[Title 47 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2004 Edition]
[From the U.S. Government Printing Office]



[[Page i]]



          47


          Parts 0 to 19

                         Revised as of October 1, 2004


          Telecommunication
          
          


________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2004
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]






                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2004



  For sale by the Superintendent of Documents, U.S. Government Printing 
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[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 47:
          Chapter I--Federal Communications Commission               3
  Finding Aids:
      Material Approved for Incorporation by Reference........     871
      Table of CFR Titles and Chapters........................     873
      Alphabetical List of Agencies Appearing in the CFR......     891
      List of CFR Sections Affected...........................     901

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 47 CFR 0.1 refers to 
                       title 47, part 0, section 
                       1.

                     ----------------------------

[[Page v]]



                               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 agencies 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 subdivided 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 determine 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, 2004), 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 
Register 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 usually 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.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments 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 11 separate 
volumes. For the period beginning January 1, 2001, a ``List of CFR 
Sections Affected'' is published at the end of each CFR volume.

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 regulations in the Federal Register by referring 
to materials already published elsewhere. 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 material 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 published 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.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation 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, Washington DC 
20408, 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 Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    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 Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


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, Washington, DC 20408 or e-mail 
[email protected].

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 
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write to the Superintendent of Documents, Attn: New Orders, P.O. Box 
371954, Pittsburgh, PA 15250-7954. 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, Weekly Compilation of Presidential 
Documents and the Privacy Act Compilation are available in electronic 
format at www.access.gpo.gov/nara (``GPO Access''). 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, [email protected].
    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 contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

October 1, 2004.

[[Page ix]]



                               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, chapter I--Federal 
Communications Commission. The last volume, part 80 to end, also 
includes chapter II--Office of Science and Technology Policy and 
National Security Council, and chapter III--National Telecommunications 
and Information Administration, Department of Commerce. The contents of 
these volumes represent all current regulations codified under this 
title of the CFR as of October 1, 2004.

    Part 73 contains a numerical designation of FM broadcast channels 
(Sec.  73.201) and a table of FM allotments designated for use in 
communities in the United States, its territories, and possessions 
(Sec.  73.202). Part 73 also contains a numerical designation of 
television channels (Sec.  73.603) and a table of allotments which 
contain channels designated for the listed communities in the United 
States, its territories, and possessions (Sec.  73.606).

    The OMB control numbers for the Federal Communications Commission, 
appear in Sec.  0.408 of chapter I. For the convenience of the user 
Sec.  0.408 is reprinted in the Finding Aids section of the second 
through fifth volumes.

    For this volume, Bonnie Fritts was Chief Editor. The Code of Federal 
Regulations publication program is under the direction of Frances D. 
McDonald, assisted by Alomha S. Morris.

[[Page x]]




[[Page 1]]



                       TITLE 47--TELECOMMUNICATION




                   (This book contains parts 0 to 19)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Federal Communications Commission................           0

[[Page 3]]



              CHAPTER I--FEDERAL COMMUNICATIONS COMMISSION




  --------------------------------------------------------------------

                          SUBCHAPTER A--GENERAL
Part                                                                Page
0               Commission organization.....................           5
1               Practice and procedure......................          93
2               Frequency allocations and radio treaty 
                    matters; general rules and regulations..         447
3               Authorization and administration of 
                    accounting authorities in maritime and 
                    maritime mobile-satellite radio services         688
5               Experimental radio service (other than 
                    broadcast)..............................         698
6               Access to telecommunications service, 
                    telecommunications equipment and 
                    customer premises equipment by persons 
                    with disabilities.......................         710
7               Access to voicemail and interactive menu 
                    services and equipment by people with 
                    disabilities............................         716
11              Emergency Alert System (EAS)................         722
13              Commercial radio operators..................         741
15              Radio frequency devices.....................         750
17              Construction, marking, and lighting of 
                    antenna structures......................         849
18              Industrial, scientific, and medical 
                    equipment...............................         857
19              Employee responsibilities and conduct.......         863

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 edition.

[[Page 5]]



                          SUBCHAPTER A_GENERAL





PART 0_COMMISSION ORGANIZATION--Table of Contents




                         Subpart A_Organization

                                 General

Sec.
0.1 The Commission.
0.3 The Chairman.
0.5 General description of Commission organization 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.
0.182 Chief, Enforcement Bureau.
0.185 Responsibilities of the bureaus and staff offices.
0.186 Emergency Relocation Board.

                   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 individual Commissioner or 
          Commissioners.

                            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 authority.
0.285 Record of actions taken.

                   Chief, Wireline Competition Bureau

0.291 Authority delegated.
0.301 [Reserved]
0.302 Record of actions taken.
0.303 [Reserved]

[[Page 6]]

0.304 Authority for determinations of exempt telecommunications company 
          status.

                           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 authority.
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, authority delegated.
0.387 Other national security and emergency preparedness delegations; 
          cross reference.

                      Office of Workplace Diversity

0.391 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 
          Paperwork 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 publications.
0.414 The Communications Act and other statutory materials.
0.415 The rules and regulations (looseleaf service).
0.416 The Federal Communications Commission 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 government agencies of information 
          submitted to the Commission in confidence.
0.445 Publication, availability and use of opinions, orders, policy 
          statements, interpretations, 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 information 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 inspection.
0.463 Demand by competent authority for the production of documents or 
          testimony concerning information contained therein.
0.465 Request for copies of materials which are available, or made 
          available, for public inspection.
0.466 Definitions.
0.467 Search and review fees.
0.468 Interest.
0.469 Advance payments.
0.470 Assessment of fees.

 Places for Making Submittals or Requests, 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.

[[Page 7]]

0.482 Application for waiver of wireless radio service rules.
0.483 Applications for amateur or commercial radio operator licenses.
0.484 Amateur radio operator examinations.
0.485 Commercial radio operator examinations.
0.489 Applications for ship radio inspection and periodical survey.
0.491 Application for exemption from compulsory ship radio requirements.
0.493 Non-radio common carrier applications.

  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 declassification.
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 systems 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 individuals.
0.556 Request to correct or amend records.
0.557 Administrative review of an initial decision 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 public.
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 Committee.

    Authority: Sec. 5, 48 Stat. 1068, as amended; 47 U.S.C. 155, 225, 
unless otherwise noted.



                         Subpart A_Organization

    Authority: Secs. 5, 48 Stat. 1068, as amended; 47 U.S.C. 155.

                                 General



Sec. 0.1  The Commission.

    The Federal Communications Commission is composed of five (5) 
members who are appointed by the president 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]



Sec. 0.3  The Chairman.

    (a) One of the members of the Commission is designated by the 
President to serve as Chairman, or chief executive officer, of the 
Commission. As Chairman, he has the following duties and 
responsibilities:
    (1) To preside at all meetings and sessions 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 reports.
    (3) To represent the Commission in all matters requiring conferences 
or communications with other governmental officers, departments or 
agencies.
    (4) To coordinate and organize the work of the Commission in such a 
manner 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 Chairman of the Commission, or in the absence or inability of the 
Chairman to serve, temporarily designate one of its members to act as 
Chairman until the cause or circumstance requiring such designation has 
been eliminated or corrected.

[32 FR 10569, July 19, 1967]



Sec. 0.5  General description of Commission organization and operations.

    (a) Principal staff units. The Commission is assisted in the 
performance of its responsibilities by its staff, which is

[[Page 8]]

divided into the following principal units:
    (1) Office of Managing Director.
    (2) Office of Engineering and Technology.
    (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 Business 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 Affairs Bureau.
    (b) Staff responsibilities and functions. The organization and 
functions of these major staff units are described in detail in 
Sec. Sec. 0.11 through 0.151. The defense and emergency preparedness 
functions of the Commission are set forth separately, beginning at Sec. 
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 officers of the Commission, 
and other information concerning the Commission.)
    (c) Delegations of authority to the staff. Pursuant to section 5(c) 
of the Communications Act, the Commission has delegated 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 possibility of 
review, actions taken under delegated authority have the same force and 
effect as actions taken by the Commission. The delegation of authority 
to a staff officer, however, does not mean that he will exercise that 
authority in all matters subject to the delegation. 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 matters 
warranting the Commission's consideration, and the Commission may 
instruct the staff to do so.
    (d) Commission action. Matters requiring Commission action, or 
warranting its consideration, are dealt with by the Commission at 
regular monthly meetings, or at special meetings called to consider a 
particular matter. Meetings are normally held at the principal offices 
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 
submission 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 
compliance with Federal financial management 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 authority that may affect 
agency compliance with Federal financial management requirements 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, as amended at 62 FR 4170, Jan. 29, 1997]

    Editorial Note: For Federal Register citations affecting Sec. 0.5, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.

                       Office of Managing Director



Sec. 0.11  Functions of the Office.

    (a) The Managing Director is appointed by the Chairman with the 
approval of the Commission. Under the supervision and direction of the 
Chairman, the Managing Director shall serve

[[Page 9]]

as the Commission's chief operating and executive official with the 
following duties and responsibilities:
    (1) Provide managerial leadership to and exercise supervision and 
direction over the Commission's Bureaus and Offices with respect to 
management and administrative matters but not substantive regulatory 
matters such as regulatory policy and rule making, authorization of 
service, administration of sanctions, and adjudication.
    (2) Formulate and administer all management and administrative 
policies, programs, and directives for the Commission consistent with 
authority delegated by the Commission and the Chairman and recommend to 
the Chairman 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 Chairman as the 
administrative head of the agency.
    (4) Advise the Chairman and Commission on management, 
administrative, and related matters; review and evaluate 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, 
administrative, and resource implications of any proposed action or 
decision to be taken by the Commission or by a Bureau or Office under 
delegated authority; recommend to the Chairman and Commission program 
priorities, resource and position allocations, management, and 
administrative policies.
    (5) Plan and administer the Commissions performance review system. 
Assure that objections, priorities, and action plans established by 
Bureau and Offices are consistent with overall Commission objectives and 
priorities.
    (6) Plan and administer the Commission's Program Evaluation System. 
Ensure that evaluation results are utilized 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 Commission-wide management programs.
    (8) Plan and manage the administrative affairs of the Commission 
with respect to the functions of personnel and position management; 
labor-management relations; training; budget and financial management; 
information management and processing; organization planning; management 
analysis; procurement; office space management and utilization; 
administrative and office services; supply and property management; 
records management; personnel and physical security; and international 
telecommunications settlements.
    (9) [Reserved]
    (10) With the concurrence of the General Counsel, interpret rules 
and regulations pertaining to fees.
    (11) Develop and maintain the Commission's Continuity of Operations 
Plan (COOP).
    (b) The Secretary is the official custodian 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]

                       Office of Inspector General



Sec. 0.13  Functions of the Office.

    The Office of Inspector General is directly 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 responsibilities 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 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 legislation and regulations 
relating to programs and operations of the Commission and to make 
recommendations

[[Page 10]]

in its required semiannual reports to Congress concerning the impact of 
such legislation or regulations on the economy and efficiency in the 
administration 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 
promote economy and efficiency in the administration 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 Commission--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 programs and operations; recommend 
corrective action and report on the progress made in implementing such 
corrective action. In addition to providing the Chairman with the 
results of completed audits and inspections, the Inspector General shall 
prepare statutorily required reports, identified as such, to include:
    (1) Semiannual reports summarizing activities of the office during 
the preceding six month period (due to the Chairman by April 30 and 
October 31);
    (2) Special reports specifically identifying any serious or flagrant 
problems, abuses or deficiencies (due to the Chairman immediately upon 
discovery of these matters by the Inspector General).

[54 FR 15194, Apr. 17, 1989]

                        Office of Media Relations



Sec. 0.15  Functions of the Office.

    (a) Enhance public understanding of and compliance with the 
Commission's regulatory requirements through dissemination 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 information dissemination as it affects 
liaison with the media.
    (d) Manage the FCC's Internet site and oversee the agency's Web 
standards and guidelines.
    (e) Maintain liaison with the Consumer and Governmental Affairs 
Bureau on press and media issues concerning consumer assistance and 
information 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



Sec. 0.17  Functions of the Office.

    The Office of Legislative Affairs is directly responsible to the 
Commission. The Office has the following duties and responsibilities:
    (a) Advise and make recommendations to the Commission with respect 
to legislation proposed by members of Congress or the Executive Branch 
and coordinate the preparation of Commission views thereon for 
submission to Congress or the Executive Branch.
    (b) Coordinate with the Office of General Counsel responses to 
Congressional or Executive Branch inquiries as to the local 
ramifications of Commission 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 Commission's Annual Report.
    (d) Assist the Chairman and Commissioners in preparation for, and 
the coordination of their appearances before the Committees of Congress.
    (e) Coordinate the annual Commission 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

[[Page 11]]

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



Sec. 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 Commission with respect to the development and implementation of 
communications policies in all areas of Commission authority and 
responsibility. A principal function of the Office is to conduct 
independent policy analyses to assess the long-term effects of 
alternative Commission policies on domestic and international 
communication industries and services, with due consideration 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 
individual areas of responsibility. The Office is composed of legal, 
engineering, economic, and sociological policy analysts and other 
personnel, and is headed by a chief having the following duties and 
responsibilities:
    (a) To identify and define significant communications policy issues 
in all areas of Commission interest and responsibility;
    (b) To conduct technical, economic, and sociological impact studies 
of existing and proposed communications policies and operations, 
including cooperative studies with other staff units and consultant and 
contract efforts as appropriate;
    (c) To develop and evaluate alternative policy options and 
approaches for consideration by the Commission;
    (d) To review and comment on all significant actions proposed to be 
taken by the Commission in terms of their overall policy implications;
    (e) To recommend and evaluate governmental (state and federal), 
academic, and industry sponsored research affecting Commission policy 
issues;
    (f) To prepare briefings, position papers, proposed Commission 
actions, or other agenda items as appropriate;
    (g) To manage the Commission's policy research program, recommend 
budget levels and priorities for this program, and serve as central 
account manager for all contractual policy research studies funded by 
the Commission;
    (h) To coordinate the formation and presentation of Commission 
positions in communications policy; represent the Commission at 
appropriate discussions and conferences.
    (i) Develop and recommend procedures and plans for the effective 
handling of policy issues within the Commission.
    (j) To help ensure that FCC policy encourages and promotes 
competitive market structures by providing bureaus and offices with the 
necessary support to identify, evaluate, and effectively and 
consistently resolve competitiveness 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



Sec. 0.31  Functions of the Office.

    The Office of Engineering and Technology has the following duties 
and responsibilities:
    (a) To evaluate evolving technology for interference potential and 
to suggest ways to facilitate its introduction in response to Bureau 
initiatives, and advise the Commission and staff offices in such 
matters.
    (b) Represent the Commission at various national conferences and 
meetings (and, in consultation with the International Bureau, at various 
international conferences and meetings) devoted to the progress of 
communications and the development of technical and other information 
and standards, and serve as Commission coordinator for the various 
national conferences when appropriate.

[[Page 12]]

    (c) To conduct scientific and technical studies in advanced phases 
of terrestrial and space communications, and special projects to obtain 
theoretical and experimental data on new or improved techniques.
    (d) To advise the Commission concerning engineering matters, 
including the privacy and security of communications, involved in making 
or implementing policy or in resolving specific cases.
    (e) To develop and implement procedures to acquire, store, and 
retrieve scientific and technical information useful in the engineering 
work of the Commission.
    (f) To advise and represent the Commission on frequency allocation 
and spectrum usage matters.
    (g) To render, in cooperation with the General Counsel and the 
Office of Strategic Planning and Policy Analysis, advice to the 
Commission, participate in and coordinate staff work with respect to 
general frequency allocation proceedings 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 
formulation 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 
Commission with respect to formulating rules and regulations, technical 
standards, and general policies for parts 15, 18 and Sec. 63.100 of 
this chapter, and for type approval and acceptance, and certification of 
radio equipment for compliance with the Rules.
    (k) To maintain liaison with other agencies of government, technical 
experts representing foreign governments, and members of the public and 
industry concerned with communications and frequency allocation and 
usage.
    (l) To calibrate and standardize technical 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 Communications Act of 1934, 
as amended.
    (n) To assist the Consumer and Governmental Affairs Bureau on issues 
involving informal consumer complaints and other general inquiries by 
consumers.

(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]

                        Office of General Counsel



Sec. 0.41  Functions of the Office.

    The Office of the General Counsel has the following duties and 
responsibilities:
    (a) To advise and represent the Commission in matters of litigation.
    (b) To advise and make recommendations to the Commission with 
respect to proposed legislation and submit agency views on legislation 
when appropriate.
    (c) To interpret the statutes, international agreements, and 
international regulations affecting the Commission.
    (d) To prepare and make recommendations and interpretations 
concerning procedural rules of general applicability and to review all 
rules for consistency with other rules, uniformity, and legal 
sufficiency.
    (e) To conduct research in legal matters as directed by the 
Commission.
    (f) In cooperation with the Office of Engineering and Technology, to 
participate in, render advice to the Commission, and coordinate the 
staff work with respect to general frequency allocation proceedings and 
other proceedings 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.

[[Page 13]]

    (h) To cooperate with the International Bureau on all matters 
pertaining to space satellite communications.
    (i) To interpret statutes and executive 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 matters regarding the interception 
and recording of telephone conversations by Commission personnel. 
Nothing in this paragraph, however, shall affect the authority of the 
Inspector General to intercept or record telephone conversations as 
necessary in the conduct of investigations or audits.
    (l) To advise the Commission in the preparation and revision of 
rules and the implementation and administration of ethics regulations 
and the Freedom of Information, Privacy, Government in the Sunshine and 
Alternative Dispute Resolution Acts.
    (m) To assist and make recommendations to the Commission, and to 
individual Commissioners assigned to review initial decisions, as to the 
disposition of cases of adjudication and such other cases as, by 
Commission policy, are handled in the same manner and which have been 
designated for hearing.
    (n) To serve as the principal operating office on ex parte matters 
involving restricted proceedings. To review and dispose of all ex parte 
communications received from the public and others.

(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



Sec. 0.51  Functions of the Bureau.

    The International Bureau has the following duties and 
responsibilities:
    (a) To initiate and direct the development and articulation of 
international telecommunications policies, consistent with the 
priorities of the Commission;
    (b) To advise the Chairman and Commissioners 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 commerce, national defense, and foreign policy;
    (c) To develop, recommend, and administer policies, rules, 
standards, and procedures for the authorization and regulation of 
international telecommunications 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 international conferences and meetings, and 
to direct and coordinate the Commission's preparation for such 
conferences and meetings;
    (f) To serve as the single focal point within the Commission for 
cooperation and consultation on international telecommunications matters 
with other

[[Page 14]]

Federal agencies, international or foreign organizations, and 
appropriate regulatory bodies and officials of foreign governments;
    (g) To develop, coordinate with other Federal agencies, and 
administer the regulatory assistance and training programs for foreign 
administrations to promote telecommunications development;
    (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 offices as 
appropriate;
    (i) To conduct economic, legal, technical, statistical, and other 
appropriate studies, surveys, and analyses in support of international 
telecommunications policies and programs.
    (j) To collect and disseminate within the Commission information and 
data on international telecommunications policies, regulatory and market 
developments in other countries, and international organizations;
    (k) To work with the Office of Legislative Affairs to coordinate the 
Commission's activities on significant matters of international policy 
with appropriate Congressional offices;
    (l) To promote the international coordination of spectrum 
allocations and frequency and orbital assignments so as to minimize 
cases of international radio interference involving U.S. licensees;
    (m) To direct and coordinate, in consultation with other bureaus and 
offices as appropriate, negotiation of international agreements to 
provide for arrangements and procedures for coordination of radio 
frequency assignments to prevent or resolve international radio 
interference involving U.S. licensees;
    (n) To ensure fulfillment of the Commission's responsibilities under 
international agreements and treaty obligations, and, consistent with 
Commission policy, to ensure that the Commission's regulations, 
procedures, and frequency allocations comply with the mandatory 
requirements of all applicable international and bilateral agreements;
    (o) To oversee and, as appropriate, administer activities pertaining 
to the international consultation, coordination, and notification of 
U.S. frequency and orbital assignments, including activities required by 
bilateral agreements, the international Radio Regulations, and other 
international agreements;
    (p) To advise the Chairman on priorities for international travel 
and develop, 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 Bureau. Before 
issuing a subpoena, the International Bureau shall obtain the approval 
of the Office of General Counsel.
    (r) To assist the Consumer and Governmental Affairs Bureau on issues 
involving informal consumer complaints and other general inquiries by 
consumers.

[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]

                              Media Bureau



Sec. 0.61  Functions of the Bureau.

    The Media Bureau develops, recommends and administers the policy and 
licensing programs for the regulation of media, including cable 
television, broadcast television and radio, and satellite services in 
the United States and its territories. The Bureau advises and recommends 
to the Commission, or acts for the Commission under delegated authority, 
in matters pertaining to multichannel video programming distribution, 
broadcast radio and television, direct broadcast satellite service 
policy, and associated matters. The Bureau will, among other things:
    (a) Process applications for authorization, assignment, transfer and 
renewal of media services, including AM, FM, TV, the cable TV relay 
service, and related services.

[[Page 15]]

    (b) Conduct rulemaking proceedings concerning the legal, 
engineering, and economic aspects of media service.
    (c) Conduct comprehensive studies and analyses concerning the legal, 
engineering, 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 
programming and related matters.
    (f) Administer and enforce rules and policies regarding:
    (1) Radio and television broadcast industry services;
    (2) Cable television systems, operators, and services, including 
those relating to rates, technical standards, customer service, 
ownership, competition to cable systems, broadcast station signal 
retransmission and carriage, program access, wiring equipment, channel 
leasing, and federal-state/local regulatory relationships. This 
includes: acting, after Commission assumption of jurisdiction to 
regulate 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 authorities' 
rate making decisions involving rates for the basic service tier and 
associated equipment, except when such appeals raise novel or unusual 
issues; evaluating basic rate regulation certification requests filed by 
cable system franchising authorities; periodically reviewing and, when 
appropriate, revising standard forms used in administering: 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 devices designed for over-the-air 
reception 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 programming to persons with 
disabilities;
    (7) Program access and carriage;
    (8) The Satellite Home Viewer Improvement Act; and
    (9) Post-licensing for satellite consumer broadcast services (DBS, 
DTH and DARS).
    Note to paragraph (f):
    The Media Bureau's enforcement authority does not include 
enforcement in those areas assigned to the Enforcement Bureau. See 47 
CFR 0.111.
    (g) Conduct rulemaking and policy proceedings regarding pole 
attachments.
    (h) Process and act on all applications for authorization, petitions 
for special relief, petitions to deny, waiver requests, requests for 
certification, objections, complaints, and requests for declaratory 
rulings and stays regarding the areas listed.
    (i) Assist the Consumer and Governmental Affairs Bureau on issues 
involving informal consumer complaints and other general inquiries by 
consumers.
    (j) 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 Media Bureau. Before issuing a 
subpoena, the Media Bureau shall obtain the approval of the Office of 
General Counsel.
    (k) Carry out the functions of the Commission under the 
Communications Act of 1934, as amended, except as reserved to the 
Commission under Sec. 0.283.

[67 FR 13217, Mar. 21, 2002]

                      Office of Workplace Diversity



Sec. 0.81  Functions of the Office.

    (a) The Office of Workplace Diversity (OWD), as a staff office to 
the Commission, shall develop, coordinate, evaluate, 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 employment. A principal function of the Office is to 
lead, advise, and assist the Commission, including all of its component 
Bureau/Office managers, supervisors,

[[Page 16]]

and staff, at all levels, on ways to promote inclusion and full 
participation of all employees in pursuit of the Commission's mission. 
In accordance with this function, the Office shall:
    (1) Conduct independent analyses of the Commission's policies and 
practices to ensure that those policies and practices foster diversity 
in the workplace and ensure equal opportunity and equal treatment for 
employees and applicants; 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, Executive Orders, and regulatory 
provisions relating to workplace diversity, equal employment 
opportunity, nondiscrimination, and civil rights.
    (b) The Office has the following duties and responsibilities:
    (1) Through its Director, serves as the principal advisor to the 
Chairman and Commission officials on all aspects of workplace diversity, 
affirmative recruitment, equal employment opportunity, non-
discrimination, and civil rights;
    (2) Provides leadership and guidance to create a work environment 
that values and encourages diversity in the workplace;
    (3) Is responsible for developing, implementing, 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 demonstrates the value and effectiveness of a diverse workforce;
    (4) Is responsible for developing, implementing, and evaluating 
programs and policies that promote understanding among members of the 
Commission's workforce of their differences and the value of those 
differences and provide a channel for communication among diverse 
members of the workforce at all levels;
    (5) Develops, implements, and evaluates programs and policies to 
ensure that all members of the Commission's workforce and candidates for 
employment have equal access to opportunities for employment, career 
growth, training, and development and are protected from discrimination 
and harassment;
    (6) Develops and recommends Commission-wide workforce diversity 
goals and reports on achievements;
    (7) Is responsible for developing, implementing, 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 
recruitment 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 complaints within the Commission, and providing counseling services 
to employees and applicants on EEO matters;
    (10) Develops and administers the Commission's program of 
accessibility and accommodation for disabled persons in accordance with 
applicable regulations;
    (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 solicits views of organizations 
within and outside the Commission on matters relating to equal 
opportunity and workplace diversity.

[61 FR 2727, Jan. 29, 1996]

                       Wireline Competition Bureau



Sec. 0.91  Functions of the Bureau.

    The Wireline Competition Bureau advises and makes recommendations to 
the Commission, or acts for the Commission under delegated authority, in 
all matters pertaining to the regulation and licensing of communications 
common carriers and ancillary operations (other than matters pertaining

[[Page 17]]

exclusively to the regulation and licensing of wireless 
telecommunications services and facilities). The Bureau 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 information and 
developments. Overall objectives include meeting the present and future 
wireline telecommunications needs of the Nation; fostering economic 
growth; ensuring choice, opportunity, and fairness in the development of 
wireline telecommunications; promoting economically efficient investment 
in wireline telecommunications infrastructure; promoting the development 
and widespread availability 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 reasonable.
    (d) Act on applications for service and facility authorizations, 
including applications from Bell operating companies for authority to 
provide in-region interLATA services and applications from wireline 
carriers for transfers of licenses and discontinuance of service.
    (e) Develop and administer rules and policies relating to incumbent 
local exchange carrier accounting.
    (f) Develop and administer recordkeeping and reporting requirements 
for telecommunications carriers.
    (g) Provide federal staff support for the Federal-State Joint Board 
on Universal Service and the Federal-State Joint Board on Jurisdictional 
Separations.
    (h) Review the deployment of advanced telecommunications capability 
to ensure that such deployment is reasonable and timely, consistent with 
section 706 of the Act, and, where appropriate, recommend action to 
encourage such deployment.
    (i) Provide economic, financial, and technical analyses of 
telecommunications markets and carrier performance.
    (j) Act on petitions for de novo review of decisions of the 
Administrative Council for Terminal Attachments regarding technical 
criteria pursuant to Sec. 68.614.
    (k) Interact with the public, local, state, and other governmental 
agencies and industry groups on wireline telecommunications regulation 
and related matters. Assist the Consumer and Governmental Affairs Bureau 
on issues involving informal consumer complaints and other general 
inquiries by consumers.
    (l) Review and coordinate orders, programs and actions initiated by 
other Bureaus and Offices in matters affecting wireline 
telecommunications to ensure consistency with overall Commission policy.
    (m) Carry out the functions of the Commission under the 
Communications Act of 1934, as amended, except as reserved to the 
Commission under Sec. 0.331.

[67 FR 13218, Mar. 21, 2002, as amended at 68 FR 13850, Mar. 21, 2003]

    Effective Date Note: At 69 FR 55109, Sept. 13, 2004, Sec. 0.91 was 
amended by adding paragraph (n), effective Oct. 13, 2004. For the 
convenience of the user, the added text is set forth as follows:

Sec. 0.91  Functions of the Bureau.

                                * * * * *

    (n) Address audit findings relating to the schools and libraries 
support mechanism, subject to the overall authority of the Managing 
Director as the Commission's audit follow-up official.

             Office of Communications Business Opportunities



Sec. 0.101  Functions of the office.

    (a) The Office of Communications Business Opportunities (OCBO), as a 
staff office to the Commission, develops, coordinates, evaluates, and 
recommends to the Commission, policies, programs, and practices that 
promote participation by small entities, women,

[[Page 18]]

and minorities in the communications industry. A principal function of 
the Office is to lead, advise, and assist the Commission, including all 
of its component Bureau/Office managers, supervisors, and staff, at all 
levels, on ways to ensure that the competitive concerns of small 
entities, women, and minorities, 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 
practices 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 Market Entry Barriers 
for Small Telecommunications Businesses (47 U.S.C. 257); and the 
Telecommunications Development Fund (47 U.S.C. 614).
    (b) The Office has the following duties and responsibilities:
    (1) Through its director, serves as the principal small business 
policy advisor to the Commission;
    (2) Develops, implements, and evaluates programs and policies that 
promote participation by small entities, women and minorities in the 
communications industry;
    (3) Manages the Regulatory Flexibility Analysis process pursuant to 
the Regulatory Flexibility Act and the Small Business Regulatory 
Enforcement Fairness Act to ensure that small business interests are 
fully considered in agency actions;
    (4) Develops and recommends Commission-wide goals and objectives for 
addressing the concerns of small entities, women, and minorities and 
reports of achievement;
    (5) Acts as the principal channel for disseminating information 
regarding the Commission's activities and programs affecting small 
entities, women, and minorities;
    (6) Develops, recommends, coordinates, and administers objectives, 
plans and programs to encourage participation 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 relating to small business.

[69 FR 7376, Feb. 17, 2003]

                           Enforcement Bureau



Sec. 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 Commission's rules, Commission orders and Commission authorizations, 
other than matters that are addressed in the context of a pending 
application for a license or other authorization or in the context of 
administration, including post-grant administration, of a licensing or 
other authorization or registration 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 primary 
responsibility for informally resolving individual informal complaints 
from consumers against common carriers (wireline, wireless and 
international) and against other wireless licensees, and informal 
consumer complaints involving access to telecommunications services and 
equipment for persons with disabilities. The International Bureau has 
primary responsibility for complaints regarding international 
settlements rules and policies.

    (2) Resolve complaints regarding acts or omissions of non-common 
carriers subject to the Commission's jurisdiction under Title II of the 
Communications Act and related provisions, including complaints against 
aggregators under section 226 of the Communications 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 primary 
responsibility for informally resolving individual informal complaints 
from consumers against non-common

[[Page 19]]

carriers subject to the Commission's jurisdiction under Title II of the 
Communications Act and related provisions.

    (3) Resolve formal complaints regarding 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 radiofrequency interference and 
complaints regarding radiofrequency equipment 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 responsibility 
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 
transmitting towers under section 303(q) of the Communications Act.

    Note to paragraph (a)(6):
    The Wireless Telecommunications Bureau has responsibility for 
administration of the tower registration program.

    (7) Resolve complaints regarding compliance with statutory and 
regulatory provisions regarding indecent communications subject to the 
Commission's jurisdiction.
    (8) Resolve complaints regarding the broadcast and cable television 
children's television programming commercial limits contained in section 
102 of the Children's Television Act.

    Note to paragraph (a)(8):
    The Media Bureau has responsibility for enforcement of these limits 
in the broadcast television renewal context.

    (9) Resolve complaints regarding unauthorized 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 Bureau has primary responsibility for complaints regarding 
children's television programming requirements, and for political and 
related programming matters and equal employment opportunity matters 
involving broadcasters, cable operators and other multichannel video 
programming distributors. The relevant licensing Bureau has primary 
responsibility for complaints involving tower siting and the 
Commission's environmental rules. The Media Bureau has primary 
responsibility for complaints regarding compliance 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 
television service under part 76 of the Commission's rules.

    Note to Paragraph (a)(13):
    The Media Bureau has primary responsibility for complaints regarding 
the following: subpart A (general), with the exception of Sec. 76.11 of 
this chapter; subpart B (Registration Statements); subpart C (Federal-
State/Local Relationships [Reserved]; subpart D (carriage of television 
broadcast signals); subpart E (equal employment opportunity 
requirements); subpart F (nonduplication protection and syndicated 
exclusivity); subpart G, Sec. Sec. 76.205, 76.206 and 76.209 of this 
chapter (political broadcasting); subpart I (Forms and Reports); subpart 
J (ownership); subpart L (cable television access); subpart N, Sec. 
76.944 of this chapter (basic cable rate appeals), and Sec. Sec. 
76.970, 76.971 and 76.977 of this chapter (cable leased access rates); 
subpart O (competitive access to cable programming); subpart P 
(competitive availability of navigation devices); subpart Q (regulation 
of carriage agreements); subpart S (Open Video Systems); and subparts T, 
U and V to the extent related to the matters listed in this note.

    (14) Resolve universal service suspension and debarment proceedings 
pursuant to Sec. 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 appropriately handled by 
the Enforcement Bureau.
    (16) Identify and analyze complaint information, conduct 
investigations,

[[Page 20]]

conduct external audits and collect information, including pursuant to 
sections 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 investigations, including, but not limited 
to, admonishments, 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 regarding a 
potential forfeiture, hearing designation orders, orders designating 
licenses or other authorizations for a revocation hearing and consent 
decrees. Issue or draft appropriate orders after a hearing has been 
terminated by an Administrative Law Judge on the basis of waiver. Issue 
or draft appropriate interlocutory orders and take or recommend 
appropriate action in the exercise of its responsibilities.
    (18) Encourage cooperative compliance efforts.
    (19) Mediate and settle disputes.
    (20) Provide information regarding pending complaints, compliance 
with relevant requirements and the complaint process, where appropriate 
and to the extent the information is not available from the Consumer and 
Governmental Affairs Bureau or other Bureaus and Offices.
    (21) Exercise responsibility for rulemaking proceedings regarding 
general enforcement policies and procedures.
    (22) Advise the Commission or responsible Bureau or Office regarding 
the enforcement and homeland security implications of existing and 
proposed rules.
    (23) Serve as the primary point of contact for coordinating 
enforcement matters, including market and consumer enforcement matters, 
with other federal, state and local government agencies, as well as with 
foreign governments after appropriate consultation, and provide 
assistance to such entities. Refer matters to such entities, as well as 
to private sector entities, as appropriate.
    (b) Serve as trial staff in formal hearings conducted pursuant to 5 
U.S.C. 556 regarding applications, revocation, forfeitures and other 
matters designated for hearing.
    (c) Under the general direction of the Defense Commissioner, 
coordinate the homeland security activities of the Commission, including 
national security and emergency preparedness and defense mobilization, 
and provide support to the Defense Commissioner with respect to his or 
her participation in the Joint Telecommunications Resources Board, and 
the National Security Telecommunications Advisory Committee and other 
organizations. Recommend national emergency plans and preparedness 
programs covering Commission functions during national emergency 
conditions. Support the Chief of the Wireline Competition, International 
and Wireless Telecommunications Bureaus on matters involving assignment 
of Telecommunications Service Priority System priorities and in 
administration of that system. The Chief, Enforcement Bureau, or that 
person's designee, acts as FCC Alternate Homeland Security and Defense 
Coordinator and principal to the National Communications System. Perform 
such alternate functions as may be delegated during a national emergency 
or following activation of the President's war emergency powers as 
specified in section 706 of the Communications Act.
    (d) In coordination with the International Bureau, participate in 
international conferences dealing with monitoring and measurement; serve 
as the point of contact for the U.S. Government in matters of 
international monitoring, fixed and mobile direction-finding and 
interference resolution; and oversee coordination of non-routine 
communications and materials between the Commission and international or 
regional public organizations or foreign administrations.
    (e) In conjunction with the Office of Engineering and Technology, 
work with technical standards bodies.
    (f) Administer the Commission's Emergency Alert System. Be 
responsible for rulemakings involving the Emergency Alert System.
    (g) Oversee the Commission's privatized ship radio safety inspection 
program.

[[Page 21]]

    (h) Have authority to rule on emergency requests for Special 
Temporary Authority during non-business hours.
    (i) Provide field support for, and field representation of, the 
Bureau, other Bureaus and Offices and the Commission. Coordinate with 
other Bureaus and Offices as appropriate.
    (j) Handle congressional and other correspondence relating to or 
requesting specific enforcement actions, specific complaints or other 
specific matters within the responsibility of the Bureau, to the extent 
not otherwise handled by the Consumer Information Bureau, the Office of 
General Counsel (impermissible ex parte presentations) or another Bureau 
or Office.
    (k) Have 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 responsibility of the Bureau. Before issuing a 
subpoena, the Enforcement Bureau shall obtain the approval of the Office 
of General Counsel.
    (l) 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]



Sec. 0.121  Location of field installations.

    (a) Field offices are located throughout 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 coordinates (coordinates are referenced to North American 
Datum 1983 (NAD83)):

Allegan, Michigan, 42[deg]36[min]20.1[sec] N. Latitude, 
    85[deg]57[min]20.1[sec] W. Longitude
Belfast, Maine, 44[deg]26[min]42.3[sec] N. Latitude, 
    69[deg]04[min]56.1[sec] W. Longitude
Canandaigua, New York, 42[deg]54[min]48.2[sec] N. Latitude, 
    77[deg]15[min]57.9[sec] W. Longitude
Douglas, Arizona, 31[deg]30[min]02.3[sec] N. Latitude, 
    109[deg]39[min]14.3[sec] W. Longitude
Ferndale, Washington, 48[deg]57[min]20.4[sec] N. Latitude, 
    122[deg]33[min]17.6[sec] W. Longitude
Grand Island, Nebraska, 40[deg]55[min]21.0[sec] N. Latitude, 
    98[deg]25[min]43.2[sec] W. Longitude
Kenai, Alaska, 60[deg]43[min]26.0[sec] N. Latitude, 
    151[deg]20[min]15.0[sec] W. Longitude
Kingsville, Texas, 27[deg]26[min]30.1[sec] N. Latitude, 
    97[deg]53[min]01.0[sec] W. Longitude
Laurel, Maryland, 39[deg]09[min]54.4[sec] N. Latitude, 
    76[deg]49[min]15.9[sec] W. Longitude
Livermore, California, 37[deg]43[min]29.7[sec] N. Latitude, 
    121[deg]45[min]15.8[sec] W. Longitude
Powder Springs, Georgia, 33[deg]51[min]44.4[sec] N. Latitude, 
    84[deg]43[min]25.8[sec] W. Longitude
Santa Isabel, Puerto Rico, 18[deg]00[min]18.9[sec] N. Latitude, 
    66[deg]22[min]30.6[sec] W. Longitude
Vero Beach, Florida, 27[deg]36[min]22.1[sec] N. Latitude, 
    80[deg]38[min]05.2[sec] W. Longitude
Waipahu, Hawaii, 21[deg]22[min]33.6[sec] N. Latitude, 
    157[deg]59[min]44.1[sec] 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



Sec. 0.131  Functions of the Bureau.

    The Wireless Telecommunications Bureau develops, recommends and 
administers the programs and policies for the regulation of the terms 
and conditions under which communications entities offer domestic 
wireless telecommunications services and of ancillary operations related 
to the provision of such services (satellite communications excluded). 
These functions include all wireless telecommunications service 
providers' and licensees' activities. The Bureau also performs the 
following specific functions:
    (a) Advises and makes recommendations to the Commission, or acts for 
the Commission under delegated authority, in all matters pertaining to 
the licensing and regulation of wireless telecommunications, including 
ancillary operations related to the provision or use of such services; 
and any matters concerning wireless carriers that also affect wireline 
carriers in cooperation with the Wireline Competition Bureau. These 
activities include: policy development and coordination; conducting 
rulemaking and adjudicatory proceedings, including licensing and 
complaint proceedings for matters not within the responsibility of the 
Enforcement Bureau; acting on waivers of rules; acting on applications 
for service

[[Page 22]]

and facility authorizations; compliance and enforcement activities for 
matters not within the responsibility of the Enforcement Bureau; 
determining resource impacts of existing, planned or recommended 
Commission activities concerning wireless telecommunications, and 
developing and recommending resource deployment priorities.
    (b) Develops and recommends policy goals, objectives, programs and 
plans for the Commission on matters concerning wireless 
telecommunications, drawing upon relevant economic, technological, 
legislative, regulatory and judicial information and developments. Such 
matters include meeting the present and future wireless 
telecommunications needs of the Nation; fostering economic growth by 
promoting efficiency and innovation in the allocation, licensing and use 
of the electromagnetic spectrum; ensuring choice, opportunity and 
fairness in the development of wireless telecommunications services and 
markets; promoting economically efficient investment 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 availability of wireless telecommunications 
services. Reviews and coordinates orders, programs and actions initiated 
by other Bureaus and Offices in matters affecting wireless 
telecommunications to ensure consistency of overall Commission policy.
    (c) Serves as the Commission's principal policy and administrative 
staff resource with regard to spectrum auctions. Administers all 
Commission spectrum auctions. Develops, recommends and administers 
policies, programs and rules concerning auctions of spectrum for 
wireless telecommunications. Advises the Commission on policy, 
engineering and technical matters relating to auctions of spectrum used 
for other purposes. Administers procurement of auction-related services 
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, wireless 
telecommunications services. Develops and recommends consistent, 
integrated policies, programs and rules for the regulation of commercial 
mobile 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 
authorization applications involving domestic terrestrial transmission 
facilities. Coordinates with and assists the International Bureau 
regarding frequency assignment, coordination and interference matters.
    (f) Develops and recommends responses to legislative, regulatory or 
judicial inquiries and proposals concerning or affecting wireless 
telecommunications.
    (g) Develops and recommends policies regarding matters affecting the 
collaboration and coordination of relations among Federal agencies, and 
between the Federal government and the states, concerning wireless 
telecommunications issues. Maintains liaison with Federal and state 
government bodies concerning such issues.
    (h) Develops and recommends policies, programs and rules to ensure 
interference-free operation of wireless telecommunications equipment and 
networks. Coordinates with and assists other Bureaus and Offices, as 
appropriate, concerning spectrum management, planning, and interference 
matters and issues, and in compliance and enforcement activities. 
Studies technical requirements for equipment for wireless 
telecommunications services in accordance with standards established by 
the Chief, Office of Engineering and Technology.
    (i) Advises and assists consumers, businesses and other government 
agencies on wireless telecommunications issues and matters related 
thereto. Also assists the Consumer and Governmental Affairs Bureau with 
informal consumer complaints and other general inquiries by consumers.
    (j) Administers the Commission's commercial radio operator program

[[Page 23]]

(part 13 of this chapter) and the Commission'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 conferences concerning 
wireless telecommunications.
    (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).
    (o) Exercises 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 wireless telecommunications operators for any alleged violation or 
violations of the Communications Act of 1934, as amended, or the 
Commission's rules and orders. 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 Commission, volunteer entities to 
coordinate maintain and disseminate a common data base of amateur 
station special event call signs, and issues Public Notices detailing 
the procedures of amateur service call sign systems.

[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]

                Consumer and Governmental Affairs Bureau



Sec. 0.141  Functions of the Bureau.

    The Consumer and Governmental Affairs Bureau develops and 
administers the Commission's consumer and governmental affairs policies 
and initiatives to enhance the public's understanding of the 
Commission's work and to facilitate the Agency's relationships with 
other governmental agencies and organizations. The Bureau is responsible 
for rulemaking proceedings regarding general consumer education policies 
and procedures and serves as the primary Commission entity responsible 
for communicating with the general public regarding Commission policies, 
programs, and activities in order to facilitate public participation in 
the Commission's decision-making processes. The Bureau also performs the 
following functions:
    (a) Advises and makes recommendations to the Commission, or acts for 
the Commission under delegated authority, in matters pertaining to 
consumers and governmental affairs. This includes policy development and 
coordination 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 consumer 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 Bureaus and Offices, in matters regarding 
consumer education policies and procedures, and any other related issues 
affecting consumer policy; represents the Commission on consumer and 
governmental-related committees, working groups, task forces and 
conferences within and outside the Commission; and provides expert 
advice and assistance to Bureaus and Offices and consumers regarding 
compliance with applicable disability and accessibility requirements, 
rules, and regulations.
    (d) Collects and analyzes information from industry, other Bureaus 
and Offices, and the media, as well as information received in the 
Bureau from informal consumer inquiries and complaints, rulemakings, and 
consumer forums; identifies trends that affect consumers; in 
consultation with the Office of the Managing Director, provides 
objectives and evaluation methods for the

[[Page 24]]

public information portion of the Commission's Government Performance 
and Results Act submissions and other Commission-wide strategic planning 
efforts.
    (e) Researches, develops, and distributes materials to inform 
consumers about the Commission's rules, proposals, and events, and to 
promote consumer participation in Commission rulemakings and activities; 
maintains the Commission's Consumer Information Directory; develops a 
library of commonly requested materials on issues of interest to all 
consumers. Ensures that alternative translations of Commission materials 
are available to Commission employees, Bureaus, Offices, and members of 
the public.
    (f) Advises and makes recommendations to the Commission, or acts for 
the Commission under delegated authority, in matters pertaining to 
persons 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; reviews relevant agenda items and other documents and 
coordinates with Bureaus and Offices to develop recommendations and 
propose policies to ensure that communications are accessible to persons 
with disabilities, in conformance with existing disability laws and 
policies, and that they support the Commission's goal of increasing 
accessibility of communications services and technologies for persons 
with disabilities.
    (g) Plans, develops, and conducts consumer outreach and education 
initiatives to educate the public about important Commission regulatory 
programs. In coordination with other Bureaus and Offices, establishes 
liaison(s) for information sharing purposes to ensure coordination on 
all consumer outreach projects. Ensures that alternative translations of 
Commission materials are available to Commission employees, Bureaus, 
Offices and members of the public.
    (h) Serves as the official FCC records custodian for designated 
records, including intake processing, organization and file maintenance, 
reference services, and retirement and retrieval of records; manages the 
Electronic Comment Filing System and certifies records for adjudicatory 
and court proceedings. Maintains manual and computerized files that 
provide for the public inspection of public record materials concerning 
Broadcast Ownership, AM/FM/TV, TV Translators, FM Translators, Cable TV, 
Wireless, Auction, Common Carrier Tariff matters, International space 
station files, earth station files, DBS files, and other miscellaneous 
international files. Also maintains for public inspection Time Brokerage 
and Affiliation Agreements, court citation files, and legislative 
histories concerning telecommunications dockets. Provides the public and 
Commission staff prompt access to manual and computerized records and 
filing systems.
    (i) Provides informal mediation and resolution of individual 
informal consumer inquiries and complaints consistent with Commission 
regulations. Resolves certain classes of informal complaints, as 
specified by the Commission, through findings of fact and issuance of 
orders. Receives, reviews, and analyzes responses to informal 
complaints; maintains manual and computerized files that permit the 
public inspection of informal consumer complaints; mediates and attempts 
to settle unresolved disputes in informal complaints as appropriate; and 
coordinates 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 Bureaus and Offices for 
dissemination of consumer information via the Internet.
    (k) In coordination with other Bureaus and Offices, handles 
Congressional and other correspondence related to specific informal 
consumer complaints, or other specific matters within the responsibility 
of the Bureau, to the extent not otherwise handled by the Office of 
General Counsel or other Bureaus or Offices. Responds to and/or 
coordinates due diligence and

[[Page 25]]

other requests for information pertaining to informal inquiries and 
complaints under the responsibility of the Bureau with other Bureaus and 
Offices.

[67 FR 13219, Mar. 21, 2002]

                   Office of Administrative Law Judges



Sec. 0.151  Functions of the Office.

    The Office of Administrative Law Judges consists of a Chief 
Administrative Law Judge, an Assistant Chief Administrative Law Judge, 
and as many other Administrative Law Judges qualified and appointed 
pursuant to the requirements of section 11 of the Administrative 
Procedure Act as the Commission may find necessary. It is responsible 
for hearing and conducting 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 
Administrative 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



Sec. 0.181  The Defense Commissioner.

    The Defense Commissioner is designated by the Commission. The 
Defense Commissioner directs the homeland security, national security 
and emergency preparedness, and defense activities of the Commission and 
has the following duties and responsibilities:
    (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 Commission.
    (b) To represent the Commission in homeland security, national 
security and emergency preparedness, and defense matters requiring 
conferences or communications with other governmental officers, 
departments, or agencies.
    (c) To act as the Homeland Security and Defense Coordinator in 
representations 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 matters pertaining to the Department of Homeland Security.
    (f) To take such measures as will assure continuity of the 
Commission's functions under any foreseeable circumstances with a 
minimum of interruption. In the event of an emergency, the Defense 
Commissioner, in consultation with the Managing Director, will decide 
whether to activate the Commission's Continuity of Operations Plan.
    (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 offices in Washington, D.C., to assume all of the duties and 
responsibilities of the Commission and the Chairman, until relieved or 
augmented by other Commissioners or members of the staff, as set forth 
in Sec. Sec. 0.186 and 0.383.
    (h) To approve national emergency plans and develop preparedness 
programs covering: provision of service by common carriers; broadcasting 
and cable facilities, satellite and the wireless radio services; radio 
frequency assignment; electromagnetic radiation; investigation and 
enforcement.
    (i) To perform such other duties and assume such other 
responsibilities related to the Commission's defense activities as may 
be necessary for the continuity of functions and the protection of 
Commission personnel and property.

[29 FR 14664, Oct. 28, 1964, as amended at 41 FR 31209, July 27, 1976; 
64 FR 60720, Nov. 8, 1999; 69 FR 30233, May 27, 2004]



Sec. 0.182  Chief, Enforcement Bureau.

    (a) Recommends national emergency plans and preparedness programs 
covering: Provision of service by common

[[Page 26]]

carriers, broadcasting and cable facilities, satellite and the wireless 
radio services; radio frequency assignment; electro-magnetic radiation; 
investigation and enforcement.
    (b) In coordination with the Office of Managing Director, which has 
responsibility for developing the Commission's Continuity of Operations 
Plan (COOP), acts as Alternate Homeland Security and Defense Coordinator 
in representations with other agencies with respect to planning for the 
continuity of the essential functions of the Commission under emergency 
conditions.
    (c) Keeps the Defense Commissioner informed as to significant 
developments in the field of homeland security.
    (d) Serves as the FCC's representative on the National 
Communications System's Committees.
    (e) Under the general direction of the Defense Commissioner 
coordinates the homeland security, national security and emergency 
preparedness, and defense activities of the Commission, including, 
Continuity of Government Planning, the Emergency Alert System (EAS) and 
other functions as may be delegated during a national emergency or 
activation of the President's war emergency powers as specified in 
section 706 of the Communications Act. Maintains liaison with FCC 
Bureaus/Offices; represents the Defense Commissioner with other 
Government agencies and organizations, the telecommunications industry 
and FCC licensees on homeland security matters; and, as requested, 
represents the Commission at meetings and conferences.
    (f) Is authorized to declare that a temporary state of 
communications emergency exists pursuant to Sec. 97.401(b) of this 
chapter and to act on behalf of the Commission with respect to the 
operation of amateur stations during such temporary state of 
communications emergency.
    (g) Serves as the FCC's representative on the National 
Communications System's Committees.
    (h) Under the general direction of the Defense Commissioner 
coordinates the National Security and Emergency Preparedness (NSEP) 
activities of the Commission including Continuity of Government 
Planning, the Emergency Alert System (EAS) and other functions as may be 
delegated during a national emergency or activation of the President's 
war emergency powers as specified in section 706 of the Communications 
Act. Maintains liaison with FCC Bureaus/Offices, represents the Defense 
Commissioner with other Government agencies and organizations, the 
telecommunications industry and FCC licensees on NSEP matters; and, as 
requested, represents the Commission at NSEP meetings and conferences.
    (i) Is authorized to declare that a temporary state of 
communications emergency exists pursuant to Sec. 97.401(c) of this 
chapter and to act on behalf of the Commission with respect to the 
operation of amateur stations during such temporary state of 
communications emergency.

[64 FR 60720, Nov. 8, 1999, as amended at 67 FR 13220, Mar. 21, 2002; 69 
FR 30233, May 27, 2004]



Sec. 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, Enforcement Bureau in the performance of that 
person's duties with respect to homeland security, national security and 
emergency preparedness, and defense activities will have the following 
duties and responsibilities:
    (a) To keep the Chief, Enforcement Bureau informed of the 
investigation, progress, and completion of programs, plans, or 
activities with respect to homeland security, national security and 
emergency preparedness, and defense in which they are engaged or have 
been requested to engage.
    (b) To render assistance and advice to the Chief, Enforcement Bureau 
on matters which relate to the functions of their respective bureaus or 
staff offices.
    (c) To render such assistance and advice to other agencies as may be 
consistent with the functions of their respective bureaus or staff 
offices and the Commission's policy with respect thereto.
    (d) To perform such other duties related to the Commission's 
homeland

[[Page 27]]

security, national security and emergency preparedness, and defense 
activities as may be assigned to them by the Commission.
    (e) To serve as Homeland Security Liaison to the Enforcement Bureau 
or designate the Deputy Chief of the Bureau or Office as Homeland 
Security Liaison to the Enforcement Bureau.

[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]



Sec. 0.186  Emergency Relocation Board.

    (a) As specified in the Commission's Continuity of Operations Plan 
and consistent with the exercise of the War Emergency Powers of the 
President as set forth in section 706 of the Communications Act of 1934, 
as amended, if the full Commission or a quorum thereof is unable to act, 
an Emergency Relocation 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. Relocation may be 
required to accommodate a variety of emergency scenarios. Examples 
include scenarios in which FCC headquarters is unavailable or 
uninhabitable; or many, if not all, agencies must evacuate the immediate 
Washington, DC, area. The FCC's Continuity of Operations Plan (COOP) 
includes the deliberate and pre-planned movement of selected key 
principals and supporting staff to a relocation facility. As an example, 
a sudden emergency, such as a fire or hazardous materials incident, may 
require the evacuation of FCC headquarters with little or no advance 
notice, but for only a short duration. Alternatively, an emergency so 
severe that FCC headquarters is rendered unusable and likely will be for 
a period long enough to significantly impact normal operations, may 
require COOP implementation. Nothing in this subsection shall be 
construed to diminish the authority of the Commission 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 
(including Commissioners available through electronic communications or 
telephone) and able to act. In the absence of the Chairman, the 
Commissioner present with the longest seniority in office will serve as 
acting Chairman. If no Commissioner is present and able to act, the 
person designated as next most senior official in the Commission's 
Continuity of Operations Plan will head the Board.

[69 FR 30234, May 27, 2004]



                   Subpart B_Delegations of Authority

    Authority: Sec. 5, 48 Stat. 1068, as amended; 47 U.S.C. 155.

                                 General



Sec. 0.201  General provisions.

    (a) There are three basic categories of delegations made by the 
Commission pursuant to section 5(c) of the Communications 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 members of the Commission's staff. This category also includes 
delegations to individual commissioners and to boards or committees of 
commissioners.
    (2) Delegations to rule on interlocutory matters in hearing 
proceedings. Delegations 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 the presiding officer by virtue 
of the authority vested in him to control the course and conduct of the 
hearing. This authority stems from section 7 of the Administrative 
Procedure Act and section 409 of the Communications Act rather than from 
delegations of authority made pursuant to section 5(c) of the 
Communications Act. (See Sec. Sec. 0.218 and 0.341.).

    (3) Delegations to review an initial decision. 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 authority has been delegated, rather 
than

[[Page 28]]

by the categories listed in paragraph (a) of this section.
    (c) Procedures pertaining to the filing and disposition of 
interlocutory pleadings in hearing proceedings are set forth in 
Sec. Sec. 1.291 through 1.298 of this chapter. Procedures pertaining to 
appeals from rulings of the presiding officer are set forth in Sec. 
1.301. Procedures pertaining to reconsideration of the presiding 
officer's rulings are set forth in Sec. 1.303. Procedures pertaining to 
reconsideration and review of actions taken pursuant to delegated 
authority are set forth in Sec. Sec. 1.101, 1.102, 1.104, 1.106, 1.113, 
1.115, and 1.117. Procedures pertaining to exceptions to initial 
decisions are set forth in Sec. Sec. 1.276-1.279.
    (d) The Commission, by vote of a majority of the members then 
holding office, 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 recurring nature are delegated by 
rule. The rule is published in the Federal Register and is included in 
this subpart.
    (2) Functions pertaining to a particular matter or proceeding are 
delegated by order. The order is published in the Federal Register and 
associated 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]



Sec. 0.203  Authority of person, panel, or board to which functions are 
delegated.

    (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 Sec. 1.102 of this chapter, any action 
taken pursuant 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 Commission.

[28 FR 12402, Nov. 22, 1963]



Sec. 0.204  The exercise of delegated authority.

    (a) Authority to issue orders and to enter into correspondence. Any 
official (or group of officials) to whom authority is delegated in this 
subpart is authorized to issue orders (including rulings, decisions, or 
other action documents) pursuant to such authority and to enter into 
general correspondence concerning any matter for which he is responsible 
under this subpart or subpart A of this part.
    (b) Authority of subordinate officials. Authority delegated to any 
official to issue orders or to enter into correspondence under paragraph 
(a) of this section may be exercised by that official or by appropriate 
subordinate officials acting for him.
    (c) Signature. (1) Other orders made by a committee, board or panel 
identify the body and are signed by the Secretary.
    (2) Upon signing an order, the Secretary affixes the Commission's 
seal.
    (3) General correspondence by a committee or board is signed by the 
committee 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 appropriate 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) and may, if appropriate, 
be issued orally. Orders issued orally shall, if practicable, be 
confirmed promptly in writing.
    (e) Minutes entries. Except as otherwise provided in this subpart, 
actions taken as provided in paragraph (d) of this section shall be 
recorded in writing 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



Sec. 0.211  Chairman.

    The responsibility for the general administration of internal 
affairs of the

[[Page 29]]

Commission is delegated to the Chairman of the Commission. The Chairman 
will keep the Commission advised concerning his actions taken under this 
delegation of authority. This authority includes:
    (a) Actions of routine character as to which the Chairman may take 
final action.
    (b) Actions of non-routine character which do not involve policy 
determinations. The Chairman may take final action on these matters but 
shall specifically advise the Commission on these actions.
    (c) Actions of an important character or those which involve policy 
determinations. In these matters the Chairman will develop proposals for 
presentation 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 directed 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 administrative determinations required by Federal Procurement 
Regulations and Federal Management Circulars.
    (f) Authority to act as ``Head of the Agency'' or ``Agency Head'' 
for all administrative 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]



Sec. 0.212  Board of Commissioners.

    (a) Whenever the Chairman or Acting Chairman of the Commission 
determines that a quorum of the Commission is not present or able to 
act, he may convene a Board of Commissioners. 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 
normally acted upon by the Commission en banc, except the following:
    (1) The final determination on the merits of any adjudicatory or 
investigatory hearing proceeding or of any rule making proceeding, 
except upon a finding by the Board that the public interest would be 
disserved by waiting the convening of a quorum of the Commission.
    (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 
normally acted upon by an individual Commissioner (when he or his 
alternates are not present or able to act) or by a committee of 
Commissioners (in the absence of a quorum of the committee).
    (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 
Commission is unable to function at its offices in Washington, D.C. See 
Sec. Sec. 0.181-0.186 and Sec. Sec. 0.381-0.387.

[30 FR 9314, July 27, 1965]



Sec. 0.218  Authority of, and delegated to, an individual Commissioner or 
Commissioners.

    (a) One or more members of the Commission may be designated to 
preside in a hearing proceeding. The Commissioner 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 proceeding is in hearing status.
    (b) One or more members of the Commission may be designated to 
review an initial decision issued in any hearing case.
    (c) Except for actions taken during the course of a hearing and upon 
the record thereof, actions taken by a Commissioner or Commissioners 
pursuant 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



Sec. 0.231  Authority delegated.

    (a) The Managing Director, or his designee, upon securing 
concurrence of the General Counsel, is delegated authority to act upon 
requests for waiver,

[[Page 30]]

reduction or deferment of fees, establish 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 revisions of the Commission's rules 
and regulations upon approval of the bureau or staff office primarily 
responsible for the particular part or section involved.
    (c) [Reserved]
    (d) The Managing Director, or his designee, upon securing the 
concurrence of the General Counsel, is delegated authority, within the 
purview of the Federal Tort Claims Act, as amended, 28 U.S.C. 2672, to 
grant tort claims directed against the Commission where the amount of 
the claim does not exceed $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 
arising 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 exceed $6,500.
    (e) The Managing Director is delegated authority to act as Head of 
the Procurement Activity and Contracting Officer for the Commission and 
to designate appropriate subordinate officials to act as Contracting 
Officers for the Commission. As Head of the Procurement Activity, the 
Managing Director will refer all appeals filed against final decisions 
regarding procurement contracts to the Armed Services Board of Contract 
Appeals for resolution. Appeals will be handled in accordance with the 
Rules of the Board of Contract Appeals.
    (f) (1) The Managing Director, or his designee, is delegated 
authority to perform all administrative determinations provided for by 
the Debt Collection Improvement 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 
property arising out of the activities of, or referred to, the Federal 
Communications Commission,
    (ii) Compromise a claim of the Government of not more than $100,000 
(excluding 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 prospective ability to pay 
a significant amount of the claim or the cost of collecting 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 administrative 
determinations provided for by 31 U.S.C. 3720B.
    (g) The Managing Director, after consultation with the Chairman 
shall establish, renew, and terminate all Federal advisory committees. 
He shall also exercise all management responsibilities under the Federal 
Advisory Committee 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 in 
Gettysburg, Pennsylvania or other established locations. The Secretary 
is delegated authority to rule on requests for extensions of time based 
on operational problems associated with the Commission's electronic 
comment filing system. See Sec. 1.46 of this chapter.

(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 citations affecting Sec. 
0.231, see the List of CFR Sections Affected, which appears in the

[[Page 31]]

Finding Aids section of the printed volume and on GPO Access.

                             Chief Engineer



Sec. 0.241  Authority delegated.

    (a) The performance of functions and activities described in Sec. 
0.31 of this part is delegated to the Chief Engineer: Provided, That the 
following matters shall be referred to the Commission en banc for 
disposition:
    (1) Notices of proposed rulemaking and of inquiry and final orders 
in rulemaking proceedings, inquiry proceedings and non-editorial orders 
making changes. See Sec. 0.231(d).
    (2) Petitions for review of actions taken to delegated authority. 
See Sec. 1.115 of this chapter.
    (3) Petitions and other requests for waivers of the Commission's 
rules, whether or not accompanied by an applications, when such 
petitions or requests contain new or novel arguments not previously 
considered by the Commission or present facts or arguments which appear 
to justify a change in Commission policy.
    (4) Petitions and other requests for declaratory rulings, when such 
petitions 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 request presenting new or novel 
questions of fact, law, or policy which cannot be resolved under 
outstanding precedents and guidelines.
    (6) Any other complaint or enforcement 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 opportunity for hearing pursuant 
to Sec. 1.80(g) of this chapter; and authority to issue notices of 
apparent liability, final forfeiture orders, and orders cancelling or 
reducing forfeitures imposed under Sec. 1.80(f) of this chapter, if the 
amount set out in the notice of apparent liability is more than $20,000.
    (8) Proposed actions following any case remanded by the courts.
    (b) The Chief Engineer is delegated authority to administer the 
Equipment Authorization program as described in part 2 of the 
Commission's Rules.
    (c) The Chief Engineer is delegated authority to administer the 
Experimental Radio Service program pursuant to part 5 of the 
Commission's Rules.
    (d) The Chief engineer is delegated authority to examine all 
applications for certification (approval) of subscription television 
technical systems as acceptable 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 
submitted in accordance with the provisions of this chapter indicates 
that the system does or does not appear to be acceptable for 
authorization as a subscription television system. This delegation shall 
be exercised in consultation with the Chief, Media Bureau.
    (e) The Chief Engineer is authorized 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.
    (f) The Chief of the Office of Engineering and Technology is 
authorized to enter into agreements with the National Institute of 
Standards and Technology and other accreditation bodies to perform 
accreditation of test laboratories pursuant to Sec. 2.948(d) of this 
chapter. In addition, the Chief is authorized to make determinations 
regarding the continued acceptability of individual accrediting 
organizations and accredited laboratories.
    (g) The Chief of the Office of Engineering and Technology is 
delegated authority to enter into agreements with the National Institute 
of Standards and Technology to perform accreditation of 
Telecommunication Certification Bodies (TCBs) pursuant to Sec. Sec. 
2.960 and 2.962 of this chapter. In addition, the Chief is delegated 
authority to develop specific methods that will be used to accredit 
TCBs, to designate TCBs, to make determinations regarding the continued 
acceptability of individual TCBs, and to develop procedures

[[Page 32]]

that TCBs will use for performing post-market surveillance.

[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]



Sec. 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 Sec. Sec. 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



Sec. 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 delegated 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 petition for reconsideration of 
a Commission 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 petition for reconsideration of a 
Commission 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 proceedings which are pending before the Commission en banc to 
act on all requests for relief, and to issue all appropriate orders, 
except those which involve final disposition on the merits of a 
previously specified issue concerning 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 decision for Commission 
consideration within four months of the filing of the last responsive 
pleading. If the Commission 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 
resolve the case.
    (e) The official record of all actions taken by the General Counsel 
pursuant to Sec. 0.251 (c) and (d) is contained in the original docket 
folder, which is maintained by the Secretary in the Dockets Branch.
    (f) The General Counsel is delegated authority to issue written 
determinations on matters regarding the interception of telephone 
conversations. Nothing in this paragraph, however, shall affect the 
authority of the Inspector General to intercept or record telephone 
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 occurred.
    (h) The General Counsel is delegated authority to make 
determinations regarding and waive the applicability of section 4(b) of 
the Communications Act (47 U.S.C. Sec. 154(b)) and the Federal conflict 
of interest statutes (18 U.S.C. Sec. Sec. 203, 205 and 208).
    (i) The General Counsel is delegated authority to perform all 
administrative 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 
property arising out of the activities of, or referred to, the Federal 
Communications Commission,
    (2) Compromise a claim of the Government of not more than $100,000 
(excluding interest) or such higher amount as the Attorney General of 
the

[[Page 33]]

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 prospective ability to pay 
a significant amount of the claim or the cost of collecting 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 citations affecting Sec. 
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.



Sec. 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 perform the functions and activities described in Sec. 
0.51, including without limitation the following:
    (1) To recommend rulemakings, studies, and analyses (legal, 
engineering, social, and economic) of various petitions for policy or 
rule changes submitted by industry or the public, and to assist the 
Commission in conducting the same;
    (2) To assume the principal representational role on behalf of the 
Commission in international conferences, meetings, and negotiations, and 
direct Commission preparation for such conferences, meetings, and 
negotiations with other bureaus and offices, as appropriate;
    (3) To act upon applications for international telecommunications 
and services pursuant to part 23 of this chapter and relevant portions 
of part 63 of this chapter, and coordinate with the Wireline Competition 
Bureau as appropriate;
    (4) To act upon applications for international and domestic 
satellite systems and earth stations pursuant to part 25 and part 100 of 
this chapter;
    (5) To act upon applications for cable landing licenses pursuant to 
Sec. 1.767 of this chapter;
    (6) To act upon requests for designation of Recognized Private 
Operating Agency (RPOA) status under part 63 of this chapter;
    (7) To act upon applications relating to international broadcast 
station operations, 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 settlements 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, individually and in blocks, to U.S. Government agencies and 
FCC operating bureaus;
    (10) To act upon applications for closure 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 participation in the International 
Telecommunication Union (ITU) Fellowship telecommunication training 
program for foreign officials offered through the U.S. 
Telecommunications Training Institute;
    (12) In consultation with the affected Bureaus and Offices, to 
recommend revision of Commission rules and procedures 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 assignments for inclusion in the Master International 
Frequency Register;
    (14) To conduct studies and compile such data relating to 
international telecommunications as may be necessary for the Commission 
to develop and maintain an adequate regulatory program; and
    (15) To interpret and enforce rules and regulations pertaining to 
matters

[[Page 34]]

under its jurisdiction and not within the jurisdiction of the 
Enforcement Bureau.
    (b) Notwithstanding the authority delegated in paragraph (a) of this 
section, the Chief, International Bureau, shall not have authority:
    (1) To act on any application, petition, pleading, complaint, 
enforcement matter, or other request that:
    (i) Presents new or novel arguments not previously considered by the 
Commission;
    (ii) Presents facts or arguments which appear to justify a change in 
Commission policy; or
    (iii) Cannot be resolved under outstanding precedents and guidelines 
after consultation with appropriate Bureaus or Offices.
    (2) To issue notices of proposed rulemaking, 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 delegated authority, which 
application complies with Sec. 1.115 of this chapter;
    (4) To act upon any formal or informal radio application or section 
214 application for common carrier services which is in hearing status;
    (5) To designate for hearing any applications 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 guidelines; or
    (6) To impose, reduce, or cancel forfeitures 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 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]



Sec. 0.262  Record of actions taken.

    The application and authorization files in the appropriate central 
files of the International Bureau are designated as the Commission's 
official records of actions by the Chief, International Bureau, pursuant 
to authority delegated to him.

            Office of Strategic Planning and Policy Analysis



Sec. 0.271  Authority delegated.

    (a) Insofar as authority is not delegated to any other Bureau or 
Office, and with respect only to matters which are not in hearing 
status, the Chief, Office of Strategic Planning and Policy Analysis is 
delegated authority to deny requests or to extend the time within which 
comments may be filed in dockets over which the Office of Strategic 
Planning and Policy Analysis has primary authority.
    (b) [Reserved]

[45 FR 10347, Feb. 15, 1980, as amended at 68 FR 11747, Mar. 12, 2003]

                           Chief, Media Bureau



Sec. 0.283  Authority delegated.

    The Chief, Media Bureau, is delegated authority to perform all 
functions of the Bureau, described in Sec. 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 rulemaking proceedings 
involving the allotment of FM and television channels.
    (b) Application for review of actions taken pursuant to delegated 
authority.
    (c) Matters that present novel questions of law, fact or policy that 
cannot be resolved under existing precedents and guidelines.
    (d) The imposition, reduction or cancellation of forfeitures 
pursuant to section 503(b) of the Communications Act of 1934, as 
amended, in amounts of more than $20,000.

[67 FR 13220, Mar. 21, 2002]



Sec. 0.284  Actions taken under delegated authority.

    (a) In discharging the authority conferred by Sec. 0.283 of this 
part, the Chief, Media Bureau, shall establish working relationships 
with other bureaus and

[[Page 35]]

staff offices to assure the effective coordination of actions taken in 
the following 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) Matters involving emergency communications, including the 
issuance of Emergency Alert System Authorizations (FCC Form 392)--
Enforcement Bureau.
    (4) Requests for use of frequencies or bands of frequencies shared 
with private sector nonbroadcast or government services--Office of 
Engineering and Technology and appropriate operating bureau.
    (5) Requests involving coordination with other agencies of 
government--Office of General Counsel, Office of Engineering and 
Technology and appropriate operating bureau.
    (6) Proposals involving possible harmful impact on radio astronomy 
or radio research installations--Office of Engineering and Technology.
    (7) [Reserved]
    (b) With respect to non-routine applications granted under authority 
delegated in Sec. 0.283 of this part, the Chief, Media Bureau or his 
designees, shall enter on the working papers associated with each 
application a narrative justification of the action taken. While not 
available for public inspection, these working papers shall, upon 
request, be made available to the Commissioners 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]



Sec. 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 Bureau. The official records of action are maintained in the 
Reference Information Center in the Consumer and Governmental Affairs 
Bureau.

[67 FR 13220, Mar. 21, 2002]

                   Chief, Wireline Competition Bureau



Sec. 0.291  Authority delegated.

    The Chief, Wireline Competition Bureau, is hereby delegated 
authority to perform all functions of the Bureau, described in Sec. 
0.91, subject to the following exceptions and limitations.
    (a) Authority concerning applications. (1) The Chief, Wireline 
Competition Bureau 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 
Competition Bureau shall not have authority to promulgate regulations or 
orders prescribing permanent depreciation rates for common carriers, or 
to prescribe 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 Bureau shall not have authority to impose, reduce or cancel 
forfeitures pursuant 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 Competition 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 proposed 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 
coordination with the Chief, International Bureau, to issue and revise a 
manual on the details of the reporting

[[Page 36]]

requirements for international carriers set forth in Sec. 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 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 Wireline Competition Bureau. 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 Institute of Standards and 
Technology to perform accreditation of Telecommunication Certification 
Bodies (TCBs) pursuant to Sec. Sec. 68.160 and 68.162 of this chapter. 
In addition, the Chief is delegated authority to develop specific 
methods that will be used to accredit TCBs, to designate TCBs, to make 
determinations regarding the continued acceptability of individual TCBs 
and to develop 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.

(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]

    Editorial Note: For Federal Register citations affecting Sec. 
0.291, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.

    Effective Date Note: At 69 FR 55109, Sept. 13, 2004, Sec. 0.291 was 
amended by adding paragraph (i), effective Oct. 13, 2004. For the 
convenience of the user, the added text is set forth as follows:

Sec. 0.291  Authority delegated.

                                * * * * *

    (i) Authority concerning schools and libraries support mechanism 
audits. The Chief, Wireline Competition Bureau, shall have authority to 
address audit findings relating to the schools and libraries support 
mechanism. This authority is not subject to the limitation set forth in 
paragraph (a)(2) of this section.



Sec. 0.301  [Reserved]



Sec. 0.302  Record of actions taken.

    The application and authorization files are designated as the 
Commission'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 Information 
Center in the Consumer and Governmental Affairs Bureau.

[67 FR 13221, Mar. 21, 2002]



Sec. 0.303  [Reserved]



Sec. 0.304  Authority for determinations of exempt telecommunications 
company status.

    Authority is delegated to the Chief, Wireline Competition Bureau to 
act upon any application for a determination of exempt 
telecommunications company status filed pursuant to section 34(a)(1) of 
the Public Utility Holding Company Act of 1935, as amended by section 
103 of the Telecommunications Act of 1996.

[64 FR 5950, Feb. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]

                           Enforcement Bureau



Sec. 0.311  Authority delegated.

    The Chief, Enforcement Bureau, is delegated authority to perform all 
functions of the Bureau, described in Sec. 0.111, provided that:
    (a) The following matters shall be referred to the Commission en 
banc for disposition:

[[Page 37]]

    (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 questions 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 investigation under section 208(b) of the 
Communications 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 information to a state 
public utility commission or in response to a Freedom of Information Act 
Request.
    (b) Action on complaints regarding compliance with section 705(a) of 
the Communications Act shall be coordinated with the Office of General 
Counsel.
    (c) Action on emergency requests for Special Temporary Authority 
during non-business hours shall be promptly reported to the responsible 
Bureau or Office.
    Note to Paragraph (c):
    See also Sec. 0.182 of this chapter.

[64 FR 60721, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]



Sec. 0.314  Additional authority delegated.

    The Regional Director, Deputy Regional Director, District Director 
or Resident Agent at each installation is delegated authority to act 
upon applications, requests, or other matters, which are not in hearing 
status, and direct the following activities necessary to conduct 
investigations or inspections:
    (a) On informal requests from broadcast stations to extend temporary 
authority for operation without monitors, 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 requests, extensions or waivers of 
inspection to ships in accordance with applicable provisions of the 
Communications Act, the Safety Convention, the Great Lakes Agreement or 
the Commission's rules.
    (c) To act on and make determinations on behalf of the Commission 
regarding requests for assignments and reassignments of priorities under 
the Telecommunications Service Priority System, Part 64 of the rules, 
when circumstances require immediate action and the common carrier 
seeking to provide service states that it cannot contact the National 
Communications System or the Commission office normally responsible for 
such assignments.
    (d) Require special equipment and program tests during inspections 
or investigations 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 operators of industrial, scientific, 
and medical (ISM) equipment, as provided in Sec. 18.115 of this 
chapter.
    (g) Act on requests for permission to resume operation of ISM 
equipment on a temporary basis, as provided by Sec. 18.115 of this 
chapter, and requests for extensions of time within which to file final 
reports, as provided by Sec. 18.117 of this chapter.
    (h) Issue notices and orders to operators of part 15 devices, as 
provided in Sec. 15.5 of this chapter.
    (i) Issue notices and orders to suspend operations to multi-channel 
video programming distributors, as provided in Sec. 76.613 of this 
chapter.
    (j) Issue notices and orders to suspend operations to part 74 
licensees, as provided in Sec. 74.23 of this chapter.

[64 FR 60721, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]

[[Page 38]]



Sec. 0.317  Record of action taken.

    The application, authorization, and other appropriate files of the 
Enforcement Bureau are designated as the Commission's official records 
of action taken pursuant to authority delegated under Sec. Sec. 0.311 
and 0.314, and shall constitute the official Commission minutes 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



Sec. 0.331  Authority delegated.

    The Chief, Wireless Telecommunications Bureau, is hereby delegated 
authority to perform all functions of the Bureau, described in Sec. 
0.131, subject to the following exceptions and limitations.
    (a) Authority concerning applications. (1) The Chief, Wireless 
Telecommunications Bureau shall not have authority to act on any radio 
applications that are in hearing status.
    (2) The Chief, Wireless Telecommunications Bureau shall not have 
authority to act on any complaints, petitions or requests, whether or 
not accompanied 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 precedents and guidelines.
    (b) Authority concerning forfeitures and penalties. The Chief, 
Wireless Telecommunications Bureau, shall not have authority to impose, 
reduce, or cancel forfeitures pursuant to the Communications 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 
chapter implementing Section 309(j) governing auction authority, are 
excluded from this restriction.
    (c) Authority concerning applications for review. The Chief, 
Wireless Telecommunications 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 authority, except 
that the Chief may dismiss any such application that does not comply 
with the filing requirements of Sec. 1.115 (d) and (f) of this chapter.
    (d) Authority concerning rulemaking proceedings. The Chief, Wireless 
Telecommunications 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 arising from any of the 
foregoing except such orders involving ministerial conforming amendments 
to rule parts, or orders conforming any of the applicable rules to 
formally adopted international conventions or agreements where novel 
questions of fact, law, or policy are not involved. In addition, 
revisions to the airport terminal use list in Sec. 90.35(c)(61) of this 
chapter need not be referred to the Commission. Also, the addition of 
new Marine VHF frequency coordination committee(s) to Sec. 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 commercial and non-commercial 
vessel use of VHF marine frequencies.
    (3) Designate by footnote to frequency table in Sec. 80.373(f) of 
this chapter marine VHF frequencies are available for intership port 
operations communications 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]

    Effective Date Note: At 69 FR 46440, August 3, 2004, Sec. 0.331 was 
amended by revising paragraph (d) introductory text, effective Oct. 4, 
2004. For the convenience of the user, the revised text is set forth as 
follows:

[[Page 39]]

Sec. 0.331  Authority delegated.

                                * * * * *

    (d) Authority concerning rulemaking proceedings. The Chief, Wireless 
Telecommunications 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 arising from any of the 
foregoing except such orders involving ministerial conforming amendments 
to rule parts, or orders conforming any of the applicable rules to 
formally adopted international conventions or agreements where novel 
questions of fact, law, or policy are not involved. In addition, 
revisions to the airport terminal use list in Sec. 90.35(c)(61) of this 
chapter and revisions to the Government Radiolocation list in Sec. 
90.371(b) of this chapter need not be referred to the Commission. Also, 
the addition of new Marine VHF frequency coordination committee(s) to 
Sec. 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:

                                * * * * *



Sec. 0.332  Actions taken under delegated authority.

    In discharging the authority conferred by Sec. 0.331, the Chief, 
Wireless Telecommunications Bureau, shall establish working 
relationships with other bureaus and staff offices to assure the 
effective coordination of actions 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 emergency communications--Enforcement Bureau.
    (d) Complaints involving equal employment opportunities--Office of 
General Counsel.
    (e) Requests for use of frequencies or bands of frequencies shared 
with broadcast, 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]



Sec. Sec. 0.333-0.337  [Reserved]

                        Administrative Law Judges



Sec. 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 initial decision or certified 
the record to the Commission for decision, or the proceeding has been 
transferred to another administrative law judge, all motions, petitions 
and other pleadings shall be acted upon by such administrative law 
judge, except the following:
    (1) Those which are to be acted upon by the Commission. See Sec. 
1.291(a)(1) of this chapter.
    (2) Those which are to be acted upon by the Chief Administrative Law 
Judge under Sec. 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 certified by the administrative law judge, on his own 
motion, to the Chief Administrative Law Judge, or the Commission, as the 
case may be.
    (d) In the conduct of routine broadcast comparative hearings 
involving applicants for only new facilities, i.e., cases that do not 
involve numerous applicants 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 designation 
order. In so doing, the presiding judge will make every effort to 
release

[[Page 40]]

an initial decision in such cases within 90 days of the filing of the 
last responsive pleading.
    (e) Upon assignment by the Chief Administrative Law Judge, 
Administrative 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]



Sec. 0.347  Record of actions taken.

    The official record of all actions taken by an Administrative Law 
Judge, including initial and recommended decisions and actions taken 
pursuant to Sec. 0.341, is contained in the original docket folder, 
which is maintained in the Reference Information Center of the Consumer 
and Governmental Affairs Bureau.

[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]

                     Chief Administrative Law Judge



Sec. 0.351  Authority delegated.

    The Chief Administrative Law Judge shall act on the following 
matters in proceedings conducted by hearing examiners:
    (a) Initial specifications of the time and place of hearings where 
not otherwise specified by the Commission and excepting actions under 
authority delegated by Sec. 0.296.
    (b) Designation of the hearing examiner to preside at hearings.
    (c) Orders directing the parties or their attorneys to appear at a 
specified time and place before the hearing examiner for an initial 
prehearing conference in accordance with Sec. 1.251(a) of this chapter. 
(The administrative law judge named to preside at the hearing may order 
an initial prehearing conference although the Chief Administrative Law 
Judge may not have seen fit to do so and may order supplementary 
prehearing conferences in accordance with Sec. 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 Sec. 1.253 
of this chapter.) However, if all parties to a proceeding concur in 
holding all hearing sessions in the District of Columbia rather than at 
any field location, the presiding administrative law judge may act on 
the request.
    (e) In the absence of the administrative law judge who has been 
designated to preside in a proceeding, to discharge the administrative 
law judge's functions.
    (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 
desist and/or revocation proceedings prior to the designation of a 
presiding officer.
    (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.
    (h) If the administrative law judge designated to preside at a 
hearing becomes 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 proceedings pursuant to Sec. 
1.227(a) of this chapter, after designation of those proceedings 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]



Sec. 0.357  Record of actions taken.

    The official record of all actions taken by the Chief Administrative 
Law Judge in docketed proceedings pursuant to Sec. 0.351 is contained 
in the original docket folder, which is maintained by the Reference 
Information Center of the Consumer and Governmental Affairs Bureau.

[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]

[[Page 41]]

                Consumer and Governmental Affairs Bureau



Sec. 0.361  Authority delegated.

    The Chief, Consumer and Governmental Affairs Bureau, is delegated 
authority to perform all functions of the Bureau, described in Sec. 
0.141, 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.
    (b) Application for review of actions taken pursuant to delegated 
authority.
    (c) Matters that present novel questions 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



Sec. 0.371  Authority delegated.

    The Director, Office of Communications Business Opportunities, or 
his/her designee, is hereby delegated authority to:
    (a) Manage the Commission's compliance with the Regulatory 
Flexibility Act and the Small Business Regulatory Enforcement Fairness 
Act;
    (b) Develop the Commission's goals and objectives regarding 
increased opportunities 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 industry;
    (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, employment 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 entities, women, and minorities and to ensure that all available 
information is accessible to the same.

[69 FR 7377, Feb. 17, 2003]

        National Security and Emergency Preparedness Delegations



Sec. 0.381  Defense Commissioner.

    The authority delegated to the Commission under Executive Orders 
12472 and 12656 is redelegated to the Defense Commissioner.

[69 FR 30234, May 27, 2004]



Sec. 0.383  Emergency Relocation Board, authority delegated.

    (a) During any period in which the Commission is unable to function 
because of the circumstances set forth in Sec. 0.186(b), all work, 
business or functions of the Federal Communications Commission arising 
under the Communications Act of 1934, as amended, is assigned and 
referred to the Emergency Relocation Board.
    (b) The Board, acting by a majority thereof, shall have the power 
and authority to hear and determine, order, certify, report or otherwise 
act as to any of the said work, business or functions so assigned or 
referred to it, and in respect thereof shall have all the jurisdiction 
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 assigned or referred shall have 
the same effect and force, and may be made, evidenced, and enforced in 
the same manner, as if made or taken by the Commission.

[28 FR 12402, Nov. 22, 1963, as amended at 33 FR 8228, June 1, 1968; 53 
FR 29055, Aug. 2, 1988]

[[Page 42]]



Sec. 0.387  Other national security and emergency preparedness delegations; 
cross reference.

    (a) For authority of the Chief of the Media Bureau to issue 
Emergency Alert System Authorizations (FCC Form 392), see Sec. Sec. 
0.284 (a)(4) and 73.913.
    (b) For authority of the Chief of the Enforcement Bureau to declare 
a general communications emergency, see Sec. 0.182(f).

[28 FR 12411, Nov. 22, 1963, as amended at 40 FR 17254, Apr. 18, 1975; 
53 FR 29055, Aug. 2, 1988; 54 FR 15195, Apr. 17, 1989; 61 FR 8477, Mar. 
5, 1996; 64 FR 60722, Nov. 8, 1999; 67 FR 13221, Mar. 21, 2002; 69 FR 
30234, May 27, 2004]

                      Office of Workplace Diversity



Sec. 0.391  Authority delegated.

    The Director, Office of Workplace Diversity, or his/her designee, is 
hereby delegated authority to:
    (a) Manage the Commission's internal 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 Discrimination in 
Employment Act of 1967, as amended, the Equal Pay Act, and other 
applicable laws, rules, regulations, and Executive Orders, with 
authority that includes appointing EEO counselors, investigators, and 
mediators; investigating complaints of employment discrimination, and 
recommending to the Chairman final agency decisions on EEO complaints;
    (b) Mediate EEO complaints;
    (c) Develop the Commission's affirmative 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 diversity, and related subjects;
    (f) Review personnel activities, including hiring, promotions, 
discipline, training, awards, and performance recognition for 
conformance with EEO and workplace diversity goals, objectives and 
requirements;
    (g) Conduct studies and collect data on workplace diversity issues 
and problems;
    (h) Assume representational role on behalf of the Commission at 
conferences, meetings, and negotiations on EEO and workplace diversity 
issues;
    (i) Develop programs and strategies designed to foster and encourage 
fairness, equality, and inclusion of all employees in the workforce.

[61 FR 2728, Jan. 29, 1996]



                      Subpart C_General Information

                                 General



Sec. 0.401  Location of Commission offices.

    The Commission maintains several offices and receipt locations. 
Applications and other filings not submitted in accordance with the 
addresses or locations 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 location is 
established elsewhere in the rules for the various types of submissions 
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 Sec. 0.401(b) of 
the rules irrespective of the addresses that may be set out elsewhere in 
the rules for other submissions.
    (a) General correspondence, as well as applications and filings not 
requiring the fees set forth at part 1, subpart G of the rules (or not 
claiming an exemption, waiver or deferral from the fee requirement), 
should be delivered to one of the following locations.
    (1) The main office of the Commission is located at 445 12th Street, 
SW., Washington, DC 20554.
    (i) Documents submitted by mail to this office should be addressed 
to: Federal Communications Commission, Washington, DC 20554.
    (ii) Hand-carried documents should be delivered to the Secretary's 
Office, Room TW-A325, 445 12th Street, SW., Washington, DC 20554.
    (iii) Electronic filings, where permitted, must be transmitted as 
specified by the Commission or relevant Bureau or Office.
    (2) The Commission's laboratory is located near Columbia, Maryland. 
The mailing address is:


[[Page 43]]


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 Telecommunications Bureau's 
licensing facilities are:
    (A) Federal Communications Commission, 1270 Fairfield Road, 
Gettysburg, PA 17325-7245; and
    (B) Federal Communications Commission, Wireless Telecommunications 
Bureau, Washington, DC 20554.
    (ii) The mailing address of the International Telecommunications 
Section of the Finance Branch is: Federal Communications Commission, 
P.O. Box IT-70, Gettysburg, PA 17326.
    (4) The locations of the field offices of the Compliance and 
Information Bureau are listed in Sec. 0.121.
    (5) The location of the Office of General 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 Commission's lockbox 
bank in Pittsburgh, Pennsylvania with the correct fee and completed Fee 
Form attached to the application or filing, unless otherwise directed by 
the Commission. In the case of any conflict between this rule subpart 
and other rules establishing filing locations for submissions subject to 
a fee, this subpart shall govern.

    Note: Applicants seeking a waiver or deferral 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 applications in accordance with paragraph (a) of this 
section.

    (1) Applications and filings submitted by mail shall be addressed to 
the Mellon Bank in Pittsburgh, Pennsylvania. The bank maintains separate 
post office boxes for the receipt of different types of applications. 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 address for the submission 
of filings will be established in the Public Notice announcing the 
filing dates. In all other cases, applications and filings submitted by 
mail should be sent to the addresses listed in the appropriate fee 
rules.

    Note: Wireless Telecommunications Bureau applications that require 
frequency coordination by certified coordinators must be submitted to 
the appropriate certified frequency coordinator before filing with the 
Commission. After coordination, the applications are filed with the 
Commission as set forth herein. (See Sec. Sec. 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 Mellon Bank, Three Mellon Bank Center, 525 
William Penn Way, 27th Floor, room 153-2713, Pittsburgh, Pennsylvania. 
All applications and filings delivered in this manner must be in an 
envelope clearly marked for the ``Federal Communications Commission,'' 
addressed to the attention of ``Wholesale Lockbox Shift Supervisor,'' 
and identified with the appropriate Post Office Box address as set out 
in the fee schedule (Sec. Sec. 1.1102-1.1107). Applications 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 filings received by the bank before midnight 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 Licensing System (COALS) as appropriate for use of those 
systems.

[52 FR 10227, Mar 31, 1987, as amended at 53 FR 18564, May 24, 1988; 53 
FR 40886, Oct. 19, 1988; 54 FR 12453, Mar. 27, 1989; 55 FR 19154, May 8, 
1990; 56 FR 64714, Dec. 12, 1991; 58 FR 13020, Mar. 9, 1993; 60 FR 5325, 
Jan. 27, 1995; 60 FR 35507, July 10, 1995; 61 FR 8477, Mar. 5, 1996; 63 
FR 24124, May 1, 1998; 63 FR 36596, July 7, 1999; 63 FR 68919, Dec. 14, 
1998; 65 FR 58466, Sept. 29, 2000; 67 FR 13221, Mar. 21, 2002; 68 FR 
27000, May 19, 2003]

[[Page 44]]



Sec. 0.403  Office hours.

    The main offices of the Commission are open from 8 a.m. to 5:30 
p.m., Monday through Friday, excluding legal holidays, unless otherwise 
stated.

[52 FR 10228, Mar. 31, 1987]



Sec. 0.405  Statutory provisions.

    The following statutory provisions, among others, will be of 
interest to persons having business with the Commission:
    (a) The Federal Communications Commission was created by the 
Communications Act of 1934, 48 Stat. 1064, June 19, 1934, as amended, 47 
U.S.C. 151-609.
    (b) The Commission exercises authority 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 authority under the Communications 
Satellite 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]



Sec. 0.406  The rules and regulations.

    Persons having business with the Commission should familiarize 
themselves with those portions of its rules and regulations pertinent to 
such business. All of the rules have been published and are readily 
available. See Sec. Sec. 0.411(b), 0.412, and 0.415. For the benefit of 
those who are not familiar with the rules, there is set forth in this 
section 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 divided into parts 
numbered from 0-99. Each part, in turn, is divided into numbered 
sections. To allow for the addition of new parts and sections in logical 
sequence, without extensive renumbering, parts and sections are not 
always numbered consecutively. Thus, for example, part 2 is followed by 
part 5, and Sec. 1.8 is followed by Sec. 1.10; in this case, parts 3 
and 4 and Sec. 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, Sec. 1.1 is the first section of part 1 and Sec. 5.1 is the 
first section in part 5. Except in the case of accounting regulations 
(parts 31-35), the period should not be read as a decimal point; thus, 
Sec. 1.511 is not located between Sec. Sec. 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 Sec. 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 provisions pertaining to common carriers. Parts 20-29 and 
80-109 of this chapter have been reserved for provisions pertaining to 
the wireless telecommunications services. In the rules pertaining 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 primarily 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 general nature 
in addition to the rules of the radio or wire communication service in 
which they are interested:
    (1) Part 0, Commission organization. Part 0 describes the structure 
and functions of the Commission, lists delegations of authority to the 
staff, and sets forth information designed to assist those desiring to 
obtain information

[[Page 45]]

from, or to do business with, the Commission. This part is designed, 
among other things, to meet certain of the requirements of the 
Administrative Procedure 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 expressly 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, subpart B, 
of this chapter contains the procedures applicable in formal hearing 
proceedings (see Sec. 1.201 of this chapter). Part 1, subpart C, of 
this chapter contains the procedures followed in making or revising the 
rule or regulations. Part 1, subpart D, of this chapter contains rules 
applicable to applications 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 F, of this chapter contain rules applicable to 
applications for licenses in the Wireless Telecommunications Bureau 
services, including the forms to be used, the filing requirements, the 
procedures for processing and acting on such applications, and certain 
other matters. Additional procedures applicable to certain common 
carriers by radio are set forth in part 21 of this chapter. Part 1, 
subpart F, of this chapter contains rules applicable to applications for 
licenses in the Private Radio Services, including the forms to be used, 
the filing requirements, the procedures for processing and acting on 
such applications, and certain other matters. Part 1, subpart G, of this 
chapter contains rules pertaining to the application processing fees 
established by the Consolidated Omnibus Budget Reconciliation Act of 
1985 (Pub. L. 99-272, 100 Stat. 82 (1986)) and also contains rules 
pertaining to the regulatory fees established by the Omnibus Budget 
Reconciliation 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 governing communications with commission personnel in 
hearing proceedings and contested application proceedings. Part 1, 
subparts G and H, of this chapter 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 proceedings.
    (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 technical 
terms used in the rules and regulations; provisions governing the 
allocation 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 Allocations (Sec. 
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 
international 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 communication 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 
applicants for such licenses, licensed operators, and the licensees of 
radio stations which may be operated only by persons holding a 
commercial radio operator license.
    (6) Part 15, radio frequency devices. Part 15 contains regulations 
designed to prevent harmful interference to radio communication from 
radio receivers 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 operation of 
certificated transmitters without a license.

[[Page 46]]

    (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 
construction to the Federal Aviation Administration, and specifications 
for obstruction marking and lighting of antenna structures.
    (8) Part 18, industrial, scientific and medical equipment. Part 18 
contains regulations 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 standards 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]



Sec. 0.408  OMB control numbers and expiration 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 collection requirements 
assigned by the Office of Management and Budget (``OMB'') pursuant to 
the Paperwork Reduction Act of 1995, Pub. L. 104-13. The Commission 
intends that this section comply with the requirement that agencies 
display current control numbers and expiration dates assigned by the 
Director, OMB, for each approved information collection requirement. Not 
withstanding any other provisions of law, no person shall be subject to 
any penalty for failing to comply with a collection of information 
subject to the Paperwork Reduction Act (PRA) that does not display a 
valid control number. Questions concerning the OMB control numbers and 
expiration dates should be directed to the Associate Managing Director--
Performance Evaluation and Records Management, (``AMD-PERM''), Federal 
Communications Commission, Washington, DC 20554.
    (b) Display

------------------------------------------------------------------------
                      FCC form number or 47
                       CFR section or part,
  OMB control No.     docket number or title      OMB expiration date
                         identifying the
                            collection
------------------------------------------------------------------------
3060-0004..........  Guidelines for           09/30/04.
                      Evaluating the
                      Environmental Effects
                      of Radiofrequency
                      Radiation, ET Docket
                      No. 93-62.
3060-0009..........  FCC 316................  12/31/05.
3060-0010..........  FCC 323................  02/28/06.
3060-0012..........  FCC 701................  10/31/05.
3060-0016..........  FCC 346................  04/30/04.
3060-0017..........  FCC 347................  06/30/06.
3060-0024..........  Sec. 76.29.............  09/30/04.
3060-0027..........  FCC 301................  Pending OMB approval.
3060-0029..........  FCC 302-TV.............  06/30/04.
3060-0031..........  FCC 314................  Pending OMB approval.
3060-0032..........  FCC 315................  Pending OMB approval.
3060-0034..........  FCC 340................  04/30/04.
3060-0053..........  FCC 703................  02/28/05.
3060-0055..........  FCC 327................  11/30/06.
3060-0056..........  Part 68--Connection of   12/31/04.
                      Terminal Equipment to
                      the Telephone Network.
3060-0057..........  FCC 731 and Secs.        02/28/05.
                      2.911, 2.925, 2.932,
                      2.944, 2.960,
                      2.1033(a) and 2.1043.
3060-0059..........  FCC 740................  12/31/06.
3060-0061..........  FCC 325................  12/31/05.
3060-0062..........  FCC 330................  02/28/05.
3060-0065..........  FCC 442................  04/30/05.
3060-0066..........  FCC 330-R..............  06/30/06.
3060-0068..........  FCC 702................  05/31/05.
3060-0072..........  FCC 409................  10/31/05.
3060-0075..........  FCC 345................  10/31/05.
3060-0076..........  FCC 395................  02/28/06.
3060-0084..........  FCC 323-E..............  07/31/05.
3060-0093..........  FCC 405................  01/31/07.
3060-0095..........  FCC 395-A..............  Pending OMB approval.
3060-0105..........  FCC 430................  11/30/06.
3060-0106..........  Sec. 43.61.............  03/31/06.

[[Page 47]]

 
3060-0110..........  FCC 303-S..............  12/31/06.
3060-0113..........  FCC 396................  12/31/06.
3060-0120..........  FCC 396-A..............  12/31/06.
3060-0126..........  Sec. 73.1820...........  10/31/05.
3060-0132..........  FCC 1068-A.............  03/31/07.
3060-0139..........  FCC 854 and 854-R......  10/31/05.
3060-0147..........  Sec. 64.804............  02/28/06.
3060-0149..........  Part 63, Section 214,    05/31/05.
                      Secs. 63.01-63.601.
3060-0157..........  Sec. 73.99.............  05/31/06.
3060-0161..........  Sec. 73.61.............  06/30/06.
3060-0166..........  Part 42................  08/31/04.
3060-0168..........  Sec. 43.43.............  09/30/06.
3060-0169..........  Secs. 43.51 and 43.53..  06/30/05.
3060-0170..........  Sec. 73.1030...........  03/31/05.
3060-0171..........  Sec. 73.1125...........  10/31/04.
3060-0173..........  Sec. 73.1207...........  07/31/04.
3060-0174..........  Sec. 73.1212...........  09/30/05.
3060-0175..........  Sec. 73.1250...........  08/31/05.
3060-0176..........  Sec. 73.1510...........  04/30/06.
3060-0178..........  Sec. 73.1560...........  04/30/06.
3060-0179..........  Sec. 73.1590...........  07/31/04.
3060-0180..........  Sec. 73.1610...........  02/28/05.
3060-0181..........  Sec. 73.1615...........  04/30/06.
3060-0182..........  Sec. 73.1620...........  04/30/04.
3060-0184..........  Sec. 73.1740...........  12/31/04.
3060-0185..........  Sec. 73.3613...........  10/31/05.
3060-0187..........  Sec. 73.3594...........  Pending OMB approval.
3060-0188..........  FCC 380................  08/31/04.
3060-0190..........  Sec. 73.3544...........  Pending OMB approval.
3060-0192..........  Sec. 87.103............  04/30/04.
3060-0194..........  Sec. 74.21.............  11/30/04.
3060-0202..........  Sec. 87.37.............  10/31/06.
3060-0204..........  Sec. 90.20(a)(2)(v)....  07/31/05.
3060-0206..........  Part 21................  07/31/04.
3060-0207..........  Part 11................  01/31/06.
3060-0208..........  Sec. 73.1870...........  08/31/06.
3060-0211..........  Sec. 73.1943...........  09/30/04.
3060-0212..........  Sec. 73.2080...........  12/31/06.
3060-0213..........  Sec. 73.3525...........  Pending OMB approval.
3060-0214..........  Sec. 73.3526...........  12/31/05.
3060-0215..........  Sec. 73.3527...........  04/30/05.
3060-0216..........  Sec. 73.3538...........  01/30/05.
3060-0219..........  Sec. 90.20(a)(2)(xi)...  11/30/05.
3060-0221..........  Sec. 90.155............  11/30/04.
3060-0222..........  Sec. 97.213............  10/31/06.
3060-0223..........  Sec. 90.129............  07/31/05.
3060-0228..........  Sec. 80.59.............  07/31/04.
3060-0233..........  Part 36................  09/30/06.
3060-0236..........  Sec. 74.703............  06/30/05.
3060-0240..........  Equipment Changes......  05/31/06.
3060-0241..........  Temporary                04/30/06.
                      Authorizations.
3060-0242..........  Sec. 74.604............  02/28/06.
3060-0248..........  Sec. 74.751............  06/30/05.
3060-0249..........  Sec. 74.781............  10/31/06.
3060-0250..........  Sec. 74.784............  05/31/06.
3060-0259..........  Sec. 90.263............  10/31/06.
3060-0261..........  Sec. 90.215............  04/30/04.
3060-0262..........  Sec. 90.179............  01/31/05.
3060-0264..........  Sec. 80.413............  10/31/06.
3060-0265..........  Sec. 80.868............  07/31/04.
3060-0270..........  Sec. 90.443............  01/31/07.
3060-0281..........  Sec. 90.651............  05/31/04.
3060-0286..........  Sec. 80.302............  04/30/04.
3060-0287..........  Sec. 78.69.............  01/31/05.
3060-0288..........  Sec. 78.33.............  04/30/06.
3060-0289..........  Secs. 76.1705 and        05/31/05.
                      76.601.
3060-0290..........  Sec. 90.517............  05/31/05.
3060-0291..........  Sec. 90.477(a), (b)(2),  05/31/05.
                      and (d)(2).
3060-0292..........  Part 69................  01/31/07.
3060-0295..........  Secs. 90.607(b)(1) and   Pending OMB approval.
                      (c)(1).
3060-0297..........  Sec. 80.503............  10/31/06.
3060-0298..........  Part 61................  02/28/05.
3060-0307..........  Amendment of Part 90 of  10/31/06.
                      the Commission's Rules
                      to Facilitate Future
                      Development of SMR
                      Systems in the 800 MHz
                      Frequency Band.

[[Page 48]]

 
3060-0308..........  Sec. 90.505............  04/30/04.
3060-0309..........  Sec. 74.1281...........  10/31/05.
3060-0310..........  FCC 322................  12/31/06.
3060-0311..........  Sec. 76.54.............  12/31/05.
3060-0313..........  Sec. 76.1701...........  09/30/04.
3060-0315..........  Sec. 76.1615 and         12/31/05.
                      76.1715.
3060-0316..........  Sec. 76.1700...........  10/31/04.
3060-0320..........  Sec. 73.1350...........  04/30/04.
3060-0325..........  Sec. 80.605............  06/30/05.
3060-0329..........  Sec. 2.955.............  10/31/05.
3060-0331..........  FCC 321................  12/31/06.
3060-0332..........  Secs. 76.614 and         10/31/04.
                      76.1706.
3060-0340..........  Sec. 73.51.............  03/31/07.
3060-0341..........  Sec. 73.1680...........  12/31/06.
3060-0342..........  Sec. 74.1284...........  12/31/06.
3060-0346..........  Sec. 78.27.............  Pending OMB approval.
3060-0347..........  Sec. 97.311............  02/28/06.
3060-0349..........  Equal Employment         12/31/06.
                      Opportunity
                      Requirements.
3060-0355..........  FCC 492 and FCC 492A...  07/31/04.
3060-0357..........  Request for Designation  11/31/04.
                      as a Recognized
                      Private Operating
                      Agency.
3060-0360..........  Sec. 80.409(c).........  08/31/04.
3060-0364..........  Secs. 80.409(d) and (e)  08/31/04.
3060-0368..........  Sec. 97.523............  06/30/05.
3060-0370..........  Part 32................  10/31/05.
3060-0374..........  Sec. 73.1690...........  12/31/04.
3060-0384..........  Secs. 64.904 and 64.905  03/31/05.
3060-0386..........  Sec. 73.1635...........  07/31/05.
3060-0387..........  Sec 15.201(d)..........  03/31/06.
3060-0390..........  FCC 395-B..............  Pending OMB approval.
3060-0391..........  Program to Monitor the   02/28/05.
                      Impact of Universal
                      Service Support
                      Mechanisms, CC Docket
                      Nos. 98-202 and 96-45.
3060-0392..........  47 CFR Part 1, Subpart   01/31/07.
                      J, Pole Attachment
                      Complaint Procedures.
3060-0394..........  Sec. 1.420.............  10/31/05.
3060-0395..........  FCC Reports 43-02, FCC   Pending OMB approval.
                      43-05 and FCC 43-07.
3060-0397..........  Sec. 15.7(a)...........  12/31/06.
3060-0398..........  Secs. 2.948 and          04/30/06.
                      15.117(g)(2).
3060-0400..........  Tariff Review Plan.....  05/31/06.
3060-0404..........  FCC 350................  05/31/05.
3060-0405..........  FCC 349................  Pending OMB approval.
3060-0407..........  Sec. 73.3598...........  05/31/05.
3060-0410..........  FCC 495A and FCC 495B..  Pending OMB approval.
3060-0411..........  FCC 485................  06/30/04.
3060-0414..........  Terrain Shielding        Pending OMB approval.
                      Policy.
3060-0419..........  Secs. 76.94, 76.95,      05/31/05.
                      76.105, 76.106,
                      76.107, 76.109 and
                      76.1609.
3060-0422..........  Sec. 68.5..............  10/31/04.
3060-0423..........  Sec. 73.3588...........  10/31/05.
3060-0427..........  Sec. 73.3523...........  02/28/07.
3060-0430..........  Sec. 1.1206............  04/30/05.
3060-0433..........  FCC 320................  05/31/05.
3060-0434..........  Sec. 90.20(e)(6).......  05/31/05.
3060-0435..........  Sec. 80.361............  11/30/05.
3060-0436..........  Equipment                03/31/06.
                      Authorization,
                      Cordless Telephone
                      Security Coding.
3060-0439..........  Sec. 64.201............  Pending OMB approval.
3060-0441..........  Sec. 90.621(b)(4)......  10/31/06.
3060-0449..........  Sec. 1.65(c)...........  12/31/04.
3060-0452..........  Sec. 73.3589...........  10/31/05.
3060-0454..........  Regulation of            05/31/06.
                      International
                      Accounting Rates.
3060-0463..........  Telecommunications       06/30/06.
                      Relay Services and the
                      Americans with
                      Disabilities Act of
                      1990, 47 CFR Part 64,
                      Sec. 64.604(a)(3).
3060-0465..........  Sec. 74.985............  01/31/07.
3060-0466..........  Sec. 74.1283...........  05/31/06.
3060-0470..........  Secs. 64.901-64.903,     03/31/05.
                      Allocation of Cost,
                      Cost Allocation
                      Manual, RAO Letters 19
                      and 26.
3060-0473..........  Sec. 74.1251...........  02/28/06.
3060-0474..........  Sec. 74.1263...........  05/31/06.
3060-0483..........  Sec. 73.687............  12/31/06.
3060-0484..........  Sec. 63.100............  04/30/05.
3060-0489..........  Sec. 73.37.............  Pending OMB approval.
3060-0490..........  Sec. 74.902............  Pending OMB approval.
3060-0491..........  Sec. 74.991............  Pending OMB approval.
3060-0492..........  Sec. 74.992............  04/30/04.
3060-0493..........  Sec. 74.986............  04/30/04.
3060-0494..........  Sec. 74.990............  04/30/04.

[[Page 49]]

 
3060-0496..........  FCC Report 43-08.......  03/31/07.
3060-0500..........  Sec. 76.1713...........  09/30/04.
3060-0501..........  Secs. 76.206...........  09/30/04.
3060-0502..........  Sec. 73.1942...........  09/30/04.
3060-0506..........  FCC 302-FM.............  06/30/06.
3060-0508..........  Rewrite of Part 22.....  08/31/04.
3060-0511..........  FCC Report 43-04.......  Pending OMB approval.
3060-0512..........  FCC Report 43-01.......  Pending OMB approval.
3060-0513..........  FCC Report 43-03.......  03/31/07.
3060-0514..........  Sec. 43.21(b)..........  05/31/06.
3060-0515..........  Sec. 43.21(c)..........  10/31/05.
3060-0519..........  Rules and Regulations    09/30/06.
                      Implementing the
                      Telephone Consumer
                      Protection Act of
                      1991, CG Docket No. 02-
                      278.
3060-0526..........  Density Pricing Zone     10/31/05.
                      Plans, Expanded
                      Interconnection with
                      Local Telephone
                      Company Facilities, CC
                      Docket No. 91-141.
3060-0531..........  Local Multipoint         01/31/07.
                      Distribution Service
                      (LMDS).
3060-0532..........  Secs. 2.1033(b)(10) and  12/31/05.
                      15.121.
3060-0537..........  Sec. 13.217............  05/31/05.
3060-0540..........  Tariff Filing            09/30/05.
                      Requirements For
                      Nondominant Common
                      Carriers.
3060-0543..........  Sec. 21.913............  11/30/05.
3060-0544..........  Sec. 76.701............  Pending OMB approval.
3060-0546..........  Definition of Markets    04/30/06.
                      for Purposes of the
                      Cable Television
                      Mandatory Television
                      Broadcast Signal
                      Carriage Rules.
3060-0548..........  Secs. 76.1708, 76.1709,  05/31/05.
                      76.1620, 76.56, and
                      76.1614.
3060-0550..........  FCC 328................  01/31/06.
3060-0551..........  Secs. 76.1002 and        03/31/07.
                      76.1004.
3050-0554..........  Sec. 87.199............  06/30/05.
3060-0556..........  Sec. 80.1061...........  07/31/05.
3060-0560..........  Sec. 76.911............  09/30/04.
3060-0561..........  Sec. 76.913............  01/31/07.
3060-0562..........  Sec. 76.916............  07/31/04.
3060-0564..........  Sec. 76.924............  04/30/06.
3060-0567..........  Sec. 76.962............  03/31/05.
3060-0568..........  Commercial Leased        10/31/06.
                      Access Rates, Terms, &
                      Conditions.
3060-0569..........  Sec. 76.975............  10/31/06.
3060-0570..........  Sec. 76.982............  07/31/04.
3060-0572..........  Filing Manual for        10/31/05.
                      Annual International
                      Circuit Status Reports.
3060-0573..........  FCC 394................  06/30/06.
3060-0580..........  Sec. 76.504 and 76.1710  12/31/06.
3060-0581..........  Sec. 76.503............  11/30/06.
3060-0584..........  FCC 44 and FCC 45......  01/31/06.
3060-0589..........  FCC 159 and FCC 159-C..  06/30/06.
3060-0594..........  FCC 1220...............  06/30/04.
3060-0595..........  FCC 1210...............  09/30/04.
3060-0599..........  Implementation of        01/31/07.
                      Sections 3(n) and 332
                      of the Communications
                      Act.
3060-0600..........  FCC 175................  04/30/04.
3060-0601..........  FCC 1200...............  06/30/04.
3060-0602..........  Sec. 76.917............  06/30/06.
3060-0607..........  Sec. 76.922............  01/31/07.
3060-0609..........  Sec. 76.934(e).........  07/31/04.
3060-0610..........  Sec. 76.1606...........  07/31/04.
3060-0611..........  Sec. 74.783............  12/31/06.
3060-0613..........  Expanded                 07/31/06.
                      Interconnection with
                      Local Telephone
                      Company Facilities, CC
                      Docket No. 91-141,
                      Transport Phase II.
3060-0621..........  Rules and Requirements   04/30/04.
                      for C & F Block
                      Broadband PCS Licenses.
3060-0624..........  Sec. 24.103(f).........  04/30/04.
3060-0625..........  Amendment of the         Pending OMB approval.
                      Commission's Rules to
                      Establish New Personal
                      Communications
                      Services under Part 24.
3060-0626..........  Regulatory Treatment of  08/31/04.
                      Mobile Services.
3060-0627..........  FCC 302-AM.............  06/30/06.
3060-0629..........  Sec. 76.1605...........  07/31/04.
3060-0633..........  Secs. 73.1230, 74.165,   08/31/04.
                      74.432, 74.564,
                      74.664, 74.765,
                      74.832, 74.965 and
                      74.1265.
3060-0634..........  Sec. 73.691............  04/30/04.
3060-0636..........  Equipment                03/31/06.
                      Authorization--Declara
                      tion of Compliance--
                      Parts 2 and 15.
3060-0638..........  Sec. 76.934(g).........  05/31/05.
3060-0644..........  FCC 1230...............  05/31/05.
3060-0645..........  Sec. 17.4..............  09/30/05.
3060-0647..........  Annual Survey of Cable   11/30/06.
                      Industry Prices.
3060-0648..........  Sec. 21.902............  02/28/06.
3060-0649..........  Secs. 76.1601, 76.1607,  02/28/05.
                      76.1617, and 76.1708.
3060-0652..........  Secs. 76.309, 76.1602,   12/31/04.
                      76.1603, and 76.1619.
3060-0653..........  Secs. 64.703(b) and (c)  02/28/05.

[[Page 50]]

 
3060-0654..........  FCC 304................  10/31/04.
3060-0655..........  Request for Waivers of   09/30/04.
                      Regulatory and
                      Application Fees
                      Predicated on
                      Allegations of
                      Financial Hardship.
3060-0656..........  FCC 175-M..............  12/31/04.
3060-0657..........  Sec. 21.956............  09/30/04.
3060-0658..........  Sec. 21.960............  12/31/04.
3060-0660..........  Sec. 21.937............  09/30/04.
3060-0661..........  Sec. 21.931............  10/31/04.
3060-0662..........  Sec. 21.930............  09/30/04.
3060-0663..........  Sec. 21.934............  11/30/05.
3060-0664..........  FCC 304-A..............  10/31/04.
3060-0665..........  Sec. 64.707............  12/31/04.
3060-0667..........  Secs. 76.630, 76.1621,   12/31/04.
                      and 76.1622.
3060-0668..........  Sec. 76.936............  03/31/05.
3060-0669..........  Sec. 76.946............  06/30/05.
3060-0673..........  Sec. 76.956............  03/31/05.
3060-0674..........  Sec. 76.1618...........  09/30/05.
3060-0678..........  FCC 312, FCC 312-EZ,     12/31/06.
                      FCC 312-R, and FCC 312
                      Schedules.
3060-0681..........  Toll-Free Service        12/31/06.
                      Access Codes, Part 52,
                      Subpart D, Secs.
                      52.101-52.111.
3060-0684..........  Amendment to the         Pending OMB approval.
                      Commission's Rules
                      Regarding a Plan for
                      Sharing the Costs of
                      Microwave Relocation,
                      WT Docket No. 95-157.
3060-0685..........  FCC 1240...............  08/31/04.
3060-0686..........  Streamlining the         Pending OMB approval.
                      International Section
                      214 Authorization
                      Process and Tariff
                      Requirements.
3060-0687..........  Access to                10/31/05.
                      Telecommunications
                      Equipment and Services
                      by Persons with
                      Disabilities, CC
                      Docket No. 87-124.
3060-0688..........  FCC 1235...............  12/31/04.
3060-0690..........  Rules Regarding the      02/28/06.
                      37.0-38.6 GHz and 38.6-
                      40.0 GHz Bands.
3060-0691..........  Amendment of Parts 2     04/30/04.
                      and 90 of the
                      Commission's Rules to
                      Provide for the Use of
                      200 Channels Outside
                      the Designated Filing
                      Areas in the 896-901
                      MHz Bands Allotted to
                      Specialized Mobile
                      Radio Service.
3060-0692..........  Home Wiring Provisions.  Pending OMB approval.
3060-0695..........  Sec. 87.219............  07/31/05.
3060-0697..........  Parts 22 and 90 to       Pending OMB approval.
                      Facilitate Future
                      Development of Paging
                      Systems.
3060-0698..........  Amendment of the         05/31/04.
                      Commission's Rules to
                      Establish a Radio
                      Astronomy Coordination
                      Zone in Puerto Rico,
                      ET Docket No. 96-2.
3060-0700..........  FCC 1275...............  Pending OMB approval.
3060-0702..........  Amendment to Parts 20    Pending OMB approval.
                      and 24 of the
                      Commission's Rules,
                      Broadband PCS
                      Competitive Bidding
                      and the Commercial
                      Mobile Radio Service
                      Spectrum Cap.
3060-0703..........  FCC 1205...............  04/30/06.
3060-0704..........  Policy and Rules         12/31/05.
                      Concerning the
                      Interstate,
                      Interexchange
                      Marketplace;
                      Implementation of
                      Section 254(g) of the
                      Communications Act of
                      1934, as amended, CC
                      Docket No. 96-6.
3060-0706..........  Cable Act Reform.......  10/31/05.
3060-0707..........  Over-the-Air Reception   09/30/05.
                      Devices (OTARD).
3060-0710..........  Policy and Rules         10/31/06.
                      Concerning the
                      Implementation of the
                      Local Competition
                      Provisions in the
                      Telecommunications Act
                      of 1996--CC Docket
                      No.96-98.
3060-0711..........  Implementation of        12/31/06.
                      Section 34(a)(1) of
                      the Public Utility
                      Holding Company Act of
                      1935, as amended by
                      the Telecommunications
                      Act of 1996, Secs.
                      1.5001 through 1.5007.
3060-0713..........  Alternative Broadcast    09/30/05.
                      Inspection Program
                      (ABIP) Compliance
                      Notification.
3060-0715..........  Telecommunications       02/28/06.
                      Carriers' Use of
                      Customer Proprietary
                      Network Information
                      (CPNI) and Other
                      Customer Information--
                      CC Docket No. 96-115.
3060-0716..........  Blanketing Interference  11/30/06.
3060-0717..........  Billed Party Preference  07/31/04.
                      for InterLATA 0+
                      Calls, Secs.
                      64.703(a), 64.709, and
                      64.710.
3060-0718..........  Part 101 Governing the   03/31/06.
                      Terrestrial Microwave
                      Radio Service.
3060-0719..........  Quarterly Report of      12/31/06.
                      IntraLATA Carriers
                      Listing Pay Phone
                      Automatic Number
                      Identifications (ANIs).
3060-0723..........  Public Disclosure of     12/31/06.
                      Network Information by
                      Bell Operating
                      Companies.
3060-0725..........  Quarterly Filing of      09/30/06.
                      Nondiscrimination
                      Reports (on Quality of
                      Service, Installation,
                      and Maintenance) by
                      Bell Operating
                      Companies (BOC's).
3060-0726..........  Quarterly Report of      09/30/06.
                      Interexchange Carriers
                      Listing the Number of
                      Dial-Around Calls for
                      Which Compensation is
                      Being Paid to Pay
                      Phone Owners.
3060-0727..........  Sec. 73.213............  Pending OMB approval.
3060-0734..........  Accounting Safeguards,   03/31/05.
                      47 U.S.C. Sections
                      260, 271-276, and 47
                      CFR Secs. 53.209,
                      53.211 and 53.213, SEC
                      Form 10-K.
3060-0736..........  Implementation of the    08/31/04.
                      Non-Accounting
                      Safeguards of Sections
                      271 and 272 of the
                      Communications Act of
                      1934, as amended--CC
                      Docket No. 96-149.
3060-0737..........  Disclosure Requirements  05/31/06.
                      for Information
                      Services Provided
                      Under a
                      Presubscription or
                      Comparable Arrangement.
3060-0740..........  Sec. 95.1015...........  01/31/06.

[[Page 51]]

 
3060-0741..........  Implementation of the    04/30/04.
                      Local Competition
                      Provisions on the
                      Telecommunications Act
                      of 1996--CC Docket No.
                      96-98.
3060-0742..........  Telephone Number         08/31/05.
                      Portability, Part 52,
                      Subpart C, Secs. 52.21-
                      52.33.
3060-0743..........  Implementation of the    01/31/07.
                      Pay Telephone
                      Reclassification and
                      Compensation
                      Provisions of the
                      Telecommunications Act
                      of 1996--CC Docket No.
                      96-128.
3060-0745..........  Implementation of the    12/31/06.
                      Local Exchange Carrier
                      Tariff Streamlining
                      Provisions of the
                      Telecommunications Act
                      of 1996, CC Docket No.
                      96-187.
3060-0748..........  Disclosure Requirements  11/30/06.
                      for Information
                      Services Provided
                      through Toll-Free
                      Numbers, Sec. 64.1504.
3060-0749..........  Sec. 64.1509...........  11/30/06.
3060-0750..........  Sec. 73.673............  07/31/06.
3060-0751..........  Reports Concerning       05/31/06.
                      International Private
                      Lines Interconnected
                      to the U.S. Public
                      Switched Network.
3060-0752..........  Billing Disclosure       11/30/06.
                      Requirements for Pay-
                      Per-Call and Other
                      Information Services,
                      Sec. 64.1510.
3060-0754..........  FCC 398................  06/30/04.
3060-0755..........  Infrastructure Sharing,  05/31/06.
                      Secs. 59.1-59.4.
3060-0756..........  Procedural Requirements  01/31/05.
                      and Policies for
                      Commission Processing
                      of Bell Operating
                      Company (BOC)
                      Applications for the
                      Provision of In-
                      Region, InterLATA
                      Services under Section
                      271 of the
                      Telecommunications Act
                      of 1996.
3060-0757..........  FCC Auctions Customer    01/31/07.
                      Survey.
3060-0758..........  Amendment of Part 5 of   12/31/06.
                      the Commission's Rules
                      to Revise the
                      Experimental Radio
                      Service Regulations,
                      ET Docket No. 92-256.
3060-0760..........  Access Charge Reform,    12/31/05.
                      CC Docket No. 96-262.
3060-0761..........  Closed Captioning of     Pending OMB approval.
                      Video Programming.
3060-0763..........  FCC Report 43-06.......  04/30/06.
3060-0765..........  Revision of Parts 22     Pending OMB approval.
                      and 90 of the
                      Commission's Rules to
                      Facilitate Future
                      Development of Paging
                      Systems.
3060-0767..........  Auction Forms and        11/30/06.
                      License Transfer
                      Disclosures--Supplemen
                      t for the 2nd R&O,
                      Order on
                      Reconsideration, and
                      5th NPRM in CC Docket
                      No. 92-297.
3060-0768..........  28 GHz Band              06/30/06.
                      Segmentation Plan
                      Amending the
                      Commission's Rules to
                      Redesignate 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
                      and for the Fixed
                      Satellite Service.
3060-0770..........  Price Cap Performance    12/31/05.
                      Review for Local
                      Exchange Carriers--CC
                      Docket No. 94-1 (New
                      Services).
3060-0771..........  Sec. 5.61, Procedure     Pending OMB approval.
                      for Obtaining a
                      Special Temporary
                      Authorization in the
                      Experimental Radio
                      Service.
3060-0773..........  Sec. 2.803, Marketing    12/31/06.
                      of RF Devices Prior to
                      Equipment
                      Authorization.
3060-0774..........  Federal-State Joint      06/30/04.
                      Board on Universal
                      Service--CC Docket No.
                      96-45, Secs. 36.611
                      and 36.612 and 47 CFR
                      Part 54.
3060-0775..........  Secs. 64.1901--64.1903.  12/31/06.
3060-0779..........  Amendment to Part 90 of  04/30/04.
                      the Commission's Rules
                      to Provide for Use of
                      the 220-222 MHz Band
                      by the Private Land
                      Mobile Radio Service,
                      PR Docket No. 89-552.
3060-0780..........  Uniform Rate-Setting     Pending OMB approval.
                      Methodology.
3060-0782..........  Petition for Limited     01/31/07.
                      Modification of LATA
                      Boundaries to Provide
                      Expanded Local Calling
                      Service (ELCS) at
                      Various Locations.
3060-0783..........  Sec. 90.176............  12/31/05.
3060-0786..........  Petitions for LATA       01/31/07.
                      Association Changes by
                      Independent Telephone
                      Companies.
3060-0787..........  Implementation of the    04/30/04.
                      Subscriber Carrier
                      Selection Changes
                      Provisions of the
                      Telecommunications Act
                      of 1996; Policies and
                      Rules Concerning
                      Unauthorized Changes
                      of Consumers Long
                      Distance, FCC 478.
3060-0788..........  DTV Showings/            09/30/04.
                      Interference
                      Agreements.
3060-0789..........  Modified Alternative     05/31/04.
                      Plan, CC Docket No. 90-
                      571.
3060-0790..........  Sec. 68.110(c).........  11/30/06.
3060-0791..........  Accounting for           11/30/06.
                      Judgments and Other
                      Costs Associated with
                      Litigation, CC Docket
                      No. 93-240.
3060-0793..........  Federal-State Joint      10/31/05.
                      Board on Universal
                      Service, CC Docket No.
                      96-45, Procedures for
                      Self-Certifying as a
                      Rural Carrier.
3060-0795..........  Associate WTB Call       07/31/05.
                      Signs and Antenna
                      Registration Numbers
                      with Licensee's FRN
                      and FCC 606.
3060-0798..........  FCC 601................  Pending OMB approval.
3060-0799..........  FCC 602................  03/31/05.
3060-0800..........  FCC 603................  04/30/05.
3060-0804..........  Health Care Providers    Pending OMB approval.
                      Universal Service
                      Program--FCC 465, FCC
                      466, FCC 466-A, and
                      FCC 467.
3060-0805..........  Secs. 90.523, 90.527,    02/28/05.
                      and 90.545.
3060-0806..........  Universal Service,       03/31/06.
                      Schools and Libraries
                      Program, FCC 470 and
                      471.
3060-0807..........  Sec. 51.803 and          04/30/04.
                      Supplemental
                      Procedures for
                      Petitions to Section
                      252(e)(5) of the
                      Communications Act of
                      1934, as amended.

[[Page 52]]

 
3060-0809..........  Communications           08/31/06.
                      Assistance for Law
                      Enforcement Act
                      (CALEA).
3060-0810..........  Procedures for           05/31/06.
                      Designation of
                      Eligible
                      Telecommunications
                      Carriers Pursuant to
                      Section 214(e)(6) of
                      the Communications Act
                      of 1934, as amended.
3060-0812..........  Exemption from Payment   10/31/05.
                      of Regulatory Fees
                      When Claiming Non-
                      Profit Status.
3060-0813..........  Revision of the          06/30/05.
                      Commission's Rules to
                      Ensure Compatibility
                      with Enhanced 911
                      Calling Systems.
3060-0814..........  Sec. 54.301............  03/31/05.
3060-0816..........  Local Competition and    01/31/07.
                      Broadband Reporting,
                      CC Docket No. 99-301,
                      FCC 477.
3060-0817..........  Computer III Further     09/30/06.
                      Remand Proceedings:
                      BOC Provision of
                      Enhanced Services (ONA
                      Requirements), CC
                      Docket No. 95-20.
3060-0819..........  Lifeline Assistance      12/31/06.
                      (Lifeline) Connection
                      Assistance (Link-Up)
                      Reporting Worksheet
                      and Instructions, 47
                      CFR 54.400-54.417, FCC
                      497.
3060-0823..........  Pay Telephone            02/28/05.
                      Reclassification,
                      Memorandum Opinion and
                      Order, CC Docket No.
                      96-128.
3060-0824..........  FCC 498................  07/31/06.
3060-0833..........  Implementation of        10/31/04.
                      Section 255 of the
                      Telecommunications Act
                      of 1996: Complaint
                      Filings/Designation of
                      Agents.
3060-0835..........  Ship Inspections, FCC    03/31/06.
                      806, FCC 824, FCC 827
                      and FCC 829.
3060-0837..........  FCC 302-DTV............  02/28/05.
3060-0841..........  Public Notice,           04/30/05.
                      Additional Processing
                      Guidelines for DTV
                      (nonchecklist
                      applications).
3060-0844..........  Carriage of the          09/30/04.
                      Transmissions of
                      Digital Television
                      Broadcast Stations.
3060-0848..........  Deployment of Wireline   03/31/06.
                      Services Offering
                      Advanced
                      Telecommunications
                      Capability--CC Docket
                      No. 98-147.
3060-0849..........  Commercial Availability  Pending OMB approval.
                      of Navigation Devices,
                      CS Docket No. 97-80.
3060-0850..........  FCC 605................  06/30/06.
3060-0851..........  FCC 305................  12/31/04.
3060-0852..........  FCC 306................  12/31/04.
3060-0853..........  FCC 479, FCC 486, and    01/31/07.
                      FCC 486-T.
3060-0854..........  Truth-in-Billing         Pending OMB approval.
                      Format, CC Docket No.
                      98-170.
3060-0855..........  FCC 499, FCC 499-A, and  Pending OMB approval.
                      FCC 499-Q.
3060-0856..........  FCC 472, FCC 473, and    01/31/07.
                      FCC 474.
3060-0859..........  Suggested Guidelines     06/30/06.
                      for Petitions for
                      Ruling under Section
                      253 of the
                      Communications Act.
3060-0862..........  Handling Confidential    06/30/05.
                      Information.
3060-0863..........  Satellite Delivery of    01/31/06.
                      Network Signals to
                      Unserved Households
                      for Purposes of the
                      Satellite Home Viewer
                      Act.
3060-0865..........  Wireless                 Pending OMB approval.
                      Telecommunications
                      Bureau Universal
                      Licensing System
                      Recordkeeping and
                      Third-Party Disclosure
                      Requirements.
3060-0874..........  FCC 475................  10/31/04.
3060-0876..........  USAC Board of Directors  06/30/06.
                      Nomination Process,
                      Sec. 54.703 and Review
                      of Administrator's
                      Decision, Secs. 54.719-
                      54.725.
3060-0881..........  Sec. 95.861............  07/31/05.
3060-0882..........  Sec. 95.833............  07/31/05.
3060-0886..........  Sec. 73.3534...........  05/31/05.
3060-0888..........  Part 76, Cable           10/31/05.
                      Television Service
                      Pleading and Complaint
                      Rules.
3060-0891..........  FCC 330-A..............  07/31/05.
3060-0893..........  Universal Licensing      02/28/07.
                      Service (ULS) Pre-
                      Auction Database
                      Corrections.
3060-0894..........  Certification Letter     05/31/06.
                      Accounting for Receipt
                      of Federal Support, CC
                      Docket Nos. 96-45 and
                      96-262.
3060-0895..........  Numbering Resource       Pending OMB approval.
                      Optimization, FCC 502.
3060-0896..........  Broadcast Auction Form   09/30/05.
                      Exhibits.
3060-0897..........  MDS and ITFS Two-Way     04/30/04.
                      Transmissions.
3060-0900..........  Compatibility of         12/31/05.
                      Wireless Services with
                      Enhanced 911--CC
                      Docket No. 94-102.
3060-0901..........  Reports of Common        06/30/06.
                      Carriers and
                      Affiliates.
3060-0905..........  Regulations for RF       11/30/05.
                      Lighting Devices,
                      Secs. 18.213 and
                      18.307, ET Docket No.
                      98-42.
3060-0906..........  FCC 317................  07/31/06.
3060-0910..........  Revision of the          05/31/06.
                      Commission's Rules to
                      Ensure Compatibility
                      with Enhanced 911
                      Emergency Calling
                      Systems, Third Report
                      and Order in CC Docket
                      No. 94-102.
3060-0912..........  Cable Attribution Rules  10/31/06.
3060-0914..........  Petition, Pursuant to    04/30/04.
                      Section 7 of the Act,
                      for a Waiver of the
                      Airborne Cellular
                      Rule, or in the
                      Alternative, for a
                      Declaratory Ruling.
3060-0916..........  Sec. 95.1402...........  04/30/06.
3060-0917..........  FCC 160................  10/31/06.
3060-0918..........  FCC 161................  10/31/06.
3060-0919..........  FCC 162................  10/31/06.
3060-0920..........  FCC 318................  03/31/05.
3060-0921..........  Petitions for LATA       10/31/06.
                      Boundary Modification
                      for the Deployment of
                      Advanced Services.

[[Page 53]]

 
3060-0922..........  FCC 397................  11/30/06.
3060-0924..........  Creation of Low Power    11/30/06.
                      Radio Service, MM
                      Docket No. 99-25.
3060-0926..........  Transfer of the Bands    04/30/04.
                      from Federal
                      Government Use: NPRM.
3060-0927..........  Auditor's Annual         05/31/06.
                      Independence and
                      Objectivity
                      Certification.
3060-0928..........  FCC 302-CA.............  02/28/07.
3060-0929..........  FCC 331................  Pending OMB approval.
3060-0930..........  Implementation of the    06/30/06.
                      Satellite Home Viewer
                      Improvement Act
                      (SHVIA) of 1999;
                      Enforcement Procedures
                      for Retransmission
                      Consent Violations
                      Conforming to Section
                      325(e) of the
                      Communications Act of
                      1934, as amended.
3060-0931..........  Maritime Mobile Service  06/30/06.
                      Identity (MMSI).
3060-0932..........  FCC 301-CA.............  02/28/07.
3060-0933..........  FCC 460................  11/30/06.
3060-0934..........  Secs. 2.925, 2.932,      02/28/05.
                      2.944, 2.960, 2.962,
                      2.1043, 68.160 and
                      68.162 and FCC 731-TC.
3060-0936..........  Sec. 95.1215,            09/30/06.
                      Disclosure
                      Policies;Sec. 95.1217,
                      Labeling Requirements.
3060-0937..........  Establishment of a       04/30/04.
                      Class A Television
                      Service, MM Docket No.
                      00-10.
3060-0938..........  FCC 319................  10/31/06.
3060-0939..........  E911 Second Memorandum   05/31/04.
                      Opinion and Order.
3060-0942..........  Access Charge Reform,    03/31/07.
                      Price Cap Performance
                      Review for Local
                      Exchange Carriers, Low-
                      Volume Long Distance
                      Users, Federal-State
                      Joint Board on
                      Universal Service.
3060-0943..........  Sec. 54.809............  12/31/06.
3060-0944..........  Review of Commission     02/28/05.
                      Consideration of
                      Applications Under the
                      Cable Landing License
                      Act.
3060-0945..........  Sec. 79.2..............  01/31/07.
3060-0947..........  Sec. 101.1327..........  02/28/07
3060-0948..........  Noncommercial            Pending OMB approval.
                      Educational Applicants.
3060-0949..........  FCC 159-W..............  10/31/06.
3060-0950..........  Extending Wireless       04/30/04.
                      Telecommunications
                      Services Tribal Lands,
                      WT Docket No. 99-266.
3060-0951..........  Service of Petitions     01/31/07.
                      for Preemption, 47 CFR
                      Sec. 1.1204(b) Note,
                      and Sec. 1.1206(a)
                      Note 1.
3060-0952..........  Proposed Demographic     01/31/07.
                      Information and
                      Notifications.
3060-0953..........  Wireless Medical         Pending OMB approval.
                      Telemetry Service, ET
                      Docket No. 99-255.
3060-0954..........  Implementation of the    07/31/05.
                      911 Act.
3060-0955..........  2 GHz Mobile Satellite   02/28/07.
                      Service Reports.
3060-0957..........  Wireless Enhanced 911    05/31/04.
                      Service, Fourth
                      Memorandum Opinion and
                      Order.
3060-0959..........  Compatibility Between    05/31/04.
                      Cable Systems and
                      Consumer Electronics
                      Equipment.
3060-0960..........  Application of Network   03/31/06.
                      Non-Duplication,
                      Syndicated
                      Exclusivity, and
                      Sports Blackout Rules
                      to Satellite
                      Retransmissions of
                      Broadcast Signals.
3060-0962..........  Redesignation of the 18  02/28/06.
                      GHz Frequency Band,
                      Blanket Licensing of
                      Satellite Earth
                      Stations in the Ka-
                      Band, and the
                      Allocation of
                      Additional Spectrum
                      for Broadcast
                      Satellite Service Use.
3060-0963..........  Sec. 101.527,            04/30/04.
                      Construction
                      Requirements for 24
                      GHz Operations; Sec.
                      101.529, Renewal
                      Expectancy Criteria
                      for 24 GHz Licensees.
3060-0966..........  Secs. 80.385, 80.475,    04/30/04.
                      and 97.303,
                      AutomatedMarine
                      Telecommunications
                      Service (AMTS).
3060-0967..........  Sec. 79.2..............  04/30/04.
3060-0968..........  FCC 501................  07/31/04.
3060-0970..........  Sec. 90.621(e)(2)......  06/30/04.
3060-0971..........  Numbering Resource       09/30/04.
                      Optimization.
3060-0972..........  Multi-Association Group  01/31/07.
                      (MAG) Plan for
                      Regulation of
                      Interstate Services of
                      Non-Price Cap
                      Incumbent Local
                      Exchange Carriers and
                      Interexchange Carriers.
3060-0973..........  Sec. 64.1120(e)........  11/30/04.
3060-0974..........  Proposed Requirements    04/30/04.
                      for Secondary Market
                      Transactions, CC
                      Docket No. 99-200.
3060-0975..........  Promotion of             05/31/04.
                      Competitive Networks
                      in Local
                      Telecommunications
                      Markets Multiple
                      Environments (47 CFR
                      Parts 1, 64 and 68).
3060-0977..........  Procedures for           06/30/04.
                      Reviewing Requests for
                      Relief from State and
                      Local Regulations
                      Pursuant to Section
                      332(c)(7)(B)(v) of the
                      Communications Act of
                      1934.
3060-0978..........  Compatibility with E911  06/30/04.
                      Emergency Calling
                      Systems; Fourth Report
                      and Order.
3060-0979..........  Spectrum Audit Letter..  06/30/06.
3060-0980..........  Implementation of the    06/30/04.
                      Satellite Home Viewer
                      Improvement Act
                      (SHVIA), Carriage
                      Consent Issues,
                      Retransmission Consent
                      Issues, CS Docket Nos.
                      00-96 and 99-363.
3060-0981..........  1998 Biennial Review:    06/30/04.
                      Streamlining of Cable
                      Television Services,
                      Part 76, Public File
                      and Notice
                      Requirements.
3060-0982..........  Implementation of Low    10/31/04.
                      Power Television
                      (LPTV) Digital Data
                      Services Pilot Project.
3060-0983..........  Standards for Co-        07/31/04.
                      Channel and Adjacent
                      Channel Interference
                      in the Land Mobile
                      Radio Service.
3060-0984..........  Secs. 90.35(b)(2) and    07/31/04.
                      90.175(b)(1).

[[Page 54]]

 
3060-0985..........  Public Safety, State     07/31/04.
                      Interoperability
                      Channels.
3060-0986..........  Federal-State Joint      01/31/05.
                      Board on Universal
                      Service, Plan for
                      Reforming the Rural
                      Universal Support
                      Mechanism.
3060-0987..........  911 Callback             06/30/05.
                      Capability: Non-
                      initialized Phones.
3060-0989..........  Procedures for           11/30/05.
                      Applicants Requiring
                      Section 214
                      Authorization for
                      Domestic Interstate
                      Transmission Lines
                      Acquired Through
                      Corporate Control,
                      Secs. 63.01, 63.03 and
                      63.04.
3060-0990..........  Proposed Alternatives    08/31/04.
                      for the Rural Task
                      Force's Proposal to
                      Freeze High-Cost Loop
                      Support Upon
                      Competitive Entry in
                      the Rural Carrier
                      Study Areas (FNPRM).
3060-0991..........  AM Measurement Data....  02/28/05.
3060-0992..........  Request for Extension    12/31/04.
                      of the Implementation
                      Deadline for Non-
                      Recurring Services, CC
                      Docket No. 96-45 and
                      Sec. 54.507(d)(1)-(4).
3060-0994..........  Flexibility for          01/31/07.
                      Delivery of
                      Communications by
                      Mobile Satellite
                      Service Providers in
                      the 2 GHz Band, the L-
                      Band, and the 1.6/2.4
                      GHz Band.
3060-0995..........  Amendment of Part 1 of   05/31/05.
                      the Commission's
                      Rules--Competitive
                      Bidding Procedures,
                      Sec. 1.2105(c)(1) of
                      the Commission's Anti-
                      Collusion Rules.
3060-0996..........  AM Auction Section       03/31/05.
                      307(b) Submissions.
3060-0997..........  Sec. 52.15(k)..........  05/31/05.
3060-0998..........  Sec. 87.109............  01/31/05.
3060-0999..........  Exemption of Public      01/31/05.
                      Mobile Service Phone
                      from the Hearing Aid
                      Compatibility Act:
                      NPRM.
3060-1000..........  Sec. 87.147............  01/31/05.
3060-1001..........  FCC 337................  05/31/05.
3060-1002..........  Cable Horizontal and     01/31/06.
                      Vertical Ownership
                      Information Collection.
3060-1003..........  Telecommunications       07/31/05.
                      Carrier Emergency
                      Contact Information.
3060-1004..........  Wireless                 01/31/07.
                      Telecommunications
                      Bureau Standardizes
                      Carrier Reporting on
                      Wireless E911
                      Implementation.
3060-1005..........  Numbering Resource       06/30/05.
                      Optimization--Phase 3.
3060-1006..........  Phase 3--Further Notice  05/31/05.
                      of Proposed Rulemaking
                      (FNPRM) in CC Docket
                      Nos. 00-199 and 97-
                      212, 2000 Biennial
                      Regulatory Review.
3060-1007..........  Streamlining and Other   01/31/07.
                      Revision of Part 25 of
                      the Commission's Rules.
3060-1008..........  Reallocation and         07/31/05.
                      Service Rules for the
                      698-746 MHz Band
                      (Television Channels
                      52-59).
3060-1009..........  Telecommunications       02/28/06.
                      Reporting Worksheet,
                      CC Docket No. 96-45,
                      Report and Order and
                      Second FNPRM.
3060-1010..........  Numbering Resource       05/31/05.
                      Optimization--Clarific
                      ation and Further
                      Notice.
3060-1011..........  Presubscribed            05/31/05.
                      Interexchange Carrier
                      (PIC)--Change Charges
                      NPRM, CC Docket No. 02-
                      53.
3060-1012..........  Schools and Libraries    06/30/05.
                      Universal Service
                      Support Mechanism, CC
                      Docket No. 02-6, NPRM,
                      Proposed ADA
                      Certification.
3060-1013..........  Mitigation of Orbital    06/30/05.
                      Debris.
3060-1014..........  Ku-Band NGSO FSS.......  08/31/06.
3060-1015..........  Ultra Wideband           01/31/06.
                      Transmission Systems
                      Operating Under Part
                      15.
3060-1021..........  Sec. 25.139............  11/30/05.
3060-1022..........  Sec. 101.1403..........  11/30/05.
3060-1023..........  Sec. 101.103...........  11/30/05.
3060-1024..........  Sec. 101.1413..........  11/30/05.
3060-1025..........  Sec. 101.1440..........  11/30/05.
3060-1026..........  Sec. 101.1417..........  11/30/05.
3060-1027..........  Sec. 27.602............  01/31/06.
3060-1028..........  International Signaling  01/31/06.
                      Point Code (ISPC).
3060-1029..........  Data Network             01/31/06.
                      Identification Code
                      (DNIC).
3060-1030..........  Service Rules for        01/31/06.
                      Advanced Wireless
                      Services (AWS) in the
                      1.7 GHz and 2.1 GHz
                      Bands.
3060-1031..........  Revision of the          08/31/06.
                      Commission's Rules to
                      Ensure Compatibility
                      with Enhanced 911
                      Emergency Calling
                      Systems--Petition of
                      City of Richardson,
                      TX; Order on
                      Reconsideration II.
3060-1032..........  Commercial Availability  03/31/07.
                      of Navigation Devices
                      and Compatibility
                      Between Cable Systems
                      and Consumer
                      Electronics Equipment,
                      FNPRM, CS Docket No.
                      97-80 and PP Docket
                      No. 00-67.
3060-1033..........  FCC 396-C..............  Pending OMB approval.
3060-1034..........  Digital Audio            Pending OMB approval.
                      Broadcasting Systems
                      and Their Impact on
                      the Terrestrial Radio
                      Broadcast Service.
3060-1035..........  FCC 309, 310 and 311...  05/31/06.
3060-1036..........  Potential Reporting      05/31/06.
                      Requirements on Local
                      Exchange Carriers to
                      Assist Expeditious
                      Implementation of
                      Wireless E911 Service.
3060-1038..........  Digital Television       02/28/07.
                      Transition Information
                      Questionnaires.
3060-1039..........  Nationwide Programmatic  02/28/07.
                      Agreement Regarding
                      the Section 106
                      National Historic
                      Preservation Act--
                      Review Process, WT
                      Docket No. 03-128.
3060-1040..........  Broadcast Ownership      Pending OMB approval.
                      Rules, Report and
                      Order in MB Docket No.
                      02-777 and MM Docket
                      Nos. 02-235, 02-237,
                      and 00-244.
3060-1041..........  Remedial Measures for    09/30/06.
                      Failure to Construct
                      Digital Television
                      Stations (DTV Policy
                      Statement).

[[Page 55]]

 
3060-1042..........  Request for Technical    09/30/06.
                      Support.
3060-1043..........  Provision of Improved    09/30/06.
                      Telecommunications
                      Relay Services and
                      Speech-to-Speech
                      Services for
                      Individuals with
                      Hearing and Speech
                      Disabilities, CC
                      Docket No. 98-67.
3060-1044..........  Review of the Section    03/31/07.
                      251 Unbundling
                      Obligations of
                      Incumbent Local
                      Exchange Carriers, CC
                      Docket Nos. 01-338, 96-
                      98 and 98-147.
3060-1045..........  FCC 324................  12/31/06.
3060-1046..........  Implementation of the    Pending OMB approval.
                      Pay Telephone
                      Reclassification and
                      Compensation
                      Provisions of the
                      Telecommunications Act
                      of 1996, CC Docket No.
                      96-128.
3060-1047..........  Telecommunications       01/31/07.
                      Relay Services and
                      Speech-to-Spech
                      Services for
                      Individuals with
                      Hearing and Speech
                      Disabilities, Second
                      Report and Order,
                      Order to
                      Reconsideration, CC
                      Docket No. 98-67.
3060-1048..........  Sec. 1.929(c)(1).......  01/31/07.
3060-1049..........  Digital Broadcast        05/31/04.
                      Content Protection, MB
                      Docket No. 02-230.
3060-1050..........  New Allocation for       06/30/04.
                      Amateur Radio Service,
                      ET Docket No. 02-98.
3060-1051..........  Certification Letter     01/31/07.
                      Accounting for Receipt
                      of Federal Support, CC
                      Docket Nos. 96-45 and
                      96-262, NPRM.
3060-1053..........  Telecommunications       02/28/07.
                      Relay Services, and
                      Speech-to-Speech
                      Services for
                      Individuals with
                      Hearing and Speech
                      Disabilities,
                      Declaratory Ruling, CC
                      Docket No. 98-67.
3060-1054..........  FCC 422-IB.............  02/28/07.
3060-1055..........  FCC 423-IB.............  02/28/07.
3060-1056..........  FCC 421-IB.............  02/28/07.
3060-1057..........  FCC 420-IB.............  02/28/07.
3060-1058..........  Promoting Efficient Use  07/31/04.
                      of Spectrum through
                      the Elimination of
                      Barriers to the
                      Development of
                      Secondary Markets, WT
                      Docket No. 00-230.
3060-1059..........  Revision of the          03/31/07.
                      Commission's Rules to
                      Ensure Compatibility
                      with Enhanced 911
                      Emergency Calling
                      Systems; Amendment of
                      Parts 2 and 25 to
                      Implement the Global
                      Mobile Personal
                      Communications by
                      Satellite (GMPCS),
                      Memorandum of
                      Understanding.
3060-1060..........  Wireless E911            07/31/04.
                      Coordination
                      Initiative Letter.
------------------------------------------------------------------------


[69 FR 15250, Mar. 25, 2004]



Sec. 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 expediency and convenience to their clients or consumers. The policy 
is as follows:
    (a) Blank FCC forms may be reproduced 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 margin(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 document.''
    (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 reproduced is an edition currently 
acceptable by the Commission, which will endeavor to keep the public 
advised of revisions to its forms, but cannot assume responsibility to 
the extent of eliminating 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 application or report requirements. Requests for permission to 
submit such forms to the Commission should be addressed to the Office of 
Managing Director.

[53 FR 27861, July 25, 1988]

[[Page 56]]

                          Printed Publications



Sec. 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 pertaining to communications are 
contained 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 pertaining to radio 
have been compiled in a single volume, Radio Laws of the United States 
(1962 ed.). See Sec. Sec. 0.405 and 0.414.
    (b) Regulatory materials--(1) The Code of Federal Regulations. The 
rules and regulations of the Commission are contained in chapter I of 
title 47 of the Code of Federal Regulations. Chapter I is divided into 
the following four subchapters, which may be purchased separately: 
Subchapter A--General; Subchapter B--Common Carrier Services; Subchapter 
C--Broadcast Radio Services; and Subchapter D--Private Radio Services. 
Most persons will find that they need subchapter A, containing the 
general rules, and one of the other volumes, depending upon their area 
of interest. These four volumes are revised annually to reflect changes 
in the rules. See Sec. Sec. 0.406, 0.412, and 0.415. The Code of 
Federal Regulations is fully indexed 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 except on legal holidays. Notices of proposed rule 
making, other rule making documents, statements of general policy, 
interpretations of general applicability, and other Commission documents 
having general applicability and legal effect are also published in the 
Federal Register. Summaries of the full Notices of proposed rule making 
and other rule making decisions adopted by the Commission constitute 
rulemaking documents for purposes of Federal Register publication. The 
Federal 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]



Sec. 0.413  The Commission's printed publications.

    The Commission's printed publications are described in Sec. Sec. 
0.414 through 0.420. These publications may be purchased from the 
Superintendent of Documents, U.S. Government Printing Office, 
Washington, DC 20402.

[64 FR 60722, Nov. 8, 1999]



Sec. 0.414  The Communications Act and other statutory materials.

    This publication, with packets of revised pages, contains the 
Communications Act of 1934, with amendments through 1964; the 
Administrative Procedure Act, with amendments through 1964; the Judicial 
Review Act; the Communications Satellite Act of 1962; and selected 
sections of the Criminal Code pertaining to communications. It also 
contains indexes to the Communications Act and the Administrative 
Procedure Act. Persons who do not have ready access to the United States 
Code, or who refer frequently to these materials, may find this volume 
to be useful.

[32 FR 10571, July 19, 1967]



Sec. 0.415  The rules and regulations (looseleaf service).

    (a) In this service, the rules are divided into 10 volumes, each 
containing several related parts. Each volume may be purchased 
separately from the Superintendent of Documents. The purchase price for 
a volume includes a subscription to replacement pages reflecting changes 
in the rules contained therein until such time as the volume is revised. 
Each volume is revised periodically, depending primarily on the 
frequency with which the rules it contains have been amended. When a 
volume is revised, the revised volume and replacement pages therefor 
will be furnished to those who renew their subscriptions.
    (b) [Reserved]

[41 FR 21449, May 26, 1976, as amended at 45 FR 49935, July 28, 1980; 51 
FR 31304, Sept. 2, 1986]

[[Page 57]]



Sec. 0.416  The Federal Communications Commission Record.

    Texts adopted by the Commission or a member of its staff on 
delegated authority and released through the Office of Media Relations 
are published in the FCC Record. The FCC Record is published biweekly in 
pamphlet form. The pamphlets are available on a subscription basis from 
the Superintendent of Documents. Each biweekly pamphlet contains a table 
of contents and current index. A consolidated index is published on a 
periodic basis.

[64 FR 60722, Nov. 8, 1999]



Sec. 0.417  The Annual Reports.

    At the end of each fiscal year, the Commission publishes an Annual 
Report containing general information concerning the Commission and the 
history of regulation, a summary of developments during the year, and 
selected industry statistics.

[32 FR 10571, July 19, 1967]



Sec. 0.420  Other Commission publications.

    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 Procurement 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



Sec. 0.421  Application forms.

    All forms for use in submitting applications for radio 
authorization, together with instructions and information as to filing 
such forms, may be obtained at the Washington offices of the Commission 
or at any of the field offices listed in Sec. 0.121. For information 
concerning the forms to be used and filing 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]



Sec. 0.422  Current action documents and public notices.

    Documents adopted by the Commission, 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 Commission's duplicating contractor.

[64 FR 60722, Nov. 8, 1999]



Sec. 0.423  Information bulletins.

    Information bulletins and fact sheets containing information about 
communications issues and the Federal Communications Commission are 
available on the Commission's web site at www.fcc.gov, ftp.fcc.gov or 
may be requested from the Consumer and Governmental Affairs Bureau.

[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]

         Lists Containing Information Compiled by the Commission



Sec. 0.431  The FCC service frequency lists.

    Lists of frequency assignments to radio stations authorized by the 
Commission are recapitulated periodically by means of an automated 
record system. All stations licensed by the Commission are included, 
except the following: Aircraft, amateur, personal (except General Mobile 
Radio Service), Civil Air Patrol, and disaster. The resulting documents, 
the FCC service frequency lists, consist of several volumes arranged by 
nature of service, in frequency order, including station locations, call 
signs and other technical particulars of each assignment. These 
documents are available for public inspection in Washington, D.C., in 
the Office of Engineering and Technology. Copies may be purchased from 
the Commission's duplicating contractor. See Sec. 0.465(a).

[64 FR 60722, Nov. 8, 1999]

[[Page 58]]



Sec. 0.434  Data bases and lists of authorized broadcast stations and 
pending broadcast applications.

    Periodically the FCC makes available copies of its data bases and 
lists containing information about authorized broadcast stations, 
pending applications for such stations, and rulemaking proceedings 
involving amendments to the TV and FM Table of Allotments. The data 
bases, and the lists prepared from the data bases, contain frequencies, 
station locations, and other particulars. The lists are available for 
public inspection at the FCC's Reference Information Center at 445 12th 
Street, SW., Washington, DC. Paper copies of the lists may be purchased 
from the FCC's duplicating contractor; see Sec. 0.465(a). Many of the 
databases may be viewed at the Commission'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 Information Center. These lists are 
derived from the data bases and can be used as an alternative research 
source to the Broadcast Application Processing System (BAPS).

[64 FR 60722, Nov. 8, 1999]

              Public Information and Inspection of Records



Sec. 0.441  General.

    Any person desiring to obtain information may do so by contacting 
the Consumer and Governmental Affairs Bureau. Requests for information, 
general inquiries, and complaints may be submitted by:
    (a) Internet at www.fcc.gov/CIB/FCCINFO or ftp.fcc.gov/CIB/FCCINFO.
    (b) Telephone at 1-(888) CALLFCC (1-888-225-5322).
    (c) TDD/TDY at (202) 418-0484.
    (d) Correspondence at: Consumer and Governmental Affairs Bureau, 
P.O. Box FCC, 445 12th Street, SW., Washington, DC 20554.
    (e) Visiting the Reference Information Center of the Consumer and 
Governmental Affairs Bureau at the Commission's main office in 
Washington, DC.

[64 FR 60723, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]



Sec. 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 generally governed by 44 U.S.C. 3512 and 3510(b) rather than the 
Freedom of Information Act. The acceptance of materials in confidence 
under Sec. 0.457 or Sec. 0.459 does not provide assurance against 
their disclosure to other agencies.
    (b) Information submitted to the Commission in confidence pursuant 
to Sec. 0.457(c) (2) and (3), (d) and (g) or Sec. 0.459 will be 
disclosed to other agencies of the Federal government upon request: 
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 
information to other Federal agencies only with the prior written 
approval of the General Counsel. In no event will assurance against 
disclosure to other agencies be given in advance of submission of the 
information to the Commission if submission is required by statute or by 
the provisions of this chapter; but the notice provisions of paragraph 
(d) of this section will apply to such information.
    (d)(1) Except as provided in paragraphs (d)(2) and (d)(3) of this 
section, a party who furnished records to the Commission in confidence 
will be notified at the time that the request for disclosure is 
submitted and will be afforded 10 days in which to oppose disclosure.
    (2) If the agency requesting the rec ords states to the satisfaction 
of the Commission that notice to the party who furnished the records to 
the Commission will interfere unduly with its law enforcement activities 
and further states that it will notify that party of the Commission's 
disclosure once the potential for such interference is eliminated, the 
Commission will not give notice of disclosure.

[[Page 59]]

    (3) A party who furnished records to the Commission in confidence 
under Sec. 0.457(d) or 0.459 will not be afforded prior notice when the 
disclosure is made to the Comptroller General. Such a party will instead 
be notified of disclosure of the records to the Comptroller General 
either individually or by public notice.
    (4) If disclosure is opposed and the Commission decides to make the 
rec ords available to the other agency, the party who furnished the 
records to the Commission will be afforded ten (10) working days from 
the date of the ruling in which to move for a judicial stay of the 
Commission's action. If he 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.

[44 FR 55573, Sept. 27, 1979; 44 FR 57096, Oct. 4, 1979, as amended at 
64 FR 55162, Oct. 12, 1999]



Sec. 0.445  Publication, availability and use of opinions, orders, policy 
statements, interpretations, administrative manuals, and staff instructions.

    (a) Adjudicatory opinions and orders of the Commission, or its staff 
acting on delegated authority, are mailed to the parties, and as part of 
the record, are available for inspection in accordance with Sec. Sec. 
0.453 and 0.455.
    (b) Texts adopted by the Commission or a member of its staff on 
delegated authority and released through the Office of Media Relations 
are published in the FCC Record. Older materials of this nature are 
available in the FCC Reports. In the event that such older materials are 
not published in the FCC Reports, reference should be made to the 
Federal Register or Pike and Fischer Radio Regulation.
    (c) All rulemaking documents are published in the Federal Register. 
Summaries of the full Notices of proposed rule making and other rule 
making decisions adopted by the Commission constitute rulemaking 
documents for purposes of Federal Register publication. See Sec. 
1.412(a)(1). The complete text of the Commission decision also is 
released by the Commission and is available for inspection and copying 
during normal business hours in the Office of Media Relations or as 
otherwise specified in the rulemaking document published in the Federal 
Register. Docketed matters are available to the public via the 
Electronic Comment Filing System maintained in the Reference Information 
Center at 445 12th Street, Washington, DC. The complete texts of 
rulemaking decisions may also be purchased from the Commission's 
duplicating contractor.
    (d) Formal policy statements and interpretations designed to have 
general applicability and legal effect are published in the Federal 
Register, the FCC Record, FCC Reports, or Pike and Fischer. Commission 
decisions and other Commission documents not entitled formal policy 
statements or interpretations may contain substantive interpretations 
and statements regarding policy, and these are published as part of the 
document in the FCC Record, FCC Reports or Pike and Fischer. General 
statements regarding policy and interpretations furnished to 
individuals, in correspondence or otherwise, are not ordinarily 
published.
    (e) If the documents described in paragraphs (a) through (d) of this 
section are published in the Federal Register, the FCC Record, FCC 
Reports, or Pike and Fischer Radio Regulation, they may be relied upon, 
used or cited as precedent by the Commission or private parties in any 
manner. If they are not so published, they may not be relied upon, used 
or cited as precedent, except against persons who have actual notice of 
the document in question or by such persons against the Commission. No 
person is expected to comply with any requirement or policy of the 
Commission unless he has actual notice of that requirement or policy or 
a document stating it has been published as provided in this paragraph. 
Nothing in this paragraph, however, shall be construed as precluding a 
reference to the rationale set forth in a recent document that is 
pending publication if the requirment or policy to which the rationale 
relates is contained in a published document or if actual notice of that 
requirement or policy has been given.

[[Page 60]]

    (f) The Federal Register, the FCC Record, FCC Reports and Pike and 
Fischer Radio Regulation are indexed. If the documents described in 
paragraphs (a)-(d) of this section are not published, they are neither 
indexed nor relied upon, except as provided in paragraph (e) of this 
section.
    (g) The FCC Administrative Manual (excepting Part IX, concerning 
Civil Defense, which contains materials classified under E.O. 10501) is 
available for inspection in the Office of the Managing Director. The 
Manual is not indexed but is organized by subject, with tables of 
contents, and the materials contained therein can be located without 
difficulty.
    (h) Subparts A and B of this part describe the functions of the 
staff and list the matters on which authority has been delegated to the 
staff. Except as provided in paragraph (g) of this section, all general 
instructions to the staff and limitations upon its authority are set 
forth in those subparts. As part of the Commission's rules and 
regulations, the provisions of these subparts are indexed in the Federal 
Register and the Code of Federal Regulations. Instructions to the staff 
in particular matters or cases are privileged and are not published or 
made available for public inspection.
    (i) To the extent required to prevent a clearly unwarranted invasion 
of personal privacy, the Commission may delete identifying details 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.

[32 FR 10573, July 19, 1967, as amended at 40 FR 17255, Apr. 18, 1975; 
50 FR 27953, July 9, 1985; 51 FR 7444, Mar. 4, 1986; 51 FR 45889, Dec. 
23, 1986; 61 FR 8477, Mar. 5, 1996; 64 FR 60723, Nov. 8, 1999]



Sec. 0.451  Inspection of records: Generally.

    (a) Records which are routinely available for public inspection. 
Sections 0.453 and 0.455 list those Commission records which are 
routinely available for public inspection and the places at which those 
records may be inspected. Procedures governing requests for inspection 
of such records are set out in Sec. 0.460.
    (b) Records which are not routinely available for public inspection. 
Records which are not listed in Sec. 0.453 or Sec. 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 Sec. 0.457 and of particular records withheld from public 
inspection under Sec. 0.459. The Commission has determined that there 
is a statutory basis for withholding these records from public 
inspection. In some cases, the Commission is prohibited from permitting 
the inspection of records. In other cases, the records are the property 
of another agency, and the Commission has no authority to permit their 
inspection. In still other cases, the Commission is authorized, for 
reason of policy, to withhold records from inspection, but is not 
required to do so.
    (2) The second category consists of records which are not listed in 
Sec. 0.453, Sec. 0.455, or Sec. 0.457 and have not been withheld from 
inspection under Sec. 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 determine 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 
individual determination is required.
    (3) Procedures governing requests for inspection of these records 
are set out in Sec. 0.461.
    (4) Procedures governing demands by competent authority for 
inspection of these records are set out in Sec. 0.463.
    (5) Except as provided in Sec. Sec. 0.461 and 0.463, no officer or 
employee of the Commission shall permit the inspection of records which 
are not routinely available for public inspection under Sec. 0.453 or 
Sec. 0.455, or disclose information contained therein.
    (c) Copies. Section 0.465 applies to requests for copies of 
Commission records which are routinely available for public inspection 
under Sec. Sec. 0.453 and 0.455 and those which are made available for 
inspection under Sec. 0.461. Section 0.467 applies to requests for 
certified copies of Commission records.

[[Page 61]]

    (d) Search fees. Section 0.466 prescribes fees to cover the expense 
of searching for records made available for inspection under Sec. 0.460 
or Sec. 0.461.

[40 FR 7313, Feb. 19, 1975]



Sec. 0.453  Public reference rooms.

    The Commission maintains the following public reference rooms at its 
offices in Washington, DC, and Columbia, Maryland. Much of the 
information available from the public reference rooms may also be 
retrieved from the Commission's WorldWide Website at http://www.fcc.gov:
    (a) The Reference Information Center of the Consumer and 
Governmental Affairs Bureau. (1) 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 docket rule 
making proceeding. Cards summarizing the history of such cases are 
available for inspection.
    (2) Files, documents, and records related to the following services:
    (i) Mass Media Services.
    (A) Applications for broadcast authorizations and related files are 
available for public inspection Certain broadcast applications, reports 
and records are also available for inspection in the community in which 
the station is located or is proposed to be located. See Sec. Sec. 
73.3526 and 73.3527 of this chapter.
    (B) Ownership reports filed by licensees of broadcast stations 
pursuant to Sec. 73.3615.
    (C) Network affiliation contracts between stations and networks (for 
television stations only).
    (D) Contracts relating to network service to broadcast licensees 
filed on or after the 1st day of May 1969 under Sec. 73.3613.
    (E) Annual employment reports filed by licensees and permittees of 
broadcast stations pursuant to Sec. 73.3612 of this chapter.
    (F) Contract files which contain pledges, trust agreements, options 
to purchase stock agreements, partnership agreements, management 
consultant agreements, and mortgage or loan agreements.
    (G) broadcast applications and related files.
    (H) FM Translator applications and related files.
    (I) Station files containing Notice of Apparent Liability and 
Memorandum of Opinion and Order and related files.
    (J) Network correspondence files and related materials.
    (ii) Common Carrier Services, including:
    (A) Annual reports filed by carriers under Sec. 43.21 of this 
chapter.
    (B) Reports on pensions and benefits filed by carriers under Sec. 
43.42 of this chapter.
    (C) Reports of proposed changes in depreciation rates filed by 
carriers under Sec. 43.43 of this chapter.
    (D) Tariff schedules for all charges for interstate and foreign wire 
or radio communications filed pursuant to section 203 of the 
Communications Act, all related documents and communications.
    (E) All applications for common carrier authorizations acted upon by 
the Enforcement Bureau, and related files.
    (F) All formal and informal complaints against common carriers filed 
under Sec. Sec. 1.711 through 1.735 of this chapter, all documents 
filed in connection therewith, and all communications related thereto.
    (G) Annual employment reports filed by common carrier licensees or 
permittees pursuant to Sec. 1.815 of this chapter.
    (H) Enforcement proceedings and public inquiries and related 
materials.
    (I) Files containing contracts between carriers and affiliates, 
accounts and subaccounts, pension filings, property records, disposition 
units, and depreciation rate filings.
    (J) Cost Allocation Manuals and related materials.
    (K) Section 214 applications and related files, to the extent that 
they concern domestic communications facilities and services.
    (L) Files containing reports required by FCC Rules and Regulations, 
annual reports to stockholders, administrative reports, monthly bypass 
reports and related materials.
    (M) Files containing reference material from major telephone 
companies.
    (N) Files containing Local Exchange Rates and related files.
    (O) Currently effective tariffs filed by Communications Common 
Carriers

[[Page 62]]

pursuant to various FCC Rules and Regulations.
    (P) Recent revisions to tariff filings and the Reference Information 
Center Log which is prepared daily and lists the tariff filings received 
the previous day.
    (iii) Wireless Telecommunications Services and Auction related data 
including:
    (A) Station files containing a complete history of data submitted by 
the applicant that has been approved by the Commission which includes 
background material.
    (B) Pending files containing applications for additional facilities 
or modifications of existing facilities.
    (C) Cellular and Paging Granted Station files and related materials.
    (D) Pending cellular and paging applications and related files.
    (E) Electronically stored application and licensing data for 
commercial radio operators and for all authorizations in the Wireless 
Radio services are available for public inspection via the Commission's 
wide area network. Wireless Radio services include Commercial and 
Private Mobile Radio, Common Carrier and Private Operational Field 
point-to-point Microwave, Local Television Transmission Service (LTTS), 
Digital Electronic Message Service (DEMS), Aviation Ground and Marine 
Coast applications. Some of these services are available electronically 
now and most will be available on electronically within 90 days of the 
implementation of the Universal Licensing System (ULS).
    (F) Petitions and related materials.
    (iv) International Services, except to the extent they are excluded 
from routine public inspection under another section of this chapter:
    (A) Satellite and earth station applications files and related 
materials under parts 25 and 100 of this chapter;
    (B) Section 214 applications and related files under part 63 of this 
chapter, to the extent that they concern international communications 
facilities and services;
    (C) International Fixed Public Radio applications and related files 
under part 23 of this chapter;
    (D) 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 section 4(j) of the Communications Act (see Sec. 
0.457(c)(1)(i));
    (E) Documents relating to INTELSAT or INMARSAT;
    (F) International broadcast applications, applications for 
permission to deliver programming to foreign stations, and related files 
under part 73 of this chapter;
    (v) Cable services. The following files and documents are available, 
including:
    (A) All complaints regarding cable programming rates, all documents 
filed in connection therewith, and all communications related thereto, 
unless the cable operator has submitted a request pursuant to Sec. 
0.459 that such information not be made routinely available for public 
inspection.
    (B) Special relief petitions and files pertaining to cable 
television operations.
    (C) Cable television system reports filed by operators pursuant to 
Sec. 76.403 of this chapter.
    (D) Annual employment reports filed by cable television systems 
pursuant to Sec. 76.77 of this chapter.
    (E) Files and documents related to Cable Television Relay Service 
(CARS)
    (b) Reference Information Center. Station files containing 
applications and related materials for Remote Pickup, Aural STL/ICR, TV 
Auxiliary, and Low Power Auxiliary Stations in the mass media services.
    (c) The Library. Various legal and technical publications, and 
legislative history compilations, related to communications are 
available for inspection in the Library.
    (d) The Office of Engineering and Technology, FCC Laboratory 
Reference Room. The following documents, files and records are available 
for inspection at this location. Files containing approved applications 
for Equipment Authorization and related materials are available for 
review. These files are available in the Commission's Laboratory in 
Columbia, Maryland.
    (e) The International Bureau. The International Bureau maintains 
international settlement agreements and

[[Page 63]]

contracts and international cable agreements.
    (f) The Media Bureau. The Media Bureau maintains all cable operator 
requests for approval of existing or increased cable television rates 
for basic service and associated equipment over which the Commission had 
assumed jurisdiction, all documents filed in connection therewith, and 
all communications related thereto, unless the cable operator has 
submitted a request pursuant to Sec. 0.459 that such information not be 
made routinely available for public inspection.
    (g) The Wireline Competition Bureau. Section 214 applications and 
related files, to the extent that they concern domestic communications 
facilities and services are available for inspection at this location.
    (1) [Reserved]
    (2) Section 214 applications and related files, to the extent that 
they concern domestic communications facilities and services.
    (h) The Wireless Telecommunications Bureau, Commercial Mobile 
Services Reference Room. The following documents, files and records are 
available for inspection at two different locations. The Legal Branch is 
the responsible custodian for both locations.
    (1) The Wireless Telecommunications Bureau Reference Room--
Gettysburg. Commercial radio operator application files and all 
authorizations in the Wireless Radio Services and files relating 
thereto, which includes Land Mobile, Microwave, Aviation Ground and 
Marine Coast applications. All of these materials are available in the 
Commission's offices in Gettysburg, Pennsylvania. See Sec. 0.457(f)(3). 
This reference room also contains station files containing applications 
and related materials for Remote Pickup, Aural STL/ICR, TV Auxiliary, 
and Low Power Auxiliary Stations in the Mass Media services. This 
reference room also contains station files containing applications and 
related materials for the Point-to-Point Microwave (including the Local 
Television Transmission Service) and Digital Electronic Message (DEMS) 
services in the Common Carrier services. Cards summarizing the 
historical record of applications and dispositions of the Broadcast 
Auxiliary service through May 1982 are available for inspection as well.
    (2) Pending files containing applications for additional facilities 
or modifications of existing facilities.
    (3) Cellular Granted Station files and related materials.
    (4) Pending cellular applications and related files.
    (5) Petitions and related materials.
    (i) The Wireline Competition Bureau, Industry Analysis Reference 
Room. The following documents, files and records are available for 
inspection at this location.
    (1) Files containing reports required by FCC Rules and Regulations, 
annual reports to stockholders, administrative reports, monthly bypass 
reports and related materials.
    (2) Files containing reference material from major telephone 
companies.
    (3) Files containing Local Exchange Rates and related files.
    (j) The Wireline Competition Bureau, Tariff Review Reference Room. 
Contains currently effective tariffs filed by Communications Common 
Carriers pursuant to various FCC Rules and Regulations. Also available 
for review and copying are recent revisions to tariff filings and the 
Public Reference Room Log, which is prepared daily and lists the tariff 
filings received the previous day.
    (k) The Office of Engineering and Technology, FCC Laboratory 
Reference Room. The following documents, files and records are available 
for inspection at this location. Files containing approved applications 
for Equipment Authorization and related materials are available for 
review. These files are available in the Commission's Laboratory in 
Columbia, Maryland.
    (l) The International Bureau Reference Room. Except to the extent 
they are excluded from routine public inspection under another section 
of this chapter, the following documents, files, and records are 
available for inspection at this location:
    (1) Satellite and earth station applications files and related 
materials under parts 25 and 100 of this chapter;
    (2) Section 214 applications and related files under part 63 of this 
chapter,

[[Page 64]]

to the extent that they concern international 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 section 4(j) of the Communications Act (see Sec. 
0.457(c)(1)(i));
    (5) Files relating to international settlements under part 64 of 
this chapter;
    (6) Documents relating to INTELSAT or INMARSAT;
    (7) International broadcast applications, applications for 
permission to deliver programming to foreign stations, and related files 
under part 73 of this chapter; and
    (8) International settlement agreements and contracts and 
international cable agreements.
    (m) The Media Bureau Reference Center. The following documents, 
files and records are available for inspection at this location.
    (1) All complaints regarding cable programming rates, all documents 
filed in connection therewith, and all communications related thereto, 
unless the cable operator has submitted a request pursuant to Sec. 
0.459 that such information not be made routinely available for public 
inspection.
    (2) All cable operator requests for approval of existing or 
increased cable television rates for basic service and associated 
equipment over which the Commission has assumed jurisdiction, all 
documents filed in connection therewith, and all communications related 
thereto, unless the cable operator has submitted a request pursuant to 
Sec. 0.459 that such information not be made routinely available for 
public inspection.
    (3) Special relief petitions and files pertaining to cable 
television operations.
    (4) Cable television system reports filed by operators pursuant to 
Sec. 76.403 of this chapter.
    (n) Electronically stored application and licensing data for 
commercial radio operator applications and all authorizations in the 
Wireless Radio services are available for public inspection via the 
Commission's wide area network. Wireless Radio services include 
Commercial and Private Mobile Radio, Common Carrier and Private 
Operational Fixed Point-to-Point Microwave, Local Television 
Transmission Service (LTTS), Digital Electronic Message Service (DEMS), 
Aviation Ground and Marine Coast applications.

[32 FR 10573, July 19, 1967, as amended at 46 FR 27655, May 21, 1981; 50 
FR 40014, Oct. 1, 1985; 52 FR 38764, Oct. 19, 1987; 58 FR 19772, Apr. 
16, 1993; 59 FR 32132, June 22, 1994; 60 FR 5325, Jan. 27, 1995; 60 FR 
35507, July 10, 1995; 63 FR 36596, July 7, 1998; 63 FR 68919, Dec. 14, 
1998; 64 FR 28936, May 28, 1999; 64 FR 60723, Nov. 8, 1999; 67 FR 13221, 
Mar. 21, 2002]

    Effective Date Note: At 64 FR 28936, May 28, 1999, in Sec. 0.453 
paragraph (o) was added, effective 90 days after ULS is implemented for 
all services licensed by the Wireless Telecommunications Bureau.



Sec. 0.455  Other locations at which records may be inspected.

    Except as provided in Sec. Sec. 0.453,0.457, and 0.459, records are 
routinely available for inspection in the Reference Information Center 
or the offices of the Bureau or Office which exercises responsibility 
over the matters to which those records pertain (see Sec. 0.5), or will 
be made available for inspection at those office upon request. Upon 
inquiry to the appropriate Bureau or Office, persons desiring to inspect 
such records will be directed to the specific location at which the 
particular records may be inspected. A list of Bureaus and Offices and 
examples of the records available at each is set out below.
    (a) Media Bureau. (1) Rulings under the Fairness Doctrine and 
section 315 of the Communications Act, and related materials.
    (2) Ruling lists which contain brief summaries of rulings.
    (3) Congressional correspondence and related materials.
    (4) Correspondence and other actions and decisions relating to cable 
television services that are not filed in the FCC Reference Information 
Center, e.g. rate regulation files and related documents.

[[Page 65]]

    (b) Wireline Competition Bureau. (1) Reports of public coast station 
operators filed under Sec. 43.71 of this chapter.
    (2) Valuation reports filed under section 213 of the Communications 
Act, including exhibits filed in connection therewith, unless otherwise 
ordered by the Commission, with reasons therefor, pursuant to section 
213(f) of the Communications Act. See Sec. 0.457(c)(2).
    (3) Computer II files and related materials.
    (c) Office of Managing Director. (1) All minutes of Commission 
actions, containing a record of all final votes, minutes of actions and 
internal management matters as provided in Sec. 0.457 (b)(1) and 
(c)(1)(i). These records and files are available for inspection in the 
Agenda Group.
    (2) Files containing information concerning the history of the 
Commission's rules. These files are available for inspection in the 
Publications Group.
    (3) See Sec. 0.443.
    (4) Reports filed pursuant to subpart E of part 19 of this chapter 
and applications for inspection of such reports. See Sec. 0.460(k).
    (d) Office of Engineering and Technology which includes the Bureau's 
Technical Library containing technical reports, technical journals, and 
bulletins of spectrum management and related technical materials. Also 
files containing approved applications for Equipment Authorization (Type 
accepted, certified and notified) and related materials are available 
for review. These files are available in the Commission's Laboratory in 
Columbia, Maryland.
    (1) Experimental application and license files.
    (2) The Master Frequency Records.
    (3) Applications for Equipment Authorization (type accepted, type 
approval, certification, or advance approval of subscription television 
systems), following the effective date of the authorization. See Sec. 
0.457(d)(1)(ii). (Application files, technical journals and other 
technical materials are maintained at the Commission's Laboratory at 
Columbia, Maryland.)
    (e) International Bureau. The treaties and other international and 
bilateral agreements listed in Sec. 73.1650 of this chapter are 
available for inspection in the office of the Chief, Strategic Analysis 
and Negotiations Division, International Bureau. Also contracts and 
other arrangements filed under Sec. 43.51 and reports of negotiations 
regarding foreign communication matters filed under Sec. 43.52 of this 
chapter, except for those kept confidential by the Commission pursuant 
to section 412 of the Communications Act. See Sec. 0.457(c)(3). Also 
files relating to international settlements under part 64 of this 
chapter.

[67 FR 13222, Mar. 21, 2002]



Sec. 0.457  Records not routinely available for public inspection.

    The records listed in this section are not routinely available for 
public inspection. The records are listed in this section by category, 
according to the statutory basis for withholding those records from 
inspection; and under each category, if appropriate, the underlying 
policy considerations affecting the withholding and disclosure of 
records in that category are briefly outlined. Except where the records 
are not the property of the Commission or where the disclosure of those 
records is prohibited by law, the Commission will entertain requests 
from members of the public under Sec. 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 permitting inspection in the 
light of the facts of the particular case. In making such requests, it 
is important to appreciate that 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 
inspect or copy the transcripts, recordings or minutes of agency or 
advisory committee meetings will be considered under Sec. 0.603 rather 
than under the provisions of this section.
    (a) Materials that are specifically authorized under criteria 
established by Executive Order 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.

