible party, if different from the manufacturer, may upon re- ceiving a written statement from the
manufacturer that the equipment com- plies with the appropriate technical standards rely on the manufacturer or independent testing agency to deter- mine compliance. However, the test records required by § 2.1075 shall be in the English language and shall be made available to the Commission upon a reasonable request in accordance with the provisions of § 2.1076.
(c) In the case of transfer of control of the equipment, as in the case of sale or merger of the responsible party, the new responsible party shall bear the re- sponsibility of continued compliance of the equipment.
(d) Equipment shall be retested to demonstrate continued compliance with the applicable technical standards if any modifications or changes that could adversely affect the emanation characteristics of the equipment are made by the responsible party. The re- sponsible party bears responsibility for the continued compliance of subse- quently produced equipment.
(e) If any modifications or changes are made by anyone other than the re- sponsible party for the Declaration of Conformity, the party making the modifications or changes, if located within the U.S., becomes the new re- sponsible party. The new responsible party must comply with all provisions for the Declaration of Conformity, in- cluding having test data on file dem- onstrating that the product continues to comply with all of the applicable technical standards.
[61 FR 31046, June 19, 1996]
§ 2.1074 Identification. Devices subject only to a Declaration
of Conformity shall be uniquely identi- fied by the responsible party. This identification shall not be of a format which could be confused with the FCC Identifier required on certified, noti- fied, type accepted or type approved equipment. The responsible party shall maintain adequate identification records to facilitate positive identifica- tion for each device.
[61 FR 31047, June 19, 1996]
§ 2.1075 Retention of records. (a) Except as shown in paragraph (b)
of this section, for each product subject
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Federal Communications Commission § 2.1075
to a Declaration of Conformity, the re- sponsible party, as shown in § 2.909, shall maintain the following records:
(1) A record of the original design drawings and specifications and all changes that have been made that may affect compliance with the require- ments of § 2.1073.
(2) A record of the procedures used for production inspection and testing (if tests were performed) to insure the conformance required by § 2.1073. (Sta- tistical production line emission test- ing is not required.)
(3) A record of the measurements made on an appropriate test site that demonstrates compliance with the ap- plicable regulations. The record shall contain:
(i) The actual date or dates testing was performed;
(ii) The name of the test laboratory, company, or individual performing the testing. The Commission may request additional information regarding the test site, the test equipment or the qualifications of the company or indi- vidual performing the tests;
(iii) A description of how the device was actually tested, identifying the measurement procedure and test equip- ment that was used;
(iv) A description of the equipment under test (EUT) and support equip- ment connected to, or installed within, the EUT;
(v) The identification of the EUT and support equipment by trade name and model number and, if appropriate, by FCC Identifier and serial number;
(vi) The types and lengths of con- necting cables used and how they were arranged or moved during testing;
(vii) At least two photographs show- ing the test set-up for the highest line conducted emission and showing the test set-up for the highest radiated emission. These photographs must be focused originals which show enough detail to confirm other information contained in the test report;
(viii) A description of any modifica- tions made to the EUT by the testing company or individual to achieve com- pliance with the regulations;
(ix) All of the data required to show compliance with the appropriate regu- lations;
(x) The signature of the individual re- sponsible for testing the product along with the name and signature of an offi- cial of the responsible party, as des- ignated in § 2.909; and
(xi) A copy of the compliance infor- mation, as described in § 2.1077, re- quired to be provided with the equip- ment.
(b) If the equipment is assembled using modular components that, by themselves, are subject to authoriza- tion under a Declaration of Conformity and/or a grant of certification, and the assembled product is also subject to authorization under a Declaration of Conformity but, in accordance with the applicable regulations, does not require additional testing, the assembler shall maintain the following records in order to show the basis on which compliance with the standards was determined:
(1) A listing of all of the components used in the assembly;
(2) Copies of the compliance informa- tion, as described in § 2.1077 for all of the modular components used in the assembly;
(3) A listing of the FCC Identifier numbers for all of the components used in the assembly that are authorized under a grant of certification;
(4) A listing of equipment modifica- tions, if any, that were made during as- sembly; and
(5) A copy of any instructions in- cluded with the components that were required to be followed to ensure the assembly of a compliant product, along with a statement, signed by the assem- bler, that these instructions were fol- lowed during assembly. This statement shall also contain the name and signa- ture of an official of the responsible party, as designated in § 2.909.
(c) The records listed in paragraphs (a) and (b) of this section shall be re- tained for two years after the manufac- ture or assembly, as appropriate, of said equipment has been permanently discontinued, or until the conclusion of an investigation or a proceeding if the responsible party is officially notified that an investigation or any other ad- ministrative proceeding involving the equipment has been instituted. Re- quests for the records described in this
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section and for sample units also are covered under the provisions of § 2.946.
[61 FR 31047, June 19, 1996]
§ 2.1076 FCC inspection and submis- sion of equipment for testing.
(a) Each responsible party, upon re- ceipt of a reasonable request, shall sub- mit to the Commission the records re- quired by § 2.1075 or one or more sample units for measurements at the Com- mission’s laboratory.
(b) Shipping costs to the Commis- sion’s Laboratory and return shall be borne by the responsible party. In the event the responsible party believes that shipment of the sample to the Commission’s Laboratory is imprac- tical because of the size or weight of the equipment, or the power require- ment, or for any other reason, the re- sponsible party may submit a written explanation why such shipment is im- practical and should not be required.
[61 FR 31047, June 19, 1996]
§ 2.1077 Compliance information. (a) If a product must be tested and
authorized under a Declaration of Con- formity, a compliance information statement shall be supplied with the product at the time of marketing or importation, containing the following information:
(1) Identification of the product, e.g., name and model number;
(2) A statement, similar to that con- tained in § 15.19(a)(3) of this chapter, that the product complies with part 15 of this chapters; and
(3) The identification, by name, ad- dress and telephone number, of the re- sponsible party, as defined in § 2.909. The responsible party for a Declaration of Conformity must be located within the United States.
(b) If a product is assembled from modular components that, by them- selves, are authorized under a Declara- tion of Conformity and/or a grant of certification, and the assembled prod- uct is also subject to authorization under a Declaration of Conformity but, in accordance with the applicable regu- lations, does not require additional testing, the product shall be supplied, at the time of marketing or importa- tion, with a compliance information
statement containing the following in- formation:
(1) Identification of the assembled product, e.g., name and model number.
(2) Identification of the modular components used in the assembly. A modular component authorized under a Declaration of Conformity shall be identified as specified in paragraph (a)(1) of this section. A modular compo- nent authorized under a grant of cer- tification shall be identified by name and model number (if applicable) along with the FCC Identifier number.
(3) A statement that the product complies with part 15 of this chapter.
(4) The identification, by name, ad- dress and telephone number, of the re- sponsible party who assembled the product from modular components, as defined in § 2.909. The responsible party for a Declaration of Conformity must be located within the United States.
(5) Copies of the compliance informa- tion statements for each modular com- ponent used in the system that is au- thorized under a Declaration of Con- formity.
(c) The compliance information statement shall be included in the user’s manual or as a separate sheet. In cases where the manual is provided only in a form other than paper, such as on a computer disk or over the Internet, the information required by this section may be included in the manual in that alternative form, pro- vided the user can reasonably be ex- pected to have the capability to access information in that form.
[61 FR 31048, June 19, 1996, as amended at 62 FR 41880, Aug. 4, 1997; 69 FR 71383, Dec. 9, 2004]
RADIOFREQUENCY RADIATION EXPOSURE
§ 2.1091 Radiofrequency radiation ex- posure evaluation: mobile devices.
(a) Requirements of this section are a consequence of Commission respon- sibilities under the National Environ- mental Policy Act to evaluate the en- vironmental significance of its actions. See subpart I of part 1 of this chapter, in particular § 1.1307(b).
(b) For purposes of this section, a mobile device is defined as a transmit- ting device designed to be used in other than fixed locations and to generally
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be used in such a way that a separation distance of at least 20 centimeters is normally maintained between the transmitter’s radiating structure(s) and the body of the user or nearby per- sons. In this context, the term ‘‘fixed location’’ means that the device is physically secured at one location and is not able to be easily moved to an- other location. Transmitting devices designed to be used by consumers or workers that can be easily re-located, such as wireless devices associated with a personal computer, are consid- ered to be mobile devices if they meet the 20 centimeter separation require- ment.
(c) Mobile devices that operate in the Cellular Radiotelephone Service, the Personal Communications Services, the Satellite Communications Serv- ices, the General Wireless Communica- tions Service, the Wireless Commu- nications Service, the Maritime Serv- ices and the Specialized Mobile Radio Service authorized under subpart H of part 22 of this chapter, parts 24, 25, 26 and 27 of this chapter, part 80 of this chapter (ship earth stations devices only) and part 90 of this chapter are subject to routine environmental eval- uation for RF exposure prior to equip- ment authorization or use if they oper- ate at frequencies of 1.5 GHz or below and their effective radiated power (ERP) is 1.5 watts or more, or if they operate at frequencies above 1.5 GHz and their ERP is 3 watts or more. Unli- censed personal communications serv- ice devices, unlicensed millimeter wave devices and unlicensed NII devices au- thorized under §§ 15.253, 15.255, and 15.257, and subparts D and E of part 15 of this chapter are also subject to rou- tine environmental evaluation for RF exposure prior to equipment authoriza- tion or use if their ERP is 3 watts or more or if they meet the definition of a portable device as specified in § 2.1093(b) requiring evaluation under the provisions of that section. All other mobile and unlicensed transmit- ting devices are categorically excluded from routine environmental evaluation for RF exposure prior to equipment au- thorization or use, except as specified in §§ 1.1307(c) and 1.1307(d) of this chap- ter. Applications for equipment author- ization of mobile and unlicensed trans-
mitting devices subject to routine en- vironmental evaluation must contain a statement confirming compliance with the limits specified in paragraph (d) of this section as part of their applica- tion. Technical information showing the basis for this statement must be submitted to the Commission upon re- quest.
(d) The limits to be used for evalua- tion are specified in § 1.1310 of this chapter. All unlicensed personal com- munications service (PCS) devices and unlicensed NII devices shall be subject to the limits for general population/un- controlled exposure.
(1) For purposes of analyzing mobile transmitting devices under the occupa- tional/controlled criteria specified in § 1.1310 of this chapter, time-averaging provisions of the guidelines may be used in conjunction with typical max- imum duty factors to determine max- imum likely exposure levels.
(2) Time-averaging provisions may not be used in determining typical ex- posure levels for devices intended for use by consumers in general popu- lation/uncontrolled environments as defined in § 1.1310 of this chapter. How- ever, ‘‘source-based’’ time-averaging based on an inherent property or duty- cycle of a device is allowed. An exam- ple of this is the determination of expo- sure from a device that uses digital technology such as a time-division multiple-access (TDMA) scheme for transmission of a signal. In general, maximum average power levels must be used to determine compliance.
(3) If appropriate, compliance with exposure guidelines for devices in this section can be accomplished by the use of warning labels and by providing users with information concerning minimum separation distances from transmitting structures and proper in- stallation of antennas.
(4) In some cases, e.g., modular or desktop transmitters, the potential conditions of use of a device may not allow easy classification of that device as either mobile or portable (also see § 2.1093). In such cases, applicants are responsible for determining minimum distances for compliance for the in- tended use and installation of the de- vice based on evaluation of either spe- cific absorption rate (SAR), field
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strength or power density, whichever is most appropriate.
[61 FR 41017, Aug. 7, 1996, as amended at 62 FR 4655, Jan. 31, 1997; 62 FR 9658, Mar. 3, 1997; 62 FR 47966, Sept. 12, 1997; 68 FR 38638, June 30, 2003; 69 FR 3264, Jan. 23, 2004; 70 FR 24725, May 11, 2005]
§ 2.1093 Radiofrequency radiation ex- posure evaluation: portable devices.
(a) Requirements of this section are a consequence of Commission respon- sibilities under the National Environ- mental Policy Act to evaluate the en- vironmental significance of its actions. See subpart I of part 1 of this chapter, in particular § 1.1307(b).
(b) For purposes of this section, a portable device is defined as a trans- mitting device designed to be used so that the radiating structure(s) of the device is/are within 20 centimeters of the body of the user.
(c) Portable devices that operate in the Cellular Radiotelephone Service, the Personal Communications Service (PCS), the Satellite Communications Services, the General Wireless Commu- nications Service, the Wireless Com- munications Service, the Maritime Services, the Specialized Mobile Radio Service, the 4.9 GHz Band Service, the Wireless Medical Telemetry Service (WMTS) and the Medical Device Radiocommunication Service (MedRadio), authorized under subpart H of part 22 of this chapter, parts 24, 25, 26, 27, 80 and 90 of this chapter, sub- parts H and I of part 95 of this chapter, and unlicensed personal communica- tion service, unlicensed NII devices and millimeter wave devices authorized under subparts D and E, 15.253, 15.255 and 15.257 of this chapter are subject to routine environmental evaluation for RF exposure prior to equipment au- thorization or use. All other portable transmitting devices are categorically excluded from routine environmental evaluation for RF exposure prior to equipment authorization or use, except as specified in 1.1307(c) and 1.1307(d) of this chapter. Applications for equip- ment authorization of portable trans- mitting devices subject to routine en- vironmental evaluation must contain a statement confirming compliance with the limits specified in paragraph (d) of this section as part of their applica-
tion. Technical information showing the basis for this statement must be submitted to the Commission upon re- quest.
(d) The limits to be used for evalua- tion are based generally on criteria published by the American National Standards Institute (ANSI) for local- ized specific absorption rate (‘‘SAR’’) in Section 4.2 of ‘‘IEEE Standard for Safety Levels with Respect to Human Exposure to Radio Frequency Electro- magnetic Fields, 3 kHz to 300 GHz,’’ ANSI/IEEE C95.1–1992, Copyright 1992 by the Institute of Electrical and Elec- tronics Engineers, Inc., New York, New York 10017. These criteria for SAR evaluation are similar to those rec- ommended by the National Council on Radiation Protection and Measure- ments (NCRP) in ‘‘Biological Effects and Exposure Criteria for Radio- frequency Electromagnetic Fields,’’ NCRP Report No. 86, Section 17.4.5. Copyright NCRP, 1986, Bethesda, Mary- land 20814. SAR is a measure of the rate of energy absorption due to expo- sure to an RF transmitting source. SAR values have been related to threshold levels for potential biological hazards. The criteria to be used are specified in paragraphs (d)(1) and (d)(2) of this section and shall apply for port- able devices transmitting in the fre- quency range from 100 kHz to 6 GHz. Portable devices that transmit at fre- quencies above 6 GHz are to be evalu- ated in terms of the MPE limits speci- fied in § 1.1310 of this chapter. Measure- ments and calculations to demonstrate compliance with MPE field strength or power density limits for devices oper- ating above 6 GHz should be made at a minimum distance of 5 cm from the ra- diating source.
(1) Limits for Occupational/Con- trolled exposure: 0.4 W/kg as averaged over the whole-body and spatial peak SAR not exceeding 8 W/kg as averaged over any 1 gram of tissue (defined as a tissue volume in the shape of a cube). Exceptions are the hands, wrists, feet and ankles where the spatial peak SAR shall not exceed 20 W/kg, as averaged over an 10 grams of tissue (defined as a tissue volume in the shape of a cube). Occupational/Controlled limits apply when persons are exposed as a con- sequence of their employment provided
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these persons are fully aware of and ex- ercise control over their exposure. Awareness of exposure can be accom- plished by use of warning labels or by specific training or education through appropriate means, such as an RF safe- ty program in a work environment.
(2) Limits for General Population/Un- controlled exposure: 0.08 W/kg as aver- aged over the whole-body and spatial peak SAR not exceeding 1.6 W/kg as averaged over any 1 gram of tissue (de- fined as a tissue volume in the shape of a cube). Exceptions are the hands, wrists, feet and ankles where the spa- tial peak SAR shall not exceed 4 W/kg, as averaged over any 10 grams of tissue (defined as a tissue volume in the shape of a cube). General Population/Uncon- trolled limits apply when the general public may be exposed, or when persons that are exposed as a consequence of their employment may not be fully aware of the potential for exposure or do not exercise control over their expo- sure. Warning labels placed on con- sumer devices such as cellular tele- phones will not be sufficient reason to allow these devices to be evaluated subject to limits for occupational/con- trolled exposure in paragraph (d)(1) of this section.
(3) Compliance with SAR limits can be demonstrated by either laboratory measurement techniques or by com- putational modeling. Methodologies and references for SAR evaluation are described in numerous technical publi- cations including ‘‘IEEE Recommended Practice for the Measurement of Po- tentially Hazardous Electromagnetic Fields—RF and Microwave,’’ IEEE C95.3–1991.
(4) For purposes of analyzing portable transmitting devices under the occupa- tional/controlled criteria, the time- averaging provisions of the MPE guide- lines identified in § 1.1310 of this chap- ter can be used in conjunction with typical maximum duty factors to de- termine maximum likely exposure lev- els.
(5) Time-averaging provisions of the MPE guidelines identified in § 1.1310 of this chapter may not be used in deter- mining typical exposure levels for port- able devices intended for use by con- sumers, such as hand-held cellular tele- phones, that are considered to operate
in general population/uncontrolled en- vironments as defined above. However, ‘‘source-based’’ time-averaging based on an inherent property or duty-cycle of a device is allowed. An example of this would be the determination of ex- posure from a device that uses digital technology such as a time-division multiple-access (TDMA) scheme for transmission of a signal. In general, maximum average power levels must be used to determine compliance.
[61 FR 41017, Aug. 7, 1996, as amended at 62 FR 4655, Jan. 31, 1997; 62 FR 9658, Mar. 3, 1997; 62 FR 47967, Sept. 12, 1997; 65 FR 44007, July 17, 2000; 68 FR 38638, June 30, 2003; 69 FR 3264, Jan. 23, 2004; 70 FR 24725, May 11, 2005; 74 FR 22704, May 14, 2009]
Subpart K—Importation of Devices Capable of Causing Harmful Interference
§ 2.1201 Purpose. (a) In order to carry out its respon-
sibilities under the Communications Act and the various treaties and inter- national regulations, and in order to promote efficient use of the radio spec- trum, the Commission has developed technical standards for radio frequency equipment. The technical standards ap- plicable to individual types of equip- ment are found in that part of the rules governing the service wherein the equipment is to be operated. In addi- tion to the technical standards, the rules governing the service may re- quire that such equipment receive an equipment authorization from the Commission as a prerequisite for mar- keting and importing this equipment into the U.S.A. The marketing rules, § 2.801 et seq., were adopted pursuant to the authority in section 302 of the Communications Act of 1934, as amend- ed (47 U.S.C. 302).
(b) The rules in this section set out the conditions under which radio fre- quency devices as defined in § 2.801 that are capable of causing harmful inter- ference to radio communications may be imported into the U.S.A.
(c) Nothing in this section prevents importers from shipping goods into for- eign trade zones or Customs bonded warehouses, such as is the prescribed procedure under § 2.1204(a)(5). Radio fre- quency devices capable of causing
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harmful interference, however, cannot be withdrawn from these areas except in accordance with the provisions of this section.
[41 FR 25904, June 23, 1976, as amended at 54 FR 17714, Apr. 25, 1989; 56 FR 26619, June 10, 1991; 57 FR 38286, Aug. 24, 1992]
§ 2.1202 Exclusions.
The provisions of this section do not apply to the importation of:
(a) Cameras, musical greeting cards, quartz watches and clocks, modules of quartz watches and clocks, hand-held calculators and electronic games, and other similar unintentional radiators which utilize low level battery power and which do not contain provisions for operation while connected to AC power lines.
(b) Unintentional radiators which are exempted from technical standards and other requirements as specified in § 15.103 of this chapter.
(c) Radio frequency devices manufac- tured and assembled in the U.S.A. that meet applicable FCC technical stand- ards and which have not been modified or received further assembly.
(d) Radio frequency devices pre- viously properly imported that have been exported for repair and re-im- ported for use.
(e) Subassemblies, parts, or compo- nents of radio frequency devices unless they constitute an essentially com- pleted device which requires only the addition of cabinets, knobs, speakers, or similar minor attachments before marketing or use. Form 740 informa- tion will be required to be submitted for computer circuit boards that are actually peripheral devices as defined in § 15.3(r) of this chapter and all de- vices that, by themselves, are subject to FCC marketing rules.
[56 FR 26619, June 10, 1991]
§ 2.1203 General requirement for entry into the U.S.A.
(a) No radio frequency device may be imported into the Customs territory of the United States unless the importer or ultimate consignee, or their des- ignated customs broker, declares that the device meets one of the conditions for entry set out in this section.
(b) A separate declaration shall be used for each line item in the entry or entry summary containing an RF de- vice, or for each different radio fre- quency device within a line item when the elements of the declaration are not identical.
(c) Failure to properly declare the importation category for an entry of radio frequency devices may result in refused entry, refused withdrawal for consumption, required redelivery to the Customs port, and other adminis- trative, civil and criminal remedies provided by law.
(d) Whoever makes a declaration pur- suant to § 2.1203(a) must provide, upon request made within one year of the date of entry, documentation on how an imported radio frequency device was determined to be in compliance with Commission requirements.
[56 FR 26619, June 10, 1991; 56 FR 32474, July 16, 1991]
§ 2.1204 Import conditions.
(a) Radio frequency devices may be imported only if one or more of these conditions are met:
(1) The radio frequency device has been issued an equipment authoriza- tion by the FCC.
(2) The radio frequency device is not required to have an equipment author- ization and the device complies with FCC technical administrative regula- tions.
(3) The radio frequency device is being imported in limited quantities for testing and evaluation to determine compliance with the FCC Rules and Regulations or suitability for mar- keting. The devices will not be offered for sale or marketed. The phrase ‘‘lim- ited quantities,’’ in this context means:
(i) 2000 or fewer units, provided the product is designed solely for operation within one of the Commission’s author- ized radio services for which an oper- ating license is required to be issued by the Commission; or
(ii) 200 or fewer units for all other products.
(iii) Prior to importation of a greater number of units than shown above, written approval must be obtained from the Chief, Office of Engineering and Technology, FCC.
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(iv) Distinctly different models of a product and separate generations of a particular model under development are considered to be separate devices.
(4) The radio frequency device is being imported in limited quantities for demonstration at industry trade shows and the device will not be offered for sale or marketed. The phrase ‘‘lim- ited quantities,’’ in this context means:
(i) 200 or fewer units, provided the product is designed solely for operation within one of the Commission’s author- ized radio services for which an oper- ating license is required to be issued by the Commission; or
(ii) 10 or fewer units for all other products.
(iii) Prior to importation of a greater number of units than shown above, written approval must be obtained from the Chief, Office of Engineering and Technology, FCC.
(iv) Distinctly different models of a product and separate generations of a particular model under development are considered to be separate devices.
(5) The radio frequency device is being imported solely for export. The device will not be marketed or offered for sale in the U.S., except:
(i) If the device is a foreign standard cellular phone solely capable of func- tioning outside the U.S.
(ii) If the device is a multi-mode wireless handset that has been certified under the Commission’s rules and a component (or components) of the handset is a foreign standard cellular phone solely capable of functioning outside the U.S.
(6) The radio frequency device is being imported for use exclusively by the U.S. Government.
(7) Three or fewer radio receivers, computers, or other unintentional radi- ators as defined in part 15 of this chap- ter, are being imported for the individ- ual’s personal use and are not intended for sale.
(8) The radio frequency device is being imported for repair and will not be offered for sale or marketed.
(9) The radio frequency device is a medical implant transmitter inserted in a person or a medical body-worn transmitter as defined in part 95, granted entry into the United States or is a control transmitter associated
with such an implanted or body-worn transmitter, provided, however that the transmitters covered by this provi- sion otherwise comply with the tech- nical requirements applicable to trans- mitters authorized to operate in the Medical Device Radiocommunication Service (MedRadio) under part 95 of this chapter. Such transmitters are permitted to be imported without the issuance of a grant of equipment au- thorization only for the personal use of the person in whom the medical im- plant transmitter has been inserted or on whom the medical body-worn trans- mitter is applied.
(10) Three or fewer portable earth- station transceivers, as defined in § 25.129 of this chapter, are being im- ported by a traveler as personal effects and will not be offered for sale or lease in the United States.
(b) The ultimate consignee must be able to document compliance with the selected import condition and the basis for determining the import condition applied.
[56 FR 26619, June 10, 1991, as amended at 57 FR 38286, Aug. 24, 1992; 61 FR 8477, Mar. 5, 1996; 63 FR 31646, June 10, 1998; 64 FR 69929, Dec. 15, 1999; 64 FR 72572, Dec. 28, 1999; 69 FR 5709, Feb. 6, 2004; 74 FR 22704, May 14, 2009]
§ 2.1205 Filing of required declaration.
(a) For points of entry where elec- tronic filing with Customs has not been implemented, use FCC Form 740 to pro- vide the needed information and dec- larations. Attach a copy of the com- pleted FCC Form 740 to the Customs entry papers.
(b)(1) For points of entry where elec- tronic filing with Customs is available, submit the following information to Customs when filing the entry docu- mentation and the entry summary doc- umentation electronically. Follow pro- cedures established by Customs for electronic filing.
(i) The terms under which the device is being imported, as indicated by cit- ing the import condition number speci- fied in § 2.1204(a).
(ii) The FCC identifier as specified in § 2.925, if the device has been granted an equipment authorization;
(iii) The quantity of devices being imported, regardless of what unit is
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specified in the Harmonized Tariff Schedule of the United States; and
(iv) A commercial product descrip- tion which is to include the trade name, a model/type number (or model/ type name) and other descriptive infor- mation about the device being im- ported.
(2) For importers unable to partici- pate in the electronic filing process with Customs for good cause, declara- tions are to be made in accordance with paragraph (a) of this section.
[56 FR 26619, June 10, 1991, as amended at 64 FR 72572, Dec. 28, 1999]
§ 2.1207 Examination of imported equipment.
In order to determine compliance with its regulations, Commission rep- resentatives may examine or test any radio frequency device that is im- ported. If such radio frequency device has already entered the U.S., the ulti- mate consignee or subsequent owners of that device must, upon request, made within one year of the date of entry, make that device available for examination or testing by the Commis- sion.
[56 FR 26620, June 10, 1991]
Subpart L [Reserved]
Subpart M—Advance Approval of Subscription TV Transmission Systems
ADVANCE APPROVAL PROCEDURE
§ 2.1400 Application for advance ap- proval under part 73.
(a) An original application for ad- vance approval of a subscription TV (STV) system and one copy thereof must be filed by the party who will be responsible for the conformance of the system with the subscription TV stand- ards specified in part 73 of the Rules. The application must include informa- tion to show that the system conforms to the requirements of § 73.644(b).
(b) Advance approval may be applied for and granted in accordance with and subject to the following conditions and limitations:
(1) A separate request for each dif- ferent technical system must be made by the applicant in writing.
(2) The applicant must certify that the application was prepared by or under the direction of the applicant and that the facts set forth are true and correct to the best of the appli- cant’s knowledge and belief.
(3) The applicant must identify the technical system by a name or type number and define the system in terms of its technical characteristics; a func- tional block diagram must be included. In addition, a complete description of the encoded aural and visual baseband and transmitted signals and of the en- coding equipment used by the appli- cant must be supplied. These descrip- tions must include equipment circuit diagrams and photographs, and dia- grams or oscillographs of both baseband and transmitted aural and visual signal waveforms and of the sig- nal basebands and occupied bandwidths. If aural subcarriers are to be used for transmitting aural portion of the subscription program, for de- coder control, or for other purposes, a full description and specifications of the multiplex subcarrier signals and all modulation levels must be included.
(4) Preliminary test data must be submitted to show system capability with regard to compliance with the cri- teria set forth in § 73.644(b).
(5) The applicant must identify the specific requirements of §§ 73.682, 73.687 and 73.699 (Figures 6 and 7) from which the transmitted signal will normally deviate.
(6) The applicant must specify the method to be used in determining and maintaining the operating power of the transmitter if the procedures given in § 73.663 cannot be used due to suppres- sion of the synchronizing pulses or for other reasons. If the operating power of the station must be reduced to accom- modate the encoded aural or video sig- nal, the operating power limitations must be specified.
(7) The applicant must supply any ad- ditional information and test data re- quested by the FCC, to show to its sat- isfaction that the criteria given in § 73.644(b) are met.
(8) The information submitted by the applicant may be subject to check by
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field tests conducted without expense to the FCC or, if deemed necessary, at the laboratory or in the field by FCC personnel. This may include the actual submission of equipment for system testing under the provisions of § 2.945 of part 2 of the Rules.
(9) No technical system will be deemed approved unless and until the FCC has notified the applicant in writ- ing of the approval. Such notification of approval will be by letter to the ap- plicant.
(10) Approval by the FCC is limited to a determination that the particular technical system (the scheme for en- coding and decoding the subscription TV signal) is capable of meeting the criteria given in § 73.644(b).
(11) The FCC will maintain a listing of approved technical systems.
(c) Multichannel sound may be trans- mitted for stereophonic or bilingual service with encoded subscription pro- grams provided the technical operating specifications for this service are in- cluded in the application for advance system approval.
(d) Subscriber decoder devices must comply with any applicable provisions of subpart H, part 15 of the FCC Rules for TV interface devices.
(e) No modifications may be made by either the applicant or the user of a system having advance FCC approval that would change any of the operating conditions as submitted in the applica- tion for advance approval. Should sys- tem modifications be necessary, a new application must be submitted in ac- cordance with the requirements of this section.
[48 FR 56391, Dec. 21, 1983]
Subpart N—FCC Procedure for Testing Class A, B and S Emer- gency Position Indicating Radiobeacons (EPIRBs)
SOURCE: 56 FR 11683, Mar. 20, 1991, unless otherwise noted.
GENERAL
§ 2.1501 Introduction. The procedure described herein sets
forth uniform methods for testing Class A, B and S Emergency Position
Indicating Radiobeacons (EPIRBs) for compliance with the applicable por- tions of the FCC Rules and Regula- tions. Other methods and test results may be used provided they are fully documented and deemed by the Com- mission to yield results equivalent to the procedures set forth in this section.
§ 2.1503 Test environment. (a) Measurement sites. Radiated emis-
sion tests for peak effective radiated power (PERP), spurious emissions and power in the test mode are to be per- formed on an open field test site as shown in Figure 1. The site is to be lo- cated on level ground with an obstruc- tion-free, 60 m by 52 m, elliptical area. The site is to be equipped with an an- tenna mast capable of adjustment from 1 to 4 m. The center of a metal ground plane at least one wavelength in di- ameter at 121.5 MHz (2.47 m) is to be lo- cated 30 m from the receiving antenna. The ground plane is to have provisions for mounting removable quarter-wave verticle elements to produce a monopole antenna at both 121.5 and 243 MHz with the VSWR of less than 1.5.
NOTE: It is desirable that the level of radi- ated ambient EME at the test site be at least 6 dB below the FCC limits applicable to the EPIRB. It is, of course, not always possible to meet this condition. If the ambient field strength at some frequencies within the specified measurement ranges is too high, it is recommended that one or more of the fol- lowing corrective steps be employed:
(1) Perform measurements in critical fre- quency bands during hours when broadcast and other radio stations are off-the-air and ambients from industrial equipment are lower.
(2) Insofar as is possible, orient the axis of an open area test site to discriminate against strong ambient signals.
(3) Vary the bandwidth of the measuring instrument to separate ambient EME from emissions from the EPIRB.
(b) Temperature. Except as otherwise noted, the ambient temperature during testing is to be within the range of 4 to 35 °C (40 to 95 °F).
§ 2.1505 Test instrumentation and equipment.
(a) Receiver (field intensity meter). A calibrated field intensity meter (FIM) with a frequency range of 30 to 1000 MHz is required for measuring radiated
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emission levels. This instrument should be capable of making peak measurements with a bandwidth of 100 kHz.
(b) Spectrum analyzer. Spectral meas- urements are to be made with a spec- trum analyzer with a minimum resolu- tion bandwidth no greater than 10 Hz. The video filter, if used, should have a bandwidth wide enough so as to not af- fect peak readings. A linear video out- put is desirable for performing meas- urements of modulation characteris- tics.
(c) Storage oscilloscope. Measurements of modulation characteristics are to be made using a calibrated storage os- cilloscope. This instrument is to be DC coupled and capable of manually trig- gered single sweeps.
(d) Frequency counter. A frequency counter with an accuracy of at least 5 parts per million is required for meas- uring the carrier frequency.
(e) Signal generator. A calibrated sig- nal generator with an output of at least 75 mW at 121.5 and 243 MHz is re- quired for generating a reference signal for site calibration.
(f) Antenna. Radiated emissions are to be measured with calibrated, tuned, half-wave dipole antennas covering the frequency range of 30 to 1000 MHz.
(g) Temperature chamber. Tests which call for subjecting the EPIRB to tem- perature levels other than the ambient temperature are to be performed in a temperature test chamber which can be adjusted to stable temperatures from ¥20 to +55 °C. This chamber is to be of sufficient size to accommodate the EPIRB under test.
(h) Vibration table. A vibration table capable of vibrating the EPIRB with a sinusoidal motion is required. The table must be capable of varying the frequency of vibration either linearly or logarithmically over a range of 4 to 33 Hz with maximum peak amplitudes of up to 2.5 mm.
(i) Salt fog chamber. A chamber capa- ble of producing salt fog at a tempera- ture of 35 °C for 48 hours is required. This chamber is to be of sufficient size to accommodate the EPIRB under test.
(j) Drop test facility. A facility which will permit dropping an EPIRB from a height of 20 m into water is required. The water must be deep enough so that
the EPIRB will not touch bottom when dropped.
ENVIRONMENTAL AND OPERATIONAL TEST PROCEDURES
§ 2.1507 Test frequencies.
Testing of an EPIRB for compliance outside a shielded room on a distress frequency is prohibited, since this may interfere with emergency communica- tions. Therefore, all compliance testing outside a shielded room should be con- ducted on one of the pairs of alternate frequencies specified below:
121.600/243.200 MHz 121.650/243.300 MHz 121.700/243.400 MHz 121.750/243.500 MHz 121.800/243.600 MHz 121.850/243.700 MHz 121.900/243.800 MHz
The above frequencies are to be used for limited testing of EPIRBs for com- pliance with FCC Rules, subject to the following conditions:
(a) The testing shall not cause harm- ful interference to authorized commu- nications on these frequencies.
(b) The testing shall be coordinated with the nearest FCC district office.
For simplicity, 121.5 MHz and 243 MHz will be used throughout this test proce- dure to indicate the alternate test fre- quency.
§ 2.1509 Environmental and duration tests.
The environmental and operational tests in § 2.1509 (a) through (e) are to be conducted on a single test unit in the order given below. This sequence of tests also includes the electrical tests in §§ 2.1511, 2.1513 and 2.1515 of this part. The test unit is not to be adjusted, nor is the battery to be replaced during these tests, and a log of battery on- time should be maintained. The above tests are to be performed on the same test unit. The tests in § 2.1509 (f) through (i) may be run in any sequence or may be performed on separate test units.
(a) Vibration test.
Step (1) Secure the EPIRB to the vibration table. The EPIRB is not to be operated and should not activate while being vibrated.
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Step (2) Subject the EPIRB to sinusoidal motion parallel to one of the three major or- thogonal axes under the following condi- tions:
A. Frequency (Hz) Peak amplitude (mm)
4–10 2.5 10–15 0.8 15–25 0.4 25–33 0.2
B. The frequency is to be changed either linearly or logarithmically with time be- tween 4 Hz and 33 Hz such that a complete cycle (4 Hz to 33 Hz to 4 Hz) takes approxi- mately 5 minutes.
C. The EPIRB is to be vibrated for at least 30 minutes or six complete cycles.
Step (3) Remount the EPIRB, if necessary, and repeat step 2 for each of the other two major orthogonal axes.
Step (4) Upon completion of the test, per- form an exterior mechanical inspection and verify operation by turning the unit on and observing the RF power indicator on the unit or monitoring the transmission with a re- ceiver. Record test results.
(b) Thermal shock tests. These tests are to be performed on EPIRBs which are required or intended to float. (1) Low temperature thermal shock test.
Step (1) Place the EPIRB in a temperature chamber for at least 3 hours at ¥20 °C or colder. The EPIRB is not to be operated while being cooled.
Step (2) Immediately place the EPIRB in water that has been maintained at +10 °C or warmer.
Step (3) After 15 minutes, perform as exte- rior mechanical inspection and verify oper- ation by turning the unit on and observing the RF power indicator on the unit or moni- toring the transmission with a receiver. Record test results.
(2) High temperature thermal shock test.
Step (1) Place the EPIRB in a temperature chamber for at least 3 hours at +55 degrees C or warmer. The EPIRB is not to be operated while being heated.
Step (2) Immediately float the EPIRB in water that is maintained at +25 degrees C or colder.
Step (3) After 15 minutes, perform an exte- rior mechanical inspection and verify oper- ation by turning the unit on and observing the RF power indicator on the unit or moni- toring the transmission with a receiver. Record test results.
(c) Salt fog test.
Step (1) Place the EPIRB in a salt fog chamber for a period of at least 2 hours at a temperature of 35 °C (±2 °C) before exposing
it to salt fog. The EPIRB is to be turned off during this test.
Step (2) With the chamber temperature maintained at 35 °C, introduce salt fog at the saturation point for 48 hours. The salt fog is to be prepared from a 5% (±1%) salt (sodium chloride solution. For detailed guidance on the preparation of the solution and the appa- ratus for generating salt fog, refer to MIL- STD-810D (19 July 1983), method 509.2.
Step (3) Upon completion of the salt fog ex- posure, the EPIRB is to be airdried at room temperature for 12 hours and operation verified by turning the unit on and observing the RF power indicator on the unit or moni- toring the transmission with a receiver. Record observations.
(d) Drop test. This test is to be per- formed on EPIRB which are required or intended to float.
Step (1) Turn the EPIRB on, log the time and drop it three times into water from a height of 20 meters. The water is to be deep enough so that the EPIRB does not touch bottom when dropped. Each drop should be initiated from a different orientation as fol- lows: antenna vertical up; antenna vertical down; antenna horizontal.
Step (2) Upon completion of the drop test, an exterior mechanical inspection is to be performed and operation verified by observ- ing the RF power indicator on the unit or monitoring the transmission with a receiver. Record observations. Turn the test unit off and log the total on-time.
(e) Forty-eight hour operational test. This test includes the battery life test and all the electrical tests given in §§ 2.1511, 2.1513 and 2.1515 of this part, at various temperatures. The tests are to be performed on the same EPIRB in the sequence specified herein. Be sure to record the on-time of the unit during each test. No more than 8 hours of total on-time is permitted before com- mencing step 4. When operating the EPIRB in the environmental chamber, a non-radiating load may be sub- stituted for the antenna provided it is electrically equivalent to the standard antenna and does not reduce the bat- tery current drain.
Step (1) Perform the radiated emissions test in § 2.1511 of this part.
Step (2) Perform the modulation char- acteristic tests in § 2.1513 of this part.
Step (3) Perform the spectral tests in § 2.1515 of this part.
Step (4) With the EPIRB off, place unit in an environmental chamber at a temperature of ¥20 °C for at least 2 hours.
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Step (5) With the EPIRB in the chamber, repeat the carrier frequency test in § 2.1515(d) of this part. (Leave the EPIRB turned on.)
Step (6) Near the end of 48 hours of total on-time for the EPIRB, repeat the carrier frequency test in § 2.1515(d) of this part.
Step (7) At the end of 48 hours of total on- time, remove EPIRB from the chamber and immediately repeat the PERP test for the fundamental emissions in § 2.1511(c) of this part. The unit should be maintained at ¥20 °C to the extent possible for this test.
(f) Float free and activation test. This test is required only for Class A EPIRBs.
Step (1) The EPIRB is to be installed in the automatic release mechanism and the as- sembly is to be mounted on a fixture simu- lating a deck or bulkhead as per manufac- turer’ installation instructions.
Step (2) Submerge the fixture in water in its normal mounted orientation. The EPIRB must float free before reaching a depth of 4 meters and should automatically activate. Activation is to be verified by observing the RF power indicator on the unit or moni- toring the transmission with a receiver. If the EPIRB is equipped with an automati- cally deployable antenna, the antenna must properly deploy during each immersion. Record observations.
(g) Stability and buoyancy test. This test is to be performed on EPIRBs which are required or intended to float. This test is to be conducted in fresh water.
Step (1) With the antenna deployed in its normal operating position, submerge the EPIRB in a horizontal position just below the surface of the water.
Step (2) Release the EPIRB and observe the amount of time required for it to come to an upright position. It must reach its upright position within one second from each posi- tion. The EPIRB must have a reserve buoyancy of at least 5% of its gross weight. It must also float upright in calm water with the base of the antenna a minimum of 5 cm above the water. Record the time required for the test unit to right itself.
(h) Temperature/frequency test. The frequency stability shall be measured over an ambient temperature from ¥20° to +55 °C at intervals of not more than 10 °C. A period of time sufficient to stabilize all of the components of the oscillator circuit at each temperture level shall be allowed prior to frequency measurement.
Step (1) Place the EPIRB in the environ- mental test chamber.
Step (2) Adjust the temperature in the chamber to +20 °C and allow sufficient time for the oscillator to stabilize at that tem- perature.
Step (3) Measure the carrier frequency in accordance with the procedure in § 2.1515(d) of this part. Record the carrier frequency in Hertz. The carrier frequency at +20 °C is the reference for determining the frequency tol- erance.
Step (4) Increase the temperature in the chamber to +55 °C and allow sufficient time for the oscillator to stabilize at that tem- perature. Measure the carrier frequency using the procedure in § 2.1515(d) of this part.
Step (5) Reduce the temperature in the chamber in 10 °C maximum increments until ¥20 °C is reached. At each new temperature, allow sufficient time for the oscillator to stabilize at that temperature. Measure the temperature and frequency in each case and plot the frequency vs temperature from ¥20° to +55 °C.
(i) Leakage and immersion test.
Step (1) Completely submerge the EPIRB in water for 48 hours. The EPIRB is to be turned off during this test.
Step (2) Remove the EPIRB from the water and wipe dry.
Step (3) Verify operation by briefly turning the EPIRB on and observing the RF power indicator on the unit or monitoring the transmission with a receiver.
Step (4) Open the EPIRB for examination. There is to be no water inside the unit. Record observations.
§ 2.1511 Measurements of radiated emissions.
The Commission’s Rules require that the peak efficetive radiated power (PERP) of a Class A, B or S EPIRB not be less than 75 mW under certain speci- fied conditions. The PERP of an EPIRB transmitter is determined by com- paring its level to a reference PERP generated by a standard quarter-wave monopole antenna located on a one wavelength minimum diameter metal ground plane. The Rules also require that all spurious and harmonic emis- sions be attenuated by a specified amount with respect to the reference PERP. In addition, there is a limit on the PERP of radiated emissions with the switch in the test mode. These measurements are to be made in ac- cordance with the following procedure.
(a) General set-up instructions. Meas- urements of radiated electromagnetic
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emissions (EME) are to be performed on the 30 meter open field test site de- scribed in § 2.1503(a) of this part and on one of the pair of frequencies listed in § 2.1507 of this part. A receiver, tuned dipole antennas and a calibrated signal generator as described in § 2.1505 of this part are required. The EPIRB should be powered by its own internal battery with its standard antenna attached and deployed.
(b) Set-up for radiated EME tests.
Step (1) Place a 121.5 MHz quarter-wave vertical antenna element at the center of the ground plane and connect the output of the calibrated signal generator to the antenna.
Step (2) Mount the tuned dipole antenna on the antenna mast, tune the elements to 121.5 MHz and connect the antenna to the re- ceiver.
Step (3) After an appropriate warm up, turn the receiver to the frequency of the test unit, set the detector to peak mode and the bandwidth to 100 kHz.
(NOTE: It is sometimes helpful to monitor the receiver audio output with a speaker. The EPIRB signal may be identified by its distinctive modulation.)
(c) Radiated EME tests.
Fundamental emissions-peak effective radiated power
Step (1) Turn on the signal generator and adjust the output to 75 mW at 121.5 MHz.
Step (2) Vary the antenna height from one to four meters in both vertical and hori- zontal polarization. Record the highest re- ceiver reading in dBm as the reference level.
Step (3) Disconnect the signal generator and replace the quarter-wave vertical ele- ment on the ground plane with the EPIRB under test. The EPIRB is to be positioned di- rectly on the surface of and in the center of the metal ground plane.
Step (4) Activate the EPIRB. Step (5) Vary the receive antenna height
from one to four meters in both vertical and horizontal polarization. Record the highest receiver reading in dBm and the instrument settings, antenna height and direction for maximum radiation, antenna polarization and conversion factors, if any, associated with that reading.
Step (6) Repeat Step 5 with the EPIRB switch in the test position. Return the switch to the normal operation position.
Step (7) Rotate the EPIRB 30 degrees and repeat Steps 5 and 6. Repeat this step for all successive 30 degrees segments of a full, 360 degree rotation of the EPIRB.
Step (8) Repeat § 2.1511(b) and Steps 1 through 7 for 243 MHz.
Step (9) Compute the peak effective radi- ated power for the maximum level of each measured emission using the following for- mula:
PERP 75 log dBm
1010 1 meas dBmref= × ⎡ ⎣⎢
⎤ ⎦⎥
− −
where: dBmmeas is the measured receiver reading in
dBm, and dBmref is the reference receiver reading found
in step 2 of § 2.1511(c). Step (10) Record the PERP in mW. The
FCC limit for minimum power in the normal operation mode (i.e., with the EPIRB switch in the normal operating position) is 75 mW. The FCC limit for maximum power in the test mode is 0.0001 mW.
Spurious emissions
Step (11) Reset the signal generator to op- erate at 121.5 MHz.
Step (12) For each spurious and harmonic emission to be measured, retune the receive antenna to the appropriate frequency and re- peat Steps 5 and 7.
Step (13) Determine the FCC limit on power for spurious emissions on the fre- quency of each measured emission as follows:
The rules require that spurious emissions be attenuated at least 30 decibels below the transmit power level. Therefore, the max- imum received power limit for a spurious emission can be calculated from the formula:
dBmspur = dBmmeas+AF121.5¥AFspurfreq¥30
where: dBmmeas = measured receiver reading (Sec-
tion 2.1511(c), step 5). AF121.5 = tuned dipole antenna factor at 121.5
MHz. AFspurfreq = tuned dipole antenna factor at
spurious freq. Step (14) Record in dB below the funda-
mental emissions the level of all spurious and harmonic emissions within 10 dB of the FCC limits.
§ 2.1513 Measurements of modulation characteristics.
(a) Set-up. Test of modulation charac- teristics are to be performed in an RF shielded room.
Step (1) Place the EPIRB directly on a metal ground plane, such as the shielded room floor.
Step (2) Place a suitable receiving antenna at a convenient distance from the EPIRB and connect it to the input of the spectrum analyzer or receiver to observe the radiated signal from the EPIRB.
Step (3) Set the spectrum analyzer or re- ceiver controls as follows:
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I.F. bandwidth: 300 kHz minimum Video filter: OFF or as wide as possible Amplitude scale: Linear Frequency: 121.5 MHz Scan width: 0 Hz
Step (4) Connect the detected output of the spectrum analyzer or receiver to the input of the storage oscilloscope.
Step (5) Set the oscilloscope controls as necessary to allow the demodulated wave- form to be viewed. The input signal is to be DC coupled.
(b) Measurement of Audio Frequencies.
Step (1) Activate the EPIRB. Step (2) Trigger the oscilloscope and store
at least one complete cycle of the audio waveform.
Step (3) Measure the period (T) of the waveform. The period is the time difference between the half voltage points at the begin- ning and end of one complete cycle of the waveform. See Figure 2.
Step (4) Calculate the frequency (F), where:
F=1/T.
Step (5) Repeat Steps 2 through 4 until the highest and lowest audio frequencies are found.
NOTE: The lowest and highest frequencies may occur several cycles before or after the transition from low to high frequency.)
Step (6) Determine the audio frequency range (Frange), where:
Frange=Fhigh¥Flow Step (7) Record instrument settings and
the lowest and highest audio frequencies. Record the audio frequency range in Hertz.
Step (8) Repeat Steps 1–7, above, for 243 MHz.
(c) Modulation factor.
Step (1) Activate the EPIRB. Step (2) Trigger the oscilloscope and store
at least one complete cycle of the audio waveform. The input signal is to be DC cou- pled or erroneous results will be obtained.
Step (3) Measure the maximum voltage (Vmax), and the minimum voltage (Vmin) for the cycle. The modulation factor (M) is cal- culated from the following formula:
M V V
V V =
− +
max min
max min
See Figure 2. Step (4) Repeat Steps 2 and 3 until the low-
est modulation factor is found. Step (5) Record instrument settings and
the lowest modulation factor, expressed as a ratio between 0 and 1.
Step (6) Repeat the above measurements for 243 MHz.
(d) Modulation duty cycle.
Step (1) Activate the EPIRB. Step (2) Trigger the oscilloscope and store
at least one complete cycle of the audio waveform.
Step (3) Measure the period (T) of the waveform. The period is the time difference between the half voltage points at the begin- ning and end of one cycle of the waveform. See Figure 2.
Step (4) Measure the pulse width (tp) of the waveform. The pulse width is the time dif- ference between the half voltage points on the rising and falling portions of the wave- form. See Figure 2.
Step (5) Calculate the duty cycle (D) as fol- lows:
D t
T p=
Step (6) Repeat Steps 2 through 5 a suffi- cient number of times to determine the high- est and lowest duty cycles.
Step (7) Record instrument settings and the highest and lowest duty cycles in per- cent.
Step (8) Repeat Steps 1–7 for 243 MHz.
(e) Sweep repetition rate.
Step (1) Connect a speaker to the detected output of the spectrum analyzer or receiver so the audio frequencies are audible. Alter- natively, an FM radio tuned to 108 MHz placed in the vicinity of the EPIRB may be used.
Step (2) Activate the EPIRB. Step (3) Time the number of audio sweeps
(N) for a one minute interval. Step (4) Calculate the audio sweep rate (R)
using R=N/60. Step (5) Record instrument settings and
the sweep repetition rate in Hertz.
§ 2.1515 Spectral measurements. (a) Set-up. Spectral measurements
are to be performed in a shielded room.
Step (1) Place the EPIRB directly on a metal ground plane, such as the shielded room floor. The EPIRB should be powered by its own internal battery with its standard antenna attached and deployed.
Step (2) Place a suitable receiving antenna at a convenient distance from the EPIRB and connect it to the input of the spectrum analyzer to observe the radiated signal from the EPIRB. A signal generator and frequency counter capable of operating at 121.5 and 243 MHz are also required for these tests.
(b) Occupied bandwidth test.
Step (1) Activate the EPIRB and observe the fundamental frequency on a spectrum
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Federal Communications Commission § 2.1515
analyzer. Adjust location of receiving an- tenna and spectrum analyzer controls to ob- tain a suitable signal level (i.e., a level which will not overload the spectrum ana- lyzer, but is far enough above the noise floor to allow determination of whether or not the sidebands are attenuated by at least the amount required in the rules).
Step (2) Set spectrum analyzer controls as follows: I.F. bandwidth: 10 kHz Video filter: OFF or as wide as possible Scan time: 100 ms./div. Amplitude scale: 10 dB/div. Scan width: 20 Hz/div. Center frequency: 121.5 MHz
Step (3) Record the signal level in dbm. Step (4) Calculate the mean power ref-
erence level by adding 10 log10 (D), where D is the modulation duty cycle determined in section 2.1513(d) of this part, to the recorded signal level.
Step (5) Set spectrum analyzer controls as follows: I.F. bandwidth: 100 Hz Video filter: OFF or as wide as possible Scan time: 10 sec./div. Amplitude scale: 10 dB/div. Scan width: 20 kHz/div.
Step (6) Check the modulation sidebands for compliance with the required attenuation below the mean power reference level speci- fied in § 80.211 of the rules.
Step (7) Record how the test was per- formed, instrument settings and the occu- pied bandwidth in kHz and the 3 dB band- width of the carrier in Hz. (See § 2.1517 of this part).
Step (8) Repeat Steps 1 through 7 for the signal at 243 MHz.
(c) Signal enhancement test. The setup specified in § 2.1515(a) is to be used in this method of measuring signal en- hancement. Other methods may be used if shown to give results equivalent to or more accurate than this method.
Step (1) Activate the EPIRB and locate the carrier frequency at 121.5 MHz on the spec- trum analyzer. Adjust location of receiving antenna and spectrum analyzer controls to obtain a suitable signal level (i.e., a level which will not overload the analyzer, but is far enough above the noise floor to allow sidebands at least 40 dB below the carrier to be viewed).
Step (2) Set the spectrum analyzer controls as follows: I.F. bandwidth: 10 kHz Video filter: OFF or as wide as possible Scan time: 100 ms./div. Amplitude scale: 5 dB/div. Scan width: 10 kHz/div. Center frequency: 121.5 MHz
Step (3) Record the amplitude in dBm.
Step (4) Calculate the total power output by adding 10 log(D), where D is the modula- tion duty cycle determined in § 2.1513(d) of this part, to the recorded signal level.
Step (5) Set the spectrum analyzer controls as follows:
I.F. bandwidth: 60 Hz or less Video filter: OFF or as wide as possible Scan time: 10 sec./div. Amplitude scale: 5 dB/div. Scan width: 20 Hz/div. Center frequency: 121.5 MHz
Step (6) Measure and record the carrier power dBm as displayed on the spectrum an- alyzer.
Step (7) Calculate the ratio of carrier power to total power from Steps 4 and 6 using the following formula:
carrier power
rtotal powe
dB dBc T= −⎡
⎣⎢ ⎤ ⎦⎥
−log10 1
10 dBC = carrier power in step 6 dBT = total power in step 4
Step (8) Record instrument settings, sam- ple calculation and the percent of power within ±30 Hz at 121.5 MHz or ±60 Hz at 243 MHz of the carrier frequency.
Step (9) Repeat the above measurement Steps 1 through 8 for 243 MHz. For the higher frequency, the I.F. bandwidth in step 5 must be 120 Hz or less.
(d) Carrier frequency test. The setup specified in § 2.1515(a) is to be used in measuring the carrier frequency.
Step (1) Activate the EPIRB and locate the 121.5 MHz signal on the spectrum analyzer. Adjust location of receiving antenna and spectrum analyzer controls to obtain a suit- able signal level.
Step (2) Set the spectrum analyzer controls as follows:
I.F. bandwidth: 100 Hz Video filter: OFF or as wide as possible Scan time: 10 sec./div. Amplitude scale: 10 dB/div. Scan width: 20 Hz/div. Center frequency: 121.5 MHz
Step (3) Combine the output of the signal generator with the EPIRB signal at the input to the spectrum analyzer.
Step (4) Adjust amplitude and frequency of signal generator output to determine center of carrier frequency component.
Step (5) Measure signal generator fre- quency with frequency counter with accu- racy of 5 PPM or better and record as carrier frequency.
Step (6) If applicable, change the type of modulation of the EPIRB and record the shift in carrier frequency as observed on the spectrum analyzer display.
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Step (7) Repeat the above measurement Steps 1 through 6 for 243 MHz.
[56 FR 11683, Mar. 20, 1991; 60 FR 47302, Sept. 12, 1995]
DATA RECORDING/REPORTING REQUIREMENTS
§ 2.1517 Data recording/reporting re- quirements.
The test report for an EPIRB shall contain the following information:
(a) Specific identification, including the FCC ID, model and serial numbers, of the EPIRB under test.
(b) The name and location of the test sites used for the measurements.
(c) A description of the instrumenta- tion and equipment, including anten- nas, used to perform the tests. For pur- chased equipment, the type, manufac- turer and model number are generally sufficient as a description.
(d) The test results and associated comparative information.
(e) A description of any modifica- tions made to the EUT or other system components during the testing.
(f) A description and justification of all deviations from the procedures de- scribed herein.
(g) The name and qualifications of the person responsible for the tests.
(h) The date the tests were per- formed.
(i) A statement signed by the indi- vidual responsible for the test that the EPIRB as tested complies or does not comply with the applicable FCC rules.
(j) A statement signed by the indi- vidual responsible, either directly or indirectly, for production or marketing of the device tested that the unit test- ed is representative of the equipment that all be marketed.
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Federal Communications Commission Pt. 2, Subpt. N, Fig. 1
FIGURE 1 TO SUBPART N OF PART 2—MEASUREMENT SITE
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FIGURE 2 TO SUBPART N OF PART 2—TYPICAL AUDIO WAVE
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Federal Communications Commission Pt. 2, Subpt. N, Fig. 3
FIGURE 3 TO SUBPART N OF PART 2—EXAMPLE OF IDEAL EPIRB SPECTRUM
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47 CFR Ch. I (10–1–10 Edition)Pt. 2, Subpt. N, Fig. 4
FIGURE 4 TO SUBPART N OF PART 2—EXAMPLE OF EPIRB CARRIER COMPONENT
PART 3—AUTHORIZATION AND AD- MINISTRATION OF ACCOUNTING AUTHORITIES IN MARITIME AND MARITIME MOBILE-SATELLITE RADIO SERVICES
GENERAL
Sec. 3.1 Scope, basis, purpose. 3.2 Terms and definitions.
ELIGIBILITY
3.10 Basic qualifications. 3.11 Location of settlement operation.
APPLICATION PROCEDURES
3.20 Application form. 3.21 Order of consideration. 3.22 Number of accounting authority identi-
fication codes per applicant. 3.23 Legal applicant. 3.24 Evidence of financial responsibility. 3.25 Number of copies.
3.26 Where application is to be mailed. 3.27 Amended application. 3.28 Denial of privilege. 3.29 Notifications.
SETTLEMENT OPERATIONS
3.40 Operational requirements. 3.41 Amount of time allowed before initial
settlements. 3.42 Location of processing facility. 3.43 Applicable rules and regulations. 3.44 Time to achieve settlements. 3.45 Amount of charges. 3.46 Use of gold francs. 3.47 Use of SDRs. 3.48 Cooperation with the Commission. 3.49 Agreement to be audited. 3.50 Retention of settlement records. 3.51 Cessation of operations. 3.52 Complaint/inquiry resolution proce-
dures. 3.53 FCC notification of refusal to provide
telecommunications service to U.S. reg- istered vessel(s).
3.54 Notification of change in address.
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Federal Communications Commission § 3.2
1 At the ITU Additional Plenipotentiary Conference in Geneva (December, 1992), the structure, working methods and construct of the basic ITU treaty instrument were modi- fied. The result is that the names of the sub- entities of the ITU have changed (e.g., the CCITT has become the Telecommunication Standardization Sector—ITU-T and Recog- nized Private Operating Agency has become Recognized Operating Agency-ROA). The changes were placed into provisional effect on March 1, 1993 with the formal entry into force of these changes being July 1, 1994. We will refer to the new nomenclatures within these rules, wherever practicable.
REPORTING REQUIREMENTS
3.60 Reports. 3.61 Reporting address. 3.62 Request for confidentiality.
ENFORCEMENT
3.70 Investigations. 3.71 Warnings. 3.72 Grounds for further enforcement ac-
tion. 3.73 Waiting period after cancellation. 3.74 Ship stations affected by suspension,
cancellation or relinquishment. 3.75 Licensee’s failure to make timely pay-
ment. 3.76 Licensee’s liability for payment.
AUTHORITY: 47 U.S.C. 154(i), 154(j) and 303(r).
SOURCE: 61 FR 20165, May 6, 1996, unless otherwise noted.
GENERAL
§ 3.1 Scope, basis, purpose. By these rules the Federal Commu-
nications Commission (FCC) is delin- eating its responsibilities in certifying and monitoring accounting authorities in the maritime mobile and maritime mobile-satellite radio services. These entities settle accounts for public cor- respondence due to foreign administra- tions for messages transmitted at sea by or between maritime mobile sta- tions located on board ships subject to U.S. registry and utilizing foreign coast and coast earth station facilities. These rules are intended to ensure that settlements of accounts for U.S. li- censed ship radio stations are con- ducted in accordance with the Inter- national Telecommunication Regula- tions (ITR), taking into account the applicable ITU-T Recommendations.
§ 3.2 Terms and definitions. (a) Accounting Authority. The Admin-
istration of the country that has issued the license for a mobile station or the recognized operating agency or other entity/entities designated by the Ad- ministration in accordance with ITR, Appendix 2 and ITU-T Recommenda- tion D.90 to whom maritime accounts in respect of mobile stations licensed by that country may be sent.
(b) Accounting Authority Certification Officer. The official designated by the Managing Director, Federal Commu- nications Commission, who is respon-
sible, based on the coordination and re- view of information related to appli- cants, for granting certification as an accounting authority in the maritime mobile and maritime mobile-satellite radio services. The Accounting Author- ity Certification Officer may initiate action to suspend or cancel an account- ing authority certification if it is de- termined to be in the public’s best in- terest.
(c) Accounting Authority Identification Codes (AAICs). The discrete identifica- tion code of an accounting authority responsible for the settlement of mari- time accounts (Annex A to ITU-T Rec- ommendation D.90).
(d) Administration. Any governmental department or service responsible for discharging the obligations undertaken in the Convention of the International Telecommunication Union and the Radio Regulations. For purposes of these rules, ‘‘Administration’’ refers to a foreign government or the U.S. Gov- ernment, and more specifically, to the Federal Communications Commission.
(e) Authorization. Approval by the Federal Communications Commission to operate as an accounting authority. Synonymous with ‘‘certification’’.
(f) CCITT. The internationally recog- nized French acronym for the Inter- national Telegraph and Telephone Con- sultative Committee, one of the former sub-entities of the International Tele- communication Union (ITU). The CCITT (ITU-T) 1 is responsible for de- veloping international telecommuni- cations recommendations relating to standardization of international tele- communications services and facilities,
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47 CFR Ch. I (10–1–10 Edition)§ 3.10
2 Id.
including matters related to inter- national charging and accounting prin- ciples and the settlement of inter- national telecommunications accounts.
Such recommendations are, effec- tively, the detailed implementation provisions for topics addressed in the International Telecommunication Reg- ulations (ITR).
(g) Certification. Approval by the FCC to operate as an accounting authority. Synonymous with ‘‘authorization’’.
(h) Coast Earth Station. An earth sta- tion in the fixed-satellite service or, in some cases, in the maritime mobile- satellite service, located at a specified fixed point on land to provide a feeder link for the maritime mobile-satellite service.
(i) Coast Station. A land station in the maritime mobile service.
(j) Commission. The Federal Commu- nications Commission. The FCC.
(k) Gold Franc. A monetary unit rep- resenting the value of a particular na- tion’s currency to a gold par value. One of the monetary units used to effect ac- counting settlements in the maritime mobile and the maritime mobile-sat- ellite services.
(l) International Telecommunication Union (ITU). One of the United Nations family organizations headquartered in Geneva, Switzerland along with several other United Nations (UN) family orga- nizations. The ITU is the UN agency responsible for all matters related to international telecommunications. The ITU has over 180 Member Countries, in- cluding the United States, and provides an international forum for dealing with all aspects of international tele- communications, including radio, telecom services and telecom facilities.
(m) Linking Coefficient. The ITU man- dated conversion factor used to convert gold francs to Special Drawing Rights (SDRs). Among other things, it is used to perform accounting settlements in the maritime mobile and the maritime mobile-satellite services.
(n) Maritime Mobile Service. A mobile service between coast stations and ship stations, or between ship stations, or between associated on-board commu- nication stations. Survival craft sta- tions and emergency position- indi- cating radiobeacon stations may also participate in this service.
(o) Maritime Mobile-Satellite Service. A mobile-satellite service in which mo- bile earth stations are located on board ships. Survival craft stations and emer- gency position-indicating radiobeacon stations may also participate in this radio service.
(p) Public Correspondence. Any tele- communication which the offices and stations must, by reason of their being at the disposal of the public, accept for transmission. This usually applies to maritime mobile and maritime mobile- satellite stations.
(q) Recognized Operating Agencies (ROAs).2 Individuals, companies or cor- porations, other than governments or agencies, recognized by administra- tions, which operate telecommuni- cations installations or provide tele- communications services intended for international use or which are capable of causing interference to inter- national telecommunications. ROAs which settle debtor accounts for public correspondence in the maritime mobile and maritime mobile-satellite radio services must be certified as account- ing authorities.
(r) Ship Station. A mobile station in the maritime mobile service located on board a vessel which is not perma- nently moored, other than a survival craft station.
(s) Special Drawing Right (SDR). A monetary unit of the International Monetary Fund (IMF) currently based on a market basket of exchange rates for the United States, West Germany, Great Britain, France and Japan but is subject to IMF’s definition. One of the monetary units used to effect account- ing settlements in the maritime mobile and maritime mobile-satellite services.
(t) United States. The continental U.S., Alaska, Hawaii, the Common- wealth of Puerto Rico, the Virgin Is- lands or any territory or possession of the United States.
ELIGIBILITY
§ 3.10 Basic qualifications. (a) Applicants must meet the require-
ments and conditions contained in these rules in order to be certified as an accounting authority. No individual
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or other entity, including accounting authorities approved by other adminis- trations, may act as a United States accounting authority and settle ac- counts of U.S. licensed vessels in the maritime mobile or maritime mobile- satellite services without a certifi- cation from the Federal Communica- tions Commission. Accounting authori- ties with interim certification as of the effective date of this rule must submit to the application process discussed in § 3.20. They will be ‘‘grandfathered’’, i.e, granted permanent certification provided they demonstrate their eligi- bility and present a proper application.
(b) U.S. citizenship is not required of individuals in order to receive certifi- cation from the Commission to be an accounting authority. Likewise, joint ventures need not be organized under the laws of the United States in order to be eligible to perform settlements for U.S. licensed vessels. See, however, § 3.11.
(c) Prior experience in maritime ac- counting, general commercial account- ing, international shipping or any other related endeavor will be taken into consideration by the Commission in certifying accounting authorities. The lack of such expertise, however, will not automatically disqualify an individual, partnership, corporation or other entity from becoming an ac- counting authority.
(d) Applicants must provide formal financial statements or documentation proving all assets, liabilities, income and expenses.
(e) Applicants must offer their serv- ices to any member of the public mak- ing a reasonable request therefor, with- out undue discrimination against any customer or class of customer, and fees charged for providing such services shall be reasonable and non-discrimi- natory. This requirement will be waived for applicants who settle their own accounts only and are eligible to be ‘‘grandfathered’’ during the initial application period. However, should the need for additional accounting authori- ties be proven, these accounting au- thorities will be required to offer their services to the public or relinquish their certification.
[61 FR 20165, May 6, 1996, as amended at 64 FR 40776, July 28, 1999]
§ 3.11 Location of settlement oper- ation.
(a) Within the United States. A cer- tified accounting authority maintain- ing all settlement operations, as well as associated documentation, within the United States will be assigned an AAIC with a ‘‘US’’ prefix.
(b) Outside the United States. A cer- tified accounting authority maintain- ing settlement operations outside the United States will be assigned the same AAIC as that originally assigned to such entity by the administration of the country of origin. However, in no case will an entity be certified as an accounting authority for settlement of U.S. licensed vessel accounts unless the entity is requesting to conduct a set- tlement operation in the United States or has already been issued an AAIC by another administration.
APPLICATION PROCEDURES
§ 3.20 Application form. Written application must be made to
the Federal Communications Commis- sion on FCC Form 44, ‘‘Application For Certification As An Accounting Au- thority’’ in order to be considered for certification as an accounting author- ity. No other application form may be used. No consideration will be given to applicants not submitting applications in accordance with these rules or in ac- cordance with any other instructions the Commission may issue. FCC Form 44 may be obtained from the Commis- sion by writing to the address shown in § 3.61.
§ 3.21 Order of consideration. (a) Accounting Authority applica-
tions will be processed on a first-come, first-served basis. When applications are received on the same day, the ap- plication with the earliest mailing date, as evidenced by the postmark, will be processed first. Interim ac- counting authorities seeking perma- nent certifications through the ‘‘grandfathering’’ process will not com- pete with other applicants during the first 60 days following the effective date of these rules which is allowed for submission of their applications. After the ‘‘grandfathering’’ process is com- pleted, all other applicants will be
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processed as in paragraph (a) of this section.
(b) At any given time, there will be no more than 25 certified accounting authorities with a minimum of 15 ‘‘US’’ AAICs reserved for use by accounting authorities conducting settlement op- erations within the United States. The Commission will retain all valid appli- cations received after the maximum number of accounting authorities have been approved and will inform such ap- plicants that should an AAIC become available for reassignment in the fu- ture, the Commission will condi- tionally certify as an accounting au- thority the oldest of the qualified pend- ing applicants, as determined by the order of receipt. Final certification would be conditional upon filing of an amended application (if necessary). The Commission will inform the appli- cant of his/her conditional selection in writing to confirm the applicant’s con- tinued interest in becoming an ac- counting authority.
§ 3.22 Number of accounting authority identification codes per applicant.
(a) No entity will be entitled to or as- signed more than one AAIC.
(b) AAICs may not be reassigned, sold, bartered or transferred and do not convey upon sale or absorption of a company or firm without the express written approval of the Commission. Only the FCC may certify accounting authorities and assign U.S. AAICs for entities settling accounts of U.S. li- censed vessels in the maritime mobile and maritime mobile-satellite services.
(c) Accounting authorities who are ‘‘grandfathered’’ during the initial ap- plication period may retain their in- terim AAIC.
§ 3.23 Legal applicant. The application shall be signed by
the individual, partner or primary offi- cer of a corporation who is legally able to obligate the entity for which he or she is a representative.
§ 3.24 Evidence of financial responsi- bility.
All applicants must provide evidence of sound financial status. To the extent that the applicant is a business, formal financial statements will be required.
Other applicants may submit docu- mentation proving all assets, liabil- ities, income and expenses which sup- ports their ability to meet their per- sonal obligations. Applicants must pro- vide any additional information deemed necessary by the Commission.
§ 3.25 Number of copies.
One original and one copy of FCC Form 44, ‘‘Application For Certifi- cation As An Accounting Authority’’ will be required. Only applications mailed to the Commission on official, Commission approved application forms will be considered. Applications should be mailed at least 90 days prior to planned commencement of settle- ment activities to allow time for the Commission to review the application and to allow for the informal public comment period.
§ 3.26 Where application is to be mailed.
All applications shall be mailed to the Accounting Authority Certification Officer in Washington, D.C. The des- ignated address will be provided on the FCC Form 44, ‘‘Application for Certifi- cation As An Accounting Authority’’.
§ 3.27 Amended application.
Changes in circumstances that cause information previously supplied to the FCC to be incorrect or incomplete and that could affect the approval process, require the submission of an amended application. The amended application should be mailed to the Commission immediately following such change. See also §§ 3.24 and 3.51.
§ 3.28 Denial of privilege.
(a) The Commission, in its sole dis- cretion, may refuse to grant an appli- cation to become an accounting au- thority for any of the following rea- sons:
(1) Failure to provide evidence of ac- ceptable financial responsibility;
(2) If the applicant, in the opinion of the FCC reviewing official, does not possess the qualifications necessary to the proper functioning of an account- ing authority;
(3) Application is not personally signed by the proper official(s);
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(4) Applicant does not provide evi- dence that accounting operations will take place in the United States or its territories and the applicant does not already possess an AAIC issued by an- other administration;
(5) Application is incomplete, the ap- plicant fails to provide additional in- formation requested by the Commis- sion or the applicant indicates that it cannot meet a particular provision; or
(6) When the Commission determines that the grant of an authorization is contrary to the public interest.
(b) These rules provide sufficient latitude to address defects in applica- tions. Entities seeking review should follow procedures set forth in § 1.106 or § 1.115 of this chapter.
§ 3.29 Notifications.
(a) The Commission will publish the name of an applicant in a Public Notice before granting certification and will invite informal public comment on the qualifications of the applicant from any interested parties. Comments re- ceived will be taken into consideration by the Commission in making its de- termination as to whether to approve an applicant as an accounting author- ity. Thirty days will be allowed for submission of comments.
(b) The Commission will notify each applicant in writing as to whether the applicant has been approved as an ac- counting authority. If the application is not approved, the Commission will provide a brief statement of the grounds for denial.
(c) The names and addresses of all newly certified accounting authorities will be published in a Public Notice issued by the Commission. Addition- ally, the Commission will notify the ITU within 30 days of any changes to its approved list of accounting authori- ties.
SETTLEMENT OPERATIONS
§ 3.40 Operational requirements.
All accounting authorities must con- duct their operations in conformance with the provisions contained in this section and with relevant rules and guidance issued from time to time by the Commission.
§ 3.41 Amount of time allowed before initial settlements.
An accounting authority must begin settling accounts no later than six months from the date of certification. Failure to commence settlement oper- ations is cause for suspension or can- cellation of an accounting authority certification.
§ 3.42 Location of processing facility. Settlement of maritime mobile and
maritime mobile-satellite service ac- counts must be performed within the United States by all accounting au- thorities possessing the ‘‘US’’ prefix. Other accounting authorities approved by the Commission may settle ac- counts either in the U.S. or elsewhere. See also §§ 3.11 and 3.21(b).
§ 3.43 Applicable rules and regula- tions.
Accounting authority operations must be conducted in accordance with applicable FCC rules and regulations, the International Telecommunication Regulations (ITR), and other inter- national rules, regulations, agree- ments, and, where appropriate, ITU-T Recommendations. In particular, the following must be adhered to or taken into account in the case of ITU-T.
(a) The latest basic treaty instru- ment(s) of the International Tele- communication Union (ITU);
(b) Binding agreements contained in the Final Acts of World Administrative Radio Conferences and/or World Inter- national Telecommunication Con- ferences;
(c) ITU Radio Regulations; (d) ITU International Telecommuni-
cation Regulations (ITR); (e) ITU-T Recommendations (particu-
larly D.90 and D.195); and (f) FCC Rules and Regulations (47
CFR part 3).
§ 3.44 Time to achieve settlements. All maritime telecommunications ac-
counts should be timely paid in accord- ance with applicable ITU Regulations, Article 66 and International Tele- communication Regulations (Mel- bourne, 1988). Accounting authorities are deemed to be responsible for remit- ting, in a timely manner, all valid
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amounts due to foreign administra- tions or their agents.
§ 3.45 Amount of charges.
Accounting Authorities may charge any reasonable fee for their settlement services. Settlements themselves, how- ever, must adhere to the standards set forth in these rules and must be in ac- cordance with the International Tele- communication Regulations (ITR) tak- ing into account the applicable ITU-T Recommendations and other guidance issued by the Commission.
§ 3.46 Use of gold francs.
An accounting authority must accept accounts presented to it from foreign administrations in gold francs. These gold francs must be converted on the date of receipt of the bill to the appli- cable Special Drawing Right (SDR) rate (as published by the International Monetary Fund) on that date utilizing the linking coefficient of 3.061 gold francs = 1 SDR. An equivalent amount in U.S. dollars must be paid to the for- eign administration. Upon written con- currence by the FCC, an accounting au- thority may make separate agree- ments, in writing, with foreign admin- istrations or their agents for alter- native settlement methods, in accord- ance with ITU-T Recommendation D.195.
§ 3.47 Use of SDRs.
An accounting authority must accept accounts presented to it from foreign administrations in Special Drawing Rights (SDRs). These SDRs must be converted to dollars on the date of re- ceipt by the accounting authority and an equivalent amount in US dollars must be paid to the foreign administra- tion. The conversion rate will be the applicable rate published by the Inter- national Monetary Fund (IMF) for the date of receipt of the account from the foreign administration. Upon written concurrence by the FCC, any account- ing authority may make separate agreements, in writing, with foreign administrations or their agents for al- ternative settlement methods, pro- vided account is taken of ITU-T Rec- ommendation D.195.
§ 3.48 Cooperation with the Commis- sion.
Accounting authorities must cooper- ate fully with the FCC in all respects concerning international maritime set- tlements issues, including the resolu- tion of questions of fact or other issues arising as a result of settlement oper- ations.
§ 3.49 Agreement to be audited. Accounting authorities accept their
certifications on condition that they are subject to audit of their settlement activities by the Commission or its representative. Additionally, the Com- mission reserves the right to verify any statement(s) made or any materials submitted to the Commission under these rules. Verification may involve discussions with ship owners or others as well as the requirement to submit additional information to the Commis- sion. Failure to respond satisfactorily to any audit findings is grounds for for- feiture or suspension or cancellation of authority to act as an accounting au- thority for U.S. vessels.
§ 3.50 Retention of settlement records. Accounting authorities must main-
tain, for the purpose of compliance with these rules, all settlement records for a period of at least seven years fol- lowing settlement of an account with a foreign administration or agent.
§ 3.51 Cessation of operations. The FCC must be notified imme-
diately should an accounting authority plan to relinquish its certification or cease to perform settlements as au- thorized. Additionally, the Commission must be advised in advance of any pro- posed transfer of control of an account- ing authority’s firm or organization, by any means, to another entity.
(a) When an accounting authority is transferred, merged or sold, the new entity must apply for certification in its own right if it is interested in be- coming an accounting authority. Pro- vided the new applicant is eligible and completes the application process sat- isfactorily, the AAIC will be trans- ferred to the new applicant. In the case of a merger of two accounting authori- ties, the merged entity must decide which AAIC to retain.
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(b) Section 3.21(a) will be waived for these applicants.
(c) The applicant must comply with application process including public comment.
(d) The applicant must certify ac- ceptance of all accounts and must fur- nish a list of the accounts to the Com- mission at the time of application.
§ 3.52 Complaint/inquiry resolution procedures.
(a) Accounting authorities must maintain procedures for resolving com- plaints and/or inquiries from its con- tractual customers (vessels for which it performs settlements), the FCC, the ITU, and foreign administrations or their agents. These procedures must be available to the Commission upon re- quest.
(b) If a foreign administration re- quests assistance in collection of ac- counts from ships licensed by the FCC, the appropriate accounting authority will provide all information requested by the Commission in a timely manner to enable the Commission to determine the cause of the complaint and to re- solve the issue. If accounts are in dis- pute, the Commission will determine the amount due the foreign administra- tion, accounting authority or ROA, and may direct the accounting authority to pay the accounts to the foreign admin- istration. If the accounting authority does not pay the disputed accounts within a reasonable timeframe, the Commission may take action to levy a forfeiture, cancel the AAIC privilege and/or to revoke any operating author- ity or licenses held by that accounting authority. (See also § 3.72).
§ 3.53 FCC notification of refusal to provide telecommunications service to U.S. registered vessel(s).
An accounting authority must in- form the FCC immediately should it receive notice from any source that a foreign administration or facility is re- fusing or plans to refuse legitimate public correspondence to or from any U.S. registered vessel.
§ 3.54 Notification of change in ad- dress.
The Commission must be notified in writing within 15 days of any change in
address of an accounting authority. Such written notification should be sent to the address shown in § 3.61.
REPORTING REQUIREMENTS
§ 3.60 Reports.
(a) Initial Inventory of Vessels. Within 60 days after receiving final approval from the FCC to be an accounting au- thority, each certified accounting au- thority must provide to the FCC an ini- tial list of vessels for which it is per- forming settlements. This list should contain only U.S. registered vessels. Such list shall be typewritten or com- puter generated, be annotated to indi- cate it is the initial inventory and be in the general format of the following and provide the information shown:
Vessel Name Call Sign
(b) Semi-Annual Additions/Modifica- tions/Deletions to Vessel Inventory. Be- ginning with the period ending on the last day of March or September fol- lowing submission of an accounting authority’s Initial Inventory of Vessels (See paragraph (a) of this section.) and each semi-annual period thereafter, each accounting authority is required to submit to the FCC a report on addi- tions, modifications or deletions to its list of vessels for which it is per- forming or intending to perform settle- ments, whether or not settlements ac- tually have taken place. The list should contain only U.S. registered vessels. The report shall be typewritten or computer generated and be in the following general format:
ADDITIONS TO CURRENT VESSEL INVENTORY
Vessel Name Call Sign Effective Date
MODIFICATIONS TO CURRENT VESSEL INVENTORY
Previous Vessel Name
Previous Call Sign
New Ves- sel Name
New Call Sign
Effective Date
DELETIONS TO CURRENT VESSEL INVENTORY
Vessel Name Call Sign Effective Date
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The preceding report must be received by the Commission no later than 15 days following the end of the period (March or September) for which the re- port pertains. Modifications refer to changes to call sign or ship name of vessels for which the accounting au- thority settles accounts and for which fbasic information has previously been provided to the Commission. Reports are to be submitted even if there have been no additions, modifications or de- letions to vessel inventories since the previous report. If there are no changes to an inventory, this should be indi- cated on the report.
(c) End of Year Inventory. By Feb- ruary 1st of each year, each accounting authority must submit an end-of-year inventory report listing vessels for which the accounting authority per- formed settlements as of the previous December 31st. The list should contain only U.S. registered vessels. The report must be typewritten or computer gen- erated and prepared in the same gen- eral format as that shown in paragraph (a) of this section except it should be annotated to indicate it is the End of Year inventory.
(d) Annual Statistical Report of Settle- ment Operations. By February 1st of each year, each accounting authority settling accounts for U.S. registered vessels must submit to the FCC an An- nual Statistical Report, FCC Form 45, which details the number and dollar amount of settlements, by foreign ad- ministration, during the preceding twelve months. Information contained in this report provides statistical data that will enable the Commission to monitor operations to ensure adher- ence to these rules and to appropriate international settlement procedures. FCC Form 45 can be obtained by writ- ing to the address in 3.61 of these rules.
§ 3.61 Reporting address.
All reports must be received at the following address no later than the re- quired reporting date:
Accounting Authority Certification Officer, Financial Operations Center, Federal Com- munications Commission, 445 12th Street, SW., Washington, D.C. 20554
[61 FR 20165, May 6, 1996, as amended at 65 FR 58466, Sept. 29, 2000]
§ 3.62 Request for confidentiality. Applicants should comply with § 0.459
of this chapter when requesting con- fidentiality and cannot assume that it will be offered automatically.
ENFORCEMENT
§ 3.70 Investigations. The Commission may investigate any
complaints made against accounting authorities to ensure compliance with the Commission’s rules and with appli- cable ITU Regulations and other inter- national maritime accounting proce- dures.
§ 3.71 Warnings. The Commission may issue written
warnings or forfeitures to accounting authorities which are found not to be operating in accordance with estab- lished rules and regulations. Warnings will generally be issued for violations which do not seriously or immediately affect settlement functions or inter- national relations. Continued or unre- solved violations may lead to further enforcement action by the Commis- sion, including any or all legally avail- able sanctions, including but not lim- ited to, forfeitures (Communications Act of 1934, Sec. 503), suspension or cancellation of the accounting author- ity certification.
§ 3.72 Grounds for further enforce- ment action.
(a) The Commission may take further enforcement action, including for- feiture, suspension or cancellation of an accounting authority certification, if it is determined that the public in- terest so requires. Reasons for which such action may be taken include, inter alia:
(1) Failure to initiate settlements within six months of certification or failure to perform settlements during any subsequent six month period;
(2) Illegal activity or fraud; (3) Non-payment or late payment to a
foreign administration or agent; (4) Failure to follow ITR require-
ments and procedures; (5) Failure to take into account ITU-
T Recommendations; (6) Failure to follow FCC rules and
regulations;
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(7) Bankruptcy; or (8) Providing false or incomplete in-
formation to the Commission or failure to comply with or respond to requests for information.
(b) Prior to taking any of the en- forcement actions in paragraph (a) of this section, the Commission will give notice of its intent to take the speci- fied action and the grounds therefor, and afford a 30-day period for a re- sponse in writing; provided that, where the public interest so requires, the Commission may temporarily suspend a certification pending completion of these procedures. Responses must be forwarded to the Accounting Authority Certification Officer. See § 3.61.
§ 3.73 Waiting period after cancella- tion.
An accounting authority whose cer- tification has been cancelled must wait a minimum of three years before re- applying to be an accounting author- ity.
§ 3.74 Ship stations affected by suspen- sion, cancellation or relinquish- ment.
(a) Whenever the accounting author- ity privilege has been suspended, can- celled or relinquished, the accounting authority is responsible for imme- diately notifying all U.S. ship licensees for which it was performing settle- ments of the circumstances and in- forming them of the requirement con- tained in paragraph (b) of this section.
(b) Those ship stations utilizing an accounting authority’s AAIC for which the subject accounting authority cer- tification has been suspended, can- celled or relinquished, should make contractual arrangements with an- other properly authorized accounting authority to settle its accounts.
(c) The Commission will notify the ITU of all accounting authority sus- pensions, cancellations and relinquishments, and
(d) The Commission will publish a Public Notice detailing all accounting authority suspensions, cancellations and relinquishments.
§ 3.75 Licensee’s failure to make timely payment.
Failure to remit proper and timely payment to the Commission or to an accounting authority may result in one or more of the following actions against the licensee:
(a) Forfeiture or other authorized sanction.
(b) The refusal by foreign countries to accept or refer public correspond- ence communications to or from the vessel or vessels owned, operated or li- censed by the person or entity failing to make payment. This action may be taken at the request of the Commission or independently by the foreign coun- try or coast station involved.
(c) Further action to recover amounts owed utilizing any or all le- gally available debt collection proce- dures.
§ 3.76 Licensee’s liability for payment. The U.S. ship station licensee bears
ultimate responsibility for final pay- ment of its accounts. This responsi- bility cannot be superseded by the con- tractual agreement between the ship station licensee and the accounting au- thority. In the event that an account- ing authority does not remit proper and timely payments on behalf of the ship station licensee:
(a) The ship station licensee will make arrangements for another ac- counting authority to perform future settlements, and
(b) The ship station licensee will set- tle any outstanding accounts due to foreign entities.
(c) The Commission will, upon re- quest, take all possible steps, within the limits of applicable national law, to ensure settlement of the accounts of the ship station licensee. As cir- cumstances warrant, this may include issuing warnings to ship station licens- ees when it becomes apparent that an accounting authority is failing to set- tle accounts. See also §§ 3.70 through 3.74.
PART 4—DISRUPTIONS TO COMMUNICATIONS
GENERAL
Sec.
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4.1 Scope, basis and purpose. 4.2 Availability of reports filed under this
part.
REPORTING REQUIREMENTS FOR DISRUPTIONS TO COMMUNICATIONS
4.3 Communications providers covered by the requirements of this part.
4.5 Definitions of outage, special offices and facilities, and 911 special facilities.
4.7 Definitions of metrics used to determine the general outage-reporting threshold criteria.
4.9 Outage reporting requirements—thresh- old criteria.
4.11 Notification and initial and final com- munications outage reports that must be filed by communications providers.
4.13 Reports by the National Communica- tions System (NCS) and by special offices and facilities, and related responsibil- ities of communications providers.
AUTHORITY: 47 U.S.C. 151, 154(i), 154(j), 154(o), 218, 219, 230, 256, 301, 302(a), 303(f), 303(g), 303(j), 303(r), 403, 621(b)(3), and 621(d), unless otherwise noted.
SOURCE: 69 FR 70338, Dec. 3, 2004, unless otherwise noted.
GENERAL
§ 4.1 Scope, basis and purpose. In this part, the Federal Communica-
tions Commission is setting forth re- quirements pertinent to the reporting of disruptions to communications and to the reliability and security of com- munications infrastructures.
§ 4.2 Availability of reports filed under this part.
Reports filed under this part will be presumed to be confidential. Public ac- cess to reports filed under this part may be sought only pursuant to the procedures set forth in 47 CFR §0.461. Notice of any requests for inspection of outage reports will be provided pursu- ant to 47 CFR 0.461(d)(3).
REPORTING REQUIREMENTS FOR DISRUPTIONS TO COMMUNICATIONS
§ 4.3 Communications providers cov- ered by the requirements of this part.
(a) Cable communications providers are cable service providers that also pro- vide circuit-switched telephony. Also included are affiliated and non-affili- ated entities that maintain or provide communications networks or services
used by the provider in offering teleph- ony.
(b) Communications provider is an enti- ty that provides for a fee to one or more unaffiliated entities, by radio, wire, cable, satellite, and/or lightguide: two-way voice and/or data communica- tions, paging service, and/or SS7 com- munications.
(c) IXC or LEC tandem facilities refer to tandem switches (or their equiva- lents) and interoffice facilities used in the provision of interexchange or local exchange communications.
(d) Satellite communications providers use space stations as a means of pro- viding the public with communica- tions, such as telephony and paging. Also included are affiliated and non-af- filiated entities that maintain or pro- vide communications networks or serv- ices used by the provider in offering such communications. ‘‘Satellite oper- ators’’ refer to entities that operate space stations but do not necessarily provide communications services di- rectly to end users.
(e) Signaling System 7 (SS7) is a sig- naling system used to control tele- communications networks. It is fre- quently used to ‘‘set up,’’ process, con- trol, and terminate circuit-switched telecommunications, including but not limited to domestic and international telephone calls (irrespective of whether the call is wholly or in part wireless, wireline, local, long distance, or is car- ried over cable or satellite infrastruc- ture), SMS text messaging services, 8XX number type services, local num- ber portability, VoIP signaling gate- way services, 555 number type services, and most paging services. For purposes of this rule part, SS7 refers to both the SS7 protocol and the packet networks through which signaling information is transported and switched or routed. It includes future modifications to the existing SS7 architecture that will pro- vide the functional equivalency of the SS7 services and network elements that exist as of August 4, 2004. SS7 communications providers are subject to the provisions of this part 4 regard- less of whether or not they provide service directly to end users. Also sub- ject to part 4 of the Commission’s rules
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are affiliated and non-affiliated enti- ties that maintain or provide commu- nications networks or services used by the SS7 provider in offering SS7 com- munications.
(f) Wireless service providers include Commercial Mobile Radio Service com- munications providers that use cellular architecture and CMRS paging pro- viders. In particular, they include Cel- lular Radio Telephone Service (part 22 of the Commission’s Rules) providers; Personal Communications Service (PCS) (part 24) providers; those Special Mobile Radio Service (part 90) pro- viders that meet the definition of ‘‘covered CMRS’’ providers pursuant to §§ 20.18(a), 52.21, and 52.31 of the Com- mission’s rules, those private paging (part 90) providers that are treated as CMRS providers (see § 20.9 of this chap- ter); and narrowband PCS providers (part 24) of this chapter. Also included are affiliated and non-affiliated enti- ties that maintain or provide commu- nications networks or services used by the provider in offering such commu- nications.
(g) Wireline communications providers offer terrestrial communications through direct connectivity, predomi- nantly by wire, coaxial cable, or opti- cal fiber, between the serving central office (as defined in the appendix to part 36 of this chapter) and end user lo- cation(s). Also included are affiliated and non-affiliated entities that main- tain or provide communications net- works or services used by the provider in offering such communications.
(h) Exclusion of equipment manufactur- ers or vendors. Excluded from the re- quirements of this part 4 are those equipment manufacturers or vendors that do not maintain or provide com- munications networks or services used by communications providers in offer- ing communications.
§ 4.5 Definitions of outage, special of- fices and facilities, and 911 special facilities.
(a) Outage is defined as a significant degradation in the ability of an end user to establish and maintain a chan- nel of communications as a result of failure or degradation in the perform- ance of a communications provider’s network.
(b) Special offices and facilities are de- fined as major military installations, key government facilities, nuclear power plants, and those airports that are listed as current primary (PR), commercial service (CM), and reliever (RL) airports in the FAA’s National Plan of Integrated Airports Systems (NPIAS) (as issued at least one cal- endar year prior to the outage). The member agencies of the National Com- munications System (NCS) will deter- mine which of their locations are ‘‘major military installations’’ and ‘‘key government facilities.’’ 911 spe- cial facilities are addressed separately in paragraph (e) of this section.
(c) All outages that potentially affect communications for at least 30 minutes with any airport that qualifies as a ‘‘special office and facility’’ pursuant to the preceding paragraph shall be re- ported in accordance with the provi- sions of §§ 4.11 and 4.13.
(d) A mission-affecting outage is de- fined as an outage that is deemed crit- ical to national security/emergency preparedness (NS/EP) operations of the affected facility by the National Com- munications System member agency operating the affected facility.
(e) An outage that potentially affects a 911 special facility occurs whenever:
(1) There is a loss of communications to PSAP(s) potentially affecting at least 900,000 user-minutes and: The fail- ure is neither at the PSAP(s) nor on the premises of the PSAP(s); no re- route for all end users was available; and the outage lasts 30 minutes or more; or
(2) There is a loss of 911 call proc- essing capabilities in one or more E–911 tandems/selective routers for at least 30 minutes duration; or
(3) One or more end-office or MSC switches or host/remote clusters is iso- lated from 911 service for at least 30 minutes and potentially affects at least 900,000 user-minutes; or
(4) There is a loss of ANI/ALI (associ- ated name and location information) and/or a failure of location determina- tion equipment, including Phase II equipment, for at least 30 minutes and potentially affecting at least 900,000 user-minutes (provided that the ANI/ ALI or location determination equip- ment was then currently deployed and
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in use, and the failure is neither at the PSAP(s) or on the premises of the PSAP(s)).
§ 4.7 Definitions of metrics used to de- termine the general outage-report- ing threshold criteria.
(a) Administrative numbers are defined as the telephone numbers used by com- munications providers to perform in- ternal administrative or operational functions necessary to maintain rea- sonable quality of service standards.
(b) Assigned numbers are defined as the telephone numbers working in the Public Switched Telephone Network under an agreement such as a contract or tariff at the request of specific end users or customers for their use. This excludes numbers that are not yet working but have a service order pend- ing.
(c) Assigned telephone number minutes are defined as the mathematical result of multiplying the duration of an out- age, expressed in minutes, by the sum of the number of assigned numbers (de- fined in paragraph (b) of this section) potentially affected by the outage and the number of administrative numbers (defined in paragraph (a) of this sec- tion) potentially affected by the out- age. ‘‘Assigned telephone number min- utes’’ can alternatively be calculated as the mathematical result of multi- plying the duration of an outage, ex- pressed in minutes, by the number of working telephone numbers potentially affected by the outage, where working telephone numbers are defined as the telephone numbers, including DID numbers, working immediately prior to the outage.
(d) DS3 minutes are defined as the mathematical result of multiplying the duration of an outage, expressed in minutes, by the number of previously operating DS3 circuits that were af- fected by the outage.
(e) User minutes are defined as: (1) Assigned telephone number min-
utes (as defined in paragraph (c) of this section), for telephony and for those paging networks in which each indi- vidual user is assigned a telephone number;
(2) The mathematical result of multi- plying the duration of an outage, ex- pressed in minutes, by the number of
end users potentially affected by the outage, for all other forms of commu- nications.
(f) Working telephone numbers are de- fined to be the sum of all telephone numbers that can originate, or termi- nate telecommunications. This in- cludes, for example, all working tele- phone numbers on the customer’s side of a PBX, or Centrex, or similar ar- rangement.
§ 4.9 Outage reporting requirements— threshold criteria.
(a) Cable. All cable communications providers shall submit electronically a Notification to the Commission within 120 minutes of discovering that they have experienced on any facilities that they own, operate, lease, or otherwise utilize, an outage of at least 30 minutes duration that:
(1) Potentially affects at least 900,000 user minutes of telephony service;
(2) Affects at least 1,350 DS3 minutes; (3) Potentially affects any special of-
fices and facilities (in accordance with paragraphs (a) through (d) of § 4.5); or
(4) Potentially affects a 911 special facility (as defined in paragraph (e) of § 4.5), in which case they also shall no- tify, as soon as possible by telephone or other electronic means, any official who has been designated by the man- agement of the affected 911 facility as the provider’s contact person for com- munications outages at that facility, and they shall convey to that person all available information that may be useful to the management of the af- fected facility in mitigating the effects of the outage on callers to that facil- ity. (DS3 minutes and user minutes are defined in paragraphs (d) and (e) of § 4.7.) Not later than 72 hours after dis- covering the outage, the provider shall submit electronically an Initial Com- munications Outage Report to the Commission. Not later than thirty days after discovering the outage, the provider shall submit electronically a Final Communications Outage Report to the Commission. The Notification and the Initial and Final reports shall comply with all of the requirements of § 4.11.
(b) IXC or LEC tandem facilities. In the case of IXC or LEC tandem facilities, providers must, if technically possible,
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use real-time blocked calls to deter- mine whether criteria for reporting an outage have been reached. Providers must report IXC and LEC tandem out- ages of at least 30 minutes duration in which at least 90,000 calls are blocked or at least 1,350 DS3-minutes are lost. For interoffice facilities which handle traffic in both directions and for which blocked call information is available in one direction only, the total number of blocked calls shall be estimated as twice the number of blocked calls de- termined for the available direction. Providers may use historic carried call load data for the same day(s) of the week and the same time(s) of day as the outage, and for a time interval not older than 90 days preceding the onset of the outage, to estimate blocked calls whenever it is not possible to obtain real-time blocked call counts. When using historic data, providers must re- port incidents where at least 30,000 calls would have been carried during a time interval with the same duration of the outage. (DS3 minutes are defined in paragraph (d) of § 4.7.) In situations where, for whatever reason, real-time and historic carried call load data are unavailable to the provider, even after a detailed investigation, the provider must determine the carried call load based on data obtained in the time in- terval between the onset of the outage and the due date for the final report; this data must cover the same day of the week, the same time of day, and the same duration as the outage. Jus- tification that such data accurately es- timates the traffic that would have been carried at the time of the outage had the outage not occurred must be available on request. If carried call load data cannot be obtained through any of the methods described, for what- ever reason, then the provider shall re- port the outage.
(c) Satellite. (1) All satellite operators shall submit electronically a Notifica- tion to the Commission within 120 min- utes of discovering that they have ex- perienced on any facilities that they own, operate, lease, or otherwise uti- lize, of an outage of at least 30 minutes duration that manifests itself as a fail- ure of any of the following key system elements: One or more satellite tran- sponders, satellite beams, inter-sat-
ellite links, or entire satellites. In ad- dition, all Mobile-Satellite Service (‘‘MSS’’) satellite operators shall sub- mit electronically a Notification to the Commission within 120 minutes of dis- covering that they have experienced on any facilities that they own, operate, lease, or otherwise utilize, of an outage of at least 30 minutes duration that manifests itself as a failure of any gateway earth station, except in the case where other earth stations at the gateway location are used to continue gateway operations within 30 minutes of the onset of the failure.
(2) All satellite communications pro- viders shall submit electronically a No- tification to the Commission within 120 minutes of discovering that they have experienced on any facilities that they own, operate, lease, or otherwise uti- lize, an outage of at least 30 minutes duration that manifests itself as:
(i) A loss of complete accessibility to at least one satellite or transponder;
(ii) A loss of a satellite communica- tions link that potentially affects at least 900,000 user-minutes (as defined in § 4.7(d)) of either telephony service or paging service;
(iii) Potentially affecting any special offices and facilities (in accordance with paragraphs (a) through (d) of § 4.5) other than airports; or
(iv) Potentially affecting a 911 spe- cial facility (as defined in (e) of § 4.5), in which case they also shall notify, as soon as possible by telephone or other electronic means, any official who has been designated by the management of the affected 911 facility as the pro- vider’s contact person for communica- tions outages at that facility, and they shall convey to that person all avail- able information that may be useful to the management of the affected facil- ity in mitigating the effects of the out- age on callers to that facility.
(3) Not later than 72 hours after dis- covering the outage, the operator and/ or provider shall submit electronically an Initial Communications Outage Re- port to the Commission. Not later than thirty days after discovering the out- age, the operator and/or provider shall submit electronically a Final Commu- nications Outage Report to the Com- mission.
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(4) The Notification and the Initial and Final reports shall comply with all of the requirements of § 4.11.
(5) Excluded from these outage-re- porting requirements are those sat- ellites, satellite beams, inter-satellite links, MSS gateway earth stations, satellite networks, and transponders that are used exclusively for intra-cor- porate or intra-organizational private telecommunications networks, for the one-way distribution of video or audio programming, or for other non-covered services (that is, when they are never used to carry common carrier voice or paging communications).
(d) Signaling system 7. Signaling Sys- tem 7 (SS7) providers shall submit elec- tronically a Notification to the Com- mission within 120 minutes of discov- ering that they have experienced on any facilities that they own, operate, lease, or otherwise utilize an outage of at least 30 minutes duration that is manifested as the generation of at least 90,000 blocked calls based on real- time traffic data or at least 30,000 lost calls based on historic carried loads. In cases where a third-party SS7 provider cannot directly estimate the number of blocked calls, the third-party SS7 pro- vider shall use 500,000 real-time lost MTP messages as a surrogate for 90,000 real-time blocked calls, or 167,000 lost MTP messages on a historical basis as a surrogate for 30,000 lost calls based on historic carried loads. Historic car- ried load data or the number of lost MTP messages on a historical basis shall be for the same day(s) of the week and the same time(s) of day as the out- age, and for a time interval not older than 90 days preceding the onset of the outage. In situations where, for what- ever reason, real-time and historic data are unavailable to the provider, even after a detailed investigation, the pro- vider must determine the carried load based on data obtained in the time in- terval between the onset of the outage and the due date for the final report; this data must cover the same day of the week and the same time of day as the outage. If this cannot be done, for whatever reason, the outage must be reported. Justification that such data accurately estimates the traffic that would have been carried at the time of the outage had the outage not occurred
must be available on request. Finally, whenever a pair of STPs serving any communications provider becomes iso- lated from a pair of interconnected STPs that serve any other communica- tions provider, for at least 30 minutes duration, each of these communica- tions providers shall submit electroni- cally a Notification to the Commission within 120 minutes of discovering such outage. Not later than 72 hours after discovering the outage, the provider(s) shall submit electronically an Initial Communications Outage Report to the Commission. Not later than thirty days after discovering the outage, the provider(s) shall submit electronically a Final Communications Outage Re- port to the Commission. The Notifica- tion and the Initial and Final reports shall comply with all of the require- ments of § 4.11.
(e) Wireless. All wireless service pro- viders shall submit electronically a No- tification to the Commission within 120 minutes of discovering that they have experienced on any facilities that they own, operate, lease, or otherwise uti- lize, an outage of at least 30 minutes duration:
(1) Of a Mobile Switching Center (MSC);
(2) That potentially affects at least 900,000 user minutes of either telephony and associated data (2nd generation or lower) service or paging service;
(3) That affects at least 1,350 DS3 minutes;
(4) That potentially affects any spe- cial offices and facilities (in accordance with paragraphs (a) through (d) of § 4.5) other than airports through direct service facility agreements; or
(5) That potentially affects a 911 spe- cial facility (as defined in (e) of § 4.5), in which case they also shall notify, as soon as possible by telephone or other electronic means, any official who has been designated by the management of the affected 911 facility as the pro- vider’s contact person for communica- tions outages at that facility, and they shall convey to that person all avail- able information that may be useful to the management of the affected facil- ity in mitigating the effects of the out- age on callers to that facility. (DS3 minutes and user minutes are defined
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in paragraphs (d) and (e) of § 4.7.) In de- termining the number of users poten- tially affected by a failure of a switch, a concentration ratio of 8 shall be ap- plied. For providers of paging service solely, however, the following outage criteria shall apply instead of those in paragraphs (b)(1) through (b)(3) of this section. Notification must be sub- mitted if the failure of a switch for at least 30 minutes duration potentially affects at least 900,000 user-minutes. Not later than 72 hours after discov- ering the outage, the provider shall submit electronically an Initial Com- munications Outage Report to the Commission. Not later than thirty days after discovering the outage, the provider shall submit electronically a Final Communications Outage Report to the Commission. The Notification and the Initial and Final reports shall comply with all of the requirements of § 4.11.
(f) Wireline. All wireline communica- tions providers shall submit electroni- cally a Notification to the Commission within 120 minutes of discovering that they have experienced on any facilities that they own, operate, lease, or other- wise utilize, an outage of at least 30 minutes duration that:
(1) Potentially affects at least 900,000 user minutes of either telephony or paging;
(2) Affects at least 1,350 DS3 minutes; (3) Potentially affects any special of-
fices and facilities (in accordance with paragraphs (a) through (d) of § 4.5); or
(4) Potentially affects a 911 special facility (as defined in paragraph (e) of § 4.5), in which case they also shall no- tify, as soon as possible by telephone or other electronic means, any official who has been designated by the man- agement of the affected 911 facility as the provider’s contact person for com- munications outages at that facility, and the provider shall convey to that person all available information that may be useful to the management of the affected facility in mitigating the effects of the outage on efforts to com- municate with that facility. (DS3 min- utes and user minutes are defined in paragraphs (d) and (e) of § 4.7.) Not later than 72 hours after discovering the outage, the provider shall submit electronically an Initial Communica-
tions Outage Report to the Commis- sion. Not later than thirty days after discovering the outage, the provider shall submit electronically a Final Communications Outage Report to the Commission. The Notification and the Initial and Final reports shall comply with all of the requirements of § 4.11.
§ 4.11 Notification and initial and final communications outage reports that must be filed by communica- tions providers.
Notification and Initial and Final Communications Outage Reports shall be submitted by a person authorized by the communications provider to sub- mit such reports to the Commission. The person submitting the Final report to the Commission shall also be au- thorized by the provider to legally bind the provider to the truth, complete- ness, and accuracy of the information contained in the report. Each Final re- port shall be attested by the person submitting the report that he/she has read the report prior to submitting it and on oath deposes and states that the information contained therein is true, correct, and accurate to the best of his/ her knowledge and belief and that the communications provider on oath de- poses and states that this information is true, complete, and accurate. The Notification shall provide: The name of the reporting entity; the date and time of onset of the outage; a brief descrip- tion of the problem; service effects; the geographic area affected by the outage; and a contact name and contact tele- phone number by which the Commis- sion’s technical staff may contact the reporting entity. The Initial and Final Reports shall contain the information required in this part 4. The Initial re- port shall contain all pertinent infor- mation then available on the outage and shall be submitted in good faith. The Final report shall contain all per- tinent information on the outage, in- cluding any information that was not contained in, or that has changed from that provided in, the Initial report. The Notification and the Initial and Final Communications Outage Reports are to be submitted electronically to the Commission. ‘‘Submitted electroni- cally’’ refers to submission of the infor- mation using Commission-approved
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Web-based outage report templates. If there are technical impediments to using the Web-based system during the Notification stage, then a written Noti- fication to the Commission by e-mail, FAX, or courier may be used; such No- tification shall contain the informa- tion required. All hand-delivered Noti- fications and Initial and Final Commu- nications Outage Reports, shall be ad- dressed to the Federal Communica- tions Commission, The Office of Sec- retary, Attention: Chief, Public Safety & Homeland Security Bureau. Elec- tronic filing shall be effectuated in ac- cordance with procedures that are specified by the Commission by public notice.
[71 FR 69037, Nov. 29, 2006]
§ 4.13 Reports by the National Commu- nications System (NCS) and by spe- cial offices and facilities, and re- lated responsibilities of communica- tions providers.
Reports by the National Communica- tions System (NCS) and by special of- fices and facilities (other than 911 spe- cial offices and facilities) of outages potentially affecting them (see para- graphs (a) through (d) of § 4.5) shall be made according to the following proce- dures:
(a) When there is a mission-affecting outage, the affected facility will report the outage to the NCS and call the communications provider in order to determine if the outage is expected to last 30 minutes. If the outage is not ex- pected to, and does not, last 30 min- utes, it will not be reported to the Commission. If it is expected to last 30 minutes or does last 30 minutes, the NCS, on the advice of the affected spe- cial facility and in the exercise of its judgment, will either:
(1) Forward a report of the outage to the Commission, supplying the infor- mation for initial reports affecting spe- cial facilities specified in this section of the Commission’s Rules;
(2) Forward a report of the outage to the Commission, designating the out- age as one affecting ‘‘special facili- ties,’’ but reporting it at a level of de- tail that precludes identification of the particular facility involved; or
(3) Hold the report at the NCS due to the critical nature of the application.
(b) If there is to be a report to the Commission, an electronic, written, or oral report will be given by the NCS within 120 minutes of an outage to the Commission’s Duty Officer, on duty 24 hours a day in the FCC’s Communica- tions and Crisis Management Center in Washington, DC. Notification may be served at such other facility designated by the Commission by public notice or (at the time of the emergency) by pub- lic announcement only if there is a telephone outage or similar emergency in Washington, DC. If the report is oral, it is to be followed by an elec- tronic or written report not later than the next business day. Those providers whose service failures are in any way responsible for the outage must consult and cooperate in good faith with NCS upon its request for information.
(c) Additionally, if there is to be a re- port to the Commission, the commu- nications provider will provide a writ- ten report to the NCS, supplying the information for final reports for special facilities required by this section of the Commission’s rules. The commu- nications provider’s final report to the NCS will be filed within 28 days after the outage, allowing the NCS to then file the report with the Commission within 30 days after the outage. If the outage is reportable as described in paragraph (b) of this section, and the NCS determines that the final report can be presented to the Commission without jeopardizing matters of na- tional security or emergency prepared- ness, the NCS will forward the report as provided in either paragraphs (a)(1) or (a)(2) of this section to the Commis- sion.
PART 5—EXPERIMENTAL RADIO SERVICE (OTHER THAN BROAD- CAST)
Subpart A—General
Sec. 5.1 Basis and purpose. 5.3 Scope of service. 5.5 Definition of terms.
Subpart B—Applications and Licenses
5.51 Eligibility of license. 5.53 Station authorization required. 5.55 Filing of applications. 5.57 Who may sign applications.
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5.59 Forms to be used. 5.61 Procedure for obtaining a special tem-
porary authorization. 5.63 Supplementary statements required. 5.65 Defective applications. 5.67 Amendment or dismissal of applica-
tions. 5.69 Partial grants. 5.71 License period. 5.73 Experimental report. 5.75 Number of licenses required. 5.77 Change in equipment and emission
characteristics. 5.79 Transfer and assignment of station au-
thorization. 5.81 Discontinuance of station operation. 5.83 Cancellation provisions. 5.85 Frequencies and policy governing their
assignment. 5.87 Frequencies for field strength surveys
or equipment demonstrations. 5.89 School and student authorizations. 5.91 Notification of the National Radio As-
tronomy Observatory. 5.93 Limited market studies. 5.95 Informal objections.
Subpart C—Technical Standards and Operating Requirements
5.101 Frequency stability. 5.103 Types of emission. 5.105 Authorized bandwidth. 5.107 Transmitter control requirements. 5.109 Antenna and tower requirements. 5.111 General limitations on use. 5.113 Adherence to program of research. 5.115 Station identification. 5.117 Suspension of transmission required. 5.119 Posting station licenses. 5.121 Retention of station records. 5.123 Inspection of stations. 5.125 Authorized points of communication.
AUTHORITY: Secs. 4, 302, 303, 48 Stat. 1066, 1082, as amended; 47 U.S.C. 154, 302, 303. Inter- pret or apply sec. 301, 48 Stat. 1081, as amend- ed; 47 U.S.C. 301.
SOURCE: 63 FR 64202, Nov. 19, 1998, unless otherwise noted.
Subpart A—General § 5.1 Basis and purpose.
(a) The rules following in this part are promulgated pursuant to the provi- sions of Title III of the Communica- tions Act of 1934, as amended, which vests authority in the Federal Commu- nications Commission to regulate radio transmissions and to issue licenses for radio stations.
(b) The purpose of this part is to pre- scribe the manner in which parts of the radio frequency spectrum may be made
available for experimentation as de- fined and provided for in this part.
§ 5.3 Scope of service. Stations operating in the Experi-
mental Radio Service will be permitted to conduct the following type of oper- ations:
(a) Experimentations in scientific or technical radio research.
(b) Experimentations under contrac- tual agreement with the United States Government, or for export purposes.
(c) Communications essential to a re- search project.
(d) Technical demonstrations of equipment or techniques.
(e) Field strength surveys by persons not eligible for authorization in any other service.
(f) Demonstration of equipment to prospective purchasers by persons en- gaged in the business of selling radio equipment.
(g) Testing of equipment in connec- tion with production or regulatory ap- proval of such equipment.
(h) Development of radio technique, equipment or engineering data not re- lated to an existing or proposed serv- ice, including field or factory testing or calibration of equipment.
(i) Development of radio technique, equipment, operational data or engi- neering data related to an existing or proposed radio service.
(j) Limited market studies. (k) Types of experiments that are not
specifically covered under paragraphs (a) through (j) of this section will be considered upon demonstration of need for such additional types of experi- ments.
[63 FR 64202, Nov. 19, 1998; 64 FR 43094, Aug. 9, 1999]
§ 5.5 Definition of terms. For the purpose of this part, the fol-
lowing definitions shall be applicable. For other definitions, refer to part 2 of this chapter (Frequency Allocations and Radio Treaty Matters; General Rules and Regulations).
Authorized frequency. The frequency assigned to a station by the Commis- sion and specified in the instrument of authorization.
Authorized power. The power assigned to a radio station by the Commission
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and specified in the instrument of au- thorization.
Experimental radio service. A service in which radio waves are employed for purposes of experimentation in the radio art or for purposes of providing essential communications for research projects that could not be conducted without the benefit of such commu- nications.
Experimental station. A station uti- lizing radio waves in experiments with a view to the development of science or technique.
Fixed service. A radiocommunication service between specified fixed points.
Fixed station. A station in the fixed service.
Harmful interference. Any radiation or induction that endangers the func- tioning of a radionavigation or safety service, or obstructs or repeatedly interrupts a radio service operating in accordance with the Table of Fre- quency Allocations and other provi- sions of part 2 of this chapter.
Landing area. As defined by 49 U.S.C. 40102(a)(28) of the Civil Aeronautics Act of 1938, as amended, any locality, ei- ther of land or water, including air- dromes and intermediate landing fields, that is used, or intended to be used, for the landing and take-off of aircraft, whether or not facilities are provided for the shelter, servicing, or repair of aircraft, or for receiving or discharging passengers or cargo.
Land station. A station in the mobile service not intended for operation while in motion.
Mobile service. A radiocommunication service between mobile and land sta- tions, or between mobile stations.
Mobile station. A station in a mobile service intended to be used while in motion or during halts at unspecified points.
Person. An individual, partnership, association, joint stock company, trust, or corporation.
Public correspondence. Any tele- communication that offices and sta- tions, by reason of their being at the disposal of the public, must accept for transmission.
Radio service. An administrative sub- division of the field of radiocommunication. In an engineering sense, the subdivisions may be made
according to the method of operation, as, for example, mobile service and fixed service. In a regulatory sense, the subdivisions may be descriptive of par- ticular groups of licensees, as, for ex- ample, the groups of persons licensed under this part.
Station authorization. Any license or special temporary authorization issued by the Commission.
Subpart B—Applications and Licenses
§ 5.51 Eligibility of license. (a) Authorizations for stations in the
Experimental Radio Service will be issued only to persons qualified to con- duct experimentation utilizing radio waves for scientific or technical oper- ation data directly related to a use of radio not provided by existing rules; or for communications in connection with research projects when existing com- munications facilities are inadequate.
(b) Applicants eligible for authoriza- tions in an established service, and seeking to develop operational data or techniques directed toward the im- provement or extension of that service shall file applications and conduct such projects under the developmental rules of the established service.
(c) A station license shall not be granted to or held by a foreign govern- ment or a representative thereof.
§ 5.53 Station authorization required. (a) No radio transmitter shall be op-
erated in the Experimental Radio Serv- ice except under and in accordance with a proper station authorization granted by the Commission. However, construction of proposed experimental satellite facilities may begin prior to Commission grant of an authorization. Such construction will be entirely at the applicant’s risk and will not entitle the applicant to any assurances that its proposed experiment will be subse- quently approved or regular services subsequently authorized. Additionally, the applicant must notify the Commis- sion’s Office of Engineering and Tech- nology in writing that it plans to begin construction at its own risk.
(b) Persons desiring to install and op- erate radio transmitting equipment under this part should first submit an
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application for a radio station license in accordance with § 5.59 of this part.
(c) If installation and/or operation of the equipment may significantly im- pact the environment, see § 1.1307 of this chapter, an environmental assess- ment as defined in § 1.1311 of this chap- ter must be submitted with the appli- cation.
§ 5.55 Filing of applications.
(a) To assure that necessary informa- tion is supplied in a consistent manner by all persons, standard forms are pre- scribed for use in connection with the majority of applications and reports submitted for Commission consider- ation. Standard numbered forms appli- cable to the Experimental Radio Serv- ice are discussed in § 5.59 and may be accessed electronically at the Office of Engineering and Technology Web site https://gullfoss2.fcc.gov/prod/oet/cf/els/ index.cfm. If no standard form is appli- cable, the informal application proce- dure outlined in § 5.59(f) should be fol- lowed.
(b) Any application for radio station authorization shall be submitted elec- tronically through the Office of Engi- neering and Technology Web site https://gullfoss2.fcc.gov/prod/oet/cf/els/ index.cfm effective January 1, 2004. Any correspondence relating thereto that cannot be submitted electronically shall instead be submitted to the Com- mission’s Office of Engineering and Technology, Washington, DC 20554. (Applications requiring fees as set forth in part 1, subpart G of this chap- ter must be filed in accordance with § 0.401(b) of this chapter.)
(c) Each application for station au- thorization shall be specific and com- plete with regard to station location, proposed equipment, power, antenna height, and operating frequency; and other information required by the ap- plication form and this part.
(d) Applications involving temporary operation: When an experimental pro- gram is expected to last no more than six months, its operation shall be con- sidered temporary and the special tem- porary authorization procedure out- lined in § 5.61 of this part shall apply.
[63 FR 64202, Nov. 19, 1998, as amended at 68 FR 59336, Oct. 15, 2003]
§ 5.57 Who may sign applications. (a) Except as provided in paragraph
(b) of this section, applications, amend- ments thereto, and related statements of fact required by the Commission shall be personally signed by the appli- cant, if the applicant is an individual; by one of the partners, if the applicant is a partnership; by an officer or duly authorized employee, if the applicant is a corporation; or by a member who is an officer, if the applicant is an unin- corporated association. Applications, amendments, and related statements of fact filed on behalf of eligible govern- ment entities, such as states and terri- tories of the United States and polit- ical subdivisions thereof, the District of Columbia, and units of local govern- ment, including incorporated munici- palities, shall be signed by such duly elected or appointed officials as may be competent to do so under the laws of the applicable jurisdiction.
(b) Applications, amendments there- to, and related statements of fact re- quired by the Commission may be signed by the applicant’s attorney in case of the applicant’s physical dis- ability or of his/her absence from the United States. The attorney shall in that event separately set forth the rea- son why the application is not signed by the applicant. In addition, if any matter is stated on the basis of the at- torney’s belief only (rather than his/ her knowledge), he/she shall separately set forth reasons for believing that such statements are true.
(c) Only the original of applications, amendments, or related statements of fact need be signed; copies may be con- formed.
(d) Applications, amendments, and related statements of fact need not be submitted under oath. Willful false statements made therein, however, are punishable by fine and imprisonment, U.S. Code, title 18, Sec. 1001, and by ap- propriate administrative sanctions, in- cluding revocation of station license pursuant to sec. 312(a)(1) of the Com- munications Act of 1934, as amended.
(e) ‘‘Signed,’’ as used in this section, means an original handwritten signa- ture; however, the Office of Engineer- ing and Technology may allow signa- ture by any symbol executed or adopt- ed by the applicant with the intent
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that such symbol be a signature, in- cluding symbols formed by computer- generated electronic impulses.
§ 5.59 Forms to be used. (a) Application for experimental radio
license. Entities requesting an experi- mental authorization must submit FCC Form 442 (application). A single FCC Form 442 may be used for several radio components of an experimental pro- gram, however, unrelated experimental programs should be filed on separate applications.
(b) Application for modification of ex- perimental license. An application for modification of experimental author- ization shall be submitted on FCC Form 442. A blanket application may be submitted for modification of a group of authorizations of the same class as long as the scope of the modi- fications are specified in the applica- tion. The individual authorizations covered by such an application shall be clearly identified therein. However, ap- plication for modification to change lo- cation of an experimental authoriza- tion shall be filed as a separate appli- cation.
(c) Application for renewal of experi- mental authorization. Application for re- newal of station license shall be sub- mitted on FCC Form 405. A blanket ap- plication may be submitted for renewal of a group of station licenses in the same class in those cases in which the renewal requested is in exact accord- ance with the terms of the existing au- thorizations. The individual stations covered by such applications shall be clearly identified thereon. Unless oth- erwise directed by the Commission, each application for renewal of license shall be filed at least 60 days prior to the expiration date of the license to be renewed.
(d) Application for consent to assign an experimental authorization. Application on FCC Form 702 shall be submitted when the legal right to control the use and operation of a station is to be transferred as a result of a voluntary act (contract or other agreement) or an involuntary act (death or legal dis- ability) of the grantee of a station au- thorization or by involuntary assign- ment of the physical property consti- tuting the station under a court decree
in bankruptcy proceedings, or other court order, or by operation of law in any other manner. Such application must be accompanied by the FCC Form 442 of which only the certification need be signed by the proposed assignee. No other information is required to be sub- mitted on this form.
(e) Application for consent to transfer control of Corporation holding experi- mental authorization. Application for consent to transfer control shall be submitted on FCC Form 703 whenever it is proposed to change the control of a corporation holding a station author- ization.
[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug. 9, 1999]
§ 5.61 Procedure for obtaining a spe- cial temporary authorization.
(a) The Commission may issue a spe- cial temporary authorization under this part in cases in which a need is shown for operation of a station for six months or less, provided such oper- ation is not in conflict with the Com- mission’s rules in this part. In cases in which an applicant sets forth compel- ling reasons why a special temporary authorization must be granted expedi- tiously, preference will be given to processing the application.
(b) Extensions of a special temporary authorization will be granted provided that an application for a regular exper- imental license has been filed at least 15 days prior to the expiration of the li- censee’s temporary authority. When such an application is timely filed, op- erations may continue in accordance with the other terms and conditions of the temporary authority pending dis- position of the application, unless the applicant is notified otherwise by the Commission.
(c) An application for special tem- porary authorization shall be filed electronically through the Office of En- gineering and Technology Web site https://gullfoss2.fcc.gov/prod/oet/cf/els/ index.cfm effective January 1, 2004 and shall contain the following informa- tion:
(1) Name, address, phone number (also e-mail address and facsimile num- ber, if available) of the applicant.
(2) Description of why an STA is needed.
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(3) Description of the operation to be conducted and its purpose.
(4) Time and dates of proposed oper- ation.
(5) Class(es) of station (fixed, mobile, fixed and mobile) and call sign of sta- tion (if applicable).
(6) Description of the location(s) and, if applicable, geographical coordinates of the proposed operation.
(7) Equipment to be used, including name of manufacturer, model and num- ber of units.
(8) Frequency(ies) desired. (9) Maximum effective radiated
power (ERP) or equivalent isotrophically radiated power (EIRP).
(10) Emission designator (see § 2.201 of this chapter) or describe emission (bandwidth, modulation, etc.)
(11) Overall height of antenna struc- ture above the ground (if greater than 6 meters above the ground or an exist- ing structure, see part 17 of this Chap- ter concerning notification to the FAA).
[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug. 9, 1999, as amended at 68 FR 59336, Oct. 15, 2003]
§ 5.63 Supplementary statements re- quired.
(a) Each applicant for an authoriza- tion in the Experimental Radio Service must enclose with the application a narrative statement describing in de- tail the program of research and ex- perimentation proposed, the specific objectives sought to be accomplished; and how the program of experimen- tation has a reasonable promise of con- tribution to the development, exten- sion, or expansion, or utilization of the radio art, or is along lines not already investigated. An applicant may request non-disclosure of proprietary informa- tion submitted under this part. These requests should follow the procedures for submission set forth in § 0.459 of this chapter.
(b) If the authorization is to be used for the purpose of fulfilling the require- ments of a contract with an agency of the United States Government, the ap- plicant shall submit a narrative state- ment describing the project, the name of the contracting agency, and the con- tract number.
(c) If the authorization is to be used for the sole purpose of developing equipment for exportation to be em- ployed by stations under the jurisdic- tion of a foreign government, the appli- cant shall submit a narrative state- ment describing the project, any asso- ciated contract number, and the name of the foreign government concerned.
(d) The provisions of paragraph (a) of this section shall not be applicable to applications for an authorization in the Experimental Radio Service to be used for communications essential to a re- search project in which other means of communications are inadequate or not available. In such cases, applicants shall include as part of the application for an authorization the following:
(1) A description of the nature of the research project being conducted.
(2) A showing that communications facilities are necessary for the research project involved.
(3) A showing that existing commu- nications facilities are inadequate or unavailable.
(e) Except where the satellite system has already been authorized by the FCC, applicants for an experimental authorization involving a satellite sys- tem must submit a description of the design and operational strategies the satellite system will use to mitigate orbital debris, including the following information:
(1) A statement that the space sta- tion operator has assessed and limited the amount of debris released in a planned manner during normal oper- ations, and has assessed and limited the probability of the space station be- coming a source of debris by collisions with small debris or meteoroids that could cause loss of control and prevent post-mission disposal;
(2) A statement that the space sta- tion operator has assessed and limited the probability of accidental explosions during and after completion of mission operations. This statement must in- clude a demonstration that debris gen- eration will not result from the conver- sion of energy sources on board the spacecraft into energy that fragments the spacecraft. Energy sources include chemical, pressure, and kinetic energy. This demonstration should address whether stored energy will be removed
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at the spacecraft’s end of life, by de- pleting residual fuel and leaving all fuel line valves open, venting any pres- surized system, leaving all batteries in a permanent discharge state, and re- moving any remaining source of stored energy, or through other equivalent procedures specifically disclosed in the application;
(3) A statement that the space sta- tion operator has assessed and limited the probability of the space station be- coming a source of debris by collisions with large debris or other operational space stations. Where a space station will be launched into a low-Earth orbit that is identical, or very similar, to an orbit used by other space stations, the statement must include an analysis of the potential risk of collision and a de- scription of what measures the space station operator plans to take to avoid in-orbit collisions. If the space station operator is relying on coordination with another system, the statement must indicate what steps have been taken to contact, and ascertain the likelihood of successful coordination of physical operations with, the other system. The statement must disclose the accuracy—if any—with which or- bital parameters of non-geostationary satellite orbit space stations will be maintained, including apogee, perigee, inclination, and the right ascension of the ascending node(s). In the event that a system is not able to maintain orbital tolerances, i.e., it lacks a pro- pulsion system for orbital mainte- nance, that fact should be included in the debris mitigation disclosure. Such systems must also indicate the antici- pated evolution over time of the orbit of the proposed satellite or satellites. Where a space station requests the as- signment of a geostationary-Earth orbit location, it must assess whether there are any known satellites located at, or reasonably expected to be lo- cated at, the requested orbital loca- tion, or assigned in the vicinity of that location, such that the station keeping volumes of the respective satellites might overlap. If so, the statement must include a statement as to the identities of those parties and the measures that will be taken to prevent collisions;
(4) A statement detailing the post- mission disposal plans for the space station at end of life, including the quantity of fuel—if any—that will be reserved for post-mission disposal ma- neuvers. For geostationary-Earth orbit space stations, the statement must dis- close the altitude selected for a post- mission disposal orbit and the calcula- tions that are used in deriving the dis- posal altitude. The statement must also include a casualty risk assessment if planned post-mission disposal in- volves atmospheric re-entry of the space station. In general, an assess- ment should include an estimate as to whether portions of the spacecraft will survive re-entry and reach the surface of the Earth, as well as an estimate of the resulting probability of human cas- ualty.
[63 FR 64202, Nov. 19, 1998, as amended at 69 FR 54586, Sept. 9, 2004]
§ 5.65 Defective applications.
(a) Applications that are defective with respect to completeness of an- swers to required questions, execution or other matters of a purely formal character may not be received for fil- ing by the Commission, and may be re- turned to the applicant with a brief statement as to the omissions.
(b) If an applicant is requested by the Commission to file any documents or information not included in the pre- scribed application form, a failure to comply with such request will con- stitute a defect in the application.
(c) Applications that are not in ac- cordance with the Commission’s rules, regulations, or other requirements will be considered defective unless accom- panied either by:
(1) a petition to amend any rule, reg- ulation, or requirement with which the application is in conflict; or
(2) a request of the applicant for waiver of, or an exception to, any rule, regulation, or requirement with which the application is in conflict. Such re- quest shall show the nature of the waiver or exception desired and set forth the reasons in support thereof.
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§ 5.67 Amendment or dismissal of ap- plications.
(a) Any application may be amended or dismissed without prejudice upon re- quest of the applicant prior to the time the application is granted. Each amendment to, or request for dismissal of an application shall be signed, au- thenticated, and submitted in the same manner and with the same number of copies as required for the original ap- plication. All subsequent correspond- ence or other material that the appli- cant desires to have incorporated as a part of an application already filed shall be submitted in the form of an amendment to the application.
(b) Failure to prosecute an applica- tion, or failure to respond to official correspondence or request for addi- tional information, will be cause for dismissal. Such dismissal will be with- out prejudice.
§ 5.69 Partial grants. In cases in which the Commission
grants an application in part, or with any privileges, terms, or conditions other than those requested, or subject to any interference that may result to a station if designated application or applications are subsequently granted, the action of the Commission shall be considered as a grant of such applica- tion unless the applicant shall, within 30 days from the date on which such grant is made or from its effective date if a later date is specified, file with the Commission a written request rejecting the grant as made. Upon receipt of such request, the Commission will co- ordinate with the applicant in an at- tempt to resolve problems arising from the grant.
§ 5.71 License period. (a) The regular license period for sta-
tions in the Experimental Radio Serv- ice is either 2 or 5 years. An applicant desiring to apply for a 5-year license must provide justification for its need for a license of that duration. A license may be renewed upon an adequate showing of need.
(b) A license will not be granted for a period longer than that which is re- quired for completion of the experi- mental project. If such period is esti- mated to be less than 2 years, or be-
tween 2–5 years, a statement to that ef- fect by the applicant may facilitate grant of the application. See also § 5.69 of this part.
§ 5.73 Experimental report. (a) Unless specifically stated as a
condition of the authorization, licens- ees are not required to file a report on the results of the experimental pro- gram carried on under this subpart.
(b) The Commission may, as a condi- tion of authorization, request the li- censee to forward periodic reports in order to evaluate the progress of the experimental program.
(c) An applicant may request that the Commission withhold from the public certain reports and associated material and the Commission will do so unless the public interest requires otherwise. These requests should follow the procedures for submission set forth in § 0.459 of this chapter.
§ 5.75 Number of licenses required. An application for a station embrac-
ing widely divergent and unrelated ex- perimentations will normally require a separate license for each experiment. However, if the experiments are related or conducted by the same manufac- turer, an applicant may apply for a blanket license encompassing the en- tire experimental program. If a blanket license is granted, licensees will be re- quired to notify the Commission of the specific details of each individual ex- periment, including location, number of base and mobile units, power, emis- sion designator, and any other perti- nent technical information not speci- fied by the blanket license.
§ 5.77 Change in equipment and emis- sion characteristics.
(a) A change may be made in a li- censed transmitter without specific au- thorization from the Commission pro- vided that the change does not result in operations inconsistent with any term of the outstanding authorization for the station involved.
(b) Discrete changes in emission characteristics may be made without specific authorization from the Com- mission provided that the Commission is given written notification dem- onstrating that such changes will not
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exceed the maximum emissions enve- lope established in the existing author- ization. Changes made pursuant to such notification that become a perma- nent part of the licensee’s experi- mental program must be listed in the licensee’s next application for renewal.
(c) Prior authorization from the Commission is required before the fol- lowing antenna changes may be made at a station at a fixed location:
(1) Any change that will either in- crease the height of a structure sup- porting the radiating portion of the an- tenna or decrease the height of a light- ed antenna structure.
(2) Any change in the location of an antenna when such relocation involves a change in the geographic coordinates of latitude or longitude by as much as one second, or when such relocation in- volves a change in street address.
§ 5.79 Transfer and assignment of sta- tion authorization.
A station authorization, the fre- quencies authorized to be used by the grantee of such authorization, and the rights therein granted by such author- ization shall not be transferred, as- signed, or in any manner either volun- tarily or involuntarily disposed of, un- less the Commission shall, after secur- ing full information, decide that such a transfer is in the public interest and give its consent in writing. Requests for authority to transfer or assign a station authorization shall be sub- mitted on the forms prescribed by § 5.59 of this part.
§ 5.81 Discontinuance of station oper- ation.
In case of permanent discontinuance of operation of a fixed or land station in the Experimental Radio Service, or in case of permanent discontinuance of operation of all transmitter units list- ed in the license for a mobile station in the Experimental Radio Service, the li- censee shall forward the station license to the Commission’s Office of Engi- neering and Technology for cancella- tion.
§ 5.83 Cancellation provisions. The applicant for a station in the Ex-
perimental Radio Services accepts the license with the express understanding:
(a) that the authority to use the fre- quency or frequencies assigned is granted upon an experimental basis only and does not confer any right to conduct an activity of a continuing na- ture; and
(b) that said grant is subject to change or cancellation by the Commis- sion at any time without hearing if in its discretion the need for such action arises. However, a petition for recon- sideration or application for review may be filed to such Commission ac- tion.
§ 5.85 Frequencies and policy gov- erning their assignment.
(a) Stations operating in the Experi- mental Radio Service may be author- ized to use any government or non-gov- ernment frequency designated in the Table of Frequency Allocations set forth in part 2 of this chapter, provided that the need for the frequency re- quested is fully justified by the appli- cant.
(b) Each frequency or band of fre- quencies available for assignment to stations in the Experimental Radio Service is available on a shared basis only, and will not be assigned for the exclusive use of any one applicant, and such use may also be restricted to one or more specified geographical areas. Not more than one frequency in a band of frequencies will normally be as- signed for the use of a single applicant unless a showing is made dem- onstrating that need for the assign- ment of additional frequencies is essen- tial to the proposed program of experi- mentation.
(c) Frequency assignments will be made only on the condition that harm- ful interference will not be caused to any station operating in accordance with the Table of Frequency Allocation of part 2 of this chapter.
(d) Use of Public Safety Frequencies. Applicants in the Experimental Radio Service must avoid use of public safety frequencies except when a compelling showing can be made that use of such frequencies is in the public interest. Public safety frequencies are identified in subpart B (Public Safety Radio Serv- ices) and subpart C (Special Emergency Radio Service) of part 90 of this Chap- ter. In addition, subpart S of part 90 of
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this chapter contains rules for the as- signment of frequencies that may be used by Public Safety Radio Services in the 806–824 MHz and 851–869 MHz bands. If an experimental license to use public safety radio frequencies is granted, the authorization will be con- ditioned to require coordination be- tween the experimental licensee and the appropriate frequency coordinator and/or all of the public safety licensees in its intended area of operation.
(e) The Commission may, at its dis- cretion, condition any experimental li- cense or STA on the requirement that before commencing operation, the new licensee coordinate its proposed facil- ity with other licensees that may re- ceive interference as a result of the new licensee’s operations.
(f) Protection of FCC monitoring sta- tions. (1) Applicants are advised to give consideration, prior to filing applica- tions, to the need to protect FCC moni- toring stations from harmful inter- ference. Geographical coordinates of such stations are listed in § 0.121(b) of this chapter. Applications for stations (except mobile stations) that will produce on any frequency a direct wave fundamental field strength of greater than 10 mV/m in the authorized band- width of service (–65.8 dBW/m2 power flux density assuming a free space characteristic impedance of 120π ohms) at the referenced coordinates, may be examined to determine the extent of possible interference. Depending on the theoretical field strength value or other ambient radio field signal levels at the indicated coordinates, a clause protecting the monitoring station may be added to the station authorization.
(2) In the event that calculated value of expected field strength exceeds 10 mV/m (–65.8 dBW/m2) at the reference coordinates, or if there is any question whether field strength levels might ex- ceed the threshold value, advance con- sultation with the FCC to discuss any protection necessary should be consid- ered. Prospective applicants may com- municate with the Technology Divi- sion, Compliance and Information Bu- reau, telephone (202) 418–1210, Federal Communications Commission, Wash- ington, DC 20554.
(3) Advance consultation is suggested particularly for those applicants who
have no reliable data that indicates whether the field strength or power flux density figure indicated would be exceeded by their proposed radio facili- ties (except mobile stations). In such instances, the following is a suggested guide for determining whether an ap- plicant should coordinate:
(i) All stations within 2.4 kilometers (1.5 statute miles);
(ii) Stations within 4.8 kilometers (3 statute miles) with 50 watts or more average ERP in the primary plane of polarization in the azimuthal direction of the Monitoring Station;
(iii) Stations within 16 kilometers (10 statute miles) with 1 kW or more aver- age ERP in the primary plane of polar- ization in the azimuthal direction of the Monitoring Station;
(iv) Stations within 80 kilometers (50 statute miles) with 25 kW or more av- erage ERP in the primary plane of po- larization in the azimuthal direction of the Monitoring Station.
(4) Advance coordination for stations operating above 1000 MHz is rec- ommended only where the proposed station is in the vicinity of a moni- toring station designated as a satellite monitoring facility in § 0.121(c) of this Chapter and also meets the criteria outlined in paragraphs (d) (2) and (3) of this section.
(5) The Commission will not screen applications to determine whether ad- vance consultation has taken place. However, applicants are advised that such consultation can avoid objections from the Commission.
§ 5.87 Frequencies for field strength surveys or equipment demonstra- tions.
(a) Authorizations issued under §§ 5.3 (e) and (f) of this part will normally not have specific frequencies des- ignated in a station license. Prior to the commencement of a survey or dem- onstration, the licensee will request a specific frequency assignment and sub- mit the following information:
(1) Time, date and duration of survey. (2) Frequency to be used. (3) Location of transmitter and geo-
graphical area to be covered. (4) Purpose of survey. (5) Method and equipment to be used.
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(6) Names and addresses of persons for whom the survey is conducted.
(b) [Reserved]
§ 5.89 School and student authoriza- tions.
The Commission may issue an au- thorization to schools or students for the purpose of presenting experiments or technical demonstrations for school or school approved projects that re- quire the use of radio for a limited pe- riod of time. Such authorizations may be granted at the discretion of the Commission.
(a) An application for a school or stu- dent authorization may be filed in let- ter form and must comply with the provisions of § 5.63, of this part except where specified below. The application must be accompanied by a signed state- ment from a member of faculty of the school, on appropriate letterhead, indi- cating the person under whose general supervision the project will be con- ducted. In the case of student author- izations, the letter must state that the project has the approval of the school.
(b) Frequencies in the following bands are available for assignment in authorizations issued under this sec- tion:
27.23–27.28 MHz. 460–461 MHz. 462.525–467.475 MHz. 2402–2483.5 MHz. 10.00–10.50 GHz.
(c) Operations under this section are limited to 4 watts equivalent isotropically radiated power (EIRP). The Commission may authorize a greater power if a satisfactory showing is made that such greater power is nec- essary and that appropriate measures will be taken to prevent interference.
(d) The frequency of operation must be measured or checked prior to each time of operation.
(e) Subject to the provisions of (b), (c) and (d), the provisions in subpart C of this part are waived insofar as such provisions require a station authorized under this section to observe the tech- nical and operating restrictions set forth therein.
(f) The licensee holding an authoriza- tion issued under this section shall
maintain a record of operation con- taining the following information:
(1) A brief description of the experi- mentation being conducted.
(2) The date and time of each period of operation.
(3) The frequency of operation as measured or checked at the beginning of each period of operation.
(g) The record of operation shall be retained for one month after the termi- nation of the authorization.
[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug. 9, 1999]
§ 5.91 Notification of the National Radio Astronomy Observatory.
In order to minimize possible harm- ful interference at the National Radio Astronomy Observatory site located at Green Bank, Pocahontas County, West Virginia, and at the Naval Radio Re- search Observatory site at Sugar Grove, Pendleton County, West Vir- ginia, any applicant for a station au- thorization other than mobile, tem- porary base, temporary fixed, Personal Radio, Civil Air Patrol, or Amateur seeking a station license for a new sta- tion, or a construction permit to con- struct a new station or to modify an existing station license in a manner that would change either the fre- quency, power, antenna height or di- rectivity, or location of such a station within the area bounded by 39 deg. 15′ N on the north, 78 deg. 30′ W on the east, 37 deg. 30′ N on the south and 80 deg. 30′ W on the west shall, at the time of fil- ing such application with the Commis- sion, simultaneously notify the Direc- tor, National Radio Astronomy Observ- atory, P.O. Box NZ2, Green Bank, West Virginia, 24944, in writing, of the tech- nical particulars of the proposed sta- tion. Such notification shall include the geographical coordinates of the an- tenna, antenna height, antenna direc- tivity if any, frequency, type of emis- sion, and power. In addition, the appli- cant shall indicate in its application to the Commission the date notification was made to the Observatory. After re- ceipt of such applications, the Commis- sion will allow a period of twenty (20) days for comments or objections in re- sponse to the notifications indicated. If an objection to the proposed operation
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is received during the twenty-day pe- riod from the National Radio Astron- omy Observatory for itself or on behalf of the Naval Radio Research Observ- atory, the Commission will consider all aspects of the problem and take what- ever action is deemed appropriate.
§ 5.93 Limited market studies.
Unless otherwise stated in the instru- ment of authorization, licenses granted for the purpose of limited market stud- ies pursuant to § 5.3(j) of this part are subject to the following conditions:
(a) All transmitting and/or receiving equipment used in the study shall be owned by the licensee.
(b) The licensee is responsible for in- forming anyone participating in the ex- periment that the service or device is granted under an experimental author- ization and is strictly temporary.
(c) The size and scope of the experi- ment are subject to limitations as the Commission shall establish on a case- by-case basis. If the Commission subse- quently determines that a market study is not so limited, the study shall be immediately terminated.
§ 5.95 Informal objections.
A person or entity desiring to object to or to oppose an Experimental Radio application for a station license or au- thorization may file an informal objec- tion against that application. The in- formal objection and any responsive pleadings shall comply with the re- quirements set forth in §§ 1.41 through 1.52 of this chapter.
[68 FR 59336, Oct. 15, 2003]
Subpart C—Technical Standards and Operating Requirements
§ 5.101 Frequency stability.
An applicant must propose to use a frequency tolerance that would confine emissions within the band of operation, unless permission is granted to use a greater frequency tolerance. Equip- ment is presumed to operate over the temperature range ¥20 to +50 degrees celsius with an input voltage variation of 85% to 115% of rated input voltage, unless justification is presented to demonstrate otherwise.
§ 5.103 Types of emission.
Stations in the Experimental Radio Service may be authorized to use any of the classifications of emissions cov- ered in part 2 of this chapter.
§ 5.105 Authorized bandwidth.
Each authorization issued to a sta- tion operating in this service will show, as the prefix to the emission classification, a figure specifying the maximum necessary bandwidth for the emission used. The authorized band- width is considered to be the occupied or necessary bandwidth, whichever is greater. This bandwidth should be de- termined in accordance with § 2.202 of this chapter.
[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug. 9, 1999]
§ 5.107 Transmitter control require- ments.
Each licensee shall be responsible for maintaining control of the transmitter authorized under its station authoriza- tion. This includes both ensuring that transmissions are in conformance with the operating characteristics pre- scribed in the station authorization and that the station is operated only by persons duly authorized by the li- censee.
§ 5.109 Antenna and tower require- ments.
(a) Applicants with fixed stations that use antennas that exceed 6 meters in height above the ground level or more than 6 meters in height above an existing building must comply with the requirements of part 17 of this chapter.
(b) The licensee of any radio station that has an antenna structure required to be painted and illuminated pursuant to the provisions of section 303(q) of the Communications Act of 1934, as amended, and part 17 of this chapter, shall perform the inspections and maintain the tower marking and light- ing, and associated control equipment, in accordance with the requirements of part 17, subpart C, of this chapter.
[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug. 9, 1999]
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§ 5.111 General limitations on use.
(a) The following transmission limi- tations are applicable to all classes of stations in the Experimental Radio Service:
(1) Stations may make only such transmissions as are necessary and di- rectly related to the conduct of the li- censee’s stated program of experimen- tation as specified in the application for license and the related station in- strument of authorization, and as gov- erned by the provisions of the rules and regulations contained in this part. All transmissions shall be limited to the minimum practical transmission time.
(2) When transmitting, the licensee must use every precaution to ensure that the radio frequency energy emit- ted will not cause harmful interference to the services carried on by stations operating in accordance with the Table of Frequency Allocations of part 2 of this chapter and, further, that the power radiated is reduced to the lowest practical value consistent with the pro- gram of experimentation for which the station authorization is granted. If harmful interference to an established radio service develops, the licensee shall cease transmissions and such transmissions shall not be resumed until it is certain that harmful inter- ference will not be caused.
(b) If experimental stations are to be used to retransmit signals of any other station or to render any communica- tions service to third parties, a full dis- closure of this must be made in the ap- plication for license.
§ 5.113 Adherence to program of re- search.
(a) The program of experimentation as stated by an applicant in its applica- tion for license or in the station instru- ment of authorization, shall be sub- stantially adhered to unless the li- censee is authorized to do otherwise by the Commission.
(b) Where some phases of the experi- mental program are not covered by the general rules of the Commission or by the rules of this part, the Commission may specify supplemental or additional requirements or conditions in each case as deemed necessary in the public interest, convenience, or necessity.
§ 5.115 Station identification.
Each class of station in the experi- mental services shall, unless specifi- cally exempted by the terms of the sta- tion authorization, transmit its as- signed call sign at the end of each com- plete transmission: Provided, however, that the transmission of the call sign at the end of each transmission is not required for projects requiring contin- uous, frequent, or extended use of the transmitting apparatus, if, during such periods and in connection with such use, the call sign is transmitted at least once every thirty minutes. The station identification shall be trans- mitted in clear voice or Morse code. All digital encoding and digital modula- tion shall be disabled during station identification.
§ 5.117 Suspension of transmission re- quired.
The radiations of the transmitter shall be suspended immediately upon detection or notification of a deviation from the technical requirements of the station authorization until such devi- ation is corrected, except for trans- missions concerning the immediate safety of life or property, in which case the transmissions shall be suspended as soon as the emergency is terminated.
§ 5.119 Posting station licenses.
The current original authorization for each station shall be retained as a permanent part of the station records but need not be posted.
§ 5.121 Retention of station records.
Records required to be kept by this part shall be retained for a period of at least one year.
§ 5.123 Inspection of stations.
All stations and records of stations in the Experimental Radio Service shall be made available for inspection at any time while the station is in op- eration or shall be made available for inspection upon reasonable request of an authorized representative of the Commission.
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§ 5.125 Authorized points of commu- nication.
Generally, stations in the Experi- mental Radio Service may commu- nicate only with other stations li- censed in the Experimental Radio Service. Nevertheless, upon a satisfac- tory showing that the proposed com- munications are essential to the con- duct of the research project, authority may be granted to communicate with stations in other services and U.S. Gov- ernment stations.
PART 6—ACCESS TO TELE- COMMUNICATIONS SERVICE, TELECOMMUNICATIONS EQUIP- MENT AND CUSTOMER PREMISES EQUIPMENT BY PERSONS WITH DISABILITIES
Subpart A—Scope—Who Must Comply With These Rules?
Sec. 6.1 Applicability.
Subpart B—Definitions
6.3 Definitions.
Subpart C—Obligations—What Must Covered Entities Do?
6.5 General obligations. 6.7 Product design, development and eval-
uation. 6.9 Information pass through. 6.11 Information, documentation and train-
ing.
Subpart D—Enforcement
6.15 Generally. 6.16 Informal or formal complaints. 6.17 Informal complaints; form and content. 6.18 Procedure; designation of agents for
service. 6.19 Answers to informal complaints. 6.20 Review and disposition of informal
complaints. 6.21 Formal complaints, applicability of
§§ 1.720 through 1.736 of this chapter. 6.22 Formal complaints based on unsatisfied
informal complaints. 6.23 Actions by the Commission on its own
motion.
AUTHORITY: 47 U.S.C. 151–154, 251, 255, and 303(r).
SOURCE: 64 FR 63251, Nov. 19, 1999, unless otherwise noted.
Subpart A—Scope—Who Must Comply With These Rules?
§ 6.1 Applicability.
The rules in this part apply to: (a) Any provider of telecommuni-
cations service; (b) Any manufacturer of tele-
communications equipment or cus- tomer premises equipment;
(c) Any telecommunications carrier; (d) Any provider of interconnected
Voice over Internet Protocol (VoIP) service, as that term is defined in § 9.3 of this chapter; and
(e) Any manufacturer of equipment or customer premises equipment that is specially designed to provide inter- connected VoIP service and that is needed for the effective use of an inter- connected VoIP service.
[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43558, Aug. 6, 2007]
Subpart B—Definitions
§ 6.3 Definitions.
(a) The term accessible shall mean that:
(1) Input, control, and mechanical functions shall be locatable, identifi- able, and operable in accordance with each of the following, assessed inde- pendently:
(i) Operable without vision. Provide at least one mode that does not require user vision.
(ii) Operable with low vision and lim- ited or no hearing. Provide at least one mode that permits operation by users with visual acuity between 20/70 and 20/ 200, without relying on audio output.
(iii) Operable with little or no color perception. Provide at least one mode that does not require user color percep- tion.
(iv) Operable without hearing. Pro- vide at least one mode that does not re- quire user auditory perception.
(v) Operable with limited manual dexterity. Provide at least one mode that does not require user fine motor control or simultaneous actions.
(vi) Operable with limited reach and strength. Provide at least one mode that is operable with user limited reach and strength.
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(vii) Operable with a Prosthetic De- vice. Controls shall be operable with- out requiring body contact or close body proximity.
(viii) Operable without time-depend- ent controls. Provide at least one mode that does not require a response time or allows response time to be by-passed or adjusted by the user over a wide range.
(ix) Operable without speech. Provide at least one mode that does not require user speech.
(x) Operable with limited cognitive skills. Provide at least one mode that minimizes the cognitive, memory, lan- guage, and learning skills required of the user.
(2) All information necessary to oper- ate and use the product, including but not limited to, text, static or dynamic images, icons, labels, sounds, or inci- dental operating cues, comply with each of the following, assessed inde- pendently:
(i) Availability of visual information. Provide visual information through at least one mode in auditory form.
(ii) Availability of visual information for low vision users. Provide visual in- formation through at least one mode to users with visual acuity between 20/70 and 20/200 without relying on audio.
(iii) Access to moving text. Provide moving text in at least one static pres- entation mode at the option of the user.
(iv) Availability of auditory informa- tion. Provide auditory information through at least one mode in visual form and, where appropriate, in tactile form.
(v) Availability of auditory informa- tion for people who are hard of hearing. Provide audio or acoustic information, including any auditory feedback tones that are important for the use of the product, through at least one mode in enhanced auditory fashion (i.e., in- creased amplification, increased signal- to-noise ratio, or combination).
(vi) Prevention of visually-induced seizures. Visual displays and indicators shall minimize visual flicker that might induce seizures in people with photosensitive epilepsy.
(vii) Availability of audio cutoff. Where a product delivers audio output through an external speaker, provide
an industry standard connector for headphones or personal listening de- vices (e.g., phone-like handset or earcup) which cuts off the speaker(s) when used.
(viii) Non-interference with hearing technologies. Reduce interference to hearing technologies (including hear- ing aids, cochlear implants, and assist- ive listening devices) to the lowest pos- sible level that allows a user to utilize the product.
(ix) Hearing aid coupling. Where a product delivers output by an audio transducer which is normally held up to the ear, provide a means for effec- tive wireless coupling to hearing aids.
(b) The term compatibility shall mean compatible with peripheral devices and specialized customer premises equip- ment commonly used by individuals with disabilities to achieve accessi- bility to telecommunications services, and in compliance with the following provisions, as applicable:
(1) External electronic access to all information and control mechanisms. Information needed for the operation of products (including output, alerts, icons, on-line help, and documentation) shall be available in a standard elec- tronic text format on a cross-industry standard port and all input to and con- trol of a product shall allow for real time operation by electronic text input into a cross-industry standard external port and in cross-industry standard for- mat. The cross-industry standard port shall not require manipulation of a connector by the user.
(2) Connection point for external audio processing devices. Products pro- viding auditory output shall provide the auditory signal at a standard sig- nal level through an industry standard connector.
(3) TTY connectability. Products which provide a function allowing voice communication and which do not themselves provide a TTY functionality shall provide a standard non-acoustic connection point for TTYs. It shall also be possible for the user to easily turn any microphone on and off to allow the user to intermix speech with TTY use.
(4) TTY signal compatibility. Prod- ucts, including those providing voice communication functionality, shall
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support use of all cross-manufacturer non-proprietary standard signals used by TTYs.
(c) The term customer premises equip- ment shall mean equipment employed on the premises of a person (other than a carrier) to originate, route, or termi- nate telecommunications. For purposes of this part, the term customer prem- ises equipment shall include equipment employed on the premises of a person (other than a carrier) that is specially designed to provide interconnected VoIP service and that is needed for the effective use of an interconnected VoIP service.
(d) The term disability shall mean a physical or mental impairment that substantially limits one or more of the major life activities of an individual; a record of such an impairment; or being regarded as having such an impair- ment.
(e) The term interconnected VoIP serv- ice shall have the same meaning as in § 9.3 of this chapter.
(f) The term manufacturer shall mean an entity that makes or produces a product.
(g) The term peripheral devices shall mean devices employed in connection with equipment covered by this part to translate, enhance, or otherwise trans- form telecommunications into a form accessible to individuals with disabil- ities.
(h) The term readily achievable shall mean, in general, easily accomplish- able and able to be carried out without much difficulty or expense. In deter- mining whether an action is readily achievable, factors to be considered in- clude:
(1) The nature and cost of the action needed;
(2) The overall financial resources of the manufacturer or service provider involved in the action (the covered en- tity); the number of persons employed by such manufacturer or service pro- vider; the effect on expenses and re- sources, or the impact otherwise of such action upon the operations of the manufacturer or service provider;
(3) If applicable, the overall financial resources of the parent of the entity; the overall size of the business of the parent entity with respect to the num-
ber of its employees; the number, type, and location of its facilities; and
(4) If applicable, the type of oper- ation or operations of the covered enti- ty, including the composition, struc- ture and functions of the workforce of such entity; and the geographic sepa- rateness, administrative or fiscal rela- tionship of the covered entity in ques- tion to the parent entity.
(i) The term specialized customer prem- ises equipment shall mean customer premise equipment which is commonly used by individuals with disabilities to achieve access.
(j) The term telecommunications equip- ment shall mean equipment, other than customer premises equipment, used by a carrier to provide telecommuni- cations services, and includes software integral to such equipment (including upgrades). For purposes of this part, the term telecommunications equip- ment shall include equipment that is specially designed to provide inter- connected VoIP service and that is needed for the effective use of an inter- connected VoIP service as that term is defined in § 9.3 of this chapter.
(k) The term telecommunications service shall mean the offering of tele- communications for a fee directly to the public, or to such classes of users as to be effectively available directly to the public, regardless of the facili- ties used. For purposes of this part, the term telecommunications service shall include ‘‘interconnected VoIP service’’ as that term is defined in § 9.3 of this chapter.
(l) The term usable shall mean that individuals with disabilities have ac- cess to the full functionality and docu- mentation for the product, including instructions, product information (in- cluding accessible feature informa- tion), documentation, bills and tech- nical support which is provided to indi- viduals without disabilities.
[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43558, Aug. 6, 2007]
Subpart C—Obligations—What Must Covered Entities Do?
§ 6.5 General obligations. (a) Obligation of Manufacturers. (1) A
manufacturer of telecommunications
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equipment or customer premises equip- ment shall ensure that the equipment is designed, developed and fabricated so that the telecommunications functions of the equipment are accessible to and usable by individuals with disabilities, if readily achievable.
(2) Whenever the requirements of paragraph (a)(1) of this section are not readily achievable, the manufacturer shall ensure that the equipment is compatible with existing peripheral de- vices or specialized customer premises equipment commonly used by individ- uals with disabilities to achieve access, if readily achievable.
(b) Obligation of Service Providers. (1) A provider of a telecommunications service shall ensure that the service is accessible to and usable by individuals with disabilities, if readily achievable.
(2) Whenever the requirements of paragraph (b)(1) of this section are not readily achievable, the service provider shall ensure that the service is compat- ible with existing peripheral devices or specialized customer premises equip- ment commonly used by individuals with disabilities to achieve access, if readily achievable.
(c) Obligation of Telecommunications Carriers. Each telecommunications car- rier must not install network features, functions, or capabilities that do not comply with the guidelines and stand- ards established pursuant to this part or part 7 of this chapter.
§ 6.7 Product design, development, and evaluation.
(a) Manufacturers and service pro- viders shall evaluate the accessibility, usability, and compatibility of equip- ment and services covered by this part and shall incorporate such evaluation throughout product design, develop- ment, and fabrication, as early and consistently as possible. Manufacturers and service providers shall identify barriers to accessibility and usability as part of such a product design and de- velopment process.
(b) In developing such a process, manufacturers and service providers shall consider the following factors, as the manufacturer deems appropriate:
(1) Where market research is under- taken, including individuals with dis-
abilities in target populations of such research;
(2) Where product design, testing, pilot demonstrations, and product trials are conducted, including individ- uals with disabilities in such activities;
(3) Working cooperatively with ap- propriate disability-related organiza- tions; and
(4) Making reasonable efforts to vali- date any unproven access solutions through testing with individuals with disabilities or with appropriate dis- ability-related organizations that have established expertise with individuals with disabilities.
§ 6.9 Information pass through. Telecommunications equipment and
customer premises equipment shall pass through cross-manufacturer, non- proprietary, industry-standard codes, translation protocols, formats or other information necessary to provide tele- communications in an accessible for- mat, if readily achievable. In par- ticular, signal compression tech- nologies shall not remove information needed for access or shall restore it upon decompression.
§ 6.11 Information, documentation, and training.
(a) Manufacturers and service pro- viders shall ensure access to informa- tion and documentation it provides to its customers, if readily achievable. Such information and documentation includes user guides, bills, installation guides for end-user installable devices, and product support communications, regarding both the product in general and the accessibility features of the product. Manufacturers shall take such other readily achievable steps as nec- essary including:
(1) Providing a description of the ac- cessibility and compatibility features of the product upon request, including, as needed, in alternate formats or al- ternate modes at no additional charge;
(2) Providing end-user product docu- mentation in alternate formats or al- ternate modes upon request at no addi- tional charge; and
(3) Ensuring usable customer support and technical support in the call cen- ters and service centers which support their products at no additional charge.
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(b) Manufacturers and service pro- viders shall include in general product information the contact method for ob- taining the information required by paragraph (a) of this section.
(c) In developing, or incorporating existing training programs, manufac- turers and service providers, shall con- sider the following topics:
(1) Accessibility requirements of in- dividuals with disabilities;
(2) Means of communicating with in- dividuals with disabilities;
(3) Commonly used adaptive tech- nology used with the manufacturer’s products;
(4) Designing for accessibility; and (5) Solutions for accessibility and
compatibility.
[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43558, Aug. 6, 2007; 73 FR 21252, Apr. 21, 2008]
Subpart D—Enforcement § 6.15 Generally.
(a) All manufacturers of tele- communications equipment or cus- tomer premise equipment (CPE) and all providers of telecommunications serv- ices, as defined under this subpart, are subject to the enforcement provisions specified in the Act and the Commis- sion’s rules.
(b) For purposes of §§ 6.15 through 6.23, the term ‘‘manufacturers’’ shall denote manufacturers of telecommuni- cations equipment or CPE and the term ‘‘providers’’ shall denote pro- viders of telecommunications services.
§ 6.16 Informal or formal complaints. Complaints against manufacturers or
providers, as defined under this sub- part, for alleged violations of this sub- part may be either informal or formal.
§ 6.17 Informal complaints; form and content.
(a) An informal complaint alleging a violation of section 255 of the Act or this subpart may be transmitted to the Commission by any reasonable means, e.g., letter, facsimile transmission, telephone (voice/TRS/TTY), Internet e- mail, ASCII text, audio-cassette re- cording, and braille.
(b) An informal complaint shall in- clude:
(1) The name and address of the com- plainant;
(2) The name and address of the man- ufacturer or provider against whom the complaint is made;
(3) A full description of the tele- communications equipment or CPE and/or the telecommunications service about which the complaint is made;
(4) The date or dates on which the complainant either purchased, ac- quired or used, or attempted to pur- chase, acquire or use the telecommuni- cations equipment, CPE or tele- communications service about which the complaint is being made;
(5) A complete statement of the facts, including documentation where avail- able, supporting the complainant’s al- legation that: such telecommuni- cations service, or such telecommuni- cations equipment or CPE, is not ac- cessible to, or usable by, a person with a particular disability or persons with disabilities within the meaning of this subpart and section 255 of the Act; or that the defendant has otherwise failed to comply with the requirements of this subpart;
(6) The specific relief or satisfaction sought by the complainant, and
(7) The complainant’s preferred for- mat or method of response to the com- plaint by the Commission and defend- ant (e.g., letter, facsimile trans- mission, telephone (voice/TRS/TTY), Internet e-mail, ASCII text, audio-cas- sette recording, braille; or some other method that will best accommodate the complainant’s disability)
§ 6.18 Procedure; designation of agents for service.
(a) The Commission shall promptly forward any informal complaint meet- ing the requirements of § 6.17 to each manufacturer and provider named in or determined by the staff to be impli- cated by the complaint. Such manufac- turer(s) or provider(s) shall be called on to satisfy or answer the complaint within the time specified by the Com- mission.
(b) To ensure prompt and effective service of informal and formal com- plaints filed under this subpart, every manufacturer and provider subject to the requirements of section 255 of the Act and this subpart, shall designate
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an agent, and may designate additional agents if it so chooses, upon whom service may be made of all notices, in- quiries, orders, decisions, and other pronouncements of the Commission in any matter before the Commission. Such designation shall include, for both the manufacturer or the provider, a name or department designation, business address, telephone number, and, if available TTY number, fac- simile number, and Internet e-mail ad- dress.
[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43559, Aug. 6, 2007; 73 FR 21252, Apr. 21, 2008]
§ 6.19 Answers to informal complaints. Any manufacturer or provider to
whom an informal complaint is di- rected by the Commission under this subpart shall file an answer within the time specified by the Commission. The answer shall:
(a) Be prepared or formatted in the manner requested by the complainant pursuant to § 6.17, unless otherwise per- mitted by the Commission for good cause shown;
(b) Describe any actions that the de- fendant has taken or proposes to take to satisfy the complaint;
(c) Advise the complainant and the Commission of the nature of the de- fense(s) claimed by the defendant;
(d) Respond specifically to all mate- rial allegations of the complaint; and
(e) Provide any other information or materials specified by the Commission as relevant to its consideration of the complaint.
[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43559, Aug. 6, 2007; 73 FR 21252, Apr. 21, 2008]
§ 6.20 Review and disposition of infor- mal complaints.
(a) Where it appears from the defend- ant’s answer, or from other commu- nications with the parties, that an in- formal complaint has been satisfied, the Commission may, in its discretion, consider the informal complaint closed, without response to the com- plainant or defendant. In all other cases, the Commission shall inform the parties of its review and disposition of a complaint filed under this subpart. Where practicable, this information,
the nature of which is specified in para- graphs (b) through (d) of this section, shall be transmitted to the complain- ant and defendant in the manner re- quested by the complainant, (e.g., let- ter, facsimile transmission, telephone (voice/TRS/TTY), Internet e-mail, ASCII text, audio-cassette recording, or braille).
(b) In the event the Commission de- termines, based on a review of the in- formation provided in the informal complaint and the defendant’s answer thereto, that no further action is re- quired by the Commission with respect to the allegations contained in the in- formal complaint, the informal com- plaint shall be closed and the com- plainant and defendant shall be duly informed of the reasons therefor. A complainant unsatisfied with the de- fendant’s response to the informal complaint and the staff decision to ter- minate action on the informal com- plaint may file a formal complaint with the Commission, as specified in § 6.22.
(c) In the event the Commission de- termines, based on a review of the in- formation presented in the informal complaint and the defendant’s answer thereto, that a material and substan- tial question remains as to the defend- ant’s compliance with the require- ments of this subpart, the Commission may conduct such further investiga- tion or such further proceedings as may be necessary to determine the de- fendant’s compliance with the require- ments of this subpart and to determine what, if any, remedial actions and/or sanctions are warranted.
(d) In the event that the Commission determines, based on a review of the in- formation presented in the informal complaint and the defendant’s answer thereto, that the defendant has failed to comply with or is presently not in compliance with the requirements of this subpart, the Commission may order or prescribe such remedial ac- tions and/or sanctions as are author- ized under the Act and the Commis- sion’s rules and which are deemed by the Commission to be appropriate under the facts and circumstances of the case.
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§ 6.21 Formal complaints, applicability of §§ 1.720 through 1.736 of this chapter.
Formal complaints against a manu- facturer or provider, as defined under this subpart, may be filed in the form and in the manner prescribed under §§ 1.720 through 1.736 of this chapter. Commission staff may grant waivers of, or exceptions to, particular require- ments under §§ 1.720 through 1.736 of this chapter for good cause shown; pro- vided, however, that such waiver au- thority may not be exercised in a man- ner that relieves, or has the effect of relieving, a complainant of the obliga- tion under §§ 1.720 and 1.728 of this chapter to allege facts which, if true, are sufficient to constitute a violation or violations of section 255 of the Act or this subpart.
§ 6.22 Formal complaints based on unsatisfied informal complaints.
A formal complaint filing based on an unsatisfied informal complaint filed pursuant to § 4.16 of this chapter shall be deemed to relate back to the filing date of the informal complaint if it is filed within ninety days from the date that the Commission notifies the com- plainant of its disposition of the infor- mal complaint and based on the same operative facts as those alleged in the informal complaint.
§ 6.23 Actions by the Commission on its own motion.
The Commission may on its own mo- tion conduct such inquiries and hold such proceedings as it may deem nec- essary to enforce the requirements of this subpart and section 255 of the Communications Act. The procedures to be followed by the Commission shall, unless specifically prescribed in the Act and the Commission’s rules, be such as in the opinion of the Commis- sion will best serve the purposes of such inquiries and proceedings.
PART 7—ACCESS TO VOICEMAIL AND INTERACTIVE MENU SERV- ICES AND EQUIPMENT BY PEOPLE WITH DISABILITIES
Subpart A—Scope—Who Must Comply With These Rules?
Sec. 7.1 Who must comply with these rules?
Subpart B—Definitions
7.3 Definitions.
Subpart C—Obligations—What must Covered Entities do?
7.5 General obligations. 7.7 Product design, development and eval-
uation. 7.9 Information pass through. 7.11 Information, documentation and train-
ing.
Subpart D—Enforcement
7.15 Generally. 7.16 Informal or formal complaints. 7.17 Informal complaints; form and content. 7.18 Procedure; designation of agents for
service. 7.19 Answers to informal complaints. 7.20 Review and disposition of informal
complaints. 7.21 Formal complaints, applicability of
§§ 1.720 through 1.736 of this chapter. 7.22 Formal complaints based on unsatisfied
informal complaints. 7.23 Actions by the Commission on its own
motion.
AUTHORITY: 47 U.S.C. 1, 154(i), 154(j) 208, and 255.
SOURCE: 64 FR 63255, Nov. 19, 1999, unless otherwise noted.
Subpart A—Scope—Who Must Comply With These Rules?
§ 7.1 Who must comply with these rules?
The rules in this part apply to: (a) Any provider of voicemail or
interactive menu service; (b) Any manufacturer of tele-
communications equipment or cus- tomer premises equipment which per- forms a voicemail or interactive menu function.
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Subpart B—Definitions
§ 7.3 Definitions.
(a) The term accessible shall mean that:
(1) Input, control, and mechanical functions shall be locatable, identifi- able, and operable in accordance with each of the following, assessed inde- pendently:
(i) Operable without vision. Provide at least one mode that does not require user vision.
(ii) Operable with low vision and lim- ited or no hearing. Provide at least one mode that permits operation by users with visual acuity between 20/70 and 20/ 200, without relying on audio output.
(iii) Operable with little or no color perception. Provide at least one mode that does not require user color percep- tion.
(iv) Operable without hearing. Pro- vide at least one mode that does not re- quire user auditory perception.
(v) Operable with limited manual dexterity. Provide at least one mode that does not require user fine motor control or simultaneous actions.
(vi) Operable with limited reach and strength. Provide at least one mode that is operable with user limited reach and strength.
(vii) Operable with a Prosthetic De- vice. Controls shall be operable with- out requiring body contact or close body proximity.
(viii) Operable without time-depend- ent controls. Provide at least one mode that does not require a response time or allows a response to be by-passed or adjusted by the user over a wide range.
(ix) Operable without speech. Provide at least one mode that does not require user speech.
(x) Operable with limited cognitive skills. Provide at least one mode that minimizes the cognitive, memory, lan- guage, and learning skills required of the user.
(2) All information necessary to oper- ate and use the product, including but not limited to, text, static or dynamic images, icons, labels, sounds, or inci- dental operating cues, comply with each of the following, assessed inde- pendently:
(i) Availability of visual information. Provide visual information through at least one mode in auditory form.
(ii) Availability of visual information for low vision users. Provide visual in- formation through at least one mode to users with visual acuity between 20/70 and 20/200 without relying on audio.
(iii) Access to moving text. Provide moving text in at least one static pres- entation mode at the option of the user.
(iv) Availability of auditory informa- tion. Provide auditory information through at least one mode in visual form and, where appropriate, in tactile form.
(v) Availability of auditory informa- tion for people who are hard of hearing. Provide audio or acoustic information, including any auditory feedback tones that are important for the use of the product, through at least one mode in enhanced auditory fashion (i.e., in- creased amplification, increased signal- to-noise ratio, or combination).
(vi) Prevention of visually-induced seizures. Visual displays and indicators shall minimize visual flicker that might induce seizures in people with photosensitive epilepsy.
(vii) Availability of audio cutoff. Where a product delivers audio output through an external speaker, provide an industry standard connector for headphones or personal listening de- vices (e.g., phone-like handset or earcup) which cuts off the speaker(s) when used.
(viii) Non-interference with hearing technologies. Reduce interference to hearing technologies (including hear- ing aids, cochlear implants, and assist- ive listening devices) to the lowest pos- sible level that allows a user to utilize the product.
(ix) Hearing aid coupling. Where a product delivers output by an audio transducer which is normally held up to the ear, provide a means for effec- tive wireless coupling to hearing aids.
(b) The term compatibility shall mean compatible with peripheral devices and specialized customer premises equip- ment commonly used by individuals with disabilities to achieve accessi- bility to voicemail and interactive menus, and in compliance with the fol- lowing provisions, as applicable:
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(1) External electronic access to all information and control mechanisms. Information needed for the operation of products (including output, alerts, icons, on-line help, and documentation) shall be available in a standard elec- tronic text format on a cross-industry standard port and all input to and con- trol of a product shall allow for real time operation by electronic text input into a cross-industry standard external port and in cross-industry standard for- mat. The cross-industry standard port shall not require manipulation of a connector by the user.
(2) Connection point for external audio processing devices. Products pro- viding auditory output shall provide the auditory signal at a standard sig- nal level through an industry standard connector.
(3) TTY connectability. Products which provide a function allowing voice communication and which do not themselves provide a TTY functionality shall provide a standard non-acoustic connection point for TTYs. It shall also be possible for the user to easily turn any microphone on and off to allow the user to intermix speech with TTY use.
(4) TTY signal compatibility. Prod- ucts, including those providing voice communication functionality, shall support use of all cross-manufacturer non-proprietary standard signals used by TTYs.
(c) The term customer premises equip- ment shall mean equipment employed on the premises of a person (other than a carrier) to originate, route, or termi- nate telecommunications.
(d) The term disability shall mean a physical or mental impairment that substantially limits one or more of the major life activities of an individual; a record of such an impairment; or being regarded as having such an impair- ment.
(e) The term interactive menu shall mean a feature that allows a service provider or operator of CPE to trans- mit information to a caller in visual and/or audible format for the purpose of management, control, or operations of a telecommunications system or service; and/or to request information from the caller in visual and/or audible format for the purpose of management,
control, or operations of a tele- communications system or service; and/or to receive information from the caller in visual and/or audible format in response to a request, for the pur- pose of management, control, or oper- ations of a telecommunications system or service. This feature, however, does not include the capability for gener- ating, acquiring, storing, transforming, processing, retrieving, utilizing, or making available information via tele- communications for any purpose other than management, control, or oper- ations of a telecommunications system or service.
(f) The term manufacturer shall mean an entity that makes or produces a product.
(g) The term peripheral devices shall mean devices employed in connection with equipment covered by this part to translate, enhance, or otherwise trans- form telecommunications into a form accessible to individuals with disabil- ities.
(h) The term readily achievable shall mean, in general, easily accomplish- able and able to be carried out without much difficulty or expense. In deter- mining whether an action is readily achievable, factors to be considered in- clude:
(1) The nature and cost of the action needed;
(2) The overall financial resources of the manufacturer or service provider involved in the action (the covered en- tity); the number of persons employed by such manufacturer or service pro- vider; the effect on expenses and re- sources, or the impact otherwise of such action upon the operations of the manufacturer or service provider;
(3) If applicable, the overall financial resources of the parent of the covered entity; the overall size of the business of the parent of the covered entity with respect to the number of its employees; the number, type, and location of its facilities; and
(4) If applicable, the type of oper- ation or operations of the covered enti- ty, including the composition, struc- ture and functions of the workforce of such entity; and the geographic sepa- rateness, administrative or fiscal rela- tionship of covered entity in question to the parent entity.
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(i) The term specialized customer prem- ises equipment shall mean customer premise equipment which is commonly used by individuals with disabilities to achieve access.
(j) The term telecommunications equip- ment shall mean equipment, other than customer premises equipment, used by a carrier to provide telecommuni- cations services, and includes software integral to such equipment (including upgrades).
(k) The term telecommunications serv- ice shall mean the offering of tele- communications for a fee directly to the public, or to such classes of users as to be effectively available directly to the public, regardless of the facili- ties used.
(l) The term usable shall mean that individuals with disabilities have ac- cess to the full functionality and docu- mentation for the product, including instructions, product information (in- cluding accessible feature informa- tion), documentation, bills and tech- nical support which is provided to indi- viduals without disabilities.
(m) The term Voicemail shall mean the capability of answering calls and recording incoming messages when a line is busy or does not answer within a pre-specified amount of time or num- ber of rings; receiving those messages at a later time; and may also include the ability to determine the sender and time of transmission without hearing the entire message; the ability to for- ward the message to another voice massaging customer, with and/or with- out an appended new message; the abil- ity for the sender to confirm receipt of a message; the ability to send, receive, and/or store facsimile messages; and possibly other features.
Subpart C—Obligations—What Must Covered Entities Do?
§ 7.5 General Obligations.
(a) Obligation of Manufacturers. (1) A manufacturer of telecommunications equipment or customer premises equip- ment covered by this part shall ensure that the equipment is designed, devel- oped and fabricated so that the voicemail and interactive menu func- tions are accessible to and usable by
individuals with disabilities, if readily achievable;
(2) Whenever the requirements of paragraph (a)(1) of this section are not readily achievable, the manufacturer shall ensure that the equipment is compatible with existing peripheral de- vices or specialized customer premises equipment commonly used by individ- uals with disabilities to achieve access, if readily achievable.
(b) Obligation of Service Providers. (1) A provider of voicemail or inter- active menu shall ensure that the serv- ice is accessible to and usable by indi- viduals with disabilities, if readily achievable.
(2) Whenever the requirements of paragraph (a)(1) of this section are not readily achievable, the service provider shall ensure that the service is compat- ible with existing peripheral devices or specialized customer premises equip- ment commonly used by individuals with disabilities to achieve access, if readily achievable.
§ 7.7 Product design, development, and evaluation.
(a) Manufacturers and service pro- viders shall evaluate the accessibility, usability, and compatibility of equip- ment and services covered by this part and shall incorporate such evaluation throughout product design, develop- ment, and fabrication, as early and consistently as possible. Manufacturers and service providers shall identify barriers to accessibility and usability as part of such a product design and de- velopment process.
(b) In developing such a process, manufacturers and service providers shall consider the following factors, as the manufacturer deems appropriate:
(1) Where market research is under- taken, including individuals with dis- abilities in target populations of such research;
(2) Where product design, testing, pilot demonstrations, and product trials are conducted, including individ- uals with disabilities in such activities;
(3) Working cooperatively with ap- propriate disability-related organiza- tions; and
(4) Making reasonable efforts to vali- date any unproven access solutions through testing with individuals with
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disabilities or with appropriate dis- ability-related organizations that have established expertise with individuals with disabilities.
§ 7.9 Information pass through.
Telecommunications equipment and customer premises equipment shall pass through cross-manufacturer, non- proprietary, industry-standard codes, translation protocols, formats or other information necessary to provide tele- communications in an accessible for- mat, if readily achievable. In par- ticular, signal compression tech- nologies shall not remove information needed for access or shall restore it upon decompression.
§ 7.11 Information, documentation, and training.
(a) Manufacturers and service pro- viders shall ensure access to informa- tion and documentation it provides to its customers, if readily achievable. Such information and documentation includes user guides, bills, installation guides for end-user installable devices, and product support communications, regarding both the product in general and the accessibility features of the product. Manufacturers shall take such other readily achievable steps as nec- essary including:
(1) Providing a description of the ac- cessibility and compatibility features of the product upon request, including, as needed, in alternate formats or al- ternate modes at no additional charge;
(2) Providing end-user product docu- mentation in alternate formats or al- ternate modes upon request at no addi- tional charge; and
(3) Ensuring usable customer support and technical support in the call cen- ters and service centers which support their products at no additional charge.
(b) Manufacturers and service pro- viders shall include in general product information the contact method for ob- taining the information required by paragraph (a) of this section.
(c) In developing, or incorporating existing training programs, manufac- turers and service providers shall con- sider the following topics:
(1) Accessibility requirements of in- dividuals with disabilities;
(2) Means of communicating with in- dividuals with disabilities;
(3) Commonly used adaptive tech- nology used with the manufacturer’s products;
(4) Designing for accessibility; and (5) Solutions for accessibility and
compatibility.
Subpart D—Enforcement
§ 7.15 Generally. (a) For purposes of §§ 7.15–7.23 of this
subpart, the term ‘‘manufacturers’’ shall denote any manufacturer of tele- communications equipment or cus- tomer premises equipment which per- forms a voicemail or interactive menu function.
(b) All manufacturers of tele- communications equipment or cus- tomer premise equipment (CPE) and all providers of voicemail and interactive menu services, as defined under this subpart, are subject to the enforcement provisions specified in the Act and the Commission’s rules.
(c) The term ‘‘providers’’ shall denote any provider of voicemail or inter- active menu service.
§ 7.16 Informal or formal complaints. Complaints against manufacturers or
providers, as defined under this sub- part, for alleged violations of this sub- part may be either informal or formal.
§ 7.17 Informal complaints; form and content.
(a) An informal complaint alleging a violation of section 255 of the Act or this subpart may be transmitted to the Commission by any reasonable means, e.g., letter, facsimile transmission, telephone (voice/TRS/TTY), Internet e- mail, ASCII text, Internet e-mail, audio-cassette recording, and braille.
(b) An informal complaint shall in- clude:
(1) The name and address of the com- plainant;
(2) The name and address of the man- ufacturer or provider against whom the complaint is made;
(3) A full description of the tele- communications equipment or CPE and/or the telecommunications service about which the complaint is made;
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(4) The date or dates on which the complainant either purchased, ac- quired or used, or attempted to pur- chase, acquire or use the telecommuni- cations equipment, CPE or tele- communications service about which the complaint is being made;
(5) A complete statement of the facts, including documentation where avail- able, supporting the complainant’s al- legation that: such telecommuni- cations service, or such telecommuni- cations equipment or CPE, is not ac- cessible to, or usable by, a person with a particular disability or persons with disabilities within the meaning of this subpart and section 255 of the Act; or that the defendant has otherwise failed to comply with the requirements of this subpart.
(6) The specific relief or satisfaction sought by the complainant, and
(7) The complainant’s preferred for- mat or method of response to the com- plaint by the Commission and defend- ant (e.g., letter, facsimile transmission, telephone (voice/TRS/TTY), Internet e- mail, ASCII text, audio-cassette re- cording, braille; or some other method that will best accommodate the com- plainant’s disability).
§ 7.18 Procedure; designation of agents for service.
(a) The Commission shall promptly forward any informal complaint meet- ing the requirements of § 7.17 to each manufacturer and provider named in or determined by the staff to be impli- cated by the complaint. Such manufac- turer(s) or provider(s) shall be called on to satisfy or answer the complaint within the time specified by the Com- mission.
(b) To ensure prompt and effective service of informal and formal com- plaints filed under this subpart, every manufacturer and provider subject to the requirements of section 255 of the Act and this subpart, shall designate an agent, and may designate additional agents if it so chooses, upon whom service may be made of all notices, in- quiries, orders, decisions, and other pronouncements of the Commission in any matter before the Commission. Such designation shall include, for both the manufacturer or the provider, a name or department designation,
business address, telephone number, and, if available TTY number, fac- simile number, and Internet e-mail ad- dress.
§ 7.19 Answers to informal complaints. Any manufacturer or provider to
whom an informal complaint is di- rected by the Commission under this subpart shall file an answer within the time specified by the Commission. The answer shall:
(a) Be prepared or formatted in the manner requested by the complainant pursuant to § 7.17, unless otherwise per- mitted by the Commission for good cause shown;
(b) Describe any actions that the de- fendant has taken or proposes to take to satisfy the complaint;
(c) Advise the complainant and the Commission of the nature of the de- fense(s) claimed by the defendant;
(d) Respond specifically to all mate- rial allegations of the complaint; and
(e) Provide any other information or materials specified by the Commission as relevant to its consideration of the complaint.
§ 7.20 Review and disposition of infor- mal complaints.
(a) Where it appears from the defend- ant’s answer, or from other commu- nications with the parties, that an in- formal complaint has been satisfied, the Commission may, in its discretion, consider the informal complaint closed, without response to the com- plainant or defendant. In all other cases, the Commission shall inform the parties of its review and disposition of a complaint filed under this subpart. Where practicable, this information, the nature of which is specified in para- graphs (b) through (d) of this section, shall be transmitted to the complain- ant and defendant in the manner re- quested by the complainant, (e.g., let- ter, facsimile transmission, telephone (voice/TRS/TTY), Internet e-mail, ASCII text, audio-cassette recording, or braille).
(b) In the event the Commission de- termines, based on a review of the in- formation provided in the informal complaint and the defendant’s answer thereto, that no further action is re- quired by the Commission with respect
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to the allegations contained in the in- formal complaint, the informal com- plaint shall be closed and the com- plainant and defendant shall be duly informed of the reasons therefor. A complainant unsatisfied with the de- fendant’s response to the informal complaint and the staff decision to ter- minate action on the informal com- plaint may file a formal complaint with the Commission, as specified in § 7.22 of this subpart.
(c) In the event the Commission de- termines, based on a review of the in- formation presented in the informal complaint and the defendant’s answer thereto, that a material and substan- tial question remains as to the defend- ant’s compliance with the require- ments of this subpart, the Commission may conduct such further investiga- tion or such further proceedings as may be necessary to determine the de- fendant’s compliance with the require- ments of this subpart and to determine what, if any, remedial actions and/or sanctions are warranted.
(d) In the event that the Commission determines, based on a review of the in- formation presented in the informal complaint and the defendant’s answer thereto, that the defendant has failed to comply with or is presently not in compliance with the requirements of this subpart, the Commission may order or prescribe such remedial ac- tions and/or sanctions as are author- ized under the Act and the Commis- sion’s rules and which are deemed by the Commission to be appropriate under the facts and circumstances of the case.
§ 7.21 Formal complaints, applicability of §§ 1.720 through 1.736 of this chapter.
Formal complaints against a manu- facturer or provider, as defined under this subpart, may be filed in the form and in the manner prescribed under §§ 1.720 through 1.736 of this chapter. Commission staff may grant waivers of, or exceptions to, particular require- ments under §§ 1.720 through 1.736 for good cause shown; provided, however, that such waiver authority may not be exercised in a manner that relieves, or has the effect of relieving, a complain- ant of the obligation under §§ 1.720 and
1.728 of this chapter to allege facts which, if true, are sufficient to con- stitute a violation or violations of sec- tion 255 of the Act or this chapter.
§ 7.22 Formal complaints based on unsatisfied informal complaints.
A formal complaint filing based on an unsatisfied informal complaint filed pursuant to § 4.16 of this chapter shall be deemed to relate back to the filing date of the informal complaint if it is filed within ninety days from the date that the Commission notifies the com- plainant of its disposition of the infor- mal complaint and based on the same operative facts as those alleged in the informal complaint.
§ 7.23 Actions by the Commission on its own motion.
The Commission may on its own mo- tion conduct such inquiries and hold such proceedings as it may deem nec- essary to enforce the requirements of this part and Section 255 of the Com- munications Act. The procedures to be followed by the Commission shall, un- less specifically prescribed in the Act and the Commission’s rules, be such as in the opinion of the Commission will best serve the purposes of such inquir- ies and proceedings.
PART 9—INTERCONNECTED VOICE OVER INTERNET PROTOCOL SERVICES
Sec. 9.1 Purposes. 9.3 Definitions. 9.5 E911 service. 9.7 Access to 911 and E911 service capabili-
ties.
AUTHORITY: 47 U.S.C. 151, 154(i)-(j), 251(e), 303(r), and 615a-1 unless otherwise noted.
SOURCE: 70 FR 37286, June 29, 2005, unless otherwise noted.
§ 9.1 Purposes. The purposes of this part are to set
forth the 911 and E911 service require- ments and conditions applicable to interconnected Voice over Internet Protocol service providers, and to en- sure that those providers have access to any and all 911 and E911 capabilities they need to comply with those 911 and
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E911 service requirements and condi- tions.
[74 FR 31874, July 6, 2009]
§ 9.3 Definitions. ANI. Automatic Number Identifica-
tion, as such term is defined in § 20.3 of this chapter.
Appropriate local emergency authority. An emergency answering point that has not been officially designated as a Public Safety Answering Point (PSAP), but has the capability of receiving 911 calls and either dispatching emergency services personnel or, if necessary, re- laying the call to another emergency service provider. An appropriate local emergency authority may include, but is not limited to, an existing local law enforcement authority, such as the po- lice, county sheriff, local emergency medical services provider, or fire de- partment.
Automatic Location Information (ALI). Information transmitted while pro- viding E911 service that permits emer- gency service providers to identify the geographic location of the calling party.
CMRS. Commercial Mobile Radio Service, as defined in § 20.9 of this chap- ter.
Interconnected VoIP service. An inter- connected Voice over Internet protocol (VoIP) service is a service that:
(1) Enables real-time, two-way voice communications;
(2) Requires a broadband connection from the user’s location;
(3) Requires Internet protocol-com- patible customer premises equipment (CPE); and
(4) Permits users generally to receive calls that originate on the public switched telephone network and to ter- minate calls to the public switched telephone network.
PSAP. Public Safety Answering Point, as such term is defined in § 20.3 of this chapter.
Pseudo Automatic Number Identifica- tion (Pseudo-ANI). A number, consisting of the same number of digits as ANI, that is not a North American Num- bering Plan telephone directory num- ber and may be used in place of an ANI to convey special meaning. The special meaning assigned to the pseudo-ANI is determined by agreements, as nec-
essary, between the system originating the call, intermediate systems han- dling and routing the call, and the des- tination system.
Registered Location. The most recent information obtained by an inter- connected VoIP service provider that identifies the physical location of an end user.
Statewide default answering point. An emergency answering point designated by the State to receive 911 calls for ei- ther the entire State or those portions of the State not otherwise served by a local PSAP.
Wireline E911 Network. A dedicated wireline network that:
(1) Is interconnected with but largely separate from the public switched tele- phone network;
(2) Includes a selective router; and (3) Is utilized to route emergency
calls and related information to PSAPs, designated statewide default answering points, appropriate local emergency authorities or other emer- gency answering points.
[70 FR 37286, June 29, 2005, as amended at 74 FR 31874, July 9, 2009]
§ 9.5 E911 Service.
(a) Scope of Section. The following re- quirements are only applicable to pro- viders of interconnected VoIP services. Further, the following requirements apply only to 911 calls placed by users whose Registered Location is in a geo- graphic area served by a Wireline E911 Network (which, as defined in § 9.3, in- cludes a selective router).
(b) E911 Service. As of November 28, 2005:
(1) Interconnected VoIP service pro- viders must, as a condition of providing service to a consumer, provide that consumer with E911 service as de- scribed in this section;
(2) Interconnected VoIP service pro- viders must transmit all 911 calls, as well as ANI and the caller’s Registered Location for each call, to the PSAP, designated statewide default answering point, or appropriate local emergency
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authority that serves the caller’s Reg- istered Location and that has been des- ignated for telecommunications car- riers pursuant to § 64.3001 of this chap- ter, provided that ‘‘all 911 calls’’ is de- fined as ‘‘any voice communication ini- tiated by an interconnected VoIP user dialing 911;’’
(3) All 911 calls must be routed through the use of ANI and, if nec- essary, pseudo-ANI, via the dedicated Wireline E911 Network; and
(4) The Registered Location must be available to the appropriate PSAP, des- ignated statewide default answering point, or appropriate local emergency authority from or through the appro- priate automatic location information (ALI) database.
(c) Service Level Obligation. Notwith- standing the provisions in paragraph (b) of this section, if a PSAP, des- ignated statewide default answering point, or appropriate local emergency authority is not capable of receiving and processing either ANI or location information, an interconnected VoIP service provider need not provide such ANI or location information; however, nothing in this paragraph affects the obligation under paragraph (b) of this section of an interconnected VoIP serv- ice provider to transmit via the Wireline E911 Network all 911 calls to the PSAP, designated statewide default answering point, or appropriate local emergency authority that serves the caller’s Registered Location and that has been designated for telecommuni- cations carriers pursuant to § 64.3001 of this chapter.
(d) Registered Location Requirement. As of November 28, 2005, interconnected VoIP service providers must:
(1) Obtain from each customer, prior to the initiation of service, the phys- ical location at which the service will first be utilized; and
(2) Provide their end users one or more methods of updating their Reg- istered Location, including at least one option that requires use only of the CPE necessary to access the inter- connected VoIP service. Any method utilized must allow an end user to up- date the Registered Location at will and in a timely manner.
(e) Customer Notification. Each inter- connected VoIP service provider shall:
(1) Specifically advise every sub- scriber, both new and existing, promi- nently and in plain language, of the circumstances under which E911 serv- ice may not be available through the interconnected VoIP service or may be in some way limited by comparison to traditional E911 service. Such cir- cumstances include, but are not lim- ited to, relocation of the end user’s IP- compatible CPE, use by the end user of a non-native telephone number, broadband connection failure, loss of electrical power, and delays that may occur in making a Registered Location available in or through the ALI data- base;
(2) Obtain and keep a record of af- firmative acknowledgement by every subscriber, both new and existing, of having received and understood the ad- visory described in paragraph (e)(1) of this section; and
(3) Distribute to its existing sub- scribers warning stickers or other ap- propriate labels warning subscribers if E911 service may be limited or not available and instructing the sub- scriber to place them on or near the equipment used in conjunction with the interconnected VoIP service. Each interconnected VoIP provider shall dis- tribute such warning stickers or other appropriate labels to each new sub- scriber prior to the initiation of that subscriber’s service.
(f) Compliance Letter. All inter- connected VoIP providers must submit a letter to the Commission detailing their compliance with this section no later than November 28, 2005.
§ 9.7 Access to 911 and E911 service ca- pabilities.
(a) Access. Subject to the other re- quirements of this part, an owner or controller of a capability that can be used for 911 or E911 service shall make that capability available to a request- ing interconnected VoIP provider as set forth in paragraphs (a)(1) and (a)(2) of this section.
(1) If the owner or controller makes the requested capability available to a CMRS provider, the owner or con- troller must make that capability available to the interconnected VoIP provider. An owner or controller makes
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a capability available to a CMRS pro- vider if the owner or controller offers that capability to any CMRS provider.
(2) If the owner or controller does not make the requested capability avail- able to a CMRS provider within the meaning of paragraph (a)(1) of this sec- tion, the owner or controller must make that capability available to a re- questing interconnected VoIP provider only if that capability is necessary to enable the interconnected VoIP pro- vider to provide 911 or E911 service in compliance with the Commission’s rules.
(b) Rates, terms, and conditions. The rates, terms, and conditions on which a capability is provided to an inter- connected VoIP provider under para- graph (a) of this section shall be rea- sonable. For purposes of this para- graph, it is evidence that rates, terms, and conditions are reasonable if they are:
(1) The same as the rates, terms, and conditions that are made available to CMRS providers, or
(2) In the event such capability is not made available to CMRS providers, the same rates, terms, and conditions that are made available to any tele- communications carrier or other entity for the provision of 911 or E911 service.
(c) Permissible use. An interconnected VoIP provider that obtains access to a capability pursuant to this section may use that capability only for the purpose of providing 911 or E911 service in accordance with the Commission’s rules.
[74 FR 31874, July 6, 2009]
EFFECTIVE DATE NOTE: At 74 FR 31874, July 6, 2009, § 9.7(a) was added. This paragraph contains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
PART 10—COMMERCIAL MOBILE ALERT SYSTEM
Subpart A—General Information
Sec. 10.1 Basis. 10.2 Purpose. 10.10 Definitions. 10.11 CMAS implementation timeline.
Subpart B—Election to Participate in Com-
mercial Mobile Alert System [Re- served]
Subpart B—Election to Participate in Commercial Mobile Alert System
10.210 CMAS participation election proce- dures.
10.220 Withdrawal of election to participate in CMAS.
10.230 New CMS providers participation in CMAS.
10.240 Notification to new subscribers of non-participation in CMAS.
10.250 Notification to existing subscribers of non-participation in CMAS.
10.260 Timing of subscriber notification. 10.270 Subscribers’ right to terminate sub-
scription. 10.280 Subscribers’ right to opt out of CMAS
notifications.
Subpart C—System architecture
10.300 Alert aggregator. [Reserved] 10.310 Federal alert gateway.[Reserved] 10.320 Provider gateway requirements. 10.330 Provider infrastructure requirements. 10.340 Digital television transmission tow-
ers retransmission capability. 10.350 CMAS testing requirements.
Subpart D—Alert message requirements
10.400 Classification. 10.410 Prioritization. 10.420 Message elements. 10.430 Character limit. 10.440 Embedded reference prohibition. 10.450 Geographic targeting. 10.460 Retransmission frequency. [Reserved] 10.470 Roaming.
Subpart E—Equipment requirements
10.500 General requirements. 10.510 Call preemption prohibition. 10.520 Common audio attention signal. 10.530 Common vibration cadence. 10.540 Attestation requirement. [Reserved]
AUTHORITY: 47 U.S.C. 151, 154(i) and (o), 201, 303(r), 403, and 606; sections 602(a), (b), (c), (f), 603, 604 and 606 of Pub. L. 109–347, 120 Stat. 1884.
SOURCE: 73 FR 43117, July 24, 2008, unless otherwise noted.
Subpart A—General Information
§ 10.1 Basis. The rules in this part are issued pur-
suant to the authority contained in the Warning, Alert, and Response Network Act, Title VI of the Security and Ac- countability for Every Port Act of 2006,
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Public Law 109–347, Titles I through III of the Communications Act of 1934, as amended, and Executive Order 13407 of June 26, 2006, Public Alert and Warning System, 71 FR 36975, June 26, 2006.
§ 10.2 Purpose. The rules in this part establish the
requirements for participation in the voluntary Commercial Mobile Alert System.
§ 10.10 Definitions. (a) Alert Message. An Alert Message is
a message that is intended to provide the recipient information regarding an emergency, and that meets the require- ments for transmission by a Partici- pating Commercial Mobile Service Pro- vider under this part.
(b) Common Alerting Protocol. The Common Alerting Protocol (CAP) re- fers to Organization for the Advance- ment of Structured Information Stand- ards (OASIS) Standard CAP–V1.1, Octo- ber 2005 (available at http://www.oasis- open.org/specs/index.php#capv1.1), or any subsequent version of CAP adopted by OASIS and implemented by the CMAS.
(c) Commercial Mobile Alert System. The Commercial Mobile Alert System (CMAS) refers to the voluntary emer- gency alerting system established by this part, whereby Commercial Mobile Service Providers may elect to trans- mit Alert Messages to the public.
(d) Commercial Mobile Service Provider. A Commercial Mobile Service Provider (or CMS Provider) is an FCC licensee providing commercial mobile service as defined in section 332(d)(1) of the Com- munications Act of 1934 (47 U.S.C. 332(d)(1)). Section 332(d)(1) defines the term commercial mobile service as any mobile service (as defined in 47 U.S.C. 153) that is provided for profit and makes interconnected service available to the public or to such classes of eligi- ble users as to be effectively available to a substantial portion of the public, as specified by regulation by the Com- mission.
(e) County and County Equivalent. The terms County and County Equivalent as used in this part are defined by Fed- eral Information Processing Standards (FIPS) 6–4, which provides the names and codes that represent the counties and other entities treated as equiva-
lent legal and/or statistical subdivi- sions of the 50 States, the District of Columbia, and the possessions and free- ly associated areas of the United States. Counties are considered to be the ‘‘first-order subdivisions’’ of each State and statistically equivalent enti- ty, regardless of their local designa- tions (county, parish, borough, etc.). Thus, the following entities are consid- ered to be equivalent to counties for legal and/or statistical purposes: The parishes of Louisiana; the boroughs and census areas of Alaska; the Dis- trict of Columbia; the independent cit- ies of Maryland, Missouri, Nevada, and Virginia; that part of Yellowstone Na- tional Park in Montana; and various entities in the possessions and associ- ated areas. The FIPS codes and FIPS code documentation are available on- line at http://www.itl.nist.gov/fipspubs/ index.htm.
(f) Participating Commercial Mobile Service Provider. A Participating Com- mercial Mobile Service Provider (or a Participating CMS Provider) is a Com- mercial Mobile Service Provider that has voluntarily elected to transmit Alert Messages under subpart B of this part.
(g) ‘‘C’’ Interface. The interface be- tween the Alert Gateway and CMS pro- vider Gateway.
(h) CMS provider Gateway. The mech- anism(s) that supports the ‘‘C’’ inter- face and associated protocols between the Alert Gateway and the CMS pro- vider Gateway, and which performs the various functions associated with the authentication, management and dis- semination of CMAS Alert Messages re- ceived from the Alert Gateway.
(i) CMS provider infrastructure. The mechanism(s) that distribute received CMAS Alert Messages throughout the CMS provider’s network, including cell site/paging transceivers and perform functions associated with authentica- tion of interactions with the Mobile Device.
(j) Mobile Devices. The subscriber equipment generally offered by CMS providers that supports the distribu- tion of CMAS Alert Messages.
[73 FR 43117, July 24, 2008, as amended at 73 FR 54525, Sept. 22, 2008]
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§ 10.11 CMAS implementation timeline. Notwithstanding anything in this
part to the contrary, a participating CMS provider shall begin an 18 month period of development, testing and de- ployment of the CMAS in a manner consistent with the rules in this part no later than 10 months from the date that the Federal Alert Aggregator and Alert Gateway makes the Government Interface Design specifications avail- able.
[73 FR 54525, Sept. 22, 2008]
Subpart B—Election to Participate in Commercial Mobile Alert System
SOURCE: 73 FR 54525, Sept. 22, 2008, unless otherwise noted.
§ 10.210 CMAS participation election procedures.
(a) A CMS provider that elects to transmit CMAS Alert Messages, in part or in whole, shall electronically file with the Commission a letter attesting that the Provider:
(1) Agrees to transmit such alerts in a manner consistent with the technical standards, protocols, procedures, and other technical requirements imple- mented by the Commission; and
(2) Commits to support the develop- ment and deployment of technology for the ‘‘C’’ interface, the CMS provider Gateway, the CMS provider infrastruc- ture, and mobile devices with CMAS functionality and support of the CMS provider selected technology.
(b) A CMS provider that elects not to transmit CMAS Alert Messages shall file electronically with the Commis- sion a letter attesting to that fact.
(c) CMS providers shall file their election electronically to the docket.
§ 10.220 Withdrawal of election to par- ticipate in CMAS.
A CMS provider that elects to trans- mit CMAS Alert Messages, in part or in whole, may withdraw its election with- out regulatory penalty or forfeiture if it notifies all affected subscribers as well as the Federal Communications Commission at least sixty (60) days prior to the withdrawal of its election. In the event that a carrier withdraws
from its election to transmit CMAS Alert Messages, the carrier must notify each affected subscriber individually in clear and conspicuous language citing the statute. Such notice must prompt- ly inform the customer that he or she no longer could expect to receive alerts and of his or her right to terminate service as a result, without penalty or early termination fee. Such notice must facilitate the ability of a cus- tomer to automatically respond and immediately discontinue service.
§ 10.230 New CMS providers participa- tion in CMAS.
CMS providers who initiate service at a date after the election procedure pro- vided for in § 10.210(d) and who elect to provide CMAS Alert Messages, in part or in whole, shall file electronically their election to transmit in the man- ner and with the attestations described in § 10.210(a).
§ 10.240 Notification to new sub- scribers of non-participation in CMAS.
(a) A CMS provider that elects not to transmit CMAS Alert Messages, in part or in whole, shall provide clear and conspicuous notice, which takes into account the needs of persons with dis- abilities, to new subscribers of its non- election or partial election to provide Alert messages at the point-of-sale.
(b) The point-of-sale includes stores, kiosks, third party reseller locations, web sites (proprietary or third party), and any other venue through which the CMS provider’s devices and services are marketed or sold.
(c) CMS providers electing to trans- mit alerts ‘‘in part’’ shall use the fol- lowing notification:
NOTICE REGARDING TRANSMISSION OF WIRELESS EMERGENCY ALERTS (Com- mercial Mobile Alert Service)
[[CMS provider]] has chosen to offer wire- less emergency alerts within portions of its service area, as defined by the terms and conditions of its service agreement, on wire- less emergency alert capable devices. There is no additional charge for these wireless emergency alerts.
Wireless emergency alerts may not be available on all devices or in the entire serv- ice area, or if a subscriber is outside of the [[CMS provider]] service area. For details on the availability of this service and wireless emergency alert capable devices, please ask
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a sales representative, or go to [[CMS pro- vider’s URL]].
Notice required by FCC Rule 47 CFR 10.240 (Commercial Mobile Alert Service).
(d) CMS providers electing in whole not to transmit alerts shall use the fol- lowing notification language:
NOTICE TO NEW AND EXISTING SUB- SCRIBERS REGARDING TRANSMISSION OF WIRELESS EMERGENCY ALERTS (Commercial Mobile Alert Service)
[[CMS provider]] presently does not trans- mit wireless emergency alerts. Notice re- quired by FCC Rule 47 CFR 10.240 (Commer- cial Mobile Alert Service).
§ 10.250 Notification to existing sub- scribers of non-participation in CMAS.
(a) A CMS provider that elects not to transmit CMAS Alert Messages, in part or in whole, shall provide clear and conspicuous notice, which takes into account the needs of persons with dis- abilities, to existing subscribers of its non-election or partial election to pro- vide Alert messages by means of an an- nouncement amending the existing subscriber’s service agreement.
(b) For purposes of this section, a CMS provider that elects not to trans- mit CMAS Alert Messages, in part or in whole, shall use the notification lan- guage set forth in § 10.240 (c) or (d) re- spectively, except that the last line of the notice shall reference FCC Rule 47 CFR 10.250, rather than FCC Rule 47 CFR 10.240.
(c) In the case of prepaid customers, if a mailing address is available, the CMS provider shall provide the re- quired notification via U.S. mail. If no mailing address is available, the CMS provider shall use any reasonable method at its disposal to alert the cus- tomer to a change in the terms and conditions of service and directing the subscriber to voice-based notification or to a Web site providing the required notification.
§ 10.260 Timing of subscriber notifica- tion.
A CMS provider that elects not to transmit CMAS Alert Messages, in part or in whole, must comply with §§ 10.240 and 10.250 no later than 60 days fol- lowing an announcement by the Com- mission that the Alert Aggregator/ Gateway system is operational and ca-
pable of delivering emergency alerts to participating CMS providers.
§ 10.270 Subscribers’ right to termi- nate subscription.
If a CMS provider that has elected to provide CMAS Alert Messages in whole or in part thereafter chooses to cease providing such alerts, either in whole or in part, its subscribers may termi- nate their subscription without pen- alty or early termination fee.
§ 10.280 Subscribers’ right to opt out of CMAS notifications.
(a) CMS providers may provide their subscribers with the option to opt out of both, or either, the ‘‘Child Abduc- tion Emergency/AMBER Alert’’ and ‘‘Imminent Threat Alert’’ classes of Alert Messages.
(b) CMS providers shall provide their subscribers with a clear indication of what each option means, and provide examples of the types of messages the customer may not receive as a result of opting out.
Subpart C—System Architecture § 10.300 Alert aggregator. [Reserved]
§ 10.310 Federal alert gateway. [Re- served]
§ 10.320 Provider alert gateway re- quirements.
This section specifies the functions that each Participating Commercial Mobile Service provider is required to support and perform at its CMS pro- vider gateways.
(a) General. The CMS provider gate- way must provide secure, redundant, and reliable connections to receive Alert Messages from the Federal alert gateway. Each CMS provider gateway must be identified by a unique IP ad- dress or domain name.
(b) Authentication and validation. The CMS provider gateway must authen- ticate interactions with the Federal alert gateway, and validate Alert Mes- sage integrity and parameters. The CMS provider gateway must provide an error message immediately to the Fed- eral alert gateway if a validation fails.
(c) Security. The CMS provider gate- way must support standardized IP- based security mechanisms such as a
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firewall, and support the defined CMAS ‘‘C’’ interface and associated protocols between the Federal alert gateway and the CMS provider gateway.
(d) Geographic targeting. The CMS provider gateway must determine whether the provider has elected to transmit an Alert Message within a specified alert area and, if so, map the Alert Message to an associated set of transmission sites.
(e) Message management—(1) For- matting. The CMS provider gateway is not required to perform any for- matting, reformatting, or translation of an Alert Message, except for transcoding a text, audio, video, or multimedia file into the format sup- ported by mobile devices.
(2) Reception. The CMS provider gateway must support a mechanism to stop and start Alert Message deliveries from the Federal alert gateway to the CMS provider gateway.
(3) Prioritization. The CMS provider gateway must process an Alert Mes- sage on a first in-first out basis except for Presidential Alerts, which must be processed before all non-Presidential alerts.
(4) Distribution. A Participating CMS provider must deploy one or more CMS provider gateways to support distribu- tion of Alert Messages and to manage Alert Message traffic.
(5) Retransmission. The CMS pro- vider gateway must manage and exe- cute Alert Message retransmission, and support a mechanism to manage con- gestion within the CMS provider’s in- frastructure.
(f) CMS Provider Profile. The CMS pro- vider gateway will provide profile in- formation on the CMS provider for the Federal alert gateway to maintain at the Federal alert gateway. This profile information must be provided by an au- thorized CMS provider representative to the Federal alert gateway adminis- trator. The profile information must include the data listed in Table 10.320(f) and must comply with the following procedures:
(1) The information must be provided 30 days in advance of the date when the CMS provider begins to transmit CMAS alerts.
(2) Updates of any CMS provider pro- files must be provided in writing at least 30 days in advance of the effective change date.
TABLE 10.320(f)—CMSP PROFILE ON FEDERAL ALERT GATEWAY
Profile parameter Parameter election Description
CMSP Name ............................ .................................................. Unique identification of CMSP. CMSP gateway Address .......... IP address or Domain Name.
Alternate IP address ............... Optional and subject to implementation. Geo-Location Filtering .............. <yes/no> .................................. If ‘‘yes’’ the only CMAM issued in the listed states will be sent
to the CMSP gateway. If ‘‘no’’, all CMAM will be sent to the CMSP gateway.
If yes, list of states ................... CMAC Geocode for state ........ List can be state name or abbreviated state name.
§ 10.330 Provider infrastructure re- quirements.
This section specifies the general functions that a Participating CMS Provider is required to perform within their infrastructure. Infrastructure functions are dependent upon the capa- bilities of the delivery technologies im- plemented by a Participating CMS Pro- vider.
(a) Distribution of Alert Messages to mobile devices.
(b) Authentication of interactions with mobile devices.
(c) Reference Points D & E. Reference Point D is the interface between a CMS
Provider gateway and its infrastruc- ture. Reference Point E is the interface between a provider’s infrastructure and mobile devices including air interfaces. Reference Points D and E protocols are defined and controlled by each Partici- pating CMS Provider.
§ 10.340 Digital television transmission towers retransmission capability.
Licensees and permittees of non- commercial educational broadcast tele- vision stations (NCE) or public broad- cast television stations (to the extent such stations fall within the scope of those terms as defined in section 397(6)
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of the Communications Act of 1934 (47 U.S.C. 397(6))) are required to install on, or as part of, any broadcast tele- vision digital signal transmitter, equipment to enable the distribution of geographically targeted alerts by com- mercial mobile service providers that have elected to transmit CMAS alerts. Such equipment and technologies must have the capability of allowing licens- ees and permittees of NCE and public broadcast television stations to receive CMAS alerts from the Alert Gateway over an alternate, secure interface and then to transmit such CMAS alerts to CMS Provider Gateways of partici- pating CMS providers. This equipment must be installed no later than eight- een months from the date of receipt of funding permitted under section 606(b) of the WARN Act or 18 months from the effective date of these rules, which- ever is later.
[73 FR 47558, Aug. 14, 2008]
§ 10.350 CMAS testing requirements. This section specifies the testing
that will be required, no later than the date of deployment of the CMAS, of CMAS components.
(a) Required Monthly Tests. Testing of the CMAS from the Federal Alert Gate- way to each Participating CMS Pro- vider’s infrastructure shall be con- ducted monthly.
(1) A Participating CMS Provider’s Gateway shall support the ability to receive a required monthly test (RMT) message initiated by the Federal Alert Gateway Administrator.
(2) Participating CMS Providers shall schedule the distribution of the RMT to their CMAS coverage area over a 24 hour period commencing upon receipt of the RMT at the CMS Provider Gate- way. Participating CMS Providers shall determine the method to dis- tribute the RMTs, and may schedule over the 24 hour period the delivery of RMTs over geographic subsets of their coverage area to manage traffic loads and to accommodate maintenance win- dows.
(3) A Participating CMS Provider may forego an RMT if the RMT is pre- empted by actual alert traffic or if an unforeseen condition in the CMS Pro- vider infrastructure precludes distribu- tion of the RMT. A Participating CMS
Provider Gateway shall indicate such an unforeseen condition by a response code to the Federal Alert Gateway.
(4) The RMT shall be initiated only by the Federal Alert Gateway Adminis- trator using a defined test message. Real event codes or alert messages shall not be used for the CMAS RMT message.
(5) A Participating CMS Provider shall distribute an RMT within its CMAS coverage area within 24 hours of receipt by the CMS Provider Gateway unless pre-empted by actual alert traf- fic or unable due to an unforeseen con- dition.
(6) A Participating CMS Provider may provide mobile devices with the capability of receiving RMT messages.
(7) A Participating CMS Provider must retain an automated log of RMT messages received by the CMS Provider Gateway from the Federal Alert Gate- way.
(b) Periodic C Interface Testing. In ad- dition to the required monthly tests, a Participating CMS Provider must par- ticipate in periodic testing of the inter- face between the Federal Alert Gate- way and its CMS Provider Gateway. This periodic interface testing is not intended to test the CMS Provider’s in- frastructure nor the mobile devices but rather is required to ensure the avail- ability/viability of both gateway func- tions. Each CMS Provider Gateway shall send an acknowledgement to the Federal Alert Gateway upon receipt of such an interface test message. Real event codes or alert messages shall not be used for this periodic interface test- ing.
[73 FR 47558, Aug. 14, 2008]
EFFECTIVE DATE NOTE: At 73 FR 47558, Aug. 14, 2008, § 10.350 was added. Paragraphs (a)(7) and (b) contain information collection and recordkeeping requirements and will not be- come effective until approval has been given by the Office of Management and Budget.
Subpart D—Alert Message Requirements
§ 10.400 Classification. A Participating CMS Provider is re-
quired to receive and transmit three classes of Alert Messages: Presidential Alert; Imminent Threat Alert; and
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Child Abduction Emergency/AMBER Alert.
(a) Presidential Alert. A Presidential Alert is an alert issued by the Presi- dent of the United States or the Presi- dent’s authorized designee.
(b) Imminent Threat Alert. An Immi- nent Threat Alert is an alert that meets a minimum value for each of three CAP elements: Urgency, Sever- ity, and Certainty.
(1) Urgency. The CAP Urgency ele- ment must be either Immediate (i.e., responsive action should be taken im- mediately) or Expected (i.e., responsive action should be taken soon, within the next hour).
(2) Severity. The CAP Severity ele- ment must be either Extreme (i.e., an extraordinary threat to life or prop- erty) or Severe (i.e., a significant threat to life or property).
(3) Certainty. The CAP Certainty ele- ment must be either Observed (i.e., de- termined to have occurred or to be on- going) or Likely (i.e., has a probability of greater than 50 percent).
(c) Child Abduction Emergency/AMBER Alert. (1) An AMBER Alert is an alert initiated by a local government official based on the U.S. Department of Jus- tice’s five criteria that should be met before an alert is activated:
(i) Law enforcement confirms a child has been abducted;
(ii) The child is 17 years or younger; (iii) Law enforcement believes the
child is in imminent danger of serious bodily harm or death;
(iv) There is enough descriptive in- formation about the victim and the ab- duction to believe an immediate broad- cast alert will help; and
(v) The child’s name and other data have been entered into the National Crime Information Center.
(2) There are four types of AMBER Alerts: Family Abduction; Non-family Abduction; Lost, Injured or Otherwise Missing; and Endangered Runaway.
(i) Family Abduction. A Family Ab- duction (FA) alert involves an abductor who is a family member of the ab- ducted child such as a parent, aunt, grandfather, or stepfather.
(ii) Nonfamily Abduction. A Nonfamily Abduction (NFA) alert involves an ab- ductor unrelated to the abducted child, either someone unknown to the child
and/or the child’s family or an ac- quaintance/friend of the child and/or the child’s family.
(iii) Lost, Injured, or Otherwise Miss- ing. A Lost, Injured, or Otherwise Miss- ing (LIM) alert involves a case where the circumstances of the child’s dis- appearance are unknown.
(iv) Endangered Runaway. An Endan- gered Runaway (ERU) alert involves a missing child who is believed to have run away and in imminent danger.
§ 10.410 Prioritization. A Participating CMS Provider is re-
quired to transmit Presidential Alerts upon receipt. Presidential Alerts pre- empt all other Alert Messages. A Par- ticipating CMS Provider is required to transmit Imminent Threat Alerts and AMBER Alerts on a first in-first out (FIFO) basis.
§ 10.420 Message elements. A CMAS Alert Message processed by
a Participating CMS Provider shall in- clude five mandatory CAP elements— Event Type; Area Affected; Rec- ommended Action; Expiration Time (with time zone); and Sending Agency. This requirement does not apply to Presidential Alerts.
§ 10.430 Character limit. A CMAS Alert Message processed by
a Participating CMS Provider must not exceed 90 characters of alphanumeric text.
§ 10.440 Embedded reference prohibi- tion.
A CMAS Alert Message processed by a Participating CMS Provider must not include an embedded Uniform Resource Locator (URL), which is a reference (an address) to a resource on the Internet, or an embedded telephone number. This prohibition does not apply to Presidential Alerts.
§ 10.450 Geographic targeting. This section establishes minimum re-
quirements for the geographic tar- geting of Alert Messages. A Partici- pating CMS Provider will determine which of its network facilities, ele- ments, and locations will be used to geographically target Alert Messages. A Participating CMS Provider must
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transmit any Alert Message that is specified by a geocode, circle, or pol- ygon to an area not larger than the provider’s approximation of coverage for the Counties or County Equivalents with which that geocode, circle, or pol- ygon intersects. If, however, the propa- gation area of a provider’s trans- mission site exceeds a single County or County Equivalent, a Participating CMS Provider may transmit an Alert Message to an area not exceeding the propagation area.
§ 10.460 Retransmission frequency. [Reserved]
§ 10.470 Roaming. When, pursuant to a roaming agree-
ment (see § 20.12 of this chapter), a sub- scriber receives services from a roamed-upon network of a Partici- pating CMS Provider, the Participating CMS Provider must support CMAS alerts to the roaming subscriber to the extent the subscriber’s mobile device is configured for and technically capable of receiving CMAS alerts.
Subpart E—Equipment Requirements
§ 10.500 General requirements. CMAS mobile device functionality is
dependent on the capabilities of a Par- ticipating CMS Provider’s delivery technologies. Mobile devices are re- quired to perform the following func- tions:
(a) Authentication of interactions with CMS Provider infrastructure.
(b) Monitoring for Alert Messages. (c) Maintaining subscriber alert opt-
out selections, if any. (d) Maintaining subscriber alert lan-
guage preferences, if any. (e) Extraction of alert content in
English or the subscriber’s preferred language, if applicable.
(f) Presentation of alert content to the device, consistent with subscriber opt-out selections. Presidential Alerts must always be presented.
(g) Detection and suppression of pres- entation of duplicate alerts.
§ 10.510 Call preemption prohibition. Devices marketed for public use
under part 10 must not enable an Alert
Message to preempt an active voice or data session.
§ 10.520 Common audio attention sig- nal.
A Participating CMS Provider and equipment manufacturers may only market devices for public use under part 10 that include an audio attention signal that meets the requirements of this section.
(a) The audio attention signal must have a temporal pattern of one long tone of two (2) seconds, followed by two short tones of one (1) second each, with a half (0.5) second interval between each tone. The entire sequence must be repeated twice with a half (0.5) second interval between each repetition.
(b) For devices that have polyphonic capabilities, the audio attention signal must consist of the fundamental fre- quencies of 853 Hz and 960 Hz trans- mitted simultaneously.
(c) For devices with only a monophonic capability, the audio at- tention signal must be 960 Hz.
(d) The audio attention signal must be restricted to use for Alert Messages under part 10.
(e) A device may include the capa- bility to mute the audio attention sig- nal.
§ 10.530 Common vibration cadence.
A Participating CMS Provider and equipment manufacturers may only market devices for public use under part 10 that include a vibration ca- dence capability that meets the re- quirements of this section.
(a) The vibration cadence must have a temporal pattern of one long vibra- tion of two (2) seconds, followed by two short vibrations of one (1) second each, with a half (0.5) second interval be- tween each vibration. The entire se- quence must be repeated twice with a half (0.5) second interval between each repetition.
(b) The vibration cadence must be re- stricted to use for Alert Messages under part 10.
(c) A device may include the capa- bility to mute the vibration cadence.
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§ 10.540 Attestation requirement. [Re- served]
PART 11—EMERGENCY ALERT SYSTEM (EAS)
Subpart A—General
Sec. 11.1 Purpose. 11.2 Definitions. 11.11 The Emergency Alert System (EAS). 11.12 Two-tone Attention Signal encoder
and decoder. 11.13 Emergency Action Notification (EAN)
and Emergency Action Termination (EAT).
11.14 Primary Entry Point (PEP) System. 11.15 EAS Operating Handbook. 11.16 National Control Point Procedures. 11.18 EAS Designations. 11.19 EAS Non-participating National Au-
thorization Letter. 11.20 State Relay Network. 11.21 State and Local Area plans and FCC
Mapbook.
Subpart B—Equipment Requirements
11.31 EAS protocol. 11.32 EAS Encoder. 11.33 EAS Decoder. 11.34 Acceptability of the equipment. 11.35 Equipment operational readiness.
Subpart C—Organization
11.41 Participation in EAS. 11.42 Participation by communications
common carriers. 11.43 National level participation. 11.44 EAS message priorities. 11.45 Prohibition of false or deceptive EAS
transmissions. 11.46 EAS public service announcements. 11.47 Optional use of other communications
methods and systems.
Subpart D—Emergency Operations
11.51 EAS code and Attention Signal Trans- mission requirements.
11.52 EAS code and Attention Signal Moni- toring requirements.
11.53 Dissemination of Emergency Action Notification.
11.54 EAS operation during a National Level emergency.
11.55 EAS operation during a State or Local Area emergency.
11.56 EAS Participants receive CAP-for- matted alerts.
Subpart E—Tests
11.61 Tests of EAS procedures.
AUTHORITY: 47 U.S.C. 151, 154 (i) and (o), 303(r), 544(g) and 606.
SOURCE: 59 FR 67092, Dec. 28, 1994, unless otherwise noted.
Subpart A—General
§ 11.1 Purpose.
This part contains rules and regula- tions providing for an Emergency Alert System (EAS). The EAS provides the President with the capability to pro- vide immediate communications and information to the general public at the National, State and Local Area lev- els during periods of national emer- gency. The rules in this part describe the required technical standards and operational procedures of the EAS for analog AM, FM, and TV broadcast sta- tions, digital broadcast stations, ana- log cable systems, digital cable sys- tems, wireline video systems, wireless cable systems, Direct Broadcast Sat- ellite (DBS) services, Satellite Digital Audio Radio Service (SDARS), and other participating entities. The EAS may be used to provide the heads of State and local government, or their designated representatives, with a means of emergency communication with the public in their State or Local Area.
[72 FR 62132, Nov. 2, 2007]
§ 11.2 Definitions.
The definitions of terms used in part 11 are:
(a) Primary Entry Point (PEP) System. The PEP system is a nationwide net- work of broadcast stations and other entities connected with government activation points. It is used to dis- tribute the EAN, EAT, and EAS na- tional test messages and other EAS messages. FEMA has designated 34 of the nation’s largest radio broadcast stations as PEPs. The PEPs are des- ignated to receive the Presidential alert from FEMA and distribute it to local stations.
(b) Local Primary One (LP–1). The LP– 1 is a radio station that acts as a key EAS monitoring source. Each LP–1 sta- tion must monitor its regional PEP station and a back-up source for Presi- dential messages.
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(c) EAS Participants. Entities required under the Commission’s rules to com- ply with EAS rules, e.g., analog radio and television stations, and wired and wireless cable television systems, DBS, DTV, SDARS, digital cable and DAB, and wireline video systems.
(d) Wireline Video System. The system of a wireline common carrier used to provide video programming service.
(e) Participating National (PN). PN stations are broadcast stations that transmit EAS National, state, or local EAS messages to the public.
(f) National Primary (NP). Stations that are the primary entry point for Presidential messages delivered by FEMA. These stations are responsible for broadcasting a Presidential alert to the public and to State Primary sta- tions within their broadcast range.
(g) State Primary (SP). Stations that are the entry point for State messages, which can originate from the Governor or a designated representative.
[72 FR 62132, Nov. 2, 2007]
§ 11.11 The Emergency Alert System (EAS).
(a) The EAS is composed of analog radio broadcast stations including AM, FM, and Low-power FM (LPFM) sta- tions; digital audio broadcasting (DAB) stations, including digital AM, FM, and Low-power FM stations; analog tele-
vision broadcast stations including Class A television (CA) and Low-power TV (LPTV) stations; digital television (DTV) broadcast stations, including digital CA and digital LPTV stations; analog cable systems; digital cable sys- tems which are defined for purposes of this part only as the portion of a cable system that delivers channels in dig- ital format to subscribers at the input of a Unidirectional Digital Cable Prod- uct or other navigation device; wireline video systems; wireless cable systems which may consist of Broadband Radio Service (BRS), or Educational Broadband Service (EBS) stations; DBS services, as defined in 47 CFR 25.701(a) (including certain Ku-band Fixed-Sat- ellite Service Direct to Home pro- viders); SDARS, as defined in 47 CFR 25.201; participating broadcast net- works, cable networks and program suppliers; and other entities and indus- tries operating on an organized basis during emergencies at the National, State and local levels. These entities are referred to collectively as EAS Par- ticipants in this part, and are subject to this part, except as otherwise pro- vided herein. At a minimum EAS Par- ticipants must use a common EAS pro- tocol, as defined in § 11.31, to send and receive emergency alerts in accordance with the effective dates listed above and in the following tables:
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Federal Communications Commission § 11.11
ANALOG CABLE SYSTEMS
[A. Analog cable systems serving fewer than 5,000 subscribers from a headend must either provide the Na- tional level EAS message on all pro-
grammed channels including the re- quired testing by October 1, 2002, or comply with the following EAS re- quirements. All other analog cable sys- tems must comply with B.]
SYSTEM SIZE AND EFFECTIVE DATES
B. EAS equipment requirement ≥5,000 but < 10,000 sub-
scribers
≥10,000 sub- scribers
<5,000 subscribers
Two-tone signal from storage device 1 .............................................................. Y 12/31/98 Y 10/1/02 Y 10/1/02 EAS decoder 3 ................................................................................................... Y 12/31/98 Y 10/1/02 Y 10/1/02 EAS encoder 2 ................................................................................................... Y 12/31/98 Y 10/1/02 Y 10/1/02 Audio and Video EAS Message on all channels .............................................. Y 12/31/98 Y 10/1/02 N Video interrupt and audio alert message on all channels, 3 Audio and Video
EAS message on at least one channel. N N Y 10/1/02
1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly test. The two-tone signal must be 8–25 seconds in duration.
2 Analog cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC- certified decoder.
3 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency mes- sage. The audio alert must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message.
Note: Programmed channels do not include channels used for the transmission of data such as interactive games.
WIRELESS CABLE SYSTEMS (BRS/EBS STATIONS)
[A. Wireless cable systems serving fewer than 5,000 subscribers from a sin- gle transmission site must either pro-
vide the National level EAS message on all programmed channels including the required testing by October 1, 2002, or comply with the following EAS re- quirements. All other wireless cable systems must comply with B.]
SYSTEM SIZE AND EFFECTIVE DATES
B. EAS equipment
requirement
≥5,000 sub- scribers
<5,000 sub- scribers
EAS decoder ................................................................................................................................. Y 10/1/02 Y 10/1/02 EAS encoder 1,2 ............................................................................................................................. Y 10/1/02 Y 10/1/02 Audio and Video EAS Message on all channels 3 ........................................................................ Y 10/1/02 N Video interrupt and audio alert message on all channels; 4 Audio and Video EAS message on
at least one channel. N Y 10/1/02
1 The two-tone signal is used only to provide an audio alert to an audience prior to an EAS emergency message or to the Re- quired Monthly Test (RMT) under § 11.61(a)(1). The two-tone signal must be 8–25 seconds in duration.
2 Wireless cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC- certified decoder.
3 All wireless cable systems may comply with this requirement by providing a means to switch all programmed channels to a predesignated channel that carries the required audio and video EAS messages.
4 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency mes- sage. The audio alert must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message.
Note: Programmed channels do not include channels used for the transmission of data services such as Internet.
DIGITAL CABLE SYSTEMS AND WIRELINE VIDEO SYSTEMS
[A. Digital cable systems and Wireline Video Systems serving fewer than 5,000 subscribers from a headend must either provide the National level
EAS message on all programmed chan- nels including the required testing by December 31, 2006, or comply with the following EAS requirements. All other digital cable systems and Wireline Video Systems must comply with B.]
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47 CFR Ch. I (10–1–10 Edition)§ 11.11
SYSTEM SIZE AND EFFECTIVE DATES
B. EAS equipment requirement ≥5,000 sub-scribers <5,000 sub-
scribers
Two-tone signal from storage device 1 .......................................................................................... Y 12/31/06 Y 12/31/06 EAS decoder 3 ............................................................................................................................... Y 12/31/06 Y 12/31/06 EAS encoder 2 ............................................................................................................................... Y 12/31/06 Y 12/31/06 Audio and Video EAS Message on all channels 4 ........................................................................ Y 12/31/06 N Video interrupt and audio alert message on all channels 3 Audio and Video EAS message on
at least one channel. N Y 12/31/06
1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly test. The two-tone signal must be 8–25 seconds in duration.
2 Digital cable systems and Wireline Video Systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified decoder.
3 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency mes- sage. The audio alert must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message.
4 All digital cable systems and/Wireline Video Systems may comply with this requirement by providing a means to switch all programmed channels to a predesignated channel that carries the required audio and video EAS messages.
Note: Programmed channels do not include channels used for the transmission of data such as interactive games or the trans- mission of data services such as Internet.
SDARS AND DBS
EAS equipment requirement SDARS DBS
Two-tone signal 1 ........................................................................................................................... Y 12/31/06 Y 5/31/07 EAS decoder ................................................................................................................................. Y 12/31/06 Y 5/31/07 EAS encoder ................................................................................................................................. Y 12/31/06 Y 5/31/07 Audio message on all channels 2 .................................................................................................. Y 12/31/06 Y 5/31/07 Video message on all channels 2 .................................................................................................. N/A Y 5/31/07
1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly test. The two-tone signal must be 8–25 seconds in duration.
2 All SDARS and DBS providers may comply with this requirement by providing a means to switch all programmed channels to a predesignated channel that carries the required audio and video EAS messages or by any other method that ensures that viewers of all channels receive the EAS message.
(b) Analog class D non-commercial educational FM stations as defined in § 73.506 of this chapter, digital class D non-commercial educational FM sta- tions, analog LPFM stations as defined in §§ 73.811 and 73.853 of this chapter, digital LPFM stations, analog LPTV stations as defined in § 74.701(f), and digital LPTV stations as defined in § 74.701(k) of this chapter are not re- quired to comply with § 11.32. Analog and digital LPTV stations that operate as television broadcast translator sta- tions, as defined in § 74.701(b) of this chapter, are not required to comply with the requirements of this part. FM broadcast booster stations as defined in § 74.1201(f) of this chapter and FM translator stations as defined in § 74.1201(a) of this chapter which en- tirely rebroadcast the programming of other local FM broadcast stations are not required to comply with the re- quirements of this part. International broadcast stations as defined in § 73.701 of this chapter are not required to com- ply with the requirements of this part. Analog and digital broadcast stations that operate as satellites or repeaters
of a hub station (or common studio or control point if there is no hub station) and rebroadcast 100 percent of the pro- gramming of the hub station (or com- mon studio or control point) may sat- isfy the requirements of this part through the use of a single set of EAS equipment at the hub station (or com- mon studio or control point) which complies with §§ 11.32 and 11.33.
(c) For purposes of the EAS, Broadband Radio Service (BRS) and Educational Broadband Service (EBS) stations operated as part of wireless cable systems in accordance with sub- part M of part 27 of this chapter are de- fined as follows:
(1) A ‘‘wireless cable system’’ is a col- lection of channels in the BRS or EBS used to provide video programming services to subscribers. The channels may be licensed to or leased by the wireless cable system operator.