[[Page 66]]

552(b)(1). (1) E.O. 10450, ``Security Requirements for Government 
Employees,'' 18 FR 2489, April 27, 1953, 3 CFR, 1949-1953 Comp., p. 936. 
Pursuant to the provisions of E.O. 10450, reports and other material and 
information developed in security investigations are the property of the 
investigative agency. If they are retained by the Commission, it is 
required that they be maintained in confidence and that no access be 
given to them without the consent of the investigative agency. Such 
materials and information will not be made available for public 
inspection. See also paragraphs (f) and (g) of this section.
    (2) E.O. 10501, ``Safeguarding Official Information in the Interests 
of the Defense of the United States,'' 18 FR 7049, November 10, 1953, as 
amended, 3 CFR, 1965 ed., p. 450. E.O. 10501, as amended, provides for 
the classification of official information which requires protection in 
the interests of national defense, and prohibits the disclosure of 
classified information except as provided therein. Classified materials 
and information will not be made available for public inspection. See 
also, E.O. 10033, February 8, 1949, 14 FR 561, 3 CFR, 1949-1953 Comp., 
p. 226, and 47 U.S.C. 154(j).
    (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 minutes of 
Commission actions on such matters. Such materials may be made available 
for inspection under Sec. 0.461, however, unless their disclosure would 
interfere with or prejudice the performance of the internal management 
functions to which they relate, or unless their disclosure would 
constitute a clearly unwarranted invasion of personal privacy (see 
paragraph (f) of this section).
    (2) Materials relating to the negotiation of contracts.
    (3) All materials used in conducting radio operator examinations, 
including test booklets, Morse Code tapes, and scoring masks.
    (c) Materials that are specifically exempted from disclosure by 
statute (other than the Government in the Sunshine Act, 5 U.S.C. 552b): 
Provided, That such statute (1) requires that the materials be withheld 
from the public in such a manner as to leave no discretion on the issue, 
or (2) establishes particular criteria for withholding or refers to 
particular types of materials to be withheld. The Commission is 
authorized under the following statutory provisions to withhold 
materials from public inspection.
    (1) Section 4(j) of the Communications Act, 47 U.S.C. 154(j), 
provides, in part, that, ``The Commission is authorized to withhold 
publication of records or proceedings containing secret information 
affecting the national defense.'' Pursuant to that provision, it has 
been determined that the following materials should be withheld from 
public inspection (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(f) of the Communications Act, 47 U.S.C. 
213(f), the Commission is authorized to order, with the reasons 
therefor, that records and data pertaining to the valuation of the 
property of common carriers and furnished to the Commission by the 
carriers pursuant to the provisions of that section, shall not be 
available for public inspection. If such an order has been issued, the 
data and records will be withheld from public inspection, except under 
the provisions of Sec. 0.461. Normally, however, such data and 
information is available for inspection. See Sec. 0.455(c) (8).
    (3) Under section 412 of the Communications Act, 47 U.S.C. 412, the 
Commission may withhold from public inspection certain contracts, 
agreements and arrangements between common carriers relating to foreign 
wire or radio communication. Reports of negotiations regarding such 
foreign communication matters, filed by carriers under Sec. 43.52 of 
this chapter, may also be withheld from public inspection under section 
412. 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,

[[Page 67]]

agreement or arrangement relates to foreign wire or radio 
communications; that its publication would place American communication 
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 Sec. 0.461.
    (4) Section 605 of the Communications Act, 47 U.S.C. 605, provides, 
in part, that, ``no person not being authorized 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 communications to any person.'' In executing its 
responsibilities, the Commission regularly monitors radio transmissions 
(see Sec. 0.116). Except as required for the enforcement of the 
communications laws, treaties and the provisions of this chapter, or as 
authorized in section 605, the Commission is prohibited from divulging 
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 Criminal Code, 18 U.S.C. 1905, prohibits the 
unauthorized disclosure of certain confidential information. See 
paragraph (d) of this section.
    (d) Trade secrets and commercial or financial information obtained 
from any person and privileged or confidential--categories of materials 
not routinely available for public inspection, 5 U.S.C. 552(b)(4) and 18 
U.S.C. 1905.
    (1) The materials listed in this subparagraph 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 Sec. 0.459. A persuasive showing as to the 
reasons for inspection will be required in requests for inspection of 
such materials submitted under Sec. 0.461.
    (i) Financial reports submitted by licensees of broadcast stations 
pursuant to former Sec. 1.611 or by radio or television networks are 
not routinely available for inspection.
    (ii) Applications for equipment authorizations (type acceptance, 
type approval, certification, or advance approval of subscription 
television systems), and materials relating to such applications, are 
not routinely available 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 applicant. 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 Sec. 0.460). Portions of applications for equipment 
certification of scanning receivers and related materials will not be 
made available for inspection. This information includes that necessary 
to prevent modification of scanning receivers to receive Cellular 
Service frequencies, such as schematic diagrams, technical narratives 
describing equipment operation, and relevant design details.
    (iii) Information submitted in connection 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) Prior to July 4, 1967, the rules and regulations provided that 
certain materials submitted to the Commission would not be made 
available for public inspection or provided assurance, in varying 
degrees, that requests for nondisclosure of certain materials would be 
honored. See, e.g., 47 CFR chapter I revised as of October 1, 1966, 
Sec. Sec. 0.417, 2.557, 5.204, 5.255, 15.70, 21.406, 80.33, 87.153, 
89.215, 91.208, 91.605 and 93.208. Materials submitted under these 
provisions are not routinely available for public inspection. To the 
extent that such materials were accepted on a confidential basis under 
the then existing rules, they are not routinely available for public 
inspection. The rules cited in

[[Page 68]]

this paragraph (d)(1)(v) were superseded by the provisions of this 
paragraph (d), effective July 4, 1967. Equipment authorization 
information accepted on a confidential basis between July 4, 1967 and 
March 25, 1974, will not be routinely available for inspection and a 
persuasive showing as to the reasons for inspection of such information 
will be required in requests for inspection of such materials submitted 
under Sec. 0.461.
    (vi) Information on the users and locations of radio frequency 
identification systems submitted to the Commission pursuant to Sec. 
15.240 will be made available to other Federal Government agencies but 
will not otherwise be made available for inspection.
    (2) Unless the materials to be submitted are listed in paragraph 
(d)(1) of this section and the protection thereby afforded is adequate, 
it is important for any person who submits materials which he wishes 
withheld from public inspection under 5 U.S.C. 552(b)(4) to submit 
therewith a request for non-disclosure pursuant to Sec. 0.459. If it is 
shown in the request that the materials contain trade secrets or 
commercial, financial or technical data which would customarily be 
guarded from competitors, the materials will not be made routinely 
available for inspection; and a persuasive showing as to the reasons for 
inspection will be required in requests for inspection submitted under 
Sec. 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 routinely available for public 
inspection. Ordinarily, however, in the absence of such a request, 
materials which are submitted will be made available for inspection upon 
request pursuant to Sec. 0.461, even though some question may be 
present as to whether they contain trade secrets or like matter.
    (e) Interagency and intra-agency memorandums or letters, 5 U.S.C. 
552(b)(5). Interagency and intra-agency memorandums or letters and the 
work papers of members of the Commission or its staff will not be made 
available for public inspection, except in accordance with the 
procedures set forth in Sec. 0.461. Only if it is shown in a request 
under Sec. 0.461 that such a communication would be routinely available 
to a private party through the discovery process in litigation with the 
Commission will the communication be made available for public 
inspection. Normally such papers are privileged and not available to 
private parties through the discovery process, since their disclosure 
would tend to restrain the commitment of ideas to writing, would tend to 
inhibit communication among Government personnel, and would, in some 
cases, involve premature disclosure of their contents.
    (f) Personnel, medical and other files whose disclosure would 
constitute a clearly unwarranted invasion of personal privacy, 5 U.S.C. 
552(b)(6). (1) Under Executive Order 10561, 19 FR 5963, September 13, 
1954, 3 CFR, 1954-1958 Comp., page 205, the Commission maintains an 
Official Personnel Folder for each of its employees. Such folders are 
under the jurisdiction and control, and are a part of the records, of 
the U.S. Office of Personnel Management. Except as provided in the rules 
of the Office of Personnel Management (5 CFR 294.701-294.703), such 
folders will not be made available for public inspection by the 
Commission. In addition, other records of the Commission containing 
private, personal or financial information concerning particular 
employees will be withheld from public inspection.
    (2) [Reserved]
    (3) Information submitted to the Commission by applicants for 
commercial radio operator licenses concerning the character and mental 
or physical health of the applicant is available for inspection only 
under procedures set forth in Sec. 0.461. Except in this respect, or 
where other aspects of a similar private nature warrant nondisclosure, 
commercial radio operator application files are available for 
inspection.
    (g) Investigatory records compiled for law enforcement purposes, to 
the extent that production of such records would:
    (1) Interfere with enforcement proceedings;
    (2) Deprive a person of a right to fair trial or an impartial 
adjudication;
    (3) Constitute an unwarranted invasion of personal privacy;
    (4) Disclose the identity of a confidential source;

[[Page 69]]

    (5) Disclose investigative techniques or procedures; or
    (6) Endanger the life or physical safety of law enforcement 
personnel, 5 U.S.C. 552(b)(7).

[32 FR 10573, July 19, 1967, as amended at 32 FR 12180, Aug. 24, 1967; 
39 FR 5918, Feb. 14, 1974; 39 FR 27802, Aug. 1, 1974; 40 FR 7313, Feb. 
19, 1975; 40 FR 17255, Apr. 18, 1975; 40 FR 34116, Aug. 14, 1975; 40 FR 
39507, Aug. 28, 1975; 42 FR 12867, Mar. 7, 1977; 43 FR 51794, Nov. 7, 
1978; 45 FR 39850, June 12, 1980; 51 FR 31304, Sept. 2, 1986; 63 FR 
36596, July 7, 1998; 63 FR 44167, Aug. 18, 1998; 64 FR 22561, Apr. 27, 
1999; 64 FR 34740, June 29, 1999; 66 FR 16879, Mar. 28, 2001; 69 FR 
33580, June 16, 2004]



Sec. 0.458  Nonpublic information.

    Any person regulated by or practicing before the Commission coming 
into possession of written nonpublic information (including written 
material transmitted in electronic form) as described in Sec. 19.735-
203(a) of this chapter under circumstances where it appears that its 
release was inadvertent or otherwise unauthorized shall be obligated to 
return the information to the Commission's Office of Inspector General 
pursuant to that section. See 47 CFR 19.735-203.

[65 FR 66185, Nov. 3, 2000]



Sec. 0.459  Requests that materials or information submitted to the 
Commission be withheld from public inspection.

    (a) Any person submitting information or materials to the Commission 
may submit therewith a request that such information not be made 
routinely available for public inspection. (If the materials are 
specifically listed in Sec. 0.457, such a request is unnecessary.) A 
copy of the request shall be attached to and shall cover all of the 
materials to which it applies and all copies 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.
    (b) Each such request shall contain a statement of the reasons for 
withholding the materials from inspection (see Sec. 0.457) and of the 
facts upon which those records are based, including:
    (1) Identification of the specific information for which 
confidential treatment is sought;
    (2) Identification of the Commission proceeding in which the 
information was submitted or a description of the circumstances giving 
rise to the submission;
    (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 
service that is subject to competition;
    (5) Explanation of how disclosure of the information could result in 
substantial competitive harm;
    (6) Identification of any measures taken by the submitting party to 
prevent unauthorized disclosure;
    (7) Identification of whether the information is available to the 
public and the extent of any previous disclosure of the information to 
third parties;
    (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 which do not comply with the requirements of 
paragraphs (a) and (b) of this section will not be considered.
    (d)(1) The Commission may defer acting on requests that materials or 
information submitted to the Commission be withheld from public 
inspection until a request for inspection has been made pursuant to 
Sec. 0.460 or Sec. 0.461. The information will be accorded 
confidential treatment, as provided for in Sec. 0.459(g) and Sec. 
0.461, until the Commission acts on the confidentiality request and all 
subsequent appeal and stay proceedings have been exhausted. If a 
response in opposition to a confidentiality request is filed, the party 
requesting confidentiality may file a reply.
    (2) Requests which comply with the requirements of paragraphs (a) 
and (b) of this section will be acted upon by the appropriate Bureau or 
Office Chief,

[[Page 70]]

who is directed to grant the request if it presents by a preponderance 
of the evidence a case for non-disclosure consistent with the provisions 
of the Freedom of Information Act, 5 U.S.C. 552. If the request is 
granted, the ruling will be placed in the public file in lieu of the 
materials withheld from public inspection. A copy of the ruling shall be 
forwarded to the General Counsel.
    (e) If the materials are submitted voluntarily (i.e., absent any 
direction by the Commission), the person submitting them may request the 
Commission to return the materials without consideration 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 confidential basis). Only in the unusual 
instance where the public interest so requires will the materials be 
made available for public inspection. However, no materials submitted 
with a request for confidentiality will be returned if a request for 
inspection is filed under Sec. 0.461. If submission of the materials is 
required by the Commission and the request for confidentiality is 
denied, the materials will be made available for public inspection.
    (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 Sec. 0.457(g).
    (g) If a request for confidentiality is denied, the person who 
submitted the request may, within 5 working days, file an application 
for review by the Commission. If the application for review is denied, 
the person who submitted the request will be afforded 5 working days in 
which to seek a judicial stay of the ruling. If these periods expire 
without action by the person who submitted the request, the materials 
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 subsection is the day after the date of oral notice. 
Materials will be accorded confidential treatment, as provided in Sec. 
0.459(g) and Sec. 0.461, until the Commission acts on any timely 
applications for review of an order denying a request for 
confidentiality, and until a court acts on any timely motion for stay of 
such an order denying confidential treatment.
    (h) If the request is granted, the status of the materials is the 
same as that of materials listed in Sec. 0.457. Any person wishing to 
inspect them may submit a request for inspection under Sec. 0.461.
    (i) Third party owners of materials submitted to the Commission by 
another party may participate in the proceeding resolving the 
confidentiality of the materials.

[40 FR 7313, Feb. 19, 1975, as amended at 49 FR 21719, May 23, 1984; 55 
FR 8951, Mar. 9, 1990; 63 FR 44167, Aug. 18, 1998; 64 FR 55163, Oct. 12, 
1999]



Sec. 0.460  Requests for inspection of records which are routinely 
available for public inspection.

    (a) Sections 0.453 and 0.455 list those Commission records which are 
routinely available for public inspection and the places at which those 
records may be inspected. Subject to the limitations set out in this 
section and to the provisions of Sec. 0.466 and paragraph (l) of this 
section, a person 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 site on the World Wide Web, 
located at http://www.fcc.gov. Commission documents listed in Sec. 
0.416 are published in the FCC Record, and many such documents or 
summaries thereof are also published in the Federal Register.
    (b) A person who does not want a copy of the records must appear at 
the specified 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 Sec. 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

[[Page 71]]

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 collecting 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 location for storage.
    (c) The records in question must be reasonably described by the 
person requesting them so as to permit their location by staff 
personnel. The information needed to locate the records will vary, 
depending on the records requested. Advice concerning the kind of 
information needed to locate particular records will be furnished in 
advance 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 producing 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 request shall be submitted in 
writing, either in person or by mail.
    (e) Written requests shall be captioned ``REQUEST FOR INSPECTION OF 
RECORDS'', shall be dated, shall list the telephone number (if any) of 
the person making the request 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 Sec. 0.467)
    (f) Written requests shall be delivered or mailed directly to the 
chief of the organizational unit having custody of the records, as 
listed in Sec. Sec. 0.453 and 0.455. If the request is enclosed in an 
envelope, the envelope shall be marked, ``REQUEST FOR INSPECTION OF 
RECORDS.''
    (g) When a written request is received by the custodian of the 
records, it will be date-stamped.
    (h) All requests limited to records listed in Sec. Sec. 0.453 and 
0.455 will be granted, subject to paragraph (k) of this section. 
Requests for records listed in those sections shall not be combined with 
requests for other records.
    (i) The records will be produced for inspection at the earliest 
possible time.
    (j) 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 producing them.
    (k) In addition to the other requirements of this section, the 
following provisions apply to the reports filed with the Commission 
pursuant to subpart E of part 19 of this chapter. (1) Such reports shall 
not be obtained or used:
    (i) For any unlawful purpose; (ii) for any commercial purpose, other 
than by news and communications 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 political, 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: (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 requested; and (iii) that such 
person is aware of the prohibitions on the obtaining or use of the 
report. Further, any such application for inspection shall be made 
available to the public throughout the period 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))

[40 FR 7314, Feb. 19, 1975, as amended at 45 FR 85027, Dec. 24, 1980; 48 
FR 44800, Sept. 30, 1983; 53 FR 39093, Oct. 5, 1988; 62 FR 51797, Oct. 
3, 1997]



Sec. 0.461  Requests for inspection of materials not routinely available 
for public inspection.

    Any person desiring to inspect Commission records which are not 
listed in Sec. 0.453 or Sec. 0.455 shall file a request for

[[Page 72]]

inspection meeting the requirements of this section.
    (a)(1) The records in question must be reasonably described by the 
person requesting them, so as to permit their location by staff 
personnel. See Sec. 0.460(c).
    (2) The person requesting records under this section may specify the 
form or format of the records to be produced.
    (b)(1) Requests shall be captioned ``Freedom of Information Act 
Request,'' shall be dated, shall list the telephone number (if any) of 
the person making the request 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.
    (2) The request shall, in addition, specify the maximum search fee 
the person making the request is prepared to pay (see Sec. 0.467).
    (c) If the records are of the kinds listed in Sec. 0.457 or if they 
have been withheld from inspection under Sec. 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 
statement need accompany the request; but the custodian of the records 
may require the submission of such a statement if he determines that the 
materials in question may lawfully be withheld from inspection.
    (d)(1) Requests shall be delivered or mailed to the Managing 
Director, sent by electronic mail to , or sent 
by facsimile. (For purposes of this section, the custodian of the 
records is the Chief of the appropriate Bureau or Office.)
    (2) If the request is enclosed in an envelope, the envelope shall be 
marked, ``Freedom of Information Act Request.''
    (3) An original and two copies of the request shall be submitted. If 
the request is for materials not open to routine public inspection under 
Sec. 0.457(d) or Sec. 0.459, or if a request for confidentiality is 
pending pursuant to Sec. 0.459, one copy of the request will be mailed 
by the custodian of the records to the person who originally submitted 
the materials to the Commission.
    (e) When the request is received by the Managing Director, it will 
be assigned to the Freedom of Information Act (FOIA) Control Office, 
where it will be date-stamped and assigned to the custodian of the 
records.
    (f) Requests for inspection of records will be acted on as follows 
by the custodian of the records.
    (1) If the Commission is prohibited from disclosing the records in 
question, the request for inspection will be denied with a statement 
setting forth the specific grounds for denial.
    (2) If the records are the property of another agency, the request 
will be referred to that agency and the person who submitted the request 
will be so advised, with the reasons therefor.
    (3) If it is determined that the Commission does not have authority 
to withhold the records from public inspection, the request will be 
granted.
    (4) If it is determined that the Commission does have authority to 
withhold the records from public inspection, the considerations favoring 
disclosure 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 
only from inspection, that part will be deleted and the remainder will 
be made available for inspection.
    (6) In locating and recovering records responsive to a FOIA request, 
only those records within the Commission's possession and control as of 
the date of its receipt of the request shall be considered.
    (g) The custodian of the records will make every effort to act on 
the request within 20 working days after it is received by the FOIA 
Control Office. If it is not possible to locate the records and to 
determine whether they should be made available for inspection within 20 
working days, the custodian may, in any of the following circumstances, 
extend the time for action by up to 10 working days:
    (1) 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.

[[Page 73]]

    (2) It is necessary to search for, collect and appropriately examine 
a voluminous amount of separate and distinct records which are demanded 
in a single request; or
    (3) It is necessary to consult with another agency having a 
substantial interest in the determination of the request, or among two 
or more components of the Commission having substantial subject matter 
interest therein.


The custodian of the records will notify the requester in writing of any 
extension of time exercised pursuant to paragraph (g) of this section. 
If it is not possible to locate the records and make the determination 
within the extended period, the person or persons who made the request 
will be provided an opportunity to limit the scope of the request so 
that it may be processed within the extended time limit, or an 
opportunity to arrange an alternative time frame for processing the 
request or a modified request, and asked to consent to an extension or 
further extension. If the requester agrees to an extension, the 
custodian of the records will confirm the agreement in a letter 
specifying the length of the agreed-upon extension. If he or she does 
not agree to an extension, the request will be denied, 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 mandated by the 
Freedom of Information Act, 5 U.S.C. 552. In that event, the custodian 
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 the Commission. When action is 
taken by the custodian of the records, written notice of the action will 
be given.
    (h)(1) Requesters who seek expedited processing of FOIA requests 
shall submit such requests, along with their FOIA requests, to the 
Managing Director, as described in Sec. 0.461(d). If the request is 
enclosed in an envelope, the envelope shall be marked ``Request for 
Expedited Proceeding--FOIA Request.'' An original and two copies of the 
request for expedition shall be submitted, but only one copy is 
necessary if submitted by electronic mail. When the request is received 
by the Managing Director, it, and the accompanying 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, compelling need means--
    (i) That failure to obtain requested records on an expedited basis 
could reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (ii) With respect to a request made by a person primarily engaged in 
disseminating information, there is an urgency to inform the public 
concerning actual or alleged Federal Government activity.
    (4)(i) Notice of the determination as to whether to grant expedited 
processing shall be provided to the requester by the custodian of 
records within 10 calendar 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 processing is denied, the person 
seeking expedited processing may file an application for review within 
five working days after the date of the written denial. 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 Sec. 1.115 of this 
chapter.) The Commission shall act expeditiously on the application for 
review, and shall notify the custodian of records 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 Sec. 0.457(d) or Sec. 0.459 is granted, 
an application for review of the action may be filed by the person

[[Page 74]]

who submitted the records to the Commission or by a third party owner of 
the records. The application for review and the envelope containing it 
(if any) shall be captioned ``Review of Freedom of Information Action.'' 
The application for review shall be filed within 10 working 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. 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. The 
person who filed the request for inspection of records may respond to 
the application for review within 10 working days after it is filed.
    (2) If the request for inspection of records submitted to the 
Commission in confidence under Sec. 0.457(d) or Sec. 0.459 is 
partially granted and partially denied, the person who submitted the 
records to the Commission, a third party owner of the records and the 
person who filed the request for inspection of those records may file an 
application for review within the 10 working days after the date of the 
written ruling. The application for review and the envelope containing 
it (if any) shall be captioned ``REVIEW OF FREEDOM OF INFORMATION 
ACTION.'' The application for review shall be delivered or mailed to the 
General Counsel. If either person files an application for review, it 
shall be served upon the other person.
    (3) If an application for review is denied, the person filing the 
application for review will be notified in writing and advised of their 
rights.
    (4) If an application for review filed by the person who submitted 
the records to the Commission or who owns the records is denied, or if 
the records are made available on review which were not initially made 
available, the person who submitted the records to the Commission or who 
owns the records will be afforded 10 working days from the date of the 
written ruling in which to move for a judicial stay of the Commission's 
action. 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 record will be 
produced for inspection.
    (j) Except as provided in paragraph (i) of this section, an 
application for review of an initial action on a request for inspection 
may be filed only by the person who made the request. The application 
shall be filed within 30 days after the date of the written ruling by 
the custodian of records, and shall be captioned, ``Review of Freedom of 
Information Action.'' The envelope (if any) shall also be so captioned. 
The application shall be delivered or mailed to the General Counsel and 
shall be served on the person (if any) who originally submitted the 
materials to the Commission. That person may file a response within 10 
working days after the application for review is filed. If the records 
are made available on review, the person who submitted them to the 
Commission (if any) will be afforded 10 working 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 application for review or seeking a judicial stay is the day 
after the date of the written ruling. (For general procedures relating 
to applications for review, see Sec. 1.115 of this chapter.)
    (k) The Commission will make every effort to act on an application 
for review of an action on a request for inspection of records within 20 
working days after it is filed. See, however, paragraph (i) of this 
section. If it is not possible to locate the records and to determine 
whether they should be made available for inspection within 20 working 
days, the General Counsel may, in the following circumstances and to the 
extent time has not been extended under paragraphs (g) (1)(i), (ii), or 
(iii) of this section, extend the time for action up to 10 working days. 
(The total period of extensions taken under this paragraph and under 
paragraph (g) of this section without the consent of the person who 
submitted the request shall not exceed 10 working days.):
    (1) It is necessary to search for and collect the requested records 
from field

[[Page 75]]

facilities or other establishments that are separate from the office 
processing the request;
    (2) It is necessary to search for, collect and appropriately examine 
a voluminous amount of separate and distinct records which are demanded 
in a single request; or
    (3) It is necessary to consult with another agency having a 
substantial interest in the determination of the request or among two or 
more components of the Commission having substantial subject matter 
interest therein.

If these circumstances are not present or if it is not possible to 
locate the records and make the determination within the extended 
period, the person who made the request will be advised of his/her 
rights and asked to consent to an extension or further extension. If the 
requester or person who made the request agrees to an extension, the 
General Counsel will confirm the agreement in a letter specifying the 
length of the agreed-upon extension. If the requestor or person who made 
the request does not agree to an extension, the Commission will continue 
to search for and/or assess the record and will advise the person who 
made the request of further developments; but that person may file a 
complaint in an appropriate United States district court.
    (l) Subject to the application for review and judicial stay 
provisions of paragraphs (h) and (i) of this section, if the request is 
granted, the records will be produced for inspection at the earliest 
possible time.
    (m) Staff orders and letters denying requests for inspection are 
signed by the official (or officials) who give final approval of their 
contents. If a request is denied by the Commission, notice of denial 
will set forth the names of the Commissioners participating in the 
decision.
    (n) 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 producing them.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 397; 47 FR 0.231(d))

[40 FR 39507, Aug. 28, 1975, as amended at 40 FR 59439, Dec. 24, 1975; 
45 FR 85028, Dec. 24, 1980; 49 FR 13367, Apr. 4, 1984; 49 FR 38122, 
Sept. 27, 1984; 53 FR 39093, Oct. 5, 1988; 55 FR 8951, Mar. 9, 1990; 55 
FR 9445, Mar. 14, 1990; 62 FR 51797, Oct. 3, 1997; 63 FR 25778, 25779, 
May 11, 1998; 63 FR 44168, Aug. 18, 1998; 64 FR 55163, Oct. 12, 1999]



Sec. 0.463  Demand by competent authority for the production of documents 
or testimony concerning information contained therein.

    (a) In the event that a demand (subpoena, order or other demand) is 
made by a court or other competent authority outside the Commission for 
the production of records or files or for testimony concerning 
information contained therein, the Managing Director shall promptly be 
advised of such demand, the nature of the papers or information sought, 
and all other relevant facts and circumstances. The Commissioin will 
thereupon issue such instructions as it may deem advisable.
    (b) Unless specifically authorized to produce such records or files 
or to testify with respect thereto, any officer or employee of the 
Commission who is served with a demand for the production of records or 
files or testimony concerning the same, shall appear in response to the 
demand and respectfully decline to produce such records or files or to 
testify concerning them, basing the refusal upon this rule.

(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 13367, Apr. 4, 1984]



Sec. 0.465  Request for copies of materials which are available, or made 
available, for public inspection.

    (a) The Commission awards a contract 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 extracting the requested documents from the 
Commission's files.

    Note to paragraph (a):

[[Page 76]]

    The name, address, telephone number, and schedule of fees for the 
current duplication contractor are published at the time of contract 
award of renewal in a Public Notice and periodically thereafter. 
Questions regarding this information should be directed to the Reference 
Information Center of the Consumer and Governmental Affairs Bureau.

    (b) The Commission awards a contract to a commercial firm to 
transcribe Commission proceedings in which a verbatim record is kept and 
to offer copies of the transcript for sale to the public. Except as 
authorized by the Commission, the firm is required to retain the 
capacity to furnish copies of the transcript for a period of 5 years, 
and may retain that capacity for a longer period, even though another 
firm is currently transcribing Commission proceedings. Requests for 
copies of the transcript of the current proceedings should be directed 
to the current contractor. Requests for transcripts of older proceedings 
will be forwarded by the Commission to the firm which made the 
transcript in question; and the names of contracting firms for past 
years will be furnished upon request.

    Note to paragraph (b):
    The name, address, telephone number, and schedule of fees for the 
current transcription contractor are maintained by the Office of the 
Secretary in the Managing Director's Office.

    (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 Commission records or to extract 
therefrom whatever information may be desired. Coin-operated 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 it serves the regulatory or financial interests of the 
U.S. Government, the Commission will make and furnish copies of its 
records free of charge. In other circumstances, however, if it should be 
necessary for the Commission to make and furnish copies of its records 
for the use of others, the fee for this service shall be 17 cents per 
page. For copies prepared with other media, such as computer tapes, 
microfiche or videotape, the charge will be the actual direct cost 
including operator time. Requests for copying should be accompanied by a 
statement specifying the maximum copying fee the person making the 
request is prepared to pay. If the Commission estimates that copying 
charges are likely to exceed $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: 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 information can be considered as primarily 
benefiting the general public.'' 5 U.S.C. 552(a)(4)(A). The following 
factors are relevant in applying that criterion: the number of persons 
to be benefited, the significance of the benefit, the private interest 
of the requester which the release may further, the usefulness of the 
materials to be released to the general public and the likelihood that a 
tangible public benefit will be realized. (See Attorney General's 1974 
FOI Amdts. Memorandum, at 15.)

    (3) Requests for copies by representatives of foreign governments or 
persons residing in foreign countries shall be submitted to the General 
Counsel and will be reviewed by the General Counsel under criteria 
established by the Department of Commerce for controlling the export of 
technical data.
    (4) Certified Documents. Copies of documents which are available or 
made available, for inspection under Sec. Sec. 0.451 through 0.465, 
will be prepared and certified, under seal, by the Secretary, or for 
documents located in the Commission's Gettysburg, Pennsylvania Office by 
his deputy. Requests shall be in writing, specifying the exact 
documents, the number of copies desired, and the date on which they will 
be required. The request shall allow a reasonable time for the 
preparation and certification of copies. The fee for preparing copies 
shall be the same as that charged by the Commission as described in 
Sec. 0.465(c)(2). The fee for certification shall be $10 for each 
document.

[[Page 77]]

    (d)(1) Computer maintained data bases produced by the Commission may 
be obtained from the FCC's internet web site at www.fcc.gov.

    Note: The Commission awards a contract to provide the public with 
direct electronic access to a portion of the non-Government Master 
Frequency File data base released for access and residing on the 
contractor's computer system. The name, address, telephone number, and 
schedule of fees for the current contractor are published annually at 
the time of contract award or renewal in a Public notice. This 
information may be obtained from the Office of Congressional and Public 
Affairs, Consumer Assistance and Small Business Division, Telephone 
(202) 632-7000.

    (2) Copies of computer generated data stored as paper printouts or 
on microfiche may also be obtained from the Commission's duplicating 
contractor (see paragraph (a) of this section).
    (d)(3) Copies of computer source programs and associated 
documentation produced by the Commission shall be obtained from the 
Office of the Managing Director.
    (e) This section has no application to printed publications, which 
may be purchased from the Superintendent of Documents or private firms 
(see Sec. Sec. 0.411 through 0.420). Nor does it apply to application 
forms or information bulletins, which are prepared for the use and 
information of the public and are available upon request (see Sec. Sec. 
0.421 and 0.423).
    (f) Anyone requesting copies of documents pursuant to this section 
may select either the Commission or the contractor to fulfill the 
request. If a request goes directly to the contractor, the requester 
will be charged by the contractor pursuant to the price list set forth 
in the latest contract. If a request goes directly to the Commission, it 
shall be sent to the Office of the Managing Director for appropriate 
processing according to the fee standards established under the FOIA.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 397; 47 CFR 0.231(d))

[32 FR 10573, July 19, 1967, as amended at 41 FR 51610, Nov. 23, 1976; 
45 FR 85028, Dec. 24, 1980; 49 FR 13368, Apr. 4, 1984; 51 FR 34982, Oct. 
1, 1986; 52 FR 36774, Oct. 1, 1987; 53 FR 39093, Oct. 5, 1988; 64 FR 
60725, Nov. 8, 1999; 67 FR 13222, Mar. 21, 2002]



Sec. 0.466  Definitions.

    (a) For the purpose of Sec. Sec. 0.467 and 0.468, the following 
definitions shall apply:
    (1) The term direct costs means those expenditures which the 
Commission actually incurs in searching for and duplicating (and in case 
of commercial requesters, reviewing) documents to respond to a FOIA 
request. Direct costs include the salary of the employee performing the 
work (the basic rate of pay for the employee plus 16 percent of that 
rate to cover benefits), and the cost of operating duplicating 
machinery. Not included in direct costs are overhead expenses, such as 
costs of space, and heating or lighting the facility in which the 
records are stored.
    (2) The term search includes all time spent looking for material 
that is responsive 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 material is exempt from disclosure (see 
paragraph (a)(3) of this section).
    (3) The term review refers to the process 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 disclosure. It also includes processing any documents for 
disclosure, e.g., performing such functions that are necessary to excise 
them or otherwise prepare them for release. Review does not include time 
spent resolving general legal or policy issues regarding the application 
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 determining whether a 
requester properly falls within this category, the Commission shall 
determine the use to which a requester will put the documents requested. 
Where the Commission has reasonable cause to question the use to which a 
requester will put the documents sought, or where that use is not

[[Page 78]]

clear from the request itself, the Commission shall seek additional 
clarification before assigning the request to a specific category.
    (5) The term educational institution refers to a preschool, a public 
or private elementary or secondary school, an institution or graduate 
higher education, an institution of professional education and an 
institution of vocational education, 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 operated 
solely for the purpose of conducting 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 
actively gathering news for an entity that is organized and operated to 
publish or broadcast news to the public. The term news means information 
that is about current events or that would be of current interest to the 
public. Examples of news media entities include television or radio 
stations broadcasting to the public at large, and publishers of 
periodicals (but only in those instances where they can qualify as 
disseminators of ``news'') who make their products available for 
purchase or subscription by the general public. These examples are not 
intended to be all inclusive. Moreover, as traditional methods of news 
delivery evolve (e.g., electronic dissemination of newspapers through 
telecommunications services), such alternative media would be included 
in this category. In the case of ``freelance'' journalists, they may be 
regarded as working for a news organization if they can demonstrate a 
solid basis for expecting publication through that organization, even 
though not actually employed by it.

[53 FR 39093, Oct. 5, 1988]



Sec. 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, allowable direct costs of 
searching for and reviewing records requested under Sec. 0.460(e) or 
Sec. 0.461, unless such fees are precluded or waived pursuant to Sec. 
0.470. The fee is based on the grade level of the employee(s) who 
conduct(s) the search or review, as specified in the following schedule:

------------------------------------------------------------------------
                           Grade                              Hourly fee
------------------------------------------------------------------------
GS-1.......................................................        11.66
GS-2.......................................................        12.71
GS-3.......................................................        14.32
GS-4.......................................................        16.07
GS-5.......................................................        17.99
GS-6.......................................................        20.05
GS-7.......................................................        22.27
GS-8.......................................................        24.67
GS-9.......................................................        27.25
GS-10......................................................        30.01
GS-11......................................................        32.96
GS-12......................................................        39.52
GS-13......................................................        46.99
GS-14......................................................        55.52
GS-15......................................................        65.32
------------------------------------------------------------------------

    Note: These fees will be modified periodically to correspond with 
modifications in the rate of pay approved by Congress.
    (2) The fees in paragraph (a)(1) of this section were computed at 
Step 5 of each grade level based on the General Schedule effective 
January 2004 and include 20 percent for personnel benefits.
    (b) Search fees may be assessed for time spent searching, even if 
the Commission fails to locate the records or if the records are 
determined to be exempt from disclosure.
    (c) The Commission shall charge only for the initial review, i.e., 
the review undertaken initially when the Commission analyzes the 
applicability of a specific exemption to a particular record. The 
Commission shall not charge for review at the appeal level of an 
exemption already applied. However, records or portions of records 
withheld in full under an exemption that is subsequently determined not 
to apply may be reviewed again to determine the applicability of other 
exemptions not previously considered. The costs of such a subsequent 
review, under these circumstances, are properly assessable.
    (d) The fee charged will not exceed an amount based on the time 
typically required to locate records of the kind requested.
    (e) If the Commission estimates that search charges are likely to 
exceed $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

[[Page 79]]

shall offer the requester the opportunity to confer with Commission 
personnel with the object of revising or clarifying the request.
    (f) When the search has been completed, 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 Financial Management Division, 
Office of Managing Director, or as otherwise directed by the Commission.
    (h) 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 producing them.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 397; 47 CFR 0.231(d))

[40 FR 7316, Feb. 19, 1975, as amended at 45 FR 85028, Dec. 24, 1980; 49 
FR 13368, Apr. 4, 1984. Redesignated and amended at 53 FR 39093, Oct. 5, 
1988; 59 FR 21946, Apr. 27, 1994; 64 FR 31139, June 10, 1999; 65 FR 
51234, Aug. 23, 2000; 66 FR 42453, Aug. 13, 2001; 67 FR 58543, Sept. 17, 
2002; 68 FR 4105, Jan. 28, 2003; 69 FR 13746, Mar. 24, 2004]



Sec. 0.468  Interest.

    Interest shall be charged those requesters who fail to pay the fees 
charged. The agency will begin assessing interest charges on the amount 
billed starting on the 31st day following the day on which the billing 
was sent. The date on which the payment is received by the agency will 
determine whether and how much interest is due. The interest shall be 
set at the rate prescribed in 31 U.S.C. 3717.

[53 FR 39094, Oct. 5, 1988]



Sec. 0.469  Advance payments.

    (a)(1) The Commission may not require advance payment of estimated 
FOIA fees except as provided in subsection (a)(2) 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 
requester 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 requester of the estimated cost 
and obtain satisfactory assurance of full payment.
    (2) 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 require the requester to pay the full amount owed plus 
any applicable interest as provided in Sec. 0.468, and to make an 
advance payment of the full amount of the estimated fee before the 
Commission begins to process a new request or a pending request from 
that requester.
    (3) When the Commission acts under paragraph (a) (1) or (2) of this 
section, the administrative time limits prescribed in subsection (a)(6) 
of the FOIA (i.e., 10 working days from receipt of initial requests and 
20 working days from receipt of appeals from initial denials, plus 
permissible extensions of these time limits) will begin only after the 
agency has received the fee payments described above.
    (b) [Reserved]

[53 FR 39094, Oct. 5, 1988]



Sec. 0.470  Assessment of fees.

    (a)(1) Commercial use requesters. When the Commission receives a 
request for documents for commercial use, it will assess charges that 
recover the full direct cost of searching for, reviewing and duplicating 
the records sought pursuant to Sec. Sec. 0.466 and 0.467, above.
    (2) Educational and non-commercial scientific institution requesters 
and requesters who are representatives of the news media. The Commission 
shall provide documents to requesters in these categories for the cost 
of reproduction only, pursuant to Sec. 0.465 above, excluding 
reproduction charges for the first 100 pages, provided however, that 
requesters who are representatives of the news media shall be entitled 
to a reduced assessment of charges only when the request is for the 
purpose of disseminating information.
    (3) All other requesters. The Commission shall charge requesters who 
do not fit into any of the categories above fees which cover the full, 
reasonable direct cost of searching for and reproducing records that are 
responsive to the request, pursuant to Sec. Sec. 0.467 and 0.465 above, 
except that the first 100 pages of

[[Page 80]]

reproduction and the first two hours of search time shall be furnished 
without charge.
    (b)(1) The 100 page restriction on assessment of reproduction fees 
in paragraphs (a)(2) and (a)(3) of this section refers to 100 paper 
copies of a standard size, which will normally be ``8\1/2\ x 11'' or 
``11 x 14,'' or microfiche containing the equivalent of 100 pages or 100 
pages of computer printout. Requesters will not be entitled to 100 
microfiche.
    (2) When the agency reasonably believes that a requester or group of 
requesters is attempting to segregate a request into a series of 
separate individual requests for the purpose of evading the assessment 
of fees, the agency will aggregate any such requests and assess charges 
accordingly.
    (c) When a requester believes he is entitled to a restricted fee 
assessment pursuant to paragraphs (a)(2) and (a)(3), of this section , 
or a waiver pursuant to paragraph (e) of this section, the requester 
must include, in his original FOIA request, a statement explaining with 
specificity, the reasons demonstrating that he/she qualifies for a 
restricted fee or a fee waiver. Included in this statement should be a 
certification that the information will not be used to further the 
commercial interests of the requester.

    Note: Anyone requesting a restricted fee must submit the request 
directly to the Commission and not to the contractor who will provide 
documents only at the contract price.

    (d) If the Commission reasonably believes that a commercial interest 
exists, based on the information provided pursuant to paragraph (c) of 
this section, the requester shall be so notified and given an additional 
5 working days to provide further information to justify receiving a 
restricted fee. During this time period, the materials will be available 
for inspection to the extent that the time period exceeds the 10 or 20 
day time period for responding to FOIA requests, as appropriate.
    (e) Copying, search and review charges shall be waived or reduced by 
the General Counsel, when ``disclosure of the information is in the 
public interest 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).
    (f) The Commission shall not assess any fees if the routine cost of 
collecting the fee would be equal to or greater than the fee itself.

[53 FR 39094, Oct. 5, 1988]

 Places for Making Submittals or Requests, for Filing Applications, and 
                         for Taking Examinations



Sec. 0.471  Miscellaneous submittals or requests.

    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]



Sec. 0.473  Reports of violations.

    Reports of violations of the Communications Act or of the 
Commission's rules and regulations may be submitted to the Commission in 
Washington or to any field office.

[32 FR 10578, July 19, 1967]



Sec. 0.475  Applications for employment.

    Persons who wish to apply for employment should communicate with the 
Associate Managing Director-Personnel 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]



Sec. 0.481  Place of filing applications for radio authorizations.

    For locations for filing applications, and appropriate fees, see 
Sec. Sec. 1.1102 through 1.1107 of this chapter.

[69 FR 41130, July 7, 2004]



Sec. 0.482  Application for waiver of wireless radio service rules.

    All requests for waiver of the rules (see Sec. 1.925) governing the 
Wireless Radio Services (see Sec. 1.907) that require a fee (see Sec. 
1.1102) shall be submitted via the Universal Licensing System or to the 
Mellon Bank, Pittsburgh, Pennsylvania at the address set forth in Sec. 
1.1102. Waiver requests that do not require a fee should be submitted 
via the

[[Page 81]]

Universal Licensing System or to: Federal Communications Commission, 
1270 Fairfield Road, Gettysburg, Pennsylvania 17325-7245. Waiver 
requests attached to applications must be submitted in accordance with 
Sec. 0.401(b) or Sec. 0.401(c) of the rules.

[63 FR 68919, Dec. 14, 1998]



Sec. 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. Detailed 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]



Sec. 0.484  Amateur radio operator examinations.

    Generally, examinations for amateur radio operation licenses shall 
be administered at locations and times specified by volunteer examiners. 
(See Sec. 97.509). When the FCC conducts examinations for amateur radio 
operator licenses, they shall take place at locations and times 
designated by the FCC.

[58 FR 13021, Mar. 9, 1993]



Sec. 0.485  Commercial radio operator examinations.

    Generally, written and telegraphy examinations for commercial radio 
operator licenses shall be conducted at locations and times specified by 
commercial operator license examination managers. (See Sec. 13.209 of 
this chapter). When the FCC conducts these examinations, they shall take 
place at locations and times specified by the FCC.

[58 FR 9124, Feb. 19, 1993]



Sec. 0.489  Applications for ship radio inspection and periodical survey.

    Applications for ship radio inspection or for periodical survey 
shall be forwarded to the radio district office nearest the desired port 
of inspection or place of survey.

[28 FR 12413, Nov. 22, 1963. Redesignated at 32 FR 10578, July 19, 1967]



Sec. 0.491  Application for exemption from compulsory ship radio requirements.

    Applications for exemption filed under the provisions of Sec. Sec. 
352(b) or 383 of the Communications Act; Regulation 4, chapter I of the 
Safety Convention; 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 procedures specified in Sec. 0.482 of this part. 
Emergency requests must be filed via the Universal Licensing System or 
at the Federal Communications Commission, Office of the Secretary, 445 
12th Street, SW, Room TW-B204, Washington, DC 20554.

[63 FR 68919, Dec. 14, 1998]



Sec. 0.493  Non-radio common carrier applications.

    All such applications shall be filed at the Commission's offices in 
Washington, DC.

[28 FR 12413, Nov. 22, 1963. Redesignated at 32 FR 10578, July 19, 1967]



  Subpart D_Mandatory Declassification of National Security Information

    Authority: Secs. 4(i), 303(r), Communications Act of 1934, as 
amended (47 U.S.C. 154(i) and 303(r)).

    Source: 47 FR 53377, Nov. 26, 1982, unless otherwise noted.



Sec. 0.501  General.

    Executive Order 12356 requires that information relating to national 
security be protected against unauthorized disclosure as long as 
required by national security considerations. The Order also provides 
that all information 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

[[Page 82]]

alien, a Federal agency, or a state or local government.



Sec. 0.502  Purpose.

    This subpart prescribes the procedures to be followed in submitting 
requests, processing such requests, appeals taken from denials of 
declassification requests and fees and charges.



Sec. 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 particularity to enable 
Commission personnel to identify the documents containing that 
information and be reasonable in scope.
    (b) When the request is for information originally classified by the 
Commission, 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, together with a copy of the record, to the originating 
agency. The transmittal may contain a recommendation for action.



Sec. 0.504  Processing requests for declassification.

    (a) Responses to mandatory declassification review requests shall be 
governed by the amount of search and review time required to process the 
request. A final determination shall be made within one year from the 
date of receipt of the request, except in unusual circumstances.
    (b) Upon a determination by the bureau or office that the requested 
material originally classified by the Commission no longer warrants 
protection, it shall be declassified and made available to the 
requester, unless withholding is otherwise authorized under law.
    (c) If the information may not be declassified or released in whole 
or in part, the requester shall be notified as to the reasons for the 
denial, given notice 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 Security Division, shall have 
authority to act, within 30 days, upon all appeals regarding denials of 
requests for mandatory declassification of Commission-originated 
classifications. The Committee 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 
continued 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.



Sec. 0.505  Fees and charges.

    (a) The Commission has designated a contractor to make copies of 
Commission records and offer them for sale (See Sec. 0.465).
    (b) An hourly fee is charged for recovery of the direct costs of 
searching for requested documents (See Sec. 0.466).



Sec. 0.506  FOIA and Privacy Act requests.

    Requests for declassification that are submitted under the 
provisions of the Freedom of Information Act, as amended, (See Sec. 
0.461), of the Privacy Act of 1974, (See Sec. 0.554) shall be processed 
in accordance with the provisions of those Acts.



                    Subpart E_Privacy Act Regulations

    Authority: Secs. 4, 303, 49 Stat. as amended, 1066, 1082 (47 U.S.C. 
154, 303).

    Source: 40 FR 44512, Sept. 26, 1975, unless otherwise noted.



Sec. 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

[[Page 83]]

which is contained in Commission re cords. 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 
individual or by some other personal identifier.
    (b) In this subpart:
    (1) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence;
    (2) Record means any item, collection or grouping of information 
about an individual that is maintained by the Commission, including but 
not limited to, such individual's education, financial 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 Commission from which information is retrievable by the name of the 
individual or by some identifying number, symbol, or other identifying 
particular assigned 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 compatible with the 
purpose for which it was collected;
    (5) System Manager means the Commission 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]



Sec. 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 system;
    (b) The categories of individuals on whom records are maintained in 
the system;
    (c) The categories of records maintained 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, 
retrievabil ity, access controls, retention, 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 
access can be gained to any record pertaining to that individual 
contained in a system of records, and the procedure for correcting or 
contesting its contents; 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]



Sec. 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 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 maintained;
    (d) The proposed routine use(s); and
    (e) The categories of recipients for each proposed routine use.



Sec. 0.554  Procedures for requests pertaining 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 Sec. 0.555(b), will disclose the substance 
of such information to that individual. In order to properly request

[[Page 84]]

notification or access to record information, reference must be made to 
the Notice described in Sec. 0.552. A table of contents, which is 
alphabetized by bureau or office, precedes the system descriptions 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 required of all individuals making 
requests pursuant to paragraph (a) of this section in order to assure 
that disclosure 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 security 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 statement 
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 constitute cause in and of itself, for denial of a request.

    (2) All requests for record information 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 identification cannot be made on the basis of 
other information submitted, the requestor will be required to sign an 
identity statement and stipulate that knowingly or willfully seeking or 
obtaining access to records about another person under false pretense is 
punishable by a fine of up to $5,000.
    (3) If positive identification cannot be made on the basis of the 
information submitted, and if data in the record is so sensitive that 
unauthorized access could cause harm or embarrassment to the individual 
to whom the record pertains, the Commission reserves the right to deny 
access to the record pending the production of additional more 
satisfactory evidence of identity.

    Note: The Commission will require verification of identity only 
where it has determined 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 delivered to the 
business address of the system manager responsible for the system of 
records in question, except that requests relating to official personnel 
records shall be addressed to the Associate Managing Director--Personnel 
Management. Such addresses can be found in the Federal Register Notice 
described in Sec. 0.552.
    (d) A written acknowledgement of receipt of a request for 
notification and/or access will be provided within 10 days (excluding 
Saturdays, Sundays, and legal public holidays) to the individual making 
the request. Such an acknowledgement may, if necessary, request any 
additional information needed to locate a record. A search of all 
systems of records identified in the individual's request will be made 
to determine 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 request will be 
processed and the individual 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 Centers, notification may be delayed. 
If it is determined that a record pertaining to the individual making 
the request

[[Page 85]]

does exist, the notification will state approximately when the record 
will be available for personal review. No separate 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]



Sec. 0.555  Disclosure of record information 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 person inspection at the system 
location; by transfer of the record to a nearer location; 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, individuals 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 appointment must be 
changed. Verification of identity is required as in Sec. 0.554(b)(1) 
before access will be granted an individual appearing in person. 
Individuals may be accompanied by a person of his or her own choosing 
when reviewing a record. However, in such cases, a written statement 
authorizing discussion of their record in the presence of a Commission 
representative having physical custody of the records.
    (2) Individuals may request that a record be transferred to a 
Commission field office or installation in the vicinity of his or her 
home and that access be granted at that location. The addresses of 
Commission field offices are listed in Sec. 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 information is 
available for review at the field location. Paragraph (a)(1) of this 
section regarding personal appointments, verification of identity 
accompanying persons, and disclosure of original records applies equally 
to this paragraph.
    (3) Individuals may request that copies of records be sent directly 
to them. In such cases, individuals must verify their identity as Sec. 
0.554(b)(2) and provide an accurate return address. Records shall be 
sent only to that address.
    (b) The disclosure of record information under this section is 
subject to the following limitations:
    (1) Records containing medical information 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 medical doctor, access to such record 
information 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 individual.
    (2) Classified material, investigative material compiled for law 
enforcement purposes, investigatory material compiled solely for 
determining suitability for Federal employment or access to classified 
information, and certain testing or examination material shall be 
removed from the records to the extent 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 subparagraph.
    (c) No fee will be imposed if the number of pages of records 
requested is 25 or less. Requests involving more than 25 pages shall be 
submitted to the duplicating contractor (see Sec. 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 action or proceeding.
    (e) In the event that a determination is made denying an individual 
access to records pertaining to that individual

[[Page 86]]

for any reason, such individual may either:
    (1) Seek administrative review of the adverse determination. Such a 
request shall be in writing and should be addressed to the system 
manager who made the initial decision. In addition, the request for 
review shall state specifically 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]



Sec. 0.556  Request to correct or amend rec ords.

    (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 writing 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 Director for Work 
Force Information, Compliance and Investigations Group, Office of 
Personnel Management, 1900 E Street, NW., Washington, D.C. 20415. Any 
request to amend should contain as a minimum:
    (1) The identity verification information required by Sec. 
0.554(b)(2) and the information needed to locate the record as required 
by Sec. 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 acknowledgement may, if necessary, request any additional 
information needed to make a determination. There will be no 
acknowledgement if the request can be reviewed, processed, and the 
individual notified of compliance or denial 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--Personnel Management, shall (normally within 30 days) take one 
of the following actions regarding a request to amend:
    (1) If the system manager agrees that an amendment to the record is 
warranted, the system manager shall:
    (i) So advise the individual in writing;
    (ii) Correct the record in compliance with the individual's request; 
and
    (iii) If an accounting of disclosures has been made, advise all 
previous recipients 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;
    (ii) Advise the individual that further administrative review of the 
initial decision by the full Commission may be sought pursuant to the 
procedures set forth in Sec. 0.557. (In cases where the request to 
amend involves official personnel records, review is available 
exclusively from the Assistant Director for Work Force Information, 
Compliance and Investigations Group, Office of Personnel Management, 
Washington, DC 20415; and
    (iii) Inform the individual of the procedures for requesting 
Commission review pursuant to Sec. 0.557.
    (d) In reviewing a record in response to a request to amend, the 
system manager shall assess the accuracy, relevance, timeliness, or 
completeness of the record in light of each data element placed into 
controversy and the use of the record in making decisions that could 
possibly affect the individual. Moreover, the system manager shall 
ajudge the merits of any request to delete information based on whether

[[Page 87]]

or not the information in controversy is both relevant and necessary to 
accomplish 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]



Sec. 0.557  Administrative review of an initial 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 addressed 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 Investigations Group, Office of 
Personnel Management, Washington, DC 20415. Any request for 
administrative review must:
    (1) Clearly identify the questions presented for review (e.g., 
whether the record information in question is, in fact, accurate; 
whether information subject to a request to delete is relevant 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 review set out in Sec. 0.556(d). 
It may seek such additional information as is necessary to make its 
determination. Final administrative review shall be completed not later 
than 30 days (excluding Saturdays, Sundays and legal public holidays) 
from the date on which the individual requests such review 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 informed 
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 Commission will proceed in accordance with Sec. 0.556(c)(1) (i) 
through (iii).
    (d) If after the review, the Commission 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 concise statement of the reasons 
for disagreeing 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 together with, at the Commission's 
discretion, 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 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]



Sec. 0.558  Advice and assistance.

    Individuals who have questions regarding the procedures contained in 
this subpart for gaining access to a particular system of records or for 
contesting the contents of a record, either administratively or 
judicially, should write or call the Privacy Liaison Officer at the 
following address:

Federal Communications Commission, Office of General Counsel, 445 12th 
Street, SW., Washington, DC 20554.



[[Page 88]]


Individuals who request clarification of the Notice described in Sec. 
0.552 or who have questions concerning the characterization of specific 
systems of records as set forth therein, should write or call the 
Privacy Liaison Officer at the following address:

Federal Communications Commission, Performance Evaluation and Records 
Management, 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]



Sec. 0.559  Disclosure of disputed information to persons other than the 
individual to whom it pertains.

    If the Commission determines not to amend a record consistent with 
an individual's request, and if the individual files a statement of 
disagreement pursuant to Sec. 0.557(d)(2), the Commission shall clearly 
annotate the record so that the disputed portion becomes apparent to 
anyone who may subsequently have access to, use or disclose the record. 
A copy of the individual's statement of disagreement shall accompany any 
subsequent disclosure of the record. In addition, the Commission may 
include a brief summary of its reasons for not amending the record when 
disclosing the record. Such statements become part of the individual's 
record for granting access, but are not subject to the amendment 
procedures of Sec. 0.556.



Sec. 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.



Sec. 0.561  Exemptions.

    The following systems of records are totally or partially exempt 
from subsections (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 Sec. Sec. 0.554 
through 0.557 of this subpart:
    (a) System name. Radio Operator Records--FCC/FOB-1. Parts of this 
system of records are exempt pursuant to Section (k)(2) of the Act 
because they contain investigatory material compiled solely for law 
enforcement purposes.
    (b) System name. Violators File (records kept on individuals who 
have been subjects of FCC field enforcement actions)--FCC/FOB-2. Parts 
of this system of records are EXEMPT because they are maintained as a 
protective service for individuals described in section 3056 of title 
18, and because they are necessary for Commission employees 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 maintained for law enforcement purposes.
    (d) System name. Licensees or Unlicensed Persons Operating Radio 
Equipment 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.
    (e) System name. Personnel Investigation Records--FCC/Central-6. 
Parts of these systems of records are exempt because they emobdy 
investigatory material pursuant to sections 3(k)(2) and 3(k)(5) of the 
Act as applicable.
    (f) System name. Criminal Investigative Files--FCC/OIG-1. Compiled 
for the purpose of criminal investigations. This system of records is 
exempt pursuant to section (j)(2) of the Act because the records contain 
investigatory material compiled for criminal law enforcement purposes.
    (g) System name. General Investigative Files--FCC/OIG-2. Compiled 
for law enforcement purposes. This system of records is exempt pursuant 
to section (k)(2) of the Act because the

[[Page 89]]

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 amended, 1066, 1082; (47 
U.S.C. 154, 303).

    Source: 42 FR 12867, Mar. 7, 1977, unless otherwise noted.



Sec. 0.601  Definitions.

    For purposes of this section:
    (a) The term agency means:
    (1) The Commission,
    (2) A board of Commissioners (see Sec. 0.212),
    (3) The Telecommunications Committee (see Sec. 0.215), and
    (4) Any other group of Commissioners hereafter established by the 
Commission on a continuing or ad hoc basis and authorized to act on 
behalf of the Commission.
    (b) The term meeting means the deliberations among a quorum of the 
Commission, a Board of Commissioners, or a quorum of a committee of 
Commissioners, where such deliberations determine or result in the joint 
conduct or disposition of official agency business, except that the term 
does not include deliberations to decide whether to announce a meeting 
with less than seven days notice, or whether a meeting should be open or 
closed. (The term includes conference telephone calls, but does not 
include the separate consideration of Commission business by 
Commissioners.) For purposes of this subpart 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]



Sec. 0.602  Open meetings.

    (a) All meetings shall be conducted in accordance with the 
provisions of this subpart.
    (b) Except as provided in Sec. 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 
engaging 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 pleadings 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, comments or observations made during 
the course of open meetings do not themselves constitute action of the 
Commission. Comments made by Commissioners 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]



Sec. 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 disclosed to the public under Sec. 0.605 may be withheld, 
if the agency determines that an open meeting or the disclosure of such 
information is likely to:
    (a) Disclose matters that: (1) Are specifically authorized under 
criteria established by executive order to be kept secret in the 
interest of national defense or foreign policy, and (2) are in fact 
properly classified pursuant to such executive order (see Sec. 
0.457(a));
    (b) Relate solely to the internal personnel rules and practices of 
an agency (see Sec. 0.457(b));
    (c) Disclose matters specifically exempted from disclosure, by 
statute (other than the Freedom of Information Act, 5 U.S.C. 552). 
Provided, That such statute (1) requires that the matters be withheld 
from the public in such a manner as to leave no discretion

[[Page 90]]

on the issue, or (2) establishes particular criteria for withholding or 
refers to particular types of matters to be withheld (see Sec. 
0.457(c));
    (d) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential (see Sec. 
0.457(d));
    (e) Involve accusing any person of a crime or formally censuring any 
person;
    (f) Disclose information of a personal nature where disclosure would 
constitute a clearly unwarranted invasion of personal privacy (see Sec. 
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 proceedings, (2) 
deprive a person of a right to a fair trial or an impartial 
adjudication, (3) constitute an unwarranted invasion 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 investigation, or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source, (5) disclose investigative 
techniques and procedures, or (6) endanger the life or physical safety 
of law enforcement personnel;
    (h) Disclose information contained in or related to examination, 
operating, or condition reports prepared by, on behalf of, or for the 
use of an agency responsible for the regulation or supervision of 
financial institutions;
    (i) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation 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 proceeding, an action in a 
foreign court or international tribunal, or an arbitration, or the 
initiation, conduct, or disposition by the agency of a particular case 
of formal agency adjudication pursuant to the procedures specified in 5 
U.S.C. 554 or otherwise involving a determination on the record after 
opportunity for hearing.



Sec. 0.605  Procedures for announcing meetings.

    (a) Notice of all open and closed meetings will be given.
    (b) The meeting notice will be submitted for publication in the 
Federal Register on or before the date on which the announcement is 
made. Copies will be available in the Press and News Media Division on 
the day the announcement 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 designated to respond to 
requests for information 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 (or is not) a legal basis for closing the meeting 
to the public. Following action by the General Counsel, the matter may 
be referred to the agency for a vote on the question of closing the 
meeting (See Sec. 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

[[Page 91]]

vote of each participating Commissioner.
    (3) If the vote is to close the meeting, the agency will also, in 
that announcement, set out a full written explanation of its action, 
including the applicable provision(s) of Sec. 0.603, and a list of 
persons expected to attend the meeting, including Commission personnel, 
together with their affiliations. The Commissioners, their assistants, 
the General Counsel, the Executive Director, the Chief, Press and News 
Media Division, and the Secretary are expected to attend all Commission 
meetings. 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 information usually included, if and to the extent that it 
finds that disclosure would be likely to have any of the consequences 
listed in Sec. 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 
meeting, or before that announcement, the agency will issue the 
announcement at the earliest practicable time. In addition to other 
information, the announcement will contain the vote of each member of 
the agency who participated in the decision to give less than seven days 
notice, and the particular reason for that decision.
    (f) If, after announcement of a meeting, 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 determination to open or close a 
meeting is changed, the agency will publicly announce 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 announcement of the change was possible.

(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]



Sec. 0.606  Procedures for closing a meeting to the public.

    (a) For every meeting closed under Sec. 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 Sec. 0.603. The staff 
of the agency will refer the matter to the General Counsel for 
certification before it is referred to the agency for a vote on closing 
the meeting. Certifications will be retained in a public file in the 
Minute and Rules Branch, Office of the Secretary.
    (b) The agency will vote on the question of closing a meeting.
    (1) If a member of the agency requests 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 Sec. 0.603 (e), (f) or (g), or if any person requests that a 
closed meeting be opened, and a member 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 
attention of the Secretary--in person or by telephone. It will be 
helpful if copies of the request are furnished to the 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 Sec. 0.603 
only by vote of a majority of the entire membership of the agency. The 
vote of each participating Commissioner will be recorded. No 
Commissioner may vote by proxy.
    (d) A separate vote will be taken before 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

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both are presented), if each meeting involves the same particular 
matters and is scheduled to be held no later than 30 days after the 
first meeting in the series.
    (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 determination 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 agency business so requires 
and that no earlier announcement of the change was possible.



Sec. 0.607  Transcript, recording or minutes; availability to the public.

    (a) The agency will maintain a complete transcript or electronic 
recording adequate to record fully the proceedings of each meeting 
closed to the public, except that in a meeting closed pursuant to 
paragraph (h) or (j) of Sec. 0.603, the agency may maintain minutes in 
lieu of a transcript or recording. Such minutes shall fully and clearly 
describe all matters discussed and shall provide a full and accurate 
summary of any actions taken, and the reasons therefor, including a 
description of each of the views expressed on any item and the record of 
any roll call vote. All documents considered in connection with any item 
will be identified in the minutes.
    (b) A public file of transcripts (or minutes) of closed meetings 
will be maintained in the Minute and Rules Branch, Office of the 
Secretary. The transcript of a meeting will be placed in that file if, 
after the meeting, the responsible Bureau or Office Chief determines, in 
light of the discussion, that the meeting could have been open to the 
public or that the reason for withholding information concerning the 
matters discussed no longer pertains. Transcripts placed in the public 
file are available for inspection under Sec. 0.460. Other transcripts, 
and separable portions thereof which do not contain information properly 
withheld under Sec. 0.603, may be made available for inspection under 
Sec. 0.461. When a transcript, or portion thereof, is made available 
for inspection under Sec. 0.461, it will be placed in the public file. 
Copies of transcripts may be obtained from the duplicating contractor 
pursuant to Sec. 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 appear in the notice of the meeting. Pursuant to 
Sec. 0.465(c)(3), the Commission will make copies of the transcript 
available directly, free of charge, if it serves the financial or 
regulatory interests 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.



                Subpart G_Intergovernmental Communication

    Source: 66 FR 8091, Jan. 29, 2001, unless otherwise noted.



Sec. 0.701  Intergovernmental Advisory Committee.

    (a) Purpose and term of operations. The Intergovernmental Advisory 
Committee (IAC) is established to facilitate intergovernmental 
communication between 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 mission for a period of two years from that 
date. At his discretion, the Chairman of the Federal Communications 
Commission may extend the IAC's term of operations for an additional two 
years, for which new members will be appointed 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 follow, the procedures set forth in the Federal Advisory 
Committee Act. 5 U.S.C., App. 2 (1988).
    (b) Membership. The IAC will be composed of the following 15 members 
(or their designated employees): Four elected municipal officials (city 
mayors and city council members); two

[[Page 93]]

elected county officials (county commissioners 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 members 
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. 
Members of the IAC are responsible for travel and other incidental 
expenses incurred 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 attend a minimum of fifty 
percent of the IAC's yearly meetings and may be removed by the Chairman 
of the IAC for failure to comply with this requirement.
    (d) Participation in IAC meetings. Participation at IAC meetings 
will be limited to IAC members or employees designated 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 behalf. With the 
exception of Commission staff and individuals or groups having business 
before the IAC, no other persons may attend or participate in an IAC 
meeting.
    (e) Commission support and oversight. The Chairman of the 
Commission, or Commissioner designated by the Chairman for such purpose, 
will serve as a liaison between the IAC and the Commission and provide 
general oversight for its activities. The IAC will also communicate 
directly with the Chief, Consumer & Governmental Affairs Bureau, 
concerning logistical assistance and staff support, and such other 
matters as are warranted.

[68 FR 52519, Sept. 4, 2003]



PART 1_PRACTICE AND PROCEDURE--Table of Contents




            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 documents submitted.
1.12 Notice to attorneys of Commission documents.
1.13 Filing of petitions for review and notices 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 practice.
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 action.
1.42 Applications, reports, complaints; cross-reference.
1.43 Requests for stay; cross-reference.
1.44 Separate pleadings for different requests.
1.45 Pleadings; filing periods.
1.46 Motions for extension of time.
1.47 Service of documents and proof of service.
1.48 Length of pleadings.
1.49 Specifications as to pleadings and documents.
1.50 Specifications as to briefs.
1.51 Number of copies of pleadings, briefs and other papers.
1.52 Subscription and verification.
1.53 Separate pleadings for petitions for forbearance.

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                     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 licenses.
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 proceedings; hearings.
1.92 Revocation and/or cease and desist proceedings; 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 pursuant to delegated authority.
1.103 Effective dates of Commission actions; finality of Commission 
          actions.
1.104 Preserving the right of review; deferred consideration of 
          application for review.
1.106 Petitions for reconsideration.
1.108 Reconsideration on Commission's own motion.
1.110 Partial grants; rejection and designation 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; consideration of communications.
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 conferences.
1.249 Prehearing statement.

                    Hearing and Intermediate Decision

1.250 Discovery and preservation of evidence; 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 conclusions.
1.267 Initial and recommended decisions.

                           Review Proceedings

1.271 Delegation of review function.
1.273 Waiver of initial or recommended decision.
1.274 Certification of the record to the Commission 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 interlocutory ruling; effective 
          date of ruling.
1.302 Appeal from presiding officer's final ruling; effective date of 
          ruling.

[[Page 95]]

               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 interrogatories--notice and preliminary 
          procedure.
1.318 The taking of depositions.
1.319 Objections to the taking of depositions.
1.321 Use of depositions at the hearing.
1.323 Interrogatories to parties.
1.325 Discovery and production of documents 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 material.
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 proceedings.
1.412 Notice of proposed rulemaking.
1.413 Content of notice.
1.415 Comments and replies.
1.419 Form of comments and replies; number of copies.
1.420 Additional procedures in proceedings for amendment of the FM or TV 
          Tables of Allotments.
1.421 Further notice of rulemaking.
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 applications.
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 applicants, permittees and licensees.
1.527 Records to be maintained locally for public inspection by 
          noncommercial educational applicants, permittees and 
          licensees.
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 construction permit or for 
          construction permit to replace expired construction permit.
1.536 Application for license to cover construction permit.
1.538 Application for modification of license.
1.539 Application for renewal of license.
1.540 Application for voluntary assignment or transfer of control.
1.541 Application for involuntary assignment of license or transfer of 
          control.
1.542 Application for temporary authorization.
1.543 Application for renewal or modification 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 programs to foreign countries.

[[Page 96]]

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, indicating 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 Commission.
1.564 Acceptance of applications.
1.566 Defective applications.
1.568 Dismissal of applications.
1.570 AM broadcast station applications involving other North American 
          countries.
1.571 Processing AM broadcast station applications.
1.572 Processing TV broadcast and translator station applications.
1.573 Processing FM broadcast and translator station applications.
1.574 Processing of international broadcast station applications.
1.578 Amendments to applications for renewal, assignment or transfer of 
          control.
1.580 Local public notice of filing of broadcast applications.
1.584 Petitions to deny.
1.587 Procedure for filing informal applications.
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 renewal 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, Tariffs, 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; formal complaints relating back 
          to the filing dates of informal complaints.
1.719 Informal complaints filed pursuant to section 258.

                            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 Accelerated Docket.
1.731 Confidentiality of information produced 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 applications.
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 impairment 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 permission.
1.773 Petitions for suspension or rejection of new tariff filings.

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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 depreciation rates.
1.788 Reports regarding pensions and benefits.
1.789 Reports regarding division of international telegraph 
          communication charges.
1.790 Reports relating to traffic by international 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 authority to supplement facilities 
          or to provide temporary or emergency service.
1.803 Reports relating to reduction in temporary experimental service.
1.805 Reports relating to service by carriers engaged in public radio 
          service operations.

                          Miscellaneous Reports

1.811 Reports regarding amendments to charters, by-laws and partnership 
          agreements of carriers engaged in domestic public radio 
          services.
1.814 Reports regarding free service rendered the Government for 
          national defense.
1.815 Reports of annual employment.

                       Grants by Random Selection

1.821 Scope.
1.822 General selection procedures.
1.824 Random selection procedures for Multichannel Multipoint 
          Distribution Service and Multipoint Distribution Service H-
          Channel stations.

    Subpart F_Wireless Telecommunications 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.
1.923 Content of applications.
1.924 Quiet zones.
1.925 Waivers.
1.926 Application processing; initial procedures.
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 authority.
1.933 Public notices.
1.934 Defective applications and dismissal.
1.935 Agreements to dismiss applications, amendments or pleadings.
1.937 Repetitious or conflicting applications.
1.939 Petitions to deny.
1.945 License grants.
1.946 Construction and coverage requirements.
1.947 Modification of licenses.
1.948 Assignment of authorization or transfer of control, notification 
          of consummation.
1.949 Application for renewal of license.
1.951 Duty to respond to official communications.
1.955 Termination of authorizations.
1.956 Settlement conferences.
1.957 Procedure with respect to amateur radio operator license.

                 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 telecommunications services.
1.1103 Schedule of charges for equipment approval, experimental radio 
          services, and international telecommunications settlement 
          services.
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 competition service.
1.1106 Schedule of charges for applications and other filings for the 
          enforcement service.
1.1107 Schedule of charges for applications and other filings for the 
          international service.
1.1108 Attachment of charges.

[[Page 98]]

1.1109 Payment of charges.
1.1110 Form of payment.
1.1111 Filing locations.
1.1112 Conditionality of Commission or staff authorizations.
1.1113 Return or refund of charges.
1.1114 General exemptions to charges.
1.1115 Adjustments to charges.
1.1116 Penalty for late or insufficient payments.
1.1117 Petitions and applications for review.
1.1118 Error claims.
1.1119 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 services.
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 regulatory fees.
1.1160 Refunds of regulatory fees.
1.1161 Conditional license grants and delegated authorizations.
1.1162 General exemptions from regulatory fees.
1.1163 Adjustments to regulatory fees.
1.1164 Penalties for late or insufficient regulatory fee payments.
1.1165 Payment by cashier's check for regulatory 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 services and products.
1.1182 Schedule of fees for products and services provided by the 
          Commission in connection with competitive bidding procedures.

                    Subpart H_Ex Parte Communications

                                 General

1.1200 Introduction.
1.1202 Definitions.

                       Sunshine Period Prohibition

1.1203 Sunshine period prohibition.

                           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 presentations.

      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 
          environment, for which Environmental Impact Statements must be 
          prepared.
1.1306 Actions which are categorically excluded from environmental 
          processing.
1.1307 Actions that may have a significant environmental effect, for 
          which Environmental Assessments (EAs) must be prepared.
1.1308 Consideration of environmental assessments (EAs); findings of no 
          significant impact.
1.1309 Application amendments.
1.1310 Radiofrequency radiation exposure limits.
1.1311 Environmental information to be included in the environmental 
          assessment (EA).
1.1312 Facilities for which no preconstruction authorization is 
          required.
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.

[[Page 99]]

             Subpart J_Pole Attachment Complaint Procedures

1.1401 Purpose.
1.1402 Definitions.
1.1403 Duty to provide access; modifications; 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 pleadings.
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 
                           Agency 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.

      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 Nondiscrimination on the Basis of Disability In 
     Programs 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 Accessibility Handbook.
1.1810 Review of compliance.
1.1811 Notice.
1.1830 General prohibitions against discrimination.
1.1840 Employment.
1.1849 Program accessibility: Discrimination prohibited.
1.1850 Program accessibility: Existing facilities.
1.1851 Building accessibility: New construction 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 forfeiture 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.

[[Page 100]]

  Administrative Offset--Consumer Reporting Agencies--Contracting for 
                               Collection

1.1911 Demand for payment.
1.1912 Collection by administrative offset.
1.1913 Administrative offset against amounts payable from Civil Service 
          Retirement 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 Justice 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 recovery 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 Internal Revenue Service.
1.1951 Offset against tax refunds.
1.1952 Use and disclosure of mailing addresses.

           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 information.
1.2003 Applications affected.

                Subpart Q_Competitive Bidding Proceedings

                           General Procedures

1.2101 Purpose.
1.2102 Eligibility of applications for competitive bidding.
1.2103 Competitive bidding design options.
1.2104 Competitive bidding mechanisms.
1.2105 Bidding application and certification procedures; prohibition of 
          collusion.
1.2106 Submission of upfront payments.
1.2107 Submission of down payment and filing 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: unjust enrichment.
1.2112 Ownership disclosure requirements for applications.
1.2113 Construction prior to grant of application.

 Subpart R_Implementation of Section 4(g)(3) of the Communications Act: 
 Procedures Governing Acceptance of Unconditional Gifts, Donations and 
                                Bequests

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 requirements.

  Subpart S_Preemption of Restrictions That ``Impair'' the Ability to 
    Receive Television Broadcast Signals, Direct Broadcast 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 multichannel 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 
          Commission.

[[Page 101]]

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 Retransmission 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 Advanced Telecommunications Capability 
                                  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 filings.
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 spectrum leasing arrangements.
1.9020 Spectrum manager leasing arrangements.
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.
1.9045 Requirements for spectrum leasing arrangements entered into by 
          licensees participating in the installment payment program.
1.9050 Who may sign spectrum leasing notifications and applications.
1.9055 Assignment of file numbers to spectrum leasing notifications and 
          applications.
1.9060 Amendments, waivers, and dismissals affecting spectrum leasing 
          notifications and applications.

              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 approved?
1.10005 What is IBFS?
1.10006 Is electronic filing mandatory?
1.10007 What applications can I file electronically?
1.10008 What are IBFS file numbers?
1.10009 What are the steps for electronic filing?
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 application 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 information?
1.10018 May I amend my application?

Appendix A to Part 1--A Plan of Cooperative Procedure in Matters and 
          Cases Under the Provisions of Section 410 of the 
          Communications Act of 1934

    Authority: 47 U.S.C. 151, 154(i), 154(j), 155, 225, 303(r), 309 and 
325(e).

    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



Sec. 1.1  Proceedings before the Commission.

    The Commission may on its own motion or petition of any interested 
party hold such proceedings as it may deem

[[Page 102]]

necessary from time to time in connection with the investigation of any 
matter which it has power to investigate under the law, or for the 
purpose of obtaining information necessary or helpful 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 purposes of such proceedings.

(Sec. 403, 48 Stat. 1094; 47 U.S.C. 403)



Sec. 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 terminating a controversy or removing uncertainty.

(5 U.S.C. 554)



Sec. 1.3  Suspension, amendment, or waiver 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 
Commission, subject to the provisions of the Administrative Procedure 
Act and the provisions of this chapter. Any provision 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.



Sec. 1.4  Computation of time.

    (a) Purpose. The purpose of this rule section is to detail the 
method for computing the amount of time within which persons or entities 
must act in response to deadlines established by the Commission. It also 
applies to computation of time for seeking both reconsideration and 
judicial review of Commission decisions.
    (b) General Rule--Computation of Beginning 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 members of the 
Commission or its staff pursuant to delegated authority is the day after 
the day on which public notice of that action is given. See Sec. 1.4(b) 
(1)-(5) of this section. Unless otherwise provided, all Rules measuring 
time from the date of the issuance of a Commission document entitled 
``Public Notice'' shall be calculated in accordance with this section. 
See Sec. 1.4(b)(4) of this section for a description of the ``Public 
Notice'' document. Unless otherwise provided in Sec. 1.4 (g) and (h) of 
this section, 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 Sec. 1.4(e)(1) of this section for 
definition 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 summaries 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 Sec. 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 Wednesday, 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 document 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 
filing 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 petition's filing in the Federal 
Register. Public notice of the filing of a petition for reconsideration 
is published in the Federal Register on Wednesday, June 10, 1987. For 
purposes 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, oppositions to the reconsideration 
petition

[[Page 103]]

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 release 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 notice of this decision is 
given on Friday, April 3, 1987. Saturday, April 4, 1987, is the first 
day to be counted in computing filing periods.

    (3) For rule makings of particular applicability, if the rule making 
document 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 Federal Register publication date. If the decision fails 
to specify Federal Register publication, the date of public notice will 
commence on the release date, even if the document is subsequently 
published in the Federal Register. See Declaratory Ruling, 51 FR 23059 
(June 25, 1986).

    Example 4: An order establishing an investigation 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 notice is Friday, April 10, 
1987. If this decision does not specify Federal Register publication, 
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 document is not to be released by 
the Commission, but a descriptive document entitled ``Public Notice'' 
describing the action is released, the date on which the descriptive 
``Public Notice'' is released.

    Example 5: At a public meeting the Commission considers an 
uncontested application to transfer control of a broadcast station. 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 
released. 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 released on Wednesday, September 2, 1987; public 
notice of these petitions is given on September 2, 1987. The first day 
to be counted in computing filing times is Thursday, September 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 persons affected by the action.

    Example 7: A Bureau grants a license to an applicant, or issues a 
waiver for non-conforming operation to an existing licensee, and no 
``Public Notice'' announcing the action is released. The date of public 
notice commences on the day appearing on the license mailed to the 
applicant or appearing on the face of the letter granting the waiver 
mailed to the licensee.

    (c) General Rule--Computation of Beginning Date When Action is 
Initiated by Act, Event or Default. Commission procedures frequently 
require the computation 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. Unless otherwise provided, the first day to 
be counted when a period of time begins 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 Sec. 21.39(d) requires the filing of an 
application requesting consent to involuntary assignment or control 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 Sec. 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 Sec. 21.39(d).

    (d) General Rule--Computation of Terminal Date. Unless otherwise 
provided, when computing a period of time the last day of such period of 
time is included in the computation, and any action required must be 
taken on or before that day.

    Example 9: Paragraph 1.4(b)(1) of this section provides that 
``public notice'' in a notice and comment rule making proceeding

[[Page 104]]

begins on the day of Federal Register publication. Paragraph 1.4(b) of 
this section provides that the first day to be counted in computing a 
terminal date is the ``day after the day'' on which public notice 
occurs. Therefore, 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 Federal Register 
publication. Accordingly, if the Federal Register document is published 
on Thursday, July 23, 1987, public notice 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 scheduled Commission business day may become a holiday if its 
offices are closed prior to 5:30 p.m. due to adverse weather, emergency 
or other closing.

    Note: As of August 1987, officially recognized Federal legal 
holidays are New Year's Day, January 1; Martin Luther King's Birthday, 
third Monday in January; Washington's Birthday, third Monday in 
February; Memorial Day, last Monday in May; Independence Day, July 4; 
Labor Day, first Monday in September; Columbus Day, second Monday in 
October; Veterans Day, November 11; Thanksgiving Day, fourth Thursday in 
November; 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 Washington, 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 determination of a 
``holiday'' will apply only to the specific Commission location(s) 
designated as on ``holiday'' on that particular day.

    (2) The term business day means all days, including days when the 
Commission opens later than the time specified in Rule Sec. 0.403, 
which are not ``holidays'' 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 document with the Commission. It does not include any 
additional days allowed for filing any document pursuant to paragraphs 
(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 authorized by this section have 
been made.
    (f) Except as provided in Sec. 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 7:00 p.m., at 445 12th St., SW., TW-A325, 
Washington, DC. The Secretary will determine whether a tendered document 
meets the pre-7:00 p.m. deadline. Documents filed electronically 
pursuant to Sec. 1.49(f) must be received by the Commission's 
electronic filing system before midnight. Applications, attachments and 
pleadings filed electronically in the Universal Licensing System (ULS) 
pursuant to Sec. 1.939(b) must be received before midnight on the 
filing date. Media Bureau applications and reports filed electronically 
pursuant to Sec. 73.3500 of this chapter must be received by the 
electronic filing system before midnight on the filing date.
    (g) Unless otherwise provided (e.g., Sec. Sec. 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 
opposition 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 because 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 document is in fact served by 
mail (see Sec. 1.47(f)), and the filing period for a response is 10 
days or less, an additional 3 days (excluding holidays) will be allowed 
to all parties in the proceeding for filing a response. This paragraph 
(h)

[[Page 105]]

shall not apply to documents filed pursuant to Sec. 1.89, Sec. 
1.120(d), Sec. 1.315(b) or Sec. 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 opposition be served 
on the person seeking reconsideration. 47 CFR 1.106(g). If the 
opposition is served on the party seeking reconsideration by mail and 
the opposition is filed with the Commission on Monday, November 9, 1987, 
the first day to be counted is Tuesday, November 10, 1987 (the day after 
the day on which the event occurred, Sec. 1.4(c)), and the seventh day 
is Monday, November 16. An additional 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 paragraph (g) computation before the paragraph (h) computation.

    Example 13: Section 1.45(b) requires the filing of replies to 
oppositions within five days after the time for filing oppositions has 
expired. 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, Sec. 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 applied to 
add three days for mailing (excluding 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. Sec. 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 specific provisions of part 1 are controlling. See, 
e.g.,Sec. Sec. 1.45(d), 1.773(a)(3) and 1.773(b)(2). Additionally, 
where Sec. 76.1502(e) of this chapter conflicts with this section, 
those specific provisions of Sec. 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]



Sec. 1.5  Mailing address furnished by licensee.

    (a) Each licensee shall furnish the Commission with an address to be 
used by the Commission in serving documents or directing correspondence 
to that licensee. Unless any licensee advises 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 circumstances 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.



Sec. 1.6  Availability of station logs and records for Commission inspection.

    (a) Station records and logs shall be made available for inspection 
or duplication at the request of the Commission or its representative. 
Such logs or records may be removed from the licensee's possession by a 
Commission representative or, upon request, shall be mailed by the 
licensee to the Commission by either registered mail, return receipt 
requested, or certified mail, return receipt requested. The return 
receipt shall be retained by the licensee as part of the station records 
until such records or logs are returned

[[Page 106]]

to the licensee. A receipt shall be furnished when the logs or records 
are removed from the licensee's possession by a Commission 
representative and this receipt shall be retained by the licensee 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 licensee. The provisions of this 
rule shall apply solely to those station logs and records which are 
required to be maintained by the provisions of this chapter.
    (b) Where records or logs are maintained as the official records of 
a recognized 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 removed 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 that such records will be 
released to the Federal Communications Commission.



Sec. 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 Commission's staff acting on 
delegated authority, pleadings and other documents are considered to be 
filed with the Commission upon their receipt at the location designated 
by the Commission.

[60 FR 16055, Mar. 29, 1995]



Sec. 1.8  Withdrawal of papers.

    The granting of a request to dismiss or withdraw an application or a 
pleading does not authorize the removal of such application or pleading 
from the Commission's records.



Sec. 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 submitted 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 responsible for furnishing the copies.

[29 FR 14406, Oct. 20, 1964]



Sec. 1.12  Notice to attorneys of Commission 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 written communication 
pertaining to that matter issued by the Commission and which is required 
or permitted to be furnished to the person will be communicated to the 
attorney, or to one of such attorneys if more than one is designated. 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]



Sec. 1.13  Filing of petitions for review and notices of appeals of 
Commission 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 
established 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 Counsel in the 
Office of General Counsel, Room 8-A741, 445 12th Street, SW., 
Washington, DC 20554, a copy of its petition for review as filed and 
date-stamped by the court of appeals within which it was filed. Such 
copies of petitions 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 Office of General Counsel will constitute

[[Page 107]]

proof of filing. Upon receipt of any copies of petitions for review, the 
Commission shall follow the procedures established in section 28 U.S.C. 
2112(a) to determine 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 Sec. 
1.4 of the Commission's Rules, 47 CFR 1.4. The date of issuance of a 
Commission order for purposes of filing copies of petitions for review 
shall be the date of public notice as defined in Sec. 1.4(b), 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 actions 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]



Sec. 1.14  Citation of Commission documents.

    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 number and year, in 
that order (e.g., 1 FCC Rcd. 1 (1986). Older documents may continue to 
be cited to the FCC Reports, first or second series, if they were 
printed in the Reports (e.g., 1 FCC 2d 1 (1965)).

[51 FR 45890, Dec. 23, 1986]



Sec. 1.16  Unsworn declarations under penalty of perjury in lieu of 
affidavits.

    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, established or proved by a written 
sworn declaration, verification, certificate, statement, oath or 
affidavit by the person making the same, may be supported, evidenced, 
established or proved by the unsworn declaration, certification, 
verification, or statement 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 required to be taken before a 
specified official other than a notary public. Such declaration shall be 
subscribed by the declarant as true under penalty of perjury, 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]



Sec. 1.17  Truthful and accurate statements to the Commission.

    (a) In any investigatory or adjudicatory matter within the 
Commission's jurisdiction (including, but not limited to, any informal 
adjudication or informal 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 information that is necessary to prevent any material factual 
statement that is made from being incorrect or misleading; and
    (2) In any written statement of fact, provide material factual 
information that is incorrect or omit material information that is 
necessary to prevent any material factual statement that is made from 
being incorrect or misleading without a reasonable basis for believing 
that any such material factual statement is correct and not misleading.

[[Page 108]]

    (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 authorization, whether by 
application or by blanket authorization or other rule;
    (3) Any person performing without Commission authorization an 
activity that requires Commission authorization;
    (4) Any person that has received a citation or a letter of inquiry 
from the Commission or its staff, or is otherwise the subject of a 
Commission or staff investigation, including an informal investigation;
    (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 operator or common carrier.

[68 FR 15098, Mar. 28, 2003]



Sec. 1.18  Administrative Dispute Resolution.

    (a) The Commission has adopted an initial policy statement that 
supports and encourages the use of alternative dispute resolution 
procedures in its administrative proceedings and proceedings in which 
the Commission is a party, including the use of regulatory negotiation 
in Commission rulemaking matters, as authorized under the Administrative 
Dispute Resolution Act and Negotiated Rulemaking Act.
    (b) In accordance with the Commission's policy to encourage the 
fullest possible use of alternative dispute resolution procedures in its 
administrative proceedings, procedures contained in the Administrative 
Dispute Resolution Act, including the provisions dealing with 
confidentiality, shall also be applied in Commission alternative dispute 
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]



Sec. 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 requirement; except, however, 
that the use of metric paper sizes is not currently 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 submitted in English units.

[58 FR 44893, Aug. 25, 1993]

                  Parties, Practitioners, and Witnesses



Sec. 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 proceeding (as defined in the 
Administrative Procedure Act) without the necessity of being so named in 
the order designating the proceeding for hearing.
    (c) When, in any proceeding, a pleading is filed on behalf of either 
the General Counsel or the Chief Engineer, he shall thereafter be deemed 
a party to the proceeding.
    (d) Except as otherwise expressly provided 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 discretion of the presiding officer, may appear and be heard on 
behalf of the corporation in an evidentiary hearing proceeding.

[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]



Sec. 1.22  Authority for representation.

    Any person, in a representative capacity, transacting business with 
the Commission, may be required to show his authority to act in such 
capacity.



Sec. 1.23  Persons who may be admitted to practice.

    (a) Any person who is a member in good standing of the bar of the 
Supreme Court of the United States or of the highest court of any state, 
territory or the District of Columbia, and

[[Page 109]]

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, enjoins, 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 acting in a representative capacity 
appears 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 authorized and qualified to represent the particular party in 
whose behalf he acts. Further proof of authority to act in a 
representative capacity may be required.

[28 FR 12415, Nov. 22, 1963, as amended at 57 FR 38285, Aug. 24, 1992]



Sec. 1.24  Censure, suspension, or disbarment of attorneys.

    (a) The Commission may censure, suspend, or disbar any person who 
has practiced, is practicing or holding himself out as entitled to 
practice before it if it finds that such person:
    (1) Does not possess the qualifications required by Sec. 1.23;
    (2) Has failed to conform to standards of ethical conduct required 
of practitioners at the bar of any court of which he is a member;
    (3) Is lacking in character or professional 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 Territories 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 Commission against such 
practitioner, and he or she shall be afforded an opportunity 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, territory, or the District of Columbia which demonstrates that an 
attorney practicing 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, without any 
preliminary hearing, enter an order temporarily suspending the attorney 
from practice before it pending final disposition of a disciplinary 
proceeding brought pursuant to Sec. 1.24(a)(2), which shall afford such 
attorney an opportunity 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 imposed against such attorney by the 
Commission.
    (d) Allegations of attorney misconduct in Commission proceedings 
shall be referred under seal to the Office 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 attorney's conduct only if necessary to resolve questions concerning 
an applicant and may not reach any conclusions regarding the ethical 
ramifications 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 Commission's 
administrative process, including but not limited to one or more of the 
following:
    (1) Recommending to the Commission the institution of a proceeding 
under paragraph (a) of this section;
    (2) Referring the matter to the appropriate 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]

[[Page 110]]



Sec. 1.25  [Reserved]



Sec. 1.26  Appearances.

    Rules relating to appearances are set forth in Sec. Sec. 1.87, 
1.91, 1.221, and 1.703.



Sec. 1.27  Witnesses; right to counsel.

    Any individual compelled to appear in person in any Commission 
proceeding may be accompanied, represented, and advised by counsel as 
provided in this section. (Regulations as to persons seeking voluntarily 
to appear and give evidence are set forth in Sec. 1.225.)
    (a) Counsel may advise his client in confidence, either upon his own 
initiative or that of the witness, before, during, 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 examination of his client, counsel may 
ask clarifying questions if in the judgment of the presiding officer 
such questioning is necessary or desirable in order to avoid ambiguity 
or incompleteness in the responses previously given.
    (d) Except as provided by paragraph (c) of this section, counsel for 
the witness may not examine or cross-examine any witness, or offer 
documentary evidence, unless authorized by the Commission to do so.

(5 U.S.C. 555)

[29 FR 12775, Sept. 10, 1964]



Sec. Sec. 1.28-1.29  [Reserved]

                   Pleadings, Briefs, and Other Papers



Sec. 1.41  Informal requests for Commission 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 Sec. 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]



Sec. 1.42  Applications, reports, complaints; cross-reference.

    (a) Rules governing applications and reports are contained in 
subparts D, E, and F of this part.
    (b) Special rules governing complaints against common carriers 
arising under the Communications Act are set forth in subpart E of this 
part.
    (c) Rules governing the FCC Registration 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]



Sec. 1.43  Requests for stay; cross-reference.

    General rules relating to requests for stay of any order or decision 
are set forth in Sec. Sec. 1.41, 1.44(e), 1.45 (d) and (e), and 
1.298(a). See also Sec. Sec. 1.102, 1.106(n), and 1.115(h).



Sec. 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 person or persons acting pursuant to delegated 
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 
delegated 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 returned without 
consideration to the person who filed the pleading.
    (e) Any request to stay the effectiveness of any decision or order 
of the Commission shall be filed as a separate

[[Page 111]]

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 subpart B of part 0 of this chapter. Matters acted on by 
the hearing examiner are set forth in Sec. 0.341.



Sec. 1.45  Pleadings; filing periods.

    Except as otherwise provided in this chapter, pleadings in 
Commission proceedings shall be filed in accordance with the provisions 
of this section. Pleadings associated with licenses, applications, 
waivers and other documents in the Wireless Radio Services may be filed 
via the ULS.
    (a) Petitions. Petitions to deny may be filed pursuant to Sec. 
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 
oppositions within 5 days after the time for 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 individual oppositions shall not 
be filed.
    (d) Requests for temporary relief; shorter filing periods. 
Oppositions to a request for stay of any order or to a request 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 Sec. 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 pleadings. As a matter of 
discretion, the Commission may rule ex parte upon requests for 
continuances and extensions of time, requests for permission to file 
pleadings in excess of the length prescribed 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, Sec. Sec. 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]



Sec. 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 rulemaking 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 situations, 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 Commission 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]



Sec. 1.47  Service of documents and proof of service.

    (a) Where the Commission or any person 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 provisions in this chapter to 
the contrary) be made in accordance with the provisions of this section.

[[Page 112]]

    (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 document 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 proceeding. The filing of a document with the Commission does not 
constitute service upon Commission counsel.
    (d) Except in formal complaint proceedings against common carriers 
under Sec. Sec. 1.720 through 1.736, documents may be served upon a 
party, his attorney, or other duly constituted agent by delivering a 
copy or by mailing a copy to the last known address. See Sec. 1.736. 
Documents that are required to be served must be served in paper form, 
even if documents are filed in electronic form with the Commission, 
unless the party to be served agrees to accept 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 constituted agent; or leaving it 
with the clerk or other person in charge of the office of the person 
being served; or, if there is no one in charge of such office, leaving 
it in a conspicuous place therein; or, if such office is closed or the 
person 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 therein.
    (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 acknowledgement of service, by 
certificate of the person effecting the service, or by other proof 
satisfactory to the Commission. Failure to make proof of service 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 subject to the Communications Act of 1934, 
as amended, shall designate an agent in the District of Columbia, and 
may designate additional agents if it so chooses, upon whom service of 
all notices, process, orders, decisions, and requirements of the 
Commission may be made for and on behalf of said carrier in any 
proceeding before the Commission. Such designation shall include, for 
both the carrier and its designated agents, a name, business address, 
telephone or voicemail number, facsimile number, and, if available, 
Internet e-mail address. The carrier shall additionally list any other 
names by which it is known or under which it does business, and, if the 
carrier is an affiliated company, the parent, holding, or management 
company. Within thirty (30) days of the commencement of provision of 
service, each carrier shall file such information with the Chief of the 
Enforcement Bureau's Market Disputes Resolution Division. Carriers may 
file a hard copy of the relevant portion of the Telecommunications 
Reporting Worksheet, as delineated by the Commission in the Federal 
Register, to satisfy this requirement. Each Telecommunications Reporting 
Worksheet filed annually by a common carrier must contain a name, 
business address, telephone 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 filing. Carriers must notify the Commission within one week of 
any changes in their designation information by filing revised portions 
of the Telecommunications 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 by leaving a copy thereof with such designated agent at his 
office or usual place of residence. If a carrier fails to designate such 
an agent, service of any notice or other process in any proceeding 
before the Commission, or of any order, decision, or requirement of the 
Commission, may be made by posting such notice, process, order,

[[Page 113]]

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]



Sec. 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 length of the 
pleading. If other materials are submitted with a pleading, they will be 
counted in determining its length; and if the length of the pleadings, 
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 prescribed by the provisions 
of this chapter 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 
Sec. 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]



Sec. 1.49  Specifications as to pleadings and documents.

    (a) All pleadings and documents filed in paper form in any 
Commission proceeding shall be typewritten or prepared by mechanical 
processing methods, and shall be filed on A4 (21 cm. x 29.7 cm.) or on 
8\1/2\ x 11 inch (21.6 cm. x 27.9 cm.) paper with the margins set so 
that the printed material does not exceed 6 \1/2\ x 9\1/2\ inches (16.5 
cm. x 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 
larger in height, with at least \1/16\ of an inch (0.158 cm.) between 
each line of text. Counsel are cautioned against employing extended 
single spaced passages or excessive footnotes to evade prescribed 
pleading lengths. If single-spaced passages or footnotes are used in 
this manner the pleading will, at the discretion of the Commission, 
either be rejected as unacceptable for filing or dismissed with leave to 
be refiled in proper 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 document, 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 
condensation 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 
summary should seldom exceed two and never five pages.
    (d) The requirements of paragraphs (b) and (c) of this section shall 
not apply to:

[[Page 114]]

    (1) Interrogatories or answers to interrogatories, 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 
document or pleading submitted to the Commission.
    (e) Petitions, pleadings, and other documents associated with 
licensing matters in the Wireless Radio Services may be filed 
electronically in ULS. See Sec. 22.6 for specifications.
    (f)(1) In the following types of proceedings, all pleadings, 
including permissible ex parte submissions, notices of ex parte 
presentations, comments, reply comments, and petitions for 
reconsideration and replies thereto, may be filed in electronic format:
    (i) General rulemaking proceedings other than broadcast allotment 
proceedings;
    (ii) Notice of inquiry proceedings; and
    (iii) Petition for rulemaking proceedings (except broadcast 
allotment proceedings).
    (2) For purposes of paragraphs (b) and (c) of this section, and any 
prescribed pleading lengths, the length of any document 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 summary pages shall not be 
included in complying with any page limitation requirements 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]



Sec. 1.50  Specifications as to briefs.

    The Commission's preference is for briefs that are either 
typewritten, prepared by other mechanical processing methods, or, in the 
case of matters in the Wireless Radio Services, composed electronically 
and sent via ULS. Printed briefs will be accepted only if specifically 
requested by the Commission. Typewritten, mechanically produced, or 
electronically transmitted briefs must conform to all of the applicable 
specifications for pleadings and documents set forth in Sec. 1.49.

[63 FR 68920, Dec. 14, 1998]



Sec. 1.51  Number of copies of pleadings, briefs and other papers.

    Except as otherwise specifically provided 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 following number of copies shall be 
filed:
    (1) If the paper filed relates to a matter 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 matters 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 additional 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 making and hearing cases, the 
following number of copies shall be filed:
    (1) If the paper filed relates to matters 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 Sec. 22.6.
    (2) If the paper filed related to matters 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 Sec. 22.6.
    (d) Where statute or regulation provides 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 additional copies of any or all filings made in that proceeding.
    (f) For application and licensing matters involving the Wireless 
Radio Services, pleadings, briefs or other documents 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.

[[Page 115]]

    (g) Participants that file pleadings, briefs or other documents 
electronically in ULS need only submit one copy, so long as the 
submission conforms to any procedural or filing requirements established 
for formal electronic comments. (see Sec. 1.49)
    (h) Pleadings, briefs or other documents filed electronically in ULS 
by a party represented by an attorney shall include the name, street 
address, and telephone number of at least one attorney 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]



Sec. 1.52  Subscription and verification.

    The original of all petitions, motions, pleadings, briefs, and other 
documents filed by any party represented by counsel shall be signed by 
at least one attorney of record in his individual name, whose address 
shall be stated. A party who is not represented by an attorney shall 
sign and verify the document and state his address. Either the original 
document, the electronic reproduction 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 facsimile 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 review. If pursuant to Sec. 1.429(h) a 
document is filed electronically, a signature will be considered any 
symbol executed or adopted by the party with the intent that such symbol 
be a signature, including symbols formed by computer-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 affidavit. The signature or electronic 
reproduction thereof by an attorney constitutes a certificate by him 
that he has read the document; that to the best of his knowledge, 
information, and belief 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 defeat the purpose of this section, or an 
electronic reproduction does not contain a facsimile signature, it may 
be stricken as sham and false, and the matter may proceed as though the 
document had not been filed. An attorney may be subjected to appropriate 
disciplinary action, pursuant to Sec. 1.24, for a willful violation of 
this section or if scandalous or indecent matter is inserted.

[63 FR 24125, May 1, 1998, as amended at 63 FR 68920, Dec. 14, 1998]



Sec. 1.53  Separate pleadings for petitions for forbearance.

    In order to be considered as a petition 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 pleading 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 therein.

[65 FR 7460, Feb. 15, 2000]

                     General Application Procedures



Sec. 1.61  Procedures for handling applications requiring special 
aeronautical study.

    (a) Antenna Structure Registration is conducted by the Wireless 
Telecommunications 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 
Telecommunications Bureau using FCC Form 854.

[[Page 116]]

    (2) If an Environmental Assessment is required under Sec. 1.1307, 
the Bureau will address the environmental concerns prior to processing 
the registration.
    (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 disapproved.
    (4) If the owner of the antenna structure cannot file FCC Form 854 
because it is subject to a denial of Federal benefits under the Anti-
Drug Abuse Act of 1988, 21 U.S.C. 862, the first licensee authorized to 
locate on the structure must register 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 
registration number as required by Sec. 17.4(g) of this chapter.
    (5) Upon receipt of FCC Form 854, and attached final FAA 
determination of ``no hazard,'' the Bureau prescribes antenna structure 
painting and/or lighting specifications or other conditions in 
accordance with the FAA airspace recommendation and returns a completed 
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 
Commission authorization for which it is responsible to ensure 
compliance with FAA notification procedures as well as Commission 
Antenna Structure Registration as follows:
    (1) If Antenna Structure Registration is required, the operating 
Bureau reviews the application for the Antenna Structure Registration 
Number and proceeds as follows:
    (i) If the application contains the Antenna Structure Registration 
Number or if the applicant seeks a Cellular or PCS system authorization, 
the operating Bureau processes the application.
    (ii) If the application does not contain the Antenna Structure 
Registration Number, but the structure owner has already filed FCC Form 
854, the operating Bureau places the application on hold until 
Registration can be confirmed, so long as the owner exhibits due 
diligence in filing.
    (iii) If the application does not contain the Antenna Structure 
Registration Number, and the structure owner has not filed FCC Form 854, 
the operating 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 
community or communities (see Sec. 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 communities will 
not be accepted for filing unless:
    (1) It is proposed to locate the antenna structure in a designated 
antenna farm area, or
    (2) It is accompanied by a statement from the Federal Aviation 
Administration that the proposed structure will not constitute a menace 
to air navigation, 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 concerning the 
height of radio and television antenna towers:
``We have concluded that this objective can best be achieved by adopting 
the following policy: Applications for antenna towers higher than 2,000 
feet above ground will be presumed to be inconsistent with the public 
interest, 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 applicable FAA procedures, and full 
Commission coordination with FAA on the question of menace to air 
navigation, will a grant be made. Applicants and parties in interest 
will,

[[Page 117]]

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]



Sec. 1.62  Operation pending action on renewal application.

    (a)(1) Where there is pending before the Commission at the time of 
expiration of license any proper and timely application for renewal of 
license with respect to any activity of a continuing nature, in 
accordance with the provisions of section 9(b) of the Administrative 
Procedure Act, such license shall continue in effect without further 
action 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 Commission that the operation will serve the public 
interest, convenience, or necessity, nor shall such operation in any way 
affect or limit the action of the Commission with respect to any pending 
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 license, 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 submitted 
by the licensee, or in services other than broadcast and common carrier, 
a statement certifying that the licensee has mailed or filed a renewal 
application, specifying the date of mailing or filing.
    (b) Where there is pending before the Commission at the time of 
expiration of license any proper and timely application 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 license pending determination of such 
application. No such temporary extension shall be construed as a finding 
by the Commission that the operation of any radio station thereunder 
will serve the public interest, convenience, or necessity 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 authorization, all licenses issued by the Commission shall 
be deemed to be related to an activity of a continuing nature.

(5 U.S.C. 558)



Sec. 1.65  Substantial and significant changes in information furnished by 
applicants to the Commission.

    (a) Each applicant is responsible for the continuing accuracy and 
completeness of information furnished in a pending application or in 
Commission proceedings involving a pending application. 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 possible and in any event within 30 days, 
unless good cause is shown, amend or request the amendment of his 
application so as to furnish such additional or corrected information as 
may be appropriate. Whenever there has been a substantial change as to 
any other matter which may be of decisional significance 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 statement furnishing such additional or corrected 
information as may be appropriate, which shall be served upon parties of 
record in accordance with Sec. 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 application is ``pending'' before the Commission from the 
time it is accepted for filing by the Commission until a Commission 
grant or denial of the application is no longer subject to 
reconsideration by the Commission or to review by any court.

[[Page 118]]

    (b) Applications in ITFS and broadcast services subject to 
competitive bidding will be subject to the provisions of Sec. Sec. 
1.2105(b), 73.5002 and 73.3522 regarding the modification of their 
applications.
    (c) All broadcast permittees and licensees must report annually to 
the Commission any adverse finding or adverse 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 reflected 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 
application is required to be filed, except that licensees owning 
multiple stations with different anniversary dates need file only one 
report per year on the anniversary 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 
knowledgeable of any such reportable adjudicated misconduct.

    Note: The terms adverse finding and adverse final action as used in 
paragraph (c) of this section include adjudications made by an ultimate 
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 review has expired under the relevant procedural 
rules. The pendency of an appeal of an adverse finding or adverse final 
action does 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]



Sec. 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 
paragraph (a) of this section, the Commission will designate the 
application for hearing upon specified issues.

(Sec. 319, 48 Stat. 1089, as amended; 47 U.S.C. 319)



Sec. 1.77  Detailed application procedures; cross references.

    The application procedures set forth in Sec. Sec. 1.61 through 1.68 
are general in nature. 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 subpart W of 
this part). More detailed procedures 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, Scientific, 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 microwave services and Local 
Multipoint

[[Page 119]]

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



Sec. 1.80  Forfeiture proceedings.

    (a) Persons against whom and violations for which a forfeiture may 
be assessed. A forfeiture penalty may be assessed 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 authorization 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, convention, 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 penalty provided for by the Communications Act, except that the 
penalties 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 
Communications Act. The remaining provisions of this section are 
applicable to such conduct.
    (b) Limits on the amount of forfeiture assessed. (1) If the violator 
is a broadcast station licensee or permittee, a cable television 
operator, or an applicant for any broadcast or cable television operator 
license, permit, certificate, or other instrument of authorization 
issued by the Commission, except as otherwise noted in this paragraph, 
the forfeiture penalty under this section shall not exceed $32,500 for 
each violation or each day of a continuing violation, except that the 
amount assessed for any continuing violation shall not exceed a total of 
$325,000 for any single act or failure to act described in paragraph (a) 
of this section. There is no limit on forfeiture assessments for EEO 
violations by cable operators that occur after notification by the 
Commission of a potential violation. See section 634(f)(2) of the 
Communications Act.
    (2) If the violator is a common carrier subject to the provisions of 
the Communications Act or an applicant for any common carrier license, 
permit, certificate, or other instrument of authorization issued by the 
Commission, the amount of any forfeiture penalty determined under this 
section shall not exceed $130,000 for each violation or each day of a 
continuing violation, except that the amount assessed for any continuing 
violation shall not exceed a total of $1,325,000 for any single act or 
failure to act described in paragraph (a) of this section.
    (3) In any case not covered in paragraphs (b)(1) or (b)(2) of this 
section, the amount of any forfeiture penalty determined under this 
section shall not exceed $11,000 for each violation or each day of a 
continuing violation, except that the amount assessed for any continuing 
violation shall not exceed a total of $97,500 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 forfeiture penalty, the 
Commission or its designee will take into account the nature, 
circumstances, extent and gravity of the violations and, with respect to 
the violator, the degree of culpability, 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 discretion to issue a 
higher or lower forfeiture

[[Page 120]]

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 Sec. 1.80(b)(5)(iii). These 
statutory maxima became effective September 7, 2004. 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

------------------------------------------------------------------------
                                                               Violation
                         Forfeitures                             Amount
------------------------------------------------------------------------
Misrepresentation/lack of candor.............................      (\1\)
Construction and/or operation without an instrument of           $10,000
 authorization for the service...............................
Failure to comply with prescribed lighting and/or marking....     10,000
Violation of public file rules...............................     10,000
Violation of political rules: reasonable access, lowest unit       9,000
 charge, equal opportunity, and discrimination...............
Unauthorized substantial transfer of control.................      8,000
Violation of children's television commercialization or            8,000
 programming requirements....................................
Violations of rules relating to distress and safety                8,000
 frequencies.................................................
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 equipment...........      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 coordination.........      4,000
Construction or operation at unauthorized location...........      4,000
Violation of requirements pertaining to broadcasting of            4,000
 lotteries or contests.......................................
Violation of transmitter control and metering requirements...      3,000
Failure to file required forms or information................      3,000
Failure to make required measurements or conduct required          2,000
 monitoring..................................................
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 conversion of long        Common Carrier.........   $40,000
 distance telephone service.
Violation of operator services         Common Carrier.........     7,000
 requirements.
Violation of pay-per-call              Common Carrier.........     7,000
 requirements.
Failure to implement rate reduction    Cable..................     7,500
 or refund order.
Violation of cable program access      Cable..................     7,500
 rules.
Violation of cable leased access       Cable..................     7,500
 rules.
Violation of cable cross-ownership     Cable..................     7,500
 rules.
Violation of cable broadcast carriage  Cable..................     7,500
 rules.
Violation of pole attachment rules...  Cable..................     7,500
Failure to maintain directional        Broadcast..............     7,000
 pattern within prescribed parameters.
Violation of main studio rule........  Broadcast..............     7,000
Violation of broadcast hoax rule.....  Broadcast..............     7,000
AM tower fencing.....................  Broadcast..............     7,000
Broadcasting telephone conversations   Broadcast..............     4,000
 without authorization.
Violation of enhanced underwriting     Broadcast..............     2,000
 requirements.
------------------------------------------------------------------------

       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 requirements.
    (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 establishes maximum forfeiture 
amounts, other sections of the Act, with one exception, state prescribed 
amounts of forfeitures for violations of the relevant section. These 
amounts are then subject to mitigation or remission under section 504 of 
the Act. The one exception is section 223 of the Act, which provides a 
maximum forfeiture per day. For convenience, the Commission will treat 
this amount as if it were a prescribed base amount, subject to downward 
adjustments. The following amounts are adjusted for inflation pursuant 
to the Debt Collection Improvement Act of 1996 (DCIA), 28 U.S.C. 2461.

[[Page 121]]

These non-section 503 forfeitures may be adjusted downward using the 
``Downward Adjustment Criteria'' shown for section 503 forfeitures in 
section II of this note.

------------------------------------------------------------------------
                  Violation                      Statutory amount ($)
------------------------------------------------------------------------
Sec. 202(c) Common Carrier Discrimination...  $8,600 430/day.
Sec. 203(e) Common Carrier Tariffs..........  8,600 430/day.
Sec. 205(b) Common Carrier Prescriptions....  18,200.
Sec. 214(d) Common Carrier Line Extensions..  1,320/day.
Sec. 219(b) Common Carrier Reports..........  1,320.
Sec. 220(d) Common Carrier Records &          8,600/day.
 Accounts.
Sec. 364(a) Forfeitures (Ships).............  6,500 (owner).
Sec. 364(b) Forfeitures (Ships).............  1,100 (vessel master).
Sec. 386(a) Forfeitures (Ships).............  6,500/day (owner).
Sec. 386(b) Forfeitures (Ships).............  1,100 (vessel master).
Sec. 634 Cable EEO..........................  550/day.
------------------------------------------------------------------------


    (5) Inflation adjustments to the maximum 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 Adjustment 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 percentage (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 adjustment by the statutory maximum amount. Round off 
this result using the rules in paragraph (b)(5)(ii) of this section. Add 
the rounded result to the statutory maximum forfeiture penalty amount. 
The sum is the statutory maximum 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 adjusted statutory 
maximum forfeitures authorized by the Communications Act:

------------------------------------------------------------------------
                                                               Maximum
                                                               penalty
                     U.S. Code citation                       after DCIA
                                                              adjustment
                                                                 ($)
------------------------------------------------------------------------
47 U.S.C. 202(c)...........................................       $8,600
                                                                     430
47 U.S.C. 203(e)...........................................        8,600
                                                                     430
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)...........................................        8,600
47 U.S.C. 362(a)...........................................        6,500
47 U.S.C. 362(b)...........................................        1,100
47 U.S.C. 386(a)...........................................        6,500
47 U.S.C. 386(b)...........................................        1,100
47 U.S.C. 503(b)(2)(A).....................................       32,500
                                                                 325,000
47 U.S.C. 503(b)(2)(B).....................................      130,000
                                                               1,325,000
47 U.S.C. 503(b)(2)(C).....................................       11,000
                                                                  97,500
47 U.S.C. 507(a)...........................................          650
47 U.S.C. 507(b)...........................................           10
47 U.S.C. 554..............................................          550
------------------------------------------------------------------------

    Note to paragraph (b)(5):
    Pursuant to Public Law 104-134, the first inflation adjustment 
cannot exceed 10 percent of the statutory maximum amount.
    (c) Limits on the time when a proceeding may be initiated. (1) In 
the case of a broadcast station, no forfeiture penalty shall be imposed 
if the violation 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 paragraph, 
``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

[[Page 122]]

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 
authorization issued by the Commission, and if such person is not an 
applicant 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 reciting 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 described in the 
citation. However, a forfeiture penalty may be imposed, if such person 
is engaged in (and the violation relates to) activities for which a 
license, permit, certificate, or other authorization is required or if 
such person 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 received notice of the obligations imposed by section 
303(q) from the Commission 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 citation without issuance of an additional 
citation.
    (e) Alternative procedures. In the discretion of the Commission, a 
forfeiture proceeding may be initiated either: (1) By issuing a notice 
of apparent liability, in accordance with paragraph (f) of this section, 
or (2) a notice of opportunity for hearing, in accordance with paragraph 
(g).
    (f) Notice of apparent liability. Before imposing a forfeiture 
penalty under the provisions of this paragraph, the Commission or its 
designee will issue a written notice of apparent liability.
    (1) Content of notice. The notice of apparent liability will:
    (i) Identify each specific provision, term, or condition of any act, 
rule, regulation, order, treaty, convention, or other agreement, 
license, permit, certificate, 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 
respondent 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 apparent forfeiture penalty.
    (2) Delivery. The notice of apparent liability will be sent to the 
respondent, by certified mail, at his last known address (see Sec. 
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 forfeiture penalty should not be imposed or should be reduced, or 
to pay the forfeiture. Any showing as to why the forfeiture should not 
be imposed or should be reduced shall include a detailed factual 
statement and such documentation 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 liability, the Commission, 
upon considering all relevant information available 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 forfeiture 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.

[[Page 123]]

    (g) Notice of opportunity for hearing. The procedures set out in 
this paragraph 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 addition to any 
other Commission action. However, these procedures may be followed 
whenever the Commission, in its discretion, determines that they will 
better serve the ends of justice.
    (1) Before imposing a forfeiture penalty under the provisions of 
this paragraph, the Commission will issue a notice of opportunity for 
hearing. The hearing will be a full evidentiary hearing before an 
administrative law judge, conducted under procedures set out in subpart 
B of this part, including procedures for appeal and review of initial 
decisions. A final Commission order assessing a forfeiture under the 
provisions of this paragraph is subject to judicial review under section 
402(a) of the Communications Act.
    (2) If, after a forfeiture penalty is imposed 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 collection. In an action to recover the 
forfeiture, the validity and appropriateness of the order imposing the 
forfeiture are not subject to review.
    (3) Where the possible assessment of a forfeiture is an issue in a 
hearing case to determine which pending application should be granted, 
and the applicant facing a potential forfeiture is dismissed pursuant to 
a settlement agreement or otherwise, and the presiding judge has not 
made a determination on the forfeiture issue, the order of dismissal 
shall be forwarded to the attention of the full Commission. Within the 
time provided by Sec. 1.117, the Commission may, on its own motion, 
proceed with a determination of whether a forfeiture against the 
dismissing applicant is warranted. If the Commission so proceeds, it 
will provide the applicant with a reasonable opportunity to respond to 
the forfeiture issue (see paragraph (f)(3) of this section) and make a 
determination under the procedures 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 Communications 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 Commission, P.O. Box 73482, Chicago, Illinois 60673-7482.
    (i) Remission and mitigation. In its discretion, the Commission, or 
its designee, may remit or reduce any forfeiture imposed under this 
section. After issuance of a forfeiture order, any request that it do so 
shall be submitted as a petition for reconsideration pursuant to Sec. 
1.106.
    (j) Effective date. Amendments to paragraph (b) of this section 
implementing Pub. L. No. 101-239 are effective 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]



Sec. 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. Detailed 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]



Sec. 1.85  Suspension of operator licenses.

    Whenever grounds exist for suspension of an operator license, as 
provided in Sec. 303(m) of the Communications Act,

[[Page 124]]

the Chief of the Wireless Telecommunications Bureau, with respect to 
amateur and commercial radio operator licenses, may issue an order 
suspending the operator license. No order of suspension 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 operator 
licensee, who may make written application to the Commission at any time 
within the said 15 days for a hearing 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 the event that physical conditions prevent mailing of 
the application before the expiration of the 15-day period, the 
application shall then be mailed as soon as possible thereafter, 
accompanied by a satisfactory explanation of the delay. Upon receipt by 
the Commission of such application for hearing, said order of suspension 
shall be designated for hearing by the Chief, Wireless 
Telecommunications Bureau and said suspension shall be held in abeyance 
until the conclusion of the hearing. Upon the conclusion of said 
hearing, the Commission may affirm, modify, or revoke said order of 
suspension. If the license is ordered suspended, the operator shall send 
his operator license to the Licensing and Technical Analysis Branch, 
Public Safety and Private Wireless Division, Wireless Telecommunications 
Bureau, in Washington, 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]



Sec. 1.87  Modification of license or construction permit on motion of the 
Commission.

    (a) Whenever it appears that a station 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 licensee or permittee at least thirty days to protest such 
proposed order of modification, except that, where safety of life or 
property is involved, the Commission may by order provide a shorter 
period of time.
    (b) The notification required in paragraph (a) of this section may 
be effectuated 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 (Sec. Sec. 73.202 and 73.504) or Table of Assignments (Sec. 
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 receipt requested.
    (c) Any other licensee or permittee who believes that its license or 
permit would be modified by the proposed action may also protest the 
proposed action before its effective date.
    (d) Any protest filed pursuant to this section shall be subject to 
the requirements of section 309 of the Communications Act of 1934, as 
amended, for petitions to deny.
    (e) In any case where a hearing is conducted pursuant to the 
provisions of this section, both the burden of proceeding with the 
introduction of evidence 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 
permit of a person filing a protest pursuant 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 specified 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 statement 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

[[Page 125]]

required by paragraph (f) of this section.
    (2) In case of filing a written statement 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 licensee 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 question of fact concerning the 
proposed modification in his protest, the Commission may, on its own 
motion, designate the proposed modification for hearing in accordance 
with this section.
    (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 modification, and 
shall be served on the licensee or permittee.

[52 FR 22654, June 15, 1987]



Sec. 1.88  Predesignation pleading procedure.

    In cases where an investigation is being conducted by the Commission 
in connection with the operation of a broadcast station or a pending 
application for renewal of a broadcast license, the licensee may file a 
written statement to the Commission setting forth its views regarding 
the matters under investigation; the staff, in its discretion, may in 
writing, advise such licensee of the general nature of the 
investigation, and advise the licensee of its opportunity to submit such 
a statement to the staff. Any filing by the licensee will be forwarded 
to the Commission 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 Sec. 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]



Sec. 1.89  Notice of violations.

    (a) Except in cases of willfulness or those in which public health, 
interest, or safety requires otherwise, any person who holds a license, 
permit or other authorization appearing to have violated any provision 
of the Communications Act or any provision of this chapter will, before 
revocation, suspension, 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 Notice of Violation may be combined 
with a Notice of Apparent Liability to Monetary Forfeiture. In such 
event, notwithstanding the Notice of Violation, the provisions of Sec. 
1.80 apply and not those of Sec. 1.89.
    (b) Within 10 days from receipt of notice 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 answer shall be made at the earliest 
practicable date with a satisfactory explanation of the delay.
    (c) The answer to each notice shall be complete in itself and shall 
not be abbreviated by reference to other communications or answers to 
other notices. In every instance the answer shall contain a statement of 
action taken to correct the condition or omission 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 transmitting apparatus and any 
new apparatus is to be installed, the answer shall state the date such 
apparatus was ordered, the name of the manufacturer, and the promised 
date of delivery. If the installation of such apparatus requires 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 
identification shall be given as will permit ready identification of the 
application.

[[Page 126]]

    (2) If the notice of violation relates to lack of attention to or 
improper operation of the transmitter, the name and license number of 
the operator in charge (where applicable) shall be given.

[48 FR 24890, June 3, 1983]



Sec. 1.91  Revocation and/or cease and desist proceedings; hearings.

    (a) If it appears that a station license or construction permit 
should be revoked 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 revocation and/or a cease and desist order, as 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 person to whom it is directed (the respondent) to appear before 
the Commission 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 opportunity for hearing, the 
respondent, personally 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 
specified in the order. The Commission in its discretion may accept a 
late appearance. However, an appearance tendered after the specified 
time has expired will not be accepted unless accompanied by a petition 
stating with particularity the facts and reasons relied on to justify 
such late filing. Such petition for acceptance of late appearance will 
be granted only if the Commission 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 accord with the practice and procedure prescribed in this subpart 
and subpart B of this part, with the following exceptions: (1) In all 
such revocation and/or cease and desist hearings, the burden of 
proceeding with the introduction 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 circumstances of the proceeding require 
expedition, a time less than that prescribed in Sec. Sec. 1.276 and 
1.277 within which the initial decision in the proceeding shall become 
effective, exceptions to such initial decision must be filed, parties 
must file requests for oral argument, and parties must file notice of 
intention to participate in oral argument.
    (e) Correction of or promise to correct the conditions or matters 
complained of in a show cause order shall not preclude the issuance of a 
cease and desist order. Corrections or promises to correct the 
conditions or matters complained of, and the past record of the 
licensee, may, however, be considered in determining whether a 
revocation 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 effective 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)



Sec. 1.92  Revocation and/or cease and desist proceedings; after waiver of 
hearing.

    (a) After the issuance of an order to show cause, pursuant to Sec. 
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 accordance with the 
provisions of this section.

[[Page 127]]

    (1) The respondent fails to file a timely written appearance as 
prescribed in Sec. 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 
prescribed in Sec. 1.91(c), fails in fact to appear 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 Sec. 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) of this section, a written statement signed by the respondent 
denying or seeking to mitigate or justify the circumstances or conduct 
complained of in the order to show cause may be submitted within the 
time specified in Sec. 1.91(c). The Commission in its discretion may 
accept a late statement. However, a statement tendered after the 
specified time has expired will not be accepted unless accompanied by a 
petition stating with particularity the facts and reasons relied on to 
justify such late filing. Such petitions for acceptance of a late 
statement will be granted only if the Commission determines that the 
facts and reasons stated therein constitute good cause for failure 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 Administrative 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, 
terminating the hearing proceeding, and certifying the case to the 
Commission. Such order shall be served upon the respondent.
    (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 proceedings as 
may be warranted, if a revocation 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 proceeding. 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 preclude the issuance of a 
cease and desist order. Corrections or promises to correct the 
conditions or matters complained of, and the past record of the 
licensee, 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]



Sec. 1.93  Consent orders.

    (a) As used in this subpart, a ``consent order'' is a formal decree 
accepting 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 disposing of all issues on which the proceeding was 
designated for hearing. The order is issued by the officer designated to 
preside at the hearing or (if no officer has been designated) by the 
Chief Administrative Law Judge.
    (b) Where the interests of timely enforcement or compliance, the 
nature of the proceeding, and the public interest permit, the 
Commission, by its operating Bureaus, may negotiate a consent order with 
a party to secure future compliance with the law in exchange for prompt 
disposition of a matter subject to administrative adjudicative 
proceedings. Consent orders may not be negotiated with respect to 
matters which involve a party's basic statutory

[[Page 128]]

qualifications to hold a license (see 47 U.S.C. 308 and 309).

[41 FR 14871, Apr. 8, 1976]



Sec. 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 initiated 
the presiding officer shall be notified. Parties shall be prepared at 
the initial prehearing conference to state whether they are at that time 
willing to enter negotiations. See Sec. 1.248(c)(7). If either party is 
unwilling to enter negotiations, the hearing proceeding shall proceed. 
If the parties agree to enter negotiations, they will be afforded an 
appropriate opportunity to negotiate before the hearing is commenced.
    (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 rejection 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 violation 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 suggest to the parties 
that negotiations continue on such portion of the agreement as he 
considers unsatisfactory or on matters not reached in the agreement. 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 Sec. 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 agreement. If the party whose possible 
violations are issues in the proceeding withdraws 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 decision after 
designation for hearing.
    (g) Consent orders, pleadings relating thereto, and Commission 
orders with respect thereto shall be served on parties to the 
proceeding. Public notice will be given of orders issued by an 
administrative law judge, the Chief Administrative Law Judge, or the 
Commission. Negotiating papers constitute work product, are available to 
parties participating in negotiations, but are

[[Page 129]]

not routinely available for public inspection.

[41 FR 14871, Apr. 8, 1976]



Sec. 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 
resulting in the consent order if all of the issues in that proceeding 
had been decided 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 imposed shall be the only issues 
considered in a proceeding concerning such an alleged violation.

[41 FR 14871, Apr. 8, 1976]

   Reconsideration and Review of Actions Taken by the Commission and 
 Pursuant to Delegated Authority; Effective Dates and Finality Dates of 
                                 Actions



Sec. 1.101  General provisions.

    Under section 5(c) of the Communications Act of 1934, as amended, 
the Commission 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 general terms the basic categories of delegations 
which are made by the Commission. 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 reconsideration of actions taken by 
the Commission. As used in Sec. Sec. 1.102 through 1.117, the term 
designated authority means any person, panel, or board which has been 
authorized by rule or order to exercise authority under section 5(c) of 
the Communications Act.

[28 FR 12415, Nov. 22, 1963, as amended at 62 FR 4170, Jan. 29, 1997]



Sec. 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 commissioners 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 disposing 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 actions. (1) Non-hearing or 
interlocutory actions taken pursuant to delegated authority shall, 
unless otherwise ordered 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 
notice announcing the action in question.
    (2) If a petition for reconsideration of a non-hearing action is 
filed, the designated authority may in its discretion stay the effect of 
its action pending disposition of the petition for reconsideration. 
Petitions for reconsideration of interlocutory actions will not be 
entertained.
    (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 Commission may in its discretion stay the effect of any such 
action until its review of the matters at issue has been completed.

[28 FR 12415, Nov. 22, 1963, as amended at 62 FR 4170, Jan. 29, 1997]



Sec. 1.103  Effective dates of Commission actions; finality of Commission actions.

    (a) Unless otherwise specified by law or Commission rule (e.g. 
Sec. Sec. 1.102 and 1.427), the effective date of any Commission action 
shall be the date of public notice of such action as that latter date is 
defined in Sec. 1.4(b) of these rules:

[[Page 130]]

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 determinations 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 notice as defined in Sec. 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]



Sec. 1.104  Preserving the right of review; deferred consideration of 
application for review.

    (a) The provisions of this section apply to all final actions taken 
pursuant to delegated authority, including final actions taken by 
members of the Commission's staff on nonhearing matters. They do not 
apply to interlocutory actions of the Chief Administrative Law Judge in 
hearing proceedings, or to hearing designation orders issued under 
delegated authority. See Sec. Sec. 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 
reconsideration 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 Sec. 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 designating 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 Commission.

    Note: In those cases where the Commission does not intend to release 
a document containing the full text of its action, it will state that 
fact in the public notice announcing its action.

    (c) If in any matter one party files a petition for reconsideration 
and a second party files an application for review, the Commission will 
withhold action on the application for review until final action has 
been taken on the petition for reconsideration.
    (d) Any person who has filed a petition for reconsideration may file 
an application for review within 30 days from the date of public notice 
of such action, as that date is defined in Sec. 1.4(b) of these rules. 
If a petition for reconsideration 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 containing the full text of its action, it will state that 
fact in the public notice announcing 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]



Sec. 1.106  Petitions for reconsideration.

    (a)(1) Petitions requesting reconsideration 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 petition relates to an adverse ruling with respect to 
petitioner's participation in the proceeding. Petitions for 
reconsideration of other interlocutory actions will not be entertained. 
(For provisions governing reconsideration of Commission action in notice 
and comment rule making proceedings, see Sec. 1.429. This Sec. 1.106 
does not govern reconsideration of such actions.)
    (2) Within the period allowed for filing a petition for 
reconsideration, any party to the proceeding may request the presiding 
officer to certify to the Commission the question as to whether, on 
policy in effect at the time of

[[Page 131]]

designation or adopted since designation, 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, Sec. Sec. 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 adversely affected by any action taken by the Commission 
or by the designated authority, may file a petition requesting 
reconsideration of the action taken. If the petition is filed by a 
person who is not a party to the proceeding, it shall state with 
particularity the manner in which the person'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 circumstances 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 unknown 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 review which fails to rely on new facts or changed 
circumstances may be dismissed 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 circumstances:
    (1) The facts fall within one or more of the categories set forth in 
Sec. 1.106(b)(2); or
    (2) The Commission or the designated authority determines that 
consideration of the facts relied on is required in the public interest.
    (d)(1) The petition shall state with particularity the respects in 
which petitioner believes the action taken by the Commission or the 
designated authority should be changed. The petition shall state 
specifically the form or relief sought and, subject to this requirement, 
may contain alternative requests.
    (2) The petition for reconsideration shall also, where appropriate, 
cite the findings of fact and/or conclusions of law which petitioner 
believes to be erroneous, and shall state with particularity 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 reconsideration is based upon a claim of 
electrical interference, under appropriate rules in this chapter, to an 
existing station or a station for which a construction 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 affidavit shall show, either by following 
the procedures set forth in this chapter for determining interference in 
the absence 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 Sec. 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 expiration of the 30 day period, 
will be considered except upon leave granted upon a separate pleading 
for leave to

[[Page 132]]

file, which shall state the grounds therefor.
    (g) Oppositions to a petition for reconsideration shall be filed 
within 10 days after the petition is filed, and shall be served upon 
petitioner and parties to the proceeding. Oppositions shall not exceed 
25 double spaced typewritten pages.
    (h) Petitioner may reply to oppositions 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 exceed 10 double spaced 
typewritten pages, and shall be limited to matters raised in the 
opposition.
    (i) Petitions for reconsideration, oppositions, and replies shall 
conform to the requirements of Sec. Sec. 1.49, 1.51, and 1.52 and shall 
be submitted to the Secretary, Federal Communications Commission, 
Washington, D.C., 20554.
    (j) The Commission or designated authority 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. Where the petition for reconsideration relates to an instrument 
of authorization granted without hearing, the Commission or designated 
authority will take such action within 90 days after the petition is 
filed.
    (k)(1) If the Commission or the designated 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 rehearing, 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 completion 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 rehearing, 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 
reconsideration be considered a modification of the original order. A 
petition for reconsideration of an order which has been previously 
denied on reconsideration may be dismissed by the staff as repetitious.

    Note: For purposes of this section, the word ``order'' refers to 
that portion of its action wherein the Commission announces its 
judgment. This should be distinguished from the ``memorandum opinion'' 
or other material which often accompany and explain the order.

    (l) No evidence other than newly discovered evidence, evidence which 
has become available only since the original taking of evidence, or 
evidence which the Commission or the designated authority believes 
should have been taken in the original proceeding shall be taken on any 
rehearing ordered pursuant to the provisions of this section.
    (m) The filing of a petition for reconsideration is not a condition 
precedent to judicial review of any action taken by the Commission or by 
the designated 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 afforded no opportunity to pass. (See Sec. 
1.115(c).) Persons in those categories who meet the requirements of this 
section may qualify to seek judicial review by filing a petition for 
reconsideration.
    (n) Without special order of the Commission, the filing of a 
petition for reconsideration shall not excuse any person from complying 
with or obeying any decision, order, or requirement of the Commission, 
or operate in any manner to stay or postpone the enforcement thereof. 
However, upon good cause shown, the Commission will stay the 
effectiveness of its order or requirement pending a decision on the

[[Page 133]]

petition for reconsideration. (This paragraph applies only to actions of 
the Commission en banc. For provisions applicable to actions under 
delegated authority, see Sec. 1.102.)
    (o) Petitions for reconsideration of licensing 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]



Sec. 1.108  Reconsideration on Commission's own motion.

    The Commission may, on its own motion, 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 Sec. 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]



Sec. 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 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 
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 receipt 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.



Sec. 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 pursuant to delegated authority, the person, 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 authority has been served on the person affected, the person, 
panel, or board which imposed the sanction may modify or set it aside on 
its own motion.
    (c) Petitions for reconsideration and applications for review shall 
be directed 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 action is given or notice of the modified sanction is 
served on the person affected.



Sec. 1.115  Application for review of action taken pursuant to delegated 
authority.

    (a) Any person aggrieved by any action taken pursuant to delegated 
authority may file an application requesting review of that action by 
the Commission. Any person filing an application for review who has not 
previously participated in the proceeding shall include with his 
application a statement describing with particularity the manner in 
which he is aggrieved by the action taken and showing good reason why it 
was not possible for him to participate in the earlier stages of the 
proceeding. Any application 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 questions presented for review with reference, where appropriate, to 
the findings of fact or conclusions of law.
    (2) Except as provided in paragraph (b)(5) of this section, the 
application for review shall specify with particularity, from among the 
following, the factor(s) which warrant Commission consideration of the 
questions presented:
    (i) The action taken pursuant to delegated authority is in conflict 
with statute, regulation, case precedent, or established Commission 
policy.
    (ii) The action involves a question of law or policy which has not 
previously been resolved by the Commission.

[[Page 134]]

    (iii) The action involves application of a precedent or policy which 
should be overturned or revised.
    (iv) An erroneous finding as to an important 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 designated authority should be 
changed.
    (4) The application for review shall state the form of relief sought 
and, subject to this requirement, may contain alternative requests.
    (c) No application for review will be granted if it relies on 
questions of fact or law upon which the designated authority has been 
afforded no opportunity to pass.

    Note: Subject to the requirements of Sec. 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 oppositions shall be filed 
within 10 days after the opposition is filed and shall be limited to 
matters raised in the opposition.
    (e)(1) Applications for review of interlocutory rulings made by the 
Chief Administrative Law Judge (see Sec. 0.351) shall be deferred until 
the time when exceptions are filed unless the Chief Judge certifies the 
matter to the Commission 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 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 request to certify the matter to the 
Commission shall be filed within 5 days after the ruling is made. The 
applicaton for review 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 requested. A ruling certifying or not certifying a matter 
to the Commission is final: Provided, however, That the Commission may, 
on its own motion, dismiss the application for review on the ground that 
objections to the ruling should be deferred and raised as an exception.
    (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 review of the ruling at the time when exceptions are filed. 
Such requests will be considered in the same manner as exceptions are 
considered.
    (3) Applications for review of a hearing designation order issued 
under delegated authority shall be deferred until exceptions to the 
initial decision in the case are filed, unless the presiding 
Administrative Law Judge certifies such an application for review to the 
Commission. 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 consideration of the question 
would materially expedite the ultimate resolution of the litigation. A 
ruling refusing to certify a matter to the Commission is not appealable. 
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 deferred 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 Administrative 
Law Judge shall be filed within 5 days after the order certifying the 
matter to the Commission is released or such a ruling is made. 
Oppositions shall be filed within 5 days after the

[[Page 135]]

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 within 5 days after they are requested.
    (4) Applications for review of final staff decisions issued on 
delegated authority in formal complaint proceedings on the Enforcement 
Bureau's Accelerated Docket (see, e.g., Sec. 1.730) shall be filed 
within 15 days of public notice of the decision, as that date is defined 
in Sec. 1.4(b). These applications for review oppositions and replies 
in Accelerated Docket proceedings shall be served on parties to the 
proceeding by hand or facsimile transmission.
    (f) Applications for review, oppositions, and replies shall conform 
to the requirements of Sec. Sec. 1.49, 1.51, and 1.52, and shall be 
submitted to the Secretary, Federal Communications Commission, 
Washington, DC 20554. Except as provided below, applications for review 
and oppositions thereto shall not exceed 25 double-space typewritten 
pages. Applications for review of interlocutory actions in hearing 
proceedings (including designation orders) and oppositions thereto shall 
not exceed 5 double-spaced typewritten pages. When permitted (see 
paragraph (e)(3) of this section), reply pleadings shall not exceed 5 
double-spaced typewritten pages. The application for review shall be 
served upon the parties to the proceeding. Oppositions to the 
application for review shall be served on the person seeking review and 
on parties to the proceeding. When permitted (see paragraph (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 reconsideration of a ruling 
which denies an application for review will be entertained only if one 
or more of the following 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 unknown 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 designated authority for 
reconsideration in accordance with its instructions, and, if an 
evidentiary hearing has been held, the remand may be to the person(s) 
who conducted the hearing; or
    (iii) Order such other proceedings, including briefs and oral 
argument, as may be necessary or appropriate.
    (2) In the event the Commission orders further proceedings, it may 
stay the effect of the order from which review is sought. (See Sec. 
1.102.) Following the completion of such further proceedings 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 reconsideration in accordance with its 
instructions. If an evidentiary hearing has been held, the Commission 
may remand the matter to the person(s) who conducted the hearing for 
rehearing on such issues and in accordance with such instructions as may 
be appropriate.

    Note: For purposes of this section, the word ``order'' refers to 
that portion of its action wherein the Commission announces its 
judgment. This should be distinguished from the ``memorandum opinion'' 
or other material 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 subject to the same provisions 
with respect 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 pursuant to 
delegated authority.
    (j) No evidence other than newly discovered evidence, evidence which 
has become available only since the original taking of evidence, or 
evidence

[[Page 136]]

which the Commission believes should have been taken in the original 
proceeding shall be taken on any rehearing ordered pursuant to the 
provisions of this section.
    (k) The filing of an application for review shall be a condition 
precedent to 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]



Sec. 1.117  Review on motion of the Commission.

    (a) Within 40 days after public notice is given of any action taken 
pursuant to delegated authority, the Commission 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 procedure, the Commission may 
either affirm, reverse, modify, or set aside the action taken, or remand 
the proceeding to the designated authority for reconsideration in 
accordance with its instructions. If an evidentiary hearing has been 
held, the Commission may remand the proceeding to the person(s) who 
conducted the hearing for rehearing on such issues and in accordance 
with such instructions as may be appropriate. An order of the Commission 
which reverses or modifies the action taken pursuant to delegated 
authority, or remands the matter for further proceedings, is subject to 
the same provisions with respect to reconsideration as an original 
action of the Commission.



Sec. 1.120  Protests of grants without hearing.

    (a) The provisions of this section shall not be applicable to any 
application: (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 petitions to deny to be filed under section 309 of the 
Communications Act, as amended. See Sec. Sec. 1.580 and 1.962.
    (b) Where any instrument of authorization for a radio station, other 
than a license pursuant to a construction permit, has been granted 
without a hearing, any party in interest may file a protest directed to 
such grant and request 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 containing the full text of such action, or in 
case such a document is not released, after release of a ``Public 
Notice'' announcing the action in question and must separately set 
forth:
    (1) Such allegations of fact as will show the protestant to be a 
party in interest, 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 separately 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 authority may be set forth in a brief 
accompanying the protest but must be excluded from the protest itself.
    (d) Oppositions to protests and briefs in support thereof shall 
contain all material, including that pertinent to the determination 
referred to in paragraph (i) of this section, deemed appropriate to the 
Commission's resolution of the

[[Page 137]]

protest. Such oppositions and supporting 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 original and 14 copies and shall be accompanied by proof 
of service upon the grantee or the protestant, as the case may be, and/
or their respective attorneys.
    (f) The Commission may upon consideration of a protest direct either 
the protestant or grantee or both to submit 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 
Commission 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 requirements are 
met, it will designate the application 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 designate such issues for oral argument only. The other 
issues will be designated for evidentiary hearing except that the 
Commission may redraft the issues in accordance with the facts or 
substantive matters alleged in the protest and may also specify such 
additional issues as it deems desirable. In any evidentiary hearing 
subsequently held upon issues specified by the Commission, upon its own 
initiative or adopted by it, both the burden of proceeding with the 
introduction of evidence 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 specified by the Commission on its own 
motion, 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 
provisions 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 action 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 conduct 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 particular, 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



Sec. 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 Commission hearing.

    Note: For special provisions relating to AM broadcast station 
applications involving other North American countries see Sec. 73.3570.

[28 FR 12425, Nov. 22, 1963, as amended at 51 FR 32088, Sept. 9, 1986]



Sec. 1.202  Official reporter; transcript.

    The Commission will designate from time to time an official reporter 
for the recording and transcribing of hearing 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 inspection under 
Sec. 0.453(a)(1) of this chapter. Copies of such transcript, if 
desired, may be obtained from the official

[[Page 138]]

reporter upon payment of the charges therefor.

(5 U.S.C. 556)

[32 FR 20861, Dec. 28, 1967]



Sec. 1.203  The record.

    The transcript of testimony and exhibits, together with all papers 
and requests filed in the proceeding, shall constitute the exclusive 
record for decision. Where any decision rests on official notice of a 
material fact not appearing in the record, any party shall on timely 
request be afforded an opportunity to show the contrary.

(5 U.S.C. 556)



Sec. 1.204  Pleadings; definition.

    As used in this subpart, the term pleading means any written notice, 
motion, petition, request, opposition, reply, brief, proposed findings, 
exceptions, memorandum of law, or other paper filed with the Commission 
in a hearing proceeding. It does not include exhibits or documents 
offered in evidence. See Sec. 1.356.

[29 FR 8219, June 30, 1964]



Sec. 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 officer upon motion for good cause shown, unless the time for 
performance or filing is limited by statute.



Sec. 1.207  Interlocutory matters, reconsideration and review; cross 
references.

    (a) Rules governing interlocutory pleadings in hearing proceedings 
are set forth in Sec. Sec. 1.291 through 1.298.
    (b) Rules governing appeal from rulings made by the presiding 
officer are set forth as Sec. Sec. 1.301 and 1.302.
    (c) Rules governing the reconsideration and review of actions taken 
pursuant to delegated authority, and the reconsideration of actions 
taken by the Commission, are set forth in Sec. Sec. 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]



Sec. 1.209  Identification of responsible officer in caption to pleading.

    Each pleading filed in a hearing proceeding 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]



Sec. 1.211  Service.

    Except as otherwise expressly provided 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 represented by counsel, 
then upon such party. All such papers shall be accompanied by proof of 
service. For provisions governing the manner of service, see Sec. 1.47.

[29 FR 8219, June 30, 1964]

                         Participants and Issues



Sec. 1.221  Notice of hearing; appearances.

    (a) Upon designation of an application 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 authority and jurisdiction under 
which the hearing is to be held.
    (b) The order designating an application for hearing is mailed to 
the applicant by the Reference Information Center of the Consumer and 
Governmental

[[Page 139]]

Affairs Bureau and this order or a summary thereof is published in the 
Federal Register. Reasonable notice of hearing will be given to the 
parties in all proceedings; and, whenever possible, the Commission will 
give at least 60 days notice of comparative hearings.
    (c) In order to avail himself of the opportunity 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 Reference 
Information Center of the Consumer and Governmental Affairs Bureau, file 
with the Commission, in triplicate, a written appearance stating 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 without prejudice, or 
a petition to accept, for good cause shown, such written appearance 
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 interest.
    (e) In order to avail himself of the opportunity to be heard, any 
person named as a party pursuant to paragraph (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 hearing. 
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 
Commission 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 appearance at the time of 
its filing and must be in conformance with the requirements of subpart G 
of the rules. A written appearance that does not contain the proper fee, 
or is not accompanied by a deferral request as per Sec. 1.1115 of the 
rules, shall be dismissed and returned to the applicant by the fee 
processing 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 agreement prior to filing the 
Notice of Appearance or simultaneously with it, the hearing fee need not 
accompany the Notice of Appearance. In filing the Notice of Appearance, 
the applicant should clearly indicate that a settlement 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 accompany 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 
resubmitted with the FRN within ten (10) business days of the date of 
notification.
    (g) In comparative broadcast proceedings involving applicants for 
new facilities, where the hearing fee was paid before designation of the 
applications for hearing as required by the Public Notice described at 
Sec. 73.3571(c), Sec. 73.3572(d), or Sec. 73.3573(g) of this chapter, 
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 amended; 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]



Sec. 1.223  Petitions to intervene.

    (a) Where, in cases involving applications for construction permits 
and station licenses, or modifications or renewals thereof, the 
Commission has failed to notify and name as a party to

[[Page 140]]

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 petition for 
intervention showing the basis of its interest. Where such person's 
interest is based upon a claim that a grant of the application would 
cause objectionable interference under applicable provisions of this 
chapter to such person as a licensee or permittee of an existing or 
authorized station, the petition to intervene must be accompanied by an 
affidavit of a qualified radio engineer which shall show, either by 
following the procedures prescribed in this chapter for determining 
interference in the absence of measurements or by actual measurements 
made in accordance with the methods prescribed in this chapter, the 
extent of such interference. Where the person's status as a party in 
interest is established, the petition to intervene will be granted.
    (b) Any other person desiring to participate as a party in any 
hearing may file a petition for leave to intervene not later than 30 
days after the publication in the Federal Register of the full text or a 
summary of the order designating an application for hearing or any 
substantial amendment thereto. The petition must set forth the interest 
of petitioner in the proceedings, must show how such petitioner's 
participation will assist the Commission in the determination of the 
issues in question, must set forth any proposed issues in addition to 
those already designated for hearing, and must be accompanied by the 
affidavit of a person with knowledge as to the facts set forth in the 
petition. The presiding officer, 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 petition for leave to intervene 
later than 30 days after the publication in the Federal Register of the 
full text or a summary of the order designating an application for 
hearing or any substantial amendment thereto shall set forth the 
interest of petitioner in the proceeding, show how such petitioner's 
participation will assist the Commission in the determination of the 
issues in question, must set forth any proposed issues in addition to 
those already designated for hearing, and must set forth reasons why it 
was not possible to file a petition within the time prescribed by 
paragraphs (a) and (b) of this section. Such petition shall be 
accompanied 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 according 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 petition or may permit intervention limited to 
particular issues or to a particular 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]



Sec. 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 entity, an association or 
other similar group, if the moving party is either of the following:
    (1) A respondent in a revocation proceeding, or a renewal applicant, 
who cannot carry on his livelihood without the radio license at stake in 
the proceeding; or
    (2) An intervenor in a hearing proceeding who is in a position to 
introduce 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 personal financial gain.
    (b) In the case of a licensee, the motion to proceed in forma 
pauperis shall

[[Page 141]]

contain specific allegations of fact sufficient 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 litigation 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 thereof. The information 
submitted shall detail the income and assets of the individual and his 
financial obligations and responsibilities, and shall contain an 
estimate of the cost of participation in the proceeding. Personal 
financial information may be submitted to the presiding officer in 
confidence.
    (c)(1) In the case of an individual intervenor, 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 dedicated financial resources to sustain his 
participation which are reasonable in light of his personal resources 
and other demands upon them but are inadequate for effective 
participation in the proceeding. Such allegations of fact shall be 
supported by affidavit of a person or persons with personal knowledge 
thereof. The information submitted shall detail the income and assets of 
the individual and his immediate family and his financial obligations 
and responsibilities, and shall contain an estimate of the cost of 
participation. Personal financial information 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 allegations of fact sufficient to 
show that the moving party is eligible under paragraph (a) of this 
section and that it cannot pay the expenses of litigation and still be 
able to carry out the activities 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 
personal knowledge thereof. The information submitted shall include a 
copy of the corporate charter or other documents that describe the 
activities and purposes of the organization; a current balance sheet and 
profit and loss statement; facts showing, under all the circumstances, 
that it would not be reasonable to expect added resources of individuals 
composing the group to be pooled to meet the expenses of participating 
in the proceeding; and an estimate of the cost of participation. 
Personal financial information pertaining to members of the group may be 
submitted to the presiding officer in confidence.
    (d) If the motion is granted, the presiding 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 financial 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]



Sec. 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 matter 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 because he lacks a sufficient 
interest to justify his intervention as a party in the matter.
    (c) When a hearing is held, no communication will be considered in 
determining 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 communication shall be 
admissible on the basis of a stipulation unless Commission counsel as 
well as counsel for all of the parties shall join in such stipulation.



Sec. 1.227  Consolidations.

    (a) The Commission, upon motion or upon its own motion, will, where 
such action will best conduce to the proper

[[Page 142]]

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 random selection process is used.
    (b)(1) In broadcast cases, except as provided in paragraph (b)(5) of 
this section, and except as otherwise provided in Sec. 1.1601, et seq., 
no application will be consolidated for hearing with a previously filed 
application or applications unless such application, or such application 
as amended, if amended so as to require a new file number, is 
substantially 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 available 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 application or applications already designated for hearing will 
be consolidated for hearing with such other application or applications 
only if the later application in question has been filed within 5 days 
after public notice has been given in the Federal Register 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 application, 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 Commission, in a condition 
acceptable for filing, before the close of business on the day prior to 
the grant date or designation date of the earlier filed application.
    (ii) Domestic public fixed and public mobile. See Rule Sec. 21.31 
of this chapter for the requirements as to mutually exclusive 
applications. See also Rule Sec. 21.23 of this chapter for the 
requirements as to amendments of applications.
    (iii) Public coast stations (Maritime mobile service). See paragraph 
(b)(4) of this section.
    (4) This paragraph applies when mutually exclusive applications 
subject to section 309(b) of the Communications Act and not subject to 
competitive bidding procedures pursuant to Sec. 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 available 
frequencies. Except for applications filed under part 101, subparts H 
and O, Private Operational Fixed Microwave Service, and applications for 
high seas public coast stations (see Sec. Sec. 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 exclusivity will occur if the later 
application or applications are received by the Commission's offices in 
Gettysburg, PA (or Pittsburgh, PA 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 
applications in the Private Operational Fixed Microwave Service, mutual 
exclusivity will occur if two or more acceptable applications that are 
in conflict are filed on the same day. Applications for high seas public 
coast stations will be processed on a first come, first served basis, 
with the first acceptable application cutting off the filing rights of 
subsequent, conflicting applications. Applications for high seas public 
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 application filed after the date 
prescribed in paragraph (b)(1), (b)(2), (b)(3), or (b)(4)

[[Page 143]]

of this section will be dismissed without prejudice and will be eligible 
for refiling only after a final decision is rendered by the Commission 
with respect to the prior application or applications or after such 
application or applications are dismissed or removed from the hearing 
docket.
    (6) An application which is mutually exclusive with an application 
for renewal of license of a broadcast station filed on or before May 1, 
1995 will be designated for comparative hearing with such license 
renewal application if it is substantially complete and tendered for 
filing no later than the date prescribed in Sec. 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]



Sec. 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 Federal Register.
    (b)(1) In comparative broadcast proceedings involving applicants for 
only new facilities, such motions shall be filed within 30 days of the 
release of the designation order, except that persons not named as 
parties to the proceeding in the designation order may file such motions 
with their petitions to intervene up to 30 days after publication of the 
full text or a summary of the designation order in the Federal Register. 
(See Sec. 1.223 of this part).
    (2) In comparative broadcast proceedings 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 motion to modify the issues after 
the expiration of periods specified in paragraphs (a), (b)(1), and 
(b)(2), of this section, 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 section, the motion will be granted 
only if good cause is shown for the delay in filing. 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 motion demonstrates 
that it raises a question of probable decisional significance and such 
substantial public interest importance as to warrant consideration 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 allegations 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 necessarily be construed as an 
admission of any fact or argument contained in a pleading.
    (e) In comparative broadcast proceedings involving applicants for 
only new facilities, in addition to the showing 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 identify those documents the moving party wishes to 
have produced and any other discovery procedures the moving party wishes 
to employ in the event the requested issue is added to the proceeding.
    (1) In the event the motion to enlarge issues is granted, the 
Commission or delegated authority acting on the motion 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 supplemental discovery requests on the 
basis of information provided in responsive pleadings or discovered as a 
result of

[[Page 144]]

initial discovery on the enlarged issue. The grant or denial of any such 
supplemental requests and the timing of the completion of such 
supplemental discovery are subject to the discretion of the presiding 
judge.
    (3) The 30-day time limit for completion of discovery on enlarged 
issues shall not apply where the persons subject to such additional 
discovery are not parties to the proceeding. In such case, additional 
time will be required to afford such persons adequate notice of the 
discovery procedures being employed.
    (f) In any case in which the presiding judge or the Commission 
grants a motion to enlarge the issues to inquire into allegations that 
an applicant made misrepresentations to the Commission or engaged in 
other misconduct 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 applicant 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



Sec. 1.241  Designation of presiding officer.

    (a) Hearings will be conducted by the Commission, by one or more 
commissioners, or by a law judge designated pursuant to section 11 of 
the Administrative Procedure Act. If a presiding officer becomes 
unavailable to the Commission prior to the taking of testimony another 
presiding officer will be designated.
    (b) Unless the Commission determines that due and timely execution 
of its functions requires otherwise, presiding 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)



Sec. 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 officer the presiding officer shall have such 
authority as is vested in him by law and by the provisions of this 
chapter, including authority to:
    (a) Administer oaths and affirmations;
    (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 hearing, 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 argument 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 settlement or simplification of the 
issues by consent of the parties;
    (i) Dispose of procedural requests or similar matters, as provided 
for in Sec. 0.341 of this chapter;
    (j) Take actions and make decisions in conformity with the 
Administrative Procedure Act;
    (k) Act on motions to enlarge, modify or delete the hearing issues; 
and
    (l) Act on motions to proceed in forma pauperis pursuant to Sec. 
1.224.

(5 U.S.C. 556)

[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 53022, Dec. 3, 1976]



Sec. 1.244  Designation of a settlement judge.

    (a) In broadcast comparative cases involving applicants for only new 
facilities, 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 beneficial, 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

[[Page 145]]

suspend the procedural dates in the case and forward the request to the 
Chief Administrative Law Judge for action.
    (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 appointment of a settlement judge of 
their own choosing so long as that person 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 settlement judges, except that an Administrative Law Judge will not 
be appointed as a settlement judge in any case in which the 
Administrative Law Judge also acts as the presiding officer.
    (4) Other members of the Commission's staff who qualify as neutrals 
may be appointed as settlement judges, except that staff members whose 
duties include drafting, review, and/or recommendations 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 comparative 
standing of the applicants and recommend possible means to resolve the 
proceeding by settlement. The proceedings before the settlement judge 
shall be subject to the confidentiality provisions of 5 U.S.C. 574. 
Moreover, no statements, offers of settlement, representations or 
concessions of the parties or opinions expressed by the settlement judge 
will be admissible as evidence in any Commission licensing proceeding.

[56 FR 793, Jan. 9, 1991, as amended at 62 FR 4171, Jan. 29, 1997]



Sec. 1.245  Disqualification of presiding officer.

    (a) In the event that a presiding officer deems himself disqualified 
and desires 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 presiding officer to withdraw on the 
grounds of personal bias or other disqualification.
    (1) The person seeking disqualification 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 believes himself not disqualified, shall so rule and proceed with 
the hearing.
    (3) The person seeking disqualification may appeal a ruling of 
disqualification, 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 Commission.
    (5) The Commission may rule on the question without hearing, or it 
may require testimony or argument on the issues raised.
    (6) The affidavit, response, testimony or argument thereon, and the 
Commission'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]

[[Page 146]]

                          Prehearing Procedures



Sec. 1.246  Admission of facts and genuineness of documents.

    (a) Within 20 days after the time for filing a notice of appearance 
has expired; or within 20 days after the release of an order adding 
parties to the proceeding (see Sec. Sec. 1.223 and 1.227) or changing 
the issues (see Sec. 1.229); or within such shorter or longer time as 
the presiding officer may allow on motion or notice, a party may serve 
upon any other party a written request for the admission by the latter 
of the 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 designated in the request, not 
less than 10 days after service thereof, or within such shorter or 
longer time as the presiding officer may allow on motion or notice, the 
party to whom the request is directed serves upon the party requesting 
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 remainder of the request shall be answered within 
the period designated in the request. A denial shall fairly meet the 
substance of the requested admission, and when good faith requires that 
a party deny only a part or a qualification of a matter of which an 
admission is requested, he shall specify so much of it as is true and 
deny only the remainder.
    (c) A copy of the request and of any answer shall be served by the 
party filing on all other parties to the proceeding and upon the 
presiding officer.
    (d) Written objections to the requested admissions may be ruled upon 
by the presiding officer without additional pleadings.

[33 FR 463, Jan. 12, 1968, as amended at 35 FR 17333, Nov. 11, 1970]



Sec. 1.248  Prehearing conferences; hearing conferences.

    (a) The Commission, on its 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 conference prior to a hearing, or to 
submit suggestions in writing, 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 
commissioners in a case over which it presides), 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 conference 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 
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.
    (2) Except as circumstances otherwise require, the presiding officer 
shall allow a reasonable period prior to commencement of the hearing for 
the orderly completion of all prehearing procedures, including 
discovery, and for the submission and disposition of all prehearing 
motions. Where the circumstances so warrant, the presiding officer 
shall, promptly after the hearing is ordered, call a preliminary 
prehearing conference, to inquire into the use of available procedures 
contemplated by the parties and the time required for their completion, 
to formulate a schedule for their completion, and to set a date for 
commencement of the hearing.

[[Page 147]]

    (c) In conferences held, or in suggestions submitted, pursuant to 
paragraphs (a) and (b) of this section, the following matters, among 
others, may be considered:
    (1) The necessity or desirability of simplification, clarification, 
amplification, or limitation of the issues;
    (2) The admission of facts and of the genuineness of documents (see 
Sec. 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 or desirability of amending the pleadings and offers of 
settlement or proposals 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 availability of equipment;
    (v) Network programming;
    (vi) Assumptions regarding the availability of networks proposed;
    (vii) Offers of letters in general;
    (viii) The method of handling evidence relating to the past 
cooperation of existing stations owned and/or operated by the applicants 
with organizations 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 expedite the conduct of the hearing.
    (7) In proceedings in which consent agreements may be negotiated 
(see Sec. 1.93), the parties shall be prepared to state at the initial 
prehearing conference whether they are at that time willing to enter 
negotiations leading to a consent agreement.
    (d) This paragraph applies to broadcast proceedings only.
    (1) At the prehearing conference prescribed by this section, the 
parties to the proceeding shall be prepared to discuss 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 
facilities and in comparative hearings involving only applications for 
new facilities, 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 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 direct 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 
writing, the dates for the exchange of the written material, and other 
limitations upon the effect of adopting the written case procedure (such 
as whether material ruled out as incompetent may be restored by other 
competent testimony) is to be left to agreement of the parties as 
approved by the presiding officer.
    (4) In broadcast comparative cases involving applicants for only new 
facilities, oral testimony and cross examination will be permitted only 
where, in the discretion of the presiding judge, material issues of 
decisional fact cannot be resolved without oral evidentiary hearing 
procedures or the public interest otherwise requires oral evidentiary 
proceedings.
    (e) An official transcript of all conferences shall be made.
    (f) The presiding officer may, upon the written request of a party 
or parties, approve the use of a speakerphone as a means of attendance 
at a prehearing 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]

[[Page 148]]



Sec. 1.249  Prehearing statement.

    Immediately upon convening the formal hearing in any proceeding, the 
presiding 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]

                    Hearing and Intermediate Decision



Sec. 1.250  Discovery and preservation of evidence; cross-reference.

    For provisions relating to prehearing discovery and preservation of 
admissible evidence, see Sec. Sec. 1.311 through 1.325.

[33 FR 463, Jan. 12, 1968]



Sec. 1.251  Summary decision.

    (a)(1) Any party to an adjudicatory proceeding may move for summary 
decision 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 determination at the hearing.
    (2) With the permission of the presiding 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 appeal from an order 
granting or denying a request for permission to file a motion for 
summary decision shall be allowed. If the presiding officer authorizes a 
motion for summary decision after the commencement of the hearing, 
proposed findings of fact and conclusions of law on those issues which 
the moving party believes can be resolved shall be attached to the 
motion, and any other party may file findings of fact and conclusions of 
law as an attachment to pleadings filed by him pursuant to paragraph (b) 
of this section.
    (b) Within 14 days after a motion for summary decision is filed, any 
other party to the proceeding may file an opposition or a countermotion 
for summary decision. A party opposing 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 a 
genuine issue of material fact for determination at the hearing, that he 
cannot, for good cause, present by affidavit or otherwise facts 
essential to justify his opposition, or that summary decision is 
otherwise inappropriate.
    (c) Affidavits shall be made on personal knowledge, shall set forth 
such facts as would be admissible in evidence, 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 memoranda of law. The presiding officer, giving appropriate 
weight to the nature of the proceeding, the issue or issues, the proof, 
and to the need for cross-examination, may grant a motion for summary 
decision to the extent that the pleadings, affidavits, materials 
obtained by discovery or otherwise, admissions, 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 decision. 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 affidavits 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 further hearing) will be 
held. The presiding officer will issue a Summary Decision, which is 
subject to appeal or review in the same manner as an Initial Decision. 
See Sec. Sec. 1.271 through 1.282. If some of the issues only 
(including no dispositive issue) are decided on a motion for summary 
decision, or if the

[[Page 149]]

motion is denied, the presiding officer will issue a memorandum opinion 
and order, interlocutory in character, and the hearing will proceed on 
the remaining issues. Appeal from interlocutory rulings is governed by 
Sec. 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 appropriate for summary 
decision, and may take such other measures as are necessary to prevent 
any unwarranted delay.
    (1) Should it appear to the satisfaction of the presiding officer 
that a motion 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 determination 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 consideration under Sec. 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 Commission, 
with his findings and recommendations, for a determination as to whether 
the facts warrant addition of an issue as to the character 
qualifications of that party.

[37 FR 7507, Apr. 15, 1972, as amended at 42 FR 56508, Oct. 26, 1977]



Sec. 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 therefrom only by order of the 
Commission.
    (d) If the Commission specifies that a hearing is to commence at a 
field location, 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 another appropriate field location or to the 
District of Columbia.



Sec. 1.254  Nature of the hearing; burden of proof.

    Any hearing upon an application shall be a full hearing in which the 
applicant 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)



Sec. 1.255  Order of procedure.

    (a) At hearings on a formal complaint or petition or in a proceeding 
for any instrument of authorization which the Commission is empowered to 
issue, the complainant, petitioner, or applicant, as the case may be, 
shall, unless the Commission otherwise orders, open and close. At 
hearings on protests, the protestant opens and closes the proceedings in 
case the issues are not specifically adopted by the Commission; 
otherwise the grantee does so. At hearings on orders to show cause, to 
cease and desist, to revoke or modify a station 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, petitions, 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 intervention is made, and in all cases where the 
intervention is not in support of an

[[Page 150]]

original party, the Commission or presiding 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]



Sec. 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 presiding 
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 the record that 
they waive the opportunity to cross-examine or present evidence 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 proceeding.



Sec. 1.260  Certification of transcript.

    After the close of the hearing, the complete transcript of 
testimony, together with all exhibits, shall be certified as to identity 
by the presiding officer and filed in the office of the Secretary of the 
Commission. Notice of such certification shall be served on all parties 
to the proceedings.



Sec. 1.261  Corrections to transcript.

    At any time during the course of the proceeding, or as directed by 
the presiding officer, but not later than 10 days after the date of 
notice of certification of the transcript, any party to the proceeding 
may file with the presiding officer a motion requesting the correction 
of the transcript, which motion 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 parties may file a pleading in 
support of or in opposition to such motion. Thereafter, 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 parties 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]



Sec. 1.263  Proposed findings and conclusions.

    (a) Each party to the proceeding may file proposed findings of fact 
and conclusions, 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, unless additional time is allowed.
    (b) All pleadings and other papers filed pursuant to this section 
shall be accompanied by proof of service thereof upon all other counsel 
in the proceeding; 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 directed to do so, may be deemed a waiver of the right to 
participate further in the proceeding.

(5 U.S.C. 557)



Sec. 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 appropriate citations to 
the transcript of record or exhibit relied on for each evidentiary fact) 
supporting the conclusions 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 
interests of such person.

(5 U.S.C. 557)



Sec. 1.267  Initial and recommended decisions.

    (a) Except as provided in this paragraph, in Sec. Sec. 1.94, 1.251 
and 1.274, or

[[Page 151]]

where the proceeding is terminated on motion (see Sec. 1.302), the 
presiding officer shall prepare an initial (or recommended) decision, 
which shall be transmitted to the Secretary of the Commission. In the 
case of rate making proceedings conducted under sections 201-205 of the 
Communications Act, the presumption shall be that the presiding officer 
shall prepare an initial or recommended decision. The Secretary will 
make the decision public immediately and file it in the docket of the 
case.
    (b) Each initial and recommended decision shall contain 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; 
each initial decision shall also contain the appropriate rule or order, 
and the sanction, relief or denial thereof; and each recommended 
decision shall contain recommendations as to what disposition of the 
case should be made by the Commission. Each initial decision will show 
the date upon which it will become effective in accordance with the 
rules in this part in the absence of exceptions, appeal, or review.
    (c) The authority of the Presiding Officer over the proceedings 
shall cease when he has filed his Initial or Recommended Decision, or if 
it is a case in which he is to file no decision, when he has certified 
the case for decision: Provided, however, That he shall retain limited 
jurisdiction over the proceeding for the purpose of effecting 
certification of the transcript and corrections to the transcript, as 
provided in Sec. Sec. 1.260 and 1.261, respectively, and for the 
purpose of ruling initially on applications 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



Sec. 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 commissioners, in which event the commissioner or panel 
shall exercise the authority and perform the functions which would 
otherwise have been performed by the Commission under Sec. Sec. 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]



Sec. 1.273  Waiver of initial or recommended 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 performed by a commissioner, a panel of 
commissioners, the request shall be directed to the appropriate review 
authority. The Commission or such review 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]



Sec. 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 unavoidably so requires, the 
Commission may direct that the record in a pending proceeding be 
certified to it for initial or final decision. Unless the Commission 
finds that due and timely execution of its functions imperatively and 
unavoidably requires that no recommended decision be issued, the 
presiding 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 becomes unavailable to the 
Commission

[[Page 152]]

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 decision. In that event, the record shall be certified 
to the Commission by the Chief Administrative Law Judge.
    (c)(1) Where the presiding officer becomes unavailable to the 
Commission after the taking of evidence has commenced but before it has 
been concluded, the Commission may order a rehearing before another 
presiding officer designated in accordance with Sec. 1.241.
    (2) Upon a finding that due and timely execution of its functions 
imperatively and unavoidably so requires, the Commission may (as an 
alternative) order that the hearing be continued by another presiding 
officer designated in accordance with Sec. 1.241 or by the Commission 
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 functions imperatively and 
unavoidably requires that no recommended decision be issued, the officer 
continuing the hearing shall prepare and file a recommended decision to 
be released with the Commission's initial or final decision. If all the 
parties expressly consent, and if the Commission does not order 
otherwise, the officer continuing the hearing may prepare an initial 
decision.

(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409)



Sec. 1.276  Appeal and review of initial decision.

    (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 decision shall 
not become effective and shall then be reviewed by the Commission, 
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 separately. As used in this 
subpart, the term exceptions means the document consolidating the 
exceptions and supporting brief. The brief shall contain (i) a table of 
contents, (ii) a table of citations, (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 filing 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 decision is subject to review in 
accordance with paragraph (a) or (b) of this section, the Commission 
may, on its own initiative or upon appropriate requests by a party, take 
any one or more of the following actions:
    (1) Hear oral argument on the exceptions;
    (2) Require the filing of briefs;
    (3) Prior to or after oral argument or the filing of exceptions or 
briefs, reopen the record and/or remand the proceedings to the presiding 
officer to take further testimony or evidence;
    (4) Prior to or after oral argument or the filing of exceptions or 
briefs, remand the proceedings to the presiding officer to make further 
findings or conclusions; 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 release of the full text thereof is made unless otherwise ordered 
by the Commission. The timely filing of exceptions, the further review 
or consideration of an initial decision on the Commission's initiative, 
or the taking of action by the Commission under paragraph (c) of this 
section shall stay the effectiveness of the initial decision until the 
Commission's review thereof

[[Page 153]]

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 paragraph (c) of this section, the initial decision shall 
become effective, an appropriate notation to that effect shall be 
entered in the docket of the case, and a ``Public Notice'' thereof shall 
be given by the Commission. The provisions of Sec. 1.108 shall not 
apply to such public notices.
    (f) When any party fails to file exceptions 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]



Sec. 1.277  Exceptions; oral arguments.

    (a) The consolidated supporting brief and exceptions to the initial 
decision (see Sec. 1.276(a)(2)), including rulings upon motions or 
objections, shall point out with particularity alleged material errors 
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 exception is based. Any objection not saved by exception filed 
pursuant to this section is waived.
    (b) Within the period of time allowed in Sec. 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 Sec. 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; however, all 
other contents of and attachments to the brief are counted.) Within 10 
days, or such other time as the Commission or delegated authority may 
specify, after the time for filing exceptions has expired, any other 
party may file a reply brief, which shall not exceed 25 double spaced 
typewritten pages and shall contain a table of contents and a table of 
citations. If exceptions have been filed, any party may request oral 
argument not later than five days after the time for filing replies 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 resolution of the issues 
presented. Within five days after release of an order designating an 
initial decision for oral argument, 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. Failure to file a written notice shall constitute a waiver of 
the opportunity to participate.
    (d) Each order scheduling a case for oral argument will contain the 
allotment of time for each party for oral argument before the 
Commission. The Commission will grant, in its discretion, upon good 
cause shown, an extension 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 of the Commission, any party who 
participated in the oral argument may file with the Commission a motion 
requesting correction of the transcript, which motion shall be 
accompanied by proof of service thereof upon all other parties who 
participated in the oral argument. Within 5 days after the filing of 
such a motion, other parties may file a pleading in support of or in 
opposition to such motion. Thereafter, the officer who presided at the 
oral argument shall, by order, specify the corrections 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 argument may, on

[[Page 154]]

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 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]



Sec. 1.279  Limitation of matters to be reviewed.

    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 exceptions have been filed, or to those findings 
and conclusions specified in the Commission's order of review issued 
pursuant to Sec. 1.276(b).



Sec. 1.282  Final decision of the Commission.

    (a) After opportunity has been afforded for the filing of proposed 
findings of fact and conclusions, exceptions, supporting statements, 
briefs, and for the holding of oral argument as provided in this 
subpart, the Commission 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 material exception filed; the 
Commission will deny irrelevant exceptions, or those which are not of 
decisional significance, 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



Sec. 1.291  General provisions.

    (a)(1) The Commission acts on petitions to amend, modify, enlarge or 
delete the issues in hearing proceedings which involve rule making 
matters exclusively. It also acts on interlocutory pleadings filed in 
matters or proceedings which are before the Commission.
    (2) The Chief Administrative Law Judge acts on those interlocutory 
matters listed in Sec. 0.351 of this chapter.
    (3) All other interlocutory matters in hearing proceedings are acted 
on by the presiding officer. See Sec. Sec. 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 Sec. Sec. 1.4, 1.44, 1.47, 1.48, 1.49, and 1.52.
    (c)(1) Procedural rules governing interlocutory pleadings are set 
forth in Sec. Sec. 1.294-1.298.
    (2) Rules governing appeal from, and reconsideration of, 
interlocutory rulings made by the presiding officer are set forth in 
Sec. Sec. 1.301 and 1.303.
    (3) Rules governing the review of interlocutory rulings made by the 
Chief Administrative Law Judge are set forth in Sec. Sec. 1.101, 
1.102(b), 1.115, and 1.117. Petitions requesting reconsideration of an 
interlocutory ruling made by the Commission, or the Chief Administrative 
Law Judge will not be entertained. See, however, Sec. 1.113.
    (d) No initial decision shall become effective under Sec. 1.276(e) 
until all interlocutory matters pending before the Commission in the 
proceeding at the time the initial decision is issued have been disposed 
of and the time allowed

[[Page 155]]

for appeal from interlocutory rulings of the presiding officer has 
expired.

(Secs. 4(i), 303(r) and 5(c)(1) of the Communications 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]



Sec. 1.294  Oppositions and replies.

    (a) Any party to a hearing may file an opposition to an 
interlocutory request filed in that proceeding.
    (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 oppositions will not be entertained. See, however, Sec. 
1.732.
    (c) Oppositions to pleadings in the following categories shall be 
filed within 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, enlarge, or delete the issues upon 
which the hearing was ordered.
    (2) [Reserved]
    (3) Petitions by adverse parties requesting dismissal of an 
application.
    (4) Joint requests for approval of agreements filed pursuant to 
Sec. 1.525.
    (d) Additional pleadings may be filed only if specifically requested 
or authorized 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]



Sec. 1.296  Service.

    No pleading filed pursuant to Sec. 1.51 or Sec. 1.294 will be 
considered unless it is accompanied by proof of service upon the parties 
to the proceeding.

(Secs. 4(i), 303(r) and 5(c)(1) of the Communications 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]



Sec. 1.297  Oral argument.

    Oral argument with respect to any contested interlocutory matter 
will be held when, in the opinion of the person(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]



Sec. 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, 
consideration of interlocutory requests will be withheld until the time 
for filing oppositions (and replies, if replies are allowed) has 
expired. As a matter of discretion, however, requests for continuances 
and extensions of time, requests for permission to file pleadings in 
excess of the length prescribed in this chapter, and requests for 
temporary relief 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 matters may be made orally at the hearing. 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 initial 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



Sec. 1.301  Appeal from presiding officer's interlocutory ruling; effective 
date of ruling.

    (a) Interlocutory rulings which are appealable 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 decision.
    (1) If the presiding officer's ruling denies or terminates the right 
of any person to participate as a party to a hearing proceeding, such 
person, as a matter of right, may file an appeal from that ruling.
    (2) If the presiding officer's ruling requires testimony or the 
production of documents, over objection based on a

[[Page 156]]

claim of privilege, the ruling on the claim of privilege is appealable 
as a matter of right.
    (3) If the presiding officer's ruling denies a motion to disqualify 
the presiding judge, the ruling is appealable as a matter of right.
    (4) Rulings granting a joint request filed under Sec. 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 by his client. (In the 
event of such ruling, the presiding officer will adjourn the hearing for 
such period as is reasonably necessary for the client to secure new 
counsel and for counsel to familiarize himself with the case).
    (b) Other interlocutory rulings. Except as provided in paragraph (a) 
of this section, appeals from interlocutory rulings 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 
permission 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. Pleadings 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 presents 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 interlocutory appeal and, in accordance with his 
determination, will either allow or disallow the appeal or modify the 
ruling. If the presiding officer allows or disallows the appeal, his 
ruling is final: Provided, however, That the Commission may, on its own 
motion, dismiss an appeal allowed by the presiding officer on the ground 
that objection to the ruling should be deferred and raised as an 
exception. In the discretion of the presiding officer, the request for 
permission to file appeal may be made orally, on the record of the 
proceeding. The request may be disposed of orally.
    (1) If an appeal is not allowed, or is dismissed by the Commission, 
or if permission to file an appeal is not requested, objection to the 
ruling may be raised on review of the initial decision.
    (2) If an appeal is allowed and is considered on its merits, the 
disposition on appeal is final. Objection to the ruling or to the action 
on appeal may not be raised on review of the initial decision.
    (3) If the presiding officer modifies the ruling, any party 
adversely affected by the modified ruling may file a request for 
permission to file appeal, pursuant to the provisions of this paragraph.
    (c) Procedures, effective date. (1) Unless the presiding officer 
orders otherwise, rulings made by him shall be effective 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 
Sec. 1.49 and shall be subscribed and verified as provided in Sec. 
1.52.
    (4) The appeal shall be served on parties to the proceeding (see 
Sec. Sec. 1.47 and 1.211), and shall be filed with the Secretary, 
Federal Communications Commission, Washington, D.C. 20554.
    (5) The appeal shall not exceed 5 double-spaced typewritten pages.
    (6) Appeals are acted on by the Commission.
    (7) Oppositions and replies shall be served and filed in the same 
manner as appeals and shall be served on appellant if he is not a party 
to the proceeding. 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

[[Page 157]]

double-spaced typewritten pages. Replies 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]



Sec. 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 ruling within 30 days after the ruling is released.
    (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 released and within this period, 
may be reviewed by the Commission on its own motion. If an appeal is not 
filed following 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 
ruling is further stayed pending the completion of proceedings on appeal 
or review.
    (c) The appeal shall conform with the specifications set out in 
Sec. 1.49 and shall be subscribed and verified as provided in Sec. 
1.52.
    (d) The appeal shall be served on parties to the proceeding (see 
Sec. Sec. 1.47 and 1.211), and shall be filed with the Secretary, 
Federal Communications Commission, 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 typewritten 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.



Sec. 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 relating 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 discovery, 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 conducted under the provisions of this 
subpart (see Sec. 1.201).
    (b) Scope of examination. Persons and parties may be examined 
regarding any matter, not privileged, which is relevant to the hearing 
issues, including the existence, description, nature, custody, 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 
testimony will be inadmissible at the hearing 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 encompass information which may 
lead

[[Page 158]]

to the disclosure of an informer's identity.
    (2) Commission personnel may not be questioned by deposition for the 
purposes of discovery except on special order of the Commission, but may 
be questioned by written interrogatories under Sec. 1.323. 
Interrogatories shall be served on the appropriate Bureau Chief (see 
Sec. 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 proceeding.
    (3) Commission records are not subject to discovery under Sec. 
1.325. The inspection of Commission records is governed by the Freedom 
of Information Act, as amended, and by Sec. Sec. 0.451 through 0.467 of 
this chapter. Commission 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 Sec. Sec. 0.451 through 0.467. See 
Sec. 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, custody, 
condition and location of relevant documents and things and regarding 
the identity and location of persons having knowledge of relevant facts, 
and may otherwise only be examined regarding facts of the case as to 
which they have direct personal knowledge.
    (c) Schedule for use of the procedures. (1) In comparative broadcast 
proceedings involving applicants for only new facilities, discovery 
commences with the release of the hearing designation 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 within 90 days 
of the release of the designation order.
    (2) In all other proceedings, except as provided by special order of 
the presiding officer, discovery may be initiated before or after the 
prehearing conference provided for in Sec. 1.248 of this part.
    (3) In all proceedings, the presiding officer may at any time order 
the parties or their attorneys to appear at a conference to consider the 
proper use of these procedures, the time to be allowed for such use, 
and/or to hear agrument and render a ruling on disputes that arise under 
these rules.
    (d) Who shall act. Actions provided for in Sec. Sec. 1.311 through 
1.325 will, in most cases, be taken by the officer designated to preside 
at the hearing (see Sec. 1.241). If the proceeding, or a particular 
matter to which the action relates, is before the Commission, a 
commissioner or panel of commissioners, or the Chief Administrative Law 
Judge, the action will be taken by such officer or body. The term 
presiding officer, as used in Sec. Sec. 1.311 through 1.325 shall be 
understood to refer to the appropriate officer or body. See Sec. Sec. 
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 stipulate in writing and if there is no interference to the 
conduct of the proceeding, depositions may be taken before 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 deposition.

[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]



Sec. 1.313  Protective orders.

    The use of the procedures set forth in Sec. Sec. 1.311 through 
1.325 of this part is subject 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 
deponents or of providing for the proper conduct of the proceeding. 
Whenever doing so would be conducive to the efficient and expeditious 
conduct of the proceeding, the presiding officer may

[[Page 159]]

convene a conference to hear argument and issue a ruling on any disputes 
that may arise under these rules. The ruling, whether written or 
delivered on the record at a conference, may specify any measures, 
including the following to assure proper conduct of the proceeding or to 
protect any party or deponent 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, 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 deposition 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]



Sec. 1.315  Depositions upon oral examination--notice and preliminary 
procedure.

    (a) Notice. A party to a hearing proceeding 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 presiding officer. An original and three copies of 
the notice shall be filed with the Secretary of the Commission. Related 
pleadings shall be served and filed in the same manner. The notice shall 
contain the following information:
    (1) The name and address of each person to be examined, if known, 
and if the name is not known, a general description 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 examined, 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 person will be examined. See Sec. 
1.319.
    (b) Responsive pleadings. (1) Within 7 days after service of the 
notice to take depositions, a motion opposing the taking of depositions 
may be filed by any party to the proceeding or by the person to be 
examined. See Sec. 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 provisions set forth in Sec. 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 presiding officer may 
issue a protective order. See Sec. 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 within 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 
taking of depositions, the depositions described 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 
different from that specified in the notice to take depositions.
    (3) If the presiding officer issues a protective order, the 
depositions described in the notice may be taken (if at all) only in 
accordance with the provisions of that order.
    (e) Broadcast comparative proceedings involving applicants for only 
new facilities. In these cases, the 21-day advance notice provision of 
paragraph (a) of this section shall be inapplicable to depositions of 
active and passive owners of applicants in the proceeding. All

[[Page 160]]

applicants in such proceedings should be prepared to make their active 
and passive owners available for depositions 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 depositions will be 
conducted in Washington, DC or in the community of license 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]



Sec. 1.316  Depositions upon written interrogatories--notice and 
preliminary procedure.

    (a) Service of interrogatories; notice. A party to the hearing 
proceeding desiring to take the deposition of any person 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 examined. 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 person to be examined, if known, 
and if the name is not known, a general description 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 examined, 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 person will be examined. See Sec. 
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 additional 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 manner, file and serve cross interrogatories, which 
shall be limited to matters raised in the original or in the additional 
interrogatories.
    (d) Responsive pleadings. (1) Within 21 days after service of the 
original interrogatories, any party to the proceeding may move to limit 
or suppress any original, additional or cross interrogatory, and the 
person to be examined may file a motion opposing the taking of 
depositions. See Sec. 1.319(a).
    (2) Within 28 days after service of the original interrogatories, a 
response to a motion to limit or suppress any interrogatory 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 motion filed under paragraph (d) of this section, or on his 
own motion, the presiding officer may issue a protective order. See 
Sec. 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 within 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 taking of depositions, the depositions described 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 
different from that specified in the notice to take depositions.
    (3) If the presiding officer issues a protective order, the 
depositions described in the notice may be taken (if

[[Page 161]]

at all) only in accordance with the provisions of that order.

    Note: The computation of time provisions of Sec. 1.4(g) shall not 
apply to interrogatories and pleadings filed under the provisions of 
this section.

[33 FR 10571, July 25, 1968]



Sec. 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. 
Commissioner; any clerk of a district court; any chancellor, justice or 
judge of a supreme or superior court; the mayor or chief magistrate of a 
city; any judge of a county court, or court of common 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 
presiding officers, as provided in Sec. 1.243.
    (b) Attendance of witnesses. The attendance of witnesses at the 
taking of depositions may be compelled by the use of subpena as provided 
in Sec. Sec. 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 testimony 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 
provisions of paragraphs (e) and (f) as appropriate 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 interrogatories 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 interrogatories to the officer designated in the notice, who shall 
propound them to the witness and record the answers verbatim.
    (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 deposition 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 deposition is not signed by the witness, the 
officer shall sign it and state on the record the fact of the waiver, 
the illness or absence of the witness, or of his refusal to sign, 
together with the reason (if any) given therefor; and the deposition 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 deposition in whole or in 
part.
    (f) Certification of deposition and filing by officer; copies. The 
officer shall certify on the deposition that the witness was duly sworn 
by him, that the deposition is a true record of the testimony given by 
the witness, and that said officer is not of counsel or attorney to 
either of the parties, nor interested in the event of the proceeding or 
investigation. 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 deposition and of all exhibits, together with the notice 
and any interrogatories received 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]

[[Page 162]]



Sec. 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 interrogatory 
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 
provided in Sec. Sec. 1.315(b) and 1.316(d) and shall not be made at 
the taking of the deposition.
    (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, in the oath or 
affirmation, or in the conduct of parties, and errors of any kind which 
might be obviated, removed, 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, remove, or cure such errors. The 
measures agreed upon shall be taken. If agreement cannot be reached, the 
objection shall be noted on the deposition by the officer taking it, and 
the testimony objected to shall be taken subject to the objection.
    (c) Additional objections which may be made at the taking of 
depositions. Objection may be made at the taking of depositions on the 
ground of relevancy or privilege, if the notice to take depositions 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. 
Objection may also be made on the ground that the examination is being 
conducted in such manner as to unreasonably 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 regarding the proper limits of the examination.
    (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 presiding officer. If individual statements are submitted, copies 
shall be provided to all counsel participating in the taking of 
depositions.
    (3) The presiding officer shall promptly rule upon the question 
presented or take such other action as may be appropriate under Sec. 
1.313, and shall give notice of his ruling, by telephone, to counsel who 
submitted statements 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 
presiding officer's ruling. Such rulings are not subject to appeal.

[33 FR 463, Jan. 12, 1968]



Sec. 1.321  Use of depositions at the hearing.

    (a) No inference concerning the admissibility of a deposition in 
evidence shall be drawn because of favorable action on the notice to 
take depositions.
    (b) Except as provided in this paragraph and in Sec. 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 during 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 privilege is waived by failure to 
make it before or during the taking of depositions.
    (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 deposition or any part thereof for any purpose other than that of 
contradicting or impeaching the deponent makes the

[[Page 163]]

deponent the witness of the party introducing 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 relevant evidence contained in a deposition 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 provisions:
    (1) Any deposition may be used by any party for the purpose of 
contradicting 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 adverse party for any purpose.
    (3) To the extent that the affirmative direct case of a party is 
made in writing pursuant to Sec. 1.248(d), the deposition 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 witness, 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 
imprisonment; or (iv) upon application and notice, that such exceptional 
circumstances exist as to make it desirable in the interest of justice 
and with due regard to the importance of presenting the testimony of 
witnesses orally in open hearing, to allow the deposition to be used.
    (4) If only part of a deposition is offered in evidence by a party, 
an adverse party may require him to introduce all of it which is 
relevant to the part introduced, and any party may introduce any other 
parts.
    (5) Substitution of parties does not affect the right to use 
depositions previously taken; and, when an action in any hearing has 
been dismissed and another action involving the same subject matter is 
afterward brought between the same parties or their representatives 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]



Sec. 1.323  Interrogatories to parties.

    (a) Interrogatories. Any party may serve upon any other party 
written interrogatories to be answered in writing by the party served 
or, if the party served is a public or private corporation 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 copies 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 interrogatories 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 interrogatories have been answered.
    (b) Answers and objections. Each interrogatory shall be answered 
separately and fully in writing under oath or affirmation, 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 person 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 within such shorter or longer period 
as the

[[Page 164]]

presiding officer may allow. Answers may be used in the same manner as 
depositions of a party (see Sec. 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 answer an interrogatory. For purposes of this paragraph, an 
evasive or incomplete answer is a failure to answer; and if the motion 
is based on the assertion that the answer is evasive or incomplete, 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 file a response within 7 days after the 
motion is filed, to which he may append an answer or an amended answer. 
Additional pleadings should not be submitted 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 procedural consequences (including adverse findings of fact 
and dismissal with prejudice) which will follow from the failure to make 
a full and responsive answer. If a full and responsive answer is not 
made, the presiding officer may issue an order invoking any of the 
procedural consequences specified in the order to compel an answer.
    (e) Appeal. As order to compel an answer is not subject to appeal.

[33 FR 10572, July 25, 1968, as amended at 35 FR 17334, Nov. 11, 1970]



Sec. 1.325  Discovery and production of documents and things for inspection, 
copying, or photographing.

    (a) A party to a Commission proceeding 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 tangible things which constitute or contain evidence within 
the scope of the examination permitted by Sec. 1.311(b) of this part 
and which are in his possession, 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 
property or any designated object or operation thereon within the scope 
of the examination permitted by Sec. 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 request 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 compel 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 involving the production of documents 
or access to property, the presiding officer may direct that the 
materials objected to be presented to him for in camera inspection.
    (b) Any party seeking the production of Commission records should 
proceed under Sec. 0.460 or Sec. 0.461 of this chapter. See Sec. Sec. 
0.451 through 0.467.
    (c) In comparative broadcast proceedings 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 exchange of these materials must be accomplished within 
five days after the date established for filing notices of appearance 
(see Sec. 1.221).

[[Page 165]]

    (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 incorporation, by laws, partnership agreements, voting rights, 
proxies, and any amendments to the foregoing documents;
    (ii) All minutes of meetings relating to the application;
    (iii) All documents relating to the rights or plans of persons or 
entities to 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 financing documents with the dollar 
amounts unexpurgated;
    (vi) All documents relating to the applicant's proposed transmitter 
site;
    (vii) All documents relating to communications by proposed 
integrated principals with respect to their proposed 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 communications by and between 
principals of the applicant concerning the application, including 
communications between active and passive principals;
    (x) Representative documents relating to enhancement credits and 
preferences sought by the applicant's principals for local residence, 
civic participation, past broadcast experience, minority/female status, 
and the like;
    (xi) All documents relating to commitments to divest other media 
interests; and
    (xii) All documents that identify or describe the principals who are 
responsible for completing the application, arranging financing, 
obtaining the applicant's transmitter site, publishing the required 
notices, establishing the local public inspection file, and retaining 
lawyers, engineers, and other professionals.
    (2) Standardized Integration Statement. On the same day that 
documents are exchanged pursuant to the Standardized 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 parties to the proceeding that have filed Notices of 
Appearance):
    (i) The ownership structure of the applicant, i.e., whether it is a 
partnership, limited partnership, or a corporation (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 current 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 
female 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 license or service area 
and if so, specifically on what basis (including a detailed 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 
relevant documents, not called for in the Standard Document Production 
Order, at any time after the release of the designation order. 
Supplemental requests

[[Page 166]]

for documents based on materials exchanged 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. 
Supplemental document requests will be handled under the procedures 
established in paragraph (a) of this section. To facilitate the 
resolution of disputes concerning the production of documents, the 
presiding officer may convene a pre-hearing conference to hear argument 
on and dispose of any such disputes.

[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.



Sec. 1.331  Who may sign and issue.

    Subpenas requiring the attendance and testimony of witnesses, and 
subpenas requiring the production of any books, papers, schedules of 
charges, contracts, agreements, and documents relating to any matter 
under investigation 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 conduct 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.



Sec. 1.333  Requests for issuance of subpena.

    (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 proceeding, the presiding officer may 
issue the same, upon request, without an accompanying subpena to enforce 
a notice to take depositions, provided for in paragraph (e) of this 
section, where it appears that the testimony of said person 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 evidence 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 submitted with the notice or at a later date. The request shall 
not be granted until the period for the filing of motions opposing the 
taking of depositions 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 request 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 Sec. 
1.311(b) but in that event the subpena request will be subject to the 
provisions of Sec. 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 Sec. 1.325 may be submitted with the motion requesting 
the issuance of such an order. 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 
documents

[[Page 167]]

and things to be examined contain nonprivileged 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]



Sec. 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 limited in scope.



Sec. 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.



Sec. 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 proceeding and is not less than 18 years of age.
    (b) Service of a subpena upon the person named therein shall be made 
by exhibiting 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 
allowed by law. If the subpena is issued on behalf of the United States 
or an officer or agency thereof, attendance fees and mileage need not be 
tendered.



Sec. 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 affidavit or statement, shall be returned forthwith to the 
Secretary of the Commission or, if so directed on the subpena, to the 
official before whom the person named in the subpena is required to 
appear.



Sec. 1.338  Subpena forms.

    (a) Subpena forms, marked ``Original'', ``Duplicate'', and 
``Triplicate'', and bearing the Commission's seal, may be obtained from 
the Commission's Dockets Division. These forms are to be completed and 
submitted with any request for issuance of a subpena.
    (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 subpena includes a form for proof 
of service. This form is to be executed by the person who effects 
service and returned by him to the Secretary of the Commission or, if so 
directed on the subpena, to the official before whom the person named in 
the subpena is required to appear.
    (d) The ``Duplicate'' copy of the subpena shall be served upon the 
person named therein and retained by him. This copy should be presented 
in support of any claim for witness fees or mileage allowances for 
testimony on behalf of the Commission.



Sec. 1.339  Witness fees.

    Witnesses who are subpenaed and respond 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.



Sec. 1.340  Attendance of witness; disobedience.

    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 attendance 
and testimony of witnesses and the production of documentary evidence.

[[Page 168]]

                                Evidence



Sec. 1.351  Rules of evidence.

    Except as otherwise provided in this subpart, the rules of evidence 
governing 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.



Sec. 1.352  Cumulative evidence.

    The introduction of cumulative evidence shall be avoided, and the 
number of witnesses that may be heard in behalf of a party on any issue 
may be limited.



Sec. 1.353  Further evidence during hearing.

    At any stage of a hearing, the presiding officer may call for 
further evidence upon any issue and may require such evidence to be 
submitted by any party to the proceeding.



Sec. 1.354  Documents containing matter not material.

    If material and relevant matter offered in evidence is embraced in a 
document containing other matter not material or relevant, and not 
intended to be put in evidence, such document will not be received, but 
the party offering the same shall present to other counsel, and to the 
presiding officer, the original document, together with true copies of 
such material and relevant matter taken therefrom, as it is desired to 
introduce. Upon presentation of such matter, material and relevant, in 
proper form, it may be received in evidence, and become a part of the 
record. Other counsel will be afforded an opportunity to introduce in 
evidence, in like manner, other portions of such document if found to be 
material and relevant.



Sec. 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 accompanied by a separate copy of the 
translation.



Sec. 1.356  Copies of exhibits.

    No document or exhibit, or part thereof, shall be received as, or 
admitted in, evidence unless offered in duplicate. In addition, when 
exhibits of a documentary character are to be offered in evidence, 
copies shall be furnished to other counsel unless the presiding officer 
otherwise directs.



Sec. 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 desiring to offer any 
matter alleged to be contained therein or thereupon shall have such 
matter typewritten on paper of the size prescribed by Sec. 1.49, and 
the same shall be identified and offered in duplicate in the same manner 
as other exhibits.



Sec. 1.358  Tariffs as evidence.

    In case any matter contained in a tariff schedule on file with the 
Commission is offered in evidence, such tariff schedule need not be 
produced or marked for identification, but the matter so offered shall 
be specified with particularity (tariff and page number) in such manner 
as to be readily identified, and may be received in evidence by 
reference subject to check with the original tariff schedules on file.



Sec. 1.359  Proof of official record; authentication 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 officer having legal custody of the record, or by 
his deputy, and accompanied with a certificate that such officer 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 
dominion of the United States, the certificate may be made by the judge 
of a

[[Page 169]]

court of record of the district or political 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 official 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, 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.



Sec. 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 Sec. 1.359. Such statement 
and certificate are admissible as evidence that the records of his 
office contain no such record or entry.



Sec. 1.361  Other proof of official record.

    Sections 1.359 and 1.360 do not prevent 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.



Sec. 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 testimony, in possession of the party calling 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 declines to furnish the statement, the 
testimony of the witness pertaining to the requested statement shall be 
stricken.

[33 FR 466, Jan. 12, 1968]



Sec. 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 analyses, and experiments, and those parts of other studies 
involving statistical methodology shall be described in a summary 
statement, with supplementary details added in appendices so as to give 
a comprehensive delineation of the assumptions made, the study plan 
utilized and the procedures undertaken. 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 sampling 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 econometric model shall be completely described and 
the reasons given for each assumption and statistical specification. 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 alternative studies, so as to be available 
upon request. In the case of experimental analyses, a clear and complete 
description of the experimental design shall be set forth, including a 
specification of the controlled conditions and how the controls were 
realized. In addition, the methods of making observations 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 statistical estimates, standard errors 
and test statistics, the description of statistical tests, plus all 
related computations, computer programs and final results. 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 analyses offered in evidence in 
common carrier hearing proceedings, other than the kinds described in 
paragraph (a) of

[[Page 170]]

this section, there shall be a clear statement of the study plan, all 
relevant assumptions and a description of the techniques of data 
collection, estimation and/or testing. In addition, there shall be a 
clear statement of the facts and judgments upon which conclusions are 
based and a statement of the relative weights given to the various 
factors in arriving at each conclusion, together with an indication of 
the alternative courses of action considered. Lists of input data shall 
be made available upon request.

[35 FR 16254, Oct. 16, 1970]



Sec. 1.364  Testimony by speakerphone.

    (a) If all parties to the proceeding consent and the presiding 
officer approves, 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 advance 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



Sec. 1.399  Scope.

    This subpart shall be applicable to notice and comment rulemakings 
proceedings conducted under 5 U.S.C. 553, and shall have no application 
to formal rulemaking (or rate making) proceedings unless the Commission 
directs that it shall govern the conduct of a particular proceeding.

[42 FR 25735, May 19, 1977]



Sec. 1.400  Definitions.

    As used in this subpart, the term party refers to any person who 
participates in a proceeding by the timely filing of a petition for rule 
making, comments 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 letters, 
telegrams or other informal materials.

[41 FR 1287, Jan. 7, 1976]

                     Petitions and Related Pleadings



Sec. 1.401  Petitions for rulemaking.

    (a) Any interested person may petition for the issuance, amendment 
or repeal of a rule or regulation.
    (b) The petition for rulemaking shall conform to the requirements of 
Sec. Sec. 1.49, 1.52 and 1.419(b) (or Sec. 1.420(e), if applicable), 
and shall be submitted or addressed to the Secretary, Federal 
Communications Commission, Washington, DC 20554, or (except in broadcast 
allotment proceedings) may be submitted electronically.
    (c) The petition shall set forth the text or substance of the 
proposed rule, amendment, or rule to be repealed, together 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 (Sec. 
73.202 of this chapter) or the Television Table of Assignments (Sec. 
73.606) shall be served by petitioner on any Commission licensee or 
permittee whose channel assignment would be changed by grant of the 
petition. The petition shall be accompanied by a certificate of service 
on such licensees or permittees. A draft Notice of Proposed Rule Making 
may be submitted with a petition for amendment of the FM or Television 
Table of Assignments.
    (e) Petitions which are moot, premature, repetitive, frivolous, or 
which plainly do not warrant consideration by the Commission may be 
denied or dismissed without prejudice to the petitioner.

[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]

[[Page 171]]



Sec. 1.403  Notice and availability.

    All petitions for rule making (other than petitions to amend the FM, 
Television, and Air-Ground Tables of Assignments) meeting the 
requirements of Sec. 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 
petition, file number, nature of the proposal, and date of filing, 
Petitions for rule making are available at the Commission's Reference 
Information Center, 445 12th Street, SW, Washington, DC and may also be 
available electronically over the Internet at http://www.fcc.gov/.

[67 FR 13223, Mar. 21, 2002]



Sec. 1.405  Responses to petitions; replies.

    Except for petitions to amend the FM Television or Air-Ground Tables 
of Assignments:
    (a) Any interested person may file a statement in support of or in 
opposition 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 Sec. 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 conformity with Sec. 
1.47 and shall conform in other aspects with the requirements of 
Sec. Sec. 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 making 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 parties filing the statement or statements to which 
the reply is directed on or prior to the date of filing in conformity 
with Sec. 1.47 and shall conform in other aspects with the requirements 
of Sec. Sec. 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 petition for rule making at any time 
after the deadline for the filing of replies to statements in support of 
or in opposition to the petition. Statements in support of or in 
opposition to a petition for rule making, and replies thereto, 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]



Sec. 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 procedure thereon are 
required or deemed desirable by the Commission, an appropriate notice of 
proposed rule making will be issued. In those cases where notice 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 petitioner will be notified of the 
Commission's action with the grounds therefor.

                         Rulemaking Proceedings



Sec. 1.411  Commencement of rulemaking proceedings.

    Rulemaking proceedings are commenced by the Commission, either on it 
own motion or on the basis of a petition for rulemaking. See Sec. Sec. 
1.401-1.407.



Sec. 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 publication of a ``Notice of 
Proposed Rule Making'' in the Federal Register. A summary of the full 
decision adopted by the Commission constitutes a ``Notice of Proposed 
Rulemaking'' for purposes of Federal Register publication.
    (2) If all persons subject to the proposed rules are named, the 
proposal may (in lieu of publication) be personally served upon those 
persons.
    (3) If all persons subject to the proposed rules are named and have 
actual notice of the proposal as a matter of law, further prior notice 
of proposed rulemaking is not required.

[[Page 172]]

    (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 affairs function of the United 
States.
    (2) Any matter relating to Commission management or personnel or to 
public property, loans, grants, benefits, or contracts.
    (3) Interpretative rules.
    (4) General statements of policy.
    (5) Rules of Commission organization, 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, unnecessary, or contrary to the 
public interest. The finding of good cause and a statement of the basis 
for that finding are in such situations published with the rule changes.
    (d) In addition to the notice provisions 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 agencies having jurisdiction over any carrier involved 
of the proposed requirements.

[28 FR 12432, Nov. 22, 1963, as amended at 51 FR 7445, Mar. 4, 1986]



Sec. 1.413  Content of notice.

    A notice of the proposed issuance, amendment, or repeal of a rule 
will include 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 repeal 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.



Sec. 1.415  Comments and replies.

    (a) After notice of proposed rulemaking is issued, the Commission 
will afford interested persons an opportunity to participate in the 
rulemaking proceeding through submission of written data, views, or 
arguments, with or without opportunity to present the same orally in any 
manner.
    (b) A reasonable time will be provided 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 rulemaking.
    (c) A reasonable time will be provided 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 Sec. Sec. 
1.420 and 1.1200 et seq. See also ---- FCC 2d ---- (1980) (i.e., this 
order).

    (e) For time limits for filing motions for extension of time for 
filing responses to petitions for rulemaking, replies to such responses, 
comments filed in response to notices of proposed rulemaking, replies to 
such comments, see Sec. 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]



Sec. 1.419  Form of comments and replies; number of copies.

    (a) Comments, replies, and other documents filed in a rulemaking 
proceeding shall conform to the requirements of Sec. 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 distribution of such copies shall be as follows:

Secretary (original and 1).......................................      2
Bureau...........................................................      2
Reference Information Center.....................................      1
                                                                  ------
      Total......................................................      5
 

    Participants filing the required 5 copies who also wish each 
Commissioner to have a personal copy of the comments may file an 
additional 5 copies.

[[Page 173]]

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 
interest by participating informally in a rulemaking proceeding may do 
so by submitting an original and one copy of their comments, without 
regard to form, provided only that the Docket Number is specified in the 
heading. Informal comments filed after close of the reply comment 
period, or, if on reconsideration, the reconsideration reply comment 
period, should be labeled ``ex parte'' pursuant to section 1.1206(a) of 
this chapter. Letters submitted to Commissioners or Commission 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 
additional 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 identical 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 comments, so long as the submission 
conforms to any procedural or filing requirements established for formal 
electronic 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. Parties 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]



Sec. 1.420  Additional procedures in proceedings for amendment of the FM 
or TV Tables of Allotments.

    (a) Comments filed in proceedings for amendment of the FM Table of 
Allotments (Sec. 73.202 of this chapter) or the Television Table of 
Allotments (Sec. 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 proceedings 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 directed.
    (c) Such comments and reply comments shall be accompanied by a 
certificate of service.
    (d) Counterproposals shall be advanced in initial comments only and 
will not be considered if they are advanced in reply comments.
    (e) An original and 4 copies of all petitions 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 licensee or permittee 
whose authorization may be modified to specify operation on a different 
channel, and shall be accompanied by a certificate of service.
    (g) The Commission may modify the license or permit of an FM station 
to another class of channel or of a UHF TV station to a VHF channel in 
the same community in the course of the rule making proceeding to amend 
Sec. 73.202(b), Sec. 73.504(a) or Sec. 73.606(b) if any of the 
following conditions are met:
    (1) There is no other timely filed expression of interest, or
    (2) If another interest in the proposed channel is timely filed an 
additional equivalent class of channel is also allotted, assigned or 
available for application, or

[[Page 174]]

    (3) With respect to FM, the modification of license or permit would 
occur on a mutually exclusive higher class adjacent or co-channel.

    Note 1 to paragraph (g):
    In certain situations, a licensee or permittee may seek an adjacent, 
intermediate frequency or co-channel upgrade by application. See Sec. 
73.203(b) of this chapter.
    Note 2 to paragraph (g):
    The reclassification of a Class C station in accordance with the 
procedure set forth in Note 4 to Sec. 73.3573 may be initiated through 
the filing of an original petition for amendment of the FM Table of 
Allotments. The Commission will notify the affected Class C station 
licensee of the proposed 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 Allotments in addition to 
the proposed reclassification, the Commission will issue an order to 
show cause as set forth in Note 4 to Sec. 73.3573, and a notice of 
proposed rule making will be issued only after the reclassification 
issue is resolved. Triggering petitions will be dismissed upon the 
filing, rather than the grant, of an acceptable construction permit 
application to increase antenna height to at least 451 meters HAAT by a 
subject Class C station.

    (h) Where licensees (or permittees) of television broadcast stations 
jointly petition to amend Sec. 73.606(b) and to exchange 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 substantially the 
same market, then the Commission may amend Sec. 73.606(b) and modify 
the licenses (or permits) of the petitioners to specify operation on the 
appropriate channels upon a finding that such action will promote the 
public interest, 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 television station operating on Channel 6 must meet a 
particularly heavy burden by demonstrating that grants of their upgrade 
requests are in the public interest. In this regard, the Commission will 
examine the record in rule making proceedings to determine the 
availability of existing and potential non-commercial education service.

    (i) In the course of the rule making proceeding to amend Sec. 
73.202(b) or Sec. 73.606(b), the Commission may modify the license or 
permit of an FM or television broadcast station to specify a new 
community of license where the amended allotment would be mutually 
exclusive with the licensee's or permittee's present assignment.
    (j) Whenever an expression of interest in applying for, 
constructing, and operating a station has been filed in a proceeding to 
amend the FM or TV Table of Allotments, and the filing party seeks to 
dismiss or withdraw the expression of interest, either unilaterally or 
in exchange for financial consideration, 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 
affidavit 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 expenses in exchange 
for the dismissal or withdrawal of the expression of interest;
    (2) The exact nature and amount of any consideration received or 
promised;
    (3) An itemized accounting of the expenses for which it seeks 
reimbursement; 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 party's request for approval, 
each remaining party to any written or oral agreement 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

[[Page 175]]

    (ii) The terms of any oral agreement relating to the dismissal or 
withdrawal of the expression of interest.

(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]



Sec. 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 parties of record and other interested persons to submit 
comments in conformity with Sec. Sec. 1.415 and 1.419.



Sec. 1.423  Oral argument and other proceedings.

    In any rulemaking where the Commission determines that an oral 
argument, hearing or any other type of proceeding is warranted, notice 
of the time, place and nature of such proceeding will be published in 
the Federal Register.

[58 FR 66300, Dec. 20, 1993]



Sec. 1.425  Commission action.

    The Commission will consider all relevant comments and material of 
record before taking final action in a rulemaking proceeding and will 
issue a decision incorporating its finding and a brief statement of the 
reasons therefor.



Sec. 1.427  Effective date of rules.

    (a) Any rule issued by the Commission will be made effective not 
less than 30 days from the time it is published in the Federal Register 
except as otherwise specified in paragraphs (b) and (c) of this section.
    (b) For good cause found and published 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 Register. Rules involving 
any military, naval or foreign affairs function of the United States; 
matters relating to agency management or personnel, public property, 
loans, grants, benefits or contracts; rules granting or recognizing 
exemption or relieving restriction; rules of organization, procedure or 
practice; or interpretative rules; and statements of policy may be made 
effective without regard to the 30-day requirement.
    (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 carriers not less than 6 months prior to the effective date of 
such alterations.



Sec. 1.429  Petition for reconsideration.

    (a) Any interested person may petition for reconsideration of a 
final action in a proceeding conducted under this subpart (see 
Sec. Sec. 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 delegated 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 Sec. 1.420 and is authorized to make editorial changes in 
the rules (see Sec. 0.231(d)).

    (b) A petition for reconsideration which relies on facts which have 
not previously been presented to the Commission will be granted only 
under the following circumstances:
    (1) The facts relied on relate to events which have occurred or 
circumstances 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 opportunity to present them to the Commission, and he could not 
through the exercise 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 respects 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

[[Page 176]]

date is defined in Sec. 1.4(b). No supplement to a petition for 
reconsideration filed after expiration of the 30 day period will be 
considered, except upon leave granted pursuant to a separate pleading 
stating the grounds for acceptance of the supplement. The petition for 
reconsideration shall not exceed 25 double-spaced typewritten pages. See 
also Sec. 1.49(f).
    (e) Except as provided in Sec. 1.420(f), petitions for 
reconsideration need not be served on parties to the proceeding. 
(However, where the number of parties is relatively small, the 
Commission encourages the service of petitions for reconsideration and 
other pleadings, and agreements among parties to exchange copies of 
pleadings. See also Sec. 1.47(d) regarding electronic service of 
documents.) When a petition for reconsideration 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 Sec. 1.4(b).
    (f) Oppositions to a petition for reconsideration 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 petition. See also 
Sec. 1.49(d). Oppositions shall not exceed 25 double-spaced typewritten 
pages. See Sec. 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 Sec. Sec. 1.49(d) and 1.49(f).
    (h) Petitions for reconsideration, oppositions and replies shall 
conform to the requirements of Sec. Sec. 1.49 and 1.52, except that 
they need not be verified. Except as provided in Sec. 1.420(e), an 
original and 11 copies shall be submitted to the Secretary, Federal 
Communications 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 
circumstance, a second petition for reconsideration may be dismissed by 
the staff as repetitious.
    (j) The filing of a petition for reconsideration 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 Commission, the filing of a 
petition for reconsideration shall not excuse any person from complying 
with any rule or operate in any manner to stay or postpone its 
enforcement. However, upon good cause shown, the Commission will stay 
the effective date of a rule pending a decision on a petition for 
reconsideration. See, however, Sec. 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



Sec. 1.430  Proceedings on a notice of inquiry.

    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 published 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.

[[Page 177]]



Sec. 1.502  Emergency Broadcast Authorizations.

    See Sec. 73.913.

                       General Filing Requirements



Sec. 1.511  Applications required.

    See Sec. 73.3511.



Sec. 1.512  Where to file; number of copies.

    See Sec. 73.3512.



Sec. 1.513  Who may sign applications.

    See Sec. 73.3513.



Sec. 1.514  Content of applications.

    See Sec. 73.3514.



Sec. 1.516  Specification of facilities.

    See Sec. 73.3516.



Sec. 1.517  Contingent applications.

    See Sec. 73.3517.



Sec. 1.518  Inconsistent or conflicting applications.

    See Sec. 73.3518.



Sec. 1.519  Repetitious applications.

    See Sec. 73.3519.



Sec. 1.520  Multiple applications.

    See Sec. 73.3520.



Sec. 1.522  Amendment of applications.

    See Sec. 73.3522.



Sec. 1.525  Agreements between parties for amendment or dismissal of, 
or failure to prosecute, broadcast applications.

    See Sec. 73.3525.



Sec. 1.526  Records to be maintained locally for public inspection by 
commercial applicants, permittees and licensees.

    See Sec. 73.3526.



Sec. 1.527  Records to be maintained locally for public inspection by 
noncommercial educational applicants, permittees and licensees.

    See Sec. 73.3527.



Sec. 1.531  Formal and informal applications.

    See Sec. 73.3511.



Sec. 1.533  Application forms for authority to construct a new station 
or make changes in an existing station.

    See Sec. 73.3533.



Sec. 1.534  Application for extension of construction permit or for 
construction permit to replace expired construction permit.

    See Sec. 73.3534.



Sec. 1.536  Application for license to cover construction permit.

    See Sec. 73.3536.



Sec. 1.538  Application for modification of license.

    See Sec. 73.3538.



Sec. 1.539  Application for renewal of license.

    See Sec. 73.3539.



Sec. 1.540  Application for voluntary assignment or transfer of control.

    See Sec. 73.3540.



Sec. 1.541  Application for involuntary assignment of license or transfer 
of control.

    See Sec. 73.3541.



Sec. 1.542  Application for temporary authorization.

    See Sec. 73.3542.



Sec. 1.543  Application for renewal or modification of special service 
authorization.

    See Sec. 73.3543.



Sec. 1.544  Application for broadcast station to conduct field strength 
measurements and for experimental operation.

    See Sec. Sec. 73.157 and 73.1510.



Sec. 1.545  Application for permit to deliver programs to foreign countries.

    See Sec. 73.3545.



Sec. 1.546  Application to determine operating power by direct measurement 
of antenna power.

    See Sec. 73.45.

[[Page 178]]



Sec. 1.549  Requests for extension of authority to operate without required 
monitors, indicating instruments, and EBS Attention Signal devices.

    See Sec. 73.3549.



Sec. 1.550  Requests for new or modified call sign assignments.

    See Sec. 73.3550.



Sec. 1.561  Staff consideration of applications which receive action by the 
Commission.

    See Sec. 73.3561.



Sec. 1.562  Staff consideration of applications which do not require action 
by the Commission.

    See Sec. 73.3562.



Sec. 1.564  Acceptance of applications.

    See Sec. 73.3564.



Sec. 1.566  Defective applications.

    See Sec. 73.3566.



Sec. 1.568  Dismissal of applications.

    See Sec. 73.3568.



Sec. 1.570  AM broadcast station applications involving other North American countries.

    See Sec. 73.3570.



Sec. 1.571  Processing AM broadcast station applications.

    See Sec. 73.3571.



Sec. 1.572  Processing TV broadcast and translator station applications.

    See Sec. 73.3572.



Sec. 1.573  Processing FM broadcast and translator station applications.

    See Sec. 73.3573.



Sec. 1.574  Processing of international broadcast station applications.

    See Sec. 73.3574.



Sec. 1.578  Amendments to applications for renewal, assignment or transfer of 
control.

    See Sec. 73.3578.



Sec. 1.580  Local public notice of filing of broadcast applications.

    See Sec. 73.3580.



Sec. 1.584  Petitions to deny.

    See Sec. 73.3584.



Sec. 1.587  Procedure for filing informal applications.

    See Sec. 73.3587.



Sec. 1.591  Grants without hearing.

    See Sec. 73.3591.



Sec. 1.592  Conditional grant.

    See Sec. 73.3592.



Sec. 1.593  Designation for hearing.

    See Sec. 73.3593.



Sec. 1.594  Local public notice of designation for hearing.

    See Sec. 73.3594.



Sec. 1.597  Procedures on transfer and assignment applications.

    See Sec. 73.3597.



Sec. 1.598  Period of construction.

    See Sec. 73.3598.



Sec. 1.599  Forfeiture of construction permit.

    See Sec. 73.3599.



Sec. 1.601  Simultaneous modification and renewal of license.

    See Sec. 73.3601.



Sec. 1.603  Special waiver procedure relative to applications.

    See Sec. 73.3603.



Sec. 1.605  Retention of applications in hearing status after designation 
for hearing.

    See Sec. 73.3605.



Sec. 1.612  Annual employment report.

    See Sec. 73.3612.



Sec. 1.613  Filing of contracts.

    See Sec. 73.3613.



Sec. 1.615  Ownership reports.

    See Sec. 73.3615.

[[Page 179]]



   Subpart E_Complaints, Applications, Tariffs, and Reports Involving 
                             Common Carriers

    Source: 28 FR 12450, Nov. 22, 1963, unless otherwise noted.

                                 General



Sec. 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 statement of the 
particulars and matters concerning which the Commission is inquiring and 
the reasons for such action, 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 file its answer within the time specified 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 Sec. Sec. 1.49 and 1.50 and 
the subscription and verification requirements of Sec. 1.52.

[28 FR 12450, Nov. 22, 1963, as amended at 36 FR 7423, Apr. 20, 1971]



Sec. 1.703  Appearances.

    (a) Hearings. Except as otherwise required by Sec. 1.221 regarding 
application proceedings, by Sec. 1.91 regarding proceedings 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 attorney.
    (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 specified in the order, any party who wishes to 
participate in the oral argument shall file a written statement 
indicating that he will appear and participate. Within such time as may 
be specified in an order designating any other matter for oral argument, 
any person wishing to participate in the The Commission will advise him 
whether he may participate. (See Sec. 1.277 for penalties for failure 
to file appearance statements in proceedings involving oral arguments on 
initial decisions.)
    (c) Commission counsel. The requirement of paragraph (b) of this 
section shall not apply to counsel representing the Commission or the 
Chief of the Enforcement Bureau.

[28 FR 12450, Nov. 22, 1963, as amended at 67 FR 13223, Mar. 21, 2002]

                               Complaints



Sec. 1.711  Formal or informal complaints.

    Complaints filed against carriers under section 208 of the 
Communications Act may be either formal or informal.

                           Informal Complaints



Sec. 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 carrier 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 contravention of the Communications Act, and (d) the 
specific relief of satisfaction sought.

[51 FR 16039, Apr. 30, 1986]



Sec. 1.717  Procedure.

    The Commission will forward informal complaints to the appropriate 
carrier 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 satisfaction of the complaint or of its refusal 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 response to the complainant. 
In all other cases, the Commission will contact the complainant 
regarding its review and

[[Page 180]]

disposition of the matters raised. If the complainant is not satisfied 
by the carrier's response and the Commission's disposition, it may file 
a formal complaint in accordance with Sec. 1.721 of this part.

[51 FR 16039, Apr. 30, 1986]



Sec. 1.718  Unsatisfied informal complaints; formal complaints relating 
back to the filing dates of informal complaints.

    When an informal complaint has not been satisfied pursuant to Sec. 
1.717, the complainant may file a formal complaint with this Commission 
in the form specified in Sec. 1.721. Such filing will be deemed to 
relate back to the filing date of the informal complaint: Provided, That 
the formal complaint: (a) Is filed within 6 months from the date of the 
carrier's report, (b) makes reference to the date of the informal 
complaint, and (c) is based on the same cause of action as the informal 
complaint. If no formal complaint is filed within the 6-month period, 
the complainant will be deemed to have abandoned the unsatisfied 
informal complaint.

[51 FR 16040, Apr. 30, 1986]



Sec. 1.719  Informal complaints filed pursuant to section 258.

    (a) Notwithstanding the requirements of Sec. Sec. 1.716 through 
1.718, the following procedures shall apply to complaints alleging that 
a carrier has violated section 258 of the Communications Act of 1934, as 
amended by the Telecommunications Act of 1996, by making an unauthorized 
change of a subscriber's preferred carrier, as defined by Sec. 
64.1100(e) of this chapter.
    (b) Form. The complaint shall be in writing, and should contain: The 
complainant's name, address, telephone number and e-mail address (if the 
complainant has one); the name of both the allegedly unauthorized 
carrier, as defined by Sec. 64.1100(d) of this chapter, and authorized 
carrier, as defined by Sec. 64.1100(c) of this chapter; a complete 
statement of the facts (including any documentation) tending to show 
that such carrier engaged in an unauthorized change of the subscriber's 
preferred 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 Sec. Sec. 64.1100 through 
64.1190 of this chapter. The Commission will issue a written (or 
electronic) order informing the complainant, the unauthorized carrier, 
and the authorized carrier of its finding, and ordering the appropriate 
remedy, if any, as defined by Sec. Sec. 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 Filing 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 Sec. 1.721. Such filing will be deemed to relate back to 
the filing date of the informal complaint 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 informal 
complaint filed under this section is mailed or delivered electronically 
to the complainant; makes reference 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



Sec. 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, disputed 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

[[Page 181]]

briefs, written interrogatories, and other supplementary documents or 
pleadings. Those formal complaint proceedings handled on the Enforcement 
Bureau's Accelerated Docket are subject to pleading and procedural rules 
that differ in some respects from the general rules for formal complaint 
proceedings.
    (a) Pleadings must be clear, concise, and explicit. All matters 
concerning a claim, defense or requested remedy, including damages, 
should be pleaded fully and with specificity.
    (b) Pleadings must contain facts which, if true, are sufficient to 
constitute a violation of the Act or Commission order or regulation, or 
a defense to such alleged violation.
    (c) Facts must be supported by relevant documentation or affidavit.
    (d) Legal arguments must be supported by appropriate judicial, 
Commission, or statutory authority.
    (e) Opposing authorities must be distinguished.
    (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 authority furnished in a 
pending complaint proceeding. Information submitted, as well as relevant 
legal authorities, 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 support 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 summarize 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 facsimile transmission number for either the filing party's attorney 
or, where a party is not represented by an attorney, 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]



Sec. 1.721  Format and content of complaints.

    (a) Subject to paragraph (e) of this section governing supplemental 
complaints filed pursuant to Sec. 1.722, and paragraph (f) of this 
section governing Accelerated Docket proceedings, a formal complaint 
shall contain:
    (1) The name of each complainant and defendant;
    (2) The occupation, address and telephone number of each complainant 
and, to the extent known, each defendant;
    (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 alleged 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 requirements of Sec. 1.720(c) and paragraph (a)(11) of 
this section, by relevant affidavits and documentation, including copies 
of relevant written agreements, offers, counter-offers, denials, or 
other related correspondence. The statement of facts shall include a 
detailed explanation of the manner and time period in which a defendant 
has allegedly violated the Act, Commission order, or Commission rule in 
question, including a full identification or description of the 
communications, transmissions, services, or other carrier conduct 
complained of and the nature of any injury allegedly sustained by the 
complainant. Assertions based on information and belief are expressly 
prohibited unless made in good faith and accompanied 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;

[[Page 182]]

    (6) Proposed findings of fact, conclusions of law, and legal 
analysis relevant to the claims and arguments set forth in the 
complaint;
    (7) The relief sought, including recovery of damages and the amount 
of damages claimed, if known;
    (8) Certification that the complainant has, in good faith, discussed 
or attempted 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 
allegations that form the basis of the complaint it anticipated filing 
with the Commission to the defendant carrier or one of the defendant's 
registered agents for service of process that invited a response within 
a reasonable period of time and a brief summary of all additional steps 
taken to resolve 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 complainant believed such steps would be 
fruitless;
    (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 
prospective relief identical to the relief proposed or at issue in a 
notice-and-comment proceeding that is concurrently before the 
Commission;
    (10) An information designation containing:
    (i) The name, address, and position of each individual believed to 
have firsthand knowledge of the facts alleged with particularity in the 
complaint, along with a description of the facts within any such 
individual's knowledge;
    (ii) A description of all documents, data compilations and tangible 
things in the complainant's possession, custody, 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 
disseminated;
    (B) The author, preparer, or other source;
    (C) The recipient(s) or intended recipient(s);
    (D) Its physical location; and
    (E) A description of its relevance to the matters contained in the 
complaint; and
    (iii) A complete description of the manner in which the complainant 
identified all persons with information and designated all documents, 
data compilations and tangible things as being relevant to the dispute, 
including, but not limited to, identifying the individual(s) that 
conducted the information search and the criteria used to identify such 
persons, documents, data compilations, tangible things, and information;
    (11) Copies of all affidavits, documents, 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 arguments made in the complaint;
    (12) A completed Formal Complaint Intake Form;
    (13) A declaration, under penalty of perjury, by the complainant or 
complainant's counsel describing the amount, method, and date of the 
complainant's payment of the filing fee required under Sec. 1.1106 and 
the complainant's 10-digit FCC Registration Number, if any;
    (14) A certificate of service; and
    (15) A FCC Registration Number is required under Part 1, Subpart W. 
Submission of a complaint without the FCC Registration Number as 
required by Part 1, subpart W will result in dismissal of the complaint.
    (b) The following format may be used in cases to which it is 
applicable, with such modifications as the circumstances may render 
necessary:

   Before the Federal Communications Commission, Washington, DC 20554

    In the matter of

________________________________________________________________________
Complainant,

 v.

________________________________________________________________________
Defendant.

File No. (To be inserted by the Enforcement Bureau)

[[Page 183]]

                                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 address, and telephone number 
of each complainant).
    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 
understanding of the matter, including relevant legal and documentary 
support).
    Wherefore, complainant asks (here state specifically the relief 
desired).

________________________________________________________________________
(Date)

________________________________________________________________________
(Name of each complainant)

________________________________________________________________________

(Name, address, and telephone number of attorney, if any)

    (c) Where the complaint is filed pursuant to Sec. 47 U.S.C. Sec. 
271(d)(6)(B), the complainant shall clearly indicate whether or not it 
is willing to waive the ninety-day resolution deadline contained within 
47 U.S.C. 271(d)(6)(B), in accordance with the requirements of Sec. 
1.736.
    (d) The complainant may petition the staff, pursuant to Sec. 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) Supplemental complaints filed 
pursuant to Sec. 1.722 shall conform to the requirements set out in 
this section and Sec. 1.720, except that the requirements in Sec. Sec. 
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 complaints filed pursuant to Sec. 
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 requirements of Sec. 1.720(c) and paragraph 
(a)(11) of this section, by relevant affidavits and other documentation. 
The statement of facts shall include a detailed explanation of the 
matters relied upon, including a full identification or description of 
the communications, transmissions, services, or other matters relevant 
to the calculation of damages and the nature of any injury allegedly 
sustained by the complainant. Assertions based on information and belief 
are expressly prohibited unless made in good faith and accompanied by an 
affidavit explaining the basis for the complainant's belief and why the 
complainant could not reasonably ascertain the facts from the defendant 
or any other source;
    (3) Supplemental complaints filed pursuant to Sec. 1.722 shall 
contain a certification that the complainant has, in good faith, 
discussed or attempted to discuss the possibility of settlement with 
respect to damages for which recovery is sought with each defendant 
prior to the filing of the supplemental complaint. Such certification 
shall include a statement that, no later than 30 days after the release 
of the liability order, the complainant mailed a certified 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 carrier 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 complaint. If no additional steps were taken, such 
certification shall state the reason(s) why the complainant believed 
such steps would be fruitless.
    (f) Complaints on the Accelerated Docket. For the purpose of this 
paragraph (e), the term document also shall include 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 Sec. 1.720(c) and paragraphs (a)(5) and 
(a)(11) of this section that factual assertions be supported by 
affidavit shall not apply to complaints on the Accelerated Docket. 
Nevertheless, allegations of material

[[Page 184]]

fact, whether based on personal knowledge or information and belief, 
that cannot be supported by documentation remain subject to the 
provisions of Sec. 1.52.
    (ii) Complaints on the Accelerated Docket are not required to 
include proposed 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 
negotiations in Sec. 1.730(b), complaints on the Accelerated Docket are 
not required to include a certification that the complainant has 
discussed or attempted to discuss the possibility of settlement with 
each defendant, as required in paragraph (a)(8) of this section.
    (iv) In light of the automatic document production required in Sec. 
1.729(i)(1), complaints on the Accelerated Docket are not required to 
include a description of all relevant documents in the complainant's 
possession, custody or control, as required in paragraph (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 manner in which the complainant identified 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 requirements in addition to those 
requirements generally applicable in formal complaint proceedings:
    (i) As required in Sec. 1.729(i)(1), complaints on the Accelerated 
Docket shall be accompanied, when served on defendants, by copies of 
documents, within the complainant's possession, custody 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 caption 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]



Sec. 1.722  Damages.

    (a) If a complainant wishes to recover damages, the complaint must 
contain a clear and unequivocal request for damages.
    (b) If a complainant wishes a determination 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 
determination of damages would best be made in a proceeding that is 
separate from and subsequent to the proceeding in which the 
determinations of liability and prospective relief are made, the 
Commission may at any time order that the initial proceeding will 
determine only liability and prospective relief, and that a separate, 
subsequent proceeding initiated in accordance with paragraph (e) of this 
section will determine damages.
    (d) If a complainant wishes a determination of damages to be made in 
a proceeding that is separate from and subsequent to the proceeding in 
which the determinations of liability and prospective relief are made, 
the complainant must:
    (1) Comply with paragraph (a) of this section, and
    (2) State clearly and unequivocally that the complainant wishes a 
determination of damages to be made in a proceeding that is separate 
from and subsequent to the proceeding in which the determinations of 
liability and prospective relief will be made.
    (e) If a complainant proceeds pursuant to paragraph (d) of this 
section, or if the Commission invokes its authority under paragraph (c) 
of this section,

[[Page 185]]

the complainant may initiate a separate proceeding to obtain a 
determination of damages by filing a supplemental complaint that 
complies with Sec. 1.721(e) and paragraph (h) of this section within 
sixty days after public notice (as defined in Sec. 1.4(b) of this 
chapter) of a decision that contains a finding of liability on the 
merits of the original complaint.
    (f) If a complainant files a supplemental complaint for damages in 
accordance with paragraph (e) of this section, 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 resolve the separate, 
preceding liability complaint within any applicable complaint resolution 
deadlines contained in the Act.
    (h) In all cases in which recovery of damages is sought, it shall be 
the responsibility of the complainant to include, 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 
recovery is sought, along with an identification of all relevant 
documents and materials 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 possession of the complaining party 
that is necessary to develop a detailed computation of damages;
    (ii) Why such information is unavailable to the complaining party;
    (iii) The factual basis the complainant has for believing that such 
evidence of; damages exists;
    (iv) A detailed outline of the methodology that would be used to 
create a computation of damages with such evidence.
    (i) Where a complainant files a supplemental 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 
designated by the Enforcement Bureau for hearing before, or, if the 
parties agree, submitted for mediation to, a Commission 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 discretion, order the defendant 
either to post a bond for, or deposit into an interest bearing escrow 
account, a sum equal to the amount of damages which the Commission 
finds, upon preliminary investigation, is likely to be ordered 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 consideration of the following factors:
    (i) The complainant's potential irreparable injury in the absence of 
such deposit;
    (ii) The extent to which damages can be accurately calculated;
    (iii) The balance of the hardships between the complainant and the 
defendant; and
    (iv) Whether public interest considerations favor the posting of the 
bond or ordering of the deposit.
    (3) The Commission may, in its discretion, suspend ongoing damages 
proceedings for fourteen days, to provide the parties with a time within 
which to pursue settlement negotiations and/or alternative dispute 
resolution procedures.
    (4) The Commission may, in its discretion, 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 negotiate in good faith to reach an agreement on the exact 
amount of damages pursuant to the Commission-mandated method or formula. 
Within thirty days of the release date of the damages

[[Page 186]]

order, parties shall submit jointly to the Commission either:
    (i) A statement detailing the parties' agreement as to the amount of 
damages;
    (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 negotiations; or
    (iii) A statement detailing the bases for the continuing dispute and 
the reasons why no agreement can be reached.
    (j) Except where otherwise indicated, the rules governing initial 
formal complaint proceedings govern supplemental formal complaint 
proceedings, as well.

[66 FR 16616, Mar. 27, 2001]



Sec. 1.723  Joinder of complainants and causes of action.

    (a) Two or more complainants may join in one complaint if their 
respective causes of action are against the same defendant and concern 
substantially the same facts and alleged violation 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 separately stated and numbered.

[53 FR 11853, Apr. 11, 1988]



Sec. 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 Commission.
    (b) The answer shall advise the complainant and the Commission fully 
and completely of the nature of any defense, and shall respond 
specifically to all material allegations of the complaint. Every effort 
shall be made to narrow the issues in the answer. The defendant shall 
state concisely its defense to each claim asserted, admit or deny the 
averments on which the complainant relies, and state in detail the basis 
for admitting or denying such averment. General denials are prohibited. 
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 defendant could not reasonably 
ascertain the facts from the complainant or any other source. If the 
defendant is without knowledge or information sufficient 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 remainder. The defendant may deny 
the allegations of the complaint as specific denials 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 supplemental complaint filed 
pursuant to Sec. 1.722 are deemed to be admitted when not denied in the 
answer.
    (e) Affirmative defenses to allegations 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 information designation containing:
    (1) The name, address, and position of each individual believed to 
have firsthand 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 
disseminated;
    (ii) The author, preparer, or other source;
    (iii) The recipient(s) or intended recipient(s);
    (iv) Its physical location; and

[[Page 187]]

    (v) A description of its relevance to the matters in dispute.
    (3) A complete description of the manner in which the defendant 
identified all persons with information and designated all documents, 
data compilations and tangible things as being relevant to the dispute, 
including, but not limited to, identifying the individual(s) that 
conducted the information search and the criteria used to identify such 
persons, documents, data compilations, tangible things, and information;
    (g) The answer shall attach copies of all affidavits, documents, 
data compilations and tangible things in the defendant's possession, 
custody, or control, upon which the defendant relies or intends to rely 
to support the facts alleged and legal arguments made in the answer.
    (h) The answer shall contain certification that the defendant has, 
in good faith, discussed or attempted to discuss, the possibility of 
settlement with the complainant prior to the filing of the formal 
complaint. Such certification shall include a brief summary of all steps 
taken to resolve the dispute prior to the filing of the formal 
complaint. If no such steps were taken, such certificate shall state the 
reason(s) why the defendant believed such steps would be fruitless;
    (i) Where the complaint is filed pursuant to 47 U.S.C. 271(d)(6)(B), 
the defendant shall clearly indicate its willingness to waive the 90-day 
resolution deadline contained within 47 U.S.C. 271(d)(6)(B), in 
accordance with the requirements of Sec. 1.736.
    (j) The defendant may petition the staff, pursuant to Sec. 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 
complaint shall answer such complaint in the manner prescribed under 
this section 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 proceedings 
shall comply with the requirements of this section.
    (2) The requirement in Sec. 1.720(c) and paragraph (g) of this 
section that factual assertions be supported by affidavit shall not 
apply to answers in Accelerated Docket proceedings. Nevertheless, 
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 Sec. 1.52.
    (3) Answers on the Accelerated Docket 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 section. Nevertheless, answers on the 
Accelerated 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 
negotiations required in Sec. 1.730(b), answers on the Accelerated 
Docket are not required to include a certification that the defendant 
has discussed, or attempted to discuss, the possibility of settlement 
with the complainant, as required in paragraph (h) of this section.
    (5) As required in Sec. 1.729(i)(1), answers on the Accelerated 
Docket shall be accompanied, when served on complainants, by copies of 
documents, within the defendant's possession, custody or control, that 
are likely to bear significantly on the issues raised in the proceeding. 
Unless otherwise directed, these documents shall not be filed with the 
Commission. In light of this automatic document production requirement, 
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 Docket are not required to provide 
the description, 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 proceedings, the defendant, as required in

[[Page 188]]

Sec. 1.729(i)(1), shall serve, contemporaneously with its answer, the 
complainant(s) with copies of documents, within the defendant's 
possession, custody or control, that are likely to bear significantly on 
the issues raised in the complaint 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]



Sec. 1.725  Cross-complaints and counterclaims.

    Cross-complaints seeking any relief within the jurisdiction of the 
Commission against any carrier that is a party (complainant or 
defendant) to that proceeding are expressly prohibited. Any claim that 
might otherwise meet the requirements of a cross-complaint may be filed 
as a separate complaint in accordance with Sec. Sec. 1.720 through 
1.736. For purposes of this subpart, the term ``cross-complaint'' shall 
include counterclaims.

[63 FR 1037, Jan. 7, 1998]



Sec. 1.726  Replies.

    (a) Subject to paragraph (g) of this section governing Accelerated 
Docket proceedings, within three days after service of an answer 
containing affirmative defenses presented in accordance with the 
requirements of Sec. 1.724(e), a complainant may file and serve a reply 
containing statements of relevant, material facts and legal arguments 
that shall be responsive to only those specific factual allegations and 
legal arguments made by the defendant in support of its affirmative 
defenses. Replies which contain other allegations or arguments will not 
be accepted or considered 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 defense that are not specifically contradicted 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 information designation containing:
    (1) The name, address and position of each individual believed to 
have firsthand 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, custody, or control that are 
relevant to the facts alleged with particularity in the reply. Such 
description shall include for each document:
    (i) The date prepared, mailed, transmitted, or otherwise 
disseminated;
    (ii) The author, preparer, or other source;
    (iii) The recipient(s) or intended recipient(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 
identified all persons with information and designated all documents, 
data compilations and tangible things as being relevant to the dispute, 
including, but not limited to, identifying the individual(s) that 
conducted the information search and the criteria used to identify such 
persons, documents, data compilations, tangible things, and information;
    (e) The reply shall attach copies of all affidavits, documents, 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 arguments made in the reply.
    (f) The complainant may petition the staff, pursuant to Sec. 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 proceedings. 
Complainants in such proceedings may include, in the Sec. 1.733(i)(4) 
pre-status-conference filing, those statements that otherwise would have 
been the subject of a reply.
    (2) In Accelerated Docket proceedings, the failure to reply, in the

[[Page 189]]

pre-status-conference filing, to an affirmative defense shall be deemed 
an admission of such affirmative defense and of any facts supporting 
such affirmative defense that are not specifically contradicted in the 
complaint.
    (3) If a complainant replies to an affirmative defense in its Sec. 
1.733(i)(4), pre-status-conference filing, it shall include in that 
filing the information, required by paragraph (d)(1) of this section, 
identifying individuals with firsthand knowledge of the facts alleged in 
the reply.
    (4) An Accelerated Docket complainant that replies to an affirmative 
defense in its Sec. 1.733(i)(4), pre-status-conference filing also 
shall serve on the defendant, at the same time as that filing, those 
documents in the complainant'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]



Sec. 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 contain proposed findings of fact 
and conclusions of law, with supporting legal analysis, relevant to the 
contents of the pleading. Motions to compel discovery must contain a 
certification by the moving party that a good faith attempt to resolve 
the dispute was made prior to filing the motion. All facts relied upon 
in motions must be supported by documentation or affidavits pursuant to 
the requirements of Sec. 1.720(c), except for those facts of which 
official notice may be taken.
    (c) The moving party shall provide a proposed order for adoption, 
which appropriately 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 Sec. 1.734(d). Where 
appropriate, 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 incorporates the basis therefor, 
including proposed findings of fact and conclusions 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 Sec. 
1.734(d). Where appropriate, the proposed 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 allegations 
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 
motion. Failure to oppose any motion may constitute grounds for granting 
of the motion.
    (f) No reply may be filed to an opposition to a motion.
    (g) Motions seeking an order that the allegations in the complaint 
be made more definite and certain are prohibited.
    (h) Amendments or supplements to complaints to add new claims or 
requests for relief are prohibited. Parties are responsible, however, 
for the continuing accuracy and completeness of all information and 
supporting authority furnished in a pending complaint proceeding as 
required under Sec. 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]



Sec. 1.728  Formal complaints not stating a cause of action; defective 
pleadings.

    (a) Any document purporting to be a formal complaint which does not 
state a cause of action under the Communications Act will be dismissed. 
In such

[[Page 190]]

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 formal complaint proceeding not in 
conformity 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 corrected and that proper 
pleadings be filed with the Commission and served on all parties within 
a prescribed time as a condition to being made a part of the record in 
the proceeding.

[53 FR 11854, Apr. 11, 1988]



Sec. 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 defendant, concurrently with its complaint, a request for up to ten 
written interrogatories. A defendant may file with the Commission and 
serve on a complainant, during the period starting with the service of 
the complaint and ending with the service of its answer, a request for 
up to ten written interrogatories. A complainant may file with the 
Commission and serve on a defendant, within three calendar days of 
service of the defendant's answer, a request for up to five written 
interrogatories. Subparts of any interrogatory will be counted as 
separate interrogatories for purposes of compliance with this limit. 
Requests for interrogatories filed and served pursuant to this procedure 
may be used to seek discovery of any non-privileged matter that is 
relevant to the material facts in dispute in the pending proceeding, 
provided, however, that requests for interrogatories filed and served by 
a complainant after service of the defendant's answer shall be limited 
in scope to specific factual allegations made by the defendant in 
support of its affirmative defenses. This procedure may not be employed 
for the purpose of delay, harassment or obtaining information that is 
beyond the scope of permissible inquiry 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 
dispute and not available from any other source.
    (c) A responding party shall file with the Commission and serve on 
the propounding party any opposition and objections to the requests for 
interrogatories as follows:
    (1) By the defendant, within ten calendar days of service of the 
requests for interrogatories served simultaneously with the complaint 
and within five calendar days of the requests for interrogatories served 
following service 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 calendar days prior to the initial 
status conference as provided for in Sec. 1.733(a).
    (d) Commission staff will consider the requests for interrogatories, 
properly filed and served pursuant to paragraph (a) of this section, 
along with any objections or oppositions thereto, properly filed and 
served pursuant to paragraph (b) of this section, at the initial status 
conference, as provided for in Sec. 1.733(a)(5), and at that time 
determine 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 separately and fully in writing 
under oath or affirmation by the party served, or if such party is a 
public or private corporation or partnership or association, by any 
officer or agent who shall furnish such information as is available to 
the party. The answers shall be signed by the person making them. The 
answers shall be filed with the Commission 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 request may file a motion to compel within ten days of the 
service of such

[[Page 191]]

response, or as otherwise directed by Commission staff, pursuant to the 
requirements of Sec. 1.727.
    (g) The Commission may, in its discretion, require parties to 
provide documents to the Commission in a scanned or other electronic 
format that provides:
    (1) Indexing by useful identifying information 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 additional discovery, including, but 
not limited to, document production, depositions and/or additional 
interrogatories. In its discretion, the Commission may modify the scope, 
means and scheduling of discovery in light of the needs of a particular 
case and the requirements of applicable statutory deadlines.
    (i) Discovery in Accelerated Docket proceedings. (1) Each party to 
an Accelerated Docket proceeding shall serve, with its initial pleading 
and with any reply statements in the pre-status-conference filing (see 
Sec. 1.726(g)(1)), copies of all documents in the possession, custody 
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 influence on, or affect the outcome 
of, a claim or defense;
    (ii) Reflects the relevant knowledge of persons who, if their 
potential testimony 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 
necessary to prepare, evaluate or try a claim or defense; or
    (iv) Would not support the disclosing party's contentions.
    (2) In their Sec. 1.733(i)(4) pre-status-conference filings, 
parties to Accelerated Docket proceedings may request the production of 
additional documents. In their Sec. 1.733(i)(4) filings, parties may 
also seek leave to conduct a reasonable number of depositions, including 
depositions of expert witnesses, if any. When requesting additional 
discovery, each party shall be prepared at the status 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 routinely granted in Accelerated 
Docket proceedings. A party to an Accelerated Docket proceeding that 
prefers interrogatories to the other forms of available discovery, for 
reasons of convenience or expense, may seek leave in its Sec. 
1.733(i)(4) pre-status-conference filing to propound a limited number of 
interrogatories.
    (4) Expert Witnesses.
    (i) Any complainant in an Accelerated Docket proceeding that intends 
to rely on expert testimony for a purpose other than to rebut a 
defendant's expert evidence, shall identify its expert witnesses in the 
information designation required by Sec. 1.721(a)(10)(i). In its Sec. 
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 statement shall include a brief statement of the opinions to be 
expressed by the expert, the basis and reasons therefor and any data or 
other information that the witness considered in forming her opinions.
    (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 Sec. 1.724(f)(1). Such a defendant 
shall provide its expert statement with its Sec. 1.733(i)(4), pre-
status-conference filing.
    (iii) Any complainant in an Accelerated Docket proceeding that 
intends to rely on previously undisclosed expert testimony to rebut any 
portion of the defendant's case shall identify the expert and provide 
the appropriate expert statement at the initial status conference.
    (iv) Expert witnesses shall be subject to deposition in Accelerated 
Docket proceedings under the same rules and limitations applicable to 
fact witnesses.

[63 FR 1038, Jan. 7, 1998, as amended at 63 FR 41447, Aug. 4, 1998]

[[Page 192]]



Sec. 1.730  The Enforcement Bureau's Accelerated Docket.

    (a) Parties to formal complaint proceedings against common carriers 
within the responsibility of the Enforcement Bureau (see Sec. Sec. 
0.111, 0.311, 0.314 of this chapter) may request inclusion on the 
Bureau's Accelerated Docket. As set out in Sec. Sec. 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 Enforcement Bureau.
    (b) Any party that contemplates filing a formal complaint may submit 
a request to the Chief of the Enforcement Bureau's Market Disputes 
Resolution Division, either by phone or in writing, seeking inclusion of 
its complaint, once filed, on the Accelerated Docket. In appropriate 
cases, Commission staff shall schedule and supervise pre-filing 
settlement negotiations between 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 complainant shall file its 
complaint with a letter stating that it has gained admission to the 
Accelerated Docket. When it files its complaint, such a complainant 
shall also serve a copy of its complaint on the Commission staff that 
supervised the pre-filing settlement discussions.
    (c) Within five days of receiving service of a complaint, any 
defendant in a formal complaint proceeding may submit by facsimile or 
hand delivery, to the Chief of the Enforcement Bureau's Market Disputes 
Resolution Division, a request seeking inclusion of its proceeding 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 requirements of Sec. 1.724(k), 
except that the defendant shall not be required to serve with its answer 
the automatic document production required by Sec. Sec. 1.724(k)(7) and 
1.729(i)(1). In proceedings accepted onto the Accelerated Docket at a 
defendant's request, the Commission staff will conduct supervised 
settlement discussions as appropriate. After accepting such a proceeding 
onto the Accelerated Docket, Commission staff will establish a schedule 
for the remainder of the proceeding, including the parties' Sec. 
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 admission of the 
proceeding to the Accelerated 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 
parties to the proceeding by the same mode of transmission. If a pending 
proceeding is accepted onto the Accelerated Docket, Commission staff 
will conduct supervised settlement discussions if appropriate and 
establish a schedule for the remainder of the proceeding, including the 
parties' Sec. 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 consider factors from the 
following, non-exclusive list:
    (1) Whether it appears that the parties to the dispute have 
exhausted the reasonable opportunities for settlement during the staff-
supervised settlement discussions.
    (2) Whether the expedited resolution of a particular dispute or 
category of disputes appears likely to advance competition in the 
telecommunications market.
    (3) Whether the issues in the proceeding appear suited for decision 
under the constraints of the Accelerated 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 complainant bifurcates any damages claims for decision in a 
separate proceeding. See Sec. 1.722(b).
    (4) Whether the complainant states a claim for violation of the Act, 
or Commission rule or order that falls within the Commission's 
jurisdiction.

[[Page 193]]

    (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 Commission staff, within its 
substantial discretion, may deem appropriate and conducive to the prompt 
and fair adjudication of complaint proceedings.
    (f) If it appears at any time that a proceeding on the Accelerated 
Docket is no longer appropriate for such treatment, Commission staff may 
remove the matter from the Accelerated Docket either on its own motion 
or at the request of any party.
    (g) Minitrials.
    (1) In Accelerated Docket proceedings, the Commission may conduct a 
minitrial, or hearing-type proceeding, 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 Commission Administrative Law Judge (``ALJ'') typically 
will preside at the minitrial, administer oaths to witnesses, and time 
the parties' presentation 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 evidence and argument in whatever manner or format it chooses, 
provided, however, that the submission of written 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 exhibits 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 testimony 
will be heard before the beginning of the minitrial.
    (4) No party will be permitted to call as a witness in a minitrial, 
or otherwise offer evidence from, an individual in that party's employ, 
unless the individual appears on the party's information designation 
(see Sec. Sec. 1.721(a)(10)(i) or 1.724(f)(1)) with a general 
description of the issues on which she will offer evidence. No party 
will be permitted to present expert evidence unless the party has 
complied fully with the expert-disclosure requirements of Sec. 
1.729(i)(4). The Commission may permit 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 proposed findings of fact and conclusions of law. These submissions 
shall not exceed 40 pages per party. Within three days after the 
conclusion of the minitrial, parties may submit revised proposed 
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 Commission 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 service requirements in Sec. 1.115(e)(4). In those Accelerated 
Docket proceedings which raise issues that may not be decided 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

[[Page 194]]

Commission. Any party to the proceeding that seeks modification of the 
recommended decision may do so by filing comments challenging the 
decision within 15 days of its release by the Commission's Office of 
Media Relations. (Compare Sec. 1.4(b)(2).) Opposition comments may be 
filed within 15 days of the comments challenging the decision; reply 
comments may be filed 10 days thereafter and shall be limited to issues 
raised in the opposition comments.
    (i) If no party files comments challenging the recommended decision, 
the Commission will issue its decision adopting or modifying the 
recommended decision within 45 days of its release. If parties to the 
proceeding file comments to the recommended decision, the Commission 
will issue its decision adopting or modifying the recommended 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]



Sec. 1.731  Confidentiality of information produced or exchanged by the 
parties.

    (a) Any materials generated in the course of a formal complaint 
proceeding may be designated as proprietary by that party if the party 
believes in good faith that the materials fall within an exemption to 
disclosure contained in the Freedom of Information Act (FOIA), 5 U.S.C. 
552(b) (1) through (9). Any party asserting confidentiality for such 
materials shall so indicate by clearly marking each page, or portion 
thereof, for which a proprietary designation is claimed. If a 
proprietary 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 nondisclosure enunciated in 
the FOIA.
    (b) Materials marked as proprietary may be disclosed solely to the 
following persons, only for use in prosecuting or defending a party to 
the complaint action, and only to the extent necessary to assist in the 
prosecution 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 opposing party who are named by the 
opposing 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 conditions of this section.
    (c) These individuals shall not disclose information designated as 
proprietary to any person who is not authorized under this section to 
receive such information, and shall not use the information 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 notarized statement affirmatively stating that 
the individual has personally reviewed the Commission's rules and 
understands 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 proprietary material and the persons to whom the copies have 
been provided.
    (e) Upon termination of a formal complaint proceeding, including all 
appeals and petitions, all originals and reproductions of any 
proprietary materials, along with the log recording persons who received 
copies of such materials, shall be provided to the producing party. In 
addition, upon final termination of the complaint proceeding, any notes 
or other work product derived in whole or in part from the proprietary 
materials of an opposing or third party shall be destroyed.

[58 FR 25573, Apr. 27, 1993, as amended at 63 FR 1039, Jan. 7, 1998]



Sec. 1.732  Other required written submissions.

    (a) The Commission may, in its discretion, or upon a party's motion 
showing good cause, require the parties to file briefs summarizing the 
facts and

[[Page 195]]

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 submitted in the 
proceeding. Claims and defenses previously made but not reflected 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, 
tangible things, and affidavits upon which such party relies or intends 
to rely to support the facts alleged and legal arguments 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 documents, data compilations or tangible 
things, or affidavits made by persons, that were identified by any party 
in its information designations filed pursuant to Sec. Sec. 
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 explanation of the 
relevance of such materials and why such materials were not identified 
in the information designations. These briefs shall contain the proposed 
findings of fact and conclusions of law which the filing party is urging 
the Commission to adopt, with specific citation to the record, and 
supporting relevant authority and analysis.
    (c) In cases in which discovery is not conducted, absent an order by 
the Commission that briefs be filed, parties may not submit briefs. If 
the Commission does authorize the filing of briefs in cases in which 
discovery is not conducted, briefs shall be filed concurrently by both 
the complainant and defendant at such time as designated by the 
Commission staff and in accordance with the provisions of this section.
    (d) In cases in which discovery is conducted, briefs shall be filed 
concurrently by both the complainant and defendant 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 Sec. 1.731 shall be submitted to 
the Commission in confidence pursuant to the requirements of Sec. 0.459 
of this chapter and clearly marked ``Not for Public Inspection.'' 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. Either 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 
information it deems appropriate for a full, fair, and expeditious 
resolution of the proceeding, including affidavits and exhibits.
    (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 initial status conference, scheduled in accordance with the 
provisions of Sec. 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]



Sec. 1.733  Status conference.

    (a) In any complaint proceeding, the Commission may, in its 
discretion, direct the attorneys and/or the parties to appear before it 
for a status conference. Unless otherwise ordered by the Commission, and 
with the exception of Accelerated Docket proceedings, governed by 
paragraph (i) of this section, an initial status conference shall take 
place, at the time and place designated by the Commission staff, ten 
business days after the date the answer is due to be filed. A status 
conference may include discussion of:
    (1) Simplification or narrowing of the issues;
    (2) The necessity for or desirability of additional pleadings or 
evidentiary submissions;

[[Page 196]]

    (3) Obtaining admissions of fact or stipulations between the parties 
as to any or all of the matters in controversy;
    (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.
    (b)(1) Subject to paragraph (i) of this section governing 
Accelerated Docket proceedings, parties shall meet and confer prior to 
the initial status conference 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) proceeding, 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 request 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 
rulings pertaining to a variety of interlocutory matters relevant to the 
conduct of a formal complaint proceeding including, inter alia, 
procedural matters, discovery, and the submission of briefs or other 
evidentiary materials.
    (e) Parties may make, upon written notice to the Commission and all 
attending parties at least three business days prior to the status 
conference, an audio recording of the Commission staff's summary of its 
oral rulings. Alternatively, 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 
communications are ``on-the-record'' as determined 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, pursuant 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 memorializing the oral rulings 
made during the conference to the Commission by 5:30 pm, Eastern Time, 
on the business day following the date of the status 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 include the rulings on which the parties 
agree, and each party's alternative proposed 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 requirements of Sec. 
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 following the status conference or as otherwise directed by 
Commission staff either:
    (i) A transcript of the audio recording of the Commission staff's 
summary of its oral rulings;

[[Page 197]]

    (ii) A transcript of the audio recording of the oral presentations 
and exchanges between and among the participating parties, insofar as 
such communications are ``on-the-record'' as determined 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 between and among the participating parties, insofar as such 
communications are ``on-the-record'' as determined by the Commission 
staff, and the Commission staff's summary of its oral rulings.
    (g) Status conferences will be scheduled 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 conference, the parties shall 
confer, either in person or by telephone, about:
    (i) Discovery to which they can agree;
    (ii) Facts to which they can stipulate; and
    (iii) Factual and legal issues in dispute.
    (3) Two days before the status conference, parties shall submit to 
Commission 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 conference, 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 complaint proceeding and any additional 
discovery that the party seeks. A complainant that wishes to reply to a 
defendant'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 required in Sec. 
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 Sec. 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]



Sec. 1.734  Specifications as to pleadings, briefs, and other documents; 
subscription.

    (a) All papers filed in any formal complaint proceeding must be 
drawn in conformity with the requirements of Sec. Sec. 1.49 and 1.50.
    (b) All averments of claims or defenses in complaints and answers 
shall be made in numbered paragraphs. The contents of each paragraph 
shall be limited as far as practicable to a statement of a single set of 
circumstances. Each claim founded on a separate transaction or 
occurrence and each affirmative defense shall be separately stated to 
facilitate the clear presentation 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, facsimile 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 belief 
formed after reasonable inquiry, it is well grounded in fact and is 
warranted by existing law or a good faith argument for the extension, 
modification, or reversal of existing law; and that it is not interposed 
solely for purposes of delay or for any other improper purpose.

[[Page 198]]

    (d) All proposed orders shall be submitted both as hard copies and 
on computer disk formatted to be compatible with the Commission's 
computer system and using the Commission's current wordprocessing 
software. Each disk should be submitted in ``read only'' mode. Each disk 
should be clearly labelled with the party's name, proceeding, type of 
pleading, and date of submission. Each disk should be accompanied 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 Commission may waive the 
requirements 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]



Sec. 1.735  Copies; service; separate filings against multiple defendants.

    (a) Complaints may generally be brought against only one named 
carrier; 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, however, be consolidated by the Commission for 
disposition.
    (b) The complainant shall file an original copy of the complaint, 
accompanied by the correct fee, in accordance with part 1, subpart G 
(see Sec. 1.1106) and, on the same day:
    (1) File three copies of the complaint with the Office of the 
Commission Secretary;
    (2) Serve two copies on the Market Disputes Resolution Division, 
Enforcement Bureau;
    (3) If the complaint is filed against a carrier concerning matters 
within the responsibility of the International Bureau (see Sec. 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 Sec. 1.1106), 
and file three copies of the complaint with the Office of the Commission 
Secretary for each additional defendant.
    (c) Generally, a separate file is set up for each defendant. An 
original plus two copies shall be filed of all pleadings and documents, 
other than the complaint, for each file number assigned.
    (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 requirements of 
paragraph (b) of this section.
    (e) Upon receipt of the complaint by the Commission, the Commission 
shall promptly send, by facsimile transmission 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 complaint, 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 
location of the initial status conference.
    (f) All subsequent pleadings and briefs filed in any formal 
complaint proceeding, as well as all letters, documents 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 
delivery, overnight delivery, or by facsimile transmission followed by 
regular U.S. mail delivery, together with a proof of such service in 
accordance with the requirements of Sec. 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 recipient after 5:30 pm, local time of 
the recipient, on a business day will be deemed served on the following 
business day;

[[Page 199]]

    (2) Service by overnight delivery will be deemed served the business 
day following the day it is accepted for overnight delivery by a 
reputable overnight delivery service such as, or comparable to, the US 
Postal Service Express Mail, United Parcel Service or Federal Express; 
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 recipient 
after 5:30 pm, local time of the recipient, on a business day will be 
deemed served on the following business day.
    (g) Supplemental complaint proceedings. Supplemental complaints 
filed pursuant to section 1.722 shall conform to the requirements set 
out in this section, except that the complainant need not submit a 
filing fee, and the complainant may effect service pursuant to paragraph 
(f) of this section 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]



Sec. 1.736  Complaints filed pursuant to 47 U.S.C. 271(d)(6)(B).

    (a) Where a complaint is filed pursuant 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 resolution deadline to the Commission staff at the initial status 
conference, to be held in accordance with Sec. 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 Commission staff subsequent to the initial status 
conference, absent a showing by the complainant and defendant that such 
waiver is in the public interest.

[63 FR 1041, Jan. 7, 1998]

                              Applications



Sec. 1.741  Scope.

    The general rules relating to applications contained in Sec. Sec. 
1.742 through 1.748 apply to all applications filed by carriers except 
those filed by public correspondence radio stations pursuant to parts 
80, 87, and 101 of this chapter, and those filed by common carriers 
pursuant 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 applications filed pursuant to part 25, 
see said part.

[61 FR 26670, May 28, 1996]



Sec. 1.742  Place of filing, fees, and number of copies.

    All applications which do not require a fee shall be filed at the 
Commission's main office in Washington, DC., Attention: Office of the 
Secretary. Hand-delivered applications will be dated by the Secretary 
upon receipt (mailed applications will be dated by the Mail Branch) and 
then forwarded to the Wireline Competition Bureau. All applications 
accompanied by a fee payment should be filed with the Commission's 
lockbox bank in accordance with Sec. 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 accompany 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]

[[Page 200]]



Sec. 1.743  Who may sign applications.

    (a) Except as provided in paragraph (b) of this section, 
applications, amendments 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 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 unincorporated association. Applications, amendments, 
and related statements of fact filed on behalf of eligible government 
entities such as states and territories of the United States, their 
political subdivisions, the District of Columbia, and units of local 
government, including incorporated municipalities, must be signed by a 
duly elected or appointed official who is authorized to do so under the 
laws of the applicable jurisdiction.
    (b) Applications, amendments thereto, and related statements of fact 
required by the Commission may be signed by the applicant's attorney in 
case of the applicant's physical disability or of his absence from the 
United States. The attorney shall in that event separately set forth the 
reason why the application is not signed by the applicant. In addition, 
if any matter is stated on the basis of the attorney'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 conformed.
    (d) 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, U.S. Code, Title 18, 
section 1001, and by appropriate administrative sanctions, including 
revocation of station license pursuant to section 312(a)(1) of the 
Communications Act of 1934, as amended.
    (e) ``Signed,'' as used in this section, means an original hand-
written signature, except that by public notice in the Federal Register 
the Wireline Competition Bureau may allow signature by any symbol 
executed or adopted by the applicant with the intent that such symbol be 
a signature, including 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]



Sec. 1.744  Amendments.

    (a) Any application not designated for hearing may be amended at any 
time by the filing of signed amendments 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 designated 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 parties 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 officer, if 
the application has been designated for hearing) or upon petition of any 
interested person, which petition shall be properly served upon the 
applicant 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]



Sec. 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 judgment of the Commission (or the presiding 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]

[[Page 201]]



Sec. 1.746  Defective applications.

    (a) Applications not in accordance with the applicable rules in this 
chapter may be deemed defective and returned by the Commission without 
acceptance of such applications for filing and consideration. Such 
applications will be accepted for filing and consideration if 
accompanied by petition showing good cause for waiver of the rule with 
which the application does not conform.
    (b) The assignment of a file number, if any, to an application is 
for the administrative convenience of the Commission and does not 
indicate the acceptance of the application for filing and consideration.



Sec. 1.747  Inconsistent or conflicting applications.

    When an application is pending or undecided, no inconsistent or 
conflicting application filed by the same applicant, his successor or 
assignee, or on behalf or for the benefit of said applicant, his 
successor, or assignee, will be considered by the Commission.



Sec. 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 
prejudice. 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 requests for additional 
information in connection with such application.
    (b) After designation for hearing. A request 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 requirements of Sec. 1.221(c);
    (2) Otherwise fails to prosecute his application; or
    (3) Fails to comply or justify noncompliance with Commission 
requests for additional information in connection with such application.

[28 FR 12450, Nov. 22, 1963, as amended at 29 FR 6445, May 16, 1964]



Sec. 1.749  Action on application under delegated authority.

    Certain applications do not require action by the Commission but, 
pursuant to the delegated authority contained in subpart B of part 0 of 
this chapter, may be acted upon by the Chief of the Wireline Competition 
Bureau subject to reconsideration by the Commission.

[67 FR 13223, Mar. 21, 2002]

   Specific Types of Applications Under Title II of Communications Act



Sec. 1.761  Cross reference.

    Specific types of applications under Title III of the Communications 
Act involving public correspondence radio stations are specified in 
parts 23, 80, 87, and 101 of this chapter.

[61 FR 26671, May 28, 1996]



Sec. 1.763  Construction, extension, acquisition 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 extension thereof, or to engage in transmission over or by 
means of such additional or extended line, to furnish temporary or 
emergency service, or to supplement 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 requiring 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 applications 
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

[[Page 202]]

for certificates are filed with the regulatory agencies of the States 
involved.

[28 FR 12450, Nov. 22, 1963, as amended at 64 FR 39939, July 23, 1999]



Sec. 1.764  Discontinuance, reduction, or impairment of service.

    (a) Applications under section 214 of the Communications Act for the 
authority to discontinue, reduce, or impair service to a community or 
part of a community or for the temporary, emergency, or partial 
discontinuance, 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 requiring 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 applications 
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 applications under this section requesting authorizations 
(including certificates) are filed with the Secretary of Defense, the 
Secretary of State (with respect to such applications involving service 
to foreign points) and the Governor of each State involved. Copies of 
all applications under this section requesting authorizations (including 
certificates) 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]



Sec. 1.767  Cable landing licenses.

    (a) Applications for cable landing licenses under 47 U.S.C. 34-39 
and Executive Order No. 10530, dated May 10, 1954, should be filed in 
accordance with the provisions of that Executive Order. You may file 
your application electronically on the Internet through the 
International Bureau Filing System (IBFS) or by paper. For information 
on filing your application through IBFS, see Part 1, Subpart Y and the 
IBFS homepage at http://www.fcc.gov/ibfs. Paper applications should be 
filed in duplicate. Regardless of whether they are filed on paper or 
electronically, these applications must contain:
    (1) The name, address and telephone number(s) of the applicant;
    (2) The Government, State, or Territory under the laws of which each 
corporate or partnership applicant is organized;
    (3) The name, title, post office address, and telephone number of 
the officer and any other contact point, such as legal counsel, to whom 
correspondence 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 description shall include a map showing specific 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 
station. 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 
required by this paragraph, to be filed by the applicant no later than 
ninety (90) days prior to construction. The Commission 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 applicant 
otherwise in writing no later than sixty (60) days after receipt of the 
specific description of the landing points, unless the Commission 
designates 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 respective voting 
interests in the wet link portion of the cable system, and

[[Page 203]]

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 
citizenship of each applicant and information and certifications 
required in Sec. Sec. 63.18(h) through (k), and in Sec. 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.
    (11)(i) If applying for authority to assign 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 transferor/assignor 
and the transferee/assignee. Only the transferee/assignee needs to 
complete paragraphs (a)(8) through (a)(9) of this section. At the 
beginning of the application, the applicant should also include a 
narrative of the means by which the transfer or assignment will take 
place. The application shall also specify, on a segment specific basis, 
the percentage of voting and ownership interests being transferred or 
assigned in the cable system, including in a U.S. cable landing station. 
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 requiring an assignment or 
transfer of control application also requires the filing of a foreign 
carrier affiliation notification pursuant to Sec. 1.768, the applicant 
shall reference in the application the foreign carrier affiliation 
notification and the date of its filing. See Sec. 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 shall notify the Commission no later 
than thirty (30) days after either consummation of the assignment or 
transfer or a decision not to consummate the assignment or transfer. The 
notification may be by letter and shall identify the file numbers under 
which the initial license and the authorization 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 department or establishment of the Government as it 
may require.
    (c) Original files relating to submarine cable landing licenses and 
applications 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 pursuant thereto, with the exception 
of such maps, shall, unless otherwise ordered by the Commission, be open 
to public inspection in the offices of the Commission 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 Department of State, and such files prior to 1930 have 
been transferred to the Executive and Foreign Affairs Branch of the 
General Records Office of the National Archives. Requests for inspection 
of these files should, however, be addressed to the Federal 
Communications Commission, Washington, D.C., 20554; and the Commission 
will obtain such files for a temporary period in order to permit 
inspection at the offices of the Commission.
    (e) A separate application shall be filed with respect to each 
individual cable system for which a license is requested, or for which 
modification or amendment of a previous license is requested. The 
application fee for a non common-carrier cable landing license is 
payment type code BJT. Applicants for common carrier cable landing 
licenses 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

[[Page 204]]

transfer of control of a cable landing license is payment type code CUT. 
See Sec. 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 otherwise 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 relating to communications to which 
the United States is or may hereafter become 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 territories 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 
interest, for reasons of national defense, or for the maintenance and 
improvement of harbors for navigational purposes;
    (3) The licensee shall at all times comply with any requirements of 
United States government authorities regarding the location and 
concealment of the cable facilities, buildings, and apparatus for the 
purpose of protecting 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 Commission pursuant to section 214 of the 
Communications Act, as amended;
    (5)(i) The licensee shall be prohibited from agreeing to accept 
special concessions directly or indirectly from any foreign carrier, 
including any entity that owns or controls a foreign cable landing 
station, where the foreign carrier possesses sufficient market power on 
the foreign end of the route to affect competition adversely in the U.S. 
market, and from agreeing to accept special concessions in the future.
    (ii) For purposes of this section, a special concession is defined 
as an exclusive arrangement involving services, facilities, or functions 
on the foreign 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 
interconnection to the public switched telecommunications network.
    Note to paragraph (g)(5):
    Licensees may rely on the Commission's list of foreign carriers 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 
Commission's list of foreign carriers that do not qualify for the 
presumption that they lack market power is available from the 
International 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 license shall not be 
transferred, assigned, or disposed of, or disposed of indirectly by 
transfer of control of the licensee, unless the Federal Communications 
Commission gives prior consent in writing;
    (7) A pro forma assignee or a person or company that is the subject 
of a pro forma transfer of control of a cable landing license is not 
required to seek

[[Page 205]]

prior approval for the pro forma transaction. A pro forma assignee or 
person or company that is the subject of a pro forma transfer of control 
must notify the Secretary, Federal Communications Commission, 
Washington, DC 20554, with a copy to the Chief, International Bureau, 
Federal Communications Commission, no later than thirty (30) days after 
the assignment or transfer of control is consummated. The notification 
may be in the form of a letter (in duplicate to the Secretary), and it 
must contain a certification that the assignment or transfer of control 
was pro forma, as defined in Sec. 63.24(a) of this chapter, and, 
together with all previous pro forma transactions, does not result in a 
change of the licensee's ultimate control. A single letter may be filed 
for an assignment or transfer of control of more than one license issued 
in the name of a 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 Commission issues a notice to the contrary no later than 
sixty (60) days after receipt of the specific description. See paragraph 
(a)(5) of this section;
    (9) The Commission reserves the right to require the licensee to 
file an environmental assessment should it determine that the landing of 
the cable at the specific locations and construction of necessary cable 
landing stations may significantly affect the environment within the 
meaning of Sec. 1.1307 implementing the National Environmental Policy 
Act of 1969. See Sec. 1.1307(a) and (b). The cable landing license is 
subject to modification by the Commission under its review of any 
environmental assessment or environmental impact statement that it may 
require pursuant to its rules. See also Sec. 1.1306 note 1 and Sec. 
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 
amended, and section 214 of the Communications Act of 1934, as amended, 
47 U.S.C. 214, to impose common carrier regulation 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 requires;
    (11) The licensee, or in the case of multiple licensees, the 
licensees collectively, shall maintain de jure and de facto control of 
the U.S. portion of the cable system, including the cable landing 
stations in the United States, sufficient to comply with the 
requirements of the Commission's rules and any specific conditions of 
the license;
    (12) The licensee shall comply with the requirements of Sec. 1.768;
    (13) The cable landing license is revocable by the Commission after 
due notice and opportunity for hearing pursuant 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 shall notify the Secretary, Federal Commissions 
Commission, Washington, DC 20554, in writing, within thirty (30) days of 
the date the cable is placed into service, of the date the cable was 
placed into service. The cable landing license shall expire twenty-five 
(25) years from the in-service date, unless renewed or extended 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
    (2) All other entities owning or controlling 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

[[Page 206]]

forty-five (45) days after release of the public notice announcing the 
application as acceptable for filing and eligible for streamlined 
processing. If the Commission deems an application seeking streamlined 
processing acceptable for filing but ineligible for streamlined 
processing, or if an applicant does not seek streamlined processing, the 
Commission will issue public notice indicating that the application is 
ineligible for streamlined processing. Within 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 period may be so extended.
    (j) Applications for streamlining. Each applicant seeking to use the 
streamlined grant procedure specified in paragraph (i) of this section 
shall caption its application and any cover letter with ``Application 
for Cable Landing License--Streamlined Processing Requested.'' 
Applications for streamlined processing shall include the information 
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. Coordinator, 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 
Information Systems Agency, Code RGC, 701 S. Courthouse Road, Arlington, 
Va. 22204, and shall certify such service on a service list attached to 
the application 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 Sec. 63.12(c)(l)(i) through (iii) of 
this chapter that any such foreign carrier or affiliated 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 accept and abide 
by the reporting requirements set out in paragraph (l) of this section. 
An application that includes an applicant that is, or is affiliated 
with, a carrier with market power in a cable's non-WTO Member 
destination country is not eligible for streamlining.
    (l) Reporting Requirements Applicable to Licensees Affiliated with a 
Carrier with Market Power in a Cable's WTO Destination Market. Any 
licensee that is, or is affiliated with, a carrier with market power in 
any of the cable's WTO Member destination countries, and that requests 
streamlined processing of an application under paragraphs (j) and (k) of 
this section, must comply with the following requirements:
    (1) File quarterly reports summarizing the provisioning and 
maintenance 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 licensee);
    (ii) For provisioned facilities and services, the volume or quantity 
provisioned, and the time interval between order and delivery; and
    (iii) The number of outages and intervals between fault report and 
facility or service restoration; and
    (2) File quarterly circuit status reports, within ninety (90) days 
from the end of each calendar quarter and in the format set out by the 
Sec. 43.82 of this chapter annual circuit status manual with the 
exception that activated or idle circuits must be reported on a 
facility-by-facility basis and derived circuits need not be specified. 
See Sec. 63.10(c)(5) of this chapter.

[[Page 207]]

    (m) (1) Except as specified in paragraph (m)(2) of this section, 
amendments to pending applications, and applications to modify a 
license, including amendments or applications to add a new applicant or 
licensee, shall be signed by each initial applicant or licensee, 
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 relinquish its interest in a cable 
landing license shall file an application to modify the license. Such 
application must include a demonstration that the applicant is not 
required to be a licensee under paragraph (h) of this section and that 
the remaining licensee(s) will retain 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 license, and must be served on each other licensee of 
the cable system.
    Note to Sec. 1.767: The terms ``affiliated'' and ``foreign 
carrier,'' as used in this section, are defined as in Sec. 63.09 of 
this chapter except that the term ``foreign carrier'' also shall include 
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]



Sec. 1.768  Notification by and prior approval for submarine cable landing 
licensees that are or propose to become affiliated with a foreign carrier.

    Any entity that is licensed by the Commission (``licensee'') to land 
or operate a submarine cable landing in a particular foreign destination 
market that becomes, or seeks to become, affiliated with a foreign 
carrier that is authorized to operate in that market, including an 
entity that owns or controls a cable landing station in that market, 
shall notify the Commission of that affiliation.
    (a) Affiliations requiring prior notification: 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 following types of transactions:
    (1) Acquisition by the licensee, or by any entity that controls the 
licensee, or by any entity that directly or indirectly owns more than 
twenty-five percent (25%) of the capital stock of the licensee, of a 
controlling interest in a foreign carrier that is authorized to operate 
in a market where the cable lands; or
    (2) Acquisition of a direct or indirect interest greater than 
twenty-five percent (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 notification required by this section need not be filed before 
consummation, and may instead by filed pursuant to paragraph (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 Organization (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 application or a declaratory 
ruling proceeding); or
    (ii) The foreign carrier owns no facilities in that destination 
market. For this purpose, a carrier is said to own facilities if it 
holds an ownership, indefeasible-right-of-user, or leasehold interest in 
a cable landing station or in bare capacity in international or domestic 
telecommunications facilities (excluding switches).
    (2) In the event paragraph (b)(1) of this section cannot be 
satisfied, notwithstanding paragraph (a) of this section, the 
notification required by this section need not be filed before 
consummation, and may instead be filed pursuant to paragraph (c) of this 
section, 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:

[[Page 208]]

    (i) The licensee demonstrates that its foreign carrier affiliate 
lacks market power in the cable's destination market pursuant to Sec. 
63.10(a)(3) of this chapter (see Sec. 63.10(a)(3) of this chapter); or
    (ii) The licensee agrees to comply with the reporting requirements 
contained in Sec. 1.767(l) effective upon the acquisition of the 
affiliation. See Sec. 1.767(l).
    (c) Notification after consummation: Any licensee that becomes 
affiliated with a foreign carrier and has not previously notified the 
Commission pursuant 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 indirectly controls, is controlled by, or is 
under direct or indirect common control with the licensee) of a direct 
or indirect interest in a foreign carrier that is greater than twenty-
five percent (25%) but not controlling is subject to paragraph (c) of 
this section but not to paragraph (a) of this section.
    Example 2 to paragraph (c). Notification of an acquisition by a 
licensee of a hundred percent (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 
consummation, pursuant to paragraph (c) of this section, if the licensee 
demonstrates in the post-notification that the foreign carrier lacks 
market power in the cable's destination market or the licensee agrees to 
comply with the reporting requirements contained in Sec. 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 Sec. 1.767 or Sec. 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 Sec. 
1.767(g).
    (e) Contents of notification: The notification shall certify the 
following information:
    (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 provide 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 
Organization;
    (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 Sec. 63.09(g) of this chapter, with each 
foreign carrier named in the notification. See Sec. 63.09(g) of this 
chapter.
    (6) With respect to each foreign carrier named in the notification, 
a statement 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 notification 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 licensee 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 
reporting requirements in paragraph (b)(2)(ii) of this section in the 
notification required by paragraph (c) of this section.
    (f) If the licensee seeks to be excepted from the reporting 
requirements contained in Sec. 1.767(l), the licensee should 
demonstrate that each foreign carrier affiliate named in the 
notification lacks market power pursuant to

[[Page 209]]

Sec. 63.10(a)(3) of this chapter. See Sec. 63.10(a)(3) of this 
chapter.
    (g) Procedure. After the Commission issues a public notice of the 
submissions made under this section, interested parties may file 
comments within fourteen (14) days of the public notice.
    (1) If the Commission deems it necessary at any time before or after 
the deadline for submission of public comments, the Commission may 
impose reporting requirements on the licensee based on the provisions of 
Sec. 1.767(l). See Sec. 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 demonstrate that it continues to serve the public interest 
for it to retain its interest in the cable landing license for that 
segment of the cable that lands in the non-WTO destination market by 
demonstrating either that the foreign carrier lacks market power in that 
destination market pursuant to Sec. 63.10(a)(3) of this chapter or the 
market 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 required showing or is notified that the affiliation may 
otherwise harm the public interest pursuant to the Commission'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 conditions 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 effective 
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 filing. During this period if the information furnished 
is no longer accurate, the licensee shall as promptly as possible, and 
in any event within ten (10) days, unless good cause is shown, file with 
the Secretary in duplicate a corrected notification referencing the FCC 
file numbers under which the original notification was provided.
    (i) A licensee that files a prior notification pursuant to paragraph 
(a) of this section may request confidential treatment of its filing, 
pursuant to Sec. 0.459 of this chapter, for the first twenty (20) days 
after filing. Such a request must be made prominently in a cover letter 
accompanying the filing.
    Note to Sec. 1.768: The terms ``affiliated'' and ``foreign 
carrier,'' as used in this section, are defined as in Sec. 63.09 of 
this chapter except that the term ``foreign carrier'' also shall include 
an entity that owns or controls a cable landing station in a foreign 
market.

[67 FR 1622, Jan. 14, 2002]

                                 Tariffs



Sec. 1.771  Filing.

    Schedules of charges, and classifications, practices, and 
regulations affecting such charges, required under section 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.



Sec. 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]



Sec. 1.773  Petitions for suspension or rejection of new tariff filings.

    (a) Petition--(1) Content. Petitions seeking investigation, 
suspension, or rejection of a new or revised tariff filing or any 
provision thereof shall specify the filing's Federal Communications 
Commission tariff number and carrier transmittal number, the items 
against which protest is made, and the specific reasons why the 
protested tariff filing warrants investigation, suspension, or rejection 
under the

[[Page 210]]

Communications Act. No petition shall include a prayer that it also be 
considered a formal complaint. Any formal complaint shall be filed as a 
separate pleading as provided in Sec. 1.721.
    (i) Petitions seeking investigation, suspension, or rejection of a 
new or revised tariff filing or any provision of such a publication, 
must specify the pertinent Federal Communications Commission tariff 
number and carrier transmittal number; the matters protested; and the 
specific reasons why the tariff warrants investigation, suspension, or 
rejection. When a single petition asks for more than one form of relief, 
it must separately and distinctly plead and support each form of relief. 
However, no petiton may ask that it also be considered a formal 
complaint. Formal complaints must be separately lodged, as provided in 
Sec. 1.721.
    (ii) For purposes of this section, tariff filings by nondominant 
carriers will be considered prima facie lawful, and will not be 
suspended by the Commission unless the petition requesting suspension 
shows:
    (A) That there is a high probability the tariff would be found 
unlawful after investigation;
    (B) That the harm alleged to competition 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 result if the tariff filing is not 
suspended; and
    (D) That the suspension would not otherwise be contrary to the 
public interest.
    (iii) For the purpose of this section, any tariff filing by a local 
exchange carrier filed pursuant to the requirements of Sec. 61.39 will 
be considered prima facie lawful and will not be suspended by the 
Commission unless the petition requesting suspension shows that the cost 
and demand studies or average 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 requesting 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 result if the tariff filing is not 
suspended; and
    (D) That the suspension would not otherwise be contrary to the 
public interest.
    (iv) For the purposes of this section, tariff filings made pursuant 
to Sec. 61.49(b) by carriers subject to price cap regulation will be 
considered prima facie lawful, and will not be suspended by the 
Commission unless the petition shows that the support information 
required in Sec. 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 result if the tariff filing is not 
suspended; and
    (D) That the suspension would not otherwise be contrary to the 
public interest.
    (v) For the purposes of this section, any tariff filing by a price 
cap LEC filed pursuant to the requirements of Sec. 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 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 result if the tariff filing is not 
suspended; and
    (D) That the suspension would not otherwise be contrary to the 
public interest.
    (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

[[Page 211]]

within the time limits provided, a telegraphic 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 section. A copy of any 
such telegraphic request shall be sent simultaneously to the Chief, 
Wireline Competition Bureau, the Chief, Pricing Policy Division, and the 
publishing carrier. Thereafter, the request shall be confirmed by 
petition filed and served in accordance with Sec. 1.773(a)(4).
    (i) Petitions seeking investigation, suspension, or rejection of a 
new or revised 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 revised tariff filing made on less than 15 days notice shall be 
filed and served within 6 days after the date of the tariff filing.
    (iii) Petitions seeking investigation, 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 7 days after the date of the 
tariff filing.
    (iv) Petitions seeking investigation, 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 15 days after the date of the 
tariff filing.
    (v) Petitions seeking investigation, suspension, or rejection of a 
new or revised tariff filing mode on 90 or more days notice shall be 
filed and served within 25 days after the date of the tariff filing.
    (3) Computation of time. Intermediate holidays shall be counted in 
determining 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 Secretary, FCC room TW-
A325, 445 12th Street, SW, Washington, DC 20554; one copy must be 
delivered 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 investigation, 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 on the same day of the facsimile 
transmission. Petitions seeking investigation, 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 accordance 
with the following periods:
    (i) Replies to petitions seeking investigation, 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 petition is filed with the Commission.
    (ii) Replies to petitions seeking investigation, 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 investigation, 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 investigation, 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 investigation, 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 tariff filing have not been filed 
on the same day, the publishing carrier may

[[Page 212]]

file a consolidated reply to all the petitions. The time for filing such 
a consolidated 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 
determining the 3-day filing date for replies to petitions seeking 
investigation, suspension, or rejection of a new or revised tariff 
filing made on less than 15 days notice. Intermediate holidays shall not 
be counted in determining filing dates for replies to petitions seeking 
investigation, suspension, or rejection 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 additional 3 days 
(counting holidays) may be allowed for filing the reply. If the date for 
filing the reply falls on a holiday, 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, FCC room TW-A325, 445 12th Street, SW, 
Washington, DC 20554; one copy must be delivered directly to the 
Commission's copy contractor. Additional separate copies shall be served 
simultaneously upon the Chief, Wireline Competition Bureau, the Chief, 
Pricing Policy Division and the petitioner. Replies to petitions seeking 
investigation, suspension, or rejection of a new or revised tariff made 
on 15 days or less notice shall be served on petitioners personally or 
via facsimile. Replies to petitions seeking investigation, suspension, 
or rejection of a new or revised tariff made on more than 15 days notice 
may be served upon petitioner personally, 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]



Sec. 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 Sec. 
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 relevant thresholds set forth in 
part 69, subpart H, of this chapter.
    (2) The petition must make a separate showing for each MSA for which 
the petitioner seeks pricing flexibility, and for the portion of the 
study area that falls outside any MSA.
    (3) Petitions seeking pricing flexibility for services described in 
Sec. Sec. 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 Sec. 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 Sec. 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 center; and
    (iv)(A) The percentage of the wire centers in the relevant MSA or 
non-MSA area, as described in Sec. 69.707 of this chapter, in which 
competitors have collocated and use transport facilities owned by a 
provider other than the price cap LEC to transport traffic from that 
wire center; or
    (B) The percentage of total base period revenues generated by the 
services at issue in the petition that are attributable to wire centers 
in the relevant MSA or non-MSA area, as described in Sec. 69.707 of 
this chapter, in which competitors have collocated and use transport 
facilities owned by a provider other than the price cap LEC to transport 
traffic from that wire center.
    (4) Petitions seeking pricing flexibility for services described in 
Sec. 69.713(a) of this chapter must make a showing sufficient to meet 
the relevant requirements of Sec. 69.713 of this chapter.

[[Page 213]]

    (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 Sec. 0.459 of this chapter.
    (c) Oppositions. Any interested party may file comments or 
oppositions to a petition for pricing flexibility. Comments and 
oppositions shall be filed no later than 15 days after the petition is 
filed. Time shall be computed pursuant to Sec. 1.4.
    (d) Replies. The petitioner may file a reply to any oppositions 
filed in response to its petition for pricing flexibility. Replies shall 
be filed no later than 10 days after comments are filed. Time shall be 
computed pursuant to Sec. 1.4.
    (e) Copies, service. (1)(i) Any price cap LEC filing a petition for 
pricing flexibility must submit its petition pursuant to the 
Commission's Electronic Tariff Filing System (ETFS), following the 
procedures set forth in Sec. 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 section, the information it provides about that party in its 
petition, even if the price cap LEC requests that the information 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, revealing only that information to the party that relates to the 
party.
    (C) The price cap LEC must provide to the Commission copies of the 
information it provides to such parties.
    (2)(i) Interested parties filing oppositions or comments in response 
to a petition for pricing flexibility may file those comments through 
ETFS.
    (ii) Any interested party electing to file an opposition or comment 
in response 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, FCC, 445 12th 
Street, SW, Washington, DC, 20554; one copy must be delivered directly 
to the Commission's copy contractor. Additional, separate copies shall 
be served upon the Chief, Wireline Competition Bureau and the Chief, 
Pricing Policy Division.
    (iii) In addition, oppositions and comments shall be served either 
personally or via facsimile on the petitioner. If an opposition or 
comment is served via facsimile, a copy of the opposition or comment 
must be sent to the petitioner via first class mail on the same day as 
the facsimile transmission.
    (3) Replies shall be filed with the Commission through ETFS. In 
addition, 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 transmission.
    (f) Disposition. (1) A petition for pricing flexibility pertaining 
to special access 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 Sec. 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 Sec. 1.4.

[64 FR 51264, Sept. 22, 1999, as amended at 67 FR 13223, Mar. 21, 2002]

[[Page 214]]

    Contracts, Reports, and Requests Required to be Filed by Carriers



Sec. 1.781  Requests for extension of filing time.

    Requests for extension of time within which to file contracts, 
reports, and requests referred to in Sec. Sec. 1.783 through 1.814 
shall be made in writing and may be granted for good cause shown.

                                Contracts



Sec. 1.783  Filing.

    Copies of carrier contracts, agreements, concessions, licenses, 
authorizations or other arrangements, shall be filed as required by part 
43 of this chapter.

              Financial and Accounting Reports and Requests



Sec. 1.785  Annual financial reports.

    (a) An annual financial report shall be filed by telephone carriers 
and affiliates as required by part 43 of this chapter 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 prescribed by that Commission for filing of equivalent 
information, shall be filed annually with this Commission by each person 
directly or indirectly controlling any communications common carrier in 
accordance with part 43 of this chapter.
    (c) Carriers having separate departments or divisions for carrier 
and noncarrier operations shall file separate supplemental annual 
reports with respect 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]



Sec. 1.786  [Reserved]



Sec. 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.



Sec. 1.788  Reports regarding pensions and benefits.

    Carriers shall file reports regarding pensions and benefits as 
required by part 43 of this chapter.



Sec. 1.789  Reports regarding division of international telegraph 
communication charges.

    Carriers engaging in international telegraph communication shall 
file reports in regard to the division of communication charges as 
required by part 43 of this chapter.



Sec. 1.790  Reports relating to traffic by international carriers.

    Carriers shall file periodic reports regarding international point-
to-point traffic as required by part 43 of this chapter.

[57 FR 8579, Mar. 11, 1992]



Sec. 1.791  Reports and requests to be filed under part 32 of this chapter.

    Reports and requests shall be filed either periodically, upon the 
happening of specified events, or for specific approval by class A and 
class B telephone companies in accordance with and subject to the 
provisions of part 32 of this chapter.

[55 FR 30461, July 26, 1990]



Sec. 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 chapter.

[52 FR 274, Jan. 5, 1987]

                     Services and Facilities Reports



Sec. 1.802  Reports relating to continuing authority to supplement 
facilities or to provide temporary or emergency service.

    Carriers receiving authority under part 63 of this chapter shall 
file quarterly or semiannual reports as required therein.



Sec. 1.803  Reports relating to reduction in temporary experimental service.

    As required in part 63 of this chapter, carriers shall report 
reductions in service which had previously been expanded

[[Page 215]]

on an experimental basis for a temporary period.



Sec. 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 
connection with certain fixed public radio service operations. No form 
is prescribed. A complete description of the contents of these reports 
is contained in part 23 of this chapter.

                          Miscellaneous Reports



Sec. 1.811  Reports regarding amendments to charters, by-laws and 

partnership agreements of carriers engaged in domestic public radio 
services.

    Amendments to such documents shall be reported and filed in 
accordance with part 21 of this chapter.



Sec. 1.814  Reports regarding free service rendered the Government 
for national defense.

    Carriers rendering free service in connection with the national 
defense to any agency of the United States Government shall file reports 
in accordance with part 2 of this chapter.



Sec. 1.815  Reports of annual employment.

    (a) Each common carrier licensee or permittee with 16 or more full 
time employees shall file with the Commission, on or before May 31 of 
each year, on FCC Form 395, an annual employment report.
    (b) A copy of every annual employment report filed by the licensee 
or permittee pursuant to the provisions herein; and copies of all 
exhibits, letters, and other documents filed as part thereof, all 
amendments thereto, all correspondence between the permittee or licensee 
and the Commission pertaining to the reports after they have been filed 
and all documents incorporated herein by reference are open for public 
inspection at the offices of the Commission.
    (c) Cross references--(1) Applicability of cable television EEO 
reporting requirements to MDS and MMDS facilities, see Sec. 21.920 of 
this chapter.
    (2) Applicability of cable television EEO reporting requirements for 
FSS facilities, see Sec. 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]

                       Grants by Random Selection



Sec. 1.821  Scope.

    The provisions of Sec. Sec. 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]



Sec. 1.822  General selection procedures.

    (a) Mutually exclusive applications for permits and licenses in the 
services specified in Sec. 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 substantial and material question 
of fact exists, 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 resolution, 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 Sec. 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

[[Page 216]]

which the applicant relies must be attached. Each exhibit must be 
numbered and must be accompanied by an affidavit from someone who has 
personal knowledge of the facts in the submission 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 inform these parties of 
their opportunity to submit a written rebuttal case within 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 rendered 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]



Sec. 1.824  Random selection procedures for Multichannel Multipoint 

Distribution Service and Multipoint Distribution Service H-Channel 
stations.

    (a) If there are mutually exclusive applications for an initial 
conditional license or license, the Commission may use the random 
selection process to select the conditional licensee or licensee. 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 selection, the Commission shall announce 
the tentative selectee and determine whether the applicant is qualified 
to receive the conditional license or license. If the Commission 
determines that the tentative selectee is qualified, it shall grant the 
application. In the event that the tentative selectee's application is 
denied, a second random selection will be conducted. Petitions for 
Reconsideration, Motions to Stay or Applications for Review may be 
submitted 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 conditional licenses and licenses 
shall be designated for random selection in accordance with Sec. Sec. 
1.1621, 1.1622 (a), (b), (c), (d), and (e), and 1.1623. No preferences 
pursuant to Sec. 1.1622 (b)(2) or (b)(3) shall be granted to any MMDS 
or MDS H-channel applicant whose owners, when aggregated, have an 
ownership interest of more than 50 percent in the media of mass 
communication whose service areas, as set forth at Sec. 1.1622 (e)(1) 
through (e)(7), wholly encompass or are encompassed by the protected 
service area contour, computed in accordance with Sec. 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 consolidated 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 Telecommunications Services Applications and 
                               Proceedings

    Source: 28 FR 12454, Nov. 22, 1963, unless otherwise noted.

                           Scope and Authority



Sec. 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 purpose 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]



Sec. 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]

[[Page 217]]



Sec. 1.903  Authorization required.

    (a) General rule. Stations in the Wireless 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 paragraph (b) of this section.
    (b) Restrictions. The holding of an authorization does not create 
any rights beyond the terms, conditions and period specified in the 
authorization. Authorizations may be granted upon proper application, 
provided that the Commission finds that the applicant is qualified in 
regard to citizenship, character, financial, technical and other 
criteria, and that the public interest, convenience and necessity will 
be served. See Sec. Sec. 301, 308, and 309, 310 of this chapter.
    (c) Subscribers. Authority for subscribers to operate mobile or 
fixed stations in the Wireless Radio Services, except for certain 
stations in the Rural Radiotelephone Service and the Air-Ground 
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, applications from 
subscribers for individual mobile or fixed station authorizations in the 
Wireless Radio Services, except as follows: individual authorizations 
are required to operate general aviation airborne mobile stations in the 
Air-Ground Radiotelephone Service. See Sec. 22.82 of this chapter. 
Individual authorizations are required to operate rural subscriber 
stations in the Rural Radiotelephone Service, except as provided in 
Sec. 22.703 of this chapter. Individual authorizations are required for 
end users of certain Specialized Mobile Radio Systems as provided in 
Sec. 90.655 of this chapter. In addition, certain ships and aircraft 
are required to be individually licensed under Parts 80 and 87 of this 
chapter. See Sec. Sec. 80.13, 87.18 of this chapter.

[63 FR 68921, Dec. 14, 1998]



Sec. 1.907  Definitions.

    Antenna structure. The term antenna structure includes the radiating 
and receiving elements, its supporting structures, towers, and all 
appurtenances mounted thereon.
    Application. A request on a standard form for a station license as 
defined in Sec. 3(b) of the Communications Act, signed in accordance 
with Sec. 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 authorizations.
    Auctionable license. A Wireless Radio Service license identified in 
Sec. 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 
application identified in Sec. 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 Wireless Telecommunications Services.
    Authorized bandwidth. The maximum bandwidth permitted to be used by 
a station as specified in the station license. See Sec. 2.202 of this 
chapter.
    Authorized power. The maximum power a station is permitted to use. 
This power is specified by the Commission in the station's authorization 
or rules.
    Control station. A fixed station, the transmissions of which are 
used to control automatically the emissions or operations 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 supplied 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

[[Page 218]]

safety services or seriously degrades, obstructs, or repeatedly 
interrupts a radio communications service operating in accordance with 
the Radio Regulations.
    Mobile relay station. A fixed transmitter used to facilitate the 
transmission of communications between mobile units.
    Mobile station. A radio communication station capable of being moved 
and which ordinarily does move.
    Non-auctionable license. A Wireless Radio Service license identified 
in Sec. 1.2102 of this part for which competitive bidding is not used 
to select from among mutually exclusive applications.
    Non-auctionable license application. A Wireless Radio Service 
license application for which Sec. 1.2102 of this part precludes 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 Wireless 
Telecommunications Services, as defined in this part.
    Radio station. A separate transmitter or a group of transmitters 
under simultaneous common control, including the accessory equipment 
required for carrying on a radio communications service.
    Receipt date. The date an electronic or paper application is 
received at the appropriate location at the Commission or Mellon Bank. 
Amendments to pending applications may result in the assignment of a new 
receipt date in accordance with Sec. 1.927 of this part.
    Universal Licensing System. The Universal Licensing System (ULS) is 
the consolidated database, application filing system, and processing 
system for all Wireless Radio Services. ULS supports electronic filing 
of all applications and related documents by applicants and licensees in 
the Wireless Radio Services, and provides public access to licensing 
information.
    Wireless Radio Services. All radio services authorized in parts 13, 
20, 22, 24, 26, 27, 74, 80, 87, 90, 95, 97 and 101 of this chapter, 
whether commercial or private in nature.
    Wireless Telecommunications Services. Wireless Radio Services, 
whether fixed or mobile, that meet the definition of 
``telecommunications service'' as defined by 47 U.S.C. 153, as amended, 
and are therefore subject to regulation on a common carrier basis. 
Wireless Telecommunications Services include all radio services 
authorized by parts 20, 22, 24, 26, and 27 of this chapter. In addition, 
Wireless Telecommunications Services include Public Coast Stations 
authorized by part 80 of this chapter, Commercial Mobile Radio Services 
authorized by part 90 of this chapter, and common carrier fixed 
microwave services, Local Television Transmission Service (LTTS), Local 
Multipoint Distribution Service (LMDS), and Digital Electronic Message 
Service (DEMS), authorized by part 101 of this chapter.

[63 FR 68921, Dec. 14, 1998]

                 Application Requirements and Procedures



Sec. 1.911  Station files.

    Applications, notifications, correspondence, electronic filings and 
other material, and copies of authorizations, comprising technical, 
legal, and administrative data relating to each station in the Wireless 
Radio Services are maintained by the Commission in ULS. These files 
constitute the official records for these stations and supersede any 
other records, database or lists from the Commission or other sources.

[63 FR 68922, Dec. 14, 1998]



Sec. 1.913  Application and notification forms; electronic and manual 
filing.

    (a) Application and notification forms. Applicants, licensees, and 
spectrum lessees (see Sec. 1.9003 of subpart X of this part) shall use 
the following forms and associated schedules for all applications and 
notifications:
    (1) FCC Form 601, Application for Authorization in the Wireless 
Radio Services. FCC Form 601 and associated schedules is used to apply 
for initial authorizations, modifications to existing authorizations, 
amendments to pending applications, renewals of station authorizations, 
developmental authorizations, special temporary authority, 
notifications, requests for extension of time, and administrative 
updates.

[[Page 219]]

    (2) FCC Form 602, Wireless Radio Services Ownership Form. FCC Form 
602 is used by applicants and licensees in auctionable services to 
provide and update ownership information as required by Sec. Sec. 
1.919, 1.948, 1.2112, and any other section that requires the submission 
of such information.
    (3) FCC Form 603, Application for Assignment of Authorization or 
Transfer of Control; Notification or Application for Spectrum Leasing 
Arrangement. FCC Form 603 is used by applicants and licensees to apply 
for Commission consent to assignments of existing authorizations, to 
apply for Commission consent to transfer control of entities holding 
authorizations, to notify the Commission of the consummation of 
assignments or transfers, and to request extensions of time for 
consummation of assignments or transfers. It is also used for Commission 
consent to partial assignments of authorization, including partitioning 
and disaggregation. In addition, it is used by licensees and spectrum 
lessees (see Sec. 1.9003 of subpart X of this part) 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 subpart X of this part (see subpart X 
of this part).
    (4) FCC Form 605, Quick-form Application for Authorization for 
Wireless Radio Services. FCC Form 605 is used to apply for Amateur, 
Ship, Aircraft, and General Mobile Radio Service (GMRS) authorizations, 
as well as Commercial Radio Operator Licenses.
    (b) Electronic filing. Except as specified in paragraph (d) of this 
section or elsewhere in this chapter, all applications and other filings 
using FCC Forms 601 through 605 or associated schedules must be filed 
electronically in accordance with the electronic filing instructions 
provided by ULS. For each Wireless Radio Service that is subject to 
mandatory electronic filing, this subparagraph is effective on (1) July 
1, 1999, or (2) 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 applications and notifications 
whenever possible. The files, other than the ASCII table of contents, 
should be in Adobe Acrobat Portable Document Format (PDF) whenever 
possible.
    (2) Any associated documents submitted with an application or 
notification 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. Auctioned license applications, 
as defined in Sec. 1.907 of this part, shall also comply with the 
requirements of subpart Q of this part and the applicable Commission 
orders and public notices issued with respect to each auction for a 
particular service and spectrum.
    (d) Manual filing. (1) ULS Forms 601, 603 and 605 may be filed 
manually or electronically by applicants and licensees 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-certified frequency coordinators;
    (ii) The part 97 Amateur Radio Service, except those filed by 
Volunteer Examination Coordinators;
    (iii) The part 95 General Mobile Radio Service and Personal Radio 
Service (excluding 218-219 MHz service);
    (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 Operators; 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 appropriate filing fee. The 
addresses for filing and the fee amounts for particular applications are 
listed in Subpart G of

[[Page 220]]

this part, and in the appropriate fee filing guide for each service 
available from the Commission's Forms Distribution Center by calling 1-
800-418-FORM (3676).
    (3) Manually filed applications requiring fees as set forth at 
Subpart G, of this part must be filed in accordance with Sec. 0.401(b).
    (4) Manually filed applications that do not require fees must be 
addressed and sent to Federal Communications Commission, 1270 Fairfield 
Road, Gettysburg, Pennsylvania 17325-7245.
    (5) Standard forms may be reproduced and the copies used in 
accordance with the provisions of Sec. 0.409 of this chapter.
    (6) Attachments to manually filed applications 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 document 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. All diskettes 
submitted must be legibly labelled referencing the application and its 
filing date.
    (e) Applications requiring prior coordination. 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 applications may be electronically filed 
via ULS or, if filed manually, must be forwarded to the appropriate 
address with the appropriate filing fee (if applicable) in accordance 
with subparagraph (d). Applications filed by the frequency coordinator 
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 applicant to pass one or more 
examination elements must present the administering Volunteer Examiners 
(VE) with all information required by the rules prior to the 
examination. The VEs may collect the information required by these rules 
in any manner of their choosing, including creating their own forms. 
Upon completion of the examination, the administering VEs will 
immediately grade the test papers and will then issue a certificate for 
successful completion of an amateur radio operator examination (CSCE) if 
the applicant is successful. The VEs will send all necessary information 
regarding a candidate to the Volunteer-Examiner Coordinator (VEC) 
coordinating the examination session. Applications filed with the 
Commission by VECs must be filed electronically via ULS. All other 
applications for amateur service licenses may be submitted manually to 
FCC, 1270 Fairfield Road, Gettysburg, PA 17325-7245, or may be 
electronically filed via ULS. Feeable requests for vanity call signs 
must be filed in accordance with Sec. 0.401 of this chapter or 
electronically filed via ULS.
    (g) Section 337 Requests. Applications to provide public safety 
services submitted 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]

    Effective Date Note: At 68 FR 66276, Nov. 25, 2003, Sec. 1.913 (a) 
introductory text, and paragraph (a)(3) were revised. This amendment 
contains information collection and recordkeeping requirements and will 
not become effective until approval has been given by the Office of 
Management and Budget.



Sec. 1.915  General application requirements.

    (a) General requirement. Except as provided 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 renewals 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

[[Page 221]]

application filed pursuant to Sec. Sec. 1.913 through 1.917 of this 
part.
    (b)(1) Exception for emergency filings. The Commission may grant 
station licenses, or modifications or renewals thereof, without the 
filing of a formal application in the following cases:
    (i) an emergency found by the Commission 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 effort; or
    (iii) an emergency where the Commission finds that it would not be 
feasible 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 
beyond the period of the emergency or war requiring it. The procedures 
to be followed for emergency requests submitted under this subparagraph 
are the same as for seeking special temporary authority under Sec. 
1.931 of this part. After the end of the period of emergency, the party 
must submit its request by filing the appropriate FCC form in accordance 
with paragraph (a) of this section.

[63 FR 68923, Dec. 14, 1998]



Sec. 1.917  Who may sign applications.

    (a) Except as provided in paragraph (b) of this section, 
applications, amendments, 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 
applicant is an individual; (2) by one of the partners if the applicant 
is a partnership; (3) by an officer, director, or duly authorized 
employee, if the applicant 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 amateur radio service club. 
Applications, amendments, and related statements of fact filed on behalf 
of eligible government entities such as states and territories of the 
United States, their political subdivisions, the District of Columbia, 
and units of local government, including unincorporated municipalities, 
must be signed by a duly elected or appointed official who is authorized 
to do so under the laws of the applicable 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 applicant's physical disability or absence from the United 
States, or by applicant's designated vessel master when a temporary 
permit is requested for a vessel. The attorney shall, when applicable, 
separately set forth the reason why the application is not signed by the 
applicant. In addition, if any matter is stated on the basis of the 
attorney's or master's belief only (rather than knowledge), the attorney 
or master shall separately set forth the reasons for believing that such 
statements are true. Only the original of applications, amendments, and 
related statements of fact need be signed.
    (c) 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, 18 U.S.C. 1001, and by 
appropriate administrative sanctions, including revocation 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 signature or, for 
electronically filed applications 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]



Sec. 1.919  Ownership information.

    (a) Applicants or licensees in Wireless Radio Services that are 
subject to the ownership reporting requirements of Sec. 1.2112 shall 
use FCC Form 602 to provide all ownership information required by the 
chapter.
    (b) Any applicant or licensee that is subject to the ownership 
reporting requirements of Sec. 1.2112 shall file an FCC

[[Page 222]]

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 authorization (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 
authorization or transfer of control (FCC Form 603) under the 
Commission's forbearance procedures (see Sec. 1.948(c ) of this part).
    (c) A single FCC Form 602 may be associated 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 application, 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.
    (d) No filing fee is required to submit or update FCC Form 602.
    (e) Applicants or licensees in Wireless Radio Services that are not 
subject to the ownership reporting requirements of Sec. 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 disclose the 
real party (or parties) in interest to the application, including (as 
required) a complete disclosure of the identity and relationship of 
those persons or entities directly or indirectly owning or controlling 
(or both) the applicant or licensee.

[63 FR 68923, Dec. 14, 1998, as amended at 68 FR 42995, July 21, 2003]



Sec. 1.923  Content of applications.

    (a) General. Applications must contain all information requested on 
the applicable form and any additional information required by the rules 
in this chapter and any rules pertaining to the specific service for 
which the application is filed.
    (b) Reference to material on file. Questions 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, exhibits, or other lengthy showings already on file with 
the FCC contain information required in an application, the application 
may incorporate such information by reference, provided that:
    (1) The referenced information has been filed in ULS or, if manually 
filed outside of ULS, the information comprises more than one ``8\1/2\ x 
11'' page.
    (2) The referenced information is current and accurate in all 
material respects; and
    (3) The application states specifically where the referenced 
information can actually be found, including:
    (i) The station call sign or application file number and its 
location if the reference is to station files or previously filed 
applications;
    (ii) The title of the proceeding, the docket number, and any legal 
citations, if the reference is to a docketed proceeding.
    (c) Antenna locations. Applications for stations at fixed locations 
must describe each transmitting antenna site by its geographical 
coordinates and also by its street address, or by reference to a nearby 
landmark. Geographical 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 Administration 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 registration is required. If registration is not required, the 
applicant must provide information in its application sufficient for the 
Commission to verify this fact.
    (e) Environmental concerns. Each applicant is required to indicate 
at the time its application is filed whether or not a Commission grant 
of the application may have a significant environmental effect, as 
defined by Sec. 1.1307 of this chapter. If answered affirmatively, an 
Environmental Assessment, required by Sec. 1.1311 of this chapter, must

[[Page 223]]

be filed with the application and environmental review by the Commission 
must be completed prior to construction.
    (f) International coordination. Channel assignments and/or usage 
under this part are subject to the applicable provisions and 
requirements of treaties and other international agreements between the 
United States government and the governments of Canada and Mexico.
    (g) Quiet zones. Each applicant is required to comply with the 
``Quiet Zone'' rule (see Sec. 1.924).
    (h) Taxpayer Identification Number (TINs). Wireless applicants and 
licensees, including all attributable owners of auctionable licenses as 
defined by Sec. 1.2112 of this part, are required to provide 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 reporting to the Department of the 
Treasury any delinquent amounts arising 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 identification number will be used for 
agency purposes other than debt collection.
    (i) Unless an exception is set forth elsewhere in this chapter, each 
applicant must specify an address where the applicant can receive mail 
delivery by the United States Postal Service. This address will be used 
by the Commission to serve documents or direct correspondence to the 
applicant.

[63 FR 68924, Dec. 14, 1998, as amended at 64 FR 53238, Oct. 1, 1999]



Sec. 1.924  Quiet zones.

    Areas implicated by this paragraph are those in which it is 
necessary to restrict radiation so as to minimize possible impact on the 
operations of radio astronomy or other facilities that are highly 
sensitive to interference. Consent throughout this paragraph means 
written consent from the quiet zone, radio astronomy, research, and 
receiving installation entity. The areas involved and procedures 
required are as follows:
    (a) NRAO, NRRO. The requirements of this paragraph are intended to 
minimize possible interference at the National 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[deg]15[min]0.4[sec] on the north, W 
78[deg]29[min]59.0[sec] on the east, N 37[deg]30[min]0.4[sec] on the 
south, and W 80[deg]29[min]59.2[sec] on the west must notify the 
Director, National Radio Astronomy 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 
coordinates of the antenna location, the antenna 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 paragraph (a)(1) of this 
section may be made prior to, or simultaneously with the application. 
The application must state the date that notification in accordance with 
paragraph (a)(1) of this section was made. After receipt of such 
applications, the FCC will allow a period of 20 days for comments or 
objections in response to the notifications indicated. If an applicant 
submits written consent from the National Radio Astronomy Observatory 
for itself or on behalf of the Naval Radio Research Observatory, the FCC 
will process the application without awaiting the conclusion of the 20-
day period. For services that do not require individual station 
authorization, entities that have obtained written consent from the 
National 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

[[Page 224]]

been made to the National Radio Astronomy Observatory prior to 
application filing, the applicant must also provide 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 application and 
shall comply with the requirements 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 minimize possible interference at the Table Mountain Radio Receiving 
Zone of the Research Laboratories of the Department 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 applications, 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 Commerce seeks 
to ensure that the field strengths of any radiated signals (excluding 
reflected signals) received on this 1800 acre site (in the vicinity of 
coordinates 40[deg]07[min]49.9[sec] North Latitude, 
105[deg]14[min]42.0[sec] West Longitude) resulting from new assignments 
(other than mobile stations) or from the modification or relocation of 
existing facilities do not exceed the values given in the following 
table:

              Field Strength Limits for Table Mountain \1\
------------------------------------------------------------------------
                                                                 Power
                                                      Field       flux
                  Frequency range                    strength   density
                                                      (mV/m)     (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 calculated
  assuming free space characteristic impedance of 376.7[Omega]
  (120[pi][Omega]).

    (2) Advance consultation is recommended, 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, coordination is recommended for:
    (i) Stations located within 2.4 kilometers (1.5 miles) of the Table 
Mountain Radio Receiving Zone;
    (ii) Stations located within 4.8 kilometers (3 miles) transmitting 
with 50 watts or more effective radiated power (ERP) in the primary 
plane of polarization in the azimuthal direction of the Table Mountain 
Radio Receiving Zone;
    (iii) Stations located with 16 kilometers (10 miles) transmitting 
with 1 kW or more ERP in the primary plane of polarization in the 
azimuthal direction of Table Mountain Radio Receiving Zone;
    (iv) Stations located within 80 kilometers (50 miles) transmitting 
with 25 kW or more ERP in the primary plane of polarization in the 
azimuthal direction of Table Mountain Receiving Zone.
    (3) Applicants concerned are urged to communicate with the Radio 
Frequency Management Coordinator, Department of Commerce, NOAA R/OM62, 
325 Broadway, Boulder, CO 80305; telephone 303-497-6548, in advance of 
filing their applications with the Commission.
    (4) The FCC will not screen applications 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 proceedings 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 minimize possible 
interference to FCC monitoring 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 protected field office are advised to give

[[Page 225]]

consideration, prior to filing applications, to the need to avoid 
interfering with the monitoring activities of that office. FCC protected 
field offices are listed in Sec. 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/m\2\ power flux density assuming a free 
space characteristic impedance of 120[pi] [Omega]) in the authorized 
bandwidth at the protected field office may be examined to determine the 
potential for interference with monitoring activities. After 
consideration of the effects of the predicted field strength of the 
proposed station, including the cumulative effects of the signal from 
the proposed station with other ambient radio field strength levels at 
the protected field office, the FCC may add a condition restricting 
radiation toward the protected field office 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 considered. Prospective applicants may communicate 
with: Chief, Enforcement Bureau, Federal Communications Commission, 
Washington, DC 20554.
    (4) Advance consultation is recommended for applicants that have no 
reliable data to indicate whether the field strength or power flux 
density figure indicated would be exceeded by their proposed radio 
facilities. In general, coordination is recommended for:
    (i) Stations located within 2.4 kilometers (1.5 miles) of the 
protected field office;
    (ii) Stations located within 4.8 kilometers (3 miles) with 50 watts 
or more average effective radiated power (ERP) in the primary plane of 
polarization in the azimuthal direction of the protected field offices.
    (iii) Stations located within 16 kilometers (10 miles) with 1 kw or 
more average ERP in the primary plane of polarization in the azimuthal 
direction of the protected field office;
    (iv) Stations located within 80 kilometers (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 proposed station is in the vicinity 
of a protected field office designated as a satellite monitoring 
facility in Sec. 0.121 of this chapter.
    (vi) The FCC will not screen applications 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 interfere with monitoring activities at protected field 
offices.
    (d) Notification to the Arecibo Observatory. The requirements in 
this section are intended to minimize possible interference at the 
Arecibo Observatory in Puerto Rico. Licensees must make reasonable 
efforts to protect the Observatory from interference. Licensees planning 
to construct and operate a new station at a permanent fixed location on 
the islands of Puerto Rico, Desecheo, Mona, Vieques or Culebra in 
services in which individual station licenses 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 Observatory 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 increase the likelihood of causing interference to the operations 
of the Arecibo Observatory must notify the Interference Office, Arecibo 
Observatory, Post Office Box 995, Arecibo, Puerto Rico 00613, in writing 
or electronically (e-mail address: [email protected]), of the technical 
parameters of the planned operation. Carriers may wish to use the 
interference guidelines provided by Cornell University as guidance in 
designing facilities to avoid interference to the Observatory. The 
notification must include identification of the geographical coordinates 
of the antenna location (NAD-83 datum), the antenna height, antenna 
directivity (if any),

[[Page 226]]

proposed channel and FCC Rule Part, type of emission, and effective 
isotropic 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 observatory.
    (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 applicant's planned 
operation. The application must state the date that notification 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 section should be sent at 
least 45 days in advance of the applicant's planned operation. In the 
latter services, the Interference Office must inform the FCC of a 
notification by an applicant within 20 days if the Office plans to file 
comments or objections to the notification. After the FCC receives an 
application from a service applicant or is informed by the Interference 
Office of a notification from a service applicant, the FCC will allow 
the Interference Office a period of 20 days for comments or objections 
in response to the application or notification. If an applicant submits 
written consent from the Interference Office, the FCC will process the 
application without awaiting the conclusion of the 20-day period. For 
services that do not require individual station authorization, entities 
that have obtained written consent from the Interference 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 application filing, the applicant must also 
provide 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 application and shall comply with the requirements of 
paragraph (d) of this section.
    (3) If an objection to any planned service operation is received 
during the 20-day period from the Interference Office, 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 interference to Government Satellite Earth Stations located in 
the Denver, Colorado and Washington, DC areas, any application for a new 
station license to operate in the 17.8-19.7 GHz band (except for low 
power operations governed by Sec. 101.147(r)(10) of this chapter), or 
for modification of an existing station license in this band which would 
change the frequency, power, emission, modulation, polarization, antenna 
height or directivity, or location of such a station, must be 
coordinated with the Federal Government by the Commission before an 
authorization will be issued, if the station or proposed station is 
located in whole or in part within any of the areas defined by the 
following rectangles or circles:

                             Denver, CO Area

Rectangle 1:
    41[deg]30[min]00[sec] N. Lat. on the north
    103[deg]10[min]00[sec] W. Long. on the east
    38[deg]30[min]00[sec] N. Lat. on the south
    106[deg]30[min]00[sec] W. Long. on the west
Rectangle 2:
    38[deg]30[min]00[sec] N. Lat. on the north
    105[deg]00[min]00[sec] W. Long. on the east
    37[deg]30[min]00[sec] N. Lat. on the south
    105[deg]50[min]00[sec] W. Long. on the west
Rectangle 3:
    40[deg]08[min]00[sec] N. Lat. on the north
    107[deg]00[min]00[sec] W. Long. on the east
    39[deg]56[min]00[sec] N. Lat. on the south
    07[deg]15[min]00[sec] W. Long. on the west

                           Washington, DC Area

Rectangle
    38[deg]40[min]00[sec] N. Lat. on the north
    78[deg]50[min]00[sec] W. Long. on the east
    38[deg]10[min]00[sec] N. Lat. on the south
    79[deg]20[min]00[sec] W. Long. on the west; or

    (2) Within a radius of 178 km of 38[deg]48[min]00[sec] N. Lat./
76[deg]52[min]00[sec] W. Long.
    (3) In addition, no application seeking authority to operate in the 
17.8-19.7

[[Page 227]]

GHz band will be accepted for filing if the proposed station is located 
within 20 km (or within 55 km if the application is for an outdoor low 
power operation pursuant to Sec. 101.147(r)(10) of this chapter) of the 
following coordinated:

Denver, CO area: 39[deg]43[min]00[sec] N. Lat./104[deg]46[min]00[sec] W. 
          Long.
Washington, DC area: 38[deg]48[min]00[sec] N. Lat./76[deg]52[min]00[sec] 
          W. Long.

    (f) 420-450 MHz band. (1) In the band 420-450 MHz, applicants should 
not expect to be accommodated if their area of service is within 160 
kilometers (100 miles) of the following locations:
    (i) 41[deg]45[min]00.2[sec] N, 70[deg]30[min]58.3[sec] W.,
    (ii) 64[deg]17[min]00.0[sec] N., 149[deg]10[min]00.0[sec] W.,

    Note to: Paragraph(f)(ii) is referenced to NAD27.

    (iii) 48[deg]43[min]00.0[sec] N., 97[deg]54[min]01.4[sec] W.;
    (2) Within 200 kilometers (124 miles) of the following locations:
    (i) 32[deg]38[min]00.5[sec] N., 83[deg]34[min]59.7[sec] W.,
    (ii) 31[deg]25[min]00.6[sec] N., 100[deg]24[min]01.3[sec] W.;
    (3) Within 240 kilometers (150 miles) of the following location:
    (i) 39[deg]07[min]59.6[sec] N., 121[deg]26[min]03.9[sec] W.;
    (ii) [Reserved]
    (4) Within 320 kilometers (200 miles) of the following locations:
    (i) 28[deg]21[min]01.0[sec] N., 80[deg]42[min]59.2[sec] W.,
    (ii) 30[deg]30[min]00.7[sec] N., 86[deg]29[min]59.8[sec] W.,
    (iii) 34[deg]08[min]59.6[sec] N, 119[deg]11[min]03.8[sec] W;
    (5) Or in the following locations:
    (i) The state of Arizona,
    (ii) The state of Florida,
    (iii) Portions of California and Nevada south of 37[deg]10[min] N.,
    (iv) And portions of Texas and New Mexico bounded by 31[deg]45[min] 
N., 34[deg]30[min] N., 104[deg]00[min] W., and 107[deg]30[min] 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 37E56[min]47[sec] N, 
75E27[min]37[sec] W (Wallops Island) or 64E58[min]36[sec] N, 
147E31[min]03[sec] W (Fairbanks) or within the area bounded by a circle 
with a radius of 65 kilometers (40.4 miles) that is centered on 
39E00[min]02[sec] N, 76E50[min]31[sec] 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 
technical parameters of the earth stations and the point-of-contact for 
the notification. The notification shall include the following 
information: requested frequency, geographical coordinates of the 
antenna location, antenna height above mean sea level, antenna 
directivity, 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 Fairbanks sites at all times.
    (ii) Greenbelt. Licensees are required to protect the Greenbelt site 
only when it is active. Licensees should coordinate 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 paragraph (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 objections 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 appropriate.

    Note to Sec. 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]



Sec. 1.925  Waivers.

    (a) Waiver requests generally. The Commission may waive specific 
requirements of the rules on its own motion or upon request. The fees 
for such

[[Page 228]]

waiver requests are set forth in Sec. 1.1102 of this part.
    (b) Procedure and format for filing waiver requests. (1) Requests 
for waiver of rules associated with licenses or applications in the 
Wireless Radio Services 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 request 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 factual circumstances of the 
instant case, application of the rule(s) would be inequitable, unduly 
burdensome or contrary to the public interest, or the applicant has no 
reasonable alternative.
    (4) Applicants requiring expedited processing of their request for 
waiver shall clearly caption their request for waiver with the words 
``WAIVER--EXPEDITED 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. Applications rendered defective may be 
dismissed without prejudice.

[63 FR 68926, Dec. 14, 1998]



Sec. 1.926  Application processing; initial procedures.

    Applications are assigned file numbers and service codes in order to 
facilitate processing. Assignment of a file number to an application is 
for administrative convenience and does not constitute a determination 
that the application is acceptable for filing. Purpose and service codes 
appear on the Commission forms.

[63 FR 68927, Dec. 14, 1998]



Sec. 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 applications that are applied for 
under Part 101 or that resolve mutual exclusivity may be filed at any 
time, subject to the requirements of Sec. 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 regarding that same station.
    (e) Amendments to applications designated for hearing may be allowed 
by the presiding officer or, when a proceeding is stayed or otherwise 
pending before the full Commission, may be allowed by the Commission for 
good cause shown. In such instances, a written 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 chapter.
    (g) Where an amendment to an application specifies a substantial 
change in beneficial ownership or control (de jure or de facto) of an 
applicant, the applicant must provide an exhibit with the amendment 
application containing an affirmative, factual showing as set forth in 
Sec. 1.948(h)(2).
    (h) Where an amendment to an application constitutes a major change, 
as defined in Sec. 1.929, the amendment shall be treated as a new 
application for determination of filing date, public notice, and 
petition to deny purposes.
    (i) If a petition to deny or other informal objection has been 
filed, a copy of any amendment (or other filing)

[[Page 229]]

must be served on the petitioner. If the FCC has issued a public notice 
stating that the application appears to be mutually exclusive with 
another application (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]



Sec. 1.928  Frequency coordination, Canada.

    (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 information and engineering 
comments on proposed assignments along the Canada-United States borders 
in certain bands above 30 MHz. Except as provided in paragraph (b) of 
this section, this arrangement involves assignments in the following 
frequency bands.

                                   MHz

30.56-32.00
33.00-34.00
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 accordance with the railroad industry 
radio frequency allotment plan along the United States-Canada borders 
utilized by the Federal Communications Commission and the Department of 
Transport, respectively, may be excepted from this arrangement at the 
discretion of the referring agency.
    (d) Assignments proposed in any radio service in frequency bands 
below 470 MHz appropriate to this arrangement, 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 
technically to the original assignment to preclude harmful interference 
to existing 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., running 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 southernmost 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 intersection with meridian 82 deg. 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; and
    Line B--Begins at Tofino, B.C., running by great circle arc to the 
intersection of 50 deg.

[[Page 230]]

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[min] W., thence by great circle arc through the 
northernmost point of Drummondville, Quebec (lat: 45 deg. 52[min] N., 
long: 72 deg. 30[min] W.), thence by great circle arc to 48 deg. 30[min] 
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 terminates.
    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 include 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[min] N., 
139 deg. W., (Burwash Landing), thence by great circle arc to the 
intersection of 60 deg. 45[min] 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 
intersection 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 between 470 MHz and 1000 MHz; and 
for any station of a terrestrial service 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 borders, 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 receiving 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 arrangements. Such proposed assignments are subject to the 
regulatory provisions of the International Radio Regulations.
    (h) Assignments proposed in the frequency band 806-890 MHz shall be 
in accordance with the Canada-United States agreement, dated April 7, 
1982.

[64 FR 53238, Oct. 1, 1999]



Sec. 1.929  Classification of filings as major or minor.

    Applications and amendments to applications for stations in the 
wireless radio services are classified as major or minor ( see Sec. 
1.947). Categories of major and minor filings are listed in Sec. 309 of 
the Communications Act of 1934.
    (a) For all stations in all Wireless Radio Services, whether 
licensed geographically or on a site-specific basis, the following 
actions are classified as major:
    (1) Application for initial authorization;
    (2) Any substantial change in ownership or control, including 
requests for partitioning and disaggregation;
    (3) Application for renewal of authorization;
    (4) Application or amendment requesting authorization for a facility 
that would have a significant environmental effect, as defined by 
Sec. Sec. 1.1301 through 1.1319 of the rules;
    (5) Application or amendment requiring frequency coordination 
pursuant to the Commission's rules or international treaty or agreement;
    (6) Application or amendment requesting to add a frequency or 
frequency block for which the applicant is not currently authorized, 
excluding removing a frequency.
    (b) In the Cellular Radiotelephone Service:
    (1) Request an authorization or an amendment to a pending 
application that would expand the cellular geographic service area 
(COSA) of an existing cellular system or, in the case of an amendment, 
as previously proposed in an application, except during the applicable 
five-year build-out period, if any;
    (2) Request that a CGSA boundary or portion of a CGSA boundary be 
determined using an alternative method; or,
    (3) Request an authorization for facilities 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 subparagraph (a) above, 
the following are major changes applicable to

[[Page 231]]

stations licensed to provide base-to-mobile, mobile-to-base, mobile-to-
mobile 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 existing composite 
interference contour.
    (2) In the 900 MHz SMR and 220 MHz Service, any change that would 
increase or expand the applicant's service 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, repeater, central 
office, rural subscriber, or inter-office station) that would increase 
the effective radiated power, antenna height above average terrain in 
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 modification of channel pairs;
    (ii) Change in the type of emission;
    (iii) Change in effective radiated power from that authorized or, 
for GMRS systems licensed to non-individuals, 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, control, or, for systems operating on non-exclusive assignments 
in GMRS or the 470-512 MHz, 800 MHz or 900 MHz bands, a change in the 
number 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 station, 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 following, in addition to those filings listed in paragraph 
(a) of this section, are major actions that apply to stations licensed 
to provide fixed point-to-point, point-to-multipoint, or multipoint-to-
point, communications on a site-specific basis, or fixed or mobile 
communications on an area-specific basis under part 101 of this chapter:
    (i) Any change in transmit antenna location by more than 5 seconds 
in latitude 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 operation;
    (ii) Any increase in frequency tolerance;
    (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 antenna height (above mean sea level) 
more than 3 meters, except as specified in paragraph (d)(3) of this 
section;
    (vii) Any increase in transmit antenna beamwidth, except as 
specified in paragraph (d)(3) of this section;
    (viii) Any change in transmit antenna 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 
amendments since the last major modification or amendment produces a 
cumulative effect exceeding any of the above major criteria.
    (2) Changes to transmit antenna location of Multiple Address System 
(MAS) Remote Units and Digital Electronic Message Service (DEMS) User 
Units are not major.
    (3) Changes in accordance with paragraphs (d)(1)(vi), (d)(1)(vii) 
and (d)(1)(ix)

[[Page 232]]

of this section are not major for the following:
    (i) Fixed Two-Way MAS on the remote 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 Sec. 1.929:
    For the systems and path types described in paragraph (d)(3) of this 
section, the data provided 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 following are major actions that apply to stations licensed 
to provide service in the Air-ground Radiotelephone Service:
    (1) Request an authorization to relocate 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 Sec. 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 frequencies 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 bandwidth.
    (g) In addition to those changes listed in paragraph (a), any change 
requiring international coordination in the Maritime Public Coast VHF 
(CMRS) Service is major.
    (h) In addition to those changes listed in paragraph (a) of this 
section, the following are major changes that apply to ship stations:
    (1) Any request for additional equipment;
    (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 following 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 following 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 Sec. 1.947(b). This includes but is not limited 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 license, except a PLMRS license 
under part 90, or a license under part 101, where the licensee's 
interference contours are not extended and co-channel separation 
criteria are met, except those modifications defined in paragraph (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]

[[Page 233]]



Sec. 1.931  Application for special temporary authority.

    (a) Wireless Telecommunications Services. (1) In circumstances 
requiring immediate or temporary use of station in the Wireless 
Telecommunications Services, carriers may request special temporary 
authority (STA) to operate new or modified equipment. Such requests 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 Commission at least 10 days prior to the 
date of proposed operation or, where an extension 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 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 authorization of the 
subject operation;
    (ii) The STA is to be valid for 60 days or less, pending the filing 
of an application for regular authorization of the subject operation;
    (iii) The STA is to allow interim operation to facilitate completion 
of authorized construction or to provide substantially the same service 
as previously authorized; or
    (iv) The STA is made upon a finding that there are extraordinary 
circumstances requiring operation in the public interest and that delay 
in the institution of such service would seriously prejudice the public 
interest.
    (3) Limit on STA term. The Commission 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 
extraordinary circumstances warrant such an extension.
    (b) Private Wireless Services. (1) A licensee 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 Sec. Sec. 1.962(b)(5) and (f). 
Where the applicant, seeking a waiver of the 180 day limit, requests STA 
to operate as a private mobile radio service provider for a period 
exceeding 180 days, evidence of frequency coordination is required. 
Requests for shorter periods do not require coordination and, if 
granted, will be authorized on a secondary, non-interference basis.
    (2) STA may be granted in the following circumstances:
    (i) In emergency situations;
    (ii) To permit restoration or relocation of existing facilities to 
continue communication service;
    (iii) To conduct tests to determine necessary data for the 
preparation of an application for regular authorization;
    (iv) For a temporary, non-recurring service where a regular 
authorization is not appropriate;
    (v) In other situations involving circumstances which are of such 
extraordinary nature that delay in the institution of temporary 
operation would seriously 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. Applications filed less than 10 days prior to 
the proposed operation date will be accepted only upon a showing of good 
cause.
    (4) The Commission may grant extensions of STA for a period of 180 
days, but the applicant must show that extraordinary circumstances 
warrant such an extension.

[[Page 234]]

    (5) In special situations defined in Sec. 1.915(b)(1), a request 
for STA may be made by telephone or telegraph provided 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 Commission for a period of 90 days under temporary 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 properly submitted to the 
administering VEs an application document for an operator license of a 
higher class, and who holds a CSCE indicating that he/she has completed 
the necessary examinations within the previous 365 days, is authorized 
to exercise the rights and privileges of the higher operator class until 
final disposition of the application or until 365 days following the 
passing of the examination, whichever comes first.
    (8) An applicant for a Ship Radio station license may operate the 
radio station pending issuance of the ship station authorization by the 
Commission for a period of 90 days, under a temporary 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 defined in Part 20 of this chapter) utilizing an 
already authorized facility may operate the station for a period of 180 
days, under a temporary permit, evidenced by a properly executed 
certification made on FCC Form 601, after filing an application for a 
station license together with evidence of frequency coordination, if 
required, with the Commission. The temporary operation of stations, 
other than mobile stations, within the Canadian coordination zone will 
be limited to stations with a maximum of 5 watts effective radiated 
power and a maximum antenna 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 mobile radio service as defined in part 20 of this chapter) 
to utilize an already existing Specialized Mobile Radio System (SMR) 
facility or to utilize an already licensed transmitter may operate 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 application for station license, 
provided that the antenna employed by the control station is a maximum 
of 20 feet (6.1 meters) above a man-made structure (other than an 
antenna tower) to which it is affixed.
    (11) An applicant for an itinerant station license, an applicant for 
a new private 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 
application for a period of up to 180 days under a conditional permit. 
Conditional operations may commence upon the filing of a properly 
completed application that complies with Sec. 90.127 if the 
application, when frequency coordination is required, is accompanied by 
evidence of frequency coordination in accordance with Sec. 90.175 of 
this chapter. Operation under such a permit is evidenced by the properly 
executed Form 601 with certifications that satisfy the requirements of 
Sec. 90.159(b).
    (12) An applicant for a General Mobile Radio Service system license, 
sharing a multiple-licensed or cooperative shared base station used as a 
mobile relay station, may operate the system 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]

[[Page 235]]



Sec. 1.933  Public notices.

    (a) Generally. Periodically, the Commission issues Public Notices in 
the Wireless Radio Services listing information of public significance. 
Categories of Public Notice listings are as follows:
    (1) Accepted for filing. Acceptance for filing of applications and 
major amendments thereto.
    (2) Actions. Commission actions on pending applications previously 
listed as accepted for filing.
    (3) Environmental considerations. Special 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 pleadings.
    (b) Accepted for filing public notices. The Commission will issue at 
regular intervals public notices listing applications that have been 
received by the Commission in a condition acceptable for filing, or 
which have been returned to an applicant for correction. Any application 
that has been listed in a public notice as acceptable for filing and is 
(1) subject to a major amendment, or (2) has been returned as defective 
or incomplete and resubmitted to the Commission, shall be listed in a 
subsequent public notice. Acceptance for filing shall not preclude the 
subsequent dismissal of an application as defective.
    (c) Public notice prior to grant. Applications for authorizations, 
major modifications, major amendments to applications, and substantial 
assignment or transfer applications for the following categories of 
stations and services shall be placed on Public Notice as accepted for 
filing prior to grant:
    (1) Wireless Telecommunications Services.
    (2) Industrial radiopositioning stations for which frequencies are 
assigned 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.
    (d) No public notice prior to grant. The following types of 
applications, notices, and other filings need not be placed on Public 
Notice as accepted for filing prior to grant:
    (1) Applications or notifications concerning minor modifications to 
authorizations or minor amendments to applications.
    (2) Applications or notifications concerning non-substantial (pro 
forma) assignments and transfers.
    (3) Consent to an involuntary assignment 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 facilities.
    (6) Requests for special temporary authorization not to exceed 30 
days where the applicant does not contemplate 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 authorizations under section 308(a) of 
the Communications Act.
    (8) Any application for temporary authorization under section 
101.31(a) of this chapter.
    (9) Any application for authorization in the Private Wireless 
Services.

[63 FR 68929, Dec. 14, 1998]



Sec. 1.934  Defective applications and dismissal.

    (a) Dismissal of applications. The Commission may dismiss any 
application in the Wireless Radio Services at the request of the 
applicant; if the application is mutually exclusive with another 
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 available; or if the 
application is untimely filed. Such dismissal may be ``without 
prejudice,'' meaning that the Commission may accept from the applicant 
another application for the same purpose at a later time, provided that 
the application is otherwise timely. Dismissal ``with prejudice'' means 
that the Commission will not accept another application from the 
applicant for the same purpose for a period of one year. Unless

[[Page 236]]

otherwise provided in this part, a dismissed application will not be 
returned to the applicant.
    (1) Dismissal at request of applicant. Any applicant may request 
that its application be withdrawn or dismissed. A request for the 
withdrawal of an application after it has been listed on Public Notice 
as tentatively accepted for filing 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 application with prejudice.
    (ii) If the applicant requests dismissal of its application without 
prejudice, the Commission will dismiss that application without 
prejudice, unless:
    (A) It has been designated for comparative hearing; or
    (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 application, the Commission will dismiss that application with 
prejudice. The applicant will also be subject to default payments under 
Subpart Q of this part.
    (3) An applicant who requests dismissal of its application after 
that application has been designated for comparative 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 dismiss the 
application with prejudice.
    (b) Dismissal of mutually exclusive applications not granted. The 
Commission may dismiss mutually exclusive applications:
    (1) For which the applicant did not submit the winning bid in a 
competitive bidding process; or
    (2) That receive comparative consideration in a hearing but are not 
granted by order of the presiding officer.
    (c) Dismissal for failure to prosecute. The Commission may dismiss 
applications for failure of the applicant to prosecute or for failure of 
the applicant to respond substantially within a specified time period to 
official correspondence or requests for additional information. Such 
dismissal will generally be without prejudice if the failure to 
prosecute or respond occurred prior to designation of the application 
for comparative hearing, but may be with prejudice in cases of non-
compliance with Sec. 1.945 of this part. Dismissal will generally be 
with prejudice if the failure to prosecute or respond occurred after 
designation of the application for comparative 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 Commission may dismiss without 
prejudice an application that it finds to be defective. An application 
is defective if:
    (1) It is unsigned or incomplete with respect to required answers to 
questions, 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.
    (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 another 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 
facility with foreign administrations under applicable international 
agreements, and an unfavorable response (harmful interference 
anticipated) has been received.
    (f) Dismissal as untimely. The Commission may dismiss without 
prejudice applications that are premature or late

[[Page 237]]

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]



Sec. 1.935  Agreements to dismiss applications, 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 requesting dismissal of 
the application(s), specific frequencies on the application or an 
amendment thereto, must obtain the approval of the Commission. 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 refrain from filing, the petition, 
either unilaterally or in exchange for a financial consideration, must 
obtain the approval of the Commission.
    (a) The party withdrawing or requesting dismissal of its application 
(or specific frequencies on the application), petition to deny, informal 
objection 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 affidavit setting forth:
    (1) A certification that neither the party nor its principals has 
received or will receive any money or other consideration in excess of 
the legitimate and prudent expenses incurred in preparing and 
prosecuting the application, petition to deny, informal objection or 
other pleading in exchange for the withdrawal or dismissal of the 
application, petition to deny, informal objection or other pleading, or 
threat to file a pleading, except that this provision does not apply to 
dismissal or withdrawal of applications pursuant to bona fide merger 
agreements;
    (2) The exact nature and amount of any consideration received or 
promised;
    (3) An itemized accounting of the expenses for which it seeks 
reimbursement; and
    (4) The terms of any oral agreement related to the withdrawal or 
dismissal of the application, petition to deny, informal 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 petitioner's request for approval, each remaining 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 application, 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, informal objection or 
other pleading.
    (c) No person shall make or receive any payments in exchange for 
withdrawing a threat to file or refraining from filing a petition to 
deny, informal objection, or any other pleading against an application. 
For the purposes of this section, reimbursement by an applicant of the 
legitimate and prudent expenses of a potential petitioner or objector, 
incurred reasonably and directly in preparing to file a petition to 
deny, will not be considered to be payment for refraining from filing a 
petition to deny or an informal objection. Payments made directly to a 
potential petitioner or objector, or a person related to a potential 
petitioner or objector, to implement non-financial promises 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 having personal knowledge 
of the facts, if a partnership; or an officer having personal knowledge 
of the facts, if a corporation or association.
    (2) Each application, petition to deny, informal objection or other 
pleading is deemed to be pending before

[[Page 238]]

the Commission from the time the petition to deny is filed with the 
Commission 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 expenses'' 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 benefit, as well as non-financial concessions that 
confer any type of benefit on the recipient.
    (e) Notwithstanding the provisions of this section, any payments 
made or received in exchange for withdrawing a short-form application 
for a Commission authorization awarded through competitive bidding shall 
be subject to the restrictions set forth in Sec. 1.2105(c) of this 
chapter.

[63 FR 68931, Dec. 14, 1998]



Sec. 1.937  Repetitious or conflicting applications.

    (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 substantially the same applicant, its 
successor 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 
dismissing with prejudice or denying any application in the Wireless 
Radio Services, or if the application is subsequently 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 successor 
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 
conflicting 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]



Sec. 1.939  Petitions to deny.

    (a) Who may file. Any party in interest may file with the Commission 
a petition to deny any application listed in a Public Notice as accepted 
for filing, whether as filed originally or upon major amendment as 
defined in Sec. 1.929 of this part.
    (1) For auctionable license applications, petitions to deny and 
related pleadings are governed by the procedures set forth in Sec. 
1.2108 of this part.
    (2) Petitions to deny for non-auctionable applications that are 
subject to petitions under Sec. 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 listing the application 
or major amendment 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 Twelfth Street, S.W., 
Room TW-B204, Washington, DC 20554. Manually filed petitions to deny 
must be filed with the Office of the Secretary, 1919 M Street, NW., 
Washington, DC 20554. Attachments to manually filed applications 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

[[Page 239]]

pleadings must reference the file number of the pending application that 
is the subject of the petition.
    (c) Service. A petitioner shall serve a copy of its petition to deny 
on the applicant and on all other interested parties pursuant to Sec. 
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 sufficient to make a prima facie showing that the petitioner is a 
party in interest 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.
    (e) Petitions to deny amended applications. Petitions to deny a 
major amendment to an application may raise only matters directly 
related to the major amendment that could not have been raised in 
connection with the application as originally filed. This paragraph does 
not apply to petitioners who gain standing because of the major 
amendment.
    (f) Oppositions and replies. The applicant 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 person or persons with personal knowledge 
thereof. Time for filing of oppositions and replies is governed by Sec. 
1.45 of this part for non-auctionable services and Sec. 1.2108 of this 
part for auctionable services.
    (g) Dismissal of petition. The Commission may dismiss any petition 
to deny that does not comply with the requirements of this section if 
the issues raised become moot, or if the petitioner or his/her attorney 
fails to appear at a settlement conference pursuant to Sec. 1.956 of 
this part. The reasons for the dismissal will be stated in the dismissal 
letter or order. When a petition 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 denying the petition, disposing of all 
substantive issues raised in the petition.

[63 FR 68931, Dec. 14, 1998, as amended at 64 FR 53240, Oct. 1, 1999]



Sec. 1.945  License grants.

    (a) License grants--auctionable license applications. Procedures for 
grant of licenses that are subject to competitive bidding under section 
309(j) of the Communications Act are set forth in Sec. Sec. 1.2108 and 
1.2109 of this part.
    (b) License grants--non-auctionable license applications. No 
application that is not subject to competitive bidding under Sec. 
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 
acceptance for filing of such application or of any substantial 
amendment thereof, unless the application is not subject to Sec. 309(b) 
of the Communications Act.
    (c) Grant without hearing. In the case of both auctionable license 
applications 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 application and supporting data, any pleading 
filed, or other matters which it may officially notice, that:
    (1) There are no substantial and material questions of fact;
    (2) The applicant is legally, technically, financially, and 
otherwise qualified;
    (3) A grant of the application would not involve modification, 
revocation, or non-renewal of any other existing license;
    (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.

[[Page 240]]

have not been dismissed or withdrawn by the petitioner) when an 
application is granted, the FCC will deny the petition(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 authorizations 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 petitions for 
reconsideration must be filed by the applicant within thirty days 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 Commission 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 
particularity the matters in issue.
    (2) Parties in interest, if any, who are not notified by the 
Commission of its action in designating a particular application for 
hearing may acquire the status of a party to the proceeding by filing a 
petition for intervention showing 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 parties in interest shall be 
permitted to participate in any hearing subsequently 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 requires oral testimony for its resolution, an 
Administrative Law Judge. The burden of proceeding with the introduction 
of evidence and burden of proof shall be upon the applicant, except that 
with respect to any issue presented by a petition to deny or a petition 
to enlarge the issues, such burdens shall be as determined by the 
Commission or the Chief of the Wireless Telecommunications Bureau.

[63 FR 68932, Dec. 14, 1998]



Sec. 1.946  Construction and coverage requirements.

    (a) Construction and commencement of service requirements. For each 
of the Wireless Radio Services, requirements for construction and 
commencement of service or commencement of operations are set forth in 
the rule part governing the specific service. For purposes of this 
section, the period between the date of grant of an authorization and 
the date of required commencement of service or operations is referred 
to as the construction period.
    (b) Coverage and substantial service requirements. In certain 
Wireless Radio Services, licensees must comply with geographic coverage 
requirements or substantial service requirements within a specified time 
period. These requirements 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 authorization and the date that a particular degree 
of coverage or substantial service is required is referred to as the 
coverage period.
    (c) Termination of authorizations. If a licensee fails to commence 
service or operations by the expiration of its construction period or to 
meet its coverage or substantial service obligations by the expiration 
of its coverage period, its authorization terminates automatically, 
without specific Commission action, on the date the construction or 
coverage period expires.
    (d) Licensee notification of compliance. A licensee who commences 
service or operations within the construction period or meets its 
coverage or substantial service obligations within the coverage period 
must notify the Commission by filing FCC Form 601. The notification must 
be filed with the Commission 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

[[Page 241]]

authorized transmitters, the notification must show to which specific 
transmitters it applies.
    (e) Requests for extension of time. Licensees may request to extend 
a construction 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 
failure to meet the construction or coverage deadline is due to 
involuntary loss of site or other causes beyond its control.
    (2) Extension requests will not be granted for failure to meet a 
construction 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 presumption of diligence is established.
    (3) Extension requests will not be granted for failure to meet a 
construction or coverage deadline because the licensee undergoes a 
transfer of control or because the licensee intends to assign the 
authorization. The Commission will not grant extension requests solely 
to allow a transferee or assignee to complete facilities that the 
transferor or assignor failed to construct.
    (4) The filing of an extension request does not automatically extend 
the construction 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 extension request.
    (5) A request for extension of time to construct a particular 
transmitter or other facility does not extend the construction period 
for other transmitters and facilities under the same authorization.

[63 FR 68933, Dec. 14, 1998]

    Effective Date Note: At 69 FR 46440, August 3, 2004, Sec. 1.946 was 
amended by adding a sentence to the end of paragraph (d), effective Oct. 
4, 2004. For the convenience of the user, the added text is set forth as 
follows:

Sec. 1.946  Construction and coverage requirements.

                                * * * * *

    (d) * * * This notification requirement is not applicable to 
authorizations subject to post-license registration requirements under 
the Dedicated Short-Range Communication Service (DSRCS), subpart M of 
part 90 of this chapter.

                                * * * * *



Sec. 1.947  Modification of licenses.

    (a) All major modifications, as defined in Sec. 1.929 of this part, 
require prior Commission approval. Applications for major modifications 
also shall be treated as new applications for determination of filing 
date, Public Notice, and petition to deny purposes.
    (b) Licensees may make minor modifications to station 
authorizations, as defined in Sec. 1.929 of this part (other than pro 
forma transfers and assignments), 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 
Commission (e.g., adding, modifying, or deleting 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 applications requesting changes to 
the same or related technical parameters on an authorization are not 
permitted. If a modification application is pending, any additional 
changes to the same or related technical parameters may be requested 
only in an amendment to the pending modification application.
    (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 
Sec. 1.913.

[63 FR 68933, Dec. 14, 1998, as amended at 64 FR 53240, Oct. 1, 1999]

[[Page 242]]



Sec. 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 transferred, 
only upon application to and approval by the Commission.
    (b) Limitations on transfers and assignments. (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 distribution of ownership, and 
the relationships of the owners, including family relationships.
    (3) Designated Entities, as defined in Sec. 1.2110(a) of this part, 
must comply with Sec. Sec. 1.2110 and 1.2111 of this part when seeking 
to assign or transfer control of an authorization.
    (4) Stations must meet all applicable requirements regarding 
transfers and assignments contained in the rules pertaining to the 
specific service in which the station is licensed.
    (5) Licenses, permits, and authorizations for stations in the 
Amateur, Ship, Aircraft, Commercial Operator and Personal Radio Services 
(except 218-219 MHz Service) may not be assigned 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 
assignee or transferee is subject to the ownership reporting 
requirements of Sec. 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 involving a telecommunications carrier, as defined in Sec. 
153(44) of the Communications Act, filing of the Form 603 and Commission 
approval in advance of the proposed transaction is not required, 
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 provides 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 assignment 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 consummated. For transfers and assignments that 
require prior Commission approval, the transaction must be consummated 
and notification provided to the Commission within 180 days of public 
notice of approval, and notification of consummation must occur no later 
than 30 days after actual consummation, 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 assignments 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 information 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 assigned to another party, voluntarily or 
involuntarily, such action is a partial assignment of authorization. To 
request Commission approval of a partial assignment of authorization, 
the assignor 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

[[Page 243]]

or disaggregate a portion of its authorization to another party, the 
application will be treated as a request for partial assignment of 
authorization. The assignor must notify the Commission on FCC Form 603 
of the geographic area or spectrum that will be deleted from its 
authorization upon consummation of the assignment.
    (g) Involuntary transfer and assignment. 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 licensee, the Commission shall be 
notified 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 application shall 
be filed for consent to involuntary assignment of such permit or 
license, 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 
procedures and forms as those specified in paragraph (b) of this 
section. In the case of Ship, aircraft, Commercial Operator, Amateur, 
and Personal Radio Services (except for 218-219 MHz Service) involuntary 
assignment of licenses will not be granted; such licenses shall be 
surrendered for cancellation upon the death or legal disability of the 
licensee. Amateur station call signs assigned to the station of a 
deceased licensee shall be available for reassignment pursuant to Sec. 
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 Sec. Sec. 1.2111 and 1.2112 of this part.
    (i) Trafficking. Applications for approval of assignment or transfer 
may be reviewed by the Commission to determine if the transaction is for 
purposes of trafficking in service authorizations.
    (1) Trafficking consists of obtaining or attempting to obtain an 
authorization for the principal purpose of speculation or profitable 
resale of the authorization rather than for the provision of 
telecommunication services to the public or for the licensee's own 
private use.
    (2) The Commission may require submission of an affirmative, factual 
showing, supported by affidavit of persons 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 assignment is due to changed 
circumstances (described in detail) affecting the licensee after the 
grant of the authorization, or that the proposed assignment is 
incidental to a sale of other facilities or a merger of interests.
    (j) Streamlined processing for certain applications. Applications 
for assignment of authorizations or transfer of control relating to the 
Wireless Radio Services identified in this subsection will be processed 
pursuant to streamlined approval procedures, as discussed herein.
    (1) Services eligible for streamlined processing. Applications for 
assignment of authorizations or transfers of control relating to the 
following services are subject to the streamlined approval processes:
    (i) The Paging and Radiotelephone Service (part 22 of this chapter);
    (ii) The Rural Radiotelephone Service (part 22 of this chapter);
    (iii) The Air-Ground Radiotelephone Service (part 22 of this 
chapter);
    (iv) The Cellular Radiotelephone Service (part 22 of this chapter);
    (v) The Offshore Radiotelephone Service (part 22 of this chapter);
    (vi) The narrowband Personal Communications Service (part 24 of this 
chapter);
    (vii) The broadband Personal Communications Service (part 24 of this 
chapter);
    (viii) The Wireless Communications Service in the 698-746 MHz band 
(part 27 of this chapter);
    (ix) The Wireless Communications Service in the 746-764 MHz and 776-
794 MHz bands (part 27 of this chapter);
    (x) The Wireless Communications Service in the 1390-1392 MHz band 
(part 27 of this chapter);

[[Page 244]]

    (xi) The Wireless Communications Service in the paired 1392-1395 MHz 
and 1432-1435 MHz bands (part 27 of this chapter);
    (xii) The Wireless Communications Service in the 1670-1675 MHz band 
(part 27 of this chapter);
    (xiii) The Wireless Communications Service in the 2305-2320 and 
2345-2360 MHz bands (part 27 of this chapter);
    (xiv) The Wireless Communications Service in the 2385-2390 MHz band 
(part 27 of this chapter);
    (xv) The VHF Public Coast Station service (part 80 of this chapter);
    (xvi) The 220 MHz Service (excluding public safety licensees) (part 
90 of this chapter);
    (xvii) The Specialized Mobile Radio Service in the 800 MHz and 900 
MHz bands (including exclusive use SMR licenses in the General Category 
channels) (part 90 of this chapter);
    (xviii) The Location and Monitoring Service (LMS) with regard to 
licenses for multilateration LMS systems (part 90 of this chapter);
    (xix) Paging operations under part 90 of this chapter;
    (xx) The Business and Industrial/Land Transportation (B/ILT) 
channels in which the licensees hold exclusive use rights (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 exclusivity and those channels below 470 MHz, including 
those licensed pursuant to 47 CFR 90.187(b)(2)(v));
    (xxi) The 218-219 MHz band (part 95 of this chapter);
    (xxii) The Local Multipoint Distribution Service (part 101 of this 
chapter);
    (xxiii) The 24 GHz Band (part 101 of this chapter);
    (xxiv) The 39 GHz Band (part 101 of this chapter);
    (xxv) The Multiple Address Systems band (part 101 of this chapter);
    (xxvi) The Local Television Transmission Service (part 101 of this 
chapter);
    (xxvii) The Private-Operational Fixed Point-to-Point Microwave 
Service (part 101 of this chapter); and,
    (xxviii) The Common Carrier Fixed Point-to-Point Microwave Service 
(part 101 of this chapter).
    (2) Streamlined approval procedures. (i) Applications, if 
sufficiently complete and the required application fee has been paid 
(see Sec. 1.1102 of subpart G of this part), will be accepted for 
filing and will be placed on public notice, except no prior public 
notice will be required for applications involving authorizations in the 
Private Wireless Services, as specified in Sec. 1.933(d)(9).
    (ii) Petitions to deny filed in accordance with section 309(d) of 
the Communications Act must comply with the provisions of Sec. 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 accepted for 
filing.
    (iii) 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 remove the application from 
streamlined processing for further review. For applications for which no 
prior public notice is required, the Bureau will affirmatively consent 
to the application, deny the application, or remove the application from 
streamlined processing for 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 Sec. 1.1102 of subpart G of 
this part).
    (iv) Grant of consent to an application will be reflected in a 
public notice (see Sec. 1.933(a)) promptly issued after the grant.
    (v) If the Bureau determines to remove an application from 
streamlined processing, it will issue a Public Notice indicating that 
the application has been removed from streamlined processing. Within 90 
days of the date of that public notice, the Bureau will either take 
action upon the application 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 affirmatively acts upon the application.
    (vii) If any petition to deny is filed, and the Bureau grants the 
application,

[[Page 245]]

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 petition(s).

[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]



Sec. 1.949  Application for renewal of license.

    (a) Applications for renewal of authorizations 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. Renewal 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 renewal requirements applicable to specific 
services are set forth in the subparts governing those services.
    (b) Licensees with multiple authorizations in the same service may 
request a common day and month on which such authorizations expire for 
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]



Sec. 1.951  Duty to respond to official communications.

    Licensees or applicants in the Wireless Radio Services receiving 
official notice of an apparent or actual violation of a federal statute, 
international agreement, Executive Order, or regulation pertaining to 
communications shall respond in writing within 10 days to the office of 
the FCC originating the notice, unless otherwise specified. Responses to 
official communications must be complete and self-contained without 
reference to other communications unless copies of such other 
communications are attached to the response. Licensees or applicants may 
respond via ULS.

[63 FR 68934, Dec. 14, 1998]



Sec. 1.955  Termination of authorizations.

    (a) Authorizations in general remain valid until terminated in 
accordance with this section, except that the Commission may revoke an 
authorization pursuant to section 312 of the Communications Act of 1934, 
as amended. See 47 U.S.C. 312.
    (1) Expiration. Authorizations automatically terminate, without 
specific Commission action, on the expiration date specified therein, 
unless a timely application for renewal is filed. See Sec. 1.949 of 
this part. No authorization granted under the provisions of this part 
shall be for a term longer than ten years.
    (2) Failure to meet construction or coverage requirements. 
Authorizations automatically terminate, without specific Commission 
action, if the licensee fails to meet applicable construction or 
coverage requirements. See Sec. 1.948(c) of this part.
    (3) Service discontinued. Authorizations automatically terminate, 
without specific Commission action, if service is permanently 
discontinued. The Commission authorization or the individual service 
rules govern the definition 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 cancellation.
    (b) Special temporary authority (STA) automatically terminates 
without specific Commission action upon failure to comply with the terms 
and conditions therein, or at the end of the period specified therein, 
unless a timely request for an extension of the STA term is filed in 
accordance with Sec. 1.931 of this part. If a timely filed request for 
extension of the STA term is dismissed or denied, the STA automatically 
terminates, without specific Commission action, on the day after the 
applicant or the applicant's attorney is notified of the Commission's 
action dismissing or denying the request for extension.
    (c) Authorizations submitted by licensees for cancellation terminate 
when the Commission gives Public Notice of such action.

[63 FR 68934, Dec. 14, 1998, as amended at 64 FR 53240, Oct. 1, 1999]

    Editorial Note: At 64 FR 53240, Oct. 1, 1999, Sec. 1.955 was 
amended by revising the last sentence of paragraph (b)(2) to read ``See

[[Page 246]]

Sec. 1.946(c) of this part.'', effective Nov. 30, 1999. However, 
paragraph (b)(2) does not exist in the 1998 volume.



Sec. 1.956  Settlement conferences.

    Parties are encouraged to use alternative dispute resolution 
procedures to settle disputes. See subpart E of this part. In any 
contested proceeding, the Commission, in its discretion, may direct 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 controversy;
    (2) To consider the necessity for or desirability of amendments to 
the pleadings, or of additional pleadings or evidentiary submissions;
    (3) To consider simplification or narrowing 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 
contested 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 attorney, following reasonable 
notice, to appear at a scheduled conference will be deemed a failure to 
prosecute, subjecting that party's application or petition to dismissal 
by the Commission.

[63 FR 68935, Dec. 14, 1998]



Sec. 1.957  Procedure with respect to amateur 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 application to a Volunteer-Examiner Coordinator 
(VEC). The VEs will then issue a certificate for sucessful completion of 
an amateur radio operator examination. The VEC will forward the 
application to the Commission's Gettysburg, Pennsylvania, facility.

[63 FR 68935, Dec. 14, 1998]

                 Reports To Be Filed With the Commission



Sec. 1.981  Reports, annual and semiannual.

    (a) Licensees of stations authorized for developmental operation 
shall submit a report on the results of the developmental program. The 
report shall be filed with and made a part of each application for 
renewal of authorization. The report shall be filed at the Commission's 
offices in Washington, DC or alternatively may be sent to the commission 
electronically via the ULS.
    (b) The report shall include comprehensive 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 program.
    (6) Number of hours of operation on each frequency.
    (c) Where required by the particular service rules, licensees who 
have entered into agreements with other persons for the cooperative use 
of radio station facilities must submit annually an audited financial 
statement reflecting the nonprofit cost-sharing nature of the 
arrangement to the Commission's offices in Washington, DC or 
alternatively may be sent to the Commission 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.



Sec. 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-

[[Page 247]]

239), revising 47 U.S.C. 158, which directs the Commission to prescribe 
charges for certain of the regulatory services it provides to many of 
the communications entities within its jurisdiction. This law revises 
section 8 of the Communications Act of 1934, as amended, which contains 
a Schedule of Charges as well as procedures for modifying and collecting 
these charges.