(2) A ‘‘wireless cable operator’’ is the entity that has acquired the right to use the channels of a wireless cable system for transmission of program- ming to subscribers.
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Federal Communications Commission § 11.18
(d) Local franchise authorities and cable television system operators may enter into mutual agreements that re- quire the installation of EAS equip- ment before the required dates listed in the tables in paragraph (a). Addition- ally, local franchise authorities may use any EAS codes authorized by the FCC in any agreements.
(e) Other technologies and public service providers, such as low earth or- biting satellites, that wish to partici- pate in the EAS may contact the FCC’s Public Safety and Homeland Security Bureau or their State Emergency Com- munications Committee for informa- tion and guidance.
[63 FR 29662, June 1, 1998, as amended at 65 FR 7639, Feb. 15, 2000; 65 FR 21657, Apr. 24, 2000; 65 FR 30001, May 10, 2000; 65 FR 34406, May 30, 2000; 67 FR 18506, Apr. 16, 2002; 69 FR 72031, Dec. 10, 2004; 70 FR 19315, Apr. 13, 2005; 70 FR 71031, Nov. 25, 2005; 71 FR 76220, Dec. 20, 2006; 72 FR 62132, Nov. 2, 2007]
§ 11.12 Two-tone Attention Signal encoder and decoder.
Existing two-tone Attention Signal encoder and decoder equipment type accepted for use as Emergency Broad- cast System equipment under part 73 of this chapter may be used by broadcast stations until January 1, 1998, provided that such equipment meets the require- ments of § 11.32(a)(9) and 11.33(b). Effec- tive January 1, 1998, the two-tone At- tention Signal decoder will no longer be required and the two-tone Attention Signal will be used to provide an audio alert.
[60 FR 55999, Nov. 6, 1995]
§ 11.13 Emergency Action Notification (EAN) and Emergency Action Ter- mination (EAT).
(a) The Emergency Action Notifica- tion (EAN) is the notice to all EAS Participants and to the general public that the EAS has been activated for a national emergency.
(b) The Emergency Action Termi- nation (EAT) is the notice to all EAS Participants and to the general public that the EAN has terminated.
[70 FR 71033, Nov. 25, 2005]
§ 11.14 Primary Entry Point (PEP) Sys- tem.
The PEP system is a nationwide net- work of broadcast stations and other entities connected with government activation points. It is used to dis- tribute the EAN, EAT and EAS na- tional test messages, and other EAS messages.
[67 FR 18507, Apr. 16, 2002]
§ 11.15 EAS Operating Handbook. The EAS Operating Handbook states
in summary form the actions to be taken by personnel at EAS Participant facilities upon receipt of an EAN, an EAT, tests, or State and Local Area alerts. It is issued by the FCC and con- tains instructions for the above situa- tions. A copy of the Handbook must be located at normal duty positions or EAS equipment locations when an op- erator is required to be on duty and be immediately available to staff respon- sible for authenticating messages and initiating actions.
[70 FR 71033, Nov. 25, 2005]
§ 11.16 National Control Point Proce- dures.
The National Control Point Proce- dures are written instructions issued by the FCC to national level EAS con- trol points. The procedures are divided into sections as follows:
(a) National Level EAS Activation. This section contains the activation and termination instructions for Presi- dential messages.
(b) EAS Test Transmissions. This sec- tion contains the instructions for test- ing the EAS at the National level.
(c) National Information Center (NIC). This section contains instructions for distributing United States Government official information messages after completion of the National Level EAS activation and termination actions.
[59 FR 67092, Dec. 28, 1994, as amended at 67 FR 18508, Apr. 16, 2002]
§ 11.18 EAS Designations. (a) National Primary (NP) is a source
of EAS Presidential messages. (b) Local Primary (LP) is a source of
EAS Local Area messages. An LP source is responsible for coordinating
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47 CFR Ch. I (10–1–10 Edition)§ 11.19
the carriage of common emergency messages from sources such as the Na- tional Weather Service or local emer- gency management offices as specified in its EAS Local Area Plan. If it is un- able to carry out this function, other LP sources in the Local Area may be assigned the responsibility as indicated in State and Local Area Plans. LP sources are assigned numbers (LP–1, 2, 3, etc.) in the sequence they are to be monitored by other broadcast stations in the Local Area.
(c) State Primary (SP) is a source of EAS State messages. These messages can originate from the Governor or a designated representative in the State Emergency Operating Center (EOC) or State Capital. Messages are sent via the State Relay Network.
(d) State Relay (SR) is a source of EAS State messages. It is part of the State Relay Network and relays Na- tional and State common emergency messages into Local Areas.
(e) Participating National (PN) sources transmit EAS National, State or Local Area messages. The EAS transmissions of PN sources are in- tended for direct public reception.
(f) Non-participating National (NN) sources have elected not to participate in the National level EAS and hold an authorization letter to that effect. Upon activation of the national level EAS, NN sources are required to broad- cast the EAS codes, Attention Signal, the sign-off announcement in the EAS Operating Handbook and then stop op- erating. All NN sources are required to comply with § 11.51, 11.52 and 11.61. They may transmit EAS State or Local Area messages at any time without prior notice.
§ 11.19 EAS Non-participating National Authorization Letter.
This authorization letter is issued by the FCC to EAS Participants that have elected not to participate in the na- tional level EAS. It states that the EAS Participant has agreed to go off the air or discontinue programming on all channels during a national level EAS message. For licensees this au- thorization will remain in effect through the period of the initial license and subsequent renewals from the time of issuance unless returned by the
holder or suspended, modified, or with- drawn by the Commission.
[70 FR 71033, Nov. 25, 2005]
§ 11.20 State Relay Network. This network is composed of State
Relay (SR) sources, leased common carrier communications facilities or any other available communication fa- cilities. The network distributes State EAS messages originated by the Gov- ernor or designated official. In addition to EAS monitoring, satellites, micro- wave, FM subcarrier or any other com- munications technology may be used to distribute State emergency mes- sages.
§ 11.21 State and Local Area plans and FCC Mapbook.
EAS plans contain guidelines which must be followed by EAS Participants’ personnel, emergency officials, and Na- tional Weather Service (NWS) per- sonnel to activate the EAS. The plans include the EAS header codes and mes- sages that will be transmitted by key EAS sources (NP, LP, SP and SR). State and local plans contain unique methods of EAS message distribution such as the use of the Radio Broadcast Data System (RBDS). The plans must be reviewed and approved by the Chief, Public Safety and Homeland Security Bureau, prior to implementation to en- sure that they are consistent with na- tional plans, FCC regulations, and EAS operation.
(a) The State plan contains proce- dures for State emergency manage- ment and other State officials, the NWS, and EAS Participants’ personnel to transmit emergency information to the public during a State emergency using the EAS, including mandatory messages initiated by a state governor or his/her designee. The State plan must specify how state-level and geo- graphically targeted EAS messages ini- tiated by a state governor or his/her designee will be transmitted to all EAS Participants who provide services in the state, and must include specific and detailed information describing how such messages will be aggregated, designated as mandatory, and delivered to EAS Participants. State EAS plans should include a data table, in com- puter readable form, clearly showing
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Federal Communications Commission § 11.31
monitoring assignments and the spe- cific primary and backup path for the emergency action notification (‘‘EAN’’) from the PEP to each station in the plan.
(b) The Local Area plan contains pro- cedures for local officials or the NWS to transmit emergency information to the public during a local emergency using the EAS. Local plans may be a part of the State plan. A Local Area is a geographical area of contiguous com- munities or counties that may include more than one state.
(c) The FCC Mapbook is based on the above plans. It organizes all broadcast stations and cable systems according to their State, EAS Local Area, and EAS designation.
[72 FR 62134, Nov. 2, 2007]
Subpart B—Equipment Requirements
§ 11.31 EAS protocol. (a) The EAS uses a four part message
for an emergency activation of the EAS. The four parts are: Preamble and EAS Header Codes; audio Attention Signal; message; and, Preamble and EAS End Of Message (EOM) Codes.
(1) The Preamble and EAS Codes must use Audio Frequency Shift Key- ing at a rate of 520.83 bits per second to transmit the codes. Mark frequency is 2083.3 Hz and space frequency is 1562.5 Hz. Mark and space time must be 1.92 milliseconds. Characters are ASCII seven bit characters as defined in ANSI X3.4–1977 ending with an eighth null bit (either 0 or 1) to constitute a full eight- bit byte.
(2) The Attention Signal must be made up of the fundamental fre- quencies of 853 and 960 Hz. The two tones must be transmitted simulta- neously. The Attention Signal must be transmitted after the EAS header codes.
(3) The message may be audio, video or text.
(b) The ASCII dash and plus symbols are required and may not be used for any other purpose. Unused characters must be ASCII space characters. FM or TV call signs must use a slash ASCII character number 47 (/) in lieu of a dash.
(c) The EAS protocol, including any codes, must not be amended, extended or abridged without FCC authorization. The EAS protocol and message format are specified in the following represen- tation. Examples are provided in FCC Public Notices.
[PREAMBLE]ZCZC-ORG-EEE- PSSCCC+TTTT-JJJHHMM-LLLLLLLL- (one second pause)
[PREAMBLE]ZCZC-ORG-EEE- PSSCCC+TTTT-JJJHHMM-LLLLLLLL- (one second pause)
[PREAMBLE]ZCZC-ORG-EEE- PSSCCC+TTTT-JJJHHMM-LLLLLLLL-(at least a one second pause)
(transmission of 8 to 25 seconds of Attention Signal)
(transmission of audio, video or text mes- sages)
(at least a one second pause) [PREAMBLE]NNNN (one second pause) [PREAMBLE]NNNN (one second pause) [PREAMBLE]NNNN (at least one second
pause)
[PREAMBLE] This is a consecutive string of bits (sixteen bytes of AB hexadecimal [8 bit byte 10101011]) sent to clear the system, set AGC and set asynchronous decoder clocking cycles. The preamble must be transmitted before each header and End Of Message code.
ZCZC—This is the identifier, sent as ASCII characters ZCZC to indicate the start of ASCII code.
ORG—This is the Originator code and indi- cates who originally initiated the activation of the EAS. These codes are specified in paragraph (d) of this section.
EEE—This is the Event code and indicates the nature of the EAS activation. The codes are specified in paragraph (e) of this section. The Event codes must be compatible with the codes used by the NWS Weather Radio Specific Area Message Encoder (WRSAME).
PSSCCC—This the Location code and indi- cates the geographic area affected by the EAS alert. There may be 31 Location codes in an EAS alert. The Location code uses the Federal Information Processing Standard (FIPS) numbers as described by the U.S. De- partment of Commerce in National Institute of Standards and Technology publication FIPS PUB 6–4. Each state is assigned an SS number as specified in paragraph (f) of this section. Each county and some cities are as- signed a CCC number. A CCC number of 000 refers to an entire State or Territory. P de- fines county subdivisions as follows: 0 = all or an unspecified portion of a county, 1 = Northwest, 2 = North, 3 = Northeast, 4 = West, 5 = Central, 6 = East, 7 = Southwest, 8 = South, 9 = Southeast. Other numbers may be designated later for special applications.
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47 CFR Ch. I (10–1–10 Edition)§ 11.31
The use of county subdivisions will probably be rare and generally for oddly shaped or un- usually large counties. Any subdivisions must be defined and agreed to by the local officials prior to use.
+TTTT—This indicates the valid time pe- riod of a message in 15 minute segments up to one hour and then in 30 minute segments beyond one hour; i.e., +0015, +0030, +0045, +0100, +0430 and +0600.
JJJHHMM—This is the day in Julian Cal- endar days (JJJ) of the year and the time in hours and minutes (HHMM) when the mes- sage was initially released by the originator using 24 hour Universal Coordinated Time (UTC).
LLLLLLLL—This is the identification of the EAS Participant, NWS office, etc., trans- mitting or retransmitting the message. These codes will be automatically affixed to all outgoing messages by the EAS encoder.
NNNN—This is the End of Message (EOM) code sent as a string of four ASCII N char- acters.
(d) The only originator codes are:
Originator ORG code
EAS Participant ................................................ EAS Civil authorities ................................................. CIV National Weather Service ................................ WXR Primary Entry Point System ............................. PEP
(e) The following Event (EEE) codes are presently authorized:
Nature of Activation EventCodes
National Codes (Required): Emergency Action Notification (National only) .......... EAN Emergency Action Termination (National only) ......... EAT National Information Center ...................................... NIC National Periodic Test ............................................... NPT Required Monthly Test .............................................. RMT Required Weekly Test ............................................... RWT State and Local Codes (Optionan( � Administrative Message ............................................ ADR Avalanche Warning ................................................... AVW 1 Avalanche Watch ....................................................... AVA 1 Blizzard Warning ....................................................... BZW Child Abduction Emergency ...................................... CAE 1 Civil Danger Warning ................................................ CDW 1 Civil Emergency Message ......................................... CEM Coastal Flood Warning .............................................. CFW 1 Coastal Flood Watch ................................................. CFA 1 Dust Storm Warning .................................................. DSW 1 Earthquake Warning .................................................. EQW 1 Evacuation Immediate ............................................... EVI Fire Warning .............................................................. FRW 1 Flash Flood Warning ................................................. FFW Flash Flood Watch .................................................... FFA Flash Flood Statement .............................................. FFS Flood Warning ........................................................... FLW Flood Watch .............................................................. FLA Flood Statement ........................................................ FLS Hazardous Materials Warning ................................... HMW 1 High Wind Warning ................................................... HWW High Wind Watch ....................................................... HWA Hurricane Warning ..................................................... HUW Hurricane Watch ........................................................ HUA Hurricane Statement .................................................. HLS
Nature of Activation EventCodes
Law Enforcement Warning ........................................ LEW 1 Local Area Emergency .............................................. LAE 1 Network Message Notification ................................... NMN 1 911 Telephone Outage Emergency .......................... TOE 1 Nuclear Power Plant Warning ................................... NUW 1 Practice/Demo Warning ............................................. DMO Radiological Hazard Warning .................................... RHW 1 Severe Thunderstorm Warning ................................. SVR Severe Thunderstorm Watch .................................... SVA Severe Weather Statement ....................................... SVS Shelter in Place Warning ........................................... SPW 1 Special Marine Warning ............................................ SMW 1 Special Weather Statement ....................................... SPS Tornado Warning ....................................................... TOR Tornado Watch .......................................................... TOA Tropical Storm Warning ............................................. TRW 1 Tropical Storm Watch ................................................ TRA 1 Tsunami Warning ...................................................... TSW Tsunami Watch .......................................................... TSA Volcano Warning ....................................................... VOW 1 Winter Storm Warning ............................................... WSW Winter Storm Watch .................................................. WSA
1 Effective May 16, 2002, analog radio and television broad- cast stations, analog cable systems and wireless cable sys- tems may upgrade their existing EAS equipment to add these event codes on a voluntary basis until the equipment is re- placed. All models of EAS equipment manufactured after Au- gust 1, 2003 must be capable of receiving and transmitting these event codes. EAS Participants that install or replace their EAS equipment after February 1, 2004 must install equipment that is capable of receiving and transmitting these event codes.
(f) The State, Territory and Offshore (Marine Area) FIPS number codes (SS) are as follows. County FIPS numbers (CCC) are contained in the State EAS Mapbook.
FIPS#
State: AL ........................................................................... 01 AK .......................................................................... 02 AZ ........................................................................... 04 AR .......................................................................... 05 CA .......................................................................... 06 CO .......................................................................... 08 CT .......................................................................... 09 DE .......................................................................... 10 DC .......................................................................... 11 FL ........................................................................... 12 GA .......................................................................... 13 HI ............................................................................ 15 ID ............................................................................ 16 IL ............................................................................ 17 IN ............................................................................ 18 IA ............................................................................ 19 KS .......................................................................... 20 KY .......................................................................... 21 LA ........................................................................... 22 ME .......................................................................... 23 MD .......................................................................... 24 MA .......................................................................... 25 MI ........................................................................... 26 MN .......................................................................... 27 MS .......................................................................... 28 MO ......................................................................... 29 MT .......................................................................... 30 NE .......................................................................... 31 NV .......................................................................... 32 NH .......................................................................... 33 NJ ........................................................................... 34
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Federal Communications Commission § 11.32
FIPS#
NM .......................................................................... 35 NY .......................................................................... 36 NC .......................................................................... 37 ND .......................................................................... 38 OH .......................................................................... 39 OK .......................................................................... 40 OR .......................................................................... 41 PA .......................................................................... 42 RI ............................................................................ 44 SC .......................................................................... 45 SD .......................................................................... 46 TN .......................................................................... 47 TX ........................................................................... 48 UT .......................................................................... 49 VT ........................................................................... 50 VA .......................................................................... 51 WA ......................................................................... 53 WV ......................................................................... 54 WI ........................................................................... 55 WY ......................................................................... 56
Terr.: AS .......................................................................... 60 FM .......................................................................... 64 GU .......................................................................... 66 MH .......................................................................... 68 MH .......................................................................... 68 PR .......................................................................... 72 PW ......................................................................... 70 UM .......................................................................... 74 VI ............................................................................ 78
Offshore (Marine Areas) 1: Eastern North Pacific Ocean, and along U.S.
West Coast from Canadian border to Mexican border ................................................................. 57
North Pacific Ocean near Alaska, and along Alas- ka coastline, including the Bering Sea and the Gulf of Alaska ..................................................... 58
Central Pacific Ocean, including Hawaiian waters 59 South Central Pacific Ocean, including American
Samoa waters .................................................... 61 Western Pacific Ocean, including Mariana Island
waters ................................................................. 65 Western North Atlantic Ocean, and along U.S.
East Coast, from Canadian border south to Currituck Beach Light, N.C ................................ 73
Western North Atlantic Ocean, and along U.S. East Coast, south of Currituck Beach Light, N.C., following the coastline into Gulf of Mexico to Bonita Beach, FL., including the Caribbean .. 75
Gulf of Mexico, and along the U.S. Gulf Coast from the Mexican border to Bonita Beach, FL ... 77
Lake Superior ......................................................... 91 Lake Michigan ........................................................ 92 Lake Huron ............................................................ 93 Lake St. Clair ......................................................... 94 Lake Erie ................................................................ 96 Lake Ontario .......................................................... 97 St. Lawrence River above St. Regis ..................... 98
1 Effective May 16, 2002, analog radio and television broad- cast stations, analog cable systems and wireless cable sys- tems may upgrade their existing EAS equipment to add these marine area location codes on a voluntary basis until the equipment is replaced. All models of EAS equipment manu- factured after August 1, 2003, must be capable of receiving and transmitting these marine area location codes. EAS Par- ticipants that install or replace their EAS equipment after Feb- ruary 1, 2004, must install equipment that is capable of re- ceiving and transmitting these location codes.
[59 FR 67092, Dec. 28, 1994, as amended at 60 FR 55999, Nov. 6, 1995; 61 FR 54952, Oct. 23, 1996; 63 FR 29663, June 1, 1998; 67 FR 18508, Apr. 16, 2002; 67 FR 77174, Dec. 17, 2002; 69 FR 72031, Dec. 10, 2004; 70 FR 71033, Nov. 25, 2005]
§ 11.32 EAS Encoder. (a) EAS Encoders must at a min-
imum be capable of encoding the EAS protocol described in § 11.31 and pro- viding the EAS code transmission re- quirements described in § 11.51. EAS encoders must additionally provide the following minimum specifications:
(1) Encoder programming. Access to encoder programming shall be pro- tected by a lock or other security measures and be configured so that au- thorized personnel can readily select and program the EAS Encoder with Originator, Event and Location codes for either manual or automatic oper- ation.
(2) Inputs. The encoder shall have two inputs, one for audio messages and one for data messages (RS–232C with stand- ard protocol and 1200 baud rate).
(3) Outputs. The encoder shall have two outputs, one audio port and one data port (RS–232C with standard pro- tocol and 1200 baud rate).
(4) Calibration. EAS Encoders must provide a means to comply with the modulation levels required in § 11.51(f).
(5) Day-Hour-Minute and Identifica- tion Stamps. The encoder shall affix the JJJHHMM and LLLLLLLL codes automatically to all initial messages.
(6) Program Data Retention. Program data and codes shall be retained even with the power removed.
(7) Indicator. An aural or visible means that it activated when the Pre- amble is sent and deactivated at the End of Message code.
(8) Spurious Response. All frequency components outside 200 to 4000 Hz shall be attenuated by 40 dB or more with re- spect to the output levels of the mark or space frequencies.
(9) Attention Signal generator. The encoder must provide an attention sig- nal that complies with the following:
(i) Tone Frequencies. The audio tones shall have fundamental frequencies of 853 and 960 Hz and not vary over ±0.5 Hz.
(ii) Harmonic Distortion. The total harmonic distortion of each of the audio tones may not exceed 5% at the encoder output terminals.
(iii) Minimum Level of Output. The encoder shall have an output level ca- pability of at least +8 dBm into a 600 Ohm load impedance at each audio
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tone. A means shall be provided to per- mit individual activation of the two tones for calibration of associated sys- tems.
(iv) Time Period for Transmission of Tones. The encoder shall have timing circuitry that automatically generates the two tones simultaneously for a time period of not less than 8 nor longer than 25 seconds. NOTE: Prior to July 1, 1995, the Attention Signal must be at least 20 and not more than 25 sec- onds.
(v) Inadvertent activation. The switch used for initiating the automatic gen- eration of the simultaneous tones shall be protected to prevent accidental op- eration.
(vi) Indicator Display. The encoder shall be provided with a visual and/or aural indicator which clearly shows that the Attention Signal is activated.
(b) Operating Temperature and Humid- ity. Encoders shall have the ability to operate with the above specifications within an ambient temperature range of 0 to +50 degrees C and a range of rel- ative humidity of up to 95%.
(c) Primary Supply Voltage Variation. Encoders shall be capable of complying with the requirements of this section during a variation in primary supply voltage of 85 percent to 115 percent of its rated value.
(d) Testing Encoder Units. Encoders not covered by § 11.34(e) of this part shall be tested in a 10 V/m minimum RF field at an AM broadcast frequency and a 0.5 V/m minimum RF field at an FM or TV broadcast frequency to simu- late actual working conditions.
§ 11.33 EAS Decoder. (a) An EAS Decoder must at a min-
imum be capable of decoding the EAS protocol described in § 11.31, provide the EAS monitoring functions described in § 11.52, and the following minimum specifications:
(1) Inputs. Decoders must have the capability to receive at least 2 audio inputs from EAS monitoring assign- ments, and one data input (RS–232C with standard protocol and 1200 baud rate). The data input may be used to monitor other communications modes such as Radio Broadcast Data System (RBDS), NWR, satellite, public switched telephone network, or any
other source that uses the EAS pro- tocol.
(2) Valid codes. There must be a means to determine if valid EAS head- er codes are received and to determine if preselected header codes are re- ceived.
(3) Storage. Decoders must provide the means to:
(i) Record and store, either internally or externally, at least two minutes of audio or text messages. A decoder man- ufactured without an internal means to record and store audio or text must be equipped with a means (such as an audio or digital jack connection) to couple to an external recording and storing device.
(ii) Store at least ten preselected event and originator header codes, in addition to the seven mandatory event/ originator codes for tests and national activations, and store any preselected location codes for comparison with in- coming header codes. A non- preselected header code that is manu- ally transmitted must be stored for comparison with later incoming header codes. The header codes of the last ten received valid messages which still have valid time periods must be stored for comparison with the incoming valid header codes for later messages. These last received header codes will be de- leted from storage as their valid time periods expire.
(4) Display and logging. A visual mes- sage shall be developed from any valid header codes for tests and national ac- tivations and any preselected header codes received. The message shall in- clude the Originator, Event, Location, the valid time period of the message and the local time the message was transmitted. The message shall be in the primary language of the EAS Par- ticipant and be fully displayed on the decoder and readable in normal light and darkness. All existing and new models of EAS decoders manufactured after August 1, 2003 must provide a means to permit the selective display and logging of EAS messages con- taining header codes for state and local EAS events. Effective May 16, 2002, analog radio and television broadcast stations, analog cable systems and wireless cable systems may upgrade their decoders on an optional basis to
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include a selective display and logging capability for EAS messages con- taining header codes for state and local events. EAS Participants that install or replace their decoders after Feb- ruary 1, 2004 must install decoders that provide a means to permit the selective display and logging of EAS messages containing header codes for state and local EAS events.
(5) Indicators. EAS decoders must have a distinct and separate aural or visible means to indicate when any of the following conditions occurs:
(i) Any valid EAS header codes are received as specified in § 11.33(a)(10).
(ii) Preprogrammed header codes, such as those selected in accordance with § 11.52(d)(2) are received.
(iii) A signal is present at each audio input that is specified in § 11.33(a)(1).
(6) Program Data Retention. The pro- gram data must be retained even with power removed.
(7) Outputs. Decoders shall have the following outputs: a data port or ports (RS–232C with standard protocol and 1200 baud rate) where received valid EAS header codes and received preselected header codes are available; one audio port that is capable of moni- toring each decoder audio input; and, an internal speaker to enable personnel to hear audio from each input.
(8) Decoder Programming. Access to decoder programming shall be pro- tected by a lock or other security measures and be configured so that au- thorized personnel can readily select and program the EAS Decoder with preselected Originator, Event and Lo- cation codes for either manual or auto- matic operation.
(9) Reset. There shall be a method to automatically or manually reset the decoder to the normal monitoring con- dition. Operators shall be able to select a time interval, not less than two min- utes, in which the decoder would auto- matically reset if it received an EAS header code but not an end-of-message (EOM) code. Messages received with the EAN Event codes shall disable the reset function so that lengthy audio messages can be handled. The last mes- sage received with valid header codes shall be displayed as required by para- graph (a)(4) of this section before the decoder is reset.
(10) Message Validity. An EAS Decoder must provide error detection and vali- dation of the header codes of each mes- sage to ascertain if the message is valid. Header code comparisons may be accomplished through the use of a bit- by-bit compare or any other error de- tection and validation protocol. A header code must only be considered valid when two of the three headers match exactly. Duplicate messages must not be relayed automatically.
(11) A header code with the EAN Event code specified in § 11.31(c) that is received through any of the audio in- puts must override all other messages.
(b) Attention Signal. EAS Decoders shall have detection and activation cir- cuitry that will demute a receiver upon detection of the two audio tones of 853 Hz and 960 Hz. To prevent false re- sponses, decoders designed to use the two tones for receiver demuting shall comply with the following:
(1) Time Delay. A minimum time delay of 8 but not more than 16 seconds of tone reception shall be incorporated into the demuting or activation proc- ess to insure that the tones will be au- dible for a period of at least 4 seconds. After July 1, 1995, the time delay shall be 3–4 seconds.
(2) Operation Bandwidth. The decoder circuitry shall not respond to tones which vary more than ±5 Hz from each of the frequencies, 853 Hz and 960 Hz.
(3) Reset Ability. The decoder shall have a means to manually or automati- cally reset the associated broadcast re- ceiver to a muted state.
(c) Decoders shall be capable of oper- ation within the tolerances specified in this section as well as those in § 11.32 (b), (c) and (d).
[59 FR 67092, Dec. 28, 1994, as amended at 60 FR 55999, Nov. 6, 1995; 67 FR 18510, Apr. 16, 2002; 70 FR 71033, Nov. 25, 2005]
§ 11.34 Acceptability of the equipment. (a) An EAS Encoder used for gener-
ating the EAS codes and the Attention Signal must be Certified in accordance with the procedures in part 2, subpart J, of this chapter. The data and infor- mation submitted must show the capa- bility of the equipment to meet the re- quirements of this part as well as the requirements contained in part 15 of this chapter for digital devices.
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(b) Decoders used for the detection of the EAS codes and receiving the Atten- tion Signal must be Certified in ac- cordance with the procedures in part 2, subpart J, of this chapter. The data and information submitted must show the capability of the equipment to meet the requirements of this part as well as the requirements contained in part 15 of this chapter for digital devices.
(c) The functions of the EAS decoder, Attention Signal generator and re- ceiver, and the EAS encoder specified in §§ 11.31, 11.32 and 11.33 may be com- bined and Certified as a single unit pro- vided that the unit complies with all specifications in this rule section.
(d) Manufacturers must include in- structions and information on how to install, operate and program an EAS Encoder, EAS Decoder, or combined unit and a list of all State and county FIPS numbers with each unit sold or marketed in the U.S.
(e) Waiver requests of the Certifi- cation requirements for EAS Encoders or EAS Decoders which are constructed for use by an EAS Participant, but are not offered for sale will be considered on an individual basis in accordance with part 1, subpart G, of this chapter.
(f) Modifications to existing author- ized EAS decoders, encoders or com- bined units necessary to implement the new EAS codes specified in § 11.31 and to implement the selective displaying and logging feature specified in § 11.33(a)(4) will be considered Class I permissive changes that do not require a new application for and grant of equipment certification under part 2, subpart J of this chapter.
(g) All existing and new models of EAS encoders, decoders and combined units manufactured after August 1, 2003 must be capable of generating and de- tecting the new EAS codes specified in § 11.31 in order to be certified under part 2, subpart J of this chapter. All existing and new models of EAS decod- ers and combined units manufactured after August 1, 2003 must have the se- lective displaying and logging capa- bility specified in § 11.33(a)(4) in order to be certified under part 2, subpart J of this chapter.
[59 FR 67092, Dec. 28, 1994, as amended at 60 FR 56000, Nov. 6, 1995; 67 FR 18510, Apr. 16, 2002; 70 FR 71034, Nov. 25, 2005]
§ 11.35 Equipment operational readi- ness.
(a) EAS Participants are responsible for ensuring that EAS Encoders, EAS Decoders and Attention Signal gener- ating and receiving equipment used as part of the EAS are installed so that the monitoring and transmitting func- tions are available during the times the stations and systems are in oper- ation. Additionally, EAS Participants must determine the cause of any fail- ure to receive the required tests or ac- tivations specified in § 11.61(a)(1) and (a)(2). Appropriate entries indicating reasons why any tests were not re- ceived must be made in the broadcast station log as specified in §§ 73.1820 and 73.1840 of this chapter for all broadcast streams and cable system records as specified in §§ 76.1700, 76.1708, and 76.1711 of this chapter. All other EAS Partici- pants must also keep records indi- cating reasons why any tests were not received and these records must be re- tained for two years, maintained at the EAS Participant’s headquarters, and made available for public inspection upon reasonable request.
(b) If the EAS Encoder or EAS De- coder becomes defective, the EAS Par- ticipant may operate without the de- fective equipment pending its repair or replacement for 60 days without fur- ther FCC authority. Entries shall be made in the broadcast station log, cable system records, and records of other EAS Participants, as specified in paragraph (a) of this rule, showing the date and time the equipment was re- moved and restored to service. For per- sonnel training purposes, the required monthly test script must still be trans- mitted even though the equipment for generating the EAS message codes, At- tention Signal and EOM code is not functioning.
(c) If repair or replacement of defec- tive equipment is not completed within 60 days, an informal request shall be submitted to the District Director of the FCC field office serving the area in which the EAS Participant is located, or in the case of DBS and SDARS pro- viders to the District Director of the FCC field office serving the area where their headquarters is located, for addi- tional time to repair the defective equipment. This request must explain
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what steps have been taken to repair or replace the defective equipment, the alternative procedures being used while the defective equipment is out of service, and when the defective equip- ment will be repaired or replaced.
[70 FR 71034, Nov. 25, 2005]
Subpart C—Organization § 11.41 Participation in EAS.
(a) All EAS Participants specified in § 11.11 are categorized as Participating National (PN) sources unless author- ized by the FCC to be Non-Partici- pating (NN) sources.
(b) An EAS Participant may submit a written request to the FCC asking to be an NN source. The FCC may then issue a Non-participating National Au- thorization letter. NN sources must go off the air during a national EAS acti- vation after transmitting specified in- formation.
(1) An EAS Participant that is an NN source under § 11.18(f) that wants to be- come a PN source in the national level EAS must submit a written request to the FCC.
(2) NN sources may voluntarily par- ticipate in the State and Local Area EAS. Participation is at the discretion of EAS Participant management and should comply with State and Local Area EAS Plans.
(c) All sources, including NN, must have immediate access to an EAS Oper- ating Handbook.
[70 FR 71034, Nov. 25, 2005]
§ 11.42 Participation by communica- tions common carriers.
(a) During activation of the National level EAS, communications common carriers which have facilities available in place may, without charge, connect:
(1) An originating source from the nearest service area to a selected Test Center and then to the EAS Partici- pant for the duration of the emergency, provided an Emergency Action Notifi- cation is issued by the White House and the originating source has a local channel from the originating point to the nearest service area.
(2) An independent broadcast station to the radio and television broadcast networks and any other EAS Partici-
pant provided the station has in service a local channel from the station’s stu- dio or transmitter directly to the broadcast source.
(b) Upon receipt of the Emergency Action Termination, the common car- riers shall disconnect the originating source and the participating inde- pendent stations and restore the net- works and other EAS Participants to their original configurations.
(c) During a National level EAS Test, common carriers which have facilities in place may, without charge, connect an originating source from the nearest exchange to a selected Test Center and then to any EAS Participant. Inde- pendent stations will not be connected during the test unless authorized by the FCC. Upon test termination, EAS Participants shall be restored to their original configurations.
(d) A common carrier rendering free service shall file with the FCC, on or before July 31st and January 31st of each year, reports covering the six months ending on June 30th and De- cember 31st respectively. These reports shall state what free service was ren- dered under this rule and the charges in dollars which would have accrued to the carrier for this service if charges had been collected at the published tar- iff rates if such carriers are required to file tariffs.
[59 FR 67092, Dec. 28, 1994, as amended at 67 FR 18510, Apr. 16, 2002; 70 FR 71034, Nov. 25, 2005]
§ 11.43 National level participation.
Entities that wish to voluntarily par- ticipate in the national level EAS may submit a written request to the Chief, Public Safety and Homeland Security Bureau.
[71 FR 69038, Nov. 29, 2006]
§ 11.44 EAS message priorities.
(a) A national activation of the EAS for a Presidential message with the Event code EAN as specified in § 11.31 must take priority over any other mes- sage and preempt it if it is in progress.
(b) EAS participants should transmit other EAS messages in the following
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order: first, Local Area Messages; sec- ond, State Messages; and third, Na- tional Information Center (NIC) Mes- sages.
(c) Key EAS sources (NP, LP, SP and SR) and Participating National (PN) sources that remain on the air during a National emergency must carry Presi- dential Messages ‘‘live’’ at the time of transmission or immediately upon re- ceipt. Activation of the National level EAS must preempt State and Local Area EAS operation.
(d) During a national emergency, the facilities of all EAS Participants must be reserved exclusively for distribution of Presidential Messages. NIC messages received from national networks which are not broadcast at the time of origi- nal transmission must be recorded lo- cally by LP sources for transmission at the earliest opportunity consistent with the message priorities in para- graph (b) of this section.
[59 FR 67092, Dec. 28, 1994, as amended by 70 FR 71034, Nov. 25, 2005]
§ 11.45 Prohibition of false or decep- tive EAS transmissions.
No person may transmit or cause to transmit the EAS codes or Attention Signal, or a recording or simulation thereof, in any circumstance other than in an actual National, State or Local Area emergency or authorized test of the EAS. Broadcast station li- censees should also refer to § 73.1217 of this chapter.
§ 11.46 EAS public service announce- ments.
EAS Participants may use Public Service Announcements or obtain com- mercial sponsors for announcements, infomercials, or programs explaining the EAS to the public. Such announce- ments and programs may not be a part of alerts or tests, and may not simu- late or attempt to copy alert tones or codes.
[70 FR 71034, Nov. 25, 2005]
§ 11.47 Optional use of other commu- nications methods and systems.
(a) Analog and digital broadcast sta- tions may additionally transmit EAS messages through other communica- tions means. For example, on a vol-
untary basis, FM stations may use sub- carriers to transmit the EAS codes in- cluding 57 kHz using the RBDS stand- ard produced by the National Radio Systems Committee (NRSC) and tele- vision stations may use subsidiary communications services.
(b) Other technologies and public service providers, such as low earth or- biting satellites, that wish to partici- pate in the EAS may contact the FCC’s Public Safety and Homeland Security Bureau or their State Emergency Com- munications Committee for informa- tion and guidance.
[70 FR 71034, Nov. 25, 2005, as amended at 71 FR 76220, Dec. 20, 2006; 72 FR 62135, Nov. 2, 2007]
Subpart D—Emergency Operations
§ 11.51 EAS code and Attention Signal Transmission requirements.
(a) Analog and digital broadcast sta- tions must transmit, either automati- cally or manually, national level EAS messages and required tests by sending the EAS header codes, Attention Sig- nal, emergency message and End of Message (EOM) codes using the EAS Protocol. The Attention Signal must precede any emergency audio message. After January 1, 1998, the shortened At- tention Signal may only be used as an audio alert signal and the EAS codes will become the minimum signaling re- quirement for National level messages and tests.
(b) When relaying EAS messages, EAS Participants may transmit only the EAS header codes and the EOM code without the Attention Signal and emergency message for State and local emergencies. Pauses in video program- ming before EAS message transmission should not cause television receivers to mute EAS audio messages. No Atten- tion Signal is required for EAS mes- sages that do not contain audio pro- gramming, such as a Required Weekly Test.
(c) By the effective dates provided in § 11.11(a), all analog and digital radio and television stations shall transmit EAS messages in the main audio chan- nel. Effective December 31, 2006, all DAB stations shall also transmit EAS
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messages on all audio streams. Effec- tive December 31, 2006, all DTV broad- cast stations shall also transmit EAS messages on all program streams.
(d) By the effective dates provided in § 11.11(a), analog and digital television broadcast stations shall transmit a vis- ual message containing the Originator, Event, Location and the valid time pe- riod of an EAS message. If the message is a video crawl, it shall be displayed at the top of the television screen or where it will not interfere with other visual messages.
(e) Analog class D non-commercial educational FM stations as defined in § 73.506 of this chapter, digital class D non-commercial educational FM sta- tions, analog Low Power FM (LPFM) stations as defined in §§ 73.811 and 73.853 of this chapter, digital LPFM stations, analog low power TV (LPTV) stations as defined in § 74.701(f) of this chapter, and digital LPTV stations as defined in § 74.701(k) of this chapter are not re- quired to have equipment capable of generating the EAS codes and Atten- tion Signal specified in § 11.31.
(f) Analog and digital broadcast sta- tion equipment generating the EAS codes and the Attention Signal shall modulate a broadcast station trans- mitter so that the signal broadcast to other EAS Participants alerts them that the EAS is being activated or test- ed at the National, State or Local Area level. The minimum level of modula- tion for EAS codes, measured at peak modulation levels using the internal calibration output required in § 11.32(a)(4), shall modulate the trans- mitter at the maximum possible level, but in no case less than 50% of full channel modulation limits. Measured at peak modulation levels, each of the Attention Signal tones shall be cali- brated separately to modulate the transmitter at no less than 40%. These two calibrated modulation levels shall have values that are within 1 dB of each other.
(g) Analog cable systems and digital cable systems with fewer than 5,000 subscribers per headend and wireline video systems and wireless cable sys- tems with fewer than 5,000 subscribers shall transmit EAS audio messages in the same order specified in paragraph (a) of this section on at least one chan-
nel. The Attention signal may be pro- duced from a storage device. Addition- ally, these analog cable systems, dig- ital cable systems, and wireless cable systems:
(1) Must install, operate, and main- tain equipment capable of generating the EAS codes. The modulation levels for the EAS codes and Attention Signal for analog cable systems shall comply with the aural signal requirements in § 76.605 of this chapter,
(2) Must provide a video interruption and an audio alert message on all chan- nels. The audio alert message must state which channel is carrying the EAS video and audio message,
(3) Shall transmit a visual EAS mes- sage on at least one channel. The mes- sage shall contain the Originator, Event, Location, and the valid time pe- riod of the EAS message. If the visual message is a video crawl, it shall be displayed at the top of the subscriber’s television screen or where it will not interfere with other visual messages.
(4) May elect not to interrupt EAS messages from broadcast stations based upon a written agreement be- tween all concerned. Further, analog cable systems, digital cable systems, and wireless cable systems may elect not to interrupt the programming of a broadcast station carrying news or weather related emergency informa- tion with state and local EAS messages based on a written agreement between all parties.
(5) Wireless cable systems and digital cable systems with a requirement to carry the audio and video EAS message on at least one channel and a require- ment to provide video interrupt and an audio alert message on all other chan- nels stating which channel is carrying the audio and video EAS message, may comply by using a means on all pro- grammed channels that automatically tunes the subscriber’s set-top box to a pre-designated channel which carries the required audio and video EAS mes- sages.
(h) Analog cable systems and digital cable systems with 10,000 or more sub- scribers; analog cable and digital cable systems serving 5,000 or more, but less than 10,000 subscribers per headend; and wireline video systems and wire- less cable systems with 5,000 or more
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subscribers shall transmit EAS audio messages in the same order specified in paragraph (a) of this section. The At- tention signal may be produced from a storage device. Additionally, these analog cable systems, digital cable sys- tems, and wireless cable systems:
(1) Must install, operate, and main- tain equipment capable of generating the EAS codes. The modulation levels for the EAS codes and Attention Signal for analog cable systems shall comply with the aural signal requirements in § 76.605 of this chapter. This will pro- vide sufficient signal levels to operate subscriber television and radio receiv- ers equipped with EAS decoders and to audibly alert subscribers. Wireless cable systems and digital cable sys- tems shall also provide sufficient sig- nal levels to operate subscriber tele- vision and radio receivers equipped with EAS decoders and to audibly alert subscribers.
(2) Shall transmit the EAS audio message required in paragraph (a) of this section on all downstream chan- nels.
(3) Shall transmit the EAS visual message on all downstream channels. The visual message shall contain the Originator, Event, Location and the valid time period of the EAS message. These are elements of the EAS header code and are described in § 11.31. If the visual message is a video crawl, it shall be displayed at the top of the sub- scriber’s television screen or where it will not interfere with other visual messages.
(4) May elect not to interrupt EAS messages from broadcast stations based upon a written agreement be- tween all concerned. Further, analog cable systems, digital cable systems, and wireless cable systems may elect not to interrupt the programming of a broadcast station carrying news or weather related emergency informa- tion with state and local EAS messages based on a written agreement between all parties.
(5) Wireless cable systems and digital cable systems with a requirement to carry the audio and video EAS message on all downstream channels may com- ply by using a means on all pro- grammed channels that automatically tunes the subscriber’s set-top box to a
pre-designated channel which carries the required audio and video EAS mes- sages.
(i) Effective December 31, 2006, SDARS licensees shall transmit na- tional audio EAS messages on all chan- nels in the same order specified in paragraph (a) of this section.
(1) SDARS licensees must install, op- erate, and maintain equipment capable of generating the EAS codes.
(2) SDARS licensees may determine the distribution methods they will use to comply with this requirement.
(j) Effective May 31, 2007, DBS pro- viders shall transmit national audio and visual EAS messages on all chan- nels in the same order specified in paragraph (a) of this section.
(1) DBS providers must install, oper- ate, and maintain equipment capable of generating the EAS codes.
(2) The visual message shall contain the Originator, Event, Location and the valid time period of the EAS mes- sage. These are elements of the EAS header code and are described in § 11.31. If the visual message is a video crawl, it shall be displayed at the top of the subscriber’s television screen or where it will not interfere with other visual messages.
(3) DBS providers may determine the distribution methods they will use to comply with this requirement. Such methods may include distributing the EAS message on all channels, using a means to automatically tune the sub- scriber’s set-top box to a pre-des- ignated channel which carries the re- quired audio and video EAS messages, and/or passing through the EAS mes- sage provided by programmers and/or local channels (where applicable).
(k) If manual interrupt is used as au- thorized in paragraph (m) of this sec- tion, EAS Encoders must be located so that EAS Participant staff, at normal duty locations, can initiate the EAS code and Attention Signal trans- mission.
(l) EAS Participants that are co- owned and co-located with a combined studio or control facility, (such as an AM and FM licensed to the same entity and at the same location or a cable headend serving more than one system) may provide the EAS transmitting re- quirements contained in this section
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Federal Communications Commission § 11.52
for the combined stations or systems with one EAS Encoder. The require- ments of § 11.32 must be met by the combined facility.
(m) EAS Participants are required to transmit all received EAS messages in which the header code contains the Event codes for Emergency Action No- tification (EAN), Emergency Action Termination (EAT), and Required Monthly Test (RMT), and when the ac- companying location codes include their State or State/county. These EAS messages shall be retransmitted un- changed except for the LLLLLLLL- code which identifies the EAS Partici- pant retransmitting the message. See § 11.31(c). If an EAS source originates an EAS message with the Event codes in this paragraph, it must include the location codes for the State and coun- ties in its service area. When transmit- ting the required weekly test, EAS Participants shall use the event code RWT. The location codes are the state and county for the broadcast station city of license or system community or city. Other location codes may be in- cluded upon approval of station or sys- tem management. EAS messages may be transmitted automatically or manu- ally.
(1) Automatic interrupt of program- ming and transmission of EAS mes- sages are required when facilities are unattended. Automatic transmissions must include a permanent record that contains at a minimum the following information: Originator, Event, Loca- tion and valid time period of the mes- sage. The decoder performs the func- tions necessary to determine which EAS messages are automatically trans- mitted by the encoder.
(2) Manual interrupt of programming and transmission of EAS messages may be used. EAS messages with the EAN Event code must be transmitted imme- diately and Monthly EAS test mes- sages within 60 minutes. All actions must be logged and include the min- imum information required for EAS video messages.
(n) EAS Participants may employ a minimum delay feature, not to exceed 15 minutes, for automatic interruption of EAS codes. However, this may not be used for the EAN event which must be transmitted immediately. The delay
time for an RMT message may not ex- ceed 60 minutes.
(o) Either manual or automatic oper- ation of EAS equipment may be used by EAS Participants that use remote control. If manual operation is used, an EAS decoder must be located at the re- mote control location and it must di- rectly monitor the signals of the two assigned EAS sources. If direct moni- toring of the assigned EAS sources is not possible at the remote location, automatic operation is required. If automatic operation is used, the re- mote control location may be used to override the transmission of an EAS alert. EAS Participants may change back and forth between automatic and manual operation.
[70 FR 71035, Nov. 25, 2005, as amended at 71 FR 76220, Dec. 20, 2006; 72 FR 62135, Nov. 2, 2007; 71 FR 76220, Dec. 20, 2006; 72 FR 62135, Nov. 2, 2007]
§ 11.52 EAS code and Attention Signal Monitoring requirements.
(a) EAS Participants must be capable of receiving the Attention Signal re- quired by § 11.32(a)(9) and emergency messages of other broadcast stations during their hours of operation. EAS Participants must install and operate during their hours of operation, equip- ment capable of receiving and decod- ing, either automatically or manually, the EAS header codes, emergency mes- sages and EOM code. EAS Participants must comply with these requirements by the dates set forth in § 11.11.
NOTE TO PARAGRAPH (A): The two-tone At- tention Signal will not be used to actuate two-tone decoders but will be used as an aural alert signal.
(b) If manual interrupt is used as au- thorized in § 11.51(m)(2), decoders must be located so that operators at their normal duty stations can be alerted immediately when EAS messages are received.
(c) EAS Participants that are co- owned and co-located with a combined studio or control facility (such as an AM and FM licensed to the same entity and at the same location or a cable headend serving more than one system) may comply with the EAS monitoring requirements contained in this section for the combined station or system
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with one EAS Decoder. The require- ments of § 11.33 must be met by the combined facility.
(d) EAS Participants must monitor two EAS sources. The monitoring as- signments of each broadcast station and cable system and wireless cable system are specified in the State EAS Plan and FCC Mapbook. They are de- veloped in accordance with FCC moni- toring priorities.
(1) If the required EAS sources can- not be received, alternate arrange- ments or a waiver may be obtained by written request to the FCC’s EAS of- fice. In an emergency, a waiver may be issued over the telephone with a follow up letter to confirm temporary or per- manent reassignment.
(2) The management of EAS Partici- pants shall determine which header codes will automatically interrupt their programming for State and Local Area emergency situations affecting their audiences.
(e) EAS Participants are required to interrupt normal programming either automatically or manually when they receive an EAS message in which the header code contains the Event codes for Emergency Action Notification (EAN), Emergency Action Termination (EAT), and Required Monthly Test (RMT) for their State or State/county location.
(1) Automatic interrupt of program- ming is required when facilities are un- attended. Automatic operation must provide a permanent record of the EAS message that contains at a minimum the following information: Originator, Event, Location and valid time period of the message.
(2) Manual interrupt of programming and transmission of EAS messages may be used. EAS messages with the EAN Event code must be transmitted imme- diately and Monthly EAS test mes- sages within 60 minutes. All actions must be logged and recorded as speci- fied in §§ 11.35(a) and 11.54(b)(13). Decod- ers must be programmed for the EAN and EAT Event header codes for Na- tional level emergencies and the RMT and RWT Event header codes for re- quired monthly and weekly tests, with the appropriate accompanying State and State/county location codes.
[70 FR 71036, Nov. 25, 2005]
§ 11.53 Dissemination of Emergency Action Notification.
Initiation of the EAN by any one of the following sources is sufficient to begin the emergency actions in § 11.54.
(a) National Level. The EAN is issued by the White House. The EAN message is sent from a government origination point to broadcast stations and other entities participating in the PEP sys- tem. It is then disseminated via EAS Participants.
(1) Radio and television broadcast stations.
(2) Cable systems and wireless cable systems.
(3) Other entities voluntarily partici- pating in EAS.
(b) State level and Local Area levels. EAN dissemination arrangements at these levels originate from State and local governments in accordance with State and Local Area plans.
(c) Analog and digital broadcast sta- tions must, prior to commencing rou- tine operation or originating any emis- sions under program test, equipment test, experimental, or other authoriza- tions, determine whether the EAS has been activated by monitoring the as- signed EAS sources as specified in their State or Local plan.
[59 FR 67092, Dec. 28, 1994, as amended at 63 FR 29666, June 1, 1998; 65 FR 7640, Feb. 15, 2000; 65 FR 30001, May 10, 2000; 67 FR 18510, Apr. 16, 2002; 70 FR 71037, Nov. 25, 2005]
§ 11.54 EAS operation during a Na- tional Level emergency.
(a) The EAS Operating Handbook summarizes the procedures to be fol- lowed upon receipt of a National level EAN or EAT Message.
(b) Immediately upon receipt of an EAN message, EAS Participants must:
(1) Monitor the two EAS sources as- signed in the State or Local Area plan or FCC Mapbook for any further in- structions. SDARS licensees and DBS providers may choose their two EAS sources, one of which must be a PEP station.
(2) Discontinue normal programming and follow the transmission procedures in the appropriate section of the EAS Operating Handbook. Announcements may be made in the same language as the primary language of the EAS Par- ticipant.
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(i) Key EAS sources (National Pri- mary (NP), Local Primary (LP), State Primary (SP), State Relay (SR) and Participating National (PN) sources) follow the transmission procedures and make the announcements in the Na- tional Level Instructions of the EAS Operating Handbook.
(ii) Non-participating National (NN) sources follow the transmission proce- dures and make the sign-off announce- ment in the EAS Operating Handbook’s National Level Instructions section for NN sources. After the sign-off an- nouncement, NN sources are required to remove their carriers or services from the air and monitor for the Emer- gency Action Termination message. NN sources using automatic interrupt under § 11.51(m)(1), must transmit the header codes, Attention Signal, sign-off announcement and EOM code after re- ceiving the appropriate EAS header codes for a national emergency.
(3) After completing the above trans- mission procedures, key EAS and Par- ticipating National sources must trans- mit a common emergency message until receipt of the Emergency Action Termination Message. Message prior- ities are specified in § 11.44. If LP or SR sources of a Local Area cannot provide an emergency message feed, any source in the Local Area may elect to provide a message feed. This should be done in an organized manner as designated in State and Local Area EAS Plans.
(4) The Standby Script shall be used until emergency messages are avail- able. The text of the Standby Script is in the EAS Operating Handbook’s sec- tion for Participating sources.
(5) Analog and digital TV broadcast stations shall display an appropriate EAS slide and then transmit all EAS announcements visually and aurally as specified in §§ 11.51(a) through (e) and 73.1250(h) of this chapter.
(6) Analog cable systems, digital cable systems, and wireless cable sys- tems shall transmit all EAS announce- ments visually and aurally as specified in § 11.51(g) and (h).
(7) DBS providers shall transmit all EAS announcements visually and au- rally as specified in § 11.51(j).
(8) Announcements may be made in the same language as the primary lan- guage of the EAS participant.
(9) Analog and digital broadcast sta- tions may transmit their call letters and analog cable systems, digital cable systems and wireless cable systems may transmit the names of the com- munities they serve during an EAS ac- tivation. State and Local Area identi- fications must be given as provided in State and Local Area EAS plans.
(10) All analog and digital broadcast stations and analog cable systems, dig- ital cable systems and wireless cable systems operating and identified with a particular EAS Local Area must trans- mit a common national emergency message until receipt of the Emer- gency Action Termination.
(11) Analog and digital broadcast sta- tions, except those holding an EAS Non-participating National Authoriza- tion letter, are exempt from complying with §§ 73.62 and 73.1560 of this chapter (operating power maintenance) while operating under this part.
(12) National Primary (NP) sources must operate under the procedures in the National Control Point Procedures.
(13) The time of receipt of the EAN and Emergency Action Termination messages shall be entered by analog and digital broadcast stations in their logs (as specified in §§ 73.1820 and 73.1840 of this chapter), by analog and digital cable systems in their records (as spec- ified in § 76.1711 of this chapter), by sub- ject wireless cable systems in their records (as specified in § 21.304 of this chapter), and by all other EAS Partici- pants in their records as specified in § 11.35(a).
(c) Upon receipt of an Emergency Ac- tion Termination Message, EAS Par- ticipants must follow the termination procedures in the EAS Operating Hand- book.
(d) EAS Participants originating emergency communications under this section shall be considered to have con- ferred rebroadcast authority, as re- quired by section 325(a) of the Commu- nications Act of 1934, 47 U.S.C. 325(a), to other EAS Participants.
(e) During a national level EAS emergency, EAS Participants may transmit in lieu of the EAS audio feed an audio feed of the President’s voice message from an alternative source,
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such as a broadcast network audio feed.
[59 FR 67092, Dec. 28, 1994, as amended at 63 FR 29666, June 1, 1998; 63 FR 39035, July 21, 1998; 65 FR 21658, Apr. 24, 2000; 65 FR 53614, Sept. 5, 2000; 67 FR 18511, Apr. 16, 2002; 70 FR 71037, Nov. 25, 2005]
§ 11.55 EAS operation during a State or Local Area emergency.
(a) All EAS Participants within a state (excepting SDARs and DBS pro- viders) must receive and transmit state-level and geographically targeted EAS messages, as aggregated and deliv- ered by the state governor or his/her designee, or by FEMA on behalf of such state governor, upon approval by the Commission of an applicable state plan providing for delivery of such alerts no sooner than 180 days after adoption of CAP by FEMA. Examples of natural emergencies which may warrant acti- vation are: Tornadoes, floods, hurri- canes, earthquakes, heavy snows, icing conditions, widespread fires, etc. Man- made emergencies may include: toxic gas leaks or liquid spills, widespread power failures, industrial explosions, and civil disorders.
(1) DBS providers shall pass through all EAS messages aired on local tele- vision broadcast stations carried by DBS providers under the Commission’s broadcast signal carriage rules to sub- scribers receiving those channels.
(2) SDARS licensees and DBS pro- viders may participate in EAS at the state and local level and make their systems capable of receiving and trans- mitting state and local level EAS mes- sages on all channels. If an SDARS li- censee or DBS provider is not capable of receiving and transmitting state and local EAS message on all channels, it must inform its subscribers, on its website and in writing on an annual basis, of which channels are and are not capable of supplying state and local messages.
(b) EAS operations must be con- ducted as specified in State and Local Area EAS Plans. The plans must list all authorized entities participating in the State or Local Area EAS.
(c) Immediately upon receipt of a State or Local Area EAS message, EAS Participants participating in the State
or Local Area EAS must do the fol- lowing:
(1) State Relay (SR) sources monitor the State Relay Network or follow the State EAS plan for instructions from the State Primary (SP) source.
(2) Local Primary (LP) sources mon- itor the Local Area SR sources or fol- low the State EAS plan for instruc- tions.
(3) Participating National (PN) and Non-participating National (NN) sources monitor the Local Area LP sources for instructions.
(4) EAS Participants participating in the State or Local Area EAS must dis- continue normal programming and fol- low the procedures in the State and Local Area plans. Analog and digital television broadcast stations must comply with § 11.54(b)(5); analog cable systems, digital cable systems, and wireless cable systems must comply with § 11.54(b)(6); and DBS providers must comply with § 11.54(b)(7). EAS Participants providing foreign lan- guage programming should comply with § 11.54(b)(8).
(5) Upon completion of the State or Local Area EAS transmission proce- dures, resume normal programming until receipt of the cue from the SR or LP sources in your Local Area. At that time begin transmitting the common emergency message received from the above sources.
(6) Resume normal operations upon conclusion of the message.
(7) The times of the above EAS ac- tions must be entered in the EAS Par- ticipants’ records as specified in §§ 11.35(a) and 11.54(b)(13).
(8) Use of the EAS codes or Attention Signal automatically grants rebroad- cast authority as specified in § 11.54(d).
[59 FR 67092, Dec. 28, 1994, as amended at 63 FR 29666, June 1, 1998; 65 FR 21658, Apr. 24, 2000; 67 FR 18511, Apr. 16, 2002; 70 FR 71037, Nov. 25, 2005; 71 FR 76220, Dec. 20, 2006; 72 FR 62135, Nov. 2, 2007]
§ 11.56 EAS Participants receive CAP- formatted alerts.
Notwithstanding anything herein to the contrary, all EAS Participants must be able to receive CAP-formatted EAS alerts no later than 180 days after
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FEMA publishes the technical stand- ards and requirements for such FEMA transmissions.
[72 FR 62135, Nov. 2, 2007]
Subpart E—Tests
§ 11.61 Tests of EAS procedures. (a) EAS Participants shall conduct
tests at regular intervals, as specified in paragraphs (a)(1) and (a)(2) of this section. Additional tests may be per- formed anytime. EAS activations and special tests may be performed in lieu of required tests as specified in para- graph (a)(4) of this section. All tests will conform with the procedures in the EAS Operating Handbook.
(1) Required Monthly Tests of the EAS header codes, Attention Signal, Test Script and EOM code.
(i) Tests in odd numbered months shall occur between 8:30 a.m. and local sunset. Tests in even numbered months shall occur between local sunset and 8:30 a.m. They will originate from Local or State Primary sources. The time and script content will be devel- oped by State Emergency Communica- tions Committees in cooperation with affected EAS Participants. Script con- tent may be in the primary language of the EAS Participant. These monthly tests must be transmitted within 60 minutes of receipt by EAS Participants in an EAS Local Area or State. Analog and digital class D non-commercial educational FM and analog and digital LPTV stations are required to trans- mit only the test script.
(ii) Effective May 31, 2007, DBS pro- viders must comply with this section by monitoring a state or local primary source to participate in testing. Tests should be performed on 10% of all chan- nels monthly (excluding local-into- local channels for which the monthly transmission tests are passed through by the DBS provider), with channels tested varying from month to month, so that over the course of a given year, 100% of all channels are tested.
(2) Required Weekly Tests: (i) EAS Header Codes and EOM
Codes: (A) Analog and digital AM, FM, and
TV broadcast stations must conduct tests of the EAS header and EOM codes
at least once a week at random days and times. Effective December 31, 2006, DAB stations must conduct these tests on all audio streams. Effective Decem- ber 31, 2006, DTV stations must conduct these tests on all program streams.
(B) Analog cable systems and digital cable systems with 5,000 or more sub- scribers per headend and wireless cable systems with 5,000 or more subscribers must conduct tests of the EAS Header and EOM Codes at least once a week at random days and times on all pro- grammed channels.
(C) Analog cable systems and digital cable systems serving fewer than 5,000 subscribers per headend and wireless cable systems with fewer than 5,000 subscribers must conduct tests of the EAS Header and EOM Codes at least once a week at random days and times on at least one programmed channel.
(D) SDARS providers must conduct tests of the EAS Header and EOM codes at least once a week at random days and times on all channels.
(ii) DBS providers, analog and digital class D non-commercial educational FM stations, and analog and digital LPTV stations are not required to transmit this test but must log receipt, as specified in §§ 11.35(a) and 11.54(b)(13).
(iii) The EAS weekly test is not re- quired during the week that a monthly test is conducted.
(iv) EAS Participants are not re- quired to transmit a video message when transmitting the required weekly test.
(3) Periodic National Tests. National Primary (NP) sources shall participate in tests as appropriate. The FCC may request a report of these tests.
(4) EAS activations and special tests. The EAS may be activated for emer- gencies or special tests at the State or Local Area level by an EAS Partici- pant instead of the monthly or weekly tests required by this section. To sub- stitute for a monthly test, activation must include transmission of the EAS header codes, Attention Signal, emer- gency message and EOM code and com- ply with the visual message require- ments in § 11.51. To substitute for the weekly test of the EAS header codes and EOM codes in paragraph (a)(2)(i) of this section, activation must include transmission of the EAS header and
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EOM codes. Analog and digital tele- vision broadcast stations, analog cable systems, digital cable systems, wireless cable systems, and DBS providers shall comply with the aural and visual mes- sage requirements in § 11.51. Special EAS tests at the State and Local Area levels may be conducted on daily basis following procedures in State and Local Area EAS plans.
(b) Entries shall be made in EAS Par- ticipant records, as specified in §§ 11.35(a) and 11.54(b)(13).
[70 FR 71038, Nov. 25, 2005]
PART 12—REDUNDANCY OF COMMUNICATIONS SYSTEMS
Sec. 12.1 Purpose. 12.2 Backup power. 12.3 911 and E911 analyses and reports.
AUTHORITY: Sections 1, 4(i), 4(j), 4(o), 5(c), 218, 219, 301, 303(g), 303(j), 303(r), 332, 403, 621(b)(3), and 621(d) of the Communications Act of 1934, as amended, 47 U.S.C. 151, 154(i), 154(j), 154(o), 155(c), 218, 219, 301, 303(g), 303(j), 303(r), 332, 403, 621(b)(3), and 621(d), unless otherwise noted.
SOURCE: 72 FR 37673, July 11, 2007, unless otherwise noted.
§ 12.1 Purpose. The rules in this part include re-
quirements that will help ensure the resiliency, redundancy and reliability of communications systems, particu- larly 911 and E911 networks and/or sys- tems.
§ 12.2 Backup power. (a) Except to the extent set forth in
§§ 12.2(b) and 12.2(c)(4) of the Commis- sion’s rules, local exchange carriers, in- cluding incumbent local exchange car- riers and competitive local exchange carriers (collectively, LECs), and com- mercial mobile radio service (CMRS) providers, as defined in § 20.9 of this chapter, must have an emergency backup power source (e.g., batteries, generators, fuel cells) for all assets necessary to maintain communications that are normally powered from local commercial power, including those as- sets located inside central offices, cell sites, remote switches and digital loop carrier system remote terminals. LECs and CMRS providers must maintain
emergency backup power for a min- imum of twenty-four hours for assets that are normally powered from local commercial power and located inside central offices, and eight hours for as- sets that are normally powered from local commercial power and at other locations, including cell sites, remote switches and digital loop carrier sys- tem remote terminals. Power sources satisfy this requirement if they were originally designed to provide the min- imum backup power capacity level re- quired herein and the provider has im- plemented reasonable methods and pro- cedures to ensure that the power sources are regularly checked and re- placed when they deteriorate. LECs that meet the definition of a Class B company as set forth in § 32.11(b)(2) of this chapter and non-nationwide CMRS providers with no more than 500,000 subscribers are exempt from this rule.
(b) LECs and CMRS providers are not required to comply with paragraph (a) of this section for assets as described in paragraph (a) of this section where the LEC or CMRS provider demonstrates, through the reporting requirement as described in paragraph (c) of this sec- tion, that such compliance is precluded by:
(1) Federal, state, tribal or local law; (2) Risk to safety of life or health; or (3) Private legal obligation or agree-
ment. (c) Within six months of the effective
date of this requirement, LECs and CMRS providers subject to this section must file reports with the Chief of the Public Safety & Homeland Security Bureau.
(1) Each report must list the fol- lowing:
(i) Each asset that was designed to comply with the applicable backup power requirement as defined in para- graph (a) of this section;
(ii) Each asset where compliance with paragraph (a) of this section is precluded due to risk to safety of life or health;
(iii) Each asset where compliance with paragraph (a) of this section is precluded by a private legal obligation or agreement;
(iv) Each asset where compliance with paragraph (a) of this section is
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precluded by Federal, state, tribal or local law; and
(v) Each asset that was designed with less than the emergency backup power capacity specified in paragraph (a) of this section and that is not precluded from compliance under paragraph (b) of this section.
(2) Reports listing assets falling with- in the categories identified in para- graphs (c)(1)(ii) through (iv) of this sec- tion must include a description of facts supporting the basis of the LEC’s or CMRS provider’s claim of preclusion from compliance. For example, claims that a LEC or CMRS provider cannot comply with this section due to a legal constraint must include the citation(s) to the relevant law(s) and, in order to demonstrate that it is precluded from compliance, the provider must show that the legal constraint prohibits the provider from compliance. Claims that a LEC or CMRS provider cannot com- ply with this section with respect to a particular asset due to a private legal obligation or agreement must include a description of the relevant terms of the obligation or agreement and the dates on which the relevant terms of the agreement became effective and are set to expire. Claims that a LEC or CMRS provider cannot comply with this sec- tion with respect to a particular asset due to risk to safety of life or health must include a description of the safe- ty of life or health risk and facts that demonstrate a substantial risk of harm.
(3) For purposes of complying with the reporting requirements set forth in paragraphs (c)(1)(i) through (v) of this section, in cases where more than one asset necessary to maintain commu- nications that are normally powered from local commercial power are lo- cated at a single site (i.e., within one central office), the reporting entity may identify all of such assets by the name of the site.
(4) In cases where a LEC or CMRS provider identifies assets pursuant to paragraph (c)(1)(v) of this section, such LEC or CMRS provider must comply with the backup power requirement in paragraph (a) of this section or, within 12 months from the effective date of this rule, file with the Commission a certified emergency backup power
compliance plan. That plan must cer- tify that and describe how the LEC or CMRS provider will provide emergency backup power to 100 percent of the area covered by any non-compliant asset in the event of a commercial power fail- ure. For purposes of the plan, a pro- vider may rely on on-site and/or port- able backup power sources or other sources, as appropriate, sufficient for service coverage as follows: a minimum of 24 hours of service for assets inside central offices and eight hours for other assets, including cell sites, re- mote switches, and digital loop carrier system remote terminals. The emer- gency backup power compliance plans submitted are subject to Commission review.
(5) Reports submitted pursuant to this paragraph must be supported by an affidavit or declaration under penalty of perjury and signed and dated by a duly authorized representative of the LEC or CMRS provider with personal knowledge of the facts contained there- in.
(6) Information filed with the Com- mission pursuant to paragraph (c) of this section shall be automatically af- forded confidentiality in accordance with the Commission’s rules.
(7) LECs that meet the definition of a Class B company as set forth in § 32.11(b)(2) of this chapter and non-na- tionwide CMRS providers with no more than 500,000 subscribers are exempt from this reporting requirement.
[72 FR 57887, Oct. 11, 2007]
EFFECTIVE DATE NOTE: At 72 FR 57887, Oct. 11, 2007, § 12.2 was revised. This section con- tains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 12.3 911 and E911 analyses and re- ports.
The following entities must analyze their 911 and E911 networks and/or sys- tems and provide a detailed report to the Commission on the redundancy, re- siliency, and reliability of those net- works and/or systems: Local exchange carriers (LECs), including incumbent LECs (ILECS) and competitive LECs (CLECs); commercial mobile radio service providers required to comply with the wireless 911 rules set forth in
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§ 20.18 of this chapter; and inter- connected Voice over Internet Protocol (VoIP) service providers. LECs that meet the definition of a Class B com- pany set forth in § 32.11(b)(2) of this chapter, non-nationwide commercial mobile radio service providers with no more than 500,000 subscribers at the end of 2001, and interconnected VoIP service providers with annual revenues below the revenue threshold estab- lished pursuant to § 32.11 of this chap- ter are exempt from this rule.
(a) The Public Safety and Homeland Security Bureau (PSHSB) has the dele- gated authority to implement and acti- vate a process through which these re- ports will be submitted, including the authority to establish the specific data that will be required. Where relevant, these reports should include descrip- tions of the steps the service providers intend to take to ensure diversity and dependability in their 911 and E911 net- works and/or systems, including any plans they have to migrate those net- works and/or systems to a next genera- tion Internet Protocol-based E911 plat- form.
(b) These reports are due 120 days from the date that the Commission or its staff announces activation of the 911 network and system reporting proc- ess.
(c) Reports filed under this Part will be presumed to be confidential. These reports will be shared with The Na- tional Emergency Number Association, The Association of Public Safety Com- munications Officials, and The Na- tional Association of State 9–1–1 Ad- ministrators only pursuant to a protec- tive order. PSHSB has the delegated authority to issue such protective or- ders. All other access to these reports must be sought pursuant to procedures set forth in 47 CFR 0.461. Notice of any requests for inspection of these reports will be provided to the filers of the re- ports pursuant to 47 CFR 0.461(d)(3).
[72 FR 37673, July 11, 2007]
PART 13—COMMERCIAL RADIO OPERATORS
GENERAL
Sec. 13.1 Basis and purpose.
13.3 Definitions. 13.5 Licensed commercial radio operator re-
quired. 13.7 Classification of operator licenses and
endorsements. 13.8 Authority conveyed. 13.9 Eligibility and application for new li-
cense or endorsement. 13.10 Licensee address. 13.11 Holding more than one commercial
radio operator license. 13.13 Application for a renewed or modified
license. 13.15 License term. 13.17 Replacement license. 13.19 Operator’s responsibility.
EXAMINATION SYSTEM
13.201 Qualifying for a commercial operator license or endorsement.
13.203 Examination elements. 13.207 Preparing an examination. 13.209 Examination procedures. 13.211 Commercial radio operator license
examination. 13.213 COLEM qualifications. 13.215 Question pools. 13.217 Records.
AUTHORITY: Secs. 4, 303, 48 Stat. 1066, 1082 as amended; 47 U.S.C. 154, 303.
SOURCE: 58 FR 9124, Feb. 19, 1993, unless otherwise noted.
GENERAL
§ 13.1 Basis and purpose. (a) Basis. The basis for the rules con-
tained in this part is the Communica- tions Act of 1934, as amended, and ap- plicable treaties and agreements to which the United States is a party.
(b) Purpose. The purpose of the rules in this part is to prescribe the manner and conditions under which commer- cial radio operators are licensed by the Commission.
§ 13.3 Definitions. The definitions of terms used in part
13 are: (a) COLEM. Commercial operator li-
cense examination manager. (b) Commercial radio operator. A per-
son holding a license or licenses speci- fied in § 13.7(b).
(c) GMDSS. Global Maritime Distress and Safety System.
(d) FCC. Federal Communications Commission.
(e) International Morse Code. A dot- dash code as defined in International Telegraph and Telephone Consultative
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Federal Communications Commission § 13.7
Committee (CCITT) Recommendation F.1 (1984), Division B, I. Morse code.
(f) ITU. International Telecommuni- cation Union.
(g) PPC. Proof-of-Passing Certificate. (h) Question pool. All current exam-
ination questions for a designated writ- ten examination element.
(i) Question set. A series of examina- tion questions on a given examination selected from the current question pool.
(j) Radio Regulations. The latest ITU Radio Regulations to which the United States is a party.
§ 13.5 Licensed commercial radio oper- ator required.
Rules that require FCC station li- censees to have certain transmitter op- eration, maintenance, and repair duties performed by a commercial radio oper- ator are contained in parts 23, 80, and 87 of this chapter.
[63 FR 68942, Dec. 14, 1998]
§ 13.7 Classification of operator li- censes and endorsements.
(a) Commercial radio operator li- censes issued by the FCC are classified in accordance with the Radio Regula- tions of the ITU.
(b) There are eleven types of com- mercial radio operator licenses, certifi- cates and permits (licenses). The li- cense’s ITU classification, if different from its name, is given in parentheses.
(1) First Class Radiotelegraph Opera- tor’s Certificate.
(2) Second Class Radiotelegraph Op- erator’s Certificate.
(3) Third Class Radiotelegraph Opera- tor’s Certificate (radiotelegraph opera- tor’s special certificate).
(4) General Radiotelephone Operator License (radiotelephone operator’s gen- eral certificate).
(5) Marine Radio Operator Permit (radiotelephone operator’s restricted certificate).
(6) Restricted Radiotelephone Oper- ator Permit (radiotelephone operator’s restricted certificate).
(7) Restricted Radiotelephone Oper- ator Permit-Limited Use (radio- telephone operator’s restricted certifi- cate).
(8) GMDSS Radio Operator’s License (general operator’s certificate).
(9) Restricted GMDSS Radio Opera- tor’s License (restricted operator’s cer- tificate).
(10) GMDSS Radio Maintainer’s Li- cense (technical portion of the first- class radio electronic certificate).
(11) GMDSS Radio Operator/Main- tainer License (general operator’s cer- tificate/technical portion of the first- class radio electronic certificate).
(c) There are six license endorse- ments affixed by the FCC to provide special authorizations or restrictions. Endorsements may be affixed to the li- cense(s) indicated in parenthesis.
(1) Ship Radar Endorsement (First and Second Class Radiotelegraph Oper- ator’s Certificates, General Radio- telephone Operator License, GMDSS Radio Maintainer’s License).
(2) Six Months Service Endorsement (First and Second Class Radiotelegraph Operator’s License).
(3) Restrictive endorsements relating to physical handicaps, English lan- guage or literacy waivers, or other matters (all licenses).
(4) Marine Radio Operator Permits shall bear the following endorsement: This permit does not authorize the op- eration of AM, FM or TV broadcast stations.
(5) General Radiotelephone Operator Licenses issued after December 31, 1985, shall bear the following endorsement: This license confers authority to oper- ate licensed radio stations in the Avia- tion, Marine and International Fixed Public Radio Services only. This au- thority is subject to: any endorsement placed upon this license; FCC orders, rules, and regulations; United States statutes; and the provisions of any treaties to which the United States is a party. This license does not confer any authority to operate broadcast sta- tions. It is not assignable or transfer- able.
(6)(i) If a person is afflicted with an uncorrected physical handicap which would clearly prevent the performance of all or any part of the duties of a radio operator, under the license for which application is made, at a station under emergency conditions involving the safety of life or property, that per- son still may be issued the license if found qualified. Such a license shall
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47 CFR Ch. I (10–1–10 Edition)§ 13.8
bear a restrictive endorsement as fol- lows:
This license is not valid for the per- formance of any operating duties, other than installation, service and maintenance duties, at any station li- censed by the FCC which is required, directly or indirectly, by any treaty, statute or rule or regulation pursuant to statute, to be provided for safety purposes.
(ii) In the case of a license that does not require an examination in tech- nical radio matters, the endorsement specified in paragraph (c)(6)(i) of this section will be modified by deleting the reference therein to installation, serv- ice, and maintenance duties.
(iii) In any case where an applicant who normally would receive or has re- ceived a commercial radio operator li- cense bearing the endorsement pre- scribed by paragraph (c)(6)(i) of this section, indicates a desire to operate a station falling within the prohibited terms of the endorsement, the appli- cant may request in writing that such endorsement not be placed upon, or be removed from his or her license, and may submit written comments or statements from other parties in sup- port thereof.
(iv) An applicant who shows that he has performed satisfactorily the duties of a radio operator at a station re- quired to be provided for safety pur- poses during a period when he or she was afflicted by uncorrected physical handicaps of the same kind and to the same degree as the physical handicaps shown by his or her current application shall not be deemed to be within the provisions of paragraph (c)(6)(i) of this section.
(d) A Restricted Radiotelephone Op- erator Permit-Limited Use issued by the FCC to an aircraft pilot who is not legally eligible for employment in the United States is valid only for oper- ating radio stations on aircraft.
(e) A Restricted Radiotelephone Op- erator Permit-Limited Use issued by the FCC to a person under the provi- sion of Section 303(1)(2) of the Commu- nications Act of 1934, as amended, is valid only for the operation of radio
stations for which that person is the station licensee.
[58 FR 9124, Feb. 19, 1993; 58 FR 12632, Mar. 5, 1993, as amended at 68 FR 46958, Aug. 7, 2003; 73 FR 4479, Jan. 25, 2008]
§ 13.8 Authority conveyed. Licenses, certificates and permits
issued under this part convey author- ity for the operating privileges of other licenses, certificates, and permits issued under this part as specified below:
(a) First Class Radiotelegraph Opera- tor’s Certificate conveys all of the op- erating authority of the Second Class Radiotelegraph Operator’s Certificate, the Third Class Radiotelegraph Opera- tor’s Certificate, the Restricted Radiotelophone Operator Permit, and the Marine Radio Operator Permit.
(b) A Second Class Radiotelegraph Operator’s Certificate conveys all of the operating authority of the Third Class Radiotelegraph Operator’s Cer- tificate, the Restricted Radiotelophone Operator Permit, and the Marine Radio Operator Permit.
(c) A Third Class Radiotelegraph Op- erator’s Certificate conveys all of the operating authority of the Restricted Radiotelophone Operator Permit and the Marine Radio Operator Permit.
(d) A General Radiotelephone Oper- ator License conveys all of the oper- ating authority of the Marine Radio Operator Permit.
(e) A GMDSS Radio Operator’s Li- cense conveys all of the operating au- thority of the Marine Radio Operator Permit.
(f) A GMDSS Radio Maintainer’s Li- cense conveys all of the operating au- thority of the General Radiotelephone Operator License and the Marine Radio Operator Permit.
[64 FR 53240, Oct. 1, 1999]
§ 13.9 Eligibility and application for new license or endorsement.
(a) If found qualified, the following persons are eligible to apply for com- mercial radio operator licenses:
(1) Any person legally eligible for em- ployment in the United States.
(2) Any person, for the purpose of op- erating aircraft radio stations, who holds:
(i) United States pilot certificates; or
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Federal Communications Commission § 13.9
(ii) Foreign aircraft pilot certificates which are valid in the United States, if the foreign government involved has entered into a reciprocal agreement under which such foreign government does not impose any similar require- ment relating to eligibility for employ- ment upon United States citizens.
(3) Any person who holds a FCC radio station license, for the purpose of oper- ating that station.
(4) Notwithstanding any other provi- sions of the FCC’s rules, no person shall be eligible to be issued a commer- cial radio operator license when
(i) The person’s commercial radio op- erator license is suspended, or
(ii) The person’s commercial radio operator license is the subject of an on- going suspension proceeding, or
(iii) The person is afflicted with com- plete deafness or complete muteness or complete inability for any other reason to transmit correctly and to receive correctly by telephone spoken mes- sages in English.
(b)(1) Each application for a new Gen- eral Radiotelephone Operator License, Marine Radio Operator Permit, First Class Radiotelegraph Operator’s Cer- tificate, Second Class Radiotelegraph Operator’s Certificate, Third Class Ra- diotelegraph Operator’s Certificate, Ship Radar Endorsement, Six Months Service Endorsement, GMDSS Radio Operator’s License, Restricted GMDSS Radio Operator’s License, GMDSS Radio Maintainer’s License and GMDSS Radio Operator/Maintainer Li- cense must be filed on FCC Form 605 in accordance with § 1.913 of this chapter.
(2) Each application for a Restricted Radiotelephone Operator Permit or a Restricted Radiotelephone Operator Permit-Limited Use must be filed on FCC Form 605 in accordance with § 1.913 of this chapter.
(c) Each application for a new Gen- eral Radiotelephone Operator License, Marine Radio Operator Permit, First Class Radiotelegraph Operator’s Cer- tificate, Second Class Radiotelegraph Operator’s Certificate, Third Class Ra- diotelegraph Operator’s Certificate, Ship Radar Endorsement, GMDSS Radio Operator’s License, Restricted GMDSS Radio Operator’s License, GMDSS Radio Maintainer’s License, or GMDSS Radio Operator/Maintainer Li-
cense must be accompanied by the re- quired fee, if any, and submitted in ac- cordance with § 1.913 of this chapter. The application must include an origi- nal PPC(s) from a COLEM(s) showing that the applicant has passed the nec- essary examination element(s) within the previous 365 days when the appli- cant files the application. If a COLEM files the application electronically on behalf of the applicant an original PPC(s) is not required. However, the COLEM must keep the PPC(s) on file for a period of 1 year.
(d) An applicant will be given credit for an examination element as speci- fied below:
(1) An unexpired (or within the grace period) FCC-issued commercial radio operator license: The written examina- tion and telegraphy Element(s) re- quired to obtain the license held; and
(2) An expired or unexpired FCC- issued Amateur Extra Class operator license grant granted before April 15, 2000: Telegraphy Elements 1 and 2.
(e) Provided that a person’s commer- cial radio operator license was not re- voked, or suspended, and is not the subject of an ongoing suspension pro- ceeding, a person whose application for a commercial radio operator license has been received by the FCC but which has not yet been acted upon and who holds a PPC(s) indicating that he or she passed the necessary examina- tion(s) within the previous 365 days, is authorized to exercise the rights and privileges of the operator license for which the application was received. This authority is valid for a period of 90 days from the date the application was received. The FCC, in its discre- tion, may cancel this temporary condi- tional operating authority without a hearing.
(f) Each application for a new six months service endorsement must be submitted in accordance with § 1.913 of this chapter. The application must in- clude documentation showing that:
(1) The applicant was employed as a radio operator on board a ship or ships of the United States for a period total- ing at least six months;
(2) The ships were equipped with a radio station complying with the provi- sions of part II of title III of the Com- munications Act, or the ships were
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47 CFR Ch. I (10–1–10 Edition)§ 13.10
owned and operated by the U.S. Gov- ernment and equipped with radio sta- tions;
(3) The ships were in service during the applicable six month period and no portion of any single in-port period in- cluded in the qualifying six months pe- riod exceeded seven days;
(4) The applicant held a FCC-issued First or Second Class Radiotelegraph Operator’s Certificate during this en- tire six month qualifying period; and
(5) The applicant holds a radio offi- cer’s license issued by the U.S. Coast Guard at the time the six month en- dorsement is requested.
(g) No person shall alter, duplicate for fraudulent purposes, or fraudu- lently obtain or attempt to obtain an operator license. No person shall use a license issued to another or a license that he or she knows to be altered, du- plicated for fraudulent purposes, or fraudulently obtained. No person shall obtain or attempt to obtain, or assist another person to obtain or attempt to obtain, an operator license by fraudu- lent means.
[58 FR 9124, Feb. 19, 1993, as amended at 59 FR 3795, Jan. 27, 1994; 60 FR 27699, May 25, 1995; 63 FR 68942, Dec. 14, 1998; 66 FR 20752, Apr. 25, 2001; 68 FR 46958, Aug. 7, 2003]
§ 13.10 Licensee address. In accordance with § 1.923 of this
chapter all applications must specify an address where the applicant can re- ceive mail delivery by the United States Postal Service except as speci- fied below:
(a) Applicants for a Restricted Radio- telephone Operator Permit;
(b) Applicants for a Restricted Radio- telephone Operator Permit—Limited Use.
[64 FR 53240, Oct. 1, 1999]
§ 13.11 Holding more than one com- mercial radio operator license.
(a) An eligible person may hold more than one commercial operator license except as follows:
(1) No person may hold two or more unexpired radiotelegraph operator’s certificates at the same time;
(2) No person may hold any class of radiotelegraph operator’s certificate and a Marine Radio Operator Permit;
(3) No person may hold any class of radiotelegraph operator’s certificate and a Restricted Radiotelephone Oper- ator Permit.
(b) Each person who is not legally eli- gible for employment in the United States, and certain other persons who were issued permits prior to September 13, 1982, may hold two Restricted Ra- diotelephone Operator Permits simul- taneously when each permit authorizes the operation of a particular station or class of stations.
§ 13.13 Application for a renewed or modified license.
(a) Each application to renew a First Class Radiotelegraph Operator’s Cer- tificate, Second Class Radiotelegraph Operator’s Certificate, or Third Class Radiotelegraph Operator’s Certificate must be made on FCC Form 605. The application must be accompanied by the appropriate fee and submitted in accordance with § 1.913 of this chapter.
(b) If a license expires, application for renewal may be made during a grace period of five years after the ex- piration date without having to retake the required examinations. The appli- cation must be accompanied by the re- quired fee and submitted in accordance with § 1.913 of this chapter. During the grace period, the expired license is not valid. A license renewed during the grace period will be effective as of the date of the renewal. Licensees who fail to renew their license within the grace period must apply for a new license and take the required examination(s).
(c) Each application involving a change in operator class must be filed on FCC Form 605. Each application for a commercial operator license involv- ing a change in operator class must be accompanied by the required fee, if any, and submitted in accordance with § 1.913 of this chapter. The application must include an original PPC(s) from a COLEM(s) showing that the applicant has passed the necessary examinations element(s) within the previous 365 days when the applicant files the applica- tion. If a COLEM files the application electronically on behalf of the appli- cant an original PPC(s) is not required. However, the COLEM must keep the PPC(s) on file for a period of 1 year.
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Federal Communications Commission § 13.17
(d) Provided that a person’s commer- cial radio operator license was not re- voked, or suspended, and is not the subject of an ongoing suspension pro- ceeding, a person holding a General Ra- diotelephone Operator License, Marine Radio Operator Permit, First Class Ra- diotelegraph Operator’s Certificate, Second Class Radiotelegraph Opera- tor’s Certificate, Third Class Radio- telegraph Operator’s Certificate, GMDSS Radio Operator’s License, Re- stricted GMDSS Radio Operator’s Li- cense, GMDSS Radio Maintainer’s Li- cense, or GMDSS Radio Operator/Main- tainer license, who has an application for another commercial radio operator license which has not yet been acted upon pending at the FCC and who holds a PPC(s) indicating that he or she passed the necessary examination(s) within the previous 365 days, is author- ized to exercise the rights and privi- leges of the license for which the appli- cation is filed. This temporary condi- tional operating authority is valid for a period of 90 days from the date the application is received. This temporary conditional operating authority does not relieve the licensee of the obliga- tion to comply with the certification requirements of the Standards of Training, Certification and Watchkeeping (STCW) Convention. The FCC, in its discretion, may cancel this temporary conditional operating au- thority without a hearing.
(e) An applicant will be given credit for an examination element as speci- fied below:
(1) An unexpired (or within the grace period) FCC-issued commercial radio operator license: The written examina- tion and telegraphy Element(s) re- quired to obtain the license held; and
(2) An expired or unexpired FCC- issued Amateur Extra Class operator license document granted before April 15, 2000: Telegraphy Elements 1 and 2.
[58 FR 9124, Feb. 19, 1993, as amended at 60 FR 27699, May 25, 1995; 63 FR 68942, Dec. 14, 1998; 66 FR 20752, Apr. 25, 2001; 68 FR 46959, Aug. 7, 2003; 73 FR 4479, Jan. 25, 2008]
§ 13.15 License term. (a) First Class Radiotelegraph Opera-
tor’s Certificates, Second Class Radio- telegraph Operator’s Certificates, and Third Class Radiotelegraph Operator’s
Certificates are normally valid for a term of five years from the date of issuance.
(b) General Radiotelephone Operator Licenses, Restricted Radiotelephone Operator Permits, Restricted Radio- telephone Operator Permits-Limited Use, GMDSS Radio Operator’s Li- censes, Restricted GMDSS Radio Oper- ator’s Licenses, GMDSS Radio Main- tainer’s Licenses, GMDSS Operator/ Maintainer Licenses, and Marine Radio Operator Permits are normally valid for the lifetime of the holder.
[73 FR 4479, Jan. 25, 2008]
§ 13.17 Replacement license.
(a) Each licensee or permittee whose original document is lost, mutilated, or destroyed must request a replacement. The application must be accompanied by the required fee and submitted to the address specified in part 1 of the rules.
(b) Each application for a replace- ment General Radiotelephone Operator License, Marine Radio Operator Per- mit, First Class Radiotelegraph Opera- tor’s Certificate, Second Class Radio- telegraph Operator’s Certificate, Third Class Radiotelegraph Operator’s Cer- tificate, GMDSS Radio Operator’s Li- cense, Restricted GMDSS Radio Oper- ator License, GMDSS Radio Maintain- er’s License, or GMDSS Radio Oper- ator/Maintainer license must be made on FCC Form 605 and must include a written explanation as to the cir- cumstances involved in the loss, muti- lation, or destruction of the original document.
(c) Each application for a replace- ment Restricted Radiotelephone Oper- ator Permit must be on FCC Form 605.
(d) Each application for a replace- ment Restricted Radiotelephone Oper- ator Permit-Limited Use must be on FCC Form 605.
(e) A licensee who has made applica- tion for a replacement license may ex- hibit a copy of the application sub- mitted to the FCC or a photocopy of the license in lieu of the original docu- ment.
[58 FR 9124, Feb. 19, 1993, as amended at 63 FR 68942, Dec. 14, 1998; 68 FR 46959, Aug. 7, 2003]
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47 CFR Ch. I (10–1–10 Edition)§ 13.19
§ 13.19 Operator’s responsibility.
(a) The operator responsible for maintenance of a transmitter may per- mit other persons to adjust that trans- mitter in the operator’s presence for the purpose of carrying out tests or making adjustments requiring special- ized knowledge or skill, provided that he or she shall not be relieved thereby from responsibility for the proper oper- ation of the equipment.
(b) In every case where a station op- erating log or service and maintenance log is required, the operator respon- sible for the station operation or main- tenance shall make the required en- tries in the station log. If no station log is required, the operator respon- sible for service or maintenance duties which may affect the proper operation of the station shall sign and date an entry in the station maintenance records giving:
(1) Pertinent details of all service and maintenance work performed by the operator or conducted under his or her supervision;
(2) His or her name and address; and (3) The class, serial number and expi-
ration date of the license when the FCC has issued the operator a license, or the PPC serial number(s) and date(s) of issue when the operator is awaiting FCC action on an application.
(c) When the operator is on duty and in charge of transmitting systems, or performing service, maintenance or in- spection functions, the license or per- mit document, or a photocopy thereof, or a copy of the application and PPC(s) received by the FCC, must be posted or in the operator’s personal possession, and available for inspection upon re- quest by a FCC representative.
(d) The operator on duty and in charge of transmitting systems, or per- forming service, maintenance or in- spection functions, shall not be subject to the requirements of paragraph (b) of this section at a station, or stations of one licensee at a single location, at which the operator is regularly em- ployed and at which his or her license, or a photocopy, is posted.
[58 FR 9124, Feb. 19, 1993, as amended at 60 FR 27700, May 25, 1995]
EXAMINATION SYSTEM
§ 13.201 Qualifying for a commercial operator license or endorsement.
(a) To be qualified to hold any com- mercial radio operator license, an ap- plicant must have a satisfactory knowledge of FCC rules and must have the ability to send correctly and re- ceive correctly spoken messages in the English language.
(b) An applicant must pass an exam- ination for the issuance of a new com- mercial radio operator license, other than the Restricted Radiotelephone Operator Permit and the Restricted Radiotelephone Operator Permit-Lim- ited Use, and for each change in oper- ator class. An applicant must pass an examination for the issuance of a new Ship Radar Endorsement. Each appli- cation for the class of license or en- dorsement specified below must pass, or otherwise receive credit for, the cor- responding examination elements:
(1) First Class Radiotelegraph Opera- tor’s Certificate.
(i) Telegraphy Elements 3 and 4; (ii) Written Elements 1, 5, and 6; (iii) Applicant must be at least 21
years old; (iv) Applicant must have one year of
experience in sending and receiving public correspondence by radio- telegraph at a public coast station, a ship station, or both.
(2) Second Class Radiotelegraph Op- erator’s Certificate.
(i) Telegraphy Elements 1 and 2; (ii) Written Elements 1, 5, and 6. (3) Third Class Radiotelegraph Opera-
tor’s Certificate. (i) Telegraphy Elements 1 and 2; (ii) Written Elements 1 and 5. (4) General Radiotelephone Operator
License: Written Elements 1 and 3. (5) Marine Radio Operator Permit:
Written Element 1. (6) GMDSS Radio Operator’s License:
Written Elements 1 and 7, or a Proof of Passing Certificate (PPC) issued by the United States Coast Guard or its des- ignee representing a certificate of com- petency from a Coast Guard-approved training course for a GMDSS endorse- ment.
(7) Restricted GMDSS Radio Oper- ator License: Written Elements 1 and 7R, or a Proof of Passing Certificate
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Federal Communications Commission § 13.203
(PPC) issued by the United States Coast Guard or its designee rep- resenting a certificate of competency from a Coast Guard-approved training course for a GMDSS endorsement.
(8) GMDSS Radio Maintainer’s Li- cense: Written Elements 1, 3, and 9.
(9) Ship Radar Endorsement: Written Element 8.
[58 FR 9124, Feb. 19, 1993, as amended at 59 FR 3795, Jan. 27, 1994; 68 FR 46959, Aug. 7, 2003]
§ 13.203 Examination elements.
(a) A written examination (written Element) must prove that the exam- inee possesses the operational and technical qualifications to perform the duties required by a person holding that class of commercial radio oper- ator license. For each Element, the Commission shall establish through public notices or other appropriate means the number of questions to be included in the question pool, the num- ber of questions to be included in the examination, and the number of ques- tions that must be answered correctly to pass the examination. Each written examination must consist of questions relating to the pertinent subject mat- ter, as follows:
(1) Element 1 (formerly Elements 1 and 2): Basic radio law and operating practice with which every maritime radio operator should be familiar. Questions concerning provisions of laws, treaties, regulations, and oper- ating procedures and practices gen- erally followed or required in commu- nicating by means of radiotelephone stations.
(2) Element 3: General radio- telephone. Questions concerning elec- tronic fundamentals and techniques re- quired to adjust, repair, and maintain radio transmitters and receivers at sta- tions licensed by the FCC in the avia- tion, maritime, and international fixed public radio services.
(3) Element 5: Radiotelegraph oper- ating practice. Questions concerning radio operating procedures and prac- tices generally followed or required in communicating by means of radio- telegraph stations primarily other than in the maritime mobile services of public correspondence.
(4) Element 6: Advanced radio- telegraph. Questions concerning tech- nical, legal and other matters applica- ble to the operation of all classes of ra- diotelegraph stations, including oper- ating procedures and practices in the maritime mobile services of public cor- respondence, and associated matters such as radio navigational aids, mes- sage traffic routing and accounting, etc.
(5) Element 7: GMDSS radio oper- ating practices. Questions concerning GMDSS radio operating procedures and practices sufficient to show detailed practical knowledge of the operation of all GMDSS sub-systems and equip- ment; ability to send and receive cor- rectly by radiotelephone and narrow- band direct-printing telegraphy; de- tailed knowledge of the regulations ap- plying to radio communications, knowledge of the documents relating to charges for radio communications and knowledge of those provisions of the International Convention for the Safety of Life at Sea which relate to radio; sufficient knowledge of English to be able to express oneself satisfac- torily both orally and in writing; knowledge of and ability to perform each function listed in § 80.1081 of this chapter; and knowledge covering the requirements set forth in IMO Assem- bly Resolution on Training for Radio Personnel (GMDSS), Annex 3.
(6) Element 7R: Restricted GMDSS radio operating practices. Questions concerning those GMDSS radio oper- ating procedures and practices that are applicable to ship stations on vessels that sail exclusively in sea area A1, as defined in § 80.1069 of this chapter, suffi- cient to show detailed practical knowl- edge of the operation of pertinent GMDSS sub-systems and equipment; ability to send and receive correctly by radio telephone and narrow-band di- rect-printing telegraphy; detailed knowledge of the regulations governing radio communications within sea area A1, knowledge of the pertinent docu- ments relating to charges for radio communications and knowledge of the pertinent provisions of the Inter- national Convention for the Safety of Life at Sea; sufficient knowledge of English to be able to express oneself
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satisfactorily both orally and in writ- ing; knowledge of and ability to per- form each pertinent function listed in § 80.1081 of this chapter; and knowledge covering the pertinent requirements set forth in IMO Assembly Resolution on Training for Radio Personnel (GMDSS), Annex 3.
(7) Element 8: Ship radar techniques. Questions concerning specialized the- ory and practice applicable to the prop- er installation, servicing and mainte- nance of ship radar equipment in gen- eral use for marine navigational pur- poses.
(8) Element 9: GMDSS radio mainte- nance practices and procedures. Ques- tions concerning the requirements set forth in IMO Assembly on Training for Radio Personnel (GMDSS), Annex 5 and IMO Assembly on Radio Maintenance Guidelines for the Global Maritime Distress and Safety System related to Sea Areas A3 and A4.
(b) A telegraphy examination (teleg- raphy Elements) must prove that the examinee has the ability to send cor- rectly by hand and to receive correctly by ear texts in the international Morse code at not less than the prescribed speed, using all the letters of the al- phabet, numerals 0–9, period, comma, question mark, slant mark, and prosigns AR, BT, and SK.
(1) Telegraphy Element 1: 16 code groups per minute.
(2) Telegraphy Element 2: 20 words per minute.
(3) Telegraphy Element 3: 20 code groups per minute.
(4) Telegraphy Element 4: 25 words per minute.
[58 FR 9124, Feb. 19, 1993, as amended at 69 FR 64671, Nov. 8, 2004; 73 FR 4479, Jan. 25, 2008]
§ 13.207 Preparing an examination.
(a) Each telegraphy message and each written question set administered to an examinee for a commercial radio operator license must be provided by a COLEM.
(b) Each question set administered to an examinee must utilize questions taken from the applicable Element question pool. The COLEM may obtain the written question sets from a sup- plier or other COLEM.
(c) A telegraphy examination must consist of a plain language text or code group message sent in the inter- national Morse code at no less than the prescribed speed for a minimum of five minutes. The message must contain each required telegraphy character at least once. No message known to the examinee may be administered in a te- legraphy examination. Each five let- ters of the alphabet must be counted as one word or one code group. Each nu- meral, punctuation mark, and prosign must be counted as two letters of the alphabet. The COLEM may obtain the telegraphy message from a supplier or other COLEM.
§ 13.209 Examination procedures. (a) Each examination for a commer-
cial radio operator license must be ad- ministered at a location and a time specified by the COLEM. The COLEM is responsible for the proper conduct and necessary supervision of each examina- tion. The COLEM must immediately terminate the examination upon fail- ure of the examinee to comply with its instructions.
(b) Each examinee, when taking an examination for a commercial radio operator license, shall comply with the instructions of the COLEM.
(c) No examination that has been compromised shall be administered to any examinee. Neither the same teleg- raphy message nor the same question set may be re-administered to the same examinee.
(d) Passing a telegraphy examina- tion.
(1) To pass a receiving telegraphy ex- amination, an examinee is required to receive correctly the message by ear, for a period of 1 minute without error at the rate of speed specified in § 13.203 for the class of license sought.
(2) To pass a sending telegraphy ex- amination, an examinee is required to send correctly for a period of 1 minute at the rate of speed prescribed in § 13.203(b) for the class of license sought.
(e) Passing a telegraphy receiving ex- amination is adequate proof of an examinee’s ability to both send and re- ceive telegraphy. The COLEM, how- ever, may also include a sending seg- ment in a telegraphy examination.
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(f) The COLEM is responsible for de- termining the correctness of he examinee’s answers. When the exam- inee does not score a passing grade on an examination element, the COLEM must inform the examinee of the grade.
(g) When the examinee is credited for all examination elements required for the commercial operator license sought, the examinee may apply to the FCC for the license.
(h) No applicant who is eligible to apply for any commercial radio oper- ator license shall, by reason of any physical handicap, be denied the privi- lege of applying and being permitted to attempt to prove his or her qualifica- tions (by examination if examination is required) for such commercial radio operator license in accordance with procedures established by the COLEM.
(i) The COLEM must accommodate an examinee whose physical disabil- ities require a special examination pro- cedure. The COLEM may require a phy- sician’s certification indicating the na- ture of the disability before deter- mining which, if any, special proce- dures are appropriate to use. In the case of a blind examinee, the examina- tion questions may be read aloud and the examinee may answer orally. A blind examinee wishing to use this pro- cedure must make arrangements with the COLEM prior to the date the exam- ination is desired.
(j) The FCC may: (1) Administer any examination ele-
ment itself. (2) Readminister any examination
element previously administered by a COLEM, either itself or by designating another COLEM to readminister the examination element.
(3) Cancel the commercial operator license(s) of any licensee who fails to appear for re-administration of an ex- amination when directed by the FCC, or who fails any required element that is re-administered. In case of such can- cellation, the person will be issued an operator license consistent with com- pleted examination elements that have not been invalidated by not appearing for, or by failing, the examination upon re-administration.
§ 13.211 Commercial radio operator li- cense examination.
(a) Each session where an examina- tion for a commercial radio operator li- cense is administered must be managed by a COLEM or the FCC.
(b) Each examination for a commer- cial radio operator license must be ad- ministered as determined by the COLEM.
(c) The COLEM may limit the num- ber of candidates at any examination.
(d) The COLEM may prohibit from the examination area items the COLEM determines could compromise the integrity of an examination or dis- tract examinees.
(e) Within 10 days of completion of the examination element(s), the COLEM must provide the results of the examination to the examinee and the COLEM must issue a PPC to an exam- inee who scores a passing grade on an examination element.
(f) A PPC is valid for 365 days from the date it is issued.
§ 13.213 COLEM qualifications. No entity may serve as a COLEM un-
less it has entered into a written agree- ment with the FCC. In order to be eli- gible to be a COLEM, the entity must:
(a) Agree to abide by the terms of the agreement;
(b) Be capable of serving as a COLEM;
(c) Agree to coordinate examinations for one or more types of commercial radio operator licenses and/or endorse- ments;
(d) Agree to assure that, for any ex- amination, every examinee eligible under these rules is registered without regard to race, sex, religion, national origin or membership (or lack thereof) in any organization;
(e) Agree to make any examination records available to the FCC, upon re- quest.
(f) Agree not to administer an exam- ination to an employee, relative, or relative of an employee.
§ 13.215 Question pools. The question pool for each written
examination element will be composed of questions acceptable to the FCC. Each question pool must contain at
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least five (5) times the number of ques- tions required for a single examination. The FCC will issue public announce- ments detailing the questions in the pool for each element. COLEMs must use only currently-authorized (through public notice or other appropriate means) question pools when preparing a question set for a written examina- tion element.
[73 FR 4479, Jan. 25, 2008]
§ 13.217 Records. Each COLEM recovering fees from
examinees must maintain records of expenses and revenues, frequency of ex- aminations administered, and exam- ination pass rates. Records must cover the period from January 1 to December 31 of the preceding year and must be submitted as directed by the Commis- sion. Each COLEM must retain records for 1 year and the records must be made available to the FCC upon re- quest.
PART 15—RADIO FREQUENCY DEVICES
Subpart A—General
Sec. 15.1 Scope of this part. 15.3 Definitions. 15.5 General conditions of operation. 15.7 [Reserved] 15.9 Prohibition against eavesdropping. 15.11 Cross reference. 15.13 Incidental radiators. 15.15 General technical requirements. 15.17 Susceptibility to interference. 15.19 Labelling requirements. 15.21 Information to user. 15.23 Home-built devices. 15.25 Kits. 15.27 Special accessories. 15.29 Inspection by the Commission. 15.31 Measurement standards. 15.32 Test procedures for CPU boards and
computer power supplies. 15.33 Frequency range of radiated measure-
ments. 15.35 Measurement detector functions and
bandwidths. 15.37 Transition provisions for compliance
with the rules. 15.38 Incorporation by reference.
Subpart B—Unintentional Radiators
15.101 Equipment authorization of uninten- tional radiators.
15.102 CPU boards and power supplies used in personal computers.
15.103 Exempted devices. 15.105 Information to the user. 15.107 Conducted limits. 15.109 Radiated emission limits. 15.111 Antenna power conduction limits for
receivers. 15.113 Power line carrier systems. 15.115 TV interface devices, including cable
system terminal devices. 15.117 TV broadcast receivers. 15.118 Cable ready consumer electronics
equipment. 15.119 Closed caption decoder requirements
for analog television receivers. 15.120 Program blocking technology re-
quirements for television receivers. 15.121 Scanning receivers and frequency
converters used with scanning receivers. 15.122 Closed caption decoder requirements
for digital television receivers and con- verter boxes.
15.123 Labeling of digital cable ready prod- ucts.
15.124 DTV transition notices by manufac- turers of televisions and related devices.
Subpart C—Intentional Radiators
15.201 Equipment authorization require- ment.
15.202 Certified operating frequency range. 15.203 Antenna requirement. 15.204 External radio frequency power am-
plifiers and antenna modifications. 15.205 Restricted bands of operation. 15.207 Conducted limits. 15.209 Radiated emission limits; general re-
quirements. 15.211 Tunnel radio systems. 15.212 Modular transmitters. 15.213 Cable locating equipment. 15.214 Cordless telephones.
RADIATED EMISSION LIMITS, ADDITIONAL PROVISIONS
15.215 Additional provisions to the general radiated emission limitations.
15.216 Disclosure requirements for wireless microphones and other low power auxil- iary stations capable of operating in the core TV bands.
15.217 Operation in the band 160–190 kHz. 15.219 Operation in the band 510–1705 kHz. 15.221 Operation in the band 525–1705 kHz. 15.223 Operation in the band 1.705–10 MHz. 15.225 Operation within the band 13.110–
14.010 MHz. 15.227 Operation within the band 26.96–27.28
MHz. 15.229 Operation within the band 40.66–40.70
MHz. 15.231 Periodic operation in the band 40.66–
40.70 MHz and above 70 MHz.
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15.233 Operation within the bands 43.71–44.49 MHz, 46.60–46.98 MHz, 48.75–49.51 MHz and 49.66–50.0 MHz.
15.235 Operation within the band 49.82–49.90 MHz.
15.237 Operation in the bands 72.0–73.0 MHz, 74.6–74.8 MHz and 75.2–76.0 MHz.
15.239 Operation in the band 88–108 MHz. 15.240 Operation in the band 433.5–434.5 MHz. 15.241 Operation in the band 174–216 MHz. 15.242 Operation in the bands 174–216 MHz
and 470–668 MHz. 15.243 Operation in the band 890–940 MHz. 15.245 Operation within the bands 902–928
MHz, 2435–2465 MHz, 5785–5815 MHz, 10500– 10550 MHz, and 24075–24175 MHz.
15.247 Operation within the bands 902–928 MHz, 2400–2483.5 MHz, and 5725–5850 MHz.
15.249 Operation within the bands 902–928 MHz, 2400–2483.5 MHz, 5725–5875 MHz, and 24.0–24.25 GHz.
15.250 Operation of wideband systems with- in the band 5925–7250 MHz.
15.251 Operation within the bands 2.9–3.26 GHz, 3.267–3.332 GHz, 3.339–3.3458 GHz, and 3.358–3.6 GHz.
15.252 Operation of wideband vehicular radar systems within the bands 16.2–17.7 GHz and 23.12–29.0 GHz.
15.253 Operation within the bands 46.7–46.9 GHz and 76.0–77.0 GHz.
15.255 Operation within the band 57–64 GHz. 15.257 Operation within the band 92–95 GHz.
Subpart D—Unlicensed Personal Communications Service Devices
15.301 Scope. 15.303 Definitions. 15.305 Equipment authorization require-
ment. 15.307 Coordination with fixed microwave
service. 15.309 Cross reference. 15.311 Labeling requirements. 15.313 Measurement procedures. 15.315 Conducted limits. 15.317 Antenna requirement. 15.319 General technical requirements. 15.321 [Reserved] 15.323 Specific requirements for devices op-
erating in the 1920–1930 MHz sub-band.
Subpart E—Unlicensed National Information Infrastructure Devices
15.401 Scope. 15.403 Definitions. 15.405 Cross reference. 15.407 General technical requirements.
Subpart F—Ultra-Wideband Operation
15.501 Scope. 15.503 Definitions. 15.505 Cross reference. 15.507 Marketing of UWB equipment.
15.509 Technical requirements for ground penetrating radars and wall imaging sys- tems.
15.510 Technical requirements for through D-wall imaging systems.
15.511 Technical requirements for surveil- lance systems.
15.513 Technical requirements for medical imaging systems.
15.515 Technical requirements for vehicular radar systems.
15.517 Technical requirements for indoor UWB systems.
15.519 Technical requirements for hand held UWB systems.
15.521 Technical requirements applicable to all UWB devices.
15.523 Measurement procedures. 15.525 Coordination requirements.
Subpart G—Access Broadband Over Power Line (Access BPL)
15.601 Scope. 15.603 Definitions. 15.605 Cross reference. 15.607 Equipment authorization of Access
BPL equipment. 15.609 Marketing of Access BPL equipment. 15.611 General technical requirements. 15.613 Measurement procedures. 15.615 General administrative requirements.
Subpart H—Television Band Devices
15.701 Scope. 15.703 Definitions. 15.705 Cross reference. 15.706 Information to the user. 15.707 Permissible channels of operation. 15.709 General technical requirements. 15.711 Interference avoidance mechanisms. 15.712 Interference protection requirements. 15.713 TV bands database. 15.714 TV bands database administration
fees. 15.715 TV bands database administrator. 15.717 TVBDs that rely on spectrum sens-
ing.
AUTHORITY: 47 U.S.C. 154, 302a, 303, 304, 307, 336, and 544a.
SOURCE: 54 FR 17714, Apr. 25, 1989, unless otherwise noted.
Subpart A—General § 15.1 Scope of this part.
(a) This part sets out the regulations under which an intentional, uninten- tional, or incidental radiator may be operated without an individual license. It also contains the technical specifica- tions, administrative requirements and other conditions relating to the mar- keting of part 15 devices.
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(b) The operation of an intentional or unintentional radiator that is not in accordance with the regulations in this part must be licensed pursuant to the provisions of section 301 of the Commu- nications Act of 1934, as amended, un- less otherwise exempted from the li- censing requirements elsewhere in this chapter.
(c) Unless specifically exempted, the operation or marketing of an inten- tional or unintentional radiator that is not in compliance with the administra- tive and technical provisions in this part, including prior Commission au- thorization or verification, as appro- priate, is prohibited under section 302 of the Communications Act of 1934, as amended, and subpart I of part 2 of this chapter. The equipment authorization and verification procedures are de- tailed in subpart J of part 2 of this chapter.
§ 15.3 Definitions. (a) Auditory assistance device. An in-
tentional radiator used to provide audi- tory assistance to a handicapped per- son or persons. Such a device may be used for auricular training in an edu- cation institution, for auditory assist- ance at places of public gatherings, such as a church, theater, or audito- rium, and for auditory assistance to handicapped individuals, only, in other locations.
(b) Biomedical telemetry device. An in- tentional radiator used to transmit measurements of either human or ani- mal biomedical phenomena to a re- ceiver.
(c) Cable input selector switch. A trans- fer switch that is intended as a means to alternate between the reception of broadcast signals via connection to an antenna and the reception of cable tel- evision service.
(d) Cable locating equipment. An inten- tional radiator used intermittently by trained operators to locate buried ca- bles, lines, pipes, and similar struc- tures or elements. Operation entails coupling a radio frequency signal onto the cable, pipes, etc. and using a re- ceiver to detect the location of that structure or element.
(e) Cable system terminal device (CSTD). A TV interface device that serves, as its primary function, to con-
nect a cable system operated under part 76 of this chapter to a TV broad- cast receiver or other subscriber premise equipment. Any device which functions as a CSTD in one of its oper- ating modes must comply with the technical requirements for such de- vices when operating in that mode.
(f) Carrier current system. A system, or part of a system, that transmits radio frequency energy by conduction over the electric power lines. A carrier cur- rent system can be designed such that the signals are received by conduction directly from connection to the elec- tric power lines (unintentional radi- ator) or the signals are received over- the-air due to radiation of the radio frequency signals from the electric power lines (intentional radiator).
(g) CB receiver. Any receiver that op- erates in the Personal Radio Services on frequencies allocated for Citizens Band (CB) Radio Service stations, as well as any receiver provided with a separate band specifically designed to receive the transmissions of CB sta- tions in the Personal Radio Services. This includes the following: (1) A CB receiver sold as a separate unit of equipment; (2) the receiver section of a CB transceiver; (3) a converter to be used with any receiver for the purpose of receiving CB transmissions; and, (4) a multiband receiver that includes a band labelled ‘‘CB’’ or ‘‘11-meter’’ in which such band can be separately se- lected, except that an Amateur Radio Service receiver that was manufac- tured prior to January 1, 1960, and which includes an 11-meter band shall not be considered to be a CB receiver.
(h) Class A digital device. A digital de- vice that is marketed for use in a com- mercial, industrial or business environ- ment, exclusive of a device which is marketed for use by the general public or is intended to be used in the home.
(i) Class B digital device. A digital de- vice that is marketed for use in a resi- dential environment notwithstanding use in commercial, business and indus- trial environments. Examples of such devices include, but are not limited to, personal computers, calculators, and similar electronic devices that are marketed for use by the general public.
NOTE: The responsible party may also qual- ify a device intended to be marketed in a
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commercial, business or industrial environ- ment as a Class B device, and in fact is en- couraged to do so, provided the device com- plies with the technical specifications for a Class B digital device. In the event that a particular type of device has been found to repeatedly cause harmful interference to radio communications, the Commission may classify such a digital device as a Class B digital device, regardless of its intended use.
(j) Cordless telephone system. A system consisting of two transceivers, one a base station that connects to the pub- lic switched telephone network and the other a mobile handset unit that com- municates directly with the base sta- tion. Transmissions from the mobile unit are received by the base station and then placed on the public switched telephone network. Information re- ceived from the switched telephone network is transmitted by the base sta- tion to the mobile unit.
NOTE: The Domestic Public Cellular Radio Telecommunications Service is considered to be part of the switched telephone network. In addition, intercom and paging operations are permitted provided these are not in- tended to be the primary modes of operation.
(k) Digital device. (Previously defined as a computing device). An uninten- tional radiator (device or system) that generates and uses timing signals or pulses at a rate in excess of 9,000 pulses (cycles) per second and uses digital techniques; inclusive of telephone equipment that uses digital techniques or any device or system that generates and uses radio frequency energy for the purpose of performing data processing functions, such as electronic computa- tions, operations, transformations, re- cording, filing, sorting, storage, re- trieval, or transfer. A radio frequency device that is specifically subject to an emanation requirement in any other FCC Rule part or an intentional radi- ator subject to subpart C of this part that contains a digital device is not subject to the standards for digital de- vices, provided the digital device is used only to enable operation of the radio frequency device and the digital device does not control additional functions or capabilities.
NOTE: Computer terminals and peripherals that are intended to be connected to a com- puter are digital devices.
(l) Field disturbance sensor. A device that establishes a radio frequency field in its vicinity and detects changes in that field resulting from the movement of persons or objects within its range.
(m) Harmful interference. Any emis- sion, radiation or induction that en- dangers the functioning of a radio navi- gation service or of other safety serv- ices or seriously degrades, obstructs or repeatedly interrupts a radiocommunications service operating in accordance with this chapter.