[55 FR 19155, May 8, 1990]



Sec. 1.1102  Schedule of charges for applications and other filings in 
          the wireless telecommunications services.

    Those services designated with an asterisk in the payment type code 
column have associated regulatory fees that must be paid at the same 
time the application fee is paid. Please refer to Sec. 1.1152 for the 
appropriate regulatory fee that must be paid for this service.
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[69 FR 41130, July 7, 2004]

[[Page 270]]



Sec. 1.1103  Schedule of charges for equipment approval, experimental radio 
services, and international telecommunications settlement services.

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[[Page 271]]

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[69 FR 41153, July 7, 2004]



Sec. 1.1104  Schedule of charges for applications and other filings for 
media services.

    Those services designated with an asterisk in the Payment Type Code 
column accept multiples if filing in the same post office box.

[[Page 272]]

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[69 FR 41155, July 7, 2004]

[[Page 280]]



Sec. 1.1105  Schedule of charges for applications and other filings for 
the wireline competition service.

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[[Page 281]]

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[69 FR 41163, July 7, 2004]



Sec. 1.1106  Schedule of charges for applications and other filings for 
the enforcement service.

[GRAPHIC] [TIFF OMITTED] TR07JY04.080


[69 FR 41165, July 7, 2004]

[[Page 282]]



Sec. 1.1107  Schedule of charges for applications and other filings for 
the international service.

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[69 FR 41165, July 7, 2004; 69 FR 58840, Oct. 1, 2004]



Sec. 1.1108  Attachment of charges.

    The charges required to accompany a request for the Commission 
regulatory services listed in Sec. Sec. 1.1102 through 1.1107 of this 
subpart will not be refundable to the applicant irrespective of the 
Commission's disposition of that request. Return or refund of charges 
will be made in certain limited instances as set out at Sec. 1.1113 of 
this subpart.

[65 FR 49762, Aug. 15, 2000]



Sec. 1.1109  Payment of charges.

    (a) Electronic fee payments do not require the use of a FCC Form 
159, Remittance Advice. An electronic fee payment must be made on or 
before the

[[Page 293]]

day the application and appropriate processing form are filed.
    (b) The schedule of fees for applications and other filings lists 
those applications and other filings that must be accompanied by a FCC 
Form 159, Remittance Advice. A separate FCC Form 159 will not be 
required once the information requirements of that form (payor 
information) is incorporated into the underlying application form.
    (c) Applications and other filings that are not submitted in 
accordance with these instructions will be returned as unprocessable.

    Note: This requirement for the simultaneous submission of fees forms 
with applications or other filings does not apply to the payment of fees 
for which the Commission has established a billing process. See Sec. 
1.1119 of this subpart.

    (d) Applications returned to applicants for additional information 
or corrections will not require an additional fee when resubmitted, 
unless the additional information results in an increase of the original 
fee amount. Those applications not requiring an additional fee should be 
resubmitted directly to the Bureau/Office requesting the additional 
information. The original fee will be forfeited if the additional 
information or corrections are not resubmitted to the appropriate 
Bureau/Office by the prescribed deadline. A forfeited application fee 
will not be refunded. If an additional fee is required, the original fee 
will be returned and the application must be resubmitted with a new 
remittance in the amount of the required fee to the Commission's lockbox 
bank. Applicants should attach a copy of the Commission's request for 
additional or corrected information to their resubmission.
    (1) If the Bureau/Office staff discovers within 30 days after the 
resubmission that the required fee was not submitted, the application 
will be dismissed.
    (2) If after 30 days the Bureau/Office staff discovers the required 
fee has not been paid, the application will be retained 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 Commission actions 
taken prior to timely payment of these charges are contingent and 
subject to recession.
    (e) Should the staff change the status of an application, resulting 
in an increase in the fee due, the applicant will be billed for the 
remainder under the conditions established by Sec. 1.1116(b) of the 
rules.

    Note: Due to the statutory requirements applicable to tariff 
filings, the procedures for handling tariff filings may vary from the 
procedures set out in the rules.

[52 FR 5289, Feb. 20, 1987, as amended at 53 FR 40888, Oct. 19, 1988; 55 
FR 19171, 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]



Sec. 1.1110  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 institution and made payable to the Federal Communications 
Commission or by a Visa, MasterCard, American Express, or Discover 
credit card. No other credit card is acceptable. Fees for applications 
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 submitting cash 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 returned as 
deficient. Third party checks (i.e., checks with a third party as maker 
or endorser) will not be accepted.
    (1) Specific procedures for electronic payments are announced in 
Bureau/Office fee filing guides.
    (2) It is the responsibility of the payer to insure that any 
electronic payment is made in the manner required by the Commission. 
Failure to comply with the Commission's procedures will result in the 
return of the application or other filing and the fee payment.
    (3) Payments by wire transfer will be accepted; however, to insure 
proper

[[Page 294]]

credit, applicants must follow the instructions 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 permitted. Except that a separate Fee Form (FCC Form 159) will 
not be required once the information requirements of that form (the Fee 
Code, fee amount, and total fee remitted) are incorporated into the 
underlying application form.
    (c) The Commission may accept multiple 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 payment 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 section.
    (1) Payment by cashier's check may be required when a person or 
organization has made payment, on one or more occasions with a payment 
instrument on which the Commission does not receive 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 cashier'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 obtain a stamped receipt for an application (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 submission, if hand delivered. For 
submissions by mail, the receipt copy will be provided through return 
mail if the filer has attached to the receipt copy a stamped self-
addressed envelope of sufficient 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]



Sec. 1.1111  Filing locations.

    (a) Except as noted in this section, applications and other filings, 
with attached fees and FCC Form 159, must be submitted to the locations 
and addresses set forth in Sec. Sec. 1.1102 through 1.1107.
    (1) Tariff filings shall be filed with the Secretary, Federal 
Communications Commission, Washington, DC 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 Sec. 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 
Sec. Sec. 1.1102 through 1.1107, as set forth on the bill sent by the 
Commission. Payments must be accompanied by the bill sent by the 
Commission. Payments must be accompanied by the bill to ensure proper 
credit.
    (3) Petitions for reconsideration or applications for review of fee 
decisions pursuant to Sec. 1.1117(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 
application or other filing under 47 U.S.C. 158(d)(1) or Sec. 1.1114 of 
this subpart shall file their applications in the appropriate location 
as set forth in the rules

[[Page 295]]

for the service for which they are applying, except that request for 
waiver accompanied by a tentative fee payment should be filed at the 
Commission's lockbox bank at the address for the appropriate service set 
forth in Sec. Sec. 1.1102 through 1.1107.
    (b) Except as provided for in paragraph (c) of this section, all 
materials must be submitted as one package. The Commission will not take 
responsibility for matching fees, forms and applications submitted at 
different times or locations. Materials submitted at other than the 
location and address required by Sec. 0.401(b) and paragraph (a) of 
this section will be returned to the applicant or filer.
    (c) Fees for applications and other filings pertaining to the 
Wireless Radio Services that are submitted electronically via ULS may be 
paid electronically 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 number 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 application on a Bureau/Office electronic 
filing system (e.g., ULS) will be forfeited (see Sec. Sec. 1.934 and 
1.1109.)
    (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 submitted electronically via 
the Cable Operations and Licensing System (COALS) may be paid 
electronically or sent to the Commission's lock box bank manually. When 
paying manually, applicants must include the FCC Form 159 generated by 
COALS (pre-filled with the transaction confirmation number) and 
completed with the necessary additional payment information to allow the 
Commission to verify that payment was made. Manual payments must be 
received no later than ten (10) days after receipt of the application or 
filing in COALS or the application 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]



Sec. 1.1112  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 financial institution on which the check, bank draft or 
money order is drawn.
    (1) If, prior to a grant of an instrument 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 applicant;
    (ii) Shall lose its place in the processing 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 instrument of authorization, the 
Commission is notified that final payment has not been made, the 
Commission will:
    (i) Automatically rescind that instrument 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 treatment for the resubmission of the 
application or filing if the relevant deadline has expired.
    (3) Upon receipt of a notification of rescision of the 
authorization, the grantee will immediately cease operations initiated 
pursuant to the authorization.
    (b) In those instances where the Commission has granted a request 
for deferred payment of a fee or issued a bill

[[Page 296]]

payable at a future date, further processing of the application or 
filing, or the grant of authority, shall be conditioned 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 
automatic dismissal of the submission or rescision of the Commission 
authorization for failure to meet the condition imposed by this subpart. 
The Commission reserves the right to return payments received after the 
date established on the bill and exercise the conditions attached to the 
application. The Commission shall:
    (1) Notify the grantee that the authorization has been rescinded;
    (i) Upon such notification, the grantee will immediately cease 
operations initiated pursuant to the authorization.
    (2) Not permit nunc pro tunc treatment 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 application 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 satisfactory payment arrangements will result in the 
Commission's withholding action on, and/or as appropriate, dismissal of, 
any applications or requests filed by the applicant. The staff shall 
also inform the applicant of the procedures 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 manner, the staff will withhold action on the application or 
filing until payment or other satisfactory arrangement is made. If 
payment or satisfactory arrangement 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]



Sec. 1.1113  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 
Sec. 0.231.
    (1) When no fee is required for the application or other filing. 
(see Sec. 1.1109).
    (2) When the fee processing staff or bureau/office determines that 
an insufficient fee has been submitted within 30 calendar days of 
receipt of the application or filing and the application or filing is 
dismissed.
    (3) When the application is filed by an applicant who cannot fulfill 
a prescribed age requirement.
    (4) When the Commission adopts new rules that nullify applications 
already accepted for filing, or new law or treaty would render useless a 
grant or other positive disposition of the application.
    (5) When a waiver is granted in accordance with this subpart.

    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 applications.
    (b) Comparative hearings are no longer required.
    (c) Applicants in the Media Services for first-come, first-served 
construction permits will be entitled to a refund of the fee, if, within 
fifteen days of the issuance of a Public Notice.
    (d) Applicants for space station licenses 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

[[Page 297]]

that it no longer wishes to keep its application on file behind the 
licensee and any other applicants who filed their applications before 
its application, and specifically requests a refund of the fee and 
dismissal of its application.

[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]



Sec. 1.1114  General exemptions to charges.

    No fee established in 1.1102 through 1.1107 of this subpart, unless 
otherwise qualified herein, shall be required for:
    (a) Applications filed for the sole purpose of modifying an existing 
authorization (or a pending application for authorization) in order to 
comply with new or additional requirements of the Commission's rules or 
the rules of another 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 
application. Cases in which a fee will be paid include applications by 
FM and TV licensees or permittees seeking to upgrade channel after a 
rulemaking.
    (b) Applicants in the Special Emergency Radio and Public Safety 
Radio Services that are government entities or nonprofit entities. 
Applicants claiming nonprofit status must include a current Internal 
Revenue Service Determination Letter documenting this nonprofit status.
    (c) Applicants, permittees or licensees of noncommercial educational 
broadcast stations in the FM or TV services, as well as AM applicants, 
permittees or licensees who certify that the station will operate or 
does operate in accordance with Sec. 73.503 of the rules.
    (d) Applicants, permittees, or licensees qualifying under paragraph 
(c) of this section requesting Commission authorization in any other 
mass media radio service (except the international broadcast (HF) 
service) private radio service, or common carrier radio communications 
service otherwise requiring a fee, if the radio service is used in 
conjunction with the noncommercial educational broadcast station on a 
noncommercial educational basis.
    (e) Other applicants, permittees, or licensees providing, or 
proposing to provide, a noncommercial educational or instructional 
service, 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 National Public Radio, 
receives funding directly or indirectly through the Public Broadcasting 
Fund, 47 U.S.C. 396(k), distributed by the Corporation for Public 
Broadcasting, where the authorization requested will be used in 
conjunction with the organization on a noncommercial educational basis;
    (2) An applicant for a translator or low power television station 
that proposes a noncommercial educational service will be entitled to 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 station through the National Telecommunications and Information 
Administration (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 a noncommercial 
education station is exempt from fees for broadcast auxiliary stations 
(subparts 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 noncommercial educational translator or low power 
station.
    (4) An applicant that is the licensee of an instructional television 
fixed station (Sec. 74.901 et seq.) is exempt from filing fees where 
the authorization requested will be used by the applicant in conjunction 
with the provision of the instructional service.
    (f) Applicants, permittees or licensees who qualify as governmental 
entities. For purposes of this exemption a governmental entity is 
defined as any state, possession, city, county, town,

[[Page 298]]

village, municipal corporation or similar political organization or 
subpart thereof controlled by publicly elected or duly appointed public 
officials exercising sovereign direction and control over their 
respective communities or programs.
    (g) Applications for Restricted Radiotelephone Operator Permits 
where the applicant intends to use the permit solely in conjunction with 
duties performed 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 application 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]



Sec. 1.1115  Adjustments to charges.

    (a) The Schedule of Charges established by Sec. Sec. 1.1102 through 
1.1107 of this subpart shall be reviewed by the Commission 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 percentage change in the CPI-U in the period 
between the enactment date and the adjustment date.
    (2) Adjustments based upon the percentage change in the CPI-U will 
be applied 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 covered 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 legislation, 
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 pursuant to these procedures will not 
be subject to notice and comment rulemakings, nor will these decisions 
be subject to petitions for reconsideration under Sec. 1.429 of the 
rules. Requests for modifications will be limited 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]



Sec. 1.1116  Penalty for late or insufficient payments.

    (a) Filings subject to fees and accompanied by defective fee 
submissions will be dismissed under Sec. 1.1109 (d) of this subpart 
where the defect is discovered by the Commission's staff within 30 
calendar days from the receipt of the application or filing by the 
Commission.
    (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. However, 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 accompanied 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 substantive 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

[[Page 299]]

or filings that are accompanied by insufficient 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 Commission actions taken 
prior to timely payment of these charges are contingent 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 Federal government pursuant to the provisions of 
the Debt Collection Improvement Act, 31 U.S.C. 3717 and 3720A. 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]

    Editorial Note: At 69 FR 57230, Sept. 24, 2004, Sec. 1.1116(a) 
introductory text was corrected by changing the reference to ``Sec. 
1.1109(b)'' to read ``Sec. 1.1109(d)''; however, the amendment could 
not be incorporated because that reference does not exist in the 
paragraph.



Sec. 1.1117  Petitions and applications for review.

    (a) The fees established by this subpart may be waived or deferred 
in specific instances where good cause is shown and where waiver or 
deferral of the fee would promote the public interest.
    (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 Director. 
Any such request that is not filed as a separate pleading will not be 
considered by the Commission. Requests for deferral of a fee payment for 
financial hardship must be accompanied by supporting documentation.
    (1) Petitions and applications for review submitted with a fee must 
be submitted to the Commission's lock box bank at the address for the 
appropriate service set forth in Sec. Sec. 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 Office of the Managing Director as specified in 
paragraph (c) of this section. Waiver requests that do not include these 
materials will be dismissed in accordance with Sec. 1.1109 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]



Sec. 1.1118  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 determination that a party is delinquent in paying the full 
application fee must be accompanied by suitable proof that the

[[Page 300]]

fee had been paid or waived (or deferred from payment during the period 
in question), or by the required application payment and any assessment 
penalty payment (see Sec. 1.1116) of this subpart). Failure to comply 
with these procedures will result in dismissal of the challenge. These 
claims should be addressed to the Federal Communications Commission, 
Attention: Financial Operations, 445 12th St. SW., Washington, DC 20554 
or emailed to [email protected].
    (b) Actions taken by Financial Operations staff are subject to the 
reconsideration and review provisions of Sec. Sec. 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 dismissed; and
    (2) If the fee payment should fail while the Commission is 
considering the matter, the petition for reconsideration 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]



Sec. 1.1119  Billing procedures.

    (a) The fees required for the International Telecommunications 
Settlements (Sec. 1.1103 of this subpart), Accounting and Audits Field 
Audits and Review of Arrest Audits (Sec. 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 
Sec. Sec. 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 due, and the 
address to which the payment should be submitted. See also Sec. 1.1111 
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. Redesignated at 
60 FR 5326, Jan. 27, 1995, as amended at 65 FR 49763, Aug. 15, 2000; 67 
FR 67337, Nov. 5, 2002; 69 FR 41177, July 7, 2004]



Sec. 1.1151  Authority to prescribe and collect regulatory fees.

    Authority to impose and collect regulatory 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 
prescribe 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]



Sec. 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           $10.00  FCC, P.O. Box 358130, Pittsburgh, PA 15251-5130.
     601 & 159).
    (b) New, Renew/Mod                 10.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
     (Electronic Filing)
     (FCC 601 & 159).
    (c) Renewal only (FCC              10.00  FCC, P.O. Box 358245, Pittsburgh, PA 15251-5245.
     601 & 159).

[[Page 301]]

 
    (d) Renewal only                   10.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
     (Electronic Filing)
     (FCC 601 & 159).
    220 MHz Nationwide:
        (a) New, Renew/Mod             10.00  FCC, P.O. Box 358130 Pittsburgh, PA 15251-5130.
         (FCC 601 & 159).
        (b) New, Renew/Mod             10.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 601 & 159).
        (c) Renewal only               10.00  FCC, P.O. Box 358245, Pittsburgh, PA 15251-5245.
         (FCC 601 & 159).
        (d) Renewal only               10.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 601 & 159).
2. Microwave (47 CFR Pt.
 101) (Private):
    (a) New, Renew/Mod (FCC            50.00  FCC, P.O. Box 358130, Pittsburgh, PA 15251-5130.
     601 & 159).
    (b) New, Renew/Mod                 50.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
     (Electronic Filing)
     (FCC 601 & 159).
    (c) Renewal only (FCC              50.00  FCC, P.O. Box 358245, Pittsburgh, PA 15251-5245.
     601 & 159).
    (d) Renewal only                   50.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
     (Electronic Filing)
     (FCC 601 & 159).
3. 218-219 MHz Service:
    (a) New, Renew/Mod (FCC            50.00  FCC, P.O. Box 358130, Pittsburgh, PA 15251-5130.
     601 & 159).
    (b) New, Renew/Mod                 50.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
     (Electronic Filing)
     (FCC 601 & 159).
    (c) Renewal only (FCC              50.00  FCC, P.O. Box 358245, Pittsburgh, PA 15251-5245.
     601 & 159).
    (d) Renewal only                   50.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
     (Electronic Filing)
     (FCC 601 & 159).
4. Shared Use Services:
    Land Mobile
     (Frequencies)
    Below 470 MHz--except
     220 MHz):
        (a) New, Renew/Mod              5.00  FCC, P.O. Box 358130, Pittsburgh, PA 15251-5130.
         (FCC 601 & 159).
        (b) New, Renew/Mod              5.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 601 & 159).
        (c) Renewal only                5.00  FCC, P.O. Box 358245, Pittsburgh, PA 15251-5245.
         (FCC 601 & 159).
        (d) Renewal only                5.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 601 & 159).
    General Mobile Radio
     Service:
        (a) New, Renew/Mod              5.00  FCC, P.O. Box 358130, Pittsburgh, PA 15251-5130.
         (FCC 605 & 159).

[[Page 302]]

 
        (b) New, Renew/Mod              5.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 605 & 159).
        (c) Renewal only                5.00  FCC, P.O. Box 358245, Pittsburgh, PA 15251-5245.
         (FCC 605 & 159).
        (d) Renewal only                5.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 605 & 159).
    Rural Radio (Part 22):
        (a) New, Additional             5.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         Facility, Major
         Renew/Mod
         (Electronic Filing)
         (FCC 601 & 159).
        (b) Renewal, Minor              5.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         Renew/Mod
         (Electronic Filing)
         (FCC 601 & 159).
    Marine Coast:
        (a) New Renewal/Mod            10.00  FCC, P.O. Box 358130, Pittsburgh, PA 15251-5130.
         (FCC 601 & 159).
        (b) Renewal only               10.00  FCC, P.O. Box 358245, Pittsburgh, PA 15251-5245.
         (FCC 601 & 159).
        (c) Renewal only               10.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 601 & 159).
    Aviation Ground:
        (a) New, Renewal/Mod           15.00  FCC, P.O. Box 358130, Pittsburgh, PA 15251-5130.
         (FCC 601 & 159).
        (b) Renewal only               15.00  FCC, P.O. Box 358245, Pittsburgh, PA 15251-5245.
         (FCC 601 & 159).
        (c) Renewal only               15.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 601 & 159).
    Marine Ship:
        (a) New, Renewal/Mod           15.00  FCC, P.O. Box 358130, Pittsburgh, PA 15251-5130.
         (FCC 605 & 159).
        (b) New, Renewal/Mod           15.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 605 & 159).
        (c) Renewal only               15.00  FCC, P.O. Box 358245, Pittsburgh, PA 15251-5245.
         (FCC 605 & 159).
        (d) Renewal only               15.00  FCC, P.O. Box 358994, Pittsburgh, PA 15251-5994.
         (Electronic Filing)
         (FCC 605 & 159).

[[Page 303]]

 
    Aviation Aircraft:
        (a) New, Renew/Mod              5.00  FCC, P.O. Box 358130, Pittsburgh, PA, 15251-5130.
         (FCC 605 & 159).
        (b) New, Renew/Mod              5.00  FCC, P.O. Box 358994, Pittsburgh, PA, 15251-5994.
         (Electronic Filing)
         (FCC 605 & 159).
        (c) Renewal only                5.00  FCC, P.O. Box 358245, Pittsburgh, PA, 15251-5245.
         (FCC 605 & 159).
        (d) Renewal only                5.00  FCC, P.O. Box 358994, Pittsburgh, PA, 15251-5994.
         (Electronic Filing)
         (FCC 605 & 159).
5. Amateur Vanity Call
 Signs:
     (a) Initial or Renew               2.08  FCC, P.O. Box 358130, Pittsburgh, PA, 15251-5130.
     (FCC 605 & 159).
    (b) Initial or Renew                2.08  FCC, P.O. Box 358994, Pittsburgh, PA, 15251-5994.
     (Electronic Filing)
     (FCC 605 & 159).
6. CMRS Mobile Services (per
 unit):
    (FCC 159)...............          \2\.25  FCC, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
7. CMRS Messaging Services
 (per unit):
    (FCC 159)...............          \3\.08  FCC, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
8. Multipoint Distribution:
    (Includes MMDS and MDS).          270     FCC, Multipoint, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
9. Local Multipoint
 Distribution Service:
    (Includes MMDS and MDS).          270     FCC, Multipoint, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
----------------------------------------------------------------------------------------------------------------
\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 Sec. 1.1102 of this chapter.
\2\ These are standard fees that are to be paid in accordance with Sec. 1.1157(b) of this chapter.
\3\ These are standard fees that are to be paid in accordance with Sec. 1.1157(b) of this chapter.


[69 FR 41055, July 7, 2004]



Sec. 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.....            $600  FCC, Radio, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
    25,001-75,000 population           1,200
    75,001-150,000                     1,800
     population.
    150,001-500,000                    2,700
     population.
    500,001-1,200,000                  3,900
     population.
    1,200,001-3,000,000                6,000
     population.
    3,000,000               7,200
     population.
2. AM Class B
    <=25,000 population.....             450
    25,001-75,000 population             900
    75,001-150,000                     1,125
     population.
    150,001-500,000                    1,925
     population.
    500,001-1,200,000                  2,925
     population.

[[Page 304]]

 
    1,200,001-3,000,000                4,500
     population.
    3,000,000               5,400
     population.
3. AM Class C
    <=25,000 population.....             350
    25,001-75,000 population             525
    75,001-150,000                       700
     population.
    150,001-500,000                    1,050
     population.
    500,001-1,200,000                  1,750
     population.
    1,200,001-3,000,000                2,625
     population.
    3,000,000               3,325
     population.
4. AM Class D
    <=25,000 population.....             425
    25,001-75,000 population             625
    75,001-150,000                     1,075
     population.
    150,001-500,000                    1,275
     population.
    500,001-1,200,000                  2,125
     population.
    1,200,001-3,000,000                3,400
     population.
    3,000,000               4,250
     population.
5. AM Construction Permit                465
6. FM Classes A, B1 and C3
    <=25,000 population.....             525
    25,001-75,000 population           1,050
    75,001-150,000                     1,450
     population.
    150,001-500,000                    2,225
     population.
    500,001-1,200,000                  3,550
     population.
    1,200,001-3,000,000                5,775
     population.
    3,000,000               7,350
     population.
7. FM Classes B, C, C0, C1
 and C2
    <=25,000 population.....             675
    25,001-75,000 population           1,175
    75,001-150,000                     2,200
     population.
    150,001-500,000                    2,875
     population.
    500,001-1,200,000                  4,225
     population.
    1,200,001-3,000,000                6,750
     population.
    3,000,000               8,775
     population.
8. FM Construction Permits             1,650
    TV (47 CFR, Part 73) VHF
     Commercial
        1. Markets 1 thru 10          60,375  FCC, TV Branch, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
        2. Markets 11 thru            41,475
         25.
        3. Markets 26 thru            29,175
         50.
        4. Markets 51 thru            17,575
         100.
        5. Remaining Markets           4,050
        6. Construction                4,650
         Permits.
    UHF Commercial
        1. Markets 1 thru 10          17,775  FCC, UHFCommercial, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
        2. Markets 11 thru            16,175
         25.

[[Page 305]]

 
        3. Markets 26 thru             9,300
         50.
        4. Markets 51 thru             5,550
         100.
        5. Remaining Markets           1,650
        6. Construction                5,675
         Permits.
    Satellite UHF/VHF
     Commercial
        1. All Markets......           1,050  FCC, Satellite TV, P.O. Box 358835, Pittsburgh, PA 15251-5835.
        2. Construction                  520
         Permits.
    Low Power TV, TV/FM
     Translator,& TV/FM
     Booster (47 CFR Part
     74)
                                         385  FCC, Low Power, P.O. Box 358835, Pittsburgh, PA 15251-5835.
    Broadcast Auxiliary
                                          10  FCC, Auxiliary, P.O. Box 358835, Pittsburgh, PA 15251-5835.
----------------------------------------------------------------------------------------------------------------
\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 Sec. 1.1102 of this chapter.


[69 FR 41056, July 7, 2004]



Sec. 1.1154  Schedule of annual regulatory charges and filing locations 
for common carrier services.

--------------------------------------------------------------------------------------------------------------------------------------------------------
               Radio facilities                     Fee amount                                             Address
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Microwave (Domestic Public Fixed)                      $50.00     FCC, P.O. Box 358994, Pittsburgh, PA, 15251-5994.
 (Electronic Filing) (FCC Form 601 & 159).
Carriers:
    1. Interstate Telephone Service Providers                .00218  FCC, Carriers, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
     (per interstate and international end-
     user revenues (see FCC Form 499-A).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\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 Sec. 1.1102 of this chapter.


[69 FR 41057, July 7, 2004]



Sec. 1.1155  Schedule of regulatory fees and filing locations for cable 
television services.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                     Fee amount                                            Address
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Cable Television Relay Service..............            $135     FCC, Cable P.O. Box 358835 Pittsburgh, PA 15251-5835.
2. Cable TV System (per subscriber)............                .70
--------------------------------------------------------------------------------------------------------------------------------------------------------
\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 Sec. 1.1102 of this chapter.


[69 FR 41057, July 7, 2004]

[[Page 306]]



Sec. 1.1156  Schedule of regulatory fees and filing locations for 
international services.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                Radio facilities                     Fee amount                                            Address
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. International (HF) Broadcast................            $745     FCC, International, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
2. International Public Fixed..................           1,750     FCC, International P.O. Box 358835, Pittsburgh, PA, 15251-5835.
Space Stations (Geostationary Orbit)...........         114,675     FCC, Space Stations, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
Space Stations (Non-Geostationary Orbit).......         131,400     FCC, Space Stations, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
Earth Stations Transmit/Receive & Transmit Only             200     FCC, Earth Station, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
 (per authorization or registration).
Carriers International Bearer Circuits (per                   2.52  FCC, International, P.O. Box 358835, Pittsburgh, PA, 15251-5835.
 active 64KB circuit or equivalent).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\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 Sec. 1.1102 of this chapter.


[69 FR 41058, July 7, 2004]



Sec. 1.1157  Payment of charges for regulatory fees.

    Payment of a regulatory fee, required under Sec. Sec. 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 application 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. Except 
as set forth in Sec. 1.1160, advance payments shall be final and shall 
not be readjusted during the term of the license or authorization, 
notwithstanding any subsequent increase or decrease in the annual amount 
of a fee required under the Schedule of Regulatory Fees.
    (2) Failure to file the appropriate regulatory fee due with an 
application for authorization will result in the return of the 
accompanying application, including an application for which the 
Commission has assigned a specific filing deadline.
    (b)(1) Payments of standard regulatory fees applicable to certain 
wireless radio, mass media, common carrier, cable and international 
services shall be filed in full on an annual basis at a time announced 
by the Commission or the Managing Director, pursuant to delegated 
authority, and published 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 payments, as well as any installment 
payment, must be filed with a FCC Form 159, FCC Remittance Advice, and a 
FCC Form 159C, Remittance Advice Continuation Sheet, if additional space 
is needed. Failure to submit a copy of FCC Form 159 with a standard 
regulatory fee payment, or an installment payment, will result in the 
return of the submission and a 25 percent penalty if the payment is 
resubmitted after the date the Commission establishes for the payment of 
standard regulatory fees and for any installment payment.
    (1) Any late filed regulatory fee payment will be subject to the 
penalties set forth in section 1.1164.
    (2) If one or more installment payments are untimely submitted or 
not submitted at all, the eligibility of the subject regulatee to submit 
installment 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

[[Page 307]]

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]



Sec. 1.1158  Form of payment for regulatory 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 
Communications Commission or by Visa, Mastercard, American Express or 
Discover credit cards only. The Commission discourages applicants from 
submitting 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 returned as deficient.
    (a) Upon authorization from the Commission following a written 
request, 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 
regulatory 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 
regulatory fees electronically. Procedures for electronic payment of 
regulatory fees will be announced by Public Notice. It is the 
responsibility of the payor to insure that any electronic payment is 
made in the manner required by the Commission. Failure to comply with 
the Commission's procedures 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 subject the payor to the penalties set forth in Sec. 1.1164.
    (b) Multiple payment instruments for a single regulatory fee are not 
permitted, except that the Commission will accept multiple money orders 
in payment of any fee where the fee exceeds 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 
installment payment) due on the same date, may be made with a single 
payment instrument and cover mass media, common carrier, international, 
and cable service fee payments. Each regulatee is solely responsible for 
accurately accounting for and listing each license or authorization and 
the number of subscribers, 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 regulatory fee listed on the accompanying form. 
Any omission or payment deficiency of a regulatory fee will result in a 
25 percent penalty of the amount due and unpaid.
    (d) Any regulatory fee payment (including a regulatory fee payment 
submitted with an application in the wireless radio service) made by 
credit card or money order must be submitted with a completed FCC Form 
159. Failure 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]



Sec. 1.1159  Filing locations and receipts for regulatory fees.

    (a) Regulatory fee payments must be directed to the location and 
address set forth in Sec. Sec. 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 
accompanying the application. The Commission will not take 
responsibility for matching fees, forms and applications submitted at 
different times or locations.
    (b) Petitions for reconsideration or applications for review of fee 
decisions

[[Page 308]]

submitted with a standard regulatory fee payment pursuant to Sec. Sec. 
1.1152 through 1.1156 of the rules are to be filed with the Commission's 
lockbox bank in the manner set forth in Sec. Sec. 1.1152 through 1.1156 
for payment of the fee subject to the petition for reconsideration or 
the application for review. Petitions for reconsideration and 
applications for review that are submitted with no accompanying payment 
should be filed with the Secretary, Federal Communications Commission, 
Attention: 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 Director, Washington, D.C. 20554, except that requests for 
exemption accompanied by a tentative fee payment shall be filed at the 
lockbox set forth for the appropriate service in Sec. Sec. 1.1152 
through 1.1156.
    (d) The Commission will furnish a receipt for a regulatory fee 
payment only upon request. In order to obtain a receipt 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 regulatory 
fee payment, submitted expressly for the purpose of serving as a receipt 
for the regulatory fee payment and application fee payment, if required. 
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 submission, if hand delivered. For 
submissions by mail, the receipt copy will be provided through return 
mail if the filer has attached to the receipt copy a stamped self-
addressed envelope of sufficient size to contain the receipt document.
    (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 Register.

[60 FR 34032, June 29, 1995, as amended at 62 FR 59825, Nov. 5, 1997]



Sec. 1.1160  Refunds of regulatory fees.

    (a) Regulatory fees will be refunded, upon request, only in the 
following instances:
    (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 applicants', permittees', or licensees' entire submission. All 
refunds will be issued to the payor named in the appropriate block of 
the FCC Form 159. Payments in excess of a regulatory fee will be 
refunded only if the overpayment is $10.00 or more.
    (2) In the case of advance payment of regulatory fees, subject to 
Sec. 1.1152, a refund will be issued based on unexpired full years:
    (i) When the Commission adopts new rules that nullify a license or 
other authorization, or a new law or treaty renders 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 accordance with Sec. 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 without a written request from the 
applicant, permittee, licensee or agent.

[60 FR 34032, June 29, 1995, as amended at 67 FR 46307, July 12, 2002]



Sec. 1.1161  Conditional license grants and delegated authorizations.

    (a) Grant of any application or an instrument of authorization or 
other filing for which a regulatory fee is required 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 institution on 
which the check, bank draft, money order, credit card (Visa, MasterCard, 
American Express, or Discover), wire or electronic payment is drawn.

[[Page 309]]

    (1) If, prior to a grant of an instrument 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 processing 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 instrument of authorization or 
other filing, the Commission is notified that final payment has not been 
made, the Commission will:
    (i) Automatically rescind that instrument 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 application 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 operations initiated 
pursuant to the authorization.
    (b) In those instances where the Commission has granted a request 
for deferred payment of a regulatory fee, further processing of the 
application or filing or the grant of authority shall be conditioned 
upon final payment of the regulatory fee and any required penalties for 
late payment prescribed by the deferral decision. Failure to comply with 
the terms of the deferral decision shall result in the automatic 
dismissal of the submission or rescission of the Commission 
authorization. Further, the Commission shall:
    (1) Notify the grantee that the authorization has been rescinded. 
Upon such notification, the grantee will immediately 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 regulatory fees, the Commission will make a written request for the 
fee, together with any penalties that may be rendered 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 manner, the staff will withhold action on the application or 
filing until payment or other satisfactory arrangement is made. If 
payment or satisfactory arrangement 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]



Sec. 1.1162  General exemptions from regulatory fees.

    No regulatory fee established in Sec. Sec. 1.1152 through 1.1156, 
unless otherwise qualified herein, shall be required for: (a) 
Applicants, permittees or licensees 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 prescribed in Sec. 1.1152.
    (b) Applicants, permittees, or licensees who qualify as government 
entities. For purposes of this exemption, a government entity is defined 
as any state, possession, city, county, town, village, municipal 
corporation, or similar political organization or subpart thereof 
controlled by publicly elected or duly appointed public officials 
exercising sovereign direction and control over their respective 
communities or programs.
    (c) Applicants and permittees who qualify as nonprofit entities. For 
purposes of this exemption, a nonprofit entity is defined as: an 
organization duly qualified as a nonprofit, tax exempt entity under 
section 501 of the Internal Revenue Code, 26 U.S.C. 501; or an entity 
with current certification as a nonprofit 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 regulatory fee based upon its 
status as a nonprofit entity, as described above, shall file with the 
Secretary of the

[[Page 310]]

Commission (Attn: Managing Director) written documentation establishing 
the basis for its exemption within 60 days of its coming under the 
regulatory 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. Applicants, 
permittees and licensees are required 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 permittee previously claiming a 501(C) exemption 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 purchasers or assignees of a license, station 
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 effective date of the purchase or assignment.
    (d) Applicants, permittees or licensees in the Special Emergency 
Radio and Public Safety Radio services.
    (e) Applicants, permittees or licensees of noncommercial educational 
broadcast stations in the FM or TV services, as well as AM applicants, 
permittees or licensees operating in accordance with Sec. 73.503 of 
this chapter.
    (f) Applicants, permittees, or licensees qualifying under paragraph 
(e) of this section requesting Commission authorization 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 noncommercial educational 
broadcast station on a noncommercial educational basis.
    (g) Other applicants, permittees or licensees providing, or 
proposing to provide, a noncommercial educational or instructional 
service, but not qualifying under paragraph (e) of this section, may be 
exempt from regulatory fees, or be entitled to a refund, in the 
following circumstances:
    (1) The applicant, permittee or licensee is an organization that, 
like the Public Broadcasting Service or National Public Radio, receives 
funding directly or indirectly through the Public Broadcasting Fund, 47 
U.S.C. 396(k), distributed by the Corporation for Public Broadcasting, 
where the authorization requested will be used in conjunction with the 
organization on a noncommercial educational basis;
    (2) An applicant, permittee or licensee of a translator or low power 
television station operating or proposing to operate a noncommercial 
educational service who, after grant, provides proof that it has 
received funding for the construction of the station through the 
National Telecommunications and Information Administration (NTIA) or 
other showings as required by the Commission; or
    (3) An applicant, permittee, or licensee provided a fee refund under 
Sec. 1.1160 and operating as a noncommercial education station, is 
exempt from fees for broadcast auxiliary stations (subparts D, E, and F 
of part 74 of this chapter) or stations in the wireless radio, common 
carrier, or international services where such authorization is to be 
used in conjunction with the noncommercial educational translator or low 
power station.
    (h) An applicant, permittee or licensee that is the licensee of an 
instructional television fixed station (Sec. Sec. 74.901 through 74.996 
of this chapter) is exempt from regulatory fees where the authorization 
requested will be used by the applicant in conjunction with the 
provision of the instructional service.
    (i) Applications filed in the wireless radio service for the sole 
purpose of modifying an existing authorization (or a pending application 
for authorization). However, if the applicant also requests a renewal or 
reinstatement of its license or other authorization for which the 
submission of a regulatory

[[Page 311]]

fee is required, the appropriate regulatory 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]



Sec. 1.1163  Adjustments to regulatory fees.

    (a) For Fiscal Year 1995, the amounts assessed for regulatory fees 
are set forth in Sec. Sec. 1.1152 through 1.1156.
    (b) For Fiscal year 1996 and thereafter, the Schedule of Regulatory 
Fees, contained in Sec. Sec. 1.1152 through 1.1156, may be adjusted 
annually by the Commission pursuant to section 9 of the Communications 
Act. 47 U.S.C. 159. Adjustments to the fees established for any category 
of regulatory fee payment shall include projected cost increases 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 
employees performing enforcement activities, policy and rulemaking 
activities, user information services, and international activities 
within the Wireline Competition Bureau, Media Bureau, International 
Bureau and other offices of the Commission, adjusted to take into 
account factors that are reasonably related 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 reasonably be expected to equal 
the amount appropriated for such fiscal year for the performance of the 
activities 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 paragraph (c)(2) of this section, changes in the amount 
appropriated for the performance of the activities described in 
paragraph (c)(1) of this section, for such fiscal year. Such 
proportionate increases or decreases shall be adjusted to reflect 
unexpected increases or decreases 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 comply with the requirements of paragraph (c)(1) of this section. In 
making such amendments, the Commission shall 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 rulemaking 
proceedings or changes in law.
    (f) In making adjustments to regulatory 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]



Sec. 1.1164  Penalties for late or insufficient regulatory fee payments.

    Any late payment or insufficient payment of a regulatory fee, not 
excused by bank error, shall subject the regulatee to a 25 percent 
penalty of the amount of the fee of installment payment which was not 
paid in a timely manner. A timely fee payment or installment payment is 
one received at the Commission's lockbox bank by the due date specified 
by the Commission or by the Managing Director. A payment 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 discretion, 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 penalty.
    (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.

[[Page 312]]

    (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 instruments of authorization should not be 
subject to rescission.
    (d)(1) Where a regulatee's new, renewal or reinstatement application 
is required to be filed with a regulatory fee (as is the case with 
wireless radio services), the application will be dismissed if the 
regulatory fee is not included with the application package. In the case 
of a renewal or reinstatement application, the application may not be 
refiled unless the appropriate regulatory fee plus the 25 percent 
penalty charge accompanies the refiled application.
    (2) If the application that must be accompanied by a regulatory fee 
is a mutually exclusive application with a filing 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 determined to be delinquent in 
paying a standard regulatory fee or an installment 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 Commission may revoke an existing 
instrument 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 assessed is inapplicable or should otherwise 
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 material 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 burden of proof shall be on the respondent regulatee.
    (3) Unless the regulatee substantially prevails in the hearing, the 
Commission may assess costs for the conduct of the proceeding against 
the respondent 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 required fee, is 
subject to collection of the fee, including interest thereon, any 
associated penalties, and the full cost of collection to the Federal 
government pursuant to section 3720A of the Internal Revenue Code, 31 
U.S.C. 3717, and to the provisions of the Debt Collection Act, 31 U.S.C. 
3717. See 47 CFR 1.1901 through 1.1952. The debt collection 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]



Sec. 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 occasions, with a payment 
instrument on which the Commission does not receive final payment and 
such error is not excused by bank error.

[60 FR 34034, June 29, 1995]



Sec. 1.1166  Waivers, reductions and deferrals of regulatory fees.

    The fees established by sections 1.1152 through 1.1156 may be 
waived, reduced or deferred in specific instances, on a case-by-case 
basis, where good cause is shown and where waiver, reduction 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 concurrence of the General Counsel. 
All such

[[Page 313]]

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 Commission.
    (1) If the request for waiver, reduction or deferral is accompanied 
by a fee payment, the request must be submitted to the Commission's 
lockbox bank at the address for the appropriate service set forth in 
Sec. Sec. 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 regulatory fee must be accompanied by 
the required fee and FCC Form 159. Submitted 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 financial hardship, supported by documentation 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 
payment must be addressed to the Federal Communications Commission, 
Attention: Petitions, Post Office Box 358835, Pittsburgh, Pennsylvania, 
15251-5835. Petitions for reduction that do not include the required 
fees or forms will be dismissed unless accompanied by a petition 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 bankruptcy, will not be granted, even if otherwise consistent 
with Commission policy, to the extent that the total regulatory 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 
entity and its subsidiaries and other affiliated 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 considered 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]



Sec. 1.1167  Error claims related to regulatory fees.

    (a) Challenges to determinations or an insufficient regulatory fee 
payment or delinquent fees should be made in writing. A challenge to a 
determination that a party is delinquent in paying 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 regulatory payment and any assessed penalty payment (see Sec. 
1.1164(c) of this subpart). Challenges submitted with a fee payment must 
be submitted to address stated on the invoice or billing statement. 
Challenges not accompanied by a fee payment should be filed with the 
Commission's Secretary and clearly marked to the attention of the 
Managing Director or emailed to [email protected].
    (b) The filing of a petition for reconsideration or an application 
for review of a fee determination will not relieve licensees from the 
requirement that full and proper payment of the underlying fee payment 
be submitted, as required by the Commission's action, or delegated 
action, on a request for waiver, reduction or deferment. Petitions for 
reconsideration and applications for review submitted with a fee payment 
must be submitted to the same location as the original fee payment. 
Petitions for reconsideration and applications for review not 
accompanied by a fee payment should be filed with the Commission's 
Secretary and clearly marked to the attention of the Managing Director.
    (1) Failure to submit the fee by the date required will result in 
the assessment of a 25 percent penalty.
    (2) If the fee payment should fail while the Commission is 
considering the matter, the petition for reconsideration or application 
for review will be dismissed.

[60 FR 34035, June 29, 1995, as amended at 69 FR 27848, May 17, 2004]

[[Page 314]]



Sec. 1.1181  Authority to prescribe and collect fees for competitive 
bidding-related 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 
competitive bidding-related services and products as specified in Sec. 
1.1182.

[60 FR 38280, July 26, 1995]



Sec. 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     2.30 per minute.....  Charges included on
 Number Telephone Service).                          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;   Payment to auction
                               $16.00 per            contractor by
                               additional package    credit card or
                               (including postage)   check. (Public
                               to same person or     Notice will specify
                               entity.               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



Sec. 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 Commission proceedings. These rules specify ``exempt'' 
proceedings, in which ex parte presentations may be made freely (Sec. 
1.1204(b)), ``permit-but-disclose'' proceedings, in which ex parte 
presentations to Commission decision-making personnel are permissible 
but subject to certain disclosure requirements (Sec. 1.1206), and 
``restricted'' proceedings in which ex parte presentations to and from 
Commission decision-making personnel are generally prohibited (Sec. 
1.1208). In all proceedings, a certain period (''the Sunshine Agenda 
period'') is designated in which all presentations to Commission 
decision-making personnel are prohibited (Sec. 1.1203). The limitations 
on ex parte presentations described in this section are subject to 
certain general exceptions set forth in Sec. 1.1204(a). Where the 
public interest so requires in a particular proceeding, the Commission 
and its staff retain the discretion 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 directed to the Office of General Counsel.

[62 FR 15853, Apr. 3, 1997]



Sec. 1.1202  Definitions.

    For the purposes of this subpart, the following definitions apply:
    (a) Presentation. A communication directed to the merits or outcome 
of a proceeding, including any attachments to a written communication or 
documents shown in connection with an oral presentation directed to the 
merits or outcome of a proceeding. Excluded from this term are 
communications which are inadvertently or casually made, inquiries 
concerning compliance with procedural requirements if the procedural 
matter is not an area of controversy in the proceeding, statements made 
by decisionmakers that are limited to providing publicly available 
information about pending proceedings, and inquiries relating solely to 
the status of a proceeding, including

[[Page 315]]

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 merits 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 proceeding be resolved expeditiously will be 
treated as a permissible status inquiry so long as no reason is given as 
to why the proceeding should be expedited other than the need to resolve 
administrative delay, no view is expressed as to the merits or outcome 
of the proceeding, and no view is expressed 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 Sec. 1.1204(a)(11).

    (b) Ex parte presentation. Any presentation 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 opportunity for them to be present.

    Note to paragraph (b):
    Written communications 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 person 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 considered a decision-making person 
in the designated proceeding. Unseparated Bureau or Office staff shall 
be considered decision-making personnel with respect to decisions, 
rules, and orders in which their Bureau or Office participates in 
enacting, preparing, or reviewing.
    (d) Party. Unless otherwise ordered by the Commission, the following 
persons are parties:
    (1) In a proceeding not designated for hearing, any person who files 
an application, waiver request, petition, motion, request for a 
declaratory ruling, or other filing seeking affirmative relief 
(including a Freedom of Information Act request), and any person (other 
than an individual viewer or listener filing comments regarding a 
pending broadcast application or members 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 services 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 presentations to the Commission 
about their own applications provided that no one has become a party 
with respect to their application 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 
applicant.
    (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 complainant has served it on the subject of the complaint or which 
is a formal complaint under 47 U.S.C. 208 and Sec. 1.721 of this 
chapter or 47 U.S.C. 255 and either Sec. Sec. 6.21 or 7.21 of this 
chapter, and the person who is the subject of such a complaint or 
request that shows service or is a formal complaint under 47 U.S.C. 208 
and Sec. 1.721 of this chapter or 47 U.S.C. 255 and either Sec. Sec. 
6.21 or 7.21 of this chapter;
    (3) The subject of an order to show cause, hearing designation 
order, notice of apparent liability, or similar

[[Page 316]]

notice or order, or petition for such notice or order;
    (4) In a proceeding designated for hearing, any person who has been 
given formal party status; and
    (5) In an informal rulemaking proceeding conducted under section 553 
of the Administrative Procedure Act (other than a proceeding for the 
allotment of a broadcast channel) or a proceeding before a Joint Board 
or before the Commission to consider the recommendation of a Joint 
Board, members of the general public after the issuance of a notice of 
proposed rulemaking or other order as provided under Sec. 1.1206(a) (1) 
or (2).
    (6) In an informal rulemaking proceeding conducted under section 553 
of the Administrative Procedure Act (other than a proceeding for the 
allotment of a broadcast channel) or a proceeding before a Joint Board 
or before the Commission to consider the recommendation of a Joint 
Board, members of the general public after the issuance of a notice of 
proposed rulemaking or other order as provided under Sec. 1.1206(a) (1) 
or (2).

    Note 2 to paragraph (d):
    To be deemed a party, a person must make the relevant filing with 
the Secretary, the relevant Bureau or Office, or the Commission as a 
whole. Written submissions made only to the Chairman 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 determine in 
particular instances that persons who qualify as ``parties'' under Sec. 
1.1202(d) should nevertheless not be deemed parties for purposes of this 
subpart.
    Note 4 to paragraph (d):
    Individual listeners or viewers submitting comments regarding a 
pending broadcast application pursuant to Sec. 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 consideration of the application or would 
otherwise be appropriate.
    Note 5 to paragraph (d):
    A member of Congress or his or her staff, or other agencies or 
branches of the federal government or their staffs will not become a 
party by service of a written submission regarding a pending proceeding 
that has not been designated for hearing unless the submission 
affirmatively seeks and warrants grant of party status.

    (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 procedures 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



Sec. 1.1203  Sunshine period prohibition.

    (a) With respect to any Commission proceeding, all presentations to 
decisionmakers 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 Sec. 1.1204(a);
    (2) The presentation relates to settlement negotiations and 
otherwise complies 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 Commission action in an exempt 
or a permit-but-disclose proceeding that has been adopted (not including 
private presentations made on the site of a widely attended speech or 
panel discussion); 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 Sec. 1.1204 or subject to 
permit-but-disclose requirements under Sec. 1.1206. If the presentation 
is of substantial significance and clearly intended to affect the 
ultimate decision, 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 presenter in accordance with the procedures 
set forth in Sec. 1.1206(b).

[[Page 317]]

    (b) The prohibition set forth in paragraph (a) of this section 
applies from the release of a public notice that a matter has been 
placed on the Sunshine 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, whichever occurs first.

[62 FR 15855, Apr. 3, 1997, as amended at 64 FR 68947, Dec. 9, 1999]

                           General Exemptions



Sec. 1.1204  Exempt ex parte presentations and proceedings.

    (a) Exempt ex parte presentations. The following types of 
presentations are exempt from the prohibitions in restricted proceedings 
(Sec. 1.1208), the disclosure requirements in permit-but-disclose 
proceedings (Sec. 1.1206), and the prohibitions during the Sunshine 
Agenda period prohibition (Sec. 1.1203):
    (1) The presentation is authorized by statute or by the Commission's 
rules to be made without service, see, e.g., Sec. 1.333(d), or involves 
the filing of required 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 
appropriate.
    (4) The presentation involves a military or foreign affairs function 
of the United States or classified security information;
    (5) The presentation is to or from an agency or branch of the 
Federal Government or its staff and involves a matter over which that 
agency or branch and the Commission share jurisdiction provided that, 
any new factual information obtained through such a presentation that is 
relied on by the Commission in its decision-making process will, if not 
otherwise submitted for the record, be disclosed by the Commission no 
later than at the time of the release of the Commission's decision;
    (6) The presentation is to or from the United States Department of 
Justice or Federal Trade Commission and involves a telecommunications 
competition 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 information obtained through such a presentation that is relied 
on by the Commission 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 paragraphs (a)(5) and (a)(6) of this section, information 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 disclose it and will disregard it in its decision-
making process, unless it fits within another exemption not requiring 
disclosure (e.g., foreign 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 exemption.

    (7) The presentation is between Commission staff and an advisory 
coordinating committee member with respect to the coordination of 
frequency assignments 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 Sec. 
1.1202(d)(1), and the presentation relates to a pending application that 
has not been designated for hearing for a new or modified broadcast 
station or license, for renewal of a

[[Page 318]]

broadcast station license or for assignment or transfer of control of a 
broadcast permit or license;
    (9) The presentation is made pursuant 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 clarification or adduction 
of evidence, or for resolution of issues, including possible settlement, 
subject to the following limitations:
    (i) This exemption does not apply to restricted proceedings 
designated for hearing;
    (ii) In restricted proceedings not designated for hearing, any new 
written information elicited from such request or a summary of any new 
oral information elicited from such request shall promptly be served by 
the person making the presentation on the other parties to the 
proceeding. Information relating to how a proceeding should or could be 
settled, as opposed to new information regarding the merits, shall not 
be deemed to be new information for purposes of this section. The 
Commission or its staff may waive the service requirement if service 
would be too burdensome because the parties are numerous or because the 
materials relating to such presentation are voluminous. 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 presentation 
or summary are available for inspection. The Commission or its staff may 
determine that service or public notice would interfere with the 
effective 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-disclose requirements, disclosure of any new written information 
elicited from such request or a summary of any new oral information 
elicited from such request must be made in accordance with the 
requirements of Sec. 1.1206(b), provided, however, that the Commission 
or its staff may determine that disclosure would interfere with the 
effective conduct of an investigation and dispense with the disclosure 
requirement. As in paragraph (a)(10)(ii) of this section, information 
relating to how a proceeding should or could be settled, as opposed to 
new information regarding the merits, shall not be deemed to be new 
information for purposes of this section;

    Note 2 to paragraph (a):
    If the Commission 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 period prohibition, disclosure must be made in accordance with 
the requirements of Sec. 1.1206(b) or by other adequate means of notice 
that the Commission deems appropriate;
    (v) In situations where new information 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 action is 
taken, the Commission or staff in its discretion may defer disclosure of 
such new information until comment is sought on the settlement proposal 
or the settlement discussions are terminated.
    (11) The presentation is an oral presentation 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. A detailed summary of the 
presentation shall promptly 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 opposition to the request for expedition, 
including by oral ex parte presentation, subject to the same service 
requirement.
    (12) The presentation is between Commission staff and:

[[Page 319]]

    (i) The administrator of the interstate telecommunications relay 
services 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 
administration of the North American Numbering Plan pursuant to 47 
U.S.C. 251(e);
    (iii) The Universal Service Administrative Company relating to the 
administration of universal service support mechanisms pursuant to 47 
U.S.C. 254; or
    (iv) The Number Portability Administrator 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 participated as a party in the proceeding.
    (b) Exempt proceedings. Unless otherwise provided by the Commission 
or the staff pursuant to Sec. 1.1200(a), ex parte presentations to or 
from Commission decision-making personnel are permissible and need not 
be disclosed with respect to the following proceedings, which are 
referred to as ``exempt'' proceedings:
    (1) A notice of inquiry proceeding;
    (2) A petition for rulemaking, except for a petition requesting the 
allotment of a broadcast channel (see also Sec. 1.1206(a)(1)), or other 
request that the Commission modify its rules, issue a policy statement 
or issue an interpretive rule, or establish a Joint Board;
    (3) A tariff proceeding (including directly associated waiver 
requests or requests for special permission) prior to it being set for 
investigation (see also Sec. 1.1206(a)(4));
    (4) A proceeding relating to prescription of common carrier 
depreciation rates under section 220(b) of the Communications Act prior 
to release of a public notice of specific proposed depreciation rates 
(see also Sec. 1.1206(a)(9));
    (5) An informal complaint proceeding under 47 U.S.C. 208 and Sec. 
1.717 of this chapter or 47 U.S.C. 255 and either Sec. Sec. 6.17 or 
7.17 of this chapter; and
    (6) A complaint against a cable operator regarding its rates that is 
not filed on the standard complaint form required by Sec. 76.951 of 
this chapter (FCC Form 329).

    Notes 1-3 to paragraph (b):
    [Reserved]
    Note 4 to paragraph (b):
    In the case of petitions for rulemaking that seek Commission 
preemption of state or local regulatory authority, the petitioner must 
serve the original petition on any state or local government, the 
actions of which are specifically cited as a basis for requesting 
preemption. Service should be made on those bodies within the state or 
local governments 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 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 
Sec. 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



Sec. 1.1206  Permit-but-disclose proceedings.

    (a) Unless otherwise provided by the Commission or the staff 
pursuant to Sec. 1.1200(a), until the proceeding is no longer subject 
to administrative reconsideration or review or to judicial review, ex 
parte presentations (other than ex parte presentations exempt under 
Sec. 1.1204(a)) to or from Commission decision-making personnel are 
permissible in the following proceedings, which are referred to as 
permit-but-disclose proceedings, provided that ex parte presentations to 
Commission decision-making personnel are disclosed pursuant to paragraph 
(b) of this section:
    Note 1 to paragraph (a):
    In the case of petitions for declaratory ruling that seek Commission 
preemption of state or local regulatory 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 requesting preemption. Service 
should be made on those bodies within the state or local governments 
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 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

[[Page 320]]

the record under Sec. 1.1212(d) and the parties are so informed.

    (1) An informal rulemaking proceeding conducted under section 553 of 
the Administrative Procedure Act other than a proceeding for the 
allotment of a broadcast channel, upon release of a Notice of Proposed 
Rulemaking (see also Sec. 1.1204(b)(2));
    (2) A proceeding involving a rule change, policy statement or 
interpretive 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 (including directly 
associated waiver requests or requests for special permission) (see also 
Sec. 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 Sec. 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 Sec. 
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 requested information is the subject of a request 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 
Communications Act for prescription of common carrier depreciation rates 
upon release of a public notice of specific proposed depreciation rates 
(see also Sec. 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 proceeding pursuant to section 623(c) of 
the Communications Act where the complaint is filed on FCC Form 329.
    (12) A modification request filed pursuant to Sec. 64.1001 of this 
chapter;
    (13) Applications by Bell Operating Companies to provide in-region, 
interLATA services pursuant to Sec. 271(d) of the Communications Act; 
and
    (14) Petitions for Commission preemption of authority to review 
interconnection agreements under Sec. 252(e)(5) of the Communications 
Act and petitions for preemption under Sec. 253 of the Communications 
Act.

    Note 3 to paragraph (a):
    In a permit-but-disclose proceeding involving only one ``party,'' as 
defined in Sec. 1.1202(d) of this section, the party and the Commission 
may freely make presentations to each other and need not comply with the 
disclosure requirements of paragraph (b) of this section.

    (b) The following disclosure requirements apply to ex parte 
presentations in permit but disclose proceedings:
    (1) Written presentations. A person who makes a written ex parte 
presentation 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 
inclusion in the public record. The presentation (and cover letter) 
shall clearly 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 relates to more than one proceeding, 
two copies shall be filed for each proceeding. Alternatively, in 
rulemaking proceedings governed by Sec. 1.49(f), the person making the 
presentation may file one copy of the presentation electronically; 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 reflected in that person's written comments, memoranda or other 
filings in that proceeding shall, no later than the next business day 
after the presentation, submit to the Commission's Secretary, an 
original and one copy of a memorandum which summarizes the

[[Page 321]]

new data or arguments. Except in proceedings subject to Sec. 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 governed by Sec. 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 employees involved in the presentation through the 
Commission's electronic comment filing system. Memoranda must contain a 
summary of the substance of the ex parte presentation and not merely a 
listing of the subjects discussed. More than a one or two sentence 
description of the views and arguments presented is generally required. 
The memorandum (and cover letter) shall clearly identify the proceeding 
to which it relates, including the docket number, if any, shall indicate 
that an original and one copy have been submitted to the Secretary or 
that one copy has been filed electronically, 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 example, presentations occur in the form of discussion at 
a widely attended meeting, preparation of a memorandum as specified in 
the rule might be cumbersome. Under these circumstances, the rule may be 
satisfied by submitting a transcript or tape recording of the discussion 
as an alternative to a memorandum.

    (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 substantial significance and clearly 
intended to affect the ultimate decision. The Commission staff shall 
prepare a written summary of any such oral presentations 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 accordance with 
paragraph (b)(1) of this section.
    (4) Notice of ex parte presentations. The Commission's Secretary or, 
in the case of non-docketed proceedings, the relevant Bureau or Office 
shall place in the public file or record of the proceeding written ex 
parte presentations and memoranda reflecting oral ex parte 
presentations. The Secretary shall issue a public notice listing any 
written ex parte presentations or written summaries of oral ex parte 
presentations received by his or her office relating to any permit-but-
disclose proceeding. Such public notices should generally be released at 
least twice per week.

    Note 2 to paragraph (b):
    Interested persons should be aware that some ex parte filings, for 
example, those not filed in accordance 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



Sec. 1.1208  Restricted proceedings.

    Unless otherwise provided by the Commission or its staff pursuant to 
Sec. 1.1200(a) of this section, ex parte presentations (other than ex 
parte presentations exempt under Sec. 1.1204(a) of this section) to or 
from Commission decision-making personnel are prohibited in all 
proceedings not listed as exempt in Sec. 1.1204(b) or permit-but-
disclose in Sec. 1.1206(a) of this section until the proceeding is no 
longer subject to administrative reconsideration or review or judicial 
review. Proceedings in which ex parte presentations are prohibited, 
referred to as ``restricted'' proceedings,

[[Page 322]]

include, but are not limited to, all proceedings that have been 
designated for hearing, proceedings involving amendments to the 
broadcast table of allotments, 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 Sec. 1.1208: In a restricted proceeding involving only 
one ``party,'' as defined in Sec. 1.1202(d), the party and the 
Commission may freely make presentations to each other because there is 
no other party to be served or with a right to have an opportunity to be 
present. See Sec. 1.1202(b). Therefore, to determine whether 
presentations are permissible in a restricted proceeding without 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 Sec. 
1.1202(b) and would not be prohibited. On the other hand, in the example 
given, because the filer is a party, a third person who wished to make a 
presentation to the Commission concerning the application or waiver 
request would have to serve or notice the filer. Further, once the 
proceeding involved additional ``parties'' as defined by Sec. 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 Sec. 1.1208: Consistent with Sec. 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 specific parties 
and specify that the proceeding will be conducted in accordance with the 
provisions of Sec. 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



Sec. 1.1210  Prohibition on solicitation of presentations.

    No person shall solicit or encourage others to make any improper 
presentation under the provisions of this section.

[64 FR 68949, Dec. 9, 1999]

      Procedures for Handling of Prohibited Ex Parte Presentations



Sec. 1.1212  Procedures for handling of prohibited ex parte presentations.

    (a) Commission personnel who believe that an oral presentation which 
is being made to them or is about to be 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 receive oral ex parte presentations 
which they believe are prohibited shall forward to the Office of General 
Counsel a statement containing the following information:
    (1) The name of the proceeding;
    (2) The name and address of the person making the presentation and 
that person's relationship (if any) to the parties to the proceeding;
    (3) The date and time of the presentation, its duration, and the 
circumstances 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 statement was prepared.
    (c) Commission personnel who receive 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 apparent from the presentation itself, a statement describing 
those circumstances shall be submitted to the Office of General Counsel 
with the presentation.
    (d) Prohibited written ex parte presentations and all documentation 
relating 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 presentations pertain. Such 
materials may be considered in determining the merits of a restricted 
proceeding only if they

[[Page 323]]

are made part of the record and the parties are so informed.
    (e) If the General Counsel determines that an ex parte presentation 
or presentation during the Sunshine period is prohibited by this 
subpart, he or she shall notify the parties to the proceeding 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 presentation 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 declaration 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 public, the procedures in paragraphs 
(c) through (g) of this section will not be followed with respect to 
such correspondence. The correspondence will be placed in a public file 
and be made available for public inspection.

[62 FR 15857, Apr. 3, 1997]



Sec. 1.1214  Disclosure of information concerning violations of this 
subpart.

    Any party to a proceeding or any Commission employee who has 
substantial reason to believe that any violation of this subpart has 
been solicited, 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



Sec. 1.1216  Sanctions.

    (a) Parties. Upon notice and hearing, any party to a proceeding who 
directly or indirectly violates or causes the violation of any provision 
of this subpart, or who fails to report the facts and circumstances 
concerning any such violation as required by this subpart, may be 
disqualified from further participation 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, disregarded, or otherwise adversely affected. In any 
proceeding, such alternative 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 appropriate disciplinary or 
other remedial action as provided in part 19 of this chapter.
    (c) Other persons. Such sanctions as may be appropriate under the 
circumstances shall be imposed upon other persons who violate the 
provisions of this subpart.

[62 FR 15858, Apr. 3, 1997]



Subpart I_Procedures Implementing the National Environmental Policy Act 
                                 of 1969

    Source: 51 FR 15000, Apr. 22, 1986, unless otherwise noted.



Sec. 1.1301  Basis and purpose.

    The provisions of this subpart implement Subchapter I of the 
National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321-
4335.



Sec. 1.1302  Cross-reference; Regulations of the Council on Environmental 
Quality.

    A further explanation regarding implementation of the National 
Environmental Policy Act is provided by the

[[Page 324]]

regulations issued by the Council on Environmental Quality, 40 CFR 1500-
1508.28.



Sec. 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 
environment. To the extent that other provisions 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]



Sec. 1.1304  Information and assistance.

    For general information and assistance 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 application should be contacted.



Sec. 1.1305  Actions which normally will have a significant impact upon 
the environment, for which Environmental Impact Statements must be prepared.

    Any Commission action deemed to have a significant effect upon the 
quality of the human environment requires the preparation of a Draft 
Environmental Impact Statement (DEIS) and Final Environmental Impact 
Statement (FEIS) (collectively referred to as EISs) (see Sec. Sec. 
1.1314, 1.1315 and 1.1317). The Commission has reviewed representative 
actions and has found no common pattern which would enable it to specify 
actions that will thus automatically require EISs.

    Note: Our current application forms refer applicants to Sec. 1.1305 
to determine if their proposals are such that the submission of 
environmental information is required (see Sec. 1.1311). Until the 
application forms are revised to reflect our new environmental rules, 
applicants should refer to Sec. 1.1307. Section 1.1307 now delineates 
those actions for which applicants must submit environmental 
information.



Sec. 1.1306  Actions which are categorically excluded from environmental 
processing.

    (a) Except as provided in Sec. 1.1307 (c) and (d), Commission 
actions not covered by Sec. 1.1307 (a) and (b) are deemed individually 
and cumulatively to have no significant effect on the quality of the 
human environment and are categorically excluded from environmental 
processing.
    (b) Specifically, any Commission action with respect to any new 
application, or minor or major modifications of existing or authorized 
facilities or equipment, will be categorically excluded, provided such 
proposals do not:
    (1) Involve a site location specified under Sec. 1.1307(a) (1)-(7), 
or
    (2) Involve high intensity lighting under Sec. 1.1307(a)(8).
    (3) Result in human exposure to radiofrequency radiation in excess 
of the applicable safety standards specified in Sec. 1.1307(b).

    Note 1: The provisions of Sec. 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 Sec. 1.1307(a)(4) of this 
part is applicable. Such antennas are subject to Sec. 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 Sec. 1.1307(b) of this part. The 
provisions of Sec. 1.1307 (a) and (b) of this part do not encompass the 
installation of aerial wire or cable over existing aerial 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 applicant or others. The use of existing buildings, 
towers or corridors is an environmentally desirable alternative to the 
construction of new facilities and is encouraged. The provisions of 
Sec. 1.1307(a) and (b) of this part do not encompass the construction 
of new submarine 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 Sec. Sec. 1.1307 and 1.1308.
    Note 3: The construction of an antenna tower or supporting structure 
in an established ``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 categorically 
excluded unless one or more of the antennas to be mounted on the tower 
or structure are subject to the provisions of Sec. 1.1307(b) and the 
additional radiofrequency radiation from the antenna(s) on the new tower 
or structure would cause human exposure in excess of

[[Page 325]]

the applicable health and safety guidelines cited in Sec. 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]



Sec. 1.1307  Actions that may have a significant 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 Sec. Sec. 1.1308 and 1.1311) 
and may require further Commission environmental processing (see 
Sec. Sec. 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 preserve.
    (3) Facilities that: (i) May affect listed threatened or endangered 
species or designated critical habitats; or (ii) are likely to 
jeopardize the continued existence of any proposed endangered or 
threatened species or likely to result in the destruction or adverse 
modification of proposed critical habitats, as determined by the 
Secretary of the Interior pursuant to the Endangered Species Act of 
1973.

    Note: The list of endangered and threatened species is contained in 
50 CFR 17.11, 17.22, 222.23(a) and 227.4. The list of designated 
critical habitats is contained in 50 CFR 17.95, 17.96 and part 226. To 
ascertain the status of proposed species and habitats, inquiries may be 
directed to the Regional Director of the Fish and Wildlife Service, 
Department of the Interior.

    (4) Facilities that may affect districts, sites, buildings, 
structures or objects, significant in American history, architecture, 
archeology, engineering 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 60 and 800.)

    Note: The National Register is updated and re-published in the 
Federal Register each year in February. To ascertain whether a proposal 
affects a historical property of national significance, inquiries also 
may be made to the appropriate State Historic Preservation Officer, see 
16 U.S.C. 470a(b); 36 CFR parts 63 and 800.

    (5) Facilities that may affect Indian religious sites.
    (6) Facilities to be located in a flood Plain (See Executive Order 
11988.)
    (7) Facilities whose construction will involve significant change in 
surface features (e.g., wetland fill, deforestation 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 neighborhoods, as defined by the applicable zoning law.
    (b) In addition to the actions listed in paragraph (a) of this 
section, Commission actions granting construction permits, licenses to 
transmit or renewals thereof, equipment authorizations or modifications 
in existing facilities, require the preparation of an Environmental 
Assessment (EA) if the particular facility, operation or transmitter 
would cause human exposure to levels of radiofrequency radiation in 
excess of the limits in Sec. Sec. 1.1310 and 2.1093 of this chapter. 
Applications to the Commission for construction permits, 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 request. Such compliance statements may be omitted from license 
applications for transceivers subject to the certification requirement 
in Sec. 25.129 of this chapter.
    (1) The appropriate exposure limits in Sec. Sec. 1.1310 and 2.1093 
of this chapter are generally applicable to all facilities, operations 
and transmitters regulated by the Commission. However, a determination 
of compliance with the exposure limits in Sec. 1.1310 or Sec. 2.1093 
of this chapter (routine environmental evaluation), and preparation of 
an EA if the limits are exceeded, is necessary only for facilities, 
operations and transmitters that fall into the categories listed

[[Page 326]]

in table 1, or those specified in paragraph (b)(2) of this section. All 
other facilities, operations and transmitters are categorically excluded 
from making 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 effective radiated power 
(ERP), equivalent isotropically radiated power (EIRP), or peak envelope 
power (PEP), as defined in Sec. 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 Specialized 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 operating 
transmitters owned and operated by a single licensee. When applying the 
criteria of table 1, radiation in all directions should be considered. 
For the case of transmitting facilities using sectorized transmitting 
antennas, applicants 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)
Multipoint Distribution Service        Non-building-mounted antennas:
 (subpart K of part 21).                height above ground level to
                                        lowest point of antenna < 10 m
                                        and power  1640 W
                                        EIRP
                                       Building-mounted antennas: power
                                         1640 W EIRP
                                       MDS 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 distance
                                        required between users and
                                        transceiver antennas; and
                                       (2) references the applicable FCC-
                                        adopted limits for
                                        radiofrequency exposure
                                        specified in Sec. 1.1310.
Paging and Radiotelephone Service      Non-building-mounted antennas:
 (subpart E of part 22).                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        Non-building-mounted antennas:
 (subpart H of part 22).                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       (1) Narrowband PCS (subpart D):
 (part 24).                             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 (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 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 exposure
                                        specified in Sec. 1.1310 of
                                        this chapter.
General Wireless Communications        Total power of all channels  1640 W EIRP
Wireless Communications Service (Part  (1) for the 1390-1392 MHz, 1392-
 27).                                   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).

[[Page 327]]

 
                                       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).
Radio Broadcast Services (part 73)...  All included
Experimental, auxiliary, and special   Subparts A, G, L: power  100 W ERP
 distributional services (part 74).    Subpart I: 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
                                       ITFS 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 distance
                                        required between users and
                                        transceiver antennas; and
                                       (2) references the applicable FCC-
                                        adopted limits for
                                        radiofrequency exposure
                                        specified in Sec. 1.1310.
Stations in the Maritime Services      Ship earth stations only
 (part 80).
Private Land Mobile Radio Services     Non-building-mounted antennas:
 Paging Operations (part 90).           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     Non-building-mounted antennas:
 Specialized Mobile Radio (part 90).    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 Sec.
                                        97.13(c)(1) of this chapter
Local Multipoint Distribution Service  Non-building-mounted antennas:
 (subpart L of part 101) and 24 GHz     height above ground level to
 (subpart G of part 101).               lowest point of antenna <10 m
                                        and power1640 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 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 radio-
                                        frequency exposure specified in
                                        Sec. 1.1310
70/80/90 GHz Bands (subpart Q of part  Non-building-mounted antennas:
 101).                                  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 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 exposure
                                        specified in Sec. 1.1310.
------------------------------------------------------------------------

    (2) Mobile and portable transmitting devices that operate in the 
Cellular Radiotelephone Service, the Personal Communications Services 
(PCS), the Satellite Communications Services, the General Wireless 
Communications Service, the Wireless Communications Service, the 
Maritime Services (ship earth stations only) and the Specialized Mobile 
Radio Service authorized under Subpart H of parts 22, 24, 25, 26, 27, 
80, and 90 of this chapter are subject to routine environmental 
evaluation for RF exposure prior to equipment authorization or use, as 
specified in Sec. Sec. 2.1091 and 2.1093 of this chapter. Unlicensed 
PCS, unlicensed NII and millimeter wave devices are also subject to 
routine environmental evaluation for RF exposure prior to equipment 
authorization or use, as specified in Sec. Sec. 15.253(f), 15.255(g), 
15.319(i), and 15.407(f) of this chapter. Portable transmitting 
equipment for use in the Wireless Medical Telemetry Service (WMTS) is 
subject to routine environment evaluation as specified in Sec. Sec. 
2.1093 and 95.1125 of this chapter. Equipment authorized for use in the 
Medical Implant Communications Service (MICS) as a medical implant 
transmitter (as defined in Appendix 1 to Subpart E of

[[Page 328]]

part 95 of this chapter) is subject to routine environmental evaluation 
for RF exposure prior to equipment authorization, as specified in Sec. 
2.1093 of this chapter by finite difference time domain computational 
modeling or laboratory measurement 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 Sec. Sec. 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 Sec. 1.1310 are 
exceeded in an accessible area due to the emissions from multiple fixed 
transmitters, actions necessary to bring the area into compliance are 
the shared responsibility of all licensees whose transmitters produce, 
at the area in question, power density levels that exceed 5% of the 
power density exposure limit applicable 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 contained in Sec. 1.1307(b) and, where feasible, 
should encourage co-location of transmitters and common solutions for 
controlling access to areas where the RF exposure limits contained in 
Sec. 1.1310 might be exceeded.
    (i) Applicants for proposed (not otherwise excluded) transmitters, 
facilities or modifications that would cause non-compliance with the 
limits specified in Sec. 1.1310 at an accessible area previously 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 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 transmitter or facility.
    (ii) Renewal applicants whose (not otherwise excluded) transmitters 
or facilities contribute to the field strength or power density at an 
accessible area not in compliance with the limits specified in Sec. 
1.1310 must submit an EA if emissions from the applicant's transmitter 
or facility results, at the area in question, in a power density that 
exceeds 5% of the power density exposure 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 transmitter of facility.
    (4) Transition Provisions. Applications filed with the Commission 
prior to October 15, 1997 (or January 1, 1998, for the Amateur Radio 
Service only), for construction permits, licenses to transmit or 
renewals thereof, modifications in existing facilities or other 
authorizations or renewals thereof require the preparation of an 
Environmental Assessment if the particular facility, operation or 
transmitter would cause human exposure to levels of radiofrequency 
radiation that are in excess of the requirements contained in paragraphs 
(b)(4)(i) through (b)(4)(iii) of this section. In accordance with Sec. 
1.1312, if no new application or Commission action is required for a 
licensee 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 provisions of paragraph (b)(1) of this 
section. These transition provisions do not apply to applications for 
equipment authorization or use for mobile, portable and unlicensed 
devices as specified in paragraph (b)(2) of this section.
    (i) For facilities and operations licensed 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 Frequency Electromagnetic Fields, 300 kHz to 100 
GHz'', (ANSI C95.1-1982),

[[Page 329]]

issued by the American National Standards Institute (ANSI) and copyright 
1982 by the Institute of Electrical and Electronics Engineers, Inc., New 
York, New York shall apply. With respect to subpart K of part 21 and 
subpart I of part 74 of this chapter, these requirements apply only to 
multipoint distribution service and instructional television fixed 
service stations transmitting 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 transmitting 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 licensed or authorized under part 
24 of this chapter, licensees and manufacturers are required to ensure 
that their facilities and equipment comply with IEEE C95.1-1991 (ANSI/
IEEE C95.1-1992), ``Safety Levels With Respect to Human Exposure to 
Radio Frequency Electromagnetic Fields, 3 kHz to 300 GHz.'' Measurement 
methods are specified in IEEE C95.3-1991, ``Recommended Practice for the 
Measurement of Potentially 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 limits for both ``controlled'' and 
``uncontrolled'' environments, as defined by IEEE C95.1-1991, will apply 
to all PCS base and mobile stations, as appropriate.
    (iii) Applications for all other types of facilities and operations 
are categorically excluded from routine RF radiation evaluation except 
as provided in paragraphs (c) and (d) of this section.
    (5) Existing transmitting facilities, devices and operations: All 
existing transmitting facilities, operations and devices regulated by 
the Commission must be in compliance with the requirements of paragraphs 
(b)(1) through (b)(3) of this section by September 1, 2000, or, if not 
in compliance, file an Environmental Assessment as specified in Sec. 
1.1311.
    (c) If an interested person alleges that a particular action, 
otherwise categorically excluded, will have a significant environmental 
effect, the person shall submit to the Bureau responsible for processing 
that action a written petition setting forth in detail the reasons 
justifying or circumstances necessitating environmental consideration in 
the decision-making process. (See Sec. 1.1313). The Bureau shall review 
the petition and consider the environmental concerns that have been 
raised. If the Bureau determines that the action may have a significant 
environmental impact, the Bureau will require the applicant to prepare 
an EA (see Sec. Sec. 1.1308 and 1.1311), which will serve as the basis 
for the determination to proceed with or terminate environmental 
processing.
    (d) If the Bureau responsible for processing a particular action, 
otherwise categorically excluded, determines that the proposal may have 
a significant environmental impact, the Bureau, on its own motion, shall 
require the applicant to submit an EA. The Bureau 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 modification of personal 
wireless service facilities on the basis of the environmental effects of 
radio frequency emissions to the extent that such facilities comply with 
the regulations contained in this chapter concerning the environmental 
effects of such emissions. For purposes of this paragraph:
    (1) The term personal wireless service means commercial mobile 
services, unlicensed wireless services, and common carrier wireless 
exchange access services;
    (2) The term personal wireless service facilities means facilities 
for the provision of personal wireless services;
    (3) The term unlicensed wireless services means the offering of 
telecommunications services using duly authorized devices which do not 
require individual licenses, but does not mean the provision of direct-
to-home satellite services; and

[[Page 330]]

    (4) The term direct-to-home satellite services means the 
distribution or broadcasting of programming or services by satellite 
directly to the subscriber's premises without the use of ground 
receiving or distribution equipment, except at the subscriber's premises 
or in the uplink process to the satellite.

[51 FR 15000, Apr. 22, 1986]

    Editorial Note: For Federal Register citations affecting Sec. 
1.1307, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.

    Effective Date Note: At 69 FR 5709, Feb. 6, 2004, Sec. 1.1307 was 
amended by adding a fourth sentence to paragraph (b) introductory text. 
This amendment contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 1.1308  Consideration of environmental assessments (EAs); findings 
of no significant impact.

    (a) Applicants shall prepare EAs for actions that may have a 
significant environmental impact (see Sec. 1.1307). An EA is described 
in detail in Sec. 1.1311 of this part of the Commission rules.
    (b) The EA is a document which shall explain the environmental 
consequences of the proposal and set forth sufficient analysis for the 
Bureau or the Commission to reach a determination that the proposal will 
or will not have a significant environmental effect. To assist in making 
that determination, the Bureau or the Commission 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 Sec. 1.1307 (a)(3) 
and (a)(4), the Commission shall solicit and consider the comments of 
the Department of Interior, and the State Historic Preservation Officer 
and the Advisory Council on Historic Preservation, respectively, in 
accordance with their established procedures. See Interagency 
Cooperation--Endangered Species Act of 1973, as amended, 50 CFR part 
402; Protection of Historic 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 Sec. 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 impact upon the quality 
of the human environment, it will so inform the applicant. The applicant 
will then have an opportunity to amend its application so as to reduce, 
minimize, or eliminate environmental problems. See Sec. 1.1309. If the 
environmental problem is not eliminated, the Bureau will publish in the 
Federal Register a Notice of Intent (see Sec. 1.1314) that EISs will be 
prepared (see Sec. Sec. 1.1315 and 1.1317), or
    (d) If the Bureau or Commission determines, based on an independent 
review 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 application will be 
processed without further documentation of environmental effect. 
Pursuant to CEQ regulations, see 40 CFR 1501.4 and 1501.6, the applicant 
must provide the community notice 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]



Sec. 1.1309  Application amendments.

    Applicants are permitted to amend their applications to reduce, 
minimize or eliminate potential environmental problems. As a routine 
matter, an applicant will be permitted to amend its application within 
thirty (30) days after the Commission or the Bureau informs the 
applicant that the proposal will have a significant impact upon the 
quality of the human environment (see Sec. 1.1308(c)). The period of 
thirty (30) days may be extended upon a showing of good cause.

[[Page 331]]



Sec. 1.1310  Radiofrequency radiation exposure limits.

    The criteria listed in table 1 shall be used to evaluate the 
environmental impact of human exposure to radiofrequency (RF) radiation 
as specified in Sec. 1.1307(b), except in the case of portable devices 
which shall be evaluated according to the provisions of Sec. 2.1093 of 
this chapter. Further information on evaluating compliance with these 
limits can be found in the FCC's OST/OET Bulletin Number 65, 
``Evaluating Compliance 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 National 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 Section 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 Electronics Engineers, 
Inc., New York, New York 10017.

                             Table 1--Limits for Maximum Permissible Exposure (MPE)
----------------------------------------------------------------------------------------------------------------
                                        Electric field     Magnetic field     Power density      Averaging time
       Frequency range  (MHz)          strength  (V/m)    strength  (A/m)       (mW/cm\2\)         (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/f\2\)                  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/f\2\)                 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 occupational/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 exposed, 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.


[61 FR 41016, Aug. 7, 1996]



Sec. 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 Sec. 1.1307). The EA shall 
contain the following information:
    (1) For antenna towers and satellite earth stations, a description 
of the facilities 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 lighting is proposed or utilized within a 
residential area, the EA must also address the impact of this lighting 
upon the residents.
    (2) A statement as to the zoning classification of the site, and 
communications with, or proceedings before and determinations (if any) 
made by zoning, planning, environmental or other local, state or Federal 
authorities on matters relating to environmental effect.

[[Page 332]]

    (3) A statement as to whether construction of the facilities has 
been a source of controversy on environmental grounds in the local 
community.
    (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 considered.
    (5) Any other information that may be requested by the Bureau or 
Commission.
    (6) If endangered or threatened species or their critical habitats 
may be affected, the applicant's analysis must utilize the best 
scientific and commercial 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 sufficient detail to 
explain the environmental consequences and to enable the Commission or 
Bureau, after an independent review of the EA, to reach a determination 
concerning the proposal's environmental impact, if any. The EA shall 
deal specifically with any feature of the site which has special 
environmental significance (e.g., wilderness areas, wildlife preserves, 
natural migration paths for birds and other wildlife, and sites of 
historic, architectural, or archeological value). In the case of 
historically significant sites, it shall specify the effect of the 
facilities on any district, site, building, structure or object listed, 
or eligible for listing, in the National Register of Historic 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 intrusion 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 Federal land use authorities.
    (d) To the extent that such information 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]



Sec. 1.1312  Facilities for which no preconstruction authorization is 
required.

    (a) In the case of facilities for which no Commission authorization 
prior to construction is required by the Commission's rules and 
regulations the licensee or applicant shall initially ascertain whether 
the proposed facility may have a significant environmental impact as 
defined in Sec. 1.1307 of this part or is categorically excluded from 
environmental processing under Sec. 1.1306 of this part.
    (b) If a facility covered by paragraph (a) of this section may have 
a significant environmental impact, the information required by Sec. 
1.1311 of this part shall be submitted by the licensee or applicant and 
ruled on by the Commission, and environmental processing (if invoked) 
shall be completed, see Sec. 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 excluded from environmental processing, the licensee or 
applicant may proceed with construction and operation of the facility in 
accordance with the applicable licensing rules and procedures.
    (d) If, following the initiation of construction under this section, 
the licensee or applicant discovers that the proposed facility may have 
a significant environmental effect, it shall immediately cease 
construction which may have that effect, and submit the information 
required by Sec. 1.1311 of this part. The Commission shall rule on that 
submission and complete further

[[Page 333]]

environmental processing (if invoked), see Sec. 1.1308 of this part, 
before such construction is resumed.
    (e) Paragraphs (a) through (d) of this section shall not apply to 
the construction of mobile stations.

[55 FR 20396, May 16, 1990, as amended at 56 FR 13414, Apr. 2, 1991]



Sec. 1.1313  Objections.

    (a) In the case of an application to which section 309(b) of the 
Communications 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 construction permit, 
or prior to authorization for facilities that do not require 
construction permits, or pursuant to the applicable rules governing 
services subject to lotteries.



Sec. 1.1314  Environmental impact statements (EISs).

    (a) Draft Environmental Impact Statements (DEISs) (Sec. 1.1315) and 
Final Environmental Impact Statements (FEISs) (referred to collectively 
as EISs) (Sec. 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 (Sec. 1.1308) indicates that the proposal will have a 
significant effect upon the environment and the matter has not been 
resolved 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 environmental 
issues and concerns presented by the subject application, and generally 
invite participation from affected or involved agencies, authorities and 
other interested persons.
    (c) The EISs shall not address non-environmental considerations. To 
safeguard against repetitive and unnecessarily lengthy documents, the 
Statements, where feasible, shall incorporate by reference material set 
forth in previous documents, with only a brief summary of its content. 
In preparing the EISs, the Bureau will identify and address the 
significant environmental issues and eliminate the insignificant issues 
from analysis.
    (d) To assist in the preparation of the EISs, the Bureau may request 
further information from the applicant, interested persons and agencies 
and authorities, which have jurisdiction by law or which have relevant 
expertise. The Bureau may direct that technical studies be made by the 
applicant and that the applicant obtain expert opinion concerning 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 alternatives to the proposed 
facilities that are not, or are less, objectionable. The Bureau may also 
direct that objections 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 processing the particular application 
and, thus, preparing the EISs shall draft supplements to Statements 
where significant new circumstances occur or information arises relevant 
to environmental 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 applicant must provide the 
community with notice of the availability of environmental documents and 
the scheduling 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 decision shall be made until 
ninety (90) days after the Notice of Availability of the Draft 
Environmental Impact Statement is published in the Federal Register, and 
thirty (30) days after the Notice of Availability of the Final 
Environmental Impact Statement is published in the Federal Register, 
which time period may run concurrently, See

[[Page 334]]

40 CFR 1506.10(c); see also Sec. Sec. 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]



Sec. 1.1315  The Draft Environmental Impact Statement (DEIS); Comments.

    (a) The DEIS shall include:
    (1) A concise description of the proposal, 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 indicating 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 summaries, 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 summaries will be mailed 
with a request for comment to Federal agencies having jurisdiction by 
law or special expertise, to the Council on Environmental Quality, to 
the applicant, to individuals, 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 comment on the DEIS and the 
environmental 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 
submitting comments is especially qualified in any way to comment on the 
environmental 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 comments within 15 days after the 
time for filing comments has expired. Reply comments shall be filed with 
the Commission in the same manner as comments, and shall be served by 
the applicant 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.



Sec. 1.1317  The Final Environmental Impact Statement (FEIS).

    (a) After receipt of comments and reply comments, the Bureau will 
prepare a FEIS, which shall include a summary of the comments, and a 
response to the comments, and an analysis of the proposal in terms of 
its environmental consequences, and any reasonable alternatives, and 
recommendations, if any, and shall cite the Commission's internal appeal 
procedures (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 Sec. 1.1315. Copies of the comments 
and reply comments, or summaries thereof where the record is voluminous, 
shall be attached to the FEIS.



Sec. 1.1319  Consideration of the environmental impact statements.

    (a) If the action is subject to a hearing:
    (1) In rendering his initial decision, the Administrative Law Judge 
shall utilize the FEIS in considering the environmental issues, together 
with all other non-environmental issues. In a comparative context, the 
respective parties shall be afforded the opportunity to comment on the 
FEIS, and the Administrative Law Judge's decision shall contain an 
evaluation of the

[[Page 335]]

respective applications based on environmental and non-environmental 
public interest factors.
    (2) Upon review of an initial decision, the Commission will consider 
and assess all aspects of the FEIS and will render its decision, giving 
due consideration to the environmental and nonenvironmental 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 ensure that the environmental effects are specifically 
assessed and given comprehensive 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.



Sec. 1.1401  Purpose.

    The rules and regulations contained in subpart J of this part 
provide complaint and enforcement procedures to ensure that 
telecommunications carriers 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]



Sec. 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 controls 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 person that is cooperatively organized, or any 
person owned by the Federal Government or any State.
    (b) The term pole attachment means any attachment by a cable 
television system or provider of telecommunications service to a pole, 
duct, conduit, or right-of-way owned or controlled by a utility.
    (c) With respect to poles, the term usable 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 equipment, and which 
includes space occupied 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 services, and which includes 
capacity occupied 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 
association of telecommunications carriers alleging that it has been 
denied access to a utility pole, duct, conduit, or right-of-way in 
violation of this subpart and/or that a rate, term, or condition 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 telecommunications carrier, or an association of 
telecommunications carriers 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 instrumentality 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 telecommunications services (as 
defined in 47 U.S.C. 226) or incumbent local exchange carriers (as 
defined in 47 U.S.C. 251(h)).
    (i) The term conduit means a structure containing one or more ducts, 
usually placed in the ground, in which cables or wires may be installed.
    (j) The term conduit system means a collection of one or more 
conduits together with their supporting infrastructure.

[[Page 336]]

    (k) The term duct means a single enclosed 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, including the amount required 
to set the depth of the pole.
    (m) The term attaching entity includes cable system operators, 
telecommunications carriers, incumbent and other local exchange 
carriers, utilities, governmental entities and other entities with a 
physical attachment to the pole, duct, conduit or right of way. It does 
not include governmental entities 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]



Sec. 1.1403  Duty to provide access; modifications; notice of removal, 

increase or modification; petition for temporary stay; and cable 
operator notice.

    (a) A utility shall provide a cable television system or any 
telecommunications 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 
system or any telecommunications carrier access to its poles, ducts, 
conduits, or rights-of-way, on a non-discriminatory basis where there is 
insufficient capacity 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 
relevant evidence and information supporting its denial, and shall 
explain how such evidence and information relate to a denial of access 
for reasons of lack of capacity, safety, reliability or engineering 
standards.
    (c) A utility shall provide a cable television system operator or 
telecommunications carrier no less than 60 days written notice prior to:
    (1) Removal of facilities or termination of any service to those 
facilities, such removal or termination arising 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 emergencies.
    (d) A cable television system operator or telecommunications carrier 
may file a ``Petition for Temporary Stay'' of the action contained in a 
notice 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 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 Sec. 
1.1404(b). The named respondent may file an answer within 7 days of the 
date the Petition for Temporary Stay was filed. No further filings under 
this section will be considered unless requested or authorized by the 
Commission and no extensions of time will be granted unless justified 
pursuant to Sec. 1.46.5.
    (e) Cable operators must notify pole owners upon offering 
telecommunications 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, Sec. 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.



Sec. 1.1404  Complaint.

    (a) The complaint shall contain the name and address of the 
complainant,

[[Page 337]]

name and address of the respondent, and shall contain a verification (in 
the form in Sec. 1.721(b)), signed by the complainant or officer 
thereof if complainant is a corporation, showing complainant's direct 
interest in the matter complained of. Counsel for the complainant may 
sign the complaint. Complainants may join together to file a joint 
complaint. Complaints filed by associations shall specifically identify 
each utility, cable television system operator, or telecommunications 
carrier who is a party to the complaint and shall be accompanied by a 
document from each identified member certifying that the complaint is 
being filed on its behalf.
    (b) The complaint shall be accompanied 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 complainant or respondent.
    (c) In a case where it is claimed that a rate, term, or condition is 
unjust or unreasonable, the complaint shall contain a statement that the 
State has not certified to the Commission that it regulates the rates, 
terms and conditions for pole attachments. The complaint shall include a 
statement that the utility 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 accompanied by a copy of the pole 
attachment agreement, if any, between the cable system operator or 
telecommunications carrier and the utility. If there is no present pole 
attachment agreement, 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 television system operator or 
telecommunications carrier currently has attachments on the poles, 
ducts, conduits, 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 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.
    (1) The data and information shall include, where applicable:
    (i) The gross investment by the utility 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 available;
    (v) The total number of poles:
    (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 attributable 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 accumulated deferred taxes if it is at

[[Page 338]]

issue in the proceeding and shall note the section which specifically 
determines the treatment and amount of accumulated 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 return if the rate of return is at issue in the 
proceeding and shall note the section which specifically establishes 
this authorized rate and whether the decision is subject to further 
proceedings 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;
    (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 presumption may be used in lieu of 
actual measurement, but the presumption may be rebutted); and
    (xiii) Reimbursements received from CATV operators and 
telecommunications 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 connection with these 
figures should be provided to the complainant. The complainant shall 
also specify any other information and argument relied upon to attempt 
to establish that a rate, term, or condition is not just and reasonable.
    (h) With respect to attachments within a duct or conduit system, 
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.
    (1) The data and information shall include, where applicable:
    (i) The gross investment by the utility for conduit;
    (ii) The accumulated depreciation from the gross conduit investment;
    (iii) The system duct length or system 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 conduit 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 presumed to occupy one-half 
duct.
    (vii) The annual carrying charges attributable to the cost of owning 
conduit. 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 
issue in the proceeding and shall note the section which specifically 
determines the treatment and amount of accumulated 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 establishes 
this authorized rate and whether the decision is subject to further 
proceedings 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 
telecommunications 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

[[Page 339]]

source). Calculations made in connection with these figures should be 
provided to the complainant. The complainant shall also specify any 
other information and argument relied upon to attempt to establish that 
a rate, term, or condition is not just and reasonable.
    (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 include, where 
applicable, equivalent information 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 telecommunications carrier by the utility upon reasonable 
request, the cable television operator or telecommunications carrier 
shall include a statement indicating the steps taken to obtain the 
information 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 reasonable request. A utility must supply a 
cable television operator or telecommunications carrier the information 
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 operator or telecommunications carrier. The cable television 
operator or telecommunications carrier, in turn, shall submit these 
pages with its complaint. If the utility did not supply these pages to 
the cable television operator or telecommunications carrier in response 
to the information request, the utility shall supply this information in 
its response to the complaint.
    (k) The complaint shall include a brief summary of all steps taken 
to resolve the problem prior to filing. If no such steps were taken, the 
complaint shall state the reason(s) why it believed such steps were 
fruitless.
    (l) Factual allegations shall be supported by affidavit of a person 
or persons 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 
telecommunications 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. Sec. 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, conduits and rights-of-way;
    (2) The basis for the complainant's claim that the denial of access 
is improper;
    (3) The remedy sought by the complainant;
    (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 information given by the utility to support its denial of 
access. A complaint alleging improper denial of access will not be 
dismissed if the complainant is unable to obtain a utility's written 
response, or if the utility denies the complainant 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, Sec. 1.1404 
was amended by redesignating 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, Sec. 1.1404 
was amended by removing paragraph (k), redesignating paragraphs

[[Page 340]]

(l), (m), and (n) as (k), (l), and (m), respectively, and revising 
paragraphs (g), (h), and the third sentence of paragraph (j). The 
revised text contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 1.1405  File numbers.

    Each complaint which appears to be essentially complete under Sec. 
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. Petitions for temporary stay will also be assigned a file 
number upon receipt.

[44 FR 31650, June 1, 1979]



Sec. 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 
Sec. 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 designated, in whole or in part, for 
wire communication or if the utility does not meet the criteria of Sec. 
1.1402(a) of this subpart.
    (b) If the complaint does not contain substantially all the 
information required under Sec. 1.1404 the Commission may dismiss the 
complaint or may require the complainant to file additional information. 
The complaint shall not be dismissed if the information is not available 
from public records or from the respondent utility after reasonable 
request.
    (c) Failure by the complainant to respond 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 complaint may be refiled no earlier than six months 
from the date it was so dismissed.

[43 FR 36094, Aug. 15, 1978, as amended at 44 FR 31650, June 1, 1979]



Sec. 1.1407  Response and reply.

    (a) Respondent shall have 30 days from the date the complaint was 
filed within which to file a response. Complainant 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 unless justification is 
shown pursuant to Sec. 1.46. Except as otherwise provided in Sec. 
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 affidavit of a person or persons with actual 
knowledge of the facts and exhibits shall be verified by the person who 
prepares them. The response, reply, and other pleadings may be signed by 
counsel.
    (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 respondent'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]



Sec. 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 
conformity with the requirements of Sec. Sec. 1.49, 1.50 and 1.52.



Sec. 1.1409  Commission consideration of the complaint.

    (a) In its consideration of the complaint, response, and reply, the 
Commission may take notice of any information contained in publicly 
available filings made by the parties and may accept, subject to 
rebuttal, studies that

[[Page 341]]

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 Commission, 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 information 
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. Sec. 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 
percentage of the total usable space, or the percentage of the total 
duct or conduit capacity, which is occupied by the pole attachment by 
the sum of the operating 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 dispute regarding charges for 
pole attachments and the Commission's complaint procedures under Section 
1.1404 are invoked, 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 operators providing cable services. This formula shall also apply 
to attachments to poles by any telecommunications carrier (to the extent 
such carrier is not a party to a pole attachment agreement) or cable 
operator providing telecommunications services until February 8, 2001:
[GRAPHIC] [TIFF OMITTED] TR29JN01.011

[GRAPHIC] [TIFF OMITTED] TR29JN01.012

    (2) Subject to paragraph (f) of this section the following formula 
shall apply to attachments to poles by any telecommunications carrier 
(to the extent such carrier is not a party to a pole attachment 
agreement) or cable operator providing telecommunications services 
beginning February 8, 2001:

[[Page 342]]

[GRAPHIC] [TIFF OMITTED] TR29JN01.013


    (3) The following formula shall apply to attachments to conduit by 
cable operators and telecommunications carriers:
[GRAPHIC] [TIFF OMITTED] TR29JN01.014

    simplified as:
    [GRAPHIC] [TIFF OMITTED] TR29JN01.015
    
    If no inner-duct is installed the fraction, ``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 beginning on the effective date of 
such regulations in equal annual increments. The five-year phase-in is 
to apply to rate increases only. Rate reductions are to be implemented 
immediately. The determination of any rate increase shall be based on 
data currently available at the time of the calculation 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]



Sec. 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 unreasonable 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 appropriate. The refund or 
payment will

[[Page 343]]

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 acceptable, was filed, 
plus interest.

[44 FR 31650, June 1, 1979]



Sec. 1.1411  Meetings and hearings.

    The Commission may decide each complaint upon the filings and 
information before it, may require one or more informal meetings with 
the parties to clarify the issues or to consider settlement of the 
dispute, or may, in its discretion, order evidentiary procedures upon 
any issues it finds to have been raised by the filings.



Sec. 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 violating the Commission's order.



Sec. 1.1413  Forfeiture.

    (a) If any person willfully fails to obey any order imposed under 
this subpart, or any Commission rule, or
    (b) If any person shall in any written response to Commission 
correspondence or inquiry or in any application, pleading, report, or 
any other written statement submitted to the Commission pursuant to this 
subpart make any misrepresentation bearing on any matter within the 
jurisdiction of the Commission, the Commission may, in addition to any 
other remedies, including criminal penalties under section 1001 of Title 
18 of the United States Code, impose a forfeiture pursuant to section 
503(b) of the Communications Act, 47 U.S.C. 503(b).



Sec. 1.1414  State certification.

    (a) If the Commission does not receive certification from a state 
that:
    (1) It regulates rates, terms and conditions for pole attachments;
    (2) In so regulating such rates, terms and conditions, the state has 
the authority to consider and does consider the interests of the 
subscribers of cable television services as well as the interests 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 attachments.
    (b) Upon receipt of such certification, the Commission shall give 
public notice. 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 notify the parties involved and shall give public notice 
thereof.
    (d) Certification shall be by order of the state regulatory body or 
by a person 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 instrument conferring such authority.
    (e) Notwithstanding any such certification, jurisdiction will revert 
to this Commission with respect to any individual matter, unless the 
state takes final action on a complaint regarding such matter:
    (1) Within 180 days after the complaint is filed with the state, or
    (2) Within the applicable periods prescribed 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]



Sec. 1.1415  Other orders.

    The Commission may issue such other orders and so conduct its 
proceedings as will best conduce to the proper dispatch of business and 
the ends of justice.

[[Page 344]]



Sec. 1.1416  Imputation of rates; modification costs.

    (a) A utility that engages in the provision of telecommunications 
services or cable services shall impute to its costs of providing such 
services (and charge any affiliate, subsidiary, or associate company 
engaged in the provision 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 obtain access to the facility as a result of the modification and 
by all parties that directly benefit from the modification. Each party 
described in the preceding sentence shall share proportionately in the 
cost of the modification. A party with a preexisting attachment to the 
modified facility shall be deemed to directly benefit from a 
modification if, after receiving notification of such modification as 
provided in subpart J of this part, it adds to or modifies its 
attachment. Notwithstanding the foregoing, a party with a preexisting 
attachment to a pole, conduit, duct or right-of-way shall not be 
required to bear any of the costs of rearranging or replacing its 
attachment if such rearrangement or replacement is necessitated solely 
as a result of an additional attachment or the modification 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]



Sec. 1.1417  Allocation of Unusable Space Costs.

    (a) With respect to the formula referenced in Sec. 1.1409(e)(2), a 
utility shall apportion the cost of providing unusable space on a pole 
so that such apportionment 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 rebuttable presumptive averages 
when calculating the number of attaching entities with respect to the 
formula referenced in Sec. 1.1409(e)(2). For non-urbanized service 
areas (under 50,000 population), a presumptive average number of 
attaching entities of three (3). For urbanized service areas (50,000 or 
higher population), a presumptive average number of attaching entities 
of five (5). If any part of the utility's service area within the state 
has a designation of urbanized (50,000 or higher population) by the 
Bureau of Census, United States Department of Commerce, then all of that 
service area shall be designated as urbanized for purposes of 
determining the presumptive average number of attaching entities.
    (d) A utility may establish its own presumptive average number of 
attaching 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 methodology and information upon 
which the utilities presumptive average number of attachers is based.
    (2) Each utility is required to exercise good faith in establishing 
and updating its presumptive average number of attachers.
    (3) The presumptive average number of attachers may be challenged by 
an attaching entity by submitting information demonstrating why the 
utility's presumptive average is incorrect. The attaching entity should 
also submit what it believes should be the presumptive average and the 
methodology used. Where a complete inspection is impractical, a 
statistically sound survey may be submitted.
    (4) Upon successful challenge of the existing presumptive average 
number of attachers, the resulting data determined 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, Sec. 1.1417 was 
added. The section contains information collection and recordkeeping 
requirements and will not become

[[Page 345]]

effective until approval has been given by the Office of Management and 
Budget.



Sec. 1.1418  Use of presumptions in calculating the space factor.

    With respect to the formulas referenced in Sec. 1.1409(e)(1) and 
Sec. 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 Proceedings

    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



Sec. 1.1501  Purpose of these rules.

    The Equal Access to Justice Act, 5 U.S.C. 504 (called the EAJA in 
this subpart), provides for the award of attorney's fees and other 
expenses to eligible individuals and entities who are parties to certain 
administrative proceedings (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 proceeding 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 adjudication and is unreasonable when compared 
with such decision, under the facts and circumstances of the case, 
unless the party has committed a willful 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]



Sec. 1.1502  When the EAJA applies.

    The EAJA applies to any adversary adjudication pending or commenced 
before the Commission on or after August 5, 1985. The provisions of 
Sec. 1.1505(b) apply to any adversary adjudications commenced on or 
after March 29, 1996.

[61 FR 39898, July 31, 1996]



Sec. 1.1503  Proceedings covered.

    (a) The EAJA applies to adversary adjudications conducted by the 
Commission. 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 appearance and participates in the 
proceeding. Any proceeding in which this Agency may fix a lawful present 
or future rate is not covered by the EAJA. Proceedings to grant or renew 
licenses are also excluded, but proceedings to modify, suspend, or 
revoke licenses are covered if they are otherwise ``adversary 
adjudications''.
    (b) The Commission may designate a proceeding as an adversary 
adjudication for purposes of the EAJA by so stating in an order 
initiating the proceeding or designating the matter for hearing. The 
Commission's failure to designate a proceeding as an adversary 
adjudication shall not preclude the filing 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 resolution in 
proceedings on the application.
    (c) If a proceeding includes both matters 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]



Sec. 1.1504  Eligibility of applicants.

    (a) To be eligible for an award of attorney fees and other expenses 
under the EAJA, the applicant must be a party, as defined in 5 U.S.C. 
551(3), to

[[Page 346]]

the adversary adjudication for which it seeks an award. The applicant 
must show that it meets all conditions of eligibility 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 unincorporated 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 defined 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 defined in section 15(a) of the 
Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500 
employees;
    (5) Any other partnership, corporation, association, unit of local 
government, or organization with a net worth of not more than $7 million 
and not more than 500 employees;
    (6) For purposes of Sec. 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 unincorporated 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 personal interests rather than to business 
interests.
    (e) The number of employees of an applicant include all persons who 
regularly perform services for remuneration for the applicant, under the 
applicant's direction and control. Part-time employees shall be included 
on a proportional basis.
    (f) The net worth and number of employees of the applicant and all 
of its affiliates shall be aggregated to determine eligibility. Any 
individual, corporation or other entity that directly or indirectly 
controls or owns a majority of the voting shares or other interest 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 affiliate for purposes of this 
part, unless the Administrative Law Judge determines that such treatment 
would be unjust and contrary to the purposes of the EAJA in light of the 
actual relationship between the affiliated entities. In addition, the 
Administrative Law Judge may determine that financial relationships of 
the applicant other than those described in this paragraph 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]



Sec. 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 adversary 
adjudication in which the 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 adversary adjudication, the 
action or failure to act by the agency upon which the adversary 
adjudication is based.
    (2) An award will be reduced or denied 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 substantially in excess of 
the decision in the adversary adjudication and is unreasonable when 
compared with that decision, under the facts and circumstances of the 
case, the party shall be awarded the fees and other expenses

[[Page 347]]

related to defending against the excessive demand, unless the party has 
committed a willful violation of law or otherwise acted in bad faith, or 
special circumstances 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 
elsewhere 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 
appropriate Bureau (see Sec. 1.21) whose representative shall be called 
``Bureau counsel'' in this subpart K.

[61 FR 39899, July 31, 1996]



Sec. 1.1506  Allowable fees and expenses.

    (a) Awards will be based on rates customarily charged by persons 
engaged in the business of acting as attorneys, agents and expert 
witnesses.
    (b) No award for the fee of an attorney or agent under these rules 
may exceed $75.00, or for adversary adjudications commenced on or after 
March 29, 1996, $125.00, per hour. No award to compensate an expert 
witness may exceed the highest rate at which the Commission pays expert 
witnesses. However, an award may also include the reasonable expenses of 
the attorney; agent, or witness as a separate item, if the attorney, 
agent or witness ordinarily charges its clients separately 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 customary 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 service does not exceed 
the prevailing rate for similar services, and the study or other matter 
was necessary for preparation 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]



Sec. 1.1507  Rulemaking on maximum rates for attorney fees.

    (a) If warranted by an increase in the cost of living or by special 
circumstances (such as limited availability of attorneys qualified to 
handle certain types of proceedings), the Commission may adopt 
regulations providing 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 rulemaking proceedings for 
this purpose under the informal rulemaking procedures of the 
Administrative Procedure Act.
    (b) Any person may file with the Commission a petition for 
rulemaking to increase the maximum rate for attorney fees, in accordance 
with subpart C of this chapter. The petition should identify the rate 
the petitioner believes this agency should establish and the types of 
proceedings in which the rate should be used. It should also explain 
fully the reasons why the higher rate is warranted. This agency will 
respond 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]



Sec. 1.1508  Awards against other agencies.

    If an applicant is entitled to an award because it prevails over 
another agency of the United States that participates in a proceeding 
before the Commission and takes a position that is not substantially 
justified, the

[[Page 348]]

award or an appropriate portion of the award shall be made against that 
agency. Counsel for that agency shall be treated as Bureau counsel for 
the purpose of this subpart.

[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39899, July 31, 1996]

                  Information Required From Applicants



Sec. 1.1511  Contents of application.

    (a) An application for an award of fees and expenses under EAJA 
shall dentify the applicant and the proceeding for which an award is 
sought. Unless the applicant is an individual, the application shall 
state the number of employees of the applicant and describe briefly the 
type and purpose of its organization or business. The application shall 
also:
    (1) Show that the applicant has prevailed and identify the position 
of an agency or agencies in the proceeding that the applicant alleges 
was not substantially 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 Revenue 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 
Internal 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 information 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]



Sec. 1.1512  Net worth exhibit.

    (a) Each applicant except a qualified tax-exempt organization or 
cooperative association must provide with its application a detailed 
exhibit showing the net worth of the applicant and any affiliates (as 
defined in Sec. 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 applicant's and its affiliates' 
assets and liabilities and is sufficient to determine whether the 
applicant qualifies under the standards in this subpart. The 
Administrative Law Judge may require an applicant to file additional 
information 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 information in any portion of the exhibit and believes 
there are legal grounds for withholding it from disclosure may submit 
that portion of the exhibit directly 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 information sought to be 
withheld and explain, in detail, why it falls within one or more of the 
specific exemptions from mandatory disclosure under the Freedom of 
Information Act, 5 U.S.C. 552(b)(1)-(9), why public disclosue of the 
information would adversely affect the

[[Page 349]]

applicant, and why disclosure is not required in the public interest. 
The material in question shall be served on Bureau 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 proceeding. 
Otherwise, any request to inspect or copy the exhibit shall be disposed 
of in accordance with the Commission's established procedures under the 
Freedom of Information Act, Sec. Sec. 0.441 through 0.466 of this 
chapter.



Sec. 1.1513  Documentation of fees and expenses.

    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 
application, showing hours spent in connection with the proceeding by 
each individual, a description of the specific services performed, the 
rate at which each fee has been computed, any expenses 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, receipts, or other substantiation for any 
expenses claimed.

[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39899, July 31, 1996]



Sec. 1.1514  When an application may be filed.

    (a) An application may be filed whenever the applicant has prevailed 
in the proceeding or in a significant and discrete substantive portion 
of the proceeding, 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 prevailed, proceedings for the 
award of fees shall be stayed pending final disposition of the 
underlying controversy.
    (c) For purposes of this rule, final disposition means the later of
    (1) The date on which an initial decision or other recommended 
disposition of the merits of the proceeding by an Administrative Law 
Judge becomes administratively 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 petition could have been filed;
    (4) Issuance of a final order by the Commission or any other final 
resolution of a proceeding, such as settlement or voluntary dismissal, 
which is not subject to a petition for reconsideration, or to a petition 
for judicial review; or
    (5) Completion of judicial action on the underlying controversy and 
any subsequent Commission action pursuant to judicial mandate.

[47 FR 3786, Jan. 27, 1982, as amended at 61 FR 39899, July 31, 1996]

                 Procedures for Considering Applications



Sec. 1.1521  Filing and service of documents.

    Any application for an award or other pleading relating to an 
application shall be filed and served on all parties to the proceeding 
in the same manner as other pleadings in the proceeding, except as 
provided in Sec. 1.1512(b) for confidential financial information.



Sec. 1.1522  Answer to application.

    (a) Within 30 days after service of an application Bureau counsel 
may file an answer to the application. Unless Bureau 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 treated as a consent to the award request.
    (b) If Bureau counsel and the applicant 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

[[Page 350]]

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 support 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 include 
with the answer either supporting affidavits or a request for further 
proceedings under Sec. 1.1526.



Sec. 1.1523  Reply.

    Within 15 days after service of an answer, the applicant may file a 
reply. If the reply is based on any alleged facts not already in the 
record of the proceeding, the applicant shall include with the reply 
either supporting affidavits or a request for further proceedings under 
Sec. 1.1526.



Sec. 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 commenting 
party may not participate further in proceedings on the application 
unless the Administrative Law Judge determines that the public interest 
requires 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]



Sec. 1.1525  Settlement.

    The applicant and Bureau counsel may agree on a proposed settlement 
of the award before final action on the application, either in 
connection with a settlement of the underlying proceeding, or after the 
underlying proceeding has been concluded. If a prevailing 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 Administrative Law Judge approves the 
proposed settlement, it shall be forwarded to the Commission for final 
approval.



Sec. 1.1526  Further proceedings.

    (a) Ordinarily, the determination of an award will be made on the 
basis of the written record. However, on request 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 evidentiary 
hearing. Such further proceedings shall be held only when necessary for 
full and fair resolution of the issues arising from the application, and 
shall be conducted as promptly as possible. Whether or not the position 
of the agency embodied an excessive demand or was substantially 
justified shall be determined on the basis of the administrative record, 
as a whole, which is made in the adversary adjudication for which fees 
and other expenses 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 the 
additional proceedings are necessary 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]



Sec. 1.1527  Decision.

    The Administrative Law Judge shall issue an initial decision on the 
application as soon as possible after completion of proceedings on the 
application. The decision shall include written findings and conclusions 
regarding the applicant's eligibility and whether the applicant was a 
prevailing party or whether 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 adversary adjudication, and an 
explanation of the reasons for any difference between the amount 
requested and the amount awarded. The decision shall also include, if at 
issue, findings on whether the Commission's position substantially 
justified, whether the applicant unduly protracted the

[[Page 351]]

proceedings, committed a willful violation 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 allocation made.

[61 FR 39900, July 31, 1996]



Sec. 1.1528  Commission review.

    Either the applicant or Bureau counsel 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 Sec. Sec. 
1.276 through 1.282 of this chapter. Except as provided in Sec. 1.1525, 
if neither the applicant nor Bureau counsel seeks review and the 
Commission does not take review on its own initiative, the initial 
decision on the application shall become a final decision of the 
Commission 50 days after it is issued. Whether to review a decision is a 
matter within the discretion of the Commission. If review is taken, the 
Commission will issue a final decision 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]



Sec. 1.1529  Judicial review.

    Judicial review of final agency decisions on awards may be sought as 
provided in 5 U.S.C. 504(c)(2).



Sec. 1.1530  Payment of award.

    An applicant seeking payment of an award from the Commission shall 
submit to the General Counsel a copy of the Commission's final decision 
granting the award, accompanied by a statement 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 Commission 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 Procedures for Mass Media Services

    Authority: 47 U.S.C. 309(i).

    Source: 48 FR 27202, June 13, 1983, unless otherwise noted.

                           General Procedures



Sec. 1.1601  Scope.

    The provisions of this subpart, and the provisions referenced 
herein, shall apply to applications for initial licenses or construction 
permits or for major changes in the facilities of authorized stations in 
the following services:
    (a)-(b) [Reserved]

[48 FR 27202, June 13, 1983, as amended at 63 FR 48622, Sept. 11, 1998]



Sec. 1.1602  Designation for random selection.

    Applications in the services specified in Sec. 1.1601 shall be 
tendered, accepted or dismissed, filed, publicly noted and subject to 
random selection and hearing in accordance with any relevant rules. 
Competing applications for an initial license or construction permit 
shall be designated for random selection and hearing in accordance with 
the procedures set forth in Sec. Sec. 1.1603 through 1.1623 and Sec. 
73.3572 of this chapter.



Sec. 1.1603  Conduct of random selection.

    The random selection probabilities will be calculated in accordance 
with the formula set out in rules Sec. Sec. 1.1621 through 1.1623.

[48 FR 27202, June 13, 1983, as amended at 48 FR 43330, Sept. 23, 1983]



Sec. 1.1604  Post-selection hearings.

    (a) Following the random selection, the Commission shall announce 
the ``tentative selectee'' and, where permitted by Sec. 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 
Sec. 73.3591(a) it will make the appropriate grant. If the Commission 
is unable to make such a

[[Page 352]]

determination, it shall order that another 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 before it, the Commission 
determines that a substantial and material question 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 requires oral testimony 
for its resolution, an Administrative Law Judge.

[48 FR 27202, June 13, 1983, as amended at 63 FR 48622, Sept. 11, 1998]



Sec. 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, unincorporated association, or corporation which:
    (1) If the applicant is a proprietorship, 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 unincorporated association or non-stock 
corporation, is a member, or, in the case of a nonmembership association 
or corporation, a director,
    (5) If the applicant is a stock corporation, is the beneficial owner 
of voting shares.

    Note 1: For purposes of applying the diversity 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 applicant.

[48 FR 27202, June 13, 1983, as amended at 50 FR 5992, Feb. 13, 1985]



Sec. 1.1622  Preferences.

    (a) Any applicant desiring a perference in the random selection 
shall so indicate as part of its application. Such an applicant shall 
list any owner who owns all or part of a medium of mass communications 
or who is a member of a minority group, together with a precise 
identification of the ownership interest held in such medium of mass 
communications or name of the minority group, respectively. Such an 
applicant shall also state whether more than 50% of the ownership 
interests in it are held by members of minority groups and the number of 
media of mass communications more than 50% of whose ownership interests 
are held by the applicant and/or its owners.
    (b) Preference factors as incorporated in the percentage 
calculations in Sec. 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 preferences pursuant to Sec. 
1.1622(b)(1) and either Sec. 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

[[Page 353]]

Notice announcing the acceptance of the last-filed mutually exclusive 
application.
    (e) No preferences pursuant to Sec. 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 communications, if the service areas of those media as 
described herein wholly encompass or are encompassed by the protected 
predicted contour, computed in accordance with Sec. 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 Sec. 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 
contour, computed in accordance with Sec. 73.183 or Sec. 73.186;
    (2) FM broadcast station--predicted 1 mV/m contour, computed in 
accordance with Sec. 73.313;
    (3) TV broadcast station--Grade A contour, computed in accordance 
with Sec. 73.684;
    (4) Low power TV or TV translator station--protected predicted 
contour, computed in accordance with Sec. 74.707(a);
    (5) Cable television system franchise area, nor will the diversity 
preference be available to applicants whose proposed 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 
preference 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 interest of more 
than 50 percent.
    (7) Multipoint Distribution Service--station service area, computed 
in accordance with Sec. 21.902(d).

[48 FR 27202, June 13, 1983, as amended at 50 FR 5992, Feb. 13, 1985; 50 
FR 11161, Mar. 20, 1985]



Sec. 1.1623  Probability calculation.

    (a) All calculations shall be computed 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 applicants into 1.00 to determine 
pre-preference probabilities.
    (c) Multiply each applicant's pre-preference probability by the 
applicable preference from Sec. 1.1622 (b)(2) or (b)(3).
    (d) Divide each applicant's probability pursuant to paragraph (c) of 
this section by the sum of such probabilities to determine intermediate 
probabilities.
    (e) Add the intermediate probabilities of all applicants who 
received a preference pursuant to Sec. 1.1622 (b)(2) or (b)(3).
    (f)(1) If the sum pursuant to paragraph (e) of this section is .40 
or greater, proceed to paragraph (g) of this section.
    (2) If the sum pursuant to paragraph (e) of this section is less 
than .40, then multiply each such intermediate probability by the ratio 
of .40 to such sum. Divide .60 by the number of applicants who did not 
receive a preference pursuant to Sec. 1.1622 (b)(2) or (b)(3) to 
determine their new intermediate probabilities.
    (g) Multiply each applicant's probability pursuant to paragraph (f) 
of this section by the applicable preference ratio from Sec. 
1.1622(b)(1).
    (h) Divide each applicant's probability pursuant to paragraph (g) of 
this section by the sum of such probabilities to determine the final 
selection percentage.



         Subpart M_Cable Operations and Licensing System (COALS)

    Source: 68 FR 27001, May 19, 2003, unless otherwise noted.



Sec. 1.1701  Purpose.

    To provide electronic filing of applications, notifications, 
registration statements, reports, and related documents in the 
Multichannel Video and Cable Television Services and the Cable 
Television Relay Services.



Sec. 1.1702  Scope.

    This subpart applies to filings required by Sec. Sec. 76.403, 
76.1610, 76.1801,

[[Page 354]]

76.1803, & 76.1804, and 78.11 through 78.36 of this chapter.



Sec. 1.1703  Definitions.

    For purposes of this subpart, the following definitions apply:
    (a) Application. A request on Form 327 for a station license as 
defined in Section 3(b) of the Communications Act, completed in 
accordance with Sec. 78.15 and signed in accordance with Sec. 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 
assign rights granted by the authorization or to transfer control of 
entities holding authorizations.
    (b) Authorization. A written instrument issued by the FCC conveying 
authority to operate, for a specified period, a station in the Cable 
Television Relay Service. In addition, this term includes authority 
conveyed by operation 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 
database, 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, notifications, registrations, reports, and related 
documents by applicants and licensees in the MVCTS and CARS, and 
provides public access to licensing information.
    (d) Cable Television Relay Service (CARS). All services authorized 
under part 78 of this title.
    (e) Filings. Any application, notification, 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 electronically.
    (f) Multichannel Video and Cable Television Services (MVCTS). All 
services authorized or operated in accordance with part 76 of this 
title.
    (g) Receipt date. The date an electronic or paper application is 
received at the appropriate location at the Commission or the lock box 
bank. Major amendments to pending applications as defined in Sec. 
78.109 of this chapter, will result in the assignment of a new receipt 
date.
    (h) Signed. For manually filed applications only, an original hand-
written signature. For electronically filed applications only, an 
electronic signature. An electronic signature shall consist of the name 
of the applicant transmitted electronically via COALS and entered on the 
filing as a signature.



Sec. 1.1704  Station files.

    Applications, notifications, correspondence, electronic filings and 
other material, and copies of authorizations, 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 Commission in 
COALS and the Public Reference Room. These files constitute the official 
records for these stations and supersede any other records, database or 
lists from the Commission or other sources.



Sec. 1.1705  Forms; electronic and manual filing.

    (a) Application forms. Operators in the Multichannel Video and Cable 
Television Services (MVCTS) and applicants and licensees the Cable 
Television 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 
performance criteria.
    (2) FCC Form 321, Aeronautical Frequency Notification. FCC Form 321 
is used by MVPDs to notify the Commission 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 operators to notify the 
Commission of changes in administrative data about the operator and 
operational status changes.

[[Page 355]]

    (5) FCC Form 325, Cable Television System Report. FCC Form 325 is 
used by cable operators to report general information and signal and 
frequency distribution 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 authorizations, modifications to existing authorizations, 
amendments to pending applications, and renewals of station 
authorizations. FCC Form 327 is also used to apply for Commission 
consent to assignments of existing CARS authorizations and to apply for 
Commission consent to the transfer of control of entities holding CARS 
authorizations.
    (b) Electronic filing. Six months after the Commission announces 
their availability for electronic filing, all applications and other 
filings using FCC Forms 320, 321, 322, 324, 325, and 327 and their 
respective associated schedules must be filed electronically in 
accordance with the electronic filing instructions 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 Commission format for 
entering data. Batch filers will then send, via file transfer protocol, 
batches of data to the Commission for compiling. COALS will compile such 
filings overnight and respond the next business day with a return or 
dismissal of any defective filings. Thus, batch filers will not receive 
immediate correction from the system as they enter the information.
    (ii) Interactive filing. Interactive filing involves data 
transmission with screen-by-screen prompting from the Commission's COALS 
system. Interactive 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 
electronically filed application whenever possible.
    (3) Any associated documents submitted with an application must be 
uploaded as attachments to the application whenever possible. The 
attachment 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 manually.
    (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 Commission'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 Sec. 0.401(b) of this chapter.
    (4) Manual filings that do not require fees must be addressed and 
sent to the Media Bureau, Federal Communications Commission, 445 12th 
Street, SW., Washington, DC 20554.
    (5) FCC forms may be reproduced and the copies used in accordance 
with the provisions of Sec. 0.409 of this chapter.
    (d) Applications requiring prior coordination. Parties filing 
applications that require frequency coordination shall, prior to filing, 
complete all applicable frequency coordination requirements in Sec. 
78.36 of this chapter.



Sec. 1.1706  Content of filings.

    (a) General. Filings must contain all information requested on the 
applicable form and any additional information 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 frequency usage notifications must describe each 
transmitting antenna site or center of the cable system, respectively, 
by its geographical coordinates. Geographical coordinates must be 
specified in degrees, minutes, and seconds to the nearest tenth of a 
second of latitude and longitude. Submissions must provide such data 
using the NAD83 datum.

[[Page 356]]

    (c) Antenna structure registration. Owners of certain antenna 
structures must notify the Federal Aviation Administration 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 registration is required. If registration is not required, the 
applicant must provide information in its application sufficient for the 
Commission to verify this fact.
    (d) Environmental concerns. Each applicant 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 
Sec. 1.1307. If yes, an Environmental Assessment, required by Sec. 
1.1311, must be filed with the application 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 governments of Canada and Mexico.
    (f) Taxpayer Identification Number (TINs). All filers are required 
to provide 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 reporting to 
the Department of the Treasury any delinquent amounts arising out of 
such person's relationship with the Government.



Sec. 1.1707  Acceptance of filings.

    Regardless of filing method, all submissions with an insufficient 
fee, grossly 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 inaccurate 
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 processed as a minor 
amendment in accordance with the Commission's rules. Thus it will have 
no effect on the initial 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 constitutes a major amendment 
to the application, 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.



Subpart N_Enforcement of Nondiscrimination on the Basis of Disability In 
     Programs or Activities Conducted By the Federal Communications 
                               Commission

    Source: 68 FR 22316, Apr. 28, 2003, unless otherwise noted.



Sec. 1.1801  Purpose.

    The purpose of this part is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental 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.



Sec. 1.1802  Applications.

    This part applies to all programs or activities conducted by the 
Federal Communications Commission. The programs or activities of 
entities that are licensed or certified by the Federal Communications 
Commission are not covered by these regulations.



Sec. 1.1803  Definitions.

    For purposes of this part, the term--

[[Page 357]]

    Auxiliary aids means services or devices that enable persons with 
impaired 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, auxiliary aids 
useful for persons with impaired vision include readers, Brailled 
materials, audio recordings, and other similar services and devices. 
Auxiliary aids useful for persons with impaired hearing include 
telephone handset amplifiers, telephones compatible with hearing aids, 
telecommunication devices for deaf persons (TTY/TDDs), interpreters, 
Computer-aided realtime transcription (CART), captioning, notetakers, 
written materials, and other similar services and devices.
    Commission means Federal Communications Commission.
    Complete complaint means a written statement, or a complaint in 
audio, Braille, electronic, and/or video format, 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 considered to be 
functionally equivalent to a complainant's signature. Complaints filed 
on behalf of classes or third parties 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 
Communications Commission.
    Individual with a disability means any individual who has a physical 
or mental impairment that substantially limits one or more major life 
activities, has a record of such an impairment, or is regarded as having 
such an impairment. As used in this definition, the phrase:
    (1) Physical or mental impairment includes, but is not limited to--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine;
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic 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 retardation; 
emotional illness; and drug addiction and alcoholism.
    (2) Major life activities include functions such as caring for one's 
self, performing 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 activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment 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 impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the Commission as having such impairment.
    Managing Director means the individual delegated authority as 
described in 47 CFR 0.11.

[[Page 358]]

    Programs or Activities mean any activity of the Commission permitted 
or required by its enabling statutes, including but not limited to any 
licensing or certification program, proceeding, investigation, hearing, 
meeting, board or committee.
    Qualified individual with a disability means--
    (1) With respect to any Commission program or activity under which 
an individual is required to perform services or to achieve a level of 
accomplishment, an individual with a disability who, with or without 
reasonable modification to rules, policies, or practices or the 
provision of auxiliary aids, meets the essential eligibility 
requirements for participation in the program or activity and can 
achieve the purpose of the program or activity; or
    (2) With respect to any other program or activity, an individual 
with a disability who, with or without reasonable modification to rules, 
policies, or practices or the provision of auxiliary aids, meets the 
essential eligibility requirements for participation in, or receipt of 
benefits from, that program or activity; or
    (3) The definition of that term as defined for purposes of 
employment in 29 CFR 1630.2(m), which is made applicable to this part by 
Sec. 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 Developmental 
Disabilities Amendments of 1978, Public Law 95-602, 92 Stat. 2955, and 
the Rehabilitation Act Amendments of 1986, sec. 103(d), Public Law 99-
506, 100 Stat. 1810. As used in this part, section 504 applies only to 
programs or activities conducted by Executive agencies and not to 
federally assisted programs.
    Section 504 Officer is the Commission employee charged with 
overseeing the Commission's section 504 programs and activities.



Sec. 1.1805  Federal Communications Commission Section 504 Programs and 
Activities Accessibility Handbook.

    The Consumer & Governmental Affairs Bureau shall publish a ``Federal 
Communications Commission Section 504 Programs and Activities 
Accessibility Handbook'' (``Section 504 Handbook'') 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 accessibility. These procedures will ensure that the Commission 
presents a consistent and complete accommodation policy pursuant to 29 
U.S.C. 794, as amended. The Section 504 Handbook is for internal staff 
use and public information only, and is not intended to create any 
rights, responsibilities, or independent cause of action against the 
Federal Government.



Sec. 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 procedures to ensure that 
the Commission's programs and activities are fully accessible.
    (b) The Commission shall provide an opportunity to interested 
persons, including individuals with disabilities or organizations 
representing individuals with disabilities, to participate in the review 
process by submitting comments. Written comments shall be signed by the 
commenter or by someone authorized to do so on his or her behalf. The 
signature of the commenter, or signature of someone authorized 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 formats 
shall contain an affirmative identity statement of the individual, which

[[Page 359]]

for this purpose shall be considered to be functionally equivalent to a 
commenter'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 
compliance; and
    (3) A description of any modifications made.



Sec. 1.1811  Notice.

    The Commission shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons information 
regarding the regulations set forth in this part, and their 
applicability to the programs or activities conducted by the Commission. 
The Commission shall make such information available to such persons in 
such manner as the Section 504 Officer finds necessary to apprise such 
persons of the protections against discrimination assured them by 
section 504.



Sec. 1.1830  General prohibitions against discrimination.

    (a) No qualified individual with a disability 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 prohibited.
    (1) The Commission, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of disability--
    (i) Deny a qualified individual with a disability the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified individual with a disability an opportunity 
to participate in or benefit from the aid, benefit, or service that is 
not equal to that afforded others;
    (iii) Provide a qualified individual with a disability with an aid, 
benefit, or service that is not as effective in affording equal 
opportunity to obtain the same result, to gain the same benefit, or to 
reach the same level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with disabilities or to any class of individuals with 
disabilities than is provided to others unless such action is necessary 
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 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified individual with a disability in the 
enjoyment of any right, privilege, advantage, 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 equivalent permissibly 
separate or different programs or activities for persons with 
disabilities.
    (3) The Commission may not, directly or through contractual or other 
arrangements, 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 individuals with disabilities.
    (4) The Commission may not, in determining the site or location of a 
facility, 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 discrimination 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

[[Page 360]]

use criteria that subject qualified individuals with disabilities to 
discrimination on the basis of disability.
    (6) The Commission may not administer a licensing or certification 
program in a manner that subjects qualified individuals with 
disabilities to discrimination on the basis of disability, nor may the 
Commission establish requirements for the programs or activities of 
licensees or certified entities that subject qualified individuals with 
disabilities to discrimination on the basis of disability. However, the 
programs or activities of entities that are licensed or certified by the 
Commission are not, themselves, covered by this part.
    (7) The Commission shall make reasonable modifications in policies, 
practices, or procedures when the modifications are necessary to avoid 
discrimination on the basis of disability, unless the Commission can 
demonstrate that making the modifications would fundamentally alter the 
nature of the program, service, or activity.
    (c) This part does not prohibit the exclusion 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 individuals with disabilities from a program limited 
by Federal statute or Executive order to a different class of 
individuals with disabilities.
    (d) The Commission shall administer programs and activities in the 
most integrated setting appropriate to the needs of qualified 
individuals with disabilities.



Sec. 1.1840  Employment.

    No qualified individual with a disability shall, on the basis of 
disability, be subjected to discrimination in employment under any 
program or activity conducted by the Commission. The definitions, 
requirements and procedures of section 501 of the Rehabilitation Act of 
1973, 29 U.S.C. 791, as established by the Equal Employment Opportunity 
Commission in 29 CFR parts 1614 and 1630, as well as the procedures set 
forth in the Basic Negotiations Agreement Between the Federal 
Communications Commission and National Treasury Employees Union, as 
amended, 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 activities.



Sec. 1.1849  Program accessibility: Discrimination prohibited.

    (a) Except as otherwise provided in Sec. 1.1850, no qualified 
individual with a disability shall, because the Commission's facilities 
are inaccessible to, or unusable, by individuals with disabilities, be 
denied the benefits of, be excluded from participation in, or otherwise 
be subjected to discrimination under any program or activity conducted 
by the Commission.
    (b) Individuals shall request accessibility to the Commission's 
programs and facilities by contacting the Commission's Section 504 
Officer. Such contact may be made in the manner indicated in the FCC 
Section 504 Handbook. The Commission will make every effort to provide 
accommodations requiring the assistance of other persons (e.g., American 
Sign Language interpreters, communication access realtime translation 
(CART) providers, transcribers, captioners, and readers) if the request 
is made to the Commission'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 secure such services.



Sec. 1.1850  Program accessibility: Existing facilities.

    (a) General. Except as otherwise provided in this paragraph, the 
Commission shall operate each program or activity 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 Commission to make each of its existing 
facilities accessible to and usable by individuals with disabilities;
    (2) Require the Commission to take any action that it can 
demonstrate

[[Page 361]]

would result in a fundamental alteration in the nature of a program or 
activity, or in undue financial and administrative burdens. In those 
circumstances where Commission personnel believe that the proposed 
action would fundamentally alter the program or activity or would result 
in undue financial and administrative burdens, the Commission has the 
burden of proving that compliance with Sec. 1.1850(a) would result in 
such alteration or burdens. The decision that compliance would result in 
such alteration or burdens must be made by the Managing Director, in 
consultation with the Section 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 result in such an alteration or such burdens, the Commission shall 
take any other action that would not result in such an alteration or 
such burdens but would nevertheless ensure that individuals with 
disabilities receive the benefits and services of the program or 
activity.
    (b) Methods. The Commission may comply with the requirements of this 
section through such means as the redesign of equipment, reassignment of 
services to accessible buildings, assignment of aides to beneficiaries, 
home visits, delivery of services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities, or 
any other methods that result in making its programs or activities 
readily accessible to and usable by individuals with disabilities. The 
Commission is not required to make structural changes in existing 
facilities where other methods are effective in achieving compliance 
with this section. The Commission, in making alterations to existing 
buildings, shall meet accessibility requirements to the extent 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 requirements of this section, the Commission 
shall give priority to those methods that offer programs and activities 
to qualified individuals with disabilities in the most integrated 
setting appropriate.
    (c) Time period for compliance. The Commission shall comply with the 
obligations established under this section within sixty (60) days of the 
effective date of this subpart, except that where structural changes in 
facilities are undertaken, 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 accessibility, 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 Commission shall provide an opportunity to 
interested persons, including individuals with disabilities or 
organizations representing individuals with disabilities, to participate 
in the development of the transition plan by submitting comments (both 
oral and written). A copy of the transitional plan shall be made 
available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the Commission's facilities that 
limit the accessibility of its programs or activities 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 
compliance 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.



Sec. 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 Commission shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
individuals with disabilities. The definitions, requirements and 
standards of the Architectural Barriers Act, 42 U.S.C. 4151-4157, as 
established

[[Page 362]]

in 41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Sec. 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 Commission.
    (b) The Commission shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1614 pursuant 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 
Commission's programs and activities shall be addressed to the Managing 
Director and filed with the Office of the Secretary, Federal 
Communications Commission, 445 12th Street, SW., Room TWB-204, 
Washington, DC 20554.
    (d) Acceptance of complaint. (1) The Commission shall accept and 
investigate all complete complaints, as defined in Sec. 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 complaint that is not complete as 
defined in Sec. 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 complaint over which it does not 
have jurisdiction, it shall promptly notify the complainant and shall 
make reasonable efforts to refer the complaint to the appropriate 
government entity.
    (f) The Commission shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended, 42 U.S.C. 4151-4157, is not readily accessible to 
and usable by individuals with disabilities.
    (g) Within one-hundred eighty (180) days of the receipt of a 
complete complaint, as defined in Sec. 1.1803, for which it has 
jurisdiction, the Commission shall notify the complainant of the results 
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 Commission of the letter required by Sec. 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 Secretary, Federal Communications Commission, 445 12th Street, SW., 
Room TWB-204, Washington, DC 20554.
    (j) The Commission shall notify the complainant of the results of 
the appeal within sixty (60) days of the receipt of the appeal request. 
If the Commission determines that it needs additional information from 
the complainant, 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 investigations 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.

[[Page 363]]

                           General Provisions



Sec. 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 reporting components of the 
Commission) or any other agency of the U.S. Government as defined by 
section 105 of title 5 U.S.C., the U.S. Postal Service, 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, including the U.S. Senate and the U.S. House 
of Representatives.
    (c) The term agency head means the Chairman of the Federal 
Communications Commission.
    (d) The term application includes in addition to petitions and 
applications elsewhere defined in the Commission's rules, any request, 
as for assistance, relief, declaratory ruling, or decision, by the 
Commission or on delegated authority.
    (e) The terms claim and debt are deemed synonymous and 
interchangeable. 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, except another Federal 
agency. For purposes 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 Commonwealth of the 
Northern Mariana Islands, 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 apparent liability that have been partially 
paid or for which a court of competent jurisdiction has order payment 
and such order is final (except those arising under the Uniform Code of 
Military 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 
subagency within an agency that has been designated by the Secretary of 
the Treasury to collect debt owed to the United States. The Financial 
Management Service (FMS), Fiscal Service, United States Treasury, is a 
debt collection center.
    (h) The term demand letter includes written letters, orders, 
judgments, and memoranda from the Commission or on delegated authority.
    (i) The term ``delinquent'' means a claim or debt which has not been 
paid by the date specified by the agency unless other satisfactory 
payment arrangements have been made by that date, or, at any time 
thereafter, the debtor has failed to satisfy an obligation under a 
payment agreement or instrument with the agency, or pursuant to a 
Commission rule. For purposes of this subpart only, an installment 
payment under 47 CFR 1.2110(g) will not be considered deliquent until 
the expiration of all applicable grace periods and any other applicable 
periods under Commission rules to make the payment due. The rules set 
forth in this subpart in no way affect the Commission's rules, as may be 
amended, regarding payment for licenses (including installment, down, or 
final payments) 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, retainer pay, or in the case of 
an employee not entitled to basic pay, other authorized pay remaining 
after the deduction of any amount required by law to be withheld. 
Agencies must exclude

[[Page 364]]

deductions described in 5 CFR 581.105(b) through (f) to determine 
disposable pay subject to salary offset.
    (k) The term employee means a current employee of the Commission or 
of another agency, including a current member of the Armed Forces or a 
Reserve of the Armed Forces (Reserve).
    (l) The term entity includes natural persons, legal associations, 
applicants, licensees, and regulatees.
    (m) The term FCCS means the Federal Claims Collection Standards 
jointly issued by the Secretary of the Treasury 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 proceedings 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 accepted accounting principles for Federal 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 consent.
    (r) The term waiver means the cancellation, remission, forgiveness, 
or non-recovery of a debt or fee, including, but not limited to, a debt 
due to the United States, by an entity or an employee to an agency and 
as the waiver 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 include 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.



Sec. 1.1902  Exceptions.

    (a) Claims arising from the audit of transportation accounts 
pursuant to 31 U.S.C. 3726 shall be determined, collected, 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 Acquisition Regulations (FAR) shall be determined, collected, 
compromised, terminated, 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 section 6(a) of the Contract 
Disputes Act of 1978 (41 U.S.C. 605(a)), may be determined, collected, 
compromised, terminated or settled under the provisions of this 
regulation, except that no additional review of the debt shall be 
granted beyond that provided by the contracting officer in accordance 
with the provisions of section 6 of the Contract Disputes Act of 1978 
(41 U.S.C. 605), and the amount of any interest, administrative charge, 
or penalty charge shall be subject to the limitations, 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 
authority to compromise, suspend, or terminate collection action on such 
claims. The standards in the FCCS relating to the administrative 
collection of claims do apply, but only to the extent authorized by the 
DOJ in a particular case. Upon identification of a claim based in whole 
or in part on conduct in violation of the antitrust laws or any claim 
involving fraud, the presentation of a false claim, or misrepresentation 
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

[[Page 365]]

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 
negotiation in accordance with Executive Order 12146 (3 CFR 1980 Comp., 
pp. 409-412).
    (f) Nothing in this subpart shall supercede or invalidate other 
Commission 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 
administrative costs.



Sec. 1.1903  Use of procedures.

    Procedures authorized by this regulation (including, but not limited 
to, disclosure to a consumer reporting agency, contracting for 
collection services, administrative offset and salary offset) may be 
used singly or in combination, so long as the requirements of applicable 
law and regulation are satisfied.



Sec. 1.1904  Conformance to law and regulations.

    The requirements of applicable law (31 U.S.C. 3701-3719, as amended 
by Public 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 Regulations of the Office of Personnel Management (5 CFR 
part 550) and the Federal 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 
regulation. To the extent, however, that circumstances arise which are 
not covered by the terms stated in these regulations, the Commission 
will proceed in any actions taken in accordance with applicable 
requirements found in the standards referred to in this section.



Sec. 1.1905  Other procedures; collection of forfeiture penalties.

    Nothing contained in these regulations is intended to require the 
Commission 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 assessment and collection of monetary 
forfeitures imposed by the Commission will be governed initially by the 
procedures 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 monetary 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 promulgated under the authority of 
47 U.S.C. 309(j) (e.g., 47 CFR part 1, subpart Q) may be collected as 
permitted by applicable law. Nothing contained herein is intended to 
restrict the Commission from exercising any other right to recover or 
collect amounts owed to it.



Sec. 1.1906  Informal action.

    Nothing contained in these regulations is intended to preclude 
utilization 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, including notes and security agreements.



Sec. 1.1907  Return of property or collateral.

    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 specific 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 Commission rule.

[[Page 366]]



Sec. 1.1908  Omissions not a defense.

    The failure or omission of the Commission to comply with any 
provision in this regulation shall not serve as a defense to any debtor.



Sec. 1.1909  [Reserved]



Sec. 1.1910  Effect of insufficient fee payments, delinquent debts, or 
debarment.

    (a)(1) An application (including a petition for reconsideration or 
any application for review of a fee determination) or request for 
authorization subject 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, appropriate 
regulatory fees, is delinquent in its debts owed the Commission, or is 
debarred from receiving Federal benefits (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 
application or regulatory fee will be handled pursuant to the rules set 
forth in 47 CFR part 1, subpart G.
    (2) Action will be withheld on applications, including on a petition 
for reconsideration or any application for review of a fee 
determination, or requests for authorization by any entity found to be 
delinquent in its debt to the Commission (see Sec. 1.1901(j)), unless 
otherwise provided for in this regulation, e.g., 47 CFR 1.1928 (employee 
petition for a hearing). The entity will be informed that action will be 
withheld on the application until full payment or arrangement to pay any 
non-tax delinquent debt owed to the Commission is made and/or that the 
application may be dismissed. See the provisisons of Sec. Sec. 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, including interest thereon, any 
associated penalties, and the full cost of collection to the Federal 
government pursuant to the provisions of the Debt Collection Improvement 
Act, 31 U.S.C. 3717.
    (3) If a delinquency has not been paid or the debtor has not made 
other satisfactory arrangements within 30 days of the date of the notice 
provided pursuant to paragraph (b)(2) of this section, the application 
or request for authorization 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 challenge through an 
administrative appeal or a contested judicial proceeding either to the 
existence or amount of the non-tax delinquent debt owed the Commission.
    (ii) The provisions of paragraphs (b)(2) and (b)(3) of this section 
will not apply where more restrictive rules govern treatment of 
delinquent debtors, such as 47 CFR 1.2105(a)(2)(x) and (xi).
    (c)(1) Applications for emergency or special temporary authority 
involving safety of life or property (including national security 
emergencies) or involving a brief transition period facilitating 
continuity of service to a substantial number of customers or end users, 
will not be subject to the provisions of paragraphs (a) and (b) of this 
section. However, paragraphs (a) and (b) will be applied to permanent 
authorizations for these services.
    (2) Provisions of paragraph (a) and (b) of this section will not 
apply to application 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



Sec. 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

[[Page 367]]

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 Department of Justice for litigation, in 
accordance with the FCCS. When necessary to protect the Government's 
interest (for example, to prevent the expiration 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 permitted 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 Commission;
    (2) The applicable standards for assessing any interest, penalties, 
and administrative costs (Sec. Sec. 1.1940 and 1.1941);
    (3) The date by which payment is to be made to avoid late charges 
and enforced 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 
demand letters are mailed or hand-delivered on the same day that they 
are dated. As provided for in any agreement among parties, or as may be 
required by exigent circumstances, the Commission may use other forms of 
delivery, including, e.g., facsimile telecopier or electronic mail. 
There is no prescribed format for demand letters. The Commission 
utilizes demand letters and procedures that will lead to the earliest 
practicable determination of whether the debt can be resolved 
administratively or must be referred for litigation.
    (d) The Commission may, as circumstances and the nature of the debt 
permit, include in demand letters such items as the Commission's 
willingness to discuss alternative methods of payment; its policies with 
respect to the use of credit bureaus, debt collection centers, and 
collection agencies; the Commission's remedies to enforce payment of the 
debt (including assessment of interest, administrative costs and 
penalties, administrative garnishment, the use of collection agencies, 
Federal salary offset, tax refund offset, administrative offset, and 
litigation); the requirement that any debt delinquent for more than 180 
days be transferred to the Department of the Treasury for collection; 
and, depending on applicable statutory authority, the debtor's 
entitlement to consideration of a waiver. Where applicable, the debtor 
will be provided with a period of time (normally 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 feasible, and will advise debtors who 
dispute the debt that they must furnish available evidence to support 
their contentions.
    (f) Prior to the initiation of the demand process or at any time 
during or after completion of the demand process, if the Commission 
determines to pursue, or is required to pursue, offset, the procedures 
applicable to offset in Sec. Sec. 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 litigation, 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

[[Page 368]]

Order 12988 (3 CFR, 1996 Comp., pp. 157-163) and may be given as part of 
a demand 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 proceeding with further 
collection action, the Commission may immediately seek legal advice from 
its counsel concerning the impact of the Bankruptcy Code on any pending 
or contemplated collection activities. Unless the Commission determines 
that the automatic stay imposed at the time of filing pursuant to 11 
U.S.C. 362 has been lifted or is no longer in effect, in most cases 
collection 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 immunity 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 
requirements of 11 U.S.C. 362.
    (3) Offset is stayed in most cases by the automatic stay. However, 
the Commission will determine from its counsel whether its payments to 
the debtor and payments of other agencies available for offset may be 
frozen by the Commission until relief from the automatic stay can be 
obtained from the bankruptcy court. The Commission will also determine 
from its counsel whether recoupment is available.



Sec. 1.1912  Collection by administrative offset.

    (a) Scope. (1) The term administrative offset has the meaning 
provided in Sec. 1.1901.
    (2) This section does not apply to:
    (i) Debts arising under the Social Security 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, Federal 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 inconsistent 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 
debtor 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 collected by administrative offset under 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 Government'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 reasonably have been 
known by the official or officials of the Government who were charged 
with the responsibility to discover and collect such debts. This 
limitation does not apply to debts reduced to a judgment.
    (5) In bankruptcy cases, the Commission 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 administrative offset. (1) The Commission 
is required to refer past due, legally enforceable nontax debts which 
are over 180 days delinquent to the Treasury for collection by 
centralized administrative offset. Debts which are less than 180 days 
delinquent also may be referred to the Treasury for this purpose.

[[Page 369]]

See FCCS for debt certification requirements.
    (2) The names and taxpayer identifying 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 corporations, and 
disbursing officials of the United States designated by the Treasury. 
When the name and TIN of a debtor match the name and TIN of a payee and 
all other requirements for offset have been met, the payment will be 
offset 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 enforceable 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 offset 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 administrative 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 notice, 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 determination of indebtedness; and
    (3) The opportunity to request within 15 days of the date of the 
written notice, 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 protections set forth in 31 U.S.C. 3716(a) do not 
supplant or restrict established procedures for contractual offsets 
accommodated by the Contracts Disputes Act); or
    (C) In the case of non-centralized administrative offsets conducted 
under paragraph (c) of this section, the Commission first learns of the 
existence of the amount owed by the debtor when there is insufficient 
time before payment would be made to the debtor/payee to allow for prior 
notice and an opportunity for review. When prior notice 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 ultimately 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 duplicate such notice 
and review opportunities before administrative offset may be initiated.
    (5) Before the Commission refers delinquent debts to the Treasury, 
the Office 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 regulations.
    (6) Payments that are prohibited by law from being offset are exempt 
from centralized administrative offset. The Treasury shall exempt 
payments under

[[Page 370]]

means-tested programs from centralized administrative offset when 
requested in writing by the head of the payment certifying or 
authorizing agency. Also, the Treasury may exempt other classes of 
payments from centralized offset upon the written request of the head of 
the payment certifying 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 Retirement Board (other 
than tier 2 benefits), may be offset only in accordance with Treasury 
regulations, issued in consultation with the Social Security 
Administration, 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 
concerning 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 enumerated in 31 U.S.C. 3716(a) have been met. 
The certification of a debt in accordance 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 authority does not apply to offsets conducted under 
paragraphs (c) and (d) of this section.
    (c) Non-centralized administrative offset. (1) Generally, non-
centralized administrative offsets are ad hoc case-by-case offsets that 
the Commission conducts, at the Commission's discretion, internally or 
in cooperation with the agency certifying or authorizing payments to the 
debtor. Unless otherwise prohibited by law, when centralized 
administrative offset is not available or appropriate, past due, legally 
enforceable nontax delinquent debts may be collected through non-
centralized administrative offset. In these cases, a creditor agency may 
make a request directly to a payment-authorizing agency to offset a 
payment due a debtor to collect a delinquent debt. For example, it may 
be appropriate for a creditor agency to request that the Office 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 reasonable effort to ensure that such 
offsets 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 delinquent debt in the amount stated, and that the 
creditor agency has fully complied 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 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 
administrative 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.



Sec. 1.1913  Administrative offset against amounts payable from Civil 
Service Retirement and Disability Fund.

    Upon providing the Office of Personnel Management (OPM) with written 
certification that a debtor has been afforded the procedures provided in 
Sec. 1.1912(b)(4), the Commission may request OPM to offset a debtor's 
anticipated or future benefit payments under the Civil Service 
Retirement and Disability Fund (Fund) in accordance with regulations 
codified at 5 CFR 831.1801-831.1808. Upon receipt of such a request,

[[Page 371]]

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 requirement that offset be 
initiated prior to the expiration of the time limitations referenced in 
Sec. 1.1914(a)(4).



Sec. 1.1914  Collection in installments.

    (a) Subject to the Commission's rules pertaining to the installment 
loan program (see e.g., 47 CFR Sec. 1.2110(g)), subpart Q or other 
agreements among the parties, the terms of which will control, whenever 
feasible, the Commission shall collect the total amount of a debt in one 
lump sum. If a debtor is financially unable to pay a debt in one lump 
sum, the Commission, in its sole discretion, may accept payment in 
regular 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 written agreement from the debtor that specifies all of the 
terms of the arrangement, including, as appropriate, sureties and other 
indicia of creditworthiness (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 installment payments should bear a 
reasonable relation to the size of the debt and the debtor's ability to 
pay. If possible, the installment payments will be sufficient 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 installment payments notwithstanding 
the refusal of the debtor to execute a written agreement or to give 
security, at the Commission's option.
    (d) The Commission may deny the extension of credit to any debtor 
who fails to provide the records requested or fails to show an ability 
to pay the debt.



Sec. 1.1915  Exploration of compromise.

    The Commission may attempt to effect compromise, preferably during 
the course of personal interviews, in accordance with the standards set 
forth in part 902 of the Federal Claims Collection 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 addressing the bases 
for compromise at 31 CFR 902.2. Debtors will provide full financial 
information to support any request for compromise based on the debtor's 
inability to pay the debt. Unless otherwise provided by law, when the 
principal balance of a debt, exclusive of interest, penalties, and 
administrative costs, exceeds $100,000 or any higher amount authorized 
by the Attorney General, the authority to accept the compromise rests 
with the Department of Justice. The Commission will evaluate an offer, 
using the factors set forth in 31 CFR 902.2 and, as appropriate, refer 
the offer with the appropriate financial information to the Department 
of Justice. Department of Justice approval is not required if the 
Commission rejects a compromise offer.



Sec. 1.1916  Suspending or terminating collection action.

    The suspension or termination of collection action shall be made in 
accordance with the standards set forth in part 903 of the Federal 
Claims Collection Standards (31 CFR part 903).



Sec. 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 provisions governing the requirements 
that the Commission transfer delinquent debts to Treasury for general 
collection purposes (cross-servicing) in accordance 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.

[[Page 372]]

3716(c)(6). Title 31, U.S.C. 3711(g)(1) requires 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, including 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 delinquent 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 terminate 
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-delinquency payment agreement) unless other satisfactory payment 
arrangements have been made.



Sec. 1.1918  Use of consumer reporting agencies.

    (a) The term individual means a natural person, and the term 
consumer reporting agency has the meaning provided 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 agency from a system of records, information that an 
individual is responsible for a claim. System information includes, for 
example, name, taxpayer identification number, business and home 
address, business and home telephone numbers, the amount of the debt, 
the amount of unpaid principle, the late period, and the payment 
history. 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 consumer reporting 
agency;
    (2) Review the claim to determine that it is valid and overdue;
    (3) Make reasonable efforts using information 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 overdue;
    (ii) That, within not less than 60 days from the date of the notice, 
the Commission intends to disclose to a consumer reporting agency that 
the individual is responsible for that claim;
    (iii) That information in the system of records may be disclosed to 
the consumer reporting agency; and
    (iv) That unless otherwise specified and agreed to in an agreement, 
contract, or by the terms of a note and/or security agreement, or that 
the debt arises from the nonpayment of a Commission fee, penalty, or 
other statutory or regulatory obligations, the individual will be 
provided with an explanation of the claim, and, as appropriate, 
procedures to dispute information in the records of the agency about the 
claim, and to administrative appeal or review of the claim; and
    (4) Review Commission records to determine 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 individual and the Commission's 
representative; or, if eligible; and
    (ii) Filed for review of the claim under paragraph (g) of this 
section;
    (c) The Commission shall: (1) Disclose to each consumer reporting 
agency to which the original disclosure was made a substantial change in 
the condition or amount of the claim;
    (2) Verify or correct promptly information 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 consumer 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--

[[Page 373]]

    (1) Information necessary to establish the identity of the 
individual, including 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 consumer reporting agency.
    (f) Under the same provisions as described in paragraph (b) of this 
section, the Commission may disclose to a credit reporting agency, 
information relating 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.



Sec. 1.1919  Contracting for collection services.

    (a) Subject to the provisions of paragraph (b) of this section, the 
Commission may contract with private collection 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 
incentive 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 Federal and state laws and regulations 
pertaining to debt collection practices, including 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 
contracts to obtain debt collection services provided by private 
collection contractors, 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 collection contractor in accordance 
with 31 U.S.C. 3718(d), or as otherwise permitted by law.
    (d) The Commission may enter into contracts for locating and 
recovering assets of the United States, such as unclaimed assets, but it 
will first establish procedures that are acceptable to Treasury before 
entering into contracts to recover assets of the United States held by a 
state government or a financial institution.
    (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 provide that the fee a contractor charges the Commission 
for such services may be payable from the amounts recovered, unless 
otherwise prohibited by statute. In that regard, fees for those services 
will be added to the amount collected and are part of the administrative 
collection costs passed on to the debtor. See Sec. 1.1940.



Sec. Sec. 1.1920 through 1.1924  [Reserved]

                      Salary Offset-Individual Debt



Sec. 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 recover a debt from the pay account of a 
Commission employee. It also establishes procedural guidelines to 
recover debts when the employee's creditor and paying agencies are not 
the same.

[[Page 374]]



Sec. 1.1926  Scope.

    (a) Coverage. This section applies to the Commission and employees 
as defined by Sec. 1.1901.
    (b) Applicability. This section and 5 U.S.C. 5514 apply in 
recovering certain debts by offset, except where the employee consents 
to the recovery, from the current pay account of that employee. 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 provisions of the Federal Claims 
Collection Standards (31 CFR parts 900-904).
    (1) Excluded debts or claims. The procedures 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 validity of a 
debt, in the manner prescribed by the Commissioner. Similarly, this 
subpart does not preclude an employee from requesting waiver of the 
collection of a debt under any other applicable 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 section 
901.3(a)(4).



Sec. 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 employee at least 30 days before any deduction, written 
notice stating at a minimum:
    (1) The Commission's determination that a debt is owed, including 
the origin, 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 disposable pay) and the intention to continue the deductions until 
the debt is paid in full or otherwise resolved;
    (4) An explanation of the Commission's policy concerning interest, 
penalties, and administrative costs (See Sec. Sec. 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 receive a copy of 
such records.
    (6) If not previously provided, the opportunity (under terms 
agreeable to the Commission) to establish a schedule for the voluntary 
repayment of the debt or to enter into a written agreement to establish 
a schedule for repayment of the debt in lieu of offset. The agreement 
must be in writing, signed by both the employee and the Managing 
Director (or designee) of the Commission and documented in Commission 
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 official 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 petition for hearing will stay the 
commencement 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 filing of the petition requesting the hearing unless the 
employee requests and the hearing official grants a delay in the 
proceedings;
    (11) That any knowingly false, misleading, or frivolous statements, 
representations, or evidence may subject the employee to:

[[Page 375]]

    (i) Disciplinary procedures appropriate under Chapter 75 of title 5, 
U.S.C., part 752 of title 5, Code of Federal Regulations, or any other 
applicable statutes or regulations.
    (ii) Penalties under the False Claims Act sections 3729-3731 of 
title 31, U.S.C., or any other applicable statutory authority; or
    (iii) Criminal penalties under sections 286, 287, 1001, and 1002 of 
title 18, U.S.C., or any other applicable statutory authority.
    (12) Any other rights and remedies available to the employee under 
statutes or regulations governing the program for which the collection 
is being made; and
    (13) Unless there are applicable contractual or statutory provisions 
to the contrary, that amounts paid on or deducted 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 Commission 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 deductions from pay, if the amount to be recovered 
was accumulated over four pay periods or less;
    (2) A routine intra-Commission adjustment 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 adjustment, or as 
soon thereafter as practical, 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 thereafter as practical, the 
individual is provided written notice of the nature and the amount of 
the adjustment and a point of contact for contesting such adjustment.



Sec. 1.1928  Hearing.

    (a) Petition for hearing. (1) An employee may request a hearing by 
filing a written petition with the Managing Director of the Commission, 
or designated official stating why the employee believes the 
determination of the Commission concerning the existence 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 explain with reasonable 
specificity all the facts, evidence and witnesses, if any, which the 
employee believes support 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 delivered or the date 
of delivery by certified mail, return receipt requested.
    (4) If a petition is received after the fifteenth (15) calendar day 
deadline referred to paragraph (a) (3) of this section, 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 otherwise 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 pursuant to 
paragraph (a)(4) of this section, the employee's right to hearing will 
be considered waived, and salary offset will be implemented by the 
Commission.
    (b) Type of hearing. (1) The form and content of the hearing will be 
determined by the hearing official who shall be a person outside the 
control or authority of the Commission except that nothing herein shall 
be construed to prohibit the appointment of an administrative law judge 
by the Commission. In determining the type of hearing, the hearing 
officer will consider the nature and complexity of the transaction 
giving 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 opportunity to present their respective

[[Page 376]]

positions, or as a more formal proceeding involving the presentation of 
evidence, arguments and written submissions.
    (2) The employee may represent him or herself, or may be represented 
by an attorney.
    (3) The hearing official shall maintain 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 applicable.
    (5) The decision of the hearing official shall constitute the final 
administrative decision of the Commission.



Sec. 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 conditions:
    (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 officially established pay interval, collection 
must be made in installments.
    (2) The size of the installment deductions will bear a reasonable 
relationship to the size of the debt and the employee's ability to pay 
(see the FCCS). However, the installments will not exceed 15 percent of 
the disposable pay from which the deduction is made, unless the employee 
has agreed in writing to the deduction of a greater amount.
    (3) Deduction will generally commence with the next full pay 
interval (ordinarily the next biweekly pay period) following the date: 
of the employee'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 
Sec. 1.1930.



Sec. 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 entire 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 necessary 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 Service Retirement and 
Disability Fund, pursuant to Sec. 1.1913.



Sec. 1.1931  Non-waiver of rights by payments.

    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.



Sec. 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 
judicial order to refund amounts deducted from his or her current pay.
    (b) Refunds do not bear interest unless required or permitted by law 
or contract.



Sec. 1.1933  Interest, penalties and administrative costs.

    The assessment of interest, penalties and administrative costs shall 
be in accordance with Sec. Sec. 1.1940 and 1.1941.

[[Page 377]]



Sec. 1.1934  Recovery when the Commission is not creditor agency.

    (a) Responsibilities of creditor agency. Upon completion of the 
procedures established under 5 U.S.C. 5514, the creditor 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 Government'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 installment (if a date other than the next officially 
established pay period is required).
    (3) Unless the employee has consented to the salary offset in 
writing or signed a statement acknowledging receipt of the required 
procedures, and the written consent or statement is forwarded to the 
Commission, the creditor agency also must advise the Commission 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 instruction 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 Sec. 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 
Retirement and Disability Fund, or other similar payments, it must 
provide written notification to the agency responsible 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 certified claim to 
the agency responsible for making such payments before collection can be 
made.
    (6) If the employee is already separated and all payments from the 
Commission have been paid, the creditor agency may request, unless 
otherwise prohibited, that money due and payable to the employee from 
the Civil Service Retirement and Disability Fund (5 CFR 831.1801 et 
seq.), or other similar funds, be administratively offset to collect the 
debt. (31 U.S.C. 3716 and 4 CFR 102.4)
    (b) Responsibilities of the Commission--(1) Complete claim. When the 
Commission receives a properly certified debt claim from a creditor 
agency, deductions should be scheduled to begin prospectively at the 
next official established pay interval. The Commission will notify the 
employee that the Commission has received a certified debt claim from 
the creditor agency (including 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 Commission receives an incomplete 
debt claim from a creditor agency, the Commission 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 received, 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 agency'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 employee transfers to a position served by a different 
paying agency before the debt is collected in full, the Commission must 
certify the total amount of the collection made on the debt. One copy of 
the certification must be furnished to the employee, another to the 
creditor agency along with notice of employee's transfer. However, the 
creditor agency must submit a properly

[[Page 378]]

certified claim to the new paying agency before collection can be 
resumed.
    (2) When an employee transfers to another paying agency, the 
creditor agency need not repeat the due process procedures described by 
5 U.S.C. 5514 and this subpart to resume the collection. However, the 
creditor agency is responsible for reviewing the debt upon receiving the 
former paying agency's notice of the employee's transfer to make sure 
the collection is resumed by the new paying agency.



Sec. 1.1935  Obtaining the services of a hearing official.

    (a) When the debtor does not work for the creditor agency and the 
creditor agency cannot provide a prompt and appropriate hearing before 
an administrative law judge or before a hearing official furnished 
pursuant to another lawful arrangement, the creditor agency may contact 
an agent of the Commission designated in Appendix A of 5 CFR part 581 
for a hearing official, 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 certification regarding the 
existence and amount of the debt for purposes of executing salary offset 
under 5 U.S.C. 5514. A creditor agency may make a certification to the 
Secretary of the Treasury under 31 CFR 550.1108 or a paying agency under 
31 CFR 550.1109 regarding the existence and amount of the debt based on 
the certification of a hearing official. 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 collection of the debt through other means, such as 
offset of other Federal payments, litigation, etc.



Sec. 1.1936  Administrative wage garnishment.

    (a) Purpose. This section provides procedures for the Commission to 
collect 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 notwithstanding any provision of State 
law.
    (3) Nothing in this section precludes the compromise of a debt or 
the suspension 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.
    (4) The receipt of payments pursuant to this section does not 
preclude the Commission from pursuing other debt collection remedies, 
including the offset of Federal payments to satisfy delinquent nontax 
debt owed to the United States. The Commission may pursue such debt 
collection remedies separately or in conjunction with administrative 
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, Sec. Sec. 1.1925 
through 1.1935, and other applicable 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 definitions set forth in Sec. 
1.1901 as used in this section, the following definitions shall apply:
    (1) Business day means Monday through Friday. For purposes of 
computation, the last day of the period will be included unless it is a 
Federal legal holiday.
    (2) Certificate of service means a certificate signed by a 
Commission official indicating the nature of the document to which it 
pertains, the date of

[[Page 379]]

mailing of the document, and to whom the document is being sent.
    (3) Day means calendar day. For purposes 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 deduction of health 
insurance premiums and any amounts required by law to be withheld.
    (5) Amounts required by law to be withheld include amounts for 
deductions such as social security taxes and withholding 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 limited 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 
employee's disposable pay and the paying of those amounts to a creditor 
in satisfaction of a withholding order.
    (8) Withholding order means any order for withholding or garnishment 
of pay issued by an agency, or judicial or administrative 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 Commission determines that a 
delinquent debt is owed by an individual, the Commission may initiate 
proceedings administratively to garnish the wages of the delinquent 
debtor as governed by procedures prescribed by 31 CFR 285. Wage 
garnishment will usually be performed for the Commission by the Treasury 
as part of the debt collection processes for Commission debts referred 
to Treasury for further collection action.
    (e) Notice requirements. (1) At least 30 days before the initiation 
of garnishment 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 repayment agreement with the Commission 
under terms agreeable to the Commission; and
    (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 procedures 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 withholding 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., within 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

[[Page 380]]

made by the Commission to proceed with garnishment, or as soon as 
reasonably 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 employer to comply with the withholding 
order, including the debtor's name, address, 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 
Commission shall send to the employer a certification in a form 
prescribed by the Secretary of the Treasury. The employer shall complete 
and return the certification to the Commission within the time frame 
prescribed in the instructions to the form addressing matters such as 
information about the debtor's employment status and disposable 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 applicable debtor during each pay period the amount of 
garnishment described in paragraph (i)(2) of this section.
    (2) Subject to the provisions of paragraphs (i)(3) and (i)(4) of 
this section, the amount of garnishment shall be the lesser of:
    (i) The amount indicated on the garnishment order up to 15% of the 
debtor's disposable pay; or
    (ii) The amount set forth in 15 U.S.C. 1673(a)(2) (Restriction on 
Garnishment). 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 Federal 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 priority over other 
withholding orders which are served later in time. Notwithstanding the 
foregoing, withholding 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 
withholding order served on an employer before a withholding order 
issued pursuant to this section, or if a withholding 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:
    (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 withholding order(s) with priority.
    (iii) If a debtor owes more than one debt to the Commission, the 
Commission 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 paragraph (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 
withheld in accordance with the withholding order issued pursuant to 
this section.
    (6) An employer shall not be required to vary its normal pay and 
disbursement 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

[[Page 381]]

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 employer receives 
notification from the Commission to discontinue wage withholding. 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 involuntarily separated from 
employment until the debtor has been reemployed continuously for at 
least 12 months. The debtor has the burden of informing the Commission 
of the circumstances surrounding an involuntary 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 garnished, based on materially 
changed circumstances such as disability, divorce, or catastrophic 
illness which result in demonstrated financial hardship.
    (2) A debtor requesting a review under paragraph (k)(1) of this 
section shall submit the basis for claiming that the current amount of 
garnishment results in demonstrated financial hardship to the debtor, 
along with supporting documentation. The Commission will consider any 
information submitted; however, demonstrated financial hardship must be 
based on financial records that include Federal and state tax returns, 
affidavits executed under the pain and penalty of perjury, and, in the 
case of business-related financial hardship (e.g., the debtor is a 
partner or member of a business-agency relationship) full financial 
statements (audited and/or submitted under oath) in accordance with 
procedures and standards established by the Commission.
    (3) If a financial hardship is found, the Commission will downwardly 
adjust, by an amount and for a period of time agreeable to the 
Commission, the amount garnisheed to reflect the debtor's financial 
condition. The Commission will notify the employer of any adjustments to 
the amounts to be withheld.
    (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 employer notification to discontinue wage withholding.
    (2) At least annually, the Commission 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 section.
    (n) Refunds. (1) If a hearing official, at a hearing held pursuant 
to paragraph (f)(3) of this section, determines that a debt is not 
legally due and owing to the United States, the Commission shall 
promptly refund any amount collected by means of administrative 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 employee in accordance with paragraphs (g) and (i) of this 
section. However, a suit may not be filed before the termination of the 
collection action involving 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 terminated collection 
action in accordance 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 garnishment, 
in whole or in part, for a period of one (1) year.

[[Page 382]]



Sec. Sec. 1.1937 through 1.1939  [Reserved]

      Interest, Penalties, Administrative Costs and Other Sanctions



Sec. 1.1940  Assessment.

    (a) Except as provided in paragraphs (g), (h), and (i) of this 
section or Sec. 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, including facsimile telecopier service, 
a written notice to the debtor, at the debtor's CORES contact address 
(see section 1.8002(b)) explaining the Commission's requirements 
concerning these charges except where these requirements are included in 
a contractual or repayment agreement, or otherwise 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 compromise, 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 
parties' agreement to waive notice.
    (b) The Commission shall charge interest 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, regulation, 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 interest 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 duration of the indebtedness. When a debtor defaults on a 
repayment agreement 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, penalties, 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 principal under the new 
repayment agreement.
    (c) The Commission shall assess administrative costs incurred for 
processing and handling delinquent debts. The calculation of 
administrative costs may be based on actual costs incurred or upon 
estimated costs as determined by the Commission. Commission 
administrative costs include the personnel and service costs (e.g., 
telephone, copier, and overhead) to notify and collect the debt, without 
regard to the success of such efforts by the Commission.
    (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. Administrative debt includes, but is not limited to, a 
debt based on fines, penalties, 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 adjustment exceeds the Consumer Price

[[Page 383]]

Index for the month of June of the calendar year in which the debt was 
determined or last adjusted. Increases to administrative debts shall be 
computed annually. Agencies should use this alternative only when there 
is a legitimate reason to do so, such as when calculating interest and 
penalties on a debt would be extremely difficult because of the age of 
the debt.
    (f) When a debt is paid in partial or installment payments, amounts 
received by the agency shall be applied first to outstanding penalties 
and administrative cost charges, second to accrued interest, and third 
to the outstanding principal.
    (g) The Commission will waive the collection of interest and 
administrative 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 
circumstances, completely documented and supported in writing, submitted 
and received before the expiration of the first 30-day period. The 
Commission may, on good cause shown of extraordinary and compelling 
circumstances, completely documented and supported in writing, waive 
interest, 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 conscience or is not in the 
best interest of the United States.
    (h) The Commission retains the common law right to impose interest 
and related charges on debts not subject to 31 U.S.C. 3717.



Sec. 1.1941  Exemptions.

    (a) The preceding sections of this part, to the extent they reflect 
remedies 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 collection agencies, and 
interest and related 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, 
however, may be authorized with respect to debts that are exempt from 
the Debt Collection Act of 1982 and the Debt Collection 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 construed as prohibiting the use of 
these authorities or requirements when collecting debts owed by persons 
employed by agencies administering the laws cited in paragraph (a) of 
this section unless the debt arose under those laws. However, the 
Commission is authorized to assess interest and related charges on debts 
which are not subject to 31 U.S.C. 3717 to the extent authorized under 
the common law or other applicable statutory authority.



Sec. 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 permitted by law, for any inexcusable, prolonged, or repeated 
failure of a debtor to pay such a claim. In such cases, the Commission 
will provide notice, as required by law, to the debtor prior to 
imposition of any such sanction.



Sec. Sec. 1.1943 through 1.1949  [Reserved]

              Cooperation With the Internal Revenue Service



Sec. 1.1950  Reporting discharged debts to the Internal Revenue Service.

    (a) In accordance with applicable provisions 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 indebtedness, it will report the outstanding balance discharged, not 
including interest, to the Internal Revenue Service, using IRS Form 
1099-C or any other form prescribed by the Service, when:

[[Page 384]]

    (1) The principle amount of the debt not in dispute is $600 or more; 
and
    (2) The obligation has not been discharged in a bankruptcy 
proceeding; and
    (3) The obligation is no longer collectible 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 discharged of all or a 
portion of the obligation.
    (b) The Treasury will prepare the Form 1099-C for those debts 
transferred to Treasury for collection and deemed uncollectible.



Sec. 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 Department 
regulations.



Sec. 1.1952  Use and disclosure of mailing addresses.

    (a) When attempting to locate a debtor in order to collect or 
compromise a debt under this subpart or other authority, the Commission 
may send a request to the Secretary of the Treasury (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 agencies for collection purposes.

           General Provisions Concerning Interagency Requests



Sec. 1.1953  Interagency requests.

    (a) Requests to the Commission by other Federal agencies for 
administrative or salary offset shall be in writing and forwarded to the 
Financial Operations 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 regulations. If the 
agency's rules governing this matter are not readily available or 
identifiable, the request will be submitted to that agency's office of 
legal counsel with a request that it be processed in accordance with 
their internal procedures.
    (c) Requests to and from the Commission shall be accompanied by a 
certification 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 effecting collection.
    (d) Requests to and from the Commission shall be processed within 30 
calendar days of receipt. If such processing is impractical or not 
feasible, notice to extend the time period for another 30 calendar days 
will be forwarded 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 otherwise noted.



Sec. 1.2001  Purpose.

    To determine eligibility for professional and/or commercial licenses 
issued by the Commission with respect to any denials of Federal benefits 
imposed by Federal and/or state courts under authority granted in 21 
U.S.C. 862.

[60 FR 39269, Aug. 2, 1995]



Sec. 1.2002  Applicants required to submit information.

    (a) In order to be eligible for any new, modified, and/or renewed 
instrument of authorization from the Commission, including but not 
limited to, authorizations issued pursuant to sections 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

[[Page 385]]

amended, by whatever name that instrument may be designated, all 
applicants shall certify that neither the applicant nor any party to the 
application 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 incorporated 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 included 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 application. If the applicant is unable to 
so certify, the applicant shall be ineligible 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 application form, failure to respond 
to the question concerning certification shall result in dismissal of 
the application pursuant to the relevant processing 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 officers, 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 limited partners holding a 5% or more interest in the partnership.
    (c) The provisions of paragraphs (a) and (b) of this section are not 
applicable 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 individually 
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 Sec. 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 subpart 
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]

    Effective Date Note: At 68 FR 66277, Nov. 25, 2003, Sec. 1.2002 (d) 
was added. This amendment contains information collection and 
recordkeeping requirements and will not become effective until approval 
has been given by the Office of Management and Budget.



Sec. 1.2003  Applications affected.

    The certification required by Sec. 1.2002 must be filed with the 
following applications and any other requests for authorization filed 
with the Commission, as well as for spectrum leasing notifications and 
spectrum leasing applications (see subpart X of this part), regardless 
of whether a specific form exists.

FCC 301 Application for Construction Permit for Commercial Broadcast 
Station;
FCC 301-A Application for Authority to Operate a Broadcast Station by 
Remote Control or to Make Changes in a Remote Control Authorization;
FCC 302 Application for New Broadcast Station License;
FCC 302--FM Application for FM Broadcast Station License;
FCC 303-S Application for Renewal of License for AM, FM, TV, Translator, 
or LPTV Station;
FCC 307 Application for Extension of Broadcast Construction Permit or to 
Replace Expired Construction Permit;
FCC 308 Application for Permit to Deliver Programs to Foreign Broadcast 
Stations;
FCC 309 Application for Authority to Construct or Make Changes in an 
International or Experimental Broadcast Station;
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;

[[Page 386]]

FCC 313-R Application for Renewal of Auxiliary Broadcast License;
FCC 314 Application for Consent to Assignment of Broadcast Station 
Construction Permit or License;
FCC 315 Application for Consent to Transfer of Control of Corporation 
Holding Broadcast Station Construction Permit or License;
FCC 316 Application for Consent to Assignment of Radio Broadcast Station 
Construction Permit or License or Transfer of Control of Corporation 
Holding Radio Broadcast Station Construction Permit or License;
FCC 327 Application for Cable Television Relay Service Station 
Authorzation;
FCC 330 Application for Authorization to Construct New or Make Changes 
in an Instructional Television Fixed and/or Response 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 Instructional Television Fixed 
Station and/or Response Station(s) and Low Power Relay Station(s) 
License;
FCC 340 Application for Construction Permit 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 Construct 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 License;
FCC 349 Application for Authority to Construct or Make Changes in an FM 
Translator 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 
Authorization Under part 22 of this chapter.
FCC 402 Application for Station Authorization in the Private Operational 
Fixed Microwave Radio Service;
FCC 402-R Renewal Notice and Certification in the Private Operational 
Fixed Microwave Radio Service;
FCC 403 Application for Radio Station License or Modification Thereof 
Under parts 23 or 25 of this chapter;
FCC 404 Application for Aircraft Radio Station 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 Authorization in the Aviation 
Services;
FCC 407 Application for New or Modified Radio Station Construction 
Permit;
FCC 409 Airborne Mobile Radio Telephone License Application;
FCC 410 Registration of Canadian Radio Station Licensee and Application 
for Permit to Operate (Land Mobile);
FCC 442 Application for New or Modified Radio Station Authorization 
Under part 5 of this chapter--Experimental Radio Service (Other than 
Broadcast);
FCC 490 Application for Assignment or Transfer of Control Under part 22 
of this chapter;
FCC 493 Application for Earth Station Authorization or Modification of 
Station License (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 Mobile and General Mobile Radio 
Services;
FCC 574-R Application for Renewal of Radio Station License;
FCC 601 FCC Application for Wireless Telecommunications Bureau Radio 
Service Authorization;
FCC 602 FCC Ownership Disclosure Information for the Wireless 
Telecommunications Services;
FCC 603 Wireless Telecommunications Bureau Application for Assignment of 
Authorization and Transfer of Control; Notification or Application for 
Spectrum Leasing Arrangement;
FCC 605 Quick Form Application for Authorization in the Ship, Aircraft, 
Amateur, Restricted and Commercial Operator, and General Mobile Radio 
Services.
FCC 701 Application for Additional Time to Construct a Radio Station;
FCC 702 Application for Consent to Assignment of Radio Station 
Construction Permit or License;
FCC 703 Application for Consent to Transfer Control of Corporation 
Holding Station License;
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 
Telephone Network;
FCC 731 Application for Equipment Authorization;

[[Page 387]]

FCC 753 Restricted Radiotelephone Operator Permit Application;
FCC 755 Application for Restricted Radiotelephone 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]

    Effective Date Note: At 68 FR 66277, Nov. 25, 2003, Sec. 1.2003 
introductory text, and the entry for ``FCC 603'' were revised. This 
amendment contains information collection and recordkeeping 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



Sec. 1.2101  Purpose.

    The provisions of this subpart implement Section 309(j) of the 
Communications Act of 1934, as added by the Omnibus Budget 
Reconciliation Act of 1993 (Pub. L. 103-66) and the Balanced Budget Act 
of 1997 (Pub. L. 105-33), authorizing the Commission to employ 
competitive bidding procedures to choose from among two or more mutually 
exclusive applications for certain initial licenses.

[63 FR 2340, Jan. 15, 1998]



Sec. 1.2102  Eligibility of applications for competitive bidding.

    (a) Mutually exclusive initial applications are subject to 
competitive bidding.
    (b) The following types of license applications are not subject to 
competitive bidding procedures:
    (1) Public safety radio services, including private internal radio 
services used by state and local governments and non-government entities 
and including emergency road services provided 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 television 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 Stations (see 47 CFR part 80, subpart 
L);
    (7) Marine Radiodetermination Stations (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);
    (9) Public Safety, Industrial/Land Transportation, General and 
Business Radio categories above 800 MHz, including finder's preference 
requests for frequencies not allocated to the SMR service (see 47 CFR 
90.173), and including, until further notice of the Commission, the 
Automated Vehicle Monitoring Service (see 47 CFR 90.239);
    (10) Private Land Mobile Radio Services 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 Services below 470 MHz (see 47 CFR 
part 90, subparts B-F) except in the 220 MHz band (see 47 CFR part 90, 
subpart T), including those based on finder's preferences (see 47 CFR 
Sec. 90.173); and
    (12) Private Operational Fixed Services (see 47 CFR part 94).


[[Page 388]]


    Note to Sec. 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]



Sec. 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 bidding:
    (1) Simultaneous multiple-round auctions (using remote or on-site 
electronic bidding);
    (2) Sequential multiple round auctions (using either oral ascending 
or remote and/or on-site electronic bidding);
    (3) Sequential or simultaneous single-round auctions (using either 
sealed paper or remote and/or on-site electronic 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 
authorizations, in addition to bids on individual licenses or 
authorizations. The Commission may require that to be declared the high 
bid, a combinatorial bid must exceed the sum of the individual bids by a 
specified amount. Combinatorial bidding may be used with any type of 
auction. The Commission may also allow bidders to submit contingent bids 
on individual and/or combinations of licenses.
    (c) The Commission may use single combined auctions, which combine 
bidding for two or more substitutable licenses and award licenses to the 
highest 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]



Sec. 1.2104  Competitive bidding mechanisms.

    (a) Sequencing. The Commission will establish the sequence in which 
multiple licenses will be auctioned.
    (b) Grouping. In the event the Commission uses either a simultaneous 
multiple round competitive bidding design or combinatorial bidding, the 
Commission will determine which licenses will be auctioned 
simultaneously or in combination.
    (c) Reservation Price. The Commission may establish a reservation 
price, either disclosed or undisclosed, below which a license subject to 
auction will not be awarded.
    (d) Minimum Bid Increments, Minimum Opening Bids and Maximum Bid 
Increments. The Commission may, by announcement before or during an 
auction, require minimum bid increments in dollar or percentage terms. 
The Commission also may establish minimum 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 require a minimum amount of bidding activity.
    (g) Withdrawal, Default and Disqualification Payment. As specified 
below, when the Commission conducts an auction pursuant to Sec. 1.2103, 
the Commission 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 auction. A bidder that 
withdraws a high bid during 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

[[Page 389]]

less. No withdrawal payment will be assessed for a withdrawn bid if 
either the subsequent winning bid or any of the intervening subsequent 
withdrawn bids equals or exceeds that withdrawn bid. The withdrawal 
payment amount is deducted from any upfront payments or down payments 
that the withdrawing bidder has deposited with the Commission. In the 
case of multiple bid withdrawals on a single license, the payment for 
each bid withdrawal will be calculated based on the sequence of bid 
withdrawals and the amounts withdrawn in the same or subsequent 
auction(s). In the event that a license for which there have been 
withdrawn bids 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 equal to 3 percent of the amount of their 
bid withdrawals. The 3 percent interim payment will be applied toward 
any final bid withdrawal payment that will be assessed at the close of 
the subsequent auction of the 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. 
Withdrawal payments are assessed as follows: At the end of the first 
auction, Bidder A and Bidder B are each assessed an interim 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. Because 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 high bid at the close of an auction. If a high bidder defaults or 
is disqualified after the close of such an auction, the defaulting 
bidder will be subject to the payment in paragraph (g)(1) of this 
section plus an additional payment equal to 3 percent of the subsequent 
winning bid. If the subsequent winning bid exceeds the defaulting 
bidder's bid amount, the 3 percent payment will be calculated based on 
the defaulting bidder's bid amount. If either bid amount is subject to a 
bidding credit, the 3 percent credit will be calculated using the same 
bid amounts and basis (net or gross bids) as in the calculation of the 
payment in paragraph (g)(1) of this section. Thus, for example, if gross 
bids are used to calculate the payment in paragraph (g)(1) of this 
section, the 3 percent will be applied to the gross amount of the 
subsequent winning bid, or the gross amount of the defaulting bid, 
whichever is less.
    (3) Default or disqualification in combinatorial bidding auctions 
after close of auction. A bidder assumes a binding obligation to pay its 
full bid amount upon acceptance of the high bid at the close of an 
auction. When the Commission conducts a combinatorial bidding auction 
pursuant to Sec. 1.2103 (a)(4), if a high bidder defaults or is 
disqualified after close of a combinatorial bidding auction, the 
defaulting bidder will be subject to a default payment. The default 
payment consists of a deficiency portion and an additional payment. The 
deficiency portion of the default payment shall be calculated as set 
forth in Sec. 1.2104(g)(3)(i). The additional payment shall be 
calculated as set forth in Sec. 1.2104(g)(3)(ii).
    (i) Deficiency payment. The deficiency portion of the default 
payment shall be calculated as set forth. In the case that any of the 
relevant bids are subject to bidding credits, the default payment will 
be adjusted in an analogous manner to that used in Sec. 1.2104(g)(1).
    (A) Where a defaulting bidder won licenses individually (i.e., not 
as part of a package), and in a subsequent auction the licenses are also 
won individually, the deficiency portion will be

[[Page 390]]

calculated on a license-by-license basis (i.e., the differences between 
the amounts originally bid and the amounts subsequently bid will not be 
aggregated to determine a net amount owed). If the subsequent winning 
bid(s) exceed the defaulted bid(s), no deficiency portion will be 
assessed. Even in the absence of a deficiency portion, however, an 
additional 25% payment will be due.
    (B) Where a defaulting bidder won licenses in a package(s), and in a 
subsequent auction the licenses are won either in the same package(s), 
or in smaller packages or as individual licenses that correlate to the 
defaulted package(s), the deficiency portion will be determined on a 
package-by-package basis, and the differences between the amount 
originally bid and the amount(s) subsequently bid will not be aggregated 
to determine a net amount owed. Thus, in this situation, the deficiency 
portion will be calculated in an analogous manner to that used in Sec. 
1.2104(g)(2). However, with regard to each individual package, where the 
licenses are subsequently sold individually or as part of smaller 
packages, the amounts received in the subsequent auction will be 
aggregated in order to determine any deficiency.
    (C) Where a defaulting bidder or bidders won licenses either 
individually or as part of packages, and in a subsequent auction the 
licenses are won as larger packages or different packages (not including 
the situation described in paragraph (b) of this section), the 
deficiency portion will be calculated by subtracting the aggregate 
amount originally bid for the licenses from the aggregate amount bid in 
the subsequent auction for the licenses.
    (D) When in the situation described in paragraph (c) of this 
section, there are multiple defaulting bidders, the default payment 
(both the deficiency portion and the additional amount portion) will be 
allocated to the defaulting bidders in proportion to the amount they 
originally bid.

    Example: Bidder 1 defaults on Package ABC for $200, and Bidder 2 
defaults on Package DE for $400, and in a subsequent auction the 
licenses are won in Package AB for $150 and Package CDE for $350, Bidder 
1 would be liable for \1/3\ of the default payment and Bidder 2 would be 
responsible for \2/3\. The total default payment would be equal to the 
difference between the total of the original bids ($600) and the total 
of the subsequent amounts bid ($500) plus an additional amount of 25 
percent of the total of the subsequent amounts bid. The total default 
payment therefore would equal $100 ($600-$500) plus 25 percent of $500 
($125), for a total default payment of $225.

    (ii) Additional payment. If a high bidder defaults or is 
disqualified after the close of such an auction, the defaulting bidder 
will be subject to the payment in paragraph (g)(3)(i) of this section 
plus an additional payment equal to 25 percent of the subsequent winning 
bid(s) or the defaulting bid(s), whichever is less. In the case that 
either the subsequent winning bid(s) or the defaulting bid(s) is subject 
to bidding credits, the additional payment will be calculated in an 
analogous manner to that used in Sec. 1.2104(g)(2). In calculating the 
additional payment to determine whether the defaulted bid(s) or the 
subsequent winning bid(s) is the lesser amount, the defaulted and 
subsequent bid(s) will be compared according to the rules set forth in 
paragraphs (g)(3)(i)(A) through (g)(3)(i)(D) of this section for 
calculation of the deficiency portion of the default payment.
    (h) The Commission will generally release information concerning the 
identities of bidders before each auction 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, suspend, or cancel an auction in the 
event of a natural disaster, technical obstacle, evidence of security 
breach, unlawful bidding activity, administrative necessity, or for any 
other reason that affects the fair and efficient conduct of the 
competitive bidding. The Commission 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.

[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]

[[Page 391]]



Sec. 1.2105  Bidding application and certification procedures; prohibition 
of collusion.

    (a) Submission of Short-Form Application (FCC Form 175). In order to 
be eligible to bid, an applicant must timely submit a short-form 
application (FCC Form 175), together with any appropriate 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 operation 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 
mutual 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 applicant 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 director. If the applicant is a partnership, 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 applicant is none of the above, then it must 
identify and describe itself and its principals or other responsible 
persons; and
    (B) Applicant ownership information, as set forth in Sec. 1.2112.
    (iii) The identity of the person(s) authorized to make or withdraw a 
bid;
    (iv) If the applicant applies as a designated entity pursuant to 
Sec. 1.2110, a statement to that effect and a declaration, under 
penalty of perjury, that the applicant is qualified as a designated 
entity under Sec. 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 pending;
    (vi) Certification that the applicant is in compliance with the 
foreign ownership provisions of section 310 of the Communications Act of 
1934, as amended;
    (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 certification in certain 
services that the applicant will, following grant of a license, come 
into compliance with certain service-specific rules, including, but not 
limited to, ownership eligibility 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 agreements, 
arrangements or understandings 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 understandings 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 licenses and that it is not delinquent on any non-tax debt 
owed to any Federal agency.
    (xi) An attached statement made under penalty of perjury indicating 
whether or not the applicant has ever been in default on any Commission 
license or has ever been delinquent on any non-tax debt owed to any 
Federal agency.

    Note to paragraph (a):

[[Page 392]]

    The Commission may also request applicants to submit additional 
information for informational purposes to aid in its preparation of 
required reports 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 application will be dismissed with 
prejudice and the upfront payment, if paid, will be returned.
    (2) The Commission will provide bidders a limited opportunity to 
cure defects specified herein (except for failure to sign the 
application and to make certifications) and to resubmit a corrected 
application. During the resubmission period for curing defects, a short-
form application may be amended or modified to cure defects identified 
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 
ownership of the applicant that would constitute an assignment or 
transfer of control, changes in an applicant's size which would affect 
eligibility for designated 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 limited 
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 
applicable filing deadlines.
    (3) Applicants who fail to correct defects in their applications in 
a timely manner as specified by public notice will have their 
applications dismissed with no opportunity for resubmission.
    (c) Prohibition of collusion. (1) Except as provided in paragraphs 
(c)(2), (c)(3), and (c)(4) of this section, after the short-form 
application filing deadline, all applicants for licenses in any of the 
same geographic license areas are prohibited from cooperating or 
collaborating with respect to, discussing with each other, or disclosing 
to each other in any manner the substance of their own, or each other's, 
or any other competing applicants' bids or bidding strategies, or 
discussing or negotiating settlement agreements, until after the down 
payment 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 Sec. 1.2105(a)(2)(viii).
    (2) Applicants may modify their short-form applications to reflect 
formation of consortia or changes in ownership at any time before or 
during an auction, provided such changes do not result in a change in 
control of the applicant, and provided that the parties forming 
consortia or entering into ownership agreements have not applied for 
licenses in any of the same geographic license areas. Such changes will 
not be considered major modifications of the application.
    (3) After the filing of short-form applications, applicants may make 
agreements to bid jointly for licenses, provided 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 applications, a holder of a non-
controlling 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 geographic license area, provided that:
    (i) The attributable interest holder certifies to the Commission 
that it has not communicated and will not communicate 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 bidding arrangement, and which have applied 
for licenses in the same geographic license area(s); and
    (ii) The arrangements do not result in any change in control of an 
applicant; or

[[Page 393]]

    (iii) When an applicant has withdrawn from the auction, is no longer 
placing bids and has no further eligibility, a holder of a non-
controlling, attributable 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 geographic service area, provided that the 
attributable interest holder certifies to the Commission that it did not 
communicate 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 
arrangements.
    (6) Any applicant that makes or receives a communication of bids or 
bidding strategies prohibited under paragraph (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. Such reports shall be filed with the Office of the 
Secretary, and a copy shall be sent to the Chief of the Auctions and 
Industry Analysis Division, Wireless Telecommunications Bureau.
    (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 partnership and other 
ownership interests and any stock interest amounting to 10 percent or 
more of the entity, or outstanding 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. Company C is an applicant in area 3. Without 
violating the Commission's Rules, Company B can enter into a consortium 
arrangement with Company D or acquire an ownership interest 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 
communicated 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]



Sec. 1.2106  Submission of upfront payments.

    (a) The Commission may require applicants for licenses subject to 
competitive bidding to submit an upfront payment. In that event, the 
amount of the upfront payment and the procedures for submitting it will 
be set forth in a Public Notice. Any auction applicant that has 
previously been in default 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 Insurance Corporation and must be made payable to the Federal 
Communications Commission.
    (c) If an upfront payment is not in compliance with the Commission's 
Rules, or if insufficient funds are tendered to constitute a valid 
upfront payment, the applicant shall have a limited opportunity to 
correct its submission to bring it up to the minimum valid upfront 
payment prior to the auction. If the applicant does not submit at least 
the minimum upfront payment, it will be ineligible to bid, its 
application will be dismissed and any upfront payment it has made will 
be returned.
    (d) The upfront payment(s) of a bidder 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.

[[Page 394]]

    (e) In accordance with the provisions of paragraph (d), in the event 
a penalty is assessed pursuant to Sec. 1.2104 for bid withdrawal or 
default, upfront payments 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]



Sec. 1.2107  Submission of down payment and filing of long-form applications.

    (a) After bidding has ended, the Commission will identify and notify 
the high bidder and declare the bidding closed.
    (b) Unless otherwise specified by public 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 Commission's 
lockbox bank such additional funds (the ``down payment'') as are 
necessary to bring its total deposits (not including upfront payments 
applied to satisfy bid withdrawal or default payments) up to twenty (20) 
percent of its high bid(s). (In single round sealed bid auctions 
conducted under Sec. 1.2103, however, bidders may be required to submit 
their down payments with their bids.) Unless otherwise specified by 
public notice, this down payment must be made by wire transfer in U.S. 
dollars from a financial institution whose deposits are insured by the 
Federal Deposit Insurance Corporation and must be made payable to the 
Federal 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 license or authorization, in which 
case it will not be returned, or until the winning bidder is found 
unqualified to be a licensee or has defaulted, in which case it will be 
returned, less applicable payments. No interest on any down payment will 
be paid to the bidders.
    (c) A high bidder that meets its down payment obligations in a 
timely manner must, within ten (10) business days after being notified 
that it is a high bidder, submit an additional application (the ``long-
form application'') pursuant to the rules governing the service in which 
the applicant is the high bidder. Notwithstanding any other provision in 
title 47 of the Code of Federal Regulations to the contrary, high 
bidders need not submit an additional application filing fee with their 
long-form applications. Specific procedures for filing applications will 
be set out by Public Notice. Ownership disclosure requirements are set 
forth in Sec. 1.2112. Beginning January 1, 1999, all long-form 
applications must be filed electronically. An applicant that fails to 
submit the required long-form application under this paragraph and fails 
to establish good cause for any late-filed submission, shall be deemed 
to have defaulted and will be subject to the payments set forth in Sec. 
1.2104.
    (d) As an exhibit to its long-form application, the applicant must 
provide a detailed explanation of the terms and conditions and parties 
involved in any bidding consortia, joint venture, partnership or other 
agreement or arrangement it had entered into relating to the competitive 
bidding process prior to the time bidding was completed. Such agreements 
must have been entered into prior to the filing of short-form 
applications pursuant to Sec. 1.2105.
    (e) A winning bidder that seeks a bidding credit to serve a 
qualifying tribal land, as defined in Sec. 1.2110(f)(3)(i), within a 
particular market must indicate on the long-form application (FCC Form 
601) that it intends to serve a qualifying tribal land within that 
market.
    (f) An applicant must also submit FCC Form 602 (see Sec. 1.919 of 
this chapter) with its long form application (FCC Form 601).

[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]



Sec. 1.2108  Procedures for filing petitions to deny against long-form 
applications.

    (a) Where petitions to deny are otherwise provided for under the Act 
or the commission's Rules, and unless other service-specific procedures 
for the filing of such petitions are provided for

[[Page 395]]

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 Public Notice and after the 
Commission by Public Notice announces that long-form applications have 
been accepted for filing, petitions to deny such applications may be 
filed. The period for filing petitions to deny shall be no more than ten 
(10) days. The appropriate licensing Bureau, within its discretion, may, 
in exigent circumstances, reduce this period of time to no less than 
five (5) days. Any such petitions must contain allegations of fact 
supported by affidavit of a person or persons with personal knowledge 
thereof.
    (c) An applicant may file an opposition 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 person or persons 
with personal knowledge thereof. The time for filing such oppositions 
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 Commission may grant a license 
based on any long-form application that has been accepted for filing. 
The Commission shall in no case grant licenses earlier than seven (7) 
days following issuance of a public notice announcing long-form 
applications have been accepted 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 a evidentiary hearing and will deny the application.
    (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 submitted 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]



Sec. 1.2109  License grant, denial, default, and disqualification.

    (a) Unless otherwise specified by public notice, auction winners are 
required to pay the balance of their winning bids in a lump sum within 
ten (10) business 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 license(s) and 
subject to the applicable default payments. Licenses will be awarded 
upon the full and timely payment of winning bids and any applicable 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 within ten (10) business days after the Commission has declared 
competitive bidding 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 Sec. Sec. 1.2104(g)(2) or 1.2104(g)(3), whichever 
is applicable. In such event, the Commission, 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 offered to the other highest bidders (in 
descending order), the down payment obligations set forth in Sec. 
1.2107(b) will apply. However, in combinatorial bidding auctions, the 
Commission will only re-auction the license(s) to existing or new 
applicants. The Commission will not offer the package or licenses to the 
next highest bidder.
    (c) A winning bidder who is found unqualified to be a licensee, 
fails to remit

[[Page 396]]

the balance of its winning bid in a timely manner, or defaults or is 
disqualified for any reason after having made the required down payment, 
will be deemed to have defaulted, its application will be dismissed, and 
it will be liable for the payment set forth in Sec. Sec. 1.2104(g)(2) 
or 1.2104(g)(3), whichever is applicable. In such event, the Commission 
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. However, in combinatorial bidding auctions, the Commission 
will only re-auction the license(s) to existing 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 
Commission's rules in connection with their participation in the 
competitive bidding process may be subject, in addition to any other 
applicable sanctions, 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]



Sec. 1.2110  Designated entities.

    (a) Designated entities are small businesses, businesses owned by 
members of minority groups and/or women, and rural telephone companies.
    (b) Eligibility for small business and entrepreneur provisions. (1) 
Size attribution. (i) The gross revenues of the applicant (or licensee), 
its affiliates, its controlling interests, and the affiliates of the 
applicant's controlling interests shall be attributed to the applicant 
and considered on a cumulative basis and aggregated 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 service-specific rules. An applicant seeking 
status as a small business, very small business, or entrepreneur, as 
those terms are defined in the service-specific rules, must disclose on 
its short- and long-form applications, separately and in the aggregate, 
the gross revenues of the applicant (or licensee), its affiliates, its 
controlling interests, and the affiliates of the applicant's controlling 
interests for each of the previous three years.
    (ii) If applicable, pursuant to Sec. 24.709 of this chapter, the 
total assets of the applicant (or licensee), its affiliates, its 
controlling interests and affiliates of the applicant's controlling 
interests shall be attributed to the applicant 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 entrepreneur must disclose on its short- 
and long-form applications, separately and in the aggregate, the gross 
revenues of the applicant (or licensee), its affiliates, its controlling 
interests and affiliates of the applicant's controlling interests for 
each of the previous two years.
    (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 identity of interests identified in Sec. 
1.2110(c)(5)(iii) will be treated as though they were one person or 
entity and their ownership interests aggregated 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 having 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 interests in DE 
Corp. must be aggregated because 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 (or licensee) is 
a consortium of small businesses, very small businesses, or 
entrepreneurs, as those terms are defined in the service-specific rules, 
the gross revenues of each consortium member shall not be aggregated. 
Each consortium member must

[[Page 397]]

constitute a separate and distinct legal entity to qualify.
    (ii) Applicants without identifiable controlling interests. Where an 
applicant (or licensee) cannot identify controlling interests under the 
standards set forth in this section, the gross revenues of all interest 
holders in the applicant, and their affiliates, will be attributable.
    (iii) Rural telephone cooperatives. (A) An applicant will be exempt 
from Sec. 1.2110(c)(2)(ii)(F) for the purpose of attribution in Sec. 
1.2110(b)(1), if the applicant or a controlling interest in the 
applicant, as the case may be, meets all of the following conditions:
    (1) the applicant (or the controlling interest) is organized as a 
cooperative pursuant to state law;
    (2) the applicant (or the controlling interest) is a ``rural 
telephone company'' as defined by the Communications Act; and
    (3) the applicant (or the controlling interest) is eligible for tax-
exempt status under the Internal Revenue Code. The applicant will not be 
exempt from Sec. 1.2110(c)(2)(ii)(F) for the purpose of attribution in 
Sec. 1.2110(b)(1) if the gross revenues or other financial and 
management resources of the affiliates of the applicant's officers and 
directors (or the controlling interest's officers and directors) are 
available to the applicant.
    (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 interest's officers and 
directors only when such controlling interest is either:
    (1) An eligible rural telephone cooperative under paragraph (a) of 
this section or
    (2) controlled by an eligible rural telephone cooperative under 
paragraph (a) of this section.
    (c) Definitions--(1) Small businesses. The Commission will establish 
the definition of a small business on a service-specific basis, taking 
into consideration the characteristics and capital requirements of the 
particular service.
    (2) Controlling interests. (i) For purposes of this section, 
controlling interest includes individuals or entities with either de 
jure or de facto control of the applicant. De jure control is evidenced 
by holdings of greater than 50 percent of the voting stock of a 
corporation, or in the case of a partnership, 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 
control of the applicant:
    (A) The entity constitutes or appoints more than 50 percent of the 
board of directors or management committee;
    (B) The entity has authority to appoint, 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 exercised.
    (2) Rights of first refusal and put options shall not be calculated 
on a fully diluted basis for purposes of determining de jure control; 
however, rights of first refusal and put options shall be calculated on 
a fully diluted basis if such ownership interests, in combination with 
other terms to an agreement, deprive an otherwise qualified applicant 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 calculated as having been 
fully exercised only in the possible combinations in which they can be 
exercised by their holder(s). A contingent ownership interest is 
mutually exclusive of another only if contractual language specifies 
that both interests cannot be held simultaneously as present ownership 
interests.


[[Page 398]]


    (B) Partnership and other ownership interests and any stock interest 
equity, or outstanding stock, or outstanding voting stock shall be 
attributed 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 the grantor or the beneficiary, the grantor or beneficiary, as 
appropriate, will be attributed with the stock interests held in trust.
    (D) Non-voting stock shall be attributed as an interest in the 
issuing entity.
    (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 applicant 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 controlling interest in the licensee or applicant. The 
personal net worth, including personal income of the officers and 
directors of an applicant, is not attributed to the applicant. To the 
extent that the officers and directors of an applicant 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 multiplication 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 represents actual control, it shall be treated as if it were a 100 
percent interest.
    (H) Any person who manages the operations of an applicant or 
licensee pursuant to a management agreement shall be considered to have 
a controlling interest in such applicant or licensee if such person, or 
its affiliate, has authority to make decisions or otherwise engage in 
practices or activities that determine, or significantly influence:
    (1) The nature or types of services offered by such an applicant or 
licensee;
    (2) The terms upon which such services are offered; or
    (3) The prices charged for such services.
    (I) Any licensee or its affiliate who enters into a joint marketing 
arrangement 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 authority to make decisions or otherwise 
engage in practices or activities that determine, or significantly 
influence:
    (1) The nature or types of services offered by such an applicant or 
licensee;
    (2) The terms upon which such services are offered; or
    (3) The prices charged for such services.
    (3) Businesses owned by members of minority groups and/or women. 
Unless otherwise provided in rules governing specific 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 partnerships, 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 together 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 
debentures 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 demonstration that 
options or conversion

[[Page 399]]

rights held by non-controlling principals will not deprive the minority 
and female principals of a substantial financial stake in the venture or 
impair their rights to control the designated entity, a designated 
entity may seek a waiver of the requirement that the equity of the 
minority and female principals must be calculated on a fully-diluted 
basis. The term minority includes individuals of Black or African 
American, Hispanic or Latino, American Indian or Alaskan Native, Asian, 
and Native Hawaiian or Pacific Islander extraction.
    (4) Rural telephone companies. A rural telephone company is any 
local exchange 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 thereof, based on the most recently available population statistics 
of the Bureau of the Census, or
    (B) Any territory, incorporated or unincorporated, included in an 
urbanized 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 access lines; or
    (iv) Has less than 15 percent of its access 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 entity is an affiliate of an 
applicant or of a person holding an attributable interest in an 
applicant if such individual or entity--
    (A) Directly or indirectly controls or has the power to control the 
applicant, or
    (B) Is directly or indirectly controlled by the applicant, or
    (C) Is directly or indirectly controlled by a third party or parties 
that also controls or has the power to control the applicant, or
    (D) Has an ``identity of interest'' with the applicant.
    (ii) Nature of control in determining affiliation.
    (A) Every business concern is considered 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 immaterial 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 corporation 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 concern 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, officer or key employee positions; contractual or other 
business relations; or combinations of these and other factors. 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 management positions where a concern's 
voting stock is so widely distributed that no effective control can be 
established.

    Example. In a corporation where the officers 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 individual stockholder having a stock 
interest greater than 10 percent, management has the power to control. 
If persons with such management control of the other entity are persons 
with attributable interests in the applicant, the other entity will be 
deemed an affiliate of the applicant.

    (iii) Identity of interest between and among persons. Affiliation 
can arise between or among two or more persons with an identity of 
interest, such as members of the same family or persons with common 
investments. In determining if the applicant controls or has the power 
to control a concern, persons

[[Page 400]]

with an identity of interest will be treated as though they were one 
person.

    Example. Two shareholders in Corporation Y each have attributable 
interests in the same PCS application. While neither shareholder has 
enough shares to individually control Corporation Y, together they have 
the power to control Corporation Y. The two shareholders with these 
common investments (or identity in interest) are treated as though they 
are one person and Corporation Y would be deemed an affiliate of the 
applicant.

    (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 jurisdiction in the United States. In calculating 
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, husband, wife, son, 
daughter, brother, sister, father- or mother-in-law, son- or daughter-
in-law, brother- or sister-in-law, step-father or -mother, step-brother 
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 ownership. (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 control or have the power to control 
a concern even though he or she owns, controls 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 control 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 minority holdings is large as compared with any other 
stock holding, the presumption arises that each one of these persons 
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 options, convertible debentures, 
and agreements to merge. Except as set forth in paragraph 
(c)(2)(ii)(A)(2) of this section, stock options, convertible debentures, 
and agreements to merge (including agreements in principle) are 
generally considered to have a present effect on the power to control 
the concern. Therefore, in making a size determination, such options, 
debentures, and agreements are generally treated as though the rights 
held thereunder had been exercised. However, an affiliate cannot use 
such options and debentures 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 attributable 
interest in a PCS application, the situation 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 voting stock of company A, who holds an 
attributable 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 purchase such shares. In 
order to prevent BigCo from circumventing the intent of the rule which 
requires such options to be considered

[[Page 401]]

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 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 calculated as having been 
fully exercised only in the possible combinations in which they can be 
exercised by their holder(s). A contingent ownership interest is 
mutually exclusive of another only if contractual language specifies 
that both interests cannot be held simultaneously as present ownership 
interests.

    (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, personal or extra-trust business 
relationship 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 separate voting power from beneficial ownership 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 within the 
appropriate jurisdiction.
    (vii) Affiliation through common management. Affiliation generally 
arises where officers, directors, or key employees serve as the majority 
or otherwise as the controlling element of the board of directors and/or 
the management of another entity.
    (viii) Affiliation through common facilities. 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 related industry or field of operations, or where 
such concerns were formerly affiliated, and through these sharing 
arrangements one concern has control, or potential control, of the other 
concern.
    (ix) Affiliation through contractual relationships. Affiliation 
generally arises where one concern is dependent upon another concern for 
contracts and business to such a degree that one concern has control, or 
potential control, of the other concern.
    (x) Affiliation under joint venture arrangements. (A) A joint 
venture for size determination purposes is an association of concerns 
and/or individuals, with interests in any degree or proportion, 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 continuing or permanent basis for conducting business generally. The 
determination whether an entity is a joint venture is based upon the 
facts of the business operation, regardless of how the business 
operation may be designated by the parties involved. An agreement to 
share profits/losses proportionate to each party's contribution to the 
business operation is a significant 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 determining 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 
corporations, are not considered affiliates of an applicant (or 
licensee) that is owned and controlled by such tribes, corporations or 
entities, and that otherwise complies with the requirements of this 
section, except that gross revenues derived from gaming activities 
conducted by affiliate entities pursuant to the Indian Gaming Regulatory

[[Page 402]]

Act (25 U.S.C. 2701 et seq.) will be counted in determining such 
applicant's (or licensee's) compliance with the financial requirements 
of this section, unless such applicant establishes that it will not 
receive a substantial unfair competitive advantage because significant 
legal constraints restrict the applicant's ability to access such gross 
revenues.
    (6) Consortium. A consortium of small businesses, very small 
businesses, or entrepreneurs is a conglomerate organization composed of 
two or more entities, each of which individually satisfies the 
definition of a small business, very small business, or entrepreneur, as 
those terms are defined in the service-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 partitioning of service areas in 
particular services for eligible designated entities.
    (f) Bidding credits. (1) The Commission may award bidding credits 
(i.e., payment discounts) to eligible designated entities. Competitive 
bidding rules applicable to individual services will specify the 
designated entities eligible 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 business or a consortium of small businesses may use the following 
bidding credits corresponding to their respective average gross revenues 
for the preceding 3 years:
    (i) Businesses with average gross revenues 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 eligible for bidding credits of 25 
percent; and
    (iii) Businesses with average gross revenues for the preceding 
years, 3 years not exceeding $40 million are eligible for bidding 
credits of 15 percent.
    (3) Bidding credit for serving qualifying tribal land. A winning 
bidder for a market will be eligible to receive a bidding credit for 
serving a qualifying tribal land within that market, provided that it 
complies with Sec. 1.2107(e). The following definition, terms, and 
conditions shall apply for the purposes of this section and Sec. 
1.2107(e):
    (i) Qualifying tribal land means any federally recognized Indian 
tribe's reservation, Pueblo, or Colony, including former reservations in 
Oklahoma, Alaska Native regions established pursuant to the Alaska 
Native Claims Settlement Act (85 Stat. 688), and Indian allotments, that 
has a wireline telephone subscription rate equal to or less than seventy 
(70) 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 applications, 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)(vi) of this 
section and consult with the tribal government regarding the siting of 
facilities and deployment of service on the tribal land.
    (C) If the winning bidder fails to submit the required 
certifications within the 180-day period, the bidding credit will not be 
awarded, and the winning bidder must pay the balance on the original 
gross bid amount.
    (iii) Bidding credit formula. Subject to the applicable bidding 
credit limit set forth in Sec. 1.2110(f)(3)(iv), the bidding

[[Page 403]]

credit shall equal three hundred thousand (300,000) dollars for the 
first two hundred (200) square miles (518 square kilometers) of 
qualifying tribal land, and fifteen hundred (1500) 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 (1,000,000) dollars, the maximum bidding credit calculated 
pursuant to Sec. 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 Sec. 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 maximum bidding 
credit calculated pursuant to Sec. 1.2110(f)(3)(iii) shall not exceed 
twenty-five (25) percent of the high bid.
    (v) Application of credit. The bidding credit amount, if approved by 
the Commission, will be subtracted from the final net bid amount. The 
bidding credit will not affect calculation of the down payment.
    (vi) Post-construction certification. Within fifteen (15) days of 
the third anniversary of the initial grant of its license, a recipient 
of a bidding credit under this section shall file a certification that 
the recipient has constructed and is operating a system capable of 
serving seventy-five (75) percent 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.
    (vii) Performance penalties. If a recipient of a bidding credit 
under this section fails to provide the post-construction certification 
required by paragraph (f)(3)(vi) 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 anniversary of the initial 
grant of its license. 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.
    (g) Installment payments. The Commission may permit small businesses 
(including small businesses owned by women, minorities, or rural 
telephone companies that qualify as small businesses) and other entities 
determined to be eligible on a service-specific basis, which are high 
bidders for licenses 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 public notice, each eligible 
applicant paying for its license(s) on an installment basis must deposit 
by wire transfer in the manner specified in Sec. 1.2107(b) sufficient 
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 declared it the winning bidder and closed the bidding. 
Failure to remit the required payment will make the bidder liable to pay 
a default payment pursuant to Sec. 1.2104(g)(2).
    (2) Within ten (10) days of the conditional grant of the license 
application of a winning bidder eligible for installment payments, the 
licensee shall pay another ten (10) percent of the high bid, thereby 
commencing the eligible licensee's installment payment plan. If a 
winning bidder eligible for installment payments fails to submit this 
additional 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, provided that 
it also pays a late fee equal to five percent of the amount due. When a 
winning bidder eligible for installment 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 payments. Licenses will 
be awarded upon the full and timely payment of second down payments and 
any applicable late fees.

[[Page 404]]

    (3) Upon grant of the license, the Commission will notify each 
eligible licensee of the terms of its installment payment plan and that 
it must execute a promissory note and security agreement as a condition 
of the installment payment plan. Unless other terms are specified in the 
rules of particular services, such plans will:
    (i) Impose interest based on the rate of U.S. Treasury obligations 
(with maturities 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 payments 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 
payments shall be conditioned upon the full and timely performance of 
the licensee's payment obligations under the installment plan.
    (i) Any licensee that fails to submit its quarterly payment on an 
installment payment obligation (the ``Required 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 Payment during this period 
(the ``first additional quarter grace period'') will be assessed a late 
payment fee equal to five percent (5%) of the amount of the past due 
Required Installment Payment. The late payment fee applies to the total 
Required Installment Payment regardless of whether the licensee 
submitted a portion of its Required Installment Payment in a timely 
manner.
    (ii) If any licensee fails to make the Required Installment Payment 
on or before the last day of the first additional 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 additional quarter''), except that no such 
additional time will be provided for the July 31, 1998 suspension 
interest and installment 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 Financing for Personal Communications Services (PCS) 
Licensees, Order on Reconsideration 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 period'') will be assessed a late 
payment fee equal to ten percent (10%) of the amount of the past due 
Required Installment 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 themselves of these grace periods 
must pay the associated late payment fee(s) and the Required Installment 
Payment prior to the conclusion of the applicable 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 Security Agreement,'' with the remainder of such 
payments applied in the following order: late payment fees, interest 
charges, installment payments for the most back-due quarterly 
installment payment.
    (iv) If an eligible entity obligated to make installment payments 
fails to pay the total Required Installment Payment, interest and any 
late payment fees associated with the Required Installment Payment 
within two quarters (6 months) of the Required Installment 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 
requirements for categories of designated entities in competitive 
bidding rules of particular auctionable services.

[[Page 405]]

    (i) The Commission may offer designated 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 eligibility for 
designated entity status, and must list and summarize on their long-form 
applications all agreements that affect designated entity status such as 
partnership agreements, shareholder agreements, management agreements 
and other agreements, including oral agreements, establishing, as 
applicable, de facto or de jure control of the entity. Such information 
must be maintained at the licensees' facilities or by their designated 
agents for the term of the license in order to enable the Commission to 
audit designated entity eligibility on an ongoing basis.
    (k) The Commission may, on a service-specific basis, permit 
consortia, each member of which individually meets the eligibility 
requirements, to qualify for any designated entity provisions.
    (l) The Commission may, on a service-specific basis, permit 
publicly-traded companies that are owned by members of minority groups 
or women to qualify for any designated entity provisions.
    (m) Audits. (1) Applicants and licensees claiming eligibility shall 
be subject to audits by the Commission, using in-house and contract 
resources. Selection for audit may be random, on information, or on the 
basis of other factors.
    (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 applicant's 
or licensee's representations are, and remain, accurate. Such consent 
shall include inspection at all reasonable 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, customers and suppliers of the 
applicant or licensee.
    (n) Gross revenues. Gross revenues shall mean all income received by 
an entity, whether earned or passive, before 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 statements were not 
prepared on a calendar-year basis, for the most recently completed 
fiscal years preceding the filing of the applicant's short-form (FCC 
Form 175). If an entity was not in existence for all or part of the 
relevant period, 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 
statements certified by the applicant as accurate. When an applicant 
does not otherwise use audited financial statements, its gross revenues 
may be certified by its chief financial officer or its equivalent and 
must be prepared in accordance with Generally Accepted Accounting 
Principles.
    (o) Total assets. Total assets shall mean the book value (except 
where generally accepted accounting principles (GAAP) require market 
valuation) of all property owned by an entity, whether real or personal, 
tangible or intangible, as evidenced by the most recently audited 
financial statements or certified by the applicant's chief financial 
offer or its equivalent if the applicant 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]

    Editorial Note: At 68 FR 23422, May 2, 2003, Sec. 1.2110 was 
amended by revising paragraph (f)(3)(viii). This amendment could not be 
incorporated because paragraph (f)(3)(viii) does not exist. For the 
convenience of the user, the added text is set forth as follows:

Sec. 1.2110  Designated entities.

                                * * * * *

    (f) * * *

[[Page 406]]

    (3) * * *

                                * * * * *

    (viii) Partitioning and disaggregation. Parties seeking approval for 
partitioning or disaggregation of tribal areas obtained pursuant to the 
tribal lands bidding credit shall request an authorization for partial 
assignment of a license pursuant to Sec. 1.948.
    (A) Partitioning. A licensee of a market obtained using a tribal 
lands bidding credit may partition the tribal lands within its market. 
The partitioned area must include all tribal areas within the market 
subject to the tribal lands bidding credit. The partitionee must certify 
that it will satisfy the construction requirements set forth in 
paragraph (f)(3)(vi) of this section.
    (B) Disaggregation. Spectrum covering tribal lands may be 
disaggregated in any amount. The disaggregated spectrum must include all 
tribal areas within the market subject to the tribal lands bidding 
credit. The original licensee must certify that it will satisfy the 
construction requirements set forth in paragraph (f)(3)(vi) of this 
section, unless the parties to the transaction inform the Commission 
otherwise.

                                * * * * *



Sec. 1.2111  Assignment or transfer of control: unjust enrichment.

    (a) Reporting requirement. An applicant seeking approval for a 
transfer of control or assignment (otherwise permitted under the 
Commission's Rules) of a license within three years of receiving a new 
license through a competitive bidding procedure must, together with its 
application for transfer of control or assignment, file with the 
Commission's 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 assignment of 
its license (see Sec. 1.948 of this chapter). 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 transfer of control or 
assignment (otherwise permitted under the Commission's Rules) of a 
license acquired by the transferor or assignor pursuant to a set-aside 
for eligible designated entities under Sec. 1.2110(c), or who proposes 
to take any other action relating to ownership or control that will 
result in loss of status as an eligible 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 
before consent will be granted. The Payment will be based upon a 
schedule that will take account of the term of the license, any 
applicable construction benchmarks, and the estimated value of the set-
aside benefit, which will be calculated as the difference between the 
amount paid by the designated entity for the license and the value of 
comparable non-set-aside license in the free market at the time of the 
auction. The Commission will establish 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 assigned more than five years 
after its initial issuance, unless otherwise specified; or
    (2) The proposed transferee or assignee is an eligible designated 
entity under Sec. 1.2110(c) or the service-specific competitive bidding 
rules of the particular service, and so certifies.
    (c) Unjust enrichment payment: installment financing. (1) If a 
licensee that utilizes installment financing under this section seeks to 
assign or transfer control of its license to an entity not meeting the 
eligibility standards for installment payments, the licensee must make 
full payment of the remaining unpaid principal and any unpaid interest 
accrued through the date of assignment or transfer as a condition of 
approval.
    (2) If a licensee that utilizes installment financing under this 
section seeks to make any change in ownership structure that would 
result in the licensee losing eligibility for installment payments, the 
licensee shall first seek Commission approval and must make full payment 
of the remaining unpaid

[[Page 407]]

principal and any unpaid interest accrued through the date of such 
change as a condition of approval. A licensee's (or other attributable 
entity's) increased gross revenues or increased total assets due to 
nonattributable equity investments, debt financing, revenue from 
operations or other investments, business development or expanded 
service shall not be considered to result in the licensee losing 
eligibility for installment payments.
    (3) If a licensee seeks to make any change in ownership 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 initial 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 
interest 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 licensee 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 obligations applicable 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. If, within the 
initial term of the license, a licensee that utilizes a bidding credit 
seeks to make any ownership change 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 bidding credit 
for which the restructured licensee would qualify), plus interest based 
on the rate for ten year U.S. treasury obligations applicable 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.
    (2) Payment schedule. (i) The amount of payments 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 forfeiture 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 difference between the bidding credit 
received 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 thereafter, there will be no 
payment.
    (ii) These payments will have to be paid to the United States 
Treasury as a condition of approval of the assignment, transfer, or 
ownership change.
    (e) Unjust enrichment: partitioning and disaggregation--(1) 
Installment payments. Licensees making installment payments, that 
partition their licenses or disaggregate their spectrum to entities not 
meeting the eligibility standards for installment payments, will be 
subject to the provisions concerning unjust enrichment as set forth in 
this section.
    (2) Bidding credits. Licensees that received 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

[[Page 408]]

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 license area and by utilizing the most recent 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 spectrum 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]



Sec. 1.2112  Ownership disclosure requirements 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 
application, including a complete disclosure of the identity and 
relationship of those persons or entities directly or indirectly owning 
or controlling (or both) the applicant;
    (2) List the name, address, and citizenship 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 partnership, the name, address 
and citizenship of each limited partner whose interest in the applicant 
is 10 percent or greater (as calculated according to the percentage of 
equity paid in or the percentage of distribution of profits and losses);
    (4) List, in the case of a general partnership, the name, address 
and citizenship of each partner, and the share or interest participation 
in the partnership;
    (5) List, in the case of a limited liability company, the name, 
address, and citizenship of each of its members whose interest in the 
applicant is 10 percent or greater;
    (6) List all parties holding indirect ownership interests in the 
applicant as determined by successive multiplication 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 ownership 
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 nonvoting, common or preferred. 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 (e.g., Company A 
owns 10 percent of Company B (the applicant) 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 applicant).
    (b) Designated entity status. In addition to the information 
required under paragraph (a) of this section, each applicant 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, affiliates, and other controlling interests of the applicant, 
as described in Sec. 1.2110, and, if a consortium of small businesses 
or consortium of very small businesses, the members of the conglomerate 
organization;
    (ii) List any FCC-regulated entity or applicant for an FCC license, 
in which any controlling interest of the applicant owns a 10 percent or 
greater interest 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 separately and in the aggregate the gross revenues, 
computed in accordance with Sec. 1.2110, for each of the following: The 
applicant, its affiliates, its controlling interests, and affiliates of 
its controlling interests; and if a

[[Page 409]]

consortium 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 Sec. 1.2110;
    (ii) List any FCC-regulated entity or applicant for an FCC license, 
in which any controlling interest of the applicant owns a 10 percent or 
greater interest 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 agreements or instruments (with 
appropriate references to specific provisions in the text of such 
agreements and instruments) that support the applicant's eligibility as 
a small business under the applicable designated entity provisions, 
including the establishment of de facto or de jure control; such 
agreements and instruments include articles of incorporation and bylaws, 
shareholder agreements, voting or other trust agreements, franchise 
agreements, and any other relevant agreements (including letters of 
intent), oral or written;
    (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 appoint members to 
boards of directors or management committees;
    (v) List separately and in the aggregate the gross revenues, 
computed in accordance with Sec. 1.2110, for each of the following: the 
applicant, its affiliates, its controlling interests, and affiliates of 
its controlling interests; and if a consortium of small businesses, the 
members comprising the consortium; and
    (vi) List and summarize, if seeking the exemption for rural 
telephone cooperatives pursuant to Sec. 1.2110, all documentation to 
establish eligibility pursuant to the four factors listed under Sec. 
1.2110(b)(3)(iii).

[68 FR 42997, July 21, 2003]



Sec. 1.2113  Construction prior to grant of application.

    Subject to the provisions of this section, applicants for licenses 
awarded by competitive bidding may construct facilities 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 construction. An applicant may begin 
construction of a facility upon release of the Public Notice listing the 
post-auction long-form application for that facility as acceptable for 
filing.
    (b) Notification to stop. If the FCC for any reason determines that 
construction should not be started or should be stopped while an 
application is pending, and so notifies the applicant, orally (followed 
by written confirmation) or in writing, the applicant must not begin 
construction or, if construction has begun, must stop construction 
immediately.
    (c) Assumption of risk. Applicants that begin construction pursuant 
to this section before receiving an authorization 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 dismantle 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 alteration that would exceed the 
requirements of Sec. 17.7 of this chapter, the licensee has notified 
the appropriate Regional 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)

[[Page 410]]

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 environmental effect, in 
accordance with Sec. Sec. 1.1301 through 1.1319;
    (4) Under applicable international agreements and rules in this 
part, individual coordination of the proposed channel assignment(s) with 
a foreign administration is not required; and
    (5) Any service-specific restrictions not listed herein.

[63 FR 2348, Jan. 15, 1998]



 Subpart R_Implementation of Section 4(g)(3) of the Communications Act: 
 Procedures Governing Acceptance of Unconditional Gifts, Donations and 
                                Bequests

    Source: 59 FR 38128, July 27, 1994, unless otherwise noted.



Sec. 1.3000  Purpose and scope.

    The purpose of this subpart is to implement the Telecommunications 
Authorization 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 reimbursement for attendance at, or 
participation in, government-sponsored meetings or events required to 
carry out the Commission's statutory or regulatory functions may also be 
accepted under this subpart. The acceptance of gifts by Commission 
employees, most notably gifts of food, drink and entertainment, is 
governed by the government-wide standards of employee conduct 
established at 5 CFR part 2635. Travel, subsistence and related expenses 
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 Services Administration's 
implementing regulations, 41 CFR 304-1.8, as applicable.



Sec. 1.3001  Definitions.

    For purposes of this subpart:
    (a) The term agency means the Federal Communications Commission.
    (b) The term gift means any unconditional 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, employee, market value, person, and prohibited source, have 
the same meaning as found in 5 CFR 2635.102, 2635.203.



Sec. 1.3002  Structural rules and prohibitions.

    (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 Commission under the 
provisions of this subpart shall make such offer to the Commission's 
designated agency ethics official. In addition, any Commission employee 
who is contacted by a potential donor or the representative thereof for 
the purpose of discussing the possibility of making a gift, donation or 
bequest to the Commission shall immediately 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 representatives of the types of equipment, property or 
services that may be of use to the Commission and the procedures for 
effectuating gifts set forth in this subpart. The Commission may, in its 
discretion, afford public notice before accepting any gift under 
authority of this subpart.

[[Page 411]]



Sec. 1.3003  Mandatory factors for evaluating 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 conflict of interest 
determinations, designated agency ethics officials shall consider the 
following factors:
    (a) Whether the benefits of the intended gift will accrue to an 
individual employee and, if so--
    (1) Whether the employee is responsible for matters affecting the 
potential 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 affecting 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 intended gift given in a written 
statement from the proposed donor.



Sec. 1.3004  Public disclosure and reporting requirements.

    (a) Public disclosure of gifts accepted from prohibited sources. The 
Commission's Security Operations Office, Office of the Managing 
Director, shall maintain a written record of gifts accepted 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 Sec. 1.3003(f);
    (5) A signed statement of verification from the prohibited source 
that the gift is unconditional and is not contingent 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-annual report to Congress listing the gift, donor and value of 
all gifts accepted from any donor under this subpart.



  Subpart S_Preemption of Restrictions That ``Impair'' the Ability to 
  
  Receive Television Broadcast Signals, Direct Broadcast Satellite 
   Services, or Multichannel Multipoint Distribution Services or the 
  Ability To Receive or Transmit Fixed Wireless Communications Signals

    Source: 66 FR 2333, Jan. 11, 2001, unless otherwise noted.



Sec. 1.4000  Restrictions impairing reception of television broadcast 

signals, direct broadcast satellite services or multichannel multipoint 
distribution 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 
provision, homeowners' association rule or similar restriction, on 
property within the exclusive use or control of the antenna user where 
the user has a direct or indirect ownership or leasehold interest 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 satellite, and
    (B) One meter or less in diameter or is located in Alaska;
    (ii) An antenna that is:
    (A) Used to receive video programming services via multipoint 
distribution services, including multichannel multipoint distribution 
services, instructional television fixed services, and local multipoint 
distribution services, or to receive or transmit fixed wireless signals 
other than via satellite, and
    (B) That is one meter or less in diameter or diagonal measurement;
    (iii) An antenna that is used to receive television broadcast 
signals; or
    (iv) A mast supporting an antenna described in paragraphs (a)(1)(i),

[[Page 412]]

(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.
    (2) For purposes of this section, ``fixed wireless signals'' means 
any commercial non-broadcast communications signals transmitted via 
wireless technology to and/or from a fixed customer 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 transmission of an acceptable quality 
signal.
    (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 
regulation prohibited by this section except pursuant to paragraph (d) 
or (e) of this section. In addition, except with respect to restrictions 
pertaining to safety and historic preservation as described 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 
completion 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 proceeding is pending to determine the validity of any 
restriction. If a ruling is issued adverse to a user, the user shall be 
granted at least a 21-day grace period in which to comply with the 
adverse 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 demonstrates, in the 
same proceeding which resulted in the adverse ruling, that the user's 
claim in the proceeding was frivolous.
    (b) Any restriction otherwise prohibited by paragraph (a) of this 
section is permitted if:
    (1) It is necessary to accomplish a clearly defined, legitimate 
safety objective 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 practicable in a non-discriminatory 
manner to other appurtenances, devices, or fixtures 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 prehistoric or historic district, 
site, building, 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, maintenance, or use of other 
modern appurtenances, devices, or fixtures that are comparable in size, 
weight, and appearance to these antennas; and
    (3) It is no more burdensome to affected antenna users than is 
necessary to achieve the objectives described in paragraphs (b)(1) or 
(b)(2) of this section.
    (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 regarding 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 
exposure specified in Sec. 1.1310 of this chapter.
    (d) Local governments or associations may apply to the Commission 
for a waiver of this section under Sec. 1.3 of this chapter. Waiver 
requests must

[[Page 413]]

comply with the procedures in paragraphs (f) and (h) of this section and 
will be put on public notice. The Commission may grant a waiver upon a 
showing by the applicant of local concerns of a highly specialized or 
unusual nature. No petition for waiver shall be considered unless it 
specifies the restriction at issue. Waivers granted in accordance with 
this section shall not apply to restrictions amended or enacted 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 replies must be filed within 15 days 
thereafter.
    (e) Parties may petition the Commission for a declaratory ruling 
under Sec. 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 
replies 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 prohibit. 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 association or to the citizens under the local 
government's jurisdiction. In a court proceeding brought by an 
association, an association must give constructive notice of the 
proceeding to its members. Where constructive notice is required, the 
petitioner or plaintiff 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 
provision of this section, the burden of demonstrating that a particular 
governmental 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 services or devices 
used to receive or transmit 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 before 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 petitions and related pleadings will 
be available for public inspection in the Reference Information Center, 
Consumer and Governmental Affairs Bureau, Federal Communications 
Commission, 445 12th Street, SW, Washington, DC 20554. Copies will be 
available for purchase from the Commission'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



Sec. 1.5000  Purpose.

    The purpose of part 1, subpart S, is to implement Section 34(a) of 
the Public Utility Holding Company Act of 1935, 15 U.S.C. Sec. 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]



Sec. 1.5001  Definitions.

    (a) For the purpose of this part, the terms telecommunications 
services and information services shall have the same

[[Page 414]]

meanings as provided in the Communications Act of 1934, as amended;
    (b) Commission shall be defined as the Federal Communications 
Commission; and
    (c) ETC shall be defined as an exempt telecommunications company.

[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]



Sec. 1.5002  Contents of application and procedure for filing.

    (a) A person seeking status as an exempt telecommunications company 
(applicant) must file with the Commission with respect to the company or 
companies which are eligible companies owned or operated by the 
applicant, 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 applicant;
    (2) A sworn statement, by a representative legally authorized to 
bind the applicant, attesting to any facts or representations presented 
to demonstrate eligibility for ETC status, including a representation 
that the applicant 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 subject to the jurisdiction of the 
Commission; or
    (iv) Products or services that are related or incidental to the 
provision of a product or service described in paragraph (a)(1)(i), 
(a)(1)(ii), or (a)(1)(iii); and
    (3) A sworn statement, by a representative legally authorized to 
bind the applicant, certifying that the applicant satisfies part 1, 
subpart P, of the Commission's regulations, 47 CFR 1.2001 through 
1.2003, regarding implementation 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]



Sec. 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 
telecommunications company from the date of receipt of the application 
until the date of Commission action pursuant to Sec. 1.5004.

[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]



Sec. 1.5004  Commission action.

    If the Commission has not issued an order granting or denying an 
application within 60 days of receipt of the application, the 
application will be deemed to have been granted as a matter of law.

[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]



Sec. 1.5005   Notification of Commission action to the Securities and 
Exchange Commission.

    The Secretary of the Commission will notify the Securities and 
Exchange Commission whenever a person is determined to be an exempt 
telecommunications company.

[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, 1996]



Sec. 1.5006   Procedure for notifying Commission of material change in facts.

    If there is any material change in facts that may affect an ETC's 
eligibility 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, either:
    (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]

[[Page 415]]



Sec. 1.5007   Comments.

    (a) Any person wishing to be heard concerning an application for ETC 
status may file comments with the Commission within fifteen (15) days 
from the release date of a public notice regarding the application, or 
such other period of time set by the Commission. Any comments must be 
limited to the adequacy or accuracy of the application.
    (b) Any person who files comments with the Commission must also 
serve copies of all comments on the applicant.
    (c) An applicant has seven (7) days to reply to any comments filed 
regarding the adequacy and accuracy of its application, 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 Communications Act: 
 Procedures Governing Complaints Filed by Television Broadcast Stations 
      Against Satellite Carriers for Retransmission Without Consent

    Source: 65 FR 10720, Feb. 29, 2000, unless otherwise noted.



Sec. 1.6000  Purpose.

    The purpose of part 1, Subpart U, is to implement Section 325(e) of 
the Communications Act of 1934, as amended, 47 U.S.C. 325(e), et seq., 
as added by section 1009 of the Satellite Home Viewer Improvement Act of 
1999, Public 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.



Sec. 1.6001  Retransmission consent complaint procedures.

    By whom. If a television broadcast station believes that a satellite 
carrier has retransmitted its broadcast station'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.



Sec. 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, address, and call letters of the 
complaining television 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 requests that the 
appropriate relief be granted by the Commission, as provided by the 
pertinent 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 
dismissed 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 Sec. Sec. 1.48 through 
1.52 of the Commission's rules.



Sec. 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 Commission as its agent for service of process.
    (b) Specific. (1) A television broadcast station shall serve a 
satellite carrier with a complaint concerning an alleged

[[Page 416]]

violation of 47 U.S.C. 325(b)(1) by filing the original and two copies 
of the complaint on the Secretary of the Commission and serving a copy 
of the complaint by means of two commonly used overnight delivery 
services, each addressed 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 provided to 
the delivery services for overnight delivery. On receipt of a complaint 
filed by a television broadcast station under this subsection, the 
Secretary of the Commission shall send the original complaint by United 
States mail, postage prepaid, receipt requested, addressed to the chief 
executive 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 executive 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.



Sec. 1.6004  Answers.

    Within five (5) business days after the date of service, without 
regard to Sec. 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.



Sec. 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 satellite carrier against 
which a complaint under this section is filed.
    (1) The satellite carrier did not retransmit the television 
broadcast station's signal to any person in the ``local market'' of the 
television broadcast 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 complaint;
    (2) The television broadcast station had, in a writing signed by an 
officer of the television broadcast station, expressly 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]



Sec. 1.6006  Counting of violations.

    Each day of retransmission without consent of a particular 
television broadcast station to one or more persons in the local market 
of the station shall be considered a separate violation of 47 U.S.C. 
325(b)(1).



Sec. 1.6007  Burden of proof.

    With respect to each alleged violation, the burden of proof shall be 
on a television broadcast station to establish that the satellite 
carrier retransmitted the station to at least one person 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 Sec. 1.6005(a)(1).

[[Page 417]]



Sec. 1.6008  Determinations.

    (a) In General. Within forty five (45) days after the filing of a 
complaint, the Commission shall issue a final determination in any 
proceeding brought under this subsection. The Commission'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 dispute about material facts. Except as provided in the 
preceding sentence, the Commission may issue a final ruling based on the 
written filings by the parties.
    (b) Discovery. The Commission may direct the parties to exchange 
pertinent documents, and if necessary, to take prehearing depositions, 
on such schedule as the Commission may approve, but only if the 
Commission first determines that such discovery is necessary to resolve 
a genuine dispute about material facts, consistent with the obligation 
to make a final determination within forty five (45) days. In this 
connection, the Commission may utilize the discovery or other 
evidentiary procedures set forth in Sec. Sec. 1.311 through 1.364 of 
the Commission's rules.



Sec. 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 burden of 
proving one of the defenses under Sec. 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 complaint, containing--
    (1) A cease-and-desist order directing the satellite carrier 
immediately to stop making any further retransmissions 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 retransmission 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 satellite 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 
reasonable 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.



Sec. 1.6010  Reporting of remedial measures.

    Any satellite carrier found to have violated Section 47 U.S.C. 
325(b)(1) shall, upon receipt of the cease-and-desist order, immediately 
take all necessary steps to comply with the statute. 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 comply with the 
statute by written submission. The submission certified by the satellite 
carrier's chief executive officer shall also contain a copy of the 
pertinent cease-and-desist order, and shall be delivered to the 
Secretary of the Commission by means of one commonly used overnight 
delivery service, in addition to a copy delivered by United States mail.

    Effective Date Note: At 65 FR 10721, Feb. 29, 2000, Sec. 1.6010 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.

[[Page 418]]



Sec. 1.6011  Effective date.

    The rules in section 1.6000 through section 1.6009 shall become 
effective May 30, 2000. Section 1.6010 contains information 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.



Sec. 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 before such date. See 47 U.S.C. 325 (e)(12).



Subpart V_Implementation of Section 706 of the Telecommunications Act of 
 1996; Commission Collection of Advanced Telecommunications Capability 
                                  Data

    Source: 65 FR 19684, Apr. 12, 2000; 65 FR 24654, Apr. 27, 2000, 
unless otherwise noted.



Sec. 1.7000  Purpose.

    The purpose of this subpart is to set out the terms by which certain 
commercial and government-controlled entities 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 telecommunications capability that enables 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 advanced telecommunications 
capability.



Sec. 1.7001  Scope and content of filed reports.

    (a) Definitions. Terms used in this subpart have the following 
meanings:
    (1) Facilities-based providers. Those entities 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 entity obtains from a communications service 
provider and equips as broadband.
    (2) Full broadband lines or wireless channels. Lines or wireless 
channels with information carrying capability in excess of 200 Kbps in 
both directions simultaneously.
    (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 direction, 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, Multichannel Multipoint 
Distribution Service (MMDS/MDS) ``wireless cable'' carriers, other fixed 
wireless providers, terrestrial and satellite mobile wireless providers, 
utilities and others, which are facilities-based providers and are 
providing at least 250 full or one-way broadband lines or wireless 
channels in a given state, or provide full or one-way broadband service 
to at least 250 end-user consumers in a given state, shall file with the 
Commission a completed FCC Form 477, in accordance with the Commission's 
rules and the instructions to the FCC Form 477, for each state in which 
they exceed this threshold.
    (c) Respondents identified in paragraph (b) of this section shall 
file the FCC Form 477 on diskette or via e-mail, as directed in the 
instructions to the FCC Form 477. Upon submission of each report, an 
original certification letter (as contained in the instructions to FCC 
Form 477) signed by the responsible official shall be mailed to the 
Commission.
    (d) Respondents may make requests for Commission non-disclosure of 
provider-specific data contained in FCC Form 477 under Sec. 0.459 of 
this chapter by so indicating on Form 477 at the time that the subject 
data are submitted. The Commission shall make all decisions regarding 
non-disclosure or provider-specific information, except

[[Page 419]]

that the Chief of the Wireline Competition Bureau may release provider-
specific information to a state commission provided that the state 
commission has protections in place that would preclude disclosure of 
any confidential information.
    (e) Respondents identified in paragraph (b) of this section shall 
file a revised 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 percent of the filed number is considered significant. 
For percentages, a difference of 5 percentage points is considered 
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 applicable law.

[65 FR 19684, Apr. 12, 2000; 65 FR 24654, Apr. 27, 2000, as amended at 
67 FR 13224, Mar. 21, 2002]



Sec. 1.7002  Frequency of reports.

    Entities subject to the provisions of Sec. 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 deployment 
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 Sec. 
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 subject to the provisions of Sec. 1.7001 shall 
make an initial filing of the FCC Form 477 on May 15, 2000 (reporting 
data about the status of their broadband deployment 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.



Sec. 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  
or by filing FCC Form 160.



Sec. 1.8002  Obtaining an FRN.

    (a) The FRN must be obtained by anyone doing business with the 
Commission, see 31 U.S.C. 7701(c)(2), including but not limited to:
    (1) Anyone required to pay statutory charges under subpart G of this 
part;
    (2) Anyone applying for a license, including someone who is exempt 
from paying statutory charges under subpart G of this part, see 
Sec. Sec. 1.1114 and 1.1162;
    (3) Anyone participating in a spectrum 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) Anyone entering into a spectrum leasing arrangement as a 
spectrum lessee (see subpart X of this part).
    (b)(1) When registering for an FRN through the CORES, an entity's 
name, entity type, contact name and title, address, and taxpayer 
identifying number (TIN) must be provided. For individuals, the TIN is 
the social security number (SSN).
    (2) Information provided when registering for an FRN must be kept 
current by registrants either by updating the information on-line at the 
CORES link at  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 separate FRN. Multiple FRNs shall not be obtained to evade 
payment of fees or other regulatory responsibilities.

[[Page 420]]

    (d) An FRN may be assigned by the Commission, which will promptly 
notify the entity of the assigned FRN.

[66 FR 47895, Sept. 14, 2001, as amended at 67 FR 36818, May 28, 2002; 
68 FR 66277, Nov. 25, 2003]

    Effective Date Note: At 69 FR 55109, Sept. 13, 2004, Sec. 1.8002 
was amended by revising paragraph (a)(6), effective Oct. 13, 2004. For 
the convenience of the user, the revised text is set forth as follows:

Sec. 1.8002  Obtaining an FRN.

                                * * * * *

    (a) * * *
    (6) Any applicant or service provider participating in the Schools 
and Libraries Universal Service Support Program, part 54, subpart F, of 
this chapter.

                                * * * * *



Sec. 1.8003  Providing the FRN in Commission Filings.

    The FRN must be provided with any filings requiring the payment of 
statutory charges under subpart G of this part, anyone applying for a 
license, including 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 contribution 
to the Universal Service Fund, and anyone paying a or other payment. A 
list of applications and other instances where the FRN is required will 
be posted on our Internet site and linked to the CORES page.

    Effective Date Note: At 69 FR 55109, Sept. 13, 2004, Sec. 1.8003 
was revised. This section contains information collection and 
recordkeeping requirements and will not become effective until approval 
has been given by the Office of Management and Budget. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 1.8003  Providing the FRN in Commission filings.

    The FRN must be provided with any filings requiring the payment of 
statutory charges under subpart G of this part, anyone applying for a 
license (whether or not a fee is required), including 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 contribution to the Universal Service Fund, any 
applicant or service provider participating in the Schools and Libraries 
Universal Service Support Program, and anyone paying a forfeiture or 
other payment. A list of applications and other instances where the FRN 
is required will be posted on our Internet site and linked to the CORES 
page.



Sec. 1.8004  Penalty for Failure to Provide the FRN.

    (a) Electronic filing systems for filings that require the FRN will 
not accept a filing without the appropriate FRN. If a party seeks to 
make an electronic 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 
Commission rules, filings subject to the FRN requirement and submitted 
without an FRN will be returned or dismissed.
    (c) Where the Commission has not established a filing deadline for 
an application, a missing or invalid FRN on such an application may be 
corrected and the application resubmitted. Except as provided in 
paragraph (d) of this section or in other Commission rules, the date 
that the resubmitted application is received by the Commission with a 
valid FRN will be considered the official filing date.
    (d) Except for the filing of tariff publications (see 47 CFR 
61.1(b)) or as provided in other Commission rules, where the Commission 
has established a filing 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 retained 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.

[[Page 421]]

                           Scope And Authority



Sec. 1.9001  Purpose and scope.

    (a) The purpose of part 1, subpart X is to implement policies and 
rules pertaining to spectrum leasing arrangements between licensees in 
the services identified in this subpart and spectrum lessees. These 
spectrum leasing 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 spectrum leasing whether their operations are characterized as 
commercial, common carrier, private, or non-common carrier.



Sec. 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 spectrum 
lessee, pursuant to the spectrum leasing rules set forth in this 
subpart.
    FCC Form 603. FCC Form 603 is the form to be used by licensees and 
spectrum lessees that enter into spectrum leasing arrangements pursuant 
to the rules set forth in this subpart. Parties are required to submit 
this form electronically when entering into spectrum leasing 
arrangements under this subpart, except that licensees falling within 
the provisions of Sec. 1.911(d) of subpart F of this part may file the 
notification either electronically or manually.
    Long-term de facto transfer leasing arrangement. A long-term de 
facto transfer leasing arrangement is a de facto transfer leasing 
arrangement that has an individual term, or series of combined terms, of 
more than 360 days.
    Short-term de facto transfer leasing arrangement. A short-term de 
facto transfer leasing arrangement is a de facto transfer leasing 
arrangement that has an individual or combined term of not longer than 
360 days.
    Spectrum leasing application. The application submitted to the 
Commission by a licensee and a spectrum lessee seeking approval of a de 
facto transfer leasing arrangement.
    Spectrum leasing arrangement. An arrangement 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 
licensed spectrum, in any geographic area or site encompassed by the 
license, for any period of time during the term of the license 
authorization. Two different types of spectrum leasing arrangements, 
spectrum manager leasing arrangements and de facto transfer leasing 
arrangements, are permitted under this subpart.
    Spectrum leasing notification. The required notification submitted 
by a licensee to the Commission regarding a spectrum manager leasing 
arrangement.
    Spectrum lessee. A third-party entity that leases certain spectrum 
usage rights from a licensee pursuant to the spectrum leasing rules set 
forth in this subpart.
    Spectrum manager leasing arrangement. A spectrum leasing arrangement 
in which a licensee retains both de jure control of its license and de 
facto control of the leased spectrum that it leases to a spectrum 
lessee, pursuant to the spectrum leasing rules set forth in this 
subpart.

    Effective Date Note: At 68 FR 66277, Nov. 25, 2003, Sec. 1.9003 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 1.9005  Included services.

    The spectrum leasing policies and rules of this subpart apply to the 
following services in the Wireless Radio Services in which commercial or 
private 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);

[[Page 422]]

    (e) The Offshore Radiotelephone Service (part 22 of this chapter);
    (f) The narrowband Personal Communications Service (part 24 of this 
chapter);
    (g) The broadband Personal Communications Service (part 24 of this 
chapter);
    (h) The Wireless Communications Service in the 698-746 MHz band 
(part 27 of this chapter);
    (i) The Wireless Communications Service in the 746-764 MHz and 776-
794 MHz bands (part 27 of this chapter);
    (j) The Wireless Communications Service in the 1390-1392 MHz band 
(part 27 of this chapter);
    (k) The Wireless Communications Service in the paired 1392-1395 MHz 
and 1432-1435 MHz bands (part 27 of this chapter);
    (l) The Wireless Communications Service in the 1670-1675 MHz band 
(part 27 of this chapter);
    (m) The Wireless Communications Service in the 2305-2320 and 2345-
2360 MHz bands (part 27 of this chapter);
    (n) The Wireless Communications Service in the 2385-2390 MHz band 
(part 27 of this chapter);
    (o) The VHF Public Coast Station service (part 80 of this chapter);
    (p) The 220 MHz Service (excluding public safety licensees) (part 90 
of this chapter);
    (q) The Specialized Mobile Radio Service in the 800 MHz and 900 MHz 
bands (including exclusive use SMR licenses in the General Category 
channels) (part 90 of this chapter);
    (r) The Location and Monitoring Service (LMS) with regard to 
licenses for multilateration LMS systems (part 90 of this chapter);
    (s) Paging operations under part 90 of this chapter;
    (t) 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 exclusivity and those channels below 470 
MHz, including those licensed pursuant to 47 CFR 90.187(b)(2)(v));
    (u) The 218-219 MHz band (part 95 of this chapter);
    (v) The Local Multipoint Distribution Service (part 101 of this 
chapter);
    (w) The 24 GHz Band (part 101 of this chapter);
    (x) The 39 GHz Band (part 101 of this chapter);
    (y) The Multiple Address Systems band (part 101 of this chapter);
    (z) The Local Television Transmission Service (part 101 of this 
chapter);
    (aa) The Private-Operational Fixed Point-to-Point Microwave Service 
(part 101 of this chapter); and,
    (bb) The Common Carrier Fixed Point-to-Point Microwave Service (part 
101 of this chapter).

                     General Policies and Procedures



Sec. 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 applied for purposes of 
determining whether a licensee retains de facto control under section 
310(d) of the Communications 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 spectrum if it enters into a spectrum leasing arrangement and 
acts as a spectrum manager with regard to portions of the licensed 
spectrum that it leases to a spectrum lessee, provided the licensee 
satisfies the following two conditions:
    (1) Licensee responsibility for lessee compliance with Commission 
policies and rules. The licensee must remain fully responsible for 
ensuring the spectrum lessee's compliance with the Communications Act 
and all applicable policies 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 
authorization.
    (ii) The licensee must maintain a reasonable degree of actual 
working knowledge about the spectrum lessee's activities and facilities 
that affect its

[[Page 423]]

ongoing compliance with the Commission's policies and rules. These 
responsibilities include: Coordinating operations and modifications of 
the spectrum lessee's system to ensure compliance with Commission rules 
regarding non-interference with co-channel and adjacent channel 
licensees (and any authorized spectrum user); making all determinations 
as to whether an application is required for any individual spectrum 
lessee stations (e.g., those that require frequency coordination, 
submission of an Environmental Assessment under Sec. 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 Sec. 1.924 of subpart F of this 
part, or those that require notification to the Federal Aviation 
Administration under part 17 of this chapter); and, ensuring that the 
spectrum lessee complies with the Commission's safety guidelines 
relating to human exposure to radiofrequency (RF) radiation (e.g., Sec. 
1.1307(b) and related rules of subpart I of this part). The licensee is 
responsible for resolving all interference-related matters, including 
conflicts between its spectrum lessee and any other spectrum lessee or 
licensee (or authorized spectrum user). The licensee may use agents 
(e.g., counsel, engineering consultants) when carrying out these 
responsibilities, so long as the licensee exercises effective control 
over its agents' actions.
    (iii) The licensee must be able to inspect 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 arrangement and/or applicable Commission requirements. If 
the licensee or the Commission determines that there is any violation of 
the Commission's rules or that the spectrum lessee's system is causing 
harmful interference, the licensee must immediately take steps to remedy 
the violation, resolve the interference, suspend or terminate the 
operation of the system, or take other measures to prevent further 
harmful interference until the situation can be remedied. If the 
spectrum lessee refuses to resolve the interference, remedy the 
violation, or suspend or terminate operations, either at the direction 
of the licensee or by order of the Commission, the licensee must use all 
legal means necessary to enforce compliance.
    (2) Licensee responsibility for interactions with the Commission, 
including all filings, required under the license authorization and 
applicable service rules directly related to the leased spectrum. The 
licensee remains responsible for the following interactions with the 
Commission:
    (i) The licensee must file the necessary notification with the 
Commission, as required under Sec. 1.9020(d).
    (ii) The licensee is responsible for making all required filings 
(e.g., applications, notifications, correspondence) associated with the 
license authorization 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.



Sec. 1.9020  Spectrum manager leasing arrangements.

    (a) Overview. Under the provisions of this section, a licensee (in 
any of the included services) and a spectrum lessee may enter into a 
spectrum manager leasing arrangement, without the need for prior 
Commission approval, provided that the licensee retains de jure control 
of the license and de facto control, as defined and explained in this 
subpart, of the leased spectrum. The licensee must notify the Commission 
of the spectrum leasing arrangement pursuant to the rules set forth in 
this section.
    (b) Rights and responsibilities of the licensee. (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 requirements 
imposed on it pursuant to the license authorization.

[[Page 424]]

    (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 eligibility 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 
directly to it as a result of its own status as a service provider 
(e.g., Title II obligations 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 
Commission for ensuring the spectrum lessee's compliance with the 
Commission's operational rules and policies (as discussed 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 service provider.
    (5) In leasing spectrum from a licensee, the spectrum lessee must 
accept Commission oversight and enforcement consistent with the license 
authorization. The spectrum lessee must cooperate fully with any 
investigation or inquiry conducted by either the Commission or the 
licensee, allow the Commission or the licensee to conduct on-site 
inspections of transmission facilities, and suspend operations at the 
direction of the Commission or the licensee and to the extent that such 
suspension would be consistent with the Commission's suspension 
policies.
    (6) The spectrum lessee must retain a copy of the spectrum leasing 
agreement and make it available upon request 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 interference 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 requirements that are applicable to 
the licensee under its license authorization.
    (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, including character qualifications, applicable to the 
licensee under its license authorization.
    (iv) The spectrum lessee must not be a person subject to the denial 
of Federal benefits under the Anti-Drug Abuse Act of 1988 (see Sec. 
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 contained 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 particular services under its 
license authorization, 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 entrepreneur provisions (see 
Sec. 1.2110 of subpart Q of this part and Sec. 24.709 of this chapter) 
and continues to be subject to unjust enrichment requirements (see Sec. 
1.2111 of subpart Q of this part and Sec. 24.714 of this chapter) and/
or transfer restrictions (see Sec. 24.839 of this chapter) may enter 
into a spectrum manager leasing arrangement with a spectrum lessee so 
long as doing so does not result in the spectrum lessee becoming a 
``controlling interest'' (see Sec. 1.2110(c)(2) of subpart Q of this 
part) or affiliate (see Sec. 1.2110(c)(5) of subpart Q of this part) of 
the licensee such that the licensee would lose its eligibility as a

[[Page 425]]

small business or entrepreneur. To the extent there is any conflict 
between the revised de facto control standard for spectrum leasing 
arrangements, as set forth in this subpart, and the definition of 
controlling interest (including its de facto control standard) set forth 
in Sec. 1.2110 of subpart Q of this part, the latter definition governs 
for determining whether the licensee has maintained the requisite degree 
of ownership and control to allow it to remain eligible for the license 
or for other benefits such as bidding credits and installment payments.
    (5) Construction/performance requirements. 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 certain percentage of geographic area, cover a 
certain percentage of population, or provide substantial service) always 
remains a condition of the license, and legal responsibility for meeting 
such obligation is not delegable to the spectrum lessee(s).
    (i) The licensee may attribute to itself the build-out or 
performance activities of its spectrum lessee(s) for purposes of 
complying with any applicable performance or build-out requirement.
    (ii) If a licensee relies on the activities of a spectrum lessee to 
meet the licensee's performance or build-out obligation, and the 
spectrum lessee fails to engage in those activities, the Commission will 
enforce the applicable performance or build-out requirements against the 
licensee, consistent with the applicable rules.
    (iii) If there are rules applicable to the license concerning the 
discontinuance of operation, the licensee is accountable 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 performance requirements.
    (6) Cellular cross-interest rule. The cellular cross-interest rule 
applies to spectrum manager leasing arrangements involving a cellular 
authorization in a Rural Service Area (RSA), and leased cellular 
spectrum is attributable to the spectrum lessee pursuant to Sec. 22.942 
of this chapter (see Sec. Sec. 22.942, 22.909 of this chapter).
    (7) Regulatory classification. If the regulatory status of the 
licensee (e.g., common carrier or non-common carrier status) is 
prescribed by rule, the regulatory status of the spectrum lessee is 
prescribed in the same manner, except that Sec. 20.9(a) of this chapter 
shall not preclude a licensee in the services covered by that rule from 
entering into a spectrum leasing arrangement with a spectrum lessee that 
chooses to operate on a Private Mobile Radio Service (PMRS), private, or 
non-commercial basis.
    (8) Regulatory fees. The licensee remains responsible for payment of 
the required regulatory fees that must be paid in advance of its license 
term (see Sec. 1.1152 of subpart G of this part). Where, however, 
regulatory fees are paid annually on a per-unit basis (such as for 
Commercial Mobile Radio Services (CMRS) pursuant to Sec. 1.1152 of 
subpart G of this part), the licensee and spectrum lessee are each 
required to pay fees for those units associated with its respective 
operations.
    (9) E911 requirements. If E911 obligations apply to the licensee 
(see Sec. 20.18 of this chapter), the licensee retains the obligations 
with respect to leased spectrum.
    (e) Notification regarding the spectrum manager leasing arrangement. 
A licensee that enters into a spectrum manager leasing arrangement must 
notify the Commission of that arrangement in advance of operation, as 
set forth herein.
    (1) Notification procedures. (i) The licensee must submit the 
notification to the Commission by electronic filing, except that 
licensees falling within the provisions of Sec. 1.911(d) of subpart F 
of this part may file the notification either electronically or 
manually. Except as provided in paragraph (e)(1)(ii) of this section, 
such notification must be submitted within 14 days of execution of the 
spectrum leasing arrangement and at least 21 days in advance of 
commencing operations.
    (ii) For spectrum manager leasing arrangements of one year or less, 
the licensee must provide notification to the

[[Page 426]]

Commission within 14 days of execution of the spectrum leasing 
arrangement and at least ten (10) days in advance of operation. If the 
licensee and spectrum lessee seek to extend this leasing arrangement for 
an additional term beyond the initial term, the licensee must provide 
the Commission with notification of the new spectrum leasing arrangement 
at least 21 days in advance of operation under the extended term.
    (2) Application fees. There are no application fees required for the 
filing of a spectrum manager leasing notification.
    (3) Public notice of notifications. Notifications under this subpart 
will be placed on an informational public notice on a weekly basis (see 
Sec. 1.933(a) of subpart F of this part).
    (4) Contents of notification. The notification must contain all 
information requested on the applicable form, FCC Form 603, and any 
additional information and certifications required by the rules in this 
chapter and any rules pertaining to the specific service for which the 
notification is filed.
    (5) Effective date of a spectrum manager leasing arrangement. The 
spectrum manager leasing arrangement will be deemed effective in the 
Commission's records, and for purposes of the application of the rules 
set forth in this section, as of the beginning date of the term as 
specified in the spectrum leasing notification.
    (f) Commission termination of a spectrum manager leasing 
arrangement. The Commission retains the right to investigate and 
terminate any spectrum manager leasing arrangement if it determines, 
post-notification, that the arrangement constitutes an unauthorized 
transfer of de facto control of the leased spectrum, is otherwise in 
violation of the rules in this chapter, or raises foreign ownership, 
competitive, or other public interest concerns. Information concerning 
any such termination will be placed on public notice.
    (g) Expiration, extension, or termination of a spectrum leasing 
arrangement. (1) Absent Commission termination or except as provided in 
paragraph (g)(2) or (g)(3) of this section, a spectrum leasing 
arrangement entered into pursuant to this section will expire on the 
termination date set forth in the spectrum 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 extension within 14 
days of execution of the extension and at least 21 days in advance of 
operation under the extended term.
    (3) If a spectrum leasing arrangement is terminated earlier than the 
termination date set forth in the notification, either by the licensee 
or by the parties' mutual agreement, the licensee 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 
parties fail to put the spectrum leasing arrangement into effect, they 
must so notify the Commission consistent with the provisions of this 
section.
    (4) The Commission will place information concerning an extension or 
an early termination of a spectrum leasing arrangement on public notice.
    (h) Assignment of a spectrum leasing arrangement. The spectrum 
lessee may assign its spectrum leasing arrangement to another entity 
provided that the licensee has agreed to such an assignment, is in 
privity with the assignee, and notifies the Commission at least 21 days 
before the consummation of the assignment, pursuant to the notification 
procedures set forth in this section. In the case of a pro forma 
assignment, the licensee may file the notification regarding the action 
subject to the rules and procedures regarding pro forma transactions 
applicable to licensees set forth in Sec. 1.948(c)(1) of subpart F of 
this part. The Commission will place information concerning a 
notification related to an assignment, whether substantial or pro forma, 
on public notice.
    (i) Transfer of control of a spectrum lessee. The licensee must 
notify the Commission of any transfer of control of a spectrum lessee at 
least 21 days before the consummation of the transfer of control, 
pursuant to the notification procedures of this section. In the case of 
a pro forma transfer of control of the spectrum lessee, the licensee may 
file the notification regarding the action

[[Page 427]]

subject to the same rules and procedures regarding pro forma 
transactions applicable to licensees set forth in Sec. 1.948(c)(1) of 
subpart F of this part. The Commission will place information concerning 
a notification related to a transfer of control, whether substantial or 
pro forma, on public notice.
    (j) Revocation or automatic cancellation of a license or a spectrum 
lessee's operating authority. (1) In the event an authorization held by 
a licensee that has entered into a spectrum leasing arrangement is 
revoked or cancelled, the spectrum lessee will be required to terminate 
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 
paragraph (j)(2) of this section.
    (2) In the event of a license revocation or cancellation, the 
Commission will consider a request by the spectrum lessee for special 
temporary authority (see Sec. 1.931 of subpart F of this part) to 
provide the spectrum lessee with an opportunity to transition its users 
in order to minimize service disruption to business and other 
activities.
    (3) In the event of a license revocation or cancellation, and the 
required termination of the spectrum lessee's operations, the former 
spectrum lessee does not, as a result of its former status, 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 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 notification regarding the spectrum subleasing arrangement in 
accordance with the notification procedures set forth in this section.
    (l) Renewal. A licensee and spectrum lessee that have entered into a 
spectrum leasing arrangement whose term continues to the end of the 
current term of the license authorization may, contingent on the 
Commission's grant of the license renewal, extend the spectrum leasing 
arrangement during the term of the renewed license authorization. The 
licensee must notify the Commission of such an extension of the spectrum 
leasing arrangement on the same application it submits for license 
renewal (see Sec. 1.949 of subpart F of this part).

    Effective Date Note: At 68 FR 66277, Nov. 25, 2003, Sec. 1.9020 was 
added. Paragraph (e) of this section contains information collection and 
recordkeeping requirements and will not become effective until approval 
has been given by the Office of Management and Budget.



Sec. 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 lessee 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 transfer leasing arrangement has an individual 
term, or series of combined terms, of more than 360 days.
    (b) Rights and responsibilities of the licensee. (1) Except as 
provided in paragraph (b)(2) of this section, the licensee is relieved 
of primary and direct responsibility for ensuring that the spectrum 
lessee's operations comply with the Communications Act and Commission 
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 ongoing violations or other egregious behavior on the 
part of the spectrum lessee 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

[[Page 428]]

to the de facto transfer leasing arrangement that brings it within the 
scope of the Commission's direct forfeiture provisions under section 
503(b) of the Communications 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 applications and notifications, submissions of any 
materials required to support a required Environmental Assessment, any 
reports required by Commission rules and applicable to the lessee, 
information necessary to facilitate international or Interdepartment 
Radio Advisory Committee (IRAC) coordination).
    (4) The spectrum lessee is required to maintain accurate information 
on file pursuant to Commission rules (see Sec. 1.65 of subpart A of 
this part).
    (5) The spectrum lessee must retain a copy of the spectrum leasing 
agreement and make it available upon request 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 interference 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 requirements that are applicable to 
the licensee under its license authorization.
    (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, including character qualifications, applicable to the 
licensee under its license authorization.
    (iv) The spectrum lessee must not be a person subject to denial of 
Federal benefits under the Anti-Drug Abuse Act of 1988 (see Sec. 1.2001 
et seq. of subpart P of this part).
    (3) Use restrictions. To the extent that the licensee is restricted 
from using the licensed spectrum to offer particular services under its 
license authorization, 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 entrepreneur provisions (see 
Sec. 1.2110 of subpart Q of this part and Sec. 24.709 of this chapter) 
and continues to be subject to unjust enrichment requirements (see Sec. 
1.2111 of subpart Q of this part and Sec. 24.714 of this chapter) and/
or transfer restrictions (see Sec. 24.839 of this chapter) may enter 
into a long-term de facto transfer leasing arrangement with any entity 
under the streamlined processing procedures described in this section, 
subject to any applicable unjust enrichment payment obligations and/or 
transfer restrictions (see Sec. 1.2111 of subpart Q of this part and 
Sec. 24.839 of this chapter).
    (ii) A licensee holding a license won in closed bidding (see Sec. 
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 license pursuant to the requirements of Sec. 
24.709(a) of this chapter so long as it has met its five-year 
construction requirement (see Sec. Sec. 24.203, 24.839(a)(6) of this 
chapter).
    (iii) The amount of any unjust enrichment 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 Sec. 1.2111 of subpart Q of this part and Sec. 24.714 
of this chapter). If the spectrum leasing arrangement involves 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 partitioned and/or disaggregated (see Sec. 1.2111(e) 
of subpart Q of this part and Sec. 24.714(c) of this chapter). A 
licensee will receive no reduction in its unjust enrichment payment 
obligation for a spectrum leasing arrangement 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

[[Page 429]]

program (see Sec. 1.2110(g) of subpart Q of this part) may enter into a 
long-term de facto transfer leasing arrangement without triggering 
unjust enrichment obligations provided that the lessee would qualify for 
as favorable a category of installment payments. 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 
principal and any unpaid interest accrued through the effective date of 
the spectrum leasing arrangement (see Sec. 1.2111(c) of subpart Q of 
this part). This requirement applies regardless of whether the licensee 
is leasing all or a portion of its bandwidth and/or license area.
    (5) Construction/performance requirements. 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 certain percentage of geographic area, cover a 
certain percentage of population, or provide substantial service) always 
remains a condition of the license, and the legal responsibility for 
meeting such obligation is not delegable to the spectrum lessee(s).
    (i) The licensee may attribute to itself the build-out or 
performance activities of its spectrum lessee(s) for purposes of 
complying with any applicable build-out or performance requirement.
    (ii) If a licensee relies on the activities of a spectrum lessee to 
meet the licensee's performance or build-out obligation, and the 
spectrum lessee fails to engage in those activities, the Commission will 
enforce the applicable performance or build-out requirements against the 
licensee, consistent with the applicable rules.
    (iii) If there are rules applicable to the license concerning the 
discontinuance of operation, the licensee is accountable 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 performance requirements.
    (6) Cellular cross-interest rule. The cellular cross-interest rule 
applies to spectrum leasing arrangements involving a cellular 
authorization in a Rural Service Area (RSA), and leased cellular 
spectrum is attributable to the spectrum lessee pursuant to Sec. 22.942 
of this chapter (see Sec. Sec. 22.942, 22.909 of this chapter).
    (7) Regulatory classification. If the regulatory status of the 
licensee (e.g., common carrier or non-common carrier status) is 
prescribed by rule, the regulatory status of the spectrum lessee is 
prescribed in the same manner, except that Sec. 20.9(a) of this chapter 
shall not preclude a licensee in the services covered by that rule from 
entering into a spectrum leasing arrangement with a spectrum lessee that 
chooses to operate on a PMRS, private, or non-commercial basis.
    (8) Regulatory fees. The licensee remains responsible for payment of 
the required regulatory fees that must be paid in advance of its license 
term (see Sec. 1.1152 of subpart G of this part). Where, however, 
regulatory fees are paid annually on a per-unit basis (such as for CMRS 
services pursuant to Sec. 1.1152 of subpart G of this part), the 
licensee and spectrum lessee each are required to pay fees for those 
units associated with its respective operations.
    (9) E911 requirements. To the extent the licensee is required to 
meet E911 obligations (see Sec. 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 encompassed with the E911 obligations.
    (e) Spectrum leasing application. Parties entering into a long-term 
de facto transfer leasing arrangement are required to file an electronic 
application with the Commission, using FCC Form 603, and obtain 
Commission consent prior to consummating the transfer of de facto 
control of the leased spectrum, except that parties falling within the 
provisions of Sec. 1.911(d) of subpart F of this part may file the 
notification either electronically or manually.
    (1) Application fees. The spectrum leasing application will be 
treated as a transfer of control for purposes of determining the 
applicable application

[[Page 430]]

fees as set forth in Sec. 1.1102 of subpart G of this part.
    (2) Streamlined approval procedures. (i) The spectrum leasing 
application will be placed on public notice once the application is 
sufficiently complete and accepted for filing (see Sec. 1.933 of 
subpart F of this part).
    (ii) Petitions to deny filed in accordance with section 309(d) of 
the Communications Act must comply with the provisions of Sec. 1.939 of 
subpart F of this part except that such petitions must be filed no later 
than 14 days following the date of the public notice listing the 
application as accepted for filing.
    (iii) 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 remove the application from 
streamlined processing for further review. For applications for which no 
prior public notice is required, the Bureau will affirmatively consent 
to the application, deny the application, or remove the application from 
streamlined processing for 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 Sec. 1.1102 of subpart G of 
this part).
    (iv) Grant of consent to the application will be reflected in a 
Public Notice (see Sec. 1.933(a)(2) of subpart F of this part) promptly 
issued after the grant.
    (v) If the Bureau determines to remove an application from 
streamlined processing, it will issue a public notice indicating that 
the application has been removed from streamlined processing. Within 90 
days of that public notice, the Bureau will either take action upon the 
application or provide public notice that an additional 90-day period 
for review is needed.
    (vi) Consent to an application is not deemed granted until the 
Bureau affirmatively acts upon the application.
    (vii) 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 petition(s).
    (3) Public notice of application. Applications under this subpart 
will be placed on an informational public notice on a weekly basis (see 
Sec. 1.933(a) of subpart F of this part).
    (4) Contents of the application. The application must contain all 
information requested on the applicable form, FCC Form 603, and any 
additional information and certifications required by the rules in this 
chapter and any rules pertaining to the specific service for which the 
application is filed.
    (5) Effective date of a de facto transfer leasing arrangement. If 
the Commission consents to the de facto transfer leasing arrangement, 
the de facto transfer leasing arrangement will be deemed effective 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 arrangement after that 
specified date, the spectrum leasing application will become effective 
on the date of the Commission affirmative consent.
    (f) Expiration, extension, or termination of spectrum leasing 
arrangement. (1) Except as provided in paragraph (f)(2) or (f)(3) of 
this section, a spectrum 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 
application 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 application procedures set forth in Sec. 1.9030(e). Where there is 
pending before the Commission at the date of termination of the spectrum 
leasing arrangement a proper and timely application seeking to extent 
the arrangement, the parties may continue to operate under the original 
spectrum leasing arrangement without further action by the Commission 
until such time as the Commission shall make a final determination with 
respect to the application.

[[Page 431]]

    (3) If a spectrum leasing arrangement is terminated earlier than the 
termination date set forth in the notification, either by the licensee 
or by the parties' mutual agreement, the licensee 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 
parties fail to put the spectrum leasing arrangement into effect, they 
must so notify the Commission consistent with the provisions of this 
section.
    (4) The Commission will place information concerning an extension or 
an early termination of a spectrum leasing arrangement on public notice.
    (g) Assignment of spectrum leasing arrangement. The spectrum lessee 
may assign its lease to another entity provided that the licensee has 
agreed to such an assignment, there is privity between the licensee and 
the assignee, and the assignment of the spectrum lessee is approved by 
the Commission pursuant to the same application and approval procedures 
set forth in this section. In the case of a pro forma assignment, the 
parties involved in the pro forma transaction may file the notification 
regarding the action subject to the rules and procedures regarding pro 
forma transactions applicable to licensees set forth in Sec. 
1.948(c)(1) of subpart F of this part. The Commission will place 
information concerning the notification relating to an assignment, 
whether substantial or pro forma, on public notice.
    (h) Transfer of control of spectrum lessee. A spectrum lessee 
contemplating a transfer of control must obtain Commission consent using 
the same application and Commission consent procedures set forth in this 
section. In the case of a pro forma transfer of control of the spectrum 
lessee, the parties involved in the pro forma transaction may file the 
notification regarding the action subject to the rules and procedures 
regarding pro forma transactions applicable to licensees set forth in 
Sec. 1.948(c)(1) of subpart F of this part. The Commission will place 
information concerning the notification relating to a transfer of 
control, whether substantial or pro forma, on public notice.
    (i) Revocation or automatic cancellation of a license or the 
spectrum lessee's operating authority. (1) In the event an authorization 
held by a licensee that has entered into a spectrum leasing arrangement 
is revoked or cancelled, the spectrum lessee will be required to 
terminate its operations no later than the date on which the licensee 
ceases to have authority to operate under the license, except as 
provided in paragraph (i)(2) of this section.
    (2) In the event of a license revocation or cancellation, the 
Commission will consider a request by the spectrum lessee for special 
temporary authority (see Sec. 1.931 of subpart F of this part) to 
provide the spectrum lessee with an opportunity to transition its users 
in order to minimize service disruption to business and other 
activities.
    (3) In the event of a license revocation or cancellation, and the 
required termination of the spectrum lessee's operations, the former 
spectrum lessee does not, as a result of its former status, receive any 
preference over any other party should the spectrum lessee seek to 
obtain the revoked or cancelled license.
    (j) Subleasing. A spectrum lessee may sublease spectrum usage rights 
subject to the following conditions. Parties entering into a spectrum 
subleasing arrangement are required to comply with the Commission's 
rules for obtaining approval for spectrum leasing arrangements provided 
in this subpart and are governed by those same policies. The application 
filed by parties to a spectrum subleasing arrangement must include 
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 
Commission rules and policies.
    (k) Renewal. A licensee and spectrum lessee that have entered into a 
spectrum leasing arrangement whose term continues to the end of the 
current term of the license authorization may, contingent on the 
Commission's grant of the license renewal, extend the spectrum leasing 
arrangement during the term of the renewed license authorization. The 
licensee must notify the Commission of such an extension of the spectrum 
leasing arrangement on the same application it submits for license

[[Page 432]]

renewal (see Sec. 1.949 of subpart F of this part). The spectrum lessee 
may operate 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 extension of the spectrum leasing 
arrangement.

    Effective Date Note: At 68 FR 66277, Nov. 25, 2003, Sec. 1.9030 was 
added. Paragraph (e) of this section contains information collection and 
recordkeeping requirements and will not become effective until approval 
has been given by the Office of Management and Budget.



Sec. 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 lessee may enter into a 
short-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 
``short-term'' de facto transfer leasing arrangement has an individual 
or combined term of not longer than 360 days.
    (b) Rights and responsibilities of licensee. The rights and 
responsibilities applicable to a licensee that enters into a short-term 
de facto transfer leasing arrangement are the same as those applicable 
to a licensee that enters into a long-term de facto transfer leasing 
arrangement, as set forth in Sec. 1.9030(b).
    (c) Rights and responsibilities of spectrum lessee. The rights and 
responsibilities 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 Sec. 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 manner as under 
long-term de facto transfer leasing arrangements (see Sec. 1.9030(d)), 
except as provided herein:
    (1) Use restrictions and regulatory classification. Use restrictions 
applicable to the licensee also apply to the spectrum lessee except that 
Sec. 20.9(a) of this chapter shall not preclude a licensee in the 
services covered by that rule from entering into a spectrum leasing 
arrangement 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 arrangement that 
allows the spectrum lessee to use the spectrum commercially.
    (2) Designated entity/entrepreneur rules. Unjust enrichment 
provisions (see Sec. 1.2111 of subpart Q of this part) and transfer 
restrictions (see Sec. 24.839 of this chapter) do not apply with regard 
to a short-term de facto transfer leasing arrangement.
    (3) Construction/performance requirements. The licensee is not 
permitted to attribute to itself the activities of its spectrum lessee 
when seeking to establish that performance or build-out requirements 
applicable to the licensee have been met.
    (4) Cellular cross-interest rule and policies. The cellular cross-
interest rule and policies (see Sec. 22.942 of this chapter) do not 
apply with regard to short-term de facto transfer leasing arrangements.
    (5) E911 requirements. If E911 obligations apply to the licensee 
(see Sec. 20.18 of this chapter), the licensee retains the obligations 
with respect to leased spectrum. A spectrum lessee entering into a 
short-term de facto transfer leasing arrangement is not separately 
required to comply with any such obligations in relation to the leased 
spectrum.
    (e) Spectrum leasing application. Parties entering into a short-term 
de facto transfer leasing arrangement are required to file an electronic 
application with the Commission, using FCC Form 603, and obtain 
Commission consent prior to consummating the transfer of de facto 
control of the leased spectrum, except that parties falling within the 
provisions of Sec. 1.911 of subpart F of this part may file the 
application either

[[Page 433]]

electronically or manually. Commission approval of such application is 
granted pursuant to special temporary authority (STA) policies (see 
section 309(f) of the Communications Act).
    (1) Application fees. The spectrum leasing application will be 
treated as a transfer of control for purposes of determining the 
applicable application fees as set forth in Sec. 1.1102 of subpart G of 
this part.
    (2) Approval procedures. (i) The spectrum leasing application must 
be filed at least ten (10) days prior to the date on which the spectrum 
lessee seeks to commence operation under the spectrum leasing 
arrangement. If the application meets the conditions specified in this 
section for a short-term de facto transfer leasing arrangement, it will 
be granted or denied within ten (10) days of receipt of the complete 
application.
    (ii) The Commission may grant authority to permit operation under a 
short-term de facto transfer leasing arrangement for a maximum period of 
180 days. The Commission may grant extension of the temporary authority 
as provided in Sec. 1.9035(g)(2).
    (iii) In no event may parties use the procedures for short-term de 
facto transfer leasing arrangements to enter into arrangements that 
would exceed 360 days.
    (3) Contents of the application. (i) The application must contain 
all information requested on the applicable form, FCC Form 603, and any 
additional information and certifications required by the rules in this 
chapter and any rules pertaining to the specific service for which the 
application is filed.
    (ii) The application must contain a showing that grant of the 
temporary authority to permit implementation of the short-term de facto 
transfer leasing arrangement would further the public interest.
    (4) Effective date of spectrum leasing arrangement. The spectrum 
leasing arrangement will be deemed effective in the Commission's 
records, and for purposes of the application of the rules set forth in 
this section, on the date specified in the grant of temporary authority.
    (f) 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 arrangements for arrangements that in fact 
will exceed 360 days, or that the parties reasonably expect to exceed 
360 days.
    (2) The licensee and spectrum lessee must submit, in sufficient time 
prior to the expiration of the short-term de facto transfer spectrum 
leasing arrangement, the appropriate application under the rules and 
procedures applicable to long-term de facto leasing arrangements, and 
obtain Commission consent pursuant to those procedures.
    (g) Expiration, extension, or termination of the spectrum leasing 
arrangement. (1) Except as provided in paragraph (g)(2) or (g)(3) of 
this section, a spectrum leasing arrangement entered into pursuant to 
this section will expire on the termination date set forth in the grant 
of temporary authority. The Commission's grant of temporary authority 
pursuant to the 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 Sec. 1.9035(e)), a short-term de 
facto transfer leasing arrangement may be extended beyond the initial 
term set forth in the application, for one or more terms of up to 180 
days each, provided that the initial term and extension(s) together 
would not result in a leasing arrangement that exceeds a total of 360 
days.
    (3) If a spectrum leasing arrangement is terminated earlier than the 
termination date set forth in the notification, either by the licensee 
or by the parties' mutual agreement, the licensee 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 
parties fail to put the spectrum leasing arrangement into effect, they 
must so notify the Commission consistent with the provisions of this 
section.
    (h) 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

[[Page 434]]

extend the spectrum leasing arrangement beyond the 360-day limit for 
short-term de facto transfer leasing arrangements, the parties may do so 
provided that they meet the conditions set forth in paragraphs (h)(2) 
and (h)(3) of this section.
    (2) If a licensee that holds a license that continues to be subject 
to transfer restrictions and/or requirements relating to unjust 
enrichment pursuant to the Commission's small business and/or 
entrepreneur provisions (see Sec. 1.2110 of subpart Q of this part and 
Sec. 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 pursuant to Sec. 1.2110(b)(2) of subpart Q of 
this part) beyond 360 days, it may convert its arrangement into a long-
term de facto transfer spectrum leasing arrangement provided that it 
complies with the procedures for entering 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 arrangement 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 arrangement because of a transfer, use, or other 
restriction applicable to the particular service (see Sec. 1.9030).
    (i) Assignment of spectrum leasing arrangement. The rule applicable 
to long-term de facto transfer leasing arrangements (see Sec. 
1.9030(g)) applies in the same manner to short-term de facto transfer 
leasing arrangements.
    (j) Transfer of control of spectrum lessee. The rule applicable to 
long-term de facto transfer leasing arrangements (see Sec. 1.9030(h)) 
applies in the same manner to short-term de facto transfer leasing 
arrangements.
    (k) Revocation or automatic cancellation of a license or the 
spectrum lessee's operating authority. The rule applicable to long-term 
de facto transfer leasing arrangements (see Sec. 1.9030(i)) applies in 
the same manner to short-term de facto transfer leasing arrangements.
    (l) 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.
    (m) Renewal. The rule applicable with regard to long-term de facto 
transfer leasing arrangements (see Sec. 1.9030(k)) applies in the same 
manner to short-term de facto transfer leasing arrangements, except that 
the extension of the short-term de facto transfer leasing arrangement 
into the term of the renewed license authorization cannot enable the 
combined terms of the short-term de facto transfer leasing arrangements 
to exceed 360 days. The licensee must notify the Commission of such an 
extension of the spectrum leasing arrangement on the same application it 
submits for license renewal (see Sec. 1.949 of subpart F of this part).

    Effective Date Note: At 68 FR 66277, Nov. 25, 2003, Sec. 1.9035 was 
added. Paragraph (e) of this section contains information collection and 
recordkeeping requirements and will not become effective until approval 
has been given by the Office of Management and Budget.



Sec. 1.9040  Contractual requirements applicable to spectrum leasing 
arrangements.

    (a) Agreements between licensees and spectrum lessees concerning 
spectrum leasing arrangements entered into pursuant 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 applicable law, and the 
spectrum leasing arrangement may be revoked, cancelled, or terminated by 
the licensee or Commission if the spectrum lessee fails to comply with 
the applicable requirements;
    (2) If the license is revoked, cancelled, 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 arrangement is not an assignment, sale, or 
transfer of the license itself;

[[Page 435]]

    (4) The spectrum leasing arrangement shall not be assigned to any 
entity that is ineligible or unqualified to enter into a spectrum 
leasing arrangement 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 
Commission's installment payment program (see Sec. 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 security interest in the license and 
related proceeds, consistent with the provisions set forth in Sec. 
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.



Sec. 1.9045  Requirements for spectrum leasing arrangements entered into 
by licensees participating in the installment payment program.

    (a) If a licensee that holds a license subject to the Commission's 
installment payment program (see Sec. 1.2110 of subpart Q of this part 
and related service-specific rules) enters into a spectrum 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 spectrum 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 pursuant to applicable 
Commission rules and regulations and the associated note(s) and security 
agreement(s).
    (b) If a licensee holds a license subject to the installment payment 
program rules (see Sec. 1.2110 of subpart Q of this part and related 
service-specific rules), the licensee and spectrum lessee may effectuate 
a spectrum leasing arrangement with respect to that license only insofar 
as Commission-required and approved note(s) and security agreement(s) 
have been executed that expressly establish, in the context of a 
spectrum leasing arrangement, the licensee's sole responsibility and 
obligation to repay the entire amount of its debt obligations to the 
Commission relating to the license.



Sec. 1.9050  Who may sign spectrum leasing notifications and applications.

    Under the rules set forth in this subpart, certain notifications and 
applications to the Commission must be filed by licensees and spectrum 
lessees that enter into spectrum leasing arrangements. In addition, the 
rules require that certain notifications and applications be filed by 
the licensee and/or the spectrum lessee after they have entered into 
such arrangements. Whether the signature of the licensee, the spectrum 
lessee, or both, is required will depend on the particular notification 
or application involved, and whether the leasing arrangement concerns a 
spectrum manager leasing arrangement or a de facto transfer leasing 
arrangement.
    (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 electronically or manually, see paragraph (d) of this 
section):
    (1) By the licensee or spectrum lessee, if an individual;
    (2) By one of the partners if the licensee or lessee is a 
partnership;
    (3) By an officer, director, or duly authorized 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 
unincorporated 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 licensee's or lessee's 
physical disability or absence from the United States. The

[[Page 436]]

attorney shall, when applicable, separately set forth the reason why the 
application 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, amendments, 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 administrative sanctions, including 
revocation of license pursuant to section 312(a)(1) of the 
Communications Act of 1934 or revocation of the spectrum leasing 
arrangement.
    (d) ``Signed,'' as used in this section, means, for manually filed 
notifications and applications only, an original hand-written signature 
or, for electronically filed notifications and applications 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.



Sec. 1.9055  Assignment of file numbers to spectrum leasing notifications 
and applications.

    Spectrum leasing notifications or applications 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 assigned file numbers (see Sec. 1.926 of subpart F of 
this part).



Sec. 1.9060  Amendments, waivers, and dismissals affecting spectrum leasing 
notifications and applications.

    (a) Notifications and applications regarding 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 Sec. Sec. 1.927 and 1.929 of subpart F of this part).
    (b) The Commission may waive specific requirements of the rules 
affecting 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 Sec. 
1.925 of subpart F of this part).
    (c) Notifications and pending applications regarding spectrum 
leasing arrangements may be dismissed in accordance with the policies, 
procedures, and standards applicable to applications as set forth in 
subpart F of this part (see Sec. 1.935 of subpart F of this part).



              Subpart Y_International Bureau Filing System

    Source: 69 FR 29895, May 26, 2004, unless otherwise noted. 
Redesignated at 69 FR 40327, July 2, 2004.



Sec. 1.10000  What is the purpose of these rules?

    (a) These rules are issued under the Communications Act of 1934, as 
amended, 47 U.S.C. 151 et seq., and the Submarine 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 descriptions and directions, 
including but not limited to specifying which International and 
Satellite service applications must be filed electronically, are in 
parts 1, 25, 63, and 64 of this chapter.

[69 FR 47793, Aug. 6, 2004]



Sec. 1.10001  Definitions.

    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 application or to 
modify or renew licenses or authorizations. The term also includes the 
other requests that may be filed in IBFS such as transfers of control 
and assignments of license applications, earth station registrations, 
and foreign carrier affiliation notifications.

[[Page 437]]

    Authorizations. Generally, a written document or oral statement 
issued by us giving authority to operate or provide service.
    International Bureau Filing System. The International Bureau Filing 
System (IBFS) is a database, application filing system, and processing 
system for all International and Satellite services. IBFS supports 
electronic filing of many applications and related documents in the 
International Bureau, and provides public access to this information.
    International Services. All international services authorized under 
parts 1, 63 and 64 of this chapter.
    Official Filing Date.
    Satellite Space Station Applications (other than DBS and DARS) and 
Applications for Earth Stations to Access a Non-U.S. Satellite Not 
Currently Authorized to Provide the Proposed Service in the Proposed 
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 officially filed the moment you file them through IBFS. The 
system tracks the date and time of filing (to the millisecond). For 
purposes of the queue discussed in Sec. 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.
    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 application 
is determined to be fee-exempt. We determine your official filing date 
based on one of the following situations:

1. You file your Satellite Space     Your official filing date is the
 Station Application (other than      date and time (to the millisecond)
 DBS and DARS) or your Application    you file your application and
 for Earth Stations to Access a Non-  receive a confirmtion of filing
 U.S. Satellite Not Currently         and submission ID.
 Authorized to provide the Proposed
 Service in the Proposed
 Frequencies in the United States
 in IBFS.
2. You file all other applications   Your official filing date is:
 in IBFS and then do one of the
 following:.
Send your payment (via check, bank   The date Mellon Bank stamps your
 draft, money order, credit card,     payment as received.
 or wire transfer) and FCC Form 159
 to Mellon Bank.
Pay by online credit card (through   The date your online credit card
 IBFS)..                              payment is approved. (Note: you
                                      will receive a remittance ID and
                                      an authorization number if your
                                      transaction is successful).
Determine your application type is   The date you file in IBFS and
 fee-exempt or your application       receive a confirmation of filing
 qualifies for exemption to charges   and submission ID.
 as provided in Part 1 of the
 Commission's Rules.
 

    Satellite Services. All satellite services authorized under part 25 
of this chapter.
    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).

[[Page 438]]

    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 
representatives, or other entities authorized to provide services.



Sec. 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.



Sec. 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.



Sec. 1.10004  What am I allowed to do if I am approved?

    If you are approved and receive a license or authorization, you must 
operate in accordance with, and not beyond, your terms of approval.



Sec. 1.10005  What is IBFS?

    (a) The International Bureau Filing System (IBFS) is a database, 
application filing system, and processing system for all International 
and Satellite Services. IBFS supports electronic filing of many 
applications and related documents in the International Bureau, and 
provides public access to this information.
    (b) We maintain applications, notifications, correspondence, and 
other materials filed electronically with the International Bureau in 
IBFS.



Sec. 1.10006  Is electronic filing mandatory?

    (a) Mandatory electronic filing requirements for applications for 
international and satellite services are set forth in parts 1, 25, 63, 
and 64 of this chapter.
    (b) If you are not required to file an international or satellite 
application, you may file that application electronically on a voluntary 
basis. However, we encourage you to use IBFS to increase time-savings 
and efficiency.

[69 FR 47793, Aug. 6, 2004]



Sec. 1.10007  What applications can I file electronically?

    (a) You can file most International and Satellite applications 
electronically. In cases where a paper form exists, we attempted to keep 
the same format for the online version of the form. In some cases (such 
as International Section 214 applications filed under Sec. 63.18), 
although a paper form does not exist, there is an electronic form to 
facilitate filing.
    (b) For a complete list of applications you can file electronically, 
see the IBFS Web site at www.fcc.gov/ibfs.
    (c) Many applications require exhibits or attachments. If 
attachments are required, you must attach documentation to your 
electronic application before filing. We accept attachments in the 
following formats: Word, Adobe Acrobat, Excel and Text.
    (d) For paper filing rules and procedures, 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]



Sec. 1.10008  What are IBFS file numbers?

    (a) We assign file numbers to electronic applications in order to 
facilitate processing.
    (b) We only assign file numbers for administrative convenience; they 
do not mean that an application is acceptable for filing.
    (c) For a description of file number information, see The 
International Bureau Filing System File Number Format Public Notice, DA-
04-568 (released February 27, 2004).



Sec. 1.10009  What are the steps for electronic filing?

    (a) Step 1: Register for an FCC Registration Number (FRN). (See 
Subpart W, Sec. Sec. 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 System (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):

[[Page 439]]

    (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 
applications and/or paying fees through IBFS.
    (4) We use your FRN to give you secured access to IBFS and to pre-
fill the application you file.
    (a) 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 register 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 password.
    (5) If you forget your password, send an e-mail to the IBFS helpline 
at [email protected] or contact the helpline at (202) 418-2222 for 
assistance.
    (c) Step 3: Log into IBFS, select the application you want to file, 
provide the required FRN(s) and password(s) and fill out your 
application. You must completely 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 the United States Postal Service. You are also encouraged to provide 
an e-mail address. This information is used to contact you regarding 
your application and to request additional documentation, 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 incorporate the information by reference, as long 
as:
    (i) The referenced information is filed in IBFS or, if manually 
filed, the information is more than one ``8\1/2\ inch by 11 inch'' page.
    (ii) The referenced information is current and accurate in all 
material respects; 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 applications
    (B) The title of the proceeding, the docket number, and any legal 
citation, if the reference is to a docketed proceeding.
    (a) 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.
    (b) 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 Sec. 1.1107,
    (ii) You can refer to the International 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 applications for transfer of 
control or assignment 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 multiple 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 instructions on using IBFS to generate 
your FCC Form 159, go to the IBFS Web site

[[Page 440]]

(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 Mellon Bank. Your FCC 
Form 159 must be stamped ``received'' by Mellon Bank by the 14th day. If 
not, we will dismiss your application.
    (5) If you send your Form 159 and payment to Mellon Bank in paper 
form, you should mail your completed Form 159 and payment to the address 
specified in Sec. 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 payments, refer to Payment 
Instructions found on the IBFS Internet site at http://www.fcc.gov/ibfs.
    (7) Step 5 is not applicable if your application is fee exempt.



Sec. 1.10010  Do I need to send paper copies with my electronic applications?

    (a) If you file electronically through IBFS, the electronic record 
is the official record.
    (b) If you file electronically, you do not need to submit paper 
copies of your application.
    (c) If you submit paper copies of your application with your 
payment, we will consider them as copies and may not retain them.



Sec. 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 application, which is then electronically 
transmitted via IBFS.
    (b) For all electronically filed applications, you (or the signor) 
must actually sign a paper copy of the application, and keep the signed 
original in your files for future reference.
    (c) You only need to sign the original of applications, amendments, 
and related statements of fact.
    (d) Sign applications, amendments, and related statements of fact as 
follows (either electronically or manually):
    (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 authorized employee, if you are 
a corporation; or
    (4) By a member who is an officer, if you are an unauthorized 
association.
    (e) If you file applications, amendments, and related statements of 
fact on behalf of eligible government entities, an elected or appointed 
official who may sign under the laws of the applicable jurisdiction must 
sign the document. 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 disabled 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 explain his reasons for 
believing that such statements are true.
    (g) It is unnecessary to sign applications, amendments, and related 
statements of fact under oath. However, willful false statements are 
punishable by a fine and imprisonment, 18 U.S.C. 1001, and by 
administrative sanctions.



Sec. 1.10012  When can I file on IBFS?

    IBFS is available 24 hours a day, seven (7) days a week for filing.



Sec. 1.10013  How do I check the status of my application after I file it?

    You can check the status of your application through the ``Search 
Tools'' on the IBFS homepage. The IBFS homepage is located at 
www.fcc.gov/ibfs.

[[Page 441]]



Sec. 1.10014  What happens after officially filing my application?

    (a) We give you an IBFS file number.
    (b) We electronically route your application to an analyst who 
conducts an initial review of your application. If your application is 
incomplete, we will either dismiss the application, or contact you by 
telephone, letter or email to ask for additional information within 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 application without 
prejudice, so that you may file again with a complete application.
    (c) If your application is complete, and we verify receipt of your 
payment, it will appear on an ``Accepted for Filing'' Public Notice, 
unless public notice 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 depending upon the type of application.
    (1) Certain applications do not have to go on an ``Accepted for 
Filing'' Public 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. Examples include pro forma 
notifications of transfer of control and assignment and certain foreign 
carrier notifications.
    (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          FCN-xxxxx
 Notification.
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 application may undergo legal, 
technical and/or financial review as deemed necessary. In addition, some 
applications require coordination with other government agencies.
    (e) After review, we decide whether to grant or deny applications or 
whether to take other necessary action. Grants, denials and any other 
necessary actions are noted in the IBFS database. Some filings may not 
require any affirmative action, such as some Foreign Carrier Affiliation 
Notification Filings. Other filings, such as some International Section 
214 Applications, International Accounting Rate Change Filings and 
Requests for assignment of Data Network Identification Codes, may be 
granted automatically on a specific date unless the applicant is 
notified otherwise prior to that date, as specified in the rules.
    (f) We list most actions taken on public notices. Each ``Action 
Taken'' 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.............  No action taken PN released
Foreign Carrier Affiliation          No action taken PN released
 Notification.
International High Frequency.......  IHF-xxxxx
International Public Fixed.........  IPF-xxxxx

[[Page 442]]

 
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 followed 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 
applications handled through IBFS and granted by the Commission result 
in the issuance of a paper license or authorization. A list of 
application types and their corresponding authorizations follows.

------------------------------------------------------------------------
                                        Type of license/authorization
        Type of application                         issued
------------------------------------------------------------------------
325-C Application..................  FCC permit mailed to permittee or
                                      contact, as specified in the
                                      application.
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     Letter confirming the grant of a
 Filing.                              new DNIC or the reassignment of an
                                      existing DNIC is mailed to the
                                      applicant or its designated
                                      representative.
Foreign Carrier Affiliation          No authorizing document is issued
 Notification.                        by the Commission. In some cases,
                                      a Commission order may be issued
                                      related to a Foreign Carrier
                                      Affiliation Notification.
International High Frequency:
    Construction Permits,..........  For all applications, an original,
    Licenses,......................   stamped authorization is issued to
    Modifications,.................   the applicant and a copy of the
    Renewals, and..................   authorization is sent to the
    Transfers of Control/Assignment   specified contact.
     of License.
International Public Fixed:
    1. Construction Permits........  1. Once the operating license is
                                      granted, the construction period
                                      therein is specified as a
                                      condition on the license.
    2. Request for Special           2. Letter, grant-stamped request,
     Temporary Authority.             or short order.
    3. New Authorization...........  3. License issued and mailed to
                                      applicant (original) and specified
                                      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 specified
                                      contact (copy).
    6. Renewal.....................  6. License issued and mailed to
                                      applicant (original) and specified
                                      contact (copy).
    7. Transfer of Control/          7. If granted, Form A-732
     Assignment of License.           authorization issued and mailed to
                                      applicant (original), parties to
                                      the transaction, and the
                                      applicant'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 Applicant
                                      advising of their decision.
Satellite Space Station:
    1. Request for Special           1. Letter, grant-stamped request,
     Temporary Authority.             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/          5. Generally issued by Commission
     Assignment of License.           Order or Public Notice. Also, Form
                                      A-732 authorization issued and
                                      mailed to applicant (original),
                                      parties to the transaction, and
                                      the applicant's specified contact
                                      (copy).
Satellite Earth Station:
    1. Request for Special           1. Letter, grant-stamped request,
     Temporary Authority.             or short order.
    2. New Authorization...........  2. License issued and mailed to
                                      applicant (original) and specified
                                      contact (copy).
    3. Amendment...................  3. If granted, the action is
                                      incorporated into the license for
                                      the underlying application.

[[Page 443]]

 
    4. Modification................  4. License issued and mailed to
                                      applicant (original) and specified
                                      contact (copy).
    5. Renewal.....................  5. License issued and mailed to
                                      applicant (original) and specified
                                      contact (copy).
    6. Transfer of Control/          6. If granted, Form A-732
     Assignment of License.           authorization issued and mailed to
                                      applicant (original), parties to
                                      the transaction, and the
                                      applicant's specified contact
                                      (copy).
International Telecommunications--
 Section 214:
    1. Streamlined (New, Transfer    1. Action Taken Public Notice
     of Control, Assignment).         serves as the authorization
                                      document. 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,         2. Decisions are generally issued
     Transfer of Control,             by PN; some are done by Commission
     Assignment).                     Order.
    3. Request for Special           3. Letter, grant-stamped request
     Temporary Authority.             issued to applicant.
International Signaling Point Code   Letter issued to applicant.
 Filing.
Submarine Cable Landing License
 Application:
    1. Streamlined (New, Transfer    1. Action Taken Public Notice
     of Control, Assignment).         serves as the authorization
                                      document. 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/.
    2. Non-Streamlined (New,         2. Decisions are generally issued
     Transfer of Control,             by PN; some are done by Commission
     Assignment).                     Order.
------------------------------------------------------------------------



Sec. 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 
emergency;
    (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 renewal applications from existing licensees 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 requests, as described in this 
section, are as specified in Sec. Sec. 25.120 and 63.25 of this 
chapter.



Sec. 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 request.
    (b) For specific information on the content of your request, refer 
to Sec. Sec. 25.120 and 63.25 of this chapter.



Sec. 1.10017  How can I submit additional information?

    In response to an official request for information from the 
International Bureau, you can submit additional information 
electronically directly to the requestor, or by mail to the Office of 
the Secretary, Attention: International Bureau.



Sec. 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.

[[Page 444]]

  Appendix A to Part 1--A Plan of Cooperative Procedure in Matters and 
 Cases Under the Provisions of Section 410 of the Communications 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 Federal Communications Commission, hereinafter 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 members 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 conferences by 
the Federal Commission with State commissions regarding the relationship 
between rate structures, accounts, charges, practices, classifications, 
and regulations of carriers subject to the jurisdiction of such State 
commissions and of said Federal 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 referred 
to a board, and what matters should be heard at a joint hearing of State 
commissions and the Federal Commission. It is understood, therefore, 
that the Federal Commission or any State commission will freely suggest 
cooperation with respect to any proceedings or matter affecting any 
carrier subject to the jurisdiction of said Federal Commission and of a 
State commission, and concerning which it is believed that cooperation 
will be in the public interest.
    To enable this to be done, whenever a proceeding shall be instituted 
before any commission, Federal or State, in which another commission is 
believed to be interested, notice should be promptly given each such 
interested commission by the commission before which the proceeding has 
been instituted. 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 made the subject 
matter of cooperative action, if cooperation therein is deemed 
desirable.
    It is understood that each commission whether or not represented in 
the National Association of Railroad and Utilities Commissioners, 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 Federal Commission, is accordingly recommendatory 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 involving the rates of any telephone or telegraph carrier, 
the State commissions of the States affected thereby will be notified 
immediately thereof by the Federal Commission, and each notice given a 
State commission 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 Railroad and Utilities Commissioners, notify the Federal 
Commission as to the nature of its interest in said matter and request a 
conference, 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 Commission 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 cooperation 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 
jurisdiction of the Federal Commission.

[[Page 445]]

                  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 conference 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 member or members from the State or States 
affected or to be affected by such matter, the procedure shall be as 
follows:
    The Federal Commission will send a request to each interested State 
commission to nominate a specified number of members to serve on such 
board.
    The representation of each State concerned 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 matter 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 proceedings shall be 
conducted. The rules of practice and procedure, as from time to time 
adopted or prescribed by the Federal Commission, 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 the proceeding, the State commissions interested, are 
invited to name Cooperating Commissioners to sit with the Federal 
Commission 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 association, 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 requesting such advice (1) whether such commission 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 
represented, 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 association is invited to name a cooperating 
committee 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 accepted 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 accept or to decline said invitation for the association, 
and to determine the number of commissioners who shall be named on the 
cooperating committee, provided that his action 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 
executive 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 expressions of opinion may be by mail 
or telegraph.
    (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 
second vice presidents, or any two of them, consider should be made a 
cooperating proceeding, they may instruct the general solicitor to 
suggest to the Federal Commission that the proceeding be made a 
cooperative proceeding; and any State commission considering that said 
proceeding should be made

[[Page 446]]

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 cooperating committee, as is provided in other 
cases involving more than eight States, wherein the Federal Commission 
has invited cooperation, and the invitation has been accepted.
    (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 
Federal Commission accedes to such suggestion, it will notify the 
general solicitor of the association 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 commissions of the 
States interested in the particular 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 cooperating 
committees by reason of their ability and fitness; and in no case shall 
he appoint a commissioner upon a cooperating committee until he shall 
have been advised by such commissioner that it will be practicable 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 
proceeding, 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 cooperative 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 selected by the president of the association to 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 member of a cooperating committee in any proceeding, shall 
without further appointment, and without regard to the duration of time 
involved, continue to serve in said proceeding 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 designate 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 cooperating committee, in a 
proceeding involving 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 communication with the chairman of the cooperating committee, it 
be deemed necessary to fill such vacancy.
    (e) In the event of any such vacancy occurring 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 respecting 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 desirable 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 
association, 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 nonconcurrence of said cooperating committee in the 
decision or order of said Federal Commission.

       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 hereinbefore 
provided because of nonmembership in the association. With respect to 
any such State or States, all negotiations herein specified to be 
carried on between the Federal

[[Page 447]]

Commission and any officer of such association shall be conducted by the 
Federal Commission 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]



PART 2_FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL RULES AND 
REGULATIONS--Table of Contents




                          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 Nomenclature of frequencies.
2.102 Assignment of frequencies.
2.103 Government use of non-Government frequencies.
2.104 International Table of Frequency Allocations.
2.105 United States Table of Frequency Allocations.
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 transmission 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 stations.

       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 distress.
2.405 Operation during emergency.
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 device 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 Instructional Television Fixed 
          Service.
2.815 External radio frequency power amplifiers.

              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 Commission.
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; application 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 equipment authorization.
2.941 Availability of information relating to grants.

[[Page 448]]

2.943 Submission of equipment for testing.
2.944 Submission of radio software.
2.945 Sampling tests of equipment compliance.
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 investigated.
2.1060 Equipment for use in the amateur radio service.

                        Declaration of Conformity

2.1071 Cross reference.
2.1072 Limitation on Declaration of Conformity.
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.

                    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 characteristics.
2.1515 Spectral measurements.

                  Data Recording/Reporting Requirements

2.1517 Data recording/reporting requirements.

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



Sec. 2.1  Terms and definitions.

    (a) Where a term or definition appears in this part of the 
Commission's Rules, it shall be the definitive term or

[[Page 449]]

definition and shall prevail throughout the Commission's Rules.
    (b) The source of each definition is indicated as follows:

CONV--International Telecommunication Convention, Malaga-Torremolinos, 
1973.
RR--Radio Regulations, Geneva, 1982.
FCC--Federal Communications Commission.

    (c) The following terms and definitions are issued:
    Accepted Interference. \1\ Interference at a higher level than 
defined as permissible interference and which has been agreed upon 
between two or more administrations without prejudice to other 
administrations. (RR)
---------------------------------------------------------------------------

    \1\ The terms permissible interference and accepted interference are 
used in the coordination of frequency assignments between 
administrations.
---------------------------------------------------------------------------

    Active Satellite. A satellite carrying a station intended to 
transmit or retransmit radio communication signals. (RR)
    Active Sensor. A measuring instrument in the earth exploration-
satellite service or in the space research service by means of which 
information is obtained by transmission and reception of radio waves. 
(RR)
    Administration. Any governmental department or service responsible 
for discharging the obligations undertaken in the Convention of the 
International Telecommunication Union and the Regulations. (CONV)
    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 a feeder 
link for the aeronautical mobile-satellite service. (RR)
    Aeronautical Fixed Service. A radio communication service between 
specified fixed points provided primarily for the safety of air 
navigation and for the regular, efficient and economical 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, including those relating to flight 
coordination, primarily outside national or international civil air 
routes. (RR)
    Aeronautical Mobile Route (R) Service. An aeronautical mobile 
service reserved for communications relating to safety and regularity of 
flight, primarily along national or international civil air routes. (RR)
    Aeronautical Mobile-Satellite Off-Route (OR) Service. An 
aeronautical mobile-satellite service intended for communications, 
including those relating to flight coordination, primarily outside 
national and international civil air routes. (RR)
    Aeronautical Mobile-Satellite Route (R) Service. An aeronautical 
mobile-satellite service reserved for communications 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 mobile earth stations are located on board aircraft; survival 
craft stations and emergency position-indicating radiobeacon stations 
may also participate in this service. (RR)
    Aeronautical Mobile Service. A mobile service between aeronautical 
stations and aircraft stations, or between aircraft stations, in which 
survival craft stations may participate; emergency position-indicating 
radiobeacon stations may also participate in this service on designated 
distress and emergency frequencies. (RR)
    Aeronautical Radionavigation-Satellite Service. A radionavigation-
satellite service in which earth stations are located 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-satellite service located on board an aircraft. (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

[[Page 450]]

of a given frequency band for the purpose of its use by one or more 
terrestrial or space radio communication 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 designated frequency channel in an agreed plan, adopted by a 
competent conference, for use by one or more administrations for a 
terrestrial or space radio communication service in one or more 
identified countries or geographical area and under specified 
conditions. (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 radio communication service using space 
stations on earth satellites for the same purposes as those of the 
amateur service. (RR)
    Amateur Service. A radio communication service for the purpose of 
self-training, intercommunication 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)
    Assigned Frequency Band. The frequency band within which the 
emission of a station is authorized; the width of the band equals the 
necessary bandwidth plus twice the absolute value of the frequency 
tolerance. Where space stations are concerned, the assigned frequency 
band includes twice the maximum 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 specified 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 radio communication service in 
which signals transmitted or retransmitted by space stations are 
intended for direct reception by the general public.

    Note: In the broadcasting-satellite service, the term direct 
reception shall encompass both individual reception and community 
reception. (RR)

    Broadcasting Service. A radio communication service in which the 
transmissions are intended for direct reception by the general public. 
This service may include sound transmissions, television transmissions 
or other types of transmission. (CONV)
    Broadcasting Station. A station in the broadcasting service. (RR)
    Carrier Power (of a radio transmitter). The average power supplied 
to the antenna transmission line by a transmitter 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 example, be designated as the 
characteristic frequency. (RR)

    Class of Emission. The set of characteristics of an emission, 
designated by standard symbols, e.g., type of modulation, modulating 
signal, type of information 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 broadcasting-satellite service). The 
reception of emissions from a space station in the broadcasting-
satellite service by receiving equipment, which in some

[[Page 451]]

cases may be complex and have antennae larger than those for individual 
reception, and intended for use: (1) by a group of the general public at 
one location; or (2) through a distribution system covering a limited 
area. (RR)
    Coordinated Universal Time (UTC). Time scale, based on the second 
(SI), as defined and recommended by the CCIR, 2 and 
maintained by the Bureau International de l'Heure (BIH).
---------------------------------------------------------------------------

    \2\ The full definition is contained in CCIR Recommendation 460-2.

    Note: For most practical purposes associated with the Radio 
Regulations, UTC is equivalent to mean solar time at the prime meridian 
---------------------------------------------------------------------------
(0 degrees longitude), formerly expressed in GMT. (RR)

    Coordination Area. The area associated with an earth station outside 
of which a terrestrial station sharing the same frequency band neither 
causes nor is subject to interfering emissions greater than a 
permissible level. (RR)
    Coordination Contour. The line enclosing the coordination area. (RR)
    Coordination Distance. Distance on a given azimuth from an earth 
station beyond which a terrestrial causes nor is subject to interfering 
emissions greater than a permissible level. (RR)
    Deep Space. Space at distance from the Earth equal to, or greater 
than, 2x10\6\ 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 information) 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 
simultaneously in both directions of a telecommunication channel. \3\ 
(RR)
---------------------------------------------------------------------------

    \3\ In general, duplex operation and semi-duplex operation require 
two frequencies in radio communication; simplex operation may use either 
one or two.
---------------------------------------------------------------------------

    Earth Exploration-Satellite Service. A radio communication service 
between earth stations and one or more space stations, which may include 
links between space stations in which:
    (1) Information relating to the characteristics of the Earth and its 
natural phenomena is obtained from active sensors or passive sensors on 
earth satellites;
    (2) Similar information is collected from air-borne or earth-based 
platforms;
    (3) Such information may be distributed to earth stations within the 
system concerned;
    (4) Platform interrogation may be included.

    Note: This service may also include feeder links necesary for its 
operation. (RR)

    Earth Station. A station located either on the earth's surface or 
within the major portion of earth's atmosphere 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 reflecting 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 Radiobeacon Station. A station in the 
mobile service the emissions of which are intended 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 relative to an isotropic antenna. (RR)

[[Page 452]]

    Equivalent Monopole Radiated Power (e.m.r.p.) (in a given 
direction). The product of the power supplied to the antenna and its 
gain relative to a short vertical antenna in a given direction. (RR)
    Equivalent Satellite Link Noise Temperature. The noise temperature 
referred to the output of the receiving antenna of the earth station 
corresponding to the radio-frequency noise power which produces the 
total observed noise at the output of the satellite link excluding the 
noise due to interference coming from satellite links using other 
satellites and from terrestrial systems. (RR)
    Experimental Station. A station utilizing 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.

    Note: In this definition the term telegraphy has the same general 
meaning as defined in the Convention. (RR)

    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 
radio communication service other than for the fixed-satellite service. 
The given location may be at a specified fixed point, or at any fixed 
point within specified areas. (RR)
    Fixed-Satellite Service. A radio communication 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 
specified areas; in some cases this service includes satellite-to-
satellite links, which may also be operated in the inter-satellite 
service; the fixed-satellite service may also include feeder links for 
other space radio communication services. (RR)
    Fixed Service. A radio communication service between specified fixed 
points. (RR)
    Fixed Station. A station in the fixed service. (RR)
    Frequency Hopping Systems. A spread spectrum system in which the 
carrier is modulated with the coded information in a conventional manner 
causing a conventional spreading of the RF energy about the frequency 
carrier. The frequency of the carrier is not fixed but changes at fixed 
intervals under the direction 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 direction and magnitude 
of change in the hop set.
    Frequency-Shift Telegraphy. Telegraphy by frequency modulation in 
which the telegraph signal shifts the frequency of the carrier between 
predetermined values. (RR)
    Frequency Tolerance. The maximum permissible departure by the centre 
frequency of the frequency band occupied by an emission from the 
assigned frequency or, by the characteristic frequency of an emission 
from the reference frequency.

    Note: The frequency tolerance is expressed in parts in 10\6\ 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, usually expressed in decibels, of the 
power required at the input of a loss free reference 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 
specified polarization.

    Note: Depending on the choice of the reference antenna a distinction 
is made between:
    (1) Absolute or isotropic gain (Gi), when the reference antenna is 
an isotropic antenna isolated in space;
    (2) Gain relative to a half-wave dipole (Gd), when the reference 
antenna is a half-wave

[[Page 453]]

dipole isolated in space whose equatorial plane contains the given 
direction;
    (3) Gain relative to a short vertical antenna (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 mobile service that includes all 
mobile communications uses including those within the Aeronautical 
Mobile, Land Mobile, or the Maritime Mobile Services.
    Geostationary Satellite. A geosynchronous 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 satellite which 
remains 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)
    Geosynchronous Satellite. An Earth satellite whose period of 
revolution is equal to the period of rotation of the Earth about its 
axis. (RR)
    Harmful Interference 4. Interference which endangers the 
functioning of a radionavigation service or of other safety services or 
seriously degrades, obstructs, or repeatedly interrupts a radio 
communication service operating in accordance with these [international] 
Radio Regulations. (RR)
---------------------------------------------------------------------------

    \4\ See Resolution 68 of the Radio Regulations.
---------------------------------------------------------------------------

    Hybrid Spread Spectrum Systems. Hybrid 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 satellite). The angle 
determined by the plane containing the orbit and the plane of the 
Earth's equator. (RR)
    Individual Reception (in the broadcasting-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 antennae. (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 
embodied in the instrument landing system which indicates the vertical 
deviation of the aircraft from its optimum path of descent. (RR)
    Instrument Landing System Localizer. A system of horizontal guidance 
embodied in the instrument landing system which indicates the horizontal 
deviation of the aircraft from its optimum path of descent along the 
axis of the runway. (RR)
    Interference. The effect of unwanted energy due to one or a 
combination of emissions, radiations, or inductions upon reception in a 
radio communication system, manifested by any performance degradation, 
misinterpretation, or loss of information which could be extracted in 
the absence of such unwanted energy. (RR)
    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-satellite service capable of surface movement within the 
geographical limits of a country or continent. (RR)
    Land Mobile-Satellite Service. A mobile-satellite service in which 
mobile earth stations are located on land. (RR)
    Land Mobile Service. A mobile service between base stations and land 
mobile

[[Page 454]]

stations, or between land mobile stations. (RR)
    Land Mobile Station. A mobile station in the land mobile service 
capable of surface movement within the geographical limits of a country 
or continent.
    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-polarized 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, Washington running 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 southernmost 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 intersection with meridian 82[deg] W., 
thence by great circle arc through the southernmost point of Bangor, 
Maine, thence by great circle arc through the southernmost point of 
Searsport, Maine, at which point it terminates. (FCC)
    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[min] W., thence by great circle 
arc through the northernmost point of Drummondville, Quebec (Lat. 
45[deg]52[min] N., Long 72[deg]30[min] W.), thence by great circle arc 
to 48[deg]30[min] N., 70[deg] W., thence by great circle arc through the 
northernmost point of Compbellton, N.B., thence by great circle are 
through the northernmost point of Liverpool, N.S., at which point it 
terminates. (FCC)
    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 include all of the Alaskan 
Panhandle. (FCC)
    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[min] N., 
139[deg] W. (Burwash Landing), thence by great circle arc to the 
intersection of 60[deg]45[min] 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 
intersection of 54[deg] N., 130[deg] 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 mobile earth stations are located on board ships; survival craft 
stations and emergency 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 
communication stations; survival craft stations and emergency position-
indicating radiobeacon stations may also participate in this service. 
(RR)
    Maritime Radionavigation-Satellite Service. A radionavigation-
satellite service in which earth stations are located on board ships. 
(RR)
    Maritime Radionavigation Service. A radionavigation service intended 
for the benefit and for the safe operation of ships. (RR)
    Marker Beacon. A transmitter in the aeronautical radionavigation 
service which radiates vertically a distinctive pattern for providing 
position information to aircraft. (RR)
    Mean Power (of a radio transmitter). The average power supplied to 
the antenna transmission line by a transmitter during an interval of 
time sufficiently long compared with the lowest frequency encountered in 
the modulation taken under normal operating conditions. (RR)
    Meteorological Aids Service. A radio communication 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 radio communication service:

[[Page 455]]

    (1) Between mobile earth stations and one or more space stations, or 
between space stations used by this service; 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 radio communication service between mobile and 
land stations, or between mobile stations. (CONV)
    Mobile Station. A station in the mobile service intended to be used 
while in motion or during halts at unspecified points. (RR)
    Multi-Satellite Link. A radio link between a transmitting earth 
station and a receiving earth station through two or more satellites, 
without any intermediate earth station.

    Note: A multisatellite link comprises one up-link, one or more 
satellite-to-satellite links and one down-link. (RR)

    Necessary Bandwidth. For a given class of emission, the width of the 
frequency band which is just sufficient to ensure the transmission of 
information at the rate and with the quality required under specified 
conditions. (RR)

    Non-Voice, Non-Geostationary Mobile-Satellite Service. A mobile-
satellite service reserved for use by non-geostationary 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 
maritime mobile service intended for use for internal communications on 
board a ship, or between a ship and its lifeboats and life-rafts during 
lifeboat drills or operations, or for communication 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 specified frame of reference, 
described by the centre of mass of a satellite or other object in space 
subjected primarily to natural forces, mainly the force of gravity. (RR)
    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 instrument in the earth exploration-
satellite service or in the space research service by means of which 
information is obtained by reception of radio waves of natural origin. 
(RR)
    Peak Envelope Power (of a radio transmitter). The average power 
supplied to the antenna transmission line by a transmitter during one 
radio frequency cycle at the crest of the modulation envelope taken 
under normal operating conditions. (RR)
    Period (of a satellite). The time elapsing between two consecutive 
passages of a satellite through a characteristic point on its orbit. 
(RR)
    Permissible Interference. Observed or predicted interference which 
complies with quantitative interference and sharing criteria contained 
in these [international Radio] Regulations or in CCIR Recommendations or 
in special agreements as provided for in these Regulations. (RR)
    Port Operations Service. A maritime mobile service in or near a 
port, between coast stations and ship stations, or between ship 
stations, in which messages are restricted to those relating to the 
operational handling, the movement and the safty of ships and, in 
emergency, to the safety of persons.

    Note: Messages which are of a public correspondence 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 emission, using the arbitrary symbols indicated:
    (1) Peak envelope power (PX or pX);
    (2) Mean power (PY or pY);

[[Page 456]]

    (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 CCIR 
Recommendations 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 
decibels relative to a reference level. (RR)

    Primary Radar. A radiodetermination system based on the comparison 
of reference signals with radio signals reflected from the position to 
be determined. (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 specified reception quality of 
the wanted signal is achieved at the receiver output. (RR)
    Public Correspondence. Any telecommunication which the offices and 
stations must, by reason of their being at the disposal of the public, 
accept for transmission. (CONV)
    Pulsed FM Systems. A pulsed FM system is a spread spectrum system in 
which a RF carrier is modulated with a fixed period and fixed duty cycle 
sequence. At the beginning of each transmitted pulse, the carrier 
frequency is frequency modulated causing an additional spreading of the 
carrier. The pattern of the frequency modulation will depend upon the 
spreading function 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 transmitter-receiver associated with a fixed 
navigational mark which, when triggered by a radar, automatically 
returns a distinctive signal which can appear on the display of the 
triggering radar, providing range, bearing and identification 
information. (RR)
    Radiation. The outward flow of energy from any source in the form of 
radio waves. (RR)
    Radio. A general term applied to the use of radio waves. (CONV)
    Radio Altimeter. Radionavigation equipment, on board an aircraft or 
spacecraft or the spacecraft above the 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 involving 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 mobile station to determine 
its bearing or direction in relation to radiobeacon station. (RR)
    Radiocommunication. Telecommunication by means of radio waves. 
(CONV)
    Radiocommunication Service. A service as defined in this Section 
involving the transmission, emission and/or reception of radio waves for 
specific telecommunication purposes.

    Note: In these [international] Radio Regulations, unless otherwise 
stated, any radio communication service relates to terrestrial radio 
communication. (RR)

    Radiodetermination. The determination 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 radio communication service 
for the purpose of radiodetermination involving the use or one of more 
space stations. This service may also include feeder links necessary for 
its own operation. (RR)
    Radiodetermination Service. A radio communication service for the 
purpose of radiodetermination. (RR)
    Radiodetermination Station. A station in the radiodetermination 
serviice. (RR)
    Radio Direction-Finding. Radiodetermination using the reception of 
radio waves for the purpose of determining the direction of a station or 
object. (RR)

[[Page 457]]

    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 intended to be used while in motion. (RR)
    Radiolocation Mobil Station. A station in the radiolocation service 
intended to be used while in motion or during halts at unspecified 
points. (RR)
    Radiolocation Service. A radiodetermination service for the purpose 
of radiolocation. (RR)
    Radionavigation. Radiodetermination used for the purposes of 
navigation, including obstruction warning.
    Radionavigation Land Station. A station in the radionavigation 
service not intended to be used while in motion. (RR)
    Radionavigation Mobile Station. A station in the radionavigation 
service intended 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 radionavigation. This service may also 
include feeder links necessary for its operation. (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, originating in or intended for a mobile 
station or a mobile earth station transmitted on all or part of its 
route over the radio communication channels of the mobile service or of 
the mobile-satellite 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 radio communication channels of the mobile 
service or of the mobile-satellite service. (RR)
    Radiotelex Call. A telex call, originating in or intended for a 
mobile station or a mobile earth station, transmitted on all or part of 
its route over the radio communication channels of the mobile service or 
the mobile-satellite service. (RR)
    Radio Waves or Hertzian Waves. Electromagnetic waves of frequencies 
arbitrarily lower than 3,000 GHz, propagated in space without 
aritificial guide. (RR)
    Reduced Carrier Single-Sideband Emission. 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 having a fixed and specified 
position with respect to the assigned frequency. The displacement of 
this frequency with respect to the assigned frequency has the same 
absolute value and sign that the displacement of the characteristic 
frequency has with respect to the centre of the frequency band occupied 
by the emission. (RR)
    Reflecting Satellite. A satellite intended to reflect radio 
communication signals. (RR)
    Right-Hand (or Clockwise) Polarized Wave. An Elliptically or 
circularly-polarized wave, in which the electric field vector, observed 
in any fixed plane, normal to the direction of propagation, whilst 
looking in the direction of propagation, rotates with time in a right-
hand or clockwise direction. (RR)
    Safety Service. Any radio communication service used permanently or 
temporarily for the safeguarding of human life and property. (CONV)
    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 receiving earth station through one satellite. A satellite link 
comprises one up-link and one down-link. (RR)
    Satellite Network. A satellite system or a part of a satellite 
system, consisting of only one satellite and the cooperating earth 
stations. (RR)

[[Page 458]]

    Satellite System. A space system using one or more artificial earth 
satellites. (RR)
    Secondary Radar. A radiodetermination system based on the comparison 
of reference signals with radio signals retransmitted from the position 
to be determined. (RR)
    Semi-Duplex Operation. A method which is simplex operation at one 
end of the circuit and duplex operation at the other.3 (RR)
    Ship Earth Station. A mobile earth station in the maritime mobile-
satellite service located on board ship. (RR)
    Ship Movement Service. A safety service in the maritime mobile 
service other than a port operations service, between coast stations and 
ship stations, or between ship stations, in which messages are 
restricted to those relating to the movement of ships. Messages which 
are of a public correspondence 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 permanently 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 example, by means of manual control. 5 (RR)
---------------------------------------------------------------------------

    \5\ (See footnote under Duplex Operations.)
---------------------------------------------------------------------------

    Single-Sideband Emission. An amplitude modulated emission with one 
sideband only. (RR)
    Software defined radio. A radio that includes a transmitter in which 
the operating parameters of frequency range, modulation type or maximum 
output power (either radiated or conducted) can be altered by making a 
change in software without making any changes to hardware components 
that affect the radio frequency emissions.
    Spacecraft. A man-made vehicle which is intended to go beyond the 
major portion of the Earth's atmosphere. (RR)
    Space Operation Service. A radio communication service concerned 
exclusively with the operation of spacecraft, in particular space 
tracking, space telemetry, and space telecommand.

    Note: These functions will normally be provided within the service 
in which the space station is operating. (RR)

    Space Radiocommunication. Any radio communication 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 radio communication service in which 
spacecraft or other objects in space are used for scientific or 
technological research 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 atmosphere. (RR)
    Space System. Any group of cooperating Earth stations and/or space 
stations employing space radio communication for specific purposes. (RR)
    Space Telecommand. The use of radio communication for the 
transmission 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 position 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 radio communication service, not otherwise 
defined in this Section, carried on exclusively for specific needs of 
general utility, and not open to public correspondence. (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 conventional means, (2) the bandwidth is 
deliberately widened by means of a

[[Page 459]]

spreading function over that which would be needed to transmit the 
information alone. (In some spread spectrum systems, a portion of the 
information being conveyed by the system may be contained in the 
spreading function.)
    Spurious Emission. Emission on a frequency or frequencies which are 
outside the necessary bandwidth and the level of which may be reduced 
without affecting the corresponding transmission of information. 
Spurious emissions include harmonic emissions, parasitic emissions, 
intermodulation products and frequency conversion products, but exclude 
out-of-band emissions. (RR)
    Standard Frequency and Time Signal-Satellite Service. A radio 
communication 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 radio communication 
service for scientific, technical and other purposes, 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 frequency and time signal service. (RR)
    Station. One or more transmitters or receivers or a combination of 
transmitters and receivers, including the accessory equipment, necessary 
at one location for carrying on a radio communication service, or the 
radio astronomy service.

    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 suppressed and not intended 
to be used for demodulation. (RR)
    Survival Craft Station. A mobile station in the maritime mobile 
service or the aeronautical mobile service intended solely for survival 
purposes and located on any lifeboat, life-raft or other survival 
equipment. (RR)
    Telecommand. The use of telecommunication 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, writing, images and sounds or intelligence of any nature by 
wire, radio, optical or other electromagnetic systems. (CONV)
    Telegram. Written matter intended to be transmitted by telegraphy 
for delivery to the addressee. This term also includes radiotelegrams 
unless otherwise specified.

    Note: In this definition the term telegraphy has the same general 
meaning as defined in the Convention. (CONV)

    Telegraphy. A form of telecommunication which is concerned in any 
process providing transmission and reproduction at a distance of 
documentary matter, such as written or printed matter or fixed images, 
or the reproduction at a distance of any kind of information in such a 
form. For the purposes of the [international] Radio Regulations, unless 
otherwise specified therein, telegraphy shall mean a form of 
telecommunication for the transmission of written matter by the use of a 
signal code. \6\ (RR)
---------------------------------------------------------------------------

    \6\ (See footnote under Harmful Interference)
---------------------------------------------------------------------------

    Telemetry. The use of telecommunication for automatical indicating 
or recording measurements at a distance from the measuring instrument. 
(RR)
    Telephony. A form of telecommunication set up for the transmission 
of speech or, in some cases, other sounds. \7\ (RR)
---------------------------------------------------------------------------

    \7\ (See footnote under Harmful Interference)
---------------------------------------------------------------------------

    Television. A form of telecommunication for the transmission of 
transient images of fixed or moving objects. (RR)
    Terrestrial Radiocommunication. Any radio communication other than 
space radio communication or radio astronomy. (RR)
    Terrestrial Station. A station effecting terrestrial radio 
communication.

    Note: In these [international Radio] Regulations, unless otherwise 
stated, any station is a terrestrial station. (RR)


[[Page 460]]


    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 control of a coded sequence. 
Time hopping is often used effectively with frequency hopping to form a 
hybrid time-division, multiple-access (TDMA) spread spectrum 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 troposphere. (RR)
    Unwanted Emissions. Consist of spurious emissions and out-of-band 
emissions. (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, 2004]



     Subpart B_Allocation, Assignment, and Use of Radio Frequencies

    Source: 49 FR 2373, Jan. 19, 1984, unless otherwise noted.



Sec. 2.100  International regulations in force.

    The International Radiocommunication Union Radio Regulations, 
Edition of 2001, became effective internationally on January 1, 2002, 
except as provided in the references in Article 59.

[67 FR 59601, Sept. 23, 2002]



Sec. 2.101  Nomenclature of frequencies.

------------------------------------------------------------------------
                                       Frequency
            Band No.                  subdivision       Frequency range
------------------------------------------------------------------------
4...............................  VLF (very low       Below 30 kHz.
                                   frequency).
5...............................  LF (low frequency)  30 to 300 kHz.
6...............................  MF (medium          300 to 3000 kHz.
                                   frequency).
7...............................  HF (high            3 to 30 MHz.
                                   frequency).
8...............................  VHF (very high      30 to 300 MHz.
                                   frequency).
9...............................  UHF (ultra high     300 to 3000 MHz.
                                   frequency).
10..............................  SHF (super high     3 to 30 GHz.
                                   frequency).
11..............................  EHF (extremely      30 to 300 GHz
                                   high frequency).
12..............................  ..................  300 to 3000 GHz.
------------------------------------------------------------------------



Sec. 2.102  Assignment of frequencies.

    (a) Except as otherwise provided in this section, the assignment of 
frequencies 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 400 GHz, and the actual use of such 
frequencies for radio communication or for any other purpose, including 
the transfer of energy by radio, shall be in accordance with the Table 
of Frequency Allocations in Sec. 2.106.
    (b) On the condition that harmful interference will not be caused to 
services operating in accordance with the Table of Frequency Allocations 
the following exceptions to paragraph (a) of this section may be 
authorized:
    (1) In individual cases the Commission may, without rule making 
proceedings, authorize on a temporary basis only, the use of frequencies 
not in accordance with the Table of Frequency 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 
employed by services set forth in column 5 of the Table of Frequency 
Allocations may be authorized the use of frequencies allocated to those 
services or classes of stations.
    (3) Experimental stations pursuant to part 5, may be authorized the 
use of any frequency or frequency band not exclusively allocated 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 Commission may provide 
for the further interim use of the band by stations in that service for 
a temporary, specific period of time.

[[Page 461]]

    (c) Non-Government stations may be authorized to use Government 
frequencies in the bands above 25 MHz if the Commission finds, after 
consultations with the appropriate Government agency or agencies, that 
such use is necessary for coordination of Government and non-Government 
activities: Provided, however, that:
    (1) Non-Government operation on Government frequencies shall conform 
with the conditions agreed upon by the Commission and the National 
Telecommunications and Information Administration (NTIA) (the more 
important of which are contained in paragraphs (c) (2), (3), and (4) of 
this section);
    (2) Such operations shall be in accordance with NTIA rules governing 
the service to which the frequencies involved are allocated;
    (3) Such operations shall not cause harmful interference to 
Government stations and, should harmful interference result, that the 
interfering non-Government operation shall immediately terminate; and
    (4) Non-Government operation has been certified as necessary by the 
Government agency involved and this certification has been furnished, in 
writing, to the non-Government licensee with which communication is 
required.
    (d) Aircraft stations may communicate with stations of the maritime 
mobile service. They shall then conform to those provisions of the 
international 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 frequencies 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 stations 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 between administrations in 
that Region.
    (e) Non-Government services operating on frequencies in the band 25-
50 MHz must recognize that it is shared with various services of other 
countries; that harmful 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 limits of a band allocated to that service as not to cause 
harmful interference to allocated services in immediately adjoining 
frequency bands.
    (g) In the bands above 25 MHz which are allocated to the non-
Government 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 accordance 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-Government 
stations.
    (1) Only in the following circumstances will authority be extended 
to stations in the fixed service to operate 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, except aeronautical fixed 
stations, only to:
    (A) Provide communication circuits in emergency and/or disaster 
situations, where safety of life and property are concerned;
    (B) Provide standby and/or backup facilities to satellite and cable 
circuits used for international public correspondence;

[[Page 462]]

    (C) Provide standby and/or backup communications circuits to regular 
domestic 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 where other means of 
telecommunication are unavailable.
    (2) Only in the following circumstances 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 
situations, where safety of life and property are concerned;
    (ii) Provide standby and/or backup communications circuits to 
regular domestic 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 
telecommunication 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 assignments made pursuant to paragraphs (h) (1)(ii) and 
(2) of this section; this results in the following constraints upon the 
circuits/assignments.
    (i) The Commission will not accept responsibility for protection of 
the circuits from harmful interference caused by foreign operations.
    (ii) In the event that a complaint of harmful interference resulting 
from operation 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 situations described in paragraphs 
(h)(3) (i) and (ii) of this section, equipments shall be capable of 
transmitting and receiving on any frequency in the bands assigned to the 
particular operation and capable of immediate change among the 
frequencies.



Sec. 2.103  Government use of non-Government frequencies.

    (a) Government stations may be authorized to use non-Government 
frequencies in the bands above 25 MHz (except the 764-776 MHz and 794-
806 MHz public safety bands) if the Commission finds that such use is 
necessary for coordination of Government and non-Government activities: 
Provided, however, that:
    (1) Government operation on non-Government frequencies shall conform 
with the conditions agreed upon by the Commission and the National 
Telecommunications and Information Administration (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 accordance with Commission rules 
governing the service to which the frequencies involved are allocated;
    (3) Such operations shall not cause harmful interference to non-
Government stations and, should harmful interference result, that the 
interfering Government operation shall immediately terminate; and
    (4) Government operation has been certified as necessary by the non-
Government licensees involved and this certification has been furnished, 
in writing, to the Government agency with which communication is 
required.
    (b) Government stations may be authorized to use channels in the 
764-776 MHz, 794-806 MHz and 4940-4990 MHz public safety bands with non-
Government entities if the Commission finds such use necessary; where:
    (1) The stations are used for interoperability or part of a 
Government/non-Government shared or joint-use system;
    (2) The Government entity obtains the approval of the non-Government 
(State/local government) licensee(s) or applicant(s) involved;
    (3) Government operation is in accordance with the Commission's 
Rules governing operation of this band and conforms with any conditions 
agreed

[[Page 463]]

upon by the Commission and the National Telecommunications and 
Information Administration; and
    (4) Interoperability, shared or joint-use systems are the subject of 
a mutual agreement between the Government and non-Government 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.

[63 FR 58650, Nov. 2, 1998, as amended at 68 FR 38638, June 30, 2003]



Sec. 2.104  International Table of Frequency Allocations.

    (a) The International Table of Frequency Allocations is subdivided 
into the Region 1 Table (column 1 of Sec. 2.106), the Region 2 Table 
(column 2 of Sec. 2.106), and the Region 3 Table (column 3 of Sec. 
2.106). The International Table is included for informational purposes 
only.
    (b) Regions. For the allocation of frequencies the International 
Telecommunication Union (ITU) has divided the world into three Regions 
\1\ as shown in Figure 1 of this section and described as follows:
---------------------------------------------------------------------------

    \1\ It should be noted that where the words ``regions'' or 
``regional'' are without a capital ``R,'' they do not relate to the 
three Regions here defined for purposes of frequency allocation.
---------------------------------------------------------------------------

    (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, Russian Federation, Georgia, Kazakstan, 
Mongolia, Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan, Turkey and 
Ukraine and the area to the north of Russian Federation which lies 
between 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, Russian Federation, Georgia, Kazakstan, Mongolia, 
Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan, Turkey and Ukraine and 
the area to the north of 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[deg] East of Greenwich to parallel 40[deg] North; thence by great 
circle arc to the intersection of meridian 60[deg] East and the Tropic 
of Cancer; thence along the meridian 60[deg] East to the South Pole.
    (ii) Line B. Line B extends from the North Pole along meridian 
10[deg] West of Greenwich to its intersection with parallel 72[deg] 
North; thence by great circle arc to the intersection of meridian 
50[deg] West and parallel 40[deg] North; thence by great circle arc to 
the intersection of meridian 20[deg] West and parallel 10[deg] South; 
thence along meridian 20[deg] 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[deg]30[min] North with the 
international boundary in Bering Strait; thence by great circle arc to 
the intersection of meridian 165[deg] East of Greenwich and parallel 
50[deg] North; thence by great circle arc to the intersection of 
meridian 170[deg] West and parallel 10[deg] North; thence along parallel 
10[deg] North to its intersection with meridian 120[deg] West; thence 
along meridian 120[deg] 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 countries, territories and groups of 
territories situated between the parallels 40[deg] South and 30[deg] 
North;
    (ii) Islands in the Indian Ocean west of meridian 60[deg] East of 
Greenwich, situated between the parallel 40[deg] South and the great 
circle arc joining the points 45[deg] East, 11[deg]30[min] North and 
60[deg] East, 15[deg] North; and
    (iii) Islands in the Atlantic Ocean east of line B, situated between 
the parallels 40[deg] South and 30[deg] North.
    (2) The ``European Broadcasting Area'' is bounded on the west by the

[[Page 464]]

western boundary of Region 1, on the east by the meridian 40[deg] East 
of Greenwich and on the south by the parallel 30[deg] North so as to 
include the northern part of Saudi Arabia and that part of those 
countries bordering the Mediterranean within these limits. In addition, 
Iraq, Jordan and that part of the territory of Syria, Turkey and Ukraine 
lying outside the above limits are included in the European Broadcasting 
Area.
    (3) The ``European Maritime Area'' is bounded to the north by a line 
extending along parallel 72[deg] North from its intersection with 
meridian 55[deg] East of Greenwich to its intersection with meridian 
5[deg] West, then along meridian 5[deg] West to its intersection with 
parallel 67[deg] North, thence along parallel 67[deg] North to its 
intersection with meridian 32[deg] West; to the west by a line extending 
along meridian 32[deg] West to its intersection with parallel 30[deg] 
North; to the south by a line extending along parallel 30[deg] North to 
its intersection with meridian 43[deg] East; to the east by a line 
extending along meridian 43[deg] East to its intersection with parallel 
60[deg] North, thence along parallel 60[deg] North to its intersection 
with meridian 55[deg] East and thence along meridian 55[deg] East to its 
intersection with parallel 72[deg] 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[deg] North and 35[deg] South with the addition of:
    (A) The area contained between the meridians 40[deg] East and 
80[deg] East of Greenwich and the parallels 30[deg] North and 40[deg] 
North; and
    (B) That part of Libya north of parallel 30[deg] North.
    (iii) In Region 2, the Tropical Zone may be extended to parallel 
33[deg] North, subject to special agreements between the countries 
concerned in that Region.
    (5) A sub-Region is an area consisting of two or more countries in 
the same Region.
    (d) Categories of services and allocations. (1) Primary and 
secondary services. Where, in a box of the International Table in Sec. 
2.106, a band is indicated as allocated to more than one service, either 
on a worldwide or Regional 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'' (example: Mobile); these are called ``secondary'' services 
(see paragraph (d)(3) of this section).
    (2) Additional remarks shall be printed in normal characters 
(example: MOBILE except aeronautical mobile).
    (3) Stations of a secondary service:
    (i) Shall not cause harmful interference to stations of primary 
services to which frequencies are already assigned 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 
assigned at a later date; and
    (iii) Can claim protection, however, from harmful interference from 
stations 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 Region, 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 Region, 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 allocation which is added in this 
area or in this country to the service or services which are indicated 
in the International Table.

[[Page 465]]

    (2) If the footnote does not include any restriction on the service 
or services concerned apart from the restriction 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 indicated in the International Table.
    (3) If restrictions are imposed on an additional allocation in 
addition to the restriction to operate only in a particular area or 
country, this is indicated in the footnote of the International 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 country, 
this is an ``alternative'' allocation, i.e. an allocation which 
replaces, in this area or in this country, the allocation indicated in 
the Table.
    (2) If the footnote does not include any restriction on stations of 
the service or services concerned, apart from the restriction to operate 
only in a particular 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 services, indicated in the International Table, 
to which the band is allocated in other areas or countries.
    (3) If restrictions are imposed on stations of a service to which an 
alternative allocation is made, in addition to the restriction to 
operate only in a particular country or area, this is indicated in the 
footnote.
    (g) Miscellaneous provisions. (1) Where it is indicated that a 
service may operate in a specific frequency band subject to not causing 
harmful interference, this means also that this service cannot claim 
protection from harmful interference caused by other services to which 
the band is allocated under Chapter SII of the international Radio 
Regulations.
    (2) 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 includes 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 worldwide 
allocation or a Regional allocation, 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 section, services are listed in alphabetical order according to the 
French language. The order of listing does not indicate relative 
priority within each category.
    (4) In the case where there is a parenthetical 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 appear in the International Table 
below the allocated service or services apply to the whole of the 
allocation concerned.
    (6) The footnote references which appear to the right of the name of 
a service are applicable only to that particular service.
    (7) In certain cases, the names of countries appearing in the 
footnotes have been simplified in order to shorten the text.

[[Page 466]]

                      Figure 1 to Sec. 2.104--Map
[GRAPHIC] [TIFF OMITTED] TR31JA00.000


[65 FR 4636, Jan. 31, 2000]

[[Page 467]]



Sec. 2.105  United States Table of Frequency Allocations.

    (a) The United States Table of Frequency Allocations (United States 
Table) is subdivided into the Federal Government Table of Frequency 
Allocations (Federal Government Table, column 4 of Sec. 2.106) and the 
Non-Federal Government Table of Frequency Allocations (Non-Federal 
Government Table, column 5 of Sec. 2.106). The United States Table is 
based on the Region 2 Table because the relevant area of jurisdiction is 
located 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\ \4\ The Federal Government Table is administered by 
the National Telecommunications and Information Administration (NTIA) 
\5\, whereas the Non-Federal Government Table is administered by the 
Federal Communications Commission (FCC).\6\
---------------------------------------------------------------------------

    \1\ See Sec. 2.104(a)(1) for definition of Region 2.
    \2\ The Caribbean insular areas are: The Commonwealth of Puerto 
Rico; the unincorporated territory of the United States Virgin Islands; 
and Navassa Island.
    \3\ The Pacific insular areas located in Region 2 are: Johnston 
Atoll and Midway Atoll.
    \4\ The operation of stations in the Pacific insular areas located 
in Region 3 are generally governed by the International plan for Region 
3 (i.e., column 3 of Sec. 2.106). The Pacific insular areas located in 
Region 3 are: the Commonwealth of the Northern Mariana Islands; the 
unincorporated territory of American Samoa; the unincorporated territory 
of Guam; and Baker Island, Howland Island, Jarvis Island, Kingman Reef, 
Palmyra Island and Wake Island.
    \5\ Section 305(a) of the Communications Act of 1934, as amended. 
See Pub. Law 102-538, 106 Stat. 3533 (1992).
    \6\ The Communications Act of 1934, as amended.
---------------------------------------------------------------------------

    (b) In the United States, radio spectrum may be allocated to either 
Federal government or non-Federal government 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 government FIXED, non-Federal 
government MOBILE]. The terms used to designate categories of services 
and allocations \7\ in columns 4 and 5 of Sec. 2.106 correspond to the 
terms employed by the International Telecommunication Union (ITU) in the 
international Radio Regulations.
---------------------------------------------------------------------------

    \7\ Definitions of the various radio services used are contained in 
Sec. 2.1.
---------------------------------------------------------------------------

    (c) Category of services. (1) Any segment of the radio spectrum may 
be allocated to the Federal government and/or non-Federal government 
sectors either on an exclusive or shared basis for use by one or more 
radio services. In the case where an allocation 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'' [example: Mobile]; these are called ``secondary'' services.
    (2) Stations of a secondary service:
    (i) Shall not cause harmful interference to stations of primary 
services to which frequencies are already assigned 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 
assigned at a later date; and
    (iii) Can claim protection, however, from harmful interference from 
stations 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 and the Rule Part Cross 
Reference Column. (1) The frequency band referred to in each allocation, 
column 4 for Federal government and column 5 for non-Federal government, 
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 either column 
4 or 5, then the Federal government or the non-Federal government 
sector, respectively, has no access to that band except as provided for 
by Sec. 2.102.
    (2) When the Federal Government and Non-Federal Government Tables 
are exactly the same for a shared band, the line between columns 4 and 5 
is deleted and the allocations are shown once.
    (3) The Federal Government Table, given in column 4, is included for 
informational purposes only.

[[Page 468]]

    (4) In the case where there is a parenthetical 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.
    (5) The following symbols are used to designate footnotes in the 
United States Table:
    (i) Any footnote consisting of ``S5.'' followed by one or more 
digits, e.g., S5.53, or any footnote not prefixed by a letter, e.g., 
459, denotes an international footnote. Where an international footnote 
is applicable, without modification, to the United States Table, the 
footnote appears in the United States Table (columns 4 and 5) and 
denotes a stipulation affecting both the Federal Government Table and 
the Non-Federal Government Table. If, however, an international footnote 
pertains to a service allocated only for Federal government or non-
Federal government use, the international footnote will be placed only 
in the affected Table. For example, ``AMATEUR S5.142'' shall be shown 
only in the Non-Federal Government Table.
    (ii) Any footnote consisting of the letters US followed by one or 
more digits, e.g., US7, denotes a stipulation affecting both the Federal 
Government Table and the Non-Federal Government Table.
    (iii) Any footnote consisting of the letters NG followed by one or 
more digits, e.g., NG2, denotes a stipulation applicable only to the 
Non-Federal Government Table (column 5).
    (iv) Any footnote consisting of the letter G following by one or 
more digits, e.g., G2, denotes a stipulation applicable only to the 
Federal Government Table (column 4).
    (6) If a frequency or frequency band has been allocated to a 
radiocommunication service in the Non-Federal Government Table, then a 
cross reference may be added for the pertinent FCC Rule part (column 6 
of Sec. 2.106). For example, the 849-851 MHz band is allocated to the 
non-Federal government aeronautical mobile service, rules for the use of 
the 849-851 MHz band have been added to Part 22--Public Mobile Services 
(47 CFR part 22), and a cross reference, Public Mobile (22), has been 
added in Column 6 of the Table. 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 allocations and are provided for 
informational purposes only. This column also may contain explanatory 
notes for informational purposes only.

[65 FR 4640, Jan. 31, 2000]



Sec. 2.106  Table of Frequency Allocations.

    Editorial Note: The text of Sec. 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 scientific research using 
frequencies below 9

[[Page 558]]

kHz are urged to advise other administrations 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 allocated 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 interference. In 
Armenia, Azerbaijan, Belarus, Bulgaria, Georgia, Kazakstan, Mongolia, 
Uzbekistan, Kyrgyzstan, Slovakia, the Czech Rep., Russian Federation, 
Tajikistan, Turkmenistan and Ukraine, 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 authorized 
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, Georgia, 
Kazakstan, Kyrgyzstan, the Russian Federation, Tajikistan and 
Turkmenistan, the band 67-70 kHz is also allocated to the 
radionavigation service on a primary basis.
    5.59 Different category of service: in Bangladesh and Pakistan, the 
allocation of the bands 70-72 kHz and 84-86 kHz to the fixed and 
maritime mobile services is on a primary 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 Region 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 radionavigation service in the bands 70-90 kHz and 110-130 kHz 
shall be subject to agreement obtained under No. 9.21 with 
administrations whose services, operating in accordance with the Table, 
may be affected. However, stations of the fixed, maritime mobile and 
radiolocation services shall not cause harmful interference to stations 
in the maritime radionavigation service established under such 
agreements.
    5.62 Administrations which operate stations in the radionavigation 
service in the band 90-110 kHz are urged to coordinate technical 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 stations of the fixed service in the bands allocated 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). 
Exceptionally, class J2B or J7B emissions are also authorized 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 Bangladesh, the allocation of 
the bands 112-117.6 kHz and 126-129 kHz to the fixed and maritime mobile 
services is on a primary basis (see No. 5.33).
    5.66 Different category of service: in Germany, the allocation of 
the band 115-117.6 kHz to the fixed and maritime mobile services is on a 
primary basis (see No. 5.33) and to the radionavigation service on a 
secondary 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, Botswana, Burundi, the 
Congo, Malawi, 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, Botswana, Burundi, Cameroon, 
the Central African Rep., the Congo, Ethiopia, Kenya, Lesotho, 
Madagascar, Malawi, Mozambique, Namibia, Nigeria, Oman, Dem. Rep. of the 
Congo, Rwanda, South Africa, Swaziland, Tanzania, Chad, Zambia and 
Zimbabwe, the band 200-283.5 kHz is allocated to the aeronautical 
radionavigation service on a primary basis.
    5.71 Alternative allocation: in Tunisia, the band 255-283.5 kHz is 
allocated to the broadcasting service on a primary basis.
    5.72 Norwegian stations of the fixed service situated in northern 
areas (north of 60[deg] N) subject to auroral disturbances are allowed 
to continue operation on four frequencies 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 supplementary 
navigational information using narrow-band techniques, on condition that 
no harmful interference is caused to radiobeacon stations operating in 
the radionavigation service.

[[Page 559]]

    5.74 Additional Allocation: in Region 1, the frequency band 285.3-
285.7 kHz is also allocated to the maritime radionavigation service 
(other than radiobeacons) on a primary basis.
    5.75 Different category of service: in Armenia, 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 primary basis under the condition that in the Baltic Sea 
area, the assignment of frequencies in this band to new stations in the 
maritime or aeronautical radionavigation services shall be subject to 
prior consultation between the administrations concerned.
    5.76 The frequency 410 kHz is designated for radio direction-finding 
in the maritime radionavigation service. The other radionavigation 
services to which the band 405-415 kHz is allocated shall not cause 
harmful interference to radio direction-finding in the band 406.5-413.5 
kHz.
    5.77 Different category of service: in Australia, China, the French 
Overseas Territories 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 radionavigation 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 
radiotelegraphy.
    5.79A When establishing coast stations in the NAVTEX service on the 
frequencies 490 kHz, 518 kHz and 4 209.5 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)).
    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 Resolution 331 
(Rev.WRC-97)), to be used exclusively 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 interference is caused to the frequency 490 kHz.
    5.83 The frequency 500 kHz is an international 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 frequency 518 kHz by the 
maritime mobile service 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, Botswana, Lesotho, Malawi, 
Mozambique, Namibia, South Africa, Swaziland, Zambia and Zimbabwe, the 
band 526.5-535 kHz is also allocated 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 obtained 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 Conference (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 established 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 propagation.
    5.91 Additional allocation: in the Philippines and Sri Lanka, the 
band 1606.5-1705 kHz is also allocated to the broadcasting service on a 
secondary basis.
    5.92 Some countries of Region 1 use radiodetermination 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 stations shall not exceed 50 W.