(n) Incidental radiator. A device that generates radio frequency energy dur- ing the course of its operation al- though the device is not intentionally designed to generate or emit radio fre- quency energy. Examples of incidental radiators are dc motors, mechanical light switches, etc.
(o) Intentional radiator. A device that intentionally generates and emits radio frequency energy by radiation or induction.
(p) Kit. Any number of electronic parts, usually provided with a sche- matic diagram or printed circuit board, which, when assembled in accordance with instructions, results in a device subject to the regulations in this part, even if additional parts of any type are required to complete assembly.
(q) Perimeter protection system. A field disturbance sensor that employs RF transmission lines as the radiating source. These RF transmission lines are installed in such a manner that al- lows the system to detect movement within the protected area.
(r) Peripheral device. An input/output unit of a system that feeds data into and/or receives data from the central processing unit of a digital device. Pe- ripherals to a digital device include any device that is connected external to the digital device, any device inter- nal to the digital device that connects the digital device to an external device by wire or cable, and any circuit board designed for interchangeable mount- ing, internally or externally, that in- creases the operating or processing speed of a digital device, e.g., ‘‘turbo’’ cards and ‘‘enhancement’’ boards. Ex- amples of peripheral devices include terminals, printers, external floppy
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disk drives and other data storage de- vices, video monitors, keyboards, inter- face boards, external memory expan- sion cards, and other input/output de- vices that may or may not contain dig- ital circuitry. This definition does not include CPU boards, as defined in para- graph (bb) of this section, even though a CPU board may connect to an exter- nal keyboard or other components.
(s) Personal computer. An electronic computer that is marketed for use in the home, notwithstanding business applications. Such computers are con- sidered Class B digital devices. Com- puters which use a standard TV re- ceiver as a display device or meet all of the following conditions are considered examples of personal computers:
(1) Marketed through a retail outlet or direct mail order catalog.
(2) Notices of sale or advertisements are distributed or directed to the gen- eral public or hobbyist users rather than restricted to commercial users.
(3) Operates on a battery or 120 volt electrical supply. If the responsible party can dem- onstrate that because of price or per- formance the computer is not suitable for residential or hobbyist use, it may request that the computer be consid- ered to fall outside of the scope of this definition for personal computers.
(t) Power line carrier systems. An unin- tentional radiator employed as a car- rier current system used by an electric power utility entity on transmission lines for protective relaying, telem- etry, etc. for general supervision of the power system. The system operates by the transmission of radio frequency en- ergy by conduction over the electric power transmission lines of the system. The system does not include those elec- tric lines which connect the distribu- tion substation to the customer or house wiring.
(u) Radio frequency (RF) energy. Elec- tromagnetic energy at any frequency in the radio spectrum between 9 kHz and 3,000,000 MHz.
(v) Scanning receiver. For the purpose of this part, this is a receiver that automatically switches among two or more frequencies in the range of 30 to 960 MHz and that is capable of stopping at and receiving a radio signal detected on a frequency. Receivers designed
solely for the reception of the broad- cast signals under part 73 of this chap- ter, for the reception of NOAA broad- cast weather band signals, or for oper- ation as part of a licensed service are not included in this definition.
(w) Television (TV) broadcast receiver. A device designed to receive television pictures that are broadcast simulta- neously with sound on the television channels authorized under part 73 of this chapter.
(x) Transfer switch. A device used to alternate between the reception of over-the-air radio frequency signals via connection to an antenna and the re- ception of radio frequency signals re- ceived by any other method, such as from a TV interface device.
(y) TV interface device. An uninten- tional radiator that produces or trans- lates in frequency a radio frequency carrier modulated by a video signal de- rived from an external or internal sig- nal source, and which feeds the modu- lated radio frequency energy by con- duction to the antenna terminals or other non-baseband input connections of a television broadcast receiver. A TV interface device may include a stand- alone RF modulator, or a composite de- vice consisting of an RF modulator, video source and other components de- vices. Examples of TV interface devices are video cassette recorders and ter- minal devices attached to a cable sys- tem or used with a Master Antenna (in- cluding those used for central distribu- tion video devices in apartment or of- fice buildings).
(z) Unintentional radiator. A device that intentionally generates radio fre- quency energy for use within the de- vice, or that sends radio frequency sig- nals by conduction to associated equip- ment via connecting wiring, but which is not intended to emit RF energy by radiation or induction.
(aa) Cable ready consumer electronics equipment. Consumer electronics TV re- ceiving devices, including TV receivers, videocassette recorders and similar de- vices, that incorporate a tuner capable of receiving television signals and an input terminal intended for receiving cable television service, and are mar- keted as ‘‘cable ready’’ or ‘‘cable com- patible.’’ Such equipment shall comply with the technical standards specified
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in § 15.118 and the provisions of § 15.19(d).
(bb) CPU board. A circuit board that contains a microprocessor, or fre- quency determining circuitry for the microprocessor, the primary function of which is to execute user-provided programming, but not including:
(1) A circuit board that contains only a microprocessor intended to operate under the primary control or instruc- tion of a microprocessor external to such a circuit board; or
(2) A circuit board that is a dedicated controller for a storage or input/output device.
(cc) External radio frequency power amplifier. A device which is not an inte- gral part of an intentional radiator as manufactured and which, when used in conjunction with an intentional radi- ator as a signal source, is capable of amplifying that signal.
(dd) Test equipment is defined as equipment that is intended primarily for purposes of performing measure- ments or scientific investigations. Such equipment includes, but is not limited to, field strength meters, spec- trum analyzers, and modulation mon- itors.
(ee) Radar detector. A receiver de- signed to signal the presence of radio signals used for determining the speed of motor vehicles. This definition does not encompass the receiver incor- porated within a radar transceiver cer- tified under the Commission’s rules.
(ff) Access Broadband over Power Line (Access BPL). A carrier current system installed and operated on an electric utility service as an unintentional ra- diator that sends radio frequency en- ergy on frequencies between 1.705 MHz and 80 MHz over medium voltage lines or over low voltage lines to provide broadband communications and is lo- cated on the supply side of the utility service’s points of interconnection with customer premises. Access BPL does not include power line carrier systems as defined in § 15.3(t) or In-House BPL as defined in § 15.3(gg).
(gg) In-House Broadband over Power Line (In-House BPL). A carrier current system, operating as an unintentional radiator, that sends radio frequency energy by conduction over electric power lines that are not owned, oper-
ated or controlled by an electric serv- ice provider. The electric power lines may be aerial (overhead), underground, or inside the walls, floors or ceilings of user premises. In-House BPL devices may establish closed networks within a user’s premises or provide connections to Access BPL networks, or both.
[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 18340, May 2, 1990; 57 FR 33448, July 29, 1992; 59 FR 25340, May 16, 1994; 61 FR 31048, June 19, 1996; 62 FR 26242, May 13, 1997; 64 FR 22561, Apr. 27, 1999; 65 FR 64391, Oct. 27, 2000; 66 FR 32582, June 15, 2001; 67 FR 48993, July 29, 2002; 70 FR 1373, Jan. 7, 2005]
§ 15.5 General conditions of operation. (a) Persons operating intentional or
unintentional radiators shall not be deemed to have any vested or recogniz- able right to continued use of any given frequency by virtue of prior reg- istration or certification of equipment, or, for power line carrier systems, on the basis of prior notification of use pursuant to § 90.63(g) of this chapter.
(b) Operation of an intentional, unin- tentional, or incidental radiator is sub- ject to the conditions that no harmful interference is caused and that inter- ference must be accepted that may be caused by the operation of an author- ized radio station, by another inten- tional or unintentional radiator, by in- dustrial, scientific and medical (ISM) equipment, or by an incidental radi- ator.
(c) The operator of a radio frequency device shall be required to cease oper- ating the device upon notification by a Commission representative that the device is causing harmful interference. Operation shall not resume until the condition causing the harmful inter- ference has been corrected.
(d) Intentional radiators that produce Class B emissions (damped wave) are prohibited.
§ 15.7 [Reserved]
§ 15.9 Prohibition against eaves- dropping.
Except for the operations of law en- forcement officers conducted under lawful authority, no person shall use, either directly or indirectly, a device operated pursuant to the provisions of this part for the purpose of overhearing or recording the private conversations
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of others unless such use is authorized by all of the parties engaging in the conversation.
§ 15.11 Cross reference. The provisions of subparts A, H, I, J
and K of part 2 apply to intentional and unintentional radiators, in addi- tion to the provisions of this part. Also, a cable system terminal device and a cable input selector switch shall be subject to the relevant provisions of part 76 of this chapter.
§ 15.13 Incidental radiators. Manufacturers of these devices shall
employ good engineering practices to minimize the risk of harmful inter- ference.
§ 15.15 General technical require- ments.
(a) An intentional or unintentional radiator shall be constructed in accord- ance with good engineering design and manufacturing practice. Emanations from the device shall be suppressed as much as practicable, but in no case shall the emanations exceed the levels specified in these rules.
(b) Except as follows, an intentional or unintentional radiator must be con- structed such that the adjustments of any control that is readily accessible by or intended to be accessible to the user will not cause operation of the de- vice in violation of the regulations. Ac- cess BPL equipment shall comply with the applicable standards at the control adjustment that is employed. The measurement report used in support of an application for Certification and the user instructions for Access BPL equip- ment shall clearly specify the user-or installer-control settings that are re- quired for conformance with these reg- ulations.
(c) Parties responsible for equipment compliance should note that the limits specified in this part will not prevent harmful interference under all cir- cumstances. Since the operators of part 15 devices are required to cease op- eration should harmful interference occur to authorized users of the radio frequency spectrum, the parties re- sponsible for equipment compliance are encouraged to employ the minimum field strength necessary for commu-
nications, to provide greater attenu- ation of unwanted emissions than re- quired by these regulations, and to ad- vise the user as to how to resolve harmful interference problems (for ex- ample, see § 15.105(b)).
[54 FR 17714, Apr. 25, 1989, as amended at 70 FR 1373, Jan. 7, 2005]
§ 15.17 Susceptibility to interference.
(a) Parties responsible for equipment compliance are advised to consider the proximity and the high power of non- Government licensed radio stations, such as broadcast, amateur, land mo- bile, and non-geostationary mobile sat- ellite feeder link earth stations, and of U.S. Government radio stations, which could include high-powered radar sys- tems, when choosing operating fre- quencies during the design of their equipment so as to reduce the suscepti- bility for receiving harmful inter- ference. Information on non-Govern- ment use of the spectrum can be ob- tained by consulting the Table of Fre- quency Allocations in § 2.106 of this chapter.
(b) Information on U.S. Government operations can be obtained by con- tacting: Director, Spectrum Plans and Policy, National Telecommunications and Information Administration, De- partment of Commerce, Room 4096, Washington, DC 20230.
[54 FR 17714, Apr. 25, 1989, as amended at 62 FR 4655, Jan. 31, 1997; 63 FR 40835, July 31, 1998]
§ 15.19 Labelling requirements.
(a) In addition to the requirements in part 2 of this chapter, a device subject to certification, or verification shall be labelled as follows:
(1) Receivers associated with the op- eration of a licensed radio service, e.g., FM broadcast under part 73 of this chapter, land mobile operation under part 90, etc., shall bear the following statement in a conspicuous location on the device:
This device complies with part 15 of the FCC Rules. Operation is subject to the condi- tion that this device does not cause harmful interference.
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(2) A stand-alone cable input selector switch, shall bear the following state- ment in a conspicuous location on the device:
This device is verified to comply with part 15 of the FCC Rules for use with cable tele- vision service.
(3) All other devices shall bear the following statement in a conspicuous location on the device:
This device complies with part 15 of the FCC Rules. Operation is subject to the fol- lowing two conditions: (1) This device may not cause harmful interference, and (2) this device must accept any interference re- ceived, including interference that may cause undesired operation.
(4) Where a device is constructed in two or more sections connected by wires and marketed together, the statement specified under paragraph (a) of this section is required to be af- fixed only to the main control unit.
(5) When the device is so small or for such use that it is not practicable to place the statement specified under paragraph (a) of this section on it, the information required by this paragraph shall be placed in a prominent location in the instruction manual or pamphlet supplied to the user or, alternatively, shall be placed on the container in which the device is marketed. However, the FCC identifier or the unique identi- fier, as appropriate, must be displayed on the device.
(b) Products subject to authorization under a Declaration of Conformity shall be labelled as follows:
(1) The label shall be located in a conspicuous location on the device and shall contain the unique identification described in § 2.1074 of this chapter and the following logo:
(i) If the product is authorized based on testing of the product or system; or
(ii) If a personal computer is author- ized based on assembly using sepa- rately authorized components, in ac-
cordance with § 15.101(c)(2) or (c)(3), and the resulting product is not separately tested:
(2) Label text and information should be in a size of type large enough to be readily legible, consistent with the di- mensions of the equipment and the label. However, the type size for the
text is not required to be larger than eight point.
(3) When the device is so small or for such use that it is not practicable to place the statement specified under
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paragraph (b)(1) of this section on it, such as for a CPU board or a plug-in circuit board peripheral device, the text associated with the logo may be placed in a prominent location in the instruction manual or pamphlet sup- plied to the user. However, the unique identification (trade name and model number) and the logo must be dis- played on the device.
(4) The label shall not be a stick-on, paper label. The label on these prod- ucts shall be permanently affixed to the product and shall be readily visible to the purchaser at the time of pur- chase, as described in § 2.925(d) of this chapter. ‘‘Permanently affixed’’ means that the label is etched, engraved, stamped, silkscreened, indelibly print- ed, or otherwise permanently marked on a permanently attached part of the equipment or on a nameplate of metal, plastic, or other material fastened to the equipment by welding, riveting, or a permanent adhesive. The label must be designed to last the expected life- time of the equipment in the environ- ment in which the equipment may be operated and must not be readily de- tachable.
(c) [Reserved] (d) Consumer electronics TV receiv-
ing devices, including TV receivers, videocassette recorders, and similar de- vices, that incorporate features in- tended to be used with cable television service, but do not fully comply with the technical standards for cable ready equipment set forth in § 15.118, shall not be marketed with terminology that describes the device as ‘‘cable ready’’ or ‘‘cable compatible,’’ or that other- wise conveys the impression that the device is fully compatible with cable service. Factual statements about the various features of a device that are in- tended for use with cable service or the quality of such features are acceptable so long as such statements do not imply that the device is fully compat- ible with cable service. Statements re- lating to product features are generally acceptable where they are limited to one or more specific features of a de- vice, rather than the device as a whole. This requirement applies to consumer TV receivers, videocassette recorders and similar devices manufactured or
imported for sale in this country on or after October 31, 1994.
[54 FR 17714, Apr. 25, 1989, as amended at 59 FR 25341, May 16, 1994; 61 FR 18509, Apr. 26, 1996; 61 FR 31048, June 19, 1996; 62 FR 41881, Aug. 4, 1997; 63 FR 36602, July 7, 1998; 65 FR 64391, Oct. 27, 2000; 68 FR 66733, Nov. 28, 2003; 68 FR 68545, Dec. 9, 2003]
§ 15.21 Information to user.
The users manual or instruction manual for an intentional or uninten- tional radiator shall caution the user that changes or modifications not ex- pressly approved by the party respon- sible for compliance could void the user’s authority to operate the equip- ment. In cases where the manual is provided only in a form other than paper, such as on a computer disk or over the Internet, the information re- quired by this section may be included in the manual in that alternative form, provided the user can reasonably be ex- pected to have the capability to access information in that form.
[54 FR 17714, Apr. 25, 1989, as amended at 68 FR 68545, Dec. 9, 2003]
§ 15.23 Home-built devices.
(a) Equipment authorization is not required for devices that are not mar- keted, are not constructed from a kit, and are built in quantities of five or less for personal use.
(b) It is recognized that the indi- vidual builder of home-built equipment may not possess the means to perform the measurements for determining compliance with the regulations. In this case, the builder is expected to em- ploy good engineering practices to meet the specified technical standards to the greatest extent practicable. The provisions of § 15.5 apply to this equip- ment.
§ 15.25 Kits.
A TV interface device, including a cable system terminal device, which is marketed as a kit shall comply with the following requirements:
(a) All parts necessary for the assem- bled device to comply with the tech- nical requirements of this part must be supplied with the kit. No mechanism for adjustment that can cause oper- ation in violation of the requirements
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of this part shall be made accessible to the builder.
(b) At least two units of the kit shall be assembled in exact accordance with the instructions supplied with the product to be marketed. If all compo- nents required to fully complete the kit (other than those specified in para- graph (a) of this section which are needed for compliance with the tech- nical provisions and must be included with the kit) are not normally fur- nished with the kit, assembly shall be made using the recommended compo- nents. The assembled units shall be certified or authorized under the Dec- laration of Conformity procedure, as appropriate, pursuant to the require- ments of this part.
(1) The measurement data required for a TV interface device subject to certification shall be obtained for each of the two units and submitted with an application for certification pursuant to subpart J of part 2 of this chapter.
(2) The measurement data required for a TV interface device subject to Declaration of Conformity shall be ob- tained for the units tested and retained on file pursuant to the provisions of subpart J of part 2 of this chapter.
(c) A copy of the exact instructions that will be provided for assembly of the device shall be submitted with an application for certification. Those parts which are not normally furnished shall be detailed in the application for equipment authorization.
(d) In lieu of the label required by § 15.19, the following label, along with the label bearing the FCC identifier and other information specified in §§ 2.925 and 2.926, shall be included in the kit with instructions to the builder that it shall be attached to the com- pleted kit:
(Name of Grantee)
(FCC Identifier)
This device can be expected to comply with part 15 of the FCC Rules provided it is as- sembled in exact accordance with the in- structions provided with this kit. Operation is subject to the following conditions: (1) This device may not cause harmful inter- ference, and (2) this device must accept any interference received including interference that may cause undesired operation.
(e) For the purpose of this section, circuit boards used as repair parts for the replacement of electrically iden- tical defective circuit boards are not considered to be kits.
[54 FR 17714, Apr. 25, 1989,as amended at 63 FR 36602, July 7, 1998]
§ 15.27 Special accessories. (a) Equipment marketed to a con-
sumer must be capable of complying with the necessary regulations in the configuration in which the equipment is marketed. Where special accessories, such as shielded cables and/or special connectors, are required to enable an unintentional or intentional radiator to comply with the emission limits in this part, the equipment must be mar- keted with, i.e., shipped and sold with, those special accessories. However, in lieu of shipping or packaging the spe- cial accessories with the unintentional or intentional radiator, the responsible party may employ other methods of en- suring that the special accessories are provided to the consumer, without ad- ditional charge, at the time of pur- chase. Information detailing any alter- native method used to supply the spe- cial accessories shall be included in the application for a grant of equipment authorization or retained in the verification records, as appropriate. The party responsible for the equip- ment, as detailed in § 2.909 of this chap- ter, shall ensure that these special ac- cessories are provided with the equip- ment. The instruction manual for such devices shall include appropriate in- structions on the first page of the text concerned with the installation of the device that these special accessories must be used with the device. It is the responsibility of the user to use the needed special accessories supplied with the equipment. In cases where the manual is provided only in a form other than paper, such as on a com- puter disk or over the Internet, the in- formation required by this section may be included in the manual in that al- ternative form, provided the user can reasonably be expected to have the ca- pability to access information in that form.
(b) If a device requiring special acces- sories is installed by or under the su- pervision of the party marketing the
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device, it is the responsibility of that party to install the equipment using the special accessories. For equipment requiring professional installation, it is not necessary for the responsible party to market the special accessories with the equipment. However, the need to use the special accessories must be de- tailed in the instruction manual, and it is the responsibility of the installer to provide and to install the required ac- cessories.
(c) Accessory items that can be read- ily obtained from multiple retail out- lets are not considered to be special ac- cessories and are not required to be marketed with the equipment. The manual included with the equipment must specify what additional compo- nents or accessories are required to be used in order to ensure compliance with this part, and it is the responsi- bility of the user to provide and use those components and accessories.
(d) The resulting system, including any accessories or components mar- keted with the equipment, must com- ply with the regulations.
[54 FR 17714, Apr. 25, 1989, as amended at 68 FR 68545, Dec. 9, 2003]
§ 15.29 Inspection by the Commission. (a) Any equipment or device subject
to the provisions of this part, together with any certificate, notice of registra- tion or any technical data required to be kept on file by the operator, sup- plier or party responsible for compli- ance of the device shall be made avail- able for inspection by a Commission representative upon reasonable re- quest.
(b) The owner or operator of a radio frequency device subject to this part shall promptly furnish to the Commis- sion or its representative such informa- tion as may be requested concerning the operation of the radio frequency device.
(c) The party responsible for the com- pliance of any device subject to this part shall promptly furnish to the Commission or its representatives such information as may be requested con- cerning the operation of the device, in- cluding a copy of any measurements made for obtaining an equipment au- thorization or demonstrating compli- ance with the regulations.
(d) The Commission, from time to time, may request the party respon- sible for compliance, including an im- porter, to submit to the FCC Labora- tory in Columbia, Maryland, various equipment to determine that the equip- ment continues to comply with the ap- plicable standards. Shipping costs to the Commission’s Laboratory and re- turn shall be borne by the responsible party. Testing by the Commission will be performed using the measurement procedure(s) that was in effect at the time the equipment was authorized or verified.
§ 15.31 Measurement standards.
(a) The following measurement pro- cedures are used by the Commission to determine compliance with the tech- nical requirements in this part. Except where noted, copies of these procedures are available from the Commission’s current duplicating contractor whose name and address are available from the Commission’s Consumer and Gov- ernmental Affairs Bureau at 1–888– CALL-FCC (1–888–225–5322).
(1) FCC/OET MP–2: Measurement of UHF Noise Figures of TV Receivers.
(2) Unlicensed Personal Communica- tion Service (UPCS) devices are to be measured for compliance using ANSI C63.17–1998: ‘‘Methods of Measurement of the Electromagnetic and Oper- ational Compatibility of Unlicensed Personal Communications Services (UPCS) Devices’’, (incorporated by ref- erence, see § 15.38). This incorporation by reference was approved by the Di- rector of the Federal Register in ac- cordance with 5 U.S.C. 552(a) and 1 CFR part 51.
(3) Other intentional and uninten- tional radiators are to be measured for compliance using the following proce- dure excluding sections 4.1.5.2, 5.7, 9 and 14: ANSI C63.4–2003: ‘‘Methods of Measurement of Radio-Noise Emissions from Low-Voltage Electrical and Elec- tronic Equipment in the Range of 9 kHz to 40 GHz’’ (incorporated by ref- erence, see § 15.38). This incorporation by reference was approved by the Di- rector of the Federal Register in ac- cordance with 5 U.S.C. 552(a) and 1 CFR part 51.
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NOTE TO PARAGRAPH (a)(3): Digital devices tested to show compliance with the provi- sions of §§ 15.107(e) and 15.109(g) must be test- ed following the ANSI C63.4 procedure de- scribed in paragraph (a)(3) of this section.
(b) All parties making compliance measurements on equipment subject to the requirements of this part are urged to use these measurement procedures. Any party using other procedures should ensure that such other proce- dures can be relied on to produce meas- urement results compatible with the FCC measurement procedures. The de- scription of the measurement proce- dure used in testing the equipment for compliance and a list of the test equip- ment actually employed shall be made part of an application for certification or included with the data required to be retained by the party responsible for devices authorized pursuant to a Dec- laration of Conformity or devices sub- ject to verification.
(c) For swept frequency equipment, measurements shall be made with the frequency sweep stopped at those fre- quencies chosen for the measurements to be reported.
(d) Field strength measurements shall be made, to the extent possible, on an open field site. Test sites other than open field sites may be employed if they are properly calibrated so that the measurement results correspond to what would be obtained from an open field site. In the case of equipment for which measurements can be performed only at the installation site, such as perimeter protection systems, carrier current systems, and systems employ- ing a ‘‘leaky’’ coaxial cable as an an- tenna, measurements for verification or for obtaining a grant of equipment authorization shall be performed at a minimum of three installations that can be demonstrated to be representa- tive of typical installation sites.
(e) For intentional radiators, meas- urements of the variation of the input power or the radiated signal level of the fundamental frequency component of the emission, as appropriate, shall be performed with the supply voltage varied between 85% and 115% of the nominal rated supply voltage. For bat- tery operated equipment, the equip- ment tests shall be performed using a new battery.
(f) To the extent practicable, the de- vice under test shall be measured at the distance specified in the appro- priate rule section. The distance speci- fied corresponds to the horizontal dis- tance between the measurement an- tenna and the closest point of the equipment under test, support equip- ment or interconnecting cables as de- termined by the boundary defined by an imaginary straight line periphery describing a simple geometric configu- ration enclosing the system containing the equipment under test. The equip- ment under test, support equipment and any interconnecting cables shall be included within this boundary.
(1) At frequencies at or above 30 MHz, measurements may be performed at a distance other than what is specified provided: measurements are not made in the near field except where it can be shown that near field measurements are appropriate due to the characteris- tics of the device; and it can be dem- onstrated that the signal levels needed to be measured at the distance em- ployed can be detected by the measure- ment equipment. Measurements shall not be performed at a distance greater than 30 meters unless it can be further demonstrated that measurements at a distance of 30 meters or less are im- practical. When performing measure- ments at a distance other than that specified, the results shall be extrapo- lated to the specified distance using an extrapolation factor of 20 dB/decade (inverse linear-distance for field strength measurements; inverse-linear- distance-squared for power density measurements).
(2) At frequencies below 30 MHz, measurements may be performed at a distance closer than that specified in the regulations; however, an attempt should be made to avoid making meas- urements in the near field. Pending the development of an appropriate meas- urement procedure for measurements performed below 30 MHz, when per- forming measurements at a closer dis- tance than specified, the results shall be extrapolated to the specified dis- tance by either making measurements at a minimum of two distances on at least one radial to determine the prop- er extrapolation factor or by using the
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square of an inverse linear distance ex- trapolation factor (40 dB/decade).
(3) The applicant for a grant of cer- tification shall specify the extrapo- lation method used in the application filed with the Commission. For equip- ment subject to Declaration of Con- formity or verification, this informa- tion shall be retained with the meas- urement data.
(4) When measurement distances of 30 meters or less are specified in the regu- lations, the Commission will test the equipment at the distance specified un- less measurement at that distance re- sults in measurements being performed in the near field. When measurement distances of greater than 30 meters are specified in the regulations, the Com- mission will test the equipment at a closer distance, usually 30 meters, ex- trapolating the measured field strength to the specified distance using the methods shown in this section.
(5) Measurements shall be performed at a sufficient number of radials around the equipment under test to de- termine the radial at which the field strength values of the radiated emis- sions are maximized. The maximum field strength at the frequency being measured shall be reported in the equipment authorization report. This paragraph shall not apply to Access BPL equipment on overhead medium voltage lines. In lieu thereof, the meas- urement guidelines established by the Commission for Access BPL shall be followed.
(g) Equipment under test shall be ad- justed, using those controls that are readily accessible to or are intended to be accessible to the consumer, in such a manner as to maximize the level of the emissions. For those devices to which wire leads may be attached by the consumer, tests shall be performed with wire leads attached. The wire leads shall be of the length to be used with the equipment if that length is known. Otherwise, wire leads one meter in length shall be attached to the equipment. Longer wire leads may be employed if necessary to inter- connect to associated peripherals.
(h) For a composite system that in- corporates devices contained either in a single enclosure or in separate enclo- sures connected by wire or cable, test-
ing for compliance with the standards in this part shall be performed with all of the devices in the system func- tioning. If an intentional radiator in- corporates more than one antenna or other radiating source and these radi- ating sources are designed to emit at the same time, measurements of con- ducted and radiated emissions shall be performed with all radiating sources that are to be employed emitting. A de- vice which incorporates a carrier cur- rent system shall be tested as if the carrier current system were incor- porated in a separate device; that is, the device shall be tested for compli- ance with whatever rules would apply to the device were the carrier current system not incorporated, and the car- rier current system shall be tested for compliance with the rules applicable to carrier current systems.
(i) If the device under test provides for the connection of external acces- sories, including external electrical input signals, the device shall be tested with the accessories attached. The de- vice under test shall be fully exercised with these external accessories. The emission tests shall be performed with the device and accessories configured in a manner that tends to produce maximized emissions within the range of variations that can be expected under normal operating conditions. In the case of multiple accessory external ports, an external accessory shall be connected to one of each type of port. Only one test using peripherals or ex- ternal accessories that are representa- tive of the devices that will be em- ployed with the equipment under test is required. All possible equipment combinations do not need to be tested. The accessories or peripherals con- nected to the device being tested shall be unmodified, commercially available equipment.
(j) If the equipment under test con- sists of a central control unit and an external or internal accessory(ies) (pe- ripheral) and the party verifying the equipment or applying for a grant of equipment authorization manufactures or assembles the central control unit and at least one of the accessory de- vices that can be used with that con- trol unit, testing of the control unit
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Federal Communications Commission § 15.31
and/or the accessory(ies) must be per- formed using the devices manufactured or assembled by that party, in addition to any other needed devices which the party does not manufacture or assem- ble. If the party verifying the equip- ment or applying for a grant of equip- ment authorization does not manufac- ture or assemble the central control unit and at least one of the accessory devices that can be used with that con- trol unit or the party can demonstrate that the central control unit or acces- sory(ies) normally would be marketed or used with equipment from a dif- ferent entity, testing of the central control unit and/or the accessory(ies) must be performed using the specific combination of equipment which is in- tended to be marketed or used to- gether. Only one test using peripherals or accessories that are representatve of the devices that will be employed with the equipment under test is required. All possible equipment combinations are not required to be tested. The ac- cessories or peripherals connected to the device being tested shall be un- modified, commercially available equipment.
(k) A composite system is a system that incorporates different devices con- tained either in a single enclosure or in separate enclosures connected by wire or cable. If the individual devices in a composite system are subject to dif- ferent technical standards, each such device must comply with its specific standards. In no event may the meas- ured emissions of the composite system exceed the highest level permitted for an individual component. For digital devices which consist of a combination of Class A and Class B devices, the total combination of which results in a Class A digital device, it is only nec- essary to demonstrate that the equip- ment combination complies with the limits for a Class A device. This equip- ment combination may not be em- ployed for obtaining a grant of equip- ment authorization or verifying a Class B digital device. However, if the digital device combination consists of a Class B central control unit, e.g., a personal computer, and a Class A internal pe- ripheral(s), it must be demonstrated that the Class B central control unit continues to comply with the limits for
a Class B digital device with the Class A internal peripheral(s) installed but not active.
(l) Measurements of radio frequency emissions conducted to the public util- ity power lines shall be performed using a 50 ohm/50 uH line-impedance stabilization network (LISN).
NOTE: Receivers tested under the transi- tion provisions contained in § 15.37 may be tested with a 50 ohm/5 μH LISN.
(m) Measurements on intentional ra- diators or receivers, other than TV broadcast receivers, shall be performed and, if required, reported for each band in which the device can be operated with the device operating at the num- ber of frequencies in each band speci- fied in the following table:
Frequency range over which device operates
Number of fre- quen- cies
Location in the range of operation
1 MHz or less ............... 1 Middle. 1 to 10 MHz .................. 2 1 near top and 1 near
bottom. More than 10 MHz ........ 3 1 near top, 1 near mid-
dle and 1 near bot- tom.
(n) Measurements on TV broadcast receivers shall be performed with the receiver tuned to each VHF frequency and also shall include the following os- cillator frequencies: 520, 550, 600, 650, 700, 750, 800, 850, 900 and 931 MHz. If measurements cannot be made on one or more of the latter UHF frequencies because of the presence of signals from licensed radio stations or for other rea- sons to be detailed in the measurement report, measurements shall be made with the receiver oscillator at a nearby frequency. If the receiver is not capa- ble of receiving channels above 806 MHz, the measurements employing the oscillator frequencies 900 and 931 MHz may be omitted.
(o) The amplitude of spurious emis- sions from intentional radiators and emissions from unintentional radiators which are attenuated more than 20 dB below the permissible value need not be reported unless specifically required elsewhere in this part.
(p) In those cases where the provi- sions in this section conflict with the measurement procedures in paragraph (a) of this section and the procedures were implemented after June 23, 1989,
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47 CFR Ch. I (10–1–10 Edition)§ 15.32
the provisions contained in the meas- urement procedures shall take prece- dence.
[54 FR 17714, Apr. 25, 1989, as amended at 56 FR 13083, Mar. 29, 1991; 57 FR 24990, June 12, 1992; 57 FR 33448, July 29, 1992; 58 FR 37430, July 12, 1993; 58 FR 51249, Oct. 1, 1993; 61 FR 14502, Apr. 2, 1996; 62 FR 41881, Aug. 4, 1997; 62 FR 45333, Aug. 27, 1997; 63 FR 36602, July 7, 1998; 63 FR 42278, Aug. 7, 1998; 65 FR 58466, Sept. 29, 2000; 68 FR 68545, Dec. 9, 2003; 69 FR 54034, Sept. 7, 2004; 70 FR 1373, Jan. 7, 2005]
§ 15.32 Test procedures for CPU boards and computer power sup- plies.
Power supplies and CPU boards used with personal computers and for which separate authorizations are required to be obtained shall be tested as follows:
(a) CPU boards shall be tested as fol- lows:
(1) Testing for radiated emissions shall be performed with the CPU board installed in a typical enclosure but with the enclosure’s cover removed so that the internal circuitry is exposed at the top and on at least two sides. Additional components, including a power supply, peripheral devices, and subassemblies, shall be added, as need- ed, to result in a complete personal computer system. If the oscillator and the microprocessor circuits are con- tained on separate circuit boards, both boards, typical of the combination that would normally be employed, must be used in the test. Testing shall be in ac- cordance with the procedures specified in § 15.31.
(i) Under these test conditions, the system under test shall not exceed the radiated emission limits specified in § 15.109 by more than 6 dB. Emissions greater than 6 dB that can be identified and documented to originate from a component(s) other than the CPU board being tested, may be dismissed.
(ii) Unless the test in paragraph (a)(1)(i) of this section demonstrates compliance with the limits in § 15.109, a second test shall be performed using the same configuration described above but with the cover installed on the en- closure. Testing shall be in accordance with the procedures specified in § 15.31. Under these test conditions, the sys- tem under test shall not exceed the ra- diated emission limits specified in § 15.109.
(2) In lieu of the procedure in (a)(1) of this section, CPU boards may be tested to demonstrate compliance with the limits in § 15.109 using a specified enclo- sure with the cover installed. Testing for radiated emissions shall be per- formed with the CPU board installed in a typical system configuration. Addi- tional components, including a power supply, peripheral devices, and sub- assemblies, shall be added, as needed, to result in a complete personal com- puter system. If the oscillator and the microprocessor circuits are contained on separate circuit boards, both boards, typical of the combination that would normally be employed, must be used in the test. Testing shall be in accordance with the procedures specified in § 15.31. Under this procedure, CPU boards that comply with the limits in § 15.109 must be marketed together with the specific enclosure used for the test.
(3) The test demonstrating compli- ance with the AC power line conducted limits specified in § 15.107 shall be per- formed in accordance with the proce- dures specified in § 15.31 using an enclo- sure, peripherals, power supply and subassemblies that are typical of the type with which the CPU board under test would normally be employed.
(b) The power supply shall be tested installed in an enclosure that is typical of the type within which it would nor- mally be installed. Additional compo- nents, including peripheral devices, a CPU board, and subassemblies, shall be added, as needed, to result in a com- plete personal computer system. Test- ing shall be in accordance with the pro- cedures specified in § 15.31 and must demonstrate compliance with all of the standards contained in this part.
[61 FR 31048, June 19, 1996, as amended at 62 FR 41881, Aug. 4, 1997]
§ 15.33 Frequency range of radiated measurements.
(a) For an intentional radiator, the spectrum shall be investigated from the lowest radio frequency signal gen- erated in the device, without going below 9 kHz, up to at least the fre- quency shown in this paragraph:
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Federal Communications Commission § 15.33
(1) If the intentional radiator oper- ates below 10 GHz: to the tenth har- monic of the highest fundamental fre- quency or to 40 GHz, whichever is lower.
(2) If the intentional radiator oper- ates at or above 10 GHz and below 30 GHz: to the fifth harmonic of the high- est fundamental frequency or to 100 GHz, whichever is lower.
(3) If the intentional radiator oper- ates at or above 30 GHz: to the fifth harmonic of the highest fundamental frequency or to 200 GHz, whichever is lower, unless specified otherwise else- where in the rules.
(4) If the intentional radiator con- tains a digital device, regardless of whether this digital device controls the functions of the intentional radiator or the digital device is used for additional control or function purposes other than to enable the operation of the inten- tional radiator, the frequency range shall be investigated up to the range specified in paragraphs (a)(1) through (a)(3) of this section or the range appli- cable to the digital device, as shown in paragraph (b)(1) of this section, which- ever is the higher frequency range of investigation.
(b) For unintentional radiators: (1) Except as otherwise indicated in
paragraphs (b)(2) or (b)(3) of this sec- tion, for an unintentional radiator, in- cluding a digital device, the spectrum shall be investigated from the lowest radio frequency signal generated or used in the device, without going below the lowest frequency for which a radi- ated emission limit is specified, up to the frequency shown in the following table:
Highest frequency generated or used in the device or on
which the device operates or tunes (MHz)
Upper frequency of measure- ment range (MHz)
Below 1.705 ........................... 30. 1.705–108 .............................. 1000. 108–500 ................................. 2000. 500–1000 ............................... 5000. Above 1000 ........................... 5th harmonic of the highest
frequency or 40 GHz, whichever is lower.
(2) A unintentional radiator, exclud- ing a digital device, in which the high- est frequency generated in the device, the highest frequency used in the de- vice and the highest frequency on which the device operates or tunes are
less than 30 MHz and which, in accord- ance with § 15.109, is required to comply with standards on the level of radiated emissions within the frequency range 9 kHz to 30 MHz, such as a CB receiver or a device designed to conduct its radio frequency emissions via connecting wires or cables, e.g., a carrier current system not intended to radiate, shall be investigated from the lowest radio frequency generated or used in the de- vice, without going below 9 kHz (25 MHz for CB receivers), up to the fre- quency shown in the following table. If the unintentional radiator contains a digital device, the upper frequency to be investigated shall be that shown in the table below or in the table in para- graph (b)(1) of this section, as based on both the highest frequency generated and the highest frequency used in the digital device, whichever range is high- er.
Highest frequency generated or used in the de- vice or on which the device operates or tunes
(MHz)
Upper fre- quency of measure-
ment range (MHz)
Below 1.705 ....................................................... 30 1.705–10 ............................................................ 400 10–30 ................................................................. 500
(3) Except for a CB receiver, a re- ceiver employing superheterodyne techniques shall be investigated from 30 MHz up to at least the second har- monic of the highest local oscillator frequency generated in the device. If such receiver is controlled by a digital device, the frequency range shall be in- vestigated up to the higher of the sec- ond harmonic of the highest local os- cillator frequency generated in the de- vice or the upper frequency of the measurement range specified for the digital device in paragraph (b)(1) of this section.
(c) The above specified frequency ranges of measurements apply to the measurement of radiated emissions and, in the case of receivers, the meas- urement to demonstrate compliance with the antenna conduction limits specified in § 15.111. The frequency range of measurements for AC power line conducted limits is specified in §§ 15.107 and 15.207 and applies to all equipment subject to those regula- tions. In some cases, depending on the frequency(ies) generated and used by
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47 CFR Ch. I (10–1–10 Edition)§ 15.35
the equipment, only signals conducted onto the AC power lines are required to be measured.
(d) Particular attention should be paid to harmonics and subharmonics of the fundamental frequency as well as to those frequencies removed from the fundamental by multiples of the oscil- lator frequency. Radiation at the fre- quencies of multiplier states should also be checked.
[54 FR 17714, Apr. 25, 1989, as amended at 61 FR 14502, Apr. 2, 1996; 63 FR 42278, Aug. 7, 1998]
§ 15.35 Measurement detector func- tions and bandwidths.
The conducted and radiated emission limits shown in this part are based on the following, unless otherwise speci- fied elsewhere in this part:
(a) On any frequency or frequencies below or equal to 1000 MHz, the limits shown are based on measuring equip- ment employing a CISPR quasi-peak detector function and related measure- ment bandwidths, unless otherwise specified. The specifications for the measuring instrument using the CISPR quasi-peak detector can be found in Publication 16 of the International Special Committee on Radio Inter- ference (CISPR) of the International Electrotechnical Commission. As an al- ternative to CISPR quasi-peak meas- urements, the responsible party, at its option, may demonstrate compliance with the emission limits using meas- uring equipment employing a peak de- tector function, properly adjusted for such factors as pulse desensitization, as long as the same bandwidths as indi- cated for CISPR quasi-peak measure- ments are employed.
NOTE: For pulse modulated devices with a pulse-repetition frequency of 20 Hz or less and for which CISPR quasi-peak measure- ments are specified, compliance with the regulations shall be demonstrated using measuring equipment employing a peak de- tector function, properly adjusted for such factors as pulse desensitization, using the same measurement bandwidths that are indi- cated for CISPR quasi-peak measurements.
(b) Unless otherwise specified, on any frequency or frequencies above 1000 MHz, the radiated emission limits are based on the use of measurement in- strumentation employing an average
detector function. Unless otherwise specified, measurements above 1000 MHz shall be performed using a min- imum resolution bandwidth of 1 MHz. When average radiated emission meas- urements are specified in this part, in- cluding average emission measure- ments below 1000 MHz, there also is a limit on the peak level of the radio fre- quency emissions. Unless otherwise specified, e.g., see §§ 15.250, 15.252, 15.255, and 15.509–15.519, the limit on peak radio frequency emissions is 20 dB above the maximum permitted average emission limit applicable to the equip- ment under test. This peak limit ap- plies to the total peak emission level radiated by the device, e.g., the total peak power level. Note that the use of a pulse desensitization correction fac- tor may be needed to determine the total peak emission level. The instruc- tion manual or application note for the measurement instrument should be consulted for determining pulse desen- sitization factors, as necessary.
(c) Unless otherwise specified, e.g. § 15.255(b), when the radiated emission limits are expressed in terms of the av- erage value of the emission, and pulsed operation is employed, the measure- ment field strength shall be deter- mined by averaging over one complete pulse train, including blanking inter- vals, as long as the pulse train does not exceed 0.1 seconds. As an alternative (provided the transmitter operates for longer than 0.1 seconds) or in cases where the pulse train exceeds 0.1 sec- onds, the measured field strength shall be determined from the average abso- lute voltage during a 0.1 second inter- val during which the field strength is at its maximum value. The exact meth- od of calculating the average field strength shall be submitted with any application for certification or shall be retained in the measurement data file for equipment subject to notification or verification.
[54 FR 17714, Apr. 25, 1989, as amended at 56 FR 13083, Mar. 29, 1991; 61 FR 14502, Apr. 2, 1996; 63 FR 42279, Aug. 7, 1998; 67 FR 34855, May 16, 2002; 70 FR 6773, Feb. 9, 2005]
§ 15.37 Transition provisions for com- pliance with the rules.
Equipment may be authorized, manu- factured and imported under the rules
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Federal Communications Commission § 15.37
in effect prior to June 23, 1989, in ac- cordance with the following schedules:
(a) For all intentional and uninten- tional radiators, except for receivers: Radio frequency equipment verified by the responsible party or for which an application for a grant of equipment authorization is submitted to the Com- mission on or after June 23, 1992, shall comply with the regulations specified in this part. Radio frequency equip- ment that is manufactured or imported on or after June 23, 1994, shall comply with the regulations specified in this part.
(b) For receivers: Receivers subject to the regulations in this part that are manufactured or imported on or after June 23, 1999, shall comply with the regulations specified in this part. How- ever, if a receiver is associated with a transmitter that could not have been authorized under the regulations in ef- fect prior to June 23, 1989, e.g., a trans- mitter operating under the provisions of § 15.209 or § 15.249 (below 960 MHz), the transition provisions in this sec- tion do not apply. Such receivers must comply with the regulations in this part. In addition, receivers are subject to the provisions in paragraph (f) of this section.
(c) There are no restrictions on the operation or marketing of equipment complying with the regulations in ef- fect prior to June 23, 1989.
(d) Prior to May 25, 1991, person shall import, market or operate intentional radiators within the band 902–905 MHz under the provisions of § 15.249. Until that date, the Commission will not issue a grant of equipment authoriza- tion for equipment operating under § 15.249 if the equipment is designed to permit operation within the band 902– 905 MHz.
(e) For cordless telephones: The manu- facture and importation of cordless telephones not complying with § 15.214(d) of this part shall cease on or before September 11, 1991. These provi- sions will not apply to cordless tele- phones which are repaired or refur- bished, or re-imported after repair or refurbishment. Applications for a grant of equipment authorization of cordless telephones not complying with § 15.214(d) of this part will not be ac- cepted by the Commission after May
10, 1991. Cordless telephones that have previously received equipment author- ization and that, without modification, already comply with the requirements of § 15.214(d) of this part, need not be re- authorized.
(f) The manufacture or importation of scanning receivers, and frequency converters designed or marketed for use with scanning receivers, that do not comply with the provisions of § 15.121(a)(1) shall cease on or before April 26, 1994. Effective April 26, 1993, the Commission will not grant equip- ment authorization for receivers that do not comply with the provisions of § 15.121(a)(1). These rules do not pro- hibit the sale or use of authorized re- ceivers manufactured in the United States, or imported into the United States, prior to April 26, 1994.
(g) For CPU boards and power sup- plies designed to be used with personal computers: The manufacture and im- portation of these products shall cease on or before June 19, 1997 unless these products have been authorized under a Declaration of Conformity or a grant of certification, demonstrating compli- ance with all of the provisions in this part. Limited provisions, as detailed in § 15.101(d), are provided to permit the importation and manufacture of these products subsequent to this date where the CPU boards and/or power supplies are marketed only to personal com- puter equipment manufacturers.
(h) The manufacture or importation of scanning receivers, and frequency converters designed or marketed for use with scanning receivers, that do not comply with the provisions of § 15.121 shall cease on or before October 25, 1999. Effective July 26, 1999 the Com- mission will not grant equipment au- thorization for receivers that do not comply with the provisions of § 15.121. This paragraph does not prohibit the sale or use of authorized receivers man- ufactured in the United States, or im- ported into the United States, prior to October 25, 1999.
(i) Effective October 16, 2002, an equipment approval may no longer be obtained for medical telemetry equip- ment operating under the provisions of § 15.241 or § 15.242. The requirements for obtaining an approval for medical te- lemetry equipment after this date are
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47 CFR Ch. I (10–1–10 Edition)§ 15.38
found in Subpart H of Part 95 of this chapter.
(j) All radio frequency devices that are authorized under the certification, verification or declaration of con- formity procedures on or after July 12, 2004 shall comply with the conducted limits specified in § 15.107 or § 15.207 as appropriate. All radio frequency de- vices that are manufactured or im- ported on or after July 11, 2005 shall comply with the conducted limits spec- ified in § 15.107 or § 15.207, as appro- priate. Equipment authorized, im- ported or manufactured prior to these dates shall comply with the conducted limits specified in § 15.107 or § 15.207, as appropriate, or with the conducted lim- its that were in effect immediately prior to September 9, 2002.
(k) Radar detectors manufactured or imported after August 28, 2002 and mar- keted after September 27, 2002 shall comply with the regulations specified in this part. Radar detectors manufac- tured or imported prior to January 27, 2003 may be labeled with the informa- tion required by §§ 2.925 and 15.19(a) of this chapter on the individual equip- ment carton rather than on the device, and are exempt from complying with the requirements of § 15.21.
(l) U–NII equipment operating in the 5.25–5.35 GHz band for which applica- tions for certification are filed on or after July 20, 2006 shall comply with the DFS and TPC requirements speci- fied in § 15.407. U–NII equipment oper- ating in the 5.25–5.35 GHz band that are imported or marketed on or after July 20, 2007 shall comply with the DFS and TPC requirements in § 15.407.
(m) All Access BPL devices that are manufactured, imported, marketed or installed on or after July 7, 2006, shall comply with the requirements specified in subpart G of this part, including cer- tification of the equipment.
(n) Marketing of TV band devices op- erating under subpart H of this part is
not permitted prior to February 18, 2009.
[54 FR 17714, Apr. 25, 1989; 54 FR 32339, Aug. 7, 1989; 55 FR 25095, June 20, 1990; 56 FR 3785, Jan. 31, 1991; 58 FR 25575, Apr. 27, 1993; 61 FR 31049, June 19, 1996; 64 FR 22561, Apr. 27, 1999; 65 FR 44008, July 17, 2000; 67 FR 45670, July 10, 2002; 67 FR 48993, July 29, 2002; 69 FR 2686, Jan. 20, 2004; 70 FR 1373, Jan. 7, 2005; 70 FR 17329, Apr. 6, 2005; 71 FR 11540, Mar. 8, 2006; 74 FR 7326, Feb. 17, 2009]
§ 15.38 Incorporation by reference. (a) The materials listed in this sec-
tion are incorporated by reference in this part. These incorporations by ref- erence were approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These materials are incorporated as they exist on the date of the approval, and notice of any change in these ma- terials will be published in the FED- ERAL REGISTER. The materials are available for purchase at the cor- responding addresses as noted, and all are available for inspection at the Fed- eral Communications Commission, 445 12th. St., SW., Reference Information Center, Room CY-A257, Washington, DC 20554, and at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202–741– 6030, or go to: http://www.archives.gov/ federal register/ codeloflfederal regulations/ ibrllocations.html.
(b) The following materials are avail- able for purchase from at least one of the following addresses: Global Engi- neering Documents, 15 Inverness Way East, Englewood, CO 80112 or at http:// global.ihs.com; or American National Standards Institute, 25 West 43rd Street, 4th Floor, New York, NY 10036 or at http://webstore.ansi.org/ ansidocstore/default.asp; or Society of Cable Telecommunications Engineers at http://www.scte.org/standards/ index.cfm.
(1) SCTE 28 2003 (formerly DVS 295): ‘‘Host-POD Interface Standard,’’ 2003, IBR approved for § 15.123.
(2) SCTE 41 2003 (formerly DVS 301): ‘‘POD Copy Protection System,’’ 2003, IBR approved for § 15.123.
(3) ANSI/SCTE 54 2003 (formerly DVS 241): ‘‘Digital Video Service Multiplex and Transport System Standard for
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Federal Communications Commission § 15.101
Cable Television,’’ 2003, IBR approved for § 15.123.
(4) ANSI/SCTE 65 2002 (formerly DVS 234): ‘‘Service Information Delivered Out-of-Band for Digital Cable Tele- vision,’’ 2002, IBR approved for § 15.123.
(5) SCTE 40 2003 (formerly DVS 313): ‘‘Digital Cable Network Interface Standard,’’ 2003, IBR approved for § 15.123.
(6) ANSI C63.4–2003: ‘‘Methods of Measurement of Radio-Noise Emissions from Low-Voltage Electrical and Elec- tronic Equipment in the Range of 9 kHz to 40 GHz,’’ 2003, IBR approved for § 15.31, except for sections 4.1, 5.2, 5.7, 9 and 14.
(7) CEA–542–B: ‘‘CEA Standard: Cable Television Channel Identification Plan,’’ July 2003, IBR approved for § 15.118.
(8) EIA–608: ‘‘Recommended Practice for Line 21 Data Service,’’ 1994, IBR ap- proved for § 15.120.
(9) EIA–744: ‘‘Transport of Content Advisory Information Using Extended Data Service (XDS),’’ 1997, IBR ap- proved for § 15.120.
(10) EIA–708–B: ‘‘Digital Television (DTV) Closed Captioning,’’ 1999, IBR approved for § 15.122.
(11) Third Edition of the Inter- national Special Committee on Radio Interference (CISPR), Pub. 22, ‘‘Infor- mation Technology Equipment—Radio Disturbance Characteristics—Limits and Methods of Measurement,’’ 1997, IBR approved for § 15.109.
(12) ANSI C63.17–1998: ‘‘Methods of Measurement of the Electromagnetic and Operational Compatibility of Unli- censed Personal Communications Serv- ices (UPCS) Devices’’, 1998, IBR ap- proved for § 15.31.
(13) CEA–766–A: ‘‘U.S. and Canadian Region Rating Tables (RRT) and Con- tent Advisory Descriptors for Trans- port of Content Advisory Information using ATSC A/65–A Program and Sys- tem Information Protocol (PSIP),’’ April 2001, IBR approved for § 15.120.
(c) The following materials are freely available from at least one of the fol- lowing addresses: Consumer Elec- tronics Association, 2500 Wilson Blvd., Arlington, VA 22201 or at http:// www.ce.org/publicpolicy: Uni-Dir-PICS- I01-030903: ‘‘Uni-Directional Receiving Device: Conformance Checklist: PICS Proforma,’’ 2003, IBR approved for § 15.123.
[68 FR 66732, Nov. 28, 2003, as amended at 68 FR 68546, Dec. 9, 2003; 69 FR 18803, Apr. 9, 2004; 69 FR 54034, Sept. 7, 2004; 69 FR 59534, Oct. 4, 2004; 69 FR 57861, Sept. 28, 2004]
Subpart B—Unintentional Radiators
§ 15.101 Equipment authorization of unintentional radiators.
(a) Except as otherwise exempted in §§ 15.23, 15.103, and 15.113, unintentional radiators shall be authorized prior to the initiation of marketing, as follows:
Type of device Equipment authorization required
TV broadcast receiver .............................................................. Verification. FM broadcast receiver .............................................................. Verification. CB receiver ............................................................................... Declaration of Conformity or Certification. Superregenerative receiver ...................................................... Declaration of Conformity or Certification. Scanning receiver ..................................................................... Certification. Radar detector .......................................................................... Certification. All other receivers subject to part 15 ....................................... Declaration of Conformity or Certification. TV interface device ................................................................... Declaration of Conformity or Certification. Cable system terminal device .................................................. Declaration of Conformity. Stand-alone cable input selector switch ................................... Verification. Class B personal computers and peripherals .......................... Declaration of Conformity or Certification. 1 CPU boards and internal power supplies used with Class B
personal computers. Declaration of Conformity or Certification. 1
Class B personal computers assembled using authorized CPU boards or power supplies.
Declaration of Conformity.
Class B external switching power supplies .............................. Verification. Other Class B digital devices & peripherals ............................ Verification. Class A digital devices, peripherals & external switching
power supplies. Verification.
Access Broadband over Power Line (Access BPL) ................. Certification. All other devices ....................................................................... Verification.
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47 CFR Ch. I (10–1–10 Edition)§ 15.101
(b) Only those receivers that operate (tune) within the frequency range of 30–960 MHz, CB receivers and radar de- tectors are subject to the authoriza- tions shown in paragraph (a) of this section. However, receivers indicated as being subject to Declaration of Con- formity that are contained within a transceiver, the transmitter portion of which is subject to certification, shall be authorized under the verification procedure. Receivers operating above 960 MHz or below 30 MHz, except for radar detectors and CB receivers, are exempt from complying with the tech- nical provisions of this part but are subject to § 15.5.
(c) Personal computers shall be au- thorized in accordance with one of the following methods:
(1) The specific combination of CPU board, power supply and enclosure is tested together and authorized under a Declaration of Conformity or a grant of certification;
(2) The personal computer is author- ized under a Declaration of Conformity or a grant of certification, and the CPU board or power supply in that com- puter is replaced with a CPU board or power supply that has been separately authorized under a Declaration of Con- formity or a grant of certification; or
(3) The CPU board and power supply used in the assembly of a personal com- puter have been separately authorized under a Declaration of Conformity or a grant of certification; and
(4) Personal computers assembled using either of the methods specified in paragraphs (c)(2) or (c)(3) of this sec- tion must, by themselves, also be au- thorized under a Declaration of Con- formity if they are marketed. However, additional testing is not required for this Declaration of Conformity, pro- vided the procedures in § 15.102(b) are followed.
(d) Peripheral devices, as defined in § 15.3(r), shall be authorized under a Declaration of Conformity, or a grant of certification, or verified, as appro- priate, prior to marketing. Regardless of the provisions of paragraphs (a) or (c) of this section, if a CPU board, power supply, or peripheral device will always be marketed with a specific per- sonal computer, it is not necessary to obtain a separate authorization for
that product provided the specific com- bination of personal computer, periph- eral device, CPU board and power sup- ply has been authorized under a Dec- laration of Conformity or a grant of certification as a personal computer.
(1) No authorization is required for a peripheral device or a subassembly that is sold to an equipment manufac- turer for further fabrication; that man- ufacturer is responsible for obtaining the necessary authorization prior to further marketing to a vendor or to a user.
(2) Power supplies and CPU boards that have not been separately author- ized and are designed for use with per- sonal computers may be imported and marketed only to a personal computer equipment manufacturer that has indi- cated, in writing, to the seller or im- porter that they will obtain a Declara- tion of Conformity or a grant of certifi- cation for the personal computer em- ploying these components.
(e) Subassemblies to digital devices are not subject to the technical stand- ards in this part unless they are mar- keted as part of a system in which case the resulting system must comply with the applicable regulations. Subassem- blies include:
(1) Devices that are enclosed solely within the enclosure housing the dig- ital device, except for: power supplies used in personal computers; devices in- cluded under the definition of a periph- eral device in § 15.3(r); and personal computer CPU boards, as defined in § 15.3(bb);
(2) CPU boards, as defined in § 15.3(bb), other than those used in per- sonal computers, that are marketed without an enclosure or power supply; and
(3) Switching power supplies that are separately marketed and are solely for use internal to a device other than a personal computer.
(f) The procedures for obtaining a grant of certification or notification and for verification and a Declaration of Conformity are contained in subpart J of part 2 of this chapter.
[54 FR 17714, Apr. 25, 1989, as amended at 61 FR 31050, June 19, 1996; 63 FR 36602, July 7, 1998; 64 FR 4997, Feb. 2, 1999; 67 FR 48993, July 29, 2002; 70 FR 1373, Jan. 7, 2005]
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§ 15.102 CPU boards and power sup- plies used in personal computers.
(a) Authorized CPU boards and power supplies that are sold as separate com- ponents shall be supplied with com- plete installation instructions. These instructions shall specify all of the in- stallation procedures that must be fol- lowed to ensure compliance with the standards, including, if necessary, the type of enclosure, e.g., a metal enclo- sure, proper grounding techniques, the use of shielded cables, the addition of any needed components, and any nec- essary modifications to additional components.
(1) Any additional parts needed to en- sure compliance with the standards, except for the enclosure, are considered to be special accessories and, in accord- ance with § 15.27, must be marketed with the CPU board or power supply.
(2) Any modifications that must be made to a personal computer, periph- eral device, CPU board or power supply during installation of a CPU board or power supply must be simple enough that they can be performed by the av- erage consumer. Parts requiring sol- dering, disassembly of circuitry or other similar modifications are not permitted.
(b) Assemblers of personal computer systems employing modular CPU boards and/or power supplies are not required to test the resulting system provided the following conditions are met:
(1) Each device used in the system has been authorized as required under this part (according to § 15.101(e), some subassemblies used in a personal com- puter system may not require an au- thorization);
(2) The original label and identifica- tion on each piece of equipment remain unchanged;
(3) Each responsible party’s instruc- tions to ensure compliance (including, if necessary, the use of shielded cables or other accessories or modifications) are followed when the system is assem- bled;
(4) If the system is marketed, the re- sulting equipment combination is au- thorized under a Declaration of Con- formity pursuant to § 15.101(c)(4) and a compliance information statement, as described in § 2.1077(b), is supplied with
the system. Marketed systems shall also comply with the labelling require- ments in § 15.19 and must be supplied with the information required under §§ 15.21, 15.27 and 15.105; and
(5) The assembler of a personal com- puter system may be required to test the system and/or make necessary modifications if a system is found to cause harmful interference or to be noncompliant with the appropriate standards in the configuration in which it is marketed (see §§ 2.909, 15.1, 15.27(d) and 15.101(e)).
[61 FR 31050, June 19, 1996]
§ 15.103 Exempted devices. The following devices are subject
only to the general conditions of oper- ation in §§ 15.5 and 15.29 and are exempt from the specific technical standards and other requirements contained in this part. The operator of the exempted device shall be required to stop oper- ating the device upon a finding by the Commission or its representative that the device is causing harmful inter- ference. Operation shall not resume until the condition causing the harm- ful interference has been corrected. Al- though not mandatory, it is strongly recommended that the manufacturer of an exempted device endeavor to have the device meet the specific technical standards in this part.
(a) A digital device utilized exclu- sively in any transportation vehicle in- cluding motor vehicles and aircraft.
(b) A digital device used exclusively as an electronic control or power sys- tem utilized by a public utility or in an industrial plant. The term public utility includes equipment only to the extent that it is in a dedicated building or large room owned or leased by the util- ity and does not extend to equipment installed in a subscriber’s facility.
(c) A digital device used exclusively as industrial, commercial, or medical test equipment.
(d) A digital device utilized exclu- sively in an appliance, e.g., microwave oven, dishwasher, clothes dryer, air conditioner (central or window), etc.
(e) Specialized medical digital de- vices (generally used at the direction of or under the supervision of a li- censed health care practitioner) wheth- er used in a patient’s home or a health
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care facility. Non-specialized medical devices, i.e., devices marketed through retail channels for use by the general public, are not exempted. This exemp- tion also does not apply to digital de- vices used for record keeping or any purpose not directly connected with medical treatment.
(f) Digital devices that have a power consumption not exceeding 6 nW.
(g) Joystick controllers or similar devices, such as a mouse, used with digital devices but which contain only non-digital circuitry or a simple cir- cuit to convert the signal to the format required (e.g., an integrated circuit for analog to digital conversion) are viewed as passive add-on devices, not themselves directly subject to the technical standards or the equipment authorization requirements.
(h) Digital devices in which both the highest frequency generated and the highest frequency used are less than 1.705 MHz and which do not operate from the AC power lines or contain provisions for operation while con- nected to the AC power lines. Digital devices that include, or make provision for the use of, battery eliminators, AC adaptors or battery chargers which permit operation while charging or that connect to the AC power lines in- directly, obtaining their power through another device which is connected to the AC power lines, do not fall under this exemption.
(i) Responsible parties should note that equipment containing more than one device is not exempt from the tech- nical standards in this part unless all of the devices in the equipment meet the criteria for exemption. If only one of the included devices qualifies for ex- emption, the remainder of the equip- ment must comply with any applicable regulations. If a device performs more than one function and all of those func- tions do not meet the criteria for ex- emption, the device does not qualify for inclusion under the exemptions.
§ 15.105 Information to the user. (a) For a Class A digital device or pe-
ripheral, the instructions furnished the user shall include the following or similar statement, placed in a promi- nent location in the text of the man- ual:
NOTE: This equipment has been tested and found to comply with the limits for a Class A digital device, pursuant to part 15 of the FCC Rules. These limits are designed to pro- vide reasonable protection against harmful interference when the equipment is operated in a commercial environment. This equip- ment generates, uses, and can radiate radio frequency energy and, if not installed and used in accordance with the instruction manual, may cause harmful interference to radio communications. Operation of this equipment in a residential area is likely to cause harmful interference in which case the user will be required to correct the inter- ference at his own expense.
(b) For a Class B digital device or pe- ripheral, the instructions furnished the user shall include the following or similar statement, placed in a promi- nent location in the text of the man- ual:
NOTE: This equipment has been tested and found to comply with the limits for a Class B digital device, pursuant to part 15 of the FCC Rules. These limits are designed to pro- vide reasonable protection against harmful interference in a residential installation. This equipment generates, uses and can radi- ate radio frequency energy and, if not in- stalled and used in accordance with the in- structions, may cause harmful interference to radio communications. However, there is no guarantee that interference will not occur in a particular installation. If this equip- ment does cause harmful interference to radio or television reception, which can be determined by turning the equipment off and on, the user is encouraged to try to correct the interference by one or more of the fol- lowing measures: —Reorient or relocate the receiving antenna. —Increase the separation between the equip-
ment and receiver. —Connect the equipment into an outlet on a
circuit different from that to which the re- ceiver is connected.
—Consult the dealer or an experienced radio/ TV technician for help.
(c) The provisions of paragraphs (a) and (b) of this section do not apply to digital devices exempted from the tech- nical standards under the provisions of § 15.103.
(d) For systems incorporating several digital devices, the statement shown in paragraph (a) or (b) of this section needs to be contained only in the in- struction manual for the main control unit.
(e) In cases where the manual is pro- vided only in a form other than paper, such as on a computer disk or over the
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Federal Communications Commission § 15.109
Internet, the information required by this section may be included in the manual in that alternative form, pro- vided the user can reasonably be ex- pected to have the capability to access information in that form.
[54 FR 17714, Apr. 25, 1989, as amended at 68 FR 68546, Dec. 9, 2003]
§ 15.107 Conducted limits. (a) Except for Class A digital devices,
for equipment that is designed to be connected to the public utility (AC) power line, the radio frequency voltage that is conducted back onto the AC power line on any frequency or fre- quencies within the band 150 kHz to 30 MHz shall not exceed the limits in the following table, as measured using a 50 μH/50 ohms line impedance stabiliza- tion network (LISN). Compliance with the provisions of this paragraph shall be based on the measurement of the radio frequency voltage between each power line and ground at the power ter- minal. The lower limit applies at the band edges.
Frequency of emis- sion (MHz)
Conducted limit (dBμV)
Quasi-peak Average
0.15–0.5 ................... 66 to 56* ............. 56 to 46* 0.5–5 ........................ 56 ....................... 46 5–30 ......................... 60 ....................... 50
*Decreases with the logarithm of the frequency.
(b) For a Class A digital device that is designed to be connected to the pub- lic utility (AC) power line, the radio frequency voltage that is conducted back onto the AC power line on any frequency or frequencies within the band 150 kHz to 30 MHz shall not exceed the limits in the following table, as measured using a 50 μH/50 ohms LISN. Compliance with the provisions of this paragraph shall be based on the meas- urement of the radio frequency voltage between each power line and ground at the power terminal. The lower limit applies at the boundary between the frequency ranges.
Frequency of emis- sion (MHz)
Conducted limit (dBμV)
Quasi-peak Average
0.15–0.5 ................... 79 ....................... 66 0.5–30 ...................... 73 ....................... 60
(c) The limits shown in paragraphs (a) and (b) of this section shall not
apply to carrier current systems oper- ating as unintentional radiators on fre- quencies below 30 MHz. In lieu thereof, these carrier current systems shall be subject to the following standards:
(1) For carrier current systems con- taining their fundamental emission within the frequency band 535–1705 kHz and intended to be received using a standard AM broadcast receiver: no limit on conducted emissions.
(2) For all other carrier current sys- tems: 1000 μV within the frequency band 535–1705 kHz, as measured using a 50 μH/50 ohms LISN.
(3) Carrier current systems operating below 30 MHz are also subject to the ra- diated emission limits in § 15.109(e).
(d) Measurements to demonstrate compliance with the conducted limits are not required for devices which only employ battery power for operation and which do not operate from the AC power lines or contain provisions for operation while connected to the AC power lines. Devices that include, or make provision for, the use of battery chargers which permit operating while charging, AC adaptors or battery elimi- nators or that connect to the AC power lines indirectly, obtaining their power through another device which is con- nected to the AC power lines, shall be tested to demonstrate compliance with the conducted limits.
[54 FR 17714, Apr. 25, 1989, as amended at 57 FR 33448, July 29, 1992; 58 FR 51249, Oct. 1, 1993; 66 FR 19098, Apr. 13, 2001; 67 FR 45670, July 10, 2002]
§ 15.109 Radiated emission limits. (a) Except for Class A digital devices,
the field strength of radiated emissions from unintentional radiators at a dis- tance of 3 meters shall not exceed the following values:
Frequency of emission (MHz)
Field strength
(microvolts/ meter)
30–88 .................................................................. 100 88–216 ................................................................ 150 216–960 .............................................................. 200 Above 960 ........................................................... 500
(b) The field strength of radiated emissions from a Class A digital de- vice, as determined at a distance of 10 meters, shall not exceed the following:
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Frequency of emission (MHz)
Field strength
(microvolts/ meter)
30–88 .................................................................. 90 88–216 ................................................................ 150 216–960 .............................................................. 210 Above 960 ........................................................... 300
(c) In the emission tables above, the tighter limit applies at the band edges. Sections 15.33 and 15.35 which specify the frequency range over which radi- ated emissions are to be measured and the detector functions and other meas- urement standards apply.
(d) For CB receivers, the field strength of radiated emissions within the frequency range of 25–30 MHz shall not exceed 40 microvolts/meter at a dis- tance of 3 meters. The field strength of radiated emissions above 30 MHz from such devices shall comply with the lim- its in paragraph (a) of this section.
(e) Carrier current systems used as unintentional radiators or other unin- tentional radiators that are designed to conduct their radio frequency emis- sions via connecting wires or cables and that operate in the frequency range of 9 kHz to 30 MHz, including de- vices that deliver the radio frequency energy to transducers, such as ultra- sonic devices not covered under part 18 of this chapter, shall comply with the radiated emission limits for inten- tional radiators provided in § 15.209 for the frequency range of 9 kHz to 30 MHz. As an alternative, carrier current sys- tems used as unintentional radiators and operating in the frequency range of 525 kHz to 1705 kHz may comply with the radiated emission limits provided in § 15.221(a). At frequencies above 30 MHz, the limits in paragraph (a), (b), or (g) of this section, as appropriate, apply.
(f) For a receiver which employs ter- minals for the connection of an exter- nal receiving antenna, the receiver shall be tested to demonstrate compli- ance with the provisions of this section with an antenna connected to the an- tenna terminals unless the antenna conducted power is measured as speci- fied in § 15.111(a). If a permanently at- tached receiving antenna is used, the receiver shall be tested to demonstrate compliance with the provisions of this section.
(g) As an alternative to the radiated emission limits shown in paragraphs (a) and (b) of this section, digital de- vices may be shown to comply with the standards contained in Third Edition of the International Special Committee on Radio Interference (CISPR), Pub. 22, ‘‘Information Technology Equipment— Radio Disturbance Characteristics— Limits and Methods of Measurement’’ (incorporated by reference, see § 15.38). In addition:
(1) The test procedure and other re- quirements specified in this part shall continue to apply to digital devices.
(2) If, in accordance with § 15.33 of this part, measurements must be per- formed above 1000 MHz, compliance above 1000 MHz shall be demonstrated with the emission limit in paragraph (a) or (b) of this section, as appro- priate. Measurements above 1000 MHz may be performed at the distance spec- ified in the CISPR 22 publications for measurements below 1000 MHz provided the limits in paragraphs (a) and (b) of this section are extrapolated to the new measurement distance using an in- verse linear distance extrapolation fac- tor (20 dB/decade), e.g., the radiated limit above 1000 MHz for a Class B dig- ital device is 150 uV/m, as measured at a distance of 10 meters.
(3) The measurement distances shown in CISPR Pub. 22, including measure- ments made in accordance with this paragraph above 1000 MHz, are consid- ered, for the purpose of § 15.31(f)(4) of this part, to be the measurement dis- tances specified in this part.
(4) If the radiated emissions are measured to demonstrate compliance with the alternative standards in this paragraph, compliance must also be demonstrated with the conducted lim- its shown in § 15.107(e).
(h) Radar detectors shall comply with the emission limits in paragraph (a) of this section over the frequency range of 11.7–12.2 GHz.
[54 FR 17714, Apr. 25, 1989, as amended at 56 FR 373, Jan. 4, 1991; 58 FR 51249, Oct. 1, 1993; 66 FR 19098, Apr. 13, 2001; 67 FR 48993, July 29, 2002; 69 FR 2849, Jan. 21, 2004]
§ 15.111 Antenna power conduction limits for receivers.
(a) In addition to the radiated emis- sion limits, receivers that operate
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(tune) in the frequency range 30 to 960 MHz and CB receivers that provide ter- minals for the connection of an exter- nal receiving antenna may be tested to demonstrate compliance with the pro- visions of § 15.109 with the antenna ter- minals shielded and terminated with a resistive termination equal to the im- pedance specified for the antenna, pro- vided these receivers also comply with the following: With the receiver an- tenna terminal connected to a resistive termination equal to the impedance specified or employed for the antenna, the power at the antenna terminal at any frequency within the range of measurements specified in § 15.33 shall not exceed 2.0 nanowatts.
(b) CB receivers and receivers that operate (tune) in the frequency range 30 to 960 MHz that are provided only with a permanently attached antenna shall comply with the radiated emis- sion limitations in this part, as meas- ured with the antenna attached.
§ 15.113 Power line carrier systems. Power line carrier systems, as de-
fined in § 15.3(t), are subject only to the following requirements:
(a) A power utility operating a power line carrier system shall submit the de- tails of all existing systems plus any proposed new systems or changes to ex- isting systems to an industry-operated entity as set forth in § 90.63(g) of this chapter. No notification to the FCC is required.
(b) The operating parameters of a power line carrier system (particularly the frequency) shall be selected to achieve the highest practical degree of compatibility with authorized or li- censed users of the radio spectrum. The signals from this operation shall be contained within the frequency band 9 kHz to 490 kHz. A power line carrier system shall operate on an unpro- tected, non-interference basis in ac- cordance with § 15.5 of this part. If harmful interference occurs, the elec- tric power utility shall discontinue use or adjust its power line carrier oper- ation, as required, to remedy the inter- ference. Particular attention should be paid to the possibility of interference to Loran C operations at 100 kHz.
(c) Power line carrier system appa- ratus shall be operated with the min-
imum power possible to accomplish the desired purpose. No equipment author- ization is required.
(d) The best engineering principles shall be used in the generation of radio frequency currents by power line car- rier systems to guard against harmful interference to authorized radio users, particularly on the fundamental and harmonic frequencies.
(e) Power line carrier system appa- ratus shall conform to such engineer- ing standards as may be promulgated by the Commission. In addition, such systems should adhere to industry ap- proved standards designed to enhance the use of power line carrier systems.
(f) The provisions of this section apply only to systems operated by a power utility for general supervision of the power system and do not permit operation on electric lines which con- nect the distribution substation to the customer or house wiring. Such oper- ation can be conducted under the other provisions of this part.
[54 FR 17714, Apr. 25, 1989; 54 FR 32339, Aug. 7, 1989]
§ 15.115 TV interface devices, includ- ing cable system terminal devices.
(a) Measurements of the radiated emissions of a TV interface device shall be conducted with the output ter- minal(s) of the device terminated by a resistance equal to the rated output impedance. The emanations of a TV interface device incorporating an in- tentional radiator shall not exceed the limits in § 15.109 or subpart C of this part, whichever is higher for each fre- quency. Where it is possible to deter- mine which portion of the device is contributing a particular radio fre- quency emission, the emissions from the TV interface device portion shall comply with the emission limits in § 15.109, and the emissions from the in- tentional radiator shall comply with subpart C of this part.
(b) Output signal limits: (1) At any RF output terminal, the
maximum measured RMS voltage, in microvolts, corresponding to the peak envelope power of the modulated signal during maximum amplitude peaks across a resistance (R in ohms) match- ing the rated output impedance of the
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TV interface device, shall not exceed the following:
(i) For a cable system terminal de- vice or a TV interface device used with a master antenna, 692.8 times the square root of (R) for the video signal and 155 times the square root of (R) for the audio signal.
(ii) For all other TV interface de- vices, 346.4 times the square root of (R) for the video signal and 77.5 times the square root of (R) for the audio signal.
(2) At any RF output terminal, the maximum measured RMS voltage, in microvolts, corresponding to the peak envelope power of the modulated signal during maximum amplitude peaks across a resistance (R in ohms) match- ing the rated output impedance of the TV interface device, of any emission appearing on frequencies removed by more than 4.6 MHz below or 7.4 MHz above the video carrier frequency on which the TV interface device is oper- ated shall not exceed the following:
(i) For a cable system terminal de- vice or a TV interface device used with a master antenna, 692.8 times the square root of (R).
(ii) For all other TV interface de- vices, 10.95 times the square root of (R).
(3) The term master antenna used in this section refers to TV interface de- vices employed for central distribution of television or other video signals within a building. Such TV interface devices must be designed to:
(i) Distribute multiple television sig- nals at the same time;
(ii) Distribute such signals by cable to outlets or TV receivers in multiple rooms in the building in which the TV interface devices are installed; and,
(iii) Distribute all over-the-air or cable signals.
NOTE: Cable-ready video cassette recorders continue to be subject to the provisions for general TV interface devices.
(c) A TV interface device shall be equipped with a transfer switch for connecting the antenna terminals of a receiver selectively either to the re- ceiving antenna or to the radio fre- quency output of the TV interface de- vice, subject to the following:
(1) When measured in any of its set positions, transfer switches shall com- ply with the following requirements:
(i) For a cable system terminal de- vice or a TV interface device equipped for use with a cable system or a master antenna, as defined in paragraph (b)(3) of this section, the isolation between the antenna and cable input terminals shall be at least 80 dB from 54 MHz to 216 MHz, at least 60 dB from 216 MHz to 550 MHz and at least 55 dB from 550 MHz to 806 MHz. The 80 dB standard ap- plies at 216 MHz and the 60 dB standard applies at 550 MHz. In the case of a transfer switch requiring a power source, the required isolation shall be maintained in the event the device is not connected to a power source or power is interrupted. The provisions of this paragraph regarding frequencies in the range 550 MHz to 806 MHz are appli- cable as of June 30, 1997.
(ii) For all other TV interface de- vices, the maximum voltage, cor- responding to the peak envelope power of the modulated video signal during maximum amplitude peaks, in microvolts, appearing at the receiving antenna input terminals when termi- nated with a resistance (R in ohms) matching the rated impedance of the antenna input of the switch, shall not exceed 0.346 times the square root of (R).
(iii) Measurement to determine com- pliance with the transfer switch limits shall be made using a connecting cable, where required, between the TV inter- face device and the transfer switch of the type and length:
(A) Provided with the TV interface device,
(B) Recommended in the instruction manual, or
(C) Normally employed by the con- sumer.
(2) A TV interface device shall be de- signed and constructed, to the extent practicable, so as to preclude the possi- bility that the consumer may inadvert- ently attach the output of the device to the receiving antenna, if any, with- out first going through the transfer switch.
(3) A transfer switch is not required for a TV interface device that, when connected, results in the user no longer having any need to receive standard over-the-air broadcast signals via a separate antenna. A transfer switch is not required to be marketed with a
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cable system terminal device unless that device provides for the connection of an external antenna. A transfer switch is not required for a device that is intended to be used as an accessory to an authorized TV interface device.
(4) An actual transfer switch is not required for a TV interface device, in- cluding a cable system terminal device, that has an antenna input terminal(s); provided, the circuitry following the antenna input terminal(s) has suffi- cient bandwidth to allow the reception of all TV broadcast channels author- ized under part 73 of this chapter and: For a cable system terminal device that can alternate between the recep- tion of cable television service and an antenna, compliance with the isolation requirement specified in paragraph (c)(1)(i) of this section can be dem- onstrated; and, for all other TV inter- face devices, the maximum voltage ap- pearing at the antenna terminal(s) does not exceed the limit in paragraph (c)(1)(ii) of this section.
(5) If a transfer switch is not re- quired, the following label shall be used in addition to the label shown in § 15.19(a):
This device is intended to be attached to a receiver that is not used to receive over-the- air broadcast signals. Connection of this de- vice in any other fashion may cause harmful interference to radio communications and is in violation of the FCC Rules, part 15.
(d) A TV interface device, including a cable system terminal device, shall in- corporate circuitry to automatically prevent emanations from the device from exceeding the technical specifica- tions in this part. These circuits shall be adequate to accomplish their func- tions when the TV interface device is presented, if applicable, with video input signal levels in the range of one to five volts; this requirement is not applicable to a TV interface device that uses a built-in signal source and has no provisions for the connection of an external signal source. For devices that contain provisions for an external signal source but do not contain provi- sions for the input of an external baseband signal, e.g., some cable sys- tem terminal devices, compliance with the provisions of this paragraph shall be demonstrated with a radio fre- quency input signal of 0 to 25 dBmV.
(e) For cable system terminal devices and TV interface devices used with a master antenna, as defined in para- graph (b)(3) of this section, the holder of the grant of authorization shall specify in the instruction manual or pamphlet, if a manual is not provided, the types of wires or coaxial cables necessary to ensure that the unit com- plies with the requirements of this part. The holder of the grant of author- ization must comply with the provi- sions of § 15.27. For all other TV inter- face devices, the wires or coaxial cables used to couple the output signals to the TV receiver shall be provided by the responsible party.
(f) A TV interface device which is submitted to the Commission as a com- posite device in a single enclosure con- taining a RF modulator, video source and other component devices shall be submitted on a single application (FCC Form 731) and shall be authorized as a single device.
(g) An external device or accessory that is intended to be attached to a TV interface device shall comply with the technical and administrative require- ments set out in the rules under which it operates. For example, a personal computer must be certificated to show compliance with the regulations for digital devices.
(h) Stand-alone switches used to al- ternate between cable service and an antenna shall provide isolation be- tween the antenna and cable input ter- minals that is at least 80 dB from 54 MHz to 216 MHz, at least 60 dB from 216 MHz to 550 MHz and at least 55 dB from 550 MHz to 806 MHz. The 80 dB standard applies at 216 MHz and the 60 dB stand- ard applies at 550 MHz. In the case of stand-alone switches requiring a power source, the required isolation shall be maintained in the event the device is not connected to a power source or power is interrupted. The provisions of this paragraph are applicable as of June 30, 1997.
(i) Switches and other devices in- tended to be used to by-pass the proc- essing circuitry of a cable system ter- minal device, whether internal to such a terminal device or a stand-alone unit, shall not attenuate the input signal more than 6 dB from 54 MHz to 550 MHz, or more than 8 dB from 550 MHz
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to 804 MHz. The 6 dB standard applies at 550 MHz. The provisions of this para- graph are applicable June 30, 1997.
[54 FR 17714, Apr. 25, 1989, as amended at 57 FR 33448, July 29, 1992; 59 FR 25341, May 16, 1994; 61 FR 18509, Apr. 26, 1996]
§ 15.117 TV broadcast receivers. (a) All TV broadcast receivers
shipped in interstate commerce or im- ported into the United States, for sale or resale to the public, shall comply with the provisions of this section, ex- cept that paragraphs (f) and (g) of this section shall not apply to the features of such sets that provide for reception of digital television signals. The ref- erence in this section to TV broadcast receivers also includes devices, such as TV interface devices and set-top de- vices that are intended to provide audio-video signals to a video monitor, that incorporate the tuner portion of a TV broadcast receiver and that are equipped with an antenna or antenna terminals that can be used for off-the- air reception of TV broadcast signals, as authorized under part 73 of this chapter.
(b) TV broadcast receivers shall be capable of adequately receiving all channels allocated by the Commission to the television broadcast service.
(c) On a given receiver, use of the UHF and VHF tuning systems shall provide approximately the same degree of tuning accuracy with approximately the same expenditure of time and ef- fort: Provided, however, That this re- quirement will be considered to be met if the need for routine fine tuning is eliminated on UHF channels.
(1) Basic tuning mechanism. If a TV broadcast receiver is equipped to pro- vide for repeated access to VHF tele- vision channels at discrete tuning posi- tions, that receiver shall be equipped to provide for repeated access to a min- imum of six UHF television channels at discrete tuning positions. Unless a dis- crete tuning position is provided for each channel allocated to UHF tele- vision, each position shall be readily adjustable to a particular UHF channel by the user without the use of tools. If 12 or fewer discrete tuning positions are provided, each position shall be ad- justable to receive any channel allo- cated to UHF television.
NOTE: The combination of detented rotary switch and pushbutton controls is accept- able, provided UHF channels, after their ini- tial selection, can be accurately tuned with an expenditure of time and effort approxi- mately the same as that used in accurately tuning VHF channels. A UHF tuning system comprising five pushbuttons and a separate manual tuning knob is considered to provide repeated access to six channels at discrete tuning positions. A one-knob (VHF/UHF) tuning system providing repeated access to 11 or more discrete tuning positions is also acceptable, provided each of the tuning posi- tions is readily adjustable, without the use of tools, to receive any UHF channel.
(2) Tuning controls and channel read- out. UHF tuning controls and channel readout on a given receiver shall be comparable in size, location, accessi- bility and legibility to VHF controls and readout on that receiver.
NOTE: Differences between UHF and VHF channel readout that follow directly from the larger number of UHF television chan- nels available are acceptable if it is clear that a good faith effort to comply with the provisions of this section has been made.
(d) If equipment and controls that tend to simplify, expedite or perfect the reception of television signals (e.g., AFC, visual aids, remote control, or signal seeking capability referred to generally as tuning aids) are incor- porated into the VHF portion of a TV broadcast receiver, tuning aids of the same type and comparable capability and quality shall be provided for the UHF portion of that receiver.
(e) If a television receiver has an an- tenna affixed to the VHF antenna ter- minals, it must have an antenna de- signed for and capable of receiving all UHF television channels affixed to the UHF antenna terminals. If a VHF an- tenna is provided with but not affixed to a receiver, a UHF antenna shall be provided with the receiver.
(f) The picture sensitivity of a TV broadcast receiver averaged for all channels between 14 and 69 inclusive shall not be more than 8dB larger than the peak picture sensitivity of that re- ceiver averaged for all channels be- tween 2 and 13 inclusive.
(g) The noise figure for any television channel 14 to 69 inclusive shall not ex- ceed 14 dB. A TV receiver model is con- sidered to comply with this noise fig- ure if the maximum noise figure for
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channels 14–69 inclusive of 97.5% of all receivers within that model does not exceed 14 dB.
(1) The responsible party shall meas- ure the noise figure of a number of UHF channels of the test sample to give reasonable assurance that the UHF noise figure for each channel com- plies with the above limit.
(2) The responsible party shall insert in his files a statement explaining the basis on which it will rely to ensure that at least 97.5% of all production units of the test sample that are manu- factured have a noise figure of no greater than 14 dB.
(3) [Reserved] (4) In the case of a TV tuner built-in
as part of a video tape recorder that uses a power splitter between the an- tenna terminals of the video tape re- corder and the input terminals of the TV tuner or a TV broadcast receiver that uses a power splitter between the antenna terminals of two or more UHF tuners contained within that receiver, 4 dB may be subtracted from the noise figure measured at the antenna termi- nals of the video tape recorder or TV broadcast receiver for determining compliance of the UHF tuner(s) with the 14 dB noise figure limit.
(h) Digital television reception capa- bility. TV broadcast receivers are re- quired only to provide useable picture and sound commensurate with their video and audio capabilities when re- ceiving digital television signals.
(i) Digital television reception capability implementation schedule. (1) Responsible parties, as defined in § 2.909 of this chapter, are required to equip new TV broadcast receivers that are shipped in interstate commerce or imported from any foreign country into the United States and for which they are respon- sible to comply with the provisions of this section in accordance with the fol- lowing schedule:
(i) Receivers with screen sizes 36″ and above—50% of all of a responsible par- ty’s units must include DTV tuners ef- fective July 1, 2004; 100% of such units must include DTV tuners effective July 1, 2005.
(ii) Receivers with screen sizes 25″ to less than 36″—50% of all of a respon- sible party’s units must include DTV tuners effective July 1, 2005; 100% of
such units must include DTV tuners ef- fective March 1, 2006.
(iii) Receivers with screen sizes less than 25″—100% of all such units must include DTV tuners effective March 1, 2007.
(iv) Other video devices (video- cassette recorders (VCRs), digital video recorders such as hard drive and DVD recorders, etc.) that receive television signals—100% of all such units must in- clude DTV tuners effective March 1, 2007.
(2) For purposes of this implementa- tion schedule, screen sizes are to be measured diagonally across the picture viewing area.
(3) Responsible parties may include combinations of DTV monitors and set- top DTV tuners in meeting the re- quired percentages of units with a DTV tuner if such combinations are mar- keted together with a single price.
(4) The requirement to include dig- ital television reception capability in new TV broadcast receivers does not apply to devices such as mobile tele- phones and personal digital assistants where such devices do not include the capability to receive TV service on the frequencies allocated for broadcast tel- evision service.
(j) For a TV broadcast receiver equipped with a cable input selector switch, the selector switch shall pro- vide, in any of its set positions, isola- tion between the antenna and cable input terminals of at least 80 dB from 54 MHz to 216 MHz, at least 60 dB from 216 MHz to 550 MHz and at least 55 dB from 550 MHz to 806 MHz. The 80 dB standard applies at 216 MHz and the 60 dB standard applies at 550 MHz. In the case of a selector switch requiring a power source, the required isolation shall be maintained in the event the device is not connected to a power source or power is interrupted. An ac- tual switch that can alternate between reception of cable television service and an antenna is not required for a TV broadcast receiver, provided compli- ance with the isolation requirement specified in this paragraph can be dem- onstrated and the circuitry following the antenna input terminal(s) has suffi- cient band-width to allow the reception of all TV broadcast channels author- ized under this chapter. The provisions
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of this paragraph regarding frequencies in the range 550 MHz to 806 MHz are ap- plicable as of June 30, 1997.
(k) The following requirements apply to all responsible parties, as defined in § 2.909 of this chapter, and any person that displays or offers for sale or rent television receiving equipment that is not capable of receiving, decoding and tuning digital signals.
(1) Such parties and persons shall place conspicuously and in close prox- imity to such television broadcast re- ceivers a sign containing, in clear and conspicuous print, the Consumer Alert disclosure text required by paragraph (k)(3) of this section. The text should be in a size of type large enough to be clear, conspicuous and readily legible, consistent with the dimensions of the equipment and the label. The informa- tion may be printed on a transparent material and affixed to the screen, if the receiver includes a display, in a manner that is removable by the con- sumer and does not obscure the pic- ture, or, if the receiver does not in- clude a display, in a prominent loca- tion on the device, such as on the top or front of the device, when displayed for sale, or the information in this for- mat may be displayed separately im- mediately adjacent to each television broadcast receiver offered for sale and clearly associated with the analog-only model to which it pertains.
(2) If such parties and persons display or offer for sale or rent such television broadcast receivers via direct mail, catalog, or electronic means, they shall prominently display in close proximity to the images or descriptions of such television broadcast receivers, in clear and conspicuous print, the Consumer Alert disclosure text required by para- graph (k)(3) of this section. The text should be in a size large enough to be clear, conspicuous, and readily legible, consistent with the dimensions of the advertisement or description.
(3) Consumer alert. This television re- ceiver has only an analog broadcast tuner and will require a converter box after February 17, 2009, to receive over- the-air broadcasts with an antenna be- cause of the Nation’s transition to dig- ital broadcasting. Analog-only TVs should continue to work as before with cable and satellite TV services, gaming
consoles, VCRs, DVD players, and simi- lar products. For more information, call the Federal Communications Com- mission at 1–888–225–5322 (TTY: 1–888– 835–5322) or visit the Commission’s dig- ital television Web site at: http:// www.dtv.gov.
[54 FR 17714, Apr. 25, 1993, as amended at 59 FR 25341, May 16, 1994; 61 FR 30532, June 17, 1996; 67 FR 63294, Oct. 11, 2002; 70 FR 38804, July 6, 2005; 70 FR 75743, Dec. 21, 2005; 72 FR 26560, May 10, 2007; 73 FR 5681, Jan. 30, 2008]
§ 15.118 Cable ready consumer elec- tronics equipment.
(a) All consumer electronics TV re- ceiving equipment marketed in the United States as cable ready or cable compatible shall comply with the pro- visions of this section. Consumer elec- tronics TV receiving equipment that includes features intended for use with cable service but does not fully comply with the provisions of this section are subject to the labelling requirements of § 15.19(d). Until such time as gen- erally accepted testing standards are developed, paragraphs (c) and (d) of this section will apply only to the ana- log portion of covered consumer elec- tronics TV receiving equipment
(b) Cable ready consumer electronics equipment shall be capable of receiving all NTSC or similar video channels on channels 1 through 125 of the channel allocation plan set forth in CEA–542–B: ‘‘CEA Standard: Cable Television Chan- nel Identification Plan,’’ (incorporated by reference, see § 15.38).
(c) Cable ready consumer electronics equipment must meet the following technical performance requirements. Compliance with these requirements shall be determined by performing measurements at the unfiltered IF out- put port. Where appropriate, the Com- mission will consider allowing alter- native measurement methods.
(1) Adjacent channel interference. In the presence of a lower adjacent chan- nel CW signal that is 1.5 MHz below the desired visual carrier in frequency and 10 dB below the desired visual carrier in amplitude, spurious signals within the IF passband shall be attenuated at least 55 dB below the visual carrier of the desired signal. The desired input signal shall be an NTSC visual carrier modulated with a 10 IRE flat field with
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color burst and the aural carrier which is 10 dB below the visual carrier should be unmodulated. Measurements are to be performed for input signal levels of 0 dBmV and +15 dBmV, with the re- ceiver tuned to ten evenly spaced EIA IS–132 channels covering the band 54 MHz to 804 MHz.
(2) Image channel interference. Image channel interference within the IF passband shall be attenuated below the visual carrier of the desired channel by at least 60 dB from 54 MHz to 714 MHz and 50 dB from 714 MHz to 804 MHz. The 60 dB standard applies at 714 MHz. In testing for compliance with this stand- ard, the desired input signal is to be an NTSC signal on which the visual car- rier is modulated with a 10 IRE flat field with color burst and the aural carrier is unmodulated and 10 dB below the visual carrier. The undesired test signal shall be a CW signal equal in amplitude to the desired visual carrier and located 90 MHz above the visual carrier frequency of the desired chan- nel. Measurements shall be performed for input signals of 0 dBmV and +15 dBmV, with the receiver tuned to at least ten evenly spaced EIA IS–132 channels covering the band 54 MHz to 804 MHz.
(3) Direct pickup interference. The di- rect pickup (DPU) of a co-channel interfering ambient field by a cable ready device shall not exceed the fol- lowing criteria. The ratio of the desired to undesired signal levels at the IF passband on each channel shall be at least 45 dB. The average ratio over the six channels shall be at least 50 dB. The desired input signal shall be an NTSC signal having a visual carrier level of 0 dBmV. The visual carrier is modulated with a 10 IRE flat field with color burst, visual to aural carrier ratio of 10 dB, aural carrier unmodulated. The equipment under test (EUT) shall be placed on a rotatable table that is one meter in height. Any excess length of the power cord and other connecting leads shall be coiled on the floor under the table. The EUT shall be immersed in a horizontally polarized uniform CW field of 100 mV/m at a frequency 2.55 MHz above the visual carrier of the EUT tuned channel. Measurements shall be made with the EUT tuned to six EIA IS–132 channels, two each in
the low VHF, high VHF and UHF broadcast bands. On each channel, the levels at the IF passband due to the de- sired and interfering signals are to be measured.
(4) Tuner overload. Spurious signals within the IF passband shall be attenu- ated at least 55 dB below the visual carrier of the desired channel using a comb-like spectrum input with each visual carrier signal individually set at +15 dBmV from 54 to 550 MHz. The de- sired input signal is to be an NTSC sig- nal on which the visual carrier is mod- ulated with a 10 IRE flat field with color burst and the aural carrier is unmodulated and 10 dB below the vis- ual carrier. Measurements shall be made with the receiver tuned to at least seven evenly spaced EIA IS–132 channels covering the band 54 MHz to 550 MHz. In addition, spurious signals within the IF passband shall be attenu- ated at least 51 dB below the visual carrier of the desired channel using a comb spectrum input with each signal individually set at +15 dBmV from 550 to 804 MHz. Measurements shall be made with the receiver tuned to at least three evenly spaced EIA IS–132 channels covering the band 550 MHz to 804 MHz.
(5) Cable input conducted emissions. (i) Conducted spurious emissions that ap- pear at the cable input to the device must meet the following criteria. The input shall be an NTSC video carrier modulated with a 10 IRE flat field with color burst at a level of 0 dBmV and with a visual to aural ratio of 10 dB. The aural carrier shall be unmodulated. The peak level of the spurious signals will be measured using a spectrum analyzer connected by a di- rectional coupler to the cable input of the equipment under test. Spurious sig- nal levels must not exceed the limits in the following table:
From 54 MHz up to and including 300 MHz–26 dBmV
From 300 MHz up to and including 450 MHz– 20 dBmV
From 450 MHz up to and including 804 MHz- 15 dBmV
(ii) The average of the measurements on multiple channels from 450 MHz up to and including 804 MHz shall be no greater than -20 dBmV. Measurements shall be made with the receiver tuned
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to at least four EIA IS–132 channels in each of the above bands. The test chan- nels are to be evenly distributed across each of the bands. Measurements for conducted emissions caused by sources internal to the device are to be made in a shielded room. Measurements for conducted emissions caused by exter- nal signal sources shall be made in an ambient RF field whose field strength is 100 mV/m, following the same test conditions as described in paragraph (c)(3) of this section.
(d) The field strength of radiated emissions from cable ready consumer electronics equipment shall not exceed the limits in § 15.109(a) when measured in accordance with the applicable pro- cedures specified in §§ 15.31 and 15.35 for unintentional radiators, with the fol- lowing modifications. During testing the NTSC input signal level is to be +15 dBmV, with a visual to aural ratio of 10 dB. The visual carrier is to be modu- lated by a 10 IRE flat field with color burst; the aural carrier is to be unmodulated. Measurements are to be taken on six EIA IS–132 channels even- ly spaced across the required RF input range of the equipment under test.
NOTE: The provisions of paragraphs (a) through (d) of this section are applicable as of June 30, 1997.
[59 FR 25341, May 16, 1994, as amended at 61 FR 18509, Apr. 26, 1996; 65 FR 64391, Oct. 27, 2000; 68 FR 68546, Dec. 9, 2003; 69 FR 2849, Jan. 21, 2004; 69 FR 57861, Sept. 28, 2004]
§ 15.119 Closed caption decoder re- quirements for analog television re- ceivers.
(a) Effective July 1, 1993, all TV broadcast receivers with picture screens 33 cm (13 in) or larger in diame- ter shipped in interstate commerce, manufactured, assembled, or imported from any foreign country into the United States shall comply with the provisions of this section.
NOTE: This paragraph places no restriction on the shipping or sale of television receivers that were manufactured before July 1, 1993.
(b) Transmission format. Closed-cap- tion information is transmitted on line 21 of field 1 of the vertical blanking in- terval of television signals, in accord- ance with § 73.682(a)(22) of this chapter.
(c) Operating modes. The television re- ceiver will employ customer-selectable modes of operation for TV and Caption. A third mode of operation, Text, may be included on an optional basis. The Caption and Text Modes may contain data in either of two operating chan- nels, referred to in this document as C1 and C2. The television receiver must decode both C1 and C2 captioning, and must display the captioning for which- ever channel the user selects. The TV Mode of operation allows the video to be viewed in its original form. The Cap- tion and Text Modes define one or more areas (called ‘‘boxes’’) on the screen within which caption or text char- acters are displayed.
NOTE: For more information regarding Text mode, see ‘‘Television Captioning for the Deaf: Signal and Display Specifications’’, Engineering Report No. E–7709–C, Public Broadcasting Service, dated May 1980, and ‘‘TeleCaption II Decoder Module Perform- ance Specification’’, National Captioning In- stitute, Inc., dated November 1985. These documents are available, respectively, from the Public Broadcasting Service, 1320 Brad- dock Place, Alexandria, VA 22314 and from the National Captioning Institute, Inc., 5203 Leesburg Pike, Falls Church, VA 22041.
(d) Screen format. The display area for captioning and text shall fall approxi- mately within the safe caption area as defined in paragraph (n)(12) of this sec- tion. This display area will be further divided into 15 character rows of equal height and 32 columns of equal width, to provide accurate placement of text on the screen. Vertically, the display area begins on line 43 and is 195 lines high, ending on line 237 on an inter- laced display. All captioning and text shall fall within these established col- umns and rows. The characters must be displayed clearly separated from the video over which they are placed. In addition, the user must have the capa- bility to select a black background over which the captioned letters are displaced.
(1) Caption mode. In the Caption Mode, text can appear on up to 4 rows simultaneously anywhere on the screen within the defined display area. In ad- dition, a solid space equal to one col- umn width may be placed before the first character and after the last char- acter of each row to enhance legibility.
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The caption area will be transparent anywhere that either:
(i) No standard space character or other character has been addressed and no accompanying solid space is needed; or,
(ii) An accompanying solid space is used and a ‘‘transparent space’’ special character has been addressed which does not immediately precede or follow a displayed character.
(2) [Reserved] (e) Presentation format. In analyzing
the presentation of characters, it is convenient to think in terms of a non- visible cursor which marks the screen position at which the next event in a given mode and data channel will occur. The receiver remembers the cursor position for each mode even when data are received for a different address in an alternate mode or data channel.
(1) Screen addressing. Two kinds of control codes are used to move the cursor to specific screen locations. In Caption Mode, these addressing codes will affect both row and column posi- tioning. In Text Mode, the codes affect only column positioning. In both modes, the addressing codes are op- tional. Default positions are defined for each mode and style when no address- ing code is provided.
(i) The first type of addressing code is the Preamble Address Code (PAC). It assigns a row number and one of eight ‘‘indent’’ figures. Each successive in- dent moves the cursor four columns to the right (starting from the left mar- gin). Thus, an indent of 0 places the cursor at Column 1, an indent of 4 sets it at Column 5, etc. The PAC indent is non-destructive to displayable char- acters. It will not affect the display to the left of the new cursor position on the indicated row. Note that Preamble Address Codes also set initial at- tributes for the displayable characters which follow. See paragraph (h) of this section and the Preamble Address Code table.
(ii) The second type of addressing code is the Tab Offset, which is one of three Miscellaneous Control Codes. Tab Offset will move the cursor one, two, or three columns to the right. The char- acter cells skipped over will be unaf- fected; displayable characters in these
cells, if any, will remain intact while empty cells will remain empty, in the same manner that a PAC indent is non- destructive.
(2) [Reserved] (f) Caption Mode. There are three
styles of presenting text in Caption Mode: roll-up, pop-on, and paint-on. Character display varies significantly with the style used, but certain rules of character erasure are common to all styles. A character can be erased by ad- dressing another character to the same screen location or by backspacing over the character from a subsequent loca- tion on the same row. The entire dis- played memory will be erased instantly by receipt of an Erase Displayed Mem- ory command. Both displayed memory and non-displayed memory will be en- tirely erased simultaneously by either: The user switching receiver channels or data channels (C1/C2) or fields (F1/ F2) in decoders so equipped; the loss of valid data (see paragraph (j) of this sec- tion); or selecting non-captioning re- ceiver functions which use the display memory of the decoder. Receipt of an End of Caption command will cause a displayed caption to become non-dis- played (and vice versa) without being erased from memory. Changing the re- ceiver to a non-captioning mode which does not require use of the decoder’s display memory will leave that mem- ory intact, and the decoder will con- tinue to process data as if the caption display were selected.
(1) Roll-up. Roll-up style captioning is initiated by receipt of one of three Miscellaneous Control Codes that de- termine the maximum number of rows displayed simultaneously, either 2, 3 or 4 contiguous rows. These are the three Roll-Up Caption commands.
(i) The bottom row of the display is known as the ‘‘base row’’. The cursor always remains on the base row. Rows of text roll upwards into the contig- uous rows immediately above the base row to create a ‘‘window’’ 2 to 4 rows high.
(ii) The Roll-Up command, in normal practice, will be followed (not nec- essarily immediately) by a Preamble Address Code indicating the base row and the horizontal indent position. If no Preamble Address Code is received, the base row will default to Row 15 or,
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if a roll-up caption is currently dis- played, to the same base row last re- ceived, and the cursor will be placed at Column 1. If the Preamble Address Code received contains a different base row than that of a currently displayed caption, the entire window will move intact (and without erasing) to the new base row immediately.
(iii) Each time a Carriage Return is received, the text in the top row of the window is erased from memory and from the display or scrolled off the top of the window. The remaining rows of text are each rolled up into the next highest row in the window, leaving the base row blank and ready to accept new text. This roll-up must appear smooth to the user, and must take no more than 0.433 second to complete. The cursor is automatically placed at Column 1 (pending receipt of a Pre- amble Address Code).
(iv) Increasing or decreasing the number of roll-up rows instantly changes the size of the active display window, appropriately turning on or off the display of the top one or two rows. A row which is turned off should also be erased from memory.
(v) Characters are always displayed immediately when received by the re- ceiver. Once the cursor reaches the 32nd column position on any row, all subsequent characters received prior to a Carriage Return, Preamble Address Code, or Backspace will be displayed in that column replacing any previous character occupying that address.
(vi) The cursor moves automatically one column to the right after each character or Mid-Row Code received. A Backspace will move the cursor one column to the left, erasing the char- acter or Mid-Row Code occupying that location. (A Backspace received when the cursor is in Column 1 will be ig- nored.)
(vii) The Delete to End of Row com- mand will erase from memory any characters or control codes starting at the current cursor location and in all columns to its right on the same row. If no displayable characters remain on the row after the Delete to End of Row is acted upon, the solid space (if any) for that row should also be erased to conform with the following provisions.
(viii) If a solid space is used for leg- ibility, it should appear when the first displayable character (not a trans- parent space) or Mid-Row Code is re- ceived on a row, not when the Pre- amble Address Code, if any, is given. A row on which there are no displayable characters or Mid-Row Codes will not display a solid space, even when rolled up between two rows which do display a solid space.
(ix) If the reception of data for a row is interrupted by data for the alternate data channel or for Text Mode, the dis- play of caption text will resume from the same cursor position if a Roll-Up Caption command is received and no Preamble Address Code is given which would move the cursor.
(x) A roll-up caption remains dis- played until one of the standard cap- tion erasure techniques is applied. Re- ceipt of a Resume Caption Loading command (for pop-on style) or a Re- sume Direct Captioning command (for paint-on style) will not affect a roll-up display. Receipt of a Roll-Up Caption command will cause any pop-on or paint-on caption to be erased from dis- played memory and non-displayed memory.
(2) Pop-on. Pop-on style captioning is initiated by receipt of a Resume Cap- tion Loading command. Subsequent data are loaded into a non-displayed memory and held there until an End of Caption command is received, at which point the non-displayed memory be- comes the displayed memory and vice versa. (This process is often referred to as ‘‘flipping memories’’ and does not automatically erase memory.) An End of Caption command forces the re- ceiver into pop-on style if no Resume Caption Loading command has been re- ceived which would do so. The display will be capable of 4 full rows, not nec- essarily contiguous, simultaneous any- where on the screen.
(i) Preamble Address Codes can be used to move the cursor around the screen in random order to place cap- tions on Rows 1 to 15. Carriage Returns have no effect on cursor location dur- ing caption loading.
(ii) The cursor moves automatically one column to the right after each character or Mid-Row Code received. Receipt of a Backspace will move the
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cursor one column to the left, erasing the character or Mid-Row Code occu- pying that location. (A Backspace re- ceived when the cursor is in Column 1 will be ignored.) Once the cursor reaches the 32nd column position on any row, all subsequent characters re- ceived prior to a Backspace, an End of Caption, or a Preamble Address Code, will replace any previous character at that location.
(iii) The Delete to End of Row com- mand will erase from memory any characters or control codes starting at the current cursor location and in all columns to its right on the same row. If no displayable characters remain on a row after the Delete to End of Row is acted upon, the solid space (if any) for that element should also be erased.
(iv) If data reception is interrupted during caption loading by data for the alternate caption channel or for Text Mode, caption loading will resume at the same cursor position if a Resume Caption Loading command is received and no Preamble Address Code is given that would move the cursor.
(v) Characters remain in non-dis- played memory until an End of Caption command flips memories. The caption will be erased without being displayed upon receipt of an Erase Non-Displayed Memory command, a Roll-Up Caption command, or if the user switches re- ceiver channels, data channels or fields, or upon the loss of valid data (see paragraph (j) of this section).
(vi) A pop-on caption, once displayed, remains displayed until one of the standard caption erasure techniques is applied or until a Roll-Up Caption com- mand is received. Characters within a displayed pop-on caption will be re- placed by receipt of the Resume Direct Captioning command and paint-on style techniques (see below).
(3) Paint-on. Paint-on style cap- tioning is initiated by receipt of a Re- sume Direct Captioning command. Subsequent data are addressed imme- diately to displayed memory without need for an End of Caption command.
(i) Preamble Address Codes can be used to move the cursor around the screen in random order to display cap- tions on Rows 1 to 15. Carriage Returns have no affect on cursor location dur- ing direct captioning. The cursor
moves automatically one column to the right after each character or Mid- Row Code is received. Receipt of a Backspace will move the cursor one column to the left, erasing the char- acter or Mid-Row Code occupying that location. (A Backspace received when the cursor is in Column 1 will be ig- nored.) Once the cursor reaches the 32nd column position on any row, all subsequent characters received prior to a Preamble Address Code or Backspace will be displayed in that column re- placing any previous character occu- pying that location.
(ii) The Delete to End of Row com- mand will erase from memory any characters or control codes starting at the current cursor location and in all columns to its right on the same row. If no displayable characters remain on the row after the Delete to End of Row is acted upon, the solid space (if any) for that element should also be erased.
(iii) If the reception of data is inter- rupted during the direct captioning by data for the alternate caption channel or for Text Mode, the display of cap- tion text will resume at the same cursor position if a Resume Direct Cap- tioning command is received and no Preamble Address Code is given which would move the cursor.
(iv) Characters remain displayed until one of the standard caption era- sure techniques is applied or until a Roll-Up Caption command is received. An End of Caption command leaves a paint-on caption fully intact in non- displayed memory. In other words, a paint-on style caption behaves pre- cisely like a pop-on style caption which has been displayed.
(g) Character format. Characters are to be displayed on the screen within a character ‘‘cell’’ which is the height and width of a single row and column. The following codes define the displayable character set. Television receivers manufactured prior to Janu- ary 1, 1996 and having a character reso- lution of 5×7 dots, or less, may display the allowable alternate characters in the character table. A statement must be in a prominent location on the box or other package in which the receiver is to be marketed, and information
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must be in the owner’s manual, indi- cating the receiver displays closed cap- tioning in upper case only.
CHARACTER SET TABLE
Special Characters
These require two bytes for each symbol. Each hex code as shown will be preceded by a 11h for data channel 1 or by a 19h for data channel 2. For example: 19h 37h will place a musical note in data channel 2.
HEX Example Alternate Description
30 ® See note 1 Registered mark symbol 31 ° Degree sign 32 1⁄2 1⁄2 33 ¿ Inverse query 34 TM See note 1 Trademark symbol 35 ¢ Cents sign 36 £ Pounds Sterling sign 37 M Music note 38 à A Lower-case a with grave ac-
cent 39 Transparent space 3A è E Lower-case e with grave ac-
cent 3B â A Lower-case a with circumflex 3C ê E Lower-case e with circumflex 3D ı̂ I Lower-case i with circumflex 3E ô O Lower-case o with circumflex 3F û U Lower-case u with circumflex
1 NOTE: The registered and trademark symbols are used to satisfy certain legal requirements. There are various legal ways in which these symbols may be drawn or displayed. For example, the trademark symbol may be drawn with the ‘‘T’’ next to the ‘‘M’’ or over the ‘‘M’’. It is preferred that the trade- mark symbol be superscripted, i.e., XYZ TM. It is left to each individual manufacturer to interpret these symbols in any way that meets the legal needs of the user.
Standard characters
HEX Example Alternate Description
20 Standard space 21 ! Exclamation mark 22 ‘‘ Quotation mark 23 # Pounds (number) sign 24 $ Dollar sign 25 % Percentage sign 26 & Ampersand 27 ’ Apostrophe 28 ( Open parentheses 29 ) Close parentheses 2A á A Lower-case a with acute ac-
cent 2B + Plus sign 2C , Comma 2D ¥ Minus (hyphen) sign 2E . Period 2F / Slash 30 0 Zero 31 1 One 32 2 Two 33 3 Three 34 4 Four 35 5 Five 36 6 Six 37 7 Seven 38 8 Eight 39 9 Nine 3A : Colon
HEX Example Alternate Description
3B ; Semi-colon 3C < Less than sign 3D = Equal sign 3E > Greater than sign 3F ? Question mark 40 @ At sign 41 A Upper-case A 42 B Upper-case B 43 C Upper-case C 44 D Upper-case D 45 E Upper-case E 46 F Upper-case F 47 G Upper-case G 48 H Upper-case H 49 I Upper-case I 4A J Upper-case J 4B K Upper-case K 4C L Upper-case L 4D M Upper-case M 4E N Upper-case N 4F O Upper-case O 50 P Upper-case P 51 Q Upper-case Q 52 R Upper-case R 53 S Upper-case S 54 T Upper-case T 55 U Upper-case U 56 V Upper-case V 57 W Upper-case W 58 X Upper-case X 59 Y Upper-case Y 5A Z Upper-case Z 5B [ Open bracket 5C é E Lower-case e with acute ac-
cent 5D ] Close bracket 5E ı́ I Lower-case i with acute accent 5F ó O Lower-case o with acute ac-
cent 60 ú U Lower-case u with acute ac-
cent 61 a A Lower-case a 62 b B Lower-case b 63 c C Lower-case c 64 d D Lower-case d 65 e E Lower-case e 66 f F Lower-case f 67 g G Lower-case g 68 h H Lower-case h 69 i I Lower-case i 6A j J Lower-case j 6B k K Lower-case k 6C l L Lower-case l 6D m M Lower-case m 6E n N Lower-case n 6F o O Lower-case o 70 p P Lower-case p 71 q Q Lower-case q 72 r R Lower-case r 73 s S Lower-case s 74 t T Lower-case t 75 u U Lower-case u 76 v V Lower-case v 77 w W Lower-case w 78 x X Lower-case x 79 y Y Lower-case y 7A z Z Lower-case z 7B ç C Lower-case c with cedilla 7C ÷ Division sign 7D Ñ Upper-case N with tilde 7E ñ Ñ Lower-case n with tilde 7F ■ Solid block
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(h) Character Attributes—(1) Trans- mission of Attributes. A character may be transmitted with any or all of four attributes: Color, italics, underline, and flash. All of these attributes are set by control codes included in the re- ceived data. An attribute will remain in effect until changed by another con- trol code or until the end of the row is reached. Each row begins with a con- trol code which sets the color and un- derline attributes. (White non-under- lined is the default display attribute if no Preamble Address Code is received before the first character on an empty row.) Attributes are not affected by transparent spaces within a row.
(i) All Mid-Row Codes and the Flash On command are spacing attributes which appear in the display just as if a standard space (20h) had been received. Preamble Address Codes are non-spac- ing and will not alter any attributes when used to position the cursor in the midst of a row of characters.
(ii) The color attribute has the high- est priority and can only be changed by the Mid-Row Code of another color. Italics has the next highest priority. If characters with both color and italics are desired, the italics Mid-Row Code must follow the color assignment. Any color Mid-Row Code will turn off italics. If the least significant bit of a Preamble Address Code or of a color or italics Mid-Row Code is a 1 (high), un- derlining is turned on. If that bit is a 0 (low), underlining is off.
(iii) The flash attribute is trans- mitted as a Miscellaneous Control Code. The Flash On command will not alter the status of the color, italics, or underline attributes. However, any color or italics Mid-Row Code will turn off flash.
(iv) Thus, for example, if a red, italicized, underlined, flashing char- acter is desired, the attributes must be received in the following order: a red Mid-Row or Preamble Address Code, an italics Mid-Row Code with underline bit, and the Flash On command. The character will then be preceded by three spaces (two if red was assigned via a Preamble Address Code).