[[Page 560]]

    5.93 Additional allocation: in Angola, Armenia, Azerbaijan, Belarus, 
Georgia, Hungary, Kazakstan, Latvia, Lithuania, Moldova, Mongolia, 
Nigeria, Uzbekistan, Poland, 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, subject to agreement 
obtained under No. 9.21.
    5.96 In Germany, Armenia, Austria, Azerbaijan, Belarus, Denmark, 
Estonia, Finland, Georgia, Hungary, Ireland, Israel, Jordan, Kazakstan, 
Latvia, Liechtenstein, Lithuania, Malta, Moldova, Norway, Uzbekistan, 
Poland, Kyrgyzstan, Slovakia, the Czech Rep., the United Kingdom, the 
Russian Federation, 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 interference 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 operates 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, Armenia, Azerbaijan, 
Belarus, Belgium, Bulgaria, Cameroon, the Congo, Denmark, Egypt, 
Eritrea, Spain, Ethiopia, Georgia, Greece, Italy, Kazakstan, Lebanon, 
Lithuania, Moldova, the Netherlands, Syria, Kyrgyzstan, the Russian 
Federation, Somalia, 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, Libya, Uzbekistan, Slovakia, the Czech Rep., Romania, 
Slovenia, Chad, Togo and Yugoslavia, 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 service in countries situated totally or partially north 
of 40[deg] N shall be given only after consultation with the countries 
mentioned in Nos. 5.98 and 5.99 to define the necessary steps to be 
taken to prevent harmful interference between amateur stations and 
stations of other services operating in accordance 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, Uruguay and Venezuela, the band 1850-2000 kHz is 
allocated to the fixed, mobile except aeronautical mobile, radiolocation 
and radionavigation 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, administrations should bear in mind the special 
requirements 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 frequencies 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 purpose, 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 maritime mobile service, the frequencies between 2065 kHz and 
2107 kHz may be used by stations of the fixed service communicating only 
within national borders and whose mean power does not exceed 50 W. In 
notifying the frequencies, the attention of the Bureau should be drawn 
to these provisions.
    5.107 Additional allocation: in Saudi Arabia, Botswana, Eritrea, 
Ethiopia, Iraq, Lesotho, Libya, Somalia and Swaziland, 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 use of 
the band 2173.5-2190.5 kHz are prescribed 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 frequencies 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

[[Page 561]]

kHz are international distress frequencies for narrow-band direct-
printing telegraphy. The conditions for the use of these frequencies are 
prescribed in Article 31.
    5.111 The carrier frequencies 2182 kHz, 3023 kHz, 5680 kHz, 8364 kHz 
and the frequencies 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, Cyprus, 
Denmark, Greece, Iceland, Malta, Sri Lanka and Yugoslavia, 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, Cyprus, 
Denmark, Greece, Iraq, Malta, and Yugoslavia, 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 
operations.
    5.116 Administrations are urged to authorize 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 operate 
over short distances within the induction field.
    5.117 Alternative allocation: in Bosnia and Herzegovina, Cyprus, 
C[ocirc]te d'Ivoire, Denmark, Egypt, Greece, Iceland, Liberia, Malta, 
Sri Lanka, Togo and Yugoslavia, the band 3155-3200 kHz is allocated to 
the fixed and mobile, except aeronautical mobile, services on a primary 
basis.
    5.118 Additional allocation: in the United States, Japan, Mexico, 
Peru and Uruguay, the band 3230-3400 kHz is also allocated to the 
radiolocation 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 allocated to the broadcasting service on a 
primary 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 operating in this band shall not exceed 
that necessary 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, Georgia, 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 interference is not caused to the 
maritime mobile service, the frequencies in the bands 4063-4123 kHz and 
4130-4438 kHz may be used exceptionally 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 carrier frequencies 4125 kHz 
and 6215 kHz are prescribed in Articles 31 and 52 and in Appendix 13.
    5.131 The frequency 4209.5 kHz is used exclusively for the 
transmission by coast stations of meteorological and navigational 
warnings and urgent information to ships by means of narrow-band direct-
printing techniques.
    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 
international frequencies for the transmission of maritime safety 
information (MSI) (see Appendix 17).
    5.133 Different category of service: in Armenia, Azerbaijan, 
Belarus, Georgia,

[[Page 562]]

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 is limited to single-sideband emissions with the characteristics 
specified in Appendix 11 or to any other spectrum-efficient modulation 
techniques recommended by ITU-R. Access to these bands shall be subject 
to the decisions of a competent conference.
    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 service on a primary basis, in 
Region 2 to the mobile except aeronautical mobile (R) service on a 
primary basis, and in Region 3 to the mobile except aeronautical mobile 
(R) service on a secondary basis, subject to application of the 
procedure referred to in Resolution 21 (Rev.WRC-95). After 1 April 2007, 
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 the condition that harmful interference 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 account of the seasonal use of frequencies by the 
broadcasting service published in accordance with the Radio Regulations.
    5.137 On condition that harmful interference is not caused to the 
maritime mobile service, the bands 6200-6213.5 kHz and 6220.5-6525 kHz 
may be used exceptionally 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. At the time of 
notification of these frequencies, the attention of the Bureau will be 
drawn to the above conditions.
    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 administration 
concerned, in agreement with other administrations whose 
radiocommunication services might be affected. In applying this 
provision, administrations shall have due regard to the latest relevant 
ITU-R Recommendations.
    5.139 Different category of service: in Armenia, Azerbaijan, 
Belarus, Georgia, Kazakstan, Latvia, Lithuania, Moldova, Mongolia, 
Uzbekistan, Kyrgyzstan, Russian Federation, 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, 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, Eritrea, Ethiopia, Guinea, 
Libya and Madagascar, the band 7000-7050 kHz is allocated to the fixed 
service on a primary basis.
    5.142 The use of the band 7100-7300 kHz in Region 2 by the amateur 
service shall not impose 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). After 1 April 2007, 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 interference 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 account of the 
seasonal use of frequencies by the broadcasting service published in 
accordance with the Radio Regulations.
    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 carrier 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 procedure 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 
interference 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 account of the seasonal use of 
frequencies by

[[Page 563]]

the broadcasting service published in accordance with the Radio 
Regulations.
    5.147 On condition that harmful interference 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 communicating only within the boundary of the country in which 
they are located, each station using a total radiated power not 
exceeding 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,
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 interference. 
Emissions from spaceborne or airborne stations can be particularly 
serious sources of interference to the radio astronomy 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 interference which may be caused by these 
applications. 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 application of the procedure referred to in Resolution 21 
(Rev.WRC-95). 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, administrations are urged to 
use the minimum power required and to take account of the seasonal use 
of frequencies by the broadcasting service published in accordance with 
the Radio Regulations.
    5.152 Additional allocation: in Armenia, Azerbaijan, China, 
C[ocirc]te d'Ivoire, Georgia, Iran (Islamic Republic of), Kazakstan, 
Moldova, Kyrgyzstan, the Russian Federation, 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, Georgia, 
Kazakstan, Moldova, Kyrgyzstan, the Russian Federation, Tajikistan, 
Turkmenistan and Ukraine, the

[[Page 564]]

band 18068-18168 kHz is also allocated to the fixed service 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, Georgia, Hungary, Kazakstan, Moldova, Mongolia, Uzbekistan, 
Kyrgyzstan, Slovakia, the Czech Rep., Russian Federation, Tajikistan, 
Turkmenistan and Ukraine, the band 21850-21870 kHz is also allocated to 
the aeronautical mobile (R) services 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 related to aircraft flight safety.
    5.155B The band 21870-21924 kHz is used by the fixed service for 
provision of services related 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.
    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, Latvia, The Former Yugoslav Republic of 
Macedonia, Liechtenstein, Lithuania, Luxembourg, Moldova, Monaco, 
Norway, the Netherlands, 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 radiolocation service on a secondary 
basis. This use is limited to the operation of wind profiler radars in 
accordance with Resolution 217 (WRC-97).
    5.163 Additional allocation: in Armenia, Azerbaijan, Belarus, 
Estonia, Georgia, Hungary, Kazakstan, Latvia, Lithuania, Moldova, 
Mongolia, Uzbekistan, Kyrgyzstan, Slovakia, the Czech Rep., Russian 
Federation, Tajikistan, Turkmenistan and Ukraine, the bands 47-48.5 MHz 
and 56.5-58 MHz are also allocated to the fixed and land mobile services 
on a secondary basis.
    5.164 Additional allocation: in Albania, Germany, Austria, Belgium, 
Bosnia and Herzegovina, Bulgaria, C``te d'Ivoire, Denmark, Spain, 
Finland, France, Gabon, Greece, Ireland, Israel, Italy, Jordan, Lebanon, 
Libya, Liechtenstein, Luxembourg, Madagascar, Mali, Malta, Morocco, 
Mauritania, Monaco, Nigeria, Norway, the Netherlands, Poland, Syria, the 
United Kingdom, Senegal, Slovenia, Sweden, Switzerland, Swaziland, Togo, 
Tunisia, Turkey and Yugoslavia the band 47-68 MHz, in Romania the band 
47-58 MHz and in the Czech Rep. the band 66-68 MHz, are also allocated 
to the land mobile service on a primary basis. However, 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 broadcasting stations 
of countries other than those mentioned in connection with the band.
    5.165 Additional allocation: in Angola, Cameroon, the Congo, 
Madagascar, Mozambique, Somalia, Sudan, Tanzania and Chad, the band 47-
68 MHz is also allocated to the fixed and mobile, except aeronautical 
mobile, services on a primary basis.
    5.166 Alternative allocation: in New Zealand, the band 50-51 MHz is 
allocated to the fixed, mobile and broadcasting services on a primary 
basis; the band 53-54 MHz is allocated 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 broadcasting 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 Africa, Swaziland 
and Zimbabwe, the band 54-68 MHz is also allocated to the fixed and 
mobile, except aeronautical mobile, services on a primary basis.
    5.172 Different category of service: in the French Overseas 
Departments in Region 2,

[[Page 565]]

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, Poland 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 Federation, Tajikistan, Turkmenistan and 
Ukraine, the bands 68-73 MHz and 76-87.5 MHz are allocated to the 
broadcasting service on a primary basis. The services to which these 
bands are allocated in other countries and the broadcasting service in 
the countries 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 Philippines, 
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, Georgia, Kazakstan, Latvia, Moldova, Uzbekistan, Poland, 
Kyrgyzstan, the Russian Federation, Tajikistan, Turkmenistan and 
Ukraine, the band 73-74 MHz is also allocated to the broadcasting 
service on a primary basis, subject 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, Georgia, Kazakstan, Latvia, Lithuania, Moldova, 
Mongolia, Kyrgyzstan, Slovakia, the Czech Rep., Russian Federation, 
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 refrain 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 receivers and to limit the power of transmitting stations 
close to the limits 74.8 MHz and 75.2 MHz.
    5.181 Additional allocation: in Egypt, Israel, Japan, and Syria, the 
band 74.8-75.2 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 radionavigation service by any administration 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 allocated to the broadcasting service on a primary 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 allocated to the broadcasting service on a primary 
basis and used in accordance with the decisions contained in the Final 
Acts of the Special Regional Conference (Geneva, 1960).
    5.185 Different category of service: in the United States, the 
French Overseas Departments 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 broadcasting 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, Pakistan and Syria, the band 
108-111.975 MHz is also allocated to the mobile service on a secondary 
basis, subject to agreement obtained

[[Page 566]]

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 radionavigation service by any 
administration which may be identified in the application of the 
procedures invoked under No. 9.21.
    5.197A The band 108-117.975 MHz may also be used by the aeronautical 
mobile (R) service 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 interference to nor claim protection from 
stations operating in the aeronautical radionavigation service which 
operate in accordance with international aeronautical standards.
    5.198 Additional allocation: the band 117.975-136 MHz is also 
allocated to the aeronautical mobile-satellite (R) service on a 
secondary basis, subject to agreement obtained 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 
transmitting at 121.5 MHz and 243 MHz (see Appendix 13).
    5.200 In the band 117.975-136 MHz, the frequency 121.5 MHz is the 
aeronautical emergency frequency and, where required, the frequency 
123.1 MHz is the aeronautical frequency auxiliary to 121.5 MHz. Mobile 
stations of the maritime mobile service may communicate on these 
frequencies under the conditions laid down in Article 31 and Appendix 13 
for distress and safety purposes with stations of the aeronautical 
mobile service.
    5.201 Additional allocation: in Angola, Armenia, Azerbaijan, 
Belarus, Bulgaria, Estonia, Georgia, Hungary, Iran (Islamic Republic 
of), Iraq, Japan, Kazakstan, Latvia, Moldova, Mongolia, Mozambique, 
Uzbekistan, Papua New Guinea, Poland, Kyrgyzstan, Slovakia, the Czech 
Rep., Romania, 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 
aeronautical mobile (OR) service, the administration shall take account 
of the frequencies assigned to stations in the aeronautical mobile (R) 
service.
    5.202 Additional allocation: in Saudi Arabia, Armenia, Azerbaijan, 
Belarus, Bulgaria, the United Arab Emirates, Georgia, Iran (Islamic 
Republic of), Jordan, Latvia, Moldova, Oman, Uzbekistan, Poland, Syria, 
Kyrgyzstan, Slovakia, the Czech Rep., Romania, 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 aeronautical mobile (OR) 
service, the administration shall take account of the frequencies 
assigned to stations in the aeronautical mobile (R) service.
    5.203 In the band 136-137 MHz, existing operational meteorological 
satellites may continue to operate, under the conditions defined in No. 
4.4 with respect to the aeronautical mobile service, until 1 January 
2002. Administrations shall not authorize new frequency 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), services on a secondary basis 
until 1 January 2005.
    5.203B Additional allocation: in Saudi Arabia, United Arab Emirates, 
Jordan, Oman and Syria, 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 Afghanistan, Saudi Arabia, 
Bahrain, Bangladesh, Bosnia and Herzegovina, Brunei Darussalam, China, 
Cuba, the United Arab Emirates, India, Indonesia, Iran (Islamic Republic 
of), Iraq, Malaysia, Oman, Pakistan, Philippines, Qatar, Singapore, Sri 
Lanka, Thailand, Yemen and Yugoslavia, 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 
aeronautical mobile, services is on a primary basis (see No. 5.33).
    5.206 Different category of service: in Armenia, Azerbaijan, 
Belarus, Bulgaria, Egypt, Finland, France, Georgia, Greece, Kazakstan, 
Lebanon, Moldova, Mongolia, Uzbekistan, Poland, Kyrgyzstan, Syria, 
Slovakia, 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 regional broadcasting allocations.
    5.208 The use of the band 137-138 MHz by the mobile-satellite 
service is subject to coordination 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

[[Page 567]]

MHz, administrations shall take all practicable 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 
emissions. 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 mobile-satellite 
service is limited to non-geostationary-satellite systems.
    5.210 Additional allocation: in France, Italy, Liechtenstein, 
Slovakia, the Czech Rep., the United Kingdom and Switzerland, 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, 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, Botswana, Burundi, 
Cameroon, the Central African Rep., the Congo, Gabon, Gambia, Ghana, 
Guinea, Iraq, Jordan, Lesotho, Liberia, Libya, Malawi, Mozambique, 
Namibia, Nigeria, Oman, 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 secondary 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 operation 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 coordination under No. 9.11A. The mobile-satellite 
service shall not constrain the development 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 service 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 countries: Albania, 
Algeria, Germany, Saudi Arabia, Australia, Austria, Bahrain, Bangladesh, 
Barbados, Belarus, Belgium, Benin, Bosnia and Herzegovina, Brunei 
Darussalam, Bulgaria, Cameroon, China, Cyprus, Congo, Korea (Rep. of), 
Croatia, Cuba, Denmark, Egypt, the United Arab Emirates, Eritrea, Spain, 
Estonia, Ethiopia, Finland, France, Gabon, Ghana, Greece, Guinea, Guinea 
Bissau, Hungary, India, Iran (Islamic Republic of), Ireland, Iceland, 
Israel, Italy, Jamaica, Japan, Jordan, Kazakstan, Kenya, Kuwait, Latvia, 
The Former Yugoslav Republic of Macedonia, Lebanon, Libya, 
Liechtenstein, Lithuania, Luxembourg, Malaysia, Mali, Malta, Mauritania, 
Moldova, Mongolia, Mozambique, Namibia, Norway, New Zealand, Oman, 
Uganda, Uzbekistan, Pakistan, Panama, Papua New Guinea, Paraguay, the 
Netherlands, the Philippines, Poland, Portugal, Qatar, Syria, 
Kyrgyzstan, Slovakia, Romania, the United Kingdom, the Russian 
Federation, Senegal, 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, 
Yugoslavia, 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 
receiving 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 services may cause harmful interference to the 
radionavigation-satellite service, administrations 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-satellite service (Earth-to-space) is limited to the land 
mobile-satellite service (Earth-to-space) until 1 January 2015.

[[Page 568]]

    5.224B The allocation of the bands 149.9-150.05 MHz and 399.9-400.05 
MHz to the radionavigation-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 allocated to the radio astronomy service on a 
primary basis.
    5.226 The frequency 156.8 MHz is the international distress, safety 
and calling frequency for the maritime mobile VHF radiotelephone 
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 
stations 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 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 account current 
frequency usage and existing agreements.
    5.227 In the maritime mobile VHF service the frequency 156.525 MHz 
is to be used exclusively for digital selective calling for distress, 
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 agreement with administrations having 
services, operating or planned, in accordance with the Table which are 
likely to be affected. Stations 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 
obtained under No. 9.21. These services shall not cause harmful 
interference to, or claim protection from, existing or planned 
broadcasting stations.
    5.234 Different category of service: in Mexico, 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. However, the stations of the land mobile service shall 
not cause harmful interference to, or claim protection from, 
broadcasting stations, existing or planned, in countries other than 
those listed in this footnote.
    5.237 Additional allocation: in the Congo, Eritrea, Ethiopia, 
Gambia, Guinea, Libya, Malawi, Mali, Senegal, Sierra Leone, Somalia, 
Tanzania 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 operate 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 harmful interference to existing or 
planned broadcasting 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 service 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

[[Page 569]]

No. 5.33) on the basis that, in the preparation of frequency plans, the 
broadcasting service shall have prior choice of frequencies; and 
allocated to the fixed and mobile, except land mobile, services on a 
secondary basis. However, 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 Algeria.
    5.247 Additional allocation: in Saudi Arabia, Bahrain, the United 
Arab Emirates, Jordan, 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 Zimbabwe, the 
bands 230-238 MHz and 246-254 MHz are allocated to the broadcasting 
service 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.
    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 frequency in this band for use by 
survival craft stations and equipment used for survival purposes (see 
Appendix 13).
    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 radionavigation 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 services may cause harmful interference to the 
radionavigation satellite service, administrations 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 Arabia, Armenia, Azerbaijan, 
Bahrain, Belarus, Bosnia and Herzegovina, Bulgaria, Colombia, Costa 
Rica, Cuba, Egypt, the United Arab Emirates, Ecuador, Georgia, Hungary, 
Iran (Islamic Republic of), Iraq, Israel, Jordan, Kazakstan, Kuwait, 
Liberia, Malaysia, Moldova, Nigeria, Uzbekistan, Pakistan, the 
Philippines, Qatar, Syria, Kyrgyzstan, Slovakia, Romania, the Russian 
Federation, Singapore, Somalia, Tajikistan, Turkmenistan, Ukraine and 
Yugoslavia, 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 allocated to the space 
research service in the space-to-space direction for communications with 
manned space vehicles. In this application, 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 conference 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-indicating 
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 communications 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 exceed -153 dB(W/
m2) for 0[deg] <= [delta] <= 5[deg], -153 + 0.077 ([delta] -
5) dB(W/m2) for 5[deg] <= [delta] <= 70[deg] and -148 dB(W/
m2) for 70[deg] <= [delta] <= 90[deg], where [delta] 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 protection from, nor constrain the use and development of, 
stations of the fixed and mobile services.
    5.269 Different category of service: in Australia, the United 
States, India, Japan and the United Kingdom, the allocation of the

[[Page 570]]

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 Philippines, the bands 420-430 MHz and 440-450 MHz are 
also allocated to the amateur service on a secondary basis.
    5.271 Additional allocation: in Azerbaijan, Belarus, China, Estonia, 
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 secondary basis (see 
No. 5.32).
    5.273 Different category of service: in Denmark, Libya and Norway, 
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, Latvia, The Former Yugoslav Republic of Macedonia, 
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, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Italy, 
Jordan, Kenya, Kuwait, Lebanon, 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 allocated 
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 aeronautical 
mobile, service on a primary basis.
    5.277 Additional allocation: in Angola, Armenia, Azerbaijan, 
Belarus, Cameroon, Congo, Djibouti, Georgia, Hungary, Israel, Kazakstan, 
Latvia, Mali, Moldova, Mongolia, Uzbekistan, Poland, Kyrgyzstan, 
Slovakia, the Czech Rep., Romania, the Russian Federation, Rwanda, 
Tajikistan, Chad, Turkmenistan and Ukraine, the band 430-440 MHz is also 
allocated to the fixed service on a primary basis.
    5.278 Different category of service: in Argentina, Colombia, Costa 
Rica, Cuba, Guyana, Honduras, Panama and Venezuela, the allocation of 
the band 430-440 MHz to the amateur 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 mobile 
service, subject to agreement obtained under No. 9.21. 5.280 In Germany, 
Austria, Bosnia and Herzegovina, Croatia, The Former Yugoslav Republic 
of Macedonia, Liechtenstein, Portugal, Slovenia, Switzerland and 
Yugoslavia, the band 433.05-434.79 MHz (centre frequency 433.92 MHz) is 
designated for industrial, scientific and medical (ISM) applications. 
Radiocommunication services of these countries operating within this 
band must accept harmful interference which may be caused by these 
applications. ISM equipment operating in this band is subject to the 
provisions 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 Regions 2 and 3 only) and 5650-5670 MHz, the amateur-
satellite service may operate subject to not causing harmful 
interference to other services operating in accordance with the Table 
(see No. 5.43). Administrations authorizing such use shall ensure that 
any harmful interference caused by emissions from a station in the 
amateur-satellite service 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 mobile, 
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 Canada, 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 obtained under No. 9.21.
    5.286A The use of the bands 454-456 MHz and 459-460 MHz by the 
mobile-satellite service 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

[[Page 571]]

in No. 5.286E, by stations in the mobile-satellite service, 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.
    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-satellite service, shall not constrain the development and use of 
the fixed and mobile services 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 primary 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-satellite (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 communication stations. Where needed, equipment 
designed 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 communications. The use of these 
frequencies in territorial waters may be subject to the national 
regulations of the administration concerned. The characteristics of the 
equipment used shall conform to those specified in Recommendation ITU-R 
M.1174 (see Resolution 341 (WRC-97)).
    5.288 In the territorial waters of the United States and the 
Philippines, the preferred frequencies for use by on-board communication 
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 characteristics of the equipment used shall conform to 
those specified in Recommendation ITU-R M.1174.
    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 operating in accordance 
with the Table.
    5.290 Different category of service: in Afghanistan, 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 meteorological-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 
obtained under No. 9.21 and subject to not causing harmful interference 
to existing and planned broadcasting stations.
    5.291A Additional allocation: in Germany, Austria, Denmark, Estonia, 
Finland, Liechtenstein, 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 accordance with Resolution 217 (WRC-97).
    5.292 Different category of service: in Mexico 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 Canada, 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 obtained under No. 9.21. In Argentina and Ecuador, the 
allocation of the band 470-512 MHz to the fixed and mobile services is 
on a primary basis (see No. 5.33), subject to agreement obtained under 
No. 9.21.
    5.294 Additional allocation: in Burundi, Cameroon, the Congo, 
Ethiopia, Israel, Kenya, Lebanon, Libya, Malawi, Senegal, Sudan, Syria, 
and Yemen, the band 470-582 MHz is also allocated to the fixed service 
on a secondary basis.
    5.296 Additional allocation: in Germany, Austria, Belgium, Cyprus, 
Denmark, Spain, Finland, France, Ireland, Israel, Italy, Libya, 
Lithuania, Malta, Morocco, Monaco, Norway, the Netherlands, Portugal, 
Syria, the United Kingdom, Sweden, Switzerland, Swaziland and Tunisia, 
the band 470-790 MHz is also allocated on a secondary basis to the land 
mobile service, intended for applications ancillary to broadcasting. 
Stations of the land mobile service in the countries listed 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, Guatemala, Guyana, Honduras, Jamaica and Mexico, 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.

[[Page 572]]

    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 allocated to the aeronautical radionavigation service on a 
primary basis. All new assignments to stations in the aeronautical 
radionavigation service, including those transferred from the adjacent 
bands, shall be subject to coordination with the Administrations 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, except 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 astronomy 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 allocation 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 
concerned and those having services, operating in accordance with the 
Table, which may be affected (see Resolutions 33 (Rev.WRC-97) and 507). 
Such stations shall not produce a power flux-density in excess of the 
value -129 dB(W/m\2\) for angles of arrival less than 20[deg] (see 
Recommendation 705) within the territories of other countries without 
the consent of the administrations of those countries.
    5.312 Additional allocation: in Armenia, Azerbaijan, Belarus, 
Bulgaria, Georgia, Hungary, Kazakstan, Latvia, Moldova, Mongolia, 
Uzbekistan, Poland, Kyrgyzstan, Slovakia, the Czech Rep., Romania, 
Russian Federation, 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 Kingdom 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 allocated to the broadcasting service on a primary basis.
    5.316 Additional allocation: in Germany, Saudi Arabia, Bosnia and 
Herzegovina, Burkina Faso, Cameroon, C``te d'Ivoire, Croatia, Denmark, 
Egypt, Finland, Israel, Kenya, The Former Yugoslav Republic of 
Macedonia, Libya, Liechtenstein, Monaco, Norway, the Netherlands, 
Portugal, Syria, Sweden, Switzerland and Yugoslavia, the band 790-830 
MHz, and in these same countries and in Spain, France, Gabon and Malta, 
the band 830-862 MHz, are also allocated to the mobile, except 
aeronautical mobile, service on a primary basis. However, stations of 
the 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, 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 (except 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 implement International Mobile 
Telecommunications-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 services 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 the 
aeronautical mobile service on a primary basis, for public 
correspondence with aircraft. The use of the band 849-851 MHz is limited 
to transmissions from aeronautical stations and the use of the band 894-
896 MHz is limited to transmissions from aircraft stations.
    5.319 Additional allocation: in Belarus, Russian 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 interference to, or claim 
protection from, services in other countries operating in accordance 
with the Table of Frequency Allocations and

[[Page 573]]

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 obtained under No. 9.21. The use of this service is limited 
to operation within national boundaries. In seeking such agreement, 
appropriate protection shall be afforded to services operating in 
accordance with the Table, to ensure that no harmful interference is 
caused to such services.
    5.321 Alternative allocation: in Italy, the band 838-854 MHz is 
allocated to the broadcasting 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, Nigeria, South Africa, Tanzania, Zimbabwe and Zambia, 
subject to agreement obtained under No. 9.21.
    5.323 Additional allocation: in Armenia, Azerbaijan, Belarus, 
Bulgaria, Hungary, Kazakstan, Latvia, Moldova, Mongolia, Uzbekistan, 
Poland, Kyrgyzstan, Slovakia, the Czech Rep., Romania, Russian 
Federation, 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 agreement obtained 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.
    5.325 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 agreement 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 mobile, except aeronautical mobile, service on a 
primary basis, subject to agreement obtained under No. 9.21.
    5.327 Different category of service: in Australia, 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 
operation and development of airborne electronic aids to air navigation 
and any directly associated ground-based facilities.
    5.328A Additional allocation: the band 1164-1215 MHz is also 
allocated to the radionavigation-satellite service (space-to-Earth) 
(space-to-space) on a primary basis. The aggregate power flux-density 
produced by all the space stations of all radionavigation-satellite 
systems at the Earth's surface shall not exceed the provisional value of 
-115 dB(W/m2) in any 1 MHz band for all angles of arrival. 
Stations in the radionavigation-satellite service shall not cause 
harmful interference to, nor claim protection from, stations of the 
aeronautical-radionavigation service. The provisions of Resolution 605 
(WRC-2000) 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-satellite 
service for which complete coordination or notification information, as 
appropriate, is received by the Radiocommunication Bureau after 1 
January 2005 is subject to the application of the provisions 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 interference 
is caused to, and no protection is claimed from, the radionavigation 
service authorized under No. 5.331. See also Resolution 606 (WRC-2000).
    5.329A Use of systems in the radionavigation-satellite service 
(space-to-space) operating in the bands 1215-1300 MHz and 1559-1610 MHz 
is not intended to provide safety 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, Cameroon, China, the United Arab Emirates, Eritrea, 
Ethiopia, Guyana, India, Indonesia, Iran (Islamic Republic of), Iraq, 
Israel, Japan, Jordan, Kuwait, Lebanon, Libya, Morocco, Mozambique, 
Nepal, Nigeria, Pakistan, the Philippines, Qatar, Syria, Somalia, Sudan, 
Sri Lanka, Chad, Togo and Yemen, the band 1215-1300 MHz is also 
allocated to the fixed and mobile services on a primary basis.
    5.331 Additional allocation: in Algeria, Germany, Austria, Bahrain, 
Belgium, Benin, Bosnia and Herzegovina, Burundi, Cameroon, China, 
Croatia, Denmark, the United Arab Emirates, France, Greece, India, Iran 
(Islamic Republic of), Iraq, Kenya, The Former Yugoslav Republic of 
Macedonia, Liechtenstein, Luxembourg, Mali, Mauritania, Norway, Oman, 
the Netherlands, Portugal, Qatar, Senegal, Slovenia, Somalia, Sudan, Sri 
Lanka, Sweden, Switzerland, Turkey and Yugoslavia, the band 1215-1300 
MHz is also allocated to the radionavigation service on a primary basis.
    5.332 In the band 1215-1260 MHz, active spaceborne sensors in the 
Earth exploration-satellite and space research services shall

[[Page 574]]

not cause harmful interference to, claim protection from, or otherwise 
impose constraints 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 
bands 1240-1300 MHz and 1350-1370 MHz are also allocated to the 
aeronautical radionavigation 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 interference to, claim protection 
from, or otherwise impose constraints on operation or development of the 
aeronautical radionavigation 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 protection from, or otherwise impose 
constraints on operation or development of the radiolocation service and 
other services allocated 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 aeronautical radionavigation service is restricted to 
ground-based radars and to associated airborne transponders which 
transmit only on frequencies in these bands and only when actuated by 
radars operating in the same band.
    5.337A The use of the band 1300-1350 MHz by earth stations in the 
radionavigation-satellite service and by stations in the radiolocation 
service shall not cause harmful interference to, nor constrain the 
operation and development of, the aeronautical-radionavigation service.
    5.338 In Azerbaijan, Bulgaria, Mongolia, Kyrgyzstan, Slovakia, the 
Czech Rep., Romania 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.
    5.340 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.
    \2\ 5.340.1 The allocation to the earth exploration-satellite 
service (passive) and the space research service (passive) in the band 
50.2-50.4 GHz should not impose undue constraints on the use of the 
adjacent bands by the primary allocated services in those bands.

    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 programme for 
the search for intentional emissions of extraterrestrial origin.
    5.342 Additional allocation: in Armenia, Azerbaijan, Belarus, 
Bulgaria, Uzbekistan, Kyrgystan, the Russian Federation and Ukraine, the 
band 1429-1535 MHz is also allocated 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 provisions of Resolution 528 (WARC-
92).
    5.347 Different category of service: in Bangladesh, Bosnia and 
Herzegovina, Botswana, Bulgaria, Burkina Faso, Cuba, Denmark, Egypt, 
Greece, Ireland, Italy, Kenya, Mozambique, Portugal, Sri Lanka, 
Swaziland, Yemen, Yugoslavia and Zimbabwe, the allocation of the band 
1452-1492 MHz to the broadcasting-satellite service and the broadcasting 
service is on a secondary basis until 1 April 2007.
    5.348 The use of the band 1492-1525 MHz by the mobile-satellite 
service is subject to coordination under No. 9.11A. However, no 
coordination threshold in Article 21 for space stations of the mobile-
satellite service with respect to terrestrial services shall apply to 
the situation referred to in No. 5.343. With respect to the situation 
referred to in No. 5.343, the requirement for coordination in the band 
1492-1525 MHz will be determined by band overlap.

[[Page 575]]

    5.348A In the band 1492-1525 MHz, the coordination 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 mobile service use 
for specialized mobile radios or used in conjunction with public 
switched telecommunication networks (PSTN) operating within the 
territory of Japan, shall be -150 dB(W/m2) in any 4 kHz band 
for all angles of arrival, instead of those given in Table 5-2 of 
Appendix 5. The above threshold level of the power flux-density shall 
apply until it is changed by a competent world radiocommunication 
conference.
    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 
aeronautical 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 service. 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 communicate 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).
    5.352A In the band 1525-1530 MHz, stations in the mobile-satellite 
service, except stations in the maritime mobile-satellite service, 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 Arabia, Egypt, Guinea, India, Israel, Italy, Jordan, 
Kuwait, Mali, Malta, Morocco, Mauritania, Nigeria, Oman, Pakistan, 
Philippines, Qatar, Syria, Tanzania, Viet Nam and Yemen notified prior 
to 1 April 1998.
    5.353A In applying the procedures of Section 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 accommodating the spectrum requirements 
for distress, 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 availability over all other mobile satellite communications 
operating within a network. Mobile-satellite systems shall not cause 
unacceptable interference to, or claim protection from, distress, 
urgency and safety communications of the GMDSS. Account shall be taken 
of the priority of safety-related communications 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, Egypt, 
Eritrea, Iraq, Israel, Jordan, Kuwait, Lebanon, Malta, Morocco, Qatar, 
Syria, 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 
communications (see Article 31).
    5.357 Transmissions in the band 1545-1555 MHz from terrestrial 
aeronautical stations directly to aircraft stations, or between 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.
    5.357A In applying the procedures of Section 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 accommodating the spectrum requirements 
of the aeronautical mobile-satellite (R) service providing transmission 
of messages with priority 1 to 6 in Article 44. Aeronautical mobile-
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 mobile-satellite 
(R) service communications 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. (The provisions of Resolution 222 (WRC-
2000) shall apply.)
    5.359 Additional allocation: in Germany, Saudi Arabia, Armenia, 
Austria, Azerbaijan, Belarus, Benin, Bosnia and Herzegovina, Bulgaria, 
Cameroon, Spain, France, Gabon, Georgia, Greece, Guinea, Guinea-Bissau, 
Hungary, Jordan, Kazakstan, Kuwait, Latvia, Lebanon, Libya, Lithuania, 
Mali, Morocco, Mauritania, Moldova, Mongolia, Nigeria, Uganda, 
Uzbekistan, Pakistan, Poland, Syria, Kyrgyzstan, the Dem. People's Rep. 
of Korea, Romania, the Russian Federation,

[[Page 576]]

Senegal, Swaziland, Tajikistan, Tanzania, 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. 
Administrations are urged to make all practicable efforts 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 aeronautical mobile-satellite (R) service 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 mobile-satellite 
(R) service communications 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, France, Gabon, Georgia, Greece, Guinea, Guinea-Bissau, 
Hungary, Kazakstan, Latvia, Lithuania, Moldova, Mongolia, Nigeria, 
Uganda, Uzbekistan, Pakistan, Poland, Kyrgyzstan, the Dem. People's Rep. 
of Korea, Romania, the Russian Federation, Senegal, Swaziland, 
Tajikistan, Tanzania, Turkmenistan and Ukraine, and until 1 January 2010 
in Saudi Arabia, Cameroon, Jordan, Kuwait, Lebanon, Libya, Mali, 
Morocco, Mauritania, Syria 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 
radionavigation-satellite service and the aeronautical radionavigation 
service and not authorize 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, Morocco, Qatar, 
Syria, Somalia, Sudan, Chad, Togo and Yemen, the band 1559-1610 MHz is 
also allocated to the fixed service 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 
radionavigation-satellite service and not authorize new frequency 
assignments to fixed-service systems in this band.
    5.363 Alternative allocation: in Sweden, the band 1590-1626.5 MHz is 
allocated to the aeronautical radionavigation service on a primary 
basis.
    5.364 The use of the band 1610-1626.5 MHz by the mobile-satellite 
service (Earth-to-space) and by the radiodetermination-satellite 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 stations 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. Administrations responsible 
for the coordination of mobile-satellite networks shall make all 
practicable efforts to ensure protection of stations operating in 
accordance with the provisions 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 development of airborne electronic aids to air navigation 
and any directly associated ground-based or satellite-borne facilities. 
Such satellite 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 allocated 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 radiodetermination-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 Angola, Australia, Burundi, 
China, C[ocirc]te d'Ivoire, Eritrea, Ethiopia, India, Iran (Islamic 
Republic of), Israel, Jordan, Lebanon, Liberia, Libya, Madagascar, Mali, 
Pakistan, Papua New Guinea, Dem. Rep. of the Congo, Syria, Senegal, 
Sudan, Swaziland, Togo and Zambia, the allocation of the band 1610-
1626.5 MHz to the radiodetermination-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 Venezuela, the allocation to 
the radiodetermination-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 allocated 
to the radiodetermination-satellite

[[Page 577]]

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 applies).
    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 aeronautical mobile (R) service directly to terrestrial 
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.
    5.377 In the band 1675-1710 MHz, stations in the mobile-satellite 
service shall not cause harmful interference to, nor constrain the 
development of, the meteorological-satellite and meteorological aids 
services (see Resolution 213 (Rev.WRC-95) \3\) and the use of this band 
shall be subject to coordination under No. 9.11A.
---------------------------------------------------------------------------

    \3\ Note by the Secretariat: This Resolution was abrogated by WRC-
2000.
---------------------------------------------------------------------------

    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 secondary basis.
    5.379A Administrations are urged to give all practicable protection 
in the band 1660.5-1668.4 MHz for future research in radio astronomy, 
particularly by eliminating air-to-ground transmissions in the 
meteorological aids service in the band 1664.4-1668.4 MHz as soon as 
practicable.
    5.380 The bands 1670-1675 MHz and 1800-1805 MHz are intended for 
use, on a worldwide basis, by administrations wishing to implement 
aeronautical public correspondence. The use of the band 1670-1675 MHz by 
stations in the systems for public correspondence with aircraft is 
limited to transmissions from aeronautical stations and the use of the 
band 1800-1805 MHz is limited to transmissions from aircraft stations.
    5.381 Additional allocation: in Afghanistan, Costa Rica, Cuba, 
India, Iran (Islamic Republic of), Malaysia, Pakistan and Sri Lanka, the 
band 1690-1700 MHz is also allocated to the fixed and mobile, except 
aeronautical mobile, services on a primary basis.
    5.382 Different category of service: in Saudi Arabia, Armenia, 
Austria, Azerbaijan, Bahrain, Belarus, Bosnia and Herzegovina, Bulgaria, 
the Congo, Egypt, the United Arab Emirates, Eritrea, Ethiopia, Guinea, 
Hungary, Iraq, Israel, Jordan, Kazakstan, Kuwait, the Former Yugoslav 
Republic of Macedonia, Lebanon, Mauritania, Moldova, Mongolia, Oman, 
Uzbekistan, Poland, Qatar, Syria, Kyrgyzstan, Romania, Russian 
Federation, Somalia, Tajikistan, Tanzania, Turkmenistan, Ukraine, Yemen 
and Yugoslavia, the allocation 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, Indonesia 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 Telecommunications-2000 (IMT-2000) in accordance 
with Resolution 223 (WRC-2000). This identification does not preclude 
the use of these bands by any application of the services 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 astronomy service on a secondary basis for 
spectral line observations.
    5.386 Additional allocation: the band 1750-1850 MHz is also 
allocated to the space operation (Earth-to-space) and space research 
(Earth-to-space) services in Region 2, in Australia, India, Indonesia 
and Japan on a primary basis, subject to agreement obtained under No. 
9.21, having particular regard to troposcatter systems.
    5.387 Additional allocation: in Azerbaijan, Belarus, Georgia, 
Kazakstan, Mali, 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 
agreement obtained under No. 9.21.
    5.388 The bands 1885-2025 MHz and 2110-2200 MHz are intended for 
use, on a worldwide basis, by administrations wishing to implement 
International Mobile Telecommunications-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

[[Page 578]]

(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 Resolution 221 (WRC-2000). The 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 
Regulations.
    5.389A The use of the bands 1980-2010 MHz and 2170-2200 MHz by the 
mobile-satellite 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.
---------------------------------------------------------------------------

    \4\ Note by the Secretariat: This Resolution was revised by WRC-
2000.
---------------------------------------------------------------------------

    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, Jamaica, 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 Resolution 716 (WRC-95) \4\.
    5.389D In Canada and the United States the use of the bands 2010-
2025 MHz and 2160-2170 MHz by the mobile-satellite service shall not 
commence before 1 January 2000.
    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 services prior to 1 January 2005, nor shall the 
former service request protection from the latter services.
    5.390 In Argentina, Brazil, Chile, Colombia, 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 
stations 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\ Note by the Secretariat: This Resolution was revised by WRC-
2000.
---------------------------------------------------------------------------

    5.391 In making assignments to the mobile service in the bands 2025-
2110 MHz and 2200-2290 MHz, administrations shall not introduce high-
density mobile systems, as described 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-geostationary 
satellites.
    5.392A Additional allocation: in Russian Federation, the band 2160-
2200 MHz is also allocated 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 frequency 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 provisions 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 mobile 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, the use of the band 2310-2360 MHz by the 
aeronautical mobile 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

[[Page 579]]

allocated in other countries shall be coordinated and notified in 
accordance with Resolution 33 (Rev.WRC-97). Complementary terrestrial 
broadcasting stations shall be subject to bilateral coordination with 
neighbouring countries prior to their bringing into use.
    5.397 Different category of service: in France, the band 2450-2500 
MHz is allocated on a primary basis to the radiolocation service (see 
No. 5.33). Such use is subject to agreement with administrations having 
services operating or planned to operate in accordance with the Table of 
Frequency Allocations which may be affected.
    5.398 In respect of the radiodetermination-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 
not be claimed from, stations of the radiolocation service by stations 
of the radiodetermination satellite service.
    5.400 Different category of service: in Angola, Australia, 
Bangladesh, Burundi, China, Eritrea, Ethiopia, India, Iran (Islamic 
Republic of), Jordan, Lebanon, Liberia, Libya, Madagascar, Mali, 
Pakistan, Papua New Guinea, Dem. Rep. of the Congo, Syria, Sudan, 
Swaziland, Togo and Zambia, the allocation of the band 2483.5-2500 MHz 
to the radiodetermination-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 radiodetermination-satellite services is subject to the 
coordination under No. 9.11A. Administrations 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 allocated to the radio astronomy service worldwide.
    5.403 Subject to agreement obtained under No. 9.21, the band 2520-
2535 MHz (until 1 January 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 national 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 
radiodetermination-satellite service (space-to-Earth) for operation 
limited to within national boundaries, subject to agreement obtained 
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-
satellite (space-to-Earth) service shall not exceed -152 dB(W/(m\2\ 4 
kHz)) in Argentina, unless otherwise agreed by the administrations 
concerned.
    5.409 Administrations shall make all practicable efforts to avoid 
developing new tropospheric 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-
satellite 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, administrations 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 
January 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 service is 
limited to national and regional systems, 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 exceed 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 limited 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 
community reception, subject to agreement obtained under No. 9.21. The 
power flux-density at the Earth's surface shall not exceed the values 
given in Article 21, Table 21-4.
    5.418 Additional allocation: in Bangladesh, Belarus, Korea (Rep. 
of), India, Japan, Pakistan, Singapore, Sri Lanka and Thailand, the

[[Page 580]]

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 limited to digital audio broadcasting and is 
subject to the provisions of Resolution 528 (WARC-92). The provisions of 
No. 5.416 and Table 21-4 of Article 21, do not apply to this additional 
allocation. Use of non-geostationary-satellite systems in the 
broadcasting-satellite service (sound) is subject to Resolution 539 
(WRC-2000).
    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 information, 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 networks for which 
complete Appendix 4 coordination information, or notification 
information, 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 information, or notification information, is considered to 
have been received before 3 June 2000. Use of the band by non-
geostationary-satellite systems in the broadcasting-satellite service 
(sound) is subject to the provisions of Resolution 539 (WRC-2000), and 
such systems shall be in accordance with Resolution 528 (WARC-92).
    5.418B Use of the band 2630-2655 MHz by non-geostationary-satellite 
systems for which complete Appendix 4 coordination information, or 
notification information, has been received after 2 June 2000, is 
subject to the application of the provisions of No. 9.12. Resolution 539 
(WRC-2000) applies.
    5.418C Use of the band 2630-2655 MHz by geostationary-satellite 
networks for which complete Appendix 4 coordination information, 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 systems in the broadcasting-satellite service 
(sound), and No. 22.2 does not apply. Resolution 539 (WRC-2000) applies.
    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 satellite 
systems operating in this band prior to 3 March 1992. The coordination 
of mobile-satellite systems in the band shall be in accordance with No. 
9.11A.
    5.420 The band 2655-2670 MHz (until 1 January 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 national boundaries, subject to agreement obtained 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 limited to within their national boundaries.
    5.421 Additional allocation: in Germany and Austria, the band 2690-
2695 MHz is also allocated to the fixed service on a primary basis. Such 
use is limited to equipment in operation by 1 January 1985.
    5.422 Additional allocation: in Saudi Arabia, Armenia, Azerbaijan, 
Bahrain, Belarus, Bosnia and Herzegovina, Brunei Darussalam, Congo, Cote 
d'Ivoire, Cuba, Egypt, the United Arab Emirates, Eritrea, Ethiopia, 
Gabon, Georgia, Guinea, Guinea-Bissau, Iran (Islamic Republic of), Iraq, 
Israel, Jordan, Lebanon, Malaysia, Mali, Mauritania, Moldova, Mongolia, 
Nigeria, Oman, Uzbekistan, Pakistan, the Philippines, Qatar, Syria, 
Kyrgyzstan, the Dem. Rep. of the Congo, Romania, the Russian Federation, 
Somalia, Tajikistan, Tunisia, Turkmenistan, Ukraine, Yemen and 
Yugoslavia, the band 2690-2700 MHz is also allocated to the fixed and 
mobile, except aeronautical mobile, services on a primary basis. Such 
use is limited to equipment in operation by 1 January 1985.
    5.423 In the band 2700-2900 MHz, ground-based radars used for 
meteorological purposes 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 primary 
basis, for use by shore-based radars.
    5.425 In the band 2900-3100 MHz, the use of the shipborne 
interrogator-transponder system (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 transponders shall not be capable of being confused with the 
response from radar beacons (racons) and shall not cause interference to 
ship or aeronautical radars in the radionavigation service, having 
regard, however, to No. 4.9.
    5.428 Additional allocation: in Azerbaijan, Bulgaria, 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 Arabia, Bahrain, Bangladesh, 
Brunei Darussalam, China, the Congo, Korea (Rep.

[[Page 581]]

of), the United Arab Emirates, India, Indonesia, Iran (Islamic Republic 
of), Iraq, Israel, Japan, Jordan, Kuwait, Lebanon, Libya, Malaysia, 
Oman, Pakistan, Qatar, Syria, Dem. People's Rep. of Korea and Yemen, the 
band 3300-3400 MHz is also allocated 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, Bulgaria, Cuba, 
Mongolia, Kyrgyzstan, Romania and Turkmenistan, the band 3300-3400 MHz 
is also allocated to the radionavigation service on a primary basis.
    5.431 Additional allocation: in Germany, Israel, Nigeria and the 
United Kingdom, the band 3400-3475 MHz is also allocated to the amateur 
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, except 
aeronautical mobile, service is on a primary basis (see No. 5.33).
    5.433 In Regions 2 and 3, in the band 3400-3600 MHz the 
radiolocation service is allocated on a primary basis. However, all 
administrations operating radiolocation systems in this band are urged 
to cease operations by 1985. Thereafter, administrations shall take all 
practicable steps to protect the fixed-satellite service and 
coordination requirements 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 reserved exclusively for radio altimeters 
installed on board aircraft and for the associated transponders on the 
ground. However, passive sensing in the earth exploration-satellite and 
space research services may be authorized in this band on a secondary 
basis (no protection is provided by the radio altimeters).
    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 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 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-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 systems in the fixed-satellite 
service. Non-geostationary-satellite systems in the fixed-satellite 
service shall not claim protection from geostationary-satellite networks 
in the fixed-satellite service operating in accordance with the Radio 
Regulations, 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 complete coordination or notification information, as 
appropriate, for the geostationary-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.
    5.442 In the bands 4825-4835 MHz and 4950-4990 MHz, the allocation 
to the mobile service is restricted to the mobile, except aeronautical 
mobile, service.
    5.443 Different category of service: in Argentina, 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).
    5.443A Additional allocation: The band 5000-5010 MHz is also 
allocated to the radionavigation-satellite service (Earth-to-space) on a 
primary basis. See Resolution 603 (WRC-2000).
    5.443B Additional allocation: The band 5010-5030 MHz is also 
allocated to the radionavigation-satellite service (space-to-Earth) 
(space-to-space) on a primary basis. In order not to cause harmful 
interference 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) operating in the band 5010-
5030 MHz shall not exceed ``124.5 dB(W/m\2\) in a 150 kHz band. In order 
not to cause harmful interference to the radio astronomy service in the 
band 4990-5000 MHz, the aggregate power flux-density produced in the 
4990-5000 MHz band by all the space stations within any radionavigation-
satellite service (space-to-Earth) system operating in the 5010-5030 MHz 
band shall not exceed the provisional value of -171 dB(W/m\2\) in a 10 
MHz band at any radio astronomy observatory site for more than 2% of the 
time. For the use of this band, Resolution 604 (WRC-2000) applies.

[[Page 582]]

    5.444 The band 5030-5150 MHz is to be used for the operation of the 
international standard system (microwave landing system) for precision 
approach and landing. The requirements of this system shall take 
precedence over other uses of this band. For the use of this band, No. 
5.444A and Resolution 114 (WRC-95) apply.
    5.444A Additional allocation: the band 5091-5150 MHz is also 
allocated to the fixed-satellite service (Earth-to-space) on a primary 
basis. This allocation is limited to feeder links of non-geostationary 
mobile-satellite systems and is subject to coordination under No. 9.11A.

    In the band 5091-5150 MHz, the following conditions also apply:

--Prior to 1 January 2010, the use of the band 5091-5150 MHz by feeder 
links of non-geostationary-satellite systems in the mobile-satellite 
service shall be made in accordance with Resolution 114 (WRC-95);
--Prior to 1 January 2010, 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 2008, no new assignments shall be made to stations 
providing feeder links of non-geostationary mobile-satellite systems;
--After 1 January 2010, the fixed-satellite service will become 
secondary to the aeronautical 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 
radiodetermination-satellite service (space-to-Earth) on a primary 
basis, subject to agreement obtained under No. 9.21. In Region 2, the 
band is also allocated to the radiodetermination-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 operating 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/m\2\) in any 4 kHz band for all angles of arrival.
    5.446A The use of the bands 5150-5350 MHz and 5470-5725 MHz by the 
stations in the mobile service shall be in accordance with Resolution 
229 (WRC-03).
    5.446B In the band 5150-5250 MHz, stations in the mobile service 
shall not claim protection from earth stations in the fixed-satellite 
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, Lebanon, 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 
Resolution 229 (WRC-03) do not apply.
    5.447A The allocation to the fixed-satellite 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-satellite 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 
exceed -164 dB(W/m\2\) 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 
administrations responsible for non-geostationary-satellite 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 primary 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, 
Philippines, Sri Lanka, Thailand and Viet Nam. The use of this band by 
the fixed service is intended for the implementation of fixed wireless 
access (FWA) systems and shall comply with Recommendation ITU-R F.1613. 
In addition, the fixed service shall not claim protection from the 
radiodetermination, Earth exploration-satellite (active) and space 
research (active) services, but the provisions of No. 5.43A do not apply 
to the fixed service with respect to the Earth exploration-satellite 
(active) and space research (active) services. After implementation of 
FWA systems in the fixed service with protection for the existing 
radiodetermination systems, no more stringent constraints should be 
imposed on the

[[Page 583]]

FWA systems by future radiodetermination implementations.
    5.447F In the band 5250-5350 MHz, stations in the mobile service 
shall not claim protection from the radiolocation service, the Earth 
exploration-satellite service (active) and the space research service 
(active). These services shall not impose on the mobile service more 
stringent protection criteria, 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 
aeronautical radionavigation service in the band 5350-5460 MHz, the 
radionavigation service in 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 
protection 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 operating 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), Mongolia, Kyrgyzstan, Romania, Turkmenistan and Ukraine, 
the band 5470-5650 MHz is also allocated to the aeronautical 
radionavigation service on a primary basis.
    5.450A In the band 5470-5725 MHz, stations in the mobile service 
shall not claim protection from radiodetermination services. 
Radiodetermination services shall not impose on the mobile service more 
stringent protection criteria, based on system characteristics 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 
meteorological 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 allocated to the land mobile service on a secondary 
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 Arabia, Bahrain, Bangladesh, 
Brunei Darussalam, Cameroon, China, Congo, C[ocirc]te d'Ivoire, Korea 
(Rep. of), Egypt, the United Arab Emirates, Gabon, Guinea, Equatorial 
Guinea, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, 
Japan, Jordan, Kenya, Kuwait, Lebanon, the Libyan Arab Jamahiriya, 
Madagascar, Malaysia, Nigeria, Oman, Pakistan, the Philippines, Qatar, 
the Syrian Arab Republic, the Dem. People's Rep. of Korea, Singapore, 
Sri Lanka, Swaziland, Tanzania, Chad, Thailand, Togo, Viet Nam and 
Yemen, the band 5650-5850 MHz is also allocated to the fixed and mobile 
services on a primary basis. In this case, the provisions of Resolution 
229 (WRC-03) do not apply.
    5.454 Different category of service: In Azerbaijan, Georgia, 
Mongolia, Uzbekistan, Kyrgyzstan, the Russian Federation, Tajikistan and 
Turkmenistan, the allocation of the band 5670-5725 MHz to the space 
research service is on a primary basis (see No. 5.33).
    5.455 Additional allocation: In Armenia, Azerbaijan, Belarus, Cuba, 
Georgia, Hungary, Kazakhstan, Latvia, Moldova, Mongolia, Uzbekistan, 
Kyrgyzstan, the Russian Federation, Tajikistan, Turkmenistan and 
Ukraine, the band 5670-5850 MHz is also allocated to the fixed service 
on a primary basis.
    5.456 Additional allocation: in Germany and 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 on 
board vessels 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 vessels may operate with the characteristics and under 
the conditions contained in Resolution 902 (WRC-03) in Algeria, Saudi 
Arabia, Bahrain, Comoros, Djibouti, Egypt, United Arab Emirates, Jordan, 
Kuwait, Libyan Arab Jamahiriya, Morocco, Mauritania, Oman, Qatar, Syrian 
Arab Republic, Sudan, Tunisia and Yemen, in the maritime mobile-
satellite service on a secondary basis. Such use shall

[[Page 584]]

be in accordance with Resolution 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 measurements are carried out. Administrations 
should bear in mind the needs of the Earth exploration-satellite 
(passive) and space research (passive) services in their future planning 
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 spectral line observations of the 
radio astronomy service in the band 6650-6675.2 MHz from harmful 
interference from unwanted emissions.
    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 mobile-satellite service and is 
subject to coordination 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 submissions in the band 7025-7075 MHz 
(Earth-to-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 administrations 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 facilitating 
shared operation of both geostationary-satellite systems in the fixed-
satellite service and non-geostationary-satellite systems in this band.
    5.459 Additional allocation: in Russian Federation, 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 Additional allocation: the band 7145-7235 MHz is also 
allocated to the space research (Earth-to-space) service on a primary 
basis, subject to agreement obtained under No. 9.21. The use of the band 
7145-7190 MHz is restricted to deep space; no emissions to deep space 
shall be effected in the band 7190-7235 MHz.
    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 meteorological-satellite systems in this band 
notified 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-geostationary 
satellite systems.
    5.462A In Regions 1 and 3 (except for Japan), in the band 8025-8400 
MHz, the earth exploration-satellite service using geostationary 
satellites shall not produce a power flux-density in excess of the 
following provisional values for angles of arrival ([thetas]), without 
the consent of the affected administration:

-174 dB(W/m2) in a 4 kHz band for 0<= [thetas]< 5[deg]
-174 + 0.5 ([thetas] - 5) dB(W/m\2\) in a 4 kHz band for 5<= < 25[deg]
-164 dB(W/m\2\) in a 4 kHz band for 25<= [thetas] <= 90[deg]

    These values are subject to study under Resolution 124 (WRC-97).\6\
---------------------------------------------------------------------------

    \6\ Note by the Secretariat: This Resolution was revised by WRC-
2000.
---------------------------------------------------------------------------

    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, Malaysia, 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).
    5.467 Alternative allocation: in the United Kingdom, the band 8400-
8500 MHz is allocated to the radiolocation and space research services 
on a primary basis.
    5.468 Additional allocation: in Saudi Arabia, Bahrain, Bangladesh, 
Brunei Darussalam, Burundi, Cameroon, China, the Congo, Costa Rica, 
Egypt, the United Arab Emirates, Gabon, Guyana, Indonesia, Iran (Islamic 
Republic of), Iraq, Jamaica, Jordan, Kuwait, Lebanon, Libya, Malaysia, 
Mali, Morocco, Mauritania, Nepal, Nigeria, Oman, Pakistan, Qatar, Syria, 
Dem. People's Rep. of Korea, Senegal, Singapore, 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, 
Bulgaria, Georgia, Hungary, Lithuania, Moldova, Mongolia, Uzbekistan, 
Poland, Kyrgyzstan, Slovakia, the Czech Rep., Romania, the Russian 
Federation, Tajikistan, Turkmenistan and Ukraine, the band 8500-8750 MHz 
is also allocated to the land mobile and radionavigation services on a 
primary basis.

[[Page 585]]

    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, 
stations 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, Germany, Bahrain, Belgium, 
China, the United Arab Emirates, France, Greece, Indonesia, Iran 
(Islamic Republic of), Libya, the Netherlands, 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, Georgia, Hungary, Moldova, Mongolia, 
Uzbekistan, Poland, Kyrgyzstan, Slovakia, the Czech Rep., Romania, the 
Russian Federation, Tajikistan, Turkmenistan and Ukraine, the bands 
8850-9000 MHz and 9200-9300 MHz are also allocated to the 
radionavigation service on a primary basis.
    5.474 In the band 9200-9500 MHz, search and rescue transponders 
(SART) may be 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 harmful interference is not caused to the maritime 
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 January 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, 
stations of the radionavigation and radiolocation services.
    5.477 Different category of service: in Algeria, Saudi Arabia, 
Austria, Bahrain, Bangladesh, Brunei Darussalam, Cameroon, Egypt, the 
United Arab Emirates, Eritrea, Ethiopia, Guyana, India, Indonesia, Iran 
(Islamic Republic of), Iraq, Jamaica, Japan, Jordan, Kuwait, Lebanon, 
Liberia, Malaysia, Nigeria, Oman, Pakistan, Qatar, the Dem. People's 
Rep. of Korea, Singapore, Somalia, Sudan, Sweden, Trinidad and Tobago, 
and Yemen, the allocation 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, Slovakia, the Czech Rep., Romania, Turkmenistan and Ukraine, 
the band 9800-10000 MHz is also allocated to the radionavigation service 
on a primary basis.
    5.479 The band 9975-10025 MHz is also allocated to the 
meteorological-satellite service on a secondary basis for use by weather 
radars.
    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, El Salvador, Ecuador, Spain, Guatemala, Japan, Morocco, 
Nigeria, Oman, Uzbekistan, Paraguay, Peru, the Dem. People's Rep. of 
Korea, Sweden, 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 maximum 
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, Bangladesh, Belarus, China, the 
United Arab Emirates, Georgia, India, Indonesia, Iran (Islamic Republic 
of), Iraq, Japan, Kazakstan, Kuwait, Latvia, Lebanon, Moldova, Nigeria, 
Uzbekistan, Pakistan, the Philippines, Qatar, Syria, Kyrgyzstan, Russian 
Federation, Tajikistan, Turkmenistan and Ukraine, the restrictions on 
the fixed and mobile, except aeronautical mobile, services are not 
applicable.
    5.483 Additional allocation: in Saudi Arabia, 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, Japan, Jordan, Kazakstan, Kuwait, Latvia, 
Lebanon, Moldova, Mongolia, Uzbekistan, Qatar, Kyrgyzstan, the Dem. 
People's Rep. of Korea, Romania, the Russian Federation, Tajikistan, 
Turkmenistan, Ukraine, Yemen and Yugoslavia, the band 10.68-10.7 GHz is 
also allocated to the fixed and mobile, except aeronautical mobile, 
services on a primary basis. Such use is limited to equipment in 
operation 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-

[[Page 586]]

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 Region 2, 
12.2-12.75 GHz (space-to-Earth) in Region 3, 12.5-12.75 GHz (space-to-
Earth) in Region 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 systems in the fixed-satellite service. Non-geostationary-
satellite systems in the fixed-satellite service shall not claim 
protection from geostationary-satellite networks in the fixed-satellite 
service operating in accordance with the Radio Regulations, 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 complete 
coordination or notification information, as appropriate, for the 
geostationary-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.
    5.485 In Region 2, in the band 11.7-12.2 GHz, transponders on space 
stations in the fixed-satellite 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 
protection from interference than the coordinated fixed-satellite 
service frequency assignments. With respect to the space services, this 
band shall be used principally for the fixed-satellite service.
    5.486 Different category of service: in Mexico 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, except aeronautical mobile, and broadcasting 
services, in accordance with their respective allocations, shall not 
cause harmful interference to, or claim protection from, broadcasting-
satellite stations operating in accordance with the provisions of 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-satellite 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-satellite 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 coordination or notification information, as appropriate, for 
the non-geostationary-satellite systems in the fixed-satellite service 
and of the complete coordination or notification information, as 
appropriate, for the geosationary-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 the 
provisions of Resolution 77 (WRC-2000). 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 
broadcasting-satellite Plan for Region 2 contained in Appendix 30.
    5.491 Additional allocation: in Region 3, the band 12.2-12.5 GHz is 
also allocated to the fixed-satellite service (space-to-Earth) on a 
primary basis. The power flux-density limits in Table 21-4 of Article 21 
shall apply to this frequency band. The introduction of the service in 
relation to the broadcasting-satellite service in Region 1 shall follow 
the procedures specified in Article 7 of Appendix 30, with the 
applicable frequency band extended to cover 12.2-12.5 GHz.
    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 
transmissions 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 [middot] 27 MHz)) for all conditions and for all methods 
of modulation at the edge of the service area.

[[Page 587]]

    5.494 Additional allocation: in Algeria, Angola, Saudi Arabia, 
Bahrain, Cameroon, the Central African Rep., the Congo, C[ocirc]te 
d'Ivoire, Egypt, the United Arab Emirates, Eritrea, Ethiopia, Gabon, 
Ghana, Guinea, Iraq, Israel, Jordan, Kuwait, Lebanon, Libya, Madagascar, 
Mali, Morocco, Mongolia, Nigeria, Qatar, Dem. Rep. of the Congo, Syria, 
Senegal, Somalia, Sudan, Chad, Togo and Yemen, the band 12.5-12.75 GHz 
is also allocated to the fixed and mobile, except aeronautical mobile, 
services on a primary basis.
    5.495 Additional allocation: in Bosnia and Herzegovina, Croatia, 
Denmark, France, Greece, Liechtenstein, Monaco, Uganda, Portugal, 
Romania, Slovenia, Switzerland, Tanzania, Tunisia and Yugoslavia, 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 aeronautical 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. Coordination of these 
earth stations is not required with stations of the fixed and mobile 
services of the countries listed in this footnote. 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 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 primary 
basis.
    5.500 Additional allocation: in Algeria, Angola, Saudi Arabia, 
Bahrain, Brunei Darussalam, Cameroon, Egypt, the United Arab Emirates, 
Gabon, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Jordan, 
Kuwait, Lebanon, Madagascar, Malaysia, Mali, Malta, Morocco, Mauritania, 
Nigeria, Pakistan, Qatar, Syria, Senegal, 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 Austria, Azerbaijan, Hungary, Japan, 
Mongolia, Kyrgyzstan, Romania, 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 
radiolocation service.
    5.502 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 radiolocation or radionavigation services shall not 
exceed 59 dBW. The protection of assignments to receiving space stations 
in the fixed-satellite service operating with earth stations that, 
individually, have an e.i.r.p. of less than 68 dBW shall not impose 
constraints on the operation of the radiolocation and radionavigation 
stations operating in accordance with the Radio Regulations. No. 5.43A 
does not apply. See Resolution 733 (WRC-2000).
    5.503 In the band 13.75-14 GHz, geostationary space stations in the 
space research service for which information for advance 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 geostationary space stations in the space research service 
will operate on a secondary basis. Until those geostationary space 
stations in the space research service for which information for advance 
publication has been received by the Bureau prior to 31 January 1992 
cease to operate in this band:

--The e.i.r.p. density of emissions from any earth station in the fixed-
satellite service operating with a space station in geostationary-
satellite orbit shall not exceed 71 dBW in the 6 MHz band from 13.772 to 
13.778 GHz;
--The e.i.r.p. density of emissions from any earth station in the fixed-
satellite service operating with a space station in non-geostationary-
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 the 6 MHz band in this frequency range to compensate for rain 
attenuation, 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. of 71 dBW or 51 dBW, as 
appropriate, in the 6 MHz band in clear-sky conditions.
    5.503A Until 1 January 2000, stations in the fixed-satellite service 
shall not cause

[[Page 588]]

harmful interference to non-geostationary space stations in the space 
research and Earth exploration-satellite services. After that date, 
these non-geostationary space stations will operate on a secondary basis 
in relation to the fixed-satellite service. Additionally, when planning 
earth stations in the fixed-satellite service to be brought into service 
between 1 January 2000 and 1 January 2001, in order to accommodate the 
needs of spaceborne precipitation radars operating in the band 13.793-
13.805 GHz, advantage should be taken of the consultation process and 
the information given in Recommendation ITU-R SA.1071.
    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 stations 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 communicate 
with space stations in the fixed-satellite 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 in the band 14-14.5 GHz shall comply with the 
provisions of Annex 1, Part C of Recommendation ITU-R M.1643, with 
respect to any radio astronomy station performing observations 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[ocirc]te 
d'Ivoire, Egypt, Guinea, India, Iran, Kuwait, Lesotho, Nigeria, Oman, 
Syrian Arab Republic and Tunisia 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 accordance 
with No. 5.29.
    5.505 Additional allocation: in Algeria, Angola, Saudi Arabia, 
Bahrain, Bangladesh, Botswana, Brunei Darussalam, Cameroon, China, 
Congo, Korea (Rep. of), Egypt, the United Arab Emirates, Gabon, 
Guatemala, Guinea, India, Indonesia, Iran (Islamic Republic of), Iraq, 
Israel, Japan, Jordan, Kuwait, Lesotho, Lebanon, Malaysia, Mali, 
Morocco, Mauritania, Oman, Pakistan, the Philippines, Qatar, Syrian Arab 
Republic, the Dem. People's Rep. of Korea, Singapore, Somalia, Sudan, 
Swaziland, Tanzania, Chad and Yemen, the band 14-14.3 GHz is also 
allocated to the fixed service on a primary 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 stations for which the 
complete Appendix 4 information has been received by the 
Radiocommunication Bureau prior to 5 July 2003.
    5.506B Earth stations 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 distance given in Resolution 902 
(WRC-03) from these countries.
    5.508 Additional allocation: in Germany, Bosnia and Herzegovina, 
France, Italy, The Former Yugoslav Republic of Macedonia, Libyan Arab 
Jamahiriya, the United Kingdom, Slovenia and Serbia and Montenegro, 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, 
C[ocirc]te d'Ivoire, Egypt, France, Guinea, India, Iran, Italy, Kuwait, 
Lesotho, Nigeria, Oman, Syrian Arab Republic, the United Kingdom and 
Tunisia 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 accordance 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, C[ocirc]te d'Ivoire, Egypt, France, Gabon, Guinea, India, Iran, 
Italy, Kuwait, Lesotho, Morocco, Nigeria, Oman, Syrian Arab Republic, 
the United Kingdom, Sri Lanka, Tunisia 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 provisions of this footnote in no way derogate 
the obligations of the aeronautical mobile-satellite service to operate 
as a secondary service in accordance with No. 5.29.

[[Page 589]]

    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 Arabia, Bahrain, Bosnia and 
Herzegovina, Cameroon, Egypt, the United Arab Emirates, Guinea, Iran 
(Islamic Republic of), Iraq, Israel, Kuwait, Lebanon, Libya, Pakistan, 
Qatar, Syria, Slovenia, Somalia and Yugoslavia, the band 15.35-15.4 GHz 
is also allocated to the fixed and mobile services on a secondary basis.
    5.511A The band 15.43-15.63 GHz is also allocated 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 limited to feeder links of non-geostationary systems 
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 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 distances 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 aeronautical radionavigation 
service shall limit the effective e.i.r.p. in accordance with 
Recommendation 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 horizontal 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/(m\2\ 
[middot] 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/(m\2\ [middot] MHz)) for any angle of 
arrival, it shall coordinate under No. 9.11A with the affected 
administrations. 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 aeronautical radionavigation 
service (No. 4.10 applies).
    5.512 Additional allocation: in Algeria, Angola, Saudi Arabia, 
Austria, Bahrain, Bangladesh, Bosnia and Herzegovina, Brunei Darussalam, 
Cameroon, the Congo, Costa Rica, Egypt, El Salvador, the United Arab 
Emirates, Finland, Guatemala, India, Indonesia, Iran (Islamic Republic 
of), Jordan, Kuwait, Libya, Malaysia, Morocco, Mozambique, Nepal, 
Nicaragua, Oman, Pakistan, Qatar, Singapore, Slovenia, Somalia, Sudan, 
Swaziland, Tanzania, Chad, Yemen and Yugoslavia, 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 services operating in accordance with the Table in 
countries other than those included in No. 5.512.
    5.513A Spaceborne active sensors operating 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, Germany, Angola, Saudi 
Arabia, Austria, Bahrain, Bangladesh, Bosnia and Herzegovina, Cameroon, 
Costa Rica, El Salvador, the United Arab Emirates, Finland, Guatemala, 
Honduras, India, Iran (Islamic Republic of), Iraq, Israel, Japan, 
Jordan, Kuwait, Libya, Nepal, Nicaragua, Oman, Pakistan, Qatar, 
Slovenia, Sudan and Yugoslavia, the band 17.3-17.7 GHz is also allocated 
to the fixed and mobile services 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 between the fixed-satellite 
service (Earth-to-space) and the broadcasting-satellite service shall 
also be in accordance with the provisions of Sec. 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 geostationary satellites. For the use of 
the band

[[Page 590]]

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-satellite systems in 
the fixed-satellite 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-geostationary-satellite 
systems in the fixed-satellite service shall not claim protection from 
geostationary-satellite networks in the fixed-satellite service 
operating in accordance with the Radio Regulations, 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 complete 
coordination or notification information, as appropriate, for the 
geostationary-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.
    5.516B The following bands are identified for use by high-density 
applications in the fixed-satellite service (HDFSS):

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-primary basis and does not establish 
priority in these Regulations among users of the bands. Administrations 
should take this into account when considering regulatory provisions in 
relation to these bands. See Resolution 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-satellite (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-satellite 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 meteorological-satellite service (space-to-Earth) on a 
primary basis. Its use is limited to geostationary satellites and shall 
be in accordance 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-
satellite systems in the broadcasting-satellite service.
    5.521 Alternative allocation: in Germany, Denmark, the United Arab 
Emirates, Greece and Slovakia, 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 Algeria, Saudi Arabia, Bahrain, 
Egypt, the United Arab Emirates, Jordan, Lebanon, Libya, Morocco, Oman, 
Qatar, Syria, Tunisia and Yemen, fixed-service systems in operation 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-geostationary fixed-
satellite service networks is subject to the application of the 
provisions of No. 9.11A and No. 22.2 does not apply. Administrations 
having geostationary-satellite networks under coordination prior to 18 
November 1995 shall cooperate to the maximum extent possible to 
coordinate pursuant to No. 9.11A with non-geostationary-satellite 
networks for which notification information has been received by the 
Bureau prior to that date, with a view to reaching results acceptable to 
all the parties concerned. Non-geostationary-satellite networks shall 
not cause unacceptable interference to geostationary fixed-satellite 
service networks for which complete Appendix 4 notification information 
is considered as having been received by the Bureau prior to 18 November 
1995.

[[Page 591]]

    5.523B The use of the band 19.3-19.6 GHz (Earth-to-space) by the 
fixed-satellite service is limited to feeder links for non-
geostationary-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, between feeder links of non-geostationary mobile-
satellite service networks and those fixed-satellite service networks 
for which complete Appendix 4 coordination information, or notification 
information, is considered 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-satellite service systems and by feeder links for 
non-geostationary-satellite systems in the mobile-satellite service is 
subject to the application 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 (except 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, between feeder links of non-geostationary mobile-
satellite service networks and those fixed-satellite service networks 
for which complete Appendix 4 coordination information, or notification 
information, is considered as having been received by the Bureau by 21 
November 1997.
    5.524 Additional allocation: in Afghanistan, Algeria, Angola, Saudi 
Arabia, Bahrain, Bangladesh, 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, Lebanon, Malaysia, Mali, Morocco, Mauritania, Nepal, Nigeria, 
Oman, Pakistan, the Philippines, 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 services 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 service in the band 
19.7-20.2 GHz where the allocation 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 mobile-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, networks 
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 communications.
    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-satellite service is intended for 
use by networks which use narrow spot-beam antennas and other advanced 
technology at the space stations. 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 ensure 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-satellite 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 broadcasting-satellite service 
after that date and on an interim basis prior to that date is subject to 
the provisions of Resolution 525 (WARC-92).
    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 mobile, 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.
    5.534 Additional allocation: in Japan, the band 24.65-25.25 GHz is 
also allocated to the radionavigation service on a primary basis until 
2008.
    5.535 In the band 24.75-25.25 GHz, feeder links to stations of the 
broadcasting-satellite 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.

[[Page 592]]

    5.535A The use of the band 29.1-29.5 GHz (Earth-to-space) by the 
fixed-satellite service is limited to geostationary-satellite systems 
and feeder links to non-geostationary-satellite systems in the mobile-
satellite service. Such use is subject to the application 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 procedures, 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 research and Earth exploration-satellite 
applications, and also transmissions of data originating from industrial 
and medical activities in space.
    5.536A Administrations installing Earth exploration-satellite 
service earth stations cannot claim protection from stations in the 
fixed and mobile services operated by neighbouring administrations. In 
addition, earth stations operating in the Earth exploration-satellite 
service should take into account Recommendation ITU-R SA.1278.
    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, Switzerland, 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.
    5.537 Space services using non-geostationary 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, Indonesia, Iran (Islamic Republic of), Japan, 
Maldives, Mongolia, Myanmar, Pakistan, 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 the band 27.5-28.35 GHz by HAPS is 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.
    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 transmissions 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 surface.
    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-satellite 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 exploration-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 adaptive 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 mutual 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. Administrations 
submitting Appendix 4 information for coordination before this date are 
encouraged 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 Republic 
of), Iraq, Japan, Jordan, Kuwait, Lebanon, Malaysia, Mali, Morocco, 
Mauritania, Nepal, Pakistan, the Philippines, Qatar, Syria, the Dem. 
People's Rep. of Korea, Somalia, 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 exploration-satellite service for telemetry, tracking, and 
control purposes, on a secondary basis.
    5.543A In Bhutan, Indonesia, Iran (Islamic Republic of), Japan, 
Maldives, Mongolia, Myanmar, Pakistan, the Dem. People's Rep. of Korea, 
Sri Lanka, Thailand and Viet Nam,

[[Page 593]]

the allocation to the fixed service in the band 31-31.3 GHz may also be 
used by high altitude platform stations (HAPS) in the ground-to-HAPS 
direction. The use of the band 31-31.3 GHz by systems using HAPS shall 
not cause harmful interference to, nor claim protection from, other 
types of fixed-service systems or other co-primary services, taking into 
account No. 5.545. The use of HAPS in the band 31-31.3 GHz shall not 
cause harmful interference to the passive services having a primary 
allocation in the band 31.3-31.8 GHz, taking into account the 
interference criteria given in Recommendations ITU-R SA.1029 and ITU-R 
RA.769. The administrations of the countries listed above are urged to 
limit the deployment of HAPS in the band 31-31.3 GHz to the lower half 
of this band (31-31.15 GHz) until 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 Armenia, Azerbaijan, 
Belarus, Georgia, Mongolia, Kyrgyzstan, the Russian Federation, 
Tajikistan, Turkmenistan and Ukraine, 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, Estonia, 
Finland, Georgia, Hungary, Iran (Islamic Republic of), Israel, Jordan, 
Latvia, Lebanon, Moldova, Mongolia, Uzbekistan, Poland, Syria, 
Kyrgyzstan, Romania, the United Kingdom, the Russian Federation, 
Tajikistan, Turkmenistan, Turkey and Ukraine, the allocation of the band 
31.5-31.8 GHz to the fixed and mobile, 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 
applications in the fixed service (see Resolutions 75 (WRC-2000) and 79 
(WRC-2000)). Administrations should take this into account when 
considering regulatory provisions in relation to these bands. Because of 
the potential deployment of high-density applications 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 practical measures to minimize 
the potential interference between stations in the fixed service and 
airborne stations in the radionavigation 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 inter-satellite, 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 services 
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 and 
radionavigation services in the band 32-33 GHz, and for the space 
research service (deep space) in the band 31.8-32.3 GHz, administrations 
shall take all necessary measures to prevent harmful interference 
between these services, bearing in mind the safety aspects of the 
radionavigation service (see Recommendation 707).
    5.549 Additional allocation: in Saudi Arabia, Bahrain, Bangladesh, 
Egypt, the United Arab Emirates, Gabon, Indonesia, Iran (Islamic 
Republic of), Iraq, Israel, Jordan, Kuwait, Lebanon, Libya, Malaysia, 
Mali, Malta, Morocco, Mauritania, Nepal, Nigeria, Oman, Pakistan, the 
Philippines, Qatar, Dem. Rep. of the Congo, Syria, Senegal, 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.
    5.550 Different category of service: in Armenia, Azerbaijan, 
Belarus, Georgia, Mongolia, Uzbekistan, Kyrgyzstan, the Russian 
Federation, Tajikistan, Turkmenistan and Ukraine, the allocation of the 
band 34.7-35.2 GHz to the space research service is on a primary basis 
(see No. 5.33).
    5.551A In the band 35.5-36.0 GHz, active spaceborne sensors in the 
earth exploration-satellite and space research services shall not cause 
harmful interference to, claim protection from, or otherwise impose 
constraints on operation or development of the radiolocation service, 
the meteorological aids service and other services allocated on a 
primary basis.
    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-satellite service (space-to-Earth) operating in the 42-42.5 
GHz band, shall not exceed the following values at the site of any radio 
astronomy station for more than 2% of the time:

[[Page 594]]

    -230 dB(W/m\2\) in 1 GHz and -246 dB(W/m\2\) 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
    -209 dB(W/m\2\) in any 500 kHz of the 42.5-43.5 GHz band at the site 
of any radio astronomy station registered as a very long baseline 
interferometry station.
    These epfd values shall be evaluated using the methodology given in 
Recommendation ITU-R S.1586 and the reference antenna pattern and the 
maximum gain of an antenna in the radio astronomy service given in 
Recommendation ITU-R RA.1631 and shall apply over the whole sky and for 
elevation angles higher than the minimum operating angle [thetas]min of 
the radiotelescope (for which a default value of 5[deg] should be 
adopted in the absence of notified information).
    These values shall apply at any radio astronomy station that either:

--Was in operation prior to 5 July 2003 and has been notified to the 
Radiocommunication Bureau before 4 January 2004; or
--Was notified before the date of receipt of the complete Appendix 4 
information for coordination or notification, as appropriate, 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-satellite service (space-to-Earth) 
operating in the 42-42.5 GHz band, shall not exceed the following values 
at the site of any radio astronomy 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 astronomy station registered as a very long 
baseline 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 
Radiocommunication Bureau before 4 January 2004; or
--Was notified before the date of receipt of the complete Appendix 4 
information for coordination or notification, as appropriate, 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) \7\
---------------------------------------------------------------------------

    \7\ Note by the Secretariat: This Resolution was revised by WRC-
2000.
---------------------------------------------------------------------------

    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 authorized when used in conjunction 
with the mobile-satellite service or the radionavigation-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 astronomy service on a primary basis.
    5.555A The power flux-density in the band 48.94-49.04 GHz produced 
by any geostationary space station in the fixed-satellite 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 observations may be carried out under national arrangements.
    5.556A Use of the bands 54.25-56.9 GHz, 57-58.2 GHz and 59-59.3 GHz 
by the inter-satellite service is limited to satellites in the 
geostationary-satellite orbit. The single-entry power flux-density at 
all altitudes

[[Page 595]]

from 0 km to 1000 km above the Earth's surface produced by a station in 
the inter-satellite service, for all conditions and for all methods of 
modulation, shall not exceed -147 dB(W/(m2 [middot] 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 exploration-satellite service (passive), the maximum power 
density delivered by a transmitter to the antenna of a fixed service 
station 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 operated subject to not causing 
harmful interference 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 between satellites in geostationary-satellite 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-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 [middot] 100 MHz)) for all angles of arrival.
    5.559 In the band 59-64 GHz, airborne radars in the radiolocation 
service may be operated subject to not causing harmful interference to 
the inter-satellite service (see No. 5.43).
    5.559A The band 75.5-76 GHz is also allocated 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 primary 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 stations 
of the fixed-satellite service or stations of the broadcasting-satellite 
service operating 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 allocated 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 broadcasting-
satellite service using the geostationary-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 (active) that 
are directed into the main beam of a radio astronomy antenna have the 
potential to damage some radio astronomy receivers. Space agencies 
operating the transmitters and the radio astronomy stations concerned 
should mutually plan their operations so as to avoid such occurrences to 
the maximum 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 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 km to 1000 km above the Earth's surface and in 
the vicinity of all geostationary orbital positions occupied by passive 
sensors, shall not exceed -148 dB(W/(m2 [middot] MHz)) for 
all angles of arrival.
    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 allocated 
to the radio astronomy service on a primary basis until 2015.
    5.562E The allocation to the Earth exploration-satellite service 
(active) is limited to the band 133.5-134 GHz.
    5.562F In the band 155.5-158.5 GHz, the allocation to the Earth 
exploration-satellite (passive) and space research (passive) services 
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 orbital 
positions occupied by passive sensors, shall not exceed -144 dB(W/(m\2\ 
[middot] 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.

[[Page 596]]

    5.563B The band 237.9-238 GHz is also allocated to the Earth 
exploration-satellite service (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 experimentation 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 services:

--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 (passive) 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 
frequency band.

                      United States (US) Footnotes

    (These footnotes, each consisting of the letters US followed by one 
or more digits, denote stipulations applicable to both Government and 
non-Government stations.)
    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 Commission 
after mutual agreement, on a case-by-case basis, between the Federal 
Communications Commission Engineer in Charge at the applicable district 
office and the military area frequency coordinator at the applicable 
military base. For areas (e) through (j), the appropriate military 
coordinator is located at Peterson AFB, CO.
    (a) The entire State of New Mexico and Texas west of longitude 
104[deg]00[min] West;
    (b) The entire State of Florida including the Key West area and the 
areas enclosed within a 322-kilometer (200-mile) radius of Patrick Air 
Force Base, Florida (latitude 28[deg]21[min] North, longitude 
80[deg]43[min] West), and within a 322-kilometer (200-mile) radius of 
Eglin Air Force Base, Florida (latitude 30[deg]30[min] North, longitude 
86[deg]30[min] West);
    (c) The entire State of Arizona;
    (d) Those portions of California and Nevada south of latitude 
37[deg]10[min] North, and the areas enclosed within a 322-kilometer 
(200-mile) radius of the Pacific Missile Test Center, Point Mugu, 
California (latitude 34[deg]09[min] North, longitude 119[deg]11[min] 
West).
    (e) In the State of Massachusetts within a 160-kilometer (100-mile) 
radius around locations at Otis Air Force Base, Massachusetts (latitude 
41[deg]45[min] North, longitude 70[deg]32[min] West).
    (f) In the State of California within a 240-kilometer (150-mile) 
radius around locations at Beale Air Force Base, California (latitude 
39[deg]08[min] North, longitude 121[deg]26[min] West).
    (g) In the State of Alaska within a 160-kilometer (100-mile) radius 
of Clear, Alaska (latitude 64[deg]17[min] North, longitude 
149[deg]10[min] West).
    (h) In the State of North Dakota within a 160-kilometer (100-mile) 
radius of Concrete, North Dakota (latitude 48[deg]43[min] North, 
longitude 97[deg]54[min] West).
    (i) In the States of Alabama, Georgia and South Carolina within a 
200-kilometer (124-mile) radius of Warner Robins Air Force Base, Georgia 
(latitude 32[deg]38[min] North, longitude 83[deg]35[min] West).
    (j) In the State of Texas within a 200-kilometer (124-mile) radius 
of Goodfellow Air Force Base, Texas (latitude 31[deg]25[min] North, 
longitude 100[deg]24[min] West).
    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 Mississippi River may be 
authorized to fixed, land and mobile stations operated by non-Federal 
forest firefighting agencies. In addition, land stations and mobile 
stations operated by non-Federal conservation agencies, for mobile relay 
operation only, may be authorized to use the frequency 172.275 MHz east 
of the Mississippi River and the frequency 171.475 MHz west of the 
Mississippi River. The use of any of the foregoing nine frequencies 
shall be on the condition that no harmful interference will be caused to 
Government stations.
    US11 The use of the frequencies 166.25 and 170.15 MHz may be 
authorized to non-Federal Government remote pickup broadcast base and 
land mobile stations and to non-Federal Government base, fixed and land 
mobile stations in the public safety radio services on the condition 
that harmful interference shall not be caused to present or future 
Federal Government stations in the band 162-174 MHz. Authorization on 
these frequencies shall be in the lower 48 contiguous States only, 
except within the area bounded on the west by the Mississippi River, on 
the north by the parallel of latitude 37[deg]30[min] N., and on the east 
and south by that are of the circle with center at Springfield, 
Illinois, and radius equal to the airline distance between Springfield, 
Illinois, and Montgomery, Alabama, subtended between the foregoing west 
and north boundaries. The use of these frequencies by remote pickup 
broadcast stations shall not be authorized for locations within 150 
miles (241.4 km) of New York City; and use of these frequencies by the 
public

[[Page 597]]

safety radio services shall not be authorized except for locations 
within 150 miles of New York City.
    US13 For the specific purpose of transmitting hydrological and 
meteorological data in co-operation with agencies of the Federal 
Government, the following frequencies may be authorized to non-
Government fixed stations on the condition that harmful interference 
will not be caused to Government stations.

                                   MHz

169.425
169.450
169.475
169.500
169.525
170.225
170.250
170.275
170.300
170.325
171.025
171.050
171.075
171.100
171.125
171.825
171.850
171.875
171.900
171.925
406.125
406.175
409.675
409.725
412.625
412.675
412.725
412.775

    Licensees holding a valid authorization on June 11, 1962, to operate 
on the frequencies 169.575, 170.375 or 171.975 MHz may continue to be 
authorized for such operations on the condition that harmful 
interference will not be caused to Government stations.
    US14 When 500 kHz is being used for distress purposes, ship and 
coast stations using morse telegraph may use 512 kHz for calling.
    US18 Navigation aids in the U.S. and its insular areas in the bands 
9-14 kHz, 90-110 kHz, 190-415 kHz, 510-535 kHz, and 2700-2900 MHz are 
normally operated by the Federal Government. However, authorizations may 
be made by the FCC for non-Federal Government operations in these bands 
subject to the conclusion 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 26110 kHz, 26130 kHz, 26151 kHz, and 
26172 kHz may be authorized to non-Federal Government remote pickup 
broadcast base and mobile stations on the condition that harmful 
interference is not caused to the reception of either international 
broadcast stations transmitting in the band 25850-26100 kHz or to coast 
stations transmitting in the band 26100-26175 kHz.
    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 
communications.
    US30 The band 121.9375-123.0875 MHz is available to FAA aircraft for 
communications 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 
aeronautical advisory stations. In addition, at landing areas having a 
part-time or no airdrome 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 inspections 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 noninterference basis to aeronautical utility mobile 
stations. In case of 122.925 MHz, US213 applies.
    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 Government use, the band 123.1125-123.5875 MHz is 
available for FAA communications incident to flight test and inspection 
activities pertinent to aircraft and facility certification on a 
secondary noninterference basis.
    US33 The band 123.1125-123.5875 MHz is for use by flight test and 
aviation instructional stations. The frequency 121.950 MHz is available 
for aviation instructional stations.
    US41 The Government radiolocation service is permitted in the band 
2450-2500 MHz on condition that harmful interference is not caused to 
non-Government services.
    US44 The non-Government radiolocation service may be authorized in 
the band 2900-3100 MHz on the condition that no harmful interference is 
caused to Government services.
    US48 In the band 9000-9200 MHz, the use of the radiolocation service 
by non-Federal Government licensees may be authorized on the condition 
that harmful interference is not caused to the aeronautical 
radionavigation service or to the Federal Government radiolocation 
service.
    US49 The non-Government radiolocation service may be authorized in 
the band 5460-5470 MHz on the condition that it does not

[[Page 598]]

cause harmful interference to the aeronautical or maritime 
radionavigation services or to the Government radiolocation service.
    US50 In the band 5470-5650 MHz, the radiolocation service may be 
authorized for non-Federal Government use on the condition that harmful 
interference is not caused to the maritime radionavigation service or to 
the Federal Government radiolocation service.
    US51 In the band 9300-9500 MHz, the radiolocation service may be 
authorized for non-Federal Government use on the condition that harmful 
interference is not caused to the Federal Government radiolocation 
service.
    US53 In view of the fact that the band 13.25-13.4 GHz is allocated 
to doppler navigation aids, Government, and non-Government airborne 
doppler radars in the aeronautical radionavigation 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 
radiolocation service in the band 8500-10000 MHz.
    US58 In the band 10000-10500 MHz, pulsed emissions are prohibited, 
except for weather radars on board meteorological satellites in the band 
10000-10025 MHz. The amateur service and the non-Government 
radiolocation service, which shall not cause harmful interference to the 
Government radiolocation service, are the only non-Government services 
permitted in this band. The non-Government 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 limited 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 radionavigation 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 installations 
will be coordinated with the meteorological aids service and, insofar as 
practicable, will be adjusted to meet the requirements 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 allocation in the band 400.15-
406.0 MHz does not preclude the operation therein of associated ground 
transmitters.
    US71 In the band 9300-9320 MHz, low-powered maritime radionavigation 
stations shall be protected from harmful interference caused by the 
operation of land-based equipment.
    US74 In the bands 25.55-25.67, 73.0-74.6, 406.1-410.0, 608-614, 
1400-1427, 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 protected from extraband radiation only 
to the extent that such radiation exceeds the level which would be 
present if the offending station were operating in compliance with the 
technical standards or criteria applicable to the service in which it 
operates. Radio astronomy observations in these bands are performed at 
the locations listed in US311.
    US77 Government stations may also be authorized:
    (a) Port operations use on a simplex 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 frequencies 156.375 
and 156.65 MHz.
    US78 In the mobile service, the frequencies between 1435 and 1525 
MHz will be assigned for aeronautical telemetry and associated 
telecommand operations for flight testing of manned or unmanned aircraft 
and missiles, or their major components. Permissible usage includes 
telemetry associated with launching and reentry into the Earth's 
atmosphere as well as any incidental orbiting prior to reentry of manned 
objects undergoing flight tests. The following frequencies are shared 
with flight telemetry mobile stations: 1444.5, 1453.5, 1501.5, 1515.5, 
and 1524.5 MHz.
    US80 Government stations may use the frequency 122.9 MHz subject to 
the following conditions:
    (a) All operations by Government stations shall be restricted to the 
purpose for which the frequency is authorized to non-Government 
stations, and shall be in accordance with the appropriate provisions of 
the Commission's Rules and Regulations, Part 87, Aviation Services;

[[Page 599]]

    (b) Use of the frequency is required for coordination of activities 
with Commission licensees operating on this frequency; and
    (c) Government stations will not be authorized for operation at 
fixed locations.
    US81 The band 38.0-38.25 MHz is used by both Government and non-
Government radio astronomy observatories. No new fixed or mobile 
assignments are to be made and Government stations in the band 38.0-
38.25 MHz will be moved to other bands on a case-by-case basis, as 
required, to protect radio astronomy observations from harmful 
interference. As an exception, 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 relieve such interference as may 
be caused to radio astronomy observations. In the event of harmful 
interference from such local operations, radio astronomy observatories 
may contact local military commands directly, with a view to effecting 
relief. A list of military commands, areas of coordination, and points 
of contact for purposes of relieving interference may be obtained upon 
request from the Office of the Chief Engineer, Federal Communications 
Commission, Washington, D.C. 20554.
    US82 The assignable frequencies 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 may be authorized on a shared 
non-priority basis to Federal and non-Federal Government ship and coast 
stations (SSB telephony, with peak envelope power not to exceed 1 kW).
    US87 The frequency 450 MHz, with maximum emission bandwidth of 500 
kHz, may be used by Government and non-Government stations for space 
telecommand at specific locations, subject to such conditions as may be 
applied on a case-by-case basis.
    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 services that 
is transmitting 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/m\2\ for angles of arrival above the horizontal plane 
([delta]) of 0[deg] to 5[deg],
    (b) -154 + 0.5([delta]-5) dBW/m\2\ for [delta] of 5[deg] to 25[deg], 
and
    (c) -144 dBW/m\2\ for [delta] of 25[deg] to 90[deg].
    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 interference 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 interference has been 
eliminated or the complaint otherwise satisfied. VOR test facilities 
operating on 108 MHz will not be protected against interference caused 
by FM broadcasting stations operating in the band 88-108 MHz not shall 
the authorization of a VOR test facility on 108 MHz preclude the 
Commission from authorizing additional FM broadcasting stations.
    US99 In the band 1668.4-1670.0 MHz, the meteorological aids service 
(radiosonde) will avoid operations to the maximum extent practicable. 
Whenever it is necessary to operate 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 Management 
Unit, National Science Foundation, Washington, D.C. 20550.
    US102 In Alaska only, the frequency 122.1 MHz may also be used for 
air carrier air traffic control purposes at locations where other 
frequencies are not available to air carrier aircraft stations for air 
traffic control.
    US104 The LORAN Radionavigation System has priority in the band 90-
110 kHz in the United States and its insular areas. Radiolocation land 
stations making use of LORAN-type equipment may be authorized to both 
Federal and non-Federal Government licensees on a secondary basis for 
offshore radiolocation activities 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 harmful interference and to 
ensure mutual compatibility among radiolocation operators. Such 
authorizations to stations in the radiolocation service are further 
subject to showing 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 available for assignment to non-
Government and Government stations for environmental communications in 
accordance with an agreed plan.
    US107 The frequency 156.8 MHz is the national distress, safety and 
calling frequency for the maritime mobile VHF radiotelephone service for 
use by Government and non-Government ship and coast stations. Guard 
bands of 156.7625-156.7875 and 156.8125-156.8375 MHz are maintained.
    US108 Within the bands 3300-3500 MHz and 10000-10500 MHz, survey 
operations, using

[[Page 600]]

transmitters with a peak power not to exceed five watts into the 
antenna, may be authorized for Government and non-Government use on a 
secondary basis to other Government radiolocation operations.
    US110 In the band 9200-9300 MHz, the use of the radiolocation 
service by non-Federal Government licensees may be authorized on the 
condition that harmful interference is not caused to the maritime 
radionavigation service or to the Federal Government radiolocation 
service.
    US112 The frequency 123.1 MHz is for search and rescue 
communications. This frequency may be assigned for air traffic control 
communications at special aeronautical events on the condition that no 
harmful interference is caused to search and rescue communications 
during any period of search and rescue operations in the licale 
involved.
    US116 In the bands 890-902 MHz and 935-941 MHz, no new assignments 
are to be made to Government radio stations after July 10, 1970 except 
on case-by-case basis, to experimental stations and to additional 
stations of existing networks in Alaska. Government assignments existing 
prior to July 10 1970 to stations in Alaska may be continued. All other 
existing Government assignments shall be on a secondary basis to 
stations in the non-Government 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, all new authorizations will be 
limited to a maximum 7 watts per kHz of necessary bandwidth; existing 
authorizations as of November 30, 1970 exceeding this power are 
permitted to continue in use.
    New authorizations in this band stations, other than mobile 
stations, within the following areas are subject to prior coordination 
by the applicant through the Electromagnetic Spectrum Management Unit, 
National Science Foundation, Washington, D.C. 20550, (202-357-9696):
    Arecibo Observatory:
    Rectangle between latitudes 17[deg]30[min]N. and 19[deg]00[min]N. 
and between longitudes 65[deg]10[min] W. and 68[deg]00[min]W.
    Owens Valley Radio Observatory:
    Two contiguous rectangles, one between latitudes 36[deg]N. and 
37[deg]N. and longitudes 117[deg]40[min]W. and 118[deg]30[min]W. and the 
second between latitudes 37[deg]N. and 38[deg]N. and longitudes 
118[deg]W. and 118[deg]50[min]W.
    Sagamore Hill Radio Observatory:
    Rectangle between latitudes 42[deg]10[min]N. and 43[deg]00[min]N. 
and longitudes 70[deg]31[min]W. and 71[deg]31[min]W.
    Table Mountain Solar Observatory (NOAA), Boulder, Colorado (407-409 
MHz only):
    Rectangle between latitudes 39[deg]30[min]N. and 40[deg]30[min]N. 
and longitudes 104[deg]30[min]W. and 106[deg]00[min]W. or the 
Continental Divide whichever is farther east.
    The non-Government use of this band is limited to the radio 
astronomy service and as provided by footnote US13.
    US201 In the band 460-470 MHz, space stations in the earth 
exploration-satellite service may be authorized for space-to-earth 
transmissions on a secondary basis with respect 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 
produced at the earth's surface by any space station in this band shall 
not exceed -152 dBW/m\2/4\ 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 indicated below:

                          Bands To Be Observed
------------------------------------------------------------------------
        4 GHz                14 GHz                  Observatory
------------------------------------------------------------------------
X...................  ....................  National Astronomy and
                                             Ionosphere Center, 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
                                             Observatory Quabbin
                                             Reservoir (near Amherst),
                                             Massachusetts.
------------------------------------------------------------------------

    Every practicable effort will be made to avoid the assignment of 
frequencies to stations 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 electromagnetic 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 Government 
and non-Government radio stations for one-way, non-voice bio-medical 
telemetry operations in hospitals, or medical or convalescent centers.
    US210 In the sub-band 40.66-40.7 MHz and 216-220 MHz, frequencies 
may be authorized

[[Page 601]]

to Government and non-Government stations on a secondary basis for the 
tracking of, and telemetering of scientific data from, ocean buoys and 
wildlife. Operation in these bands is subject to the technical standards 
specified in: (a) Section 8.2.42 of the NTIA Manual for Government use, 
or (b) 47 CFR 90.248 for non-Government use. After January 1, 2002, no 
new assignments 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 the State of Alaska, the carrier frequency 5167.5 kHz 
(assigned frequency 5168.9 kHz) is designated for emergency 
communications. This frequency may also be used in the Alaska-Private 
Fixed Service for calling and listening, but only for establishing 
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 between aircraft when coordinating natural resources programs of 
Federal or State natural resources, agencies, including forestry 
management and fire suppression, fish and game management and protection 
and environmental monitoring and protection.
    US214 The frequency 157.1 MHz is the primary frequency for liaison 
communications between ship stations and stations of the United States 
Coast Guard.
    US215 Emissions from microwave ovens manufactured on and after 
January 1, 1980, for operation on the frequency 915 MHz must be confined 
within the band 902-928 MHz. Emissions from microwave ovens manufactured 
prior to January 1, 1980, for operation on the frequency 915 MHz must be 
confined within the band 902-940 MHz. Radiocommunications services 
operating in the band 928-940 MHz must accept any harmful interference 
from the operation of microwave ovens manufactured before January 1, 
1980.
    US216 The frequencies 150.775 and 150,790, and the bands 152-
152.0150, 163.2375-163.2625, 462.9375-463.1875 and 467.9375-468.1875 MHz 
are authorized for Governmelt/non-Governmelt operations in medical radio 
commulications systems.
    US217 In the band 420-450 MHz, pulse-ranging radiolocation systems 
may be authorized for Federal and non-Federal Government use along the 
shorelines of the contiguous 48 States and Alaska. In the Sub-band 420-
435 MHz, spread spectrum radiolocation systems may be authorized for 
Federal and non-Federal Government use within the contiguous 48 States 
and Alaska. All stations operating in accordance with this provision 
shall be secondary to stations 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) The entire State of New Mexico and Texas west of longitude 
104[deg]00[min] West;
    (b) The entire State of Florida including the Key West area and the 
areas enclosed within a 322-kilometer (200-mile) radius of Patrick Air 
Force Base, Florida (latitude 28[deg]21[min] North, longitude 
80[deg]43[min] West), and within a 322-kilometer (200-mile) radius of 
Eglin Air Force Base, Florida (latitude 30[deg]30[min] North, longitude 
86[deg]30[min] West);
    (c) The entire State of Arizona;
    (d) Those portions of California and Nevada south of latitude 
37[deg]10[min] North, and the areas enclosed within a 322-kilometer 
(200-mile) radius of the Pacific Missile Test Center, Point Mugu, 
California (latitude 34[deg]09[min] North, longitude 119[deg]11[min] 
West).
    (e) In the State of Massachusetts within a 160-kilometer (100-mile) 
radius around locations at Otis Air Force Base, Massachusetts (latitude 
41[deg]45[min] North, longitude 70[deg]32[min] West).
    (f) In the State of California within a 240-kilometer (150-mile) 
radius around locations at Beale Air Force Base, California (latitude 
39[deg]08[min] North, longitude 121[deg]26[min] West).
    (g) In the State of Alaska within a 160-kilometer (100-mile) radius 
of Clear, Alaska (latitude 64[deg]17[min] North, longitude 
149[deg]10[min] West).
    (h) In the State of North Dakota within a 160-kilometer (100-mile) 
radius of Concrete, North Dakota (latitude 48[deg]43[min] North, 
longitude 97[deg]54[min] West).
    (i) In the States of Alabama, Georgia and South Carolina within a 
200-kilometer (124-mile) radius of Warner Robins Air Force Base, Georgia 
(latitude 32[deg]38[min] North, longitude 83[deg]35[min] West).
    (j) In the State of Texas within a 200-kilometer (124-mile) radius 
of Goodfellow Air Force Base, Texas (latitude 31[deg]25[min] North, 
longitude 100[deg]24[min] West).
    US218 The band 902-928 MHz is available for Location and Monitoring 
Service (LMS) systems subject to not causing harmful interference to the 
operation of all Government stations authorized in these bands. These 
systems must tolerate interference from the operation of industrial, 
scientific, and medical (ISM) devices and the operation of Government 
stations authorized in these bands.
    US220 The frequencies 36.25 and 41.71 MHz may be authorized to 
Government stations and non-Government stations in the petroleum radio 
service, for oil spill containment and cleanup operations. The use of 
these frequencies for oil spill containment or cleanup

[[Page 602]]

operations is limited to the inland and coastal waterway regions.
    US221 Use of the mobile service in the bands 525-535 kHz and 1605-
1615 kHz is limited to distribution of public service information from 
Travelers Information stations operating on 530 kHz and 1610 kHz.
    US222 In the band 2025-2035 MHz geostationary operational 
environmental satellite Earth stations in the space research and Earth 
exploration-satellite services may be authorized on a coequal basis for 
Earth-to-space transmissions for tracking, telemetry, and telecommand at 
the sites listed below:

Wallops Is., Va. 37[deg]50[min]48[sec] N., 75[deg]27[min]33[sec] W.
Seattle, Wash. 47[deg]34[min]15[sec] N., 122[deg]33[min]10[sec] W.
Honolulu, Hawaii 21[deg]21[min]12[sec]N., 157[deg]52[min]36[sec]W.

    US223 Within 75 miles of the United States/Canada border on the 
Great Lakes, the St. Lawrence Seaway, and the Puget Sound and the Strait 
of Juan de Fuca and its approaches, use of coast transmit frequency 
162.025 MHz and ship station transmit frequency 157.425 MHz (VHF 
maritime mobile service Channel 88) may be authorized for use by the 
maritime service for public correspondence.
    US224 Government systems utilizing spread spectrum techniques for 
terrestrial communication, navigation and identification may be 
authorized to operate in the band 960-1215 MHz on the condition that 
harmful interference will not be caused to the aeronautical 
radionavigation service. These systems will be handled on a case-by-case 
basis. Such systems shall be subject to a review at the national level 
for operational requirements and electromagnetic compatibility prior to 
development, procurement or modification.
    US225 In addition to its present Federal Government use, the band 
510-525 kHz is available to Federal and non-Federal Government 
aeronautical radionavigation stations inland of the Territorial Base 
Line as coordinated with the military services. In addition, the 
frequency 510 kHz is available for non-Federal Government 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 In the band 216-220 MHz, the fixed, aeronautical mobile, land 
mobile, and radiolocation services are allocated on a secondary basis 
for Government operations. The use of the fixed, aeronautical mobile, 
and land mobile services shall be limited to telemetering and associated 
telecommand operations. After January 1, 2002, no new assignments shall 
be authorized in the band 216-217 MHz. Further, Government and non-
Government assignments in the sub-band 216.88-217.08 MHz shall protect 
the Navy's SPASUR system, which operates on a primary basis at the 
following sites:

----------------------------------------------------------------------------------------------------------------
               Transmit frequency of 216.98 MHz                    Receive frequencies of 216.965-216.995 MHz
----------------------------------------------------------------------------------------------------------------
                                  North latitude/   Protection                      North latitude/   Protection
           Location               west longitude      radius         Location        west longitude     radius
----------------------------------------------------------------------------------------------------------------
Lake Kickapoo, TX.............  33[deg]32[min]/        250 km   San Diego, CA....  32[deg]34[min]/         50 km
                                 098[deg]45[min]                                    116[deg]58[min]
Jordan Lake, AL...............  32[deg]39[min]/        150 km   Elephant Butte,    33[deg]26[min]/         50 km
                                 086[deg]15[min]                 NM.                106[deg]59[min]
Gila River, AZ................  33[deg]06[min]/        150 km   Red River, AR....  33[deg]19[min]/         50 km
                                 112[deg]01[min]                                    093[deg]33[min]
                                                                Silver Lake, MO..  33[deg]08[min]/         50 km
                                                                                    091[deg]01[min]
                                                                Hawkinsville, GA.  32[deg]17[min]/         50 km
                                                                                    083[deg]32[min]
                                                                Fort Stewart, GA.  31[deg]58[min]/         50 km
                                                                                    081[deg]30[min]
----------------------------------------------------------------------------------------------------------------

    US230 Non-government land mobile service is allocated on a primary 
basis in the bands 422.1875-425.4875 and 427.1875-429.9875 MHz within 50 
statute miles of Detroit, MI, and Cleveland, OH, and in the bands 
423.8125-425.4875 and 428.8125-429.9875 MHz within 50 statute miles of 
Buffalo, NY.
    US231 When an assignment cannot be obtained in the bands between 200 
kHz and 525 kHz, which are allocated to aeronautical radionavigation, 
assignments may be made to aeronautical radiobeacons in the maritime 
mobile band 435-490 kHz, on a secondary basis, subject to the 
coordination and agreement of those agencies having assignments within 
the maritime mobile band which may be affected. Assignments to Federal 
Government aeronautical radionavigation radiobeacons in the band 435-490 
kHz shall not be a bar to any required changes to the maritime mobile 
radio service and shall be limited to non-voice emissions.
    US238 On the condition that harmful interference is not caused to 
the reception of AM broadcast stations or to travelers' information 
stations, Federal Government stations in the band 1615-1705 kHz may 
continue operations until February 25, 2004.
    US239 Aeronautical radionavigation stations (radiobeacons) may be 
authorized, primarily for off-shore use, in the band 525-535 kHz on a 
non-interference basis to travelers information stations.

[[Page 603]]

    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 radionavigation service, 
(radiobeacons).
    US244 The band 136-137 MHz is allocated to the non-Federal 
Government aeronautical mobile (R) service on a primary basis, and is 
subject to pertinent international treaties and agreements. 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 
control purposes, such as automatic weather observation stations (AWOS), 
automatic terminal information services (ATIS), flight information 
services-broadcast (FIS-B), and airport control tower communications.
    US245 The fixed-satellite service is limited to international inter-
continental systems and subject to case-by-case electromagnetic 
compatibility analysis.
    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.
---------------------------------------------------------------------------

    \1\ Medical telemetry equipment shall not cause harmful interference 
to radio astronomy operations in the band 608-614 MHz and shall be 
coordinated under the requirements found in 47 CFR 95.1119.
---------------------------------------------------------------------------

    US247 The band 10100-10150 kHz is allocated to the fixed service on 
a primary basis outside the United States and possessions. Transmissions 
of stations in the amateur service shall not cause harmful interference 
to this fixed service use and stations in the amateur service shall make 
all necessary adjustments (including termination of transmission) if 
harmful interference is caused.
    US251 The band 12.75-13.25 GHz is also allocated to the space 
research, (deep space) (space-to-earth) service for reception only at 
Goldstone, California. 35[deg]18 N. 116[deg]54-W.
    US252 The bands 2110-2120 MHz and 7145-7190 MHz are also allocated 
for Earth-to-space transmissions in the space research service, limited 
to deep space communications at Goldstone, California.
    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 surface of 
the Earth by emissions from a space station under assumed free-space 
propagation 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 band 8025-8400 MHz, the Earth exploration-satellite 
service (space-to-Earth) is allocated on a primary basis for non-Federal 
Government use. Authorizations are subject to a case-by-case 
electromagnetic compatibility analysis.
    US259 Stations in the radiolocation service in the band 17.3-17.7 
GHz, shall be restricted to operating powers of less than 51 dBW eirp 
after feeder link stations for the broadcasting-satellite service are 
authorized and brought into use.
    US260 Aeronautical mobile communications which are an integral part 
of aeronautical 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 
altimeters. Experimental stations will not be authorized to develop 
equipment for operational use in this band other than equipment related 
to altimeter stations. However, passive sensing in the earth-exploration 
satellite and space research services may be authorized in this band on 
a secondary basis (no protection is provided from the radio altimeters).
    US262 The use of the band 31.8-32.3 GHz by the space research 
service (deep space) (space-to-Earth) and of the band 34.2-34.7 GHz by 
the space research service (deep space) (Earth-to-space) are limited to 
Goldstone, California.
    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 Allocations.
    US264 In the band 48.94-49.04 GHz, airborne stations shall not be 
authorized.
    US265 In the band 10.6-10.68 GHz, the fixed service shall be limited 
to a maximum equivalent isotropically radiated power of 40 dBW and the 
power delivered to the antenna shall not exceed -3dBW per 250 kHz.
    US266 Licensees in the public safety radio services holding a valid 
authorization on June 30, 1958, to operate in the frequency band 156.27-
157.47 MHz or on the frequencies 161.85, 161.91 or 161.97 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 licensed in the public safety radio service.

[[Page 604]]

    US267 In the band 902-928 MHz, amateur radio stations shall not 
operate within the States of Colorado and Wyoming, bounded by the area 
of: latitude 39[deg]N. to 42[deg]N. and longitude 103[deg]W. to 
108[deg]W.
    US268 The bands 890-902 MHz and 928-942 MHz are also allocated to 
the radiolocation service for Government ship stations (off-shore ocean 
areas) on the condition that harmful interference is not caused to non-
Government land mobile stations. The provisions of footnote US116 apply.
    US269 In the band 2655-2690 MHz, radio astronomy observations are 
performed at the locations listed in US311. Licensees are urged to 
coordinate their systems through the Electromagnetic Spectrum Management 
Unit, Division of Astronomical Sciences, National 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-
satellite service.
    US273 In the 74.6-74.8 MHz and 75.2-75.4 MHz bands 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 Government stations authorized in this band or to Location 
and Monitoring Service (LMS) systems. Stations in the Amateur service 
must tolerate any interference from the operations of industrial, 
scientific, and medical (ISM) devices, LMS systems, and the operations 
of Government stations authorized in this band. Further, the Amateur 
Service is prohibited in those portions of Texas and New Mexico bounded 
on the south by latitude 31[deg]41[min] North, on the east by longitude 
104[deg]11[min] West, and on the north by latitude 34[deg]30[min] North, 
and on the west by longitude 107[deg]30[min] West; in addition, outside 
this area but within 150 miles of these boundaries of White Sands 
Missile Range the service is restricted to a maximum transmitter peak 
envelope power output of 50 watts.
    US276 Except as otherwise provided for herein, use of the band 2360-
2385 MHz by the mobile service is limited to aeronautical telemetering 
and associated telecommand operations for flight testing of manned or 
unmanned aircraft, missiles or major components thereof. The following 
three frequencies are shared on a co-equal basis by Federal Government 
and non-Federal Government stations for telemetering and associated 
telecommand operations of expendable and reusable launch vehicles 
whether or not such operations involve flight testing: 2364.5 MHz, 
2370.5 MHz, and 2382.5 MHz. All other mobile telemetering uses shall be 
secondary to the above uses.
    US277 The band 10.6-10.68 GHz is also allocated on a primary basis 
to the radio astronomy service. However, the radio astronomy service 
shall not receive protection from stations 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 
operating 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 authorized 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 Government 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 Allocations.
    US282 In the band 4650-4700 kHz, frequencies may be authorized for 
non-Federal Government communication with helicopters in support of off-
shore drilling operations on the condition 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 Government flight test purposes on the condition that harmful 
interference will not be caused to services operating in accordance with 
the Table of Frequency Allocations.
    US285 Under exceptional circumstances, the carrier frequency 2635, 
2638, and 2738 kHz may be authorized to coast stations.
    US290 In the band 1900-2000 kHz amateur stations may continue to 
operate on a secondary 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 1625-1705 kHz band.
    US292 In the band 14.0-14.2 GHz stations in the radionavigation 
service shall operate on a secondary basis to the fixed-satellite 
service.
    US294 In the spectrum below 490 kHz electric utilities operate Power 
Line Carrier (PLC) systems on power transmission lines for 
communications important to the reliability and security of electric 
service to the public. These PLC systems operate under the

[[Page 605]]

provisions of Part 15 of the Federal Communications Commission's Rules 
and Regulations or Chapter 7 of the National Telecommunications and 
Information Administration's Manual of Regulations and Procedures for 
Federal Radio Frequency Management, on an unprotected and 
noninterference basis with respect to authorized radio users. 
Notification of intent to place new or revised radio frequency 
assignments 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 
practicable. 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 assignable 
frequencies are available to non-Federal Government stations on a shared 
basis with Federal Government stations: 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.
    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 Government operations including 
experimental stations. Non-Federal Government operations on these 
channels will not exceed 150 watts output power and are limited to the 
states of Washington, Oregon, Maine, North Carolina, South Carolina, 
Tennessee, Georgia, Florida, Alabama, Mississippi, Louisiana, and Texas 
(eastern portion).
    US299 The 1615-1705 kHz band in Alaska is also allocated to the 
maritime mobile services and the Alaska fixed service 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 microphone 
operations on a secondary basis to Government and non-Government 
operations.
    US301 Except as provided in US302, broadcast auxiliary stations 
licensed as of November 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.
    US302 The band 942-944 MHz in Puerto Rico is allocated as an 
alternative allocation to the fixed service for broadcast auxiliary 
stations only.
    US303 In the band 2285-2290 MHz, non-Federal government space 
stations in the space research, space operations and Earth exploration-
satellite 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 transmissions shall not cause harmful 
interference to authorized Federal Government stations. The power flux 
density at the Earth's surface from such non-Federal Government stations 
shall not exceed -144 to -154 dBW/m2/4 kHz, depending on 
angle of arrival, in accordance with ITU Radio Regulation 21.16.
    US307 The sub-band 5150-5216 MHz is also allocated for space-to-
Earth transmissions in the fixed satellite service for feeder links in 
conjunction with the radiodetermination satellite service operating 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/m per 4 
kHz for all angles of arrival.
    US308 In the frequency bands 1549.5-1558.5 MHz and 1651-1660 MHz, 
the Aeronautical-Mobile-Satellite (R) requirements that cannot be 
accommodated in the 1545-1549.5 MHz, 1558.5-1559 MHz, 1646.5-1651 MHz 
and 1660-1660.5 MHz bands shall have priority access with real-time 
preemptive capability for communications in the mobile satelite 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-related communications in the mobile-satellite 
service.
    US309 Transmissions in the bands 1545-1559 MHz from terrestrial 
aeronautical stations directly to aircraft stations, or between 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. Transmissions in the band 1646.5-1660.5 MHz 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 supplement 
the aircraft-to-satellite links.
    US310 In the band 14.896-15.121 GHz, non-Federal Government 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 Government 
stations. The power flux-density produced by such non-Federal Government 
stations at the Earth's surface in any 4 kHz band for all conditions and 
methods of modulation shall not exceed:

-148 dB(W/m2) for 0[deg] <[theta]<= 5[deg]
-148 + ([theta]<=5)/2dB(W/m2) for 5[deg] <[theta]<= 25[deg]
-138 dB(W/m2) for 25[deg] <[theta]<= 90[deg]

[[Page 606]]

where [theta] is the angle of arrival of the radio-frequency wave 
(degrees above the horizontal). These limits relate to the power flux-
density 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 unprotected basis 
at the following radio astronomy observatories:

----------------------------------------------------------------------------------------------------------------
 
----------------------------------------------------------------------------------------------------------------
Allen Telescope Array, Hat Creek,  Rectangle between latitudes 40[deg]00[min] N and 42[deg]00[min] N and between
 California.                                     longitudes 120[deg]15[min] W and 122[deg]15[min] W.
----------------------------------
NASA Goldstone Deep Space              80 kilometers (50 mile) radius centered on latitude 35[deg]18[min] N,
 Communications Complex,                                    longitude 116[deg]54[min] W.
 Goldstone, California.
----------------------------------
National Astronomy and Ionosphere  Rectangle between latitudes 17[deg]30[min] N and 19[deg]00[min] N and between
 Center, Arecibo, Puerto Rico.                    longitudes 65[deg]10[min] W and 68[deg]00[min] W.
----------------------------------
National Radio Astronomy           Rectangle between latitudes 32[deg]30[min] N and 35[deg]30[min] N and between
 Observatory, Socorro, New Mexico.               longitudes 106[deg]00[min] W and 109[deg]00[min] W.
----------------------------------
National Radio Astronomy           Rectangle between latitudes 37[deg]30[min] N and 39[deg]15[min] N and between
 Observatory, Green Bank, West                    longitudes 78[deg]30[min] W and 80[deg]30[min] W.
 Virginia.
----------------------------------
National Radio Astronomy                                  80 kilometer radius centered on:
 Observatory, Very Long Baseline
 Array Stations.
----------------------------------
                                              Latitude (North)                        Longitude (West)
----------------------------------
Brewster, WA.....................  48[deg]08[min]                          119[deg]41[min]
Fort Davis, TX...................  30[deg]38[min]                          103[deg]57[min]
Hancock, NH......................  42[deg]56[min]                          71[deg]59[min]
Kitt Peak, AZ....................  31[deg]57[min]                          111[deg]37[min]
Los Alamos, NM...................  35[deg]47[min]                          106[deg]15[min]
Mauna Kea, HI....................  19[deg]48[min]                          155[deg]27[min]
North Liberty, IA................  41[deg]46[min]                          91[deg]34[min]
Owens Valley, CA.................  37[deg]14[min]                          118[deg]17[min]
Pie Town, NM.....................  34[deg]18[min]                          108[deg]07[min]
Saint Croix, VI..................  17[deg]46[min]                          64[deg]35[min]
----------------------------------
Owens Valley Radio Observatory,        Two contiguous rectangles, one between latitudes 36[deg]00[min] N and
 Big Pine, California.                      37[deg]00[min] N and between longitudes 117[deg]40[min] W and
                                       118[deg]30[min] W and the second between latitudes 37[deg]00[min] N and
                                            38[deg]00[min] N and between longitudes 118[deg]00[min] W and
                                                                 118[deg]50[min] W.
----------------------------------------------------------------------------------------------------------------

    In the bands 1350-1400 MHz and 4950-4990 MHz, every practicable 
effort will be made to avoid the assignment of frequencies to stations 
in the fixed and mobile services that could interfere with radio 
astronomy observations within the geographic areas given above. In 
addition, every practicable effort will be made to avoid assignment of 
frequencies 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 result in harmful interference to these observatories, the 
situation will be remedied to the extent practicable.

[[Page 607]]

    US312 The frequency 173.075 MHz may also be authorized on a primary 
basis to non-Government stations in the Police Radio Service (with a 
maximum authorized bandwidth of 20 kHz) for stolen vehicle recovery 
systems.
    US315 In the frequency 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. Account shall be taken of the priority of 
safety-related communications in the mobile-satellite service.
    US316 The band 2900-3000 MHz is also allocated on a primary basis to 
the meteorological aids service. Operations in this service are limited 
to Federal Government Next Generation Weather Radar (NEXRAD) systems 
where accommodation in the 2700-2900 MHz band is not technically 
practical and are subject to coordination with existing authorized 
stations.
    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 government stations in the mobile-satellite service shall be 
limited to earth stations operating with non-Federal government space 
stations.
    US320 The use of the bands 137-138 MHz, 148-150.05 MHz, and 400.15-
401 MHz by the mobile-satellite service is limited to non-voice, non-
geostationary satellite systems and may include satellite links between 
land earth stations at fixed locations.
    US321 The band 535-1705 kHz is also allocated to the non-Federal 
Government mobile service on a secondary basis for the distribution of 
public service information from Travelers' Information Stations 
operating in accordance with the provisions of 47 CFR 90.242 on 10 
kilohertz spaced channels from 540 kHz to 1700 kHz.
    US323 In the 148-149.9 MHz band, no individual 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/4kHz and 
shall transmit no more than 0.25% of the time during any 15 minute 
period. Any single transmission from any individual mobile earth station 
operating 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 compatibility analysis 
and coordination with terrestrial fixed and mobile stations.
    US324 Government and non-Government satellite systems in the 400.15-
401 MHz band 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-satellite 
service that have been previously coordinated; Government fixed and 
mobile stations exceeding 27 dBW EIRP, or an emission bandwidth greater 
than 38 kHz, will be coordinated 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 limited to digital audio 
broadcasting and is subject to the provisions of Resolution 528.
    US334 In the band 17.8-20.2 GHz, Government 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 Government 
geostationary satellite network to operate 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 Government 
fixed-satellite systems and non-Government 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 at the 
surface of the Earth produced by emissions from a Government GSO space 
station or from a Government space station in a NGSO constellation of 50 
or fewer satellites, for all conditions and for all methods of 
modulation, shall not exceed the following values in any 1 MHz band:
    (1) -115 dB(W/m \2\) for angles of arrival above the horizontal 
plane ([delta]) between 0[deg] and 5[deg],
    (2) -115 + 0.5 ([delta]-5) dB(W/m \2\) for [delta] between 5[deg] 
and 25[deg], and
    (3) -105 dB(W/m \2\) for [delta] between 25[deg] and 90[deg].
    (b) In the sub-band 17.8-19.3 GHz, the power flux-density at the 
surface of the Earth produced by emissions from a Government space 
station in an NGSO constellation of 51 or more satellites, for all 
conditions and for all methods of modulation, shall not exceed the 
following values in any 1 MHz band:
    (1) -115 -X dB(W/m \2\) for [delta] between 0[deg] and 5[deg],
    (2) -115 -X + ((10 + X)/20) ([delta]-5) dB(W/m \2\) for [delta] 
between 5[deg] and 25[deg], and
    (3) -105 dB(W/m \2\) for [delta] between 25[deg] and 90[deg]; where 
X is defined as a function of the number of satellites, n, in an NGSO 
constellation as follows:

[[Page 608]]

    For n <= 288, X = (5/119) (n-50) dB; and
    For n  288, X = (1/69) (n+ 402) dB.
    US335 The primary Government and non-Government allocations for the 
various segments of the 220-222 MHz band are divided as follows: (1) the 
220.0-220.55/221.0-221.55, 220.6-220.8/221.6-221.8, 220.85-220.90/
221.85-221.90 and 220.925-221.0/221.925-222.0 MHz bands (Channels 1-110, 
121-160, 171-180 and 186-200, respectively) are available for exclusive 
non-Government use; (2) the 220.55-220.60/221.55-221.60 MHz bands 
(Channels 111-120) are available for exclusive Government use; and (3) 
the 220.80-220.85/221.80-221.85 and 220.900-220.925/221.900-221.925 MHz 
bands (Channels 161-170 and 181-185, respectively) are available for 
shared Government and non-Government use. The exclusive non-Government 
band segments are also available for temporary fixed geophysical 
telemetry operations on a secondary basis to the fixed and mobile 
services.
    US337 In the band 13.75-13.80 GHz, earth stations in the fixed-
satellite service shall be coordinated on a case-by-case basis through 
the frequency assignment subcommittee in order to minimize harmful 
interference to the Tracking and Data Relay Satellite System's forward 
space-to-space link (TDRSS forward link-to-LEO).
    US338 In the 2305-2310 MHz band, space-to-Earth operations are 
prohibited. Additionally, in the 2305-2320 MHz band, all Wireless 
Communications Service (WCS) operations within 50 kilometers of 
35[deg]20[sec] North Latitude and 116[deg]53[sec] West Longitude shall 
be coordinated through the Frequency Assignment Subcommittee of the 
Interdepartment Radio Advisory Committee in order to minimize harmful 
interference to NASA's Goldstone Deep Space facility.
    US339 The bands 2310-2320 and 2345-2360 MHz are also available for 
aeronautical telemetering and associated telecommand operations for 
flight testing of manned or unmanned aircraft, missiles or major 
components thereof on a secondary basis to the Wireless Communications 
Service. The following two frequencies are shared on a co-equal basis by 
Government and non-Government stations for telemetering and associated 
telecommand 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 (sound) 
service during implementation should also take cognizance of the 
expendable and reusable launch vehicle frequencies 2312.5 and 2352.5 
MHz, to minimize the impact 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 Government 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. Actual communications shall be 
limited to those frequencies specifically allocated to the maritime 
mobile and aeronautical mobile services.
    US342 In making assignments to stations of other services to which 
the bands:

13360-13410 kHz                       14.47-14.5 GHz                        128.33-128.59 GHz
25550-25670 kHz                       22.01-22.21 GHz                       129.23-129.49 GHz
37.5-38.25 MHz                        22.21-22.5 GHz                        130-134 GHz
322-328.6 MHz                         22.81-22.86 GHz                       136-148.5 GHz
1330-1400 MHz                         23.07-23.12 GHz                       151.5-158.5 GHz
1610.6-1613.8 MHz                     31.2-31.3 GHz                         168.59-168.93 GHz
1660-1660.5 MHz                       36.43-36.5 GHz                        171.11-171.45 GHz
1668.4-1670 MHz                       42.5-43.5 GHz                         172.31-172.65 GHz
3260-3267 MHz                         48.94-49.04 GHz                       173.52-173.85 GHz
3332-3339 MHz                         76-86 GHz                             195.75-196.15 GHz
3345.8-3352.5 MHz                     92-94 GHz                             209-226 GHz
4825-4835 MHz                         94.1-100 GHz                          241-250 GHz
4950-4990 MHz                         102-109.5 GHz                         252-275 GHz
6650-6675.2 MHz                       111.8-114.25 GHz
----------------------------------------------------------------------------------------------------------------

are allocated, all practicable steps shall be taken to protect the radio 
astronomy service from harmful interference. Emissions from spaceborne 
or airborne stations can be particularly serious sources of interference 
to the radio astronomy service (see Nos. 4.5 and 4.6 and Article 29 of 
the ITU Radio Regulations).
    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 accordance with ITU Resolution 413 
(WRC-03).

[[Page 609]]

    US344 In the band 5091-5250 MHz, non-Government earth stations in 
the fixed-satellite service (Earth-to-space) shall be coordinated 
through the Frequency Assignment Subcommittee (see Recommendation ITU-R 
S.1342). In order to better protect the operation of the international 
standard system (microwave landing system) in the band 5000-5091 MHz, 
non-Government tracking and telecommand operations should be conducted 
in the band 5150-5250 MHz.
    US345 In the band 402-405 MHz, the mobile, except mobile 
aeronautical, service is allocated on a secondary basis and is limited 
to, with the exception of military tactical mobile stations, Medical 
Implant Communications Service (MICS) operations. MICS stations are 
authorized by rule on the condition that harmful interference is not 
caused to stations in the meteorological aids, meteorological-satellite, 
and earth exploration-satellite services, and that MICS stations accept 
interference from stations in the meteorological aids, meteorological-
satellite, and earth exploration-satellite services.
    US346 Except as provided by footnote US222, the use of the band 
2025-2110 MHz by the Government space operation service (Earth-to-
space), Earth exploration-satellite service (Earth-to-space), and space 
research service (Earth-to-space) shall not constrain the deployment of 
the Television Broadcast Auxiliary Service, the Cable Television Relay 
Service, or the Local Television Transmission Service. To facilitate 
compatible operations between non-Government terrestrial receiving 
stations at fixed sites and Government earth station transmitters, 
coordination is required. To facilitate compatible operations between 
non-government terrestrial transmitting stations and Government 
spacecraft receivers, the terrestrial transmitters shall not be high-
density systems (see Recommendations ITU-R SA.1154 and ITU-R F.1247).
    US347 In the band 2025-2110 MHz, non-Government Earth-to-space and 
space-to-space transmissions may be authorized in the space research and 
Earth exploration-satellite services subject to such conditions as may 
be applied on a case-by-case basis. Such transmissions shall not cause 
harmful interference to Government and non-Government stations operating 
in accordance with the Table of Frequency Allocations.
    US348 The band 3650-3700 MHz is also allocated to the Government 
radiolocation service on a primary basis at the following sites: St. 
Inigoes, MD (38[deg]10[min] N., 76[deg]23[min] W.); Pascagoula, MS 
(30[deg]22[min] N., 88[deg]29[min] W.); and Pensacola, FL 
(30[deg]21[min]28[sec] N., 87[deg]16[min]26[sec] W.). All fixed and 
fixed satellite operations within 80 kilometers of these sites shall be 
coordinated through the Frequency Assignment Subcommittee of the 
Interdepartmental Radio Advisory Committee on a case-by-case basis.
    US349 The band 3650-3700 MHz is also allocated to the Government 
radiolocation service on a non-interference basis for use by ship 
stations located at least 44 nautical miles in off-shore ocean areas on 
the condition that harmful interference is not caused to non-Government 
operations.
    US350 In the bands 608-614 MHz and 1395-1400 MHz the Government and 
non-Government land mobile service is limited to medical telemetry and 
medical telecommand operations. Availability and use of medical 
telemetry and telecommand and non-medical telemetry and telecommand in 
the band 1427-1432 MHz are described further:

------------------------------------------------------------------------
    Location  (see Sec. Sec.
  90.259(b)(4) and 95.630(b) of      1427-1429 MHz
   this chapter for a detailed      1431.5-1432 MHz     1429-1431.5 MHz
          description)
------------------------------------------------------------------------
Austin/Georgetown, Texas........  Non-Government      Government and non-
Battle Creek, Michigan..........   land mobile         Government land
Detroit, Michigan...............   service is          mobile service is
Pittsburgh, Pennsylvania........   limited to          limited to
Richmond/Norfolk, Virginia......   telemetry and       medical telemetry
Spokane, Washington.............   telecommand         and telecommand
                                   operations.         operations.
Washington, DC metropolitan area  ..................  Non-Government
                                                       telemetry and
                                                       telecommand use
                                                       is permitted on a
                                                       secondary basis.
Rest of U.S.....................  Government and non- Non-Government
                                   Government land     land mobile
                                   mobile service is   service is
                                   limited to          limited to
                                   medical telemetry   telemetry and
                                   and telecommand     telecommand
                                   operations.         operations.
                                  Non-Government
                                   telemetry and
                                   telecommand use
                                   is permitted on a
                                   secondary basis.
------------------------------------------------------------------------

    US351 In the band 1390-1400 MHz, Government operations, except for 
medical telemetry operations in the sub-band 1395-1400 MHz, are on a 
non-interference basis to authorized non-Government operations and shall 
not hinder implementation of any non-Government operations. However, 
Government operations authorized as of March 22, 1995 at 17 sites 
identified below will be continued on a fully protected basis until 
January 1, 2009.

[[Page 610]]



----------------------------------------------------------------------------------------------------------------
                                                        Radius                                            Radius
             Sites                     Lat/Long          (km)          Sites              Lat/Long         (km)
----------------------------------------------------------------------------------------------------------------
Eglin AFB, FL..................  30[deg]28[min]N/           80  Ft. Greely, AK....  63[deg]47[min]N/          80
                                  086[deg]31[min]W                                   145[deg]52[min]W
Dugway PG, UT..................  40[deg]11[min]N/           80  Ft. Rucker, AL....  31[deg]13[min]N/          80
                                  112[deg]53[min]W                                   085[deg]49[min]W
China Lake, CA.................  35[deg]41[min]N/           80  Redstone, AL......  34[deg]35[min]N/          80
                                  117[deg]41[min]W                                   086[deg]35[min]W
Ft. Huachuca, AZ...............  31[deg]33[min]N/           80  Utah Test Range,    40[deg]57[min]N/          80
                                  110[deg]18[min]W               UT.                 113[deg]05[min]W
Cherry Point, NC...............  34[deg]57[min]N/           80  WSM Range, NM.....  32[deg]10[min]N/          80
                                  076[deg]56[min]W                                   106[deg]21[min]W
Patuxent River, MD.............  38[deg]17[min]N/           80  Holloman AFB, NM..  33[deg]29[min]N/          80
                                  076[deg]25[min]W                                   106[deg]50[min]W
Aberdeen PG, MD................  39[deg]29[min]N/           80  Yuma, AZ..........  32[deg]29[min]N/          80
                                  076[deg]08[min]W                                   114[deg]20[min]W
Wright-Patterson AFB, OH.......  39[deg]50[min]N/           80  Pacific Missile     34[deg]07[min]N/          80
                                  084[deg]03[min]W               Range, CA.          119[deg]30[min]W
Edwards AFB, CA................  34[deg]54[min]N/           80
                                  117[deg]53[min]W
----------------------------------------------------------------------------------------------------------------

    US352 In the band 1427-1432 MHz, Government operations, except for 
medical telemetry and medical telecommand operations, are on a non-
interference basis to authorized non-Government operations and shall not 
hinder the implementation of any non-Government operations. However, 
Government operations authorized as of March 22, 1995 at the 14 sites 
identified in the following table may continue on a fully protected 
basis until January 1, 2004:

----------------------------------------------------------------------------------------------------------------
                                 North latitude/    Operating                       North latitude/    Operating
           Location              west longitude       radius        Location        west longitude      radius
----------------------------------------------------------------------------------------------------------------
Patuxent River, MD...........    38[deg]17[min] /       70 km   Mountain Home       43[deg]01[min] /      160 km
                                  076[deg]25[min]                AFB, ID.            115[deg]50[min]
NAS Oceana, VA...............    36[deg]49[min] /      100 km   NAS Fallon, NV..    39[deg]24[min] /      100 km
                                  076[deg]02[min]                                    118[deg]43[min]
MCAS Cherry Point, NC........    34[deg]54[min] /      100 km   Nellis AFB, NV..    36[deg]14[min] /      100 km
                                  076[deg]52[min]                                    115[deg]02[min]
Beaufort MCAS, SC............    32[deg]26[min] /      160 km   NAS Lemore, CA..    36[deg]18[min] /      120 km
                                  080[deg]40[min]                                    119[deg]47[min]
NAS Cecil Field, FL..........    30[deg]13[min] /      160 km   Yuma MCAS, AZ...    32[deg]39[min] /      160 km
                                  081[deg]52[min]                                    114[deg]35[min]
NAS Whidbey IS., WA..........    48[deg]19[min] /       70 km   China Lake, CA..    35[deg]29[min] /       80 km
                                  122[deg]24[min]                                    117[deg]16[min]
Yakima Firing Ctr AAF, WA....    46[deg]40[min] /       70 km   MCAS Twenty Nine    34[deg]15[min] /       80 km
                                  120[deg]15[min]                Palms, CA.          116[deg]03[min]
----------------------------------------------------------------------------------------------------------------

    US353 In the sub-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 astronomy observations may be made 
on an unprotected basis.
    US354 In the sub-band 58.422-58.472 GHz, airborne stations and space 
stations in the space-to-Earth direction shall not be authorized.
    US355 In the band 10.7-11.7 GHz, non-geostationary satellite orbit 
licensees in the fixed-satellite service (space-to-Earth), prior to 
commencing operations, shall coordinate with the following radio 
astronomy observatories to achieve a mutually acceptable agreement 
regarding the protection of the radio telescope facilities operating in 
the band 10.6-10.7 GHz:

----------------------------------------------------------------------------------------------------------------
                                                                                                      Elevation
               Observatory                       West longitude               North  latitude        (in meters)
----------------------------------------------------------------------------------------------------------------
Arecibo Observatory.....................  66[deg]45[min]11[sec]         18[deg]20[min]46[sec]                496
Green Bank Telescope (GBT)..............  79[deg]50[min]24[sec]         38[deg]25[min]59[sec]                825
Very Large Array (VLA)..................  107[deg]37[min]04[sec]        34[deg]04[min]44[sec]               2126
Very Long Baseline Array (VLBA)
 Stations:
    Brewster, WA........................  119[deg]40[min]55[sec]        48[deg]07[min]53[sec]                255
    Fort Davis, TX......................  103[deg]56[min]39[min]        30[deg]38[min]06[sec]               1615
    Hancock, NH.........................  71[deg]59[min]12[sec]         42[deg]56[min]01[sec]                309
    Kitt Peak, AZ.......................  111[deg]36[min]42[sec]        31[deg]57[min]22[sec]               1916
    Los Alamos, NM......................  106[deg]14[min]42[sec]        35[deg]46[min]30[sec]               1967
    Mauna Kea, HI.......................  155[deg]27[min]29[sec]        19[deg]48[min]16[sec]               3720
    North Liberty, IA...................  91[deg]34[min]26[sec]         41[deg]46[min]17[sec]                241
    Owens Valley, CA....................  118[deg]16[min]34[sec]        37[deg]13[min]54[sec]               1207
    Pie Town, NM........................  108[deg]07[min]07[sec]        34[deg]18[min]04[sec]               2371
    St. Croix, VI.......................  64[deg]35[min]03[sec]         17[deg]45[min]31[sec]                 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 radiolocation service shall not exceed 59 dBW. 
Receiving space stations in the fixed-satellite service shall not claim 
protection from radiolocation transmitting stations operating in 
accordance with the United States

[[Page 611]]

Table of Frequency Allocations. ITU Radio Regulation No. 5.43A does not 
apply.
    US357 In the band 13.75-14 GHz, geostationary space stations in the 
space research service for which information for advance 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-
satellite service; after that date, new geostationary space stations in 
the space research service will operate on a secondary basis. Until 
those geostationary space stations in the space research service for 
which information for advance publication has been received by the 
Bureau prior to 31 January 1992 cease to operate in this band:
    a. The e.i.r.p. density of emissions from any earth station in the 
fixed-satellite service operating with a space station in geostationary-
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 service operating with a space station in non-
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 compensate for rain 
attenuation, 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. of 71 dBW or 51 dBW, as 
appropriate, 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-Government feeder links of 
non-geostationary systems in the mobile-satellite service. These non-
Government earth stations shall be coordinated through the Frequency 
Assignment Subcommittee (see Annex 3 of Recommendation ITU-R S.1340).
    US360 In the band 33-36 GHz, the Government fixed-satellite service 
(space-to-Earth) is also allocated on a primary basis. Coordination 
between Government fixed-satellite service systems and non-Government 
systems operating in accordance with the United States Table of 
Frequency Allocations is required.
    US361 In the band 1432-1435 MHz, Government stations in the fixed 
and mobile services may operate indefinitely on a primary basis at the 
23 sites listed in the following table. All other Government stations in 
the fixed and mobile services shall operate in the band 1432-1435 MHz on 
a primary basis until re-accommodated in accordance with the National 
Defense Authorization Act of 1999. The table follows:

----------------------------------------------------------------------------------------------------------------
                                 North Latitude/    Operating                       North Latitude/    Operating
           Location              West Longitude       Radius        Location        West Longitude      Radius
----------------------------------------------------------------------------------------------------------------
China Lake/Edwards AFB, CA...    35[deg]29[min] /      100 km   AUTEC...........    24[deg]30[min] /       80 km
                                  117[deg]16[min]                                    078[deg]00[min]
White Sands Missile Range/       32[deg]11[min] /      160 km   Beaufort MCAS,      32[deg]26[min] /      160 km
 Holloman AFB, NM.                106[deg]20[min]                SC.                 080[deg]40[min]
Utah Test and Training Range/    40[deg]57[min] /      160 km   MCAS Cherry         34[deg]54[min] /      100 km
 Dugway Proving Ground, Hill      113[deg]05[min]                Point, NC.          076[deg]53[min]
 AFB, UT.
Patuxent River, MD...........    38[deg]17[min] /       70 km   NAS Cecil Field,    30[deg]13[min] /      160 km
                                  076[deg]24[min]                FL.                 081[deg]52[min]
Nellis AFB, NV...............    37[deg]29[min] /      130 km   NAS Fallon, NV..    39[deg]30[min] /      100 km
                                  114[deg]14[min]                                    118[deg]46[min]
Fort Huachuca, AZ............    31[deg]33[min] /       80 km   NAS Oceana, VA..    36[deg]49[min] /      100 km
                                  110[deg]18[min]                                    076[deg]01[min]
Eglin AFB/Gulfport ANG Range,    30[deg]28[min] /      140 km   NAS Whidbey         48[deg]21[min] /       70 km
 MS/Fort Rucker, AL.              086[deg]31[min]                Island, WA.         122[deg]39[min]
Yuma Proving Ground, AZ......    32[deg]29[min] /      160 km   NCTAMS, GUM.....  \1\ 13[deg]35[min]       80 km
                                  114[deg]20[min]                                  / 144[deg]51[min]
Fort Greely, AK..............    63[deg]47[min] /       80 km   Lemoore, CA.....    36[deg]20[min] /      120 km
                                  145[deg]52[min]                                    119[deg]57[min]
Redstone Arsenal, AL.........    34[deg]35[min] /       80 km   Savannah River,     33[deg]15[min] /        3 km
                                  086[deg]35[min]                SC.                 081[deg]39[min]
Alpene Range, MI.............    44[deg]23[min] /       80 km   Naval Space         44[deg]24[min] /       80 km
                                  083[deg]20[min]                Operations          068[deg]01[min]
                                                                 Center, ME.
Camp Shelby, MS..............    31[deg]20[min] /       80 km   ................  ..................  ..........
                                  089[deg]18[min]
----------------------------------------------------------------------------------------------------------------
\1\ East.

    US362 The band 1670-1675 MHz is allocated to the meteorological-
satellite service (space-to-Earth) on a primary basis for Government 
use. Earth station use of this allocation is limited to Wallops Island, 
VA (37[deg]56[min]47[sec] N, 75[deg]27[min]37[sec] W), Fairbanks, AK 
(64[deg]58[min]36[sec] N, 147[deg]31[min]03[sec] W), and Greenbelt, MD 
(39[deg]00[min]02[sec] N, 76[deg]50[min]31[sec] W). Applicants for non-
Government stations within 100 kilometers of the Wallops Island 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.
    US363 (a) Until January 1, 2005, the band 2385-2390 MHz is allocated 
to the Government mobile and radiolocation services on a primary basis 
and to the Government fixed

[[Page 612]]

service on a secondary basis. Use of the mobile service is limited to 
aeronautical telemetry and associated telecommand operations for flight 
testing of manned or unmanned aircraft, missiles or major components 
thereof. Use of the radiolocation service is limited to the military 
services.
    (b) After January 1, 2005, Government stations in the mobile and 
radiolocation services shall continue to operate on a primary basis 
until re-accommodated in accordance with the National Defense 
Authorization Act of 1999, except at the sites identified in the 
following table where Government stations may not be re-accommodated 
until January 1, 2007:

----------------------------------------------------------------------------------------------------------------
                                         North Latitude/West                               North Latitude/West
              Location                        Longitude                 Location                Longitude
----------------------------------------------------------------------------------------------------------------
Protection Radius for Each of the Following Sites is 160 km:
    Barking Sands, HI...............         22[deg]07[min] /   Roswell, NM............         33[deg]18[min] /
                                              159[deg]40[min]                                    104[deg]32[min]
    Cape Canaveral, FL..............         28[deg]33[min] /   Seattle, WA............         47[deg]32[min] /
                                              080[deg]34[min]                                    122[deg]18[min]
    China Lake, CA..................         35[deg]40[min] /   St. Louis, MO..........         38[deg]45[min] /
                                              117[deg]41[min]                                    090[deg]22[min]
    Eglin AFB, FL...................         30[deg]30[min] /   Utah Test Range, UT....         40[deg]12[min] /
                                              086[deg]30[min]                                    112[deg]54[min]
    Glasgow, MT.....................         48[deg]25[min] /   White Sands Missile             32[deg]58[min] /
                                              106[deg]32[min]    Range, NM.                      106[deg]23[min]
    Nellis AFB, NV..................         37[deg]48[min] /   Witchita, KS...........         37[deg]40[min] /
                                              116[deg]28[min]                                    097[deg]26[min]
    Palm Beach County, FL...........         26[deg]54[min] /   Yuma Proving Ground, AZ         32[deg]54[min] /
                                              080[deg]19[min]                                    114[deg]20[min]
    Roosevelt Roads, PR.............         18[deg]14[min] /   .......................  .......................
                                              065[deg]38[min]
Protection Radius for Each of the Following Sites is 100 km:
    Edwards AFB, CA.................         34[deg]54[min] /   Patuxent River, MD.....         38[deg]17[min] /
                                              117[deg]53[min]                                    076[deg]25[min]
----------------------------------------------------------------------------------------------------------------

    (c) In addition, non-Government flight test operations may continue 
at the sites identified in the following table on a primary basis until 
January 1, 2007:

----------------------------------------------------------------------------------------------------------------
                                         North Latitude/West                               North Latitude/West
              Location                        Longitude                 Location                Longitude
----------------------------------------------------------------------------------------------------------------
Protection Radius for Each of the Following Sites is 160 km:
    Alammosa, CO....................  37[deg]26[min]04[sec] /   Thermal, CA............  33[deg]37[min]35[sec] /
                                       105[deg]52[min]03[sec]                             116[deg]09[min]36[sec]
    Albuquerque, NM.................  35[deg]11[min]03[sec] /   Phoenix, AZ............  33[deg]18[min]28[sec] /
                                       106[deg]34[min]30[sec]                             111[deg]39[min]19[sec]
    Amarillo, TX....................  35[deg]12[min]49[sec] /   Marietta, GA...........  33[deg]54[min]24[sec] /
                                       101[deg]42[min]31[sec]                             084[deg]31[min]09[sec]
    Arlington, TX...................  32[deg]40[min]00[sec] /   Greenville, TX.........  33[deg]04[min]01[sec] /
                                       097[deg]05[min]53[sec]                             096[deg]03[min]09[sec]
    Leadville, CO...................  39[deg]13[min]13[sec] /
                                       106[deg]19[min]03[sec]
----------------------------------------------------------------------------------------------------------------

    US364 Consistent with US18, stations may be authorized on a primary 
basis in the band 285-325 kHz for the specific purpose of transmitting 
differential global positioning system information.
    US366 On April 1, 2007, 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 shall 
be allocated exclusively to the broadcasting service. Beginning April 1, 
2007, frequencies in these bands may be used by stations in the fixed 
and mobile services, communicating only within the United States and its 
insular areas, on the condition that harmful interference is not caused 
to the broadcasting service. When using frequencies for fixed and mobile 
services, licensees shall be limited to the minimum power needed to 
achieve communications and shall take account of the seasonal use of 
frequencies by the broadcasting service published in accordance with 
Article 12 of the ITU Radio Regulations.
    US367 On the condition that harmful interference 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 Government 
stations in the fixed service communicating within the United States and 
its insular areas that are authorized as of [effective date of the 
Report and Order published in the Federal Register]. Each such station 
shall be limited to a total radiated power of 24 dBW.
    US368 The band 1390-1392 MHz is also allocated to the fixed-
satellite service (Earth-to-space) on a primary basis and the band 1430-
1432 MHz is also allocated to the fixed-satellite service (space-to-
Earth) on a primary basis, limited to feeder links for the Non-Voice 
Non-Geostationary Mobile-Satellite Service, and contingent on (1) the 
completion of sharing studies including the measurement of emissions 
from equipment that would be employed in operational systems and 
demonstrations to validate the studies as called for in Resolution 127 
(WRC-2000), (2) the adoption of worldwide feeder link allocations at the 
2003 World Radiocommunication Conference (WRC-03), and (3) compliance 
with any technical and operational requirements that may be imposed at 
WRC-03 to protect passive services in the 1400-1427 MHz band from 
unwanted emissions associated

[[Page 613]]

with such allocations. These allocations become effective upon adoption 
of worldwide allocations at WRC-03. If no such allocations are adopted 
by WRC-03, these allocations shall be considered null and void, with no 
grandfathering of rights. Individual assignments shall be coordinated 
with the Interdepartmental Radio Advisory Committee's (IRAC) Frequency 
Assignment Subcommittee (FAS) (see, for example, Recommendations ITU-R 
RA.769-1 and ITU R SA.1029-1) to ensure the protection of passive 
services in the 1400-1427 MHz band. Coordination shall not be completed 
until the feeder downlink system is tested and certified to be in 
conformance with the technical and operational requirements for the 
protection of passive services in the 1400-1427 MHz band. Certification 
and all supporting documentation shall be submitted to the Commission 
and FAS prior to launch.
    US370 The band 5000-5150 MHz is to be used for the operation of the 
international standard system (microwave landing system) for precision 
approach and landing. The requirements of this system shall take 
precedence over other uses of this band. For the use of this band, ITU 
Radio Regulation No. 5.444A and Resolution 114 (WRC-95) apply.
    US378 In the band 1710-1755 MHz, Federal government stations in the 
fixed and mobile services shall operate on a primary basis until 
reaccommodated in accordance with the Strom Thurmond National Defense 
Authorization Act for Fiscal Year 1999. Further, Federal government 
stations may continue to operate in the band 1710-1755 MHz as provided 
below:
    (a) Federal fixed microwave and tactical radio relay stations may 
operate indefinitely on a primary basis at the sites listed below:

------------------------------------------------------------------------
                                                              Radius of
           Location                     Coordinates           operation
                                                                 (km)
------------------------------------------------------------------------
Cherry Point, NC.............  34[deg]58[min] N                       80
                                076[deg]56[min] W
Yuma, AZ.....................  32[deg]32[min] N                       80
                                113[deg]58[min] W
------------------------------------------------------------------------

    (b) Federal fixed microwave and tactical radio relay stations may 
operate on a secondary basis, and shall not cause harmful inference to, 
and must accept harmful interference from, primary non-Federal 
government operations at the sites listed below:

------------------------------------------------------------------------
                                                              Radius of
           Location                     Coordinates           operation
                                                                 (km)
------------------------------------------------------------------------
China Lake, CA...............  35[deg]41[min] N                       80
                                117[deg]41[min] W
Eglin AFB, FL................  30[deg]29[min] N                       80
                                086[deg]31[min] W
Pacific Missile Test Range/    34[deg]07[min] N                       80
 Point Mugu, CA.                119[deg]30[min] W
Nellis AFB, NV...............  36[deg]14[min] N                       80
                                115[deg]02[min] W
Hill AFB, UT.................  41[deg]07[min] N                       80
                                111[deg]58[min] W
Patuxent River, MD...........  38[deg]17[min] N                       80
                                076[deg]25[min] W
White Sands Missile Range, NM  33[deg]00[min] N                       80
                                106[deg]30[min] W
Fort Irwin, CA...............  35[deg]16[min] N                       50
                                116[deg]41[min] W
Fort Rucker, AL..............  31[deg]13[min] N                       50
                                085[deg]49[min] W
Fort Bragg, NC...............  35[deg]09[min] N                       50
                                079[deg]01[min] W
Fort Campbell, KY............  36[deg]41[min] N                       50
                                087[deg]28[min] W
Fort Lewis, WA...............  47[deg]05[min] N                       50
                                122[deg]36[min] W
Fort Benning, GA.............  32[deg]22[min] N                       50
                                084[deg]56[min] W
Fort Stewart, GA.............  31[deg]52[min] N                       50
                                081[deg]37[min] 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.
    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 limited 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 Government licensee in the mobile-satellite service (MSS) 
may also operate an ancillary terrestrial component in conjunction 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 authorization.
    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 limited to: (1) A maximum 
effective radiated power (e.r.p.) of 50 W; and, (2) single sideband 
suppressed carrier modulation (emission designator 2K8J3E), upper 
sideband voice transmissions only.

[[Page 614]]

    US382 In the band 39.5-40 GHz, Federal Government earth stations in 
the mobile-satellite service (space-to-Earth) shall not claim protection 
from non-Federal Government 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 Government Earth 
exploration-satellite (Earth-to-space) and meteorological-satellite 
(Earth-to-space) services are limited to earth stations transmitting to 
Federal Government space stations.
    US385 The band 1164-1215 MHz is also allocated to the 
radionavigation-satellite service (space-to-Earth, space-to-space) on a 
primary basis. In this band, stations in the radionavigation-satellite 
service shall not cause harmful interference to, nor claim protection 
from, stations of the aeronautical radionavigation service.
    US386 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) (space-to-Earth) in the 
band 31.8-32.3 GHz, all necessary measures shall be taken to prevent 
harmful interference between these services, bearing in mind the safety 
aspects of the radionavigation service.
    US387 The band 75.5-76 GHz is also allocated to the amateur and 
amateur-satellite services on a secondary basis until January 1, 2006. 
After that date, the band 75.5-76 GHz shall no longer be available for 
use by the amateur service or the amateur-satellite service.
    US388 In the bands 81-86 GHz, 92-94 GHz, and 94.1-95 GHz and within 
the coordination distances indicated below, assignments to allocated 
services shall be coordinated with the following radio astronomy 
observatories. New observatories shall not receive protection from fixed 
stations that are licensed to operate in the one hundred most populous 
urbanized areas as defined by the U.S. Census Bureau for the year 2000. 
The coordinates listed below are specified in terms of the North 
American Datum of 1983.
    Note: Satisfactory completion of the coordination procedure 
utilizing the automated mechanism, see Sec. 101.1523, will be deemed to 
establish sufficient separation from radio astronomy observatories, 
regardless of whether the distances set forth above are met.

------------------------------------------------------------------------
                                      150 kilometer (93 mile) radius
                                               centered on:
       Telescope and site       ----------------------------------------
                                    North latitude      West longitude
------------------------------------------------------------------------
National Radio Astronomy         38[deg]25[min]59[se  79[deg]50[min]24[s
 Observatory (NRAO), Robert C.    c]                   ec]
 Byrd Telescope, Green Bank, WV.
NRAO, Very Large Array,          34[deg]04[min]44[se  107[deg]37[min]06[
 Socorro, NM.                     c]                   sec]
University of Arizona 12-m       31[deg]57[min]10[se  111[deg]36[min]50[
 Telescope, Kitt Peak, AZ.        c]                   sec]
BIMA Telescope, Hat Creek, CA..  40[deg]49[min]04[se  121[deg]28[min]24[
                                  c]                   sec]
Caltech Telescope, Owens         37[deg]13[min]54[se  118[deg]17[min]36[
 Valley, CA.                      c]                   sec]
Five Colleges Observatory,       42[deg]23[min]33[se  72[deg]20[min]40[s
 Amherst, MA.                     c]                   ec]
Haystack Observatory, Westford,  42[deg]37[min]23[se  71[deg]29[min]19[s
 MA.                              c]                   ec]
James Clerk Maxwell Telescope,   19[deg]49[min]33[se  155[deg]28[min]20[
 Mauna Kea, HI.                   c]                   sec]
Combined Array for Research in     (1) CARMA will be located at a new,
 Millimeter-wave Astronomy             high-altitude site in eastern
 (CARMA), CA.                     California, expected to be operational
                                                 in 2004.
------------------------------------------------------------------------


 
                                     25 kilometer (15.5 mile) radius
 NRAO, very long baseline array                centered on:
            stations            ----------------------------------------
                                    North latitude      West longitude
------------------------------------------------------------------------
Brewster, WA...................  48[deg]07[min]52[se  119[deg]41[min]00[
                                  c]                   sec]
Fort Davis, TX.................  30[deg]38[min]06[se  103[deg]56[min]41[
                                  c]                   sec]
Hancock, NH....................  42[deg]56[min]01[se  71[deg]59[min]12[s
                                  c]                   ec]
Kitt Peak, AZ..................  31[deg]57[min]23[se  111[deg]36[min]45[
                                  c]                   sec]
Los Alamos, NM.................  35[deg]46[min]31[se  106[deg]14[min]44[
                                  c]                   sec]
Mauna Kea, HI..................  19[deg]48[min]05[se  155[deg]27[min]19[
                                  c]                   sec]
North Liberty, IA..............  41[deg]46[min]17[se  91[deg]34[min]27[s
                                  c]                   ec]
Owens Valley, CA...............  37[deg]13[min]54[se  118[deg]16[min]37[
                                  c]                   sec]
Pie Town, NM...................  34[deg]18[min]04[se  108[deg]07[min]09[
                                  c]                   sec]
Saint Croix, VI................  17[deg]45[min]24[se  64[deg]35[min]01[s
                                  c]                   ec]
------------------------------------------------------------------------

    US389 In the bands 71-76 GHz and 81-86 GHz, stations in the fixed, 
mobile, and broadcasting services shall not cause harmful interference 
to, nor claim protection from, Federal Government stations in the fixed-
satellite service at any of the following 28 military installations:

------------------------------------------------------------------------
        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    CA            Dublin.
 Area.
China Lake Naval Air Weapons Station  CA            Ridgecrest.
Edwards AFB.........................  CA            Rosamond.
Fort Irwin..........................  CA            Barstow.
Marine Corps Air Ground Combat        CA            Twentynine Palms.
 Center.
Buckley AFB.........................  CO            Aurora (Denver).
Schriever AFB.......................  CO            Colorado Springs.
Fort Gordon.........................  GA            Augusta.

[[Page 615]]

 
Naval Satellite Operations Center...  GU            Finegayan (Territory
                                                     of Guam).
Naval Computer and                    HI            Wahiawa (Oahu Is.).
 Telecommunications Area Master
 Station, Pacific.
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.
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 Government stations in the space research service 
(active) operating in the band 5350-5460 MHz shall not cause harmful 
interference to, nor claim protection from, Federal and non-Federal 
Government stations in the aeronautical radionavigation service nor 
Federal Government stations in the radiolocation service.
    US391 In the band 2495-2500 MHz, the mobile-satellite service 
(space-to-Earth) shall not receive protection from non-Federal 
Government stations in the fixed and mobile except aeronautical mobile 
services operating in that band.

                  Non-Federal Government (NG) Footnotes

    (These footnotes, each consisting of the letters ``NG'' followed by 
one or more digits, denote stipulations applicable only to the non-
Federal Government.)
    NG2 Facsimile broadcasting stations may be authorized in the band 
88-108 MHz.
    NG3 Control stations in the domestic public 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 stations.
    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, including 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 limited to frequencies in the band 160.05-
161.37 MHz. No new public radio service system will be authorized to 
operate on these frequencies.
    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 radiotelephone 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 authorized for such operation, 
including expansion 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 The frequency band 160.86-161.40 MHz is available for 
assignment to remote pickup base and remote pickup mobile stations in 
Puerto Rico and the Virgin Islands only on a shared basis with the land 
transportation radio service.
    NG31 Stations in the Rural Radio Service licensed for Basic Exchange 
Telecommunications Radio Service may be authorized to use some 
frequencies in the bands 816-820 MHz (fixed subscriber) and 861-865 MHz 
(central office or base), on a co-primary basis with private land mobile 
radio licensees, pursuant to part 22 subpart H.
    NG41 Frequencies in the bands 3700-4200 MHz and 5925-6425 MHz, may 
also be assigned to stations in the international fixed public and 
international control services located in Puerto Rico, the U.S. Virgin 
Islands, and Navassa Island.
    NG42 Non-Government stations in the radiolocation service shall not 
cause harmful interference to the amateur service.
    NG49 The following frequencies may be authorized for mobile 
operations in the Manufacturers 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 
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

[[Page 616]]


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 Special Industrial Radio Service, Manufacturers Radio 
Service, Railroad Radio Service and 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 industrial 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 Virgin Islands only, the bands 150.8-
150.98 MHz and 150.98-151.49 MHz are allocated exclusively to the 
business radio service.
    NG53 The band 13.15-13.20 GHz is reserved for television pickup and 
CARS pickup stations inside a 50 km radius of the 100 television markets 
delineated in Sec. 76.51 of this chapter. Outside a 50 km radius of the 
100 television markets delineated in Sec. 76.51 of this chapter, 
television pickup stations, CARS stations and NGSO FSS gateway earth 
stations shall operate on a primary co-equal basis. The band 13.20-
13.2125 GHz is reserved for television pickup stations on a primary 
basis and CARS pickup stations on a secondary basis inside a 50 km 
radius of the 100 television markets delineated in Sec. 76.51 of this 
chapter. Outside a 50 km radius of the 100 markets delineated in Sec. 
76.51 of this chapter, television pickup stations and NGSO FSS gateway 
earth stations shall operate on a co-primary basis, CARS stations shall 
operate on a secondary basis. Fixed television auxiliary stations 
licensed pursuant to applications accepted for filing before September 
1, 1979, may continue operation on channels in the 13.15-13.25 GHz band, 
subject to periodic license renewals. NGSO FSS gateway uplink 
transmissions in the 13.15-13.2125 GHz segment shall be limited to a 
maximum EIRP of 3.2 dBW towards 0 degrees on the radio horizon. These 
provisions shall not apply to GSO FSS operations in the 12.75-13.25 GHz 
band.
    NG56 In the bands 72.0-73.0 and 75.4-76.0 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 interference will not be caused to common carrier 
domestic public stations, to remote control of industrial equipment 
operating in the 72-76 MHz band, or to the reception of television 
signal 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, mobile, and operational fixed stations participating 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 described below:
    (a) In the urbanized areas listed in the table below, the indicated 
frequency bands are allocated to the land 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/Business 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 Public Safety Radio Pool in or near (i) the Los Angeles 
urbanized area; and (ii) New York City; Nassau, Suffolk, and Westchester 
Counties in New York State; and Bergen County, New Jersey.

------------------------------------------------------------------------
         Urbanized area              Bands (MHz)         TV channels
------------------------------------------------------------------------
Boston, MA.....................  470-476, 482-488..  14, 16
Chicago, IL-Northwestern         470-476, 476-482..  14, 15
 Indiana.
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,   14, 16, 20
                                  506-512.
Miami, FL......................  470-476...........  14
New York, NY-Northeastern New    470-476, 476-482,   14, 15, 16
 Jersey.                          482-488.
Philadelphia, PA-New Jersey....  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-Maryland-         488-494, 494-500..  17, 18
 Virginia.
------------------------------------------------------------------------

    (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

[[Page 617]]

fixed service for use by common carrier control 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 Islands only, the bands 159.240-
159.435 and 160.410-160.620 MHz are also available for assignment to 
base stations and mobile stations 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 domestic 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 
petroleum radio service for use primarily in oil spill containment and 
cleanup operations and secondarily in regular land mobile communication.
    NG115 In the bands 54-72 MHz, 76-88 MHz, 174-216 MHz, 470-608 MHz, 
and 614-806 MHz, wireless microphones and wireless assist video devices 
may be authorized on a non-interference basis, subject to the terms and 
conditions set forth in 47 CFR part 74, subpart H.
    NG117 The frequency 156.050 and 156.175 MHz may be assigned to 
stations in the maritime 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 maritime 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 accordance with the 
Table of Frequency Allocations.
    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 Within designated segments of the bands that comprise 30.85-
47.41 MHz, 150.8-159.465 MHz, and 453.0125-467.9875 MHz, police 
licensees are authorized to operate low power radio transmitters on a 
secondary, non-interference 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 permittees are permitted to use 
subcarriers on a secondary basis to transmit signals intended for both 
broadcast and non-broadcast purposes. In the bands 54-72, 76-88, 174-
216, 470-608 and 614-806 MHz, TV broadcast licensees or permittees are 
permitted to use subcarriers on a secondary basis for both broadcast and 
non-broadcast purposes.
    NG129 In Alaska, the bands 76-88 MHz and 88-100 MHz are also 
allocated to the Fixed service on a secondary basis. Broadcast stations 
operating in these bands shall not cause interference to non-Government 
fixed operations authorized prior to January 1, 1982.
    NG134 In the band 10.45-10.5 GHz non-Government 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 amateur service is not allocated 
north of line A (def. Sec. 2.1).
    NG141 The frequencies 42.40 MHz and 44.10 MHz are authorized on a 
primary basis in the State of Alaska for meteor burst communications by 
fixed stations in the Rural Radio Service operating under the provisions 
of part 22 of this chapter. The frequencies 44.20 MHz and 45.90 MHz are 
authorized on a primary basis in Alaska for meteor burst communications 
by fixed private radio stations operating under the provisions of part 
90 of the chapter. The private radio station frequencies may be used by 
Common Carrier stations on a secondary, noninterference basis and the 
Common Carrier 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, 76-88, 174-216, 470-512, and 512-806 MHz may use a portion of the 
television vertical blanking interval for the transmission of 
telecommunications signals, on the condition that harmful intereference 
will not be caused to the reception of primary services, and that such 
telecommunications services must accept any interference caused by 
primary services operating in these bands.
    NG143 In the band 11.7-12.2 GHz, protection from harmful 
interference shall be afforded to transmissions from space stations not 
in conformance with ITU Radio Regulation 5.488 only if the operations of 
such space stations impose no unacceptable constraints on operations or 
orbit locations of space stations in conformance with 5.488.
    NG144 Stations authorized as of September 9, 1983 to use frequencies 
in the bands 17.7-18.3 GHz and 19.3-19.7 GHz may, upon proper

[[Page 618]]

application, continue operations. Fixed stations authorized in the 18.3-
19.3 GHz band that remain co-primary under the provisions of 47 CFR 
21.901(e), 74.502(c), 74.602(g), 78.18(a)(4), and 101.147(r) of this 
chapter may continue operations consistent with the provisions of those 
sections.
    NG145 In the band 11.7-12.2 GHz, transponders on space stations in 
the fixed-satellite 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 protection 
from interference than the coordinated fixed-satellite service frequency 
assignments. 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, stations in the fixed and mobile 
services that are licensed under part 74 (Television Broadcast Auxiliary 
Stations), part 90 (Private Land Mobile Radio Services), or part 101 
(Fixed Microwave Services) of the Commission's Rules, 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 segment 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 licensed 
under part 27 (Miscellaneous Wireless Communication Services) of the 
Commission's Rules.
    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 maritime mobile 
stations for offshore radiolocation and associated telecommand 
operations.
    NG149 The frequency 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 operations in accordance with 
part 73 of the rules.
    NG151 In the frequency bands 824-849 MHz and 869-894 MHz, cellular 
land mobile licensees are permitted to offer auxiliary services on a 
secondary basis subject to the provisions of part 22.
    NG152 The band 219-220 MHz is also allocated to the amateur service 
on a secondary basis for stations participating, as forwarding stations, 
in point-to-point fixed digital message forwarding systems, including 
intercity packet backbone networks.
    NG153 The band 2160-2165 MHz is reserved for future emerging 
technologies on a co-primary basis with the fixed and mobile services. 
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 
secondary basis to emerging technologies.
    NG155 The bands 159.500-159.675 MHz and 161.375-161.550 MHz are 
allocated to the maritime service as described in Part 80 of this 
chapter. 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 allocated 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 
December 9, 2013, the band 2000-2020 MHz is allocated to the fixed and 
mobile services on a secondary basis.
    NG158 The frequency bands 764-776 MHz and 794-806 MHz are available 
for assignment exclusively to the public safety services, to be defined 
in Docket No. WT 96-86.
    NG159 Full power analog television stations licensed and new digital 
television (DTV) broadcasting operations in the band 698-806 MHz shall 
be entitled to protection from harmful interference until the end of the 
DTV transition period. Low power television and television translators 
in the band 746-806 MHz must cease operations in the band at the end of 
the DTV transition period. Low power television and television 
translators in the band 698-746 MHz are secondary to all other 
operations in the band 698-746 MHz.
    NG160 In the 5850-5925 MHz band, the use of the non-Federal 
government mobile service is limited to Dedicated Short Range 
Communications operating in the Intelligent Transportation System radio 
service.
    NG163 The allocation to the broadcasting-satellite service in the 
band 17.3-17.7 GHz shall come into effect on 1 April 2007.
    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 geostationary-
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-geostationary-
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 mobile-
satellite service.
    NG167 The use of the fixed-satellite service (Earth-to-space) in the 
band 24.75-25.25 GHz is limited to feeder links for the broadcasting-
satellite service operating in the band 17.3-17.7 GHz. The allocation to 
the fixed-satellite service (Earth-to-space) in the band 24.75-25.25 
shall come into effect on 1 April 2007.
    NG168 The band 2180-2200 MHz is also allocated to the fixed and 
mobile services on a primary basis for facilities where the receipt

[[Page 619]]

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. Grandfathered earth stations are those authorized prior 
to December 1, 2000, or granted as a result 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 
stations, major amendments to pending earth station applications, or 
applications for major modifications to earth station facilities filed 
on or after December 18, 1998, and prior to December 1, 2000, shall not 
be accepted unless the proposed facilities are in the vicinity (i.e., 
within 10 miles) of an authorized primary earth station operating in the 
band 3650-3700 MHz. License applications for primary operations by new 
earth stations, major amendments to pending earth station applications, 
and applications for major modifications to earth station facilities, 
filed after December 1, 2000, shall not be accepted, except for changes 
in polarization, antenna orientation or ownership of a grandfathered 
earth station.
    NG170 In the band 3650-3700 MHz, the mobile except aeronautical 
mobile service is limited to base station operations. These base 
stations are subject to the same coordination procedures as fixed 
service operations in the band 3650-3700 MHz.
    NG171 In the band 6875-7125 MHz, the following two channels should 
be used for airborne 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 allocated on a primary basis, but the use of this 
allocation shall be limited to two grandfathered satellite systems. 
Associated earth stations located within 300 meters of the following 
locations shall be grandfathered: (1) in the band 7025-7075 MHz, 
Brewster, Washington (48[deg]08[min]46.7[sec] N, 119[deg]42[min]8.0[sec] 
W); and, (2) in the band 7025-7055 MHz, Clifton, Texas 
(31[deg]47[min]58.5[sec] N, 97[deg]36[min]46.7[sec] W) and Finca 
Pascual, Puerto Rico (17[deg]58[min]41.8[sec] N, 67[deg]8[min]12.6[sec] 
W). All coordinates are specified in terms of the North American Datum 
of 1983.
    NG173 In the band 216-220 MHz, secondary telemetry operations are 
permitted subject to the requirements of Sec. 90.259 of this chapter. 
After January 1, 2002, no new assignments shall be authorized in the 
band 216-217 MHz.
    NG174 In Puerto Rico, frequencies within the band 2385-2390 MHz are 
not available for assignment to stations in the aeronautical mobile 
service.
    NG175 Television pickup stations in the mobile services authorized 
to use frequencies in the band 38.6-40.0 GHz on or before April 16, 
2003, may continue to operate on a secondary basis to stations operating 
in accordance with the Table of Frequency Allocations.
    NG176 The allocations to the fixed and mobile services in the band 
1710-1755 MHz shall come into effect on January 1, 2004.
    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 primary 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 
facilities 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 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 facilities in the band 2165-2180 
MHz shall operate on a secondary basis to Advanced Wireless Services.

                    Federal Government (G) Footnotes

    (These footnotes, each consisting of the letter ``G'' followed by 
one or more digits, denote stipulations applicable only to the Federal 
Government.)
    G2 In the bands 216-225, 420-450 (except as provided by US217 and 
G129), 890-902, 928-942, 1300-1400, 2310-2385, 2417-2450, 2700-2900, 
5650-5925 and 9000-9200 MHz, the Federal Government 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, the fixed and mobile services are all allocated on a primary basis 
to the Government non-military agencies.
    G6 Military tactical fixed and mobile operations may be conducted 
nationally on a secondary basis: (1) To the meteorological aids service 
in the band 403-406 MHz; and (2) to the radio astronomy service in the 
band 406.1-410 MHz. Such fixed and mobile operations are subject to 
local coordination to ensure that harmful interference will not be

[[Page 620]]

caused to the services to which the bands are allocated.
    G8 Low power Government radio control operations are permitted in 
the band 420-450 MHz.
    G11 Government fixed and mobile radio services, including low power 
radio control operations, 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 
coordinated 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 
accommodated satisfactorily elsewhere in the spectrum, such operations 
will, insofar as practicable, be adjusted to meet the requirements of 
the aeronautical radionavigation service.
    G19 Use of the band 9000-9200 MHz by military fixed and shipborne 
air defense radiolocation installations will be fully coordinated with 
the aeronautical radionavigation service, recognizing fully the safety 
aspects of the latter. Military air defense installations will be 
accommodated ultimately outside 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 mobile services are limited primarily to operations by the 
military services.
    G31 In the 3300-3500 MHz, the Government radiolocation is limited to 
the military services, except as provided by footnote.
    G32 Except for weather radars on meteorological satellites in the 
band 9975-10025 MHz and for Government survey operations (see footnote 
US108), Government radiolocation in the band 10000-10500 MHz is limited 
to the military services.
    G34 In the band 34.4-34.5 GHz, weather radars on board 
meteorological satellites for cloud detection are authorized to operate 
on the basis of equality with military radiolocation devices. All other 
non-military radiolocation in the band 33.4-36.0 GHz shall be secondary 
to the military services.
    G42 Space command, control, range and range rate systems for earth 
station transmission only (including installations on certain Navy 
ships) may be accommodated on a co-equal basis with the fixed and mobile 
services in the band 1761-1842 MHz. Specific frequencies required to be 
used at any location will be satisfied on a coordinated case-by-case 
basis.
    G56 Government 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 Government agencies 
in support of experimentation and research programs. In addition, 
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 Government 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 military 
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 meteorological-satellite installations 
will precede the meteorological-satellite installations, engineering 
adjustments to either the military or the meteorological-satellite 
systems or both will be made as mutually required to assure compatible 
operations of the systems concerned.
    G106 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, on a secondary basis, to the space research service. The 
space research transmissions are subject to immediate temporary or 
permanent shutdown in the event of interference to the reception of the 
standard frequency and time broadcasts.
    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, particularly 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 Government ground-based stations in the aeronautical 
radionavigation service may be authorized between 3500-3650 MHz when 
accommodation in the band 2700-2900 MHz is not technically and/or 
economically feasible.
    G114 The band 1369.05-1390 MHz is also allocated 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.
    G115 In the band 13360-13410 kHz, the fixed service is allocated on 
a primary basis outside the conterminous United States. Within

[[Page 621]]

the conterminous United States, assignments in the fixed service are 
permitted, and will be protected for national defense purposes 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 allocated for earth-to-space 
transmissions in the Space Operations Service at a limited number of 
sites (not to exceed two), subject to established coordination 
procedures.
    G117 In the bands 7.25-7.75 GHz, 7.9-8.4 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 
Government fixed-satellite and mobile-satellite services are limited to 
military systems.
    G118 Government fixed stations may be authorized in the band 1700-
1710 MHz only if spectrum is not available in the band 1710-1850 MHz.
    G120 Development of airborne primary radars in the band 2310-2385 
MHz with peak transmitter power in excess of 250 watts for use in the 
United States is not permitted.
    G122 In the bands 2390-2400 MHz, 2402-2417 MHz, and 4940-4990 MHz, 
Government operations may be authorized on a non-interference basis to 
authorized non-Government operations, but shall not hinder the 
implementation of any non-Government operations.
    G123 The bands 2300-2310 and 2400-2402 MHz were identified for 
reallocation, effective August 10, 1995, for exclusive non-Government 
use under Title VI of the Omnibus Budget Reconciliation Act of 1993. 
Effective August 10, 1995, any Government operations in these bands are 
on a non-interference basis to authorized non-Government operations and 
shall not hinder the implementation of any non-Government operations.
    G124 The band 2417-2450 MHz was identified for reallocation, 
effective August 10, 1995, for mixed Government and non-Government use 
under Title VI of the Omnibus Budget Reconciliation Act of 1993.
    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 geostationary 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 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/m\2\/100 MHz) for all angles of arrival.
    G129 Federal Government wind profilers are authorized to operate on 
a primary basis in the radiolocation service in the frequency band 448-
450 MHz with an authorized bandwidth of no more than 2 MHz centered on 
449 MHz, subject to the following conditions: (1) wind profiler 
locations must be pre-coordinated with the military services to protect 
fixed military 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 Government 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 operating in accordance with ITU 
Radio Regulation No. 5.449.
    G131 Federal Government 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 nor cause harmful interference to, nor claim protection from, 
Federal Government stations in the maritime radionavigation service.

[49 FR 2373, Jan. 19, 1984]

    Editorial Note 1: For Federal Register citations affecting Sec. 
2.106, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.

    Effective Date Note: At 69 FR 46440, Aug. 3, 2004, Sec. 2.106 was 
amended by revising page 57 of the table, effective Oct. 4, 2004. For 
the convenience of the user, the revised page is set forth as follows:

Sec. 2.106  Table of Frequency Allocations

                                * * * * *

[[Page 622]]

[GRAPHIC] [TIFF OMITTED] TR03AU04.009



                                * * * * *



Sec. 2.107  Radio astronomy station notification.

    (a) Pursuant to No. 1492 of Article 13 and Section F of Appendix 3 
to the

[[Page 623]]

international Radio Regulations (Geneva, 1982), operators of radio 
astronomy stations desiring international recognition of their use of 
specific radio astronomy frequencies or bands of frequencies for 
reception, should file the following information with the Commission 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 frequency band begins.
    (3) The name and location of the station, including geographical 
coordinates 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 equipment is not a primary factor. 
Class B observations are those of such a nature that they can be made 
only with advanced 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 information above, should also be filed with the Commission.
    (c) Observations being conducted on frequencies or frequency bands 
not allocated to the radio astronomy service should be reported as in 
paragraph (a) of this section for information purposes. Information in 
this category will not be submitted for entry in the Master 
International Frequency Register and protection from interference will 
not be afforded such operations by stations in other services.



Sec. 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 allocations 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-continental 
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 coordinated. Specific 
locations of these earth stations depend upon service requirements and 
case-by-case EMC analyses that demonstrate compatible operations.



                           Subpart C_Emissions



Sec. 2.201  Emission, modulation, and transmission characteristics.

    The following system of designating emission, modulation, and 
transmission characteristics shall be employed.
    (a) Emissions are designated according to their classification and 
their necessary bandwidth.
    (b) A minimum of three symbols are used to describe the basic 
characteristics of radio waves. Emissions are classified and symbolized 
according to the following characteristics:
    (1) First symbol--type of modulation of the main character;
    (2) Second symbol--nature of signal(s) modulating the main carrier;
    (3) Third symbol--type of information to be transmitted.

    Note: A fourth and fifth symbol are provided for additional 
information and are shown in Appendix 6, part A of the ITU Radio 
Regulations. Use of the fourth and fifth symbol 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 modulation of the main carrier:

 (1) Emission of an unmodulated carrier.............................   N

[[Page 624]]

 
 (2) Emission in which the main carrier is amplitude-modulated
 (including cases where sub-carriers 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:.........
  --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-        D
 modulated either simultaneously or in a pre-established sequence...
 (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     Q
     the pulse......................................................
    --Which is a combination of the foregoing or is produced by        V
     other means....................................................
 (6) Cases not covered above, in which an emission consists of the     W
 main carrier modulated, either simultaneously or in a pre-
 established sequence, in a combination of two or more of the
 following modes: amplitude, angle, pulse...........................
 (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 signal(s) modulating the main carrier:

 (1) No modulating signal...........................................   0
 (2) A single channel containing quantized or digital information      1
 without the use of a modulating sub-carrier, excluding time-
 division muliplex..................................................
 (3) A single channel containing quantized or digital information      2
 with the use of a modulating sub-carrier, excluding time-division
 multiplex..........................................................
 (4) A single channel containing analogue information...............   3
 (5) Two or more channels containing quantized or digital              7
 information........................................................
 (6) Two or more channels containing analogue information...........   8
 (7) Composite system with one or more channels containing quantized   9
 or digital information, together with one or more channels
 containing analogue information....................................
 (8) Cases not otherwise covered....................................   X
 

    (e) Third Symbol--type of information to be transmitted:\2\
---------------------------------------------------------------------------

    \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.

 (1) No information transmitted.....................................   N
 (2) Telegraphy--for aural reception................................   A
 (3) Telegraphy--for automatic reception............................   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 
emission. The use of type B emissions is forbidden.
    (g) Whenever the full designation of an emission is necessary, the 
symbol for that emission, as given above, shall be preceded by the 
necessary bandwidth of the emission as indicated in Sec. 2.202(b)(1).

[49 FR 48697, Dec. 14, 1984]

[[Page 625]]



Sec. 2.202  Bandwidths.

    (a) Occupied bandwidth. 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 
emission. In some cases, for example multichannel frequency-division 
systems, the percentage of 0.5 percent may lead to certain difficulties 
in the practical application of the definitions of occupied 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 required for the system 
employed, under specified conditions. Emissions useful for the good 
functioning of the receiving equipment as, for example, the emission 
corresponding to the carrier of reduced carrier systems, shall be 
included 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 section, which also gives examples of necessary bandwidths and 
designation of corresponding emissions;
    (2) For frequency modulated radio systems which have a substantially 
linear 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 indicated 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 necessary bandwidth so 
determined is not the only characteristic of an emission to be 
considered in evaluating the interference that may be caused by that 
emission.
    (e) In the formulation of the table in paragraph (g) of this 
section, the following 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 second, 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 minimum values of the instantaneous frequency. 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-amplitude
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 depends 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 multiplex systems).