(2) Display of attributes. The underline attribute will be displayed by drawing a line beneath the character in the same color as the character. The flash
attribute will be displayed by causing the character to blink from the display at least once per second. The italic at- tribute must be capable of being dis- played by either a special italic font, or by the modification of the standard font by slanting. The user may be given the option to select other meth- ods of italic display as well. The sup- port of the color attributes is optional. If the color attributes are supported, they will be displayed in the color they have been assigned. If color attributes are not supported, the display may be in color, but all color changes will be ignored.
(i) Control codes. There are three dif- ferent types of control codes used to identify the format, location, at- tributes, and display of characters: Preamble Address Codes, Mid-Row Codes, and Miscellaneous Control Codes.
(1) Each control code consists of a pair of bytes which are always trans- mitted together in a single field of line 21 and which are normally transmitted twice in succession to help insure cor- rect reception of the control instruc- tions. The first of the control code bytes is a non-printing character in the range 10h to 1Fh. The second byte is al- ways a printing character in the range 20h to 7Fh. Any such control code pair received which has not been assigned a function is ignored. If the non-printing character in the pair is in the range 00h to 0Fh, that character alone will be ig- nored and the second character will be treated normally.
(2) If the second byte of a control code pair does not contain odd parity (see paragraph (j) of this section), then the pair is ignored. The redundant transmission of the pair will be the in- struction upon which the receiver acts.
(3) If the first byte of the first trans- mission of a control code pair fails the parity check, then that byte is inserted into the currently active memory as a solid block character (7Fh) followed by whatever the second byte is. Again, the redundant transmission of the pair will be the controlling instruction.
(4) If the first transmission of a con- trol code pair passes parity, it is acted upon within one video frame. If the next frame contains a perfect repeat of
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the same pair, the redundant code is ig- nored. If, however, the next frame con- tains a different but also valid control code pair, this pair, too, will be acted upon (and the receiver will expect a re- peat of this second pair in the next frame). If the first byte of the expected redundant control code pair fails the parity check and the second byte is identical to the second byte in the im- mediately preceding pair, then the ex- pected redundant code is ignored. If there are printing characters in place of the redundant code, they will be processed normally.
(5) There is provision for decoding a second data channel. The second data channel is encoded with the same con- trol codes and procedures already de- scribed. The first byte of every control code pair indicates the data channel (C1/C2) to which the command applies. Control codes which do not match the data channel selected by the user, and all subsequent data related to that con- trol code, are ignored by the receiver.
MID-ROW CODES
Data channel
1
Data channel
2 Attribute description
11 20 19 20 White. 11 21 19 21 White Underline. 11 22 19 22 Green. 11 23 19 23 Green Underline. 11 24 19 24 Blue.
MID-ROW CODES—Continued
Data channel
1
Data channel
2 Attribute description
11 25 19 25 Blue Underline. 11 26 19 26 Cyan. 11 27 19 27 Cyan Underline. 11 28 19 28 Red. 11 29 19 29 Red Underline. 11 2A 19 2A Yellow. 11 2B 19 2B Yellow Underline. 11 2C 19 2C Magenta. 11 2D 19 2D Magenta Underline. 11 2E 19 2E Italics. 11 2F 19 2F Italics Underline.
MISCELLANEOUS CONTROL CODES
Data channel
1
Data channel
2
Mne- monic Command description
14 20 1C 20 RCL Resume caption loading. 14 21 1C 21 BS ... Backspace. 14 22 1C 22 AOF Reserved (formerly Alarm Off). 14 23 1C 23 AON Reserved (formerly Alarm On). 14 24 1C 24 DER Delete to End of Row. 14 25 1C 25 RU2 Roll-Up Captions–2 Rows. 14 26 1C 26 RU3 Roll-Up Captions–3 Rows. 14 27 1C 27 RU4 Roll-Up Captions–4 Rows. 14 28 1C 28 FON Flash On. 14 29 1C 29 RDC Resume Direct Captioning. 14 2A 1C 2A TR ... Text Restart. 14 2B 1C 2B RTD Resume Text Display. 14 2C 1C 2C EDM Erase Displayed Memory. 14 2D 1C 2D CR ... Carriage Return. 14 2E 1C 2E ENM Erase Non-Displayed Memory. 14 2F 1C 2F EOC End of Caption (Flip Memo-
ries). 17 21 1F 21 TO1 Tab Offset 1 Column. 17 22 1F 22 TO2 Tab Offset 2 Columns. 17 23 1F 23 TO3 Tab Offset 3 Columns.
PREAMBLE ADDRESS CODES
Row 1
Row 2
Row 3
Row 4
Row 5
Row 6
Row 7
Row 8
Row 9
Row 10
Row 11
Row 12
Row 13
Row 14
Row 15
First byte of code pair: Data Channel 1 ..... 11 11 12 12 15 15 16 16 17 17 10 13 13 14 14 Data Channel 2 ..... 19 19 1A 1A 1D 1D 1E 1E 1F 1F 18 1B 1B 1C 1C
Second byte of code pair:
White ..................... 40 60 40 60 40 60 40 60 40 60 40 40 60 40 60 White Underline ..... 41 61 41 61 41 61 41 61 41 61 41 41 61 41 61 Green .................... 42 62 42 62 42 62 42 62 42 62 42 42 62 42 62 Green Underline .... 43 63 43 63 43 63 43 63 43 63 43 43 63 43 63 Blue ....................... 44 64 44 64 44 64 44 64 44 64 44 44 64 44 64 Blue Underline ....... 45 65 45 65 45 65 45 65 45 65 45 45 65 45 65 Cyan ...................... 46 66 46 66 46 66 46 66 46 66 46 46 66 46 66 Cyan Underline ..... 47 67 47 67 47 67 47 67 47 67 47 47 67 47 67 Red ........................ 48 68 48 68 48 68 48 68 48 68 48 48 68 48 68 Red Underline ....... 49 69 49 69 49 69 49 69 49 69 49 49 69 49 69 Yellow .................... 4A 6A 4A 6A 4A 6A 4A 6A 4A 6A 4A 4A 6A 4A 6A Yellow Underline ... 4B 6B 4B 6B 4B 6B 4B 6B 4B 6B 4B 4B 68 4B 6B Magenta ................ 4C 6C 4C 6C 4C 6C 4C 6C 4C 6C 4C 4C 6C 4C 6C Magenta Underline 4D 6D 4D 6D 4D 6D 4D 6D 4D 6D 4D 4D 6D 4D 6D White Italics ........... 4E 6E 4E 6E 4E 6E 4E 6E 4E 6E 4E 4E 6E 4E 6E White Italics Under-
line ..................... 4F 6F 4F 6F 4F 6F 4F 6F 4F 6F 4F 4F 6F 4F 6F Indent 0 ................. 50 70 50 70 50 70 50 70 50 70 50 50 70 50 70 Indent 0 Underline 51 71 51 71 51 71 51 71 51 71 51 51 71 51 71 Indent 4 ................. 52 72 52 72 52 72 52 72 52 72 52 52 72 52 72
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PREAMBLE ADDRESS CODES—Continued
Row 1
Row 2
Row 3
Row 4
Row 5
Row 6
Row 7
Row 8
Row 9
Row 10
Row 11
Row 12
Row 13
Row 14
Row 15
Indent 4 Underline 53 73 53 73 53 73 53 73 53 73 53 53 73 53 73 Indent 8 ................. 54 74 54 74 54 74 54 74 54 74 54 54 74 54 74 Indent 8 Underline 55 75 55 75 55 75 55 75 55 75 55 55 75 55 75 Indent 12 ............... 56 76 56 76 56 76 56 76 56 76 56 56 76 56 76 Indent 12 Underline 57 77 57 77 57 77 57 77 57 77 57 57 77 57 77 Indent 16 ............... 58 78 58 78 58 78 58 78 58 78 58 58 78 58 78 Indent 16 Underline 59 79 59 79 59 79 59 79 59 79 59 59 79 59 79 Indent 20 ............... 5A 7A 5A 7A 5A 7A 5A 7A 5A 7A 5A 5A 7A 5A 7A Indent 20 Underline 5B 7B 5B 7B 5B 7B 5B 7B 5B 7B 5B 5B 7B 5B 7B Indent 24 ............... 5C 7C 5C 7C 5C 7C 5C 7C 5C 7C 5C 5C 7C 5C 7C Indent 24 Underline 5D 7D 5D 7D 5D 7D 5D 7D 5D 7D 5D 5D 7D 5D 7D Indent 28 ............... 5E 7E 5E 7E 5E 7E 5E 7E 5E 7E 5E 5E 7E 5E 7E Indent 28 Underline 5F 7F 5F 7F 5F 7F 5F 7F 5F 7F 5F 5F 7F 5F 7F
NOTE: All indent codes (second byte equals 50h–5fh, 70th–7fh) assign white as the color attribute.
(j) Data rejection. The receiver should provide an effective procedure to verify data. A receiver will reject data if the data is invalid, or if the data is di- rected to the data channel or field not selected by the user. Invalid data is any data that fails to pass a check for odd parity, or which, having passed the parity check, is assigned no function.
(1) If a print character fails to pass a check for parity, a solid block (7Fh) should be displayed in place of the failed character. In addition, valid data can be corrupted in many ways and may not be suitable for display. For ex- ample, repeated fields, skipped fields and altered field sequences are all pos- sible from consumer video equipment and might present meaningless cap- tions.
(2) The receiver will ignore data re- jected due to being directed to a deselected field or channel. However, this will not cause the display to be disabled.
(k) Automatic display enable/disable. The receiver shall provide an auto- matic enable/disable capability to pre- vent the display of invalid or incom- plete data, when the user selects the Caption Mode. The display should auto- matically become enable after the re- ceiver verifies the data as described in paragraph (j) of this section. The dis- play will be automatically disabled when there is a sustained detection of invalid data. The display will be re-en- abled when the data verification proc- ess has been satisfied once again.
(l) Compatibility with Cable Security Systems. Certain cable television secu- rity techniques, such as signal
encryption and copy protection, can alter the television signal so that some methods of finding line 21 will not work. In particular, counting of lines or timing from the start of the vertical blanking interval may cause problems. Caption decoding circuitry must func- tion properly when receiving signals from cable security systems that were designed and marketed prior to April 5, 1991. Further information concerning such systems is available from the Na- tional Cable Television Association, Inc., Washington, DC, and from the Electronic Industries Association, Washington, DC.
(m) Labelling and consumer informa- tion requirements. The box or other package in which the individual tele- vision receiver is to be marketed shall carry a statement in a prominent loca- tion, visible to the buyer before pur- chase, which reads as follows:
This television receiver provides display of television closed captioning in accordance with § 15.119 of the FCC rules.
Receivers that do not support color at- tributes or text mode, as well as receiv- ers that display only upper-case char- acters pursuant to paragraph (g) of this section, must include with the state- ment, and in the owner’s manual, lan- guage indicating that those features are not supported.
(n) Glossary of terms. The following terms are used to describe caption de- coder specifications:
(1) Base row: The bottom row of a roll-up display. The cursor always re- mains on the base row. Rows of text
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roll upwards into the contiguous rows immediately above the base row.
(2) Box: The area surrounding the ac- tive character display. In Text Mode, the box is the entire screen area de- fined for display, whether or not displayable characters appear. In Cap- tion Mode, the box is dynamically re- defined by each caption and each ele- ment of displayable characters within a caption. The box (or boxes, in the case of a multiple-element caption) in- cludes all the cells of the displayed characters, the non-transparent spaces between them, and one cell at the be- ginning and end of each row within a caption element in those decoders that use a solid space to improve legibility.
(3) Caption window: The invisible rec- tangle which defines the top and bot- tom limits of a roll-up caption. The window can be 2 to 4 rows high. The lowest row of the window is called the base row.
(4) Cell: The discrete screen area in which each displayable character or space may appear. A cell is one row high and one column wide.
(5) Column: One of 32 vertical divi- sions of the screen, each of equal width, extending approximately across the full width of the safe caption area as defined in paragraph (n)(12) of this section. Two additional columns, one at the left of the screen and one at the right, may be defined for the appear- ance of a box in those decoders which use a solid space to improve legibility, but no displayable characters may ap- pear in those additional columns. For reference, columns may be numbered 0 to 33, with columns 1 to 32 reserved for displayable characters.
(6) Displayable character: Any letter, number or symbol which is defined for on-screen display, plus the 20h space.
(7) Display disable: To turn off the dis- play of captions or text (and accom- panying background) at the receiver,
rather than through codes transmitted on line 21 which unconditionally erase the display. The receiver may disable the display because the user selects an alternate mode, e.g., TV Mode, or be- cause no valid line 21 data is present.
(8) Display enable: To allow the dis- play of captions or text when they are transmitted on line 21 and received as valid data. For display to be enabled, the user must have selected Caption Mode or Text Mode, and valid data for the selected mode must be present on line 21.
(9) Element: In a pop-on or paint-on style caption, each contiguous area of cells containing displayable characters and non-transparent spaces between those characters. A single caption may have multiple elements. An element is not necessarily a perfect rectangle, but may include rows of differing widths.
(10) Erase Display: In Caption Mode, to clear the screen of all characters (and accompanying background) in re- sponse to codes transmitted on line 21. (The caption service provider can ac- complish the erasure either by sending an Erase Displayed Memory command or by sending an Erase Non-Displayed Memory command followed by an End of Caption command, effectively mak- ing a blank caption ‘‘appear’’.) Display can also be erased by the receiver when the caption memory erasure conditions are met, such as the user changing TV channels.
(11) Row: One of 15 horizontal divi- sions of the screen, extending across the full height of the safe caption area as defined in paragraph (n)(12) of this section.
(12) Safe caption area: The area of the television picture within which cap- tioning and text shall be displayed to ensure visibility of the information on the majority of home television receiv- ers. The safe caption area is specified as shown in the following figure:
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The dimensions of the above figure shall be as follows:
Label Dimensions Percent of
television pic- ture height
A Television picture height ................ 100.0 B Television picture width .................. 133.33 C Height of safe caption area ............ 80.0 D Width of safe caption area ............. 106.67 E Vertical position of safe caption
area. 10.0
F Horizontal position of safe caption area.
13.33
(13) Special characters: Displayable characters (except for ‘‘transparent space’’) which require a two-byte se- quence of one non-printing and one printing character. The non-printing byte varies depending on the data channel. Regular characters require unique one-byte codes which are the same in either data channel.
(14) Text: When written with an upper-case ‘‘T’’, refers to the Text Mode. When written with a lower-case ‘‘t’’, refers to any combination of displayable characters.
(15) Transparent space: Transmitted as a special character, it is a one-col- umn-wide space behind which program video is always visible (except when a transparent space immediately pre- cedes or follows a displayable char- acter and solid box is needed to make that character legible).
[56 FR 27201, June 13, 1991, as amended at 57 FR 19094, May 4, 1992; 58 FR 44893, Aug. 25, 1993]
§ 15.120 Program blocking technology requirements for television receiv- ers.
(a) Effective July 1, 1999, manufactur- ers of television broadcast receivers as defined in section 15.3(w) of this chap- ter, including personal computer sys- tems meeting that definition, must en- sure that one-half of their product models with picture screens 33 cm (13 in) or larger in diameter shipped in interstate commerce or manufactured in the United States comply with the
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provisions of paragraphs (c), (d), and (e) of this section.
NOTE: This paragraph places no restric- tions on the shipping or sale of television re- ceivers that were manufactured before July 1999.
(b) Effective January 1, 2000, all TV broadcast receivers as defined in § 15.3(w), including personal computer systems meeting that definition, with picture screens 33 cm (13 in) or larger, measured diagonally, or with displays in the 16:9 aspect ratio that are 19.8 cm (7.8 in) or greater in height and digital television receivers without an associ- ated display device shipped in inter- state commerce or manufactured in the United States shall comply with the provisions of paragraphs (c), (d), and (e) of this section.
(c) Transmission format. (1) Analog television program rating information shall be transmitted on line 21 of field 2 of the vertical blanking interval of television signals, in accordance with § 73.682(a)(22) of this chapter.
(2) Digital television program rating information shall be transmitted in digital television signals in accordance with § 73.682(d) of this chapter.
(d) Operation. (1) Analog television receivers will receive program ratings transmitted pursuant to EIA–744: ‘‘Transport of Content Advisory Infor- mation Using Extended Data Service (XDS)’’ (incorporated by reference, see § 15.38) and EIA–608: ‘‘Recommended Practice for Line 21 Data Service’’ (in- corporated by reference, see § 15.38). Blocking of programs shall occur when a program rating is received that meets the pre-determined user require- ments.
(2) Digital television receivers shall react in a similar manner as analog televisions when programmed to block specific rating categories. Effective March 15, 2006, digital television re- ceivers will receive program rating descriptors transmitted pursuant to in- dustry standard EIA/CEA–766–A ‘‘U.S. and Canadian Region Rating Tables (RRT) and Content Advisory Descriptors for Transport of Content Advisory Information using ATSC A/ 65–A Program and System Information Protocol (PSIP),’’ 2001 (incorporated by reference, see § 15.38). Blocking of pro- grams shall occur when a program rat-
ing is received that meets the pre-de- termined user requirements. Digital television receivers shall be able to re- spond to changes in the content advi- sory rating system.
(e) All television receivers as de- scribed in paragraph (a) of this section shall block programming as follows:
(1) Channel Blocking. Channel Block- ing should occur as soon as a program rating packet with the appropriate Content Advisory or MPAA rating level is received. Program blocking is described as a receiver performing all of the following:
• Muting the program audio. • Rendering the video black or otherwise
indecipherable. • Eliminating program-related captions.
(2) Default State. The default state of a receiver (i.e., as provided to the con- sumer) should not block unrated pro- grams. However, it is permissible to in- clude features that allow the user to reprogram the receiver to block pro- grams that are not rated.
(3) Picture-In-Picture (PIP). If a re- ceiver has the ability to decode pro- gram-related rating information for the Picture-In-Picture (PIP) video sig- nal, then it should block the PIP chan- nel in the same manner as the main channel. If the receiver does not have the ability to decode PIP program-re- lated rating information, then it should block or otherwise disable the PIP if the viewer has enabled program blocking.
(4) Selection of Ratings. Each tele- vision receiver, in accordance with user input, shall block programming based on the age based ratings, the content based ratings, or a combination of the two.
(i) If the user chooses to block pro- gramming according to its age based rating level, the receiver must have the ability to automatically block pro- grams with a more restrictive age based rating. For example, if all shows with an age-based rating of TV-PG have been selected for blocking, the user should be able to automatically block programs with the more restric- tive ratings of TV–14 and TV-MA.
(ii) If the user chooses to block pro- gramming according to a combination of age based and content based ratings the receiver must have the ability to
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automatically block programming with a more restrictive age rating but a similar content rating. For example, if all shows rated TV-PG-V have been selected for blocking, the user should be able to block automatically shows with the more restrictive ratings of TV–14–V and TV-MA-V.
(iii) The user should have the capa- bility of overriding the automatic blocking described in paragraphs (e)(4)(i) and (4)(ii) of this section.
[63 FR 20133, Apr. 23, 1998, as amended at 68 FR 68546, Dec. 9, 2003; 69 FR 2849, Jan. 21, 2004; 69 FR 59534, Oct. 4, 2004; 73 FR 5682, Jan. 30, 2008; 74 FR 63079, Dec. 2, 2009]
§ 15.121 Scanning receivers and fre- quency converters used with scan- ning receivers.
(a) Except as provided in paragraph (c) of this section, scanning receivers and frequency converters designed or marketed for use with scanning receiv- ers, shall:
(1) Be incapable of operating (tun- ing), or readily being altered by the user to operate, within the frequency bands allocated to the Cellular Radio- telephone Service in part 22 of this chapter (cellular telephone bands). Scanning receivers capable of ‘‘readily being altered by the user’’ include, but are not limited to, those for which the ability to receive transmissions in the cellular telephone bands can be added by clipping the leads of, or installing, a simple component such as a diode, re- sistor or jumper wire; replacing a plug- in semiconductor chip; or programming a semiconductor chip using special ac- cess codes or an external device, such as a personal computer. Scanning re- ceivers, and frequency converters de- signed for use with scanning receivers, also shall be incapable of converting digital cellular communication trans- missions to analog voice audio.
(2) Be designed so that the tuning, control and filtering circuitry is inac- cessible. The design must be such that any attempts to modify the equipment to receive transmissions from the Cel- lular Radiotelephone Service likely will render the receiver inoperable.
(b) Except as provided in paragraph (c) of this section, scanning receivers shall reject any signals from the Cel- lular Radiotelephone Service frequency
bands that are 38 dB or lower based upon a 12 dB SINAD measurement, which is considered the threshold where a signal can be clearly discerned from any interference that may be present.
(c) Scanning receivers and frequency converters designed or marketed for use with scanning receivers, are not subject to the requirements of para- graphs (a) and (b) of this section pro- vided that they are manufactured ex- clusively for, and marketed exclusively to, entities described in 18 U.S.C. 2512(2), or are marketed exclusively as test equipment pursuant to § 15.3(dd).
(d) Modification of a scanning re- ceiver to receive transmissions from Cellular Radiotelephone Service fre- quency bands will be considered to con- stitute manufacture of such equip- ment. This includes any individual, in- dividuals, entity or organization that modifies one or more scanners. Any modification to a scanning receiver to receive transmissions from the Cellular Radiotelephone Service frequency bands voids the certification of the scanning receiver, regardless of the date of manufacture of the original unit. In addition, the provisions of § 15.23 shall not be interpreted as per- mitting modification of a scanning re- ceiver to receiver Cellular Radio- telephone Service transmissions.
(e) Scanning receivers and frequency converters designed for use with scan- ning receivers shall not be assembled from kits or marketed in kit form un- less they comply with the require- ments in paragraph (a) through (c) of this section.
(f) Scanning receivers shall have a label permanently affixed to the prod- uct, and this label shall be readily visi- ble to the purchaser at the time of pur- chase. The label shall read as follows: WARNING: MODIFICATION OF THIS DEVICE TO RECEIVE CELLULAR RA- DIOTELEPHONE SERVICE SIGNALS IS PROHIBITED UNDER FCC RULES AND FEDERAL LAW.
(1) ‘‘Permanently affixed’’ means that the label is etched, engraved, stamped, silkscreened, indelible print- ed or otherwise permanently marked on a permanently attached part of the equipment or on a nameplate of metal, plastic or other material fastened to
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the equipment by welding, riveting, or permanent adhesive. The label shall be designed to last the expected lifetime of the equipment in the environment in which the equipment may be operated and must not be readily detachable. The label shall not be a stick-on, paper label.
(2) When the device is so small that it is not practicable to place the warning label on it, the information required by this paragraph shall be placed in a prominent location in the instruction manual or pamphlet supplied to the user and shall also be placed on the container in which the device is mar- keted. However, the FCC identifier must be displayed on the device.
[64 FR 22561, Apr. 27, 1999, as amended at 66 FR 32582, June 15, 2001]
§ 15.122 Closed caption decoder re- quirements for digital television re- ceivers and converter boxes.
(a)(1) Effective July 1, 2002, all digital television receivers with picture screens in the 4:3 aspect ratio with pic- ture screens measuring 13 inches or larger diagonally, all digital television receivers with picture screens in the 16:9 aspect ratio measuring 7.8 inches or larger vertically and all separately sold DTV tuners shipped in interstate commerce or manufactured in the United States shall comply with the provisions of this section.
NOTE TO PARAGRAPH (a)(1): This paragraph places no restrictions on the shipping or sale of digital television receivers that were man- ufactured before July 1, 2002.
(2) Effective July 1, 2002, DTV con- verter boxes that allow digitally trans-
mitted television signals to be dis- played on analog receivers shall pass available analog caption information to the attached receiver in a form rec- ognizable by that receiver’s built-in caption decoder circuitry.
NOTE TO PARAGRAPH (a)(2): This paragraph places no restrictions on the shipping or sale of DTV converter boxes that were manufac- tured before July 1, 2002.
(b) Digital television receivers and tuners must be capable of decoding closed captioning information that is delivered pursuant to EIA–708–B: ‘‘Dig- ital Television (DTV) Closed Cap- tioning’’ (incorporated by reference, see § 15.38).
(c) Services. (1) Decoders must be ca- pable of decoding and processing data for the six standard services, Caption Service #1 through Caption Service #6.
(2) Decoders that rely on Program and System Information Protocol data to implement closed captioning func- tions must be capable of decoding and processing the Caption Service Direc- tory data. Such decoders must be capa- ble of decoding all Caption Channel Block Headers consisting of Standard Service Headers, Extended Service Block Headers, and Null Block headers. However, decoding of the data is re- quired only for Standard Service Blocks (Service IDs <-6), and then only if the characters for the corresponding language are supported. The decoders must be able to display the directory for services 1 through 6.
(d) Code space organization. (1) Decod- ers must support Code Space C0, G0, C1, and G1 in their entirety.
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(2) The following characters within code space G2 must be supported:
(i) Transparent space (TSP). (ii) Non-breaking transparent space
(NBTSP). (iii) Solid block ( ). (iv) Trademark symbol (TM). (v) Latin-1 characters Š, ), š, *, Ÿ. (3) The substitutions in Table 2 are to
be made if a decoder does not support the remaining G2 characters.
TABLE 2—G2 CHARACTER SUBSTITUTION TABLE
G2 Character Substitute with
Open single quote (‘), G2 char code 0×31.
G0 single quote (‘), char code 0×27
Close single quote (’), G2 char code 0×32.
G0 single quote (’), char code 0×27
TABLE 2—G2 CHARACTER SUBSTITUTION TABLE—Continued
G2 Character Substitute with
Open double quote (‘‘), G2 char code 0×33.
G0 double quote (‘‘), char code 0×22
Close double quote (’’), G2 char code 0×34.
G0 double quote (’’), char code 0×22
Bold bullet (•), G2 char code 0×35.
G1 bullet (•), char code 0×B7
Elipsis (. . .), G2 char code 0×25.
G0 underscore (l), char code 0×5F
One-eighth (1⁄8), G2 char code 0×76.
G0 percent sign (%), char code 0×25
Three-eighths (3⁄8), G2 char code 0×77.
G0 percent sign (%), char code 0×25
Five-eighths (5⁄8), G2 char code 0×78.
G0 percent sign (%), char code 0×25
Seven-eighths (7⁄8), G2 char code 0×79.
G0 percent sign (%), char code 0×25
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TABLE 2—G2 CHARACTER SUBSTITUTION TABLE—Continued
G2 Character Substitute with
Vertical border (|), G2 char code 0×7A.
G0 stroke (|), char code 0×7C
Upper-right border (⎤), G2 char code 0×7B.
G0 dash (-), char code 0×2D
Lower-left border (⎣), G2 char code 0×7C.
G0 dash (-), char code 0×2D
Horizontal border (—), G2 char code 0×7D.
G0 dash (-), char code 0×2D
Lower-right border (⎦), G2 char code 0×7E.
G0 dash (-), char code 0×2D
Upper-left border (⎡), G2 char code 0×7F.
G0 dash (-), char code 0×2D
(4) Support for code spaces C2, C3, and G3 is optional. All unsupported graphic symbols in the G3 code space are to be substituted with the G0 un- derscore character (l), char code 0×5F.
(e) Screen coordinates. Table 3 speci- fies the screen coordinate resolutions and limits for anchor point positioning in 4:3 and 16:9 display formats, and the number of characters per row.
TABLE 3—SCREEN COORDINATE RESOLUTIONS AND LIMITS
Screen aspect ratio Maximum anchor positionresolution Minimum anchor position res-
olution
Maximum displayed
rows
Maximum characters
per row
4:3 .................................................... 75v×160h ............................... 15v×32h ................................. 4 32 16:9 .................................................. 75v×210h ............................... 15v×42h ................................. 4 42 Other ................................................ 75v×(5×H) .............................. 15v×H* ................................... 4 1
1H = 32 × (the width of the screen in relation to a 4:3 display). For example, the 16:9 format is 1⁄3 wider than a 4:3 display; thus, H = 32 * 4⁄3 = 42.667, or 42.
(1) This means that the minimum grid resolution for a 4:3 aspect ratio in- strument is 15 vertical positions × 32 horizontal positions. This minimum grid resolution for 16:9 ratio instru- ment is 15 vertical positions × 42 hori- zontal positions. These minimum grid sizes are to cover the entire safe-title area of the corresponding screen.
(2) The minimum coordinates equate to a 1⁄5 reduction in the maximum hori- zontal and vertical grid resolution co- ordinates. Caption providers are to use the maximum coordinate system val- ues when specifying anchor point posi- tions. Decoders using the minimum resolution are to divide the provided horizontal and vertical screen coordi- nates by 5 to derive the equivalent minimum coordinates.
(3) Any caption targeted for both 4:3 and 16:9 instruments is limited to 32 contiguous characters per row. If a cap- tion is received by a 4:3 instrument that is targeted for a 16:9 display only, or requires a window width greater than 32 characters, then the caption may be completely disregarded by the decoder. 16:9 instruments should be able to process and display captions in- tended for 4:3 displays, providing all other minimum recommendations are met.
(4) If the resulting size of any window is larger than the safe title area for the corresponding display’s aspect ratio, then this window will be completely disregarded.
(f) Caption windows. (1) Decoders need to display no more than 4 rows of cap- tions on the screen at any given time, regardless of the number of windows displayed. This implies that no more than 4 windows can be displayed at any given time (with each having only one caption row). However, decoders should maintain storage to support a min- imum total of 8 rows of captions. This storage is needed for the worst-case support of a displayed window with 4 rows of captioning and a non-displayed window which is buffering the incom- ing rows for the next 4-row caption. As implied above, the maximum number of windows that may be displayed at any one time by a minimum decoder implementation is 4. If more than 4 windows are defined in the caption stream, the decoder may disregard the youngest and lowest priority window definition(s). Caption providers must be aware of this limitation, and either restrict the total number of windows used or accept that some windows will not be displayed.
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(2) Decoders do not need to support overlapped windows. If a window over- laps another window, the overlapped window need not be displayed by the decoder.
(3) At a minimum, decoders will as- sume that all windows have rows and columns ‘‘locked’’. This implies that if a decoder implements the SMALL pen- size, then word-‘‘un’’wrapping, when shrinking captions, need not be imple- mented. Also, if a decoder implements the LARGE pen size, then word wrap- ping (when enlarging captions) need not be implemented.
(4) Whenever possible, the receiver should render embedded carriage re- turns as line breaks, since these car- riage returns indicate an important as- pect of the caption’s formatting as de- termined by the service provider. How- ever, it may sometimes be necessary for the receiver to ignore embedded line breaks. For example, if a caption is to appear in a larger font, and if its window’s rows and/or columns are un- locked, the rows of text may need to become longer or shorter to fit within the allocated space. Such automatic reformatting of a caption is known as ‘‘word wrap.’’ If decoders support word- wrapping, it must be implemented as follows:
(i) The receiver should follow stand- ard typographic practice when imple- menting word wrap. Potential breaking points (word-wrapping points) are indi- cated by the space character (20h) and by the hyphen character (2Dh).
(ii) If a row is to be broken at a space, the receiver should remove the space from the caption display. If a row is to be broken after a hyphen, the hy- phen should be retained.
(iii) If an embedded return is to be re- moved, it should usually be replaced with a space. However, if the character to the left of the embedded return is a hyphen, the embedded return should be removed but NOT replaced with a space.
(iv) This specification does not in- clude optional hyphens, nor does it pro- vide for any form of automatic hyphen- ation. No non-breaking hyphen is de- fined. The non-breaking space (A0h in the G1 code set) and the non-breaking transparent space (21h in the G2 code
set) should not be considered as poten- tial line breaks.
(v) If a single word exceeds the length of a row, the word should be placed at the start of a new row, broken at the character following the last character that fits on the row, and continued with further breaks if needed.
(g) Window text painting. (1) All de- coders should implement ‘‘left’’, ‘‘right’’, and ‘‘center’’ caption-text jus- tification. Implementation of ‘‘full’’ justification is optional. If ‘‘full’’ jus- tification is not implemented, fully justified captions should be treated as though they are ‘‘left’’ justified.
(i) For ‘‘left’’ justification, decoders should display any portion of a re- ceived row of text when it is received. For ‘‘center’’, ‘‘right’’, and ‘‘full’’ jus- tification, decoders may display any portion of a received row of text when it is received, or may delay display of a received row of text until reception of a row completion indicator. A row completion indicator is defined as re- ceipt of a CR, ETX or any other com- mand, except SetPenColor, SetPenAttributes, or SetPenLocation where the pen relocation is within the same row.
(ii) Receipt of a character for a dis- played row which already contains text with ‘‘center’’, ‘‘right’’ or ‘‘full’’ jus- tification will cause the row to be cleared prior to the display of the newly received character and any sub- sequent characters. Receipt of a jus- tification command which changes the last received justification for a given window will cause the window to be cleared.
(2) At a minimum, decoders must support LEFTlTOlRIGHT printing.
(3) At a minimum, decoders must support BOTTOMlTOlTOP scrolling. For windows sharing the same hori- zontal scan lines on the display, scrolling may be disabled.
(4) At a minimum, decoders must support the same recommended prac- tices for scroll rate as is provided for NTSC closed-captioning.
(5) At a minimum, decoders must support the same recommended prac- tices for smooth scrolling as is pro- vided for NTSC closed-captioning.
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(6) At a minimum, decoders must im- plement the ‘‘snap’’ window display ef- fect. If the window ‘‘fade’’ and ‘‘wipe’’ effects are not implemented, then the decoder will ‘‘snap’’ all windows when they are to be displayed, and the ‘‘ef- fect speed’’ parameter is ignored.
(h) Window colors and borders. At a minimum, decoders must implement borderless windows with solid, black backgrounds (i.e., border type = NONE, fill color = (0,0,0), fill opacity =
SOLID), and borderless transparent windows (i.e., border type = NONE, fill opacity = TRANSPARENT).
(i) Predefined window and pen styles. Predefined Window Style and Pen Style ID’s may be provided in the DefineWindow command. At a min- imum, decoders should implement Predefined Window Attribute Style 1 and Predefined Pen Attribute Style 1, as shown in Table 4 and Table 5, respec- tively.
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Federal Communications Commission § 15.122
(j) Pen size. (1) Decoders must support the standard, large, and small pen sizes and must allow the caption provider to choose a pen size and allow the viewer to choose an alternative size. The STANDARD pen size should be imple- mented such that the height of the tallest character in any implemented font is no taller than 1⁄15 of the height of the safe-title area, and the width of the widest character is no wider than 1⁄32 of the width of the safe-title area for 4:3 displays and 1⁄42 of the safe-title area width for 16:9 displays.
(2) The LARGE pen size should be im- plemented such that the width of the widest character in any implemented font is no wider than 1⁄32 of the safe- title area for 16:9 displays. This rec- ommendation allows for captions to grow to a LARGE pen size without hav- ing to reformat the caption since no caption will have more than 32 char- acters per row.
(k) Font styles. (1) Decoders must sup- port the eight fonts listed below. Cap- tion providers may specify 1 of these 8 font styles to be used to write caption text. The styles specified in the ‘‘font style’’ parameter of the SetPenAttributes command are num- bered from 0 through 7. The following is a list of the 8 required font styles. For information purposes only, each font style references one or more pop- ular fonts which embody the character- istics of the style:
(i) 0—Default (undefined) (ii) 1—Monospaced with serifs (simi-
lar to Courier) (iii) 2—Proportionally spaced with
serifs (similar to Times New Roman) (iv) 3—Monospaced without serifs
(similar to Helvetica Monospaced) (v) 4—Proportionally spaced without
serifs (similar to Arial and Swiss) (vi) 5—Casual font type (similar to
Dom and Impress) (vii) 6—Cursive font type (similar to
Coronet and Marigold) (viii) 7—Small capitals (similar to
Engravers Gothic) (2) Font styles may be implemented
in any typeface which the decoder manufacturer deems to be a readable rendition of the font style, and need not be in the exact typefaces given in the example above. Decoders must in- clude the ability for consumers to
choose among the eight fonts. The de- coder must display the font chosen by the caption provider unless the viewer chooses a different font.
(l) Character offsetting. Decoders need not implement the character offsetting (i.e., subscript and superscript) pen at- tributes.
(m) Pen styles. At a minimum, decod- ers must implement normal, italic, and underline pen styles.
(n) Foreground color and opacity. (1) At a minimum, decoders must imple- ment transparent, translucent, solid and flashing character foreground type attributes.
(2) At a minimum, decoders must im- plement the following character fore- ground colors: white, black, red, green, blue, yellow, magenta and cyan.
(3) Caption providers may specify the color/opacity. Decoders must include the ability for consumers to choose among the color/opacity options. The decoder must display the color/opacity chosen by the caption provider unless the viewer chooses otherwise.
(o) Background color and opacity. (1) Decoders must implement the fol- lowing background colors: white, black, red, green, blue, yellow, ma- genta and cyan. It is recommended that this background is extended be- yond the character foreground to a de- gree that the foreground is separated from the underlying video by a suffi- cient number of background pixels to insure the foreground is separated from the background.
(2) Decoders must implement trans- parent, translucent, solid and flashing background type attributes. Caption providers may specify the color/opac- ity. Decoders must include the ability for consumers to choose among the color/opacity options. The decoder must display the color/opacity chosen by the caption provider unless the viewer chooses otherwise.
(p) Character edges. Decoders must implement separate edge color and type attribute control.
(q) Color representation. (1) At a minimum, decoders must support the 8 colors listed in Table 6.
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47 CFR Ch. I (10–1–10 Edition)§ 15.122
TABLE 6—MINIMUM COLOR LIST TABLE
Color Red Green Blue
Black .......................................... 0 0 0 White ......................................... 2 2 2 Red ............................................ 2 0 0 Green ......................................... 0 2 0 Blue ........................................... 0 0 2 Yellow ........................................ 2 2 0 Magenta ..................................... 2 0 2 Cyan .......................................... 0 2 2
(2)(i) When a decoder supporting this Minimum Color List receives an RGB value not in the list, it will map the re- ceived value to one of the values in the list via the following algorithm:
(A) All one (1) values are to be changed to 0.
(B) All two (2) values are to remain unchanged.
(C) All three (3) values are to be changed to 2.
(ii) For example, the RGB value (1,2,3) will be mapped to (0,2,2), (3,3,3) will be mapped to (2,2,2) and (1,1,1) will be mapped to (0,0,0).
(3) Table 7 is an alternative minimum color list table supporting 22 colors.
TABLE 7—ALTERNATIVE MINIMUM COLOR LIST TABLE
Color Red Green Blue
Black .......................................... 0 0 0 Gray ........................................... 1 1 1 White ......................................... 2 2 2 Bright White ............................... 3 3 3 Dark Red ................................... 1 0 0 Red ............................................ 2 0 0 Bright Red ................................. 3 0 0 Dark Green ................................ 0 1 0 Green ......................................... 0 2 0 Bright Green .............................. 0 3 0 Dark Blue ................................... 0 0 1 Blue ........................................... 0 0 2 Bright Blue ................................. 0 0 3 Dark Yellow ............................... 1 1 0 Yellow ........................................ 2 2 0 Bright Yellow ............................. 3 3 0 Dark Magenta ............................ 1 0 1 Magenta ..................................... 2 0 2 Bright Magenta .......................... 3 0 3 Dark Cyan ................................. 0 1 1 Cyan .......................................... 0 2 2 Bright Cyan ................................ 0 3 3
(i) When a decoder supporting the Al- ternative Minimum Color List in Table 7 receives an RGB value not in the list (i.e., an RGB value whose non-zero ele- ments are not the same value), it will map the received value to one of the values in the list via the following al- gorithm:
(A) For RGB values with all elements non-zero and different—e.g., (1,2,3), (3,2,1), and (2,1,3), the 1 value will be changed to 0, the 2 value will remain unchanged, and the 3 value will be changed to 2.
(B) For RGB values with all elements non-zero and with two common ele- ments—e.g. (3,1,3), (2,1,2), and (2,2,3), if the common elements are 3 and the un- common one is 1, then the 1 elements is changed to 0; e.g. (3,1,3) → (3,0,3). If the common elements are 1 and the uncom- mon element is 3, then the 1 elements are changed to 0, and the 3 element is changed to 2; e.g. (1,3,1) → (0,2,0). In all other cases, the uncommon element is changed to the common value; e.g., (2,2,3) → (2,2,2), (1,2,1) → (1,1,1), and (3,2,3) → (3,3,3).
(ii) All decoders not supporting ei- ther one of the two color lists described above, must support the full 64 possible RGB color value combinations.
(r) Character rendition considerations. In NTSC Closed Captioning, decoders were required to insert leading and trailing spaces on each caption row. There were two reasons for this re- quirement:
(1) To provide a buffer so that the first and last characters of a caption row do not fall outside the safe title area, and
(2) To provide a black border on each side of a character so that the ‘‘white’’ leading pixels of the first character on a row and the trailing ‘‘white’’ pixels of the last character on a row do not bleed into the underlying video.
(i) Since caption windows are re- quired to reside in the safe title area of the DTV screen, reason 1 (above) is not applicable to DTVCC captions.
(ii) The attributes available in the SetPenAttributes command for char- acter rendition (e.g., character back- ground and edge attributes) provide un- limited flexibility to the caption pro- vider when describing caption text in an ideal decoder implementation. How- ever, manufacturers need not imple- ment all pen attributes. Thus it is rec- ommended that no matter what the level of implementation, decoder man- ufacturers should take into account the readability of all caption text against a variety of all video back- grounds, and should implement some
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Federal Communications Commission § 15.123
automatic character delineation when the individual control of character foreground, background and edge is not supported.
(s) Service synchronization. Service Input Buffers must be at least 128 bytes in size. Caption providers must keep this lower limit in mind when fol- lowing Delay commands with other commands and window text. In other words, no more than 128 bytes of DTVCC commands and text should be transmitted (encoded) before a pending Delay command’s delay interval ex- pires.
(t) Settings. Decoders must include an option that permits a viewer to choose a setting that will display captions as intended by the caption provider (a de- fault). Decoders must also include an option that allows a viewer’s chosen settings to remain until the viewer chooses to alter these settings, includ- ing periods when the television is turned off.
[65 FR 58471, Sept. 29, 2000, as amended at 69 FR 2849, Jan. 21, 2004]
§ 15.123 Labeling of digital cable ready products.
(a) The requirements of this section shall apply to unidirectional digital cable products. Unidirectional digital cable products are one-way devices that accept a Point of Deployment module (POD) and which include, but are not limited to televisions, set-top- boxes and recording devices connected to digital cable systems. Unidirectional digital cable products do not include interactive two-way dig- ital television products.
(b) A unidirectional digital cable product may not be labeled with or marketed using the term ‘‘digital cable ready,’’ or other terminology that de- scribes the device as ‘‘cable ready’’ or ‘‘cable compatible,’’ or otherwise indi- cates that the device accepts a POD or conveys the impression that the device is compatible with digital cable service unless it implements at a minimum the following features:
(1) Tunes NTSC analog channels transmitted in-the-clear.
(2) Tunes digital channels that are transmitted in compliance with SCTE 40 2003 (formerly DVS 313): ‘‘Digital Cable Network Interface Standard’’ (in-
corporated by reference, see § 15.38), provided, however, that with respect to Table B.11 of that standard, the phase noise requirement shall be –86 dB/Hz in- cluding both in-the-clear channels and channels that are subject to condi- tional access.
(3) Allows navigation of channels based on channel information (virtual channel map and source names) pro- vided through the cable system in com- pliance with ANSI/SCTE 65 2002 (for- merly DVS 234): ‘‘Service Information Delivered Out-of-Band for Digital Cable Television’’ (incorporated by reference, see § 15.38), and/or PSIP-enabled naviga- tion (ANSI/SCTE 54 2003 (formerly DVS 241): ‘‘Digital Video Service Multiplex and Transport System Standard for Cable Television’’ (incorporated by ref- erence, see § 15.38)).
(4) Includes the POD-Host Interface specified in SCTE 28 2003 (formerly DVS 295): ‘‘Host-POD Interface Stand- ard’’ (incorporated by reference, see § 15.38), and SCTE 41 2003 (formerly DVS 301): ‘‘POD Copy Protection Sys- tem’’ (incorporated by reference, see § 15.38), or implementation of a more advanced POD-Host Interface based on successor standards. Support for Inter- net protocol flows is not required.
(5) Responds to emergency alerts that are transmitted in compliance with ANSI/SCTE 54 2003 (formerly DVS 241): ‘‘Digital Video Service Multiplex and Transport System Standard for Cable Television’’ (incorporated by ref- erence, see § 15.38).
(6) In addition to the requirements of paragraphs (b)(1) through (5) of this section, a unidirectional digital cable television may not be labeled or mar- keted as digital cable ready or with other terminology as described in para- graph (b) of this section, unless it in- cludes a DTV broadcast tuner as set forth in § 15.117(i) and employs at least one specified interface in accordance with the following schedule:
(i) For 480p grade unidirectional dig- ital cable televisions, either a DVI/ HDCP, HDMI/HDCP, or 480p Y,Pb,Pr interface:
(A) Models with screen sizes 36 inches and above: 50% of a manufacturer’s or importer’s models manufactured or im- ported after July 1, 2004; 100% of such
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models manufactured or imported after July 1, 2005.
(B) Models with screen sizes 32 to 35 inches: 50% of a manufacturer’s or im- porter’s models manufactured or im- ported after July 1, 2005; 100% of such models manufactured or imported after July 1, 2006.
(ii) For 720p/1080i grade unidirectional digital cable televisions, either a DVI/HDCP or HDMI/HDCP interface:
(A) Models with screen sizes 36 inches and above: 50% of a manufacturer’s or importer’s models manufactured or im- ported after July 1, 2004; 100% of such models manufactured or imported after July 1, 2005.
(B) Models with screen sizes 25 to 35 inches: 50% of a manufacturer’s or im- porter’s models manufactured or im- ported after July 1, 2005; 100% of such models manufactured or imported after July l, 2006.
(C) Models with screen sizes 13 to 24 inches: 100% of a manufacturer’s or im- porter’s models manufactured or im- ported after July 1, 2007.
(c) Before a manufacturer’s or im- porter’s first unidirectional digital cable product may be labeled or mar- keted as digital cable ready or with other terminology as described in para- graph (b) of this section, the manufac- turer or importer shall verify the de- vice as follows:
(1) The manufacturer or importer shall have a sample of its first model of a unidirectional digital cable product tested to show compliance with the procedures set forth in Uni-Dir-PICS- I01-030903: ‘‘Uni-Directional Receiving Device: Conformance Checklist: PICS Proforma’’ (incorporated by reference, see § 15.38) at a qualified test facility. The manufacturer or importer shall have any modifications to the product to correct failures of the procedures in Uni-Dir-PICS-I01-030903: ‘‘Uni-Direc- tional Receiving Device: Conformance Checklist: PICS Proforma’’ (incor- porated by reference, see § 15.38) re- tested at a qualified test facility.
(2) A qualified test facility is a facil- ity representing cable television sys- tem operators serving a majority of the cable television subscribers in the United States or an independent lab- oratory with personnel knowledgeable
with respect to the standards ref- erenced in paragraph (b) of this section concerning the procedures set forth in Uni-Dir-PICS-I01-030903: ‘‘Uni-Direc- tional Receiving Device: Conformance Checklist: PICS Proforma’’ (incor- porated by reference, see § 15.38).
(3) Subsequent to the testing of its initial unidirectional digital cable product model, a manufacturer or im- porter is not required to have other models of unidirectional digital cable products tested at a qualified test fa- cility for compliance with the proce- dures of Uni-Dir-PICS-I01-030903: ‘‘Uni- Directional Receiving Device: Con- formance Checklist: PICS Proforma’’ (incorporated by reference, see § 15.38). However, the manufacturer or importer shall ensure that all subsequent models of unidirectional digital cable products comply with the procedures in the Uni- Dir-PICS-I01-030903: ‘‘Uni-Directional Receiving Device: Conformance Check- list: PICS Proforma’’ (incorporated by reference, see § 15.38) and all other ap- plicable rules and standards. The man- ufacturer or importer shall maintain records indicating such compliance in accordance with the verification proce- dure requirements in part 2, subpart J of this chapter. The manufacturer or importer shall further submit docu- mentation verifying compliance with the procedures in the Uni-Dir-PICS-I01- 030903: ‘‘Uni-Directional Receiving De- vice: Conformance Checklist: PICS Proforma’’ (incorporated by reference, see § 15.38) to a facility representing cable television system operators serv- ing a majority of the cable television subscribers in the United States.
(d) Manufacturers and importers shall provide in appropriate post-sale material that describes the features and functionality of the product, such as the owner’s guide, the following lan- guage: ‘‘This digital television is capa- ble of receiving analog basic, digital basic and digital premium cable tele- vision programming by direct connec- tion to a cable system providing such programming. A security card provided by your cable operator is required to view encrypted digital programming.
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Federal Communications Commission § 15.201
Certain advanced and interactive dig- ital cable services such as video-on-de- mand, a cable operator’s enhanced pro- gram guide and data-enhanced tele- vision services may require the use of a set-top box. For more information call your local cable operator.’’
[68 FR 66733, Nov. 28, 2003]
§ 15.124 DTV transition notices by manufacturers of televisions and related devices.
(a) Television receivers and related devices manufactured between April 1, 2009, and June 30, 2009, must include no- tices about the digital television (DTV) transition. Related devices covered by this requirement: All television broad- cast receivers as defined in § 15.3(w); TV interface devices as defined in § 15.3(y); devices that record and/or display sig- nals received from television broadcast receivers; and set-top boxes available for sale at retail that receive video pro- gramming provided by multi-channel video programming distributors.
(b) The notices required under para- graph (a) of this section must:
(1) Be in clear and conspicuous print; (2) Convey at least the following in-
formation about the DTV transition: (i) The nationwide switch to digital
television broadcasting will be com- plete on June 12, 2009, but your local television stations may switch sooner. After the switch, analog-only tele- vision sets that receive TV program- ming through an antenna will need a converter box to continue to receive over-the-air TV. Watch your local sta- tions to find out when they will turn off their analog signal and switch to digital-only broadcasting. Analog-only TVs should continue to work as before to receive low power, Class A or trans- lator television stations and with cable and satellite TV services, gaming con- soles, VCRs, DVD players, and similar products.
(ii) Information about the DTV tran- sition is available from your local tele- vision stations, http://www.DTV.gov, or 1–888–CALL–FCC (TTY 1–888–TELL– FCC), and from http://www.dtv2009.gov or 1–888–DTV–2009 (TTY 1–877–530–2634) for information about subsidized cou- pons for digital-to-analog converter boxes; and
(3) Explain clearly what effect, if any, the DTV transition will have on the use of the receiver or related de- vice, including any limitations or re- quirements associated with connecting a related device to a DTV receiver.
(c) This notice requirement applies to all responsible parties, as defined in § 2.909 of this chapter.
[73 FR 28732, May 19, 2008, as amended at 74 FR 8878, Feb. 27, 2009]
Subpart C—Intentional Radiators § 15.201 Equipment authorization re-
quirement. (a) Intentional radiators operated as
carrier current systems, devices oper- ated under the provisions of §§ 15.211, 15.213, and 15.221, and devices operating below 490 kHz in which all emissions are at least 40 dB below the limits in § 15.209 shall be verified pursuant to the procedures in Subpart J of part 2 of this chapter prior to marketing.
(b) Except as otherwise exempted in paragraph (c) of this section and in § 15.23 of this part, all intentional radi- ators operating under the provisions of this part shall be certificated by the Commission pursuant to the proce- dures in subpart J of part 2 of this chapter prior to marketing.
(c) For devices such as perimeter pro- tection systems which, in accordance with § 15.31(d), are required to be meas- ured at the installation site, each ap- plication for certification must be ac- companied by a statement indicating that the system has been tested at three installations and found to com- ply at each installation. Until such time as certification is granted, a given installation of a system that was measured for the submission for cer- tification will be considered to be in compliance with the provisions of this chapter, including the marketing regu- lations in subpart I of part 2 of this chapter, if tests at that installation show the system to be in compliance with the relevant technical require- ments. Similarly, where measurements must be performed on site for equip- ment subject to verification, a given installation that has been verified to demonstrate compliance with the ap- plicable standards will be considered to be in compliance with the provisions of
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this chapter, including the marketing regulations in subpart I of part 2 of this chapter.
(d) For perimeter protection systems operating in the frequency bands allo- cated to television broadcast stations operating under part 73 of this chapter, the holder of the grant of certification must test each installation prior to ini- tiation of normal operation to verify compliance with the technical stand- ards and must maintain a list of all in- stallations and records of measure- ments. For perimeter protection sys- tems operating outside of the fre- quency bands allocated to television broadcast stations, upon receipt of a grant of certification, further testing of the same or similar type of system or installation is not required.
[54 FR 17714, Apr. 25, 1989, as amended at 68 FR 68546, Dec. 9, 2003]
§ 15.202 Certified operating frequency range.
Client devices that operate in a mas- ter/client network may be certified if they have the capability of operating outside permissible part 15 frequency bands, provided they operate on only permissible part 15 frequencies under the control of the master device with which they communicate. Master de- vices marketed within the United States must be limited to operation on permissible part 15 frequencies. Client devices that can also act as master de- vices must meet the requirements of a master device. For the purposes of this section, a master device is defined as a device operating in a mode in which it has the capability to transmit without receiving an enabling signal. In this mode it is able to select a channel and initiate a network by sending enabling signals to other devices. A network al- ways has at least one device operating in master mode. A client device is de- fined as a device operating in a mode in which the transmissions of the device are under control of the master. A de- vice in client mode is not able to ini- tiate a network.
[70 FR 23040, May 4, 2005]
§ 15.203 Antenna requirement. An intentional radiator shall be de-
signed to ensure that no antenna other
than that furnished by the responsible party shall be used with the device. The use of a permanently attached an- tenna or of an antenna that uses a unique coupling to the intentional ra- diator shall be considered sufficient to comply with the provisions of this sec- tion. The manufacturer may design the unit so that a broken antenna can be replaced by the user, but the use of a standard antenna jack or electrical connector is prohibited. This require- ment does not apply to carrier current devices or to devices operated under the provisions of § 15.211, § 15.213, § 15.217, § 15.219, or § 15.221. Further, this requirement does not apply to inten- tional radiators that must be profes- sionally installed, such as perimeter protection systems and some field dis- turbance sensors, or to other inten- tional radiators which, in accordance with § 15.31(d), must be measured at the installation site. However, the installer shall be responsible for ensuring that the proper antenna is employed so that the limits in this part are not exceed- ed.
[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 28762, July 13, 1990]
§ 15.204 External radio frequency power amplifiers and antenna modifications.
(a) Except as otherwise described in paragraphs (b) and (d) of this section, no person shall use, manufacture, sell or lease, offer for sale or lease (includ- ing advertising for sale or lease), or im- port, ship, or distribute for the purpose of selling or leasing, any external radio frequency power amplifier or amplifier kit intended for use with a part 15 in- tentional radiator.
(b) A transmission system consisting of an intentional radiator, an external radio frequency power amplifier, and an antenna, may be authorized, mar- keted and used under this part. Except as described otherwise in this section, when a transmission system is author- ized as a system, it must always be marketed as a complete system and must always be used in the configura- tion in which it was authorized.
(c) An intentional radiator may be operated only with the antenna with which it is authorized. If an antenna is
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marketed with the intentional radi- ator, it shall be of a type which is au- thorized with the intentional radiator. An intentional radiator may be author- ized with multiple antenna types.
(1) The antenna type, as used in this paragraph, refers to antennas that have similar in-band and out-of-band radiation patterns.
(2) Compliance testing shall be per- formed using the highest gain antenna for each type of antenna to be certified with the intentional radiator. During this testing, the intentional radiator shall be operated at its maximum available output power level.
(3) Manufacturers shall supply a list of acceptable antenna types with the application for equipment authoriza- tion of the intentional radiator.
(4) Any antenna that is of the same type and of equal or less directional gain as an antenna that is authorized with the intentional radiator may be marketed with, and used with, that in- tentional radiator. No retesting of this system configuration is required. The marketing or use of a system configu- ration that employs an antenna of a different type, or that operates at a higher gain, than the antenna author- ized with the intentional radiator is not permitted unless the procedures specified in § 2.1043 of this chapter are followed.
(d) Except as described in this para- graph, an external radio frequency power amplifier or amplifier kit shall be marketed only with the system con-
figuration with which it was approved and not as a separate product.
(1) An external radio frequency power amplifier may be marketed for indi- vidual sale provided it is intended for use in conjunction with a transmitter that operates in the 902–928 MHz, 2400– 2483.5 MHz, and 5725–5850 MHz bands pursuant to § 15.247 of this part or a transmitter that operates in the 5.725– 5.825 GHz band pursuant to § 15.407 of this part. The amplifier must be of a design such that it can only be con- nected as part of a system in which it has been previously authorized. (The use of a non-standard connector or a form of electronic system identifica- tion is acceptable.) The output power of such an amplifier must not exceed the maximum permitted output power of its associated transmitter.
(2) The outside packaging and user manual for external radio frequency power amplifiers sold in accordance with paragraph (d)(1) of this section must include notification that the am- plifier can be used only in a system which it has obtained authorization. Such a notice must identify the au- thorized system by FCC Identifier.
[69 FR 54034, Sept. 7, 2004]
§ 15.205 Restricted bands of operation.
(a) Except as shown in paragraph (d) of this section, only spurious emissions are permitted in any of the frequency bands listed below:
MHz MHz MHz GHz
0.090–0.110 ....................................................... 16.42–16.423 399.9–410 4.5–5.15 1 0.495–0.505 .................................................... 16.69475–16.69525 608–614 5.35–5.46 2.1735–2.1905 ................................................... 16.80425–16.80475 960–1240 7.25–7.75 4.125–4.128 ....................................................... 25.5–25.67 1300–1427 8.025–8.5 4.17725–4.17775 ............................................... 37.5–38.25 1435–1626.5 9.0–9.2 4.20725–4.20775 ............................................... 73–74.6 1645.5–1646.5 9.3–9.5 6.215–6.218 ....................................................... 74.8–75.2 1660–1710 10.6–12.7 6.26775–6.26825 ............................................... 108–121.94 1718.8–1722.2 13.25–13.4 6.31175–6.31225 ............................................... 123–138 2200–2300 14.47–14.5 8.291–8.294 ....................................................... 149.9–150.05 2310–2390 15.35–16.2 8.362–8.366 ....................................................... 156.52475–156.52525 2483.5–2500 17.7–21.4 8.37625–8.38675 ............................................... 156.7–156.9 2690–2900 22.01–23.12 8.41425–8.41475 ............................................... 162.0125–167.17 3260–3267 23.6–24.0 12.29–12.293 ..................................................... 167.72–173.2 3332–3339 31.2–31.8 12.51975–12.52025 ........................................... 240–285 3345.8–3358 36.43–36.5 12.57675–12.57725 ........................................... 322–335.4 3600–4400 (2) 13.36–13.41.
1 Until February 1, 1999, this restricted band shall be 0.490–0.510 MHz. 2 Above 38.6
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(b) Except as provided in paragraphs (d) and (e) of this section, the field strength of emissions appearing within these frequency bands shall not exceed the limits shown in § 15.209. At fre- quencies equal to or less than 1000 MHz, compliance with the limits in § 15.209 shall be demonstrated using measurement instrumentation employ- ing a CISPR quasi-peak detector. Above 1000 MHz, compliance with the emission limits in § 15.209 shall be dem- onstrated based on the average value of the measured emissions. The provisions in § 15.35 apply to these measurements.
(c) Except as provided in paragraphs (d) and (e) of this section, regardless of the field strength limits specified else- where in this subpart, the provisions of this section apply to emissions from any intentional radiator.
(d) The following devices are exempt from the requirements of this section:
(1) Swept frequency field disturbance sensors operating between 1.705 and 37 MHz provided their emissions only sweep through the bands listed in para- graph (a) of this section, the sweep is never stopped with the fundamental emission within the bands listed in paragraph (a) of this section, and the fundamental emission is outside of the bands listed in paragraph (a) of this section more than 99% of the time the device is actively transmitting, with- out compensation for duty cycle.
(2) Transmitters used to detect bur- ied electronic markers at 101.4 kHz which are employed by telephone com- panies.
(3) Cable locating equipment oper- ated pursuant to § 15.213.
(4) Any equipment operated under the provisions of §§ 15.253, 15.255 or 15.257.
(5) Biomedical telemetry devices op- erating under the provisions of § 15.242 of this part are not subject to the re- stricted band 608–614 MHz but are sub- ject to compliance within the other re- stricted bands.
(6) Transmitters operating under the provisions of subparts D or F of this part.
(7) Devices operated pursuant to § 15.225 are exempt from complying with this section for the 13.36–13.41 MHz band only.
(8) Devices operated in the 24.075– 24.175 GHz band under § 15.245 are ex- empt from complying with the require- ments of this section for the 48.15–48.35 GHz and 72.225–72.525 GHz bands only, and shall not exceed the limits speci- fied in § 15.245(b).
(9) Devices operated in the 24.0–24.25 GHz band under § 15.249 are exempt from complying with the requirements of this section for the 48.0–48.5 GHz and 72.0–72.75 GHz bands only, and shall not exceed the limits specified in § 15.249(a).
(e) Harmonic emissions appearing in the restricted bands above 17.7 GHz from field disturbance sensors oper- ating under the provisions of § 15.245 shall not exceed the limits specified in § 15.245(b).
[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 46791, Nov. 7, 1990; 56 FR 6288, Feb. 15, 1991; 57 FR 13048, Apr. 15, 1992; 58 FR 33774, June 21, 1993; 60 FR 28068, May 30, 1995; 61 FR 14503, Apr. 2, 1996; 62 FR 4655, Jan. 31, 1997; 62 FR 58658, Oct. 30, 1997; 67 FR 34855, May 16, 2002; 68 FR 68546, Dec. 9, 2003; 69 FR 3265, Jan. 23, 2004; 69 FR 72031, Dec. 10, 2004]
§ 15.207 Conducted limits. (a) Except as shown in paragraphs (b)
and (c) of this section, for an inten- tional radiator that is designed to be connected to the public utility (AC) power line, the radio frequency voltage that is conducted back onto the AC power line on any frequency or fre- quencies, within the band 150 kHz to 30 MHz, shall not exceed the limits in the following table, as measured using a 50 μH/50 ohms line impedance stabiliza- tion network (LISN). Compliance with the provisions of this paragraph shall be based on the measurement of the radio frequency voltage between each power line and ground at the power ter- minal. The lower limit applies at the boundary between the frequency ranges.
Frequency of emis- sion (MHz)
Conducted limit (dBμV)
Quasi-peak Average
0.15–0.5 ................... 66 to 56* ............. 56 to 46* 0.5–5 ........................ 56 ....................... 46 5–30 ......................... 60 ....................... 50
*Decreases with the logarithm of the frequency.
(b) The limit shown in paragraph (a) of this section shall not apply to car- rier current systems operating as in- tentional radiators on frequencies
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below 30 MHz. In lieu thereof, these carrier current systems shall be sub- ject to the following standards:
(1) For carrier current system con- taining their fundamental emission within the frequency band 535–1705 kHz and intended to be received using a standard AM broadcast receiver: no limit on conducted emissions.
(2) For all other carrier current sys- tems: 1000 μV within the frequency band 535–1705 kHz, as measured using a 50 μH/50 ohms LISN.
(3) Carrier current systems operating below 30 MHz are also subject to the ra- diated emission limits in § 15.205, § 15.209, § 15.221, § 15.223, or § 15.227, as ap- propriate.
(c) Measurements to demonstrate compliance with the conducted limits are not required for devices which only employ battery power for operation and which do not operate from the AC power lines or contain provisions for operation while connected to the AC power lines. Devices that include, or make provisions for, the use of battery chargers which permit operating while charging, AC adapters or battery elimi- nators or that connect to the AC power lines indirectly, obtainig their power through another device which is con- nected to the AC power lines, shall be tested to demonstrate compliance with the conducted limits.
[54 FR 17714, Apr. 25, 1989, as amended at 56 FR 373, Jan. 4, 1991; 57 FR 33448, July 29, 1992; 58 FR 51249, Oct. 1, 1993; 67 FR 45671, July 10, 2002]
§ 15.209 Radiated emission limits; gen- eral requirements.
(a) Except as provided elsewhere in this subpart, the emissions from an in- tentional radiator shall not exceed the field strength levels specified in the following table:
Frequency (MHz) Field strength(microvolts/meter)
Measure- ment dis-
tance (meters)
0.009–0.490 ................... 2400/F(kHz) 300 0.490–1.705 ................... 24000/F(kHz) 30 1.705–30.0 ..................... 30 30 30–88 ............................. 100 ** 3 88–216 ........................... 150 ** 3 216–960 ......................... 200 ** 3
Frequency (MHz) Field strength(microvolts/meter)
Measure- ment dis-
tance (meters)
Above 960 ..................... 500 3
** Except as provided in paragraph (g), fundamental emis- sions from intentional radiators operating under this section shall not be located in the frequency bands 54–72 MHz, 76– 88 MHz, 174–216 MHz or 470–806 MHz. However, operation within these frequency bands is permItted under other sec- tions of this part, e.g., §§ 15.231 and 15.241.
(b) In the emission table above, the tighter limit applies at the band edges.
(c) The level of any unwanted emis- sions from an intentional radiator op- erating under these general provisions shall not exceed the level of the funda- mental emission. For intentional radi- ators which operate under the provi- sions of other sections within this part and which are required to reduce their unwanted emissions to the limits speci- fied in this table, the limits in this table are based on the frequency of the unwanted emission and not the funda- mental frequency. However, the level of any unwanted emissions shall not exceed the level of the fundamental frequency.
(d) The emission limits shown in the above table are based on measurements employing a CISPR quasi-peak detec- tor except for the frequency bands 9–90 kHz, 110–490 kHz and above 1000 MHz. Radiated emission limits in these three bands are based on measurements em- ploying an average detector.
(e) The provisions in §§ 15.31, 15.33, and 15.35 for measuring emissions at distances other than the distances specified in the above table, deter- mining the frequency range over which radiated emissions are to be measured, and limiting peak emissions apply to all devices operated under this part.
(f) In accordance with § 15.33(a), in some cases the emissions from an in- tentional radiator must be measured to beyond the tenth harmonic of the high- est fundamental frequency designed to be emitted by the intentional radiator because of the incorporation of a dig- ital device. If measurements above the tenth harmonic are so required, the ra- diated emissions above the tenth har- monic shall comply with the general radiated emission limits applicable to the incorporated digital device, as shown in § 15.109 and as based on the
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frequency of the emission being meas- ured, or, except for emissions con- tained in the restricted frequency bands shown in § 15.205, the limit on spurious emissions specified for the in- tentional radiator, whichever is the higher limit. Emissions which must be measured above the tenth harmonic of the highest fundamental frequency de- signed to be emitted by the intentional radiator and which fall within the re- stricted bands shall comply with the general radiated emission limits in § 15.109 that are applicable to the incor- porated digital device.
(g) Perimeter protection systems may operate in the 54–72 MHz and 76–88 MHz bands under the provisions of this section. The use of such perimeter pro- tection systems is limited to indus- trial, business and commercial applica- tions.
[54 FR 17714, Apr. 25, 1989; 54 FR 32339, Aug. 7, 1989; 55 FR 18340, May 2, 1990; 62 FR 58658, Oct. 30, 1997]
§ 15.211 Tunnel radio systems. An intentional radiator utilized as
part of a tunnel radio system may op- erate on any frequency provided it meets all of the following conditions:
(a) Operation of a tunnel radio sys- tem (intentional radiator and all con- necting wires) shall be contained solely within a tunnel, mine or other struc- ture that provides attenuation to the radiated signal due to the presence of naturally surrounding earth and/or water.
(b) Any intentional or unintentional radiator external to the tunnel, mine or other structure, as described in paragraph (a) of this section, shall be subject to the other applicable regula- tions contained within this part.
(c) The total electromagnetic field from a tunnel radio system on any fre- quency or frequencies appearing out- side of the tunnel, mine or other struc- ture described in paragraph (a) of this section, shall not exceed the limits shown in § 15.209 when measured at the specified distance from the surrounding structure, including openings. Par- ticular attention shall be paid to the emissions from any opening in the structure to the outside environment. When measurements are made from the openings, the distances shown in
§ 15.209 refer to the distance from the plane of reference which fits the entire perimeter of each above ground open- ing.
(d) The conducted limits in § 15.207 apply to the radiofrequency voltage on the public utility power lines outside of the tunnel.
§ 15.212 Modular transmitters.
(a) Single modular transmitters con- sist of a completely self-contained ra- diofrequency transmitter device that is typically incorporated into another product, host or device. Split modular transmitters consist of two compo- nents: a radio front end with antenna (or radio devices) and a transmitter control element (or specific hardware on which the software that controls the radio operation resides). All single or split modular transmitters are ap- proved with an antenna. All of the fol- lowing requirements apply, except as provided in paragraph (b) of this sec- tion.
(1) Single modular transmitters must meet the following requirements to ob- tain a modular transmitter approval.
(i) The radio elements of the modular transmitter must have their own shielding. The physical crystal and tuning capacitors may be located ex- ternal to the shielded radio elements.
(ii) The modular transmitter must have buffered modulation/data inputs (if such inputs are provided) to ensure that the module will comply with part 15 requirements under conditions of ex- cessive data rates or over-modulation.
(iii) The modular transmitter must have its own power supply regulation.
(iv) The modular transmitter must comply with the antenna and trans- mission system requirements of §§ 15.203, 15.204(b) and 15.204(c). The an- tenna must either be permanently at- tached or employ a ‘‘unique’’ antenna coupler (at all connections between the module and the antenna, including the cable). The ‘‘professional installation’’ provision of § 15.203 is not applicable to modules but can apply to limited mod- ular approvals under paragraph (b) of this section.
(v) The modular transmitter must be tested in a stand-alone configuration,
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i.e., the module must not be inside an- other device during testing for compli- ance with part 15 requirements. Unless the transmitter module will be battery powered, it must comply with the AC line conducted requirements found in § 15.207. AC or DC power lines and data input/output lines connected to the module must not contain ferrites, un- less they will be marketed with the module (see § 15.27(a)). The length of these lines shall be the length typical of actual use or, if that length is un- known, at least 10 centimeters to in- sure that there is no coupling between the case of the module and supporting equipment. Any accessories, periph- erals, or support equipment connected to the module during testing shall be unmodified and commercially available (see § 15.31(i)).
(vi) The modular transmitter must be equipped with either a permanently af- fixed label or must be capable of elec- tronically displaying its FCC identi- fication number.
(A) If using a permanently affixed label, the modular transmitter must be labeled with its own FCC identification number, and, if the FCC identification number is not visible when the module is installed inside another device, then the outside of the device into which the module is installed must also display a label referring to the enclosed module. This exterior label can use wording such as the following: ‘‘Contains Trans- mitter Module FCC ID: XYZMODEL1’’ or ‘‘Contains FCC ID: XYZMODEL1.’’ Any similar wording that expresses the same meaning may be used. The Grant- ee may either provide such a label, an example of which must be included in the application for equipment author- ization, or, must provide adequate in- structions along with the module which explain this requirement. In the latter case, a copy of these instructions must be included in the application for equipment authorization.
(B) If the modular transmitter uses an electronic display of the FCC identi- fication number, the information must be readily accessible and visible on the modular transmitter or on the device in which it is installed. If the module is installed inside another device, then the outside of the device into which the module is installed must display a
label referring to the enclosed module. This exterior label can use wording such as the following: ‘‘Contains FCC certified transmitter module(s).’’ Any similar wording that expresses the same meaning may be used. The user manual must include instructions on how to access the electronic display. A copy of these instructions must be in- cluded in the application for equipment authorization.
(vii) The modular transmitter must comply with any specific rules or oper- ating requirements that ordinarily apply to a complete transmitter and the manufacturer must provide ade- quate instructions along with the mod- ule to explain any such requirements. A copy of these instructions must be included in the application for equip- ment authorization.
(viii) The modular transmitter must comply with any applicable RF expo- sure requirements in its final configu- ration.
(2) Split modular transmitters must meet the requirements in paragraph (a)(1) of this section, excluding para- graphs (a)(1)(i) and (a)(1)(v), and the following additional requirements to obtain a modular transmitter approval.
(i) Only the radio front end must be shielded. The physical crystal and tun- ing capacitors may be located external to the shielded radio elements. The interface between the split sections of the modular system must be digital with a minimum signaling amplitude of 150 mV peak-to-peak.
(ii) Control information and other data may be exchanged between the transmitter control elements and radio front end.
(iii) The sections of a split modular transmitter must be tested installed in a host device(s) similar to that which is representative of the platform(s) in- tended for use.
(iv) Manufacturers must ensure that only transmitter control elements and radio front end components that have been approved together are capable of operating together. The transmitter module must not operate unless it has verified that the installed transmitter control elements and radio front end have been authorized together. Manu- facturers may use means including, but not limited to, coding in hardware and
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electronic signatures in software to meet these requirements, and must de- scribe the methods in their application for equipment authorization.
(b) A limited modular approval may be granted for single or split modular transmitters that do not comply with all of the above requirements, e.g., shielding, minimum signaling ampli- tude, buffered modulation/data inputs, or power supply regulation, if the man- ufacturer can demonstrate by alter- native means in the application for equipment authorization that the mod- ular transmitter meets all the applica- ble part 15 requirements under the op- erating conditions in which the trans- mitter will be used. Limited modular approval also may be granted in those instances where compliance with RF exposure rules is demonstrated only for particular product configurations. The applicant for certification must state how control of the end product into which the module will be installed will be maintained such that full compli- ance of the end product is always en- sured.
[72 FR 28893, May 23, 2007]
§ 15.213 Cable locating equipment. An intentional radiator used as cable
locating equipment, as defined in § 15.3(d), may be operated on any fre- quency within the band 9–490 kHz, sub- ject to the following limits: Within the frequency band 9 kHz, up to, but not in- cluding, 45 kHz, the peak output power from the cable locating equipment shall not exceed 10 watts; and, within the frequency band 45 kHz to 490 kHz, the peak output power from the cable locating equipment shall not exceed one watt. If provisions are made for connection of the cable locating equip- ment to the AC power lines, the con- ducted limits in § 15.207 also apply to this equipment.
§ 15.214 Cordless telephones. (a) For equipment authorization, a
single application form, FCC Form 731, may be filed for a cordless telephone system, provided the application clear- ly identifies and provides data for all parts of the system to show compliance with the applicable technical require- ments. When a single application form is submitted, both the base station and
the portable handset must carry the same FCC identifier. The application shall include a fee for certification of each type of transmitter and for cer- tification, if appropriate, for each type of receiver included in the system.
(b) A cordless telephone that is in- tended to be connected to the public switched telephone network shall also comply with the applicable regulations in part 68 of this chapter. A separate procedure for approval under part 68 is required for such terminal equipment.
(c) The label required under subpart A of this part shall also contain the following statement: ‘‘Privacy of com- munications may not be ensured when using this phone.’’
(d) Cordless telephones shall incor- porate circuitry which makes use of a digital security code to provide protec- tion against unintentional access to the public switched telephone network by the base unit and unintentional ringing by the handset. These func- tions shall operate such that each ac- cess of the telephone network or ring- ing of the handset is preceded by the transmission of a code word. Access to the telephone network shall occur only if the code transmitted by the handset matches code set in the base unit. Similarly, ringing of the handset shall occur only if the code transmitted by the base unit matches the code set in the handset. The security code required by this section may also be employed to perform other communications func- tions, such as providing telephone bill- ing information. This security code system is to operate in accordance with the following provisions.
(1) There must be provision for at least 256 possible discrete digital codes. Factory-set codes must be continu- ously varied over at least 256 possible codes as each telephone is manufac- tured. The codes may be varied either randomly, sequentially, or using an- other systematic procedure.
(2) Manufacturers must use one of the following approaches for facili- tating variation in the geographic dis- tribution of individual security codes:
(i) Provide a means for the user to readily select from among at least 256 possible discrete digital codes. The cordless telephone shall be either in a non-operable mode after manufacture
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until the user selects a security code or the manufacturer must continuously vary the initial security code as each telephone is produced.
(ii) Provide a fixed code that is con- tinuously varied among at least 256 dis- crete digital codes as each telephone is manufactured.
(iii) Provide a means for the cordless telephone to automatically select a dif- ferent code from among at least 256 possible discrete digital codes each time it is activated.
(iv) It is permissible to provide com- binations of fixed, automatic, and user- selectable coding provided the above criteria are met.
(3) A statement of the means and pro- cedures used to achieve the required protection shall be provided in any ap- plication for equipment authorization of a cordless telephone.
[56 FR 3785, Jan. 31, 1991, as amended at 63 FR 36603, July 7, 1998; 66 FR 7580, Jan. 24, 2001]
RADIATED EMISSION LIMITS, ADDITIONAL PROVISIONS
§ 15.215 Additional provisions to the general radiated emission limita- tions.
(a) The regulations in §§ 15.217 through 15.257 provide alternatives to the general radiated emission limits for intentional radiators operating in specified frequency bands. Unless oth- erwise stated, there are no restrictions as to the types of operation permitted under these sections.
(b) In most cases, unwanted emis- sions outside of the frequency bands shown in these alternative provisions must be attenuated to the emission limits shown in § 15.209. In no case shall the level of the unwanted emissions from an intentional radiator operating under these additional provisions ex- ceed the field strength of the funda- mental emission.
(c) Intentional radiators operating under the alternative provisions to the general emission limits, as contained in §§ 15.217 through 15.257 and in Sub- part E of this part, must be designed to ensure that the 20 dB bandwidth of the emission, or whatever bandwidth may otherwise be specified in the specific rule section under which the equip-
ment operates, is contained within the frequency band designated in the rule section under which the equipment is operated. The requirement to contain the designated bandwidth of the emis- sion within the specified frequency band includes the effects from fre- quency sweeping, frequency hopping and other modulation techniques that may be employed as well as the fre- quency stability of the transmitter over expected variations in tempera- ture and supply voltage. If a frequency stability is not specified in the regula- tions, it is recommended that the fun- damental emission be kept within at least the central 80% of the permitted band in order to minimize the possi- bility of out-of-band operation.
[54 FR 17714, Apr. 25, 1989, as amended at 62 FR 45333, Aug. 27, 1997; 67 FR 34855, May 16, 2002; 69 FR 3265, Jan. 23, 2004; 70 FR 6774, Feb. 9, 2005]
§ 15.216 Disclosure requirements for wireless microphones and other low power auxiliary stations capable of operating in the core TV bands.
(a) Any person who manufactures, sells, leases, or offers for sale or lease, low power auxiliary stations capable of operating in the core TV bands (chan- nels 2–51, excluding channel 37) is sub- ject to the following disclosure require- ments: (1) Such persons must display the consumer disclosure text, as speci- fied by the Wireless Telecommuni- cations Bureau and the Consumer and Governmental Affairs Bureau, at the point of sale or lease of each such low power auxiliary station. The text must be displayed in a clear, conspicuous, and readily legible manner. One way to fulfill the requirement in this section is to display the consumer disclosure text in a prominent manner on the product box by using a label (either printed onto the box or otherwise af- fixed to the box), a sticker, or other means. Another way to fulfill this re- quirement is to display the text imme- diately adjacent to each low power auxiliary station offered for sale or lease and clearly associated with the model to which it pertains.
(2) If such persons offer such low power auxiliary stations via direct mail, catalog, or electronic means,
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they shall prominently display the con- sumer disclosure text in close prox- imity to the images and descriptions of each such low power auxiliary station. The text should be in a size large enough to be clear, conspicuous, and readily legible, consistent with the di- mensions of the advertisement or de- scription.
(3) If such persons have Web sites per- taining to these low power auxiliary stations, the consumer disclosure text must be displayed there in a clear, con- spicuous, and readily legible manner (even in the event such persons do not sell low power auxiliary stations di- rectly to the public).
(b) The consumer disclosure text de- scribed in paragraph (a)(1) of this sec- tion is set out in an appendix to this section.
APPENDIX TO § 15.216—CONSUMER ALERT
Consumer Alert
Most users do not need a license to operate this wireless microphone sys- tem. Nevertheless, operating this microphone system without a license is subject to certain restrictions: The sys- tem may not cause harmful inter- ference; it must operate at a low power level (not in excess of 50 milliwatts); and it has no protection from inter- ference received from any other device. Purchasers should also be aware that the FCC is currently evaluating use of wireless microphone systems, and these rules are subject to change. For more information, call the FCC at 1– 888–CALL–FCC (TTY: 1–888–TELL–FCC) or visit the FCC’s wireless microphone Web site at http://www.fcc.gov/cgb/ wirelessmicrophones.
[75 FR 3638, 3640, Jan. 22, 2010]
§ 15.217 Operation in the band 160–190 kHz.
(a) The total input power to the final radio frequency stage (exclusive of fila- ment or heater power) shall not exceed one watt.
(b) The total length of the trans- mission line, antenna, and ground lead (if used) shall not exceed 15 meters.
(c) All emissions below 160 kHz or above 190 kHz shall be attenuated at least 20 dB below the level of the unmodulated carrier. Determination of
compliance with the 20 dB attenuation specification may be based on measure- ments at the intentional radiator’s an- tenna output terminal unless the in- tentional radiator uses a permanently attached antenna, in which case com- pliance shall be demonstrated by meas- uring the radiated emissions.
§ 15.219 Operation in the band 510– 1705 kHz.
(a) The total input power to the final radio frequency stage (exclusive of fila- ment or heater power) shall not exceed 100 milliwatts.
(b) The total length of the trans- mission line, antenna and ground lead (if used) shall not exceed 3 meters.
(c) All emissions below 510 kHz or above 1705 kHz shall be attenuated at least 20 dB below the level of the unmodulated carrier. Determination of compliance with the 20 dB attenuation specification may be based on measure- ments at the intentional radiator’s an- tenna output terminal unless the in- tentional radiator uses a permanently attached antenna, in which case com- pliance shall be deomonstrated by measuring the radiated emissions.
§ 15.221 Operation in the band 525– 1705 kHz.
(a) Carrier current systems and transmitters employing a leaky co- axial cable as the radiating antenna may operate in the band 525–1705 kHz provided the field strength levels of the radiated emissions do not exceed 15 uV/ m, as measured at a distance of 47,715/ (frequency in kHz) meters (equivalent to Lambda/2Pi) from the electric power line or the coaxial cable, respectively. The field strength levels of emissions outside this band shall not exceed the general radiated emission limits in § 15.209.
(b) As an alternative to the provi- sions in paragraph (a) of this section, intentional radiators used for the oper- ation of an AM broadcast station on a college or university campus or on the campus of any other education institu- tion may comply with the following:
(1) On the campus, the field strength of emissions appearing outside of this frequency band shall not exceed the general radiated emission limits shown
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Federal Communications Commission § 15.225
in § 15.209 as measured from the radi- ating source. There is no limit on the field strength of emissions appearing within this frequency band, except that the provisions of § 15.5 continue to com- ply.
(2) At the perimeter of the campus, the field strength of any emissions, in- cluding those within the frequency band 525–1705 kHz, shall not exceed the general radiated emission in § 15.209.
(3) The conducted limits specified in § 15.207 apply to the radio frequency voltage on the public utility power lines outside of the campus. Due to the large number of radio frequency de- vices which may be used on the cam- pus, contributing to the conducted emissions, as an alternative to meas- uring conducted emissions outside of the campus, it is acceptable to dem- onstrate compliance with this provi- sion by measuring each individual in- tentional radiator employed in the sys- tem at the point where it connects to the AC power lines.
(c) A grant of equipment authoriza- tion is not required for intentional ra- diators operated under the provisions of this section. In lieu thereof, the in- tentional radiator shall be verified for compliance with the regulations in ac- cordance with subpart J of part 2 of this chapter. This data shall be kept on file at the location of the studio, office or control room associated with the transmitting equipment. In some cases, this may correspond to the location of the transmitting equipment.
(d) For the band 535–1705 kHz, the fre- quency of operation shall be chosen such that operation is not within the protected field strength contours of li- censed AM stations.
[56 FR 373, Jan. 4, 1991]
§ 15.223 Operation in the band 1.705–10 MHz.
(a) The field strength of any emission within the band 1.705–10.0 MHz shall not exceed 100 microvolts/meter at a distance of 30 meters. However, if the bandwidth of the emission is less than 10% of the center frequency, the field strength shall not exceed 15 microvolts/ meter or (the bandwidth of the device in kHz) divided by (the center fre- quency of the device in MHz) microvolts/meter at a distance of 30
meters, whichever is the higher level. For the purposes of this section, band- width is determined at the points 6 dB down from the modulated carrier. The emission limits in this paragraph are based on measurement instrumenta- tion employing an average detector. The provisions in § 15.35(b) for limiting peak emissions apply.
(b) The field strength of emissions outside of the band 1.705–10.0 MHz shall not exceed the general radiated emis- sion limits in § 15.209.
§ 15.225 Operation within the band 13.110–14.010 MHz.
(a) The field strength of any emis- sions within the band 13.553–13.567 MHz shall not exceed 15,848 microvolts/ meter at 30 meters.
(b) Within the bands 13.410–13.553 MHz and 13.567–13.710 MHz, the field strength of any emissions shall not exceed 334 microvolts/meter at 30 meters.
(c) Within the bands 13.110–13.410 MHz and 13.710–14.010 MHz the field strength of any emissions shall not exceed 106 microvolts/meter at 30 meters.
(d) The field strength of any emis- sions appearing outside of the 13.110– 14.010 MHz band shall not exceed the general radiated emission limits in § 15.209.
(e) The frequency tolerance of the carrier signal shall be maintained within ±0.01% of the operating fre- quency over a temperature variation of ¥20 degrees to +50 degrees C at normal supply voltage, and for a variation in the primary supply voltage from 85% to 115% of the rated supply voltage at a temperature of 20 degrees C. For bat- tery operated equipment, the equip- ment tests shall be performed using a new battery.
(f) In the case of radio frequency pow- ered tags designed to operate with a de- vice authorized under this section, the tag may be approved with the device or be considered as a separate device sub- ject to its own authorization. Powered tags approved with a device under a single application shall be labeled with the same identification number as the device.
[68 FR 68546, Dec. 9, 2003]
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47 CFR Ch. I (10–1–10 Edition)§ 15.227
§ 15.227 Operation within the band 26.96–27.28 MHz.
(a) The field strength of any emission within this band shall not exceed 10,000 microvolts/meter at 3 meters. The emission limit in this paragraph is based on measurement instrumenta- tion employing an average detector. The provisions in § 15.35 for limiting peak emissions apply.
(b) The field strength of any emis- sions which appear outside of this band shall not exceed the general radiated emission limits in § 15.209.
§ 15.229 Operation within the band 40.66–40.70 MHz.
(a) Unless operating pursuant to the provisions in § 15.231, the field strength of any emissions within this band shall not exceed 1,000 microvolts/meter at 3 meters.
(b) As an alternative to the limit in paragraph (a) of this section, perimeter protection systems may demonstrate compliance with the following: the field strength of any emissions within this band shall not exceed 500 microvolts/meter at 3 meters, as deter- mined using measurement instrumen- tations employing an average detector. The provisions in § 15.35 for limiting peak emissions apply where compli- ance of these devices is demonstrated under this alternative emission limit.
(c) The field strength of any emis- sions appearing outside of this band shall not exceed the general radiated emission limits in § 15.209.
(d) The frequency tolerance of the carrier signal shall be maintained within ±0.01% of the operating fre- quency over a temperature variation of ¥20 degrees to +50 degrees C at normal supply voltage, and for a variation in the primary supply voltage from 85% to 115% of the rated supply voltage at a temperature of 20 degrees C. For bat- tery operated equipment, the equip- ment tests shall be performed using a new battery.
[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 33910, Aug. 20, 1990]
§ 15.231 Periodic operation in the band 40.66–40.70 MHz and above 70 MHz.
(a) The provisions of this section are restricted to periodic operation within the band 40.66–40.70 MHz and above 70
MHz. Except as shown in paragraph (e) of this section, the intentional radiator is restricted to the transmission of a control signal such as those used with alarm systems, door openers, remote switches, etc. Continuous trans- missions, voice, video and the radio control of toys are not permitted. Data is permitted to be sent with a control signal. The following conditions shall be met to comply with the provisions for this periodic operation:
(1) A manually operated transmitter shall employ a switch that will auto- matically deactivate the transmitter within not more than 5 seconds of being released.
(2) A transmitter activated automati- cally shall cease transmission within 5 seconds after activation.
(3) Periodic transmissions at regular predetermined intervals are not per- mitted. However, polling or supervision transmissions, including data, to deter- mine system integrity of transmitters used in security or safety applications are allowed if the total duration of transmissions does not exceed more than two seconds per hour for each transmitter. There is no limit on the number of individual transmissions, provided the total transmission time does not exceed two seconds per hour.
(4) Intentional radiators which are employed for radio control purposes during emergencies involving fire, se- curity, and safety of life, when acti- vated to signal an alarm, may operate during the pendency of the alarm con- dition
(5) Transmission of set-up informa- tion for security systems may exceed the transmission duration limits in paragraphs (a)(1) and (a)(2) of this sec- tion, provided such transmissions are under the control of a professional in- staller and do not exceed ten seconds after a manually operated switch is re- leased or a transmitter is activated automatically. Such set-up informa- tion may include data.
(b) In addition to the provisions of § 15.205, the field strength of emissions from intentional radiators operated under this section shall not exceed the following:
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Federal Communications Commission § 15.233
Funda- mental fre-
quency (MHz)
Field strength of funda- mental (microvolts/
meter)
Field strength of spurious emissions (microvolts/meter)
40.66– 40.70.
2,250 ............................. 225
70–130 ...... 1,250 ............................. 125 130–174 .... 1 1,250 to 3,750 ............ 1 125 to 375 174–260 .... 3,750 ............................. 375 260–470 .... 1 3,750 to 12,500 .......... 1 375 to 1,250 Above 470 12,500 ........................... 1,250
1 Linear interpolations.
(1) The above field strength limits are specified at a distance of 3 meters. The tighter limits apply at the band edges.
(2) Intentional radiators operating under the provisions of this section shall demonstrate compliance with the limits on the field strength of emis- sions, as shown in the above table, based on the average value of the meas- ured emissions. As an alternative, com- pliance with the limits in the above table may be based on the use of meas- urement instrumentation with a CISPR quasi-peak detector. The spe- cific method of measurement employed shall be specified in the application for equipment authorization. If average emission measurements are employed, the provisions in § 15.35 for averaging pulsed emissions and for limiting peak emissions apply. Further, compliance with the provisions of § 15.205 shall be demonstrated using the measurement instrumentation specified in that sec- tion.
(3) The limits on the field strength of the spurious emissions in the above table are based on the fundamental fre- quency of the intentional radiator. Spurious emissions shall be attenuated to the average (or, alternatively, CISPR quasi-peak) limits shown in this table or to the general limits shown in § 15.209, whichever limit permits a high- er field strength.
(c) The bandwidth of the emission shall be no wider than 0.25% of the cen- ter frequency for devices operating above 70 MHz and below 900 MHz. For devices operating above 900 MHz, the emission shall be no wider than 0.5% of the center frequency. Bandwidth is de- termined at the points 20 dB down from the modulated carrier.
(d) For devices operating within the frequency band 40.66–40.70 MHz, the bandwidth of the emission shall be con-
fined within the band edges and the fre- quency tolerance of the carrier shall be ±0.01%. This frequency tolerance shall be maintained for a temperature vari- ation of ¥20 degrees to +50 degrees C at normal supply voltage, and for a vari- ation in the primary supply voltage from 85% to 115% of the rated supply voltage at a temperature of 20 degrees C. For battery operated equipment, the equipment tests shall be performed using a new battery.
(e) Intentional radiators may operate at a periodic rate exceeding that speci- fied in paragraph (a) of this section and may be employed for any type of oper- ation, including operation prohibited in paragraph (a) of this section, pro- vided the intentional radiator complies with the provisions of paragraphs (b) through (d) of this section, except the field strength table in paragraph (b) of this section is replaced by the fol- lowing:
Funda- mental fre-
quency (MHz)
Field strength of fun- damental (microvolts/
meter)
Field strength of spu- rious emission
(microvolts/meter)
40.66– 40.70.
1,000 .......................... 100
70–130 ...... 500 ............................. 50 130–174 .... 500 to 1,500 1 ............ 50 to 150 1 174–260 .... 1,500 .......................... 150 260–470 .... 1,500 to 5,000 1 ......... 150 to 500 1 Above 470 5,000 .......................... 500
1 Linear interpolations.
In addition, devices operated under the provisions of this paragraph shall be provided with a means for automati- cally limiting operation so that the du- ration of each transmission shall not be greater than one second and the si- lent period between transmissions shall be at least 30 times the duration of the transmission but in no case less than 10 seconds.
[54 FR 17714, Apr. 25, 1989; 54 FR 32340, Aug. 7, 1989, as amended at 68 FR 68546, Dec. 9, 2003; 69 FR 71383, Dec. 9, 2004]
§ 15.233 Operation within the bands 43.71–44.49 MHz, 46.60–46.98 MHz, 48.75–49.51 MHz and 49.66–50.0 MHz.
(a) The provisions shown in this sec- tion are restricted to cordless tele- phones.
(b) An intentional radiator used as part of a cordless telephone system shall operate centered on one or more
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47 CFR Ch. I (10–1–10 Edition)§ 15.233
of the following frequency pairs, sub- ject to the following conditions:
(1) Frequencies shall be paired as shown below, except that channel pair- ing for channels one through fifteen may be accomplished by pairing any of the fifteen base transmitter fre- quencies with any of the fifteen handset transmitter frequencies.
(2) Cordless telephones operating on channels one through fifteen must:
(i) Incorporate an automatic channel selection mechanism that will prevent establishment of a link on any occu- pied frequency; and
(ii) The box or an instruction manual which is included within the box which the individual cordless telephone is to be marketed shall contain information indicating that some cordless tele- phones operate at frequencies that may cause interference to nearby TVs and VCRs; to minimize or prevent such in- terference, the base of the cordless telephone should not be placed near or on top of a TV or VCR; and, if inter- ference is experienced, moving the cordless telephone farther away from the TV or VCR will often reduce or eliminate the interference. A state- ment describing the means and proce- dures used to achieve automatic chan- nel selection shall be provided in any application for equipment authoriza- tion of a cordless telephone operating on channels one through fifteen.
Channel Base trans-mitter (MHz) Handset trans- mitter (MHz)
1 ......................................... 43.720 48.760 2 ......................................... 43.740 48.840 3 ......................................... 43.820 48.860 4 ......................................... 43.840 48.920 5 ......................................... 43.920 49.020 6 ......................................... 43.960 49.080 7 ......................................... 44.120 49.100 8 ......................................... 44.160 49.160 9 ......................................... 44.180 49.200 10 ....................................... 44.200 49.240 11 ....................................... 44.320 49.280 12 ....................................... 44.360 49.360 13 ....................................... 44.400 49.400 14 ....................................... 44.460 49.460 15 ....................................... 44.480 49.500 16 ....................................... 46.610 49.670 17 ....................................... 46.630 49.845 18 ....................................... 46.670 49.860 19 ....................................... 46.710 49.770 20 ....................................... 46.730 49.875 21 ....................................... 46.770 49.830 22 ....................................... 46.830 49.890 23 ....................................... 46.870 49.930 24 ....................................... 46.930 49.990 25 ....................................... 46.970 49.970
(c) The field strength of the funda- mental emission shall not exceed 10,000 microvolts/meter at 3 meters. The emission limit in this paragraph is based on measurement instrumenta- tion employing an average detector. The provisions in § 15.35 for limiting peak emissions apply.
(d) The fundamental emission shall be confined within a 20 kHz band and shall be centered on a carrier frequency shown above, as adjusted by the fre- quency tolerance of the transmitter at the time testing is performed. Modula- tion products outside of this 20 kHz band shall be attenuated at least 26 dB below the level of the unmodulated carrier or to the general limits in § 15.209, whichever permits the higher emission levels. Emissions on any fre- quency more than 20 kHz removed from the center frequency shall consist sole- ly of unwanted emissions and shall not exceed the general radiated emission limits in § 15.209. Tests to determine compliance with these requirements shall be performed using an appro- priate input signal as prescribed in § 2.989 of this chapter.
(e) All emissions exceeding 20 microvolts/meter at 3 meters are to be reported in the application for certifi- cation.
(f) If the device provides for the con- nection of external accessories, includ- ing external electrical input signals, the device must be tested with the ac- cessories attached. The emission tests shall be performed with the device and accessories configured in a manner which tends to produce the maximum level of emissions within the range of variations that can be expected under normal operating conditions.
(g) The frequency tolerance of the carrier signal shall be maintained within ±0.01% of the operating fre- quency. The tolerance shall be main- tained for a temperature variation of ¥20 degrees C to +50 degrees C at nor- mal supply voltage, and for variation in the primary voltage from 85% to 115% of the rated supply voltage at a temperature of 20 degrees C. For bat- tery operated equipment, the equip- ment tests shall be performed using a new battery.
(h) For cordless telephones that do not comply with § 15.214(d) of this part,
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Federal Communications Commission § 15.239
the box or other package in which the individual cordless telephone is to be marketed shall carry a statement in a prominent location, visible to the buyer before purchase, which reads as follows:
NOTICE: The base units of some cordless telephones may respond to other nearby units or to radio noise resulting in telephone calls being dialed through this unit without your knowledge and possibly calls being misbilled. In order to protect against such occurrences, this cordless telephone is pro- vided with the following features: (to be completed by the responsible party).
An application for certification of a cordless telephone shall specify the complete text of the statement that will be carried on the package and indi- cate where, specifically, it will be lo- cated on the carton.
[54 FR 17714, Apr. 25, 1989; 54 FR 32340, Aug. 7, 1989, as amended at 56 FR 3785, Jan. 31, 1991; 56 FR 5659, Feb. 12, 1991; 60 FR 21985, May 4, 1995]
§ 15.235 Operation within the band 49.82–49.90 MHz.
(a) The field strength of any emission within this band shall not exceed 10,000 microvolts/meter at 3 meters. The emission limit in this paragraph is based on measurement instrumenta- tion employing an average detector. The provisions in § 15.35 for limiting peak emissions apply.
(b) The field strength of any emis- sions appearing between the band edges and up to 10 kHz above and below the band edges shall be attenuated at least 26 dB below the level of the unmodulated carrier or to the general limits in § 15.209, whichever permits the higher emission levels. The field strength of any emissions removed by more than 10 kHz from the band edges shall not exceed the general radiated emission limits in § 15.209. All signals exceeding 20 microvolts/meter at 3 me- ters shall be reported in the applica- tion for certification.
(c) For a home-built intentional radi- ator, as defined in § 15.23(a), operating within the band 49.82–49.90 MHz, the following standards may be employed:
(1) The RF carrier and modulation products shall be maintained within the band 49.82–49.90 MHz.
(2) The total input power to the de- vice measured at the battery or the power line terminals shall not exceed 100 milliwatts under any condition of modulation.
(3) The antenna shall be a single ele- ment, one meter or less in length, per- manently mounted on the enclosure containing the device.
(4) Emissions outside of this band shall be attenuated at least 20 dB below the level of the unmodulated carrier.
(5) The regulations contained in § 15.23 of this part apply to intentional radiators constructed under the provi- sions of this paragraph.
(d) Cordless telephones are not per- mitted to operate under the provisions of this section.
§ 15.237 Operation in the bands 72.0– 73.0 MHz, 74.6–74.8 MHz and 75.2– 76.0 MHz.
(a) The intentional radiator shall be restricted to use as an auditory assist- ance device.
(b) Emissions from the intentional radiator shall be confined within a band 200 kHz wide centered on the op- erating frequency. The 200 kHz band shall lie wholly within the above speci- fied frequency ranges.
(c) The field strength of any emis- sions within the permitted 200 kHz band shall not exceed 80 millivolts/ meter at 3 meters. The field strength of any emissions radiated on any fre- quency outside of the specified 200 kHz band shall not exceed 1500 microvolts/ meter at 3 meters. The emission limits in this paragraph are based on meas- urement instrumentation employing an average detector. The provisions in § 15.35 for limiting peak emissions apply.
[54 FR 17714, Apr. 25, 1989, as amended at 57 FR 13048, Apr. 15, 1992]
§ 15.239 Operation in the band 88–108 MHz.
(a) Emissions from the intentional radiator shall be confined within a band 200 kHz wide centered on the op- erating frequency. The 200 kHz band shall lie wholly within the frequency range of 88–108 MHz.
(b) The field strength of any emis- sions within the permitted 200 kHz band shall not exceed 250 microvolts/
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47 CFR Ch. I (10–1–10 Edition)§ 15.240
meter at 3 meters. The emission limit in this paragraph is based on measure- ment instrumentation employing an average detector. The provisions in § 15.35 for limiting peak emissions apply.
(c) The field strength of any emis- sions radiated on any frequency out- side of the specified 200 kHz band shall not exceed the general radiated emis- sion limits in § 15.209.
(d) A custom built telemetry inten- tional radiator operating in the fre- quency band 88–108 MHz and used for experimentation by an educational in- stitute need not be certified provided the device complies with the standards in this part and the educational insti- tution notifies the Engineer in Charge of the local FCC office, in writing, in advance of operation, providing the fol- lowing information:
(1) The dates and places where the de- vice will be operated;
(2) The purpose for which the device will be used;
(3) A description of the device, in- cluding the operating frequency, RF power output, and antenna; and,
(4) A statement that the device com- plies with the technical provisions of this part.
[54 FR 17714, Apr. 25, 1989; 54 FR 32340, Aug. 7, 1989]
§ 15.240 Operation in the band 433.5– 434.5 MHz.
(a) Operation under the provisions of this section is restricted to devices that use radio frequency energy to identify the contents of commercial shipping containers. Operations must be limited to commercial and indus- trial areas such as ports, rail terminals and warehouses. Two-way operation is permitted to interrogate and to load data into devices. Devices operated pursuant to the provisions of this sec- tion shall not be used for voice commu- nications.
(b) The field strength of any emis- sions radiated within the specified fre- quency band shall not exceed 11,000 microvolts per meter measured at a distance of 3 meters. The emission limit in this paragraph is based on measurement instrumentation employ- ing an average detector. The peak level of any emissions within the specified
frequency band shall not exceed 55,000 microvolts per meter measured at a distance of 3 meters. Additionally, de- vices authorized under these provisions shall be provided with a means for automatically limiting operation so that the duration of each transmission shall not be greater than 60 seconds and be only permitted to reinitiate an interrogation in the case of a trans- mission error. Absent such a trans- mission error, the silent period be- tween transmissions shall not be less than 10 seconds.
(c) The field strength of emissions ra- diated on any frequency outside of the specified band shall not exceed the gen- eral radiated emission limits in § 15.209.
(d) In the case of radio frequency powered tags designed to operate with a device authorized under this section, the tag may be approved with the de- vice or be considered as a separate de- vice subject to its own authorization. Powered tags approved with a device under a single application shall be la- beled with the same identification number as the device.
(e) To prevent interference to Fed- eral Government radar systems, oper- ation under the provisions of this sec- tion is not permitted within 40 kilo- meters of the following locations:
DoD Radar Site Latitude Longitude
Beale Air Force Base ......... 39°08′10″ N 121°21′04″ W Cape Cod Air Force Station 41°45′07″ N 070°32′17″ W Clear Air Force Station ....... 64°55′16″ N 143°05′02″ W Cavalier Air Force Station .. 48°43′12″ N 097°54′00″ W Eglin Air Force Base ........... 30°43′12″ N 086°12′36″ W
(f) As a condition of the grant, the grantee of an equipment authorization for a device operating under the provi- sions of this section shall provide infor- mation to the user concerning compli- ance with the operational restrictions in paragraphs (a) and (e) of this sec- tion. As a further condition, the grant- ee shall provide information on the lo- cations where the devices are installed to the FCC Office of Engineering and Technology, which shall provide this information to the Federal Govern- ment through the National Tele- communications and Information Ad- ministration. The user of the device shall be responsible for submitting up- dated information in the event the op- erating location or other information
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Federal Communications Commission § 15.242
changes after the initial registration. The grantee shall notify the user of this requirement. The information pro- vided by the grantee or user to the Commission shall include the name, address, telephone number and e-mail address of the user, the address and ge- ographic coordinates of the operating location, and the FCC identification number of the device. The material shall be submitted to the following ad- dress:
Experimental Licensing Branch, OET, Federal Communications Com- mission, 445 12th Street, SW., Wash- ington, DC 20554, ATTN: RFID Reg- istration.
[69 FR 29464, May 24, 2004]
§ 15.241 Operation in the band 174–216 MHz.
(a) Operation under the provisions of this section is restricted to biomedical telemetry devices.
(b) Emissions from the device shall be confined within a 200 kHz band which shall lie wholly within the fre- quency range of 174–216 MHz.
(c) The field strength of any emis- sions radiated within the specified 200 kHz band shall not exceed 1500 microvolts/meter at 3 meters. The field strength of emissions radiated on any frequency outside of the specified 200 kHz band shall not exceed 150 microvolts/meter at 3 meters. The emission limits in this paragraph are based on measurement instrumenta- tion employing an average detector. The provisions in § 15.35 for limiting peak emissions apply.
§ 15.242 Operation in the bands 174– 216 MHz and 470–668 MHz.
(a) The marketing and operation of intentional radiators under the provi- sions of this section is restricted to biomedical telemetry devices employed solely on the premises of health care facilities.
(1) A health care facility includes hospitals and other establishments that offer services, facilities, and beds for use beyond 24 hours in rendering medical treatment and institutions and organizations regularly engaged in pro- viding medical services through clin- ics, public health facilities, and similar establishments, including govern-
mental entities and agencies for their own medical activities.
(2) This authority to operate does not extend to mobile vehicles, such as am- bulances, even if those vehicles are as- sociated with a health care facility.
(b) The fundamental emissions from a biomedical telemetry device oper- ating under the provisions of this sec- tion shall be contained within a single television broadcast channel, as de- fined in part 73 of this chapter, under all conditions of operation and shall lie wholly within the frequency ranges of 174–216 MHz and 470–668 MHz.
(c) The field strength of the funda- mental emissions shall not exceed 200 mV/m, as measured at a distance of 3 meters using a quasi-peak detector. Manufacturers should note that a quasi-peak detector function indicates field strength per 120 kHz of bandwidth ±20 kHz. Accordingly, the total signal level over the band of operation may be higher than 200 mV/m. The field strength of emissions radiated on any frequency outside of the television broadcast channel within which the fundamental is contained shall not ex- ceed the general limits in § 15.209.
(d) The user and the installer of a biomedical telemetry device operating within the frequency range 174–216 MHz, 470–608 MHz or 614–668 MHz shall ensure that the following minimum separation distances are maintained between the biomedical telemetry de- vice and the authorized radio services operating on the same frequencies:
(1) At least 10.3 km outside of the Grade B field strength contour (56 dBuV/m) of a TV broadcast station or an associated TV booster station oper- ating within the band 174–216 MHz.
(2) At least 5.5 km outside of the Grade B field strength contour (64 dBuV/m) of a TV broadcast station or an associated TV booster station oper- ating within the bands 470–608 MHz or 614–668 MHz.
(3) At least 5.1 km outside of the 68 dBuV/m field strength contour of a low power TV or a TV translator station operating within the band 174–216 MHz.
(4) At least 3.1 km outside of the 74 dBuV/m field strength contour of a low power TV or a TV translator station operating within the bands 470–608 MHz or 614–668 MHz.
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(5) Whatever distance is necessary to protect other authorized users within these bands.
(e) The user and the installer of a biomedical telemetry device operating within the frequency range 608–614 MHz and that will be located within 32 km of the very long baseline array (VLBA) stations or within 80 km of any of the other radio astronomy observatories noted in footnote US 311 of Section 2.106 of this chapter must coordinate with, and obtain the written concur- rence of, the director of the affected radio astronomy observatory before the equipment can be installed or oper- ated. The National Science Foundation point of contact for coordination is: Spectrum Manager, Division of Astro- nomical Sciences, NSF Rm 1045, 4201 Wilson Blvd., Arlington, VA 22230; tel: (703) 306–1823.
(f) Biomedical telemetry devices must not cause harmful interference to licensed TV broadcast stations or to other authorized radio services, such as operations on the broadcast fre- quencies under subparts G and H of part 74 of this chapter, land mobile sta- tions operating under part 90 of this chapter in the 470–512 MHz band, and radio astronomy operation in the 608– 614 MHz band. (See § 15.5.) If harmful in- terference occurs, the interference must either be corrected or the device must immediately cease operation on the occupied frequency. Further, the operator of the biomedical telemetry device must accept whatever level of interference is received from other radio operations. The operator, i.e., the health care facility, is responsible for resolving any interference that occurs subsequent to the installation of these devices.
(g) The manufacturers, installers, and users of biomedical telemetry de- vices are reminded that they must en- sure that biomedical telemetry trans- mitters operating under the provisions of this section avoid operating in close proximity to authorized services using this spectrum. Sufficient separation distance, necessary to avoid causing or receiving harmful interference, must be maintained from co-channel oper- ations. These parties are reminded that the frequencies of the authorized serv- ices are subject to change, especially
during the implementation of the dig- ital television services. The operating frequencies of the part 15 devices may need to be changed, as necessary and in accordance with the permissive change requirements of this chapter, to accom- modate changes in the operating fre- quencies of the authorized services.
(h) The manufacturers, installers and users of biomedical telemetry devices are cautioned that the operation of this equipment could result in harmful interference to other nearby medical devices.
[62 FR 58658, Oct. 30, 1997]
§ 15.243 Operation in the band 890–940 MHz.
(a) Operation under the provisions of this section is restricted to devices that use radio frequency energy to measure the characteristics of a mate- rial. Devices operated pursuant to the provisions of this section shall not be used for voice communications or the transmission of any other type of mes- sage.
(b) The field strength of any emis- sions radiated within the specified fre- quency band shall not exceed 500 microvolts/meter at 30 meters. The emission limit in this paragraph is based on measurement instrumenta- tion employing an average detector. The provisions in § 15.35 for limiting peak emissions apply.
(c) The field strength of emissions ra- diated on any frequency outside of the specified band shall not exceed the gen- eral radiated emission limits in § 15.209.
(d) The device shall be self-contained with no external or readily accessible controls which may be adjusted to per- mit operation in a manner inconsistent with the provisions in this section. Any antenna that may be used with the de- vice shall be permanently attached thereto and shall not be readily modifi- able by the user.
§ 15.245 Operation within the bands 902–928 MHz, 2435–2465 MHz, 5785– 5815 MHz, 10500–10550 MHz, and 24075–24175 MHz.
(a) Operation under the provisions of this section is limited to intentional radiators used as field disturbance sen- sors, excluding perimeter protection systems.
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Federal Communications Commission § 15.247
(b) The field strength of emissions from intentional radiators operated within these frequency bands shall comply with the following:
Fundamental frequency (MHz)
Field strength of
fundamental (millivolts/
meter)
Field strength of harmonics (millivolts/
meter)
902–928 ..................................... 500 1.6 2435–2465 ................................. 500 1.6 5785–5815 ................................. 500 1.6 10500–10550 ............................. 2500 25.0 24075–24175 ............................. 2500 25.0
(1) Regardless of the limits shown in the above table, harmonic emissions in the restricted bands below 17.7 GHz, as specified in § 15.205, shall not exceed the field strength limits shown in § 15.209. Harmonic emissions in the restricted bands at and above 17.7 GHz shall not exceed the following field strength lim- its:
(i) For the second and third harmonics of field disturbance sensors operating in the 24075–24175 MHz band and for other field disturbance sensors designed for use only within a building or to open building doors, 25.0 mV/m.
(ii) For all other field disturbance sensors, 7.5 mV/m.
(iii) Field disturbance sensors de- signed to be used in motor vehicles or aircraft must include features to pre- vent continuous operation unless their emissions in the restricted bands, other than the second and third harmonics from devices operating in the 24075– 24175 MHz band, fully comply with the limits given in § 15.209. Continuous op- eration of field disturbance sensors de- signed to be used in farm equipment, vehicles such as fork lifts that are in- tended primarily for use indoors or for very specialized operations, or railroad locomotives, railroad cars and other equipment which travels on fixed tracks is permitted. A field disturbance sensor will be considered not to be op- erating in a continuous mode if its op- eration is limited to specific activities of limited duration (e.g., putting a ve- hicle into reverse gear, activating a turn signal, etc.).
(2) Field strength limits are specified at a distance of 3 meters.
(3) Emissions radiated outside of the specified frequency bands, except for harmonics, shall be attenuated by at
least 50 dB below the level of the funda- mental or to the general radiated emis- sion limits in § 15.209, whichever is the lesser attenuation.
(4) The emission limits shown above are based on measurement instrumen- tation employing an average detector. The provisions in § 15.35 for limiting peak emissions apply.
[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 46792, Nov. 7, 1990; 61 FR 42558, Aug. 16, 1996; 68 FR 68547, Dec. 9, 2003]
§ 15.247 Operation within the bands 902–928 MHz, 2400–2483.5 MHz, and 5725–5850 MHz.
(a) Operation under the provisions of this Section is limited to frequency hopping and digitally modulated inten- tional radiators that comply with the following provisions:
(1) Frequency hopping systems shall have hopping channel carrier fre- quencies separated by a minimum of 25 kHz or the 20 dB bandwidth of the hop- ping channel, whichever is greater. Al- ternatively, frequency hopping systems operating in the 2400–2483.5 MHz band may have hopping channel carrier fre- quencies that are separated by 25 kHz or two-thirds of the 20 dB bandwidth of the hopping channel, whichever is greater, provided the systems operate with an output power no greater than 125 mW. The system shall hop to chan- nel frequencies that are selected at the system hopping rate from a pseudo ran- domly ordered list of hopping fre- quencies. Each frequency must be used equally on the average by each trans- mitter. The system receivers shall have input bandwidths that match the hop- ping channel bandwidths of their cor- responding transmitters and shall shift frequencies in synchronization with the transmitted signals.
(i) For frequency hopping systems op- erating in the 902–928 MHz band: if the 20 dB bandwidth of the hopping channel is less than 250 kHz, the system shall use at least 50 hopping frequencies and the average time of occupancy on any frequency shall not be greater than 0.4 seconds within a 20 second period; if the 20 dB bandwidth of the hopping channel is 250 kHz or greater, the sys- tem shall use at least 25 hopping fre- quencies and the average time of occu- pancy on any frequency shall not be
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47 CFR Ch. I (10–1–10 Edition)§ 15.247
greater than 0.4 seconds within a 10 second period. The maximum allowed 20 dB bandwidth of the hopping channel is 500 kHz.
(ii) Frequency hopping systems oper- ating in the 5725–5850 MHz band shall use at least 75 hopping frequencies. The maximum 20 dB bandwidth of the hop- ping channel is 1 MHz. The average time of occupancy on any frequency shall not be greater than 0.4 seconds within a 30 second period.
(iii) Frequency hopping systems in the 2400–2483.5 MHz band shall use at least 15 channels. The average time of occupancy on any channel shall not be greater than 0.4 seconds within a pe- riod of 0.4 seconds multiplied by the number of hopping channels employed. Frequency hopping systems may avoid or suppress transmissions on a par- ticular hopping frequency provided that a minimum of 15 channels are used.
(2) Systems using digital modulation techniques may operate in the 902–928 MHz, 2400–2483.5 MHz, and 5725–5850 MHz bands. The minimum 6 dB band- width shall be at least 500 kHz.
(b) The maximum peak conducted output power of the intentional radi- ator shall not exceed the following:
(1) For frequency hopping systems operating in the 2400–2483.5 MHz band employing at least 75 non-overlapping hopping channels, and all frequency hopping systems in the 5725–5850 MHz band: 1 watt. For all other frequency hopping systems in the 2400–2483.5 MHz band: 0.125 watts.
(2) For frequency hopping systems operating in the 902–928 MHz band: 1 watt for systems employing at least 50 hopping channels; and, 0.25 watts for systems employing less than 50 hop- ping channels, but at least 25 hopping channels, as permitted under para- graph (a)(1)(i) of this section.
(3) For systems using digital modula- tion in the 902–928 MHz, 2400–2483.5 MHz, and 5725–5850 MHz bands: 1 Watt. As an alternative to a peak power measurement, compliance with the one Watt limit can be based on a measure- ment of the maximum conducted out- put power. Maximum Conducted Out- put Power is defined as the total trans- mit power delivered to all antennas and antenna elements averaged across
all symbols in the signaling alphabet when the transmitter is operating at its maximum power control level. Power must be summed across all an- tennas and antenna elements. The av- erage must not include any time inter- vals during which the transmitter is off or is transmitting at a reduced power level. If multiple modes of operation are possible (e.g., alternative modula- tion methods), the maximum conducted output power is the highest total trans- mit power occurring in any mode.
(4) The conducted output power limit specified in paragraph (b) of this sec- tion is based on the use of antennas with directional gains that do not ex- ceed 6 dBi. Except as shown in para- graph (c) of this section, if transmit- ting antennas of directional gain great- er than 6 dBi are used, the conducted output power from the intentional ra- diator shall be reduced below the stat- ed values in paragraphs (b)(1), (b)(2), and (b)(3) of this section, as appro- priate, by the amount in dB that the directional gain of the antenna exceeds 6 dBi.
(i) Systems operating in the 2400– 2483.5 MHz band that are used exclu- sively for fixed, point-to-point oper- ations may employ transmitting an- tennas with directional gain greater than 6 dBi provided the maximum peak output power of the intentional radi- ator is reduced by 1 dB for every 3 dB that the directional gain of the an- tenna exceeds 6 dBi.
(ii) Systems operating in the 5725– 5850 MHz band that are used exclu- sively for fixed, point-to-point oper- ations may employ transmitting an- tennas with directional gain greater than 6 dBi without any corresponding reduction in transmitter peak output power.
(iii) Fixed, point-to-point operation, as used in paragraphs (b)(3)(i) and (b)(3)(ii) of this section, excludes the use of point-to-multipoint systems, omnidirectional applications, and mul- tiple co-located intentional radiators transmitting the same information. The operator of the spread spectrum intentional radiator or, if the equip- ment is professionally installed, the in- staller is responsible for ensuring that the system is used exclusively for fixed, point-to-point operations. The
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Federal Communications Commission § 15.247
instruction manual furnished with the intentional radiator shall contain lan- guage in the installation instructions informing the operator and the in- staller of this responsibility.
(c) Operation with directional an- tenna gains greater than 6 dBi.
(1) Fixed point-to-point operation: (i) Systems operating in the 2400–
2483.5 MHz band that are used exclu- sively for fixed, point-to-point oper- ations may employ transmitting an- tennas with directional gain greater than 6 dBi provided the maximum con- ducted output power of the intentional radiator is reduced by 1 dB for every 3 dB that the directional gain of the an- tenna exceeds 6 dBi.
(ii) Systems operating in the 5725– 5850 MHz band that are used exclu- sively for fixed, point-to-point oper- ations may employ transmitting an- tennas with directional gain greater than 6 dBi without any corresponding reduction in transmitter conducted output power.
(iii) Fixed, point-to-point operation, as used in paragraphs (c)(1)(i) and (c)(1)(ii) of this section, excludes the use of point-to-multipoint systems, omnidirectional applications, and mul- tiple co-located intentional radiators transmitting the same information. The operator of the spread spectrum or digitally modulated intentional radi- ator or, if the equipment is profes- sionally installed, the installer is re- sponsible for ensuring that the system is used exclusively for fixed, point-to- point operations. The instruction man- ual furnished with the intentional radi- ator shall contain language in the in- stallation instructions informing the operator and the installer of this re- sponsibility.
(2) In addition to the provisions in paragraphs (b)(1), (b)(3), (b)(4) and (c)(1)(i) of this section, transmitters operating in the 2400–2483.5 MHz band that emit multiple directional beams, simultaneously or sequentially, for the purpose of directing signals to indi- vidual receivers or to groups of receiv- ers provided the emissions comply with the following:
(i) Different information must be transmitted to each receiver.
(ii) If the transmitter employs an an- tenna system that emits multiple di-
rectional beams but does not do emit multiple directional beams simulta- neously, the total output power con- ducted to the array or arrays that com- prise the device, i.e., the sum of the power supplied to all antennas, an- tenna elements, staves, etc. and summed across all carriers or fre- quency channels, shall not exceed the limit specified in paragraph (b)(1) or (b)(3) of this section, as applicable. However, the total conducted output power shall be reduced by 1 dB below the specified limits for each 3 dB that the directional gain of the antenna/an- tenna array exceeds 6 dBi. The direc- tional antenna gain shall be computed as follows:
(A) The directional gain shall be cal- culated as the sum of 10 log (number of array elements or staves) plus the di- rectional gain of the element or stave having the highest gain.
(B) A lower value for the directional gain than that calculated in paragraph (c)(2)(ii)(A) of this section will be ac- cepted if sufficient evidence is pre- sented, e.g., due to shading of the array or coherence loss in the beamforming.
(iii) If a transmitter employs an an- tenna that operates simultaneously on multiple directional beams using the same or different frequency channels, the power supplied to each emission beam is subject to the power limit specified in paragraph (c)(2)(ii) of this section. If transmitted beams overlap, the power shall be reduced to ensure that their aggregate power does not ex- ceed the limit specified in paragraph (c)(2)(ii) of this section. In addition, the aggregate power transmitted si- multaneously on all beams shall not exceed the limit specified in paragraph (c)(2)(ii) of this section by more than 8 dB.
(iv) Transmitters that emit a single directional beam shall operate under the provisions of paragraph (c)(1) of this section.
(d) In any 100 kHz bandwidth outside the frequency band in which the spread spectrum or digitally modulated inten- tional radiator is operating, the radio frequency power that is produced by the intentional radiator shall be at least 20 dB below that in the 100 kHz bandwidth within the band that con- tains the highest level of the desired
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47 CFR Ch. I (10–1–10 Edition)§ 15.249
power, based on either an RF con- ducted or a radiated measurement, pro- vided the transmitter demonstrates compliance with the peak conducted power limits. If the transmitter com- plies with the conducted power limits based on the use of RMS averaging over a time interval, as permitted under paragraph (b)(3) of this section, the attenuation required under this paragraph shall be 30 dB instead of 20 dB. Attenuation below the general lim- its specified in § 15.209(a) is not re- quired. In addition, radiated emissions which fall in the restricted bands, as defined in § 15.205(a), must also comply with the radiated emission limits spec- ified in § 15.209(a) (see § 15.205(c)).
(e) For digitally modulated systems, the power spectral density conducted from the intentional radiator to the antenna shall not be greater than 8 dBm in any 3 kHz band during any time interval of continuous transmission. This power spectral density shall be de- termined in accordance with the provi- sions of paragraph (b) of this section. The same method of determining the conducted output power shall be used to determine the power spectral den- sity.
(f) For the purposes of this section, hybrid systems are those that employ a combination of both frequency hopping and digital modulation techniques. The frequency hopping operation of the hy- brid system, with the direct sequence or digital modulation operation turned off, shall have an average time of occu- pancy on any frequency not to exceed 0.4 seconds within a time period in sec- onds equal to the number of hopping frequencies employed multiplied by 0.4. The digital modulation operation of the hybrid system, with the frequency hopping operation turned off, shall comply with the power density require- ments of paragraph (d) of this section.
(g) Frequency hopping spread spec- trum systems are not required to em- ploy all available hopping channels during each transmission. However, the system, consisting of both the trans- mitter and the receiver, must be de- signed to comply with all of the regula- tions in this section should the trans- mitter be presented with a continuous data (or information) stream. In addi- tion, a system employing short trans-
mission bursts must comply with the definition of a frequency hopping sys- tem and must distribute its trans- missions over the minimum number of hopping channels specified in this sec- tion.
(h) The incorporation of intelligence within a frequency hopping spread spectrum system that permits the sys- tem to recognize other users within the spectrum band so that it individually and independently chooses and adapts its hopsets to avoid hopping on occu- pied channels is permitted. The coordi- nation of frequency hopping systems in any other manner for the express pur- pose of avoiding the simultaneous oc- cupancy of individual hopping fre- quencies by multiple transmitters is not permitted.
NOTE: Spread spectrum systems are shar- ing these bands on a noninterference basis with systems supporting critical Govern- ment requirements that have been allocated the usage of these bands, secondary only to ISM equipment operated under the provi- sions of part 18 of this chapter. Many of these Government systems are airborne radiolocation systems that emit a high EIRP which can cause interference to other users. Also, investigations of the effect of spread spectrum interference to U. S. Government operations in the 902–928 MHz band may re- quire a future decrease in the power limits allowed for spread spectrum operation.
(i) Systems operating under the pro- visions of this section shall be operated in a manner that ensures that the pub- lic is not exposed to radio frequency energy levels in excess of the Commis- sion’s guidelines. See § 1.1307(b)(1) of this chapter.
[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 28762, July 13, 1990; 62 FR 26242, May 13, 1997; 65 FR 57561, Sept. 25, 2000; 67 FR 42734, June 25, 2002; 69 FR 54035, Sept. 7, 2004; 72 FR 5632, Feb. 7, 2007]
§ 15.249 Operation within the bands 902–928 MHz, 2400–2483.5 MHz, 5725–5875 MHZ, and 24.0–24.25 GHz.
(a) Except as provided in paragraph (b) of this section, the field strength of emissions from intentional radiators operated within these frequency bands shall comply with the following:
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Federal Communications Commission § 15.250
Fundamental frequency
Field strength of
fundamental (millivolts/
meter)
Field strength of harmonics (microvolts/
meter)
902–928 MHz ............................ 50 500 2400–2483.5 MHz ..................... 50 500 5725–5875 MHz ........................ 50 500 24.0–24.25 GHz ........................ 250 2500
(b) Fixed, point-to-point operation as referred to in this paragraph shall be limited to systems employing a fixed transmitter transmitting to a fixed re- mote location. Point-to-multipoint systems, omnidirectional applications, and multiple co-located intentional ra- diators transmitting the same informa- tion are not allowed. Fixed, point-to- point operation is permitted in the 24.05–24.25 GHz band subject to the fol- lowing conditions:
(1) The field strength of emissions in this band shall not exceed 2500 millivolts/meter.
(2) The frequency tolerance of the carrier signal shall be maintained within ±0.001% of the operating fre- quency over a temperature variation of -20 degrees to +50 degrees C at normal supply voltage, and for a variation in the primary supply voltage from 85% to 115% of the rated supply voltage at a temperature of 20 degrees C. For bat- tery operated equipment, the equip- ment tests shall be performed using a new battery.
(3) Antenna gain must be at least 33 dBi. Alternatively, the main lobe beamwidth must not exceed 3.5 degrees. The beamwidth limit shall apply to both the azimuth and elevation planes. At antenna gains over 33 dBi or beamwidths narrower than 3.5 degrees, power must be reduced to ensure that the field strength does not exceed 2500 millivolts/meter.
(c) Field strength limits are specified at a distance of 3 meters.
(d) Emissions radiated outside of the specified frequency bands, except for harmonics, shall be attenuated by at least 50 dB below the level of the funda- mental or to the general radiated emis- sion limits in § 15.209, whichever is the lesser attenuation.
(e) As shown in § 15.35(b), for fre- quencies above 1000 MHz, the field strength limits in paragraphs (a) and (b) of this section are based on average limits. However, the peak field
strength of any emission shall not ex- ceed the maximum permitted average limits specified above by more than 20 dB under any condition of modulation. For point-to-point operation under paragraph (b) of this section, the peak field strength shall not exceed 2500 millivolts/meter at 3 meters along the antenna azimuth.
(f) Parties considering the manufac- ture, importation, marketing or oper- ation of equipment under this section should also note the requirement in § 15.37(d).
[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 25095, June 20, 1990; 67 FR 1625, Jan. 14, 2002]
§ 15.250 Operation of wideband sys- tems within the band 5925–7250 MHz.
(a) The ¥10 dB bandwidth of a device operating under the provisions of this section must be contained within the 5925–7250 MHz band under all conditions of operation including the effects from stepped frequency, frequency hopping or other modulation techniques that may be employed as well as the fre- quency stability of the transmitter over expected variations in tempera- ture and supply voltage.
(b) The ¥10 dB bandwidth of the fun- damental emission shall be at least 50 MHz. For transmitters that employ fre- quency hopping, stepped frequency or similar modulation types, measure- ment of the ¥10 dB minimum band- width specified in this paragraph shall be made with the frequency hop or step function disabled and with the trans- mitter operating continuously at a fun- damental frequency following the pro- visions of § 15.31(m).
(c) Operation on board an aircraft or a satellite is prohibited. Devices oper- ating under this section may not be employed for the operation of toys. Ex- cept for operation onboard a ship or a terrestrial transportation vehicle, the use of a fixed outdoor infrastructure is prohibited. A fixed infrastructure in- cludes antennas mounted on outdoor structures, e.g., antennas mounted on the outside of a building or on a tele- phone pole.
(d) Emissions from a transmitter op- erating under this section shall not ex- ceed the following equivalent
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47 CFR Ch. I (10–1–10 Edition)§ 15.250
isotropically radiated power (EIRP) density levels:
(1) The radiated emissions above 960 MHz from a device operating under the provisions of this section shall not ex- ceed the following RMS average limits based on measurements using a 1 MHz resolution bandwidth:
Frequency in MHz EIRP indBm
960–1610 ............................................................... ¥75.3 1610–1990 ............................................................. ¥63.3 1990–3100 ............................................................. ¥61.3 3100–5925 ............................................................. ¥51.3 5925–7250 ............................................................. ¥41.3 7250–10600 ........................................................... ¥51.3 Above 10600 ......................................................... ¥61.3
(2) In addition to the radiated emis- sion limits specified in the table in paragraph (d)(1) of this section, trans- mitters operating under the provisions of this section shall not exceed the fol- lowing RMS average limits when meas- ured using a resolution bandwidth of no less than 1 kHz:
Frequency in MHz EIRP indBm
1164–1240 ............................................................. ¥85.3 1559–1610 ............................................................. ¥85.3
(3) There is a limit on the peak level of the emissions contained within a 50 MHz bandwidth centered on the fre- quency at which the highest radiated emission occurs and this 50 MHz band- width must be contained within the 5925–7250 MHz band. The peak EIRP limit is 20 log (RBW/50) dBm where RBW is the resolution bandwidth in megahertz that is employed by the measurement instrument. RBW shall not be lower than 1 MHz or greater than 50 MHz. The video bandwidth of the measurement instrument shall not be less than RBW. If RBW is greater than 3 MHz, the application for certifi- cation filed with the Commission shall contain a detailed description of the test procedure, calibration of the test setup, and the instrumentation em- ployed in the testing.
(4) Radiated emissions at or below 960 MHz shall not exceed the emission lev- els in § 15.209.
(5) Emissions from digital circuitry used to enable the operation of the transmitter may comply with the lim- its in § 15.209 provided it can be clearly demonstrated that those emissions are
due solely to emissions from digital circuitry contained within the trans- mitter and the emissions are not in- tended to be radiated from the trans- mitter’s antenna. Emissions from asso- ciated digital devices, as defined in § 15.3(k), e.g., emissions from digital circuitry used to control additional functions or capabilities other than the operation of the transmitter, are sub- ject to the limits contained in subpart B of this part. Emissisons from these digital circuits shall not be employed in determining the ¥10 dB bandwidth of the fundamental emission or the fre- quency at which the highest emission level occurs.
(e) Measurement procedures: (1) All emissions at and below 960
MHz are based on measurements em- ploying a CISPR quasi-peak detector. Unless otherwise specified, all RMS av- erage emission levels specified in this section are to be measured utilizing a 1 MHz resolution bandwidth with a one millisecond dwell over each 1 MHz seg- ment. The frequency span of the ana- lyzer should equal the number of sam- pling bins times 1 MHz and the sweep rate of the analyzer should equal the number of sampling bins times one millisecond. The provision in § 15.35(c) that allows emissions to be averaged over a 100 millisecond period does not apply to devices operating under this section. The video bandwidth of the measurement instrument shall not be less than the resolution bandwidth and trace averaging shall not be employed. The RMS average emission measure- ment is to be repeated over multiple sweeps with the analyzer set for max- imum hold until the amplitude sta- bilizes.
(2) The peak emission measurement is to be repeated over multiple sweeps with the analyzer set for maximum hold until the amplitude stabilizes.
(3) For transmitters that employ fre- quency hopping, stepped frequency or similar modulation types, the peak emission level measurement, the meas- urement of the RMS average emission levels, and the measurement to deter- mine the frequency at which the high- est level emission occurs shall be made with the frequency hop or step function active. Gated signals may be measured with the gating active. The provisions
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Federal Communications Commission § 15.252
of § 15.31(c) continue to apply to trans- mitters that employ swept frequency modulation.
(4) The ¥10 dB bandwidth is based on measurement using a peak detector, a 1 MHz resolution bandwidth, and a video bandwidth greater than or equal to the resolution bandwidth.
(5) Alternative measurement proce- dures may be considered by the Com- mission.
[70 FR 6774, Feb. 9, 2005]
§ 15.251 Operation within the bands 2.9–3.26 GHz, 3.267–3.332 GHz, 3.339– 3.3458 GHz, and 3.358–3.6 GHz.
(a) Operation under the provisions of this section is limited to automatic ve- hicle identification systems (AVIS) which use swept frequency techniques for the purpose of automatically iden- tifying transportation vehicles.
(b) The field strength anywhere with- in the frequency range swept by the signal shall not exceed 3000 microvolts/ meter/MHz at 3 meters in any direc- tion. Further, an AVIS, when in its op- erating position, shall not produce a field strength greater than 400 microvolts/meter/MHz at 3 meters in any direction within ±10 degrees of the horizontal plane. In addition to the provisions of § 15.205, the field strength of radiated emissions outside the fre- quency range swept by the signal shall be limited to a maximum of 100 microvolts/meter/MHz at 3 meters, measured from 30 MHz to 20 GHz for the complete system. The emission limits in this paragraph are based on measurement instrumentation employ- ing an average detector. The provisions in § 15.35 for limiting peak emissions apply.
(c) The minimum sweep repetition rate of the signal shall not be lower than 4000 sweeps per second, and the maximum sweep repetition rate of the signal shall not exceed 50,000 sweeps per second.
(d) An AVIS shall employ a horn an- tenna or other comparable directional antenna for signal emission.
(e) Provision shall be made so that signal emission from the AVIS shall occur only when the vehicle to be iden- tified is within the radiated field of the system.
(f) In addition to the labelling re- quirements in § 15.19(a), the label at- tached to the AVIS transmitter shall contain a third statement regarding operational conditions, as follows:
* * * and, (3) during use this device (the antenna) may not be pointed within ±** de- grees of the horizontal plane.
The double asterisks in condition three (**) shall be replaced by the responsible party with the angular pointing re- striction necessary to meet the hori- zontal emission limit specified in para- graph (b).
(g) In addition to the information re- quired in subpart J of part 2, the appli- cation for certification shall contain:
(1) Measurements of field strength per MHz along with the intermediate frequency of the spectrum analyzer or equivalent measuring receiver;
(2) The angular separation between the direction at which maximum field strength occurs and the direction at which the field strength is reduced to 400 microvolts/meter/MHz at 3 meters;
(3) A photograph of the spectrum an- alyzer display showing the entire swept frequency signal and a calibrated scale for the vertical and horizontal axes; the spectrum analyzer settings that were used shall be labelled on the pho- tograph; and,
(4) The results of the frequency search for spurious and sideband emis- sions from 30 MHz to 20 GHz, exclusive of the swept frequency band, with the measuring instrument as close as pos- sible to the unit under test.
[54 FR 17714, Apr. 25, 1989; 54 FR 32340, Aug. 7, 1989]
§ 15.252 Operation of wideband vehic- ular radar systems within the bands 16.2–17.7 GHz and 23.12–29.0 GHz.
(a) Operation under this section is limited to field disturbance sensors that are mounted in terrestrial trans- portation vehicles. Terrestrial use is limited to earth surface-based, non- aviation applications. Operation within the 16.2–17.7 GHz band is limited to field disturbance sensors that are used only for back-up assistance and that operate only when the vehicle is en- gaged in reverse.
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47 CFR Ch. I (10–1–10 Edition)§ 15.252
(1) The ¥10 dB bandwidth of the fun- damental emission shall be located within the 16.2–17.7 GHz band or within the 23.12–29.0 GHz band, exclusive of the 23.6–24.0 GHz restricted band, as ap- propriate, under all conditions of oper- ation including the effects from stepped frequency, frequency hopping or other modulation techniques that may be employed as well as the fre- quency stability of the transmitter over expected variations in tempera- ture and supply voltage.
(2) The ¥10 dB bandwidth of the fun- damental emission shall be 10 MHz or greater. For transmitters that employ frequency hopping, stepped frequency or similar modulation types, measure- ment of the ¥10 dB minimum band- width specified in this paragraph shall be made with the frequency hop or step function disabled and with the trans- mitter operating continuously at a fun- damental frequency following the pro- visions of § 15.31(m).
(3) For systems operating in the 23.12–29.0 GHz band, the frequencies at which the highest average emission level and at which the highest peak level emission appear shall be greater than 24.075 GHz.
(4) These devices shall operate only when the vehicle is operating, e.g., the engine is running. Operation shall occur only upon specific activation, such as upon starting the vehicle, changing gears, or engaging a turn sig- nal. The operation of these devices shall be related to the proper func- tioning of the transportation vehicle, e.g., collision avoidance.
(b) Emissions from a transmitter op- erating under this section shall not ex- ceed the following equivalent isotropically radiated power (EIRP) density levels:
(1) For transmitters operating in the 16.2–17.7 GHz band, the RMS average radiated emissions above 960 MHz from a device operating under the provisions of this section shall not exceed the fol- lowing EIRP limits based on measure- ments using a 1 MHz resolution band- width:
Frequency in MHz EIRP indBm
960–1610 ............................................................... ¥75.3 1610–16,200 .......................................................... ¥61.3 16,200–17,700 ....................................................... ¥41.3
Frequency in MHz EIRP indBm
Above 17,700 ........................................................ ¥61.3
(2) For transmitters operating in the 23.12–29.0 GHz band, the RMS average radiated emissions above 960 MHz from a device operating under the provisions of this section shall not exceed the fol- lowing EIRP limits based on measure- ments using a 1 MHz resolution band- width:
Frequency in MHz EIRP indBm
960–1610 ............................................................... ¥75.3 1610–23,120 .......................................................... ¥61.3 23,120–23,600 ....................................................... ¥41.3 23,600–24,000 ....................................................... ¥61.3 24,000–29,000 ....................................................... ¥41.3 Above 29,000 ........................................................ —61.3
(3) In addition to the radiated emis- sion limits specified in the tables in paragraphs (b)(1) and (b)(2) of this sec- tion, transmitters operating under the provisions of this section shall not ex- ceed the following RMS average EIRP limits when measured using a resolu- tion bandwidth of no less than 1 kHz:
Frequency in MHz EIRP indBm
1164–1240 ............................................................. ¥85.3 1559–1610 ............................................................. ¥85.3
(4) There is a limit on the peak level of the emissions contained within a 50 MHz bandwidth centered on the fre- quency at which the highest radiated emission occurs and this 50 MHz band- width must be contained within the 16.2–17.7 GHz band or the 24.05–29.0 GHz band, as appropriate. The peak EIRP limit is 20 log (RBW/50) dBm where RBW is the resolution bandwidth in MHz employed by the measurement in- strument. RBW shall not be lower than 1 MHz or greater than 50 MHz. Further, RBW shall not be greater than the ¥10 dB bandwidth of the device under test. For transmitters that employ fre- quency hopping, stepped frequency or similar modulation types, measure- ment of the ¥10 dB minimum band- width specified in this paragraph shall be made with the frequency hop or step function disabled and with the trans- mitter operating continuously at a fun- damental frequency. The video band- width of the measurement instrument
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shall not be less than RBW. The limit on peak emissions applies to the 50 MHz bandwidth centered on the fre- quency at which the highest level radi- ated emission occurs. If RBW is greater than 3 MHz, the application for certifi- cation shall contain a detailed descrip- tion of the test procedure, the instru- mentation employed in the testing, and the calibration of the test setup.
(5) Radiated emissions at or below 960 MHz shall not exceed the emission lev- els in § 15.209.
(6) Emissions from digital circuitry used to enable the operation of the transmitter may comply with the lim- its in § 15.209 provided it can be clearly demonstrated that those emissions are due solely to emissions from digital circuitry contained within the trans- mitter and the emissions are not in- tended to be radiated from the trans- mitter’s antenna. Emissions from asso- ciated digital devices, as defined in § 15.3(k) , e.g., emissions from digital circuitry used to control additional functions or capabilities other than the operation of the transmitter, are sub- ject to the limits contained in subpart B of this part. Emissions from these digital circuits shall not be employed in determining the ¥10 dB bandwidth of the fundamental emission or the fre- quency at which the highest emission level occurs.
(c) Measurement procedures: (1) All emissions at and below 960
MHz are based on measurements em- ploying a CISPR quasi-peak detector. Unless otherwise specified, all RMS av- erage emission levels specified in this section are to be measured utilizing a 1 MHz resolution bandwidth with a one millisecond dwell over each 1 MHz seg- ment. The frequency span of the ana- lyzer should equal the number of sam- pling bins times 1 MHz and the sweep rate of the analyzer should equal the number of sampling bins times one millisecond. The provision in § 15.35(c) that allows emissions to be averaged over a 100 millisecond period does not apply to devices operating under this section. The video bandwidth of the measurement instrument shall not be less than the resolution bandwidth and trace averaging shall not be employed. The RMS average emission measure- ment is to be repeated over multiple
sweeps with the analyzer set for max- imum hold until the amplitude sta- bilizes.
(2) The peak emission measurement is to be repeated over multiple sweeps with the analyzer set for maximum hold until the amplitude stabilizes.
(3) For transmitters that employ fre- quency hopping, stepped frequency or similar modulation types, the peak emission level measurement, the meas- urement of the RMS average emission levels, the measurement to determine the center frequency, and the measure- ment to determine the frequency at which the highest level emission occurs shall be made with the frequency hop or step function active. Gated signals may be measured with the gating ac- tive. The provisions of § 15.31(c) con- tinue to apply to transmitters that em- ploy swept frequency modulation.
(4) The ¥10 dB bandwidth is based on measurement using a peak detector, a 1 MHz resolution bandwidth, and a video bandwidth greater than or equal to the resolution bandwidth.
(5) Alternative measurement proce- dures may be considered by the Com- mission.
[70 FR 6775, Feb. 9, 2005]
§ 15.253 Operation within the bands 46.7–46.9 GHz and 76.0–77.0 GHz.
(a) Operation within the bands 46.7– 46.9 GHz and 76.0–77.0 GHz is restricted to vehicle-mounted field disturbance sensors used as vehicle radar systems. The transmission of additional infor- mation, such as data, is permitted pro- vided the primary mode of operation is as a vehicle-mounted field disturbance sensor. Operation under the provisions of this section is not permitted on air- craft or satellites.
(b) The radiated emission limits within the bands 46.7–46.9 GHz and 76.0– 77.0 GHz are as follows:
(1) If the vehicle is not in motion, the power density of any emission within the bands specified in this section shall not exceed 200 nW/cm 2 at a distance of 3 meters from the exterior surface of the radiating structure.
(2) For forward-looking vehicle- mounted field disturbance sensors, if the vehicle is in motion the power den- sity of any emission within the bands
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specified in this section shall not ex- ceed 60 μW/cm 2 at a distance of 3 me- ters from the exterior surface of the ra- diating structure.
(3) For side-looking or rear-looking vehicle-mounted field disturbance sen- sors, if the vehicle is in motion the power density of any emission within the bands specified in this section shall not exceed 30 μW/cm 2 at a distance of 3 meters from the exterior surface of the radiating structure.
(c) The power density of any emis- sions outside the operating band shall consist solely of spurious emissions and shall not exceed the following:
(1) Radiated emissions below 40 GHz shall not exceed the general limits in § 15.209.
(2) Radiated emissions outside the operating band and between 40 GHz and 200 GHz shall not exceed the following:
(i) For vehicle-mounted field disturb- ance sensors operating in the band 46.7– 46.9 GHz: 2 pW/cm2 at a distance of 3 meters from the exterior surface of the radiating structure.
(ii) For forward-looking vehicle- mounted field disturbance sensors op- erating in the band 76–77 GHz: 600 pW/ cm2 at a distance of 3 meters from the exterior surface of the radiating struc- ture.
(iii) For side-looking or rear-looking vehicle-mounted field disturbance sen- sors operating in the band 76–77 GHz: 300 pW/cm2 at a distance of 3 meters from the exterior surface of the radi- ating structure.
(3) For radiated emissions above 200 GHz from field disturbance sensors op- erating in the 76–77 GHz band: the power density of any emission shall not exceed 1000 pW/cm2 at a distance of 3 meters from the exterior surface of the radiating structure.
(4) For field disturbance sensors oper- ating in the 76–77 GHz band, the spec- trum shall be investigated up to 231 GHz.
(d) The provisions in § 15.35 limiting peak emissions apply.
(e) Fundamental emissions must be contained within the frequency bands specified in this section during all con- ditions of operation. Equipment is pre- sumed to operate over the temperature range ¥20 to +50 degrees celsius with an input voltage variation of 85% to
115% of rated input voltage, unless jus- tification is presented to demonstrate otherwise.
(f) Regardless of the power density levels permitted under this section, de- vices operating under the provisions of this section are subject to the radio- frequency radiation exposure require- ments specified in §§ 1.1307(b), 2.1091 and 2.1093 of this chapter, as appropriate. Applications for equipment authoriza- tion of devices operating under this section must contain a statement con- firming compliance with these require- ments for both fundamental emissions and unwanted emissions. Technical in- formation showing the basis for this statement must be submitted to the Commission upon request.
[61 FR 14503, Apr. 2, 1996, as amended at 61 FR 41018, Aug. 7, 1996; 63 FR 42279, Aug. 7, 1998]
§ 15.255 Operation within the band 57– 64 GHz.
(a) Operation under the provisions of this section is not permitted for the following products:
(1) Equipment used on aircraft or sat- ellites.
(2) Field disturbance sensors, includ- ing vehicle radar systems, unless the field disturbance sensors are employed for fixed operation. For the purposes of this section, the reference to fixed op- eration includes field disturbance sen- sors installed in fixed equipment, even if the sensor itself moves within the equipment.
(b) Within the 57–64 GHz band, emis- sion levels shall not exceed the fol- lowing:
(1) For products other than fixed field disturbance sensors, the average power density of any emission, measured dur- ing the transmit interval, shall not ex- ceed 9 μW/cm2, as measured 3 meters from the radiating structure, and the peak power density of any emission shall not exceed 18 μW/cm2, as meas- ured 3 meters from the radiating struc- ture.
(2) For fixed field disturbance sensors that occupy 500 MHz or less of band- width and that are contained wholly within the frequency band 61.0–61.5 GHz, the average power density of any emission, measured during the trans- mit interval, shall not exceed 9 μW/cm2,
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as measured 3 meters from the radi- ating structure, and the peak power density of any emission shall not ex- ceed 18 μW/cm2, as measured 3 meters from the radiating structure. In addi- tion, the average power density of any emission outside of the 61–61.5 GHz band, measured during the transmit in- terval, but still within the 57–64 GHz band, shall not exceed 9 nW/cm2, as measured 3 meters from the radiating structure, and the peak power density of any emission shall not exceed 18 nW/ cm2, as measured three meters from the radiating structure.
(3) For fixed field disturbance sensors other than those operating under the provisions of paragraph (b)(2) of this section, the peak transmitter output power shall not exceed 0.1 mW and the peak power density shall not exceed 9 nW/cm2 at a distance of 3 meters.
(4) Peak power density shall be meas- ured with an RF detector that has a de- tection bandwidth that encompasses the 57–64 GHz band and has a video bandwidth of at least 10 MHz, or using an equivalent measurement method.
(5) The average emission levels shall be calculated, based on the measured peak levels, over the actual time pe- riod during which transmission occurs.
(c) Limits on spurious emissions: (1) The power density of any emis-
sions outside the 57–64 GHz band shall consist solely of spurious emissions.
(2) Radiated emissions below 40 GHz shall not exceed the general limits in § 15.209.
(3) Between 40 GHz and 200 GHz, the level of these emissions shall not ex- ceed 90 pW/cm2 at a distance of 3 me- ters.
(4) The levels of the spurious emis- sions shall not exceed the level of the fundamental emission.
(d) Only spurious emissions and transmissions related to a publicly-ac- cessible coordination channel, whose purpose is to coordinate operation be- tween diverse transmitters with a view towards reducing the probability of in- terference throughout the 57–64 GHz band, are permitted in the 57–57.05 GHz band.
NOTE TO PARAGRAPH (d): The 57–57.05 GHz is reserved exclusively for a publicly-accessible coordination channel. The development of standards for this channel shall be performed
pursuant to authorizations issued under part 5 of this chapter.
(e) Except as specified elsewhere in this paragraph (e), the total peak transmitter output power shall not ex- ceed 500 mW.
(1) Transmitters with an emission bandwidth of less than 100 MHz must limit their peak transmitter output power to the product of 500 mW times their emission bandwidth divided by 100 MHz. For the purposes of this para- graph (e)(1), emission bandwidth is de- fined as the instantaneous frequency range occupied by a steady state radi- ated signal with modulation, outside which the radiated power spectral den- sity never exceeds 6 dB below the max- imum radiated power spectral density in the band, as measured with a 100 kHz resolution bandwidth spectrum ana- lyzer. The center frequency must be stationary during the measurement in- terval, even if not stationary during normal operation (e.g. for frequency hopping devices).
(2) Peak transmitter output power shall be measured with an RF detector that has a detection bandwidth that encompasses the 57–64 GHz band and that has a video bandwidth of at least 10 MHz, or using an equivalent meas- urement method.
(3) For purposes of demonstrating compliance with this paragraph (e), corrections to the transmitter output power may be made due to the antenna and circuit loss.
(f) Fundamental emissions must be contained within the frequency bands specified in this section during all con- ditions of operation. Equipment is pre- sumed to operate over the temperature range ¥20 to +50 degrees celsius with an input voltage variation of 85% to 115% of rated input voltage, unless jus- tification is presented to demonstrate otherwise.
(g) Regardless of the power density levels permitted under this section, de- vices operating under the provisions of this section are subject to the radio- frequency radiation exposure require- ments specified in §§ 1.1307(b), 2.1091 and 2.1093 of this chapter, as appropriate. Applications for equipment authoriza- tion of devices operating under this
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section must contain a statement con- firming compliance with these require- ments for both fundamental emissions and unwanted emissions. Technical in- formation showing the basis for this statement must be submitted to the Commission upon request.
(h) Any transmitter that has received the necessary FCC equipment author- ization under the rules of this chapter may be mounted in a group installa- tion for simultaneous operation with one or more other transmitter(s) that have received the necessary FCC equip- ment authorization, without any addi- tional equipment authorization. How- ever, no transmitter operating under the provisions of this section may be equipped with external phase-locking inputs that permit beam-forming ar- rays to be realized.
(i) For all transmissions that ema- nate from inside of a building, within any one second interval of signal trans- mission, each transmitter with a peak output power equal to or greater than 0.1 mW or a peak power density equal to or greater than 3 nW/cm2, as meas- ured 3 meters from the radiating struc- ture, must transmit a transmitter identification at least once. Each ap- plication for equipment authorization for equipment that will be used inside of a building must declare that the equipment contains the required trans- mitter identification feature and must specify a method whereby interested parties can obtain sufficient informa- tion, at no cost, to enable them to fully detect and decode this transmitter identification information. Upon the completion of decoding, the trans- mitter identification data block must provide the following fields:
(1) FCC Identifier, which shall be pro- grammed at the factory.
(2) Manufacturer’s serial number, which shall be programmed at the fac- tory.
(3) Provision for at least 24 bytes of data relevant to the specific device, which shall be field programmable. The grantee must implement a method that makes it possible for users to specify and update this data. The rec- ommended content of this field is in-
formation to assist in contacting the operator.
[63 FR 42279, Aug. 7, 1998, as amended at 66 FR 7409, Jan. 23, 2001; 68 FR 68547, Dec. 9, 2003]
§ 15.257 Operation within the band 92– 95 GHz.
(a) Operation of devices under the provisions of this section is limited to indoor use;
(1) Devices operating under the provi- sions of this section, by the nature of their design, must be capable of oper- ation only indoors. The necessity to operate with a fixed indoor infrastruc- ture, e.g., a transmitter that must be connected to the AC power lines, may be considered sufficient to demonstrate this.
(2) The use of outdoor mounted an- tennas, e.g., antennas mounted on the outside of a building or on a telephone pole, or any other outdoors infrastruc- ture is prohibited.
(3) The emissions from equipment op- erated under this section shall not be intentionally directed outside of the building in which the equipment is lo- cated, such as through a window or a doorway.
(4) Devices operating under the provi- sions of this section shall bear the fol- lowing or similar statement in a con- spicuous location on the device or in the instruction manual supplied with the device: ‘‘This equipment may only be operated indoors. Operation out- doors is in violation of 47 U.S.C. 301 and could subject the operator to serious legal penalties.’’
(b) Operation under the provisions of this section is not permitted on air- craft or satellites.
(c) Within the 92–95 GHz bands, the emission levels shall not exceed the following:
(1) The average power density of any emission, measured during the trans- mit interval, shall not exceed 9 uW/sq. cm, as measured at 3 meters from the radiating structure, and the peak power density of any emission shall not exceed 18 uW/sq. cm, as measured 3 me- ters from the radiating structure.
(2) Peak power density shall be meas- ured with an RF detector that has a de- tection bandwidth that encompasses the band being used and has a video
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bandwidth of at least 10 MHz, or uses an equivalent measurement method.
(3) The average emission limits shall be calculated based on the measured peak levels, over the actual time pe- riod during which transmission occurs.
(d) Limits on spurious emissions: (1) The power density of any emis-
sions outside the band being used shall consist solely of spurious emissions.
(2) Radiated emissions below 40 GHz shall not exceed the general limits in § 15.209.
(3) Between 40 GHz and 200 GHz, the level of these emissions shall not ex- ceed 90 pW/cm 2 at a distance of 3 me- ters.
(4) The levels of the spurious emis- sions shall not exceed the level of the fundamental emission.
(e) The total peak transmitter output power shall not exceed 500 mW.
(f) Fundamental emissions must be contained within the frequency bands specified in this section during all con- ditions of operation. Equipment is pre- sumed to operate over the temperature range ¥20 to +50 degrees Celsius with an input voltage variation of 85% to 115% of rated input voltage, unless jus- tification is presented to demonstrate otherwise.
(g) Regardless of the maximum EIRP and maximum power density levels permitted under this section, devices operating under the provisions of this section are subject to the radio- frequency radiation exposure require- ments specified in 47 CFR 1.1307(b), 2.1091, and 2.1093, as appropriate. Appli- cations for equipment authorization of devices operating under this section must contain a statement confirming compliance with these requirements for both fundamental emissions and unwanted emissions. Technical infor- mation showing the basis for this statement must be submitted to the Commission upon request.
(h) Any transmitter that has received the necessary FCC equipment author- ization under the rules of this chapter may be mounted in a group installa- tion for simultaneous operation with one or more other transmitter(s) that have received the necessary FCC equip- ment authorization, without any addi- tional equipment authorization. How- ever, no transmitter operating under
the provisions of this section may be equipped with external phase-locking inputs that permit beam-forming ar- rays to be realized.
[69 FR 3265, Jan. 23, 2004]
Subpart D—Unlicensed Personal Communications Service Devices
SOURCE: 58 FR 59180, Nov. 8, 1993, unless otherwise noted.
§ 15.301 Scope. This subpart sets out the regulations
for unlicensed personal communica- tions services (PCS) devices operating in the 1920–1930 MHz band.
[69 FR 77949, Dec. 29, 2004]
§ 15.303 Definitions. (a) Asynchronous devices. Devices that
transmit RF energy at irregular time intervals, as typified by local area net- work data systems.
(b) Coordinatable PCS device. PCS de- vices whose geographical area of oper- ation is sufficiently controlled either by necessity of operation with a fixed infrastructure or by disabling mecha- nisms to allow adequate coordination of their locations relative to incum- bent fixed microwave facilities.
(c) Emission bandwidth. For purposes of this subpart the emission bandwidth shall be determined by measuring the width of the signal between two points, one below the carrier center frequency and one above the carrier center fre- quency, that are 26 dB down relative to the maximum level of the modulated carrier. Compliance with the emissions limits is based on the use of measure- ment instrumentation employing a peak detector function with an instru- ment resolutions bandwidth approxi- mately equal to 1.0 percent of the emis- sion bandwidth of the device under measurement.
(d) Isochronous devices. Devices that transmit at a regular interval, typified by time-division voice systems.
(e) Noncoordinatable PCS device. A PCS device that is capable of randomly roaming and operating in geographic areas containing incumbent microwave facilities such that operation of the PCS device will potentially cause
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harmful interference to the incumbent microwave facilities.
(f) Peak transmit power. The peak power output as measured over an in- terval of time equal to the frame rate or transmission burst of the device under all conditions of modulation. Usually this parameter is measured as a conducted emission by direct connec- tion of a calibrated test instrument to the equipment under test. If the device cannot be connected directly, alter- native techniques acceptable to the Commission may be used.
(g) Personal Communications Services (PCS) Devices [Unlicensed]. Intentional radiators operating in the frequency band 1920–1930 MHz that provide a wide array of mobile and ancillary fixed communication services to individuals and businesses.
(h) Spectrum window. An amount of spectrum equal to the intended emis- sion bandwidth in which operation is desired.
(i) Sub-band. For purposes of this sub- part the term sub-band refers to the spectrum allocated for isochronous or asynchronous transmission.
(j) Thermal noise power. The noise power in watts defined by the formula N=kTB where N is the noise power in watts, K is Boltzmann’s constant, T is the absolute temperature in degrees Kelvin (e.g., 295 °K) and B is the emis- sion bandwidth of the device in hertz.
(k) Time window. An interval of time in which transmission is desired.
[58 FR 59180, Nov. 8, 1993, as amended at 59 FR 32852, June 24, 1994; 60 FR 13073, Mar. 10, 1995; 69 FR 62620, Oct. 27, 2004; 69 FR 77949, Dec. 29, 2004]
§ 15.305 Equipment authorization re- quirement.
PCS devices operating under this subpart shall be certified by the Com- mission under the procedures in sub- part J of part 2 of this chapter before marketing. The application for certifi- cation must contain sufficient infor- mation to demonstrate compliance with the requirements of this subpart.
§ 15.307 Coordination with fixed microwave service.
(a) UTAM, Inc. is designated to co- ordinate and manage the transition of the 1910–1930 MHz band from the Pri-
vate Operational-Fixed Microwave Service (OFS) operating under part 101 of this chapter to unlicensed PCS oper- ations,
(b) Each application for certification of equipment operating under the pro- visions of this subpart must be accom- panied by an affidavit from UTAM, Inc. certifying that the applicant is a par- ticipating member of UTAM, Inc. In the event a grantee fails to fulfill the obligations attendant to participation in UTAM, Inc., the Commission may invoke administrative sanctions as necessary to preclude continued mar- keting and installation of devices cov- ered by the grant of certification, in- cluding but not limited to revoking certification.
(c) An application for certification of a PCS device that is deemed by UTAM, Inc. to be noncoordinatable will not be accepted until the Commission an- nounces that a need for coordination no longer exists.
(d) A coordinatable PCS device is re- quired to incorporate means that en- sure that it cannot be activated until its location has been coordinated by UTAM, Inc. The application for certifi- cation shall contain an explanation of all measures taken to prevent unau- thorized operation. This explanation shall include all procedural safeguards, such as the mandatory use of licensed technicians to install the equipment, and a complete description of all tech- nical features controlling activation of the device.
(e) A coordinatable PCS device shall incorporate an automatic mechanism for disabling operation in the event it is moved outside the geographic area where its operation has been coordi- nated by UTAM, Inc. The application for certification shall contain a full de- scription of the safeguards against un- authorized relocation and must satisfy the Commission that the safeguards cannot be easily defeated.
(f) At such time as the Commission deems that the need for coordination between unlicensed PCS operations and existing Part 101 Private Operational- Fixed Microwave Services ceases to exist, the disabling mechanism re- quired by paragraph (e) of this section will no longer be required.
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(g) Operations under the provisions of this subpart are required to protect systems in the Private Operational- Fixed Microwave Service operating within the 1850–1990 MHz band until the dates and conditions specified in §§ 101.69 through 101.73 of this chapter for termination of primary status. In- terference protection is not required for part 101 stations in this band li- censed on a secondary basis.
(h) The operator of a PCS device that is relocated from the coordinated area specified by UTAM, Inc., must cease operating the device until coordination for the new location is verified by UTAM, Inc.
[58 FR 59180, Nov. 8, 1993, as amended at 59 FR 32852, June 24, 1994; 60 FR 27425, May 24, 1995; 61 FR 29689, June 12, 1996]
§ 15.309 Cross reference. (a) The provisions of subpart A of
this part apply to unlicensed PCS de- vices, except where specific provisions are contained in subpart D.
(b) The requirements of subpart D apply only to the radio transmitter contained in the PCS device. Other as- pects of the operation of a PCS device may be subject to requirements con- tained elsewhere in this chapter. In particular, a PCS device that includes digital circuitry not directly associ- ated with the radio transmitter also is subject to the requirements for unin- tentional radiators in subpart B.
§ 15.311 Labeling requirements. In addition to the labeling require-
ments of § 15.19(a)(3), all devices oper- ating in the frequency band 1920–1930 MHz authorized under this subpart must bear a prominently located label with the following statement:
Installation of this equipment is sub- ject to notification and coordination with UTAM, Inc. Any relocation of this equipment must be coordinated through, and approved by UTAM. UTAM may be contacted at 1–800–429– 8826.
[69 FR 62620, Oct. 27, 2004]
§ 15.313 Measurement procedures. Measurements must be made in ac-
cordance with subpart A, except where specific procedures are specified in sub-
part D. If no guidance is provided, the measurement procedure must be in ac- cordance with good engineering prac- tice.
§ 15.315 Conducted limits. An unlicensed PCS device that is de-
signed to be connected to the public utility (AC) power line must meet the limits specified in § 15.207.
§ 15.317 Antenna requirement. An unlicensed PCS device must meet
the antenna requirement of § 15.203.
§ 15.319 General technical require- ments.
(a) [Reserved] (b) All transmissions must use only
digital modulation techniques. (c) Peak transmit power shall not ex-
ceed 100 microwatts multiplied by the square root of the emission bandwidth in hertz. Peak transmit power must be measured over any interval of contin- uous transmission using instrumenta- tion calibrated in terms of an rms- equivalent voltage. The measurement results shall be properly adjusted for any instrument limitations, such as de- tector response times, limited resolu- tion bandwidth capability when com- pared to the emission bandwidth, sensi- tivity, etc., so as to obtain a true peak measurement for the emission in ques- tion over the full bandwidth of the channel.
(d) Power spectral density shall not exceed 3 milliwatts in any 3 kHz band- width as measured with a spectrum an- alyzer having a resolution bandwidth of 3 kHz.
(e) The peak transmit power shall be reduced by the amount in decibels that the maximum directional gain of the antenna exceeds 3 dBi.
(f) The device shall automatically discontinue transmission in case of ei- ther absence of information to trans- mit or operational failure. The provi- sions in this section are not intended to preclude transmission of control and signaling information or use of repet- itive codes used by certain digital tech- nologies to complete frame or burst in- tervals.
(g) Notwithstanding other technical requirements specified in this subpart, attenuation of emissions below the
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general emission limits in § 15.209 is not required.
(h) Where there is a transition be- tween limits, the tighter limit shall apply at the transition point.
(i) Unlicensed PCS devices are sub- ject to the radiofrequency radiation ex- posure requirements specified in §§ 1.1307(b), 2.1091 and 2.1093 of this chapter, as appropriate. All equipment shall be considered to operate in a ‘‘general population/uncontrolled’’ en- vironment. Applications for equipment authorization of devices operating under this section must contain a statement confirming compliance with these requirements for both funda- mental emissions and unwanted emis- sions. Technical information showing the basis for this statement must be submitted to the Commission upon re- quest.
[58 FR 59180, Nov. 8, 1993, as amended at 59 FR 32852, June 24, 1994; 59 FR 40835, Aug. 10, 1994; 60 FR 13073, Mar. 10, 1995; 61 FR 41018, Aug. 7, 1996; 69 FR 62621, Oct. 27, 2004; 69 FR 77949, Dec. 29, 2004]
§ 15.321 [Reserved]
§ 15.323 Specific requirements for de- vices operating in the 1920–1930 MHz sub-band.
(a) Operation shall be contained within the 1920–1930 MHz band. The emission bandwidth shall be less then 2.5 MHz. The power level shall be as specified in § 15.319(c), but in no event shall the emission bandwidth be less than 50 kHz.
(b) [Reserved] (c) Devices must incorporate a mech-
anism for monitoring the time and spectrum windows that its trans- mission is intended to occupy. The fol- lowing criteria must be met:
(1) Immediately prior to initiating transmission, devices must monitor the combined time and spectrum win- dows in which they intend to transmit for a period of at least 10 milliseconds for systems designed to use a 10 milli- seconds or shorter frame period or at least 20 milliseconds for systems de- signed to use a 20 milliseconds frame period.
(2) The monitoring threshold must not be more than 30 dB above the ther- mal noise power for a bandwidth equiv-
alent to the emission bandwidth used by the device.
(3) If no signal above the threshold level is detected, transmission may commence and continue with the same emission bandwidth in the monitored time and spectrum windows without further monitoring. However, occupa- tion of the same combined time and spectrum windows by a device or group of cooperating devices continuously over a period of time longer than 8 hours is not permitted without repeat- ing the access criteria.
(4) Once access to specific combined time and spectrum windows is obtained an acknowledgment from a system par- ticipant must be received by the initi- ating transmitter within one second or transmission must cease. Periodic ac- knowledgments must be received at least every 30 seconds or transmission must cease. Channels used exclusively for control and signaling information may transmit continuously for 30 sec- onds without receiving an acknowledg- ment, at which time the access criteria must be repeated.
(5) If access to spectrum is not avail- able as determined by the above, and a minimum of 40 duplex system access channels are defined for the system, the time and spectrum windows with the lowest power level below a moni- toring threshold of 50 dB above the thermal noise power determined for the emission bandwidth may be accessed. A device utilizing the provisions of this paragraph must have monitored all ac- cess channels defined for its system within the last 10 seconds and must verify, within the 20 milliseconds (40 milliseconds for devices designed to use a 20 milliseconds frame period) imme- diately preceding actual channel access that the detected power of the selected time and spectrum windows is no high- er than the previously detected value. The power measurement resolution for this comparison must be accurate to within 6 dB. No device or group of co- operating devices located within 1 meter of each other shall during any frame period occupy more than 6 MHz of aggregate bandwidth, or alter- natively, more than one third of the time and spectrum windows defined by the system.
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(6) If the selected combined time and spectrum windows are unavailable, the device may either monitor and select different windows or seek to use the same windows after waiting an amount of time, randomly chosen from a uni- form random distribution between 10 and 150 milliseconds, commencing when the channel becomes available.
(7) The monitoring system bandwidth must be equal to or greater than the emission bandwidth of the intended transmission and have a maximum re- action time less than 50xSQRT (1.25/ emission bandwidth in MHz) microsec- onds for signals at the applicable threshold level but shall not be re- quired to be less than 50 microseconds. If a signal is detected that is 6 dB or more above the applicable threshold level, the maximum reaction time shall be 35xSQRT (1.25/emission band- width in MHz) microseconds but shall not be required to be less than 35 microseconds.
(8) The monitoring system shall use the same antenna used for trans- mission, or an antenna that yields equivalent reception at that location.
(9) Devices that have a power output lower than the maximum permitted under this subpart may increase their monitoring detection threshold by one decibel for each one decibel that the transmitter power is below the max- imum permitted.
(10) An initiating device may attempt to establish a duplex connection by monitoring both its intended transmit and receive time and spectrum win- dows. If both the intended transmit and receive time and spectrum win- dows meet the access criteria, then the initiating device can initiate a trans- mission in the intended transmit time and spectrum window. If the power de- tected by the responding device can be decoded as a duplex connection signal from the initiating device, then the re- sponding device may immediately begin transmitting on the receive time and spectrum window monitored by the initiating device.
(11) An initiating device that is pre- vented from monitoring during its in- tended transmit window due to moni- toring system blocking from the trans- missions of a co-located (within one meter) transmitter of the same system,
may monitor the portions of the time and spectrum windows in which they intend to receive over a period of at least 10 milliseconds. The monitored time and spectrum window must total at least 50 percent of the 10 millisecond frame interval and the monitored spec- trum must be within 1.25 MHz of the center frequency of channel(s) already occupied by that device or co-located co-operating devices. If the access cri- teria is met for the intended receive time and spectrum window under the above conditions, then transmission in the intended transmit window by the initiating device may commence.
(12) The provisions of (c)(10) or (c)(11) of this section shall not be used to ex- tend the range of spectrum occupied over space or time for the purpose of denying fair access to spectrum to other devices.
(d) Emissions outside the sub-band shall be attenuated below a reference power of 112 milliwatts as follows: 30 dB between the sub-band and 1.25 MHz above or below the sub-band; 50 dB be- tween 1.25 and 2.5 MHz above or below the sub-band; and 60 dB at 2.5 MHz or greater above or below the sub-band. Emissions inside the sub-band must comply with the following emission mask: In the bands between 1B and 2B measured from the center of the emis- sion bandwidth the total power emitted by the device shall be at least 30 dB below the transmit power permitted for that device; in the bands between 2B and 3B measured from the center of the emission bandwidth the total power emitted by an intentional radiator shall be at least 50 dB below the trans- mit power permitted for that radiator; in the bands between 3B and the sub- band edge the total power emitted by an intentional radiator in the measure- ment bandwidth shall be at least 60 dB below the transmit power permitted for that radiator. ‘‘B’’ is defined as the emission bandwidth of the device in hertz. Compliance with the emission limits is based on the use of measure- ment instrumentation employing peak detector function with an instrument resolution bandwidth approximately equal to 1.0 percent of the emission bandwidth of the device under meas- urement.
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47 CFR Ch. I (10–1–10 Edition)§ 15.401
(e) The frame period (a set of con- secutive time slots in which the posi- tion of each time slot can be identified by reference to a synchronizing source) of an intentional radiator operating in these sub-bands shall be 20 milliseconds or 10 milliseconds/X where X is a posi- tive whole number. Each device that implements time division for the pur- poses of maintaining a duplex connec- tion on a given frequency carrier shall maintain a frame repetition rate with a frequency stability of at least 50 parts per million (ppm). Each device which further divides access in time in order to support multiple communica- tion links on a given frequency carrier shall maintain a frame repetition rate with a frequency stability of at least 10 ppm. The jitter (time-related, abrupt, spurious variations in the duration of the frame interval) introduced at the two ends of such a communication link shall not exceed 25 microseconds for any two consecutive transmissions. Transmissions shall be continuous in every time and spectrum window dur- ing the frame period defined for the de- vice.
(f) The frequency stability of the car- rier frequency of the intentional radi- ator shall be maintained within ±10 ppm over 1 hour or the interval be- tween channel access monitoring, whichever is shorter. The frequency stability shall be maintained over a temperature variation of ¥20° to +50 °C at normal supply voltage, and over a variation in the primary supply volt- age of 85 percent to 115 percent of the rated supply voltage at a temperature of 20 °C. For equipment that is capable only of operating from a battery, the frequency stability tests shall be per- formed using a new battery without any further requirement to vary supply voltage.
[58 FR 59180, Nov. 8, 1993; 59 FR 15269, Mar. 31, 1994. Redesignated at 59 FR 32852, June 24, 1994, as amended at 59 FR 32853, June 24, 1994; 59 FR 40835, Aug. 10, 1994; 59 FR 55373, Nov. 7, 1994; 60 FR 3303, Jan. 13, 1995; 69 FR 62621, Oct. 27, 2004]
Subpart E—Unlicensed National Information Infrastructure Devices
§ 15.401 Scope. This subpart sets out the regulations
for unlicensed National Information In- frastructure (U-NII) devices operating in the 5.15–5.35 GHz, 5.47–5.725 GHz and 5.725–5.825 GHz bands.
[69 FR 2686, Jan. 20, 2004]
§ 15.403 Definitions. (a) Access Point (AP). A U-NII trans-
ceiver that operates either as a bridge in a peer-to-peer connection or as a connector between the wired and wire- less segments of the network.
(b) Available Channel. A radio channel on which a Channel Availability Check has not identified the presence of a radar.
(c) Average Symbol Envelope Power. The average symbol envelope power is the average, taken over all symbols in the signaling alphabet, of the envelope power for each symbol.
(d) Channel Availability Check. A check during which the U-NII device listens on a particular radio channel to identify whether there is a radar oper- ating on that radio channel.
(e) Channel Move Time. The time needed by a U-NII device to cease all transmissions on the current channel upon detection of a radar signal above the DFS detection threshold.
(f) Digital modulation. The process by which the characteristics of a carrier wave are varied among a set of pre- determined discrete values in accord- ance with a digital modulating func- tion as specified in document ANSI C63.17–1998.
(g) Dynamic Frequency Selection (DFS) is a mechanism that dynamically de- tects signals from other systems and avoids co-channel operation with these systems, notably radar systems.
(h) DFS Detection Threshold. The re- quired detection level defined by de- tecting a received signal strength (RSS) that is greater than a threshold specified, within the U-NII device chan- nel bandwidth.
(i) Emission bandwidth. For purposes of this subpart the emission bandwidth shall be determined by measuring the width of the signal between two points,
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Federal Communications Commission § 15.407
one below the carrier center frequency and one above the carrier center fre- quency, that are 26 dB down relative to the maximum level of the modulated carrier. Determination of the emissions bandwidth is based on the use of meas- urement instrumentation employing a peak detector function with an instru- ment resolution bandwidth approxi- mately equal to 1.0 percent of the emis- sion bandwidth of the device under measurement.
(j) In-Service Monitoring. A mecha- nism to check a channel in use by the U-NII device for the presence of a radar.
(k) Non-Occupancy Period. The re- quired period in which, once a channel has been recognized as containing a radar signal by a U-NII device, the channel will not be selected as an available channel.
(l) Operating Channel. Once a U-NII device starts to operate on an Avail- able Channel then that channel be- comes the Operating Channel.
(m) Peak Power Spectral Density. The peak power spectral density is the maximum power spectral density, within the specified measurement bandwidth, within the U-NII device op- erating band.
(n) Maximum Conducted Output Power. The total transmit power delivered to all antennas and antenna elements averaged across all symbols in the sig- naling alphabet when the transmitter is operating at its maximum power control level. Power must be summed across all antennas and antenna ele- ments. The average must not include any time intervals during which the transmitter is off or is transmitting at a reduced power level. If multiple modes of operation are possible (e.g., alternative modulation methods), the maximum conducted output power is the highest total transmit power occurring in any mode.
(o) Power Spectral Density. The power spectral density is the total energy output per unit bandwidth from a pulse or sequence of pulses for which the transmit power is at its peak or max- imum level, divided by the total dura- tion of the pulses. This total time does not include the time between pulses during which the transmit power is off or below its maximum level.
(p) Pulse. A pulse is a continuous transmission of a sequence of modula- tion symbols, during which the average symbol envelope power is constant.
(q) RLAN. Radio Local Area Network. (r) Transmit Power Control (TPC). A
feature that enables a U-NII device to dynamically switch between several transmission power levels in the data transmission process.
(s) U-NII devices. Intentional radi- ators operating in the frequency bands 5.15–5.35 GHz and 5.470–5.825 GHz that use wideband digital modulation tech- niques and provide a wide array of high data rate mobile and fixed communica- tions for individuals, businesses, and institutions.
[69 FR 2687, Jan. 20, 2004, as amended at 69 FR 54036, Sept. 7, 2004]
§ 15.405 Cross reference. (a) The provisions of subparts A, B,
and C of this part apply to unlicensed U-NII devices, except where specific provisions are contained in subpart E. Manufacturers should note that this includes the provisions of §§ 15.203 and 15.205.
(b) The requirements of subpart E apply only to the radio transmitter contained in the U-NII device. Other aspects of the operation of a U-NII de- vice may be subject to requirements contained elsewhere in this chapter. In particular, a U-NII device that includes digital circuitry not directly associ- ated with the radio transmitter also is subject to the requirements for unin- tentional radiators in subpart B.
[63 FR 40835, July 31, 1998]
§ 15.407 General technical require- ments.
(a) Power limits: (1) For the band 5.15–5.25 GHz, the
maximum conducted output power over the frequency band of operation shall not exceed the lesser of 50 mW or 4 dBm + 10 log B, where B is the 26–dB emission bandwidth in MHz. In addi- tion, the peak power spectral density shall not exceed 4 dBm in any 1–MHz band. If transmitting antennas of di- rectional gain greater than 6 dBi are used, both the maximum conducted output power and the peak power spec- tral density shall be reduced by the
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amount in dB that the directional gain of the antenna exceeds 6 dBi.
(2) For the 5.25–5.35 GHz and 5.47–5.725 GHz bands, the maximum conducted output power over the frequency bands of operation shall not exceed the lesser of 250 mW or 11 dBm + 10 log B, where B is the 26 dB emission bandwidth in megahertz. In addition, the peak power spectral density shall not exceed 11 dBm in any 1 megahertz band. If trans- mitting antennas of directional gain greater than 6 dBi are used, both the maximum conducted output power and the peak power spectral density shall be reduced by the amount in dB that the directional gain of the antenna ex- ceeds 6 dBi.
(3) For the band 5.725–5.825 GHz, the maximum conducted output power over the frequency band of operation shall not exceed the lesser of 1 W or 17 dBm + 10 log B, where B is the 26-dB emis- sion bandwidth in MHz. In addition, the peak power spectral density shall not exceed 17 dBm in any 1–MHz band. If transmitting antennas of directional gain greater than 6 dBi are used, both the maximum conducted output power and the peak power spectral density shall be reduced by the amount in dB that the directional gain of the an- tenna exceeds 6 dBi. However, fixed point-to-point U-NII devices operating in this band may employ transmitting antennas with directional gain up to 23 dBi without any corresponding reduc- tion in the transmitter peak output power or peak power spectral density. For fixed, point-to-point U-NII trans- mitters that employ a directional an- tenna gain greater than 23 dBi, a 1 dB reduction in peak transmitter power and peak power spectral density for each 1 dB of antenna gain in excess of 23 dBi would be required. Fixed, point- to-point operations exclude the use of point-to-multipoint systems, omnidirectional applications, and mul- tiple collocated transmitters transmit- ting the same information. The oper- ator of the U-NII device, or if the equipment is professionally installed, the installer, is responsible for ensur- ing that systems employing high gain directional antennas are used exclu- sively for fixed, point-to-point oper- ations.
NOTE TO PARAGRAPH (a)(3): The Commission strongly recommends that parties employing U-NII devices to provide critical communica- tions services should determine if there are any nearby Government radar systems that could affect their operation.
(4) The maximum conducted output power must be measured over any in- terval of continuous transmission using instrumentation calibrated in terms of an rms-equivalent voltage. The measurement results shall be prop- erly adjusted for any instrument limi- tations, such as detector response times, limited resolution bandwidth capability when compared to the emis- sion bandwidth, sensitivity, etc., so as to obtain a true peak measurement conforming to the above definitions for the emission in question.
(5) The peak power spectral density is measured as a conducted emission by direct connection of a calibrated test instrument to the equipment under test. If the device cannot be connected directly, alternative techniques accept- able to the Commission may be used. Measurements are made over a band- width of 1 MHz or the 26 dB emission bandwidth of the device, whichever is less. A resolution bandwidth less than the measurement bandwidth can be used, provided that the measured power is integrated to show total power over the measurement band- width. If the resolution bandwidth is approximately equal to the measure- ment bandwidth, and much less than the emission bandwidth of the equip- ment under test, the measured results shall be corrected to account for any difference between the resolution band- width of the test instrument and its ac- tual noise bandwidth.
(6) The ratio of the peak excursion of the modulation envelope (measured using a peak hold function) to the max- imum conducted output power (meas- ured as specified above) shall not ex- ceed 13 dB across any 1 MHz bandwidth or the emission bandwidth whichever is less.
(b) Undesirable emission limits: Except as shown in paragraph (b)(6) of this sec- tion, the peak emissions outside of the frequency bands of operation shall be attenuated in accordance with the fol- lowing limits:
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(1) For transmitters operating in the 5.15–5.25 GHz band: all emissions out- side of the 5.15–5.35 GHz band shall not exceed an EIRP of –27 dBm/MHz.
(2) For transmitters operating in the 5.25–5.35 GHz band: all emissions out- side of the 5.15–5.35 GHz band shall not exceed an EIRP of –27 dBm/MHz. De- vices operating in the 5.25–5.35 GHz band that generate emissions in the 5.15–5.25 GHz band must meet all appli- cable technical requirements for oper- ation in the 5.15–5.25 GHz band (includ- ing indoor use) or alternatively meet an out-of-band emission EIRP limit of –27 dBm/MHz in the 5.15–5.25 GHz band.
(3) For transmitters operating in the 5.47–5.725 GHz band: all emissions out- side of the 5.47–5.725 GHz band shall not exceed an EIRP of ¥27 dBm/MHz.
(4) For transmitters operating in the 5.725–5.825 GHz band: all emissions within the frequency range from the band edge to 10 MHz above or below the band edge shall not exceed an EIRP of –17 dBm/MHz; for frequencies 10 MHz or greater above or below the band edge, emissions shall not exceed an EIRP of –27 dBm/MHz.
(5) The emission measurements shall be performed using a minimum resolu- tion bandwidth of 1 MHz. A lower reso- lution bandwidth may be employed near the band edge, when necessary, provided the measured energy is inte- grated to show the total power over 1 MHz.
(6) Unwanted emissions below 1 GHz must comply with the general field strength limits set forth in § 15.209. Further, any U-NII devices using an AC power line are required to comply also with the conducted limits set forth in § 15.207.
(7) The provisions of § 15.205 apply to intentional radiators operating under this section.
(8) When measuring the emission lim- its, the nominal carrier frequency shall be adjusted as close to the upper and lower frequency block edges as the de- sign of the equipment permits.
(c) The device shall automatically discontinue transmission in case of ei- ther absence of information to trans- mit or operational failure. These provi- sions are not intended to preclude the transmission of control or signalling information or the use of repetitive
codes used by certain digital tech- nologies to complete frame or burst in- tervals. Applicants shall include in their application for equipment au- thorization a description of how this requirement is met.
(d) [Reserved] (e) Within the 5.15–5.25 GHz band, U-
NII devices will be restricted to indoor operations to reduce any potential for harmful interference to co-channel MSS operations.
(f) U-NII devices are subject to the radio frequency radiation exposure re- quirements specified in § 1.1307(b), § 2.1091 and § 2.1093 of this chapter, as appropriate. All equipment shall be considered to operate in a ‘‘general population/uncontrolled’’ environment. Applications for equipment authoriza- tion of devices operating under this section must contain a statement con- firming compliance with these require- ments for both fundamental emissions and unwanted emissions. Technical in- formation showing the basis for this statement must be submitted to the Commission upon request.
(g) Manufacturers of U-NII devices are responsible for ensuring frequency stability such that an emission is maintained within the band of oper- ation under all conditions of normal operation as specified in the users man- ual.
(h) Transmit Power Control (TPC) and Dynamic Frequency Selection (DFS).
(1) Transmit power control (TPC). U- NII devices operating in the 5.25–5.35 GHz band and the 5.47–5.725 GHz band shall employ a TPC mechanism. The U- NII device is required to have the capa- bility to operate at least 6 dB below the mean EIRP value of 30 dBm. A TPC mechanism is not required for systems with an e.i.r.p. of less than 500 mW.
(2) Radar Detection Function of Dy- namic Frequency Selection (DFS). U- NII devices operating in the 5.25–5.35 GHz and 5.47–5.725 GHz bands shall em- ploy a DFS radar detection mechanism to detect the presence of radar systems and to avoid co-channel operation with radar systems. The minimum DFS de- tection threshold for devices with a maximum e.i.r.p. of 200 mW to 1 W is ¥64 dBm. For devices that operate
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with less than 200 mW e.i.r.p. the min- imum detection threshold is ¥62 dBm. The detection threshold is the received power averaged over 1 microsecond ref- erenced to a 0 dBi antenna. The DFS process shall be required to provide a uniform spreading of the loading over all the available channels.
(i) Operational Modes. The DFS re- quirement applies to the following operational modes:
(A) The requirement for channel availability check time applies in the master operational mode.
(B) The requirement for channel move time applies in both the master and slave operational modes.
(ii) Channel Availability Check Time. A U-NII device shall check if there is a radar system already operating on the channel before it can initiate a trans- mission on a channel and when it has to move to a new channel. The U-NII device may start using the channel if no radar signal with a power level greater than the interference threshold values listed in paragraph (h)(2) of this part, is detected within 60 seconds.
(iii) Channel Move Time. After a ra- dar’s presence is detected, all trans- missions shall cease on the operating channel within 10 seconds. Trans- missions during this period shall con- sist of normal traffic for a maximum of 200 ms after detection of the radar sig- nal. In addition, intermittent manage- ment and control signals can be sent during the remaining time to facilitate vacating the operating channel.
(iv) Non-occupancy Period. A channel that has been flagged as containing a radar system, either by a channel availability check or in-service moni- toring, is subject to a non-occupancy period of at least 30 minutes. The non- occupancy period starts at the time when the radar system is detected.
[63 FR 40836, July 31, 1998, as amended at 69 FR 2687, Jan. 20, 2004; 69 FR 54036, Sept. 7, 2004]
Subpart F—Ultra-Wideband Operation
SOURCE: 67 FR 34856, May 16, 2002, unless otherwise noted.
§ 15.501 Scope. This subpart sets out the regulations
for unlicensed ultra-wideband trans- mission systems.
§ 15.503 Definitions. (a) UWB bandwidth. For the purpose
of this subpart, the UWB bandwidth is the frequency band bounded by the points that are 10 dB below the highest radiated emission, as based on the com- plete transmission system including the antenna. The upper boundary is designated fH and the lower boundary is designated fL. The frequency at which the highest radiated emission occurs is designated fM.
(b) Center frequency. The center fre- quency, fC, equals (fH + fL)/2.
(c) Fractional bandwidth. The frac- tional bandwidth equals 2(fH¥fL)/ (fH + fL).
(d) Ultra-wideband (UWB) transmitter. An intentional radiator that, at any point in time, has a fractional band- width equal to or greater than 0.20 or has a UWB bandwidth equal to or greater than 500 MHz, regardless of the fractional bandwidth.
(e) Imaging system. A general category consisting of ground penetrating radar systems, medical imaging systems, wall imaging systems through-wall im- aging systems and surveillance sys- tems. As used in this subpart, imaging systems do not include systems de- signed to detect the location of tags or systems used to transfer voice or data information.
(f) Ground penetrating radar (GPR) system. A field disturbance sensor that is designed to operate only when in contact with, or within one meter of, the ground for the purpose of detecting or obtaining the images of buried ob- jects or determining the physical prop- erties within the ground. The energy from the GPR is intentionally directed down into the ground for this purpose.
(g) Medical imaging system. A field dis- turbance sensor that is designed to de- tect the location or movement of ob- jects within the body of a person or animal.
(h) Wall imaging system. A field dis- turbance sensor that is designed to de- tect the location of objects contained within a ‘‘wall’’ or to determine the physical properties within the ‘‘wall.’’
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Federal Communications Commission § 15.509
The ‘‘wall’’ is a concrete structure, the side of a bridge, the wall of a mine or another physical structure that is dense enough and thick enough to ab- sorb the majority of the signal trans- mitted by the imaging system. This category of equipment does not include products such as ‘‘stud locators’’ that are designed to locate objects behind gypsum, plaster or similar walls that are not capable of absorbing the trans- mitted signal.
(i) Through-wall imaging system. A field disturbance sensor that is de- signed to detect the location or move- ment of persons or objects that are lo- cated on the other side of an opaque structure such as a wall or a ceiling. This category of equipment may in- clude products such as ‘‘stud locators’’ that are designed to locate objects be- hind gypsum, plaster or similar walls that are not thick enough or dense enough to absorb the transmitted sig- nal.
(j) Surveillance system. A field disturb- ance sensor used to establish a sta- tionary RF perimeter field that is used for security purposes to detect the in- trusion of persons or objects.
(k) EIRP. Equivalent isotropically ra- diated power, i.e., the product of the power supplied to the antenna and the antenna gain in a given direction rel- ative to an isotropic antenna. The EIRP, in terms of dBm, can be con- verted to a field strength, in dBuV/m at 3 meters, by adding 95.2. As used in this subpart, EIRP refers to the highest sig- nal strength measured in any direction and at any frequency from the UWB de- vice, as tested in accordance with the procedures specified in § 15.31(a) and 15.523 of this chapter.
(l) Law enforcement, fire and emer- gency rescue organizations. As used in this subpart, this refers to those par- ties eligible to obtain a license from the FCC under the eligibility require- ments specified in § 90.20(a)(1) of this chapter.
(m) Hand held. As used in this sub- part, a hand held device is a portable device, such as a lap top computer or a PDA, that is primarily hand held while being operated and that does not em- ploy a fixed infrastructure.
§ 15.505 Cross reference.
(a) Except where specifically stated otherwise within this subpart, the pro- visions of subparts A and B and of §§ 15.201 through 15.204 and 15.207 of sub- part C of this part apply to unlicensed UWB intentional radiators. The provi- sions of § 15.35(c) and 15.205 do not apply to devices operated under this subpart. The provisions of Footnote US 246 to the Table of Frequency Allocations contained in § 2.106 of this chapter does not apply to devices operated under this subpart.
(b) The requirements of this subpart apply only to the radio transmitter, i.e., the intentional radiator, contained in the UWB device. Other aspects of the operation of a UWB device may be sub- ject to requirements contained else- where in this chapter. In particular, a UWB device that contains digital cir- cuitry not directly associated with the operation of the transmitter also is subject to the requirements for unin- tentional radiators in subpart B of this part. Similarly, an associated receiver that operates (tunes) within the fre- quency range 30 MHz to 960 MHz is sub- ject to the requirements in subpart B of this part.
§ 15.507 Marketing of UWB equipment.
In some cases, the operation of UWB devices is limited to specific parties, e.g., law enforcement, fire and rescue organizations operating under the aus- pices of a state or local government. The marketing of UWB devices must be directed solely to parties eligible to op- erate the equipment. The responsible party, as defined in § 2.909 of this chap- ter, is responsible for ensuring that the equipment is marketed only to eligible parties. Marketing of the equipment in any other manner may be considered grounds for revocation of the grant of certification issued for the equipment.
§ 15.509 Technical requirements for ground penetrating radars and wall imaging systems.
(a) The UWB bandwidth of an imag- ing system operating under the provi- sions of this section must be below 10.6 GHz.
(b) Operation under the provisions of this section is limited to GPRs and
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47 CFR Ch. I (10–1–10 Edition)§ 15.510
wall imaging systems operated for pur- poses associated with law enforcement, fire fighting, emergency rescue, sci- entific research, commercial mining, or construction.
(1) Parties operating this equipment must be eligible for licensing under the provisions of part 90 of this chapter.
(2) The operation of imaging systems under this section requires coordina- tion, as detailed in § 15.525.
(c) A GPR that is designed to be oper- ated while being hand held and a wall imaging system shall contain a manu- ally operated switch that causes the transmitter to cease operation within 10 seconds of being released by the op- erator. In lieu of a switch located on the imaging system, it is permissible to operate an imaging system by re- mote control provided the imaging sys- tem ceases transmission within 10 sec- onds of the remote switch being re- leased by the operator.
(d) The radiated emissions at or below 960 MHz from a device operating under the provisions of this section shall not exceed the emission levels in § 15.209. The radiated emissions above 960 MHz from a device operating under the provisions of this section shall not exceed the following average limits when measured using a resolution bandwidth of 1 MHz:
Frequency in MHz EIRP in dBm
960–1610 ......................................................... –65.3 1610–1990 ....................................................... –53.3 1990–3100 ....................................................... –51.3 3100–10600 ..................................................... –41.3 Above 10600 ................................................... –51.3
(e) In addition to the radiated emis- sion limits specified in the table in paragraph (d) of this section, UWB transmitters operating under the pro- visions of this section shall not exceed the following average limits when measured using a resolution bandwidth of no less than 1 kHz:
Frequency in MHz EIRP in dBm
1164–1240 ....................................................... –75.3 1559–1610 ....................................................... –75.3
(f) For UWB devices where the fre- quency at which the highest radiated emission occurs, fM, is above 960 MHz, there is a limit on the peak level of the emissions contained within a 50 MHz
bandwidth centered on fM. That limit is 0 dBm EIRP. It is acceptable to employ a different resolution bandwidth, and a correspondingly different peak emis- sion limit, following the procedures de- scribed in § 15.521.
[68 FR 19749, Apr. 22, 2003]
§ 15.510 Technical requirements for through D-wall imaging systems.
(a) The UWB bandwidth of an imag- ing system operating under the provi- sions of this section must be below 960 MHz or the center frequency, fC, and the frequency at which the highest ra- diated emission occurs, fM, must be contained between 1990 MHz and 10600 MHz.
(b) Operation under the provisions of this section is limited to through-wall imaging systems operated by law en- forcement, emergency rescue or fire- fighting organizations that are under the authority of a local or state gov- ernment.
(c) For through-wall imaging systems operating with the UWB bandwidth below 960 MHz:
(1) Parties operating this equipment must be eligible for licensing under the provisions of part 90 of this chapter.
(2) The operation of these imaging systems requires coordination, as de- tailed in § 15.525.
(3) The imaging system shall contain a manually operated switch that causes the transmitter to cease oper- ation within 10 seconds of being re- leased by the operator. In lieu of a switch located on the imaging system, it is permissible to operate an imaging system by remote control provided the imaging system ceases transmission within 10 seconds of the remote switch being released by the operator.
(4) The radiated emissions at or below 960 MHz shall not exceed the emission levels in § 15.209. The radiated emissions above 960 MHz shall not ex- ceed the following average limits when measured using a resolution bandwidth of 1 MHz:
Frequency in MHz EIRP in dBm
960–1610 ......................................................... ¥65.3 1610–1990 ....................................................... ¥53.3 Above 1990 ..................................................... ¥51.3
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Federal Communications Commission § 15.511
(5) In addition to the radiated emis- sion limits specified in the table in paragraph (c)(4) of this section, emis- sions from these imaging systems shall not exceed the following average limits when measured using a resolution bandwidth of no less than 1 kHz:
Frequency in MHz EIRP in dBm
1164–1240 ....................................................... ¥75.3 1559–1610 ....................................................... ¥75.3
(d) For equipment operating with fC and fM between 1990 MHz and 10600 MHz:
(1) Parties operating this equipment must hold a license issued by the Fed- eral Communications Commission to operate a transmitter in the Public Safety Radio Pool under part 90 of this chapter. The license may be held by the organization for which the UWB operator works on a paid or volunteer basis.
(2) This equipment may be operated only for law enforcement applications, the providing of emergency services, and necessary training operations.
(3) The radiated emissions at or below 960 MHz shall not exceed the emission levels in § 15.209 of this chap- ter. The radiated emissions above 960 MHz shall not exceed the following av- erage limits when measured using a resolution bandwidth of 1 MHz:
Frequency in MHz EIRP in dBm
960–1610 ......................................................... ¥46.3 1610–10600 ..................................................... ¥41.3 Above 10600 ................................................... ¥51.3
(4) In addition to the radiated emis- sion limits specified in the paragraph (d)(3) of this section, emissions from these imaging systems shall not exceed the following average limits when measured using a resolution bandwidth of no less than 1 kHz:
Frequency in MHz EIRP in dBm
1164–1240 ....................................................... ¥56.3 1559–1610 ....................................................... ¥56.3
(5) There is a limit on the peak level of the emissions contained within a 50 MHz bandwidth centered on the fre- quency at which the highest radiated emission occurs, fM. That limit is 0 dBm EIRP. It is acceptable to employ a different resolution bandwidth, and a
correspondingly different peak emis- sion limit, following the procedures de- scribed in § 15.521.
(e) Through-wall imaging systems op- erating under the provisions of this section shall bear the following or similar statement in a conspicuous lo- cation on the device: ‘‘Operation of this device is restricted to law enforcement, emergency rescue and firefighter per- sonnel. Operation by any other party is a violation of 47 U.S.C. 301 and could subject the operator to serious legal penalties.’’
[68 FR 19750, Apr. 22, 2003]
§ 15.511 Technical requirements for surveillance systems.
(a) The UWB bandwidth of an imag- ing system operating under the provi- sions of this section must be contained between 1990 MHz and 10,600 MHz.
(b) Operation under the provisions of this section is limited to fixed surveil- lance systems operated by law enforce- ment, fire or emergency rescue organi- zations or by manufacturers licensees, petroleum licensees or power licensees as defined in § 90.7 of this chapter.
(1) Parties operating under the provi- sions of this section must be eligible for licensing under the provisions of part 90 of this chapter.
(2) The operation of imaging systems under this section requires coordina- tion, as detailed in § 15.525.
(c) The radiated emissions at or below 960 MHz from a device operating under the provisions of this section shall not exceed the emission levels in § 15.209. The radiated emissions above 960 MHz from a device operating under the provisions of this section shall not exceed the following average limits when measured using a resolution bandwidth of 1 MHz:
Frequency in MHz EIRP in dBm
960–1610 ......................................................... ¥53.3 1610–1990 ....................................................... ¥51.3 1990–10600 ..................................................... ¥41.3 Above 10600 ................................................... ¥51.3
(d) In addition to the radiated emis- sion limits specified in the table in paragraph (c) of this section, UWB transmitters operating under the pro- visions of this section shall not exceed the following average limits when
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47 CFR Ch. I (10–1–10 Edition)§ 15.513
measured using a resolution bandwidth of no less than 1 kHz:
Frequency in MHz EIRP in dBm
1164–1240 ....................................................... ¥63.3 1559–1610 ....................................................... ¥63.3
(e) There is a limit on the peak level of the emissions contained within a 50 MHz bandwidth centered on the fre- quency at which the highest radiated emission occurs, fM. That limit is 0 dBm EIRP. It is acceptable to employ a different resolution bandwidth, and a correspondingly different peak emis- sion limit, following the procedures de- scribed in § 15.521.
(f) Imaging systems operating under the provisions of this section shall bear the following or similar statement in a conspicuous location on the device: ‘‘Operation of this device is restricted to law enforcement, fire and rescue of- ficials, public utilities, and industrial entities. Operation by any other party is a violation of 47 U.S.C. 301 and could subject the operator to serious legal penalties.’’
[68 FR 19750, Apr. 22, 2003]
§ 15.513 Technical requirements for medical imaging systems.
(a) The UWB bandwidth of an imag- ing system operating under the provi- sions of this section must be contained between 3100 MHz and 10,600 MHz.
(b) Operation under the provisions of this section is limited to medical imag- ing systems used at the direction of, or under the supervision of, a licensed health care practitioner. The operation of imaging systems under this section requires coordination, as detailed in § 15.525.
(c) A medical imaging system shall contain a manually operated switch that causes the transmitter to cease operation within 10 seconds of being re- leased by the operator. In lieu of a switch located on the imaging system, it is permissible to operate an imaging system by remote control provided the imaging system ceases transmission within 10 seconds of the remote switch being released by the operator.
(d) The radiated emissions at or below 960 MHz from a device operating under the provisions of this section shall not exceed the emission levels in
§ 15.209. The radiated emissions above 960 MHz from a device operating under the provisions of this section shall not exceed the following average limits when measured using a resolution bandwidth of 1 MHz:
Frequency in MHz EIRP in dBm
960–1610 ......................................................... ¥65.3 1610–1990 ....................................................... ¥53.3 011990–3100 ................................................... ¥51.3 3100–10600 ..................................................... ¥41.3 Above 10600 ................................................... ¥51.3
(e) In addition to the radiated emis- sion limits specified in the table in paragraph (d) of this section, UWB transmitters operating under the pro- visions of this section shall not exceed the following average limits when measured using a resolution bandwidth of no less than 1 kHz:
Frequency in MHz EIRP in dBm
1164–1240 ..................................................... ¥75.3 1559–1610 ..................................................... ¥75.3
(f) There is a limit on the peak level of the emissions contained within a 50 MHz bandwidth centered on the fre- quency at which the highest radiated emission occurs, fM. That limit is 0 dBm EIRP. It is acceptable to employ a different resolution bandwidth, and a correspondingly different peak emis- sion limit, following the procedures de- scribed in § 15.521.
[68 FR 19751, Apr. 22, 2003, as amended at 72 FR 63823, Nov. 13, 2007]
§ 15.515 Technical requirements for ve- hicular radar systems.
(a) Operation under the provisions of this section is limited to UWB field dis- turbance sensors mounted in terres- trial transportation vehicles. These de- vices shall operate only when the vehi- cle is operating, e.g., the engine is run- ning. Operation shall occur only upon specific activation, such as upon start- ing the vehicle, changing gears, or en- gaging a turn signal.
(b) The UWB bandwidth of a vehic- ular radar system operating under the provisions of this section shall be con- tained between 22 GHz and 29 GHz. In addition, the center frequency, fC, and the frequency at which the highest level emission occurs, fM, must be greater than 24.075 GHz.
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Federal Communications Commission § 15.517
(c) Following proper installation, ve- hicular radar systems shall attenuate any emissions within the 23.6–24.0 GHz band that appear 38 degrees or greater above the horizontal plane by 25 dB below the limit specified in paragraph (d) of this section. For equipment au- thorized, manufactured or imported on or after January 1, 2005, this level of attenuation shall be 25 dB for any emissions within the 23.6–24.0 GHz band that appear 30 degrees or greater above the horizontal plane. For equipment authorized, manufactured or imported on or after January 1, 2010, this level of attenuation shall be 30 dB for any emissions within the 23.6–24.0 GHz band that appear 30 degrees or greater above the horizontal plane. For equipment authorized, manufactured or imported on or after January 1, 2014, this level of attenuation shall be 35 dB for any emissions within the 23.6–24.0 GHz band that appear 30 degrees or greater above the horizontal plane. This level of at- tenuation can be achieved through the antenna directivity, through a reduc- tion in output power or any other means.
(d) The radiated emissions at or below 960 MHz from a device operating under the provisions of this section shall not exceed the emission levels in § 15.209. The radiated emissions above 960 MHz from a device operating under the provisions of this section shall not exceed the following average limits when measured using a resolution bandwidth of 1 MHz:
Frequency in MHz EIRP in dBm
960–1610 ................................................. ¥75.3 1610–22,000 ............................................ ¥61.3 22,000–29,000 ......................................... ¥41.3 29,000–31,000 ......................................... ¥51.3 Above 31,000 .......................................... ¥61.3
(e) In addition to the radiated emis- sion limits specified in the table in paragraph (d) of this section, UWB transmitters operating under the pro- visions of this section shall not exceed the following average limits when measured using a resolution bandwidth of no less than 1 kHz:
Frequency in MHz EIRP in dBm
1164–1240 ............................................... ¥85.3 1559–1610 ............................................... ¥85.3
(f) There is a limit on the peak level of the emissions contained within a 50 MHz bandwidth centered on the fre- quency at which the highest radiated emission occurs, fM. That limit is 0 dBm EIRP. It is acceptable to employ a different resolution bandwidth, and a correspondingly different peak emis- sion limit, following the procedures de- scribed in § 15.521.
(g) The emission levels from devices operating under the provisions of this section that employ gated trans- missions may be measured with the gating active. Measurements made in this manner shall be repeated over multiple sweeps with the analyzer set for maximum hold until the amplitude stabilizes.
[67 FR 34856, May 16, 2002, as amended at 70 FR 6776, Feb. 9, 2005]
§ 15.517 Technical requirements for in- door UWB systems.
(a) Operation under the provisions of this section is limited to UWB trans- mitters employed solely for indoor op- eration.
(1) Indoor UWB devices, by the na- ture of their design, must be capable of operation only indoors. The necessity to operate with a fixed indoor infra- structure, e.g., a transmitter that must be connected to the AC power lines, may be considered sufficient to dem- onstrate this.
(2) The emissions from equipment op- erated under this section shall not be intentionally directed outside of the building in which the equipment is lo- cated, such as through a window or a doorway, to perform an outside func- tion, such as the detection of persons about to enter a building.
(3) The use of outdoor mounted an- tennas, e.g., antennas mounted on the outside of a building or on a telephone pole, or any other outdoors infrastruc- ture is prohibited.
(4) Field disturbance sensors in- stalled inside of metal or underground storage tanks are considered to operate indoors provided the emissions are di- rected towards the ground.
(5) A communications system shall transmit only when the intentional ra- diator is sending information to an as- sociated receiver.
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47 CFR Ch. I (10–1–10 Edition)§ 15.519
(b) The UWB bandwidth of a UWB system operating under the provisions of this section must be contained be- tween 3100 MHz and 10,600 MHz.
(c) The radiated emissions at or below 960 MHz from a device operating under the provisions of this section shall not exceed the emission levels in § 15.209. The radiated emissions above 960 MHz from a device operating under the provisions of this section shall not exceed the following average limits when measured using a resolution bandwidth of 1 MHz:
Frequency in MHz EIRP in dBm
960–1610 ................................................. ¥75.3 1610–1990 ............................................... ¥53.3 1990–3100 ............................................... ¥51.3 3100–10600 ............................................. ¥41.3 Above 10600 ........................................... ¥51.3
(d) In addition to the radiated emis- sion limits specified in the table in paragraph (c) of this section, UWB transmitters operating under the pro- visions of this section shall not exceed the following average limits when measured using a resolution bandwidth of no less than 1 kHz:
Frequency in MHz EIRP in dBm
1164–1240 ............................................... ¥85.3 1559–1610 ............................................... ¥85.3
(e) There is a limit on the peak level of the emissions contained within a 50 MHz bandwidth centered on the fre- quency at which the highest radiated emission occurs, fM. That limit is 0 dBm EIRP. It is acceptable to employ a different resolution bandwidth, and a correspondingly different peak emis- sion limit, following the procedures de- scribed in § 15.521.
(f) UWB systems operating under the provisions of this section shall bear the following or similar statement in a conspicuous location on the device or in the instruction manual supplied with the device:
‘‘This equipment may only be operated in- doors. Operation outdoors is in violation of 47 U.S.C. 301 and could subject the operator to serious legal penalties.’’
[67 FR 34856, May 16, 2002; 67 FR 39632, June 10, 2002]
§ 15.519 Technical requirements for hand held UWB systems.
(a) UWB devices operating under the provisions of this section must be hand held, i.e., they are relatively small de- vices that are primarily hand held while being operated and do not em- ploy a fixed infrastructure.
(1) A UWB device operating under the provisions of this section shall trans- mit only when it is sending informa- tion to an associated receiver. The UWB intentional radiator shall cease transmission within 10 seconds unless it receives an acknowledgement from the associated receiver that its trans- mission is being received. An acknowl- edgment of reception must continue to be received by the UWB intentional ra- diator at least every 10 seconds or the UWB device must cease transmitting.
(2) The use of antennas mounted on outdoor structures, e.g., antennas mounted on the outside of a building or on a telephone pole, or any fixed out- doors infrastructure is prohibited. An- tennas may be mounted only on the hand held UWB device.
(3) UWB devices operating under the provisions of this section may operate indoors or outdoors.
(b) The UWB bandwidth of a device operating under the provisions of this section must be contained between 3100 MHz and 10,600 MHz.
(c) The radiated emissions at or below 960 MHz from a device operating under the provisions of this section shall not exceed the emission levels in § 15.209. The radiated emissions above 960 MHz from a device operating under the provisions of this section shall not exceed the following average limits when measured using a resolution bandwidth of 1 MHz:
Frequency in MHz EIRP in dBm
960–1610 ................................................. ¥75.3 1610–1990 ............................................... ¥63.3 1990–3100 ............................................... ¥61.3 3100–10600 ............................................. ¥41.3 Above 10600 ........................................... ¥61.3
(d) In addition to the radiated emis- sion limits specified in the table in paragraph (c) of this section, UWB transmitters operating under the pro- visions of this section shall not exceed the following average limits when
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Federal Communications Commission § 15.521
measured using a resolution bandwidth of no less than 1 kHz:
Frequency in MHz EIRP in dBm
1164–1240 ............................................... ¥85.3 1559–1610 ............................................... ¥85.3
(e) There is a limit on the peak level of the emissions contained within a 50 MHz bandwidth centered on the fre- quency at which the highest radiated emission occurs, fM. That limit is 0 dBm EIRP. It is acceptable to employ a different resolution bandwidth, and a correspondingly different peak emis- sion limit, following the procedures de- scribed in § 15.521.
[67 FR 34856, May 16, 2002; 67 FR 39632, June 10, 2002]
§ 15.521 Technical requirements appli- cable to all UWB devices.
(a) UWB devices may not be em- ployed for the operation of toys. Oper- ation onboard an aircraft, a ship or a satellite is prohibited.
(b) Manufacturers and users are re- minded of the provisions of §§ 15.203 and 15.204.
(c) Emissions from digital circuitry used to enable the operation of the UWB transmitter shall comply with the limits in § 15.209, rather than the limits specified in this subpart, pro- vided it can be clearly demonstrated that those emissions from the UWB de- vice are due solely to emissions from digital circuitry contained within the transmitter and that the emissions are not intended to be radiated from the transmitter’s antenna. Emissions from associated digital devices, as defined in § 15.3(k), e.g., emissions from digital circuitry used to control additional functions or capabilities other than the UWB transmission, are subject to the limits contained in Subpart B of this part.
(d) Within the tables in §§ 15.509, 15.511, 15.513, 15.515, 15.517, and 15.519, the tighter emission limit applies at the band edges. Radiated emission lev- els at and below 960 MHz are based on measurements employing a CISPR quasi-peak detector. Radiated emission levels above 960 MHz are based on RMS average measurements over a 1 MHz resolution bandwidth. The RMS aver- age measurement is based on the use of
a spectrum analyzer with a resolution bandwidth of 1 MHz, an RMS detector, and a 1 millisecond or less averaging time. Unless otherwise stated, if pulse gating is employed where the trans- mitter is quiescent for intervals that are long compared to the nominal pulse repetition interval, measurements shall be made with the pulse train gated on. Alternative measurement procedures may be considered by the Commission.
(e) The frequency at which the high- est radiated emission occurs, fM, must be contained within the UWB band- width.
(f) Imaging systems may be employed only for the type of information ex- change described in their specific defi- nitions contained in § 15.503. The detec- tion of tags or the transfer or data or voice information is not permitted under the standards for imaging sys- tems.
(g) When a peak measurement is re- quired, it is acceptable to use a resolu- tion bandwidth other than the 50 MHz specified in this subpart. This resolu- tion bandwidth shall not be lower than 1 MHz or greater than 50 MHz, and the measurement shall be centered on the frequency at which the highest radi- ated emission occurs, fM. If a resolution bandwidth other than 50 MHz is em- ployed, the peak EIRP limit shall be 20 log (RBW/50) dBm where RBW is the resolution bandwidth in megahertz that is employed. This may be con- verted to a peak field strength level at 3 meters using E(dBuV/m) = P(dBm EIRP) + 95.2. If RBW is greater than 3 MHz, the application for certification filed with the Commission must con- tain a detailed description of the test procedure, calibration of the test setup, and the instrumentation em- ployed in the testing.
(h) The highest frequency employed in § 15.33 to determine the frequency range over which radiated measure- ments are made shall be based on the center frequency, fC, unless a higher frequency is generated within the UWB device. For measuring emission levels, the spectrum shall be investigated from the lowest frequency generated in the UWB transmitter, without going below 9 kHz, up to the frequency range shown in § 15.33(a) or up to fC + 3/(pulse
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47 CFR Ch. I (10–1–10 Edition)§ 15.523
width in seconds), whichever is higher. There is no requirement to measure emissions beyond 40 GHz provided fC is less than 10 GHz; beyond 100 GHz if fC is at or above 10 GHz and below 30 GHz; or beyond 200 GHz if fC is at or above 30 GHz.
(i) The prohibition in § 2.201(f) and 15.5(d) of this chapter against Class B (damped wave) emissions does not apply to UWB devices operating under this subpart.
(j) Responsible parties are reminded of the other standards and require- ments cross referenced in § 15.505, such as a limit on emissions conducted onto the AC power lines.
[67 FR 34856, May 16, 2002, as amended at 68 FR 19751, Apr. 22, 2003; 70 FR 6776, Feb. 9, 2005]
§ 15.523 Measurement procedures. Measurements shall be made in ac-
cordance with the procedures specified by the Commission.
§ 15.525 Coordination requirements. (a) UWB imaging systems require co-
ordination through the FCC before the equipment may be used. The operator shall comply with any constraints on equipment usage resulting from this coordination.
(b) The users of UWB imaging devices shall supply operational areas to the FCC Office of Engineering and Tech- nology, which shall coordinate this in- formation with the Federal Govern- ment through the National Tele- communications and Information Ad- ministration. The information pro- vided by the UWB operator shall in- clude the name, address and other per- tinent contact information of the user, the desired geographical area(s) of op- eration, and the FCC ID number and other nomenclature of the UWB device. If the imaging device is intended to be used for mobile applications, the geo- graphical area(s) of operation may be the state(s) or county(ies) in which the equipment will be operated. The oper- ator of an imaging system used for fixed operation shall supply a specific geographical location or the address at which the equipment will be operated. This material shall be submitted to Frequency Coordination Branch, OET, Federal Communications Commission,
445 12th Street, SW, Washington, D.C. 20554, Attn: UWB Coordination.
(c) The manufacturers, or their au- thorized sales agents, must inform pur- chasers and users of their systems of the requirement to undertake detailed coordination of operational areas with the FCC prior to the equipment being operated.
(d) Users of authorized, coordinated UWB systems may transfer them to other qualified users and to different locations upon coordination of change of ownership or location to the FCC and coordination with existing author- ized operations.
(e) The FCC/NTIA coordination re- port shall identify those geographical areas within which the operation of an imaging system requires additional co- ordination or within which the oper- ation of an imaging system is prohib- ited. If additional coordination is re- quired for operation within specific geographical areas, a local coordina- tion contact will be provided. Except for operation within these designated areas, once the information requested on the UWB imaging system is sub- mitted to the FCC no additional co- ordination with the FCC is required provided the reported areas of oper- ation do not change. If the area of op- eration changes, updated information shall be submitted to the FCC fol- lowing the procedure in paragraph (b) of this section.
(f) The coordination of routine UWB operations shall not take longer than 15 business days from the receipt of the coordination request by NTIA. Special temporary operations may be handled with an expedited turn-around time when circumstances warrant. The oper- ation of UWB systems in emergency situations involving the safety of life or property may occur without coordi- nation provided a notification proce- dure, similar to that contained in § 2.405(a) through (e) of this chapter, is followed by the UWB equipment user.
[67 FR 34856, May 16, 2002, as amended at 68 FR 19751, Apr. 22, 2003]
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Federal Communications Commission § 15.611
Subpart G—Access Broadband Over Power Line (Access BPL)
SOURCE: 70 FR 1374, Jan. 7, 2005, unless oth- erwise noted.
§ 15.601 Scope. This subpart sets out the regulations
for Access Broadband over Power Line (Access BPL) devices operating in the 1.705–80 MHz band over medium or low voltage lines.
§ 15.603 Definitions. (a) Excluded Band: A band of fre-
quencies within which Access BPL op- erations are not permitted.
(b) Exclusion Zone: A geographical area within which Access BPL oper- ations are not permitted in certain fre- quency bands.
(c) Consultation. The process of com- munication between an entity oper- ating Access BPL and a licensed public safety or other designated point of con- tact for the purpose of avoiding poten- tial harmful interference.
(d) Consultation area: A designated geographical area within which con- sultation with public safety users or other designated point of contact is re- quired before an Access BPL may be operated at designated frequencies.
(e) Low Voltage power line. A power line carrying low voltage, e.g., 240/120 volts from a distribution transformer to a customer’s premises.
(f) Medium Voltage power line. A power line carrying between 1,000 to 40,000 volts from a power substation to neigh- borhoods. Medium voltage lines may be overhead or underground, depending on the power grid network topology.
(g) Access BPL Database. A database operated by an industry-sponsored en- tity, recognized by the Federal Com- munications Commission and the Na- tional Telecommunications and Infor- mation Administration (NTIA), con- taining information regarding existing and planned Access BPL systems, as required in § 15.615(a) of this chapter.
§ 15.605 Cross reference. (a) The provisions of subparts A and
B of this part apply to Access BPL de- vices, except where specifically noted. The provisions of subparts C through F
of this part do not apply to Access BPL devices except where specifically noted.
(b) The requirements of this subpart apply only to the radio circuitry that is used to provide carrier current oper- ation for the Access BPL device. Other aspects of the operation of an Access BPL device may be subject to require- ments contained elsewhere in this chapter. In particular, an Access BPL device that includes digital circuitry that is not used solely to enable the op- eration of the radio frequency circuitry used to provide carrier current oper- ation also is subject to the require- ments for unintentional radiators in subpart B of this part.
§ 15.607 Equipment authorization of Access BPL equipment.
Access BPL equipment shall be sub- ject to Certification as specified in § 15.101.
§ 15.609 Marketing of Access BPL equipment.
The marketing of Access BPL equip- ment must be directed solely to parties eligible to operate the equipment. Eli- gible parties consist of AC power line public utilities, Access BPL service providers and associates of Access BPL service providers. The responsible party, as defined in § 2.909 of this chap- ter, is responsible for ensuring that the equipment is marketed only to eligible parties. Marketing of the equipment in any other manner may be considered grounds for revocation of the grant of certification issued for the equipment.
§ 15.611 General technical require- ments.
(a) Conducted emission limits. Access BPL is not subject to the conducted emission limits of § 15.107.
(b) Radiated emission limits—(1) Me- dium voltage power lines. (i) Access BPL systems that operate in the frequency range of 1.705 kHz to 30 MHz over me- dium voltage power lines shall comply with the radiated emission limits for intentional radiators provided in § 15.209.
(ii) Access BPL systems that operate in the frequency range above 30 MHz over medium voltage power lines shall
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comply with the radiated emission lim- its provided in § 15.109(b).
(2) Low voltage power lines. Access BPL systems that operate over low- voltage power lines, including those that operate over low-voltage lines that are connected to the in-building wiring, shall comply with the radiated emission limits provided in § 15.109(a) and (e).
(c) Interference Mitigation and Avoid- ance. (1) Access BPL systems shall in- corporate adaptive interference mitiga- tion techniques to remotely reduce power and adjust operating fre- quencies, in order to avoid site-spe- cific, local use of the same spectrum by licensed services. These techniques may include adaptive or ‘‘notch’’ fil- tering, or complete avoidance of fre- quencies, or bands of frequencies, lo- cally used by licensed radio operations.
(i) For frequencies below 30 MHz, when a notch filter is used to avoid in- terference to a specific frequency band, the Access BPL system shall be capa- ble of attenuating emissions within that band to a level at least 20 dB below the applicable part 15 limits.
(ii) For frequencies above 30 MHz, when a notch filter is used to avoid in- terference to a specific frequency band, the Access BPL system shall be capa- ble of attenuating emissions within that band to a level at least 10 dB below the applicable part 15 limits.
(iii) At locations where an Access BPL operator attenuates radiated emissions from its operations in ac- cordance with the above required capa- bilities, we will not require that oper- ator to take further actions to resolve complaints of harmful interference to mobile operations.
(2) Access BPL systems shall comply with applicable radiated emission lim- its upon power-up following a fault condition, or during a start-up oper- ation after a shut-off procedure, by the use of a non-volatile memory, or some other method, to immediately restore previous settings with programmed notches and excluded bands, to avoid time delay caused by the need for man- ual re-programming during which pro- tected services may be vulnerable.
(3) Access BPL systems shall incor- porate a remote-controllable shut- down feature to deactivate, from a cen-
tral location, any unit found to cause harmful interference, if other inter- ference mitigation techniques do not resolve the interference problem.
[70 FR 1374, Jan. 7, 2005, as amended at 71 FR 49379, Aug. 23, 2006]
§ 15.613 Measurement procedures.
Compliance measurements for Access BPL shall be made in accordance with the Guidelines for Access BPL systems specified by the Commission.
§ 15.615 General administrative re- quirements.
(a) Access BPL Database. Entities op- erating Access BPL systems shall sup- ply to an industry-recognized entity, information on all existing Access BPL systems and all proposed Access BPL systems for inclusion into a publicly available data base, within 30 days prior to initiation of service. Such in- formation shall include the following:
(1) The name of the Access BPL pro- vider.
(2) The frequencies of the Access BPL operation.
(3) The postal zip codes served by the specific Access BPL operation.
(4) The manufacturer and type of Ac- cess BPL equipment and its associated FCC ID number, or, in the case of Ac- cess BPL equipment that has been sub- ject to verification, the Trade Name and Model Number, as specified on the equipment label.
(5) The contact information, includ- ing both phone number and e-mail ad- dress of a person at, or associated with, the BPL operator’s company, to facili- tate the resolution of any interference complaint.
(6) The proposed/or actual date of Ac- cess BPL operation.
(b) The Access BPL database man- ager shall enter this information into the publicly accessible database within three (3) business days of receipt.
(c) No notification to the Commis- sion is required.
(d) A licensed spectrum user experi- encing harmful interference that is suspected to be caused by an Access BPL system shall inform the local BPL operator’s contact person designated in the Access BPL database. The inves- tigation of the reported interference
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Federal Communications Commission § 15.615
and the resolution of confirmed harm- ful interference from the Access BPL system shall be successfully completed by the BPL operator within a reason- able time period according to a mutu- ally acceptable schedule, after the re- ceipt of an interference complaint, in order to avoid protracted disruptions to licensed services. The Access BPL operator shall respond to complaints of harmful interference from public safe- ty users within 24 hours. With regard to public safety complaints, the BPL provider shall be required to imme- diately cease the operations causing such complaint if it fails to respond within 24 hours.
(e) Consultation with public safety users. An entity operating an Access BPL system shall notify and consult with the public safety users in the area where it plans to deploy Access BPL, at least 30 days prior to initiation of any operation or service. This entity shall design or implement the Access BPL system such that it does not cause harmful interference in those fre- quencies or bands used by the public safety agencies in the area served by the Access BPL system. The notifica- tion shall include, at a minimum, the information in paragraph (a) of this section.
(f) Federal government spectrum users and other radio service users. An entity operating an Access BPL system shall ensure that, within its Access BPL de- ployment area, its system does not op- erate on any frequencies designated as excluded bands or on identified fre- quencies within any designated exclu- sion zones.
(1) Excluded Bands. To protect Aero- nautical (land) stations and aircraft re- ceivers, Access BPL operations using overhead medium voltage power lines are prohibited in the frequency bands listed in Table 1. Specifically, such BPL systems shall not place carrier frequencies in these bands.
TABLE 1—EXCLUDED FREQUENCY BANDS
Frequency band
2,850–3,025 kHz 3,400–3,500 kHz 4,650–4,700 kHz 5,450–5,680 kHz 6,525–6,685 kHz 8,815–8,965 kHz 10,005–10,100 kHz
TABLE 1—EXCLUDED FREQUENCY BANDS— Continued
Frequency band
11,275–11,400 kHz 13,260–13,360 kHz 17,900–17,970 kHz 21,924–22,000 kHz 74.8–75.2 MHz
(2) Exclusion zones. Exclusion zones encompass the operation of any Access BPL system within 1km of the bound- ary of coast station facilities at the co- ordinates listed in Tables 2 and 2.1. Ex- clusion zones also encompass the oper- ation of Access BPL systems using overhead medium voltage power lines within 65 km of the Very Large Array observatory located at the coordinate 34°04′43.50″; N, 107°37′03.82″ W. Exclusion zones further encompass the operation of Access BPL systems using overhead low voltage power lines or underground power lines within 47 km of the Very Large Array observatory located at the coordinate 34°04′43.50″; N, 107°37′ 03.82″ W. Within the exclusion zones for coast stations, Access BPL systems shall not use carrier frequencies within the band of 2173.5–2190.5 kHz. Within the exclu- sion zone for the Very Large Array radio astronomy observatory, Access BPL systems shall not use carrier fre- quencies within the 73.0–74.6 MHz band.
(i) Existing coast station facilities. Ac- cess BPL systems shall not operate in the frequency band 2,173.5–2,190.5 kHz, within 1 kilometer (km) of the bound- ary of coast station facilities at the co- ordinates listed in Tables 2 and 2.1. BPL operators planning to deploy Ac- cess BPL devices at these frequencies in areas within these exclusion zones as defined above shall consult with the appropriate point of contact for these coast stations to ensure harmful inter- ference is prevented at these facilities.
Point of contact: Commandant (CG 622), U.S. Coast Guard, 2100 2nd Street, SW., Washington, DC 20593–0001, Tele- phone: (202) 267–2860, e-mail: cgcomms@comdt.uscg.mil.
TABLE 2—EXCLUSION ZONES FOR U.S. COAST GUARD COAST STATIONS
Locale Latitude Longitude
Group Guam ...................... 13°35′23″ N 144°50′24″ E GANTSEC ......................... 18°18′00″ N 65°46′59″ W Puerto Rico ........................ 18°28′11″ N 66°07′47″ W
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TABLE 2—EXCLUSION ZONES FOR U.S. COAST GUARD COAST STATIONS—Continued
Locale Latitude Longitude
Honolulu ............................. 21°18′21″ N 157°53′23″ W Group Key West ................ 24°33′35″ N 81°47′59″ W Trumbo Point CG Base ..... 24°33′58″ N 81°47′57″ W Miami ................................. 25°37′28″ N 80°23′07″ W Everglades Park ................ 25°50′10″ N 81°23′13″ W Group Saint Petersburg
(Everglades). 25°51′00″ N 81°23′24″ W
Station Ft. Lauderdale ....... 26°05′21″ N 80°06′40″ W Station Ft. Myers Beach .... 26°27′34″ N 81°57′15″ W Group Miami (Ft. Pierce) ... 27°27′36″ N 80°18′36″ W Station Ft. Pierce ............... 27°27′50″ N 80°18′27″ W Group Corpus Christi ......... 27°42′01″ N 97°16′11″ W Group Corpus Christi ......... 27°42′06″ N 97°16′45″ W ESD Saint Petersburg ....... 27°45′21″ N 82°37′32″ W Group Saint Petersburg ..... 27°46′11″ N 82°37′47″ W Station Port O’Connor ....... 28°26′03″ N 96°25′39″ W S. Padre Island .................. 28°26′22″ N 97°09′56″ W Freeport ............................. 28°55′59″ N 95°16′59″ W Group Galveston (Free-
port). 28°56′24″ N 95°17′59″ W
Station YANKEETOWN ..... 29°01′51″ N 82°43′39″ W Station Ponce De Leon
Inlet. 29°03′50″ N 81°55′01″ W
Group New Orleans (Grand Isle).
29°15′53″ N 89°57′26″ W
Galveston ........................... 29°19′59″ N 94°46′18″ W Kapalan .............................. 29°20′04″ N 94°47′17″ W Sabine ................................ 29°43′42″ N 93°52′14″ W New Orleans ...................... 30°01′17″ N 90°07′24″ W Panama City ...................... 30°10′01″ N 85°45′04″ W Group Mobile (Panama
City). 30°10′12″ N 85°45′36″ W
ANT Jacksonville Beach .... 30°17′16″ N 81°24′10″ W Pensacola .......................... 30°20′24″ N 87°18′17″ W Group Mayport ................... 30°23′10″ N 81°26′01″ W Group Mayport ................... 30°23′24″ N 81°25′48″ W Ft. Morgan ......................... 30°39′07″ N 88°03′12″ W Tybee Lighthouse .............. 32°01′15″ N 80°50′39″ W Point Loma Lighthouse ...... 32°39′56″ N 117°14′34″ W Point Loma ........................ 32°40′07″ N 117°14′14″ W Activities San Diego .......... 32°43′59″ N 117°11′13″ W Group Charleston (Sulli-
van’s Island). 32°45′00″ N 79°49′47″ W
Sullivan’s Island Lights ...... 32°45′02″ N 79°50′03″ W Group Charleston .............. 32°46′25″ N 79°56′37″ W Group San Diego ............... 32°52′48″ N 118°26′23″ W San Pedro .......................... 33°45′00″ N 118°15′58″ W Group Fort Macon ............. 33°53′24″ N 78°01′48″ W Point Mugu ........................ 33°59′32″ N 119°07′18″ W Group LA/Long Beach ....... 34°07′11″ N 119°06′35″ W Channel Island ................... 34°09′17″ N 119°13′11″ W Station Oxnard Channel Is-
land. 34°09′43″ N 119°13′19″ W
Group Ft. Macon ............... 34°41′48″ N 76°40′59″ W Group Cape Hatteras ........ 35°13′59″ N 75°31′59″ W
TABLE 2—EXCLUSION ZONES FOR U.S. COAST GUARD COAST STATIONS—Continued
Locale Latitude Longitude
Group Cape Hatteras ........ 35°15′35″ N 75°31′48″ W Morro Bay (Cambria) ......... 35°31′21″ N 121°03′31″ W San Clemente Island ......... 32°50′24″ N 118°23′15″ W Point Pinos ........................ 36°38′12″ N 121°56′06″ W CAMSLANT ....................... 36°43′47″ N 76°01′11″ W Group Hampton Roads ..... 36°53′01″ N 76°21′10″ W Point Montara .................... 37°31′23″ N 122°30′47″ W Point Montara Lighthouse 37°32′09″ N 122°31′08″ W Group San Francisco ........ 37°32′23″ N 122°31′11″ W Group San Francisco ........ 37°48′34″ N 122°21′55″ W Point Bonita ....................... 37°49′00″ N 122°31′41″ W Group Eastern Shores ....... 37°55′47″ N 75°22′47″ W Group Eastern Shore ........ 37°55′50″ N 75°22′58″ W CAMSPAC ......................... 38°06′00″ N 122°55′48″ W Point Arena Lighthouse ..... 38°57′18″ N 124°44′28″ W Point Arena ........................ 38°57′36″ N 123°44′23″ W Group Atlantic City ............ 39°20′59″ N 74°27′42″ W Activities New York ............ 40°36′06″ N 74°03′36″ W Activities New York ............ 40°37′11″ N 74°04′11″ W ESD Moriches Hut ............. 40°47′19″ N 72°44′53″ W Group Moriches ................. 40°47′23″ N 72°45′00″ W Group Humboldt Bay ......... 40°58′41″ N 124°06′31″ W Group Humboldt Bay ......... 40°58′47″ N 124°06′35″ W Trinidad Head .................... 41°03′15″ N 124°09′02″ W Group Long Island Sound 41°16′12″ N 72°54′00″ W Station New Haven ............ 41°16′12″ N 72°54′06″ W Station Brant Point ............ 41°17′21″ N 70°05′31″ W Group Woods Hole ............ 41°17′23″ N 70°04′47″ W Station Castle Hill .............. 41°27′46″ N 71°21′42″ W Group Woods Hole ............ 41°17′29″ N 70°401′07″ W Boston Area ....................... 41°40′12″ N 70°31′48″ W Station Provincetown ......... 42°01′48″ N 70°12′42″ W Eastern Point ..................... 42°36′24″ N 70°39′26″ W Cape Blanco ...................... 42°50′16″ N 124°33′52″ W Group North Bend ............. 43°24′16″ N 124°13′22″ W Group North Bend ............. 43°24′35″ N 124°14′23″ W Cape Elizabeth .................. 43°33′28″ N 70°12′00″ W Group South Portland ........ 43°38′24″ N 70°15′00″ W Group South Portland ........ 43°38′45″ N 70°14′51″ W Group SW Harbor .............. 44°16′19″ N 68°18′27″ W Group Southwest Harbor ... 44°16′48″ N 68°18′36″ W Fort Stevens, Oregon ........ 46°09′14″ N 123°53′07″ W Group Astoria .................... 46°09′29″ N 123°31′48″ W Group Astoria .................... 46°09′35″ N 123°53′24″ W La Push ............................. 47°49′00″ N 124°37′59″ W Station Quillayute River ..... 47°54′49″ N 124°38′01″ W Port Angeles ...................... 48°07′59″ N 123°25′59″ W Group Port Angeles ........... 48°08′24″ N 123°24′35″ W Juneau (Sitka) ................... 57°05′24″ N 135°15′35″ W Kodiak ................................ 57°40′47″ N 152°28′47″ W Valdez (Cape
Hinchinbrook). 60°26′23″ N 146°25′48″ W
Note: Systems of coordinates comply with NAD 83.