[[Page 626]]


    (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 specified. (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 appropriate factors, as follows:

----------------------------------------------------------------------------------------------------------------
       Number of message circuits                Multiplying factors              Limits of X (Pavg (dBmO))
----------------------------------------------------------------------------------------------------------------
More than 3, but less than 12..........  4.47 x [a factor specified by the
                                          equipment manufacturer or station
                                          licensee, subject to Commission
                                          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) normally is considered 
to be numerically equal to:
    (i) 2M+2DK, for systems having no continuity pilot subcarrier or 
having a continuity pilot subcarrier whose frequency is not the highest 
modulating the main carrier;
    (ii) 2P+2DK, for systems having a continuity pilot subcarrier whose 
frequency 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 numerically 
equal to 2P or 2M+2DK, whichever is greater, provided the following 
conditions are met:
    (i) The modulation index of the main carrier due to the continuity 
pilot subcarrier 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 continuity pilot subcarrier 
does not exceed 70 percent of the rms value of the per-channel 
deviation, or, in a radio system for television, the rms deviation of 
the main carrier due to the pilot does not exceed 3.55 percent of the 
peak deviation of the main carrier.
    (g) Table of necessary bandwidths:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                          Necessary bandwidth
       Description of emission        ------------------------------------------------------------------------------------------ Designation of emission
                                                       Formula                                Sample calculation
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                 I. NO MODULATING SIGNAL
--------------------------------------------------------------------------------------------------------------------------------------------------------
Continuous wave emission.............  ......................................  ................................................  N0N (zero)
--------------------------------------
                                                                II. AMPLITUDE MODULATION
 
                                                     1. Signal With Quantized or Digital Information
--------------------------------------------------------------------------------------------------------------------------------------------------------
Continuous wave telegraphy...........  Bn=BK, K=5 for fading circuits, K=3     25 words per minute; B=20, K=5, Bandwidth: 100    100HA1A
                                        for non-fading circuits                 Hz
 
Telegraphy by on-off keying of a tone  Bn=BK+2M, K=5 for fading circuits, K=3  25 words per minute; B=20, M=1000, K=5,           2K10A2A
 modulated carrier.                     for non-fading circuits                 Bandwidth: 2100 Hz=2.1 kHz
 
Selective calling signal, single-      Bn=M                                    Maximum code frequency is: 2110 Hz, M=2110,       2K11H2B
 sideband full carrier.                                                         Bandwidth: 2110 Hz=2.11 kHz
 

[[Page 627]]

 
Direct-printing telegraphy using a     Bn=2M+2DK, M=B/2                         B=50, D=35 Hz (70 Hz shift), K=1.2, Bandwidth:   134HJ2B
 frequency shifted modulating sub-                                              134 Hz
 carrier single-sideband suppressed
 carrier.
 
Telegraphy, single sideband reduced    Bn=central frequency+M+DK, M=B/2        15 channels; highest central frequency is: 2805   2K89R7B
 carrier.                                                                       Hz, B=100, D=42.5 Hz (85 Hz shift), K=0.7
                                                                                Bandwidth: 2.885 Hz=2.885 kHz
--------------------------------------
                                                            2. Telephony (Commercial Quality)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Telephony double-sideband............  Bn=2M                                   M=3000, Bandwidth=6000 Hz=6 kHz                   6K00A3E
 
Telephony, single-sideband, full       Bn=2M                                   M=3000, Bandwidth: 3000 Hz=3 kHz                  3K00H3E
 carrier.
 
Telephony, single-sideband suppressed  Bn=M-lowest modulation frequency        M=3000, lowest modulation frequency is 3000 Hz,   2K70J3E
 carrier.                                                                       2700 Hz Bandwidth: 2700Hz=2.7 kHz
 
Telephony with separate frequency      Bn=M                                    Maximum control frequency is 2990 Hz, M=2990,     2K99R3E
 modulated signal to control the                                                Bandwidth: 2990 Hz=2.99 kHz
 level of demodulated speech signal,
 single-sideband, reduced carrier.
 
Telephony with privacy, single-        Bn=Nc M-lowest modulation frequency in  Nc=2, M=3000 lowest modulation frequency is 250   5K75J8E
 sideband, suppressed carrier (two or   the lowest channel                      Hz, Bandwidth: 5750 Hz=5.75 kHz
 more channels).
 
Telephony, independent sideband (two   Bn=sum of M for each sideband           2 channels, M=3000, Bandwidth: 6000 Hz=6 kHz      6K00B8E
 or more channels).
--------------------------------------
                                                                  3. Sound Broadcasting
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sound broadcasting, double-sideband..  Bn=2M, M may vary between 4000 and      Speech and music, M=4000, Bandwidth: 8000 Hz= 8   8K00A3E
                                        10000 depending on the quality          kHz
                                        desired
 
Sound broadcasting, single-sideband    Bn=M, M may vary between 4000 and       Speech and music, M=4000, Bandwidth: 4000 Hz= 4   4K00R3E
 reduced carrier (single channel).      10000 depending on the quality          kHz
                                        desired
 
Sound broadcasting, single-sideband,   Bn=M-lowest modulation frequency        Speech and music, M=4500, lowest modulation       4K45J3E
 suppressed carrier.                                                            frequency=50 Hz, Bandwidth: 4450 Hz=4.45 kHz
--------------------------------------
                                                                      4. Television
--------------------------------------------------------------------------------------------------------------------------------------------------------
Television, vision and sound.........  Refer to CCIR documents for the         Number of lines=525; Nominal video bandwidth:     5M75C3F
                                        bandwidths of the commonly used         4.2 MHz, Sound carrier relative to video
                                        television systems                      carrier=4.5 MHz
 
                                       ......................................  Total vision bandwidth: 5.75 MHz; FM aural        250KF3E
                                                                                bandwidth including guardbands: 250,000 Hz
 
                                       ......................................  Total bandwidth: 6 MHz                            6M25C3F
--------------------------------------
                                                                      5. Facsimile
--------------------------------------------------------------------------------------------------------------------------------------------------------
Analogue facsimile by sub-carrier      Bn=C-N/2+DK, K=1.1 (typically)          N=1100, corresponding to an index of cooperation  2K89R3C
 frequency modulation of a single-                                              of 352 and a cycler rotation speed of 60 rpm.
 sideband emission with reduced                                                 Index of cooperation is the product of the drum
 carrier.                                                                       diameter and number of lines per unit length
                                                                                C=1900, D=400 Hz, Bandwidth=2.890 Hz=2.89 kHz
 

[[Page 628]]

 
Analogue facsimile; frequency          Bn=2M+2DK, M=N/2, K=1.1 (typically)     N=1100, D=400 Hz, Bandwidth: 1980 Hz=1.98 kHz     1K98J3C
 modulation of an audio frequency sub-
 carrier which modulates the main
 carrier, single-sideband suppressed
 carrier.
--------------------------------------
                                                                 6. Composite Emissions
--------------------------------------------------------------------------------------------------------------------------------------------------------
Double-sideband, television relay....  Bn=2C+2M+2D                             Video limited to 5 MHz, audio on 6.5 MHz          13M2A8W
                                                                                frequency modulated subcarrier deviation=50
                                                                                kHz: C=6.5x106 D=50x103 Hz, M=15,000,
                                                                                Bandwidth: 13.13x106 Hz=13.13 MHz
 
Double-sideband radio relay system...  Bn=2M                                   10 voice channels occupying baseband between 1    328KA8E
                                                                                kHz and 164 kHz; M=164,000 bandwith=328,000
                                                                                Hz=328 kHz
 
Double-sideband emission of VOR with   Bn=2Cmax+2M+2DK, K=1 (typically)        The main carrier is modulated by: --a 30 Hz sub-  20K9A9W
 voice (VOR=VHF omnidirectional radio                                           carrier--a carrier resulting from a 9960 Hz
 range).                                                                        tone frequency modulated by a 30 Hz tone--a
                                                                                telephone channel--a 1020 Hz keyed tone for
                                                                                continual Morse identification. Cmax=9960,
                                                                                M=30, D=480 Hz, Bandwidth: 20,940 Hz=20.94 kHz
 
Independent sidebands; several         Bn=sum of M for each sideband           Normally composite systems are operated in        12K0B9W
 telegraph channels together with                                               accordance with standardized channel
 several telephone channels.                                                    arrangements, (e.g. CCIR Rec. 348-2) 3
                                                                                telephone channels and 15 telegraphy channels
                                                                                require the bandwidth 12,000 Hz=12 kHz
--------------------------------------
                                                               III-A. FREQUENCY MODULATION
 
                                                     1. Signal With Quantized or Digital Information
--------------------------------------------------------------------------------------------------------------------------------------------------------
Telegraphy without error-correction    Bn=2M+2DK, M=B/2, K=1.2 (typically)     B=100, D=85 Hz (170 Hz shift), Bandwidth: 304 Hz  304HF1B
 (single channel).
 
Four-frequency duplex telegraphy.....  Bn2M+2DK, B=Modulation rate in bands    Spacing between adjacent frequencies=400 Hz;      1K42F7B
                                        of the faster channel. If the           Synchronized channels; B=100, M=50, D=600 Hz,
                                        channels are synchronized: M=B/2,       Bandwidth: 1420 Hz=1.42 kHz
                                        otherwise M=2B, K=1.1 (typically)
--------------------------------------
                                                            2. Telephony (Commercial Quality)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Commercial telephony.................  Bn=2M+2DK, K=1 (typically, but under    For an average case of commercial telephony,      16K0F3E
                                        conditions a higher value may be        M=3,000, Bandwidth: 16,000 Hz=16 kHz
                                        necessary
--------------------------------------
                                                                  3. Sound Broadcasting
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sound broadcasting...................  Bn=2M+2DK, K=1 (typically)              Monaural, D=75,000 Hz, M=15,000, Bandwidth:       180KF3E
                                                                                18,000 Hz=180 kHz
--------------------------------------
                                                                      4. Facsimile
--------------------------------------------------------------------------------------------------------------------------------------------------------
Facsimile by direct frequency          Bn=2M+2DK, M=N/2, K=1.1 (typically)     N=1100 elements/sec; D=400 Hz, Bandwidth: 1980    1K98F1C
 modulation of the carrier; black and                                           Hz=1.98 kHZ
 white.
 
Analogue facsimile...................  Bn=2M+2DK, M=N/2, K=1.1 (typically)     N=1100 elements/sec; D=400 Hz, Bandwidth: 1980    1K98F3C
                                                                                Hz=1.98 kHz
--------------------------------------

[[Page 629]]

 
                                                        5. Composite Emissions (See Table III-B)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Radio-relay system, frequency          Bn=2P+2DK, K=1                          Microwave radio relay system specifications: 60   2M45F8E
 division multiplex.                                                            telephone channels occupying baseband between
                                                                                60 and 300 kHz; rms per-channel deviation 200
                                                                                kHz; pilot at 331 kHz produces 200 kHz rms
                                                                                deviation of main carrier. Computation of Bn :
                                                                                D=(200x1033x3.76x1.19), Hz=0.895x106,
                                                                                P=0.331x106 Hz; Bandwidth: 2.452x106 Hz
 
Radio-relay system frequency division  Bn=2M+2DK, K=1                          Microwave radio relay relay systems               16M6F8E
 multiple.                                                                      specifications: 1200 telephone channels
                                                                                occupying 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. Computation of Bn :
                                                                                D=(200x103x 3.76x3.63)=2.73x106; M=5.64x106 Hz;
                                                                                P=6.2x106 Hz; (2M+2DK<2P; Bandwidth 16.59x106
                                                                                Hz
 
Radio-relay system, frequency          Bn=2P                                   Microwave radio relay system specifications:      17M0F8E
 division multiplex.                                                            Multiplex 600 telephone channels occupying
                                                                                baseband between 60 and 2540 kHz; continuity
                                                                                pilot at 8500 kHz produces 140 kHz rms
                                                                                deviation of main carrier. Computation of Bn :
                                                                                D=(200x103x3.76 x 2.565)=1.93x106 Hz;
                                                                                M=2.54x106 Hz; 2DK)<=2P Bandwidth: 17x106 Hz
--------------------------------------
Unmodulated pulse emission...........  Bn=2K/t, K depends upon the ratio of    Primary Radar Range resolution: 150 m, K=1.5      3M00P0N
                                        pulse rise time. Its value usually      (triangular pulse where t[sime]tr, only
                                        falls between 1 and 10 and in many      components down to 27 dB from the strongest are
                                        cases it does not need to exceed 6      considered) Then t=2x range resolution/velocity
                                                                                of light=2x150/3x108=1x10-6 seconds, Bandwidth:
                                                                                3x106 Hz=3 MHz
--------------------------------------
                                                                 6. Composite Emissions
--------------------------------------------------------------------------------------------------------------------------------------------------------
Radio-relay system...................  Bn=2K/t, K=1.6                          Pulse position modulated by 36 voice channel      8M00M7E
                                                                                baseband; pulse width at half amplitude=0.4 us,
                                                                                Bandwidth: 8x106 Hz=8 MHz (Bandwidth
                                                                                independent of the number of voice channels)
Radio-relay system...................  Bn = 2K/t                               Pulse position modulated by 36 voice channel      8M00M7E
                                       K=1.6                                    baseband: pulse width at half amplitude 0.4
                                                                                [mu]S; Bn = 8 x 10 6 Hz = 8 MHz (Bandwidth
                                                                                independent of the number of voice channels)
Composite transmission digital         Bn = 2RK/log2S                          Digital modulation used to send 5 megabits per    5M00K7
 modulation using DSB-AM (Microwave                                             second by use of amplitude modulation of the
 radio relay system).                                                           main carrier with 4 signaling states
                                                                               R = 5 x 10 \6\ bits per second; K = 1; S = 4; Bn
                                                                                = 5 MHz
Binary Frequency Shift Keying........  (0.03 < 2D/R < 1.0);                    Digital modulation used to send 1 megabit per     2M80F1D
                                       Bn = 3.86D + 0.27R                       second by frequency shift keying with 2
                                       (1.0 < 2D/R <2)                          signaling states and 0.75 MHz peak deviation of
                                       Bn = 2.4D + 1.0R                         the carrier
                                                                               R = 1 x 10 6 bps; D = 0.75 x 10 6 Hz; Bn = 2.8
                                                                                MHz
Multilevel Frequency Shift Keying....  Bn = (R/log2S) + 2DK                    Digital modulation to send 10 megabits per        9M00F7D
                                                                                second by use of frequency shift keying with
                                                                                four signaling states and 2 MHz peak deviation
                                                                                of the main carrier
                                                                               R = 10 x 10 6 bps; D = 2 MHz; K = 1; S = 4; Bn =
                                                                                9 MHz
Phase Shift Keying...................  Bn = 2RK/log2S                          Digital modulation used to send 10 megabits per   10M0G7D
                                                                                second by use of phase shift keying with 4
                                                                                signaling states
                                                                               R = 10 x 10 6 bps; K = 1; S = 4; B\n\ = 10 MHz

[[Page 630]]

 
Quadrature Amplitude Modulation (QAM)  Bn = 2R/log2S                           64 QAM used to send 135 Mbps has the same         45M0W
                                                                                necessary bandwidth as 64-PSK used to send 135
                                                                                Mbps;
                                                                               R = 135 x 10 6 bps; S = 64; Bn = 45 MHz
Minimum Shift Keying.................  2-ary:                                  Digital modulation used to send 2 megabits per    2M36G1D
                                       Bn = R(1.18)                             second using 2-ary minimum shift keying
                                       4-ary:                                  R = 2.36 x 10 6 bps; Bn = 2.36 MHz
                                       Bn = R(2.34)
--------------------------------------------------------------------------------------------------------------------------------------------------------


[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]



 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.



Sec. 2.301  Station identification requirement.

    Each station using radio frequencies shall identify its 
transmissions according 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 
applicable radio treaties, conventions, regulations, arrangements, and 
agreements in force, and the enforcement of the Communications Act of 
1934, as amended, and the Commission's rules.

[34 FR 5104, Mar. 12, 1969]



Sec. 2.302  Call signs.

    The table which follows indicates the composition and blocks of 
international call signs available for assignment when such call signs 
are required by the rules pertaining to particular classes of stations. 
When stations operating in two or more classes are authorized 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 addition 
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  3 letters.............................  KAA through KZZ.
 telephone in Alaska.                                                     WAA through WZZ.
Coast (Classes II and III) and    3 letters, 3 digits...................  KAA200 through KZZ999.
 maritime radio-determination.                                            WAA200 through WZZ999.
Coast telephone in Alaska.......  3 letters, 2 digits...................
                                  3 letters, 3 digits (for stations       KAA20 through KZZ99.
                                   assigned frequencies above 30 MHz).    WAA20 through WZZ99.
                                                                          WZZ200 through WZZ999.
Fixed...........................  3 letters, 2 digits...................  KAA20 through KZZ99.
                                  3 letters, 3 digits (for stations       WAA20 through WZZ99.
                                   assigned frequencies above 30 MHz).    WAA200 through WZZ999.
Marine receiver test............  3 letters, 3 digits (plus general       KAA200 through KZZ999.
                                   geographic location when required).    WAA200 through WZZ999.
Ship telegraph..................  4 letters \1\.........................  KAAA through KZZZ.
                                                                          WAAA through WZZZ.
Ship telephone..................  2 letters, 4 digits, or 3 letters, 4    WA2000 through WZ9999, through
                                   digits \1\.                             WZZ9999.
Ship telegraph plus telephone...  4 letters.............................  KAAA through KZZZ.
                                                                          WAAA through WZZZ.
Ship radar......................  Same as ship telephone and/or           WA2000 through WZ9999, through
                                   telegraph call sign, or, if ship has    WZZ9999.
                                   no telephone or telegraph: 2 letters,
                                   4 digits, or 3 letters, 4 digits.

[[Page 631]]

 
Ship survival craft.............  Call sign of the parent ship followed   KAAA20 through KZZZ99.
                                   by 2 digits.                           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  KAAAA through KZZZZ.
                                   assigned).                             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
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         KAAA through KZZZ.
                                   station).                              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         KAAA-FM through KZZZ--FM.
                                   station).                              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         KAAA-TV through KZZZ-TV.
                                   station).                              WAAA-TV through WZZ-TV.
Television broadcast translator.  1 letter--output channel number--2      K02AA through K83ZZ.
                                   letters.                               W02AA through W83ZZ.
Disaster station, except U.S.     4 letters, 1 digit....................  KAAA2 through KZZZ9.
 Government.                                                              WAAA2 through WZZZ9.
Experimental (letter ``X''        2 letters, 1 digit, 3 letters.........  KA2XAA through KZ9XZZ.
 follows the digit).                                                      WA2XAA through WZ9XZZ.
Amateur (letter ``X'' may not     1 letter, 1 digit, 1 letter \4\.......  K1A through K0Z.
 follow digit).                                                           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     2 letters, 1 digit, 3 letters \4\.....  AA1AAA through AL0ZZZ.
 follow digit).                                                           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    KAA0001 through KZZ9999,
                                   digits..                               WAA0001 through WPZ9999,
                                                                          KAAA0001 through KZZZ9999.
Personal radio, temporary permit  3 letters, 5 digits...................  KAA00000 through KZZ99999.
Personal radio in trust           1 letter, 4 digits....................  K0001 through K9999.
 territories..
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,     2 letters, 7 digits...................  WT plus business or residence
 temporary permit.                                                         telephone number.
----------------------------------------------------------------------------------------------------------------
Note: The symbol 0 indicates the digit zero.
 

[[Page 632]]

 
\1\ Ships with transmitter-equipped survival craft shall be assigned four letter call signs.
\2\ See Sec. 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 Sec. 
2.302, see the List of CFR Sections Affected in the Finding Aids section 
of this volume.



Sec. 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 specified classes of stations. Such 
recognized means of identification may be one or more of the following: 
name of station, location of station, operating agency, official 
registration mark, flight identification number, selective call number 
or signal, selective call identification number or signal, 
characteristic signal, characteristic of emission or other clearly 
distinguishing 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)           Registration number preceded by the type of the aircraft, or the
 telephone.                         radiotelephony designator of the aircraft operating agency followed by the
                                    flight identification number.
Aircraft (foreign registry)        Foreign registry identification consisting of five characters. This may be
 telephone.                         preceded 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
                                    identification 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 aircraft manufacturer, the name of the aircraft owner, or
                                    any other pertinent information.
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  The approximate geographic location in a format approved by the Commission.
 Limited Coast (Radiotelephone).
                                   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,        Name of station licensee (in abbreviated form if practicable), or location of
 forestry conservation, highway     station, or name of city, area, or facility served. Individual stations may
 maintenance, local government,     be identified by additional digits following the more general
 shipyard, land transportation,     identification.
 and aviation services.
Land mobile: Industrial service..  Mobile unit cochannel with its base station: Unit identifier on file in the
                                    base station 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   Special mobile unit designation assigned by licensee or by assigned telephone
 rural radio.                       number.
Land mobile: Railroad radio        Name of railroad, train number, caboose number, engine number, or name of
 service.                           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
                                    identification to identify an individual unit or transmitter of a base
                                    station.
Land mobile: Broadcasting (remote  Identification of associated broadcasting station.
 pickup).
Broadcasting (Emergency Broadcast  State and operational area identification.
 System).
Broadcasting (aural STL and        Call sign of the broadcasting station with which it is associated.
 intercity relay).
Broadcasting (television           Call sign of the TV broadcasting station with which it is licensed as an
 auxiliary).                        auxiliary, or call sign of the TV broadcasting station whose signals are
                                    being relayed, or by network identification.
Broadcasting (television           Retransmission of the call sign of the primary station.
 booster)..

[[Page 633]]

 
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 authorized means of identification.
----------------------------------------------------------------------------------------------------------------

    (b) Digital selective calls will be authorized 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 number: 4 digits.
    (2) Ship station selective call number: 5 digits.
    (3) Predetermined group of ship stations: 5 digits.
    (c) Ship stations operating under a temporary operating authority 
shall identify by a call sign consisting of the letter ``K'' followed by 
the vessel's Federal or State registration number, or a call sign 
consisting of the letters ``KUS'' followed by the vessel's documentation 
number. However, if the vessel has no registration number or 
documentation 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



Sec. 2.401  Distress messages.

    Each station licensee shall give absolute priority to radio 
communications or signals relating to ships or aircraft in distress; 
shall cease all sending on frequencies which will interfere with hearing 
a radiocommunication or signal of distress and except when engaged in 
answering or aiding the ship or aircraft in distress, shall refrain from 
sending any radio communications or signals until there is assurance 
that no interference will be caused with the radio communications or 
signals relating thereto; and shall assist the ship or aircraft in 
distress, so far as possible, by complying with its instructions.



Sec. 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 Sec. 2.403, has sent the distress call. These 
stations may, however, delegate the control of the distress traffic to 
another station.



Sec. 2.403  Retransmission of distress message.

    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 intervenes believes that further help is necessary.
    (c) In the case of other stations, when directed to do so by the 
station in control 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.



Sec. 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 distress traffic no longer exists.



Sec. 2.405  Operation during emergency.

    The licensee of any station (except amateur, standard broadcast, FM 
broadcast, noncommercial educational FM broadcast, or television 
broadcast)

[[Page 634]]

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 communicating in a manner other than that specified in the 
instrument of authorization: Provided:
    (a) That as soon as possible after the beginning of such emergency 
use, notice 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 Washington, 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 in excess of, that 
specified in the instrument of authorization or as otherwise expressly 
provided by the Commission, or by law: And provided further,
    (e) That any such emergency communication undertaken under this 
section shall terminate upon order of the Commission.

    Note: Part 73 of this chapter contains provisions 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]



Sec. 2.406  National defense; free service.

    Any common carrier subject to the Communications Act may render to 
any agency of the United States Government 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, 
respectively, 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 general character of the communications handled for each 
agency, and the charges in dollars which would have accrued to the 
carrier for such service rendered to each agency if charges for all such 
communications had been collected at the published tariff rates.



Sec. 2.407  National defense; emergency authorization.

    The Federal Communications Commission may authorize the licensee of 
any radio station during a period of national emergency to operate its 
facilities upon such frequencies, with such power and points of 
communication, and in such a manner beyond that specified in the station 
license as may be requested by the Army, Navy, or Air Force.

Subparts F-G [Reserved]



               Subpart H_Prohibition Against Eavesdropping



Sec. 2.701  Prohibition against use of a radio device for eavesdropping.

    (a) No person shall use, either directly or indirectly, a device 
required to be licensed by section 301 of the Communications Act of 
1934, as amended, 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 conversation.
    (b) Paragraph (a) of this section shall not apply to operations of 
any law enforcement 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.

[[Page 635]]



Sec. 2.801  Radiofrequency device defined.

    As used in this part, a radiofrequency device is any device which in 
its operation is capable of emitting radiofrequency energy by radiation, 
conduction, or other means. Radiofrequency devices include, but are not 
limited to:
    (a) The various types of radio communication transmitting devices 
described 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 
energy by radiation, conduction, or other means.

[35 FR 7898, May 22, 1970, as amended at 54 FR 17711, Apr. 25, 1989]



Sec. 2.803  Marketing of radio frequency devices prior to equipment 
authorization.

    (a) Except as provided elsewhere in this section, no person shall 
sell or lease, or offer for sale or lease (including advertising for 
sale or lease), or import, ship, or distribute for the purpose of 
selling or leasing or offering for sale or lease, any radio frequency 
device unless:
    (1) In the case of a device subject to certification, such device 
has been authorized by the Commission in accordance with the rules in 
this chapter and is properly identified and labelled as required by 
Sec. 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 Commission, 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 authorization under a Declaration of Conformity, where 
required), technical, labelling 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 delivery is contingent upon compliance with the 
applicable equipment authorization and technical requirements, nor do 
they prohibit agreements between such parties to produce new products, 
manufactured in accordance with designated 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 authorization 
requirements, prior to a determination of compliance with the applicable 
technical requirements provided that the advertising contains, and the 
display is accompanied by, a conspicuous notice worded as follows:

This device has not been authorized as required by the rules of the 
Federal Communications Commission. This device is not, and may not be, 
offered for sale or lease, or sold or leased, until authorization is 
obtained.

    (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 differences between the prototype and the authorized 
product, the following disclaimer notice may be used in lieu of the 
notice stated in paragraph (c) introductory text of this section:

Prototype. Not for sale.

    (2) Except as provided elsewhere in this chapter, devices displayed 
under the provisions of paragraphs (c) introductory 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 parties 
or to end users located in a residential environment) of a radio 
frequency device that is in the conceptual, developmental, design or 
pre-production stage is permitted prior to equipment authorization or, 
for devices not subject to the equipment authorization requirements, 
prior to a determination of compliance with the applicable 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

[[Page 636]]

comply with the appropriate rules before delivery to the buyer or to 
centers of distribution. If a product is marketed in compliance with the 
provisions of this paragraph, the product does not need to be labelled 
with the statement in paragraph (c) of this section.
    (e)(1) Notwithstanding the provisions of paragraph (a) of this 
section, prior to equipment authorization or determination of compliance 
with the applicable technical requirements any radio frequency device 
may be operated, but not marketed, for the following purposes and under 
the following conditions:
    (i) Compliance testing;
    (ii) Demonstrations at a trade show provided the notice contained in 
paragraph (c) of this section is displayed in a conspicuous location on, 
or immediately adjacent to, the device;
    (iii) Demonstrations at an exhibition conducted at a business, 
commercial, industrial, scientific, or medical location, but excluding 
locations in a residential environment, provided the notice contained in 
paragraphs (c) or (d) of this section, as appropriate, is displayed in a 
conspicuous location on, or immediately adjacent to, the device;
    (iv) Evaluation of product performance and determination of customer 
acceptability, provided such operation takes place at the manufacturer's 
facilities during developmental, design, or pre-production states; or
    (v) Evaluation of product performance and determination of customer 
acceptability where customer acceptability of a radio frequency device 
cannot be determined at the manufacturer's facilities because of size or 
unique capability of the device, provided the device is operated at a 
business, commercial, industrial, scientific, or medical user's site, 
but not at a residential site, during the development, design or pre-
production stages. A product operated 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 includes the facilities of 
the party responsible for compliance with the regulations and the 
manufacturer's premises, as well as the facilities of other entities 
working under the authorization of the responsible party in connection 
with the development and manufacture, 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 require 
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 certain products operating under part 95 of this chapter.
    (ii) Instead of obtaining a special temporary authorization or an 
experimental license, a manufacturer may operate its product for 
demonstration or evaluation purposes under the authority 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 responsible for complying with all of the operating 
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 selling or 
leasing or offering for sale or lease.
    (5) Products operating under the provisions 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 interference is caused and that any interference 
received must be accepted. Operation shall be required to cease upon 
notification by a Commission representative that the device is causing 
harmful interference and shall not resume until the condition causing 
the harmful interference is corrected.
    (f) For radio frequency devices subject to verification and sold 
solely to business, commercial, industrial, scientific, and medical 
users (excluding

[[Page 637]]

products sold to other parties or for operation in a residential 
environment), parties responsible for verification of the devices shall 
have the option of ensuring compliance with the applicable technical 
specifications of this chapter at each end user's location after 
installation, 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 statement 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 requirements 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 
rules. Such devices shall not be operated, advertised, displayed, 
offered for sale or lease, sold or leased, or otherwise 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]



Sec. 2.807  Statutory exceptions.

    As provided by Section 302(c) of the Communications Act of 1934, as 
amended, Sec. 2.803 shall not be applicable to:
    (a) Carriers transporting radiofrequency devices without trading in 
them.
    (b) Radiofrequency devices manufactured solely for export.
    (c) The manufacture, assembly, or installation 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 interference to radio communications.
    (d) Radiofrequency devices for use by the Government of the United 
States or any agency thereof: Provided, however, 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]



Sec. 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 licensing are met.

[62 FR 10470, Mar. 7, 1997]



Sec. 2.813  Transmitters operated in the Instructional Television Fixed 
Service.

    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 
Sec. 74.952 of this chapter for the acceptability of such transmitter 
for licensing are met.

[62 FR 10470, Mar. 7, 1997]



Sec. 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 conjunction with a radio 
transmitter as a signal source is capable of amplification of that 
signal, and (2) is not an integral part of a radio transmitter as 
manufactured.
    (b) After April 27, 1978, no person shall manufacture, sell or 
lease, offer for sale or lease (including advertising for sale or 
lease), or import, ship, or distribute for the purpose of selling or 
leasing or offering for sale or lease, any external radio frequency 
power amplifier or amplifier kit capable of operation on any frequency 
or frequencies between 24 and 35 MHz.


[[Page 638]]


    Note: For purposes of this part, the amplifier will be deemed 
incapable of operation between 24 and 35 MHz if:
    (1) The amplifier has no more than 6 decibels of gain between 24 and 
26 MHz and between 28 and 35 MHz. (This gain is determined by the ratio 
of the input RF driving signal (mean power measurement) to the mean RF 
output power of the amplifier.); and
    (2) The amplifier exhibits no amplification (0 decibels of gain) 
between 26 and 28 MHz.

    (c) No person shall manufacture, sell or lease, offer for sale or 
lease (including advertising for sale or lease) or import, ship or 
distribute for the purpose of selling or leasing or offering for sale or 
lease, any external radio frequency power amplifier or amplifier kit 
capable of operation on any frequency or frequencies below 144 MHz 
unless the amplifier has received a grant of type acceptance in 
accordance with subpart J of this part and subpart C of part 97 or other 
relevant parts of this chapter. No more than 10 external radio frequency 
power amplifiers or amplifier kits may be constructed for evaluation 
purposes in preparation for the submission of an application for a grant 
of type acceptance.

    Note: For the purposes of this part, an amplifier will be deemed 
incapable of operation below 144 MHz if the amplifier is not capable of 
being easily modified to increase its amplification characteristics 
below 120 MHz, and either:
    (1) The mean output power of the amplifier decreases, as frequency 
decreases from 144 MHz, to a point where 0 decibels or less gain is 
exhibited at 120 MHz and below 120 MHz; or
    (2) The amplifier is not capable of even short periods of operation 
below 120 MHz without sustaining permanent damage to its amplification 
circuitry.

    (d) The proscription in paragraph (b) of this section shall not 
apply to the marketing, as defined in paragraph (b) of this section, by 
a licensed amateur radio operator to another licensed amateur radio 
operator of an external radio frequency power amplifier fabricated in 
not more than one unit of the same model in a calendar year by that 
operator provided the amplifier is for the amateur operator's personal 
use at his licensed amateur radio station and the requirements of 
Sec. Sec. 97.315 and 97.317 of this chapter are met.
    (e) The proscription in paragraph (c) of this section shall not 
apply in the marketing, as defined in paragraph (c) of this section, by 
a licensed amateur radio operator to another licensed amateur radio 
operator of an external radio frequency power amplifier if the amplifier 
is for the amateur operator's personal use at his licensed amateur radio 
station and the requirements of Sec. Sec. 97.315 and 97.317 of this 
chapter are 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]



              Subpart J_Equipment Authorization Procedures

    Source: 39 FR 5919, Feb. 15, 1974, unless otherwise noted.

                           General Provisions



Sec. 2.901  Basis and purpose.

    (a) In order to carry out its responsibilities under the 
Communications Act and the various treaties and international 
regulations, and in order to promote efficient use of the radio 
spectrum, the Commission has developed technical standards for radio 
frequency equipment and parts or components thereof. The technical 
standards applicable to individual types of equipment are found in that 
part of the rules governing the service wherein the equipment is to be 
operated. In addition to the technical standards provided, the rules 
governing the service may require that such equipment be verified by the 
manufacturer or importer, be authorized under a Declaration of 
Conformity, or receive an equipment authorization from the Commission by 
one of the following procedures: certification or registration.
    (b) The following sections describe the verification procedure, the 
procedure for a Declaration of Conformity, and the procedures to be 
followed in obtaining certification from the Commission 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]

[[Page 639]]



Sec. 2.902  Verification.

    (a) Verification is a procedure where the manufacturer makes 
measurements or takes the necessary steps to insure that the equipment 
complies with the appropriate technical standards. Submittal of a sample 
unit or representative data to the Commission demonstrating compliance 
is not required unless specifically requested by the Commission pursuant 
to Sec. 2.957, of this part.
    (b) Verification attaches to all items subsequently marketed by the 
manufacturer or importer which are identical as defined in Sec. 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]



Sec. 2.906  Declaration of Conformity.

    (a) A Declaration of Conformity is a procedure where the responsible 
party, as defined in Sec. 2.909, makes measurements or takes other 
necessary steps to ensure that the equipment complies with the 
appropriate technical standards. Submittal of a sample unit or 
representative data to the Commission demonstrating compliance is not 
required unless specifically requested pursuant to Sec. 2.1076.
    (b) The Declaration of Conformity attaches to all items subsequently 
marketed by the responsible party which are identical, as defined in 
Sec. 2.908, to the sample tested and found acceptable by the 
responsible party.

[61 FR 31045, June 19, 1996]



Sec. 2.907  Certification.

    (a) Certification is an equipment authorization 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 Sec. 2.908) to the sample tested 
except for permissive changes or other variations authorized by the 
Commission pursuant to Sec. 2.1043.

[39 FR 5919, Feb. 15, 1974, as amended at 39 FR 27802, Aug. 1, 1974; 63 
FR 36597, July 7, 1998]



Sec. 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 techniques.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[46 FR 23249, Apr. 24, 1981]



Sec. 2.909  Responsible party.

    The following parties are responsible for the compliance of radio 
frequency equipment with the applicable standards:
    (a) In the case of equipment which requires the issuance by the 
Commission of a grant of equipment authorization, the party to whom that 
grant of authorization is issued (the grantee) If the radio frequency 
equipment is modified by any party other than the grantee and that party 
is not working under the authorization of the grantee pursuant to Sec. 
2.929(b), the party performing the modification is responsible for 
compliance of the product with the applicable 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 importer. If subsequent to manufacture and importation, 
the radio frequency equipment is modified by any party not working under 
the authority of the responsible party, the party performing the 
modification becomes the new responsible party.
    (c) In the case of equipment subject to authorization under the 
Declaration of Conformity procedure:
    (1) The manufacturer or, if the equipment is assembled from 
individual component parts and the resulting system is subject to 
authorization under a Declaration of Conformity, the assembler.
    (2) If the equipment, by itself, is subject to a Declaration of 
Conformity and that equipment is imported, the importer.
    (3) Retailers or original equipment manufacturers may enter into an 
agreement with the responsible party designated in paragraph (c)(1) or 
(c)(2)

[[Page 640]]

of this section to assume the responsibilities to ensure compliance of 
equipment and become the new responsible 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 modifications, if located within the U.S., or the 
importer, if the equipment is imported subsequent to the modifications, 
becomes the new responsible party.
    (d) If, because of modifications performed subsequent to 
authorization, a new party becomes responsible for ensuring 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 Sec. 2.925(d), with the following: 
``This product has been modified by [insert name, address and telephone 
number of the party performing the modifications].''

[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



Sec. 2.911  Written application required.

    (a) An application for equipment authorization shall be filed on a 
form prescribed by the Commission.
    (b) Each application shall be accompanied by all information 
required by this subpart and by those parts of the rules governing 
operation of the equipment, and by requisite test data, diagrams, etc., 
as specified in this subpart and in those sections of rules whereunder 
the equipment is to be operated.
    (c) Each application including amendments thereto, and related 
statements of fact required by the Commission, shall be personally 
signed by the applicant if the applicant is an individual; by one of the 
partners if the applicant is a partnership; by an officer, if the 
applicant is a corporation; or by a member who is an officer, if the 
applicant is an unincorporated association: Provided, however, That the 
application may be signed by the applicant's authorized representative 
who shall indicate 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 signing the test data shall attest 
to the accuracy 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 persons on the original 
application; copies of such documents may be conformed. Signatures and 
certifications need not be made under oath.
    (f) Each application shall be accompanied 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 
signature; however, the Office of Engineering and Technology may allow 
signature by any symbol executed or adopted by the applicant with the 
intent that such symbol be a signature, including 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]



Sec. 2.913  Submittal of equipment authorization application or information 
to the Commission.

    (a) Unless otherwise directed, applications with fees attached for 
the equipment authorization, pursuant to Sec. 1.1103 of this chapter, 
must be submitted following the procedures described in Sec. 0.401(b) 
of this chapter. The address for applications submitted by mail is: 
Federal Communications Commission, Equipment Approval Services, P. O. 
Box 358315, Pittsburgh, PA 15251-5315. 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: Federal 
Communications Commission, c/o Mellon Bank, Three Mellon Bank Center, 
525 William Penn Way, 27th floor, Room 153-2713, Pittsburgh, 
Pennsylvania 15259-0001, Attention: Wholesale Lockbox Supervisor.

[[Page 641]]

    (b) Any information or equipment samples requested by the Commission 
pursuant to the provisions of subpart J of this part shall, unless 
otherwise directed, be submitted to the Federal Communications 
Commission, Equipment Authorization Division, 7435 Oakland Mills Road, 
Columbia, Maryland 21046.
    (c) Effective October 5, 1999, all applications for equipment 
authorization must be filed electronically. The Commission will be 
amenable to consideration of waiver requests from small businesses that 
find it a hardship to file applications electronically. Information on 
the procedures for electronically filing equipment authorization 
applications can be obtained from the address in paragraph (b) of this 
section.

[61 FR 31045, June 19, 1996, as amended at 62 FR 10470, Mar. 7, 1997; 63 
FR 36598, July 7, 1998]

    Effective Date Note: At 69 FR 54033, Sept. 7, 2004, Sec. 2.913 was 
revised, effective Oct. 7, 2004, except for paragraph (c), which 
contains information collection and recordkeeping requirements and will 
not become effective until approval has been given by the Office of 
Management and Budget. For the convenience of the user, the revised text 
is set forth as follows:

Sec. 2.913  Submittal of equipment authorization application or 
          information to the Commission.

    (a) All applications for equipment authorization 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 authorization, pursuant to Sec. 1.1103 of this chapter, must 
be submitted either electronically via the Internet at https://
gullfoss2.fcc.gov/prod/oet/cf/eas/index.cfm or by following the 
procedures described in Sec. 0.401(b) of this chapter. The address for 
fees submitted by mail is: Federal Communications Commission, Equipment 
Approval Services, P.O. Box 358315, Pittsburgh, PA 15251-5315. 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: Federal Communications Commission, c/o Mellon Bank, 
Mellon Client, Service Center, 500 Ross Street--Room 670, Pittsburgh, PA 
15262-0001.
    (c) Any equipment samples requested by the Commission pursuant to 
the provisions of subpart J of this part shall, unless otherwise 
directed, be submitted to the Federal Communications Commission 
Laboratory, 7435 Oakland Mills Road, Columbia, Maryland, 21046.



Sec. 2.915  Grant of application.

    (a) The Commission will grant an application 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 complying with pertinent technical 
standards 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 
equipment authorization be deemed effective, 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]



Sec. 2.917  Dismissal of application.

    (a) An application which is not in accordance with the provisions of 
this subpart may be dismissed.
    (b) Any application, upon written request signed by the applicant or 
his attorney, may be dismissed prior to a determination granting or 
denying the authorization requested.
    (c) If an applicant is requested by the Commission to file 
additional documents or information and fails to submit 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]



Sec. 2.919  Denial of application.

    If the Commission is unable to make the findings specified in Sec. 
2.915(a), it will deny the application. Notification to the applicant 
will include a statement of the reasons for the denial.

[[Page 642]]



Sec. 2.921  Hearing on application.

    Whenever it is determined that an application for equipment 
authorization presents substantial factual questions relating to the 
qualifications of the applicant or the equipment (or the effects of the 
use thereof), the Commission may designate the application for 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.



Sec. 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 applications for review are set forth in Sec. Sec. 
1.106 and 1.115, respectively, of this chapter.



Sec. 2.924  Marketing of electrically identical equipment having multiple 
trade names and models or type numbers under the same FCC Identifier.

    The grantee of an equipment authorization may market devices having 
different model/type numbers or trade names without additional 
authorization from the Commission, provided that such devices are 
electrically identical and the equipment bears an FCC Identifier 
validated by a grant of equipment authorization. A device will be 
considered to be electrically identical if no changes are made to the 
device authorized by the Commission, or if the changes made to the 
device would be treated as class I permissive changes within the scope 
of Sec. 2.1043(b)(1). Changes to the model number or trade name by 
anyone other than the grantee, or under the authorization of the 
grantee, shall be performed following the procedures in Sec. 2.933.

[62 FR 10470, Mar. 7, 1997, as amended at 63 FR 36598, July 7, 1998]



Sec. 2.925  Identification of equipment.

    (a) Each equipment covered in an application for equipment 
authorization shall bear a nameplate or label listing the following:
    (1) FCC Identifier consisting of the two elements in the exact order 
specified in Sec. 2.926. The FCC Identifier shall be preceded by the 
term FCC ID in capital letters on a single line, and shall be of a type 
size large enough to be legible 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 governing 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 registration 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 Identifier. However, a single FCC 
Identifier is required to be assigned to any device consisting of two or 
more sections assembled 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 common enclosure, but constructed 
on separate sub-units or circuit boards with independent frequency 
controlling circuits. The FCC Identifier assigned to any transmitter 
section shall be preceded by the term TX FCC ID, the FCC Identifier 
assigned to any receiver section shall be preceded by the term RX FCC ID 
and the identifier assigned to any remaining section(s) shall be 
preceded by the term FCC ID.
    (2) Where telephone equipment subject to part 68 of this chapter, 
and a radiofrequency device subject to equipment 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 Identifier in the format specified in paragraph (a) 
of this section.

[[Page 643]]

    (3) Applications filed on or after May 1, 1981, and applications 
filed earlier requesting equipment authorization using the single system 
of identification pursuant to section (a)(1) will receive a review of 
the identification portion by the Commission's Laboratory with respect 
to nameplate/label design within 30 days after receipt at the 
Laboratory. Failure by the Laboratory to reject a nameplate design 
proposed in any particular application within this time period will 
constitute de-facto acceptance 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 applications. This review 
deadline applies only to the proposed nameplate/label design, not to the 
remainder of the application.
    (4) For a transceiver, the receiver portion of which is subject to 
verification pursuant to Sec. 15.101 of this chapter, the FCC 
Identifier required for the transmitter portion shall be preceded by the 
term FCC ID.
    (c) [Reserved]
    (d) In order to validate the grant of equipment authorization, the 
nameplate or label shall be permanently affixed 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, indelibly printed, or 
otherwise permanently marked on a permanently attached part of the 
equipment enclosure. Alternatively, the required information may be 
permanently marked on a nameplate of metal, plastic, or other material 
fastened to the equipment enclosure by welding, riveting, etc., or with 
a permanent adhesive. Such a nameplate must be able to last the expected 
lifetime of the equipment in the environment in which the equipment will 
be operated and must not be readily 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 
equipment authorization.
    (e) A software defined radio may be equipped with a means such as a 
user display screen to display the FCC identification number normally 
contained in the nameplate or label. The information must be readily 
accessible, and the user manual must describe how to access the 
electronic display.
    (f) Where it is shown that a permanently affixed nameplate is not 
desirable or is not feasible, an alternative method of positively 
identifying the equipment may be used if approved by the Commission. The 
proposed alternative method of identification and the justification for 
its use must be included with the application for equipment 
authorization.

    Note: As an example, a device intended to be implanted within the 
body of a test animal or person would probably require an alternate 
method of identification.

    (g) The term FCC ID and the coded identification assigned by the 
Commission 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 required 
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]



Sec. 2.926  FCC identifier.

    (a) A grant of equipment authorization 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 Sec. 2.925.
    (b) The grantee code assigned pursuant 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 
numerals, capital letters, or combination thereof. A prospective grantee 
or his authorized representative may submit

[[Page 644]]

a written request to the Commission for assignment of a grantee code at 
any time. However, it is preferred that grantee codes be requested prior 
to filing applications for equipment authorization. If a grantee code is 
not requested in advance, one will be assigned at the time an 
application is received by the FCC Laboratory and the applicant will be 
notified to make any necessary label revisions in order to comply fully 
with application procedural rules.
    (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 Sec. Sec. 
2.934 and 2.935 for additional information.
    (2) [Reserved]
    (d) The equipment product code assigned by the grantee shall consist 
of a series of Arabic numerals, capital letters or a combination 
thereof, and may include the dash or hyphen (-). The total of Arabic 
numerals, capital letters and dashes or hyphens shall not exceed 14 and 
shall be one which has not been previously used in conjunction with:
    (1) The same grantee code, or
    (2) An application denied pursuant to Sec. 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 identifier on a transceiver which includes a 
verified receiver subject to Sec. 15.101, provided that the transmitter 
portion of such transceiver is covered by a valid grant of type 
acceptance or certification. The FCC Identifier is uniquely assigned to 
the grantee and may not be placed on the equipment without authorization 
by the grantee. See Sec. 2.803 for conditions applicable to the display 
at trade shows of equipment which has not been granted equipment 
authorization where such grant is required prior to marketing. Labelling 
of such equipment may include model or type numbers, 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]

    Effective Date Note: At 69 FR 54033, Sept. 7, 2004, Sec. 2.926 was 
amended by revising paragraph (c) introductory text, effective Oct. 7, 
2004. This amendment contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget. For the convenience of the user, 
the revised text is set forth as follows:

Sec. 2.926  FCC identifier.

                                * * * * *

    (c) A grantee code will have three characters consisting of Arabic 
numerals, 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 obtained at any time prior to 
submittal of the application for equipment authorization. However, the 
fee required by Sec. 1.1103 of this chapter must be submitted and 
validated within 30 days of the issuance of the grantee code, or the 
code will be removed from the Commission's records and a new grantee 
code will have to be obtained.

                                * * * * *

           Conditions Attendant to an Equipment Authorization



Sec. 2.927  Limitations on grants.

    (a) A grant of equipment authorization is valid only when the FCC 
Identifier is permanently affixed on the device and remains effective 
until revoked or withdrawn, rescinded, surrendered, or a termination 
date is otherwise established by the Commission.
    (b) A grant of an equipment authorization 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 
authorization shall not be construed as a finding by the Commission with 
respect to matters not encompassed by

[[Page 645]]

the Commission's rules, especially with respect to compliance with 18 
U.S.C. 2512.
    (c) No person shall, in any advertising matter, brochure, etc., use 
or make reference to an equipment authorization in a deceptive or 
misleading manner or convey the impression that such equipment 
authorization reflects more than a Commission determination that the 
device or product has been shown to be capable of compliance with the 
applicable technical 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]



Sec. 2.929  Changes in name, address, ownership 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, 
except as provided in this section.
    (b) The grantee of an equipment authorization may license or 
otherwise authorize a second party to manufacture the equipment covered 
by the grant of the equipment authorization provided:
    (1) The equipment manufactured by such second party bears the FCC 
Identifier as is set out in the grant of the equipment authorization.

    Note to paragraph (b)(1):
    Any change in the FCC Identifier desired as a result of such 
production or marketing agreement will require the filing of a new 
application for an equipment authorization as specified in Sec. 2.933.

    (2) The grantee of the equipment authorization shall continue to be 
responsible to the Commission for the equipment 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, written notice of such change(s) 
shall be submitted to the Commission within 30 days after the grantee 
starts using the new name and/or address.
    (d) In the case of transactions affecting 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 in writing 
within 60 days after the consummation of the transaction. Depending on 
the circumstances in each case, the Commission may require new 
applications for equipment authorization. In reaching a decision the 
Commission will consider whether the acquiring party can adequately 
ensure and accept responsibility 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]

    Effective Date Note: At 69 FR 54033, Sept. 7, 2004, Sec. 2.929 was 
amended by revising paragraphs (c) and (d), effective Oct. 7, 2004. This 
amendment contains information collection and recordkeeping requirements 
and will not become effective until approval has been given by the 
Office of Management and Budget. For the convenience of the user, the 
revised text is set forth as follows:

Sec. 2.929  Changes in name, address, ownership or control of grantee.

                                * * * * *

    (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 affecting 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 Commission may require new applications 
for equipment authorization. In reaching a decision the Commission will 
consider whether the acquiring party can adequately ensure and accept 
responsibility 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.



Sec. 2.931  Responsibility of the grantee.

    In accepting a grant of an equipment authorization, the grantee 
warrants that each unit of equipment marketed

[[Page 646]]

under such grant and bearing the identification 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 continues 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]



Sec. 2.932  Modification of equipment.

    (a) A new application for an equipment authorization shall be filed 
whenever there is a change in the design, circuitry or construction of 
an equipment 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 
equipment that was authorized under the former type acceptance 
procedure, pursuant to Sec. 2.1043.
    (c) Permissive changes may be made in equipment that was authorized 
under the former notification procedure without submittal of information 
to the Commission, unless the equipment is currently subject to 
authorization under the certification procedure. However, the grantee 
shall submit information documenting continued compliance with the 
pertinent requirements upon request.
    (d) All requests for permissive changes submitted to the Commission 
must be accompanied by the anti-drug abuse certification required under 
Sec. 1.2002 of this chapter.
    (e) Manufacturers must take steps to ensure that only software that 
has been approved with a software defined radio can be loaded into such 
a radio. The software must not allow the user to operate the transmitter 
with frequencies, output power, modulation types or other parameters 
outside of those that were approved. Manufacturers may use 
authentication codes or any other means to meet these requirements, and 
must describe the methods in their application for equipment 
authorization.

[63 FR 36598, July 7, 1998, as amended at 66 FR 50840, Oct. 5, 2001]



Sec. 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 construction. However, a 
change in the model/type number or trade name performed in accordance 
with the provisions in Sec. 2.924 of this chapter is not considered to 
be a change in identification and does not require additional 
authorization from the Commission.
    (b) An application filed pursuant to paragraph (a) of this section 
where no change in design, circuitry or construction is involved, need 
not be accompanied by a resubmission of equipment or measurement or test 
data customarily required with a new application, unless specifically 
requested by the Commission. In lieu thereof, the applicant 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 Sec. 2.1033(b)(7) or Sec. 
2.1033(c)(12) showing the exterior appearance of the equipment, 
including the operating controls available to the user and the 
identification label. Photographs of the construction, the component 
placement on the chassis, and the chassis assembly are not required to 
be submitted unless specifically requested by the Commission.
    (c) If the change in the FCC Identifier also involves a change in 
design or circuitry which falls outside the purview of a permissive 
change described in

[[Page 647]]

Sec. 2.1043, a complete application shall be filed pursuant to Sec. 
2.911.

[63 FR 36598, July 7, 1998]



Sec. 2.936  FCC inspection.

    Upon reasonable request, each responsible party shall submit the 
following to the Commission or shall make the following available for 
inspection:
    (a) The records required by Sec. Sec. 2.938, 2.955, and 2.1075.
    (b) A sample unit of the equipment covered under an authorization.
    (c) The manufacturing plant and facilities.

[62 FR 10471, Mar. 7, 1997]



Sec. 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 Commission determines 
that the complaint is justified and arises out of an equipment fault 
attributable to the responsible party, the Commission may require the 
responsible party to investigate such complaint and report the results 
of such investigation to the Commission. The report shall also indicate 
what action if any has been taken or is proposed to be taken by the 
responsible party to correct the defect, both in terms of future 
production and with reference to articles in the possession of users, 
sellers and distributors.

[61 FR 31046, June 19, 1996]



Sec. 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 Sec. 2.931.
    (2) A record of the procedures used for production inspection and 
testing to ensure conformance with the standards and the requirements of 
Sec. 2.931.
    (3) A record of the test results that demonstrate compliance with 
the appropriate regulations in this chapter.
    (b) The provisions of paragraph (a) of this section shall also apply 
to a manufacturer of equipment produced under the provisions of Sec. 
2.929(b). The retention of the records by the manufacturer 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 authorization under the 
certification procedure or former type acceptance procedure, or for two 
years for equipment subject to authorization under any other procedure, 
after the manufacture of said equipment has been permanently 
discontinued, or until the conclusion of an investigation or a 
proceeding if the responsible party (or, under paragraph (b) of this 
section, the manufacturer) is officially notified that an investigation 
or any other administrative proceeding involving its equipment has been 
instituted.
    (d) If radio frequency equipment is modified by any party other than 
the original responsible party, and that party is not working under the 
authorization of the original responsible party, the party performing 
the modifications is not required to obtain the original design drawings 
specified in paragraph (a)(1) of this section. However, the party 
performing the modifications must maintain records showing 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, Sec. Sec. 2.909, 2.924, 2.933, and 2.1043.

[62 FR 10471, Mar. 7, 1997, as amended at 63 FR 36599, July 7, 1998]



Sec. 2.939  Revocation or withdrawal of equipment authorization.

    (a) The Commission may revoke any equipment authorization:
    (1) For false statements or representations made either in the 
application or in materials or response submitted in connection 
therewith or in records required to be kept by Sec. 2.938.
    (2) If upon subsequent inspection or operation it is determined that 
the equipment does not conform to the pertinent technical requirements 
or to the

[[Page 648]]

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 authorization 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 standards. The procedure to be 
followed will be set forth in the order promulgating such new technical 
standards (after appropriate rulemaking proceedings) and will provide a 
suitable amortization period 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]



Sec. 2.941  Availability of information relating to grants.

    (a) Grants of equipment authorization, 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 obtained by contacting the Commission's Office of Engineering and 
Technology Laboratory.
    (b) Information relating to equipment authorizations, such as data 
submitted by the applicant in connection with an authorization 
application, laboratory tests of the device, etc., shall be available in 
accordance with Sec. Sec. 0.441 through 0.470 of this chapter.

[62 FR 10472, Mar. 7, 1997]



Sec. 2.943  Submission of equipment for testing.

    (a) The Commission may require an applicant to submit one or more 
sample units for measurement at the Commission's laboratory.
    (b) In the event the applicant believes that shipment of the sample 
to the Commission's laboratory is impractical because of the size or 
weight of the equipment, or the power requirement, or for any other 
reason, the applicant may submit a written explanation why such shipment 
is impractical 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]



Sec. 2.944  Submission of radio software.

    The grantee or other party responsible for compliance of a software 
defined radio, or the applicant for authorization of a software defined 
radio shall submit a copy of the software that controls the radio 
frequency operating parameters upon request by the Commission. Failure 
to comply with such a request within 14 days or such additional time as 
the Commission may allow may be cause for denial of authorization, 
forfeiture pursuant to Sec. 1.80 of this chapter, or other 
administrative sanctions.

[66 FR 50840, Oct. 5, 2001]



Sec. 2.945  Sampling tests of equipment compliance.

    The Commission will, from time to time, request the responsible 
party to submit equipment subject to this chapter to determine the 
extent to which subsequent production of such equipment continues to 
comply with the data filed by the applicant (or on file with the 
responsible party for equipment subject to notification or a Declaration 
of Conformity). Shipping costs to the Commission's laboratory and return 
shall be borne by the responsible party.

[61 FR 31046, June 19, 1996]



Sec. 2.946  Penalty for failure to provide test samples and data.

    (a) Any responsible party, as defined in Sec. 2.909, or any party 
who markets equipment subject to the provisions of this chapter, shall 
provide test sample(s) or data upon request by the Commission. Failure 
to comply with such a request within 14 days may be cause for 
forfeiture, pursuant to Sec. 1.80 of this chapter, or other 
administrative sanctions such as suspending action on any

[[Page 649]]

applications for equipment authorization submitted by such party while 
the matter is being resolved.
    (b) The Commission may consider extensions of time upon submission 
of a showing of good cause.

[63 FR 36599, July 7, 1998]



Sec. 2.947  Measurement procedure.

    (a) The Commission will accept data which have been measured in 
accordance with the following standards or measurement procedures:
    (1) Those set forth in bulletins or reports prepared by the 
Commission's Office 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 Commission and published by national 
engineering societies such as the Electronic Industries Association, the 
Institute of Electrical and Electronic Engineers, Inc., and the American 
National Standards Institute.
    (3) Any measurement procedure acceptable 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 standard or measurement procedure 
used.
    (c) In the case of equipment requiring measurement procedures not 
specified in the references set forth in paragraphs (a) (1) and (2) of 
this section, the applicant shall submit a detailed description of the 
measurement procedures actually used.
    (d) A listing of the test equipment used shall be submitted.
    (e) If deemed necessary, the Commission may require additional 
information concerning the measurement procedures 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]



Sec. 2.948  Description of measurement facilities.

    (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 description 
of the measurement facilities employed.
    (1) If the measured equipment is subject to the verification 
procedure, the description of the measurement facilities shall be 
retained by the party responsible for verification of the equipment.
    (i) If the equipment is verified through measurements performed by 
an independent laboratory, it is acceptable for the party responsible 
for verification of the equipment to rely upon the description of the 
measurement facilities retained by or placed on file with the Commission 
by that laboratory. In this situation, the party responsible for 
verification of the equipment is not required to retain a duplicate copy 
of the description of the measurement facilities.
    (ii) If the equipment is verified based on measurements performed at 
the installation site of the equipment, no specific site calibration 
data is required. It is acceptable to retain the description of the 
measurement facilities at the site at which the measurements were 
performed.
    (2) If the equipment is to be authorized by the Commission under the 
certification procedure, the description of the measurement facilities 
shall be filed with the Commission's Laboratory in Columbia, Maryland. 
The data describing the measurement facilities need only be filed once 
but must be updated as changes are made to the measurement facilities or 
as otherwise described in this section. At least every three years, the 
organization responsible for filing the data with the Commission 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 
required to file a description of its facilities with the Commission's 
laboratory, provided the accrediting organization (or designating 
authority in the case of foreign laboratories) submits the following 
information to the Commission's laboratory:

[[Page 650]]

    (i) Laboratory name, location of test site(s), mailing address and 
contactinformation;
    (ii) Name of accrediting organization;
    (iii) Date of expiration of accreditation;
    (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 authorized under the Declaration of 
Conformity procedure, the laboratory making the measurements must be 
accredited 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 x 29.7 cm) or 8x10 inches (20.3 cm x 25.4 cm). Smaller 
photographs 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 supporting 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 calibration of the measuring 
equipment, i.e., the date the equipment was last calibrated and how 
often the equipment 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 emissions, a plot of site attenuation data taken pursuant to 
the procedures contained in Sections 5.4.6 through 5.5 of the following 
procedure: American National Standards Institute (ANSI) C63.4-2001, 
entitled ``American National Standard for Methods of Measurement of 
Radio-Noise Emissions from Low-Voltage Electrical and Electronic 
Equipment in the Range of 9 kHz to 40 GHz'' published by the American 
National Standards Institute on June 22, 2001 as document number 
SH94908. This incorporation by reference 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 (outside the United States and Canada). Copies of 
ANSI C63.4-2001 may be inspected at the following locations:
    (i) Federal Communications Commission, 445 12th Street, SW., Office 
of Engineering and Technology (Room 7-B144), Washington, DC 20554,
    (ii) Federal Communications Commission 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/code--of--
federal--regulations/ibr--locations.html.
    (9) A description of the types of equipment intended to be measured 
or other information regarding the types of measurements that would be 
performed 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 facility on this list.
    (d) A laboratory that has been accredited with a scope covering the 
required measurements shall be deemed competent to test and submit test 
data for equipment subject to verification, DoC and certification. Such 
a laboratory shall be accredited by an approved accreditation 
organization based on the International Organization for

[[Page 651]]

Standardization/International Electrotechnical Commission (ISO/IEC) 
Standard 17025, ``General Requirements for the Competence of Calibration 
and Testing Laboratories.'' The organization accrediting the laboratory 
must be approved by the Commission's Office of Engineering and 
Technology, as indicated in Sec. 0.241 of this chapter, to perform such 
accreditation based on ISO/IEC 58, ``Calibration and Testing Laboratory 
Accreditation Systems--General Requirements for Operation and 
Recognition.'' The frequency for revalidation of the test site and the 
information that is required to be filed, or retained by the testing 
party shall comply with the requirements established by the accrediting 
organization. However, in all cases, test site revalidation 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 
designating authority and recognized by the Commission under the terms 
of a government-to-government Mutual Recognition Agreement/Arrangement; 
or
    (2) If the laboratory has been recognized by the Commission as being 
accredited by an organization that has entered into an arrangement 
between accrediting organizations and the arrangement 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]

    Effective Date Note: At 69 FR 54033, Sept. 7, 2004, Sec. 2.948 was 
amended by revising paragraphs (a)(2) and (d), effective Oct. 7, 2004. 
For the convenience of the user, the revised text is set forth as 
follows:

Sec. 2.948  Description of measurement facilities.

    (a) * * *
    (2) If the equipment is to be authorized by the Commission under the 
certification procedure, the party performing the measurements shall be 
accredited for performing such measurements by an authorized 
accreditation body based on the International Organization for 
Standardization/International Electrotechnical Commission (ISO/IEC) 
Guide 25, ``General Requirements for the Competence of Calibration and 
Testing Laboratories.'' Accreditation bodies must be approved by the 
FCC's Office of Engineering and Technology, as indicated in Sec. 0.241 
of this chapter, to perform such accreditation based on ISO/IEC 58, 
``Calibration and Testing Laboratory Accreditation Systems--General 
Requirements for Operation and Recognition.'' The frequency for 
revalidation of the test site and the information required to be filed 
or retained by the testing party shall comply with the requirements 
established by the accrediting organization. However, in all cases, test 
site revalidation shall occur on an interval not to exceed two years.

                                * * * * *

    (d) A laboratory that has been accredited with a scope covering the 
required measurements shall be deemed competent to test and submit test 
data for equipment subject to verification, Declaration of Conformity, 
and certification. Such a laboratory shall be accredited by an approved 
accreditation organization based on the International Organization for 
Standardization/International Electrotechnical Commission (ISO/IEC) 
Standard 17025, ``General Requirements for the Competence of Calibration 
and Testing Laboratories.'' The organization accrediting the laboratory 
must be approved by the Commission's Office of Engineering and 
Technology, as indicated in Sec. 0.241 of this chapter, to perform such 
accreditation based on ISO/IEC 58, ``Calibration and Testing Laboratory 
Accreditation Systems--General Requirements for Operation and 
Recognition.'' The frequency for revalidation of the test site and the 
information that is required to be filed or retained by the testing 
party shall comply with the requirements established by the accrediting 
organization. However, in all cases, test site revalidation shall occur 
on an interval not to exceed two years.

                                * * * * *

    Effective Date Note: At 69 FR 55982, Sept. 17, 2004, the amendment 
published at 69 FR 54033, Sept. 7, 2004, was corrected by revising 
paragraph (a)(2), effective Oct. 7, 2004. For the convenience of the 
user, the revised text is set forth as follows:

Sec. 2.948  Description of measurement facilities.

    (a) * * *
    (2) If the equipment is to be authorized by the Commission under the 
certification procedure, the description of the measurement facilities 
shall be filed with the Commission's Laboratory in Columbia, Maryland.

[[Page 652]]

The data describing the measurement facilities need only be filed once 
but must be updated as changes are made to the measurement facilities or 
as otherwise described in this section. At least every three years, the 
organization responsible for filing the data with the Commission 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 
required to file a description of its facilities with the Commission's 
laboratory, provided the accrediting organization (or designating 
authority in the case of foreign laboratories) submits the following 
information to the Commission's laboratory:
    (i) Laboratory name, location of test site(s), mailing address and 
contact information;
    (ii) Name of accrediting organization;
    (iii) Date of expiration of accreditation;
    (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.

                                * * * * *

                              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.

    Source: Sections 2.951 through 2.957 appear at 46 FR 23249, Apr. 24, 
1981, unless otherwise noted.



Sec. 2.951  Cross reference.

    The provisions of Sec. 2.901, et seq., shall apply to equipment 
subject to verification.



Sec. 2.952  Limitation on verification.

    (a) Verification signifies that the manufacturer or importer 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. 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 
effective until a termination date is otherwise established by the 
Commission.
    (c) No person shall, in any advertising matter, brochure, etc., use 
or make reference to a verification in a deceptive or misleading manner 
or convey the impression that such verification reflects more than a 
determination by the manufacturer or importer that the device or product 
has been shown to be capable of compliance with the applicable technical 
standards of the Commission's rules.



Sec. 2.953  Responsibility for compliance.

    (a) In verifying compliance, the responsible party, as defined in 
Sec. 2.909 warrants that each unit of equipment marketed under the 
verification procedure will be 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 
such verification within the variation that can be expected due to 
quantity production and testing on a statistical basis.
    (b) The importer of equipment subject to verification may upon 
receiving a written statement from the manufacturer that the equipment 
complies with the appropriate technical standards rely on the 
manufacturer or independent testing agency to verify compliance. The 
test records required by Sec. 2.955 however should be in the English 
language and made available to the Commission upon a reasonable request, 
in accordance with Sec. 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 manufacturer or importer shall 
bear the responsibility 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 
equipment. The party designated in Sec. 2.909 bears responsibility for 
continued compliance of subsequently produced equipment.

[39 FR 5919, Feb. 15, 1974, as amended at 62 FR 10472, Mar. 7, 1997]

[[Page 653]]



Sec. 2.954  Identification.

    Devices subject only to verification shall be uniquely identified by 
the person responsible for marketing or importing the equipment within 
the United States. However, the identification shall not be of a format 
which could be confused with the FCC Identifier required on certified, 
notified or type accepted equipment. The importer or manufacturer shall 
maintain adequate identification records to facilitate positive 
identification for each verified device.

[62 FR 10472, Mar. 7, 1997]



Sec. 2.955  Retention of records.

    (a) For each equipment subject to verification, the responsible 
party, as shown in Sec. 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 
requirements of Sec. 2.953.
    (2) A record of the procedures used for production inspection and 
testing (if tests were performed) to insure the conformance required by 
Sec. 2.953. (Statistical production line emission testing is not 
required.)
    (3) A record of the measurements made on an appropriate test site 
that demonstrates compliance with the applicable regulations in this 
chapter. The record shall:
    (i) Indicate the actual date all testing was performed;
    (ii) State the name of the test laboratory, company, or individual 
performing the verification testing. The Commission may request 
additional information 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 
support equipment connected to, or installed 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 drawings or photographs must 
show enough detail to confirm other information contained in the test 
report. Any photographs used must be focused originals without glare or 
dark spots and must clearly show the test configuration used;
    (viii) List all modifications, if any, made to the EUT by the 
testing company or individual to achieve compliance with the regulations 
in this chapter;
    (ix) Include all of the data required to show compliance with the 
appropriate 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 Sec. 2.909.
    (4) For equipment subject to the provisions in part 15 of this 
chapter, the records shall indicate if the equipment was verified 
pursuant to the transition provisions contained in Sec. 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 involving his equipment has been instituted.

[54 FR 17713, Apr. 25, 1989, as amended at 62 FR 10472, Mar. 7, 1997]



Sec. 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 Sec. 2.955.

[[Page 654]]

    (2) Submit one or more sample units for measurements at the 
Commission's Laboratory.
    (i) Shipping costs to the Commission'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 impractical because of the 
size or weight of the equipment, or the power requirement, or for any 
other reason, the responsible party may submit a written explanation why 
such shipment is impractical and should not be required.
    (b) Requests for the submission of the records in Sec. 2.955 or for 
the submission of sample units are covered under the provisions of Sec. 
2.946.

[62 FR 10472, Mar. 7, 1997]

              Telecommunication Certification Bodies (TCBs)



Sec. 2.960  Designation of Telecommunication Certification Bodies (TCBs).

    (a) The Commission may designate Telecommunication Certification 
Bodies (TCBs) to approve equipment as required 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 Commission's 
requirements and shall issue a written grant of equipment authorization. 
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 equipment subject to certification under 
the Commission's rules. TCBs shall be accredited by the National 
Institute of Standards and Technology (NIST) under its National 
Voluntary Conformity Assessment Evaluation (NVCASE) program, or other 
recognized programs based on ISO/IEC Guide 65, to comply with the 
Commission's qualification criteria for TCBs. NIST may, in accordance 
with its procedures, allow other appropriately qualified accrediting 
bodies to accredit TCBs and testing laboratories. TCBs shall comply with 
the requirements in Sec. 2.962 of this part.
    (c) In accordance with the terms of an effective bilateral or 
multilateral mutual recognition agreement or arrangement (MRA) to which 
the United States is a party, bodies outside the United States shall be 
permitted to authorize equipment in lieu of the Commission. A body in an 
MRA partner economy may authorize equipment to U.S. requirements only if 
that economy permits bodies in the United States to authorize equipment 
to its requirements. The authority designating these telecommunication 
certification bodies shall meet the following criteria.
    (1) The organization accrediting the prospective telecommunication 
certification 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 experts to perform the assessment 
covering 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 compatibility and telecommunications equipment (wired 
and wireless).

[64 FR 4995, Feb. 2, 1999]



Sec. 2.962  Requirements for Telecommunication Certification Bodies.

    (a) Telecommunication certification bodies (TCBs) designated by the 
Commission, or designated by another authority pursuant to an effective 
bilateral or multilateral mutual recognition agreement or arrangement to 
which the United States is a party, shall comply with the following 
requirements.
    (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 unmodified representative sample of each product type for which 
certification is sought. Additional samples may be requested if clearly 
warranted, such as when certain tests are likely to render a sample 
inoperative.

[[Page 655]]

    (c) Criteria for Designation. (1) To be designated as a TCB under 
this section, an entity shall, by means of accreditation, meet all the 
appropriate specifications 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 applicable regulations for product 
evaluation.
    (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 Guide 25 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 laboratory personnel 
shall demonstrate a knowledge of how to obtain current and correct 
technical regulation interpretations. The competence of the 
telecommunication certification body shall be demonstrated by 
assessment. The general competence, efficiency, experience, familiarity 
with technical regulations and products included in those technical 
regulations, as well as compliance with applicable parts of the ISO/IEC 
Guides 25 and 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 interpretation of applicable regulations.
    (6) The Commission will provide public notice of the specific 
methods that will be used to accredit TCBs, consistent with these 
qualification criteria.
    (d) Sub-contractors. (1) In accordance with the provisions of sub-
clause 4.4 of ISO/IEC Guide 65, the testing of a product, or a portion 
thereof, may be performed by a sub-contractor of a designated TCB, 
provided the laboratory has been assessed by the TCB as competent and in 
compliance with the applicable 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 ensure reliability of the test results. Such oversight 
shall include periodic audits of products that have been tested.
    (e) Designation of TCBs. (1) The Commission will designate as a TCB 
any organization 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 Commission 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 
opportunity to respond.
    (3) A list of designated TCBs will be published by the Commission.
    (f) Scope of responsibility. (1) TCBs shall certify equipment in 
accordance with the Commission's rules and policies.
    (2) A TCB shall accept test data from any source, subject to the 
requirements in ISO/IEC Guide 65, and shall not unnecessarily repeat 
tests.
    (3) TCBs may establish and assess fees for processing certification 
applications and other tasks as required by the Commission.
    (4) A TCB may rescind a grant of certification within 30 days of 
grant for administrative errors. After that time, a grant can only be 
revoked by the Commission through the procedures in Sec. 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 certify equipment for which the 
Commission rules or requirements do not exist or for which the 
application of the rules or requirements is unclear.
    (ii) Take enforcement actions; or

[[Page 656]]

    (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 Commission.
    (2) In accordance with ISO/IEC Guide 65, a TCB is required to 
conduct appropriate post-market surveillance activities. These 
activities shall be based on type testing a few samples of the total 
number of product types which the certification body has certified. 
Other types of surveillance activities of a product that has been 
certified are permitted, provided they are no more onerous than testing 
type. The Commission may at any time request a list of products 
certified by the certification body and may request and receive copies 
of product evaluation reports. The Commission may also request that a 
TCB perform post-market surveillance, under Commission guidelines, of a 
specific product it has certified.
    (3) If during post market surveillance of a certified product, a 
certification body determines that a product fails to comply with the 
applicable technical regulations, the certification body shall 
immediately notify the grantee and the Commission. A follow-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 calendar days of a request 
for the file made by the Commission to the TCB and the manufacturer. 
Where appropriate, the file should be accompanied by a request for 
confidentiality for any material that may qualify for confidential 
treatment under the Commission's Rules. If the application file is not 
provided within 30 calendar days, a statement shall be provided to the 
Commission 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 products 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 decision is 
reached. In the case of a TCB designated or recognized, or a product 
certified pursuant to an effective bilateral or multilateral mutual 
recognition 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 certification of products 
using testing or certification provided by such a TCB. The Commission 
shall consult with the Office of the United States Trade Representative 
(USTR), as necessary, concerning any disputes arising under an MRA for 
compliance with the Telecommunications 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]

    Effective Date Note: At 69 FR 54034, Sept. 7, 2004, Sec. 2.962 was 
amended by revising paragraphs (c)(3), (c)(4), (e) introductory text, 
(e)(1), (f)(1), (f)(3), and (g)(3), and by adding paragraph (c)(7), 
effective Oct. 7, 2004. For the convenience of the user, the added and 
revised text is set forth as follows:

Sec. 2.962  Requirements for a Telecommunications Certification Body.

                                * * * * *

    (c) * * *
    (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 laboratory personnel 
shall demonstrate a knowledge of how to obtain current and correct 
technical regulation interpretations. The competence of the 
Telecommunication Certification Body shall be demonstrated by 
assessment. The general competence, efficiency, experience, 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.

                                * * * * *

[[Page 657]]

    (7) A TCB shall be reassessed for continued accreditation on 
intervals not exceeding two years.

                                * * * * *

    (e) Designation of a TCB. (1) The Commission will designate as a TCB 
any organization that meets the qualification criteria and is accredited 
by NIST or its recognized accreditor.

                                * * * * *

    (f) * * *
    (1) A TCB shall certify equipment in accordance with the 
Commission's rules and policies.

                                * * * * *

    (3) A TCB may establish and assess fees for processing certification 
applications and other tasks as required by the Commission.

                                * * * * *

    (g) * * *
    (3) If during post market surveillance of a certified product, a TCB 
determines that a product fails to comply with the applicable technical 
regulations, the Telecommunication Certification Body shall immediately 
notify the grantee and the Commission. A follow-up report shall also be 
provided within thirty days of the action taken by the grantee to 
correct the situation.

                                * * * * *

                              Certification



Sec. 2.1031  Cross reference.

    The general provisions of this subpart Sec. 2.901 et seq. shall 
apply to applications for and grants of certification.



Sec. 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 operating under Parts 11, 15 and 18 
of the rules shall be accompanied by a technical 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 operating instructions to be 
furnished the user. A draft copy of the instructions may be submitted if 
the actual document is not available. The actual document 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 contain a description of the ground system and antenna, if any, 
used with the device.
    (5) A block diagram showing the frequency of all oscillators in the 
device. The signal path and frequency shall be indicated at each block. 
The tuning range(s) and intermediate frequency(ies) shall be indicated 
at each block. A schematic diagram is also required for intentional 
radiators.
    (6) A report of measurements showing 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 requirements.
    (7) A sufficient number of photographs to clearly show the exterior 
appearance, the construction, the component 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 the required identification label in 
sufficient detail so that the name and FCC identifier can be read. In 
lieu of a photograph 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 equipment. Photographs shall be of size A4 (21 cm x 29.7 
cm) or 8x10 inches (20.3 cm x 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 x 29.7 cm) or 8.5x11 inch (21.6 cm x 27.9 
cm) paper. A sample label or facsimile together with the sketch showing 
the placement of

[[Page 658]]

this label shall be on the same size paper.
    (8) If the equipment for which certification is being sought must be 
tested with peripheral or accessory devices connected or installed, a 
brief description of those peripherals or accessories. The peripheral or 
accessory devices shall be unmodified, commercially available equipment.
    (9) For equipment subject to the provisions of part 15 of this 
chapter, the application shall indicate if the equipment is being 
authorized pursuant to the transition provisions in Sec. 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 requirements of all parts of Sec. 15.121 of this chapter. The 
application must specifically include a statement assessing the 
vulnerability of the equipment to possible modification and describing 
the design features that prevent the modification of the equipment by 
the user to receive transmissions from the Cellular Radiotelephone 
Service. The application must also demonstrate compliance with the 
signal rejection requirement of Sec. 15.121 of this chapter, including 
details on the measurement procedures used to demonstrate compliance.
    (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 Sec. 15.255 (g) and (i) of this chapter.
    (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 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 operating instructions to be 
furnished the user. A draft copy of the instructions may be submitted if 
the actual document is not available. The actual document 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 description of all circuitry and 
devices provided for determining and stabilizing frequency, for 
suppression of spurious radiation, for limiting modulation, 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 (8x10) of the equipment of 
sufficient clarity to reveal equipment construction and layout, 
including meters, if any, and labels for controls and meters and 
sufficient views of the internal construction to define component 
placement and chassis assembly. Insofar as these requirements are met by 
photographs or drawings contained in instruction manuals supplied with 
the certification request, additional photographs are necessary only to 
complete the required showing.
    (13) For equipment employing digital modulation techniques, a 
detailed description of the modulation system to be used, including the 
response characteristics (frequency, phase and amplitude) of any filters 
provided, and a description of the modulating wavetrain, shall be 
submitted for the maximum rated conditions under which the equipment 
will be operated.
    (14) The data required by Sec. Sec. 2.1046 through 2.1057, 
inclusive, measured in accordance with the procedures set out in Sec. 
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

[[Page 659]]

with the technical specifications in subpart C of part 97 of this 
chapter and such information as required by Sec. 2.1060 of this part.
    (16) An application for certification of an AM broadcast 
stereophonic exciter-generator intended for interfacing with existing 
certified, or formerly type accepted or notified transmitters must 
include measurements made on a complete stereophonic transmitter. The 
instruction book must include complete specifications and circuit 
requirements for interconnecting 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 
combination of stereo exciter-generator and transmitter meet the 
emission limitations of Sec. 73.44.
    (17) Applications for certification required by Sec. 25.129 of this 
chapter shall include any additional equipment test data required by 
that section.
    (d) Applications for certification of equipment operating under part 
20, that a manufacturer is seeking to certify as hearing aid compatible, 
as set forth in Sec. 20.19 of that part, shall include a statement 
indicating compliance with the test requirements of Sec. 20.19 and 
indicating the appropriate U-rating for the equipment. The manufacturer 
of the equipment shall be responsible for maintaining the test results.
    (e) A single application may be filed for a composite system that 
incorporates 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 Identifiers 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]

    Effective Date Note: At 69 FR 5709, Feb. 6, 2004, Sec. 2.1033 was 
amended by adding paragraph (c)(17). This amendment contains information 
collection and recordkeeping requirements and will not become effective 
until approval has been given by the Office of Management and Budget.



Sec. 2.1035  [Reserved]



Sec. 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 certification is requested. For equipment operating in the 
authorized radio services, measurements are required as specified in 
Sec. Sec. 2.1046, 2.1047, 2.1049, 2.1051, 2.1053, 2.1055 and 2.1057. 
See also Sec. 2.947.

[63 FR 36600, July 7, 1998]



Sec. 2.1043  Changes in certificated equipment.

    (a) Except as provided in paragraph (b)(3) of this section, changes 
to the basic frequency determining and stabilizing circuitry (including 
clock or data rates), frequency multiplication stages, basic modulator 
circuit or maximum power or field strength ratings shall not be 
performed without application 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 
either do not affect the characteristics required to be reported to the 
Commission or the variations are made in compliance 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 Commission and may be made by parties other 
than the holder of the grant of certification.
    (b) Three classes of permissive changes may be made in certificated 
equipment without requiring a new application for and grant of 
certification. None of the classes of changes shall result in a change 
in identification.
    (1) A Class I permissive change includes those modifications in the 
equipment which do not degrade the characteristics reported by the 
manufacturer and accepted by the Commission when certification is 
granted. No filing with the Commission is required for a Class I 
permissive change.
    (2) A Class II permissive change includes those modifications which 
degrade the performance characteristics as reported to the Commission at 
the

[[Page 660]]

time of the initial certification. Such degraded performance must still 
meet the minimum requirements of the applicable rules. When a Class II 
permissive change is made by the grantee, the grantee shall supply the 
Commission with complete information and the results of tests of the 
characteristics affected by such change. The modified equipment shall 
not be marketed under the existing grant of certification prior to 
acknowledgement by the Commission that the change is acceptable.
    (3) A Class III permissive change includes modifications to the 
software of a software defined radio transmitter that change the 
frequency, modulation type, output power or maximum field strength 
outside the parameters previously approved. When a Class III permissive 
change is made, the grantee shall supply the Commission with a 
description of the changes and test results showing that the equipment 
complies with the applicable rules with the new software loaded, 
including compliance with the applicable RF exposure requirements. The 
modified software shall not be loaded into equipment, and the equipment 
shall not be marketed with the modified software under the existing 
grant of certification, prior to acknowledgement by the Commission that 
the change is acceptable. A copy of the software shall be submitted to 
the Commission upon request. Class III changes are permitted only for 
equipment in which no Class II changes have been made from the 
originally approved device.
    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 
certification would be considered a change in frequency or modulation 
and would require a Class III permissive change or new equipment 
authorization application.
    (4) Class I and Class II permissive changes may only be made by the 
holder 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 (including 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 requires a new 
application for, and grant of certification. If the changes affect the 
characteristics required to be reported, a complete application shall be 
filed. If the characteristics required to be reported are not changed 
the abbreviated procedure of Sec. 2.933 may be used.
    (e) Equipment that has been certificated 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 regard to the conditions 
specified in paragraph (b) of this section, provided the following 
conditions are met:
    (1) Any person performing such modifications 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 equipment being 
modified.
    (2) Modifications made pursuant to this paragraph are limited to 
equipment used at licensed amateur radio stations.
    (3) Modifications specified or performed by equipment manufacturers 
or suppliers must be in accordance with the requirements set forth in 
paragraph (b) of this section.
    (4) Modifications specified or performed 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 
paragraph (b) of this section.
    (5) The station licensee shall be responsible for ensuring that 
modified equipment used at his station will comply with the applicable 
technical standards in part 97 of this chapter.
    (f) For equipment other than that operating 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

[[Page 661]]

of the Commission prior to acknowledgement by the Commission that the 
change is acceptable.
    (g) The interconnection of a certificated or formerly type accepted 
AM broadcast stereophonic exciter-generator with a certificated or 
formerly type accepted AM broadcast transmitter in accordance with the 
manufacturer's instructions and upon completion of measurements showing 
that the modified transmitter meets the emission limitation requirements 
of Sec. 73.44 is defined as a Class I permissive change for compliance 
with this section.
    (h) The interconnection of a multiplexing 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 completion of 
equipment performance measurements showing the transmitter meets the 
minimum performance requirements applicable thereto is defined as a 
Class I permissive change for compliance with this section.
    (i) The addition of TV broadcast subcarrier 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 transmitter, provided the transmitter exciter is designed for 
subcarrier operation without mechanical or electrical alterations to the 
exciter or other transmitter circuits.
    (j) The addition of TV broadcast stereophonic generators to a 
certificated or formerly type accepted TV broadcast transmitter or the 
addition of FM broadcast stereophonic generators to a certificated or 
formerly type accepted FM broadcast transmitter, provided the 
transmitter exciter is designed for stereophonic sound operation 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 Sec. 2.1400 in 
subpart M and Sec. 73.644(c) of part 73 to a certificated or formerly 
type accepted transmitter is considered a Class I permissive change.
    (l) Notwithstanding the provisions of this section, broadcast 
licensees or permittees are permitted to modify certificated or formerly 
type accepted equipment pursuant to Sec. 73.1690 of the FCC's rules.

[63 FR 36600, July 7, 1998, as amended at 66 FR 50840, Oct. 5, 2001]



Sec. 2.1046  Measurements required: RF power output.

    (a) For transmitters other than single sideband, independent 
sideband and controlled carrier radiotelephone, power output shall be 
measured at the RF output terminals when the transmitter is adjusted in 
accordance with the tune-up procedure to give the values of current and 
voltage on the circuit elements specified in Sec. 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, 
controlled carrier radiotelephone transmitters the procedure specified 
in paragraph (a) of this section shall be employed and, in addition, the 
transmitter 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.
    (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 bandwidth), or 500 Hz and 2100 Hz (3.5 kHz authorized 
bandwidth), or 500 Hz and 2400 Hz (for 4.0 kHz authorized bandwidth), 
applied simultaneously, the input levels of the tones so adjusted that 
the two principal frequency components 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 authorized 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

[[Page 662]]

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 harmonically 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 transmitters having two channels by 1700 Hz 
tones applied simultaneously in both channels, the input levels of the 
tones so adjusted that the two principal frequency components of the 
radio frequency signal produced are equal in magnitude.
    (5) Independent sideband transmitters 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 manufacturer for normal operation.
    (6) Single-channel controlled-carrier transmitters in the A3 
emission mode--by a 2500 Hz tone.
    (c) For measurements conducted pursuant 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 measured power in the radio frequency load attached to the 
transmitter output terminals 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 
occupied bandwidth or emission limitations.

[39 FR 5919, Feb. 15, 1974. Redesignated and amended at 63 FR 36599, 
July 7, 1998]



Sec. 2.1047  Measurements required: Modulation 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 frequency response of 
the filter, or of all circuitry installed between the modulation limiter 
and the modulated stage shall be submitted.
    (b) Equipment which employs modulation limiting. A curve or family 
of curves showing the percentage of modulation versus the modulation 
input voltage shall be supplied. The information submitted shall be 
sufficient to show modulation limiting capability throughout the range 
of modulating frequencies and input modulating signal 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 Sec. 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 modulation 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]



Sec. 2.1049  Measurements required: Occupied 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 emission shall be measured under the following 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 
modulation or peak envelope power shall be modulated as follows. For 
single sideband and independent sideband transmitters, the input level 
of the modulating signal shall be 10 dB greater

[[Page 663]]

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 necessary to produce 50 percent modulation. The input 
level shall be established at the frequency of maximum response 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 
authorized bandwidth), or 500 Hz and 2100 Hz (for 3.5 kHz authorized 
bandwidth), or 500 Hz and 2400 Hz (for 4.0 kHz authorized bandwidth), 
applied simultaneously. The input levels of the tones shall be so 
adjusted that the two principal frequency components of the radio 
frequency signal produced are equal in magnitude.
    (3) Single sideband transmitters in the A3H emission mode--when 
modulated by one tone at a frequency of 1500 Hz (for 3.0 kHz authorized 
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.
    (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 harmonically 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 transmitters having two channels--when 
modulated by 1700 Hz tones applied simultaneously to both channels. The 
input levels of the tones shall be so adjusted that the two principal 
frequency components 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 modulated as follows. For single 
sideband and independent sideband transmitters, the input level of the 
modulating signal 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 modulation 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 
authorized bandwidth), or 500 Hz and 2100 Hz (for 3.5 kHz authorized 
bandwidth), or 500 Hz and 2400 Hz (for 4.0 kHz authorized bandwidth), 
applied simultaneously. The input levels of the tones shall be so 
adjusted that the two principal frequency components of the radio 
frequency signal produced are equal in magnitude.
    (3) Single sideband transmitters in the A3H emission mode--when 
modulated by one tone at a frequency of 1500 Hz (for 3.0 kHz authorized 
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.
    (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 harmonically 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 transmitters having two channels--when 
modulated by 1700 Hz tones applied simultaneously to both channels. The 
input

[[Page 664]]

levels of the tones shall be so adjusted that the two principal 
frequency components 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 signal.
    (2) AM broadcast stereophonic operation--when the transmitter 
operated under any stereophonic modulation condition not exceeding 100% 
on negative peaks and tested under the conditions specified in Sec. 
73.128 in part 73 of the FCC rules for AM broadcast stations.
    (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 
modulated 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 
transmitter 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 channel and the stereophonic subchannel must be 
representative of the system being tested and when combined with any 
pilot subcarrier(s) or other auxiliary subcarriers shall result in 85% 
deviation of the maximum specified aural carrier deviation.
    (f) Transmitters for which peak frequency deviation (D) is 
determined in accordance with Sec. 2.202(f), and in which the 
modulating baseband comprises more than 3 independent speech channels--
when modulated by a test signal determined in accordance with the 
following:
    (1) A modulation reference level is established for the 
characteristic baseband frequency. (Modulation reference 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 random noise extending from below 20 kHz to the highest 
frequency in the baseband, is applied to the modulator input through any 
preemphasis networks used in normal service. The average power level of 
the test signal shall exceed the modulation reference level by the 
number of decibels determined using the appropriate formula in the 
following table:

----------------------------------------------------------------------------------------------------------------
                                                  Number of dB by which the
 Number of message circuits that modulate the  average power (Pavg) level test
                 transmitter                       signal shall exceed the            Limits of Pavg (dBm0)
                                                  modulation reference level
----------------------------------------------------------------------------------------------------------------
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 Sec. 2.202(e) in this chapter.)

    (g) Transmitters in which the modulating baseband comprises not more 
than three independent channels--

[[Page 665]]

when modulated by the full complement of signals for which the 
transmitter is rated. The level of modulation for each channel should be 
set to that prescribed in rule parts applicable to the services for 
which the transmitter is intended. If specific modulation levels are not 
set forth in the rules, the tests should provide the manufacturer's 
maximum rated condition.
    (h) Transmitters employing digital modulation techniques--when 
modulated 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 generators or other devices required in normal service. 
Additionally, the occupied bandwidth shall be shown for operation with 
any devices used for modifying the spectrum when such devices are 
optional 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 description 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]



Sec. 2.1051  Measurements required: Spurious emissions at antenna terminals.

    The radio frequency voltage or powers generated within the equipment 
and appearing on a spurious frequency shall be checked at the equipment 
output 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 detected when the 
equipment is operated under the conditions specified in Sec. 2.1049 as 
appropriate. The magnitude of spurious emissions which are attenuated 
more than 20 dB below the permissible value need not be specified.

[39 FR 5919, Feb. 15, 1974. Redesignated and amended at 63 FR 36599, 
July 7, 1998]



Sec. 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 
intermediate circuit elements under normal conditions of installation 
and operation. Curves or equivalent data shall be supplied showing the 
magnitude of each harmonic and other spurious emission. For this test, 
single sideband, independent sideband, and controlled carrier 
transmitters shall be modulated under the conditions specified in 
paragraph (c) of Sec. 2.1049, as appropriate. For equipment operating 
on frequencies below 890 MHz, an open field test is normally required, 
with the measuring instrument antenna located in the far-field at all 
test frequencies. In the event it is either impractical 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 measurements must be accompanied by a description of the site where 
the measurements were made showing the location of any possible source 
of reflections which might distort the field strength measurements. 
Information submitted shall include the relative radiated power of each 
spurious emission with reference to the rated power output 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 emissions are required to be 60 dB 
or more below the mean power of the transmitter.
    (2) All equipment operating on frequencies higher than 25 MHz.
    (3) All equipment where the antenna is an integral part of, and 
attached directly to the transmitter.

[[Page 666]]

    (4) Other types of equipment as required, when deemed necessary by 
the Commission.

[39 FR 5919, Feb. 15, 1974. Redesignated and amended at 63 FR 36599, 
July 7, 1998]



Sec. 2.1055  Measurements required: Frequency stability.

    (a) The frequency stability shall be measured with variation of 
ambient temperature as follows:
    (1) From -30[deg] to +50[deg] centigrade for all equipment except 
that specified in paragraphs (a) (2) and (3) of this section.
    (2) From -20[deg] to +50[deg] 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 equipment to be licensed for use above 952 MHz at 
operational fixed stations in all services, stations in the Local 
Television Transmission Service and Point-to-Point Microwave Radio 
Service under part 21 of this chapter, equipment 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[deg] to +50[deg] 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[deg] 
centigrade through the range. A period of time sufficient to stabilize 
all of the components of the oscillator circuit at each temperature 
level shall be allowed prior to frequency 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 occurring at each ambient temperature level also shall be 
shown. Only the portion or portions of the transmitter containing the 
frequency determining and stabilizing circuitry need be subjected to the 
temperature variation test.
    (c) In addition to all other requirements of this section, the 
following information is required for equipment incorporating heater 
type crystal oscillators to be used in mobile stations, for which type 
acceptance is first requested after March 25, 1974, except for battery 
powered, hand carried, portable equipment having less than 3 watts mean 
output power.
    (1) Measurement data showing variation 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 stabilization at each of the ambient temperature 
levels; the lower temperature limit, 0[deg] centigrade and +30[deg] 
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 application of primary power to the transmitter and at 
intervals of no more than one minute thereafter until ten minutes have 
elapsed or until sufficient measurements are obtained to indicate 
clearly that the frequency has stabilized within the applicable 
tolerance, whichever time period is greater. During each test, the 
ambient temperature shall not be allowed to rise more than 10[deg] 
centigrade above the respective beginning ambient temperature level.
    (3) The elapsed time necessary for the frequency to stabilize within 
the applicable tolerance from each beginning ambient temperature level 
as determined from the tests specified in this paragraph shall be 
specified in the instruction book for the transmitter furnished to the 
user.
    (4) When it is impracticable to subject the complete transmitter to 
this test because of its physical dimensions or power rating, only its 
frequency determining 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 voltage to the battery operating end point which shall be 
specified by the manufacturer.

[[Page 667]]

    (3) The supply voltage shall be measured 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 frequency of transmitter 
keying (except for broadcast transmitters) and any heating element 
cycling at the nominal supply voltage and at each extreme also shall be 
shown.
    (e) When deemed necessary, the Commission may require tests of 
frequency stability under conditions in addition to those specifically 
set out in paragraphs (a), (b), (c), and (d) of this section. (For 
example measurements showing the effect of proximity to large metal 
objects, or of various types of antennas, may be required for portable 
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]



Sec. 2.1057  Frequency spectrum to be investigated.

    (a) In all of the measurements set forth in Sec. Sec. 2.1051 and 
2.1053, the spectrum shall be investigated from the lowest radio 
frequency signal generated in the equipment, without going below 9 kHz, 
up to at least the frequency 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 fundamental frequency or to 100 
GHz, whichever 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 emissions which are attenuated more 
than 20 dB below the permissible value need not be reported.
    (d) Unless otherwise specified, measurements above 40 GHz shall be 
performed using a minimum resolution bandwidth of 1 MHz.

[61 FR 14502, Apr. 2, 1996. Redesignated and amended at 63 FR 36599, 
July 7, 1998]



Sec. 2.1060  Equipment for use in the amateur radio service.

    (a) The general provisions of Sec. Sec. 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 
requirements of part 97 of this chapter, the Amateur Radio Service.
    (b) When performing the tests specified in Sec. Sec. 2.1051 and 
2.1053 of this part, the center of the transmitted bandwidth shall be 
within the operating frequency 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) Any supplier of an external radio frequency power amplifier kit 
as defined by Sec. 97.3(a)(17) of this chapter shall comply with the 
following requirements:
    (1) Assembly of one unit of a specific type shall be made in exact 
accordance with the instructions being supplied with the product being 
marketed. If all of the necessary components are not normally furnished 
with the kit, assembly shall be made using the recommended components.
    (2) The measurement data required for certification shall be 
obtained for this unit and submitted with the certification application. 
Unless otherwise requested, it is not necessary to submit this unit with 
the application.
    (3) A copy of the exact instructions which will be provided for 
assembly of the equipment shall be provided in addition to other 
material required by Sec. 2.1033 of this part.
    (4) The identification label required by Sec. 2.925 of this part 
shall be permanently affixed to the assembled unit and shall be of 
sufficient size so as to be easily read. The following information shall 
be shown on the label:

(Name of Grantee of Certification)


[[Page 668]]


FCC ID: (The number assigned to the equipment by the grantor)

This amplifier can be expected to comply with part 97 of the FCC 
Regulations when assembled and aligned in strict accordance with the 
instruction manual using components with the kit or an exact equivalent 
thereof.

(Title and signature of responsible representative of Grantee)

Statement of Compliance

I state that I have constructed this equipment in accordance with the 
instruction manual and using the parts furnished by the supplier of this 
kit.

(Signature)

(Date)

(Amateur call sign) (Class of license)

(Expiration date of license)

(To be signed by the person responsible for proper assembly of kit.)

    (5) If requested, an unassembled unit shall be provided for assembly 
and test by the Commission. Shipping charges to and from the 
Commission's Laboratory shall be borne by the applicant.
    (d) Certification of external radio frequency power amplifiers and 
amplifier kits may be denied when denial serves the public interest, 
convenience and necessity by preventing the use of these amplifiers in 
services other than the Amateur Radio Service. Other uses of these 
amplifiers, such as in the Citizens Band Radio Service, are prohibited 
(Sec. 95.411 of this chapter). Examples of features which may result in 
the denial of certification are contained in Sec. 97.317 of this 
chapter.

[63 FR 36601, July 7, 1998]

                        Declaration of Conformity



Sec. 2.1071  Cross reference.

    The general provisions of this subpart, shall apply to equipment 
subject to a Declaration of Conformity.

[61 FR 31046, June 19, 1996]



Sec. 2.1072  Limitation on Declaration of Conformity.

    (a) The Declaration of Conformity signifies that the responsible 
party, as defined in Sec. 2.909, has determined that the equipment has 
been shown to comply 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 responsible party with respect 
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 established by the 
Commission.
    (c) No person shall, in any advertising matter, brochure, etc., use 
or make reference to a Declaration of Conformity in a deceptive or 
misleading manner or convey the impression that such a Declaration of 
Conformity reflects more than a determination by the responsible party 
that the device or product has been shown to be capable of complying 
with the applicable technical standards of the Commission's rules.

[61 FR 31046, June 19, 1996]



Sec. 2.1073  Responsibilities.

    (a) The responsible party, as defined in Sec. 2.909, must warrant 
that each unit of equipment marketed under a Declaration 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 receiving a written statement from the manufacturer that the 
equipment complies with the appropriate technical standards rely on the 
manufacturer or independent testing agency to determine compliance. 
However, the test records required by Sec. 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 Sec. 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 responsibility of continued compliance of the 
equipment.
    (d) Equipment shall be retested to demonstrate continued compliance

[[Page 669]]

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 responsible party bears 
responsibility for the continued compliance of subsequently produced 
equipment.
    (e) If any modifications or changes are made by anyone other than 
the responsible party for the Declaration of Conformity, the party 
making the modifications or changes, if located within the U.S., becomes 
the new responsible party. The new responsible party must comply with 
all provisions for the Declaration of Conformity, including having test 
data on file demonstrating that the product continues to comply with all 
of the applicable technical standards.

[61 FR 31046, June 19, 1996]



Sec. 2.1074  Identification.

    Devices subject only to a Declaration of Conformity shall be 
uniquely identified by the responsible party. This identification shall 
not be of a format which could be confused with the FCC Identifier 
required on certified, notified, type accepted or type approved 
equipment. The responsible party shall maintain adequate identification 
records to facilitate positive identification for each device.

[61 FR 31047, June 19, 1996]



Sec. 2.1075  Retention of records.

    (a) Except as shown in paragraph (b) of this section, for each 
product subject to a Declaration of Conformity, the responsible party, 
as shown in Sec. 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 
requirements of Sec. 2.1073.
    (2) A record of the procedures used for production inspection and 
testing (if tests were performed) to insure the conformance required by 
Sec. 2.1073. (Statistical production line emission testing is not 
required.)
    (3) A record of the measurements made on an appropriate test site 
that demonstrates compliance with the applicable 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 individual performing the tests;
    (iii) A description of how the device was actually tested, 
identifying the measurement procedure and test equipment that was used;
    (iv) A description of the equipment under test (EUT) and support 
equipment 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 connecting cables used and how they 
were arranged or moved during testing;
    (vii) At least two photographs showing 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 modifications made to the EUT by the 
testing company or individual to achieve compliance with the 
regulations;
    (ix) All of the data required to show compliance with the 
appropriate regulations;
    (x) 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 Sec. 2.909; and
    (xi) A copy of the compliance information, as described in Sec. 
2.1077, required to be provided with the equipment.
    (b) If the equipment is assembled using modular components that, by 
themselves, are subject to authorization 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

[[Page 670]]

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 information, as described in Sec. 
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 modifications, if any, that were made 
during assembly; and
    (5) A copy of any instructions included with the components that 
were required to be followed to ensure the assembly of a compliant 
product, along with a statement, signed by the assembler, that these 
instructions were followed during assembly. This statement shall also 
contain the name and signature of an official of the responsible party, 
as designated in Sec. 2.909.
    (c) The records listed in paragraphs (a) and (b) of this section 
shall be retained for two years after the manufacture 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 administrative proceeding involving the equipment has been 
instituted. Requests for the records described in this section and for 
sample units also are covered under the provisions of Sec. 2.946.

[61 FR 31047, June 19, 1996]



Sec. 2.1076  FCC inspection and submission of equipment for testing.

    (a) Each responsible party, upon receipt of a reasonable request, 
shall submit to the Commission the records required by Sec. 2.1075 or 
one or more sample units for measurements at the Commission's 
laboratory.
    (b) Shipping costs to the Commission'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 
impractical because of the size or weight of the equipment, or the power 
requirement, or for any other reason, the responsible party may submit a 
written explanation why such shipment is impractical and should not be 
required.

[61 FR 31047, June 19, 1996]



Sec. 2.1077  Compliance information.

    (a) If a product must be tested and authorized under a Declaration 
of Conformity, 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 contained in Sec. 15.19(a)(3) of 
this chapter, that the product complies with part 15 of this chapters; 
and
    (3) The identification, by name, address and telephone number, of 
the responsible party, as defined in Sec. 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 
themselves, are authorized 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 
product shall be supplied, at the time of marketing or importation, with 
a compliance information statement containing the following information:
    (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 
component authorized under a grant of certification 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, address and telephone number, of 
the responsible party who assembled the product from modular components, 
as defined in Sec. 2.909. The responsible party

[[Page 671]]

for a Declaration of Conformity must be located within the United 
States.
    (5) Copies of the compliance information statements for each modular 
component used in the system that is authorized under a Declaration of 
Conformity.
    (c) The compliance information statement shall be included in the 
user's manual or as a separate sheet.

[61 FR 31048, June 19, 1996, as amended at 62 FR 41880, Aug. 4, 1997]

                    Radiofrequency Radiation Exposure



Sec. 2.1091  Radiofrequency radiation exposure evaluation: mobile devices.

    (a) Requirements of this section are a consequence of Commission 
responsibilities under the National Environmental Policy Act to evaluate 
the environmental significance of its actions. See subpart I of part 1 
of this chapter, in particular Sec. 1.1307(b).
    (b) For purposes of this section, a mobile device is defined as a 
transmitting device designed to be used in other than fixed locations 
and to generally 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 persons. 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 
another 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 considered to be mobile devices 
if they meet the 20 centimeter separation requirement.
    (c) Mobile devices that operate in the Cellular Radiotelephone 
Service, the Personal Communications Services, the Satellite 
Communications Services, the General Wireless Communications Service, 
the Wireless Communications Service, the Maritime Services 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 evaluation for RF exposure 
prior to equipment authorization or use if they operate 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. Unlicensed personal communications service 
devices, unlicensed millimeter wave devices and unlicensed NII devices 
authorized under Sec. Sec. 15.253, 15.255, and 15.257, and subparts D 
and E of part 15 of this chapter are also subject to routine 
environmental evaluation for RF exposure prior to equipment 
authorization or use if their ERP is 3 watts or more or if they meet the 
definition of a portable device as specified in Sec. 2.1093(b) 
requiring evaluation under the provisions of that section. All other 
mobile and unlicensed transmitting devices are categorically excluded 
from routine environmental evaluation for RF exposure prior to equipment 
authorization or use, except as specified in Sec. Sec. 1.1307(c) and 
1.1307(d) of this chapter. Applications for equipment authorization of 
mobile and unlicensed transmitting devices subject to routine 
environmental evaluation must contain a statement confirming compliance 
with the limits specified in paragraph (d) of this section as part of 
their application. Technical information showing the basis for this 
statement must be submitted to the Commission upon request.
    (d) The limits to be used for evaluation are specified in Sec. 
1.1310 of this chapter. All unlicensed personal communications service 
(PCS) devices and unlicensed NII devices shall be subject to the limits 
for general population/uncontrolled exposure.
    (1) For purposes of analyzing mobile transmitting devices under the 
occupational/controlled criteria specified in Sec. 1.1310 of this 
chapter, time-averaging provisions of the guidelines may be used in 
conjunction with typical maximum duty factors to determine maximum 
likely exposure levels.
    (2) Time-averaging provisions may not be used in determining typical 
exposure levels for devices intended for use by consumers in general 
population/uncontrolled environments as defined in Sec. 1.1310 of this 
chapter. However, ``source-based'' time-averaging

[[Page 672]]

based on an inherent property or duty-cycle of a device is allowed. An 
example of this is the determination of exposure 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 installation 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 
Sec. 2.1093). In such cases, applicants are responsible for determining 
minimum distances for compliance for the intended use and installation 
of the device based on evaluation of either specific absorption rate 
(SAR), field 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]



Sec. 2.1093  Radiofrequency radiation exposure evaluation: portable devices.

    (a) Requirements of this section are a consequence of Commission 
responsibilities under the National Environmental Policy Act to evaluate 
the environmental significance of its actions. See subpart I of part 1 
of this chapter, in particular Sec. 1.1307(b).
    (b) For purposes of this section, a portable device is defined as a 
transmitting 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 Communications Service, 
the Wireless Communications Service, the Maritime Services, the 
Specialized Mobile Radio Service, the 4.9 GHz Band Service, the Wireless 
Medical Telemetry Service (WMTS) and the Medical Implant Communications 
Service (MICS), authorized under subpart H of part 22 of this chapter, 
parts 24, 25, 26, 27, 80 and 90 of this chapter, subparts H and I of 
part 95 of this chapter, and unlicensed personal communication service, 
unlicensed NII devices and millimeter wave devices authorized under 
subparts D and E, Sec. Sec. 15.253, 15.255 and 15.257 of this chapter 
are subject to routine environmental evaluation for RF exposure prior to 
equipment authorization 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 
Sec. Sec. 1.1307(c) and 1.1307(d) of this chapter. Applications for 
equipment authorization of portable transmitting devices subject to 
routine environmental evaluation must contain a statement confirming 
compliance with the limits specified in paragraph (d) of this section as 
part of their application. Technical information showing the basis for 
this statement must be submitted to the Commission upon request.
    (d) The limits to be used for evaluation are based generally on 
criteria published by the American National Standards Institute (ANSI) 
for localized specific absorption rate (``SAR'') in Section 4.2 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 
Electronics Engineers, Inc., New York, New York 10017. These criteria 
for SAR evaluation are similar to those recommended by the National 
Council on Radiation Protection and Measurements (NCRP) in ``Biological 
Effects and Exposure Criteria for Radiofrequency Electromagnetic 
Fields,'' NCRP Report No. 86, Section 17.4.5. Copyright NCRP, 1986, 
Bethesda, Maryland 20814. SAR is a measure of the rate of energy 
absorption due to exposure 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)

[[Page 673]]

of this section and shall apply for portable devices transmitting in the 
frequency range from 100 kHz to 6 GHz. Portable devices that transmit at 
frequencies above 6 GHz are to be evaluated in terms of the MPE limits 
specified in Sec. 1.1310 of this chapter. Measurements and calculations 
to demonstrate compliance with MPE field strength or power density 
limits for devices operating above 6 GHz should be made at a minimum 
distance of 5 cm from the radiating source.
    (1) Limits for Occupational/Controlled 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 
consequence of their employment provided these persons are fully aware 
of and exercise control over their exposure. Awareness of exposure can 
be accomplished by use of warning labels or by specific training or 
education through appropriate means, such as an RF safety program in a 
work environment.
    (2) Limits for General Population/Uncontrolled exposure: 0.08 W/kg 
as averaged over the whole-body and spatial peak SAR not exceeding 1.6 
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 4 W/kg, as averaged 
over any 10 grams of tissue (defined as a tissue volume in the shape of 
a cube). General Population/Uncontrolled 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 exposure. Warning labels placed on 
consumer devices such as cellular telephones will not be sufficient 
reason to allow these devices to be evaluated subject to limits for 
occupational/controlled exposure in paragraph (d)(1) of this section.
    (3) Compliance with SAR limits can be demonstrated by either 
laboratory measurement techniques or by computational modeling. 
Methodologies and references for SAR evaluation are described in 
numerous technical publications including ``IEEE Recommended Practice 
for the Measurement of Potentially Hazardous Electromagnetic Fields--RF 
and Microwave,'' IEEE C95.3-1991.
    (4) For purposes of analyzing portable transmitting devices under 
the occupational/controlled criteria, the time-averaging provisions of 
the MPE guidelines identified in Sec. 1.1310 of this chapter can be 
used in conjunction with typical maximum duty factors to determine 
maximum likely exposure levels.
    (5) Time-averaging provisions of the MPE guidelines identified in 
Sec. 1.1310 of this chapter may not be used in determining typical 
exposure levels for portable devices intended for use by consumers, such 
as hand-held cellular telephones, that are considered to operate in 
general population/uncontrolled environments 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 exposure 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]



Subpart K_Importation of Devices Capable of Causing Harmful Interference



Sec. 2.1201  Purpose.

    (a) In order to carry out its responsibilities under the 
Communications Act and the various treaties and international 
regulations, and in order to promote efficient use of the radio 
spectrum, the Commission has developed technical standards for radio 
frequency

[[Page 674]]

equipment. The technical standards applicable to individual types of 
equipment are found in that part of the rules governing the service 
wherein the equipment is to be operated. In addition to the technical 
standards, the rules governing the service may require that such 
equipment receive an equipment authorization from the Commission as a 
prerequisite for marketing and importing this equipment into the U.S.A. 
The marketing rules, Sec. 2.801 et seq., were adopted pursuant to the 
authority in section 302 of the Communications Act of 1934, as amended 
(47 U.S.C. 302).
    (b) The rules in this section set out the conditions under which 
radio frequency devices as defined in Sec. 2.801 that are capable of 
causing harmful interference to radio communications may be imported 
into the U.S.A.
    (c) Nothing in this section prevents importers from shipping goods 
into foreign trade zones or Customs bonded warehouses, such as is the 
prescribed procedure under Sec. 2.1204(a)(5). Radio frequency devices 
capable of causing 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]



Sec. 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 Sec. 15.103 of this 
chapter.
    (c) Radio frequency devices manufactured and assembled in the U.S.A. 
that meet applicable FCC technical standards and which have not been 
modified or received further assembly.
    (d) Radio frequency devices previously properly imported that have 
been exported for repair and re-imported for use.
    (e) Subassemblies, parts, or components of radio frequency devices 
unless they constitute an essentially completed device which requires 
only the addition of cabinets, knobs, speakers, or similar minor 
attachments before marketing or use. Form 740 information will be 
required to be submitted for computer circuit boards that are actually 
peripheral devices as defined in Sec. 15.3(r) of this chapter and all 
devices that, by themselves, are subject to FCC marketing rules.

[56 FR 26619, June 10, 1991]



Sec. 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 designated 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 device, or for each different 
radio frequency 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 administrative, civil and criminal remedies provided by law.
    (d) Whoever makes a declaration pursuant to Sec. 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]



Sec. 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 
authorization by the FCC.

[[Page 675]]

    (2) The radio frequency device is not required to have an equipment 
authorization and the device complies with FCC technical administrative 
regulations.
    (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 marketing. The devices will 
not be offered for sale or marketed. The phrase ``limited quantities,'' 
in this context means:
    (i) 2000 or fewer units, provided the product is designed solely for 
operation within one of the Commission's authorized radio services for 
which an operating 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.
    (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 ``limited quantities,'' 
in this context means:
    (i) 200 or fewer units, provided the product is designed solely for 
operation within one of the Commission's authorized radio services for 
which an operating 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 functioning 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 radiators as defined in part 15 of this chapter, are being 
imported for the individual'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 granted entry into the United States or is a 
medical implant programmer/controller transmitter associated with such 
an implanted transmitter, provided, however that the transmitters 
covered by this provision otherwise comply with the technical 
requirements applicable to transmitters authorized to operate in the 
Medical Implant Communications Service under part 95 of this chapter. 
Such transmitters are permitted to be imported without the issuance of a 
grant of equipment authorization only for the personal use of the person 
in whom the medical implant transmitter has been inserted.
    (10) Three or fewer portable earth-station transceivers, as defined 
in Sec. 25.129 of this chapter, are being imported 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]


[[Page 676]]


    Effective Date Note: At 69 FR 5709, Feb. 6, 2004, Sec. 2.1204 was 
amended by adding paragraph (a)(10). This amendment contains information 
collection and recordkeeping requirements and will not become effective 
until approval has been given by the Office of Management and Budget.



Sec. 2.1205  Filing of required declaration.

    (a) For points of entry where electronic filing with Customs has not 
been implemented, use FCC Form 740 to provide the needed information and 
declarations. Attach a copy of the completed FCC Form 740 to the Customs 
entry papers.
    (b)(1) For points of entry where electronic filing with Customs is 
available, submit the following information to Customs when filing the 
entry documentation and the entry summary documentation electronically. 
Follow procedures established by Customs for electronic filing.
    (i) The terms under which the device is being imported, as indicated 
by citing the import condition number specified in Sec. 2.1204(a).
    (ii) The FCC identifier as specified in Sec. 2.925, if the device 
has been granted an equipment authorization;
    (iii) The quantity of devices being imported, regardless of what 
unit is specified in the Harmonized Tariff Schedule of the United 
States; and
    (iv) A commercial product description which is to include the trade 
name, a model/type number (or model/type name) and other descriptive 
information about the device being imported.
    (2) For importers unable to participate in the electronic filing 
process with Customs for good cause, declarations 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]



Sec. 2.1207  Examination of imported equipment.

    In order to determine compliance with its regulations, Commission 
representatives may examine or test any radio frequency device that is 
imported. If such radio frequency device has already entered the U.S., 
the ultimate 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 Commission.

[56 FR 26620, June 10, 1991]

Subpart L [Reserved]



   Subpart M_Advance Approval of Subscription TV Transmission Systems

                       Advance Approval Procedure



Sec. 2.1400  Application for advance approval under part 73.

    (a) An original application for advance 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 standards specified in part 73 of the Rules. The application must 
include information to show that the system conforms to the requirements 
of Sec. 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 different 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 applicant'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 functional block diagram must be included. In 
addition, a complete description of the encoded aural and visual 
baseband and transmitted signals and of the encoding equipment used by 
the applicant must be supplied. These descriptions must include 
equipment circuit diagrams and photographs, and diagrams or 
oscillographs of both baseband and transmitted aural and visual signal 
waveforms and of the signal basebands and occupied bandwidths. If aural 
subcarriers are to be used for transmitting aural portion of the 
subscription program, for decoder control, or for other purposes, a

[[Page 677]]

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 criteria set forth in 
Sec. 73.644(b).
    (5) The applicant must identify the specific requirements of 
Sec. Sec. 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 Sec. 73.663 cannot be used due to suppression of the 
synchronizing pulses or for other reasons. If the operating power of the 
station must be reduced to accommodate the encoded aural or video 
signal, the operating power limitations must be specified.
    (7) The applicant must supply any additional information and test 
data requested by the FCC, to show to its satisfaction that the criteria 
given in Sec. 73.644(b) are met.
    (8) The information submitted by the applicant may be subject to 
check by 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 Sec. 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 writing of the approval. Such 
notification of approval will be by letter to the applicant.
    (10) Approval by the FCC is limited to a determination that the 
particular technical system (the scheme for encoding and decoding the 
subscription TV signal) is capable of meeting the criteria given in 
Sec. 73.644(b).
    (11) The FCC will maintain a listing of approved technical systems.
    (c) Multichannel sound may be transmitted for stereophonic or 
bilingual service with encoded subscription programs provided the 
technical operating specifications for this service are included 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 application for advance 
approval. Should system modifications be necessary, a new application 
must be submitted in accordance with the requirements of this section.

[48 FR 56391, Dec. 21, 1983]



Subpart N_FCC Procedure for Testing Class A, B and S Emergency Position 
                    Indicating Radiobeacons (EPIRBs)

    Source: 56 FR 11683, Mar. 20, 1991, unless otherwise noted.

                                 General



Sec. 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 portions of the FCC Rules 
and Regulations. Other methods and test results may be used provided 
they are fully documented and deemed by the Commission to yield results 
equivalent to the procedures set forth in this section.



Sec. 2.1503  Test environment.

    (a) Measurement sites. Radiated emission tests for peak effective 
radiated power (PERP), spurious emissions and power in the test mode are 
to be performed on an open field test site as shown in Figure 1. The 
site is to be located on level ground with an obstruction-free, 60 m by 
52 m, elliptical area. The site is to be equipped with an antenna mast 
capable of adjustment from 1 to 4 m. The center of a metal ground plane 
at least one wavelength in diameter at 121.5 MHz (2.47 m) is to be 
located 30 m from the receiving antenna. The ground plane is to have 
provisions for mounting removable quarter-wave verticle elements to 
produce a

[[Page 678]]

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 radiated 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 following corrective steps be employed:
    (1) Perform measurements in critical frequency 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 [deg]C (40 to 95 
[deg]F).



Sec. 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 emission levels. This instrument should be capable of 
making peak measurements with a bandwidth of 100 kHz.
    (b) Spectrum analyzer. Spectral measurements are to be made with a 
spectrum analyzer with a minimum resolution bandwidth no greater than 10 
Hz. The video filter, if used, should have a bandwidth wide enough so as 
to not affect peak readings. A linear video output is desirable for 
performing measurements of modulation characteristics.
    (c) Storage oscilloscope. Measurements of modulation characteristics 
are to be made using a calibrated storage oscilloscope. This instrument 
is to be DC coupled and capable of manually triggered single sweeps.
    (d) Frequency counter. A frequency counter with an accuracy of at 
least 5 parts per million is required for measuring the carrier 
frequency.
    (e) Signal generator. A calibrated signal generator with an output 
of at least 75 mW at 121.5 and 243 MHz is required 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 temperature 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 [deg]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 capable of producing salt fog at a 
temperature of 35 [deg]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



Sec. 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 communications. Therefore, all compliance testing outside a 
shielded room should be conducted 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 
compliance with FCC Rules, subject to the following conditions:

[[Page 679]]

    (a) The testing shall not cause harmful interference to authorized 
communications 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 
procedure to indicate the alternate test frequency.



Sec. 2.1509  Environmental and duration tests.

    The environmental and operational tests in Sec. 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 Sec. Sec. 
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 Sec. 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.
    Step (2) Subject the EPIRB to sinusoidal motion parallel to one of 
the three major orthogonal axes under the following conditions:

 
         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 between 4 Hz and 33 Hz such that a complete cycle (4 Hz to 33 
Hz to 4 Hz) takes approximately 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, perform 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 
receiver. 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 [deg]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 [deg]C or warmer.
    Step (3) After 15 minutes, perform as 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 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 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 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 [deg]C (2 
[deg]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 [deg]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 apparatus for generating salt fog, refer to MIL-STD-
810D (19 July 1983), method 509.2.
    Step (3) Upon completion of the salt fog exposure, 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 
monitoring the transmission with a receiver. Record observations.

    (d) Drop test. This test is to be performed 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 follows: antenna vertical up; 
antenna vertical down; antenna horizontal.
    Step (2) Upon completion of the drop test, an exterior mechanical 
inspection is to be

[[Page 680]]

performed and operation verified by observing 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 Sec. Sec. 
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 commencing step 
4. When operating the EPIRB in the environmental chamber, a non-
radiating load may be substituted for the antenna provided it is 
electrically equivalent to the standard antenna and does not reduce the 
battery current drain.

    Step (1) Perform the radiated emissions test in Sec. 2.1511 of this 
part.
    Step (2) Perform the modulation characteristic tests in Sec. 2.1513 
of this part.
    Step (3) Perform the spectral tests in Sec. 2.1515 of this part.
    Step (4) With the EPIRB off, place unit in an environmental chamber 
at a temperature of -20 [deg]C for at least 2 hours.
    Step (5) With the EPIRB in the chamber, repeat the carrier frequency 
test in Sec. 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 Sec. 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 Sec. 2.1511(c) of this part. The unit should be maintained 
at -20 [deg]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 assembly is to be mounted on a fixture simulating a 
deck or bulkhead as per manufacturer' 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 monitoring the 
transmission with a receiver.
If the EPIRB is equipped with an automatically 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 position.
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[deg] to +55 [deg]C at 
intervals of not more than 10 [deg]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 environmental test chamber.
    Step (2) Adjust the temperature in the chamber to +20 [deg]C and 
allow sufficient time for the oscillator to stabilize at that 
temperature.
    Step (3) Measure the carrier frequency in accordance with the 
procedure in Sec. 2.1515(d) of this part. Record the carrier frequency 
in Hertz. The carrier frequency at +20 [deg]C is the reference for 
determining the frequency tolerance.
    Step (4) Increase the temperature in the chamber to +55 [deg]C and 
allow sufficient time for the oscillator to stabilize at that 
temperature. Measure the carrier frequency using the procedure in Sec. 
2.1515(d) of this part.
    Step (5) Reduce the temperature in the chamber in 10 [deg]C maximum 
increments until -20 [deg]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[deg] to +55 [deg]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

[[Page 681]]

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.



Sec. 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 specified conditions. The PERP of an EPIRB transmitter is 
determined by comparing 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 emissions 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 accordance with the following procedure.
    (a) General set-up instructions. Measurements of radiated 
electromagnetic emissions (EME) are to be performed on the 30 meter open 
field test site described in Sec. 2.1503(a) of this part and on one of 
the pair of frequencies listed in Sec. 2.1507 of this part. A receiver, 
tuned dipole antennas and a calibrated signal generator as described in 
Sec. 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 receiver.
    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 horizontal polarization. Record the highest receiver 
reading in dBm as the reference level.
    Step (3) Disconnect the signal generator and replace the quarter-
wave vertical element on the ground plane with the EPIRB under test. The 
EPIRB is to be positioned directly 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 Sec. 2.1511(b) and Steps 1 through 7 for 243 MHz.
    Step (9) Compute the peak effective radiated power for the maximum 
level of each measured emission using the following formula:
[GRAPHIC] [TIFF OMITTED] TC03JN91.001

where:

dBmmeas is the measured receiver reading in dBm, and
dBmref is the reference receiver reading found in step 2 of 
Sec. 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 operate at 121.5 MHz.
    Step (12) For each spurious and harmonic emission to be measured, 
retune the receive antenna to the appropriate frequency and repeat Steps 
5 and 7.
    Step (13) Determine the FCC limit on power for spurious emissions on 
the frequency of each measured emission as follows:
    The rules require that spurious emissions be attenuated at least 30 
decibels below the

[[Page 682]]

transmit power level. Therefore, the maximum received power limit for a 
spurious emission can be calculated from the formula:

dBmspur = dBmmeas+AF121.5-
AFspurfreq-30

where:

dBmmeas = measured receiver reading (Section 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 fundamental emissions the level of 
all spurious and harmonic emissions within 10 dB of the FCC limits.



Sec. 2.1513  Measurements of modulation characteristics.

    (a) Set-up. Test of modulation characteristics 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 receiver controls as follows:
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 waveform 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 beginning 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 coupled 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 calculated from the following formula:
[GRAPHIC] [TIFF OMITTED] TC03JN91.002

    See Figure 2.
    Step (4) Repeat Steps 2 and 3 until the lowest 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 beginning 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 difference between the half voltage points 
on the rising and falling portions of the waveform. See Figure 2.
    Step (5) Calculate the duty cycle (D) as follows:
    [GRAPHIC] [TIFF OMITTED] TC03JN91.003
    
    Step (6) Repeat Steps 2 through 5 a sufficient number of times to 
determine the highest and lowest duty cycles.
    Step (7) Record instrument settings and the highest and lowest duty 
cycles in percent.
    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

[[Page 683]]

so the audio frequencies are audible. Alternatively, 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.



Sec. 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 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 spectrum analyzer, 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 reference 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 specified in 
Sec. 80.211 of the rules.
    Step (7) Record how the test was performed, instrument settings and 
the occupied bandwidth in kHz and the 3 dB bandwidth of the carrier in 
Hz. (See Sec. 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 Sec. 2.1515(a) 
is to be used in this method of measuring signal enhancement. 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 spectrum 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 modulation duty cycle determined in Sec. 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 analyzer.
    Step (7) Calculate the ratio of carrier power to total power from 
Steps 4 and 6 using the following formula:
[GRAPHIC] [TIFF OMITTED] TC03JN91.004

dBC = carrier power in step 6
dBT = total power in step 4

    Step (8) Record instrument settings, sample 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.


[[Page 684]]


    (d) Carrier frequency test. The setup specified in Sec. 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 suitable 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 frequency with frequency counter 
with accuracy 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.
    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



Sec. 2.1517  Data recording/reporting requirements.

    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 instrumentation and equipment, including 
antennas, used to perform the tests. For purchased equipment, the type, 
manufacturer and model number are generally sufficient as a description.
    (d) The test results and associated comparative information.
    (e) A description of any modifications made to the EUT or other 
system components during the testing.
    (f) A description and justification of all deviations from the 
procedures described herein.
    (g) The name and qualifications of the person responsible for the 
tests.
    (h) The date the tests were performed.
    (i) A statement signed by the individual 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 individual responsible, either 
directly or indirectly, for production or marketing of the device tested 
that the unit tested is representative of the equipment that all be 
marketed.

            Figure 1 to Subpart N of Part 2--Measurement Site

[[Page 685]]

[GRAPHIC] [TIFF OMITTED] TC03JN91.005



           Figure 2 to Subpart N of Part 2--Typical Audio Wave

[[Page 686]]

[GRAPHIC] [TIFF OMITTED] TC03JN91.006



    Figure 3 to Subpart N of Part 2--Example of Ideal EPIRB Spectrum

[[Page 687]]

[GRAPHIC] [TIFF OMITTED] TC03JN91.007



   Figure 4 to Subpart N of Part 2--Example of EPIRB Carrier Component

[[Page 688]]

[GRAPHIC] [TIFF OMITTED] TC03JN91.008





PART 3_AUTHORIZATION AND ADMINISTRATION OF ACCOUNTING AUTHORITIES IN MARITIME 
AND MARITIME MOBILE-SATELLITE RADIO SERVICES--Table of Contents




                                 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 identification 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 procedures.
3.53 FCC notification of refusal to provide telecommunications service 
          to U.S. registered vessel(s).
3.54 Notification of change in address.

                         Reporting Requirements

3.60 Reports.
3.61 Reporting address.

[[Page 689]]

3.62 Request for confidentiality.

                               Enforcement

3.70 Investigations.
3.71 Warnings.
3.72 Grounds for further enforcement action.
3.73 Waiting period after cancellation.
3.74 Ship stations affected by suspension, cancellation or 
          relinquishment.
3.75 Licensee's failure to make timely payment.
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



Sec. 3.1  Scope, basis, purpose.

    By these rules the Federal Communications Commission (FCC) is 
delineating its responsibilities in certifying and monitoring accounting 
authorities in the maritime mobile and maritime mobile-satellite radio 
services. These entities settle accounts for public correspondence due 
to foreign administrations for messages transmitted at sea by or between 
maritime mobile stations 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. 
licensed ship radio stations are conducted in accordance with the 
International Telecommunication Regulations (ITR), taking into account 
the applicable ITU-T Recommendations.



Sec. 3.2  Terms and definitions.

    (a) Accounting Authority. The Administration of the country that has 
issued the license for a mobile station or the recognized operating 
agency or other entity/entities designated by the Administration in 
accordance with ITR, Appendix 2 and ITU-T Recommendation 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 Communications Commission, 
who is responsible, based on the coordination and review of information 
related to applicants, for granting certification as an accounting 
authority in the maritime mobile and maritime mobile-satellite radio 
services. The Accounting Authority Certification Officer may initiate 
action to suspend or cancel an accounting authority certification if it 
is determined to be in the public's best interest.
    (c) Accounting Authority Identification Codes (AAICs). The discrete 
identification code of an accounting authority responsible for the 
settlement of maritime accounts (Annex A to ITU-T Recommendation 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. Government, 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 recognized French acronym for the 
International Telegraph and Telephone Consultative Committee, one of the 
former sub-entities of the International Telecommunication Union (ITU). 
The CCITT (ITU-T)\1\ is responsible for developing international 
telecommunications recommendations relating to standardization of 
international telecommunications services and facilities, including 
matters related to international charging and accounting principles and 
the settlement of international telecommunications accounts.
---------------------------------------------------------------------------

    \1\ At the ITU Additional Plenipotentiary Conference in Geneva 
(December, 1992), the structure, working methods and construct of the 
basic ITU treaty instrument were modified. 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 Recognized 
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.
---------------------------------------------------------------------------

    Such recommendations are, effectively, the detailed implementation

[[Page 690]]

provisions for topics addressed in the International Telecommunication 
Regulations (ITR).
    (g) Certification. Approval by the FCC to operate as an accounting 
authority. Synonymous with ``authorization''.
    (h) 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.
    (i) Coast Station. A land station in the maritime mobile service.
    (j) Commission. The Federal Communications Commission. The FCC.
    (k) Gold Franc. A monetary unit representing the value of a 
particular nation's currency to a gold par value. One of the monetary 
units used to effect accounting settlements in the maritime mobile and 
the maritime mobile-satellite 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 organizations. The ITU is 
the UN agency responsible for all matters related to international 
telecommunications. The ITU has over 180 Member Countries, including the 
United States, and provides an international forum for dealing with all 
aspects of international telecommunications, including radio, telecom 
services and telecom facilities.
    (m) Linking Coefficient. The ITU mandated 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 communication stations. Survival craft stations and emergency 
position- indicating radiobeacon stations may also participate in this 
service.
    (o) Maritime Mobile-Satellite Service. A mobile-satellite service in 
which mobile earth stations are located on board ships. Survival craft 
stations and emergency position-indicating radiobeacon stations may also 
participate in this radio service.
    (p) Public Correspondence. Any telecommunication 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 corporations, other than governments or agencies, recognized by 
administrations, which operate telecommunications installations or 
provide telecommunications services intended for international use or 
which are capable of causing interference to international 
telecommunications. ROAs which settle debtor accounts for public 
correspondence in the maritime mobile and maritime mobile-satellite 
radio services must be certified as accounting authorities.
---------------------------------------------------------------------------

    \2\ Id.
---------------------------------------------------------------------------

    (r) Ship Station. A mobile station in the maritime mobile service 
located on board a vessel which is not permanently 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 accounting settlements in the maritime mobile and 
maritime mobile-satellite services.
    (t) United States. The continental U.S., Alaska, Hawaii, the 
Commonwealth of Puerto Rico, the Virgin Islands or any territory or 
possession of the United States.

                               Eligibility



Sec. 3.10  Basic qualifications.

    (a) Applicants must meet the requirements and conditions contained 
in these rules in order to be certified as an accounting authority. No 
individual or other entity, including accounting authorities approved by 
other administrations, may act as a United States accounting authority 
and settle accounts of U.S. licensed vessels in the

[[Page 691]]

maritime mobile or maritime mobile-satellite services without a 
certification from the Federal Communications Commission. Accounting 
authorities with interim certification as of the effective date of this 
rule must submit to the application process discussed in Sec. 3.20. 
They will be ``grandfathered'', i.e, granted permanent certification 
provided they demonstrate their eligibility and present a proper 
application.
    (b) U.S. citizenship is not required of individuals in order to 
receive certification 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, Sec. 3.11.
    (c) Prior experience in maritime accounting, general commercial 
accounting, 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 accounting authority.
    (d) Applicants must provide formal financial statements or 
documentation proving all assets, liabilities, income and expenses.
    (e) Applicants must offer their services to any member of the public 
making a reasonable request therefor, without undue discrimination 
against any customer or class of customer, and fees charged for 
providing such services shall be reasonable and non-discriminatory. 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 
authorities be proven, these accounting authorities 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]



Sec. 3.11  Location of settlement operation.

    (a) Within the United States. A certified accounting authority 
maintaining 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 certified accounting authority 
maintaining 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 
settlement operation in the United States or has already been issued an 
AAIC by another administration.

                         Application Procedures



Sec. 3.20  Application form.

    Written application must be made to the Federal Communications 
Commission on FCC Form 44, ``Application For Certification As An 
Accounting Authority'' in order to be considered for certification as an 
accounting authority. No other application form may be used. No 
consideration will be given to applicants not submitting applications in 
accordance with these rules or in accordance with any other instructions 
the Commission may issue. FCC Form 44 may be obtained from the 
Commission by writing to the address shown in Sec. 3.61.



Sec. 3.21  Order of consideration.

    (a) Accounting Authority applications will be processed on a first-
come, first-served basis. When applications are received on the same 
day, the application with the earliest mailing date, as evidenced by the 
postmark, will be processed first. Interim accounting authorities 
seeking permanent certifications through the ``grandfathering'' process 
will not compete 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 completed, all other applicants will be processed as in paragraph (a) 
of this section.
    (b) At any given time, there will be no more than 25 certified 
accounting

[[Page 692]]

authorities with a minimum of 15 ``US'' AAICs reserved for use by 
accounting authorities conducting settlement operations within the 
United States. The Commission will retain all valid applications 
received after the maximum number of accounting authorities have been 
approved and will inform such applicants that should an AAIC become 
available for reassignment in the future, the Commission will 
conditionally certify as an accounting authority the oldest of the 
qualified pending 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 applicant of 
his/her conditional selection in writing to confirm the applicant's 
continued interest in becoming an accounting authority.



Sec. 3.22  Number of accounting authority identification codes per applicant.

    (a) No entity will be entitled to or assigned 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. licensed vessels in the maritime mobile and maritime 
mobile-satellite services.
    (c) Accounting authorities who are ``grandfathered'' during the 
initial application period may retain their interim AAIC.



Sec. 3.23  Legal applicant.

    The application shall be signed by the individual, partner or 
primary officer of a corporation who is legally able to obligate the 
entity for which he or she is a representative.



Sec. 3.24  Evidence of financial responsibility.

    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 documentation proving all 
assets, liabilities, income and expenses which supports their ability to 
meet their personal obligations. Applicants must provide any additional 
information deemed necessary by the Commission.



Sec. 3.25  Number of copies.

    One original and one copy of FCC Form 44, ``Application For 
Certification 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 settlement activities to 
allow time for the Commission to review the application and to allow for 
the informal public comment period.



Sec. 3.26  Where application is to be mailed.

    All applications shall be mailed to the Accounting Authority 
Certification Officer in Washington, D.C. The designated address will be 
provided on the FCC Form 44, ``Application for Certification As An 
Accounting Authority''.



Sec. 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 Sec. Sec. 3.24 and 3.51.



Sec. 3.28  Denial of privilege.

    (a) The Commission, in its sole discretion, may refuse to grant an 
application to become an accounting authority for any of the following 
reasons:
    (1) Failure to provide evidence of acceptable 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 accounting authority;
    (3) Application is not personally signed by the proper official(s);
    (4) Applicant does not provide evidence that accounting operations 
will take place in the United States or its territories and the 
applicant does not

[[Page 693]]

already possess an AAIC issued by another administration;
    (5) Application is incomplete, the applicant fails to provide 
additional information requested by the Commission 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 
applications. Entities seeking review should follow procedures set forth 
in Sec. 1.106 or Sec. 1.115 of this chapter.



Sec. 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 received will be taken into consideration by the 
Commission in making its determination as to whether to approve an 
applicant as an accounting authority. 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 accounting 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. Additionally, the Commission will notify the ITU within 30 
days of any changes to its approved list of accounting authorities.

                          Settlement Operations



Sec. 3.40  Operational requirements.

    All accounting authorities must conduct 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.



Sec. 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 operations is cause for suspension or cancellation of an 
accounting authority certification.



Sec. 3.42  Location of processing facility.

    Settlement of maritime mobile and maritime mobile-satellite service 
accounts must be performed within the United States by all accounting 
authorities possessing the ``US'' prefix. Other accounting authorities 
approved by the Commission may settle accounts either in the U.S. or 
elsewhere. See also Sec. Sec. 3.11 and 3.21(b).



Sec. 3.43  Applicable rules and regulations.

    Accounting authority operations must be conducted in accordance with 
applicable FCC rules and regulations, the International 
Telecommunication Regulations (ITR), and other international rules, 
regulations, agreements, 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 instrument(s) of the International 
Telecommunication Union (ITU);
    (b) Binding agreements contained in the Final Acts of World 
Administrative Radio Conferences and/or World International 
Telecommunication Conferences;
    (c) ITU Radio Regulations;
    (d) ITU International Telecommunication Regulations (ITR);
    (e) ITU-T Recommendations (particularly D.90 and D.195); and
    (f) FCC Rules and Regulations (47 CFR part 3).



Sec. 3.44  Time to achieve settlements.

    All maritime telecommunications accounts should be timely paid in 
accordance with applicable ITU Regulations, Article 66 and International 
Telecommunication Regulations (Melbourne, 1988). Accounting authorities 
are deemed to be responsible for remitting, in a timely manner, all 
valid amounts due to foreign administrations or their agents.

[[Page 694]]



Sec. 3.45  Amount of charges.

    Accounting Authorities may charge any reasonable fee for their 
settlement services. Settlements themselves, however, must adhere to the 
standards set forth in these rules and must be in accordance with the 
International Telecommunication Regulations (ITR) taking into account 
the applicable ITU-T Recommendations and other guidance issued by the 
Commission.



Sec. 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 applicable 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 
foreign administration. Upon written concurrence by the FCC, an 
accounting authority may make separate agreements, in writing, with 
foreign administrations or their agents for alternative settlement 
methods, in accordance with ITU-T Recommendation D.195.



Sec. 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 receipt by the accounting 
authority and an equivalent amount in US dollars must be paid to the 
foreign administration. The conversion rate will be the applicable rate 
published by the International Monetary Fund (IMF) for the date of 
receipt of the account from the foreign administration. Upon written 
concurrence by the FCC, any accounting authority may make separate 
agreements, in writing, with foreign administrations or their agents for 
alternative settlement methods, provided account is taken of ITU-T 
Recommendation D.195.



Sec. 3.48  Cooperation with the Commission.

    Accounting authorities must cooperate fully with the FCC in all 
respects concerning international maritime settlements issues, including 
the resolution of questions of fact or other issues arising as a result 
of settlement operations.



Sec. 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 Commission 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 Commission. Failure to respond 
satisfactorily to any audit findings is grounds for forfeiture or 
suspension or cancellation of authority to act as an accounting 
authority for U.S. vessels.



Sec. 3.50  Retention of settlement records.

    Accounting authorities must maintain, for the purpose of compliance 
with these rules, all settlement records for a period of at least seven 
years following settlement of an account with a foreign administration 
or agent.



Sec. 3.51  Cessation of operations.

    The FCC must be notified immediately should an accounting authority 
plan to relinquish its certification or cease to perform settlements as 
authorized. Additionally, the Commission must be advised in advance of 
any proposed transfer of control of an accounting 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 becoming an accounting authority. Provided the new 
applicant is eligible and completes the application process 
satisfactorily, the AAIC will be transferred to the new applicant. In 
the case of a merger of two accounting authorities, the merged entity 
must decide which AAIC to retain.
    (b) Section 3.21(a) will be waived for these applicants.

[[Page 695]]

    (c) The applicant must comply with application process including 
public comment.
    (d) The applicant must certify acceptance of all accounts and must 
furnish a list of the accounts to the Commission at the time of 
application.



Sec. 3.52  Complaint/inquiry resolution procedures.

    (a) Accounting authorities must maintain procedures for resolving 
complaints and/or inquiries from its contractual 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 request.
    (b) If a foreign administration requests assistance in collection of 
accounts 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 resolve the issue. If accounts are in dispute, the 
Commission will determine the amount due the foreign administration, 
accounting authority or ROA, and may direct the accounting authority to 
pay the accounts to the foreign administration. 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 authority or licenses 
held by that accounting authority. (See also Sec. 3.72).



Sec. 3.53  FCC notification of refusal to provide telecommunications service 
to U.S. registered vessel(s).

    An accounting authority must inform the FCC immediately should it 
receive notice from any source that a foreign administration or facility 
is refusing or plans to refuse legitimate public correspondence to or 
from any U.S. registered vessel.



Sec. 3.54  Notification of change in address.

    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 Sec. 3.61.

                         Reporting Requirements



Sec. 3.60  Reports.

    (a) Initial Inventory of Vessels. Within 60 days after receiving 
final approval from the FCC to be an accounting authority, each 
certified accounting authority must provide to the FCC an initial list 
of vessels for which it is performing settlements. This list should 
contain only U.S. registered vessels. Such list shall be typewritten or 
computer generated, be annotated to indicate 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/Modifications/Deletions to Vessel 
Inventory. Beginning with the period ending on the last day of March or 
September following 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 additions, modifications or deletions to 
its list of vessels for which it is performing or intending to perform 
settlements, whether or not settlements actually 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 Vessel Name      New Call Sign      Effective Date
 
 
 


                  Deletions to Current Vessel Inventory
 
           Vessel Name                 Call Sign        Effective Date
 
 
 


The preceding report must be received by the Commission no later than 15

[[Page 696]]

days following the end of the period (March or September) for which the 
report pertains. Modifications refer to changes to call sign or ship 
name of vessels for which the accounting authority settles accounts and 
for which basic information has previously been provided to the 
Commission. Reports are to be submitted even if there have been no 
additions, modifications or deletions to vessel inventories since the 
previous report. If there are no changes to an inventory, this should be 
indicated on the report.
    (c) End of Year Inventory. By February 1st of each year, each 
accounting authority must submit an end-of-year inventory report listing 
vessels for which the accounting authority performed settlements as of 
the previous December 31st. The list should contain only U.S. registered 
vessels. The report must be typewritten or computer generated and 
prepared in the same general 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 Settlement Operations. By February 
1st of each year, each accounting authority settling accounts for U.S. 
registered vessels must submit to the FCC an Annual Statistical Report, 
FCC Form 45, which details the number and dollar amount of settlements, 
by foreign administration, during the preceding twelve months. 
Information contained in this report provides statistical data that will 
enable the Commission to monitor operations to ensure adherence to these 
rules and to appropriate international settlement procedures. FCC Form 
45 can be obtained by writing to the address in 3.61 of these rules.



Sec. 3.61  Reporting address.

    All reports must be received at the following address no later than 
the required reporting date:

Accounting Authority Certification Officer, Financial Operations Center, 
Federal Communications Commission, 445 12th Street, SW., Washington, 
D.C. 20554

[61 FR 20165, May 6, 1996, as amended at 65 FR 58466, Sept. 29, 2000]



Sec. 3.62  Request for confidentiality.

    Applicants should comply with Sec. 0.459 of this chapter when 
requesting confidentiality and cannot assume that it will be offered 
automatically.

                               Enforcement



Sec. 3.70  Investigations.

    The Commission may investigate any complaints made against 
accounting authorities to ensure compliance with the Commission's rules 
and with applicable ITU Regulations and other international maritime 
accounting procedures.



Sec. 3.71  Warnings.

    The Commission may issue written warnings or forfeitures to 
accounting authorities which are found not to be operating in accordance 
with established rules and regulations. Warnings will generally be 
issued for violations which do not seriously or immediately affect 
settlement functions or international relations. Continued or unresolved 
violations may lead to further enforcement action by the Commission, 
including any or all legally available sanctions, including but not 
limited to, forfeitures (Communications Act of 1934, Sec. 503), 
suspension or cancellation of the accounting authority certification.



Sec. 3.72  Grounds for further enforcement action.

    (a) The Commission may take further enforcement action, including 
forfeiture, suspension or cancellation of an accounting authority 
certification, if it is determined that the public interest 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 requirements and procedures;
    (5) Failure to take into account ITU-T Recommendations;
    (6) Failure to follow FCC rules and regulations;

[[Page 697]]

    (7) Bankruptcy; or
    (8) Providing false or incomplete information to the Commission or 
failure to comply with or respond to requests for information.
    (b) Prior to taking any of the enforcement actions in paragraph (a) 
of this section, the Commission will give notice of its intent to take 
the specified action and the grounds therefor, and afford a 30-day 
period for a response 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 Sec. 
3.61.



Sec. 3.73  Waiting period after cancellation.

    An accounting authority whose certification has been cancelled must 
wait a minimum of three years before reapplying to be an accounting 
authority.



Sec. 3.74  Ship stations affected by suspension, cancellation or 
relinquishment.

    (a) Whenever the accounting authority privilege has been suspended, 
cancelled or relinquished, the accounting authority is responsible for 
immediately notifying all U.S. ship licensees for which it was 
performing settlements of the circumstances and informing them of the 
requirement contained in paragraph (b) of this section.
    (b) Those ship stations utilizing an accounting authority's AAIC for 
which the subject accounting authority certification has been suspended, 
cancelled or relinquished, should make contractual arrangements with 
another properly authorized accounting authority to settle its accounts.
    (c) The Commission will notify the ITU of all accounting authority 
suspensions, cancellations and relinquishments, and
    (d) The Commission will publish a Public Notice detailing all 
accounting authority suspensions, cancellations and relinquishments.



Sec. 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 
correspondence communications to or from the vessel or vessels owned, 
operated or licensed 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 country or coast station involved.
    (c) Further action to recover amounts owed utilizing any or all 
legally available debt collection procedures.



Sec. 3.76  Licensee's liability for payment.

    The U.S. ship station licensee bears ultimate responsibility for 
final payment of its accounts. This responsibility cannot be superseded 
by the contractual agreement between the ship station licensee and the 
accounting authority. In the event that an accounting 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 
accounting authority to perform future settlements, and
    (b) The ship station licensee will settle any outstanding accounts 
due to foreign entities.
    (c) The Commission will, upon request, take all possible steps, 
within the limits of applicable national law, to ensure settlement of 
the accounts of the ship station licensee. As circumstances warrant, 
this may include issuing warnings to ship station licensees when it 
becomes apparent that an accounting authority is failing to settle 
accounts. See also Sec. Sec. 3.70 through 3.74.

[[Page 698]]



PART 5_EXPERIMENTAL RADIO SERVICE (OTHER THAN BROADCAST)--Table of Contents




                            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.
5.59 Forms to be used.
5.61 Procedure for obtaining a special temporary authorization.
5.63 Supplementary statements required.
5.65 Defective applications.
5.67 Amendment or dismissal of applications.
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 authorization.
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 Astronomy 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. Interpret or apply sec. 301, 48 Stat. 1081, as 
amended; 47 U.S.C. 301.

    Source: 63 FR 64202, Nov. 19, 1998, unless otherwise noted.



                            Subpart A_General



Sec. 5.1  Basis and purpose.

    (a) The rules following in this part are promulgated pursuant to the 
provisions of Title III of the Communications Act of 1934, as amended, 
which vests authority in the Federal Communications Commission to 
regulate radio transmissions and to issue licenses for radio stations.
    (b) The purpose of this part is to prescribe the manner in which 
parts of the radio frequency spectrum may be made available for 
experimentation as defined and provided for in this part.



Sec. 5.3  Scope of service.

    Stations operating in the Experimental Radio Service will be 
permitted to conduct the following type of operations:
    (a) Experimentations in scientific or technical radio research.
    (b) Experimentations under contractual agreement with the United 
States Government, or for export purposes.
    (c) Communications essential to a research 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 
engaged in the business of selling radio equipment.
    (g) Testing of equipment in connection with production or regulatory 
approval of such equipment.
    (h) Development of radio technique, equipment or engineering data 
not related to an existing or proposed service, including field or 
factory testing or calibration of equipment.
    (i) Development of radio technique, equipment, operational data or 
engineering 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 experiments.

[63 FR 64202, Nov. 19, 1998; 64 FR 43094, Aug. 9, 1999]

[[Page 699]]



Sec. 5.5  Definition of terms.

    For the purpose of this part, the following 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 
Commission and specified in the instrument of authorization.
    Authorized power. The power assigned to a radio station by the 
Commission and specified in the instrument of authorization.
    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 communications.
    Experimental station. A station utilizing 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 
functioning of a radionavigation or safety service, or obstructs or 
repeatedly interrupts a radio service operating in accordance with the 
Table of Frequency Allocations and other provisions 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, either of land or 
water, including airdromes 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 
stations, 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 telecommunication that offices and 
stations, by reason of their being at the disposal of the public, must 
accept for transmission.
    Radio service. An administrative subdivision 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 particular groups of licensees, as, for example, 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



Sec. 5.51  Eligibility of license.

    (a) Authorizations for stations in the Experimental Radio Service 
will be issued only to persons qualified to conduct experimentation 
utilizing radio waves for scientific or technical operation data 
directly related to a use of radio not provided by existing rules; or 
for communications in connection with research projects when existing 
communications facilities are inadequate.
    (b) Applicants eligible for authorizations in an established 
service, and seeking to develop operational data or techniques directed 
toward the improvement 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 
government or a representative thereof.



Sec. 5.53  Station authorization required.

    (a) No radio transmitter shall be operated in the Experimental Radio 
Service 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

[[Page 700]]

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 subsequently approved or 
regular services subsequently authorized. Additionally, the applicant 
must notify the Commission's Office of Engineering and Technology in 
writing that it plans to begin construction at its own risk.
    (b) Persons desiring to install and operate radio transmitting 
equipment under this part should first submit an application for a radio 
station license in accordance with Sec. 5.59 of this part.
    (c) If installation and/or operation of the equipment may 
significantly impact the environment, see Sec. 1.1307 of this chapter, 
an environmental assessment as defined in Sec. 1.1311 of this chapter 
must be submitted with the application.



Sec. 5.55  Filing of applications.

    (a) To assure that necessary information is supplied in a consistent 
manner by all persons, standard forms are prescribed for use in 
connection with the majority of applications and reports submitted for 
Commission consideration. Standard numbered forms applicable to the 
Experimental Radio Service are discussed in Sec. 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 applicable, the informal application procedure outlined in Sec. 
5.59(f) should be followed.
    (b) Any application for radio station authorization shall be 
submitted electronically through the Office of Engineering 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 
Commission's Office of Engineering and Technology, Washington, DC 20554. 
(Applications requiring fees as set forth in part 1, subpart G of this 
chapter must be filed in accordance with Sec. 0.401(b) of this 
chapter.)
    (c) Each application for station authorization shall be specific and 
complete with regard to station location, proposed equipment, power, 
antenna height, and operating frequency; and other information required 
by the application form and this part.
    (d) Applications involving temporary operation: When an experimental 
program is expected to last no more than six months, its operation shall 
be considered temporary and the special temporary authorization 
procedure outlined in Sec. 5.61 of this part shall apply.

[63 FR 64202, Nov. 19, 1998, as amended at 68 FR 59336, Oct. 15, 2003]



Sec. 5.57  Who may sign applications.

    (a) Except as provided in paragraph (b) of this section, 
applications, amendments thereto, and related statements of fact 
required by the Commission shall be personally signed by the applicant, 
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 unincorporated association. Applications, 
amendments, and related statements of fact filed on behalf of eligible 
government entities, such as states and territories of the United States 
and political subdivisions thereof, the District of Columbia, and units 
of local government, including incorporated municipalities, 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 thereto, and related statements of fact 
required by the Commission may be signed by the applicant's attorney in 
case of the applicant's physical disability or of his/her absence from 
the United States. The attorney shall in that event separately set forth 
the reason why the application is not signed by the applicant. In 
addition, if any matter is stated on the basis of the attorney'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 conformed.
    (d) Applications, amendments, and related statements of fact need 
not be

[[Page 701]]

submitted under oath. Willful false statements made therein, however, 
are punishable by fine and imprisonment, U.S. Code, title 18, Sec. 1001, 
and by appropriate administrative sanctions, including revocation of 
station license pursuant to sec. 312(a)(1) of the Communications Act of 
1934, as amended.
    (e) ``Signed,'' as used in this section, means an original 
handwritten signature; however, the Office of Engineering and Technology 
may allow signature by any symbol executed or adopted by the applicant 
with the intent that such symbol be a signature, including symbols 
formed by computer-generated electronic impulses.



Sec. 5.59  Forms to be used.

    (a) Application for experimental radio license. Entities requesting 
an experimental authorization must submit FCC Form 442 (application). A 
single FCC Form 442 may be used for several radio components of an 
experimental program, however, unrelated experimental programs should be 
filed on separate applications.
    (b) Application for modification of experimental license. An 
application for modification of experimental authorization 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 modifications are specified in the application. The 
individual authorizations covered by such an application shall be 
clearly identified therein. However, application for modification to 
change location of an experimental authorization shall be filed as a 
separate application.
    (c) Application for renewal of experimental authorization. 
Application for renewal of station license shall be submitted on FCC 
Form 405. A blanket application 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 accordance with the terms of the existing 
authorizations. The individual stations covered by such applications 
shall be clearly identified thereon. Unless otherwise 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 disability) of the grantee of a station 
authorization or by involuntary assignment of the physical property 
constituting 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 submitted on this form.
    (e) Application for consent to transfer control of Corporation 
holding experimental 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 authorization.

[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug. 9, 1999]



Sec. 5.61  Procedure for obtaining a special temporary authorization.

    (a) The Commission may issue a special 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 operation is not in conflict with 
the Commission's rules in this part. In cases in which an applicant sets 
forth compelling reasons why a special temporary authorization must be 
granted expeditiously, 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 experimental license has been 
filed at least 15 days prior to the expiration of the licensee's 
temporary authority. When such an application is timely filed, 
operations may continue in accordance with the other terms and 
conditions of the temporary authority pending disposition of the 
application, unless the

[[Page 702]]

applicant is notified otherwise by the Commission.
    (c) An application for special temporary authorization shall be 
filed electronically through the Office of Engineering and Technology 
Web site https://gullfoss2.fcc.gov/prod/oet/cf/els/index.cfm effective 
January 1, 2004 and shall contain the following information:
    (1) Name, address, phone number (also e-mail address and facsimile 
number, if available) of the applicant.
    (2) Description of why an STA is needed.
    (3) Description of the operation to be conducted and its purpose.
    (4) Time and dates of proposed operation.
    (5) Class(es) of station (fixed, mobile, fixed and mobile) and call 
sign of station (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 
number of units.
    (8) Frequency(ies) desired.
    (9) Maximum effective radiated power (ERP) or equivalent 
isotrophically radiated power (EIRP).
    (10) Emission designator (see Sec. 2.201 of this chapter) or 
describe emission (bandwidth, modulation, etc.)
    (11) Overall height of antenna structure above the ground (if 
greater than 6 meters above the ground or an existing structure, see 
part 17 of this Chapter 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]



Sec. 5.63  Supplementary statements required.

    (a) Each applicant for an authorization in the Experimental Radio 
Service must enclose with the application a narrative statement 
describing in detail the program of research and experimentation 
proposed, the specific objectives sought to be accomplished; and how the 
program of experimentation has a reasonable promise of contribution to 
the development, extension, or expansion, or utilization of the radio 
art, or is along lines not already investigated. An applicant may 
request non-disclosure of proprietary information submitted under this 
part. These requests should follow the procedures for submission set 
forth in Sec. 0.459 of this chapter.
    (b) If the authorization is to be used for the purpose of fulfilling 
the requirements of a contract with an agency of the United States 
Government, the applicant shall submit a narrative statement describing 
the project, the name of the contracting agency, and the contract 
number.
    (c) If the authorization is to be used for the sole purpose of 
developing equipment for exportation to be employed by stations under 
the jurisdiction of a foreign government, the applicant shall submit a 
narrative statement describing the project, any associated 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 research 
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 communications facilities are inadequate 
or unavailable.

    Effective Date Note: At 69 FR 54586, Sept. 9, 2004, Sec. 5.63(e) 
was added. This paragraph contains information collection and 
recordkeeping requirements and will not become effective until approval 
has been given by the Office of Management and Budget. For the 
convenience of the user, the added text is set forth as follows:

Sec. 5.63  Supplementary statements required.

                                * * * * *

[[Page 703]]

    (e) Except where the satellite system has already been authorized by 
the FCC, applicants for an experimental authorization involving a 
satellite system 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 station operator has assessed and 
limited the amount of debris released in a planned manner during normal 
operations, and has assessed and limited the probability of the space 
station becoming 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 station operator has assessed and 
limited the probability of accidental explosions during and after 
completion of mission operations. This statement must include a 
demonstration that debris generation will not result from the conversion 
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 at the spacecraft's end of life, by depleting residual fuel and 
leaving all fuel line valves open, venting any pressurized system, 
leaving all batteries in a permanent discharge state, and removing any 
remaining source of stored energy, or through other equivalent 
procedures specifically disclosed in the application;
    (3) A statement that the space station operator has assessed and 
limited the probability of the space station becoming 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 description 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 orbital 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 propulsion 
system for orbital maintenance, that fact should be included in the 
debris mitigation disclosure. Such systems must also indicate the 
anticipated evolution over time of the orbit of the proposed satellite 
or satellites. Where a space station requests the assignment of a 
geostationary-Earth orbit location, it must assess whether there are any 
known satellites located at, or reasonably expected to be located at, 
the requested orbital location, 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 maneuvers. For 
geostationary-Earth orbit space stations, the statement must disclose 
the altitude selected for a post-mission disposal orbit and the 
calculations that are used in deriving the disposal altitude. The 
statement must also include a casualty risk assessment if planned post-
mission disposal involves atmospheric re-entry of the space station. In 
general, an assessment 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 
casualty.



Sec. 5.65  Defective applications.

    (a) Applications that are defective with respect to completeness of 
answers to required questions, execution or other matters of a purely 
formal character may not be received for filing by the Commission, and 
may be returned 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 prescribed application 
form, a failure to comply with such request will constitute a defect in 
the application.
    (c) Applications that are not in accordance with the Commission's 
rules, regulations, or other requirements will be considered defective 
unless accompanied either by:
    (1) a petition to amend any rule, regulation, 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 request shall show the nature of the waiver or exception 
desired and set forth the reasons in support thereof.

[[Page 704]]



Sec. 5.67  Amendment or dismissal of applications.

    (a) Any application may be amended or dismissed without prejudice 
upon request of the applicant prior to the time the application is 
granted. Each amendment to, or request for dismissal of an application 
shall be signed, authenticated, and submitted in the same manner and 
with the same number of copies as required for the original application. 
All subsequent correspondence or other material that the applicant 
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 application, or failure to respond to 
official correspondence or request for additional information, will be 
cause for dismissal. Such dismissal will be without prejudice.



Sec. 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 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 
receipt of such request, the Commission will coordinate with the 
applicant in an attempt to resolve problems arising from the grant.



Sec. 5.71  License period.

    (a) The regular license period for stations in the Experimental 
Radio Service 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 required for completion of the experimental project. If such 
period is estimated to be less than 2 years, or between 2-5 years, a 
statement to that effect by the applicant may facilitate grant of the 
application. See also Sec. 5.69 of this part.



Sec. 5.73  Experimental report.

    (a) Unless specifically stated as a condition of the authorization, 
licensees are not required to file a report on the results of the 
experimental program carried on under this subpart.
    (b) The Commission may, as a condition of authorization, request the 
licensee 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 Sec. 0.459 of 
this chapter.



Sec. 5.75  Number of licenses required.

    An application for a station embracing widely divergent and 
unrelated experimentations will normally require a separate license for 
each experiment. However, if the experiments are related or conducted by 
the same manufacturer, an applicant may apply for a blanket license 
encompassing the entire experimental program. If a blanket license is 
granted, licensees will be required to notify the Commission of the 
specific details of each individual experiment, including location, 
number of base and mobile units, power, emission designator, and any 
other pertinent technical information not specified by the blanket 
license.



Sec. 5.77  Change in equipment and emission characteristics.

    (a) A change may be made in a licensed transmitter without specific 
authorization from the Commission provided 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 Commission provided that the Commission 
is given written notification demonstrating that such changes will not

[[Page 705]]

exceed the maximum emissions envelope established in the existing 
authorization. Changes made pursuant to such notification that become a 
permanent part of the licensee's experimental program must be listed in 
the licensee's next application for renewal.
    (c) Prior authorization from the Commission is required before the 
following antenna changes may be made at a station at a fixed location:
    (1) Any change that will either increase the height of a structure 
supporting the radiating portion of the antenna or decrease the height 
of a lighted 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 involves a change in 
street address.



Sec. 5.79  Transfer and assignment of station authorization.

    A station authorization, the frequencies authorized to be used by 
the grantee of such authorization, and the rights therein granted by 
such authorization shall not be transferred, assigned, or in any manner 
either voluntarily or involuntarily disposed of, unless the Commission 
shall, after securing 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 
submitted on the forms prescribed by Sec. 5.59 of this part.



Sec. 5.81  Discontinuance of station operation.

    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 listed in the 
license for a mobile station in the Experimental Radio Service, the 
licensee shall forward the station license to the Commission's Office of 
Engineering and Technology for cancellation.



Sec. 5.83  Cancellation provisions.

    The applicant for a station in the Experimental Radio Services 
accepts the license with the express understanding: (a) that the 
authority to use the frequency or frequencies assigned is granted upon 
an experimental basis only and does not confer any right to conduct an 
activity of a continuing nature; and
    (b) that said grant is subject to change or cancellation by the 
Commission at any time without hearing if in its discretion the need for 
such action arises. However, a petition for reconsideration or 
application for review may be filed to such Commission action.



Sec. 5.85  Frequencies and policy governing their assignment.

    (a) Stations operating in the Experimental Radio Service may be 
authorized to use any government or non-government frequency designated 
in the Table of Frequency Allocations set forth in part 2 of this 
chapter, provided that the need for the frequency requested is fully 
justified by the applicant.
    (b) Each frequency or band of frequencies 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 assigned for the use of a single applicant unless a 
showing is made demonstrating that need for the assignment of additional 
frequencies is essential to the proposed program of experimentation.
    (c) Frequency assignments will be made only on the condition that 
harmful 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 Services) and subpart C (Special Emergency Radio 
Service) of part 90 of this Chapter. In addition, subpart S of part 90 
of

[[Page 706]]

this chapter contains rules for the assignment 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 conditioned to require 
coordination between 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 discretion, condition any 
experimental license or STA on the requirement that before commencing 
operation, the new licensee coordinate its proposed facility with other 
licensees that may receive interference as a result of the new 
licensee's operations.
    (f) Protection of FCC monitoring stations. (1) Applicants are 
advised to give consideration, prior to filing applications, to the need 
to protect FCC monitoring stations from harmful interference. 
Geographical coordinates of such stations are listed in Sec. 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 bandwidth of service (-65.8 
dBW/m 2 power flux density assuming a free space 
characteristic impedance of 120[pi] 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/m 2) at the reference coordinates, 
or if there is any question whether field strength levels might exceed 
the threshold value, advance consultation with the FCC to discuss any 
protection necessary should be considered. Prospective applicants may 
communicate with the Technology Division, Compliance and Information 
Bureau, telephone (202) 418-1210, Federal Communications Commission, 
Washington, 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 facilities (except mobile stations). In such 
instances, the following is a suggested guide for determining whether an 
applicant 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 average ERP in the primary plane of polarization in the azimuthal 
direction of the Monitoring Station;
    (iv) Stations within 80 kilometers (50 statute miles) with 25 kW or 
more average ERP in the primary plane of polarization in the azimuthal 
direction of the Monitoring Station.
    (4) Advance coordination for stations operating above 1000 MHz is 
recommended only where the proposed station is in the vicinity of a 
monitoring station designated as a satellite monitoring facility in 
Sec. 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 
advance consultation has taken place. However, applicants are advised 
that such consultation can avoid objections from the Commission.



Sec. 5.87  Frequencies for field strength surveys or equipment demonstrations.

    (a) Authorizations issued under Sec. Sec. 5.3 (e) and (f) of this 
part will normally not have specific frequencies designated in a station 
license. Prior to the commencement of a survey or demonstration, the 
licensee will request a specific frequency assignment and submit the 
following information:
    (1) Time, date and duration of survey.
    (2) Frequency to be used.
    (3) Location of transmitter and geographical area to be covered.
    (4) Purpose of survey.
    (5) Method and equipment to be used.

[[Page 707]]

    (6) Names and addresses of persons for whom the survey is conducted.
    (b) [Reserved]



Sec. 5.89  School and student authorizations.

    The Commission may issue an authorization to schools or students for 
the purpose of presenting experiments or technical demonstrations for 
school or school approved projects that require the use of radio for a 
limited period of time. Such authorizations may be granted at the 
discretion of the Commission.
    (a) An application for a school or student authorization may be 
filed in letter form and must comply with the provisions of Sec. 5.63, 
of this part except where specified below. The application must be 
accompanied by a signed statement from a member of faculty of the 
school, on appropriate letterhead, indicating the person under whose 
general supervision the project will be conducted. In the case of 
student authorizations, 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 section:

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 necessary 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 technical and 
operating restrictions set forth therein.
    (f) The licensee holding an authorization issued under this section 
shall maintain a record of operation containing the following 
information:
    (1) A brief description of the experimentation 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 termination of the authorization.

[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug. 9, 1999]



Sec. 5.91  Notification of the National Radio Astronomy Observatory.

    In order to minimize possible harmful interference at the National 
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, any applicant for a 
station authorization other than mobile, temporary base, temporary 
fixed, Personal Radio, Civil Air Patrol, or Amateur seeking a station 
license for a new station, or a construction permit to construct a new 
station or to modify an existing station license in a manner that would 
change either the frequency, power, antenna height or directivity, or 
location of such a station within the area bounded by 39 deg. 15[min] N 
on the north, 78 deg. 30[min] W on the east, 37 deg. 30[min] N on the 
south and 80 deg. 30[min] W on the west shall, at the time of filing 
such application with the Commission, simultaneously notify the 
Director, National Radio Astronomy Observatory, P.O. Box NZ2, Green 
Bank, West Virginia, 24944, in writing, of the technical particulars of 
the proposed station. Such notification shall include the geographical 
coordinates of the antenna, antenna height, antenna directivity if any, 
frequency, type of emission, and power. In addition, the applicant shall 
indicate in its application to the Commission the date notification was 
made to the Observatory. After receipt of such applications, the 
Commission will allow a period of twenty (20) days for comments or 
objections in response to the notifications indicated. If an objection 
to the proposed operation

[[Page 708]]

is received during the twenty-day period from the National Radio 
Astronomy Observatory for itself or on behalf of the Naval Radio 
Research Observatory, the Commission will consider all aspects of the 
problem and take whatever action is deemed appropriate.



Sec. 5.93  Limited market studies.

    Unless otherwise stated in the instrument of authorization, licenses 
granted for the purpose of limited market studies pursuant to Sec. 
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 informing anyone participating 
in the experiment that the service or device is granted under an 
experimental authorization and is strictly temporary.
    (c) The size and scope of the experiment are subject to limitations 
as the Commission shall establish on a case-by-case basis. If the 
Commission subsequently determines that a market study is not so 
limited, the study shall be immediately terminated.



Sec. 5.95  Informal objections.

    A person or entity desiring to object to or to oppose an 
Experimental Radio application for a station license or authorization 
may file an informal objection against that application. The informal 
objection and any responsive pleadings shall comply with the 
requirements set forth in Sec. Sec. 1.41 through 1.52 of this chapter.

[68 FR 59336, Oct. 15, 2003]



        Subpart C_ Technical Standards and Operating Requirements



Sec. 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. Equipment 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.



Sec. 5.103  Types of emission.

    Stations in the Experimental Radio Service may be authorized to use 
any of the classifications of emissions covered in part 2 of this 
chapter.



Sec. 5.105  Authorized bandwidth.

    Each authorization issued to a station 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 bandwidth is considered to be the occupied or necessary 
bandwidth, whichever is greater. This bandwidth should be determined in 
accordance with Sec. 2.202 of this chapter.

[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug. 9, 1999]



Sec. 5.107  Transmitter control requirements.

    Each licensee shall be responsible for maintaining control of the 
transmitter authorized under its station authorization. This includes 
both ensuring that transmissions are in conformance with the operating 
characteristics prescribed in the station authorization and that the 
station is operated only by persons duly authorized by the licensee.



Sec. 5.109  Antenna and tower requirements.

    (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 lighting, 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]

[[Page 709]]



Sec. 5.111  General limitations on use.

    (a) The following transmission limitations are applicable to all 
classes of stations in the Experimental Radio Service:
    (1) Stations may make only such transmissions as are necessary and 
directly related to the conduct of the licensee's stated program of 
experimentation as specified in the application for license and the 
related station instrument of authorization, and as governed 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 emitted 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 program 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 interference will not be caused.
    (b) If experimental stations are to be used to retransmit signals of 
any other station or to render any communications service to third 
parties, a full disclosure of this must be made in the application for 
license.



Sec. 5.113  Adherence to program of research.

    (a) The program of experimentation as stated by an applicant in its 
application for license or in the station instrument of authorization, 
shall be substantially adhered to unless the licensee is authorized to 
do otherwise by the Commission.
    (b) Where some phases of the experimental 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.



Sec. 5.115  Station identification.

    Each class of station in the experimental services shall, unless 
specifically exempted by the terms of the station authorization, 
transmit its assigned call sign at the end of each complete 
transmission: Provided, however, that the transmission of the call sign 
at the end of each transmission is not required for projects requiring 
continuous, 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 transmitted in clear voice or Morse code. All 
digital encoding and digital modulation shall be disabled during station 
identification.



Sec. 5.117  Suspension of transmission required.

    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 deviation is 
corrected, except for transmissions concerning the immediate safety of 
life or property, in which case the transmissions shall be suspended as 
soon as the emergency is terminated.



Sec. 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.



Sec. 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.



Sec. 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 operation or shall be made available for inspection upon 
reasonable request of an authorized representative of the Commission.

[[Page 710]]



Sec. 5.125  Authorized points of communication.

    Generally, stations in the Experimental Radio Service may 
communicate only with other stations licensed in the Experimental Radio 
Service. Nevertheless, upon a satisfactory showing that the proposed 
communications are essential to the conduct of the research project, 
authority may be granted to communicate with stations in other services 
and U.S. Government stations.



PART 6_ACCESS TO TELECOMMUNICATIONS SERVICE, TELECOMMUNICATIONS EQUIPMENT 

AND CUSTOMER PREMISES EQUIPMENT BY PERSONS WITH DISABILITIES--Table of 
Contents




Sec.

            Subpart A_Scope_Who Must Comply With These Rules?

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 evaluation.
6.9 Information pass through.
6.11 Information, documentation and training.

                          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 Sections 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. 154(i), 154(j), 208, 255.

    Source: 64 FR 63251, Nov. 19, 1999, unless otherwise noted.



            Subpart A_Scope_Who Must Comply With These Rules?



Sec. 6.1  Applicability.

    The rules in this part apply to:
    (a) Any provider of telecommunications service;
    (b) Any manufacturer of telecommunications equipment or customer 
premises equipment; and
    (c) Any telecommunications carrier.



                          Subpart B_Definitions



Sec. 6.3  Definitions.

    (a) The term accessible shall mean that:
    (1) Input, control, and mechanical functions shall be locatable, 
identifiable, and operable in accordance with each of the following, 
assessed independently:
    (i) Operable without vision. Provide at least one mode that does not 
require user vision.
    (ii) Operable with low vision and limited 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 perception.
    (iv) Operable without hearing. Provide at least one mode that does 
not require 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 Device. Controls shall be operable 
without requiring body contact or close body proximity.
    (viii) Operable without time-dependent 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.

[[Page 711]]

    (x) Operable with limited cognitive skills. Provide at least one 
mode that minimizes the cognitive, memory, language, and learning skills 
required of the user.
    (2) All information necessary to operate and use the product, 
including but not limited to, text, static or dynamic images, icons, 
labels, sounds, or incidental operating cues, comply with each of the 
following, assessed independently:
    (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 information 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 presentation mode at the option of the user.
    (iv) Availability of auditory information. Provide auditory 
information through at least one mode in visual form and, where 
appropriate, in tactile form.
    (v) Availability of auditory information 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., increased 
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 devices (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 hearing aids, cochlear 
implants, and assistive listening devices) to the lowest possible 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 effective wireless coupling to hearing aids.
    (b) The term compatibility shall mean compatible with peripheral 
devices and specialized customer premises equipment commonly used by 
individuals with disabilities to achieve accessibility 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 electronic text format on a cross-industry 
standard port and all input to and control 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 format. The cross-
industry standard port shall not require manipulation of a connector by 
the user.
    (2) Connection point for external audio processing devices. Products 
providing auditory output shall provide the auditory signal at a 
standard signal 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. Products, 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 equipment shall mean equipment 
employed on the premises of a person (other than a carrier) to 
originate, route, or terminate 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

[[Page 712]]

record of such an impairment; or being regarded as having such an 
impairment.
    (e) The term manufacturer shall mean an entity that makes or 
produces a product.
    (f) The term peripheral devices shall mean devices employed in 
connection with equipment covered by this part to translate, enhance, or 
otherwise transform telecommunications into a form accessible to 
individuals with disabilities.
    (g) The term readily achievable shall mean, in general, easily 
accomplishable and able to be carried out without much difficulty or 
expense. In determining whether an action is readily achievable, factors 
to be considered include:
    (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 entity); the number of 
persons employed by such manufacturer or service provider; the effect on 
expenses and resources, 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 number of its employees; the number, type, and location 
of its facilities; and
    (4) If applicable, the type of operation or operations of the 
covered entity, including the composition, structure and functions of 
the workforce of such entity; and the geographic separateness, 
administrative or fiscal relationship of the covered entity in question 
to the parent entity.
    (h) The term specialized customer premises equipment shall mean 
customer premise equipment which is commonly used by individuals with 
disabilities to achieve access.
    (i) The term telecommunications equipment shall mean equipment, 
other than customer premises equipment, used by a carrier to provide 
telecommunications services, and includes software integral to such 
equipment (including upgrades).
    (j) The term telecommunications service shall mean the offering of 
telecommunications 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 facilities used.
    (k) The term usable shall mean that individuals with disabilities 
have access to the full functionality and documentation for the product, 
including instructions, product information (including accessible 
feature information), documentation, bills and technical support which 
is provided to individuals without disabilities.



          Subpart C_Obligations_What Must Covered Entities Do?



Sec. 6.5  General obligations.

    (a) Obligation of Manufacturers. (1) A manufacturer of 
telecommunications equipment or customer premises equipment 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 devices or specialized 
customer premises equipment commonly used by individuals 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 compatible with existing peripheral devices or specialized 
customer premises equipment commonly used by individuals with 
disabilities to achieve access, if readily achievable.
    (c) Obligation of Telecommunications Carriers. Each 
telecommunications carrier must not install network features, functions, 
or capabilities that do not comply with the guidelines and standards 
established pursuant to this part or part 7 of this chapter.

[[Page 713]]



Sec. 6.7  Product design, development, and evaluation.

    (a) Manufacturers and service providers shall evaluate the 
accessibility, usability, and compatibility of equipment and services 
covered by this part and shall incorporate such evaluation throughout 
product design, development, 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 
development 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 undertaken, including individuals with 
disabilities in target populations of such research;
    (2) Where product design, testing, pilot demonstrations, and product 
trials are conducted, including individuals with disabilities in such 
activities;
    (3) Working cooperatively with appropriate disability-related 
organizations; and
    (4) Making reasonable efforts to validate any unproven access 
solutions through testing with individuals with disabilities or with 
appropriate disability-related organizations that have established 
expertise with individuals with disabilities.



Sec. 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 telecommunications in an accessible format, if readily 
achievable. In particular, signal compression technologies shall not 
remove information needed for access or shall restore it upon 
decompression.



Sec. 6.11  Information, documentation, and training.

    (a) Manufacturers and service providers shall ensure access to 
information 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 necessary including:
    (1) Providing a description of the accessibility and compatibility 
features of the product upon request, including, as needed, in alternate 
formats or alternate modes at no additional charge;
    (2) Providing end-user product documentation in alternate formats or 
alternate modes upon request at no additional charge; and
    (3) Ensuring usable customer support and technical support in the 
call centers and service centers which support their products at no 
additional charge.
    (b) Manufacturers and service providers shall include in general 
product information the contact method for obtaining the information 
required by paragraph (a) of this section.
    (c) In developing, or incorporating existing training programs, 
manufacturers and service providers, shall consider the following 
topics:
    (1) Accessibility requirements of individuals with disabilities;
    (2) Means of communicating with individuals with disabilities;
    (3) Commonly used adaptive technology used with the manufacturer's 
products;
    (4) Designing for accessibility; and
    (5) Solutions for accessibility and compatibility.



                          Subpart D_Enforcement



Sec. 6.15  Generally.

    (a) All manufacturers of telecommunications equipment or customer 
premise equipment (CPE) and all providers of telecommunications 
services, as defined under this subpart, are subject to the enforcement 
provisions specified in the Act and the Commission's rules.
    (b) For purposes of Sec. Sec. 6.15 through 6.23, the term 
``manufacturers'' shall denote manufacturers of telecommunications 
equipment or CPE and the term ``providers'' shall denote providers of 
telecommunications services.

[[Page 714]]



Sec. 6.16  Informal or formal complaints.

    Complaints against manufacturers or providers, as defined under this 
subpart, for alleged violations of this subpart may be either informal 
or formal.



Sec. 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 recording, 
and braille.
    (b) An informal complaint shall include:
    (1) The name and address of the complainant;
    (2) The name and address of the manufacturer or provider against 
whom the complaint is made;
    (3) A full description of the telecommunications 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, 
acquired or used, or attempted to purchase, acquire or use the 
telecommunications equipment, CPE or telecommunications service about 
which the complaint is being made;
    (5) A complete statement of the facts, including documentation where 
available, supporting the complainant's allegation that: such 
telecommunications service, or such telecommunications equipment or CPE, 
is not accessible 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 format or method of response to the 
complaint by the Commission and defendant (e.g., letter, facsimile 
transmission, telephone (voice/TRS/TTY), Internet e-mail, ASCII text, 
audio-cassette recording, braille; or some other method that will best 
accommodate the complainant's disability)



Sec. 6.18  Procedure; designation of agents for service.