TABLE 2.1—EXCLUSION ZONES FOR MARITIME PUBLIC COAST STATIONS [Points of Contact Are Identified in the Commission’s License Database]
Licensee name Location Latitude Longitude
Shipcom LLC .......................................... Marina Del Ray, CA ............................... 33°56′21″ N 118°27′14″ W Globe Wireless ....................................... Rio Vista, CA .......................................... 38°11′55″ N 121°48′34″ W Avalon Communications Corp ................ St. Thomas, VI ....................................... 18°21′19″ N 64°56′48″ W Globe Wireless ....................................... Bishopville, MD ...................................... 38°24′10″ N 75°12′59″ W Shipcom LLC .......................................... Mobile, AL .............................................. 30°40′07″ N 88°10′23″ W Shipcom LLC .......................................... Coden, AL .............................................. 30°22′35″ N 88°12′20″ W Globe Wireless ....................................... Pearl River, LA ....................................... 30°22′13″ N 89°47′26″ W Globe Wireless ....................................... Kahalelani, HI ......................................... 21°10′33″ N 157°10′39″ W Globe Wireless ....................................... Palo Alto, CA .......................................... 37°26′44″ N 122°06′48″ W
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TABLE 2.1—EXCLUSION ZONES FOR MARITIME PUBLIC COAST STATIONS—Continued [Points of Contact Are Identified in the Commission’s License Database]
Licensee name Location Latitude Longitude
Globe Wireless ....................................... Agana, GU ............................................. 13°29′22″ N 144°49′39″ E
NOTE: Systems of coordinates comply with NAD 83.
(ii) New or relocated Coast stations. In the unlikely event that a new or relo- cated coast station is established for the 2.173.5–2.190.5 kHz band at a coordi- nate not specified in Table 2 or 2.1, Ac- cess BPL operations in that frequency band shall also be excluded within 1 km of the new coast station facility;
(3) Consultation areas. Access BPL op- erators shall provide notification to the appropriate point of contact speci- fied regarding Access BPL operations at any frequencies of potential concern in the following consultation areas, at least 30 days prior to initiation of any operation or service. The notification shall include, at a minimum, the infor- mation in paragraph (a) of this section. We expect parties to consult in good faith to ensure that no harmful inter- ference is caused to licensed operations and that any constraints on BPL de- ployments are minimized to those nec- essary to avoid harmful interference. In the unlikely event that a new or re- located aeronautical receive station is established for the 1.7–30 MHz band at a coordinate not specified in Table 3b, Access BPL operators are also required to coordinate with the appropriate point of contact regarding Access BPL operations at any frequencies of poten- tial concern in the new or relocated consultation areas, and to adjust their system operating parameters to pro- tect the new or relocated aeronautical receive station.
(i) For frequencies in the 1.7–30 MHz frequency range, the areas within 4 km
of facilities located at the following co- ordinates:
(A) The Commission’s protected field offices listed in 47 CFR 0.121, the point- of-contact for which is specified in that section;
(B) The aeronautical stations listed in Tables 3a and 3b;
(C) The land stations listed in Tables 4 and 5;
(ii) For frequencies in the 1.7–80.0 MHz frequency range, the areas within 4 km of facilities located at the coordi- nates specified for radio astronomy fa- cilities in 47 CFR 2.106, Note U.S. 311.
Point of contact: Electromagnetic Spectrum Manager, National Science Foundation, Division of Astronomical Sciences, 4201 Wilson Blvd., Suite 1045, Arlington, VA 22230, (703) 292–4896, esm@nsf.gov.
(iii) For frequencies in the 1.7–80 MHz frequency range, the area within 1 km of the Table Mountain Radio Receiving Zone, the coordinates and point of con- tact for which are specified in 47 CFR 21.113(b).
(iv) For frequencies in the 1.7–30 MHz frequency range, the areas within 37 km of radar receiver facilities located at the coordinates specified in Table 6.
Point of contact: U.S. Coast Guard HQ, Division of Spectrum Management CG– 622, 2100 Second St., SW., Rm. 6611, Washington, DC 20593, Tel: (202) 267– 6036, Fax: (202) 267–4106, e-mail: jtaboada@comdt.uscg.mil.
TABLE 3a—CONSULTATION AREA COORDINATES FOR AERONAUTICAL (OR) STATIONS (1.7–30 MHZ)
Command name Location Latitude Longitude
Washington ............................................. Arlington, VA .......................................... 38°51′07″ N 77°02′15″ W Cape Cod ............................................... Cape Cod, MA ....................................... 41°42′00″ N 70°30′00″ W Atlantic City ............................................. Atlantic City, NJ ...................................... 39°20′59″ N 74°27′42″ W Elizabeth City .......................................... Elizabeth City, NC .................................. 36°15′53″ N 76°10′32″ W Savannah ................................................ Savannah, GA ........................................ 32°01′30″ N 81°08′30″ W Miami ...................................................... Opa Locka, FL ....................................... 25°54′22″ N 80°16′01″ W Clearwater .............................................. Clearwater, FL ........................................ 27°54′27″ N 82°41′ 29″ W Borinquen ............................................... Aguadilla, PR ......................................... 18°18′36″ N 67°04′ 48″ W New Orleans ........................................... New Orleans, LA .................................... 29°49′31″ N 90°02′ 06″ W Traverse City .......................................... Traverse City, MI .................................... 44°44′24″ N 85°34′54″ W San Diego ............................................... San Diego, CA ....................................... 32°43′33″ N 117°10′ 15″ W
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TABLE 3a—CONSULTATION AREA COORDINATES FOR AERONAUTICAL (OR) STATIONS (1.7–30 MHZ)—Continued
Command name Location Latitude Longitude
Sacramento ............................................ McCllelan AFB, CA ................................ 38°40′06″ N 121°24′04″ W Astoria ..................................................... Warrenton, OR ....................................... 46°25′18″ N 123°47′ 46″ W North Bend ............................................. North Bend, OR ..................................... 43°24′39″ N 124°14′35″ W Barbers Point .......................................... Kapolei, HI .............................................. 21°18′01″ N 158°04′15″ W Kodiak ..................................................... Kodiak, AK ............................................. 57°44′19″ N 152°30′18″ W Houston .................................................. Houston, TX ........................................... 29°45′00″ N 95°22′00″ W Detroit ..................................................... Mt. Clemens, MI ..................................... 42°36′05″ N 82°50′12″ W San Francisco ......................................... San Francisco, CA ................................. 37°37′58″ N 122°23′20″ W Los Angeles ............................................ Los Angeles, CA .................................... 33°56′36″ N 118°23′48″ W Humboldt Bay ......................................... McKinleyville, CA ................................... 40°58′39″ N 124°06′45″ W Port Angeles ........................................... Port Angeles, WA ................................... 48°08′25″ N 123°24′48″ W Sitka ........................................................ Sitka, AK ................................................ 57°05′50″ N 135°21′58″ W
NOTE: Systems of coordinates conform to NAD 83.
Point of contact: ARINC, 2551 Riva Road, Annapolis, MD 21401, Tel: 1–800– 633–6882, Fax: (410) 266–2329, e-mail: arincmkt@arinc.com, http:// www.arinc.com.
Point of contact: ARINC, 2551 Riva Road, Annapolis, MD 21401, Tel: 1–800– 633–6882, Fax: 410–266–2329, e-mail: bplnotifications@arinc.com, http:// www.arinc.com.
TABLE 3B—CONSULTATION AREA COORDINATES FOR AERONAUTICAL RECEIVE STATIONS (1.7–30 MHZ)
Locale Latitude Longitude
Southampton, NY ................................................................................ 40°55′15″ N 72°23′41″ W Molokai, HI .......................................................................................... 21°12′23″ N 157°12′30″ W Oahu, HI .............................................................................................. 21°22′27″ N 158°05′56″ W Half Moon Bay, CA ............................................................................. 37°39′64″ N 122°24′44″ W Pt. Reyes, CA ...................................................................................... 38°06′00″ N 122°56′00″ W Barrow, AK .......................................................................................... 71°17′24″ N 156°40′12″; W Guam ................................................................................................... 13°28′12″ N 144°48′0.0″ E (note: East-
ern Hemisphere) NY Comm Center, NY ......................................................................... 40°46′48″ N 73°05′46″ W Cedar Rapids, IA ................................................................................. 42°02′05.0″ N 91°38′37.6″ W Beaumont, CA ..................................................................................... 33°54′27.1″ N 116°59′49.1″ W Fairfield, TX ......................................................................................... 31°47′02.6″ N 96°47′03.0″ W Houston, TX ........................................................................................ 29°36′35.8″ N 95°16′54.8″ W Miami, FL ............................................................................................. 25°49′05″ N 80°18′28″ W
Note: Systems of coordinates conform to NAD 83.
Point of contact: U.S. Coast Guard HQ, Division of Spectrum Management CG–622, 2100 Second St., SW., Rm. 6611,
Washington, DC 20593, Tel: (202) 267– 6036, Fax: (202) 267–4106, e-mail: jtaboada@comdt.uscg.mil.
TABLE 4—CONSULTATION AREA COORDINATES FOR LAND STATIONS, SET 1 (1.7–30 MHZ)
Command name Location Latitude Longitude
COMMSTA Boston ................................. Maspee, MA ........................................... 41°24′00″ N 70°18′57″ W Camslant ................................................. Chesapeake, VA .................................... 36°33′59″ N 76°15′23″ W COMMSTA Miami ................................... Miami, FL ............................................... 25°36′58″ N 80°23′04″ W COMMSTA New Orleans ....................... Belle Chasse, IA .................................... 29°52′40″ N 89°54′46″ W Camspac ................................................. Pt. Reyes Sta, CA .................................. 38°06′00″ N 122°55′48″ W COMMSTA Honolulu .............................. Wahiawa, HI ........................................... 21°31′08″ N 157°59′28″ W COMMSTA Kodiak ................................. Kodiak, AK ............................................. 57°04′26′ N 152°28′20″ W Guam ...................................................... Finegayan, GU ....................................... 13°53′08″ N 144°50′20″ E
NOTE: Systems of coordinates conform to NAD 83.
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Federal Communications Commission § 15.703
Point of contact: COTHEN Technical Support Center, COTHEN Program Manager, Tel: (800) 829–6336.
TABLE 5—CONSULTATION AREA COORDINATES FOR LAND STATIONS, SET 2 (1.7–30 MHZ)
Site name Latitude Longitude
Albuquerque, NM ............... 35°05′02″ N 105°34′23″ W Arecibo, PR ....................... 18°17′26″ N 66°22′33″ W Atlanta, GA ........................ 32°33″06 N 84°23′35″ W Beaufort, SC ...................... 34°34′22″ N 76°09′48″ W Cape Charles, VA .............. 37°05′37″ N 75°58′06″ W Cedar Rapids, IA ............... 42°00′09″ N 91°17′39″ W Denver, CO ........................ 39°15′45″ N 103°34′23″ W Fort Myers, FL ................... 81°31′20″ N 26°20′01″ W Kansas City, MO ............... 38°22′10″ N 93°21′48″ W Las Vegas, NV .................. 36°21′15″ N 114°17′33″ W Lovelock, NV ..................... 40°03′07″ N 118°18′56″ W Memphis, TN ..................... 34°21′57″ N 90°02′43″ W Miami, FL ........................... 25°46′20″ N 80°28′48″ W Morehead City, NC ............ 34°34′50″ N 78°13′59″ W Oklahoma City, OK ............ 34°30′52″ N 97°30′52″ W Orlando, FL ........................ 28°31′30″ N 80°48′58″ W Reno, NV ........................... 38°31′12″ N 119°14′37″ W Sarasota, FL ...................... 27°12′41″ N 81°31′20″ W Wilmington, NC .................. 34°29′24″ N 78°04′31″ W
NOTE: Systems of coordinates conform to NAD 83.
Point Of Contact: ROTHR Deputy Program Manager, (540) 653–3624.
TABLE 6—CONSULTATION AREA COORDINATES FOR RADAR RECEIVER STATIONS (1.7–30 MHZ)
Latitude/Longitude
18°01′ N/66°30′ W 28°05′ N/98°43′ W 36°34′ N/76°18′ W
NOTE: Systems of coordinates conform to NAD 83.
[70 FR 1374, Jan. 7, 2005, as amended at 71 FR 49379, Aug. 23, 2006]
Subpart H—Television Band Devices
SOURCE: 74 FR 7326, Feb. 17, 2009, unless otherwise noted.
§ 15.701 Scope. This subpart sets out the regulations
for Television Band Devices (TVBDs) which are unlicensed intentional radi- ators operating on available channels in the broadcast television frequency bands at 54–60 MHz, 76–88 MHz, 174–216 MHz, 470–608 MHz and 614–698 MHz bands.
§ 15.703 Definitions. (a) Available channel. A television
channel which is not being used by an authorized user at or near the same ge-
ographic location as the TVBD and is acceptable for use by an unlicensed de- vice under the provisions of § 15.709. A TVBD determines television channel availability either from the TV bands database or spectrum sensing.
(b) Client device. A TVBD operating in client mode.
(c) Client mode. An operating mode in which the transmissions of the TVBD, including frequencies of operation, are under control of the master device. A device in client mode is not able to ini- tiate a network.
(d) Fixed device. A TVBD that trans- mits and/or receives radiocommunication signals at a speci- fied fixed location. Fixed TVBDs may operate as part of a system, transmit- ting to one or more fixed TVBDs or to personal/portable TVBDs.
(e) Geo-location. The capability of a TVBD to determine its geographic co- ordinates within a specified level of ac- curacy.
(f) Master device. A TVBD operating in master mode.
(g) Master mode. An operating mode in which the TVBD has the capability to transmit without receiving an ena- bling signal. The TVBD is able to se- lect a channel itself based on a list pro- vided by the database and initiate a network by sending enabling signals to other devices. A network always has at least one device operating in master mode.
(h) Mode I operation. Operation of a personal/portable TVBD operating only on the available channel identified by either the fixed TVBD or Mode II TVBD that enables its operation. Mode I operation does not require use of a geo-location capability or access to the TV bands database and requires oper- ation in client mode.
(i) Mode II operation. Operation of a personal/portable TVBD whereby the device determines the available chan- nels at its location using its own geo- location and TV bands database access capabilities. Devices operating in Mode II may function as master devices.
(j) Network initiation. The process by which a fixed or Mode II TVBD sends control signals to another similar de- vice or to a client device(s) and allows them to begin transmissions.
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(k) Operating channel. An available channel used by a TVBD for trans- mission and/or reception.
(l) Personal/portable device. A TVBD that transmits and/or receives radiocommunication signals while in motion or at unspecified locations that may change.
(m) Receive site. The location where the signal of a full service station is re- ceived for rebroadcast by a television translator or low power TV, including Class A TV, station.
(n) Spectrum sensing. A process where- by a TVBD monitors a television chan- nel to detect whether the channel is oc- cupied by a radio signal.
(o) Television band device (TVBD). In- tentional radiators operating on avail- able channels in the broadcast tele- vision frequency bands at 54–60 MHz, 76–88 MHz, 174–216 MHz, 470–608 MHz and 614–698 MHz.
(p) TV bands database. A database of authorized services in the TV fre- quency bands that is used to determine the available channels at a given loca- tion for use by TVBDs.
§ 15.705 Cross reference. (a) The provisions of subparts A, B,
and C of this part apply to TVBDs, ex- cept where specific provisions are con- tained in subpart H.
(b) The requirements of subpart H apply only to the radio transmitter contained in the TVBD. Other aspects of the operation of a TVBD may be sub- ject to requirements contained else- where in this chapter. In particular, a TVBD that includes a receiver that tunes within the frequency range speci- fied in § 15.101(b) contains digital cir- cuitry not directly associated with the radio transmitter is also subject to the requirements for unintentional radi- ators in subpart B.
§ 15.706 Information to the user. (a) For TV band device, the instruc-
tions furnished the user shall include the following or similar statement, placed in a prominent location in the text of the manual:
This equipment has been tested and found to comply with the rules for TV band de- vices, pursuant to part 15 of the FCC rules. These rules are designed to provide reason- able protection against harmful interference.
This equipment generates uses and can radi- ate radio frequency energy and, if not in- stalled and used in accordance with the in- structions, may cause harmful interference to radio communications. However, there is no guarantee that interference will not occur in a particular installation. If this equip- ment does cause harmful interference to radio or television reception, which can be determined by turning the equipment off and on, the user is encouraged to try to correct the interference by one or more of the fol- lowing measures:
1. Reorient or relocate the receiving an- tenna.
2. Increase the separation between the equipment and receiver.
3. Connect the equipment into an outlet on a circuit different from that to which the re- ceiver is connected.
4. Consult the manufacturer, dealer or an experienced radio/TV technician for help.
(b) In cases where the manual is pro- vided only in a form other than paper, such as on a computer disk or over the Internet, the information required by this section may be included in the manual in that alternative form, pro- vided the user can reasonably be ex- pected to have the capability to access information in that form.
§ 15.707 Permissible channels of oper- ation.
(a) All TVBDs are permitted to oper- ate in the frequency bands 512–608 MHz and 614–698 MHz, except that in the 13 metropolitan areas listed § 90.303(a) of this chapter and nearby areas where private land mobile services and com- mercial land mobile services are au- thorized by waiver, operation of TVBDs is prohibited on the first channel on each side of TV channel 37 (608–614 MHz) that is available at all locations within the protection range of the co- ordinates of each such area as set forth in § 15.712(d). These channels will be listed in the TV bands database.
(b) Operation in the bands 54–60 MHz, 76–88 MHz, 174–216 MHz, and 470–512 MHz is permitted only for fixed TVBDs that communicate only with other fixed TVBDs.
(c) Fixed and Mode II TVBDs shall only operate on available channels as determined by the TV bands database and in accordance with the inter- ference avoidance mechanisms of § 15.711.
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(d) Mode I TVBDs shall only operate on available channels provided to it from a Fixed or Mode II TVBD.
§ 15.709 General technical require- ments.
(a) Power limits for TVBDs are as fol- lows: (1) For fixed TVBDs, the max- imum conducted output power over the TV channel of operation shall not ex- ceed one watt. Transmitter power will be measured at the antenna input to account for any cable losses between the transmitter and the antenna. If transmitting antennas of directional gain greater than 6 dBi are used, the maximum conducted output power shall be reduced by the amount in dB that the directional gain of the an- tenna exceeds 6 dBi.
(2) For personal/portable TVBDs, the maximum conducted output power over the TV channel of operation shall not exceed 100 milliwatts; except that for personal/portable TVBDs that do not meet the adjacent channel separation requirements in § 15.712(a), the max- imum conducted output power shall not exceed 40 milliwatts. If transmit- ting antennas of directional gain great- er than 0 dBi are used, the maximum conducted output power shall be re- duced by the amount in dB that the di- rectional gain of the antenna exceeds 0 dBi.
(3) TVBDs shall incorporate transmit power control to limit their operating power to the minimum necessary for successful communication. Applicants for certification shall include a de- scription of a device’s transmit power control feature mechanism.
(4) Maximum conducted output power is the total transmit power in the en- tire emission bandwidth delivered to all antennas and antenna elements averaged across all symbols in the sig- naling alphabet when the transmitter is operating at its maximum power control level. Power must be summed across all antennas and antenna ele- ments. The average must not include any time intervals during which the transmitter is off or is transmitting at a reduced power level. If multiple modes of operation are possible (e.g., alternative modulation methods), the maximum conducted output power is
the highest total transmit power oc- curring in any mode.
(b) Antenna requirements. (1) For per- sonal/portable TVBDs, the antenna shall be permanently attached.
(2) The receive antenna used with fixed devices shall be located outdoors at least 10 meters above the ground. The antenna system shall be capable of receiving signals of protected services equally in all directions. The transmit antenna used with fixed devices may not be more than 30 meters above the ground.
(3) For both fixed and personal/port- able TVBDs, the provisions of § 15.204(c)(4) do not apply to an antenna used for transmission and reception/ spectrum sensing.
(4) For both fixed and personal/port- able TVBDs with a separate sensing an- tenna, compliance testing shall be per- formed using the lowest gain antenna for each type of antenna to be certified.
(c) Undesirable emission limits for TVBDs are as follows:
(1) In the 6 MHz channels adjacent to the operating channel, emissions from TVBD devices shall be at least 55 dB below the highest average power in the band in which the device is operating.
(2) The above emission measurements shall be performed using a minimum resolution bandwidth of 100 kHz with an average detector. A narrower reso- lution bandwidth may be employed near the band edge, when necessary, provided the measured energy is inte- grated to show the total power over 100 kHz.
(3) At frequencies beyond 6 MHz from the edge of the operating channel, radi- ated emissions from TVBD devices shall meet the requirements of § 15.209.
(4) Emissions in the band 602–620 MHz must also comply with the following field strength limits at a distance of one meter.
Frequency (MHz)
Field strength dBμV/meter/120 kHz
602–607 ................................. 120–5[F(MHz)–602] 607–608 ................................. 95 608–614 ................................. 30 614–615 ................................. 95 615–620 ................................. 120–5[620–F(MHz)]
(5) TVBDs connected to the AC power line are required to comply with the conducted limits set forth in § 15.207.
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(d) Compliance with radio frequency exposure requirements. To ensure com- pliance with the Commission’s radio frequency exposure requirements in §§ 1.1307(b), 2.1091 and 2.1093 of this chapter, fixed TVBDs shall be accom- panied by instructions on measures to take to ensure that persons maintain a distance of at least 40 cm from the de- vice, as well as any necessary hardware that may be needed to implement that protection. These instructions shall be submitted with the application for cer- tification. Personal/portable TVBDs that meet the definition of portable de- vices under § 2.1093 of this chapter and that operate with a source-based time- averaged output of less than 20 mW will not be subject to routine evalua- tion for compliance with the radio fre- quency exposure guidelines, while de- vices that operate with a source-based time-average output power greater than 20 mW will be subject to the rou- tine evaluation requirements.
§ 15.711 Interference avoidance mech- anisms.
(a) Except as provided in § 15.717, tele- vision channel availability for a TVBD is determined based on either the geo- location and database access mecha- nism described in paragraph (b) of this section or spectrum sensing described in paragraph (c) of this section.
(1) A TVBD shall rely on the geo-lo- cation and database access mechanism to identify available television chan- nels consistent with the interference protection requirements of § 15.712. Such protection will be provided for the following authorized services: dig- ital television stations, digital and analog Class A, low power, translator and booster stations; translator receive operations; fixed broadcast auxiliary service links; private land mobile serv- ice/commercial radio service (PLMRS/ CMRS) operations; offshore radio- telephone service; and cable system head-ends. In addition, protection shall be provided in border areas near Can- ada and Mexico in accordance with § 15.712(g).
(2) For low power auxiliary services authorized pursuant to §§ 74.801 through 74.882 of this chapter, including wire- less microphones, a TVBD shall rely on the geo-location and database access
mechanism to identify available tele- vision channels to provide interference protection to registered locations of such operations, consistent with the requirements of § 15.712, and shall rely on spectrum sensing to identify avail- able television channels to provide in- terference protection to all other oper- ations.
(b) Geo-location and database access. (1) The geographic coordinates of a fixed TVBD shall be determined to an accuracy of ±50 meters by either an in- corporated geo-location capability or a professional installer. In the case of professional installation, the party who registers the fixed TVBD in the database will be responsible for assur- ing the accuracy of the entered coordi- nates. The geographic coordinates of a fixed TVBD shall be determined at the time of installation and first activa- tion from a power-off condition, and this information may be stored inter- nally in the TVBD. If the fixed TVBD is moved to another location or if the stored coordinates become altered, the operator shall re-establish the device’s:
(i) Geographic location and store this information in the TVBD either by means of the device’s incorporated geo- location capability or through the services of a professional installer; and
(ii) Registration with the database based on the device’s new coordinates.
(2) A Mode II personal/portable device shall incorporate a geo-location capa- bility to determine its geographic co- ordinates to an accuracy of ±50 meters. The device must re-establish its posi- tion each time it is activated from a power-off condition.
(3)(i) Fixed devices must access a TV bands database over the Internet to de- termine the TV channels that are available at their geographic coordi- nates prior to their initial service transmission at a given location. Oper- ation is permitted only on channels that are indicated in the database as being available for TVBDs. Fixed TVBDS shall access the database at least once a day to verify that the op- erating channels continue to remain available. Operation must cease imme- diately if the channel is no longer available.
(ii) Mode II personal/portable devices must access a TV bands database over
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the Internet to determine the TV chan- nels that are available at their geo- graphic coordinates prior to their ini- tial service transmission at a given lo- cation. Operation is permitted only on channels that are indicated in the database as being available for TVBDs. A Mode II personal/portable device must access the database for a list of available channels each time it is acti- vated from a power-off condition and re-check its location and the database for available channels if it changes lo- cation during operation. A Mode II per- sonal/portable device that has been in a powered state shall re-check its loca- tion and access the database daily to verify that the operating channel(s) continue to be available.
(iii) If a fixed or mode II TVBD fails to contact the TV bands database dur- ing any given day, it may continue to operate until 11:59 PM of the following day at which time it must cease oper- ations unless it has contacted the TV bands database during the intervening period.
(iv) Personal/portable devices oper- ating in Mode I shall obtain a list of channels on which they may operate from a master device.
(4) All geographic coordinates shall be referenced to the North American Datum of 1983 (NAD 83).
(c) Spectrum sensing—(1) Detection threshold. (i) All fixed and personal/ portable TVBDs must be capable of de- tecting ATSC digital TV, NTSC analog TV and wireless microphone signals using analog or digital modulation methods. The required detection thresholds are.
(A) ATSC signals: ¥114 dBm, aver- aged over a 6 MHz bandwidth;
(B) NTSC signals: ¥114 dBm, aver- aged over a 100 kHz bandwidth;
(C) Wireless microphone signals: ¥114 dBm, averaged over a 200 kHz band- width.
(ii) The detection thresholds are ref- erenced to an omnidirectional receive antenna with a gain of 0 dBi. If a re- ceive antenna with a minimum direc- tional gain of less than 0 dBi is used, the detection threshold shall be re- duced by the amount in dB that the minimum directional gain of the an- tenna is less than 0 dBi. Minimum di- rectional gain shall be defined as the
antenna gain in the direction and at the frequency that exhibits the least gain. Alternative approaches for the sensing antenna are permitted, e.g., electronically rotateable antennas, provided the applicant for equipment authorization can demonstrate that its sensing antenna provides at least the same performance as an omnidirectional antenna with 0 dBi gain.
(2) Low power auxiliary device channel availability check time. A TVBD may start operating on a TV channel if no wireless microphone or other low power auxiliary device signals above the detection threshold are detected within a minimum time interval of 30 seconds.
(3) TV channel availability check time. A TVBD is required to check for TV signals for a minimum time interval of 30 seconds. If a TV signal is detected on a channel indicated as available for use by the database system, the device will provide a notice of that detection to the operator of the device and a means for the operator to optionally remove the channel from the device’s list of available channels.
(4) In-service monitoring. A TVBD must perform in-service monitoring of an operating channel a minimum of once every 60 seconds. There is no min- imum channel availability check time for in-service monitoring.
(5) Channel move time. After a wireless microphone or other low power auxil- iary device signal is detected on a TVBD operating channel, all trans- missions by the TVBD must cease within two seconds.
(6) Personal/portable devices oper- ating in the client mode shall identify to the fixed or Mode II personal/port- able device those television channels on which it senses any signals above the detection threshold. The fixed or Mode II device shall respond in accord- ance with the provisions of this para- graph as if it had detected the signal itself.
(7) TVBDs communicating either di- rectly with one another or linked through a base station must share in- formation on channel occupancy deter- mined by sensing. If any device in a local area group or network determines that a channel is occupied, all other
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linked devices will also be required to respond in accordance with the provi- sions of this paragraph as if it had de- tected the signal itself.
(d) A TVBD must incorporate the ca- pability to display a list of identified available channels and its operating channels.
(e) Fixed TVBDs shall transmit iden- tifying information. The identification signal must conform to a standard es- tablished by a recognized industry standards setting organization. The identification signal shall carry suffi- cient information to identify the de- vice and its geographic coordinates.
(f) If a fixed TVBD device does not have a direct connection to the Inter- net and has not yet been initialized and registered with the TV bands database, consistent with § 15.713, but can receive the transmissions of another fixed TVBD, the device needing initialization may transmit to that other device on either a channel that the other TVBD has transmitted on or on a channel which the other TVBD in- dicates is available for use to access the database to register its location and receive a list of channels that are available for it to use. Subsequently, the newly registered TVBD must only
use the television channels that the database indicates are available for it to use. Such fixed devices must re-con- tact the database through another fixed device to review their list of available channels at least once every 60 seconds. A fixed device may not op- erate as a client to another fixed de- vice.
(g) A personal/portable TVBD oper- ating in Mode I may only transmit upon receiving the transmissions of fixed or Mode II TVBD. A personal/ portable device operating in Mode I may transmit on either an operating channel of the fixed or Mode II TVBD or on a channel the fixed or Mode II TVBD indicates is available for use.
§ 15.712 Interference protection re- quirements.
(a) Digital television stations, and digital and analog Class A TV, low power TV, TV translator and TV boost- er stations:
(1) Protected contour. TVBDs must protect digital and analog TV services within the contours shown in the fol- lowing table. The contours are based on the R–6602 curves contained in § 73.699 of this chapter.
Type of station
Protected contour
Channel Contour(dBu) Propagation
curve
Analog: Class A TV, LPTV, translator and booster ................. Low VHF (2–6) ....................... 47 F(50,50) High VHF (7–13) .................... 56 F(50,50) UHF (14–69) ........................... 64 F(50,50)
Digital: Full service TV, Class A TV, LPTV, translator and booster.
Low VHF (2–6) ....................... 28 F(50,90)
High VHF (7–13) .................... 36 F(50,90) UHF (14–51) ........................... 41 F(50,90)
(2) Required separation distance. Fixed TVBDs and personal/portable TVBDs operating in Mode II must be located outside the contours indicated in para- graph (a)(1) of this section of co-chan- nel and adjacent channel stations by at least the minimum distances specified in the following table. Personal/port- able TVBDs operating in Mode II must comply with the separation distances specified for an unlicensed device with an antenna height of less than 3 me- ters. Alternatively, Mode II personal/ portable TVBDs may operate at closer separation distances, including inside
the contour of adjacent channel sta- tions, provided the power level is re- duced as specified in § 15.709(a)(2).
Antenna height of unli- censed device
Required separation (km) from digital or analog TV (full service or low power) protected contour
Co-channel (km)
Adjacent channel
(km)
Less than 3 meters ......... 6.0 0.1 3–Less than 10 meters ... 8.0 0.1 10–30 meters .................. 14.4 0.74
(b) Translator receive sites and cable headends. For translator receive sites
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and cable headends registered in the TV bands database, TVBDs may not op- erate within an arc of ±30 degrees from a line between the registered trans- lator or cable headend receive site and the TV station being received within a distance of 80 km from the protected contour for co-channel operation and 20 km from the protected contour for ad- jacent channel operation. Outside of this ±30 degree arc, TVBDs may not op- erate within 8 km from the receive site for co-channel operation and 2 km from the receive site for adjacent channel operation.
(c) Fixed Broadcast Auxiliary Service (BAS) Links. For permanent BAS re- ceive sites appearing in the Commis- sion’s Universal Licensing System or temporary BAS receive sites registered in the TV bands database, TVBDs may not operate within an arc of ±30 degrees from a line between the BAS receive site and its associated permanent transmitter within a distance of 80 km from the receive site for co-channel op- eration and 20 km for adjacent channel operation. Outside this ±30 degree arc, TVBDs may not operate within 8 km from the receive site for co-channel op- eration and 2 km from the receive site for adjacent channel operation.
(d) PLMRS/CMRS operations. TVBDs may not operate at distances less than 134 km for co-channel operations and 131 km for adjacent channel operations from the coordinates of the metropoli- tan areas and on the channels listed in § 90.303(a) of this chapter. For PLMRS/ CMRS operations outside of the metro- politan areas listed in § 90.303(a) of this chapter, co-channel and adjacent chan- nel TVBDs may not operate closer than 54 km and 51 km, respectively from a base station.
(e) Offshore Radiotelephone Service. TVBDs may not operate on channels used by the Offshore Radio Service within the geographic areas specified in § 74.709(e) of this chapter.
(f) Low power auxiliary services, in- cluding wireless microphones. (1) TVBDs will not be permitted to operate within 1 km of the coordinates of registered wireless microphone sites during des- ignated times on the channels used by wireless microphones.
(2) In the 13 metropolitan areas listed in § 90.303(a) of this chapter and nearby areas where private land mobile serv- ices and commercial land mobile serv- ices are authorized by waiver, oper- ation of TVBDs will not be permitted to operate on the first channel on each side of TV channel 37 (608–614 MHz) that is available, i.e., not occupied by a licensed service, at all locations within the protection range of the coordinates of each such area as set forth in § 15.712(d).
(g) Border areas near Canada and Mex- ico. (1) Fixed and personal/portable TVBDs shall not operate within 32 kil- ometers of the Canadian Border.
(2) Fixed and personal/portable TVBDs shall not operate within 40 kil- ometers of the Mexican border on UHF channels, or within 60 kilometers of that border on VHF channels.
(h) Radio astronomy services. Oper- ation of fixed and personal/portable TVBDs is prohibited on all channels within 2.4 kilometers at the following locations.
(1) The Naval Radio Research Observ- atory in Sugar Grove, West Virginia.
(2) The Table Mountain Radio Re- ceiving Zone (TMRZ) at 40°07′50″ N and 105°15′40″ W.
(3) The following facilities.
Observatory Longitude(deg/min/sec) Latitude
(deg/min/sec)
Allen Telescope Array ................................................................................. 121°28′24″ W ................. 40°49′04″ N. Arecibo Observatory .................................................................................... 066°45′11″ W ................. 18°20′46″ N. Green Bank Telescope (GBT) ..................................................................... 079°50′24″ W ................. 38°25′59″ N. Very Large Array (VLA) ............................................................................... 107°37′04″ W ................. 34°04′44″ N. Very Long Baseline Array (VLBA) Stations:
Pie Town, AZ ................................................................................. 108°07′07″ W ................. 34°18′04″ N. Kitt Peak, AZ ................................................................................. 111°36′42″ W ................. 31°57′22″ N. Los Alamos, NM ............................................................................ 106°14′42″ W ................. 35°46′30″ N. Ft. Davis, TX ................................................................................. 103°56′39″ W ................. 30°38′06″ N. N. Liberty, IA ................................................................................. 091°34′26″ W ................. 41°46′17″ N. Brewster, WA ................................................................................ 119°40′55″ W ................. 48°07′53″ N. Owens Valley, CA ......................................................................... 118°16′34″ W ................. 37°13′54″ N. St. Croix, VI ................................................................................... 064°35′03″ W ................. 17°45′31″ N. Hancock, NH ................................................................................. 071°59′12″ W ................. 42°56′01″ N.
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Observatory Longitude(deg/min/sec) Latitude
(deg/min/sec)
Mauna Kea, HI .............................................................................. 155°27′29″ W ................. 19°48′16″ N.
§ 15.713 TV bands database. (a) Purpose. The TV bands database
serves the following functions: (1) To determine and provide to a
TVBD, upon request, the available TV channels at the TVBD’s location. Available channels are determined based on the interference protection re- quirements in § 15.712.
(2) To register the identification in- formation and location of fixed TVBDs.
(3) To register protected locations and channels as specified in paragraph (b)(2) of this section, that are not oth- erwise recorded in Commission licens- ing databases.
(b) Information in the TV bands data- base. (1) Facilities already recorded in Commission databases. Identifying and location information will come from the official Commission database. These services include:
(i) Digital television stations. (ii) Class A television stations. (iii) Low power television stations. (iv) Television translator and booster
stations. (v) Broadcast Auxiliary Service sta-
tions (including receive only sites), ex- cept low power auxiliary stations.
(vi) Private land mobile radio service stations.
(vii) Commercial mobile radio service stations.
(viii) Offshore radiotelephone service stations.
(2) Facilities that are not recorded in Commission databases. Identifying and location information will be entered into the TV bands database in accord- ance with the procedures established by the TV bands database adminis- trator(s). These include:
(i) Cable television headends. (ii) Class A television station receive
sites. (iii) Low power television station re-
ceive sites. (iv) Television translator station re-
ceive sites. (v) Sites where low power auxiliary
stations, including wireless micro- phones and wireless assist video de-
vices, are used and their schedule for operation.
(vi) Fixed TVBD registrations. (c) Restrictions on registration. (1) Tel-
evision translator, low power TV and Class A station receive sites within the protected contour of the station being received are not eligible for registra- tion in the database.
(2) Cable television headends within the protected contour of a television channel are not eligible to register that channel in the database.
(d) Determination of available channels. The TV bands database will determine the available channels at a location using the interference protection re- quirements of § 15.712, the location in- formation supplied by a TVBD, and the data for protected stations/locations in the database. The TV bands database will also check for proximity of a TVBD to the Canadian and Mexican borders where operation may be pro- hibited pursuant to § 15.712(g).
(e) TVBD initialization. (1) Fixed and Mode II TVBDs must provide their lo- cation and required identifying infor- mation to the TV bands database in ac- cordance with the provisions of para- graph (b) of this section.
(2) Fixed and Mode II TVBDs shall not transmit unless they receive, from the TV bands database, a list of avail- able channels.
(3) Fixed TVBDs register and receive a list of available channels from the database by connecting to the Internet, either directly or through another fixed TVBD.
(4) Mode II TVBDs register and re- ceive a list of available channels from the database by connecting to the Internet, either directly or through a fixed TVBD.
(f) Fixed TVBD registration. (1) Prior to operating for the first time or after changing location, a fixed TVBD must register with the TV bands database by providing the information listed in paragraph (f)(3) of this section.
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(2) The party responsible for a fixed TVBD must ensure that the TVBD reg- istration database has the most cur- rent, up-to-date information for that device.
(3) The TVBD registration database shall contain the following information for fixed TVBDs:
(i) FCC identifier (FCC ID) of the de- vice.
(ii) Manufacturer’s serial number of the device.
(iii) Device’s geographic coordinates (latitude and longitude (NAD 83) accu- rate to ± 50 m).
(iv) Name of the individual or busi- ness that is responsible for the device.
(v) Name of a contact person respon- sible for the device’s operation.
(vi) Address for the contact person. (vii) E-mail address for the contact
person. (viii) Phone number for the contact
person. (g) A personal/portable device oper-
ating in Mode II shall provide the data- base its FCC Identifier (as required by § 2.926 of this chapter), serial number as assigned by the manufacturer, and the device’s geographic coordinates (lati- tude and longitude (NAD 83) accurate to ±50 m)
(h) The TV bands database shall con- tain the listed information for each of the following:
(1) Digital television stations, digital and analog Class A, low power, trans- lator and booster stations:
(i) Transmitter coordinates (latitude and longitude in NAD 83).
(ii) Effective radiated power (ERP). (iii) Height above average terrain of
the transmitting antenna (HAAT). (iv) Horizontal transmit antenna pat-
tern (if the antenna is directional). (v) Channel number. (vi) Station call sign. (2) Broadcast Auxiliary Service. (i) Transmitter coordinates (latitude
and longitude in NAD 83). (ii) Receiver coordinates (latitude
and longitude in NAD 83). (iii) Channel number. (iv) Call sign. (3) Metropolitan areas listed in
§ 90.303(a) of this chapter. (i) Region name. (ii) Channel(s) reserved for use in the
region.
(iii) Geographic center of the region (latitude and longitude in NAD 83).
(iv) Call sign. (4) PLMRS/CMRS base station oper-
ations located more than 80 km from the geographic centers of the 13 metro- politan areas defined in § 90.303(a) of this chapter (e.g., in accordance with a waiver).
(i) Transmitter location (latitude and longitude in NAD 83) or geographic area of operations.
(ii) Effective radiated power. (iii) Transmitter height above aver-
age terrain (if specified). (iv) Antenna height above ground
level (if specified). (v) Call sign. (5) Offshore Radiotelephone Service.
For each of the four regions where the Offshore Radiotelephone Service oper- ates.
(i) Geographic boundaries of the re- gion (latitude and longitude in NAD 83 for each point defining the boundary of the region.
(ii) Channel(s) used by the service in that region.
(6) Cable Television headends. (i) Name and address of cable com-
pany. (ii) Location of the headend receiver
(latitude and longitude in NAD 83, ac- curate to ±50 m).
(iii) Channel number of each tele- vision channel received, subject to the following condition: channels for which the cable headend is located within the protected contour of that channel’s transmitting station are not eligible for registration in the database.
(iv) Call sign of each television chan- nel received and eligible for registra- tion.
(v) Location (latitude and longitude) of the transmitter of each television channel received.
(7) Television translator, low power TV and Class A TV station receive sites.
(i) Call sign of the TV translator sta- tion.
(ii) Location of the TV translator re- ceive site (latitude and longitude in NAD 83, accurate to ±50 m).
(iii) Channel number of the re-trans- mitted television station, subject to the following condition: a channel for which the television translator receive
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site is located within the protected contour of that channel’s transmitting station is not eligible for registration in the database.
(iv) Call sign of the retransmitted television station.
(v) Location (latitude and longitude) of the transmitter of the retransmitted television station.
(8) Low power auxiliary stations, in- cluding wireless microphones and wire- less assist video devices. Sites with sig- nificant wireless microphone use at well defined times and locations may be registered in the database. Multiple registrations that specify more than one point in the facility may be en- tered for very large sites. Registrations will be valid for no more than one year, after which they may be renewed.
(i) Name of the individual or business that owns the low power auxiliary de- vice(s).
(ii) An address for the contact per- son.
(iii) An e-mail address for the con- tact person (optional).
(iv) A phone number for the contact person.
(v) Coordinates where the device(s) are used (latitude and longitude in NAD 83, accurate to ±50 m).
(vi) Channels used by the low power auxiliary devices operated at the site.
(vii) Specific months, days and times when the device(s) are used.
(i) Commission requests for data. (1) A TV bands database administrator must provide to the Commission, upon request, any information contained in the database.
(2) A TV bands database adminis- trator must remove information from the database, upon direction, in writ- ing, by the Commission.
EFFECTIVE DATE NOTE: At 74 FR 7326, Feb. 17, 2009, § 15.713 was added. This section con- tains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 15.714 TV bands database adminis- tration fees.
(a) A TV bands database adminis- trator may charge a fee for provision of lists of available channels to fixed and personal/portable TVBDs and for reg-
istering fixed TVBDs and temporary BAS links.
(b) The Commission, upon request, will review the fees and can require changes in those fees if they are found to be excessive.
EFFECTIVE DATE NOTE: At 74 FR 7326, Feb. 17, 2009, § 15.714 was added. This section con- tains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 15.715 TV bands database adminis- trator.
The Commission will designate one or more entities to administer a TV bands database. Each database admin- istrator shall:
(a) Maintain a database that contains the information described in § 15.713.
(b) Establish a process for acquiring and storing in the database necessary and appropriate information from the Commission’s databases and synchro- nizing the database with the current Commission databases at least once a week to include newly licensed facili- ties or any changes to licensed facili- ties.
(c) Establish a process for registering fixed TVBDs and registering and in- cluding in the database facilities enti- tled to protection but not contained in a Commission database, including cable headends and TV translator re- ceiver sites.
(d) Establish a process for registering facilities where part 74 low power aux- iliary devices are used on a regular basis.
(e) Provide lists of available channels to fixed and personal/portable TVBDs that submit to it the information re- quired under § 15.713(f) based on their geographic location.
(f) Make its services available to all unlicensed TV band device users on a non-discriminatory basis.
(g) Provide service for a five-year term. This term can be renewed at the Commission’s discretion.
(h) Respond in a timely manner to verify, correct and/or remove, as appro- priate, data in the event that the Com- mission or a party brings claim of inac- curacies in the database to its atten- tion.
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(i) Transfer its database along with the IP addresses and URLs used to ac- cess the database and list of registered Fixed TVBDs, to another designated entity in the event it does not continue as the database administrator at the end of its term. It may charge a rea- sonable price for such conveyance.
(j) The database must have functionality such that upon request from the Commission it can indicate that no channels are available when queried by a specific TVBD or model of TVBDs.
(k) If more than one database is de- veloped, the database administrators shall cooperate to develop a standard- ized process for providing on a daily basis or more often, as appropriate, the data collected for the facilities listed in § 15.713(b)(2) to all other TV bands databases to ensure consistency in the records of protected facilities.
EFFECTIVE DATE NOTE: At 74 FR 7326, Feb. 17, 2009, § 15.715 was added. This section con- tains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 15.717 TVBDs that rely on spectrum sensing.
(a) Parties may submit applications for certification of TVBDs that rely solely on spectrum sensing to identify available channels. Devices authorized under this section must demonstrate with an extremely high degree of con- fidence that they will not cause harm- ful interference to incumbent radio services.
(1) In addition to the procedures in subpart J of part 2 of this chapter, ap- plicants shall comply with the fol- lowing.
(i) The application must include a full explanation of how the device will protect incumbent authorized services against interference.
(ii) Applicants must submit a pre- production device, identical to the de- vice expected to be marketed.
(2) The Commission will follow the procedures below for processing appli- cations pursuant to this section.
(i) Applications will be placed on public notice for a minimum of 30 days for comments and 15 days for reply comments. Applicants may request
that portions of their application re- main confidential in accordance with § 0.459 of this chapter. This public no- tice will include proposed test proce- dures and methodologies.
(ii) The Commission will conduct lab- oratory and field tests of the pre-pro- duction device. This testing will be conducted to evaluate proof of per- formance of the device, including char- acterization of its sensing capability and its interference potential. The testing will be open to the public.
(iii) Subsequent to the completion of testing, the Commission will issue by public notice, a test report including recommendations. The public notice will specify a minimum of 30 days for comments and, if any objections are re- ceived, an additional 15 days for reply comments.
(b) The device shall meet the require- ments for personal/portable devices in this subpart except that it will be lim- ited to a maximum EIRP of 50 mw and it does not have to comply with the re- quirements for geo-location and data- base access in § 15.711(b). Compliance with the detection threshold for spec- trum sensing in § 15.711(c), although re- quired, is not necessarily sufficient for demonstrating reliable interference avoidance. Once a device is certified, additional devices that are identical in electrical characteristics and antenna systems may be certified under the procedures of part 2, subpart J of this chapter.
EFFECTIVE DATE NOTE: At 74 FR 7326, Feb. 17, 2009, § 15.717 was added. This section con- tains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
PART 17—CONSTRUCTION, MARK- ING, AND LIGHTING OF AN- TENNA STRUCTURES
Subpart A—General Information
Sec. 17.1 Basis and purpose. 17.2 Definitions. 17.4 Antenna structure registration. 17.5 Commission consideration of applica-
tions for station authorization. 17.6 Responsibility of Commission licensees
and permittees.
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Subpart B—Federal Aviation Administration Notification Criteria
17.7 Antenna structures requiring notifica- tion to the FAA.
17.8 Establishment of antenna farm areas. 17.9 Designated antenna farm areas. 17.10 Antenna structures over 304.80 meters
(1,000 feet) in height. 17.14 Certain antenna structures exempt
from notification to the FAA. 17.17 Existing structures.
Subpart C—Specifications for Obstruction Marking and Lighting of Antenna Structures
17.21 Painting and lighting, when required. 17.22 Particular specifications to be used. 17.23 Specifications for painting and light-
ing antenna structures.
AVIATION RED OBSTRUCTION LIGHTING [RESERVED]
17.24–17.43 [Reserved] 17.45 Temporary warning lights. 17.47 Inspection of antenna structure lights
and associated control equipment. 17.48 Notification of extinguishment or im-
proper functioning of lights. 17.49 Recording of antenna structure light
inspections in the owner record. 17.50 Cleaning and repainting. 17.51 Time when lights should be exhibited. 17.53 Lighting equipment and paint. 17.54 Rated lamp voltage. 17.56 Maintenance of lighting equipment. 17.57 Report of radio transmitting antenna
construction, alteration and/or removal. 17.58 Facilities to be located on land under
the jurisdiction of the U.S. Forest Serv- ice or the Bureau of Land Management.
AUTHORITY: Secs. 4, 303, 48 Stat. 1066, 1082, as amended; 47 U.S.C. 154, 303. Interpret or apply secs. 301, 309, 48 Stat. 1081, 1085 as amended; 47 U.S.C. 301, 309.
Subpart A—General Information
§ 17.1 Basis and purpose. (a) The rules in this part are issued
pursuant to the authority contained in Title III of the Communications Act of 1934, as amended, which vest authority in the Federal Communications Com- mission to issue licenses to radio sta- tions when it is found that the public interest, convenience, and necessity would be served thereby, and to require the painting, and/or illumination of an- tenna structures if and when in its judgment such structures constitute, or there is reasonable possibility that
they may constitute, a menace to air navigation.
(b) The purpose of this part is to pre- scribe certain procedures for antenna structure registration and standards with respect to the Commission’s con- sideration of proposed antenna struc- tures which will serve as a guide to an- tenna structure owners. The standards are referenced from two Federal Avia- tion Administration (FAA) Advisory Circulars.
[61 FR 4362, Feb. 6, 1996]
§ 17.2 Definitions. (a) Antenna structure. The term an-
tenna structure includes the radiating and/or receive system, its supporting structures and any appurtenances mounted thereon.
(b) An antenna farm area is defined as a geographical location, with estab- lished boundaries, designated by the Federal Communications Commission, in which antenna towers with a com- mon impact on aviation may be grouped.
(c) Antenna structure owner. For the purposes of this part, an antenna struc- ture owner is the individual or entity vested with ownership, equitable own- ership, dominion, or title to the an- tenna structure. Notwithstanding any agreements made between the owner and any entity designated by the owner to maintain the antenna structure, the owner is ultimately responsible for compliance with the requirements of this part.
(d) Antenna structure registration num- ber. A unique number, issued by the Commission during the registration process, which identifies an antenna structure. Once obtained, this number must be used in all filings related to this structure.
[32 FR 8813, June 21, 1967, and 32 FR 11268, Aug. 3, 1967, as amended at 39 FR 26157, July 17, 1974; 61 FR 4362, Feb. 6, 1996]
§ 17.4 Antenna structure registration. (a) Effective July 1, 1996, the owner of
any proposed or existing antenna structure that requires notice of pro- posed construction to the Federal Aviation Administration must register the structure with the Commission. This includes those structures used as
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part of stations licensed by the Com- mission for the transmission of radio energy, or to be used as part of a cable television head end system. If a Fed- eral Government antenna structure is to be used by a Commission licensee, the structure must be registered with the Commission.
(1) For a proposed antenna structure or alteration of an existing antenna structure, the owner must register the structure prior to construction or al- teration.
(2) For an existing antenna structure that had been assigned painting or lighting requirements prior to July 1, 1996, the owner must register the struc- ture prior to July 1, 1998.
(3) For a structure that did not origi- nally fall under the definition of ‘‘an- tenna structure,’’ the owner must reg- ister the structure prior to hosting a Commission licensee.
(b) Except as provided in paragraph (e) of this section, each owner must file FCC Form 854 with the Commission. Additionally, each owner of a proposed structure referred to in paragraphs (a)(1) or (a)(3) of this section must sub- mit a valid FAA determination of ‘‘no hazard.’’ In order to be considered valid by the Commission, the FAA deter- mination of ‘‘no hazard’’ must not have expired prior to the date on which FCC Form 854 is received by the Commis- sion. The height of the structure will include the highest point of the struc- ture including any obstruction lighting or lighting arrester.
(c) If an Environmental Assessment is required under § 1.1307 of this chap- ter, the Bureau will address the envi- ronmental concerns prior to processing the registration.
(d) If a final FAA determination of ‘‘no hazard’’ is not submitted along with FCC Form 854, processing of the registration may be delayed or dis- approved.
(e) If the owner of the antenna struc- ture cannot file FCC Form 854 because it is subject to a denial of Federal ben- efits under the Anti-Drug Abuse Act of 1988, 21 U.S.C. 862, the first tenant li- censee authorized to locate on the structure (excluding tenants that no longer occupy the structure) must reg- ister the structure using FCC Form 854, and provide a copy of the Antenna
Structure Registration (FCC Form 854R) to the owner. The owner remains responsible for providing a copy of FCC Form 854R to all tenant licensees on the structure and for posting the reg- istration number as required by para- graph (g) of this section.
(f) The Commission shall issue, to the registrant, FCC Form 854R, Antenna Structure Registration, which assigns a unique Antenna Structure Registra- tion Number. The structure owner shall immediately provide a copy of Form 854R to each tenant licensee and permittee.
(g) Except as described in paragraph (h) of this section, the Antenna Struc- ture Registration Number must be dis- played in a conspicuous place so that it is readily visible near the base of the antenna structure. Materials used to display the Antenna Structure Reg- istration Number must be weather-re- sistant and of sufficient size to be eas- ily seen at the base of the antenna structure.
(h) The owner is not required to post the Antenna Structure Registration Number in cases where a federal, state, or local government entity provides written notice to the owner that such a posting would detract from the appear- ance of a historic landmark. In this case, the owner must make the An- tenna Structure Registration Number available to representatives of the Commission, the FAA, and the general public upon reasonable demand.
[61 FR 4362, Feb. 6, 1996]
§ 17.5 Commission consideration of ap- plications for station authorization.
(a) Applications for station author- ization, excluding services authorized on a geographic basis, are reviewed to determine whether there is a require- ment that the antenna structure in question must be registered with the Commission.
(b) If registration is required, the registrant must supply the structure’s registration number upon request by the Commission.
(c) If registration is not required, the application for authorization will be processed without further regard to this chapter.
[61 FR 4362, Feb. 6, 1996]
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47 CFR Ch. I (10–1–10 Edition)§ 17.6
§ 17.6 Responsibility of Commission li- censees and permittees.
(a) The antenna structure owner is responsible for maintaining the paint- ing and lighting in accordance with this part. However, if a licensee or per- mittee authorized on an antenna struc- ture is aware that the structure is not being maintained in accordance with the specifications set forth on the An- tenna Structure Registration (FCC Form 854R) or the requirements of this part, or otherwise has reason to ques- tion whether the antenna structure owner is carrying out its responsibility under this part, the licensee or per- mittee must take immediate steps to ensure that the antenna structure is brought into compliance and remains in compliance. The licensee must:
(1) Immediately notify the structure owner;
(2) Immediately notify the site man- agement company (if applicable);
(3) Immediately notify the Commis- sion; and,
(4) Make a diligent effort to imme- diately bring the structure into com- pliance.
(b) In the event of non-compliance by the antenna structure owner, the Com- mission may require each licensee and permittee authorized on an antenna structure to maintain the structure, for an indefinite period, in accordance with the Antenna Structure Registra- tion (FCC Form 854R) and the require- ments of this part.
(c) If the owner of the antenna struc- ture cannot file FCC Form 854 because it is subject to a denial of Federal ben- efits under the Anti-Drug Abuse Act of 1988, 21 U.S.C. 862, the first licensee au- thorized to locate on the structure must register the structure using FCC Form 854, and provide a copy of the An- tenna Structure Registration (FCC Form 854R) to the owner. The owner re- mains responsible for providing a copy of FCC Form 854R to all tenant licens- ees on the structure and for posting the registration number as required by § 17.4(g).
[61 FR 4363, Feb. 6, 1996]
Subpart B—Federal Aviation Administration Notification Criteria § 17.7 Antenna structures requiring
notification to the FAA. A notification to the Federal Avia-
tion Administration is required, except as set forth in § 17.14, for any of the fol- lowing construction or alteration:
(a) Any construction or alteration of more than 60.96 meters (200 feet) in height above ground level at its site.
(b) Any construction or alteration of greater height than an imaginary sur- face extending outward and upward at one of the following slopes:
(1) 100 to 1 for a horizontal distance of 6.10 kilometers (20,000 feet) from the nearest point of the nearest runway of each airport specified in paragraph (d) of this section with at least one run- way more than 0.98 kilometers (3,200 feet) in actual length, excluding heli- ports.
(2) 50 to 1 for a horizontal distance of 3.05 kilometers (10,000 feet) from the nearest point of the nearest runway of each airport specified in paragraph (d) of this section with its longest runway no more than 0.98 kilometers (3,200 feet) in actual length, excluding heli- ports.
(3) 25 to 1 for a horizontal distance of 1.52 kilometers (5,000 feet) from the nearest point of the nearest landing and takeoff area of each heliport speci- fied in paragraph (d) of this section.
(c) When requested by the FAA, any construction or alteration that would be in an instrument approach area (de- fined in the FAA standards governing instrument approach procedures) and available information indicates it might exceed an obstruction standard of the FAA.
(d) Any construction or alteration on any of the following airports (including heliports):
(1) An airport that is available for public use and is listed in the Airport Directory of the current Airman’s In- formation Manual or in either the Alaska or Pacific Airman’s Guide and Chart Supplement.
(2) An airport under construction, that is the subject of a notice or pro- posal on file with the Federal Aviation Administration, and except for mili- tary airports, it is clearly indicated
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that the airport will be available for public use.
(3) An airport that is operated by an armed force of the United States.
NOTE: Consideration to aeronautical facili- ties not in existence at the time of the filing of the application for radio facilities will be given only when proposed airport construc- tion or improvement plans are on file with the Federal Aviation Administration as of the filing date of the application for such radio facilities.
[39 FR 7581, Feb. 27, 1974, as amended at 39 FR 26157, July 17, 1974; 42 FR 54823, Oct. 11, 1977; 42 FR 57127, Nov. 1, 1977]
§ 17.8 Establishment of antenna farm areas.
(a) Each antenna farm area will be established by an appropriate rule- making proceeding, which may be com- menced by the Commission on its own motion after consultation with the FAA, upon request of the FAA, or as a result of a petition filed by any inter- ested person. After receipt of a petition from an interested person disclosing sufficient reasons to justify institution of a rulemaking proceeding, the Com- mission will request the advice of the FAA with respect to the considerations of menace to air navigation in terms of air safety which may be presented by the proposal. The written communica- tion received from the FAA in response to the Commission’s request shall be placed in the Commission’s public rule- making file containing the petition, and interested persons shall be allowed a period of 30 days within which to file statements with respect thereto. Such statements shall also be filed with the Administrator of the FAA with proof of such filing to be established in accord- ance with § 1.47 of this chapter. The Ad- ministrator of the FAA shall have a pe- riod of 15 days within which to file re- sponses to such statements. If the Commission, upon consideration of the matters presented to it in accordance with the above procedure, is satisfied that establishment of the proposed an- tenna farm would constitute a menace to air navigation for reasons of air safety, rulemaking proceedings will not be instituted. If rulemaking pro- ceedings are instituted, any person fil- ing comments therein which concern the question of whether the proposed
antenna farm will constitute a menace to air navigation shall file a copy of the comments with the Administrator of the FAA. Proof of such filing shall be established in accordance with § 1.47 of this chapter.
(b) Nothing in this subpart shall be construed to mean that only one an- tenna farm area will be designated for a community. The Commission will consider on a case-by-case basis wheth- er or not more than one antenna farm area shall be designated for a par- ticular community.
[32 FR 8813, June 21, 1967, as amended at 32 FR 13591, Sept. 28, 1967]
§ 17.9 Designated antenna farm areas. The areas described in the following
paragraphs of this section are estab- lished as antenna farm areas [appro- priate paragraphs will be added as nec- essary].
[32 FR 8813, June 21, 1967]
§ 17.10 Antenna structures over 304.80 meters (1,000 feet) in height.
Where one or more antenna farm areas have been designated for a com- munity or communities (see § 17.9), the Commission will not accept for filing an application to construct a new sta- tion or to increase height or change an- tenna location of an existing station proposing the erection of an antenna structure over 304.80 meters (1,000 feet) above ground unless:
(a) It is proposed to locate the an- tenna structure in a designated an- tenna farm area, or
(b) It is accompanied by a statement from the Federal Aviation Administra- tion that the proposed structure will not constitute a menace to air naviga- tion, or
(c) It is accompanied by a request for waiver setting forth reasons sufficient, if true, to justify such a waiver.
[32 FR 8813, June 21, 1967, as amended at 42 FR 54824, Oct. 11, 1977; 61 FR 4363, Feb. 6, 1996]
§ 17.14 Certain antenna structures ex- empt from notification to the FAA.
A notification to the Federal Avia- tion Administration is not required for any of the following construction or al- teration:
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(a) Any object that would be shielded by existing structures of a permanent and substantial character or by natural terrain or topographic features of equal or greater height, and would be located in the congested area of a city, town, or settlement where it is evident be- yond all reasonable doubt that the structure so shielded will not adversely affect safety in air navigation. Appli- cant claiming such exemption under § 17.14(a) shall submit a statement with their application to the FCC explaining basis in detail for their finding.
(b) Any antenna structure of 6.10 me- ters (20 feet) or less in height except one that would increase the height of another antenna structure.
(c) Any air navigation facility, air- port visual approach or landing aid, aircraft arresting device, or meteoro- logical device, of a type approved by the Administrator of the Federal Avia- tion Administration, the location and height of which is fixed by its func- tional purpose.
[32 FR 11269, Aug. 3, 1967, as amended at 39 FR 7581, Feb. 27, 1974; 42 FR 54824, Oct. 11, 1977; 61 FR 4363, Feb. 6, 1996]
§ 17.17 Existing structures.
(a) The requirements found in § 17.23 relating to painting and lighting of an- tenna structures shall not apply to those structures authorized prior to July 1, 1996. Previously authorized structures may retain their present painting and lighting specifications, so long as the overall structure height or site coordinates do not change. The Antenna Structure Registration re- quirements found in § 17.5, however, shall apply to all antenna structures that have been assigned painting or lighting requirements by the Commis- sion, regardless of prior authorization.
(b) No change in any of these criteria or relocation of airports shall at any time impose a new restriction upon any then existing or authorized an- tenna structure or structures.
[32 FR 11269, Aug. 3, 1967, as amended at 61 FR 4363, Feb. 6, 1996]
Subpart C—Specifications for Ob- struction Marking and Lighting of Antenna Structures
§ 17.21 Painting and lighting, when re- quired.
Antenna structures shall be painted and lighted when:
(a) They exceed 60.96 meters (200 feet) in height above the ground or they re- quire special aeronautical study.
(b) The Commission may modify the above requirement for painting and/or lighting of antenna structures, when it is shown by the applicant that the ab- sence of such marking would not im- pair the safety of air navigation, or that a lesser marking requirement would insure the safety thereof.
[32 FR 11269, Aug. 3, 1967, as amended at 42 FR 54824, Oct. 11, 1977]
§ 17.22 Particular specifications to be used.
Whenever painting or lighting is re- quired, the Commission will generally assign specifications in accordance with the FAA Advisory Circulars ref- erenced in § 17.23. If an antenna instal- lation is of such a nature that its painting and lighting in accordance with these specifications are confusing, or endanger rather than assist airmen, or are otherwise inadequate, the Com- mission will specify the type of paint- ing and lighting or other marking to be used in the individual situation.
[32 FR 11269, Aug. 3, 1967, as amended at 61 FR 4363, Feb. 6, 1996]
§ 17.23 Specifications for painting and lighting antenna structures.
Unless otherwise specified by the Commission, each new or altered an- tenna structure to be registered on or after January 1, 1996, must conform to the FAA’s painting and lighting rec- ommendations set forth on the struc- ture’s FAA determination of ‘‘no haz- ard,’’ as referenced in the following FAA Advisory Circulars: AC 70/7460–1J, ‘‘Obstruction Marking and Lighting,’’ effective January 1, 1996, and AC 150/ 5345–43E, ‘‘Specification for Obstruc- tion Lighting Equipment,’’ dated Octo- ber 19, 1995. These documents are incor- porated by reference in accordance with 5 U.S.C. 552(a). The documents
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contain FAA recommendations for painting and lighting structures which pose a potential hazard to air naviga- tion. For purposes of this part, the specifications, standards, and general requirements stated in these docu- ments are mandatory. The Advisory Circulars listed are available for in- spection at the Commission Head- quarters in Washington, DC, or may be obtained from Department of Transpor- tation, Property Use and Storage Sec- tion, Subsequent Distribution Office, M483.6, Ardmore East Business Center, 3341 Q 75th Avenue, Landover, MD 20785, telephone (301) 322–4961, facsimile (301) 386–5394. Copies are also available for public inspection at the National Archives and Records Administration (NARA). For information on the avail- ability of this material at NARA, call 202–741–6030, or go to: http:// www.archives.gov/federal register/ codeloflfederal regulations/ ibrllocations.html.
[64 FR 27474, May 20, 1999, as amended at 69 FR 18803, Apr. 9, 2004]
AVIATION RED OBSTRUCTION LIGHTING [RESERVED]
§§ 17.24–17.43 [Reserved]
§ 17.45 Temporary warning lights.
During construction of an antenna structure, for which red obstruction lighting is required, at least two 116- or 125-watt lamps (A21/TS) enclosed in aviation red obstruction light globes, shall be installed at the uppermost point of the structure. The intensity of each lamp shall not be less than 32.5 candelas. In addition, as the height of the structure exceeds each level at which permanent obstruction lights will be required, two similar lights shall be installed at each such level. These temporary warning lights shall be displayed nightly from sunset to sunrise until the permanent obstruc- tion lights have been installed and placed in operation, and shall be posi- tioned so as to insure unobstructed vis- ibility of at least one of the lights at any normal angle of approach. If prac- tical, the permanent obstruction lights may be installed and operated at each
required level as construction pro- gresses.
[32 FR 11273, Aug. 3, 1967, as amended at 39 FR 26157, July 17, 1974; 42 FR 54826, Oct. 11, 1977]
§ 17.47 Inspection of antenna structure lights and associated control equip- ment.
The owner of any antenna structure which is registered with the Commis- sion and has been assigned lighting specifications referenced in this part:
(a)(1) Shall make an observation of the antenna structure’s lights at least once each 24 hours either visually or by observing an automatic properly main- tained indicator designed to register any failure of such lights, to insure that all such lights are functioning properly as required; or alternatively,
(2) Shall provide and properly main- tain an automatic alarm system de- signed to detect any failure of such lights and to provide indication of such failure to the owner.
(b) Shall inspect at intervals not to exceed 3 months all automatic or me- chanical control devices, indicators, and alarm systems associated with the antenna structure lighting to insure that such apparatus is functioning properly.
[61 FR 4363, Feb. 6, 1996]
§ 17.48 Notification of extinguishment or improper functioning of lights.
The owner of any antenna structure which is registered with the Commis- sion and has been assigned lighting specifications referenced in this part:
(a) Shall report immediately by tele- phone or telegraph to the nearest Flight Service Station or office of the Federal Aviation Administration any observed or otherwise known extin- guishment or improper functioning of any top steady burning light or any flashing obstruction light, regardless of its position on the antenna structure, not corrected within 30 minutes. Such reports shall set forth the condition of the light or lights, the circumstances which caused the failure, the probable date for restoration of service, the FCC Antenna Structure Registration Num- ber, the height of the structure (AGL and AMSL if known) and the name, title, address, and telephone number of
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47 CFR Ch. I (10–1–10 Edition)§ 17.49
the person making the report. Further notification by telephone or telegraph shall be given immediately upon re- sumption of normal operation of the light or lights.
(b) An extinguishment or improper functioning of a steady burning side in- termediate light or lights, shall be cor- rected as soon as possible, but notifica- tion to the FAA of such extinguish- ment or improper functioning is not re- quired.
[32 FR 11273, Aug. 3, 1967, as amended at 39 FR 26157, July 17, 1974; 40 FR 30267, July 18, 1975; 61 FR 4364, Feb. 6, 1996]
§ 17.49 Recording of antenna structure light inspections in the owner record.
The owner of each antenna structure which is registered with the Commis- sion and has been assigned lighting specifications referenced in this part must maintain a record of any ob- served or otherwise known extinguish- ment or improper functioning of a structure light and include the fol- lowing information for each such event:
(a) The nature of such extinguish- ment or improper functioning.
(b) The date and time the extinguish- ment or improper operation was ob- served or otherwise noted.
(c) Date and time of FAA notifica- tion, if applicable.
(d) The date, time and nature of ad- justments, repairs, or replacements made.
[48 FR 38477, Aug. 24, 1983, as amnded at 61 FR 4364, Feb. 6, 1996]
§ 17.50 Cleaning and repainting.
Antenna structures requiring paint- ing under this part shall be cleaned or repainted as often as necessary to maintain good visibility.
[61 FR 4364, Feb. 6, 1996]
§ 17.51 Time when lights should be ex- hibited.
(a) All red obstruction lighting shall be exhibited from sunset to sunrise un- less otherwise specified.
(b) All high intensity and medium in- tensity obstruction lighting shall be
exhibited continuously unless other- wise specified.
[40 FR 30267, July 18, 1975, as amended at 61 FR 4364, Feb. 6, 1996]
§ 17.53 Lighting equipment and paint.
The lighting equipment, color or fil- ters, and shade of paint referred to in the specifications are further defined in the following government and/or Army-Navy aeronautical specifica- tions, bulletins, and drawings (lamps are referred to by standard numbers):
Outside white ......................... TT-P-102 1 (Color No. 17875, FS-595).
Aviation surface orange ......... TT-P-59 1 (Color No. 12197, FS-595).
Aviation surface orange, enamel.
TT-E-489 1 (Color No. 12197, FS-595).
Aviation red obstruction light—color.
MIL-C-25050 2.
Flashing beacons .................. CAA-446 3 Code Beacons, 300 mm.
Do ................................... MIL-6273 2. Double and single obstruction
light. L-810 3 (FAA AC No. 150/
5345-2 4). Do ................................... MIL-L-7830 2.
High intensity white obstruc- tion light.
FAA/DOD L-856 (FAA AC No. 150/5345-43B 4).
116-Watt lamp ....................... No. 116 A21/TS (6,000 h). 125-Watt lamp ....................... No. 125 A21/TS (6,000 h). 620-Watt lamp ....................... No. 620 PS-40 (3,000 h). 700-Watt lamp ....................... No. 700 PS-40 (6,000 h).
1 Copies of this specification can be obtained from the Specification Activity, Building 197, Room 301, Naval Weap- ons Plant, 1st and N Streets, SE., Washington, D.C. 20407.
2 Copies of Military specifications can be obtained by con- tacting the Commanding Officer, Naval Publications and Forms Center, 5801 Tabor Ave., Attention: NPPC-105, Phila- delphia, Pa. 19120.
3 Copies of Federal Aviation Administration specifications may be obtained from the Chief, Configuration Control Branch, AAF–110, Department of Transportation, Federal Aviation Administration, 800 Independence Avenue SW., Washington, D.C. 20591.
4 Copies of Federal Aviation Administration advisory circu- lars may be obtained from the Department of Transportation, Publications Section, TAD–443.1, 400 7th St. SW., Wash- ington, D.C. 20590.
[33 FR 11540, Aug. 14, 1968, as amended at 40 FR 30267, July 18, 1975]
§ 17.54 Rated lamp voltage.
To insure the necessary lumen out- put by obstruction lights, the rated voltage of incandescent lamps used shall correspond to be within 3 percent higher than the voltage across the lamp socket during the normal hours of operation.
[42 FR 54826, Oct. 11, 1977]
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§ 17.56 Maintenance of lighting equip- ment.
(a) Replacing or repairing of lights, automatic indicators or automatic con- trol or alarm systems shall be accom- plished as soon as practicable.
(b) The flash tubes in a high inten- sity obstruction lighting system shall be replaced whenever the peak effec- tive daytime intensity falls below 200,000 candelas.
[40 FR 30267, July 18, 1975]
§ 17.57 Report of radio transmitting antenna construction, alteration, and/or removal.
The owner of an antenna structure for which an Antenna Structure Reg- istration Number has been obtained must notify the Commission within 24 hours of completion of construction (FCC Form 854–R) and/or dismantle- ment (FCC Form 854). The owner must also immediately notify the Commis- sion using FCC Form 854 upon any change in structure height or change in ownership information.
[61 FR 4364, Feb. 6, 1996]
§ 17.58 Facilities to be located on land under the jurisdiction of the U.S. Forest Service or the Bureau of Land Management.
Any application proposing new or modified transmitting facilities to be located on land under the jurisdiction of the U.S. Forest Service or the Bu- reau of Land Management shall include a statement that the facilities will be so located, and the applicant shall comply with the requirements of § 1.70 of this chapter.
[32 FR 11274, Aug. 3, 1967]
PART 18—INDUSTRIAL, SCIENTIFIC, AND MEDICAL EQUIPMENT
Subpart A—General Information
Sec. 18.101 Basis and purpose. 18.107 Definitions. 18.109 General technical requirements. 18.111 General operating conditions. 18.113 Inspection by Commission represent-
atives. 18.115 Elimination and investigation of
harmful interference. 18.117 Report of interference investigation.
18.121 Exemptions. 18.123 Transition provisions for compliance
with the rules.
Subpart B—Applications and Authorizations
18.201 Scope. 18.203 Equipment authorization. 18.207 Technical report. 18.209 Identification of authorized equip-
ment. 18.211 Multiple listing of equipment. 18.212 Compliance information. 18.213 Information to the user.
Subpart C—Technical Standards
18.301 Operating frequencies. 18.303 Prohibited frequency bands. 18.305 Field strength limits. 18.307 Conduction limits. 18.309 Frequency range of measurements. 18.311 Methods of measurements.
AUTHORITY: 47 U.S.C. 4, 301, 302, 303, 304, 307.
SOURCE: 50 FR 36067, Sept. 5, 1985, unless otherwise noted.
Subpart A—General Information
§ 18.101 Basis and purpose. The rules in this part, in accordance
with the applicable treaties and agree- ments to which the United States is a party, are promulgated pursuant to section 302 of the Communications Act of 1934, as amended, vesting the Fed- eral Communications Commission with authority to regulate industrial, sci- entific, and medical equipment (ISM) that emits electromagnetic energy on frequencies within the radio frequency spectrum in order to prevent harmful interference to authorized radio com- munication services. This part sets forth the conditions under which the equipment in question may be oper- ated.
§ 18.107 Definitions. (a) Radio frequency (RF) energy. Elec-
tromagnetic energy at any frequency in the radio spectrum from 9 kHz to 3 THz (3,000 GHz).
(b) Harmful interference. Interference which endangers the functioning of a radionavigation service or of other safety services or seriously degrades, obstructs or repeatedly interrupts a radiocommunication service operating in accordance with this chapter.
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(c) Industrial, scientific, and medical (ISM) equipment. Equipment or appli- ances designed to generate and use lo- cally RF energy for industrial, sci- entific, medical, domestic or similar purposes, excluding applications in the field of telecommunication. Typical ISM applications are the production of physical, biological, or chemical effects such as heating, ionization of gases, mechanical vibrations, hair removal and acceleration of charged particles.
(d) Industrial heating equipment. A category of ISM equipment used for or in connection with industrial heating operations utilized in a manufacturing or production process.
(e) Medical diathermy equipment. A category of ISM equipment used for therapeutic purposes, not including surgical diathermy apparatus designed for intermittent operation with low power.
(f) Ultrasonic equipment. A category of ISM equipment in which the RF energy is used to excite or drive an electromechanical transducer for the production of sonic or ultrasonic me- chanical energy for industrial, sci- entific, medical or other noncommu- nication purposes.
(g) Consumer ISM equipment. A cat- egory of ISM equipment used or in- tended to be used by the general public in a residential environment, notwith- standing use in other areas. Examples are domestic microwave ovens, jewelry cleaners for home use, ultrasonic hu- midifiers.
(h) ISM frequency. A frequency as- signed by this part for the use of ISM equipment. A specified tolerance is as- sociated with each ISM frequency. See § 18.301.
(i) Marketing. As used in this part, marketing shall include sale or lease, offer for sale or lease, advertising for sale or lease, the import or shipment or other distribution for the purpose of sale or lease or offer for sale or lease. See subpart I of part 2 of this chapter.
(j) Magnetic resonance equipment. A category of ISM equipment in which RF energy is used to create images and data representing spatially resolved density of transient atomic resources within an object.
NOTE: In the foregoing, sale (or lease) shall mean sale (or lease) to the user or a vendor
who in turn sells (or leases) to the user. Sale shall not be construed to apply to devices sold to a second party for manufacture or fabrication into a device which is subse- quently sold (or leased) to the user.
[50 FR 36067, Sept. 5, 1985, as amended at 59 FR 39472, Aug. 3, 1994]
§ 18.109 General technical require- ments.
ISM equipment shall be designed and constructed in accordance with good engineering practice with sufficient shielding and filtering to provide ade- quate suppression of emissions on fre- quencies outside the frequency bands specified in § 18.301.
§ 18.111 General operating conditions.
(a) Persons operating ISM equipment shall not be deemed to have any vested or recognizable right to the continued use of any given frequency, by virtue of any prior equipment authorization and/ or compliance with the applicable rules.
(b) Subject to the exceptions in para- graphs (c) and (d) of this section and ir- respective of whether the equipment otherwise complies with the rules in this part, the operator of ISM equip- ment that causes harmful interference to any authorized radio service shall promptly take whatever steps may be necessary to eliminate the inter- ference.
(c) The provisions of paragraph (b) of this section shall not apply in the case of interference to an authorized radio station or a radiocommunication de- vice operating in an ISM frequency band.
(d) The provisions of paragraph (b) of this section shall not apply in the case of interference to a receiver arising from direct intermediate frequency pickup by the receiver of the funda- mental frequency emissions of ISM equipment operating in an ISM fre- quency band and otherwise complying with the requirements of this part.
§ 18.113 Inspection by Commission representatives.
Upon request by a representative of the Commission the manufacturer,
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owner, or operator of any ISM equip- ment shall make the equipment avail- able for inspection and promptly fur- nish the Commission with such infor- mation as may be required to indicate that the equipment complies with this part.
§ 18.115 Elimination and investigation of harmful interference.
(a) The operator of ISM equipment that causes harmful interference to radio services shall promptly take ap- propriate measures to correct the prob- lem.
(b) If the operator of ISM equipment is notified by the Commission’s Engi- neer in Charge (EIC) that operation of such equipment is endangering the functioning of a radionavigation or safety service, the operator shall im- mediately cease operating the equip- ment. Operation may be resumed on a temporary basis only for the purpose of eliminating the harmful interference. Operation may be resumed on a regular basis only after the harmful inter- ference has been eliminated and ap- proval from the EIC obtained.
(c) When notified by the EIC that a particular installation is causing harmful interference, the operator or manufacturer shall arrange for an engi- neer skilled in techniques of inter- ference measurement and control to make an investigation to ensure that the harmful interference has been eliminated. The EIC may require the engineer making the investigation to furnish proof of his or her qualifica- tions.
§ 18.117 Report of interference inves- tigation.
(a) An interim report on investiga- tions and corrective measures taken pursuant to § 18.115 of this part shall be filed with the EIC of the local FCC of- fice within 30 days of notification of harmful interference. The final report shall be filed with the EIC within 60 days of notification.
(b) The date for filing the final report may be extended by the Engineer in Charge when additional time is re- quired to put into effect the corrective measures or to complete the investiga- tion. The request for extension of time shall be accompanied by a progress re-
port showing what has been accom- plished to date.
§ 18.121 Exemptions.
Non-consumer ultrasonic equipment, and non-consumer magnetic resonance equipment, that is used for medical di- agnostic and monitoring applications is subject only to the provisions of §§ 18.105, 18.109 through 18.119, 18.301 and 18.303 of this part.
[59 FR 39472, Aug. 3, 1994; 60 FR 47302, Sept. 12, 1995]
§ 18.123 Transition provisions for com- pliance with the rules.
Consumer ISM devices, induction cooking ranges and ultrasonic equip- ment that are authorized under the certification, verification or declara- tion of conformity procedures on or after July 12, 2004 shall comply with the conducted limits specified in § 18.307. All such devices that are manu- factured or imported on or after July 11, 2005 shall comply with the con- ducted limits specified in § 18.307. Equipment authorized, imported or manufactured prior to these dates shall comply with the conducted limits spec- ified in § 18.307 or with the conducted limits that were in effect immediately prior to September 9, 2002.
[67 FR 45671, July 10, 2002]
Subpart B—Applications and Authorizations
§ 18.201 Scope.
This subpart contains the procedures and requirements for authorization to market or operate ISM equipment under this part.
§ 18.203 Equipment authorization.
(a) Consumer ISM equipment, unless otherwise specified, must be authorized under either the Declaration of Con- formity or certification procedure prior to use or marketing. An applica- tion for certification shall be filed with the Commission on an FCC Form 731, pursuant to the relevant sections in part 2, subpart J of this chapter and shall also be accompanied by:
(1) A description of measurement fa- cilities pursuant to § 2.948, or reference
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47 CFR Ch. I (10–1–10 Edition)§ 18.207
to such information already on file with the Commission.
(2) A technical report pursuant to §§ 18.207 and 18.311.
(b) Consumer ultrasonic equipment generating less than 500 watts and op- erating below 90 kHz, and non-con- sumer ISM equipment shall be subject to verification, in accordance with the relevant sections of part 2, subpart J of this chapter.
(c) Grants of equipment authoriza- tion issued, as well as on-site certifi- cations performed, before March 1, 1986, remain in effect and no further action is required.
[50 FR 36067, Sept. 5, 1985, as amended at 63 FR 36603 July 7, 1998]
§ 18.207 Technical report. When required by the Commission a
technical report shall include at least the following information:
(a) A description of the measurement facilities in accordance with § 2.948. If such a description is already on file with the Commission, it may be in- cluded by reference.
(b) A copy of the installation and op- erating instructions furnished to the user. A draft copy of such instructions may be submitted with the application, provided a copy of the actual document to be furnished to the user is submitted as soon as it is available, but no later than 60 days after the grant of the ap- plication.
(c) The full name and mailing address of the manufacturer of the device and/ or applicant filing for the equipment authorization.
(d) The FCC Identifier, trade name(s), and/or model number(s) under which the equipment is or will be marketed.
(e) A statement of the rated tech- nical parameters that includes:
(1) A block and schematic diagram of the circuitry.
(2) Nominal operating frequency. (3) Maximum RF energy generated. (4) Electrical power requirements of
equipment. (5) Any other pertinent operating
characteristics. (f) A report of measurements, includ-
ing a list of the measuring equipment used, and a statement of the date when the measuring equipment was last cali- brated and when the measurements
were made. The frequency range that was investigated in obtaining the re- port of measurements shall be indi- cated. See also §§ 18.309 and 18.311.
[50 FR 36067, Sept. 5, 1985, as amended at 63 FR 36603, July 7, 1998]
§ 18.209 Identification of authorized equipment.
(a) Each device for which a grant of equipment authorization is issued under this part shall be identified pur- suant to the applicable provisions of subpart J of part 2 of this chapter. Changes in the identification of au- thorized equipment may be made pur- suant to § 2.933 of part 2 of this chapter. FCC Identifiers as described in §§ 2.925 and 2.926 of this chapter shall not be used on equipment subject to verification or Declaration of Con- formity.
(b) Devices authorized under the Dec- laration of Conformity procedure shall be labelled with the logo shown below. The label shall not be a stick-on, paper label. It shall be permanently affixed to the product and shall be readily visi- ble to the purchaser at the time of pur- chase, as described in § 2.925(d) of this chapter. Permanently affixed means that the label is etched, engraved, stamped, silkscreened, indelibly print- ed, or otherwise permanently marked on a permanently attached part of the equipment or on a nameplate of metal, plastic, or other material fastened to the equipment by welding, riveting, or a permanent adhesive. The label must be designed to last the expected life- time of the equipment in the environ- ment in which the equipment may be operated and must not be readily de- tachable. The logo follows:
[63 FR 36603, July 7, 1998]
§ 18.211 Multiple listing of equipment. (a) When the same or essentially the
same equipment will be marketed under more than one FCC Identifier, equipment authorization must be re- quested on an FCC Form 731 for each FCC Identifier.
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Federal Communications Commission § 18.301
(b) If equipment authorization for ad- ditional FCC Identifiers is requested in the initial application, a statement shall be included describing how these additional devices differ from the basic device which was measured and stating that the report of measurements sub- mitted for the basic device applies also to the additional devices.
(c) If equipment authorization for ad- ditional FCC Identifiers is requested after a grant has been issued by the FCC for the basic device, the applica- tion may, in lieu of the report of meas- urements, be accompanied by a state- ment including:
(1) FCC Identifier of device for which measurements are on file with the FCC.
(2) Date when equipment authoriza- tion was granted for the device(s) listed under paragraph (c)(1) of this section and the file number of such grant.
(3) Description of the difference be- tween the device listed under para- graph (c)(1) of this section and the ad- ditional device(s).
(4) A statement that the report of measurements filed for the device list- ed under paragraph (c)(1) of this sec- tion applies also to the additional de- vice(s).
(5) Photographs pursuant to § 2.1033(c).
§ 18.212 Compliance information.
(a) Equipment authorized under the Declaration of Conformity procedure shall include the following compliance information in lieu of the information required by § 2.1077.
(1) Identification of the product, e.g., name and model number.
(2) A statement similar to the fol- lowing:
This device complies with Part 18 of the FCC Rules.
(3) The name and address of the re- sponsible party as defined in § 2.909 of the rules. This party must be located within the United States.
(b) The compliance information may be placed in the instruction manual, on a separate sheet, or on the packaging. There is no specific format for this in- formation.
[63 FR 36603, July 7, 1998]
§ 18.213 Information to the user.
Information on the following matters shall be provided to the user in the in- struction manual or on the packaging if an instruction manual is not pro- vided for any type of ISM equipment:
(a) The interference potential of the device or system
(b) Maintenance of the system (c) Simple measures that can be
taken by the user to correct inter- ference.
(d) Manufacturers of RF lighting de- vices must provide an advisory state- ment, either on the product packaging or with other user documentation, similar to the following: This product may cause interference to radio equip- ment and should not be installed near maritime safety communications equipment or other critical navigation or communication equipment oper- ating between 0.45–30 MHz. Variations of this language are permitted provided all the points of the statement are ad- dressed and may be presented in any legible font or text style.
[50 FR 36069, Sept. 5, 1985, as amended at 51 FR 17970, May 16, 1986; 64 FR 37419, July 12, 1999]
Subpart C—Technical Standards
§ 18.301 Operating frequencies.
ISM equipment may be operated on any frequency above 9 kHz except as indicated in § 18.303. The following fre- quency bands, in accordance with § 2.106 of the rules, are allocated for use by ISM equipment:
ISM frequency Tolerance
6.78 MHz ............................... ±15.0 kHz 13.56 MHz ............................. ±7.0 kHz 27.12 MHz ............................. ±163.0 kHz 40.68 MHz ............................. ±20.0 kHz 915 MHz ................................ ±13.0 MHz 2,450 MHz ............................. ±50.0 MHz 5,800 MHz ............................. ±75.0 MHz 24,125 MHz ........................... ±125.0 MHz 61.25 GHz ............................. ±250.0 MHz 122.50 GHz ........................... ±500.0 MHz 245.00 GHz ........................... ±1.0 GHz
NOTE: The use of the 6.78 MHz ±15 kHz fre- quency band is subject to the conditions of footnote 524 of the Table of Allocations. See § 2.106.
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47 CFR Ch. I (10–1–10 Edition)§ 18.303
§ 18.303 Prohibited frequency bands.
Operation of ISM equipment within the following safety, search and rescue frequency bands is prohibited: 490–510 kHz, 2170–2194 kHz, 8354–8374 kHz, 121.4– 121.6 MHz, 156.7–156.9 MHz, and 242.8– 243.2 MHz.
§ 18.305 Field strength limits. (a) ISM equipment operating on a fre-
quency specified in § 18.301 is permitted unlimited radiated energy in the band specified for that frequency.
(b) The field strength levels of emis- sions which lie outside the bands speci- fied in § 18.301, unless otherwise indi- cated, shall not exceed the following:
Equipment Operating frequency RF Power gen- erated by equip-
ment (watts) Field strength limit (uV/m) Distance(meters)
Any type unless otherwise specified (miscellaneous).
Any ISM frequency .......... Below 500 ......... 500 or more .......
25 ........................................ 25×SQRT(power/500) .........
300 1300
Any non-ISM frequency .. Below 500 ......... 500 or more .......
15 ........................................ 15×SQRT(power/500) .........
300 1300
Industrial heaters and RF stabilized arc welders.
On or below 5,725 MHz .. Above 5,725 MHz ...........
Any .................... Any ....................
10 ........................................ (2) ........................................
1,600 (2)
Medical diathermy ................................ Any ISM frequency .......... Any non-ISM frequency ..
Any .................... Any ....................
25 ........................................ 15 ........................................
300 300
Ultrasonic .............................................. Below 490 kHz ................ Below 500 ......... 500 or more .......
2,400/F(kHz) ....................... 2,400/F(kHz)×
SQRT(power/500).
300 3300
490 to 1,600 kHz ............. Above 1,600 kHz .............
Any .................... Any ....................
24,000/F(kHz) ..................... 15 ........................................
30 30
Induction cooking ranges ..................... Below 90 kHz .................. On or above 90 kHz ........
Any .................... Any ....................
1,500 ................................... 300 ......................................
430 430
1 Field strength may not exceed 10 μV/m at 1600 meters. Consumer equipment operating below 1000 MHz is not permitted the increase in field strength otherwise permitted here for power over 500 watts.
2 Reduced to the greatest extent possible. 3 Field strength may not exceed 10 μV/m at 1600 meters. Consumer equipment is not permitted the increase in field strength
otherwise permitted here for over 500 watts. 4 Induction cooking ranges manufactured prior to February 1, 1980, shall be subject to the field strength limits for miscella-
neous ISM equipment.
(c) The field strength limits for RF lighting devices shall be the following:
Frequency (MHz) Field strength limit at 30 meters (μV/m)
Non-consumer equip- ment:
30–88 .................. 30 88–216 ................ 50 216–1000 ............ 70
Consumer equipment: 30–88 .................. 10 88–216 ................ 15 216–1000 ............ 20
NOTES
1. The tighter limit shall apply at the boundary between two frequency ranges.
2. Testing for compliance with these limits may be made at closer distances, provided a sufficient number of measurements are taken to plot the radiation pattern, to deter- mine the major lobes of radiation, and to de- termine the expected field strength level at 30, 300, or 1600 meters. Alternatively, if meas- urements are made at only one closer fixed distance, then the permissible field strength
limits shall be adjusted using 1/d as an at- tenuation factor.
[50 FR 36070, Sept. 5, 1985, as amended at 51 FR 17970, May 16, 1986; 52 FR 43197, Nov. 10, 1987]
§ 18.307 Conduction limits. For the following equipment, when
designed to be connected to the public utility (AC) power line the radio fre- quency voltage that is conducted back onto the AC power line on any fre- quency or frequencies shall not exceed the limits in the following tables. Com- pliance with the provisions of this paragraph shall be based on the meas- urement of the radio frequency voltage between each power line and ground at the power terminal using a 50 μH/50 ohms line impedance stabilization net- work (LISN).
(a) All Induction cooking ranges and ultrasonic equipment:
Frequency of emis- sion (MHz)
Conducted limit (dBμV)
Quasi-peak Average
0.009–0.05 ............... 110 ..................... —
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Federal Communications Commission Pt. 19
Frequency of emis- sion (MHz)
Conducted limit (dBμV)
Quasi-peak Average
0.05–0.15 ................. 90–80 * ............... — 0.15–0.5 ................... 66 to 56 * ............ 56 to 46 * 0.5–5 ........................ 56 ....................... 46 5–30 ......................... 60 ....................... 50
* Decreases with the logarithm of the frequency.
(b) All other part 18 consumer de- vices:
Frequency of emis- sion (MHz)
Conducted limit (dBμV)
Quasi-peak Average
0.15–0.5 ................... 66 to 56 * ............ 56 to 46 * 0.5–5 ........................ 56 ....................... 46 5–30 ......................... 60 ....................... 50
* Decreases with the logarithm of the frequency.
(c) RF lighting devices:
Frequency (MHz)
Maximum RF line voltage measured with a 50 uH/50 ohm LISN (uV)
Non-consumer equipment: 0.45 to 1.6 ............................................ 1,000 1.6 to 30 ............................................... 3,000
Consumer equipment: 0.45 to 2.51 .......................................... 250 2.51 to 3.0 ............................................ 3,000 3.0 to 30 ............................................... 250
(d) If testing with a quasi-peak detec- tor demonstrates that the equipment complies with the average limits speci- fied in the appropriate table in this section, additional testing to dem- onstrate compliance using an average detector is not required.
(e) These conduction limits shall apply only outside of the frequency bands specified in § 18.301.
(f) For ultrasonic equipment, compli- ance with the conducted limits shall preclude the need to show compliance with the field strength limits below 30 MHz unless requested by the Commis- sion.
(g) The tighter limits shall apply at the boundary between two frequency ranges.
[50 FR 36067, Sept. 5, 1985, as amended at 52 FR 43198, Nov. 10, 1987; 64 FR 37419, July 12, 1999; 67 FR 45671, July 10, 2002]
§ 18.309 Frequency range of measure- ments.
(a) For field strength measurements:
Frequency band in which device operates (MHz)
Range of frequency measurements
Lowest frequency Highest frequency
Below 1.705 ................................ Lowest frequency generated in the device, but not lower than 9 kHz.
30 MHz.
1.705 to 30 ................................. Lowest frequency generated in the device, but not lower than 9 kHz.
400 MHz.
30 to 500 .................................... Lowest frequency generated in the device or 25 MHz, whichever is lower.
Tenth harmonic or 1,000 MHz, whichever is higher.
500 to 1,000 ............................... Lowest frequency generated in the device or 100 MHz, which- ever is lower.
Tenth harmonic.
Above 1,000 ............................... ......do .............................................................................................. Tenth harmonic or high- est detectable emis- sion.
(b) For conducted powerline measure- ments, the frequency range over which the limits are specified will be scanned.
[50 FR 36070, Sept. 5, 1985, as amended at 51 FR 17971, May 16 1986]
§ 18.311 Methods of measurements. The measurement techniques which
will be used by the FCC to determine compliance with the technical require- ments of this part are set out in FCC Measurement Procedure MP–5, ‘‘Meth- ods of Measurements of Radio Noise Emissions from ISM equipment’’. Al- though the procedures in MP–5 are not
mandated, manufacturers are encour- aged to follow the same techniques which will be used by the FCC.
PART 19—EMPLOYEE RESPONSIBILITIES AND CONDUCT
Subpart A—General Provisions
Sec. 19.735–101 Purpose. 19.735–102 Cross-reference to ethics and
other conduct related regulations. 19.735–103 Definitions. 19.735–104 Delegations.
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47 CFR Ch. I (10–1–10 Edition)§ 19.735–101
19.735–105 Availability of ethics and other conduct related regulations and statutes.
19.735–106 Interpretation and advisory serv- ice.
19.735–107 Disciplinary and other remedial action.
Subpart B—Employee Responsibilities and Conduct
19.735–201 Outside employment and other activity prohibited by the Communica- tions Act.
19.735–202 Financial interests prohibited by the Communications Act.
19.735–203 Nonpublic information.
AUTHORITY: 5 U.S.C. 7301; 47 U.S.C. 154 (b), (i), (j), and 303(r).
SOURCE: 61 FR 56112, Oct. 31, 1996, unless otherwise noted.
Subpart A—General Provisions
§ 19.735–101 Purpose.
The regulations in this part prescribe procedures and standards of conduct that are appropriate to the particular functions and activities of the Commis- sion, and are issued by the Commission under authority independent of the uniform Standards of Ethical Conduct for Employees of the Executive Branch at 5 CFR part 2635 or otherwise in ac- cordance with 5 CFR 2635.105(c).
§ 19.735–102 Cross-reference to ethics and other conduct related regula- tions.
In addition to the rules in this part, employees of the Federal Communica- tions Commission (Commission) are subject to the Standards of Ethical Conduct for Employees of the Execu- tive Branch at 5 CFR part 2635 and the Commission’s regulations at 5 CFR part 3901 which supplement the execu- tive branch-wide standards, the execu- tive branch financial disclosure regula- tions at 5 CFR part 2634 and the Com- mission’s regulations at 5 CFR part 3902 which supplement the executive branch-wide financial disclosure regu- lations, and the employee responsibil- ities and conduct regulations at 5 CFR part 735.
§ 19.735–103 Definitions.
Commission means the Federal Com- munications Commission.
Communications Act means the Com- munications Act of 1934, as amended, 47 U.S.C. 151 et seq.
Employee means an officer or em- ployee of the Commission including special Government employees within the meaning of 18 U.S.C. 202(a) and the Commissioners.
Person means an individual, a cor- poration, a company, an association, a firm, a partnership, a society, a joint stock company, or any other organiza- tion or institution.
§ 19.735–104 Delegations. (a) The Commission has delegated to
the Chairman responsibility for the de- tection and prevention of acts, short of criminal violations, which could bring discredit upon the Commission and the Federal service.
(b) Approvals under 18 U.S.C. 205(e). (1) Commissioners may approve the rep- resentational activities permitted by 18 U.S.C. 205(e) by other employees in their immediate offices. The Des- ignated Agency Ethics Official has del- egated authority to grant such approv- als for all other employees except Com- missioners.
(2)(i) Requests for approval of the ac- tivities permitted by 18 U.S.C. 205(e) shall be in writing and submitted as follows:
(A) In the case of employees in the immediate offices of a Commissioner, to the Commissioner;
(B) In the case of Heads of Offices and Bureaus, to the Chairman; and
(C) In the case of all other employees except Commissioners, to the Head of the Office or Bureau to which the em- ployee is assigned.
(ii) An official (other than the Chair- man or another Commissioner) to whom a request for approval under 18 U.S.C. 205(e) is submitted shall forward it to the Designated Agency Ethics Of- ficial with the official’s recommenda- tion as to whether the request should be granted.
(3) Copies of all requests for approval under 18 U.S.C. 205(e) and the action taken thereon shall be maintained by the Designated Agency Ethics Official.
(c) Waivers under 18 U.S.C. 208. (1) Commissioners may waive the applica- bility of 18 U.S.C. 208(a), in accordance with 18 U.S.C. 208(b)(1) or 208(b)(3) and
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section 301(d) of Executive Order 12731, for other employees in their immediate offices. The Designated Agency Ethics Official has delegated authority to make such waiver determinations for all other employees except Commis- sioners.
(2)(i) Requests for waiver of the ap- plicability of 18 U.S.C. 208(a) shall be in writing and submitted as follows:
(A) In the case of employees in the immediate offices of a Commissioner, to the Commissioner;
(B) In the case of Heads of Offices and Bureaus, to the Chairman; and
(C) In the case of all other employees except Commissioners, to the Head of the Office or Bureau to which the em- ployee is assigned.
(ii) An official (other than the Chair- man or another Commissioner) to whom a waiver request is submitted shall forward it to the Designated Agency Ethics Official with the offi- cial’s recommendation as to whether the waiver should be granted.
(3) Copies of all requests for waivers and the action taken thereon shall be maintained by the Designated Agency Ethics Official.
§ 19.735–105 Availability of ethics and other conduct related regulations and statutes.
(a)(1) The Commission shall furnish each new employee, at the time of his or her entrance on duty, with a copy of:
(i) The Standards of Ethical Conduct for Employees of the Executive Branch (5 CFR part 2635);
(ii) The Supplemental Standards of Ethical Conduct for Employees of the Federal Communications Commission (5 CFR part 3901); and
(iii) The Commission’s Employee Re- sponsibilities and Conduct regulations in this part.
(2) The Head of each Office and Bu- reau has the responsibility to secure from every person subject to his or her administrative supervision a statement indicating that the individual has read and is familiar with the contents of the regulations in this part, and the regu- lations at 5 CFR parts 2635 and 3901, and to advise the Designated Agency Ethics Official that all such persons have provided such statements. Each new employee shall execute a similar
statement at the time of entrance on duty. Periodically, and at least once a year, the Designated Agency Ethics Of- ficial shall take appropriate action to ensure that the Head of each Office and Bureau shall remind employees subject to his or her administrative super- vision of the content of the regulations in 5 CFR parts 2635 and 3901 and this part.
(b) Copies of pertinent provisions of the Communications Act of 1934; title 18 of the United States Code; the Standards of Ethical Conduct for Em- ployees of the Executive Branch (5 CFR part 2635); the Commission’s Supple- mental Standards of Ethical Conduct (5 CFR part 3901); and the Commission’s employee responsibilities and conduct regulations in this part shall be avail- able in the office of the Designated Agency Ethics Official for review by employees.
§ 19.735–106 Interpretation and advi- sory service.
(a) Requests for interpretative rul- ings concerning the applicability of 5 CFR parts 2635 and 3901, and this part, may be submitted through the employ- ee’s supervisor to the General Counsel, who is the Commission’s Designated Agency Ethics Official pursuant to the delegation of authority at 47 CFR 0.251(a).
(b) At the time of an employee’s en- trance on duty and at least once each calendar year thereafter, the Commis- sion’s employees shall be notified of the availability of counseling services on questions of conflict of interest and other matters covered by this part, and of how and where these services are available.
§ 19.735–107 Disciplinary and other re- medial action.
(a) A violation of the regulations in this part by an employee may be cause for appropriate disciplinary action which may be in addition to any pen- alty prescribed by law.
(b) The Chairman will designate an officer or employee of the Commission who will promptly investigate all inci- dents or situations in which it appears that employees may have engaged in improper conduct. Such investigation will be initiated in all cases where
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complaints are brought to the atten- tion of the Chairman, including: Ad- verse comment appearing in publica- tions; complaints from members of Congress, private citizens, organiza- tions, other Government employees or agencies; and formal complaints re- ferred to the Chairman by the Des- ignated Agency Ethics Official.
(c) The Inspector General will be promptly notified of all complaints or allegations of employee misconduct. The Inspector General will also be noti- fied of the planned initiation of an in- vestigation under this part. Such noti- fication shall occur prior to the initi- ation of the investigation required by paragraph (a) of this section. The In- spector General may choose to conduct the investigation in accordance with the rules in this part. Should the In- spector General choose to conduct the investigation, he will promptly notify the Chairman. In such case, the Inspec- tor General will serve as the designated officer and be solely responsible for the investigation. In carrying out this function, the Inspector General may obtain investigative services from other Commission offices, other gov- ernmental agencies or non govern- mental sources and use any other means available to him in accordance with Public Law 100–504 or the Inspec- tor General Act of 1978, as amended, 5 U.S.C. Appendix. The Inspector General will be provided with the results of all investigations in which he chooses not to participate.
(d) The employee concerned shall be provided an opportunity to explain the alleged misconduct. When, after con- sideration of the employee’s expla- nation, the Chairman decides that re- medial action is required, he shall take remedial action. Remedial action may include, but is not limited to:
(1) Changes in assigned duties; (2) Divestiture by the employee of his
conflicting interest; (3) Action under the Commission’s
Ethics Program resulting in one of the following actions:
(i) When investigation reveals that the charges are groundless, the person designated by the Chairman to assist in administration of the program may give a letter of clearance to the em- ployee concerned, and the case will not
be recorded in his Official Personnel Folder;
(ii) If, after investigation, the case investigator deems the act to be mere- ly a minor indiscretion, he may resolve the situation by discussing it with the employee. The case will not be re- corded in the employee’s Official Per- sonnel Folder;
(iii) If the case administrator con- siders the problem to be of sufficient importance, he may call it to the at- tention of the Chairman, who in turn may notify the employee of the seri- ousness of his act and warn him of the consequences of a repetition. The case will not be recorded in the employee’s Official Personnel Folder, unless the employee requests it;
(iv) The Chairman may, when in his opinion circumstances warrant, estab- lish a special review board to inves- tigate the facts in a case and to make a full report thereon, including rec- ommended action; or
(v)(A) If the Chairman decides that formal disciplinary action should be taken, he may prepare for Commission consideration a statement of facts and recommend one of the following:
(1) Written reprimand. A formal letter containing a complete statement of the offense and official censure;
(2) Suspension. A temporary non pay status and suspension from duty; or
(3) Removal for cause. Separation for cause in case of a serious offense.
(B) Only after a majority of the Com- mission approves formal disciplinary action will any record resulting from the administration of this program be placed in the employee’s Official Per- sonnel Folder; or
(4) Disqualification for a particular assignment.
(e) Remedial action, whether discipli- nary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations.
Subpart B—Employee Responsibilities and Conduct
§ 19.735–201 Outside employment and other activity prohibited by the Communications Act.
Under section 4(b) of the Communica- tions Act, at 47 U.S.C. 154(b)(2)(A)(iv), no employee of the Commission may be
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in the employ of or hold any official re- lation to any person significantly regu- lated by the Commission under that Act. In addition, the Commissioners are prohibited by section 4(b) of the Communications Act, at 47 U.S.C. 154(b)(4), from engaging in any other business, vocation, profession, or em- ployment.
NOTE: Under the Supplemental Standards of Ethical Conduct for Employees of the Fed- eral Communications Commission, at 5 CFR 3901.102, professional employees of the Com- mission must obtain approval before engag- ing in the private practice of the same pro- fession as that of the employee’s official po- sition, whether or not for compensation.
§ 19.735–202 Financial interests pro- hibited by the Communications Act.
(a) No Commissioner shall have a pe- cuniary interest in any hearing or pro- ceeding in which he participates. (47 U.S.C. 154(j).)
(b)(1) Section 4(b) of the Communica- tions Act, at 47 U.S.C. 154(b)(2)(A), pro- vides:
No member of the Commission or person employed by the Commission shall:
(i) Be financially interested in any com- pany or other entity engaged in the manu- facture or sale of telecommunications equip- ment which is subject to regulation by the Commission;
(ii) Be financially interested in any com- pany or other entity engaged in the business of communication by wire or radio or in the use of the electromagnetic spectrum;
(iii) Be financially interested in any com- pany or other entity which controls any company or other entity specified in clause (i) or clause (ii), or which derives a signifi- cant portion of its total income from owner- ship of stocks, bonds, or other securities of any such company or other entity; or
(iv) Be employed by, hold any official rela- tion to, or own any stocks, bonds, or other securities of, any person significantly regu- lated by the Commission under this act; ex- cept that the prohibitions established in this subparagraph shall apply only to financial interests in any company or other entity which has a significant interest in commu- nications, manufacturing, or sales activities which are subject to regulation by the Com- mission.
(2) To determine whether an entity has a significant interest in commu- nications related activities that are subject to Commission regulations, the Commission shall consider, without ex- cluding other relevant factors, the cri-
teria in section 4(b) of the Communica- tions Act, at 47 U.S.C. 154(b)(3). These criteria include:
(i) The revenues and efforts directed toward the telecommunications aspect of the business;
(ii) The extent of Commission regula- tion over the entity involved;
(iii) The potential economic impact of any Commission action on that par- ticular entity; and
(iv) The public perception regarding the business activities of the company.
(3)(i) Section 4(b) of the Communica- tions Act, at 47 U.S.C. 154(b)(2)(B)(i), permits the Commission to waive the prohibitions at 47 U.S.C. 154(b)(2)(A). The Act’s waiver provision at 47 U.S.C. 154(b)(2)(B)(i) provides:
The Commission shall have authority to waive, from time to time, the application of the prohibitions established in subparagraph (A) of section 4(b) to persons employed by the Commission if the Commission deter- mines that the financial interests of a person which are involved in a particular case are minimal, except that such waiver authority shall be subject to the provisions of section 208 of title 18, United States Code. The waiv- er authority established in this subpara- graph shall not apply with respect to mem- bers of the Commission.
(ii)(A) Requests for waiver of the pro- visions of 47 U.S.C. 154(b)(2)(A) may be submitted by an employee to the Head of the employee’s Office or Bureau, who will endorse the request with an appro- priate recommendation and forward the request to the Designated Agency Ethics Official. The Designated Agency Ethics Official has delegated authority to waive the applicability of 47 U.S.C. 154(b)(2)(A).
(B) All requests for waiver shall be in writing and in the required detail. The dollar value for the financial interest sought to be waived shall be expressed explicitly or in categories of value pro- vided at 5 CFR 2634.301(d).
(C) Copies of all waiver requests and the action taken thereon shall be maintained by the Designated Agency Ethics Official. In any case in which the Commission exercises the waiver authority established in section 4(b) of the Communications Act, the Commis- sion shall publish notice of such action in the FEDERAL REGISTER and shall fur- nish notice of such action to the appro- priate committees of each House of the
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47 CFR Ch. I (10–1–10 Edition)§ 19.735–203
Congress. Each such notice shall in- clude information regarding the iden- tity of the person receiving the waiver, the position held by such person, and the nature of the financial interests which are the subject of the waiver.
§ 19.735–203 Nonpublic information.
(a) Except as authorized in writing by the Chairman pursuant to para- graph (b) of this section, or otherwise as authorized by the Commission or its rules, nonpublic information shall not be disclosed, directly or indirectly, to any person outside the Commission. Such information includes, but is not limited to, the following:
(1) The content of agenda items (ex- cept for compliance with the Govern- ment in the Sunshine Act, 5 U.S.C. 552b); or
(2) Actions or decisions made by the Commission at closed meetings or by circulation prior to the public release of such information by the Commis- sion.
(b) An employee engaged in outside teaching, lecturing, or writing shall not use nonpublic information obtained as a result of his Government employ- ment in connection with such teaching, lecturing, or writing except when the Chairman gives written authorization for the use of that nonpublic informa- tion on the basis that its use is in the public interest.
(c) This section does not prohibit the disclosure of an official Commission meeting agenda listing titles and sum- maries of items for discussion at an open Commission meeting. Also, this section does not prohibit the disclosure of information about the scheduling of Commission agenda items.
(d) Any person regulated by or prac- ticing before the Commission coming into possession of written nonpublic in- formation (including written material transmitted in electronic form) as de- scribed in paragraph (a) of this section under circumstances where it appears that its release was inadvertent or oth- erwise unauthorized shall promptly re- turn the written information to the Commission’s Office of the Inspector General without further distribution or use of the written nonpublic informa- tion. Any person regulated by or prac- ticing before the Commission who will- fully violates this section by failing to promptly notify the Commission’s Of- fice of the Inspector General of the re- ceipt of written nonpublic information (including written material trans- mitted in electronic form) that he knew or should have known was re- leased inadvertently or in any other- wise unauthorized manner may be sub- ject to appropriate sanctions by the Commission. In the case of attorneys practicing before the Commission, such sanctions may include disciplinary ac- tion under the provisions of § 1.24 of this chapter.
NOTE: Employees also should refer to the provisions of the Standards of Ethical Con- duct for Employees of the Executive Branch, at 5 CFR 2635.703, on the use of nonpublic in- formation. Additionally, employees should refer to § 19.735–107 of this part, which pro- vides that employees of the Commission who violate this part may be subject to discipli- nary action which may be in addition to any other penalty prescribed by law. As is the case with section 2635.703, this part is in- tended only to cover knowing unauthorized disclosures of nonpublic information.
[61 FR 56112, Oct. 31, 1996, as amended at 65 FR 66185, Nov. 3, 2000]
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FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabet- ical list of agencies publishing in the CFR are included in the CFR Index and Finding Aids volume to the Code of Federal Regulations which is published sepa- rately and revised annually.
Table of CFR Titles and Chapters Alphabetical List of Agencies Appearing in the CFR List of CFR Sections Affected
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Table of CFR Titles and Chapters (Revised as of October 1, 2010)
Title 1—General Provisions
I Administrative Committee of the Federal Register (Parts 1—49)
II Office of the Federal Register (Parts 50—299)
IV Miscellaneous Agencies (Parts 400—500)
Title 2—Grants and Agreements
SUBTITLE A—OFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR GRANTS AND AGREEMENTS
I Office of Management and Budget Governmentwide Guidance for Grants and Agreements (Parts 100—199)
II Office of Management and Budget Circulars and Guidance (200— 299)
SUBTITLE B—FEDERAL AGENCY REGULATIONS FOR GRANTS AND AGREEMENTS
III Department of Health and Human Services (Parts 300— 399)
IV Department of Agriculture (Parts 400—499)
VI Department of State (Parts 600—699)
VIII Department of Veterans Affairs (Parts 800—899)
IX Department of Energy (Parts 900—999)
XI Department of Defense (Parts 1100—1199)
XII Department of Transportation (Parts 1200—1299)
XIII Department of Commerce (Parts 1300—1399)
XIV Department of the Interior (Parts 1400—1499)
XV Environmental Protection Agency (Parts 1500—1599)
XVIII National Aeronautics and Space Administration (Parts 1880— 1899)
XX United States Nuclear Regulatory Commission (Parts 2000—2099)
XXII Corporation for National and Community Service (Parts 2200— 2299)
XXIII Social Security Administration (Parts 2300—2399)
XXIV Housing and Urban Development (Parts 2400—2499)
XXV National Science Foundation (Parts 2500—2599)
XXVI National Archives and Records Administration (Parts 2600—2699)
XXVII Small Business Administration (Parts 2700—2799)
XXVIII Department of Justice (Parts 2800—2899)
XXX Department of Homeland Security (Parts 3000—3099)
XXXI Institute of Museum and Library Services (Parts 3100—3199)
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Chap. Title 2—Grants and Agreements—Continued
XXXII National Endowment for the Arts (Parts 3200—3299)
XXXIII National Endowment for the Humanities (Parts 3300—3399)
XXXV Export-Import Bank of the United States (Parts 3500—3599)
XXXVII Peace Corps (Parts 3700—3799)
LVIII Election Assistance Commission (Parts 5800—5899)
Title 3—The President
I Executive Office of the President (Parts 100—199)
Title 4—Accounts
I Government Accountability Office (Parts 1—99)
II Recovery Accountability and Transparency Board (Parts 200— 299)
Title 5—Administrative Personnel
I Office of Personnel Management (Parts 1—1199)
II Merit Systems Protection Board (Parts 1200—1299)
III Office of Management and Budget (Parts 1300—1399)
V The International Organizations Employees Loyalty Board (Parts 1500—1599)
VI Federal Retirement Thrift Investment Board (Parts 1600—1699)
VIII Office of Special Counsel (Parts 1800—1899)
IX Appalachian Regional Commission (Parts 1900—1999)
XI Armed Forces Retirement Home (Parts 2100—2199)
XIV Federal Labor Relations Authority, General Counsel of the Fed- eral Labor Relations Authority and Federal Service Impasses Panel (Parts 2400—2499)
XV Office of Administration, Executive Office of the President (Parts 2500—2599)
XVI Office of Government Ethics (Parts 2600—2699)
XXI Department of the Treasury (Parts 3100—3199)
XXII Federal Deposit Insurance Corporation (Parts 3200—3299)
XXIII Department of Energy (Parts 3300—3399)
XXIV Federal Energy Regulatory Commission (Parts 3400—3499)
XXV Department of the Interior (Parts 3500—3599)
XXVI Department of Defense (Parts 3600— 3699)
XXVIII Department of Justice (Parts 3800—3899)
XXIX Federal Communications Commission (Parts 3900—3999)
XXX Farm Credit System Insurance Corporation (Parts 4000—4099)
XXXI Farm Credit Administration (Parts 4100—4199)
XXXIII Overseas Private Investment Corporation (Parts 4300—4399)
XXXIV Securities and Exchange Commission (Parts 4400—4499)
XXXV Office of Personnel Management (Parts 4500—4599)
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Chap. Title 5—Administrative Personnel—Continued
XL Interstate Commerce Commission (Parts 5000—5099)
XLI Commodity Futures Trading Commission (Parts 5100—5199)
XLII Department of Labor (Parts 5200—5299)
XLIII National Science Foundation (Parts 5300—5399)
XLV Department of Health and Human Services (Parts 5500—5599)
XLVI Postal Rate Commission (Parts 5600—5699)
XLVII Federal Trade Commission (Parts 5700—5799)
XLVIII Nuclear Regulatory Commission (Parts 5800—5899)
L Department of Transportation (Parts 6000—6099)
LII Export-Import Bank of the United States (Parts 6200—6299)
LIII Department of Education (Parts 6300—6399)
LIV Environmental Protection Agency (Parts 6400—6499)
LV National Endowment for the Arts (Parts 6500—6599)
LVI National Endowment for the Humanities (Parts 6600—6699)
LVII General Services Administration (Parts 6700—6799)
LVIII Board of Governors of the Federal Reserve System (Parts 6800— 6899)
LIX National Aeronautics and Space Administration (Parts 6900— 6999)
LX United States Postal Service (Parts 7000—7099)
LXI National Labor Relations Board (Parts 7100—7199)
LXII Equal Employment Opportunity Commission (Parts 7200—7299)
LXIII Inter-American Foundation (Parts 7300—7399)
LXIV Merit Systems Protection Board (Parts 7400—7499)
LXV Department of Housing and Urban Development (Parts 7500— 7599)
LXVI National Archives and Records Administration (Parts 7600—7699)
LXVII Institute of Museum and Library Services (Parts 7700—7799)
LXVIII Commission on Civil Rights (Parts 7800—7899)
LXIX Tennessee Valley Authority (Parts 7900—7999)
LXXI Consumer Product Safety Commission (Parts 8100—8199)
LXXII Special Inspector General for Iraq Reconstruction (Parts 8200— 8299)
LXXIII Department of Agriculture (Parts 8300—8399)
LXXIV Federal Mine Safety and Health Review Commission (Parts 8400—8499)
LXXVI Federal Retirement Thrift Investment Board (Parts 8600—8699)
LXXVII Office of Management and Budget (Parts 8700—8799)
LXXX Federal Housing Finance Agency (Parts 8700—8799)
LXXXII Special Inspector General for Iraq Reconstruction (Parts 9200— 9299)
XCVII Department of Homeland Security Human Resources Manage- ment System (Department of Homeland Security—Office of Personnel Management) (Parts 9700—9799)
XCIX Department of Defense Human Resources Management and Labor Relations Systems (Department of Defense—Office of Personnel Management) (Parts 9900—9999)
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Chap. Title 6—Domestic Security
I Department of Homeland Security, Office of the Secretary (Parts 0—99)
Title 7—Agriculture
SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS 0—26)
SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE
I Agricultural Marketing Service (Standards, Inspections, Mar- keting Practices), Department of Agriculture (Parts 27—209)
II Food and Nutrition Service, Department of Agriculture (Parts 210—299)
III Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 300—399)
IV Federal Crop Insurance Corporation, Department of Agriculture (Parts 400—499)
V Agricultural Research Service, Department of Agriculture (Parts 500—599)
VI Natural Resources Conservation Service, Department of Agri- culture (Parts 600—699)
VII Farm Service Agency, Department of Agriculture (Parts 700— 799)
VIII Grain Inspection, Packers and Stockyards Administration (Fed- eral Grain Inspection Service), Department of Agriculture (Parts 800—899)
IX Agricultural Marketing Service (Marketing Agreements and Or- ders; Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900—999)
X Agricultural Marketing Service (Marketing Agreements and Or- ders; Milk), Department of Agriculture (Parts 1000—1199)
XI Agricultural Marketing Service (Marketing Agreements and Or- ders; Miscellaneous Commodities), Department of Agriculture (Parts 1200—1299)
XIV Commodity Credit Corporation, Department of Agriculture (Parts 1400—1499)
XV Foreign Agricultural Service, Department of Agriculture (Parts 1500—1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts 1600— 1699)
XVII Rural Utilities Service, Department of Agriculture (Parts 1700— 1799)
XVIII Rural Housing Service, Rural Business-Cooperative Service, Rural Utilities Service, and Farm Service Agency, Depart- ment of Agriculture (Parts 1800—2099)
XX Local Television Loan Guarantee Board (Parts 2200—2299)
XXVI Office of Inspector General, Department of Agriculture (Parts 2600—2699)
XXVII Office of Information Resources Management, Department of Agriculture (Parts 2700—2799)
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Chap. Title 7—Agriculture—Continued
XXVIII Office of Operations, Department of Agriculture (Parts 2800— 2899)
XXIX Office of Energy Policy and New Uses, Department of Agri- culture (Parts 2900—2999)
XXX Office of the Chief Financial Officer, Department of Agriculture (Parts 3000—3099)
XXXI Office of Environmental Quality, Department of Agriculture (Parts 3100—3199)
XXXII Office of Procurement and Property Management, Department of Agriculture (Parts 3200—3299)
XXXIII Office of Transportation, Department of Agriculture (Parts 3300—3399)
XXXIV National Institute of Food and Agriculture (Parts 3400—3499)
XXXV Rural Housing Service, Department of Agriculture (Parts 3500— 3599)
XXXVI National Agricultural Statistics Service, Department of Agri- culture (Parts 3600—3699)
XXXVII Economic Research Service, Department of Agriculture (Parts 3700—3799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture (Parts 3800—3899)
XLI [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities Service, Department of Agriculture (Parts 4200—4299)
L Rural Business-Cooperative Service, Rurual Housing Service, and Rural Utilities Service, Department of Agriculture (Parts 5000—5099)
Title 8—Aliens and Nationality
I Department of Homeland Security (Immigration and Naturaliza- tion) (Parts 1—499)
V Executive Office for Immigration Review, Department of Justice (Parts 1000—1399)
Title 9—Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 1—199)
II Grain Inspection, Packers and Stockyards Administration (Packers and Stockyards Programs), Department of Agri- culture (Parts 200—299)
III Food Safety and Inspection Service, Department of Agriculture (Parts 300—599)
Title 10—Energy
I Nuclear Regulatory Commission (Parts 0—199)
II Department of Energy (Parts 200—699)
III Department of Energy (Parts 700—999)
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Chap. Title 10—Energy—Continued
X Department of Energy (General Provisions) (Parts 1000—1099)
XIII Nuclear Waste Technical Review Board (Parts 1303—1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799)
XVIII Northeast Interstate Low-Level Radioactive Waste Commission (Parts 1800—1899)
Title 11—Federal Elections
I Federal Election Commission (Parts 1—9099)
II Election Assistance Commission (Parts 9400—9499)
Title 12—Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts 1—199)
II Federal Reserve System (Parts 200—299)
III Federal Deposit Insurance Corporation (Parts 300—399)
IV Export-Import Bank of the United States (Parts 400—499)
V Office of Thrift Supervision, Department of the Treasury (Parts 500—599)
VI Farm Credit Administration (Parts 600—699)
VII National Credit Union Administration (Parts 700—799)
VIII Federal Financing Bank (Parts 800—899)
IX Federal Housing Finance Board (Parts 900—999)
XI Federal Financial Institutions Examination Council (Parts 1100—1199)
XII Federal Housing Finance Agency (Parts 1200—1299)
XIV Farm Credit System Insurance Corporation (Parts 1400—1499)
XV Department of the Treasury (Parts 1500—1599)
XVII Office of Federal Housing Enterprise Oversight, Department of Housing and Urban Development (Parts 1700—1799)
XVIII Community Development Financial Institutions Fund, Depart- ment of the Treasury (Parts 1800—1899)
Title 13—Business Credit and Assistance
I Small Business Administration (Parts 1—199)
III Economic Development Administration, Department of Com- merce (Parts 300—399)
IV Emergency Steel Guarantee Loan Board (Parts 400—499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)
Title 14—Aeronautics and Space
I Federal Aviation Administration, Department of Transportation (Parts 1—199)
II Office of the Secretary, Department of Transportation (Aviation Proceedings) (Parts 200—399)
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Chap. Title 14—Aeronautics and Space—Continued
III Commercial Space Transportation, Federal Aviation Adminis- tration, Department of Transportation (Parts 400—499)
V National Aeronautics and Space Administration (Parts 1200— 1299)
VI Air Transportation System Stabilization (Parts 1300—1399)
Title 15—Commerce and Foreign Trade
SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0— 29)
SUBTITLE B—REGULATIONS RELATING TO COMMERCE AND FOREIGN TRADE
I Bureau of the Census, Department of Commerce (Parts 30—199)
II National Institute of Standards and Technology, Department of Commerce (Parts 200—299)
III International Trade Administration, Department of Commerce (Parts 300—399)
IV Foreign-Trade Zones Board, Department of Commerce (Parts 400—499)
VII Bureau of Industry and Security, Department of Commerce (Parts 700—799)
VIII Bureau of Economic Analysis, Department of Commerce (Parts 800—899)
IX National Oceanic and Atmospheric Administration, Department of Commerce (Parts 900—999)
XI Technology Administration, Department of Commerce (Parts 1100—1199)
XIII East-West Foreign Trade Board (Parts 1300—1399)
XIV Minority Business Development Agency (Parts 1400—1499)
SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE- MENTS
XX Office of the United States Trade Representative (Parts 2000— 2099)
SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS AND INFORMATION
XXIII National Telecommunications and Information Administration, Department of Commerce (Parts 2300—2399)
Title 16—Commercial Practices
I Federal Trade Commission (Parts 0—999)
II Consumer Product Safety Commission (Parts 1000—1799)
Title 17—Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1—199)
II Securities and Exchange Commission (Parts 200—399)
IV Department of the Treasury (Parts 400—499)
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Chap. Title 18—Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy (Parts 1—399)
III Delaware River Basin Commission (Parts 400—499)
VI Water Resources Council (Parts 700—799)
VIII Susquehanna River Basin Commission (Parts 800—899)
XIII Tennessee Valley Authority (Parts 1300—1399)
Title 19—Customs Duties
I U.S. Customs and Border Protection, Department of Homeland Security; Department of the Treasury (Parts 0—199)
II United States International Trade Commission (Parts 200—299)
III International Trade Administration, Department of Commerce (Parts 300—399)
IV U.S. Immigration and Customs Enforcement, Department of Homeland Security (Parts 400—599)
Title 20—Employees’ Benefits
I Office of Workers’ Compensation Programs, Department of Labor (Parts 1—199)
II Railroad Retirement Board (Parts 200—399)
III Social Security Administration (Parts 400—499)
IV Employees Compensation Appeals Board, Department of Labor (Parts 500—599)
V Employment and Training Administration, Department of Labor (Parts 600—699)
VI Employment Standards Administration, Department of Labor (Parts 700—799)
VII Benefits Review Board, Department of Labor (Parts 800—899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900—999)
IX Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 1000—1099)
Title 21—Food and Drugs
I Food and Drug Administration, Department of Health and Human Services (Parts 1—1299)
II Drug Enforcement Administration, Department of Justice (Parts 1300—1399)
III Office of National Drug Control Policy (Parts 1400—1499)
Title 22—Foreign Relations
I Department of State (Parts 1—199)
II Agency for International Development (Parts 200—299)
III Peace Corps (Parts 300—399)
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Chap. Title 22—Foreign Relations—Continued
IV International Joint Commission, United States and Canada (Parts 400—499)
V Broadcasting Board of Governors (Parts 500—599)
VII Overseas Private Investment Corporation (Parts 700—799)
IX Foreign Service Grievance Board (Parts 900—999)
X Inter-American Foundation (Parts 1000—1099)
XI International Boundary and Water Commission, United States and Mexico, United States Section (Parts 1100—1199)
XII United States International Development Cooperation Agency (Parts 1200—1299)
XIII Millenium Challenge Corporation (Parts 1300—1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations Authority; General Counsel of the Federal Labor Relations Authority; and the Foreign Service Impasse Disputes Panel (Parts 1400—1499)
XV African Development Foundation (Parts 1500—1599)
XVI Japan-United States Friendship Commission (Parts 1600—1699)
XVII United States Institute of Peace (Parts 1700—1799)
Title 23—Highways
I Federal Highway Administration, Department of Transportation (Parts 1—999)
II National Highway Traffic Safety Administration and Federal Highway Administration, Department of Transportation (Parts 1200—1299)
III National Highway Traffic Safety Administration, Department of Transportation (Parts 1300—1399)
Title 24—Housing and Urban Development
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT (PARTS 0—99)
SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE- VELOPMENT
I Office of Assistant Secretary for Equal Opportunity, Department of Housing and Urban Development (Parts 100—199)
II Office of Assistant Secretary for Housing-Federal HousingCommissioner, Department of Housing and Urban De- velopment (Parts 200—299)
III Government National Mortgage Association, Department of Housing and Urban Development (Parts 300—399)
IV Office of Housing and Office of Multifamily Housing Assistance Restructuring, Department of Housing and Urban Develop- ment (Parts 400—499)
V Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 500—599)
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Chap. Title 24—Housing and Urban Development—Continued
VI Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 600—699) [Reserved]
VII Office of the Secretary, Department of Housing and Urban Devel- opment (Housing Assistance Programs and Public and Indian Housing Programs) (Parts 700—799)
VIII Office of the Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Section 8 Housing Assistance Programs, Section 202 Di- rect Loan Program, Section 202 Supportive Housing for the El- derly Program and Section 811 Supportive Housing for Persons With Disabilities Program) (Parts 800—899)
IX Office of Assistant Secretary for Public and Indian Housing, De- partment of Housing and Urban Development (Parts 900—1699)
X Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Interstate Land Sales Registration Program) (Parts 1700—1799)
XII Office of Inspector General, Department of Housing and Urban Development (Parts 2000—2099)
XX Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Parts 3200—3899)
XXIV Board of Directors of the HOPE for Homeowners Program (Parts 4000—4099)
XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)
Title 25—Indians
I Bureau of Indian Affairs, Department of the Interior (Parts 1— 299)
II Indian Arts and Crafts Board, Department of the Interior (Parts 300—399)
III National Indian Gaming Commission, Department of the Inte- rior (Parts 500—599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700—799)
V Bureau of Indian Affairs, Department of the Interior, and Indian Health Service, Department of Health and Human Services (Part 900)
VI Office of the Assistant Secretary-Indian Affairs, Department of the Interior (Parts 1000—1199)
VII Office of the Special Trustee for American Indians, Department of the Interior (Parts 1200—1299)
Title 26—Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1— 899)
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Chap. Title 27—Alcohol, Tobacco Products and Firearms
I Alcohol and Tobacco Tax and Trade Bureau, Department of the Treasury (Parts 1—399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart- ment of Justice (Parts 400—699)
Title 28—Judicial Administration
I Department of Justice (Parts 0—299)
III Federal Prison Industries, Inc., Department of Justice (Parts 300—399)
V Bureau of Prisons, Department of Justice (Parts 500—599)
VI Offices of Independent Counsel, Department of Justice (Parts 600—699)
VII Office of Independent Counsel (Parts 700—799)
VIII Court Services and Offender Supervision Agency for the District of Columbia (Parts 800—899)
IX National Crime Prevention and Privacy Compact Council (Parts 900—999)
XI Department of Justice and Department of State (Parts 1100— 1199)
Title 29—Labor
SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99)
SUBTITLE B—REGULATIONS RELATING TO LABOR
I National Labor Relations Board (Parts 100—199)
II Office of Labor-Management Standards, Department of Labor (Parts 200—299)
III National Railroad Adjustment Board (Parts 300—399)
IV Office of Labor-Management Standards, Department of Labor (Parts 400—499)
V Wage and Hour Division, Department of Labor (Parts 500—899)
IX Construction Industry Collective Bargaining Commission (Parts 900—999)
X National Mediation Board (Parts 1200—1299)
XII Federal Mediation and Conciliation Service (Parts 1400—1499)
XIV Equal Employment Opportunity Commission (Parts 1600—1699)
XVII Occupational Safety and Health Administration, Department of Labor (Parts 1900—1999)
XX Occupational Safety and Health Review Commission (Parts 2200—2499)
XXV Employee Benefits Security Administration, Department of Labor (Parts 2500—2599)
XXVII Federal Mine Safety and Health Review Commission (Parts 2700—2799)
XL Pension Benefit Guaranty Corporation (Parts 4000—4999)
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Chap. Title 30—Mineral Resources
I Mine Safety and Health Administration, Department of Labor (Parts 1—199)
II Minerals Management Service, Department of the Interior (Parts 200—299)
III Board of Surface Mining and Reclamation Appeals, Department of the Interior (Parts 300—399)
IV Geological Survey, Department of the Interior (Parts 400—499)
VII Office of Surface Mining Reclamation and Enforcement, Depart- ment of the Interior (Parts 700—999)
Title 31—Money and Finance: Treasury
SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS 0—50)
SUBTITLE B—REGULATIONS RELATING TO MONEY AND FINANCE
I Monetary Offices, Department of the Treasury (Parts 51—199)
II Fiscal Service, Department of the Treasury (Parts 200—399)
IV Secret Service, Department of the Treasury (Parts 400—499)
V Office of Foreign Assets Control, Department of the Treasury (Parts 500—599)
VI Bureau of Engraving and Printing, Department of the Treasury (Parts 600—699)
VII Federal Law Enforcement Training Center, Department of the Treasury (Parts 700—799)
VIII Office of International Investment, Department of the Treasury (Parts 800—899)
IX Federal Claims Collection Standards (Department of the Treas- ury—Department of Justice) (Parts 900—999)
Title 32—National Defense
SUBTITLE A—DEPARTMENT OF DEFENSE
I Office of the Secretary of Defense (Parts 1—399)
V Department of the Army (Parts 400—699)
VI Department of the Navy (Parts 700—799)
VII Department of the Air Force (Parts 800—1099)
SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE- FENSE
XII Defense Logistics Agency (Parts 1200—1299)
XVI Selective Service System (Parts 1600—1699)
XVII Office of the Director of National Intelligence (Parts 1700—1799)
XVIII National Counterintelligence Center (Parts 1800—1899)
XIX Central Intelligence Agency (Parts 1900—1999)
XX Information Security Oversight Office, National Archives and Records Administration (Parts 2000—2099)
XXI National Security Council (Parts 2100—2199)
XXIV Office of Science and Technology Policy (Parts 2400—2499)
XXVII Office for Micronesian Status Negotiations (Parts 2700—2799)
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Chap. Title 32—National Defense—Continued
XXVIII Office of the Vice President of the United States (Parts 2800— 2899)
Title 33—Navigation and Navigable Waters
I Coast Guard, Department of Homeland Security (Parts 1—199)
II Corps of Engineers, Department of the Army (Parts 200—399)
IV Saint Lawrence Seaway Development Corporation, Department of Transportation (Parts 400—499)
Title 34—Education
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU- CATION (PARTS 1—99)
SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT OF EDUCATION
I Office for Civil Rights, Department of Education (Parts 100—199)
II Office of Elementary and Secondary Education, Department of Education (Parts 200—299)
III Office of Special Education and Rehabilitative Services, Depart- ment of Education (Parts 300—399)
IV Office of Vocational and Adult Education, Department of Edu- cation (Parts 400—499)
V Office of Bilingual Education and Minority Languages Affairs, Department of Education (Parts 500—599)
VI Office of Postsecondary Education, Department of Education (Parts 600—699)
VII Office of Educational Research and Improvmeent, Department of Education [Reserved]
XI National Institute for Literacy (Parts 1100—1199)
SUBTITLE C—REGULATIONS RELATING TO EDUCATION
XII National Council on Disability (Parts 1200—1299)
Title 35 [Reserved]
Title 36—Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1—199)
II Forest Service, Department of Agriculture (Parts 200—299)
III Corps of Engineers, Department of the Army (Parts 300—399)
IV American Battle Monuments Commission (Parts 400—499)
V Smithsonian Institution (Parts 500—599)
VI [Reserved]
VII Library of Congress (Parts 700—799)
VIII Advisory Council on Historic Preservation (Parts 800—899)
IX Pennsylvania Avenue Development Corporation (Parts 900—999)
X Presidio Trust (Parts 1000—1099)
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Chap. Title 36—Parks, Forests, and Public Property—Continued
XI Architectural and Transportation Barriers Compliance Board (Parts 1100—1199)
XII National Archives and Records Administration (Parts 1200—1299)
XV Oklahoma City National Memorial Trust (Parts 1500—1599)
XVI Morris K. Udall Scholarship and Excellence in National Environ- mental Policy Foundation (Parts 1600—1699)
Title 37—Patents, Trademarks, and Copyrights
I United States Patent and Trademark Office, Department of Commerce (Parts 1—199)
II Copyright Office, Library of Congress (Parts 200—299)
III Copyright Royalty Board, Library of Congress (Parts 301—399)
IV Assistant Secretary for Technology Policy, Department of Com- merce (Parts 400—499)
V Under Secretary for Technology, Department of Commerce (Parts 500—599)
Title 38—Pensions, Bonuses, and Veterans’ Relief
I Department of Veterans Affairs (Parts 0—99)
II Armed Forces Retirement Home
Title 39—Postal Service
I United States Postal Service (Parts 1—999)
III Postal Regulatory Commission (Parts 3000—3099)
Title 40—Protection of Environment
I Environmental Protection Agency (Parts 1—1099)
IV Environmental Protection Agency and Department of Justice (Parts 1400—1499)
V Council on Environmental Quality (Parts 1500—1599)
VI Chemical Safety and Hazard Investigation Board (Parts 1600— 1699)
VII Environmental Protection Agency and Department of Defense; Uniform National Discharge Standards for Vessels of the Armed Forces (Parts 1700—1799)
Title 41—Public Contracts and Property Management
SUBTITLE B—OTHER PROVISIONS RELATING TO PUBLIC CONTRACTS
50 Public Contracts, Department of Labor (Parts 50–1—50–999)
51 Committee for Purchase From People Who Are Blind or Severely Disabled (Parts 51–1—51–99)
60 Office of Federal Contract Compliance Programs, Equal Employ- ment Opportunity, Department of Labor (Parts 60–1—60–999)
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Chap. Title 41—Public Contracts and Property Management—Continued
61 Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 61–1—61–999)
Chapters 62— 100
[Reserved]
SUBTITLE C—FEDERAL PROPERTY MANAGEMENT REGULATIONS SYSTEM
101 Federal Property Management Regulations (Parts 101–1—101–99)
102 Federal Management Regulation (Parts 102–1—102–299)
Chapters 103—104
[Reserved]
105 General Services Administration (Parts 105–1—105–999)
109 Department of Energy Property Management Regulations (Parts 109–1—109–99)
114 Department of the Interior (Parts 114–1—114–99)
115 Environmental Protection Agency (Parts 115–1—115–99)
128 Department of Justice (Parts 128–1—128–99)
Chapters 129—200
[Reserved]
SUBTITLE D—OTHER PROVISIONS RELATING TO PROPERTY MANAGE- MENT [RESERVED]
SUBTITLE E—FEDERAL INFORMATION RESOURCES MANAGEMENT REGULATIONS SYSTEM [RESERVED]
SUBTITLE F—FEDERAL TRAVEL REGULATION SYSTEM
300 General (Parts 300–1—300–99)
301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99)
302 Relocation Allowances (Parts 302–1—302–99)
303 Payment of Expenses Connected with the Death of Certain Em- ployees (Part 303–1—303–99)
304 Payment of Travel Expenses from a Non-Federal Source (Parts 304–1—304–99)
Title 42—Public Health
I Public Health Service, Department of Health and Human Serv- ices (Parts 1—199)
IV Centers for Medicare & Medicaid Services, Department of Health and Human Services (Parts 400—499)
V Office of Inspector General-Health Care, Department of Health and Human Services (Parts 1000—1999)
Title 43—Public Lands: Interior
SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS 1—199)
SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS
I Bureau of Reclamation, Department of the Interior (Parts 200— 499)
II Bureau of Land Management, Department of the Interior (Parts 1000—9999)
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Chap. Title 43—Public Lands: Interior—Continued
III Utah Reclamation Mitigation and Conservation Commission (Parts 10000—10010)
Title 44—Emergency Management and Assistance
I Federal Emergency Management Agency, Department of Home- land Security (Parts 0—399)
IV Department of Commerce and Department of Transportation (Parts 400—499)
Title 45—Public Welfare
SUBTITLE A—DEPARTMENT OF HEALTH AND HUMAN SERVICES (PARTS 1—199)
SUBTITLE B—REGULATIONS RELATING TO PUBLIC WELFARE
II Office of Family Assistance (Assistance Programs), Administra- tion for Children and Families, Department of Health and Human Services (Parts 200—299)
III Office of Child Support Enforcement (Child Support Enforce- ment Program), Administration for Children and Families, Department of Health and Human Services (Parts 300—399)
IV Office of Refugee Resettlement, Administration for Children and Families, Department of Health and Human Services (Parts 400—499)
V Foreign Claims Settlement Commission of the United States, Department of Justice (Parts 500—599)
VI National Science Foundation (Parts 600—699)
VII Commission on Civil Rights (Parts 700—799)
VIII Office of Personnel Management (Parts 800—899) [Reserved]
X Office of Community Services, Administration for Children and Families, Department of Health and Human Services (Parts 1000—1099)
XI National Foundation on the Arts and the Humanities (Parts 1100—1199)
XII Corporation for National and Community Service (Parts 1200— 1299)
XIII Office of Human Development Services, Department of Health and Human Services (Parts 1300—1399)
XVI Legal Services Corporation (Parts 1600—1699)
XVII National Commission on Libraries and Information Science (Parts 1700—1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899)
XXI Commission on Fine Arts (Parts 2100—2199)
XXIII Arctic Research Commission (Part 2301)
XXIV James Madison Memorial Fellowship Foundation (Parts 2400— 2499)
XXV Corporation for National and Community Service (Parts 2500— 2599)
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Chap. Title 46—Shipping
I Coast Guard, Department of Homeland Security (Parts 1—199)
II Maritime Administration, Department of Transportation (Parts 200—399)
III Coast Guard (Great Lakes Pilotage), Department of Homeland Security (Parts 400—499)
IV Federal Maritime Commission (Parts 500—599)
Title 47—Telecommunication
I Federal Communications Commission (Parts 0—199)
II Office of Science and Technology Policy and National Security Council (Parts 200—299)
III National Telecommunications and Information Administration, Department of Commerce (Parts 300—399)
IV National Telecommunications and Information Administration, Department of Commerce, and National Highway Traffic Safe- ty Administration, Department of Transportation (Parts 400— 499)
Title 48—Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 1—99)
2 Defense Acquisition Regulations System, Department of Defense (Parts 200—299)
3 Health and Human Services (Parts 300—399)
4 Department of Agriculture (Parts 400—499)
5 General Services Administration (Parts 500—599)
6 Department of State (Parts 600—699)
7 Agency for International Development (Parts 700—799)
8 Department of Veterans Affairs (Parts 800—899)
9 Department of Energy (Parts 900—999)
10 Department of the Treasury (Parts 1000—1099)
12 Department of Transportation (Parts 1200—1299)
13 Department of Commerce (Parts 1300—1399)
14 Department of the Interior (Parts 1400—1499)
15 Environmental Protection Agency (Parts 1500—1599)
16 Office of Personnel Management, Federal Employees Health Benefits Acquisition Regulation (Parts 1600—1699)
17 Office of Personnel Management (Parts 1700—1799)
18 National Aeronautics and Space Administration (Parts 1800— 1899)
19 Broadcasting Board of Governors (Parts 1900—1999)
20 Nuclear Regulatory Commission (Parts 2000—2099)
21 Office of Personnel Management, Federal Employees Group Life Insurance Federal Acquisition Regulation (Parts 2100—2199)
23 Social Security Administration (Parts 2300—2399)
24 Department of Housing and Urban Development (Parts 2400— 2499)
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Chap. Title 48—Federal Acquisition Regulations System—Continued
25 National Science Foundation (Parts 2500—2599)
28 Department of Justice (Parts 2800—2899)
29 Department of Labor (Parts 2900—2999)
30 Department of Homeland Security, Homeland Security Acquisi- tion Regulation (HSAR) (Parts 3000—3099)
34 Department of Education Acquisition Regulation (Parts 3400— 3499)
51 Department of the Army Acquisition Regulations (Parts 5100— 5199)
52 Department of the Navy Acquisition Regulations (Parts 5200— 5299)
53 Department of the Air Force Federal Acquisition Regulation Supplement [Reserved]
54 Defense Logistics Agency, Department of Defense (Parts 5400— 5499)
57 African Development Foundation (Parts 5700—5799)
61 Civilian Board of Contract Appeals, General Services Adminis- tration (Parts 6100—6199)
63 Department of Transportation Board of Contract Appeals (Parts 6300—6399)
99 Cost Accounting Standards Board, Office of Federal Procure- ment Policy, Office of Management and Budget (Parts 9900— 9999)
Title 49—Transportation
SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION (PARTS 1—99)
SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION
I Pipeline and Hazardous Materials Safety Administration, De- partment of Transportation (Parts 100—199)
II Federal Railroad Administration, Department of Transportation (Parts 200—299)
III Federal Motor Carrier Safety Administration, Department of Transportation (Parts 300—399)
IV Coast Guard, Department of Homeland Security (Parts 400—499)
V National Highway Traffic Safety Administration, Department of Transportation (Parts 500—599)
VI Federal Transit Administration, Department of Transportation (Parts 600—699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts 700—799)
VIII National Transportation Safety Board (Parts 800—999)
X Surface Transportation Board, Department of Transportation (Parts 1000—1399)
XI Research and Innovative Technology Administration, Depart- ment of Transportation [Reserved]
XII Transportation Security Administration, Department of Home- land Security (Parts 1500—1699)
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Chap. Title 50—Wildlife and Fisheries
I United States Fish and Wildlife Service, Department of the Inte- rior (Parts 1—199)
II National Marine Fisheries Service, National Oceanic and Atmos- pheric Administration, Department of Commerce (Parts 200— 299)
III International Fishing and Related Activities (Parts 300—399)
IV Joint Regulations (United States Fish and Wildlife Service, De- partment of the Interior and National Marine Fisheries Serv- ice, National Oceanic and Atmospheric Administration, De- partment of Commerce); Endangered Species Committee Reg- ulations (Parts 400—499)
V Marine Mammal Commission (Parts 500—599)
VI Fishery Conservation and Management, National Oceanic and Atmospheric Administration, Department of Commerce (Parts 600—699)
CFR Index and Finding Aids
Subject/Agency Index
List of Agency Prepared Indexes
Parallel Tables of Statutory Authorities and Rules
List of CFR Titles, Chapters, Subchapters, and Parts
Alphabetical List of Agencies Appearing in the CFR
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Alphabetical List of Agencies Appearing in the CFR (Revised as of October 1, 2010)
Agency CFR Title, Subtitle or
Chapter
Administrative Committee of the Federal Register 1, I Advanced Research Projects Agency 32, I Advisory Council on Historic Preservation 36, VIII African Development Foundation 22, XV
Federal Acquisition Regulation 48, 57 Agency for International Development 22, II
Federal Acquisition Regulation 48, 7 Agricultural Marketing Service 7, I, IX, X, XI Agricultural Research Service 7, V Agriculture Department 2, IV; 5, LXXIII
Agricultural Marketing Service 7, I, IX, X, XI Agricultural Research Service 7, V Animal and Plant Health Inspection Service 7, III; 9, I Chief Financial Officer, Office of 7, XXX Commodity Credit Corporation 7, XIV Economic Research Service 7, XXXVII Energy Policy and New Uses, Office of 2, IX; 7, XXIX Environmental Quality, Office of 7, XXXI Farm Service Agency 7, VII, XVIII Federal Acquisition Regulation 48, 4 Federal Crop Insurance Corporation 7, IV Food and Nutrition Service 7, II Food Safety and Inspection Service 9, III Foreign Agricultural Service 7, XV Forest Service 36, II Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II Information Resources Management, Office of 7, XXVII Inspector General, Office of 7, XXVI National Agricultural Library 7, XLI National Agricultural Statistics Service 7, XXXVI National Institute of Food and Agriculture. 7, XXXIV Natural Resources Conservation Service 7, VI Operations, Office of 7, XXVIII Procurement and Property Management, Office of 7, XXXII Rural Business-Cooperative Service 7, XVIII, XLII, L Rural Development Administration 7, XLII Rural Housing Service 7, XVIII, XXXV, L Rural Telephone Bank 7, XVI Rural Utilities Service 7, XVII, XVIII, XLII, L Secretary of Agriculture, Office of 7, Subtitle A Transportation, Office of 7, XXXIII World Agricultural Outlook Board 7, XXXVIII
Air Force Department 32, VII Federal Acquisition Regulation Supplement 48, 53
Air Transportation Stabilization Board 14, VI Alcohol and Tobacco Tax and Trade Bureau 27, I Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II AMTRAK 49, VII American Battle Monuments Commission 36, IV American Indians, Office of the Special Trustee 25, VII Animal and Plant Health Inspection Service 7, III; 9, I Appalachian Regional Commission 5, IX Architectural and Transportation Barriers Compliance Board 36, XI
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Agency CFR Title, Subtitle or
Chapter
Arctic Research Commission 45, XXIII Armed Forces Retirement Home 5, XI Army Department 32, V
Engineers, Corps of 33, II; 36, III Federal Acquisition Regulation 48, 51
Benefits Review Board 20, VII Bilingual Education and Minority Languages Affairs, Office of 34, V Blind or Severely Disabled, Committee for Purchase From
People Who Are 41, 51
Broadcasting Board of Governors 22, V Federal Acquisition Regulation 48, 19
Census Bureau 15, I Centers for Medicare & Medicaid Services 42, IV Central Intelligence Agency 32, XIX Chief Financial Officer, Office of 7, XXX Child Support Enforcement, Office of 45, III Children and Families, Administration for 45, II, III, IV, X Civil Rights, Commission on 5, LXVIII; 45, VII Civil Rights, Office for 34, I Coast Guard 33, I; 46, I; 49, IV Coast Guard (Great Lakes Pilotage) 46, III Commerce Department 44, IV
Census Bureau 15, I Economic Affairs, Under Secretary 37, V Economic Analysis, Bureau of 15, VIII Economic Development Administration 13, III Emergency Management and Assistance 44, IV Federal Acquisition Regulation 48, 13 Fishery Conservation and Management 50, VI Foreign-Trade Zones Board 15, IV Industry and Security, Bureau of 15, VII International Trade Administration 15, III; 19, III National Institute of Standards and Technology 15, II National Marine Fisheries Service 50, II, IV, VI National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI National Telecommunications and Information
Administration 15, XXIII; 47, III, IV
National Weather Service 15, IX Patent and Trademark Office, United States 37, I Productivity, Technology and Innovation, Assistant
Secretary for 37, IV
Secretary of Commerce, Office of 15, Subtitle A Technology, Under Secretary for 37, V Technology Administration 15, XI Technology Policy, Assistant Secretary for 37, IV
Commercial Space Transportation 14, III Commodity Credit Corporation 7, XIV Commodity Futures Trading Commission 5, XLI; 17, I Community Planning and Development, Office of Assistant
Secretary for 24, V, VI
Community Services, Office of 45, X Comptroller of the Currency 12, I Construction Industry Collective Bargaining Commission 29, IX Consumer Product Safety Commission 5, LXXI; 16, II Copyright Office 37, II Copyright Royalty Board 37, III Corporation for National and Community Service 2, XXII; 45, XII, XXV Cost Accounting Standards Board 48, 99 Council on Environmental Quality 40, V Court Services and Offender Supervision Agency for the
District of Columbia 28, VIII
Customs and Border Protection Bureau 19, I Defense Contract Audit Agency 32, I Defense Department 5, XXVI; 32, Subtitle A;
40, VII Advanced Research Projects Agency 32, I Air Force Department 32, VII
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Agency CFR Title, Subtitle or
Chapter
Army Department 32, V; 33, II; 36, III, 48, 51
Defense Acquisition Regulations System 48, 2 Defense Intelligence Agency 32, I Defense Logistics Agency 32, I, XII; 48, 54 Engineers, Corps of 33, II; 36, III Human Resources Management and Labor Relations
Systems 5, XCIX
National Imagery and Mapping Agency 32, I Navy Department 32, VI; 48, 52 Secretary of Defense, Office of 2, XI; 32, I
Defense Contract Audit Agency 32, I Defense Intelligence Agency 32, I Defense Logistics Agency 32, XII; 48, 54 Defense Nuclear Facilities Safety Board 10, XVII Delaware River Basin Commission 18, III District of Columbia, Court Services and Offender Supervision
Agency for the 28, VIII
Drug Enforcement Administration 21, II East-West Foreign Trade Board 15, XIII Economic Affairs, Under Secretary 37, V Economic Analysis, Bureau of 15, VIII Economic Development Administration 13, III Economic Research Service 7, XXXVII Education, Department of 5, LIII
Bilingual Education and Minority Languages Affairs, Office of
34, V
Civil Rights, Office for 34, I Educational Research and Improvement, Office of 34, VII Elementary and Secondary Education, Office of 34, II Federal Acquisition Regulation 48, 34 Postsecondary Education, Office of 34, VI Secretary of Education, Office of 34, Subtitle A Special Education and Rehabilitative Services, Office of 34, III Vocational and Adult Education, Office of 34, IV
Educational Research and Improvement, Office of 34, VII Election Assistance Commission 2, LVIII; 11, II Elementary and Secondary Education, Office of 34, II Emergency Oil and Gas Guaranteed Loan Board 13, V Emergency Steel Guarantee Loan Board 13, IV Employee Benefits Security Administration 29, XXV Employees’ Compensation Appeals Board 20, IV Employees Loyalty Board 5, V Employment and Training Administration 20, V Employment Standards Administration 20, VI Endangered Species Committee 50, IV Energy, Department of 5, XXIII; 10, II, III, X
Federal Acquisition Regulation 48, 9 Federal Energy Regulatory Commission 5, XXIV; 18, I Property Management Regulations 41, 109
Energy, Office of 7, XXIX Engineers, Corps of 33, II; 36, III Engraving and Printing, Bureau of 31, VI Environmental Protection Agency 2, XV; 5, LIV; 40, I, IV,
VII Federal Acquisition Regulation 48, 15 Property Management Regulations 41, 115
Environmental Quality, Office of 7, XXXI Equal Employment Opportunity Commission 5, LXII; 29, XIV Equal Opportunity, Office of Assistant Secretary for 24, I Executive Office of the President 3, I
Administration, Office of 5, XV Environmental Quality, Council on 40, V Management and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99 National Drug Control Policy, Office of 21, III National Security Council 32, XXI; 47, 2
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Agency CFR Title, Subtitle or
Chapter
Presidential Documents 3 Science and Technology Policy, Office of 32, XXIV; 47, II Trade Representative, Office of the United States 15, XX
Export-Import Bank of the United States 2, XXXV; 5, LII; 12, IV Family Assistance, Office of 45, II Farm Credit Administration 5, XXXI; 12, VI Farm Credit System Insurance Corporation 5, XXX; 12, XIV Farm Service Agency 7, VII, XVIII Federal Acquisition Regulation 48, 1 Federal Aviation Administration 14, I
Commercial Space Transportation 14, III Federal Claims Collection Standards 31, IX Federal Communications Commission 5, XXIX; 47, I Federal Contract Compliance Programs, Office of 41, 60 Federal Crop Insurance Corporation 7, IV Federal Deposit Insurance Corporation 5, XXII; 12, III Federal Election Commission 11, I Federal Emergency Management Agency 44, I Federal Employees Group Life Insurance Federal Acquisition
Regulation 48, 21
Federal Employees Health Benefits Acquisition Regulation 48, 16 Federal Energy Regulatory Commission 5, XXIV; 18, I Federal Financial Institutions Examination Council 12, XI Federal Financing Bank 12, VIII Federal Highway Administration 23, I, II Federal Home Loan Mortgage Corporation 1, IV Federal Housing Enterprise Oversight Office 12, XVII Federal Housing Finance Agency 5, LXXX; 12, XII Federal Housing Finance Board 12, IX Federal Labor Relations Authority, and General Counsel of
the Federal Labor Relations Authority 5, XIV; 22, XIV
Federal Law Enforcement Training Center 31, VII Federal Management Regulation 41, 102 Federal Maritime Commission 46, IV Federal Mediation and Conciliation Service 29, XII Federal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVII Federal Motor Carrier Safety Administration 49, III Federal Prison Industries, Inc. 28, III Federal Procurement Policy Office 48, 99 Federal Property Management Regulations 41, 101 Federal Railroad Administration 49, II Federal Register, Administrative Committee of 1, I Federal Register, Office of 1, II Federal Reserve System 12, II
Board of Governors 5, LVIII Federal Retirement Thrift Investment Board 5, VI, LXXVI Federal Service Impasses Panel 5, XIV Federal Trade Commission 5, XLVII; 16, I Federal Transit Administration 49, VI Federal Travel Regulation System 41, Subtitle F Fine Arts, Commission on 45, XXI Fiscal Service 31, II Fish and Wildlife Service, United States 50, I, IV Fishery Conservation and Management 50, VI Food and Drug Administration 21, I Food and Nutrition Service 7, II Food Safety and Inspection Service 9, III Foreign Agricultural Service 7, XV Foreign Assets Control, Office of 31, V Foreign Claims Settlement Commission of the United States 45, V Foreign Service Grievance Board 22, IX Foreign Service Impasse Disputes Panel 22, XIV Foreign Service Labor Relations Board 22, XIV Foreign-Trade Zones Board 15, IV Forest Service 36, II General Services Administration 5, LVII; 41, 105
Contract Appeals, Board of 48, 61
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Agency CFR Title, Subtitle or
Chapter
Federal Acquisition Regulation 48, 5 Federal Management Regulation 41, 102 Federal Property Management Regulations 41, 101 Federal Travel Regulation System 41, Subtitle F General 41, 300 Payment From a Non-Federal Source for Travel Expenses 41, 304 Payment of Expenses Connected With the Death of Certain
Employees 41, 303
Relocation Allowances 41, 302 Temporary Duty (TDY) Travel Allowances 41, 301
Geological Survey 30, IV Government Accountability Office 4, I Government Ethics, Office of 5, XVI Government National Mortgage Association 24, III Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II Harry S. Truman Scholarship Foundation 45, XVIII Health and Human Services, Department of 2, III; 5, XLV; 45,
Subtitle A, Centers for Medicare & Medicaid Services 42, IV Child Support Enforcement, Office of 45, III Children and Families, Administration for 45, II, III, IV, X Community Services, Office of 45, X Family Assistance, Office of 45, II Federal Acquisition Regulation 48, 3 Food and Drug Administration 21, I Human Development Services, Office of 45, XIII Indian Health Service 25, V Inspector General (Health Care), Office of 42, V Public Health Service 42, I Refugee Resettlement, Office of 45, IV
Homeland Security, Department of 2, XXX; 6, I Coast Guard 33, I; 46, I; 49, IV Coast Guard (Great Lakes Pilotage) 46, III Customs and Border Protection Bureau 19, I Federal Emergency Management Agency 44, I Human Resources Management and Labor Relations
Systems 5, XCVII
Immigration and Customs Enforcement Bureau 19, IV Immigration and Naturalization 8, I Transportation Security Administration 49, XII
HOPE for Homeowners Program, Board of Directors of 24, XXIV Housing and Urban Development, Department of 2, XXIV; 5, LXV; 24,
Subtitle B Community Planning and Development, Office of Assistant
Secretary for 24, V, VI
Equal Opportunity, Office of Assistant Secretary for 24, I Federal Acquisition Regulation 48, 24 Federal Housing Enterprise Oversight, Office of 12, XVII Government National Mortgage Association 24, III Housing—Federal Housing Commissioner, Office of
Assistant Secretary for 24, II, VIII, X, XX
Housing, Office of, and Multifamily Housing Assistance Restructuring, Office of
24, IV
Inspector General, Office of 24, XII Public and Indian Housing, Office of Assistant Secretary for 24, IX Secretary, Office of 24, Subtitle A, VII
Housing—Federal Housing Commissioner, Office of Assistant Secretary for
24, II, VIII, X, XX
Housing, Office of, and Multifamily Housing Assistance Restructuring, Office of
24, IV
Human Development Services, Office of 45, XIII Immigration and Customs Enforcement Bureau 19, IV Immigration and Naturalization 8, I Immigration Review, Executive Office for 8, V Independent Counsel, Office of 28, VII Indian Affairs, Bureau of 25, I, V Indian Affairs, Office of the Assistant Secretary 25, VI
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Agency CFR Title, Subtitle or
Chapter
Indian Arts and Crafts Board 25, II Indian Health Service 25, V Industry and Security, Bureau of 15, VII Information Resources Management, Office of 7, XXVII Information Security Oversight Office, National Archives and
Records Administration 32, XX
Inspector General Agriculture Department 7, XXVI Health and Human Services Department 42, V Housing and Urban Development Department 24, XII
Institute of Peace, United States 22, XVII Inter-American Foundation 5, LXIII; 22, X Interior Department
American Indians, Office of the Special Trustee 25, VII Endangered Species Committee 50, IV Federal Acquisition Regulation 48, 14 Federal Property Management Regulations System 41, 114 Fish and Wildlife Service, United States 50, I, IV Geological Survey 30, IV Indian Affairs, Bureau of 25, I, V Indian Affairs, Office of the Assistant Secretary 25, VI Indian Arts and Crafts Board 25, II Land Management, Bureau of 43, II Minerals Management Service 30, II National Indian Gaming Commission 25, III National Park Service 36, I Reclamation, Bureau of 43, I Secretary of the Interior, Office of 2, XIV; 43, Subtitle A Surface Mining and Reclamation Appeals, Board of 30, III Surface Mining Reclamation and Enforcement, Office of 30, VII
Internal Revenue Service 26, I International Boundary and Water Commission, United States
and Mexico, United States Section 22, XI
International Development, United States Agency for 22, II Federal Acquisition Regulation 48, 7
International Development Cooperation Agency, United States
22, XII
International Fishing and Related Activities 50, III International Joint Commission, United States and Canada 22, IV International Organizations Employees Loyalty Board 5, V International Trade Administration 15, III; 19, III International Trade Commission, United States 19, II Interstate Commerce Commission 5, XL Investment Security, Office of 31, VIII James Madison Memorial Fellowship Foundation 45, XXIV Japan–United States Friendship Commission 22, XVI Joint Board for the Enrollment of Actuaries 20, VIII Justice Department 2, XXVII; 5, XXVIII; 28,
I, XI; 40, IV Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II Drug Enforcement Administration 21, II Federal Acquisition Regulation 48, 28 Federal Claims Collection Standards 31, IX Federal Prison Industries, Inc. 28, III Foreign Claims Settlement Commission of the United
States 45, V
Immigration Review, Executive Office for 8, V Offices of Independent Counsel 28, VI Prisons, Bureau of 28, V Property Management Regulations 41, 128
Labor Department 5, XLII Benefits Review Board 20, VII Employee Benefits Security Administration 29, XXV Employees’ Compensation Appeals Board 20, IV Employment and Training Administration 20, V Employment Standards Administration 20, VI Federal Acquisition Regulation 48, 29
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Agency CFR Title, Subtitle or
Chapter
Federal Contract Compliance Programs, Office of 41, 60 Federal Procurement Regulations System 41, 50 Labor-Management Standards, Office of 29, II, IV Mine Safety and Health Administration 30, I Occupational Safety and Health Administration 29, XVII Public Contracts 41, 50 Secretary of Labor, Office of 29, Subtitle A Veterans’ Employment and Training Service, Office of the
Assistant Secretary for 41, 61; 20, IX
Wage and Hour Division 29, V Workers’ Compensation Programs, Office of 20, I
Labor-Management Standards, Office of 29, II, IV Land Management, Bureau of 43, II Legal Services Corporation 45, XVI Library of Congress 36, VII
Copyright Office 37, II Copyright Royalty Board 37, III
Local Television Loan Guarantee Board 7, XX Management and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99 Marine Mammal Commission 50, V Maritime Administration 46, II Merit Systems Protection Board 5, II, LXIV Micronesian Status Negotiations, Office for 32, XXVII Millenium Challenge Corporation 22, XIII Mine Safety and Health Administration 30, I Minerals Management Service 30, II Minority Business Development Agency 15, XIV Miscellaneous Agencies 1, IV Monetary Offices 31, I Morris K. Udall Scholarship and Excellence in National
Environmental Policy Foundation 36, XVI
Museum and Library Services, Institute of 2, XXXI National Aeronautics and Space Administration 2, XVIII; 5, LIX; 14, V
Federal Acquisition Regulation 48, 18 National Agricultural Library 7, XLI National Agricultural Statistics Service 7, XXXVI National and Community Service, Corporation for 45, XII, XXV National Archives and Records Administration 2, XXVI; 5, LXVI; 36,
XII Information Security Oversight Office 32, XX
National Capital Planning Commission 1, IV National Commission for Employment Policy 1, IV National Commission on Libraries and Information Science 45, XVII National Council on Disability 34, XII National Counterintelligence Center 32, XVIII National Credit Union Administration 12, VII National Crime Prevention and Privacy Compact Council 28, IX National Drug Control Policy, Office of 21, III National Endowment for the Arts 2, XXXII National Endowment for the Humanities 2, XXXIII National Foundation on the Arts and the Humanities 45, XI National Highway Traffic Safety Administration 23, II, III; 47, VI; 49, V National Imagery and Mapping Agency 32, I National Indian Gaming Commission 25, III National Institute for Literacy 34, XI National Institute of Food and Agriculture. 7, XXXIV National Institute of Standards and Technology 15, II National Intelligence, Office of Director of 32, XVII National Labor Relations Board 5, LXI; 29, I National Marine Fisheries Service 50, II, IV, VI National Mediation Board 29, X National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI National Park Service 36, I National Railroad Adjustment Board 29, III National Railroad Passenger Corporation (AMTRAK) 49, VII National Science Foundation 2, XXV; 5, XLIII; 45, VI
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Agency CFR Title, Subtitle or
Chapter
Federal Acquisition Regulation 48, 25 National Security Council 32, XXI National Security Council and Office of Science and
Technology Policy 47, II
National Telecommunications and Information Administration
15, XXIII; 47, III, IV
National Transportation Safety Board 49, VIII Natural Resources Conservation Service 7, VI Navajo and Hopi Indian Relocation, Office of 25, IV Navy Department 32, VI
Federal Acquisition Regulation 48, 52 Neighborhood Reinvestment Corporation 24, XXV Northeast Interstate Low-Level Radioactive Waste
Commission 10, XVIII
Nuclear Regulatory Commission 2, XX; 5, XLVIII; 10, I Federal Acquisition Regulation 48, 20
Occupational Safety and Health Administration 29, XVII Occupational Safety and Health Review Commission 29, XX Offices of Independent Counsel 28, VI Oklahoma City National Memorial Trust 36, XV Operations Office 7, XXVIII Overseas Private Investment Corporation 5, XXXIII; 22, VII Patent and Trademark Office, United States 37, I Payment From a Non-Federal Source for Travel Expenses 41, 304 Payment of Expenses Connected With the Death of Certain
Employees 41, 303
Peace Corps 22, III Pennsylvania Avenue Development Corporation 36, IX Pension Benefit Guaranty Corporation 29, XL Personnel Management, Office of 5, I, XXXV; 45, VIII
Human Resources Management and Labor Relations Systems, Department of Defense
5, XCIX
Human Resources Management and Labor Relations Systems, Department of Homeland Security
5, XCVII
Federal Acquisition Regulation 48, 17 Federal Employees Group Life Insurance Federal
Acquisition Regulation 48, 21
Federal Employees Health Benefits Acquisition Regulation 48, 16 Pipeline and Hazardous Materials Safety Administration 49, I Postal Regulatory Commission 5, XLVI; 39, III Postal Service, United States 5, LX; 39, I Postsecondary Education, Office of 34, VI President’s Commission on White House Fellowships 1, IV Presidential Documents 3 Presidio Trust 36, X Prisons, Bureau of 28, V Procurement and Property Management, Office of 7, XXXII Productivity, Technology and Innovation, Assistant
Secretary 37, IV
Public Contracts, Department of Labor 41, 50 Public and Indian Housing, Office of Assistant Secretary for 24, IX Public Health Service 42, I Railroad Retirement Board 20, II Reclamation, Bureau of 43, I Recovery Accountability and Transparency Board 4, II Refugee Resettlement, Office of 45, IV Relocation Allowances 41, 302 Research and Innovative Technology Administration 49, XI Rural Business-Cooperative Service 7, XVIII, XLII, L Rural Development Administration 7, XLII Rural Housing Service 7, XVIII, XXXV, L Rural Telephone Bank 7, XVI Rural Utilities Service 7, XVII, XVIII, XLII, L Saint Lawrence Seaway Development Corporation 33, IV Science and Technology Policy, Office of 32, XXIV Science and Technology Policy, Office of, and National
Security Council 47, II
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Agency CFR Title, Subtitle or
Chapter
Secret Service 31, IV Securities and Exchange Commission 5, XXXIV; 17, II Selective Service System 32, XVI Small Business Administration 2, XXVII; 13, I Smithsonian Institution 36, V Social Security Administration 2, XXIII; 20, III; 48, 23 Soldiers’ and Airmen’s Home, United States 5, XI Special Counsel, Office of 5, VIII Special Education and Rehabilitative Services, Office of 34, III Special Inspector General for Iraq Reconstruction 5, LXXXVII State Department 2, VI; 22, I; 28, XI
Federal Acquisition Regulation 48, 6 Surface Mining and Reclamation Appeals, Board of 30, III Surface Mining Reclamation and Enforcement, Office of 30, VII Surface Transportation Board 49, X Susquehanna River Basin Commission 18, VIII Technology Administration 15, XI Technology Policy, Assistant Secretary for 37, IV Technology, Under Secretary for 37, V Tennessee Valley Authority 5, LXIX; 18, XIII Thrift Supervision Office, Department of the Treasury 12, V Trade Representative, United States, Office of 15, XX Transportation, Department of 2, XII; 5, L
Commercial Space Transportation 14, III Contract Appeals, Board of 48, 63 Emergency Management and Assistance 44, IV Federal Acquisition Regulation 48, 12 Federal Aviation Administration 14, I Federal Highway Administration 23, I, II Federal Motor Carrier Safety Administration 49, III Federal Railroad Administration 49, II Federal Transit Administration 49, VI Maritime Administration 46, II National Highway Traffic Safety Administration 23, II, III; 47, IV; 49, V Pipeline and Hazardous Materials Safety Administration 49, I Saint Lawrence Seaway Development Corporation 33, IV Secretary of Transportation, Office of 14, II; 49, Subtitle A Surface Transportation Board 49, X Transportation Statistics Bureau 49, XI
Transportation, Office of 7, XXXIII Transportation Security Administration 49, XII Transportation Statistics Bureau 49, XI Travel Allowances, Temporary Duty (TDY) 41, 301 Treasury Department 5, XXI; 12, XV; 17, IV;
31, IX Alcohol and Tobacco Tax and Trade Bureau 27, I Community Development Financial Institutions Fund 12, XVIII Comptroller of the Currency 12, I Customs and Border Protection Bureau 19, I Engraving and Printing, Bureau of 31, VI Federal Acquisition Regulation 48, 10 Federal Claims Collection Standards 31, IX Federal Law Enforcement Training Center 31, VII Fiscal Service 31, II Foreign Assets Control, Office of 31, V Internal Revenue Service 26, I Investment Security, Office of 31, VIII Monetary Offices 31, I Secret Service 31, IV Secretary of the Treasury, Office of 31, Subtitle A Thrift Supervision, Office of 12, V
Truman, Harry S. Scholarship Foundation 45, XVIII United States and Canada, International Joint Commission 22, IV United States and Mexico, International Boundary and Water
Commission, United States Section 22, XI
Utah Reclamation Mitigation and Conservation Commission 43, III Veterans Affairs Department 2, VIII; 38, I
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Agency CFR Title, Subtitle or
Chapter
Federal Acquisition Regulation 48, 8 Veterans’ Employment and Training Service, Office of the
Assistant Secretary for 41, 61; 20, IX
Vice President of the United States, Office of 32, XXVIII Vocational and Adult Education, Office of 34, IV Wage and Hour Division 29, V Water Resources Council 18, VI Workers’ Compensation Programs, Office of 20, I World Agricultural Outlook Board 7, XXXVIII
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List of CFR Sections Affected All changes in this volume of the Code of Federal Regulations that
were made by documents published in the FEDERAL REGISTER since Jan- uary 1, 2001, are enumerated in the following list. Entries indicate the nature of the changes effected. Page numbers refer to FEDERAL REGISTER pages. The user should consult the entries for chapters and parts as well as sections for revisions.
For the period before January 1, 2001, see the ‘‘List of CFR Sections Affected, 1949–1963, 1964–1972, 1973–1985, 1986–2000’’ published in 11 separate volumes.
2001 47 CFR 66 FR
Page
Chapter I Chapter Order .............................. 10965 0.231 (e) revised............................. 50834 0.408 Revised (OMBnumbers)........48973 0.457 (d)(1)(iv) revised ................... 16879 0.467 (a)(1) amended; (a)(2) re-
vised......................................... 42453 0.701 (SubpartG) Added.................. 8091 1 Policy statement ....................... 62991 1 Technical correction ................... 6483
Actionsonpetitions.....................29722 1.42 (c) added................................. 47895 1.77 Introductory text amend-
ed ............................................. 47895 1.221 (f) redesignated as (f)(1);
(f)(2) added................................ 47895 1.721 (a) introductory text, (8) and
(13) revised; (e) redesignated as (f); new (e) added; (OMB num- berspending) ............................ 16616
OMBnumber................................35387 (a)(13) and (14) amended; (a)(15)
added ........................................47895 1.722 Revised; (OMB numbers
pending) ................................... 16616 OMBnumber................................35387
1.724 (b) and (d) revised; (OMB numberspending) ..................... 16617
OMBnumber................................35387 1.726 (a) revised; (OMB numbers
pending) ................................... 16617 OMBnumber................................35387
1.735 (g) added; (OMB numbers pending) ................................... 16617
OMBnumber................................35387 1.813 Removed .............................. 67112
47 CFR—Continued 66 FR Page
Chapter I—Continued 1.913 (g) added ................................... 55 1.934 (d)(2) and (3) amended; (d)(4)
added........................................ 47895 1.1103 Tableamended.................... 50840 1.1117 (c) revised ........................... 36202 1.1152 Revised ............................... 36202 1.1153 Revised ............................... 36204 1.1154 Revised ............................... 36205 1.1155 Revised ............................... 36205 1.1156 Revised ............................... 36205 1.1166 (a) revised ........................... 36206 1.1206 (a)Note 1 revised................... 3501
Regulation at 66 FR 3501 eff. date confirmed;OMBnumber ...........32580
1.1307 (b)(1)Table 1amended .........10613 1.1402 (m) revised .......................... 34580 1.1409 (e)(4) removed; (e)(1), (2)
and (3) revised; (f) amended .......34580 1.1417 (a), (b), (c) and (d) introduc-
tory text revised ....................... 34581 1.1418 Revised ............................... 34581 1.4000 (Subpart S) Revised (OMB
numberpending) ........................ 2333 OMBnumber................................28841
1.8001—1.8004 (Subpart W) Added ....................................... 47895
1.2105 (c)(1) revised; (c)(6) redesig- nated as (c)(7); new (c)(6) added........................................ 54452
2 Actionsonpetitions.......... 29722, 47591 2.1 (c) amended ............................. 50840 2.106 Tableamended .....7405, 9218, 10614,
11114, 15642, 26798, 53963 2.925 (e) and (f) redesignated as (f)
and (g); new (e) added ................ 50840 2.932 (e) added ............................... 50840 2.944 Added ................................... 50840
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47 CFR—Continued 66 FR Page
Chapter I—Continued 2.962 (g)(4) revised......................... 27601 2.1043 (a) and (b) revised ................ 50840 2.1300—2.1302 (Subpart L) Re-
moved........................................ 7580 13.9 (d)(2) revised .......................... 20752 13.13 (d)(2) revised......................... 20752 15 Actionsonpetitions ................. 31556 15.3 (v) revised .............................. 32582 15.107 (e) introductory text re-
vised; (e)(3) added...................... 19098 15.109 (g) introductory text re-
vised......................................... 19098 15.121 (b) and (f) revised ................. 32582 15.214 (b) revised............................. 7580 15.255 Heading revised, (b) intro-
ductory text, (4), (c)(1), (d), (d) note, (e)(2) and (i) introductory text; (b)(2) amended.................... 7409
2002 47 CFR 67 FR
Page
Chapter I Chapter IOrder ......3616, 3617, 3620, 13291
Actionsonpetitions ......................5955 0.5 (a) revised................................ 13216
(e) added ......................................70177 0.11 (a)(5) and (8) revised................ 13217 0.15 (e) revised .............................. 13217
(f) added .......................................46112 0.17 (c) and (g) revised ................... 13217 0.31 (n) revised .............................. 13217 0.51 (q) removed; (r) and (s) redes-
ignated as (q) and (r); new (r) re- vised......................................... 13217
0.61 Undesignated center heading andsection revised ................... 13217
0.91 Undesignated center heading andsection revised ................... 13218
0.101 Removed .............................. 13218 0.111 Second 0.111 correctly re-
moved;CFRcorrection .............. 4675 (a)(12) through (20) redesignated
as (a)(14) through (22); (a)(1) note, (2) note, (3), (4) note, (8) note, (11) note, new (15) and (19) revised; new (a)(12) and (13) added ........................................13218
0.121 (b) revised............................. 13219 0.131 (a) and (i) amended................ 13219 0.141 Undesignated center head-
ingandsection revised.............. 13219 0.182 (b) revised............................. 13220 0.241 (d) amended .......................... 13220 0.261 (a)(3) revised......................... 13220
47 CFR—Continued 67 FR Page
Chapter I—Continued 0.283 Undesignated center head-
ingandsection revised.............. 13220 0.284 (a) introductory text and (b)
amended; (a)(2), (7) and (c) re- moved; (a)(3) through (6), (8) and (9) redesignated as new (a)(2) through (7) ....................... 13220
0.285 Revised ................................ 13220 0.291 Amended; (c) removed; (d)
through (j) redesignated as new (c) through (i); undesignated center heading, new (c) and (i)(2) revised ............................. 13220
(c) removed; (d) through (j) redes- ignatedas (c) through (h)...........18830
0.302 Revised ................................ 13221 0.303 Revised ................................ 13221 0.304 Amended .............................. 13221 0.311 (a)(6) added; (c) revised.......... 13221 0.314 (f) through (j) revised ............ 13221 0.321 Removed .............................. 13221 0.325 Removed .............................. 13221 0.331 (d) introductory text re-
vised......................................... 63284 0.347 Amended .............................. 13221 0.357 Amended .............................. 13221 0.361 Undesignated center head-
ing and introductory text re- vised......................................... 13221
0.387 (a) revised............................. 13221 0.401 (a)(5) revised......................... 13221 0.423 Amended .............................. 13221 0.441 Amended .............................. 13221 0.453 (m), (n) and (o) redesignated
as (l), (m) and (n); Introductory text, (a) introductory text, (2)(ii)(E), (b), (f), (g) introduc- tory text, (i) introductory text, (j) and new (m) revised; (l) re- moved ...................................... 13221
0.455 Revised ................................ 13222 0.465 (a)note revised ..................... 13222 1 Policy statement......................... 3441
Regulation at 67 FR 3620 with- drawn.........................................7287
Order ...........................................13291 Actionsonpetitions.....................17009 Interpretation .............................49242 Technical correction ...................61000 Actionsonpetitions............63850, 77173 Order ...........................................67567
0.467 (a)(1), table, note and (2) amended................................... 58543
1.4 (f) amended.............................. 13223 1.115 (e)(4) revised ......................... 13223 1.221 (b) amended .......................... 13223
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47 CFR—Continued 67 FR Page
Chapter I—Continued 1.227 (b)(3)(ii) and (4) revised .........34851
(b)(4) revised ................................48563 1.403 Revised ................................ 13223 1.419 (b) amended .......................... 13223 1.703 (c) amended .......................... 13223 1.735 (b)(3) amended ...................... 13223 1.742 Amended .............................. 13223 1.743 (e) amended .......................... 13223 1.749 Revised ................................ 13223 1.762 Removed .............................. 18830 1.765 Removed .............................. 18830 1.766 Removed .............................. 18830 1.767 (a)(5), (7) and (8) revised;
(a)(9) redesignated as (a)(10); new (a)(9), (11) and (g) through (m) added (OMB numbers pend- ing) ............................................ 1619
Regulation at 67 FR 1619 con- firmed.......................................10634
1.768 Added .................................... 1622 1.773 (a)(2) introductory text, (4)
and (b)(3) revised....................... 13223 1.774 (e)(2)(ii) revised; (f) amend-
ed ............................................. 13223 1.821 Amended .............................. 13224 1.913 (g) revised............................. 34851 1.924 (g) added ................................ 6182
(c)(3) amended..............................13224 (f) revised.....................................41852 (f) correctly designated as (g); (f)
text correctly reinstated...........71111 1.1102 Revised ............................... 67319 1.1103 Revised ............................... 67327 1.1104 Revised ............................... 67328 1.1105 Revised ............................... 67331 1.1106 Amended............................. 13224
Revised........................................67332 1.1107 Revised ............................... 67332 1.1109 (c) note, (d) introductory
text, (e) andnote revised ........... 67337 1.1110 (a) introductory text re-
vised......................................... 46303 (a)(1), (2) and (3) revised ................67337
1.1111 (c) revised ........................... 67337 1.1113 (a)(5) note revised................ 46303
(a)(1) revised ................................67337 1.1114 Introductory text re-
vised......................................... 67337 1.1116 (a) introductory text re-
vised......................................... 67337 1.1117 (c)(1) and (e) revised............. 67337 1.1119 (a) revised ........................... 67337 1.1152 Revised ............................... 46303 1.1153 Revised ............................... 46304 1.1154 Revised ............................... 46305 1.1155 Revised ............................... 46306
47 CFR—Continued 67 FR Page
Chapter I—Continued 1.1156 Revised ............................... 46303 1.1157 (a) and (b) revised ................ 46306 1.1158 Heading and introductory
text revised .............................. 46306 1.1160 (a)(1) revised ....................... 46307 1.1163 (c)(1) revised ....................... 13224 1.1202 (d)Note 4 revised ................. 13224 1.1307 (b)(1) tableamended ............ 41853 1.2107 (e) revised ........................... 45365 1.2110 (c)(2)(ii)(A), (5)(v) and Ex-
ample 1 revised; (c)(5)(v) note added........................................ 16650
(b) introductory text, (1), (f)(3)(ii)(B), (iii), (iv), (vii) and (m)(1) revised; (o) added.............45365
1.4000 Headingand (h) revised .......13224 1.7001 (d) revised ........................... 13224 1.8002 (b)(1) amended..................... 36818 1.8004 (c) and (d) revised ................ 36818 2 Actionsonpetitions................... 12483
Terminations ..............................39307 Petition reconsideration .............45380
2.100 Revised ................................ 59601 2.106 Tableamended ......5508, 6182, 17011
Table corrected; CFR correction ................................................. 13093
Regulation at 67 FR 17011 eff. datedelayed..............................20914
Tableamended....................41853, 59601 2.1033 (b)(10) removed; (b)(11) and
(12) redesignated as (b)(10) and (11) ........................................... 42734
6.18 Regulation at 64 FR 63254 con- firmed ......................................... 678
7.18 Regulation at 64 FR 63257 con- firmed ......................................... 678
11 Compliancenotification........... 65321 11.11 (a) tablesand (b) revised........18506 11.14 Revised ................................ 18507 11.16 Introductorytext revised .....18508 11.31 (c) through (f) revised............ 18509
(f) revised.....................................77174 11.33 (a)(3)(ii) and (4) revised .........18510 11.34 (f) and (g) added..................... 18510 11.42 (c) amended .......................... 18510 11.43 Revised ................................ 18510 11.51 (f), (k)(2) and (l) revised .........18510 11.52 (e)(2) revised ......................... 18510 11.53 (a) and (c) revised .................. 18510 11.54 (b) revised; (e) added.............. 18511 11.55 (c)(4) and (7) revised .............. 18511 11.61 Revised ................................ 18511 11.62 Removed .............................. 18512 15 Actionsonpetitions ................. 38903
Technical correction ...................48415 15.3 (ee) added............................... 48993
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47 CFR—Continued 67 FR Page
Chapter I—Continued 15.37 (j) added................................ 45670
(k)added ...................................48993 15.35 (b) revised............................. 34855 15.101 (a) amended; (b) revised .......48993 15.107 (a), (b) and (c)(2) revised; (d)
and (e) removed; (f) designated as (d)......................................... 45670
15.109 (h) added ............................. 48993 15.117 (a) revised; (h) redesignated
as (j); new (h)and (i) added......... 63294 15.205 (d)(6) added.......................... 34855 15.207 (b) removed; (c) and (d) re-
designated as (b) and (c); (a) andnew(b)(2) revised ................ 45671
15.215 (c) revised; (d) removed........34855 15.247 (a) introductory text,
(1)(ii), (iii), (2), (b)(1), (c), (d) and (f) revised; (b)(3) and (4) re- designated as (b)(4) and (5); new (b)(3) added; (e) removed ........... 42734
15.249 (b) through (e) redesig- nated as (c) through (f); (a) in- troductory text and new (e) re- vised;new (b)added .................... 1625
15.501—15.525 (Subpart F) Added ....................................... 34856
15.517 (e), (f) and (g) correctly des- ignated as (d), (e) and (f); new (d) introductory text amend- ed ............................................. 39632
15.519 (c) table corrected ............... 39632 18 Technical correction ................ 48415 18.123 Added ................................. 45671 18.307 Introductory text, (a) and
(b) revised; (d) through (g) added;Footnotes removed ........45671
2003 47 CFR 68 FR
Page
Chapter I Chapter IPolicy statement .......... 25841 0.5 (a)(4) amended ......................... 11747 0.21 Undesignated center heading
and introductory text amend- ed ............................................. 11747
0.31 (g) amended............................ 11747 0.91 (j), (k), and (l) redesignated as
(k), (l), and (m); new (j) added........................................ 13850
0.111 (a)(14) through (22) redesig- nated as (a)(15) through (23); new (a)(14) added....................... 36942
0.121 (b) revised............................. 59747 0.271 Undesignated center head-
ingand (a) amended .................. 11747
47 CFR—Continued 68 FR Page
Chapter I—Continued 0.303 Removed .............................. 13850 0.401 (b)(3) revised; (OMB num-
berspending) ............................ 27000 0.467 Table, (a)(1) note and (3)
amended .................................... 4105 0.701 Revised ................................ 52519 1 Order ......................................... 58629 1.17 Revised .................................. 15098 1.901 Revised ................................ 12755 1.902 Revised ................................ 12755 1.913 (a)(2) and (b)(2) revised .......... 42995
Heading, (a) introductory text, (3), (b)(1) and (2) revised (OMB numberpending inpart) ............66276
1.919 (a), (b) introductory text and (e) revised........................... 42995
1.929 (c)(4) and (d) introductory text revised .............................. 12755
1.937 (a) and (c) revised; (b) re- moved ...................................... 25842
1.948 (c) introductory text re- vised......................................... 42995
(j) added .......................................66276 1.1104 Table amended; (OMB num-
berspending) ............................ 27000 1.1111 (d) added; (OMB numbers
pending) ................................... 27001 1.1113 (d) added ............................. 51502 1.1117 (f) added .............................. 48466 1.1152 Revised ............................... 48466
Table corrected............................53524 1.1153 Revised ............................... 48467 1.1154 Revised ............................... 48468 1.1155 Revised ............................... 48469 1.1156 Revised ............................... 48469 1.1166 (e) added.............................. 48469 1.1701—1.1707 (Subpart M) Added;
(OMBnumberspending)............ 27001 1.1801—1.1870 (Subpart N) Re-
vised......................................... 22316 1.2002 (d) added (OMB number
pending) ................................... 66277 1.2003 Amended; introductory
text revised (OMB number pending) ................................... 66277
1.2103 (a)(4) revised ....................... 42995 1.2104 (g)(3) added ......................... 42995 1.2109 (b) and (c) revised ................ 42996 1.2110 (f)(3)(i), (ii), (vi), (vii) and
(viii) revised ............................. 23422 (b)(1)(i), (ii), (3)(i), and
(c)(2)(ii)(F) revised; (b)(3)(iii) and (c)(6) added .........................42996
1.2112 Revised ............................... 42997 1.8002 (a)(4) and (5) amended;
(a)(6) added ............................... 66277
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47 CFR—Continued 68 FR Page
Chapter I—Continued 1.9001—1.9060 (Subpart X)
Added ....................................... 66277 1.9003 OMBnumberpending .......... 66278 1.9020 (e) OMB number pend-
ing............................................ 66279 1.9030 (e) OMB number pend-
ing............................................ 66281 1.9035 (e) OMB number pend-
ing............................................ 66284 2 Actionsonpetitions.........10180, 32406,
38635 2.1 Amended ................................. 74330 2.103 (b) introductory text re-
vised......................................... 38638 2.106 Tableamended....3460, 16964, 33023,
33641, 68251, 74330 Table amended; Footnotes NG156
and NG168 revised; Footnotes NG177andNG178added .............11990
Table amended; Footnotes US11, NG53, and NG175 revised; Foot- note US291 removed; Footnote NG175added .............................12755
Table amended; Footnotes 459, 471, 472, 472A, 474, 480, US235 and US236 removed; Footnotes US18, US25, US82, US104, US225, US231, US238, US281, US282, US283, US298, US321, US340 and US342 revised; Foot- notes US364, US366 and US367 added ........................................25515
Table amended; Footnotes US356 andNG53 revised .......................34337
Footnote US296 revised; eff. 10–6– 03 ..............................................46958
2.202 (g) tableamended ................. 68543 2.948 (a)(2), (3), (b)(8) and (d) re-
vised; (e) added ......................... 68544 2.960 Undesignated center head-
ingadded .................................. 68545 2.1033 (d) added; eff. 11–17–03 .......... 54175
(c)(17) redesignatedas (e)..............68545 2.1055 (a)(2) revised ....................... 68545 2.1061 Undesignated center head-
ingandsection removed............ 68545 2.1062 Removed............................. 68545 2.1063 Removed............................. 68545 2.1064 Removed............................. 68545 2.1065 Removed............................. 68545 2.1091 (c) revised ........................... 38638 2.1093 (c) revised ........................... 38638 5.55 (a) and (b) revised ................... 59336 5.61 (c) introductory text re-
vised......................................... 59336 5.95 Added .................................... 59336
47 CFR—Continued 68 FR Page
Chapter I—Continued 13.7 (b) introductory text revised;
(b)(9) redesignated as (b)(10); new (b)(9) added; eff. 10–6–03.......46958
13.9 (b)(1) and (c) revised; eff. 10–6– 03.............................................. 46958
13.13 (a) revised; (d) redesignated as (e); new (d) added; eff. 10–6– 03.............................................. 46959
13.17 (b) revised; eff. 10–6–03 ........... 46959 13.201 (b)(6) revised; (b)(7) and (8)
redesignated as (b)(8) and (9); new (b)(7) added; eff. 10–6–03.......46959
15 Actionsonpetitions ........37093, 50972 15.3 Regulation at 65 FR 64391 eff.
5–1–01........................................ 50725 15.19 Regulation at 65 FR 64391 eff.
5–1–01........................................ 50725 (d) revised ....................................66732 (b)(1)(i) and (ii) revised .................68545
15.21 Amended .............................. 68545 15.27 (a) amended .......................... 68545 15.31 (a) revised............................. 68545 15.38 Added ................................... 66732
(b)(6) revised; (b)(12) added............68546 15.105 (e) added.............................. 68546 15.118 Regulation at 65 FR 64391
eff. 5–1–01 .................................. 50725 (b) amended .................................68546
15.120 (d) amended......................... 68546 15.123 Added (OMB number pend-
ing) .......................................... 66733 15.201 (a) revised ........................... 68546 15.205 (d)(7), (8) and (9) added.......... 68546 15.225 Revised ............................... 68546 15.231 (a) introductory text and
(3) revised ................................. 68546 15.245 (b)(1)(i) revised; (b)(1)(iii)
amended................................... 68547 15.255 (b)(5) revised ....................... 68547 15.509 Revised ............................... 19749 15.510 Added ................................. 19750 15.511 Revised ............................... 19750 15.513 Revised ............................... 19751 15.521 (c) revised ........................... 19751 15.525 (b) and (e) revised ................ 19751 18.103 Removed............................. 68547 18.105 Removed............................. 68547 18.119 Removed............................. 68547
2004 47 CFR 69 FR
Page
Title 47 Nomenclaturechange ......18803 Chapter I 0.11 (a)(11) added ........................... 30233 0.31 (i) revised............................... 70337
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47 CFR—Continued 69 FR Page
Chapter I—Continued 0.91 (n) added; eff. 10-13-04.............. 55109 0.101 Undesignated center head-
ing revised; sectionadded........... 7376 0.111 (a)(22) and (c) revised............. 30233 0.121 (b) revised............................. 58097 0.131 (n) revised............................. 24997 0.181 Undesignated center head-
ing, introductory text, (a), (b), (c), (e) and (f) revised ................. 30233
0.182 (b) through (f) revised ........... 30233 0.185 Introductory text, (a) and
(d) revised; (e) added.................. 30234 0.186 Revised ................................ 30234 0.211 (f) added................................ 27847 0.231 (f) added................................ 27847 0.241 (a) introductory text, (1) and
(b) through (g) revised; (h) and (i) added.................................... 70337
0.251 (i) added................................ 27847 0.291 (i) added; eff. 10-13-04 ............. 55109 0.331 (d) introductory text re-
vised; eff. 10-4-04........................ 46440 0.371 Undesignated center head-
ingandsectionadded ................. 7377 0.381 Revised ................................ 30234 0.387 (b) revised............................. 30234 0.401 Regulation at 68 FR 27000 eff.
1-26-04 ........................................ 3525 0.408 Revised ................................ 15250 0.457 (d)(1)(vi) removed ................. 23153
(d)(1)(vii) added............................29464 (d)(1)(vi) correctlyadded..............33580
0.467 (a)(1) introductory text amended; (a)(1) table and (2) re- vised......................................... 13746
0.481 Revised ................................ 41130 1 Actionsonpetitions.......... 30234, 30587
Technical correction ..........56956, 70378 Authoritycitation revised ...........77938
1.65 (b) revised .............................. 72026 1.80 (b)(1) through (4), (5) intro-
ductory text and (iii) revised; (b)(4) noteamended................... 47789
1.721 (a)(13) revised ....................... 41130 1.735 (b) introductory text and (4)
revised ..................................... 41130 1.767 (a) revised.................... 29895, 40327 1.815 (c)(1) removed....................... 72026 1.913 Regulation at 68 FR 66276 eff.
datedelayed inpart.................... 6920 Regulation at 68 FR 66276 eff. 2-2-
04 ..............................................65544 (a)(3), (b) introductory text and
(d)(1) introductory text re- vised; (a)(5) added (OMB num- berpending inpart) ...................77549
47 CFR—Continued 69 FR Page
Chapter I—Continued 1.919 (c), (d) and (e) redesignated
as (d), (e) and (f); new (c) added (OMB number pending in part)......................................... 75170
1.924 Introductory text, (a)(2), (b)(1) table, (3), (d)(2), (e)(2), (f)(1)(i), (4)(iii) and (g) revised; (e)(1) amended; (d)(4) added (OMB numbers pending in part)......................................... 17957
1.933 (c)(8) and (9) added................. 72026 1.946 (d) amended; eff. 10-4-04 ......... 46440 1.948 Regulation at 68 FR 66276 eff.
datedelayed............................... 6920 Regulation at 69 FR 6920 eff. date
corrected....................................8569 (j) revised (OMB number pending
inpart) .....................................77549 (j)(1)(xiv) removed .......................77944
1.1102 Revised ............................... 41130 Tableamended.............................72026
1.1103 Revised ............................... 41153 1.1104 Regulation at 68 FR 27000
eff. 1-26-04................................... 3525 Revised........................................41155
1.1105 Revised ............................... 41163 1.1106 Revised ............................... 41165 1.1107 Revised ............................... 41165
Table corrected............................58840 1.1111 Regulation at 68 FR 27001
eff. 1-26-04................................... 3525 (a)(2) and (c) revised .....................41176
1.1112 (a) introductory text and (c) revised................................. 27847
1.1113 (a)(6) and (c) revised............. 41177 1.1114 Introductory text re-
vised......................................... 41177 1.1115 (a) introductory text and
(2) revised ................................. 41177 1.1116 (a) introductory text and
(b) revised; (d) added ................. 27847 (a) introductorytext revised ........41177 (a) corrected ................................57230
1.1118 (a) revised ........................... 27848 1.1119 (a) revised ........................... 41177 1.1152 Revised ............................... 41055
Tableamended.............................72026 1.1153 Revised ............................... 41056 1.1154 Revised ............................... 41057 1.1155 Revised ............................... 41057 1.1156 Revised ............................... 41058 1.1161 (a) introductory text and
(c) revised................................. 27848 1.1164 (f)(5) added .......................... 27848 1.1167 (a) revised ........................... 27848
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47 CFR—Continued 69 FR Page
Chapter I—Continued 1.1307 (b)(1)Table 1amended.......... 3259,
39867 (b) amended (OMB number pend-
ing) ............................................5709 (b)(1) table revised........................72026 (b)(1) tableamended .....................77944
1.1701—1.1707 (Subpart M) Regu- lation at 68 FR 27001 eff. 1-26- 04 ............................................... 3525
1.1901—1.1953 (Subpart O) Re- vised......................................... 27848
1.1910 Correctly revised ................ 57230 1.2002 Regulation at 68 FR 66277
eff. 2-2-04................................... 65544 1.2003 Regulation at 68 FR 66277
eff. 2-2-04................................... 65544 Amended (OMB number pending)
................................................. 77550 1.2110 (f)(3)(i), (iii) and (iv) re-
vised......................................... 61321 1.7001 (b) revised ........................... 72027
(b) revised (OMB number pend- ing)...........................................77938
1.8002 Regulation at 68 FR 66277 eff. datedelayed ......................... 6920
(a)(6) revised; eff. 10-13-04..............55109 1.8003 Revised (OMB numbers
pending) ................................... 55109 1.9000—1.9018 (Subpart Y)
Added ....................................... 29895 Redesignated as 1.10000—1.10018
(SubpartY) ...............................40327 1.9001—1.9060 (Subpart X) Regula-
tion at 68 FR 66277 eff. date de- layed inpart............................... 6920
1.9001 (a) revised ........................... 77550 1.9003 Regulation at 68 FR 66278
eff. 2-2-04................................... 65544 Amended (OMB number pending)
................................................. 77550 1.9005 (h) through (bb) redesig-
nated as (j) through (dd); new (h)and (i) added ........................ 72027
Revised........................................77551 (p) removed..................................77944
1.9010 (b)(1)(iii) amended; (b)(2)(i) revised ..................................... 77551
1.9020 Regulation at 68 FR 66279 eff. 2-2-04................................... 65544
(d)(2)(i) revised.............................72027 (a) and (d) through (l) revised; (m)
added (OMB number pending in part) .........................................77551
1.9030 Regulation at 68 FR 66281 eff. 2-2-04................................... 65544
(d)(2)(i) revised.............................72027
47 CFR—Continued 69 FR Page
Chapter I—Continued (a) and (d) through (k) revised; (l)
added (OMB number pending in part) .........................................77554
1.9035 Regulation at 68 FR 66277 eff. 2-2-04................................... 65544
(a) and (d) through (m) revised; (n) added (OMB number pend- ing inpart) ................................77557
1.9045 (b) revised ........................... 77558 1.9047 Added ................................. 72027 1.9048 Added ................................. 77558 1.9080 Added (OMB number pend-
ing) .......................................... 77558 1.10000—1.10018 (Subpart Y) Re-
designated from 1.9000—1.9018 (SubpartY)............................... 40327
1.10000 Revised ............................. 47793 1.10006 Revised ............................. 47793 1.10007 (b) revised.......................... 47793 2 Actionsonpetitions................... 21760
Compliancenotification ..............67853 2.106 Tableamended .....2682, 3259, 13747,
18832, 31904, 32878, 46440, 48160, 52201, 67831, 72027, 77944
2.913 Revised (OMB number pend- ing inpart); eff. 10-7-04............... 54033
2.926 (c) introductory text re- vised;OMBnumberpending......54033
2.929 (c) and (d) revised (OMB numberpending) ...................... 54033
2.948 (a)(2) and (d) revised; eff. 10- 7-04 ........................................... 54033
(a)(2) corrected; eff. 10–7–04 ...........55982 2.962 (c)(3), (4), (e) introductory
text, (1), (f)(1), (3), and (g)(3) re- vised; (c)(7) added; eff. 10-07- 04.............................................. 54034
2.1033 (c) (17) added (OMB number pending)..................................... 5709
2.1077 (c) revised ........................... 71383 2.1091 (c) revised............................. 3264 2.1093 (c) revised............................. 3264 2.1204 (a) (10) added (OMB number
pending)..................................... 5709 4 Added (OMB number pend-
ing) .......................................... 70338 Regulation at 69 FR 70338 con-
firmed.......................................78338 5.63 (e) added (OMB number pend-
ing) .......................................... 54586 11.11 (a) text, (c) introductory
text and (1) revised; (a) table amended................................... 72031
11.21 Introductorytext revised .....30234 11.31 (c) amended .......................... 72031 11.35 (a) revised............................. 72031
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47 CFR—Continued 69 FR Page
Chapter I—Continued 11.43 Revised ................................ 30234 11.47 (b) revised............................. 30234 13.203 (a)(5) revised; (a)(6) and (7)
redesignated as (a)(7) and (8); new (a)(6) added ........................ 64671
15 Authoritycitation revised .........2849 15.7 Removed; eff. 10-07-04 ............. 54034 15.31 (a)(3) revised; eff. 10-7-04 ........54034 15.37 (l) added ................................. 2686 15.38 (b)(6) revised; eff. 10-7-04 ........54034
(b)(7) revised; eff. 10-28-04..............57861 (b)(13) added.................................59534
15.109 (g) introductory text re- vised .......................................... 2849
(b) revised ...................................2849 (b) revised; eff. 10-28-04..................57861 (d)(1) revised ...............................2849
15.120 (c)(2) and (d)(2) revised.........59534 15.122 (b) revised............................. 2849 15.123 Regulation at 68 FR 66733
confirmed................................. 12547 15.204 Revised; eff. 10-7-04 .............. 54034 15.205 (d)(4) revised......................... 3265
(a) tableamended.........................72031 15.215 (a) and (c) revised .................. 3265 15.231 (a)(5) added ......................... 71383 15.240 Added (OMB number pend-
ing) .......................................... 29464 15.247 (a), (b) introductory text,
(1), (3), (4) introductory text, (c) and (d) revised; (e) added; eff. 10-7-04 ................................. 54035
15.257 Added ................................... 3265 15.301 Revised ...................... 62620, 77949 15.303 (g) revised .................. 62620, 77949 15.311 Revised ............................... 62620 15.319 (a) revised ........................... 62621
(a) removed..................................77949 15.321 Heading, (a) and (b) re-
vised......................................... 62621 Removed......................................77949
15.323 Heading, (a), (c) introduc- tory text, (5), (11) and (d) re- vised; (b) removed ..................... 62621
15.401 Revised ................................ 2686 15.403 Revised ................................ 2687
(n) revised; (r) removed; (s) and (t) redesignated as (r) and (s); eff. 10-7-04..................................54036
15.407 (a)(2) revised; (b)(3) through (7) redesignated as (b)(4) through (8); new (b)(3) and (h)added .............................. 2687
(a)(1) through (6) revised; (d) re- moved; eff. 10-7-04 ......................54036
18 Actionsonpetitions ................. 70562
2005 47 CFR 70 FR
Page
Chapter I 0—199(Ch. I)Policy statement ......12601 0.11 (a)(8) revised .......................... 21651 0.231 (j) and (k)added .................... 21651 0.457 (d)(1)(ii) revised .................... 23039 0.467 (a)(1) amended; (a)(2) re-
vised .......................................... 6593 1 Policy statement ....................... 43322
Actionsonpetitions.....................76411 1.767 (a) introductory text,
(11)(iii), (g)(7), (14) and (j) re- vised; (n) added ......................... 38796
1.768 (h) and (i) revised; (j) added........................................ 38797
1.901—1.981 (Subpart F) Heading revised ..................................... 61058
1.903 (c) revised............................. 19305 1.919 Regulation at 69 FR 75170
confirmed inpart...................... 21652 1.924 (d) introductory text re-
vised......................................... 31372 1.927 (g) revised............................. 61058 1.929 (c) revised............................. 61058 1.929 (c)(1) revised ......................... 19306 1.939 (b) revised............................. 61058 1.955 (a)(2) revised......................... 61058 1.958 Added ................................... 19306 1.959 Added ................................... 19306 1.1102 Tableamended.................... 19306 1.1152 Revised ............................... 41992 1.1153 Revised ............................... 41994 1.1154 Revised ............................... 41995 1.1155 Revised ............................... 41995 1.1156 Revised ............................... 41995 1.1307 (a)(4) revised; (a)(4) note re-
moved ......................................... 578 Regulation at 69 FR 5709 con-
firmed ........................................6771 (b)(2) revised ................................24723
1.2003 Amended............................. 19307 1.2110 (b)(3)(iii)(A) revised; eff. 12–
9–05........................................... 57187 1.2112 (b)(2)(vi) revised; eff. 12–9–
05.............................................. 57187 1.7001 Regulation at 69 FR 77938
confirmed................................. 38794 1.8002 (e) added.............................. 21651 1.8003 Regulation at 69 FR 55109
confirmed................................. 55300 1.10006 Revised ............................. 38797 1.10007 (a) removed; (b), (c) and (d)
redesignated as new (a), (b) and (c); new (a) revised .................... 38797
1 AppendixBadded .......................... 578 AppendixCadded ............................580
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47 CFR—Continued 70 FR Page
Chapter I—Continued 2 Actionsonpetitions................... 17327
Order ...........................................61747 2.1 (c) amended ............................. 23039 2.1 (b) revised; (c) amended; (c)
Footnote 2 redesignated as Footnote 3 ................................ 46584
2.100 Revised ................................ 46585 2.101 Revised ................................ 46585
Table correctlyamended..............53074 2.102 (a), (b)(3), (c) introductory
text, (1), (3), (4), (e), (g) intro- ductory text and (h) introduc- tory text revised ....................... 46585
2.103 Heading, (a) introductory text, (1), (3), (4) and (b) re- vised......................................... 46586
2.104 (b)(1), (3), (c)(2), (4)(ii)(B), (iii), (g) and (h)(5) revised .......... 46586
2.105 (a), (b), (c)(1) introductory text, (d)(1), (2), (3) and (5) re- vised; (d)(6) removed; (e) and (f) added........................................ 46587
2.106 Tableamended....4778, 21659, 24723, 46588
Table corrected............................29960 Table correctlyamended...........53075—
53078, 55301 Tableamended.............................61745
2.932 (e) removed........................... 23039 2.944 Revised ................................ 23039 2.1033 Regulation at 69 FR 5709
confirmed .................................. 6771 (b)(12) and (c)(18) added.................23039
2.1043 (b)(3) revised ....................... 23040 2.1091 (c) revised ........................... 24725 2.1093 (c) revised ........................... 24725 2.1204 Regulation at 69 FR 5709
confirmed .................................. 6771 5.63 Regulation at 69 FR 54586 con-
firmed (OMBnumber) ............... 59276 9 Added ........................................ 37286 9.5 Regulation at 70 FR 37286 con-
firmed ...................................... 43323 11.1 Revised; eff. 12–31–06............... 71031 11.11 (a) tableamended ................. 19315
(a), (b) and (e) revised; eff. 12–31– 06 ..............................................71031
11.13 Revised; eff. 12–31–06 ............. 71033 11.15 Revised (OMB number pend-
ing) .......................................... 71033 11.19 Revised; eff. 12–31–06 ............. 71033 11.21 Introductory text and (a) re-
vised (OMB number pend- ing) .......................................... 71033
47 CFR—Continued 70 FR Page
Chapter I—Continued 11.31 (c) amended; (d), and (e) and
(f) footnotes revised; eff. 12–31– 06.............................................. 71033
11.33 (a)(4) and (b) introductory text revised; eff. 12–31–06 ........... 71033
11.34 (e) revised; eff. 12–31–06.......... 71034 11.35 Revised (OMB number pend-
ing) .......................................... 71034 11.41 Revised; eff. 12–31–06 ............. 71034 11.42 (a)(1), (2), (b) and (c) revised;
eff. 12–31–06 11.44 (d) revised; eff. 12–31–06.......... 71034 11.46 Revised; eff. 12–31–06 ............. 71034 11.47 Revised; eff. 12–31–06 ............. 71034 11.51 (g)(5) and (h)(5) amended .......19315
Revised (OMBnumberpending) ................................................. 71035
11.52 Revised (OMB number pend- ing) .......................................... 71036
11.53 (a) introductory text and (c) revised; eff. 12–31–06 .................. 71037
11.54 (b) through (e) revised; eff. 12–31–06..................................... 71037
11.55 (a), (c) introductory text, (4) and (7) revised (OMB number pending) ................................... 71037
11.61 Revised (OMB number pend- ing) .......................................... 71038
15.3 (ff) and (gg)added..................... 1373 15.15 (b) revised .............................. 1373 15.31 (f)(5) revised ........................... 1373 15.35 (b) revised .............................. 6773 15.37 (m)added ............................... 1373
(l) revised.....................................17329 15.101 (a) table revised .................... 1373 15.117 (i)(1) revised ........................ 38804
(i)(1)(iii) and (iv) revised; (i)(4) added ........................................75743
15.202 Added ................................. 23040 15.215 (c) revised............................. 6774 15.240 Regulation at 69 FR 29464
confirmed................................. 21652 15.250 Added ................................... 6774 15.252 Added ................................... 6775 15.515 (g) added............................... 6776 15.521 (d) revised............................. 6776 15.601—15.615 (Subpart G)
Added ........................................ 1374 15.615 OMB number pending in
part ........................................... 1374 Regulation at 70 FR 1374 con-
firmed inpart............................56856 Regulation at 70 FR 1374 eff. date
stayed inpart............................60742
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2006 47 CFR 71 FR
Page
Chapter I 0.5 (a)(17) added............................. 69034 0.11 (a)(11) removed....................... 69034 0.31 (d) revised .............................. 69034 0.51 (s) added................................. 69034 0.61 (l) added ................................. 69034 0.91 (o) added ................................ 69034 0.111 (c), (f) and (h) removed; (d),
(e), (g) and (i) through (l) redes- ignated as new (c) through (i); (a)(22) andnew(g) revised.......... 69034
0.131 (q) added............................... 69035 0.181 (b) and (f) revised; (j)
added........................................ 69035 0.182 Removed .............................. 69035 0.185 Introductory text, (a), (b),
(d) and (e) revised ...................... 69035 0.191 Undesignated center head-
ingandsectionadded ................ 69035 0.251 (e) revised............................. 15618 0.284 (a)(3) and (7) removed; (a)(4),
(5) and (6) redesignated as (a)(3), (4) and (5)......................... 69036
0.311 (c) andnote removed ............. 69036 0.314 (c) revised............................. 69036 0.332 (c) revised............................. 69037 0.387 Revised ................................ 69037 0.392 Undesignated center head-
ingandsectionadded ................ 69037 0.401 (a)(1)(ii) revised .................... 15618 0.408 Revised ................................ 10443 0.467 (a)(1) table amended; (a)(2)
revised ....................................... 9266 0.491 Revised ................................ 15618 0.606 (a) amended .......................... 15618 0.607 (b) amended .......................... 15618 1 Actions onpetitions ................ 42296
Authority citation revised ........26251 Technical correction .................39592
1.4 (f) amended.............................. 15618 1.13 (a)(2) revised............................ 6381 1.47 (h) revised (OMB numbers
pending) ................................... 38796 1.260 Revised ................................ 15618 1.277 (e) amended .......................... 15618 1.401 (b) revised; (d) amended.........76215 1.420 Heading and (g) revised;
Noteadded................................ 76215 1.703 (b) corrected; CFR correc-
tion............................................ 2167 1.773 (a)(4) and (b)(3) revised .......... 15618 1.774 (e)(2)(ii) revised .................... 15618 1.913 (a) introductory text re-
vised; (b) introductory text amended; (a)(6) added................ 26251
47 CFR—Continued 71 FR Page
Chapter I—Continued 1.919 (b) introductory text re-
vised; (b)(5) added ..................... 26251 1.924 (e)(4) added ........................... 69046 1.934 (d)(5) added ........................... 66461 1.939 (b) revised............................. 15619 1.946 (d) revised; eff. 11-6-06............ 52749 1.1102 Revised; eff. 10–16–06............ 54205 1.1103 Revised; eff. 10–16–06............ 54219 1.1104 Revised; eff. 10–16–06............ 54221 1.1105 Revised; eff. 10–16–06............ 54227 1.1106 Revised; eff. 10–16–06 ............ 54228 1.1107 Revised; eff. 10–16–06............ 54228 1.1113 (c) revised; eff. 10–16–06 ........54234 1.1114 (c), (d) and (e) revised; eff.
10–16–06..................................... 54234 1.1152 Revised ............................... 43869 1.1153 Revised ............................... 43870 1.1154 Revised ............................... 43871 1.1155 Revised ............................... 43872 1.1156 Revised ............................... 43872 1.1162 (e) through (h) revised .........43872 1.1307 (b)(1) Table 1 correctly re-
vised......................................... 13280 1.2103 (b)(1) and (2) added ................ 6226 1.2104 (c), (g)(1) and (2) revised;
(g)(3) removed; (j) added.............. 6226 1.2105 (c)(6) revised ....................... 15619
(a)(2)(ii)(B) revised.......................26251 1.2107 (g) added............................... 6227 1.2110 (f)(3)(v), (vi) and (vii) redes-
ignated as (f)(3)(vi), (vii) and (viii); new (f)(3)(v) added; (b)(3)(i), (f)(2) introductory text, (3)(ii)(B), (C), and new (vi) and (viii) revised ........................ 6227
(b)(1)(i), (ii) and (j) revised; (n) and (o) redesignated as (o) and (p); (b)(3)(iv) and new (n) added ................................................. 26251
1.2111 (a), (b) introductory text, (d)(1) and (2) revised; (c)(2) and (3) amended .............................. 26252
(a), (b) introductory text, (d)(2)(i) introductory text and (ii) revised; (d)(2)(iii) added .......34278
1.2112 (b)(1)(iii) redesignated as (b)(1)(iv); new (b)(1)(iii) and (iv) added; new (b)(1)(iv), (2)(iii) and (v) revised........................... 26253
1.2114 Added ................................. 26253 (a)(1) revised ................................34278
1.9005 (p) removed ......................... 29815 1.20000—1.20008 (Subpart Z)
Added ....................................... 38108 1.20004 OMBnumberpending ........38108
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47 CFR—Continued 71 FR Page
Chapter I—Continued Regulation at 71 FR 38109 con-
firmed.......................................77625 1.20005 OMBnumberpending ........38108
Regulation at 71 FR 38109 con- firmed.......................................77625
2 Actionsonpetitions.......... 35550, 60075 2.1 Corrected;CFRcorrection.......13025
(c) correctlyamended ..................15619 2.106 Tableamended ........... 29815, 60072,
66461, 69046, 70673 2.815 (b) revised; (c), (d) and (e) re-
moved ...................................... 66461 2.913 Regulation at 69 FR 54033
confirmed inpart...................... 15619 2.926 Regulation at 69 FR 54033
confirmed................................. 15619 2.929 Regulation at 69 FR 54033
confirmed................................. 15619 2.1060 (c) removed; (d) redesig-
natedasnew(c) andrevised....... 66461 4.11 Revised .................................. 69037 11.15 Regulation at 70 FR 71033
confirmed................................. 76220 11.21 Introductorytext revised .....69037
Regulation at 70 FR 71033 con- firmed.......................................76220
11.35 Regulation at 70 FR 71034 confirmed................................. 76220
11.43 Revised ................................ 69038 11.47 (b) revised............................. 69038 11.51 Regulation at 70 FR 71035
confirmed................................. 76220 11.52 Regulation at 70 FR 71036
confirmed................................. 76220 11.55 Regulation at 70 FR 71037
confirmed................................. 76220 11.61 Regulation at 70 FR 71038
confirmed................................. 76220 15 Actionsonpetitions .......39229, 53991,
69052 Policy statement .........................66876
15.37 (l) revised ............................. 11540 15.611 (c)(1)(iii) added.................... 49379 15.615 (f)(2)(iii) removed; (f)(2) in-
troductory text revised; (f)(3) amended................................... 49379
2007 47 CFR 72 FR
Page
Chapter I 0 Technical correction.................. 54847 0.181 (k)added; eff. 10–23–07 ........... 48842 0.392 (e) revised............................. 39760 0.406 (b)(2) correctly amended;
CFRcorrection......................... 55089
47 CFR—Continued 72 FR Page
Chapter I—Continued 0.467 (a)(1) table, note and (2) re-
vised .......................................... 5632 1 Actionsonpetitions................... 56015
Policy statement ................35189, 41935 1.80 (b)(1) revised .......................... 33914 1.767 (a)(10) note and (k)(4) added;
eff. 10–25–07 (OMB number pending inpart) ........................ 54366
1.946 (c) revised; eff. 10–23–07.......... 48842 1.955 (a)(1) revised......................... 27708
(a)(2) revised; eff. 10–23–07 .............48843 1.1152 Revised ............................... 45934 1.1153 Revised ............................... 45935 1.1154 Revised ............................... 45936 1.1155 Revised ............................... 45936 1.1156 Revised ............................... 45937 1.2105 (c)(6) revised; eff. 10–23–
07.............................................. 48843 1.9005 (gg) and (hh) revised; (ii)
added........................................ 27708 (k) revised; eff. 10–23–07.................48843
2 Actionsonpetitions................... 41937 2.1 (c) amended ............................. 31192 2.103 (a) introductory text and (b)
introductory text revised; (c) added; eff. 10–23–07..................... 48843
2.106 Tableamended ..................... 50025 Footnote NG158 correctly re-
vised .........................................67577 6 Authoritycitation revised .........43558 6.1 (b) and (c) revised; (d) and (e)
added; eff. 10–5–07 ...................... 43558 6.3 (e) through (k) redesignated as
(f) through (n( � new (e) added; (c) and new (j) and (k) revised; eff. 10–5–07................................. 43558
6.11 (a) Note and (b) Note added; eff. 10–5–07 (OMB number pend- ing) .......................................... 43558
6.18 (b) Note added; eff. 10–5–07 (OMBnumberpending) ............. 43559
6.19 Note added; eff. 10–5–07 (OMB numberpending) ...................... 43559
11.1 Revised .................................. 62132 11.2 Added .................................... 62132 11.11 (a) and (e) revised .................. 62132 11.21 Revised ................................ 62134 11.47 (b) revised............................. 62135 11.51 (g) introductory text and (h)
introductorytext revised ......... 62135 11.55 (a) introductory text re-
vised......................................... 62135 11.56 Added ................................... 62135 12 Added ....................................... 37673 12.2 Regulation at 72 FR 37673 eff.
datedelayed to 10–9–07 .............. 44978
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47 CFR—Continued 72 FR Page
Chapter I—Continued Revised (OMBnumberpending)
................................................. 57887 12.3 OMBnumberpending ............. 37673 15 Actionsonpetitions ................. 41937 15.117 (k) added (OMB number
pending) ................................... 26560 Regulation at 72 FR 26560 con-
firmed.......................................28894 15.212 Added (OMB number pend-
ing) .......................................... 28893 15.247 (b)(5) correctly removed;
(e) correctly revised; (i) cor- rectlyadded ............................... 5632
15.513 (e) correctly revised ............ 63823 15.525 Regulation at 68 FR 19751
confirmed .................................. 8132
2008 47 CFR 73 FR
Page
Chapter I Chapter IRegulatory review ........79667 0.31 (i) revised ................................ 9463 0.191 (g) revised .............................. 9463 0.241 (a)(1) revised; (d) removed;
(e) through (i) redesignated as new(d) through (h) ..................... 9463
(a)(1) revised ................................25587 0.331 (d) introductory text
amended................................... 25587 0.392 (i) added ................................. 9463 0.401 (b) introductory text, (1) and
(2) amended................................ 9018 0.408 Revised .......................... 813, 57544 0.467 (a)(1) table and note and (2)
revised ..................................... 11562 0.482 Amended................................ 9018 1 Policy statement ....................... 37861 1.80 (h) amended............................. 9018
(b)(1) and (4) Note amended; (b)(2), (3), (4) and (5)(iii) table revised......................................44664
1.227 (b)(4) amended........................ 9018 1.907 Amended................................ 9018 1.924 (g)(1) revised......................... 25420 1.1102 Revised ................................ 9019 1.1103 Revised ................................ 9023 1.1104 Revised ................................ 9023 1.1105 Revised ................................ 9025 1.1106 Revised ................................ 9025 1.1107 Revised ................................ 9025 1.1108 Revised ................................ 9027 1.1109 Revised ................................ 9027 1.1152 Revised ....................... 9027, 50219 1.1153 Revised ....................... 9028, 50220 1.1154 Revised ....................... 9029, 50221
47 CFR—Continued 73 FR Page
Chapter I—Continued 1.1155 Revised ....................... 9029, 50221 1.1156 Revised ....................... 9029, 50222 1.1166 (d) amended .......................... 9029 1.7001 (a)(2), (b) and (c) revised
(eff. datepending) ..................... 37881 1.10001 Amended............................. 9029 1.10009 Revised ............................... 9029 2 Policy statement ....................... 51375 2.1 (c) amended ............................. 25421 2.105 (a), (b), (d) heading, (5)(iv),
(f) and footnotes 1 through 6 re- vised; footnote 7 removed; (d)(6) added ............................... 25421
2.106 Table revised; footnote 5 amended................................... 25421
2.913 (b) amended............................ 9030 6.11 Regulation at 72 FR 43558 con-
firmed ...................................... 14941 (a) and (b)notes removed ..............21252
6.18 Regulation at 72 FR 43559 con- firmed ...................................... 14941
(b)note removed ..........................21252 6.19 Regulation at 72 FR 43559 con-
firmed ...................................... 14941 Note removed...............................21252
10 Added ....................................... 43117 10.10 (g) through (j) added; eff. 10–
22–08 ......................................... 54525 10.11 Revised; eff. 10–22–08 ............. 54525 10.210—10.280 (Subpart B) Added;
eff. 10–22–08 ............................... 54525 10.340 Added; eff. 10–14–08 .............. 47558 10.350 Added; eff. 10–14–08 in part
(OMB number pending in part)......................................... 47558
12.3 Regulation at 72 FR 37673 ef- fective 10-9-08 (OMB num- ber) .......................................... 59537
13.7 (b) introductory text revised; (b)(11) added ............................... 4479
13.13 (a) revised .............................. 4479 13.15 Revised .................................. 4479 13.203 (a) revised............................. 4479 13.215 Revised ................................ 4479 15 Policy statement...................... 51375 15.117 (i)(2) revised ......................... 5681 15.120 (b) revised............................. 5682 15.124 Added (OMB number pend-
ing) .......................................... 15448 Regulation at 73 FR 15448 con-
firmed.......................................16763 Revised........................................28732
15.212 Regulation at 72 FR 28893 confirmed................................. 16763
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2009 47 CFR 74 FR
Page
Chapter I Chapter I Actionsonpetitions .......4344
Reportandorder............................7654 0.401 (a)(1)(ii) amended ................. 68544 0.441 Revised ................................ 14078 0.442 Revised ................................ 14078 0.445 Revised ................................ 14078 0.451 Revised ................................ 14078 0.453 Revised ................................ 14078 0.455 Revised ................................ 14078 0.457 Revised ................................ 14078 0.458 Revised ................................ 14078 0.459 Revised ................................ 14078 0.460 Revised ................................ 14078 0.461 Revised ................................ 14078 0.463 Revised ................................ 14078 0.465 Revised ................................ 14078 0.466 Revised ................................ 14078 0.467 Revised ................................ 14078 0.468 Revised ................................ 14078 0.469 Revised ................................ 14078 0.470 Revised ................................ 14078 0.607 (d) correctly reinstated;
CFRcorrection......................... 49825 1 Fee schedule .............................. 16794
Authoritycitation revised ...........39227 1.4 (f) amended.............................. 68544 1.49 (f)(1)(ii) and (iii) amended;
(f)(1)(iv) added .......................... 39227 1.54 Undesignated center heading
added........................................ 39227 1.54 Added (OMB number pend-
ing) .......................................... 39227 1.55 Added .................................... 39227 1.56 Added .................................... 39227 1.57 Added .................................... 39227 1.58 Added .................................... 39227 1.59 Added .................................... 39227 1.773 (a)(4) and (b)(3) amended ....... 68544 1.774 (e)(2)(ii) amended.................. 68544 1.939 (b) amended .......................... 68544 1.1102 Revised ................................ 5108 1.1103 Revised ................................ 5112 1.1104 Revised ................................ 5112 1.1105 Revised ................................ 5114 1.1106 Revised ................................ 5114 1.1107 Revised ................................ 5115 1.1108 Revised ................................ 5117 1.1109 Revised ................................ 5117 1.1110 Correctly redesignated as
1.1112; new 1.1110 correctly added ......................................... 3445
1.1111 Correctly redesignated as 1.1113; new 1.1111 correctly added ......................................... 3445
47 CFR—Continued 74 FR Page
Chapter I—Continued 1.1112 Correctly redesignated as
1.1114; new 1.1112 correctly re- designated from 1.1110; (a)(2) revised ....................................... 3445
1.1113 Correctly redesignated as 1.1115; new 1.1113 correctly re- designated from 1.1111; (a) and (c) revised .................................. 3445
(c) revised......................................5117 1.1114 Correctly redesignated as
1.1116; new 1.1114 correctly re- designated from 1.1112; (b)(1)(ii) added............................ 3445
1.1115 Correctly redesignated as 1.1117; new 1.1115 correctly re- designated from 1.1113; (a)(1) revised ....................................... 3445
1.1116 Correctly redesignated as 1.1118; new 1.1116 correctly re- designated from 1.1114; intro- ductory text revised ................... 3445
1.1117 Correctly redesignated as 1.1119; new 1.1117 correctly re- designated from 1.1115; (a) in- troductorytext revised .............. 3445
1.1118 Correctly redesignated as 1.1120; new 1.1118 correctly re- designated from 1.1116; (a) in- troductory text and (d) re- vised .......................................... 3445
1.1119 Correctly redesignated as 1.1121; new 1.1119 correctly re- designated from 1.1117; (c) in- troductory text and (e) re- vised .......................................... 3445
1.1120 Correctly redesignated from1.1118; (a) revised ................ 3445
1.1121 Correctly redesignated from1.1119; (b) revised ................ 3445
1.1152 Revised ............................... 40096 1.1153 Revised ............................... 40097 1.1154 Revised ............................... 40098 1.1155 Revised ............................... 40099 1.1156 Revised ...................... 22110, 40099
Eff. datecorrected........................23328 (a) revised ....................................36949
1.1307 (b)(2) amended..................... 22703 2.106 Tableamended.....5124, 22703, 57094 2.1093 (c) revised ........................... 22704 2.1204 (a)(9) revised ....................... 22704 9 Authority citation revised; eff.
10-5-09....................................... 31874 9.1 Revised; eff. 10–5–09.................. 31874 9.3 Amended; eff. 10–5–09 ............... 31874 9.7 Added; eff. 10–5–09 (OMB num-
berpending inpart)................... 31874
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47 CFR—Continued 74 FR Page
Chapter I—Continued 11.31 (b) correctly amended; CFR
correction ................................ 49825 15.37 (n) added ................................ 7326 15.120 (b) correctlyamended ......... 63079 15.124 (a) amended; (b)(2)(i) and
(ii) revised.................................. 8878 15.701—15.717 (Subpart H)
Added ........................................ 7326 15.713 OMBnumberpending ........... 7326 15.714 OMBnumberpending ........... 7326 15.715 OMBnumberpending ........... 7326 15.717 OMBnumberpending ........... 7326
2010 (Regulations published from January 1,
2010, through October 1, 2010)
47 CFR 75 FR Page
Chapter I 0.192 Added ................................... 28207 0.261 (a)(3) revised .......................... 7972 0.392 Introductorytext revised .....28207 1 Authoritycitation revised........... 9797
47 CFR—Continued 75 FR Page
Chapter I—Continued Policy statement .........................45494
1.65 (a) revised................................ 4702 1.1113 (c) correctly revised ............ 36550 1.1152 Revised ............................... 41958 1.1153 Revised ............................... 41959 1.1154 Revised ............................... 41961 1.1155 Revised ............................... 41961 1.1156 Revised ............................... 41961 1.2105 Heading and (c)(6) revised;
(b)(4) added................................. 4702 Heading and (c) heading cor-
rectly revised .............................9797 2 Actionsonpetitions................... 10439
Clarification................................29677 2.106 Tableamended .....3638, 7972, 19283,
45067 Table correctlyamended ...............6316
11 Policy statement...................... 19559 15.216 Added (OMB number pend-
ing) ............................................ 3638 Appendix added (OMB number
pending) .....................................3640 Regulation at 75 FR 3638 effective
3-1-10 (OMBnumber) ...................9113
Æ
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