    (a) The Commission shall promptly forward any informal complaint 
meeting the requirements of Sec. 6.17 to each manufacturer and provider 
named in or determined by the staff to be implicated by the complaint. 
Such manufacturer(s) or provider(s) shall be called on to satisfy or 
answer the complaint within the time specified by the Commission.
    (b) To ensure prompt and effective service of informal and formal 
complaints 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, inquiries, 
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, 
facsimile number, and Internet e-mail address.



Sec. 6.19  Answers to informal complaints.

    Any manufacturer or provider to whom an informal complaint is 
directed 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 Sec. 6.17, unless otherwise permitted by the 
Commission for good cause shown;
    (b) Describe any actions that the defendant has taken or proposes to 
take to satisfy the complaint;
    (c) Advise the complainant and the Commission of the nature of the 
defense(s) claimed by the defendant;
    (d) Respond specifically to all material allegations of the 
complaint; and
    (e) Provide any other information or materials specified by the 
Commission as relevant to its consideration of the complaint.

[[Page 715]]



Sec. 6.20  Review and disposition of informal complaints.

    (a) Where it appears from the defendant's answer, or from other 
communications with the parties, that an informal complaint has been 
satisfied, the Commission may, in its discretion, consider the informal 
complaint closed, without response to the complainant 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 
paragraphs (b) through (d) of this section, shall be transmitted to the 
complainant and defendant in the manner requested by the complainant, 
(e.g., letter, facsimile transmission, telephone (voice/TRS/TTY), 
Internet e-mail, ASCII text, audio-cassette recording, or braille).
    (b) In the event the Commission determines, based on a review of the 
information provided in the informal complaint and the defendant's 
answer thereto, that no further action is required by the Commission 
with respect to the allegations contained in the informal complaint, the 
informal complaint shall be closed and the complainant and defendant 
shall be duly informed of the reasons therefor. A complainant 
unsatisfied with the defendant's response to the informal complaint and 
the staff decision to terminate action on the informal complaint may 
file a formal complaint with the Commission, as specified in Sec. 6.22.
    (c) In the event the Commission determines, based on a review of the 
information presented in the informal complaint and the defendant's 
answer thereto, that a material and substantial question remains as to 
the defendant's compliance with the requirements of this subpart, the 
Commission may conduct such further investigation or such further 
proceedings as may be necessary to determine the defendant's compliance 
with the requirements 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 information 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 actions and/or 
sanctions as are authorized under the Act and the Commission's rules and 
which are deemed by the Commission to be appropriate under the facts and 
circumstances of the case.



Sec. 6.21  Formal complaints, applicability of Sec. Sec. 1.720 through 
1.736 of this chapter.

    Formal complaints against a manufacturer or provider, as defined 
under this subpart, may be filed in the form and in the manner 
prescribed under Sec. Sec. 1.720 through 1.736 of this chapter. 
Commission staff may grant waivers of, or exceptions to, particular 
requirements under Sec. Sec. 1.720 through 1.736 of this chapter 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 complainant of the obligation under Sec. Sec. 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.



Sec. 6.22  Formal complaints based on unsatisfied informal complaints.

    A formal complaint filing based on an unsatisfied informal complaint 
filed pursuant to Sec. 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 complainant 
of its disposition of the informal complaint and based on the same 
operative facts as those alleged in the informal complaint.



Sec. 6.23  Actions by the Commission on its own motion.

    The Commission may on its own motion conduct such inquiries and hold 
such proceedings as it may deem necessary 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

[[Page 716]]

the Act and the Commission's rules, be such as in the opinion of the 
Commission will best serve the purposes of such inquiries and 
proceedings.



PART 7_ACCESS TO VOICEMAIL AND INTERACTIVE MENU SERVICES AND EQUIPMENT 
BY PEOPLE WITH DISABILITIES--Table of Contents




Sec.

            Subpart A_Scope_Who Must Comply With These Rules?

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 evaluation.
7.9 Information pass through.
7.11 Information, documentation and training.

                          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 Sections 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?



Sec. 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 telecommunications equipment or customer 
premises equipment which performs a voicemail or interactive menu 
function.



                          Subpart B_Definitions



Sec. 7.3  Definitions.

    (a) The term accessible shall mean that:
    (1) Input, control, and mechanical functions shall be locatable, 
identifiable, and operable in accordance with each of the following, 
assessed independently:
    (i) Operable without vision. Provide at least one mode that does not 
require user vision.
    (ii) Operable with low vision and limited 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 perception.
    (iv) Operable without hearing. Provide at least one mode that does 
not require 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 Device. Controls shall be operable 
without requiring body contact or close body proximity.
    (viii) Operable without time-dependent 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, language, and learning skills 
required of the user.
    (2) All information necessary to operate and use the product, 
including but not limited to, text, static or dynamic images, icons, 
labels, sounds, or incidental operating cues, comply with

[[Page 717]]

each of the following, assessed independently:
    (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 information 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 presentation mode at the option of the user.
    (iv) Availability of auditory information. Provide auditory 
information through at least one mode in visual form and, where 
appropriate, in tactile form.
    (v) Availability of auditory information 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., increased 
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 devices (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 hearing aids, cochlear 
implants, and assistive listening devices) to the lowest possible 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 effective wireless coupling to hearing aids.
    (b) The term compatibility shall mean compatible with peripheral 
devices and specialized customer premises equipment commonly used by 
individuals with disabilities to achieve accessibility to voicemail and 
interactive menus, 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 electronic text format on a cross-industry 
standard port and all input to and control 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 format. The cross-
industry standard port shall not require manipulation of a connector by 
the user.
    (2) Connection point for external audio processing devices. Products 
providing auditory output shall provide the auditory signal at a 
standard signal 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. Products, 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 equipment shall mean equipment 
employed on the premises of a person (other than a carrier) to 
originate, route, or terminate 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 impairment.
    (e) The term interactive menu shall mean a feature that allows a 
service provider or operator of CPE to transmit 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

[[Page 718]]

from the caller in visual and/or audible format for the purpose of 
management, control, or operations of a telecommunications system or 
service; and/or to receive information from the caller in visual and/or 
audible format in response to a request, for the purpose of management, 
control, or operations of a telecommunications system or service. This 
feature, however, does not include the capability for generating, 
acquiring, storing, transforming, processing, retrieving, utilizing, or 
making available information via telecommunications for any purpose 
other than management, control, or operations 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 transform telecommunications into a form accessible to 
individuals with disabilities.
    (h) The term readily achievable shall mean, in general, easily 
accomplishable and able to be carried out without much difficulty or 
expense. In determining whether an action is readily achievable, factors 
to be considered include:
    (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 entity); the number of 
persons employed by such manufacturer or service provider; the effect on 
expenses and resources, 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 operation or operations of the 
covered entity, including the composition, structure and functions of 
the workforce of such entity; and the geographic separateness, 
administrative or fiscal relationship of covered entity in question to 
the parent entity.
    (i) The term specialized customer premises equipment shall mean 
customer premise equipment which is commonly used by individuals with 
disabilities to achieve access.
    (j) The term telecommunications equipment shall mean equipment, 
other than customer premises equipment, used by a carrier to provide 
telecommunications services, and includes software integral to such 
equipment (including upgrades).
    (k) The term telecommunications service shall mean the offering of 
telecommunications 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 facilities used.
    (l) The term usable shall mean that individuals with disabilities 
have access to the full functionality and documentation for the product, 
including instructions, product information (including accessible 
feature information), documentation, bills and technical support which 
is provided to individuals 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 number 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 forward the message to another voice massaging 
customer, with and/or without an appended new message; the ability 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?



Sec. 7.5  General Obligations.

    (a) Obligation of Manufacturers. (1) A manufacturer of 
telecommunications equipment or customer premises equipment covered by 
this part shall ensure that the equipment is designed, developed and 
fabricated so that the

[[Page 719]]

voicemail and interactive menu functions 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 devices or specialized 
customer premises equipment commonly used by individuals with 
disabilities to achieve access, if readily achievable.
    (b) Obligation of Service Providers. (1) A provider of voicemail or 
interactive menu shall ensure that the service is 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 service provider shall ensure that the 
service is compatible with existing peripheral devices or specialized 
customer premises equipment commonly used by individuals with 
disabilities to achieve access, if readily achievable.



Sec. 7.7  Product design, development, and evaluation.

    (a) Manufacturers and service providers shall evaluate the 
accessibility, usability, and compatibility of equipment and services 
covered by this part and shall incorporate such evaluation throughout 
product design, development, 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 
development 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 undertaken, including individuals with 
disabilities in target populations of such research;
    (2) Where product design, testing, pilot demonstrations, and product 
trials are conducted, including individuals with disabilities in such 
activities;
    (3) Working cooperatively with appropriate disability-related 
organizations; and
    (4) Making reasonable efforts to validate any unproven access 
solutions through testing with individuals with disabilities or with 
appropriate disability-related organizations that have established 
expertise with individuals with disabilities.



Sec. 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 telecommunications in an accessible format, if readily 
achievable. In particular, signal compression technologies shall not 
remove information needed for access or shall restore it upon 
decompression.



Sec. 7.11  Information, documentation, and training.

    (a) Manufacturers and service providers shall ensure access to 
information 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 necessary including:
    (1) Providing a description of the accessibility and compatibility 
features of the product upon request, including, as needed, in alternate 
formats or alternate modes at no additional charge;
    (2) Providing end-user product documentation in alternate formats or 
alternate modes upon request at no additional charge; and
    (3) Ensuring usable customer support and technical support in the 
call centers and service centers which support their products at no 
additional charge.
    (b) Manufacturers and service providers shall include in general 
product information the contact method for obtaining the information 
required by paragraph (a) of this section.
    (c) In developing, or incorporating existing training programs, 
manufacturers and service providers shall consider the following topics:

[[Page 720]]

    (1) Accessibility requirements of individuals with disabilities;
    (2) Means of communicating with individuals with disabilities;
    (3) Commonly used adaptive technology used with the manufacturer's 
products;
    (4) Designing for accessibility; and
    (5) Solutions for accessibility and compatibility.



                          Subpart D_Enforcement



Sec. 7.15  Generally.

    (a) For purposes of Sec. Sec. 7.15-7.23 of this subpart, the term 
``manufacturers'' shall denote any manufacturer of telecommunications 
equipment or customer premises equipment which performs a voicemail or 
interactive menu function.
    (b) All manufacturers of telecommunications equipment or customer 
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 
interactive menu service.



Sec. 7.16  Informal or formal complaints.

    Complaints against manufacturers or providers, as defined under this 
subpart, for alleged violations of this subpart may be either informal 
or formal.



Sec. 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 include:
    (1) The name and address of the complainant;
    (2) The name and address of the manufacturer or provider against 
whom the complaint is made;
    (3) A full description of the telecommunications 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, 
acquired or used, or attempted to purchase, acquire or use the 
telecommunications equipment, CPE or telecommunications service about 
which the complaint is being made;
    (5) A complete statement of the facts, including documentation where 
available, supporting the complainant's allegation that: such 
telecommunications service, or such telecommunications equipment or CPE, 
is not accessible 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 format or method of response to the 
complaint by the Commission and defendant (e.g., letter, facsimile 
transmission, telephone (voice/TRS/TTY), Internet e-mail, ASCII text, 
audio-cassette recording, braille; or some other method that will best 
accommodate the complainant's disability).



Sec. 7.18  Procedure; designation of agents for service.

    (a) The Commission shall promptly forward any informal complaint 
meeting the requirements of Sec. 7.17 to each manufacturer and provider 
named in or determined by the staff to be implicated by the complaint. 
Such manufacturer(s) or provider(s) shall be called on to satisfy or 
answer the complaint within the time specified by the Commission.
    (b) To ensure prompt and effective service of informal and formal 
complaints 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, inquiries, 
orders, decisions, and other pronouncements of the Commission in any 
matter before the Commission. Such designation shall include, for

[[Page 721]]

both the manufacturer or the provider, a name or department designation, 
business address, telephone number, and, if available TTY number, 
facsimile number, and Internet e-mail address.



Sec. 7.19  Answers to informal complaints.

    Any manufacturer or provider to whom an informal complaint is 
directed 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 Sec. 7.17, unless otherwise permitted by the 
Commission for good cause shown;
    (b) Describe any actions that the defendant has taken or proposes to 
take to satisfy the complaint;
    (c) Advise the complainant and the Commission of the nature of the 
defense(s) claimed by the defendant;
    (d) Respond specifically to all material allegations of the 
complaint; and
    (e) Provide any other information or materials specified by the 
Commission as relevant to its consideration of the complaint.



Sec. 7.20  Review and disposition of informal complaints.

    (a) Where it appears from the defendant's answer, or from other 
communications with the parties, that an informal complaint has been 
satisfied, the Commission may, in its discretion, consider the informal 
complaint closed, without response to the complainant 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 
paragraphs (b) through (d) of this section, shall be transmitted to the 
complainant and defendant in the manner requested by the complainant, 
(e.g., letter, facsimile transmission, telephone (voice/TRS/TTY), 
Internet e-mail, ASCII text, audio-cassette recording, or braille).
    (b) In the event the Commission determines, based on a review of the 
information provided in the informal complaint and the defendant's 
answer thereto, that no further action is required by the Commission 
with respect to the allegations contained in the informal complaint, the 
informal complaint shall be closed and the complainant and defendant 
shall be duly informed of the reasons therefor. A complainant 
unsatisfied with the defendant's response to the informal complaint and 
the staff decision to terminate action on the informal complaint may 
file a formal complaint with the Commission, as specified in Sec. 7.22 
of this subpart.
    (c) In the event the Commission determines, based on a review of the 
information presented in the informal complaint and the defendant's 
answer thereto, that a material and substantial question remains as to 
the defendant's compliance with the requirements of this subpart, the 
Commission may conduct such further investigation or such further 
proceedings as may be necessary to determine the defendant's compliance 
with the requirements 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 information 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 actions and/or 
sanctions as are authorized under the Act and the Commission's rules and 
which are deemed by the Commission to be appropriate under the facts and 
circumstances of the case.



Sec. 7.21  Formal complaints, applicability of Sec. Sec. 1.720 through 
1.736 of this chapter.

    Formal complaints against a manufacturer or provider, as defined 
under this subpart, may be filed in the form and in the manner 
prescribed under Sec. Sec. 1.720 through 1.736 of this chapter. 
Commission staff may grant waivers of, or exceptions to, particular 
requirements under Sec. Sec. 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

[[Page 722]]

has the effect of relieving, a complainant of the obligation under 
Sec. Sec. 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 chapter.



Sec. 7.22  Formal complaints based on unsatisfied informal complaints.

    A formal complaint filing based on an unsatisfied informal complaint 
filed pursuant to Sec. 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 complainant 
of its disposition of the informal complaint and based on the same 
operative facts as those alleged in the informal complaint.



Sec. 7.23  Actions by the Commission on its own motion.

    The Commission may on its own motion conduct such inquiries and hold 
such proceedings as it may deem necessary to enforce the requirements of 
this part 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 
Commission will best serve the purposes of such inquiries and 
proceedings.



PART 11_EMERGENCY ALERT SYSTEM (EAS)--Table of Contents




                            Subpart A_General

Sec.
11.1 Purpose.
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 Authorization 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 Transmission requirements.
11.52 EAS code and Attention Signal Monitoring 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.

                             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



Sec. 11.1  Purpose.

    This part contains rules and regulations providing for an Emergency 
Alert System (EAS). The EAS provides the President with the capability 
to provide immediate communications and information to the general 
public at the National, State and Local Area levels during periods of 
national emergency. The rules in this part describe the required 
technical standards and operational procedures of the EAS for AM, FM and 
TV broadcast stations, cable systems 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.

[[Page 723]]



Sec. 11.11  The Emergency Alert System (EAS).

    (a) The EAS is composed of broadcast networks; cable networks and 
program suppliers; AM, FM Low Power FM (LPFM) and TV broadcast stations; 
Class A television (CA) stations; Low Power TV (LPTV) stations; cable 
systems; wireless cable systems which may consist of Multipoint 
Distribution Service (MDS), Multichannel Multipoint Distribution Service 
(MMDS), or Instructional Television Fixed Service (ITFS) stations; and 
other entities and industries operating on an organized basis during 
emergencies at the National, State and local levels. It requires that at 
a minimum all participants use a common EAS protocol, as defined in 
Sec. 11.31, to send and receive emergency alerts in accordance with the 
effective dates in the following tables:

                                               Broadcast Stations
----------------------------------------------------------------------------------------------------------------
   EAS Equipment requirement       AM & FM         TV        FM Class D     LPTV \1\      LPFM \2\    Class A TV
----------------------------------------------------------------------------------------------------------------
Two-tone encoder \3\ \4\......  Y             Y             N             N             N            Y
EAS decoder...................  Y 1/1/97      Y 1/1/97      Y 1/1/97      Y 1/1/97      Y            Y
EAS encoder...................  Y 1/1/97      Y 1/1/97      N             N             N            Y
Audio message.................  Y 1/1/97      Y 1/1/97      Y 1/1/97      Y 1/1/97      Y            Y
Video message.................  N/A           Y 1/1/97      N/A           Y 1/1/97      N/A          Y
----------------------------------------------------------------------------------------------------------------
\1\ LPTV stations that operate as television broadcast translator stations are exempt from the requirement to
  have EAS equipment.
\2\ LPFM stations must install a decoder within one year after the FCC publishes in the Federal Register a
  public notice indicating that at least one decoder has been certified by the FCC.
\3\ Effective July 1, 1995, the two-tone signal must be 8-25 seconds.
\4\ Effective January 1, 1998, the two-tone signal may only be used to provide audio alerts to audiences before
  EAS emergency messages and the required monthly tests.


                                                  Cable Systems
[A. Cable systems serving fewer than 5,000 subscribers from a headend must either provide the National level EAS
   message on all programmed channels--including the required testing--by October 1, 2002, or comply with the
                    following EAS requirements. All other cable systems must comply with B.]
----------------------------------------------------------------------------------------------------------------
                                                           System size and effective dates
                                    ----------------------------------------------------------------------------
    B. EAS Equipment Requirement         =10,000      =5,000 but <
                                            subscribers            10,000 subscribers       <5,000 subscribers
----------------------------------------------------------------------------------------------------------------
Two-tone signal from storage device  Y 12/31/98                 Y 10/1/02                 Y 10/1/02
 \1\.
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   Y 12/31/98                 Y 10/1/02                 N
 channels.
Video interrupt and audio alert      N                          N                         Y 10/1/02
 message on all channels,\3\ Audio
 and Video EAS message on at least
 one channel.
----------------------------------------------------------------------------------------------------------------
\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\ 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 message. 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 (MDS/MMS/ITFS Stations)
 [A. Wireless cable systems serving fewer than 5,000 subscribers from a
   single transmission site must either provide the National level EAS
 message on all programmed channels--including the required testing--by
   October 1, 2002, or comply with the following EAS requirements. All
            other wireless cable systems must comply with B.]
------------------------------------------------------------------------
                                     System size and effective dates
                                ----------------------------------------
  B. EAS Equipment Requirement    = 5,000
                                     subscribers      < 5,000subscribers
------------------------------------------------------------------------
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   Y 10/1/02            N
 all channels.
Video interrupt and audio alert  N                    Y 10/1/02
 message on all channels; \3\
 Audio and Video EAS message on
 at least one channel.
------------------------------------------------------------------------
\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.

[[Page 724]]

 
\2\ Wireless 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 message. 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.

    (b) Class D non-commercial educational FM stations as defined in 
Sec. 73.506, LPFM stations as defined in Sec. Sec. 73.811 and 73.853, 
and LPTV stations as defined in Sec. 74.701(f) are not required to 
comply with Sec. 11.32. LPTV stations that operate as television 
broadcast translator stations, as defined in Sec. 74.701(b) of this 
chapter, are not required to comply with the requirements of this part. 
FM broadcast booster stations as defined in Sec. 74.1201(f) of this 
chapter and FM translator stations as defined in Sec. 74.1201(a) of 
this chapter which entirely rebroadcast the programming of other local 
FM broadcast stations are not required to comply with the requirements 
of this part. International broadcast stations as defined in Sec. 
73.701 of this chapter are not required to comply with the requirements 
of this part. 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% of the programming of the hub station (or 
common studio or control point) may satisfy the requirements of this 
part through the use of a single set of EAS equipment at the hub station 
(or common studio or control point) which complies with Sec. Sec. 11.32 
and 11.33.
    (c) For purposes of the EAS, Multipoint Distribution Service (MDS) 
and Multichannel Multipoint Distribution Service (MMDS) stations 
operated in accordance with subpart K of part 21 of this chapter and 
Instructional Television Fixed Service (ITFS) stations operated as part 
of wireless cable systems in accordance with subpart I of part 74 of 
this chapter are defined as follows:
    (1) A ``wireless cable system'' is a collection of channels in the 
MDS, MMDS, or ITFS 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 programming to subscribers.
    (d) Local franchise authorities and cable television system 
operators may enter into mutual agreements that require the installation 
of EAS equipment before the required dates listed in the tables in 
paragraph (a). Additionally, local franchise authorities may use any EAS 
codes authorized by the FCC in any agreements.
    (e) Organizations using other communications systems or technologies 
such as, Direct Broadcast Satellite (DBS), low earth orbit satellite 
systems, paging, computer networks, etc. may join the EAS on a voluntary 
basis by contacting the FCC. Organizations that choose to voluntarily 
participate must comply with the requirements of this part.

[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]



Sec. 11.12  Two-tone Attention Signal encoder and decoder.

    Existing two-tone Attention Signal encoder and decoder equipment 
type accepted for use as Emergency Broadcast System equipment under part 
73 of this chapter may be used by broadcast stations until January 1, 
1998, provided that such equipment meets the requirements of Sec. 
11.32(a)(9) and 11.33(b). Effective January 1, 1998, the two-tone 
Attention 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]



Sec. 11.13  Emergency Action Notification (EAN) and Emergency Action 
Termination (EAT).

    (a) The Emergency Action Notification (EAN) is the notice to all 
broadcast stations, cable systems and wireless cable systems, other 
regulated

[[Page 725]]

services of the FCC, participating industry entities, and to the general 
public that the EAS has been activated for a national emergency.
    (b) The Emergency Action Termination (EAT) is the notice to all 
broadcast stations, cable systems and wireless cable systems, other 
regulated services of the FCC, participating industry entities, and to 
the general public that the EAN has terminated.

[63 FR 29663, June 1, 1998]



Sec. 11.14  Primary Entry Point (PEP) System.

    The PEP system is a nationwide network of broadcast stations and 
other entities connected with government activation points. It is used 
to distribute the EAN, EAT and EAS national test messages, and other EAS 
messages.

[67 FR 18507, Apr. 16, 2002]



Sec. 11.15  EAS Operating Handbook.

    The EAS Operating Handbook states in summary form the actions to be 
taken by personnel at broadcast stations, cable systems and wireless 
cable systems, and other participating entities upon receipt of an EAN, 
an EAT, tests, or State and Local Area alerts. It is issued by the FCC 
and contains instructions for the above situations. A copy of the 
Handbook must be located at normal duty positions or EAS equipment 
locations when an operator is required to be on duty and be immediately 
available to staff responsible for authenticating messages and 
initiating actions.

[63 FR 29663, June 1, 1998]



Sec. 11.16  National Control Point Procedures.

    The National Control Point Procedures are written instructions 
issued by the FCC to national level EAS control points. The procedures 
are divided into sections as follows:
    (a) National Level EAS Activation. This section contains the 
activation and termination instructions for Presidential messages.
    (b) EAS Test Transmissions. This section contains the instructions 
for testing 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]



Sec. 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 the carriage of common emergency 
messages from sources such as the National Weather Service or local 
emergency management offices as specified in its EAS Local Area Plan. If 
it is unable 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 National 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 intended 
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 broadcast the EAS codes, Attention Signal, the sign-off 
announcement in the EAS Operating Handbook and then stop operating. All 
NN sources are required to comply with Sec. 11.51, 11.52 and 11.61. 
They may transmit EAS State or Local Area messages at any time without 
prior notice.

[[Page 726]]



Sec. 11.19  EAS Non-participating National Authorization Letter.

    This authorization letter is issued by the FCC to broadcast station 
licensees and cable systems and wireless cable systems. It states that 
the licensee, cable operator or wireless cable operator has agreed to go 
off the air or in the case of cable discontinue programming on all 
channels during a national level EAS message. For Broadcast licensees 
this authorization 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 withdrawn by the 
Commission.

[63 FR 29663, June 1, 1998]



Sec. 11.20  State Relay Network.

    This network is composed of State Relay (SR) sources, leased common 
carrier communications facilities or any other available communication 
facilities. The network distributes State EAS messages originated by the 
Governor or designated official. In addition to EAS monitoring, 
satellites, microwave, FM subcarrier or any other communications 
technology may be used to distribute State emergency messages.



Sec. 11.21  State and Local Area Plans and FCC Mapbook.

    EAS plans contain guidelines which must be followed by broadcast and 
cable personnel, emergency officials and National Weather Service (NWS) 
personnel to activate the EAS. The plans include the EAS header codes 
and messages 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 RBDS. The plans must be reviewed and 
approved by the Director, Office of Homeland Security, Enforcement 
Bureau, prior to implementation to ensure that they are consistent with 
national plans, FCC regulations, and EAS operation.
    (a) The State plan contains procedures for State emergency 
management and other State officials, the NWS, and broadcast and cable 
personnel to transmit emergency information to the public during a State 
emergency using the EAS.
    (b) The Local Area plan contains procedures 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 communities 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.

[59 FR 67092, Dec. 28, 1994, as amended at 60 FR 55999, Nov. 6, 1995; 63 
FR 29663, June 1, 1998; 65 FR 21658, Apr. 24, 2000; 69 FR 30234, May 27, 
2004]



                    Subpart B_Equipment Requirements



Sec. 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 Keying 
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 
frequencies of 853 and 960 Hz. The two tones must be transmitted 
simultaneously. 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. 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.

[[Page 727]]

The EAS protocol and message format are specified in the following 
representation.

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 messages)
(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 indicates 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 indicates 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. Department 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 assigned a CCC number. 
A CCC number of 000 refers to an entire State or Territory. P defines 
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. The use of county 
subdivisions will probably be rare and generally for oddly shaped or 
unusually large counties. Any subdivisions must be defined and agreed to 
by the local officials prior to use.
    +TTTT--This indicates the valid time period 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 Calendar days (JJJ) of the year 
and the time in hours and minutes (HHMM) when the message was initially 
released by the originator using 24 hour Universal Coordinated Time 
(UTC).
    LLLLLLLL--This is the identification of the broadcast station, cable 
system, MDS/MMDS/ITFS station, NWS office, etc., transmitting 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 characters.

    (d) The only originator codes are:

------------------------------------------------------------------------
                  Originator                            ORG Code
------------------------------------------------------------------------
Broadcast station or cable system.............  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                      Event Codes
------------------------------------------------------------------------
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 (Optional):
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
Law Enforcement Warning.......................  LEW\1\

[[Page 728]]

 
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, broadcast stations, cable systems and
  wireless cable systems may upgrade their existing EAS equipment to add
  these event codes on a voluntary basis until the equipment is
  replaced. All models of EAS equipment manufactured after August 1,
  2003 must be capable of receiving and transmitting these event codes.
  Broadcast stations, cable systems and wireless cable systems which
  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
  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           57
   from Canadian border to Mexican border................
  North Pacific Ocean near Alaska, and along Alaska                58
   coastline, including the Bering Sea and the Gulf of
   Alaska................................................
  Central Pacific Ocean, including Hawaiian waters.......          59
  South Central Pacific Ocean, including American Samoa            61
   waters................................................
  Western Pacific Ocean, including Mariana Island waters.          65
  Western North Atlantic Ocean, and along U.S. East                73
   Coast, from Canadian border south to Currituck Beach
   Light, N.C............................................
  Western North Atlantic Ocean, and along U.S. East                75
   Coast, south of Currituck Beach Light, N.C., following
   the coastline into Gulf of Mexico to Bonita Beach,
   FL., including the Caribbean..........................
  Gulf of Mexico, and along the U.S. Gulf Coast from the           77
   Mexican border to Bonita Beach, FL....................
  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, broadcast stations, cable systems and
  wireless cable systems 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 manufactured after
  August 1, 2003, must be capable of receiving and transmitting these
  marine area location codes. Broadcast stations, cable systems and
  wireless cable systems which replace their EAS equipment after
  February 1, 2004, must install equipment that is capable of receiving
  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]

[[Page 729]]



Sec. 11.32  EAS Encoder.

    (a) EAS Encoders must at a minimum be capable of encoding the EAS 
protocol described in Sec. 11.31 and providing the EAS code 
transmission requirements described in Sec. 11.51. EAS encoders must 
additionally provide the following minimum specifications:
    (1) Encoder programming. Access to encoder programming shall be 
protected by a lock or other security measures and be configured so that 
authorized personnel can readily select and program the EAS Encoder with 
Originator, Event and Location codes for either manual or automatic 
operation.
    (2) Inputs. The encoder shall have two inputs, one for audio 
messages and one for data messages (RS-232C with standard protocol and 
1200 baud rate).
    (3) Outputs. The encoder shall have two outputs, one audio port and 
one data port (RS-232C with standard protocol and 1200 baud rate).
    (4) Calibration. EAS Encoders must provide a means to comply with 
the modulation levels required in Sec. 11.51(f).
    (5) Day-Hour-Minute and Identification 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 
Preamble 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 respect to the output 
levels of the mark or space frequencies.
    (9) Attention Signal generator. The encoder must provide an 
attention signal 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 capability of at least +8 dBm into a 600 Ohm load impedance at 
each audio tone. A means shall be provided to permit individual 
activation of the two tones for calibration of associated systems.
    (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 seconds.
    (v) Inadvertent activation. The switch used for initiating the 
automatic generation of the simultaneous tones shall be protected to 
prevent accidental operation.
    (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 Humidity. 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 relative 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 Sec. 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 simulate actual working conditions.



Sec. 11.33  EAS Decoder.

    (a) An EAS Decoder must at a minimum be capable of decoding the EAS 
protocol described in Sec. 11.31, provide the EAS monitoring functions 
described in Sec. 11.52, and the following minimum specifications:
    (1) Inputs. Decoders must have the capability to receive at least 2 
audio inputs from EAS monitoring assignments, 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

[[Page 730]]

other source that uses the EAS protocol.
    (2) Valid codes. There must be a means to determine if valid EAS 
header codes are received and to determine if preselected header codes 
are received.
    (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 manufactured 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 incoming header codes. A non-preselected header code 
that is manually 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 deleted from storage as their 
valid time periods expire.
    (4) Display and logging. A visual message shall be developed from 
any valid header codes for tests and national activations and any 
preselected header codes received. The message shall include 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 broadcast station or cable system 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 containing header codes for state and local EAS events. 
Effective May 16, 2002, broadcast stations, cable systems and wireless 
cable systems may upgrade their decoders on an optional basis to include 
a selective display and logging capability for EAS messages containing 
header codes for state and local events. Broadcast stations, cable 
systems and wireless cable systems which replace their decoders after 
February 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 Sec. 
11.33(a)(10).
    (ii) Preprogrammed header codes, such as those selected in 
accordance with Sec. 11.52(d)(2) are received.
    (iii) A signal is present at each audio input that is specified in 
Sec. 11.33(a)(1).
    (6) Program Data Retention. The program 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 monitoring 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 
protected by a lock or other security measures and be configured so that 
authorized personnel can readily select and program the EAS Decoder with 
preselected Originator, Event and Location codes for either manual or 
automatic operation.
    (9) Reset. There shall be a method to automatically or manually 
reset the decoder to the normal monitoring condition. Operators shall be 
able to select a time interval, not less than two minutes, in which the 
decoder would automatically 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 message received with valid header codes shall 
be displayed as required by paragraph (a)(4) of this section before the 
decoder is reset.

[[Page 731]]

    (10) Message Validity. An EAS Decoder must provide error detection 
and validation of the header codes of each message 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 detection 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 Sec. 
11.31(c) that is received through any of the audio inputs must override 
all other messages.
    (b) Attention Signal. EAS Decoders at broadcast stations shall have 
detection and activation circuitry that will demute a receiver upon 
detection of the two audio tones of 853 Hz and 960 Hz. To prevent false 
responses, decoders designed to use the two tones for broadcast 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 process to insure that the tones will be audible 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 
automatically reset the associated broadcast receiver to a muted state.
    (c) Decoders shall be capable of operation within the tolerances 
specified in this section as well as those in Sec. 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]



Sec. 11.34  Acceptability of the equipment.

    (a) An EAS Encoder used for generating 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 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.
    (b) Decoders used for the detection of the EAS codes and receiving 
the Attention Signal must be Certified in accordance 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 
receiver, and the EAS encoder specified in Sec. Sec. 11.31, 11.32 and 
11.33 may be combined and Certified as a single unit provided that the 
unit complies with all specifications in this rule section.
    (d) Manufacturers must include instructions 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 Certification requirements for EAS 
Encoders or EAS Decoders which are constructed for use at a broadcast 
station or subject cable system, 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 authorized EAS decoders, encoders or 
combined units necessary to implement the new EAS codes specified in 
Sec. 11.31 and to implement the selective displaying and logging 
feature specified in Sec. 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 detecting the new EAS codes specified in Sec. 11.31 in 
order to be certified under part 2, subpart J of this chapter. All 
existing and new models of EAS decoders and combined units manufactured 
after August 1, 2003 must have the selective displaying and logging 
capability specified in Sec. 11.33(a)(4) in order

[[Page 732]]

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]



Sec. 11.35  Equipment operational readiness.

    (a) Broadcast stations and cable systems and wireless cable systems 
are responsible for ensuring that EAS Encoders, EAS Decoders and 
Attention Signal generating and receiving equipment used as part of the 
EAS are installed so that the monitoring and transmitting functions are 
available during the times the stations and systems are in operation. 
Additionally, broadcast stations and cable systems and wireless cable 
systems must determine the cause of any failure to receive the required 
tests or activations specified in Sec. Sec. 11.61(a) (1) and (2). 
Appropriate entries must be made in the broadcast station log as 
specified in Sec. 73.1820 and Sec. 73.1840 of this chapter, cable 
system record as specified in Sec. Sec. 76.1700, 76.1708, and 76.1711 
of this chapter, MDS/MMDS station records as specified in Sec. 21.304 
of this chapter, indicating reasons why any tests were not received.
    (b) If the EAS Encoder or EAS Decoder becomes defective, the 
broadcast station, cable system or wireless cable system may operate 
without the defective equipment pending its repair or replacement for 60 
days without further FCC authority. Entries shall be made in the 
broadcast station log, cable system or wireless cable system station 
records showing the date and time the equipment was removed and restored 
to service. For personnel training purposes, the required monthly test 
script must still be transmitted even though the equipment for 
generating the EAS message codes, Attention Signal and EOM code is not 
functioning.
    (c) If repair or replacement of defective 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 broadcast 
station, cable system or wireless cable system is located for additional 
time to repair the defective equipment. This request must explain 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 equipment will be repaired or 
replaced.

[63 FR 29664, June 1, 1998, as amended at 65 FR 53614, Sept. 5, 2000]



                         Subpart C_Organization



Sec. 11.41  Participation in EAS.

    (a) All broadcast stations and cable systems and wireless cable 
systems specified in Sec. 11.11 are categorized as Participating 
National (PN) sources unless authorized by the FCC to be a Non-
Participating (NN) sources.
    (b) A broadcast station and cable system and wireless cable system 
may submit a written request to the FCC asking to be a Non-Participating 
National (NN) source. The FCC may then issue a Non-participating 
National Authorization letter. NN sources must go off the air during a 
national EAS activation after transmitting specified information.
    (1) A station or system that is a Non-participating National (NN) 
source under Sec. 11.18(f) that wants to become a Participating 
National (PN) source in the national level EAS must submit a written 
request to the FCC.
    (2) NN sources may voluntarily participate in the State and Local 
Area EAS. Participation is at the discretion of broadcast station and 
cable system and wireless cable system management and should comply with 
State and Local Area EAS Plans.
    (c) All sources, including NN, must have immediate access to an 
Operating Handbook. They should contact the FCC to ensure that they are 
on the FCC EAS mailing list.

[63 FR 29664, June 1, 1998, as amended at 65 FR 21658, Apr. 24, 2000]



Sec. 11.42  Participation by communications 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 radio and television broadcast 
networks, and cable networks and program suppliers for the

[[Page 733]]

duration of the emergency, provided an Emergency Action Notification 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 cable networks and program suppliers provided 
the station has in service a local channel from the station's studio or 
transmitter directly to the broadcast source.
    (b) Upon receipt of the Emergency Action Termination, the common 
carriers shall disconnect the originating source and the participating 
independent stations and restore the networks and program suppliers 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 
participating radio networks, television networks and cable networks and 
program suppliers. Independent stations will not be connected during the 
test unless authorized by the FCC. Upon test termination, 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 December 31st respectively. These 
reports shall state what free service was rendered 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 tariff rates if 
such carriers are required to file tariffs.

[59 FR 67092, Dec. 28, 1994, as amended at 67 FR 18510, Apr. 16, 2002]



Sec. 11.43  National level participation.

    Entities that wish to voluntarily participate in the national level 
EAS may submit a written request to the Director, Office of Homeland 
Security, Enforcement Bureau.

[69 FR 30234, May 27, 2004]



Sec. 11.44  EAS message priorities.

    (a) A national activation of the EAS for a Presidential message with 
the Event code EAN as specified in Sec. 11.31 must take priority over 
any other message and preempt it if it is in progress.
    (b) EAS participants should transmit other EAS messages in the 
following order: first, Local Area Messages; second, State Messages; and 
third, National Information Center (NIC) Messages.
    (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 Presidential Messages ``live'' at the time of transmission or 
immediately upon receipt. Activation of the National level EAS must 
preempt State and Local Area EAS operation.
    (d) During a national emergency, the radio and television broadcast 
network program distribution facilities must be reserved exclusively for 
distribution of Presidential Messages. NIC messages received from 
national networks which are not broadcast at the time of original 
transmission must be recorded locally by LP sources for transmission at 
the earliest opportunity consistent with the message priorities in 
paragraph (b) of this section.



Sec. 11.45  Prohibition of false or deceptive 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 licensees 
should also refer to Sec. 73.1217 of this chapter.



Sec. 11.46  EAS public service announcements.

    Broadcast stations, cable systems and wireless cable systems may use 
Public Service Announcements or obtain commercial sponsors for 
announcements, infomercials, or programs explaining the EAS to the 
public. Such announcements and programs may not be a part of alerts or 
tests,

[[Page 734]]

and may not simulate or attempt to copy alert tones or codes.

[59 FR 67092, Dec. 28, 1994, as amended at 63 FR 29664, June 1, 1998]



Sec. 11.47  Optional use of other communications methods and systems.

    (a) Broadcast stations may additionally transmit EAS messages 
through other communications means than the main audio channel. For 
example, on a voluntary basis, FM stations may use subcarriers to 
transmit the EAS codes including 57 kHz using the RBDS standard produced 
by the National Radio Systems Committee (NRSC) and television stations 
may use subsidiary communications services.
    (b) Other technologies and public service providers, such as DBS, 
low earth orbiting satellites, etc., that wish to participate in the EAS 
may contact the FCC's Office of Homeland Security, Enforcement Bureau, 
or their State Emergency Communications Committee for information and 
guidance.

[60 FR 56000, Nov. 6, 1995, as amended at 65 FR 21658, Apr. 24, 2000; 69 
FR 30234, May 27, 2004]



                     Subpart D_Emergency Operations



Sec. 11.51  EAS code and Attention Signal Transmission requirements.

    (a) Broadcast stations must transmit, either automatically or 
manually, national level EAS messages and required tests by sending the 
EAS header codes, Attention Signal, emergency message and End of Message 
(EOM) using the EAS Protocol. The Attention Signal must precede any 
emergency audio message. After January 1, 1998, the shortened Attention 
Signal may only be used as an audio alert signal and the EAS codes will 
become the minimum signalling requirement for National level messages 
and tests.
    (b) When relaying EAS messages, broadcast stations and cable systems 
and wireless cable systems may transmit only the EAS header codes and 
the EOM code without the Attention Signal and emergency message for 
State and local emergencies. Television stations, cable systems and 
wireless cable systems should ensure that pauses in video programming 
before EAS message transmission do not cause television receivers to 
mute EAS audio messages. No Attention Signal is required for EAS 
messages that do not contain audio programming, such as a Required 
Weekly Test.
    (c) Effective January 1, 1997, all radio and television stations 
shall transmit EAS messages in the main audio channel.
    (d) By the above date, television stations shall transmit a visual 
message containing the Originator, Event, Location and the valid time 
period 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) Class D non-commercial educational FM stations as defined in 
Sec. 73.506 of this chapter, Low Power FM (LPFM) stations as defined in 
Sec. Sec. 73.811 and 73.853 of this chapter, and low power TV (LPTV) 
stations as defined in Sec. 74.701(f) of this chapter are not required 
to have equipment capable of generating the EAS codes and Attention 
Signal specified in Sec. 11.31.
    (f) Broadcast station equipment generating the EAS codes and the 
Attention Signal shall modulate a broadcast station transmitter so that 
the signal broadcast to other broadcast stations and cable systems and 
wireless cable systems alerts them that the EAS is being activated or 
tested at the National, State or Local Area level. The minimum level of 
modulation for EAS codes, measured at peak modulation levels using the 
internal calibration output required in Sec. 11.32(a)(4), shall 
modulate the transmitter 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 
calibrated 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) Effective October 1, 2002, cable systems with fewer than 5,000 
subscribers per headend and wireless cable

[[Page 735]]

systems 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 channel. The Attention Signal may be produced from a 
storage device. Additionally, cable systems and wireless cable systems 
must:
    (1) Install, operate, and maintain equipment capable of generating 
the EAS codes. The modulation levels for the EAS codes and Attention 
Signal shall comply with the aural signal requirements in Sec. 76.605 
of this chapter,
    (2) Provide a video interruption and an audio alert message on all 
channels. The audio alert message must state which channel is carrying 
the EAS video and audio message,
    (3) Cable systems and wireless cable systems shall transmit a visual 
EAS message on at least one channel. The message shall contain the 
Originator, Event, Location, and the valid time period 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) Cable systems and wireless cable systems may elect not to 
interrupt EAS messages from broadcast stations based upon a written 
agreement between all concerned. Further, cable systems and wireless 
cable systems may elect not to interrupt the programming of a broadcast 
station carrying news or weather related emergency information with 
state and local EAS messages based on a written agreement between all 
parties.
    (h) Effective December 31, 1998, cable systems with 10,000 or more 
subscribers; and, effective October 1, 2002, cable systems serving 5,000 
or more, but less than 10,000 subscribers per headend and wireless cable 
systems with 5,000 or more subscribers; shall transmit EAS audio 
messages in the same order specified in paragraph (a) of this section. 
The Attention Signal may be produced from a storage device. 
Additionally, after the dates indicated, these cable systems and 
wireless cable systems must:
    (1) Install, operate, and maintain equipment capable of generating 
the EAS codes. The modulation levels for the EAS codes and Attention 
Signal for cable systems shall comply with the aural signal requirements 
in Sec. 76.605 of this chapter. This will provide sufficient signal 
levels to operate cable subscriber television and radio receivers 
equipped with EAS decoders and to audibly alert subscribers. Wireless 
cable systems shall also provide sufficient signal levels to operate 
subscriber television and radio receivers equipped with EAS decoders and 
to audibly alert subscribers.
    (2) The cable systems and wireless cable systems in this paragraph 
(h) shall transmit the EAS audio message required in paragraph (a) of 
this section on all downstream channels.
    (3) The cable systems and wireless cable systems in this paragraph 
(h) 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 Sec. 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.
    (4) Cable systems and wireless cable systems may elect not to 
interrupt EAS messages from broadcast stations based upon a written 
agreement between all concerned. Further, cable systems and wireless 
cable systems may elect not to interrupt the programming of a broadcast 
station carrying news or weather related emergency information with 
state and local EAS messages based on a written agreement between all 
parties.
    (i) If manual interrupt is used as authorized in paragraph (k) of 
this section, EAS Encoders must be located so that broadcast station, 
cable system or wireless cable system staff, at normal duty locations, 
can initiate the EAS code and Attention Signal transmission.
    (j) Broadcast stations, and cable systems and wireless cable systems 
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 requirements contained

[[Page 736]]

in this section for the combined stations or cable systems or wireless 
cable systems with one EAS Encoder. The requirements of Sec. 11.32 must 
be met by the combined facility.
    (k) Broadcast stations and cable systems and wireless cable systems 
are required to transmit all received EAS messages in which the header 
code contains the Event codes for Emergency Action Notification (EAN), 
Emergency Action Termination (EAT), and Required Monthly Test (RMT), and 
when the accompanying location codes include their State or State/
county. These EAS messages shall be retransmitted unchanged except for 
the LLLLLLLL-code which identifies the broadcast station, cable system, 
wireless cable system, or other entity retransmitting the message. See 
Sec. 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 counties in its service area. When transmitting the 
required weekly test, broadcast stations and cable systems and wireless 
cable systems shall use the event code RWT. The location codes are the 
state and county for the broadcast station city of license or cable 
system or wireless cable system community or city. Other location codes 
may be included upon approval of broadcast station, cable system or 
wireless cable system management. EAS messages may be transmitted 
automatically or manually.
    (1) Automatic interrupt of programming and transmission of EAS 
messages are required when facilities are unattended. Automatic 
transmissions must include a permanent record that contains at a minimum 
the following information: Originator, Event, Location and valid time 
period of the message. The decoder performs the functions necessary to 
determine which EAS messages are automatically transmitted 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 
immediately and Monthly EAS test messages within 60 minutes. All actions 
must be logged and include the minimum information required for EAS 
video messages.
    (l) Broadcast stations and cable systems and wireless cable systems 
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 exceed 60 minutes.
    (m) Either manual or automatic operation of EAS equipment may be 
used at broadcast stations and cable systems and wireless cable systems 
that use remote control. If manual operation is used, an EAS decoder 
must be located at the remote control location and it must directly 
monitor the signals of the two assigned EAS sources. If direct 
monitoring of the assigned EAS sources is not possible at the remote 
location, automatic operation is required. If automatic operation is 
used, the remote control location may be used to override the 
transmission of an EAS alert. Broadcast stations and cable systems and 
wireless cable systems may change back and forth between automatic and 
manual operation.

[59 FR 67092, Dec. 28, 1994, as amended at 60 FR 56000, Nov. 6, 1995; 63 
FR 29664, June 1, 1998; 65 FR 7639, Feb. 15, 2000; 67 FR 18510, Apr. 16, 
2002]



Sec. 11.52  EAS code and Attention Signal Monitoring requirements.

    (a) Before January 1, 1998, broadcast stations must be capable to 
receiving the Attention Signal required by Sec. 11.32(a)(9) and 
emergency messages of other broadcast stations during their hours of 
operation. Effective January 1, 1997, all broadcast stations must 
install and operate during their hours of operation, equipment capable 
of receiving and decoding, either automatically or manually, the EAS 
header codes, emergency messages and EOM code. The effective dates for 
cable and wireless cable systems to install and operate EAS equipment 
are set forth in Sec. 11.11.

    Note to paragraph (a):
    After January 1, 1998, the two-tone Attention Signal will not be 
used to actuate two-tone decoders but will be used as an aural alert 
signal.


[[Page 737]]


    (b) If manual interrupt is used as authorized in Sec. 11.51(j)(2), 
decoders must be located so that operators at their normal duty stations 
at broadcast stations and cable systems and wireless cable systems can 
be alerted immediately when EAS messages are received.
    (c) Broadcast stations and cable systems and wireless cable systems 
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 with one EAS Decoder. The 
requirements of Sec. 11.33 must be met by the combined facility.
    (d) Broadcast stations and cable systems and wireless cable systems 
must monitor two EAS sources. The monitoring assignments of each 
broadcast station and cable system and wireless cable system are 
specified in the State EAS Plan and FCC Mapbook. They are developed in 
accordance with FCC monitoring priorities.
    (1) If the required EAS sources cannot be received, alternate 
arrangements or a waiver may be obtained by written request to the FCC's 
EAS office. In an emergency, a waiver may be issued over the telephone 
with a follow up letter to confirm temporary or permanent reassignment.
    (2) Broadcast station and cable system and wireless cable system 
management shall determine which header codes will automatically 
interrupt their programming for State and Local Area emergency 
situations affecting their audiences.
    (e) Broadcast stations and cable systems and wireless cable systems 
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 programming is required when facilities 
are unattended. 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 
immediately and Monthly EAS test messages within 60 minutes. All actions 
must be logged and recorded. Decoders must be programmed for the EAN and 
EAT Event header codes for National level emergencies and the RMT and 
RWT Event header codes for required monthly and weekly tests, with the 
appropriate accompanying State and State/county location codes.

[59 FR 67092, Dec. 28, 1994, as amended at 60 FR 56000, Nov. 6, 1995; 63 
FR 29665, June 1, 1998; 67 FR 18510, Apr. 16, 2002]



Sec. 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 Sec. 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 system. It is then 
disseminated via:
    (1) Radio and television broadcast stations.
    (2) Cable systems and wireless cable systems.
    (3) Other entities voluntarily participating 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) Broadcast stations must, prior to commencing routine operation 
or originating any emissions under program test, equipment test, 
experimental, or other authorizations, determine whether the EAS has 
been activated by monitoring the assigned EAS sources.

[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]

[[Page 738]]



Sec. 11.54  EAS operation during a National Level emergency.

    (a) The EAS Operating Handbook summarizes the procedures to be 
followed upon receipt of a National level EAN or EAT Message.
    (b) Immediately upon receipt of an EAN message, broadcast stations 
and cable systems and wireless cable systems must:
    (1) Monitor the two EAS sources assigned in the State or Local Area 
plan or FCC Mapbook for any further instructions.
    (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 station.
    (i) Key EAS sources (National Primary (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 National Level Instructions of the EAS Operating Handbook.
    (ii) Non-participating National (NN) sources follow the transmission 
procedures and make the sign-off announcement in the EAS Operating 
Handbook's National Level Instructions section for NN sources. After the 
sign-off announcement, NN sources are required to remove their carriers 
from the air and monitor for the Emergency Action Termination message. 
NN sources using automatic interrupt under Sec. 11.51(k)(1), must 
transmit the header codes, Attention Signal, sign-off announcement and 
EOM code after receiving the appropriate EAS header codes for a national 
emergency.
    (3) After completing the above transmission procedures, key EAS and 
Participating National sources must transmit a common emergency message 
until receipt of the Emergency Action Termination Message. Message 
priorities are specified in Sec. 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 
available. The text of the Standby Script is in the EAS Operating 
Handbook's section for Participating sources.
    (5) TV broadcast stations shall display an appropriate EAS slide and 
then transmit all EAS announcements visually and aurally as specified in 
Sec. 73.1250(h) of this chapter.
    (6) Cable systems and wireless cable systems shall transmit all EAS 
announcements visually and aurally as specified in Sec. 11.51(g) and 
(h).
    (7) Announcements may be made in the same language as the primary 
language of the station.
    (8) Broadcast stations may transmit their call letters and cable 
systems and wireless cable systems may transmit the names of the 
communities they serve during an EAS activation. State and Local Area 
identifications must be given as provided in State and Local Area EAS 
plans.
    (9) All broadcast stations and cable systems and wireless cable 
systems operating and identified with a particular EAS Local Area must 
transmit a common national emergency message until receipt of the 
Emergency Action Termination.
    (10) Broadcast stations, except those holding an EAS Non-
participating National Authorization letter, are exempt from complying 
with Sec. Sec. 73.62 and 73.1560 of this chapter (operating power 
maintenance) while operating under this part.
    (11) National Primary (NP) sources must operate under the procedures 
in the National Control Point Procedures.
    (12) The time of receipt of the EAN and Emergency Action Termination 
messages shall be entered by broadcast stations in their logs (as 
specified in Sec. Sec. 73.1820 and 73.1840 of this chapter), by cable 
systems in their records (as specified in Sec. 76.305 of this chapter), 
and by subject wireless cable systems in their records (as specified in 
Sec. 21.304 of this chapter).
    (c) Upon receipt of an Emergency Action Termination Message, 
broadcast stations and cable systems and wireless cable systems must 
follow the termination procedures in the EAS Operating Handbook.
    (d) Broadcast stations and cable systems and wireless cable systems 
originating emergency communications

[[Page 739]]

under this section shall be considered to have conferred rebroadcast 
authority, as required by Section 325(a) of the Communications Act of 
1934, 47 U.S.C. 325(a), to other participating broadcast stations, cable 
systems and wireless cable systems.
    (e) During a national level EAS emergency, broadcast stations may 
transmit in lieu of the EAS audio feed an audio feed of the President's 
voice message from an alternative source, 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]



Sec. 11.55  EAS operation during a State or Local Area emergency.

    (a) The EAS may be activated at the State and Local Area levels by 
broadcast stations, cable systems and wireless cable systems at their 
discretion for day-to-day emergency situations posing a threat to life 
and property. Examples of natural emergencies which may warrant 
activation are: tornadoes, floods, hurricanes, 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.
    (b) EAS operations must be conducted 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, 
broadcast stations, cable systems and wireless cable systems 
participating in the State or Local Area EAS must do the following:
    (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 monitor the Local Area SR sources or 
follow the State EAS plan for instructions.
    (3) Participating National (PN) and Non-participating National (NN) 
sources monitor the Local Area LP sources for instructions.
    (4) Broadcast stations, cable systems and wireless cable systems 
participating in the State or Local Area EAS must discontinue normal 
programming and follow the procedures in the State and Local Area plans. 
Television stations must comply with Sec. 11.54(b)(5) and cable systems 
and wireless cable systems must comply with Sec. 11.54(b)(6). Broadcast 
stations providing foreign language programming shall comply with Sec. 
11.54(b)(7).
    (5) Upon completion of the State or Local Area EAS transmission 
procedures, 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 actions must be entered in the 
broadcast station, cable system or wireless cable system records as 
specified in Sec. 11.54(b)(12).
    (8) Use of the EAS codes or Attention Signal automatically grants 
rebroadcast authority as specified in Sec. 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]



                             Subpart E_Tests



Sec. 11.61  Tests of EAS procedures.

    (a) Tests shall be made at regular intervals as indicated in 
paragraphs (a)(1) and (a)(2) of this section. Additional tests may be 
performed anytime. EAS activations and special tests may be performed in 
lieu of required tests as specified in paragraph (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) Effective January 1, 1997, AM, FM and TV stations.
    (ii) Effective October 1, 2002, cable systems with fewer than 5,000 
subscribers per headend.
    (iii) Effective December 31, 1998, cable systems with 10,000 or more 
subscribers; and effective October 1, 2002, cable systems serving 5,000 
or more,

[[Page 740]]

but less than 10,000 subscribers per headend.
    (iv) Effective October 1, 2002, all wireless cable systems.
    (v) 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 developed by State 
Emergency Communications Committees in cooperation with affected 
broadcast stations, cable systems, wireless cable systems, and other 
participants. Script content may be in the primary language of the 
broadcast station or cable system. These monthly tests must be 
transmitted within 60 minutes of receipt by broadcast stations and cable 
systems and wireless cable systems in an EAS Local Area or State. Class 
D non-commercial educational FM and LPTV stations are required to 
transmit only the test script.
    (2) Required Weekly Tests:
    (i) EAS Header Codes and EOM Codes:
    (A) Effective January 1, 1997, AM, FM and TV stations must conduct 
tests of the EAS header and EOM codes at least once a week at random 
days and times.
    (B) Effective December 31, 1998, cable systems with 10,000 or more 
subscribers per headend must conduct tests of the EAS header and EOM 
codes at least once a week at random days and times on all programmed 
channels:
    (C) Effective October 1, 2002, cable systems serving fewer than 
5,000 subscribers per headend 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) Effective October 1, 2002, the following cable systems and 
wireless cable systems must conduct tests of the EAS header and EOM 
codes at least once a week at random days and times on all programmed 
channels:
    (1) Cable systems serving 5,000 or more, but less than 10,000 
subscribers per headend; and,
    (2) Wireless cable systems with 5,000 or more subscribers.
    (E) Effective October 1, 2002, the following cable systems and 
wireless cable systems 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:
    (1) Cable systems with fewer than 5,000 subscribers per headend; 
and,
    (2) Wireless cable systems with fewer than 5,000 subscribers.
    (ii) Class D non-commercial educational FM and LPTV stations are not 
required to transmit this test but must log receipt.
    (iii) The EAS weekly test is not required during the week that a 
monthly test is conducted.
    (iv) TV stations, cable television systems and wireless cable 
systems are not required 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 
emergencies or special tests at the State or Local Area level by a 
broadcast station, cable system or wireless cable system instead of the 
monthly or weekly tests required by this section. To substitute for a 
monthly test, activation must include transmission of the EAS header 
codes, Attention Signal, emergency message and EOM code and comply with 
the visual message requirements in Sec. 11.51. To substitute for the 
weekly test of the EAS header codes and EOM codes in paragraph (2)(i) of 
this section, activation must include transmission of the EAS header and 
EOM codes. Television stations and cable systems and wireless cable 
systems shall comply with the aural and visual message requirements in 
Sec. 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 broadcast station and cable system and 
wireless cable system records as specified in Sec. 11.54(b)(12).

[67 FR 18511, Apr. 16, 2002]

[[Page 741]]



PART 13_COMMERCIAL RADIO OPERATORS--Table of Contents




                                 General

Sec.
13.1 Basis and purpose.
13.3 Definitions.
13.5 Licensed commercial radio operator required.
13.7 Classification of operator licenses and endorsements.
13.8 Authority conveyed.
13.9 Eligibility and application for new license 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



Sec. 13.1  Basis and purpose.

    (a) Basis. The basis for the rules contained in this part is the 
Communications Act of 1934, as amended, and applicable 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 commercial radio operators are 
licensed by the Commission.



Sec. 13.3  Definitions.

    The definitions of terms used in part 13 are:
    (a) COLEM. Commercial operator license examination manager.
    (b) Commercial radio operator. A person holding a license or 
licenses specified in Sec. 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 Committee (CCITT) 
Recommendation F.1 (1984), Division B, I. Morse code.
    (f) ITU. International Telecommunication Union.
    (g) PPC. Proof-of-Passing Certificate.
    (h) Question pool. All current examination questions for a 
designated written examination element.
    (i) Question set. A series of examination 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.



Sec. 13.5  Licensed commercial radio operator required.

    Rules that require FCC station licensees to have certain transmitter 
operation, maintenance, and repair duties performed by a commercial 
radio operator are contained in parts 23, 80, and 87 of this chapter.

[63 FR 68942, Dec. 14, 1998]



Sec. 13.7  Classification of operator licenses and endorsements.

    (a) Commercial radio operator licenses issued by the FCC are 
classified in accordance with the Radio Regulations of the ITU.
    (b) There are ten types of commercial radio operator licenses, 
certificates and permits (licenses). The license's ITU classification, 
if different from its name, is given in parentheses.
    (1) First Class Radiotelegraph Operator's Certificate.
    (2) Second Class Radiotelegraph Operator's Certificate.
    (3) Third Class Radiotelegraph Operator's Certificate 
(radiotelegraph operator's special certificate).
    (4) General Radiotelephone Operator License (radiotelephone 
operator's general certificate).
    (5) Marine Radio Operator Permit (radiotelephone operator's 
restricted certificate).

[[Page 742]]

    (6) Restricted Radiotelephone Operator Permit (radiotelephone 
operator's restricted certificate).
    (7) Restricted Radiotelephone Operator Permit-Limited Use 
(radiotelephone operator's restricted certificate).
    (8) GMDSS Radio Operator's License (general operator's certificate).
    (9) Restricted GMDSS Radio Operator's License (restricted operator's 
certificate).
    (10) GMDSS Radio Maintainer's License (technical portion of the 
first-class radio electronic certificate).
    (c) There are six license endorsements affixed by the FCC to provide 
special authorizations or restrictions. Endorsements may be affixed to 
the license(s) indicated in parenthesis.
    (1) Ship Radar Endorsement (First and Second Class Radiotelegraph 
Operator's Certificates, General Radiotelephone 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 
language or literacy waivers, or other matters (all licenses).
    (4) Marine Radio Operator Permits shall bear the following 
endorsement: This permit does not authorize the operation 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 operate licensed radio stations in the Aviation, Marine and 
International Fixed Public Radio Services only. This authority 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 stations. It is not assignable 
or transferable.
    (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 person still may be issued the 
license if found qualified. Such a license shall bear a restrictive 
endorsement as follows:
    This license is not valid for the performance of any operating 
duties, other than installation, service and maintenance duties, at any 
station licensed 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 technical radio matters, the endorsement specified in paragraph 
(c)(6)(i) of this section will be modified by deleting the reference 
therein to installation, service, and maintenance duties.
    (iii) In any case where an applicant who normally would receive or 
has received a commercial radio operator license bearing the endorsement 
prescribed by paragraph (c)(6)(i) of this section, indicates a desire to 
operate a station falling within the prohibited terms of the 
endorsement, the applicant 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 support 
thereof.
    (iv) An applicant who shows that he has performed satisfactorily the 
duties of a radio operator at a station required to be provided for 
safety purposes 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 Operator 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 operating radio 
stations on aircraft.
    (e) A Restricted Radiotelephone Operator Permit-Limited Use issued 
by the FCC to a person under the provision of Section 303(1)(2) of the 
Communications Act of 1934, as amended, is

[[Page 743]]

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]



Sec. 13.8  Authority conveyed.

    Licenses, certificates and permits issued under this part convey 
authority for the operating privileges of other licenses, certificates, 
and permits issued under this part as specified below:
    (a) First Class Radiotelegraph Operator's Certificate conveys all of 
the operating authority of the Second Class Radiotelegraph Operator's 
Certificate, the Third Class Radiotelegraph Operator'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 
Certificate, the Restricted Radiotelophone Operator Permit, and the 
Marine Radio Operator Permit.
    (c) A Third Class Radiotelegraph Operator's Certificate conveys all 
of the operating authority of the Restricted Radiotelophone Operator 
Permit and the Marine Radio Operator Permit.
    (d) A General Radiotelephone Operator License conveys all of the 
operating authority of the Marine Radio Operator Permit.
    (e) A GMDSS Radio Operator's License conveys all of the operating 
authority of the Marine Radio Operator Permit.
    (f) A GMDSS Radio Maintainer's License conveys all of the operating 
authority of the General Radiotelephone Operator License and the Marine 
Radio Operator Permit.

[64 FR 53240, Oct. 1, 1999]



Sec. 13.9  Eligibility and application for new license or endorsement.

    (a) If found qualified, the following persons are eligible to apply 
for commercial radio operator licenses:
    (1) Any person legally eligible for employment in the United States.
    (2) Any person, for the purpose of operating aircraft radio 
stations, who holds:
    (i) United States pilot certificates; or
    (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 requirement relating to eligibility for employment upon 
United States citizens.
    (3) Any person who holds a FCC radio station license, for the 
purpose of operating that station.
    (4) Notwithstanding any other provisions of the FCC's rules, no 
person shall be eligible to be issued a commercial radio operator 
license when
    (i) The person's commercial radio operator license is suspended, or
    (ii) The person's commercial radio operator license is the subject 
of an ongoing suspension proceeding, or
    (iii) The person is afflicted with complete deafness or complete 
muteness or complete inability for any other reason to transmit 
correctly and to receive correctly by telephone spoken messages in 
English.
    (b)(1) Each application for a new General Radiotelephone Operator 
License, Marine Radio Operator Permit, First Class Radiotelegraph 
Operator's Certificate, Second Class Radiotelegraph Operator's 
Certificate, Third Class Radiotelegraph 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 License 
must be filed on FCC Form 605 in accordance with Sec. 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 Sec. 1.913 of this chapter.
    (c) Each application for a new General Radiotelephone Operator 
License, Marine Radio Operator Permit, First Class Radiotelegraph 
Operator's Certificate, Second Class Radiotelegraph Operator's 
Certificate, Third Class Radiotelegraph Operator's Certificate, Ship 
Radar Endorsement, GMDSS Radio Operator's License, Restricted GMDSS 
Radio Operator's License, GMDSS Radio Maintainer's License, or

[[Page 744]]

GMDSS Radio Operator/Maintainer License must be accompanied by the 
required fee, if any, and submitted in accordance with Sec. 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 examination 
element(s) within the previous 365 days when the applicant 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 
specified below:
    (1) An unexpired (or within the grace period) FCC-issued commercial 
radio operator license: The written examination and telegraphy 
Element(s) required 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 commercial radio operator license was 
not revoked, or suspended, and is not the subject of an ongoing 
suspension proceeding, 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 examination(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 
discretion, may cancel this temporary conditional operating authority 
without a hearing.
    (f) Each application for a new six months service endorsement must 
be submitted in accordance with Sec. 1.913 of this chapter. The 
application must include 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 totaling at least six months;
    (2) The ships were equipped with a radio station complying with the 
provisions of part II of title III of the Communications Act, or the 
ships were owned and operated by the U.S. Government and equipped with 
radio stations;
    (3) The ships were in service during the applicable six month period 
and no portion of any single in-port period included in the qualifying 
six months period exceeded seven days;
    (4) The applicant held a FCC-issued First or Second Class 
Radiotelegraph Operator's Certificate during this entire six month 
qualifying period; and
    (5) The applicant holds a radio officer's license issued by the U.S. 
Coast Guard at the time the six month endorsement is requested.
    (g) No person shall alter, duplicate for fraudulent purposes, or 
fraudulently 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, duplicated 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 fraudulent 
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]



Sec. 13.10  Licensee address.

    In accordance with Sec. 1.923 of this chapter all applications must 
specify an address where the applicant can receive mail delivery by the 
United States Postal Service except as specified below:
    (a) Applicants for a Restricted Radiotelephone Operator Permit;
    (b) Applicants for a Restricted Radiotelephone Operator Permit--
Limited Use.

[64 FR 53240, Oct. 1, 1999]



Sec. 13.11  Holding more than one commercial 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;

[[Page 745]]

    (3) No person may hold any class of radiotelegraph operator's 
certificate and a Restricted Radiotelephone Operator Permit.
    (b) Each person who is not legally eligible for employment in the 
United States, and certain other persons who were issued permits prior 
to September 13, 1982, may hold two Restricted Radiotelephone Operator 
Permits simultaneously when each permit authorizes the operation of a 
particular station or class of stations.



Sec. 13.13  Application for a renewed or modified license.

    (a) Each application to renew a First Class Radiotelegraph 
Operator's Certificate, Second Class Radiotelegraph Operator's 
Certificate, Third Class Radiotelegraph Operator's Certificate, Marine 
Radio Operator Permit, GMDSS Radio Operator's License, Restricted GMDSS 
Radio Operator's License, GMDSS Radio Maintainer's License, or GMDSS 
Radio Operator/Maintainer License must be made on FCC Form 605. The 
application must be accompanied by the appropriate fee and submitted in 
accordance with Sec. 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 expiration date without having to 
retake the required examinations. The application must be accompanied by 
the required fee and submitted in accordance with Sec. 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 involving a change in operator class must be accompanied by the 
required fee, if any, and submitted in accordance with Sec. 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 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) Provided that a person's commercial radio operator license was 
not revoked, or suspended, and is not the subject of an ongoing 
suspension proceeding, a person holding a General Radiotelephone 
Operator License, Marine Radio Operator Permit, First Class 
Radiotelegraph Operator's Certificate, Second Class Radiotelegraph 
Operator's Certificate, Third Class Radiotelegraph Operator's 
Certificate, GMDSS Radio Operator's License, Restricted GMDSS Radio 
Operator's License, GMDSS Radio Maintainer's License, or GMDSS Radio 
Operator/Maintainer 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 
authorized to exercise the rights and privileges of the license for 
which the application is filed. This temporary conditional 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 obligation 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 authority without a hearing.
    (e) An applicant will be given credit for an examination element as 
specified below:
    (1) An unexpired (or within the grace period) FCC-issued commercial 
radio operator license: The written examination and telegraphy 
Element(s) required 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]

[[Page 746]]



Sec. 13.15  License term.

    (a) Commercial radio operator licenses are normally valid for a term 
of five years from the date of issuance, except as provided in paragraph 
(b) of this section.
    (b) General Radiotelephone Operator Licenses, Restricted 
Radiotelephone Operator Permits, and Restricted Radiotelephone Operator 
Permits-Limited Use are normally valid for the lifetime of the holder. 
The terms of all Restricted Radiotelephone Operator Permits issued prior 
to November 15, 1953, and valid on that date, are extended to the 
lifetime of the operator.



Sec. 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 replacement General Radiotelephone 
Operator License, Marine Radio Operator Permit, First Class 
Radiotelegraph Operator's Certificate, Second Class Radiotelegraph 
Operator's Certificate, Third Class Radiotelegraph Operator's 
Certificate, GMDSS Radio Operator's License, Restricted GMDSS Radio 
Operator License, GMDSS Radio Maintainer's License, or GMDSS Radio 
Operator/Maintainer license must be made on FCC Form 605 and must 
include a written explanation as to the circumstances involved in the 
loss, mutilation, or destruction of the original document.
    (c) Each application for a replacement Restricted Radiotelephone 
Operator Permit must be on FCC Form 605.
    (d) Each application for a replacement Restricted Radiotelephone 
Operator Permit-Limited Use must be on FCC Form 605.
    (e) A licensee who has made application for a replacement license 
may exhibit a copy of the application submitted to the FCC or a 
photocopy of the license in lieu of the original document.

[58 FR 9124, Feb. 19, 1993, as amended at 63 FR 68942, Dec. 14, 1998; 68 
FR 46959, Aug. 7, 2003]



Sec. 13.19  Operator's responsibility.

    (a) The operator responsible for maintenance of a transmitter may 
permit other persons to adjust that transmitter in the operator's 
presence for the purpose of carrying out tests or making adjustments 
requiring specialized knowledge or skill, provided that he or she shall 
not be relieved thereby from responsibility for the proper operation of 
the equipment.
    (b) In every case where a station operating log or service and 
maintenance log is required, the operator responsible for the station 
operation or maintenance shall make the required entries in the station 
log. If no station log is required, the operator responsible 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 expiration 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 inspection functions, the 
license or permit 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 
request by a FCC representative.
    (d) The operator on duty and in charge of transmitting systems, or 
performing service, maintenance or inspection 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 employed 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]

[[Page 747]]

                           Examination System



Sec. 13.201  Qualifying for a commercial operator license or endorsement.

    (a) To be qualified to hold any commercial radio operator license, 
an applicant must have a satisfactory knowledge of FCC rules and must 
have the ability to send correctly and receive correctly spoken messages 
in the English language.
    (b) An applicant must pass an examination for the issuance of a new 
commercial radio operator license, other than the Restricted 
Radiotelephone Operator Permit and the Restricted Radiotelephone 
Operator Permit-Limited Use, and for each change in operator class. An 
applicant must pass an examination for the issuance of a new Ship Radar 
Endorsement. Each application for the class of license or endorsement 
specified below must pass, or otherwise receive credit for, the 
corresponding examination elements:
    (1) First Class Radiotelegraph Operator'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 radiotelegraph at a public coast 
station, a ship station, or both.
    (2) Second Class Radiotelegraph Operator's Certificate.
    (i) Telegraphy Elements 1 and 2;
    (ii) Written Elements 1, 5, and 6.
    (3) Third Class Radiotelegraph Operator'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 designee representing a certificate of competency from a 
Coast Guard-approved training course for a GMDSS endorsement.
    (7) Restricted GMDSS Radio Operator License: Written Elements 1 and 
7R, or a Proof of Passing Certificate (PPC) issued by the United States 
Coast Guard or its designee representing a certificate of competency 
from a Coast Guard-approved training course for a GMDSS endorsement.
    (8) GMDSS Radio Maintainer's License: 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]



Sec. 13.203  Examination elements.

    (a) A written examination (written Element) must prove that the 
examinee possesses the operational and technical qualifications to 
perform the duties required by a person holding that class of commercial 
radio operator license. Each written examination must be comprised of a 
question set 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. 24 questions concerning provisions of laws, treaties, 
regulations, and operating procedures and practices generally followed 
or required in communicating by means of radiotelephone stations. The 
minimum passing score is 18 questions answered correctly.
    (2) Element 3: General radiotelephone. 76 questions concerning 
electronic fundamentals and techniques required to adjust, repair, and 
maintain radio transmitters and receivers at stations licensed by the 
FCC in the aviation, maritime, and international fixed public radio 
services. The minimum passing score is 57 questions answered correctly.
    (3) Element 5: Radiotelegraph operating practice. 50 questions 
concerning radio operating procedures and practices generally followed 
or required in communicating by means of radiotelegraph stations 
primarily other than in the maritime mobile services of public 
correspondence. The minimum passing score is 38 questions answered 
correctly.
    (4) Element 6: Advanced radiotelegraph. 100 questions concerning 
technical, legal and other matters applicable to the operation of all 
classes of radiotelegraph stations, including

[[Page 748]]

operating procedures and practices in the maritime mobile services of 
public correspondence, and associated matters such as radio navigational 
aids, message traffic routing and accounting, etc. The minimum passing 
score is 75 questions answered correctly.
    (5) Element 7: GMDSS radio operating practices. 76 questions 
concerning GMDSS radio operating procedures and practices sufficient to 
show detailed practical knowledge of the operation of all GMDSS sub-
systems and equipment; ability to send and receive correctly by radio 
telephone and narrow-band direct-printing telegraphy; detailed knowledge 
of the regulations applying 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 satisfactorily both orally and in writing; knowledge 
of and ability to perform each function listed in Sec. 80.1081; and 
knowledge covering the requirements set forth in IMO Assembly Resolution 
on Training for Radio Personnel (GMDSS), Annex 3. The minimum passing 
score is 57 questions answered correctly.
    (6) Element 8: Ship radar techniques. 50 questions concerning 
specialized theory and practice applicable to the proper installation, 
servicing and maintenance of ship radar equipment in general use for 
marine navigational purposes. The minimum passing score is 38 questions 
answered correctly.
    (7) Element 9: GMDSS radio maintenance practices and procedures. 50 
questions 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. The minimum passing score is 38 
questions answered correctly.
    (b) A telegraphy examination (telegraphy Elements) must prove that 
the examinee has the ability to send correctly 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 alphabet, 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.



Sec. 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 supplier or other COLEM.
    (c) A telegraphy examination must consist of a plain language text 
or code group message sent in the international 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 telegraphy 
examination. Each five letters of the alphabet must be counted as one 
word or one code group. Each numeral, 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.



Sec. 13.209  Examination procedures.

    (a) Each examination for a commercial radio operator license must be 
administered at a location and a time specified by the COLEM. The COLEM 
is responsible for the proper conduct and necessary supervision of each 
examination. The COLEM must immediately terminate the examination upon 
failure 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.

[[Page 749]]

    (c) No examination that has been compromised shall be administered 
to any examinee. Neither the same telegraphy message nor the same 
question set may be re-administered to the same examinee.
    (d) Passing a telegraphy examination.
    (1) To pass a receiving telegraphy examination, 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 Sec. 13.203 for 
the class of license sought.
    (2) To pass a sending telegraphy examination, an examinee is 
required to send correctly for a period of 1 minute at the rate of speed 
prescribed in Sec. 13.203(b) for the class of license sought.
    (e) Passing a telegraphy receiving examination is adequate proof of 
an examinee's ability to both send and receive telegraphy. The COLEM, 
however, may also include a sending segment in a telegraphy examination.
    (f) The COLEM is responsible for determining the correctness of he 
examinee's answers. When the examinee 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 
operator license shall, by reason of any physical handicap, be denied 
the privilege of applying and being permitted to attempt to prove his or 
her qualifications (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 
disabilities require a special examination procedure. The COLEM may 
require a physician's certification indicating the nature of the 
disability before determining which, if any, special procedures are 
appropriate to use. In the case of a blind examinee, the examination 
questions may be read aloud and the examinee may answer orally. A blind 
examinee wishing to use this procedure must make arrangements with the 
COLEM prior to the date the examination is desired.
    (j) The FCC may:
    (1) Administer any examination element 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 examination when directed by 
the FCC, or who fails any required element that is re-administered. In 
case of such cancellation, the person will be issued an operator license 
consistent with completed examination elements that have not been 
invalidated by not appearing for, or by failing, the examination upon 
re-administration.



Sec. 13.211  Commercial radio operator license examination.

    (a) Each session where an examination for a commercial radio 
operator license is administered must be managed by a COLEM or the FCC.
    (b) Each examination for a commercial radio operator license must be 
administered as determined by the COLEM.
    (c) The COLEM may limit the number 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 distract 
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 examinee who scores a passing grade on 
an examination element.
    (f) A PPC is valid for 365 days from the date it is issued.



Sec. 13.213  COLEM qualifications.

    No entity may serve as a COLEM unless it has entered into a written 
agreement with the FCC. In order to be eligible to be a COLEM, the 
entity must:
    (a) Agree to abide by the terms of the agreement;

[[Page 750]]

    (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 endorsements;
    (d) Agree to assure that, for any examination, 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 
request.
    (f) Agree not to administer an examination to an employee, relative, 
or relative of an employee.



Sec. 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 least 5 times the number of questions required for a single 
examination. The FCC will issue public announcements detailing the 
questions in the pool for each element. COLEMs must use only the most 
recent question pool made available to the public when preparing a 
question set for a written examination element.



Sec. 13.217  Records.

    Each COLEM recovering fees from examinees must maintain records of 
expenses and revenues, frequency of examinations administered, and 
examination 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 Commission. Each COLEM must retain records for 1 year and the 
records must be made available to the FCC upon request.



PART 15_RADIO FREQUENCY DEVICES--Table of Contents




                            Subpart A_General

Sec.
15.1 Scope of this part.
15.3 Definitions.
15.5 General conditions of operation.
15.7 Special temporary authority.
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 measurements.
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 unintentional 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 requirements 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 converter boxes.
15.123 Labeling of digital cable ready products.

                     Subpart C_Intentional Radiators

15.201 Equipment authorization requirement.
15.203 Antenna requirement.
15.204 External radio frequency power amplifiers and antenna 
          modifications.
15.205 Restricted bands of operation.
15.207 Conducted limits.
15.209 Radiated emission limits; general requirements.
15.211 Tunnel radio systems.
15.213 Cable locating equipment.
15.214 Cordless telephones.

[[Page 751]]

             Radiated Emission Limits, Additional Provisions

15.215 Additional provisions to the general radiated emission 
          limitations.
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.
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.
15.251 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.
15.253 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 requirement.
15.307 Coordination with fixed microwave service.
15.309 Cross reference.
15.311 Labelling requirements.
15.313 Measurement procedures.
15.315 Conducted limits.
15.317 Antenna requirement.
15.319 General technical requirements.
15.321 Specific requirements for asynchonous devices operating in the 
          1910-1920 MHz and 2390-2400 MHz bands.
15.323 Specific requirements for isochronous devices operating 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 systems.
15.510 Technical requirements for through D-wall imaging systems.
15.511 Technical requirements for surveillance 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.

    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



Sec. 15.1  Scope of this part.

    (a) This part sets out the regulations under which an intentional, 
unintentional, or incidental radiator may be operated without an 
individual license. It also contains the technical specifications, 
administrative requirements and other conditions relating to the 
marketing of part 15 devices.
    (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 Communications Act of 
1934, as amended, unless otherwise exempted from the licensing 
requirements elsewhere in this chapter.
    (c) Unless specifically exempted, the operation or marketing of an 
intentional or unintentional radiator that is not in compliance with the 
administrative and technical provisions in this

[[Page 752]]

part, including prior Commission authorization or verification, as 
appropriate, 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 detailed in 
subpart J of part 2 of this chapter.



Sec. 15.3  Definitions.

    (a) Auditory assistance device. An intentional radiator used to 
provide auditory assistance to a handicapped person or persons. Such a 
device may be used for auricular training in an education institution, 
for auditory assistance at places of public gatherings, such as a 
church, theater, or auditorium, and for auditory assistance to 
handicapped individuals, only, in other locations.
    (b) Biomedical telemetry device. An intentional radiator used to 
transmit measurements of either human or animal biomedical phenomena to 
a receiver.
    (c) Cable input selector switch. A transfer 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 television service.
    (d) Cable locating equipment. An intentional radiator used 
intermittently by trained operators to locate buried cables, lines, 
pipes, and similar structures or elements. Operation entails coupling a 
radio frequency signal onto the cable, pipes, etc. and using a receiver 
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 connect a cable system operated 
under part 76 of this chapter to a TV broadcast receiver or other 
subscriber premise equipment. Any device which functions as a CSTD in 
one of its operating modes must comply with the technical requirements 
for such devices 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 current system can be designed such that the signals 
are received by conduction directly from connection to the electric 
power lines (unintentional radiator) 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 operates 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 stations 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 selected, except that an Amateur Radio Service 
receiver that was manufactured 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 device that is marketed for 
use in a commercial, industrial or business environment, 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 device that is marketed for 
use in a residential environment notwithstanding use in commercial, 
business and industrial 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 qualify a device intended to be 
marketed in a commercial, business or industrial environment as a Class 
B device, and in fact is encouraged to do so, provided the device 
complies 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 public switched 
telephone network and the

[[Page 753]]

other a mobile handset unit that communicates directly with the base 
station. Transmissions from the mobile unit are received by the base 
station and then placed on the public switched telephone network. 
Information received from the switched telephone network is transmitted 
by the base station 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 
intended to be the primary modes of operation.

    (k) Digital device. (Previously defined as a computing device). An 
unintentional 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 computations, operations, 
transformations, recording, filing, sorting, storage, retrieval, or 
transfer. A radio frequency device that is specifically subject to an 
emanation requirement in any other FCC Rule part or an intentional 
radiator subject to subpart C of this part that contains a digital 
device is not subject to the standards for digital devices, 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 computer 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 emission, radiation or induction that 
endangers the functioning of a radio navigation service or of other 
safety services 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 during the course of its operation although the device is not 
intentionally designed to generate or emit radio frequency 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 
schematic 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 allows 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. Peripherals to a digital device include any device that 
is connected external to the digital device, any device internal to the 
digital device that connects the digital device to an external device by 
wire or cable, and any circuit board designed for interchangeable 
mounting, internally or externally, that increases the operating or 
processing speed of a digital device, e.g., ``turbo'' cards and 
``enhancement'' boards. Examples of peripheral devices include 
terminals, printers, external floppy disk drives and other data storage 
devices, video monitors, keyboards, interface boards, external memory 
expansion cards, and other input/output devices that may or may not 
contain digital circuitry. This definition does not include CPU boards, 
as defined in paragraph (bb) of this section, even though a CPU board 
may connect to an external keyboard or other components.
    (s) Personal computer. An electronic computer that is marketed for 
use in the home, notwithstanding business

[[Page 754]]

applications. Such computers are considered Class B digital devices. 
Computers which use a standard TV receiver 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 general 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 demonstrate that because of price or 
performance the computer is not suitable for residential or hobbyist 
use, it may request that the computer be considered to fall outside of 
the scope of this definition for personal computers.
    (t) Power line carrier systems. An unintentional radiator employed 
as a carrier current system used by an electric power utility entity on 
transmission lines for protective relaying, telemetry, etc. for general 
supervision of the power system. The system operates by the transmission 
of radio frequency energy by conduction over the electric power 
transmission lines of the system. The system does not include those 
electric lines which connect the distribution substation to the customer 
or house wiring.
    (u) Radio frequency (RF) energy. Electromagnetic 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 broadcast signals under part 73 of this 
chapter, for the reception of NOAA broadcast weather band signals, or 
for operation 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 simultaneously 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 reception of radio frequency signals received by any 
other method, such as from a TV interface device.
    (y) TV interface device. An unintentional radiator that produces or 
translates in frequency a radio frequency carrier modulated by a video 
signal derived from an external or internal signal source, and which 
feeds the modulated radio frequency energy by conduction 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 device consisting of an RF modulator, video 
source and other components devices. Examples of TV interface devices 
are video cassette recorders and terminal devices attached to a cable 
system or used with a Master Antenna (including those used for central 
distribution video devices in apartment or office buildings).
    (z) Unintentional radiator. A device that intentionally generates 
radio frequency energy for use within the device, or that sends radio 
frequency signals by conduction to associated equipment 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 receiving devices, including TV receivers, videocassette 
recorders and similar devices, that incorporate a tuner capable of 
receiving television signals and an input terminal intended for 
receiving cable television service, and are marketed as ``cable ready'' 
or ``cable compatible.'' Such equipment shall comply with the technical 
standards specified in Sec. 15.118 and the provisions of Sec. 
15.19(d).
    (bb) CPU board. A circuit board that contains a microprocessor, or 
frequency 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

[[Page 755]]

under the primary control or instruction 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 integral part of an intentional radiator as manufactured and which, 
when used in conjunction with an intentional radiator 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 measurements or scientific 
investigations. Such equipment includes, but is not limited to, field 
strength meters, spectrum analyzers, and modulation monitors.
    (ee) Radar detector. A receiver designed to signal the presence of 
radio signals used for determining the speed of motor vehicles. This 
definition does not encompass the receiver incorporated within a radar 
transceiver certified under the Commission's rules.

[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]



Sec. 15.5  General conditions of operation.

    (a) Persons operating intentional or unintentional radiators shall 
not be deemed to have any vested or recognizable right to continued use 
of any given frequency by virtue of prior registration or certification 
of equipment, or, for power line carrier systems, on the basis of prior 
notification of use pursuant to Sec. 90.63(g) of this chapter.
    (b) Operation of an intentional, unintentional, or incidental 
radiator is subject to the conditions that no harmful interference is 
caused and that interference must be accepted that may be caused by the 
operation of an authorized radio station, by another intentional or 
unintentional radiator, by industrial, scientific and medical (ISM) 
equipment, or by an incidental radiator.
    (c) The operator of a radio frequency device shall be required to 
cease operating 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 
interference has been corrected.
    (d) Intentional radiators that produce Class B emissions (damped 
wave) are prohibited.



Sec. 15.7  Special temporary authority.

    (a) The Commission will, in exceptional situations, consider an 
individual application for a special temporary authorization to operate 
an incidental, intentional or unintentional radiation device not 
conforming to the provisions of this part, where it can be shown that 
the proposed operation would be in the public interest, that it is for a 
unique type of station or for a type of operation which is incapable of 
being established as a regular service, and that the proposed operation 
can not feasibly be conducted under this part.
    (b) No authorization is required in order to perform testing of 
equipment for determining compliance with these regulations. Except as 
provided in subpart I of part 2 of this chapter, this provision does not 
permit the providing of equipment to potential users in order to 
determine customer acceptance of the product or marketing strategy, nor 
does this provision permit any type of operation other than a 
determination of compliance with the regulations. During this testing, 
the provisions of Sec. Sec. 15.5 and 15.205 apply.

    Effective Date Note: At 69 FR 54034, Sept. 7, 2004, Sec. 15.7 was 
removed, effective Oct. 7, 2004.



Sec. 15.9  Prohibition against eavesdropping.

    Except for the operations of law enforcement 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 of 
others unless such use is authorized by all of the parties engaging in 
the conversation.

[[Page 756]]



Sec. 15.11  Cross reference.

    The provisions of subparts A, H, I, J and K of part 2 apply to 
intentional and unintentional radiators, in addition 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.



Sec. 15.13  Incidental radiators.

    Manufacturers of these devices shall employ good engineering 
practices to minimize the risk of harmful interference.



Sec. 15.15  General technical requirements.

    (a) An intentional or unintentional radiator shall be constructed in 
accordance 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) An intentional or unintentional radiator must be constructed 
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 
device in violation of the regulations.
    (c) Parties responsible for equipment compliance should note that 
the limits specified in this part will not prevent harmful interference 
under all circumstances. Since the operators of part 15 devices are 
required to cease operation should harmful interference occur to 
authorized users of the radio frequency spectrum, the parties 
responsible for equipment compliance are encouraged to employ the 
minimum field strength necessary for communications, to provide greater 
attenuation of unwanted emissions than required by these regulations, 
and to advise the user as to how to resolve harmful interference 
problems (for example, see Sec. 15.105(b)).



Sec. 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 mobile, and non-
geostationary mobile satellite feeder link earth stations, and of U.S. 
Government radio stations, which could include high-powered radar 
systems, when choosing operating frequencies during the design of their 
equipment so as to reduce the susceptibility for receiving harmful 
interference. Information on non-Government use of the spectrum can be 
obtained by consulting the Table of Frequency Allocations in Sec. 2.106 
of this chapter.
    (b) Information on U.S. Government operations can be obtained by 
contacting: Director, Spectrum Plans and Policy, National 
Telecommunications and Information Administration, Department 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]



Sec. 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 operation 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 condition that this device does not cause harmful 
interference.

    (2) A stand-alone cable input selector switch, shall bear the 
following statement in a conspicuous location on the device:

    This device is verified to comply with part 15 of the FCC Rules for 
use with cable television 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 following two conditions: (1) This device may not cause 
harmful interference, and (2) this device must accept any interference 
received, including interference that may cause undesired operation.


[[Page 757]]


    (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 affixed 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 identifier, 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 Sec. 
2.1074 of this chapter and the following logo:
    (i) If the product is authorized based on testing of the product or 
system; or
[GRAPHIC] [TIFF OMITTED] TR09DE03.000

    (ii) If a personal computer is authorized based on assembly using 
separately authorized components, in accordance with Sec. 15.101(c)(2) 
or (c)(3), and the resulting product is not separately tested:
[GRAPHIC] [TIFF OMITTED] TR09DE03.001

    (2) Label text and information should be in a size of type large 
enough to be readily legible, consistent with the dimensions 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 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 supplied to the 
user. However, the unique identification (trade name and model number) 
and the logo must be displayed on the device.
    (4) The label shall not be a stick-on, paper label. The label on 
these products shall be permanently affixed to the product and shall be 
readily visible to the purchaser at the time of purchase, as described 
in Sec. 2.925(d) of this chapter. ``Permanently affixed'' means that 
the label is etched, engraved,

[[Page 758]]

stamped, silkscreened, indelibly printed, 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 lifetime of the equipment in the environment in 
which the equipment may be operated and must not be readily detachable.
    (c) [Reserved]
    (d) Consumer electronics TV receiving devices, including TV 
receivers, videocassette recorders, and similar devices, that 
incorporate features intended to be used with cable television service, 
but do not fully comply with the technical standards for cable ready 
equipment set forth in Sec. 15.118, shall not be marketed with 
terminology that describes the device as ``cable ready'' or ``cable 
compatible,'' or that otherwise conveys the impression that the device 
is fully compatible with cable service. Factual statements about the 
various features of a device that are intended 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 compatible with cable 
service. Statements relating to product features are generally 
acceptable where they are limited to one or more specific features of a 
device, 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 
66732, Nov. 28, 2003; 68 FR 68545, Dec. 9, 2003]



Sec. 15.21  Information to user.

    The users manual or instruction manual for an intentional or 
unintentional radiator shall caution the user that changes or 
modifications not expressly approved by the party responsible for 
compliance could void the user's authority to operate the equipment. 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, 
provided the user can reasonably be expected 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]



Sec. 15.23  Home-built devices.

    (a) Equipment authorization is not required for devices that are not 
marketed, are not constructed from a kit, and are built in quantities of 
five or less for personal use.
    (b) It is recognized that the individual 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 employ good engineering practices to meet the specified 
technical standards to the greatest extent practicable. The provisions 
of Sec. 15.5 apply to this equipment.



Sec. 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 assembled device to comply with the 
technical requirements of this part must be supplied with the kit. No 
mechanism for adjustment that can cause operation in violation of the 
requirements 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 components required to fully complete the kit (other 
than those specified in paragraph (a) of this section which are needed 
for compliance with the technical provisions and must be included with 
the kit) are not normally furnished with the kit, assembly shall be made 
using the recommended components. The assembled units shall be certified 
or authorized under the Declaration of Conformity procedure, as 
appropriate, pursuant to the requirements of this part.

[[Page 759]]

    (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 obtained 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 Sec. 15.19, the following 
label, along with the label bearing the FCC identifier and other 
information specified in Sec. Sec. 2.925 and 2.926, shall be included 
in the kit with instructions to the builder that it shall be attached to 
the completed kit:

                            (Name of Grantee)

                            (FCC Identifier)

    This device can be expected to comply with part 15 of the FCC Rules 
provided it is assembled in exact accordance with the instructions 
provided with this kit. Operation is subject to the following 
conditions: (1) This device may not cause harmful interference, 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 identical defective circuit 
boards are not considered to be kits.

[54 FR 17714, Apr. 25, 1989,as amended at 63 FR 36602, July 7, 1998]



Sec. 15.27  Special accessories.

    (a) Equipment marketed to a consumer 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 marketed with, i.e., shipped and 
sold with, those special accessories. However, in lieu of shipping or 
packaging the special accessories with the unintentional or intentional 
radiator, the responsible party may employ other methods of ensuring 
that the special accessories are provided to the consumer, without 
additional charge, at the time of purchase. Information detailing any 
alternative method used to supply the special 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 equipment, as detailed in Sec. 2.909 of this 
chapter, shall ensure that these special accessories are provided with 
the equipment. The instruction manual for such devices shall include 
appropriate instructions 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 
computer disk or over the Internet, the information required by this 
section may be included in the manual in that alternative form, provided 
the user can reasonably be expected to have the capability to access 
information in that form.
    (b) If a device requiring special accessories is installed by or 
under the supervision of the party marketing the 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 detailed in the instruction manual, and it is the 
responsibility of the installer to provide and to install the required 
accessories.
    (c) Accessory items that can be readily obtained from multiple 
retail outlets are not considered to be special accessories and are not 
required to be marketed with the equipment. The manual included with the 
equipment

[[Page 760]]

must specify what additional components or accessories are required to 
be used in order to ensure compliance with this part, and it is the 
responsibility of the user to provide and use those components and 
accessories.
    (d) The resulting system, including any accessories or components 
marketed with the equipment, must comply with the regulations.

[54 FR 17714, Apr. 25, 1989, as amended at 68 FR 68545, Dec. 9, 2003]



Sec. 15.29  Inspection by the Commission.

    (a) Any equipment or device subject to the provisions of this part, 
together with any certificate, notice of registration or any technical 
data required to be kept on file by the operator, supplier or party 
responsible for compliance of the device shall be made available for 
inspection by a Commission representative upon reasonable request.
    (b) The owner or operator of a radio frequency device subject to 
this part shall promptly furnish to the Commission or its representative 
such information as may be requested concerning the operation of the 
radio frequency device.
    (c) The party responsible for the compliance of any device subject 
to this part shall promptly furnish to the Commission or its 
representatives such information as may be requested concerning the 
operation of the device, including a copy of any measurements made for 
obtaining an equipment authorization or demonstrating compliance with 
the regulations.
    (d) The Commission, from time to time, may request the party 
responsible for compliance, including an importer, to submit to the FCC 
Laboratory in Columbia, Maryland, various equipment to determine that 
the equipment continues to comply with the applicable standards. 
Shipping costs to the Commission's Laboratory and return 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.



Sec. 15.31  Measurement standards.

    (a) The following measurement procedures are used by the Commission 
to determine compliance with the technical 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 Governmental 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 Communication Service (UPCS) devices are to 
be measured for compliance using ANSI C63.17-1998: ``Methods of 
Measurement of the Electromagnetic and Operational Compatibility of 
Unlicensed Personal Communications Services (UPCS) Devices'', 
(incorporated by reference, see Sec. 15.38). This incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
    (3) Other intentional and unintentional radiators are to be measured 
for compliance using the following procedure excluding sections 4.1, 
5.2, 5.7, 9 and 14: ANSI C63.4-2001: ``Methods of Measurement of Radio-
Noise Emissions from Low-Voltage Electrical and Electronic Equipment in 
the Range of 9 kHz to 40 GHz'' (incorporated by reference, see Sec. 
15.38). This incorporation by reference was approved by the Director of 
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 
51.
    Note to Paragraph (a)(3):
    Digital devices tested to show compliance with the provisions of 
Sec. Sec. 15.107(e) and 15.109(g) must be tested following the ANSI 
C63.4 procedure described 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 procedures can be relied on to produce measurement results 
compatible with the FCC measurement procedures. The description of the 
measurement procedure used in testing the equipment for

[[Page 761]]

compliance and a list of the test equipment 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 Declaration of Conformity or devices subject to 
verification.
    (c) For swept frequency equipment, measurements shall be made with 
the frequency sweep stopped at those frequencies 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 employing a ``leaky'' coaxial cable as an 
antenna, measurements for verification or for obtaining a grant of 
equipment authorizaton shall be performed at a minimum of three 
installations that can be demonstrated to be representative of typical 
installation sites.
    (e) For intentional radiators, measurements 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 battery operated equipment, the equipment tests shall be 
performed using a new battery.
    (f) To the extent practicable, the device under test shall be 
measured at the distance specified in the appropriate rule section. The 
distance specified corresponds to the horizontal distance between the 
measurement antenna and the closest point of the equipment under test, 
support equipment or interconnecting cables as determined by the 
boundary defined by an imaginary straight line periphery describing a 
simple geometric configuration enclosing the system containing the 
equipment under test. The equipment 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 characteristics of the device; 
and it can be demonstrated that the signal levels needed to be measured 
at the distance employed can be detected by the measurement 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 impractical. When performing measurements at a 
distance other than that specified, the results shall be extrapolated 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 measurements in the near field. 
Pending the development of an appropriate measurement procedure for 
measurements performed below 30 MHz, when performing measurements at a 
closer distance than specified, the results shall be extrapolated to the 
specified distance by either making measurements at a minimum of two 
distances on at least one radial to determine the proper extrapolation 
factor or by using the square of an inverse linear distance 
extrapolation factor (40 dB/decade).
    (3) The applicant for a grant of certification shall specify the 
extrapolation method used in the application filed with the Commission. 
For equipment subject to Declaration of Conformity or verification, this 
information shall be retained with the measurement data.
    (4) When measurement distances of 30 meters or less are specified in 
the regulations, the Commission will test the equipment at the distance 
specified unless measurement at that distance results in measurements 
being performed

[[Page 762]]

in the near field. When measurement distances of greater than 30 meters 
are specified in the regulations, the Commission will test the equipment 
at a closer distance, usually 30 meters, extrapolating 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 determine the radial at which 
the field strength values of the radiated emissions are maximized. The 
maximum field strength at the frequency being measured shall be reported 
in an application for certification.
    (g) Equipment under test shall be adjusted, 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 
interconnect to associated peripherals.
    (h) For a composite system that incorporates devices contained 
either in a single enclosure or in separate enclosures connected by wire 
or cable, testing for compliance with the standards in this part shall 
be performed with all of the devices in the system functioning. If an 
intentional radiator incorporates more than one antenna or other 
radiating source and these radiating sources are designed to emit at the 
same time, measurements of conducted and radiated emissions shall be 
performed with all radiating sources that are to be employed emitting. A 
device which incorporates a carrier current system shall be tested as if 
the carrier current system were incorporated in a separate device; that 
is, the device shall be tested for compliance with whatever rules would 
apply to the device were the carrier current system not incorporated, 
and the carrier 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 
accessories, including external electrical input signals, the device 
shall be tested with the accessories attached. The device 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 external accessories that are representative of the 
devices that will be employed with the equipment under test is required. 
All possible equipment combinations do not need to be tested. The 
accessories or peripherals connected to the device being tested shall be 
unmodified, commercially available equipment.
    (j) If the equipment under test consists of a central control unit 
and an external or internal accessory(ies) (peripheral) 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 devices that can be used with that control 
unit, testing of the control unit and/or the accessory(ies) must be 
performed using the devices manufactured or assembled by that party, in 
addition to any other needed devices which the party does not 
manufacture or assemble. If the party verifying the equipment or 
applying for a grant of equipment authorization does not manufacture or 
assemble the central control unit and at least one of the accessory 
devices that can be used with that control unit or the party can 
demonstrate that the central control unit or accessory(ies) normally 
would be marketed or used with equipment from a different entity, 
testing of the central control unit and/or the accessory(ies) must be 
performed using the specific combination of equipment which is intended 
to be marketed or used together. Only one test using peripherals or 
accessories that are representatve of the devices that will be employed 
with

[[Page 763]]

the equipment under test is required. All possible equipment 
combinations are not required to be tested. The accessories or 
peripherals connected to the device being tested shall be unmodified, 
commercially available equipment.
    (k) A composite system is a system that incorporates different 
devices contained 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 different technical standards, each such device 
must comply with its specific standards. In no event may the measured 
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 necessary to 
demonstrate that the equipment combination complies with the limits for 
a Class A device. This equipment combination may not be employed for 
obtaining a grant of equipment 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 peripheral(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 utility power lines shall be performed using a 50 ohm/50 uH line-
impedance stabilization network (LISN).

    Note: Receivers tested under the transition provisions contained in 
Sec. 15.37 may be tested with a 50 ohm/5 [mu]H LISN.

    (m) Measurements on intentional radiators 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 number of frequencies in each band specified in the 
following table:

------------------------------------------------------------------------
 Frequency range over which device    Number of    Location in the range
              operates               frequencies       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
                                                   middle and 1 near
                                                   bottom.
------------------------------------------------------------------------

    (n) Measurements on TV broadcast receivers shall be performed with 
the receiver tuned to each VHF frequency and also shall include the 
following oscillator 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 reasons to be detailed in the 
measurement report, measurements shall be made with the receiver 
oscillator at a nearby frequency. If the receiver is not capable of 
receiving channels above 806 MHz, the measurements employing the 
oscillator frequencies 900 and 931 MHz may be omitted.
    (o) The amplitude of spurious emissions 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 provisions in this section conflict 
with the measurement procedures in paragraph (a) of this section and the 
procedures were implemented after June 23, 1989, the provisions 
contained in the measurement procedures shall take precedence.

[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]

    Effective Date Note: At 69 FR 54034, Sept. 7, 2004, Sec. 15.31 was 
amended by revising paragraph (a)(3), effective Oct. 7, 2004. For the 
convenience of the user, the revised text is set forth as follows:

[[Page 764]]

Sec. 15.31  Measurement standards.

    (a) * * *

                                * * * * *

    (3) Other intentional and unintentional radiators are to be measured 
for compliance using the following procedure 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 Electronic Equipment in the 
Range of 9 kHz to 40 GHz'' (incorporated by reference, see Sec. 15.38). 
This incorporation by reference was approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.

                                * * * * *



Sec. 15.32  Test procedures for CPU boards and computer power supplies.

    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 follows:
    (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 needed, to 
result in a complete personal computer 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 Sec. 15.31.
    (i) Under these test conditions, the system under test shall not 
exceed the radiated emission limits specified in Sec. 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 Sec. 15.109, a second test 
shall be performed using the same configuration described above but with 
the cover installed on the enclosure. Testing shall be in accordance 
with the procedures specified in Sec. 15.31. Under these test 
conditions, the system under test shall not exceed the radiated emission 
limits specified in Sec. 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 Sec. 15.109 
using a specified enclosure with the cover installed. Testing for 
radiated emissions shall be performed with the CPU board installed in a 
typical system configuration. Additional components, including a power 
supply, peripheral devices, and subassemblies, shall be added, as 
needed, to result in a complete personal computer 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 Sec. 15.31. Under this 
procedure, CPU boards that comply with the limits in Sec. 15.109 must 
be marketed together with the specific enclosure used for the test.
    (3) The test demonstrating compliance with the AC power line 
conducted limits specified in Sec. 15.107 shall be performed in 
accordance with the procedures specified in Sec. 15.31 using a 
enclosure, 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 normally be installed. 
Additional components, including peripheral devices, a CPU board, and 
subassemblies, shall be added, as needed, to result in a complete 
personal computer system. Testing shall be in accordance with the 
procedures specified in Sec. 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]



Sec. 15.33  Frequency range of radiated measurements.

    (a) For an intentional radiator, the spectrum shall be investigated 
from the lowest radio frequency signal generated in the device, without 
going

[[Page 765]]

below 9 kHz, up to at least the frequency shown in this paragraph:
    (1) If the intentional radiator operates below 10 GHz: to the tenth 
harmonic of the highest fundamental frequency or to 40 GHz, whichever is 
lower.
    (2) If the intentional radiator operates at or above 10 GHz and 
below 30 GHz: to the fifth harmonic of the highest fundamental frequency 
or to 100 GHz, whichever is lower.
    (3) If the intentional radiator operates at or above 30 GHz: to the 
fifth harmonic of the highest fundamental frequency or to 200 GHz, 
whichever is lower, unless specified otherwise elsewhere in the rules.
    (4) If the intentional radiator contains 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 
intentional 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 applicable to the digital device, as shown in paragraph 
(b)(1) of this section, whichever 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 section, for an unintentional radiator, including 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 radiated 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       Upper frequency of
                tunes (MHz)                    measurement 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, excluding a digital device, in which 
the highest frequency generated in the device, the highest frequency 
used in the device and the highest frequency on which the device 
operates or tunes are less than 30 MHz and which, in accordance with 
Sec. 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 device, without going below 9 kHz (25 
MHz for CB receivers), up to the frequency 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 paragraph (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 higher.

------------------------------------------------------------------------
                                                                Upper
                                                              frequency
  Highest frequency generated or used in the device or on         of
          which the device operates or tunes (MHz)           measurement
                                                             range (MHz)
------------------------------------------------------------------------
Below 1.705................................................           30
1.705-10...................................................          400
10-30......................................................          500
------------------------------------------------------------------------

    (3) Except for a CB receiver, a receiver employing superheterodyne 
techniques shall be investigated from 30 MHz up to at least the second 
harmonic of the highest local oscillator frequency generated in the 
device. If such receiver is controlled by a digital device, the 
frequency range shall be investigated up to the higher of the second 
harmonic of the highest local oscillator frequency generated in the 
device 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 
measurement to demonstrate compliance with the antenna conduction limits 
specified in Sec. 15.111. The frequency range of measurements for AC 
power line conducted limits is specified in Sec. Sec. 15.107 and 15.207 
and applies to all

[[Page 766]]

equipment subject to those regulations. In some cases, depending on the 
frequency(ies) generated and used by 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 oscillator 
frequency. Radiation at the frequencies 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]



Sec. 15.35  Measurement detector functions and bandwidths.

    The conducted and radiated emission limits shown in this part are 
based on the following, unless otherwise specified elsewhere in this 
part:
    (a) On any frequency or frequencies below or equal to 1000 MHz, the 
limits shown are based on measuring equipment employing a CISPR quasi-
peak detector function and related measurement 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 Interference (CISPR) of the 
International Electrotechnical Commission. As an alternative to CISPR 
quasi-peak measurements, the responsible party, at its option, may 
demonstrate compliance with the emission limits using measuring 
equipment employing a peak detector function, properly adjusted for such 
factors as pulse desensitization, as long as the same bandwidths as 
indicated for CISPR quasi-peak measurements are employed.

    Note: For pulse modulated devices with a pulse-repetition frequency 
of 20 Hz or less and for which CISPR quasi-peak measurements are 
specified, compliance with the regulations shall be demonstrated using 
measuring equipment employing a peak detector function, properly 
adjusted for such factors as pulse desensitization, using the same 
measurement bandwidths that are indicated for CISPR quasi-peak 
measurements.

    (b) Unless otherwise stated, on any frequency or frequencies above 
1000 MHz the radiated limits shown are based upon the use of measurement 
instrumentation employing an average detector function. When average 
radiated emission measurements are specified in this part, including 
emission measurements below 1000 MHz, there also is a limit on the radio 
frequency emissions, as measured using instrumentation with a peak 
detector function, corresponding to 20 dB above the maximum permitted 
average limit for the frequency being investigated unless a different 
peak emission limit is otherwise specified in the rules, e.g., see 
Sec. Sec. 15.255, 15.509 and 15.511. Unless otherwise specified, 
measurements above 1000 MHz shall be performed using a minimum 
resolution bandwidth of 1 MHz. Measurements of AC power line conducted 
emissions are performed using a CISPR quasi-peak detector, even for 
devices for which average radiated emission measurements are specified.
    (c) Unless otherwise specified, e.g. Sec. 15.255(b), when the 
radiated emission limits are expressed in terms of the average value of 
the emission, and pulsed operation is employed, the measurement field 
strength shall be determined by averaging over one complete pulse train, 
including blanking intervals, 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 
seconds, the measured field strength shall be determined from the 
average absolute voltage during a 0.1 second interval during which the 
field strength is at its maximum value. The exact method 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]



Sec. 15.37  Transition provisions for compliance with the rules.

    Equipment may be authorized, manufactured and imported under the 
rules

[[Page 767]]

in effect prior to June 23, 1989, in accordance with the following 
schedules:
    (a) For all intentional and unintentional 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 Commission on or after June 23, 1992, shall comply with 
the regulations specified in this part. Radio frequency equipment 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. However, if a 
receiver is associated with a transmitter that could not have been 
authorized under the regulations in effect prior to June 23, 1989, e.g., 
a transmitter operating under the provisions of Sec. 15.209 or Sec. 
15.249 (below 960 MHz), the transition provisions in this section 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 effect 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 Sec. 15.249. Until that date, the Commission will not issue a grant 
of equipment authorization for equipment operating under Sec. 15.249 if 
the equipment is designed to permit operation within the band 902-905 
MHz.
    (e) For cordless telephones: The manufacture and importation of 
cordless telephones not complying with Sec. 15.214(d) of this part 
shall cease on or before September 11, 1991. These provisions will not 
apply to cordless telephones which are repaired or refurbished, or re-
imported after repair or refurbishment. Applications for a grant of 
equipment authorization of cordless telephones not complying with Sec. 
15.214(d) of this part will not be accepted by the Commission after May 
10, 1991. Cordless telephones that have previously received equipment 
authorization and that, without modification, already comply with the 
requirements of Sec. 15.214(d) of this part, need not be reauthorized.
    (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 Sec. 15.121(a)(1) 
shall cease on or before April 26, 1994. Effective April 26, 1993, the 
Commission will not grant equipment authorization for receivers that do 
not comply with the provisions of Sec. 15.121(a)(1). These rules do not 
prohibit the sale or use of authorized receivers manufactured in the 
United States, or imported into the United States, prior to April 26, 
1994.
    (g) For CPU boards and power supplies designed to be used with 
personal computers: The manufacture and importation 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 compliance with all of the provisions in 
this part. Limited provisions, as detailed in Sec. 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 computer 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 Sec. 15.121 shall 
cease on or before October 25, 1999. Effective July 26, 1999 the 
Commission will not grant equipment authorization for receivers that do 
not comply with the provisions of Sec. 15.121. This paragraph does not 
prohibit the sale or use of authorized receivers manufactured in the 
United States, or imported 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 equipment operating under the 
provisions of Sec. 15.241 or Sec. 15.242. The requirements for 
obtaining an approval for medical telemetry equipment after this date 
are

[[Page 768]]

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 conformity procedures on 
or after July 12, 2004 shall comply with the conducted limits specified 
in Sec. 15.107 or Sec. 15.207 as appropriate. All radio frequency 
devices that are manufactured or imported on or after July 11, 2005 
shall comply with the conducted limits specified in Sec. 15.107 or 
Sec. 15.207, as appropriate. Equipment authorized, imported or 
manufactured prior to these dates shall comply with the conducted limits 
specified in Sec. 15.107 or Sec. 15.207, as appropriate, or with the 
conducted limits that were in effect immediately prior to September 9, 
2002.
    (k) Radar detectors manufactured or imported after August 28, 2002 
and marketed after September 27, 2002 shall comply with the regulations 
specified in this part. Radar detectors manufactured or imported prior 
to January 27, 2003 may be labeled with the information required by 
Sec. Sec. 2.925 and 15.19(a) of this chapter on the individual 
equipment carton rather than on the device, and are exempt from 
complying with the requirements of Sec. 15.21.
    (l) U-NII equipment operating in the 5.25-5.35 GHz band for which 
applications for certification are filed on or after January 20, 2005 
shall comply with the DFS and TPC requirements specified in Sec. 
15.407. U-NII equipment operating in the 5.25-5.35 GHz band that are 
imported or marketed January 20, 2006 shall comply with the DFS and TPC 
requirements in Sec. 15.407.

[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]



Sec. 15.38  Incorporation by reference.

    (a) The materials listed in this section are incorporated by 
reference in this part. These incorporations by reference 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 materials 
will be published in the Federal Register. The materials are available 
for purchase at the corresponding addresses as noted, and all are 
available for inspection at the Federal 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/
code--of--federal--regulations/ibr--locations.html..
    (b) The following materials are available for purchase from at least 
one of the following addresses: Global Engineering 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 Sec. 15.123.
    (2) SCTE 41 2003 (formerly DVS 301): ``POD Copy Protection System,'' 
2003, IBR approved for Sec. 15.123.
    (3) ANSI/SCTE 54 2003 (formerly DVS 241): ``Digital Video Service 
Multiplex and Transport System Standard for Cable Television,'' 2003, 
IBR approved for Sec. 15.123.
    (4) ANSI/SCTE 65 2002 (formerly DVS 234): ``Service Information 
Delivered Out-of-Band for Digital Cable Television,'' 2002, IBR approved 
for Sec. 15.123.
    (5) SCTE 40 2003 (formerly DVS 313): ``Digital Cable Network 
Interface Standard,'' 2003, IBR approved for Sec. 15.123.
    (6) ANSI C63.4--2001: ``Methods of Measurement of Radio-Noise 
Emissions from Low-Voltage Electrical and Electronic Equipment in the 
Range of 9 kHz to 40 GHz'', 2001, IBR approved for Sec. 15.31, except 
for sections 4.1, 5.2, 5.7, 9 and 14.
    (7) EIA IS-132: ``Cable Television Channel Identification Plan,'' 
1994, IBR approved for Sec. 15.118.

[[Page 769]]

    (8) EIA-608: ``Recommended Practice for Line 21 Data Service,'' 
1994, IBR approved for Sec. 15.120.
    (9) EIA-744: ``Transport of Content Advisory Information Using 
Extended Data Service (XDS),'' 1997, IBR approved for Sec. 15.120.
    (10) EIA-708-B: ``Digital Television (DTV) Closed Captioning,'' 
1999, IBR approved for Sec. 15.122.
    (11) Third Edition of the International Special Committee on Radio 
Interference (CISPR), Pub. 22, ``Information Technology Equipment--Radio 
Disturbance Characteristics--Limits and Methods of Measurement,'' 1997, 
IBR approved for Sec. 15.109.
    (12) ANSI C63.17-1998: ``Methods of Measurement of the 
Electromagnetic and Operational Compatibility of Unlicensed Personal 
Communications Services (UPCS) Devices'', 1998, IBR approved for Sec. 
15.31.
    (c) The following materials are freely available from at least one 
of the following addresses: Consumer Electronics 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 Sec. 15.123.

[68 FR 66732, Nov. 28, 2003, as amended at 68 FR 68546, Dec. 9, 2003; 69 
FR 18803, Apr. 9, 2004]

    Effective Date Note: At 69 FR 54034, Sept. 7, 2004, Sec. 15.38 was 
amended by revising paragraph (b)(6), effective Oct. 7, 2004. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 15.38  Incorporation by reference.

                                * * * * *

    (b) * * *
    (6) ANSI C63.4-2003: ``Methods of Measurement of Radio-Noise 
Emissions from Low-Voltage Electrical and Electronic Equipment in the 
Range of 9 kHz to 40 GHz,'' 2003, IBR approved for Sec. 15.31, except 
for sections 4.1, 5.2, 5.7, 9 and 14.

                                * * * * *

    Effective Date Note: At 69 FR 57861, Sept. 28, 2004, Sec. 15.38 was 
amended by revising paragraph (b)(7), effective Oct. 28, 2004. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 15.38  Incorporation by reference.

                                * * * * *

    (b) * * *
    (7) CEA-542-B: ``CEA Standard: Cable Television Channel 
Identification Plan,'' July 2003, IBR approved for Sec. 15.118.

                                * * * * *



                    Subpart B_Unintentional Radiators



Sec. 15.101  Equipment authorization of unintentional radiators.

    (a) Except as otherwise exempted in Sec. Sec. 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           Declaration of Conformity or Certification.\1\
 peripherals.
CPU boards and internal power supplies   Declaration of Conformity or Certification.\1\
 used with Class B personal computers.
Class B personal computers assembled     Declaration of Conformity.
 using authorized CPU boards or power
 supplies.
Class B external switching power         Verification.
 supplies.
Other Class B digital devices and        Verification.
 peripherals.
Class A digital devices, peripherals     Verification.
 and external switching power supplies.
All other devices......................  Verification.
----------------------------------------------------------------------------------------------------------------
Note to table: Where the above table indicates more than one category of authorization for a device, the party
  responsible for compliance has the option to select the type of authorization.

[[Page 770]]

 
\1\ Applications for this equipment will no longer be accepted by the Commission once domestic Telecommunication
  Certification Bodies are available to certificate the equipment. See Sec. 2.960 of this chapter.

    (b) Only those receivers that operate (tune) within the frequency 
range of 30-960 MHz, CB receivers and radar detectors are subject to the 
authorizations shown in paragraph (a) of this section. However, 
receivers indicated as being subject to Declaration of Conformity 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 
technical provisions of this part but are subject to Sec. 15.5.
    (c) Personal computers shall be authorized 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 authorized under a Declaration of 
Conformity or a grant of certification, and the CPU board or power 
supply in that computer is replaced with a CPU board or power supply 
that has been separately authorized under a Declaration of Conformity or 
a grant of certification; or
    (3) The CPU board and power supply used in the assembly of a 
personal computer 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 section must, by 
themselves, also be authorized under a Declaration of Conformity if they 
are marketed. However, additional testing is not required for this 
Declaration of Conformity, provided the procedures in Sec. 15.102(b) 
are followed.
    (d) Peripheral devices, as defined in Sec. 15.3(r), shall be 
authorized under a Declaration of Conformity, or a grant of 
certification, or verified, as appropriate, 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 personal computer, it is not necessary to 
obtain a separate authorization for that product provided the specific 
combination of personal computer, peripheral device, CPU board and power 
supply has been authorized under a Declaration 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 manufacturer for further 
fabrication; that manufacturer 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 
authorized and are designed for use with personal computers may be 
imported and marketed only to a personal computer equipment manufacturer 
that has indicated, in writing, to the seller or importer that they will 
obtain a Declaration of Conformity or a grant of certification for the 
personal computer employing these components.
    (e) Subassemblies to digital devices are not subject to the 
technical standards in this part unless they are marketed as part of a 
system in which case the resulting system must comply with the 
applicable regulations. Subassemblies include:
    (1) Devices that are enclosed solely within the enclosure housing 
the digital device, except for: power supplies used in personal 
computers; devices included under the definition of a peripheral device 
in Sec. 15.3(r); and personal computer CPU boards, as defined in Sec. 
15.3(bb);
    (2) CPU boards, as defined in Sec. 15.3(bb), other than those used 
in personal 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

[[Page 771]]

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]



Sec. 15.102  CPU boards and power supplies used in personal computers.

    (a) Authorized CPU boards and power supplies that are sold as 
separate components shall be supplied with complete installation 
instructions. These instructions shall specify all of the installation 
procedures that must be followed to ensure compliance with the 
standards, including, if necessary, the type of enclosure, e.g., a metal 
enclosure, proper grounding techniques, the use of shielded cables, the 
addition of any needed components, and any necessary modifications to 
additional components.
    (1) Any additional parts needed to ensure compliance with the 
standards, except for the enclosure, are considered to be special 
accessories and, in accordance with Sec. 15.27, must be marketed with 
the CPU board or power supply.
    (2) Any modifications that must be made to a personal computer, 
peripheral 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 average consumer. Parts requiring soldering, 
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 Sec. 15.101(e), some subassemblies used 
in a personal computer system may not require an authorization);
    (2) The original label and identification on each piece of equipment 
remain unchanged;
    (3) Each responsible party's instructions to ensure compliance 
(including, if necessary, the use of shielded cables or other 
accessories or modifications) are followed when the system is assembled;
    (4) If the system is marketed, the resulting equipment combination 
is authorized under a Declaration of Conformity pursuant to Sec. 
15.101(c)(4) and a compliance information statement, as described in 
Sec. 2.1077(b), is supplied with the system. Marketed systems shall 
also comply with the labelling requirements in Sec. 15.19 and must be 
supplied with the information required under Sec. Sec. 15.21, 15.27 and 
15.105; and
    (5) The assembler of a personal computer 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 Sec. Sec. 
2.909, 15.1, 15.27(d) and 15.101(e)).

[61 FR 31050, June 19, 1996]



Sec. 15.103  Exempted devices.

    The following devices are subject only to the general conditions of 
operation in Sec. Sec. 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 operating the 
device upon a finding by the Commission or its representative that the 
device is causing harmful interference. Operation shall not resume until 
the condition causing the harmful interference has been corrected. 
Although 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 exclusively in any transportation 
vehicle including motor vehicles and aircraft.
    (b) A digital device used exclusively as an electronic control or 
power system 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 utility 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.

[[Page 772]]

    (d) A digital device utilized exclusively in an appliance, e.g., 
microwave oven, dishwasher, clothes dryer, air conditioner (central or 
window), etc.
    (e) Specialized medical digital devices (generally used at the 
direction of or under the supervision of a licensed health care 
practitioner) whether used in a patient's home or a health care 
facility. Non-specialized medical devices, i.e., devices marketed 
through retail channels for use by the general public, are not exempted. 
This exemption also does not apply to digital devices 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 circuit 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 connected 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 indirectly, 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 technical 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 exemption, 
the remainder of the equipment must comply with any applicable 
regulations. If a device performs more than one function and all of 
those functions do not meet the criteria for exemption, the device does 
not qualify for inclusion under the exemptions.



Sec. 15.105  Information to the user.

    (a) For a Class A digital device or peripheral, the instructions 
furnished the user shall include the following or similar statement, 
placed in a prominent location in the text of the manual:

    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 provide reasonable protection 
against harmful interference when the equipment is operated in a 
commercial environment. This equipment 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 interference at his own expense.

    (b) For a Class B digital device or peripheral, the instructions 
furnished the user shall include the following or similar statement, 
placed in a prominent location in the text of the manual:

    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 provide reasonable protection 
against harmful interference in a residential installation. This 
equipment generates, uses and can radiate radio frequency energy and, if 
not installed and used in accordance with the instructions, may cause 
harmful interference to radio communications. However, there is no 
guarantee that interference will not occur in a particular installation. 
If this equipment 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 following measures:
--Reorient or relocate the receiving antenna.
--Increase the separation between the equipment and receiver.
--Connect the equipment into an outlet on a circuit different from that 
to which the receiver 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

[[Page 773]]

digital devices exempted from the technical standards under the 
provisions of Sec. 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 instruction manual for the main control unit.
    (e) 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, provided the user can reasonably be expected 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]



Sec. 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 frequencies within the band 150 kHz to 30 MHz shall not 
exceed the limits in the following table, as measured using a 50 [mu]H/
50 ohms line impedance stabilization 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 
terminal. The lower limit applies at the band edges.

------------------------------------------------------------------------
                                        Conducted limit (dB[mu]V)
  Frequency of emission (MHz)   ----------------------------------------
                                      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 public 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 [mu]H/50 ohms 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 terminal. The lower limit applies at the boundary between the 
frequency ranges.

------------------------------------------------------------------------
                                        Conducted limit (dB[mu]V)
  Frequency of emission (MHz)   ----------------------------------------
                                      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 operating as unintentional 
radiators on frequencies below 30 MHz. In lieu thereof, these carrier 
current systems shall be subject to the following standards:
    (1) For carrier current systems containing 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 systems: 1000 [mu]V within the 
frequency band 535-1705 kHz, as measured using a 50 [mu]H/50 ohms LISN.
    (3) Carrier current systems operating below 30 MHz are also subject 
to the radiated emission limits in Sec. 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 eliminators or 
that connect to the AC power lines indirectly, obtaining their power 
through another device which is connected 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]



Sec. 15.109  Radiated emission limits.

    (a) Except for Class A digital devices, the field strength of 
radiated emissions from unintentional radiators at a distance of 3 
meters shall not exceed the following values:

[[Page 774]]



------------------------------------------------------------------------
                                                                Field
                                                              strength
                Frequency of emission (MHz)                 (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 
device, as determined at a distance of 10 meters, shall not exceed the 
following:

------------------------------------------------------------------------
                                                                Field
                                                              strength
                Frequency of emission (MHz)                 (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 radiated emissions are to be measured and the detector 
functions and other measurement 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 distance of 3 meters. The field strength of radiated 
emissions above 30 MHz from such devices shall comply with the limits in 
paragraph (a) of this section.
    (e) Carrier current systems used as unintentional radiators or other 
unintentional radiators that are designed to conduct their radio 
frequency emissions via connecting wires or cables and that operate in 
the frequency range of 9 kHz to 30 MHz, including devices that deliver 
the radio frequency energy to transducers, such as ultrasonic devices 
not covered under part 18 of this chapter, shall comply with the 
radiated emission limits for intentional radiators provided in Sec. 
15.209 for the frequency range of 9 kHz to 30 MHz. As an alternative, 
carrier current systems 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 Sec. 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 terminals for the connection of an 
external receiving antenna, the receiver shall be tested to demonstrate 
compliance with the provisions of this section with an antenna connected 
to the antenna terminals unless the antenna conducted power is measured 
as specified in Sec. 15.111(a). If a permanently attached 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 devices 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 
Sec. 15.38). In addition:
    (1) The test procedure and other requirements specified in this part 
shall continue to apply to digital devices.
    (2) If, in accordance with Sec. 15.33 of this part, measurements 
must be performed above 1000 MHz, compliance above 1000 MHz shall be 
demonstrated with the emission limit in paragraph (a) or (b) of this 
section, as appropriate. Measurements above 1000 MHz may be performed at 
the distance specified 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 
inverse linear distance extrapolation factor (20 dB/decade), e.g., the 
radiated limit above 1000 MHz for a Class B digital device is 150 uV/m, 
as measured at a distance of 10 meters.
    (3) The measurement distances shown in CISPR Pub. 22, including 
measurements made in accordance with this paragraph above 1000 MHz, are 
considered, for the purpose of Sec. 15.31(f)(4) of this part, to be the 
measurement distances 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 limits shown in Sec. 15.107(e).

[[Page 775]]

    (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]



Sec. 15.111  Antenna power conduction limits for receivers.

    (a) In addition to the radiated emission limits, receivers that 
operate (tune) in the frequency range 30 to 960 MHz and CB receivers 
that provide terminals for the connection of an external receiving 
antenna may be tested to demonstrate compliance with the provisions of 
Sec. 15.109 with the antenna terminals shielded and terminated with a 
resistive termination equal to the impedance specified for the antenna, 
provided these receivers also comply with the following: With the 
receiver antenna 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 Sec. 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 emission limitations in this 
part, as measured with the antenna attached.



Sec. 15.113  Power line carrier systems.

    Power line carrier systems, as defined in Sec. 15.3(t), are subject 
only to the following requirements:
    (a) A power utility operating a power line carrier system shall 
submit the details of all existing systems plus any proposed new systems 
or changes to existing systems to an industry-operated entity as set 
forth in Sec. 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 licensed 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 unprotected, non-interference basis in accordance 
with Sec. 15.5 of this part. If harmful interference occurs, the 
electric power utility shall discontinue use or adjust its power line 
carrier operation, as required, to remedy the interference. Particular 
attention should be paid to the possibility of interference to Loran C 
operations at 100 kHz.
    (c) Power line carrier system apparatus shall be operated with the 
minimum power possible to accomplish the desired purpose. No equipment 
authorization is required.
    (d) The best engineering principles shall be used in the generation 
of radio frequency currents by power line carrier systems to guard 
against harmful interference to authorized radio users, particularly on 
the fundamental and harmonic frequencies.
    (e) Power line carrier system apparatus shall conform to such 
engineering standards as may be promulgated by the Commission. In 
addition, such systems should adhere to industry approved 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 connect the distribution 
substation to the customer or house wiring. Such operation can be 
conducted under the other provisions of this part.

[54 FR 17714, Apr. 25, 1989; 54 FR 32339, Aug. 7, 1989]



Sec. 15.115  TV interface devices, including cable system terminal devices.

    (a) Measurements of the radiated emissions of a TV interface device 
shall be conducted with the output terminal(s) of the device terminated 
by a resistance equal to the rated output impedance. The emanations of a 
TV interface device incorporating an intentional radiator shall not 
exceed the limits in Sec. 15.109 or subpart C of this part, whichever 
is higher for each frequency. Where it is possible to determine which 
portion of the device is contributing a particular radio frequency 
emission, the emissions from the TV interface device portion shall

[[Page 776]]

comply with the emission limits in Sec. 15.109, and the emissions from 
the intentional 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) 
matching the rated output impedance of the TV interface device, shall 
not exceed the following:
    (i) For a cable system terminal device 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 devices, 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) 
matching 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 operated shall not exceed the following:
    (i) For a cable system terminal device or a TV interface device used 
with a master antenna, 692.8 times the square root of (R).
    (ii) For all other TV interface devices, 10.95 times the square root 
of (R).
    (3) The term master antenna used in this section refers to TV 
interface devices 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 signals 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 receiving antenna or to the radio frequency output of the TV 
interface device, subject to the following:
    (1) When measured in any of its set positions, transfer switches 
shall comply with the following requirements:
    (i) For a cable system terminal device 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 applies 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 applicable as of June 30, 1997.
    (ii) For all other TV interface devices, the maximum voltage, 
corresponding to the peak envelope power of the modulated video signal 
during maximum amplitude peaks, in microvolts, appearing at the 
receiving antenna input terminals when terminated 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 compliance with the transfer switch 
limits shall be made using a connecting cable, where required, between 
the TV interface 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 consumer.
    (2) A TV interface device shall be designed and constructed, to the 
extent

[[Page 777]]

practicable, so as to preclude the possibility that the consumer may 
inadvertently attach the output of the device to the receiving antenna, 
if any, without 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 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, including a cable system terminal device, that has an antenna 
input terminal(s); provided, the circuitry following the antenna input 
terminal(s) has sufficient bandwidth to allow the reception of all TV 
broadcast channels authorized under part 73 of this chapter and: For a 
cable system terminal device that can alternate between the reception of 
cable television service and an antenna, compliance with the isolation 
requirement specified in paragraph (c)(1)(i) of this section can be 
demonstrated; and, for all other TV interface devices, the maximum 
voltage appearing 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 required, the following label shall 
be used in addition to the label shown in Sec. 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 
device 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 incorporate circuitry to automatically prevent emanations from the 
device from exceeding the technical specifications in this part. These 
circuits shall be adequate to accomplish their functions 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 provisions for the input of an external baseband signal, 
e.g., some cable system terminal devices, compliance with the provisions 
of this paragraph shall be demonstrated with a radio frequency 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 paragraph (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 complies 
with the requirements of this part. The holder of the grant of 
authorization must comply with the provisions of Sec. 15.27. For all 
other TV interface 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 
composite device in a single enclosure containing 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 requirements 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 alternate between cable service and 
an antenna shall provide isolation between the antenna and cable input 
terminals 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 standard applies at 550 
MHz. In the case of stand-alone switches requiring a power source, the 
required isolation shall be

[[Page 778]]

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 intended to be used to by-pass the 
processing circuitry of a cable system terminal 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 to 804 MHz. The 6 dB standard applies at 550 MHz. The 
provisions of this paragraph 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]



Sec. 15.117  TV broadcast receivers.

    (a) All TV broadcast receivers shipped in interstate commerce or 
imported into the United States, for sale or resale to the public, shall 
comply with the provisions of this section, except 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 reference 
in this section to TV broadcast receivers also includes devices, such as 
TV interface devices and set-top devices 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 effort: Provided, 
however, That this requirement 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 provide for repeated access to VHF television channels at discrete 
tuning positions, that receiver shall be equipped to provide for 
repeated access to a minimum of six UHF television channels at discrete 
tuning positions. Unless a discrete tuning position is provided for each 
channel allocated to UHF television, 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 adjustable to receive any channel allocated to UHF 
television.

    Note: The combination of detented rotary switch and pushbutton 
controls is acceptable, provided UHF channels, after their initial 
selection, can be accurately tuned with an expenditure of time and 
effort approximately 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 positions is readily 
adjustable, without the use of tools, to receive any UHF channel.

    (2) Tuning controls and channel readout. UHF tuning controls and 
channel readout on a given receiver shall be comparable in size, 
location, accessibility 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 channels 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 incorporated 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 antenna affixed to the VHF 
antenna terminals, it must have an antenna designed for and capable of 
receiving all UHF television channels affixed to the UHF antenna 
terminals. If a VHF antenna is provided with but not affixed

[[Page 779]]

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 receiver averaged for 
all channels between 2 and 13 inclusive.
    (g) The noise figure for any television channel 14 to 69 inclusive 
shall not exceed 14 dB. A TV receiver model is considered to comply with 
this noise figure if the maximum noise figure for channels 14-69 
inclusive of 97.5% of all receivers within that model does not exceed 14 
dB.
    (1) The responsible party shall measure 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 complies 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 manufactured 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 antenna terminals of the 
video tape recorder 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 
terminals 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 capability. TV broadcast receivers 
are required only to provide useable picture and sound commensurate with 
their video and audio capabilities when receiving digital television 
signals.
    (i) Digital television reception capability implementation schedule. 
(1) Responsible parties, as defined in Sec. 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 responsible to comply with the provisions 
of this section in accordance with the following schedule:

--Receivers with screen sizes 36[min] and above--50% of all of a 
    responsible party's units must include DTV tuners effective July 1, 
    2004; 100% of such units must include DTV tuners effective July 1, 
    2005
--Receivers with screen sizes 25[min] to 36[min]--50% of all of a 
    responsible party's units must include DTV tuners effective July 1, 
    2005; 100% of such units must include DTV tuners effective July 1, 
    2006
--Receivers with screen sizes 13[min] to 24[min]--100% of all such units 
    must include DTV tuners effective July 1, 2007
--Other devices (videocassette recorders (VCRs), digital video disk and 
    digital versatile disk (DVD) players/recorders, etc.) that receive 
    television signals--100% of all such units must include DTV tuners 
    effective July 1, 2007.

    (2) For purposes of this implementation schedule, screen sizes are 
to be measured diagonally across the picture viewing area. The 
requirement for equipping new TV broadcast receivers with DTV reception 
capability does not apply to units with integrated tuners/displays that 
have screen sizes measuring less than 7.8 inches vertically, i.e., the 
vertical measurement of a screen in the 4:3 aspect ratio that measures 
13[min] diagonally across the picture viewing area.
    (3) Responsible parties may include combinations of DTV monitors and 
set-top DTV tuners in meeting the required percentages of units with a 
DTV tuner if such combinations are marketed together with a single 
price.
    (j) For a TV broadcast receiver equipped with a cable input selector 
switch, the selector switch shall provide, in any of its set positions, 
isolation 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

[[Page 780]]

device is not connected to a power source or power is interrupted. An 
actual switch that can alternate between reception of cable television 
service and an antenna is not required for a TV broadcast receiver, 
provided compliance with the isolation requirement specified in this 
paragraph can be demonstrated and the circuitry following the antenna 
input terminal(s) has sufficient band-width to allow the reception of 
all TV broadcast channels authorized under this chapter. The provisions 
of this paragraph regarding frequencies in the range 550 MHz to 806 MHz 
are applicable as of June 30, 1997.

[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]



Sec. 15.118  Cable ready consumer electronics equipment.

    (a) All consumer electronics TV receiving equipment marketed in the 
United States as cable ready or cable compatible shall comply with the 
provisions of this section. Consumer electronics 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 Sec. 15.19(d). Until such time as generally 
accepted testing standards are developed, paragraphs (c) and (d) of this 
section will apply only to the analog portion of covered consumer 
electronics 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 EIA IS-132: ``Cable 
Television Channel Identification Plan'' (incorporated by reference, see 
Sec. 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 output port. Where appropriate, the Commission will 
consider allowing alternative measurement methods.
    (1) Adjacent channel interference. In the presence of a lower 
adjacent channel 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 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 
receiver 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 standard, the desired input signal is to be an 
NTSC signal on which the visual carrier 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 channel. 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 direct pickup (DPU) of a co-
channel interfering ambient field by a cable ready device shall not 
exceed the following 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

[[Page 781]]

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 desired and interfering signals are to be measured.
    (4) Tuner overload. Spurious signals within the IF passband shall be 
attenuated 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 desired input 
signal is to be an NTSC signal on which the visual carrier is modulated 
with a 10 IRE flat field with color burst and the aural carrier is 
unmodulated and 10 dB below the visual 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 attenuated 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 appear 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 directional coupler to the 
cable input of the equipment under test. Spurious signal 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 to at least four EIA 
IS-132 channels in each of the above bands. The test channels 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 external 
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 Sec. 
15.109(a) when measured in accordance with the applicable procedures 
specified in Sec. Sec. 15.31 and 15.35 for unintentional radiators, 
with the following 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 modulated 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 evenly 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]

    Effective Date Note: At 69 FR 57861, Sept. 28, 2004, Sec. 15.118 
was amended by revising paragraph (b), effective Oct. 28, 2004. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 15.118  Cable ready consumer electronics 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:

[[Page 782]]

Cable Television Channel Identification Plan,'' (incorporated by 
reference, see Sec. 15.38).

                                * * * * *



Sec. 15.119  Closed caption decoder requirements for analog television 
receivers.

    (a) Effective July 1, 1993, all TV broadcast receivers with picture 
screens 33 cm (13 in) or larger in diameter 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-caption information is transmitted 
on line 21 of field 1 of the vertical blanking interval of television 
signals, in accordance with Sec. 73.682(a)(22) of this chapter.
    (c) Operating modes. The television receiver 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 channels, 
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 
whichever channel the user selects. The TV Mode of operation allows the 
video to be viewed in its original form. The Caption and Text Modes 
define one or more areas (called ``boxes'') on the screen within which 
caption or text characters 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 Performance Specification'', 
National Captioning Institute, Inc., dated November 1985. These 
documents are available, respectively, from the Public Broadcasting 
Service, 1320 Braddock 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 approximately within the safe caption area as defined in paragraph 
(n)(12) of this section. 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 interlaced display. All captioning and text shall fall within 
these established columns and rows. The characters must be displayed 
clearly separated from the video over which they are placed. In 
addition, the user must have the capability 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 addition, a solid space equal to one column width may be placed 
before the first character and after the last character of each row to 
enhance legibility. 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 positioning. In Text 
Mode, the codes affect only column positioning. In both modes, the 
addressing codes are optional. Default positions are defined for each 
mode and style when no addressing code is provided.

[[Page 783]]

    (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 indent moves the cursor four columns to the right (starting 
from the left margin). 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 characters. 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 attributes 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 character cells 
skipped over will be unaffected; 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 
addressing another character to the same screen location or by 
backspacing over the character from a subsequent location on the same 
row. The entire displayed memory will be erased instantly by receipt of 
an Erase Displayed Memory command. Both displayed memory and non-
displayed memory will be entirely 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 section); or selecting non-captioning receiver functions which 
use the display memory of the decoder. Receipt of an End of Caption 
command will cause a displayed caption to become non-displayed (and vice 
versa) without being erased from memory. Changing the receiver to a non-
captioning mode which does not require use of the decoder's display 
memory will leave that memory intact, and the decoder will continue 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 determine 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 contiguous 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 
necessarily 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, if a roll-up caption 
is currently displayed, to the same base row last received, 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 Preamble 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 
receiver. Once the cursor reaches the 32nd column position on any row, 
all

[[Page 784]]

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 character or Mid-Row Code 
occupying that location. (A Backspace received when the cursor is in 
Column 1 will be ignored.)
    (vii) The Delete to End of Row command 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 legibility, it should appear 
when the first displayable character (not a transparent space) or Mid-
Row Code is received on a row, not when the Preamble 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 display 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 displayed until one of the standard 
caption erasure techniques is applied. Receipt of a Resume Caption 
Loading command (for pop-on style) or a Resume 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 displayed memory and non-displayed memory.
    (2) Pop-on. Pop-on style captioning is initiated by receipt of a 
Resume Caption 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 becomes 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 receiver into pop-on style if no Resume Caption 
Loading command has been received which would do so. The display will be 
capable of 4 full rows, not necessarily contiguous, simultaneous 
anywhere on the screen.
    (i) Preamble Address Codes can be used to move the cursor around the 
screen in random order to place captions on Rows 1 to 15. Carriage 
Returns have no effect on cursor location during 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 cursor one column to the left, erasing the character or Mid-Row 
Code occupying that location. (A Backspace received when the cursor is 
in Column 1 will be ignored.) Once the cursor reaches the 32nd column 
position on any row, all subsequent characters received 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 command 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-displayed 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

[[Page 785]]

command, or if the user switches receiver 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 command is received. Characters within a displayed pop-on 
caption will be replaced by receipt of the Resume Direct Captioning 
command and paint-on style techniques (see below).
    (3) Paint-on. Paint-on style captioning is initiated by receipt of a 
Resume Direct Captioning command. Subsequent data are addressed 
immediately 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 captions on Rows 1 to 15. Carriage 
Returns have no affect on cursor location during 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 character or Mid-Row Code occupying 
that location. (A Backspace received when the cursor is in Column 1 will 
be ignored.) 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 replacing any previous 
character occupying that location.
    (ii) The Delete to End of Row command 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 interrupted during the direct 
captioning by data for the alternate caption channel or for Text Mode, 
the display of caption text will resume at the same cursor position if a 
Resume Direct Captioning 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 
erasure 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 precisely 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 January 1, 1996 and 
having a character resolution of 5 x 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 must be in the owner's 
manual, indicating the receiver displays closed captioning 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     [reg]   See note\1\   Registered mark symbol
 31     [deg]   ............  Degree sign
 32     \1/2\   ............  \1/2\
 33             ............  Inverse query
 34        TM   See note\1\   Trademark symbol
 35    [cent]   ............  Cents sign
 36   [pound]   ............  Pounds Sterling sign
 37         X   ............  Music note
 38         a             A   Lower-case a with grave accent
 39             ............  Transparent space
 3A         e             E   Lower-case e with grave accent
 3B         a             A   Lower-case a with circumflex
 3C         e             E   Lower-case e with circumflex
 3D         i             I   Lower-case i with circumflex
 3E         o             O   Lower-case o with circumflex
 3F         u             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 trademark symbol be superscripted,
  i.e., XYZTM. It is left to each individual manufacturer to interpret
  these symbols in any way that meets the legal needs of the user.


[[Page 786]]

                           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         a           A   Lower-case a with acute accent
 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
 3B         ;   ..........  Semi-colon
 3C         <   ..........  Less than sign
 3D         =   ..........  Equal sign
 3E  
Sec. 15.120  Program blocking technology requirements for television 
receivers.

    (a) Effective July 1, 1999, manufacturers of television broadcast 
receivers as defined in section 15.3(w) of this chapter, including 
personal computer systems meeting that definition, must ensure 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

[[Page 792]]

provisions of paragraphs (c), (d), and (e) of this section.

    Note: This paragraph places no restrictions on the shipping or sale 
of television receivers that were manufactured before July 1999.

    (b) Effective January 1, 2000, all TV broadcast receivers as defined 
in section 15.3(w) of this chapter, including personal computer systems 
meeting that definition, with picture screens 33 cm (13 in) or larger in 
diameter shipped in interstate 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 Sec. 
73.682(a)(22) of this chapter.
    (2) [Reserved]
    (d) Operation. (1) Analog television receivers will receive program 
ratings transmitted pursuant to EIA-744: ``Transport of Content Advisory 
Information Using Extended Data Service (XDS)'' (incorporated by 
reference, see Sec. 15.38) and EIA-608: ``Recommended Practice for Line 
21 Data Service'' (incorporated by reference, see Sec. 15.38). Blocking 
of programs shall occur when a program rating is received that meets the 
pre-determined user requirements.
    (2) Digital television receivers shall react in a similar manner as 
analog televisions when programmed to block specific rating categories.
    (e) All television receivers as described in paragraph (a) of this 
section shall block programming as follows:
    (1) Channel Blocking. Channel Blocking 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 consumer) should not block unrated programs. However, it 
is permissible to include features that allow the user to reprogram the 
receiver to block programs that are not rated.
    (3) Picture-In-Picture (PIP). If a receiver has the ability to 
decode program-related rating information for the Picture-In-Picture 
(PIP) video signal, then it should block the PIP channel in the same 
manner as the main channel. If the receiver does not have the ability to 
decode PIP program-related rating information, then it should block or 
otherwise disable the PIP if the viewer has enabled program blocking.
    (4) Selection of Ratings. Each television 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 programming according to its age 
based rating level, the receiver must have the ability to automatically 
block programs 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 restrictive ratings of TV-14 and TV-MA.
    (ii) If the user chooses to block programming according to a 
combination of age based and content based ratings the receiver must 
have the ability to 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 capability 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]



Sec. 15.121  Scanning receivers and frequency converters used with scanning 
receivers.

    (a) Except as provided in paragraph (c) of this section, scanning 
receivers and frequency converters designed or

[[Page 793]]

marketed for use with scanning receivers, shall:
    (1) Be incapable of operating (tuning), or readily being altered by 
the user to operate, within the frequency bands allocated to the 
Cellular Radiotelephone 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, resistor or jumper wire; replacing a plug-in semiconductor 
chip; or programming a semiconductor chip using special access codes or 
an external device, such as a personal computer. Scanning receivers, and 
frequency converters designed for use with scanning receivers, also 
shall be incapable of converting digital cellular communication 
transmissions to analog voice audio.
    (2) Be designed so that the tuning, control and filtering circuitry 
is inaccessible. The design must be such that any attempts to modify the 
equipment to receive transmissions from the Cellular 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 Cellular 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 
paragraphs (a) and (b) of this section provided that they are 
manufactured exclusively for, and marketed exclusively to, entities 
described in 18 U.S.C. 2512(2), or are marketed exclusively as test 
equipment pursuant to Sec. 15.3(dd).
    (d) Modification of a scanning receiver to receive transmissions 
from Cellular Radiotelephone Service frequency bands will be considered 
to constitute manufacture of such equipment. This includes any 
individual, individuals, 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 
Sec. 15.23 shall not be interpreted as permitting modification of a 
scanning receiver to receiver Cellular Radiotelephone Service 
transmissions.
    (e) Scanning receivers and frequency converters designed for use 
with scanning receivers shall not be assembled from kits or marketed in 
kit form unless they comply with the requirements in paragraph (a) 
through (c) of this section.
    (f) Scanning receivers shall have a label permanently affixed to the 
product, and this label shall be readily visible to the purchaser at the 
time of purchase. The label shall read as follows: WARNING: MODIFICATION 
OF THIS DEVICE TO RECEIVE CELLULAR RADIOTELEPHONE SERVICE SIGNALS IS 
PROHIBITED UNDER FCC RULES AND FEDERAL LAW.
    (1) ``Permanently affixed'' means that the label is etched, 
engraved, stamped, silkscreened, indelible printed 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 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 marketed. 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]

[[Page 794]]



Sec. 15.122  Closed caption decoder requirements for digital television 
receivers and converter boxes.

    (a)(1) Effective July 1, 2002, all digital television receivers with 
picture screens in the 4:3 aspect ratio with picture 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 manufactured before July 1, 2002.
    (2) Effective July 1, 2002, DTV converter boxes that allow digitally 
transmitted television signals to be displayed on analog receivers shall 
pass available analog caption information to the attached receiver in a 
form recognizable 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 manufactured 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: ``Digital Television (DTV) Closed Captioning'' (incorporated 
by reference, see Sec. 15.38).
    (c) Services. (1) Decoders must be capable 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 functions must be capable of 
decoding and processing the Caption Service Directory data. Such 
decoders must be capable 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 required 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) Decoders must support Code Space 
C0, G0, C1, and G1 in their entirety.

[[Page 795]]

[GRAPHIC] [TIFF OMITTED] TR29SE00.000


    (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 [Scaron], [OElig], [scaron], [oelig], [Yuml].
    (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     G0 single quote (`), char code 0x27
 code 0x31.
Close single quote ('), G2 char    G0 single quote ('), char code 0x27
 code 0x32.
Open double quote (``), G2 char    G0 double quote (``), char code 0x22
 code 0x33.
Close double quote (''), G2 char   G0 double quote (''), char code 0x22
 code 0x34.
Bold bullet (),  G1 bullet (), char
 G2 char code 0x35.                 code 0xB7
Elipsis (. . .), G2 char code      G0 underscore (--), char code 0x5F
 0x25.
One-eighth (\1/8\), G2 char code   G0 percent sign (%), char code 0x25
 0x76.
Three-eighths (\3/8\), G2 char     G0 percent sign (%), char code 0x25
 code 0x77.
Five-eighths (\5/8\), G2 char      G0 percent sign (%), char code 0x25
 code 0x78.
Seven-eighths (\7/8\), G2 char     G0 percent sign (%), char code 0x25
 code 0x79.

[[Page 796]]

 
Vertical border ([verbar]), G2     G0 stroke ([verbar]), char code 0x7C
 char code 0x7A.
Upper-right border ([), G2 char    G0 dash (-), char code 0x2D
 code 0x7B.
Lower-left border (), G2  G0 dash (-), char code 0x2D
 char code 0x7C.
Horizontal border (--), G2 char    G0 dash (-), char code 0x2D
 code 0x7D.
Lower-right border (]), G2 char    G0 dash (-), char code 0x2D
 code 0x7E.
Upper-left border (), G2   G0 dash (-), char code 0x2D
 char code 0x7F.
------------------------------------------------------------------------

    (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 underscore character (--), char code 0x5F.
    (e) Screen coordinates. Table 3 specifies 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
----------------------------------------------------------------------------------------------------------------
                                                                                           Maximum     Maximum
     Screen aspect ratio         Maximum anchor position      Minimum anchor position     displayed   characters
                                        resolution                   resolution             rows       per row
----------------------------------------------------------------------------------------------------------------
4:3..........................  75v x 160h.................  15v x 32h..................           4           32
16:9.........................  75v x 210h.................  15v x 42h..................           4           42
Other........................  75v x (5 x H)..............  15v x H*...................           4          \1\
----------------------------------------------------------------------------------------------------------------
\1\H = 32 x (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 instrument is 15 vertical positions x 32 horizontal positions. 
This minimum grid resolution for 16:9 ratio instrument is 15 vertical 
positions x 42 horizontal 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 horizontal and vertical grid resolution coordinates. Caption 
providers are to use the maximum coordinate system values when 
specifying anchor point positions. Decoders using the minimum resolution 
are to divide the provided horizontal and vertical screen coordinates 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 caption 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 intended 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 captions 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 minimum 
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 incoming 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.

[[Page 797]]

    (2) Decoders do not need to support overlapped windows. If a window 
overlaps another window, the overlapped window need not be displayed by 
the decoder.
    (3) At a minimum, decoders will assume 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 implemented. Also, if a decoder implements the LARGE pen size, 
then word wrapping (when enlarging captions) need not be implemented.
    (4) Whenever possible, the receiver should render embedded carriage 
returns as line breaks, since these carriage returns indicate an 
important aspect of the caption's formatting as determined by the 
service provider. However, 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 
unlocked, 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 standard typographic practice when 
implementing word wrap. Potential breaking points (word-wrapping points) 
are indicated 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 hyphen should be retained.
    (iii) If an embedded return is to be removed, 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 include optional hyphens, nor does 
it provide for any form of automatic hyphenation. No non-breaking hyphen 
is defined. 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 potential 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 decoders should implement 
``left'', ``right'', and ``center'' caption-text justification. 
Implementation of ``full'' justification is optional. If ``full'' 
justification 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 received row of text when it is received. For ``center'', 
``right'', and ``full'' justification, 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 receipt of a CR, ETX or any other 
command, except SetPenColor, SetPenAttributes, or SetPenLocation where 
the pen relocation is within the same row.
    (ii) Receipt of a character for a displayed row which already 
contains text with ``center'', ``right'' or ``full'' justification will 
cause the row to be cleared prior to the display of the newly received 
character and any subsequent characters. Receipt of a justification 
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 LEFT--TO--RIGHT printing.
    (3) At a minimum, decoders must support BOTTOM--TO--TOP scrolling. 
For windows sharing the same horizontal scan lines on the display, 
scrolling may be disabled.
    (4) At a minimum, decoders must support the same recommended 
practices for scroll rate as is provided for NTSC closed-captioning.
    (5) At a minimum, decoders must support the same recommended 
practices for smooth scrolling as is provided for NTSC closed-
captioning.

[[Page 798]]

    (6) At a minimum, decoders must implement the ``snap'' window 
display effect. 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 ``effect 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 
minimum, decoders should implement Predefined Window Attribute Style 1 
and Predefined Pen Attribute Style 1, as shown in Table 4 and Table 5, 
respectively.

[[Page 799]]



                                                                              Table 4--Predefined Window Style ID's
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                 Print          Scroll       Word      Display       Effect        Effect                      Fill                     Border
      Style ID           Justify      direction      direction      wrap      effect       direction      speed      Fill color     opacity    Border type     color          Usage
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1............................  Left........  Left-to-right  Bottom-to-top  No.....  Snap........  n/a.........  n/a........  (0,0,0)       Solid......  None.......  n/a........  NTSC Style
                                                                                                                              Black.                                               PopUp
                                                                                                                                                                                   Captions
2............................  Left........  Left-to-right  Bottom-to-top  No.....  Snap........  n/a.........  n/a........  n/a.........  Transparent  None.......  n/a........  PopUp Captions
                                                                                                                                                                                   w/o Black
                                                                                                                                                                                   Background
3............................  Cntr........  Left-to-right  Bottom-to-top  No.....  Snap........  n/a.........  n/a........  (0,0,0)       Solid......  None.......  n/a........  NTSC Style
                                                                                                                              Black.                                               Centered
                                                                                                                                                                                   PopUp
                                                                                                                                                                                   Captions
4............................  Left........  Left-to-right  Bottom-to-top  Yes....  Snap........  n/a.........  n/a........  (0,0,0)       Solid......  None.......  n/a........  NTSC Style
                                                                                                                              Black.                                               RollUp
                                                                                                                                                                                   Captions
5............................  Left........  Left-to-right  Bottom-to-top  Yes....  Snap........  n/a.........  n/a........  n/a.........  Transparent  None.......  n/a........  RollUp
                                                                                                                                                                                   Captions w/o
                                                                                                                                                                                   Black
                                                                                                                                                                                   Background
6............................  Cntr........  Left-to-right  Bottom-to-top  Yes....  Snap........  n/a.........  n/a........  (0,0,0)       Solid......  None.......  n/a........  NTSC Style
                                                                                                                              Black.                                               Centered
                                                                                                                                                                                   RollUp
                                                                                                                                                                                   Captions
7............................  Left........  Top-to-bottom  Right-to-left  No.....  Snap........  n/a.........  n/a........  (0,0,0)       Solid......  None.......  n/a........  Ticker Tape
                                                                                                                              Black.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------


                                                                               Table 5--Predefined Pen Style ID's
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                     Foregrnd     Foregrnd     Backgrnd     Backgrnd
      Predefined style ID          Pen size      Font style       Offset      Italics     Underline    Edge type      color       opacity       color       opacity     Edge color      Usage
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1.............................  Stndr........  0............  Normal.......  No.......  No..........  None.......  (2,2,2)      Solid......  (0,0,0)      Solid......  n/a........  Default NTSC
                                                                                                                    White.                    Black.                                 Style*

[[Page 800]]

 
2.............................  Stndr........  1............  Normal.......  No.......  No..........  None.......  (2,2,2)....  Solid......  (0,0,0)      Solid......  n/a........  NTSC Style*
                                                                                                                                              White.                                 Mono w/
                                                                                                                                                                                     Serif
3.............................  Stndr........  2............  Normal.......  No.......  No..........  None.......  (2,2,2)      Solid......  (0,0,0)      Solid......  n/a........  NTSC Style*
                                                                                                                    White.                    Black.                                 Prop w/
                                                                                                                                                                                     Serif
4.............................  Stndr........  3............  Normal.......  No.......  No..........  None.......  (2,2,2)      Solid......  (0,0,0)      Solid......  n/a........  NTSC Style*
                                                                                                                    White.                    Black.                                 Mono w/o
                                                                                                                                                                                     Serif
5.............................  Stndr........  4............  Normal.......  No.......  No..........  None.......  (2,2,2)      Solid......  (0,0,0)      Solid......  n/a........  NTSC Style*
                                                                                                                    White.                    Black.                                 Prop w/o
                                                                                                                                                                                     Serif
6.............................  Stndr........  3............  Normal.......  No.......  No..........  Unifrm.....  (2,2,2)      Solid......  n/a........  Transparent  (0,0,0)      Mono w/o
                                                                                                                    White.                                              Black.       Serif,
                                                                                                                                                                                     Bordered
                                                                                                                                                                                     Text, No BG
7.............................  Stndr........  4............  Normal.......  No.......  No..........  Unifrm.....  (2,2,2)      Solid......  n/a........  Transparent  (0,0,0)      Prop. w/o
                                                                                                                    White.                                              Black.       Serif,
                                                                                                                                                                                     Bordered
                                                                                                                                                                                     Text, No BG
 
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
*``NTSC Style''--White Text on Black Background


[[Page 801]]

    (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 implemented 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 implemented 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 recommendation allows for 
captions to grow to a LARGE pen size without having to reformat the 
caption since no caption will have more than 32 characters per row.
    (k) Font styles. (1) Decoders must support the eight fonts listed 
below. Caption 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 numbered 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 popular fonts 
which embody the characteristics of the style:
    (i) 0--Default (undefined)
    (ii) 1--Monospaced with serifs (similar 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 include the ability for consumers to choose among the eight fonts. 
The decoder 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 attributes.
    (m) Pen styles. At a minimum, decoders must implement normal, 
italic, and underline pen styles.
    (n) Foreground color and opacity. (1) At a minimum, decoders must 
implement transparent, translucent, solid and flashing character 
foreground type attributes.
    (2) At a minimum, decoders must implement the following character 
foreground 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 
following background colors: white, black, red, green, blue, yellow, 
magenta and cyan. It is recommended that this background is extended 
beyond the character foreground to a degree that the foreground is 
separated from the underlying video by a sufficient number of background 
pixels to insure the foreground is separated from the background.
    (2) Decoders must implement transparent, translucent, solid and 
flashing background type attributes. 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.
    (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.

[[Page 802]]



                    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 received 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 Alternative Minimum Color List in 
Table 7 receives an RGB value not in the list (i.e., an RGB value whose 
non-zero elements are not the same value), it will map the received 
value to one of the values in the list via the following algorithm:
    (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 
elements--e.g. (3,1,3), (2,1,2), and (2,2,3), if the common elements are 
3 and the uncommon one is 1, then the 1 elements is changed to 0; e.g. 
(3,1,3) [rarr] (3,0,3). If the common elements are 1 and the uncommon 
element is 3, then the 1 elements are changed to 0, and the 3 element is 
changed to 2; e.g. (1,3,1) [rarr] (0,2,0). In all other cases, the 
uncommon element is changed to the common value; e.g., (2,2,3) [rarr] 
(2,2,2), (1,2,1) [rarr] (1,1,1), and (3,2,3) [rarr] (3,3,3).
    (ii) All decoders not supporting either 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 requirement:
    (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 required 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 
character rendition (e.g., character background and edge attributes) 
provide unlimited flexibility to the caption provider when describing 
caption text in an ideal decoder implementation. However, manufacturers 
need not implement all pen attributes. Thus it is recommended that no 
matter what the level of implementation, decoder manufacturers should 
take into account the readability of all caption text against a variety 
of all video backgrounds, and should implement some

[[Page 803]]

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 following 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 
expires.
    (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 default). Decoders must also include an option that 
allows a viewer's chosen settings to remain until the viewer chooses to 
alter these settings, including periods when the television is turned 
off.

[65 FR 58471, Sept. 29, 2000, as amended at 69 FR 2849, Jan. 21, 2004]



Sec. 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 digital 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 describes the device as ``cable ready'' or ``cable compatible,'' or 
otherwise indicates 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'' (incorporated by reference, see Sec. 15.38), provided, 
however, that with respect to Table B.11 of that standard, the phase 
noise requirement shall be -86 dB/Hz including both in-the-clear 
channels and channels that are subject to conditional access.
    (3) Allows navigation of channels based on channel information 
(virtual channel map and source names) provided through the cable system 
in compliance with ANSI/SCTE 65 2002 (formerly DVS 234): ``Service 
Information Delivered Out-of-Band for Digital Cable Television'' 
(incorporated by reference, see Sec. 15.38), and/or PSIP-enabled 
navigation (ANSI/SCTE 54 2003 (formerly DVS 241): ``Digital Video 
Service Multiplex and Transport System Standard for Cable Television'' 
(incorporated by reference, see Sec. 15.38)).
    (4) Includes the POD-Host Interface specified in SCTE 28 2003 
(formerly DVS 295): ``Host-POD Interface Standard'' (incorporated by 
reference, see Sec. 15.38), and SCTE 41 2003 (formerly DVS 301): ``POD 
Copy Protection System'' (incorporated by reference, see Sec. 15.38), 
or implementation of a more advanced POD-Host Interface based on 
successor standards. Support for Internet 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 reference, see Sec. 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 marketed as digital cable ready or with other terminology as 
described in paragraph (b) of this section, unless it includes a DTV 
broadcast tuner as set forth in Sec. 15.117(i) and employs at least one 
specified interface in accordance with the following schedule:
    (i) For 480p grade unidirectional digital 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 imported after July 
1, 2004; 100% of such

[[Page 804]]

models manufactured or imported after July 1, 2005.
    (B) Models with screen sizes 32 to 35 inches: 50% of a 
manufacturer's or importer's models manufactured or imported 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 imported 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 importer's models manufactured or imported 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 importer's models manufactured or imported after July 
1, 2007.
    (c) Before a manufacturer's or importer's first unidirectional 
digital cable product may be labeled or marketed as digital cable ready 
or with other terminology as described in paragraph (b) of this section, 
the manufacturer or importer shall verify the device 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 Sec. 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-Directional Receiving Device: Conformance Checklist: 
PICS Proforma'' (incorporated by reference, see Sec. 15.38) retested at 
a qualified test facility.
    (2) A qualified test facility is a facility representing cable 
television system operators serving a majority of the cable television 
subscribers in the United States or an independent laboratory with 
personnel knowledgeable with respect to the standards referenced in 
paragraph (b) of this section concerning the procedures set forth in 
Uni-Dir-PICS-I01-030903: ``Uni-Directional Receiving Device: Conformance 
Checklist: PICS Proforma'' (incorporated by reference, see Sec. 15.38).
    (3) Subsequent to the testing of its initial unidirectional digital 
cable product model, a manufacturer or importer is not required to have 
other models of unidirectional digital cable products tested at a 
qualified test facility for compliance with the procedures of Uni-Dir-
PICS-I01-030903: ``Uni-Directional Receiving Device: Conformance 
Checklist: PICS Proforma'' (incorporated by reference, see Sec. 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 Checklist: PICS Proforma'' (incorporated by 
reference, see Sec. 15.38) and all other applicable rules and 
standards. The manufacturer or importer shall maintain records 
indicating such compliance in accordance with the verification procedure 
requirements in part 2, subpart J of this chapter. The manufacturer or 
importer shall further submit documentation verifying compliance with 
the procedures in the Uni-Dir-PICS-I01-030903: ``Uni-Directional 
Receiving Device: Conformance Checklist: PICS Proforma'' (incorporated 
by reference, see Sec. 15.38) to a facility representing cable 
television system operators serving 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 language: ``This 
digital television is capable of receiving analog basic, digital basic 
and digital premium cable television programming by direct connection to 
a cable system providing such programming. A security card provided by 
your cable operator is required to view encrypted digital programming.

[[Page 805]]

Certain advanced and interactive digital cable services such as video-
on-demand, a cable operator's enhanced program guide and data-enhanced 
television services may require the use of a set-top box. For more 
information call your local cable operator.''

[68 FR 66733, Nov. 28, 2003]



                     Subpart C_Intentional Radiators



Sec. 15.201  Equipment authorization requirement.

    (a) Intentional radiators operated as carrier current systems, 
devices operated under the provisions of Sec. Sec. 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 Sec. 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 Sec. 15.23 of this part, all intentional radiators operating 
under the provisions of this part shall be certificated by the 
Commission pursuant to the procedures in subpart J of part 2 of this 
chapter prior to marketing.
    (c) For devices such as perimeter protection systems which, in 
accordance with Sec. 15.31(d), are required to be measured at the 
installation site, each application for certification must be 
accompanied by a statement indicating that the system has been tested at 
three installations and found to comply at each installation. Until such 
time as certification is granted, a given installation of a system that 
was measured for the submission for certification will be considered to 
be in compliance with the provisions of this chapter, including the 
marketing regulations 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 requirements. Similarly, where measurements must be 
performed on site for equipment subject to verification, a given 
installation that has been verified to demonstrate compliance with the 
applicable standards will be considered to be in compliance with the 
provisions of 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 allocated to television broadcast stations operating under part 73 
of this chapter, the holder of the grant of certification must test each 
installation prior to initiation of normal operation to verify 
compliance with the technical standards and must maintain a list of all 
installations and records of measurements. For perimeter protection 
systems operating outside of the frequency 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]



Sec. 15.203  Antenna requirement.

    An intentional radiator shall be designed 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 antenna or of an antenna 
that uses a unique coupling to the intentional radiator shall be 
considered sufficient to comply with the provisions of this section. 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 requirement does not apply to 
carrier current devices or to devices operated under the provisions of 
Sec. 15.211, Sec. 15.213, Sec. 15.217, Sec. 15.219, or Sec. 15.221. 
Further, this requirement does not apply to intentional radiators that 
must be professionally installed, such as perimeter protection systems 
and some field disturbance sensors, or to other intentional radiators 
which, in accordance with Sec. 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 exceeded.

[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 28762, July 13, 1990]



Sec. 15.204  External radio frequency power amplifiers and antenna 
modifications.

    (a) Except as otherwise described in paragraph (b) of this section, 
no person

[[Page 806]]

shall use, manufacture, sell or lease, offer for sale or lease 
(including advertising for sale or lease), or import, 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 intentional radiator.
    (b) A transmission system consisting of an intentional radiator, an 
external radio frequency power amplifier, and an antenna, may be 
authorized, marketed and used under this part. However, when a 
transmission system is authorized as a system, it must always be 
marketed as a complete system and must always be used in the 
configuration in which it was authorized. An external radio frequency 
power amplifier shall be marketed only in the system configuration with 
which the amplifier is authorized and shall not be marketed as a 
separate product.
    (c) Only the antenna with which an intentional radiator is 
authorized may be used with the intentional radiator.

[62 FR 26242, May 13, 1997]

    Effective Date Note: At 69 FR 54034, Sept. 7, 2004, Sec. 15.204 was 
revised, effective Oct. 7, 2004. For the convenience of the user, the 
revised text is set forth as follows:

Sec. 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 (including advertising for sale or lease), or import, 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 intentional radiator.
    (b) A transmission system consisting of an intentional radiator, an 
external radio frequency power amplifier, and an antenna, may be 
authorized, marketed and used under this part. Except as described 
otherwise in this section, when a transmission system is authorized as a 
system, it must always be marketed as a complete system and must always 
be used in the configuration 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 marketed with the 
intentional radiator, it shall be of a type which is authorized with the 
intentional radiator. An intentional radiator may be authorized 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 performed 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 authorization 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 intentional radiator. 
No retesting of this system configuration is required. The marketing or 
use of a system configuration that employs an antenna of a different 
type, or that operates at a higher gain, than the antenna authorized 
with the intentional radiator is not permitted unless the procedures 
specified in Sec. 2.1043 of this chapter are followed.
    (d) Except as described in this paragraph, an external radio 
frequency power amplifier or amplifier kit shall be marketed only with 
the system configuration with which it was approved and not as a 
separate product.
    (1) An external radio frequency power amplifier may be marketed for 
individual 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 Sec. 15.247 of this part or a transmitter 
that operates in the 5.725-5.825 GHz band pursuant to Sec. 15.407 of 
this part. The amplifier must be of a design such that it can only be 
connected 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 identification 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 amplifier can be used 
only in a system which it has obtained authorization. Such a notice must 
identify the authorized system by FCC Identifier.



Sec. 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:

[[Page 807]]



----------------------------------------------------------------------------------------------------------------
                 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                2655-2900              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

    (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 Sec. 15.209. At frequencies equal 
to or less than 1000 MHz, compliance with the limits in Sec. 15.209 
shall be demonstrated using measurement instrumentation employing a 
CISPR quasi-peak detector. Above 1000 MHz, compliance with the emission 
limits in Sec. 15.209 shall be demonstrated based on the average value 
of the measured emissions. The provisions in Sec. 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 elsewhere 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 paragraph (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, without compensation for duty cycle.
    (2) Transmitters used to detect buried electronic markers at 101.4 
kHz which are employed by telephone companies.
    (3) Cable locating equipment operated pursuant to Sec. 15.213.
    (4) Any equipment operated under the provisions of Sec. Sec. 
15.253, 15.255 or 15.257.
    (5) Biomedical telemetry devices operating under the provisions of 
Sec. 15.242 of this part are not subject to the restricted band 608-614 
MHz but are subject to compliance within the other restricted bands.
    (6) Transmitters operating under the provisions of subparts D or F 
of this part.
    (7) Devices operated pursuant to Sec. 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 Sec. 
15.245 are exempt from complying with the requirements of this section 
for the 48.15-48.35 GHz and 72.225-72.525 GHz bands only, and shall not 
exceed the limits specified in Sec. 15.245(b).
    (9) Devices operated in the 24.0-24.25 GHz band under Sec. 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 Sec. 15.249(a).
    (e) Harmonic emissions appearing in the restricted bands above 17.7 
GHz from field disturbance sensors operating under the provisions of 
Sec. 15.245

[[Page 808]]

shall not exceed the limits specified in Sec. 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]



Sec. 15.207  Conducted limits.

    (a) Except as shown in paragraphs (b) and (c) of this section, for 
an intentional 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 frequencies, within the 
band 150 kHz to 30 MHz, shall not exceed the limits in the following 
table, as measured using a 50 [mu]H/50 ohms line impedance stabilization 
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 terminal. The lower limit applies at 
the boundary between the frequency ranges.

------------------------------------------------------------------------
                                        Conducted limit (dB[mu]V)
  Frequency of emission (MHz)   ----------------------------------------
                                      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 carrier current systems operating as intentional radiators on 
frequencies below 30 MHz. In lieu thereof, these carrier current systems 
shall be subject to the following standards:
    (1) For carrier current system containing 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 systems: 1000 [mu]V within the 
frequency band 535-1705 kHz, as measured using a 50 [mu]H/50 ohms LISN.
    (3) Carrier current systems operating below 30 MHz are also subject 
to the radiated emission limits in Sec. 15.205, Sec. 15.209, Sec. 
15.221, Sec. 15.223, or Sec. 15.227, as appropriate.
    (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 eliminators or 
that connect to the AC power lines indirectly, obtainig their power 
through another device which is connected 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]



Sec. 15.209  Radiated emission limits; general requirements.

    (a) Except as provided elsewhere in this subpart, the emissions from 
an intentional radiator shall not exceed the field strength levels 
specified in the following table:

------------------------------------------------------------------------
                                                             Measurement
         Frequency (MHz)                Field strength         distance
                                      (microvolts/meter)       (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
Above 960........................  500                                3
------------------------------------------------------------------------
** Except as provided in paragraph (g), fundamental emissions 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 sections of this part, e.g., Sec. Sec. 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 emissions from an intentional radiator 
operating under these general provisions shall not exceed the level of 
the fundamental emission. For intentional radiators which operate under 
the provisions of other sections within this part and which are required 
to reduce their unwanted emissions to the limits specified in this 
table, the limits in this table are based on the frequency of the

[[Page 809]]

unwanted emission and not the fundamental 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 detector 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 employing 
an average detector.
    (e) The provisions in Sec. Sec. 15.31, 15.33, and 15.35 for 
measuring emissions at distances other than the distances specified in 
the above table, determining 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 Sec. 15.33(a), in some cases the emissions 
from an intentional radiator must be measured to beyond the tenth 
harmonic of the highest fundamental frequency designed to be emitted by 
the intentional radiator because of the incorporation of a digital 
device. If measurements above the tenth harmonic are so required, the 
radiated emissions above the tenth harmonic shall comply with the 
general radiated emission limits applicable to the incorporated digital 
device, as shown in Sec. 15.109 and as based on the frequency of the 
emission being measured, or, except for emissions contained in the 
restricted frequency bands shown in Sec. 15.205, the limit on spurious 
emissions specified for the intentional radiator, whichever is the 
higher limit. Emissions which must be measured above the tenth harmonic 
of the highest fundamental frequency designed to be emitted by the 
intentional radiator and which fall within the restricted bands shall 
comply with the general radiated emission limits in Sec. 15.109 that 
are applicable to the incorporated 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 protection systems is limited to industrial, business and 
commercial applications.

[54 FR 17714, Apr. 25, 1989; 54 FR 32339, Aug. 7, 1989; 55 FR 18340, May 
2, 1990; 62 FR 58658, Oct. 30, 1997]



Sec. 15.211  Tunnel radio systems.

    An intentional radiator utilized as part of a tunnel radio system 
may operate on any frequency provided it meets all of the following 
conditions:
    (a) Operation of a tunnel radio system (intentional radiator and all 
connecting wires) shall be contained solely within a tunnel, mine or 
other structure 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 regulations contained 
within this part.
    (c) The total electromagnetic field from a tunnel radio system on 
any frequency or frequencies appearing outside of the tunnel, mine or 
other structure described in paragraph (a) of this section, shall not 
exceed the limits shown in Sec. 15.209 when measured at the specified 
distance from the surrounding structure, including openings. Particular 
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 Sec. 15.209 refer to the distance 
from the plane of reference which fits the entire perimeter of each 
above ground opening.
    (d) The conducted limits in Sec. 15.207 apply to the radiofrequency 
voltage on the public utility power lines outside of the tunnel.



Sec. 15.213  Cable locating equipment.

    An intentional radiator used as cable locating equipment, as defined 
in Sec. 15.3(d), may be operated on any frequency within the band 9-490 
kHz, subject to the following limits: Within the frequency band 9 kHz, 
up to, but not including, 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,

[[Page 810]]

the peak output power from the cable locating equipment shall not exceed 
one watt. If provisions are made for connection of the cable locating 
equipment to the AC power lines, the conducted limits in Sec. 15.207 
also apply to this equipment.



Sec. 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 clearly identifies and provides data for all parts of the 
system to show compliance with the applicable technical requirements. 
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 certification, if appropriate, for each type of receiver included in 
the system.
    (b) A cordless telephone that is intended 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 communications may not be 
ensured when using this phone.''
    (d) Cordless telephones shall incorporate circuitry which makes use 
of a digital security code to provide protection against unintentional 
access to the public switched telephone network by the base unit and 
unintentional ringing by the handset. These functions shall operate such 
that each access of the telephone network or ringing 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 functions, such as providing 
telephone billing 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 continuously varied over at 
least 256 possible codes as each telephone is manufactured. The codes 
may be varied either randomly, sequentially, or using another systematic 
procedure.
    (2) Manufacturers must use one of the following approaches for 
facilitating variation in the geographic distribution 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 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 continuously varied among at least 
256 discrete digital codes as each telephone is manufactured.
    (iii) Provide a means for the cordless telephone to automatically 
select a different code from among at least 256 possible discrete 
digital codes each time it is activated.
    (iv) It is permissible to provide combinations of fixed, automatic, 
and user-selectable coding provided the above criteria are met.
    (3) A statement of the means and procedures used to achieve the 
required protection shall be provided in any application 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



Sec. 15.215  Additional provisions to the general radiated emission 
limitations.

    (a) The regulations in Sec. Sec. 15.217 through 15.257 provide 
alternatives to the general radiated emission limits for intentional 
radiators operating in specified frequency bands. Unless otherwise 
stated, there are no restrictions as to the types of operation permitted 
under these sections.

[[Page 811]]

    (b) In most cases, unwanted emissions outside of the frequency bands 
shown in these alternative provisions must be attenuated to the emission 
limits shown in Sec. 15.209. In no case shall the level of the unwanted 
emissions from an intentional radiator operating under these additional 
provisions exceed the field strength of the fundamental emission.
    (c) Intentional radiators operating under the alternative provisions 
to the general emission limits, as contained in Sec. Sec. 15.217 
through 15.257 and in subpart E of this part, must be designed to ensure 
that the 20 dB bandwidth of the emission is contained within the 
frequency band designated in the rule section under which the equipment 
is operated. The requirement to contain the 20 dB bandwidth of the 
emission within the specified frequency band includes the effects from 
frequency sweeping, frequency hopping and other modulation techniques 
that may be employed as well as the frequency stability of the 
transmitter over expected variations in temperature and supply voltage. 
If a frequency stability is not specified in the regulations, it is 
recommended that the fundamental emission be kept within at least the 
central 80% of the permitted band in order to minimize the possibility 
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]



Sec. 15.217  Operation in the band 160-190 kHz.

    (a) The total input power to the final radio frequency stage 
(exclusive of filament or heater power) shall not exceed one watt.
    (b) The total length of the transmission 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 
measurements at the intentional radiator's antenna output terminal 
unless the intentional radiator uses a permanently attached antenna, in 
which case compliance shall be demonstrated by measuring the radiated 
emissions.



Sec. 15.219  Operation in the band 510-1705 kHz.

    (a) The total input power to the final radio frequency stage 
(exclusive of filament or heater power) shall not exceed 100 milliwatts.
    (b) The total length of the transmission 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 measurements at the intentional radiator's antenna output 
terminal unless the intentional radiator uses a permanently attached 
antenna, in which case compliance shall be deomonstrated by measuring 
the radiated emissions.



Sec. 15.221  Operation in the band 525-1705 kHz.

    (a) Carrier current systems and transmitters employing a leaky 
coaxial 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 Sec. 15.209.
    (b) As an alternative to the provisions in paragraph (a) of this 
section, intentional radiators used for the operation of an AM broadcast 
station on a college or university campus or on the campus of any other 
education institution 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 in Sec. 15.209 as measured from the radiating source. 
There is no limit on the field strength of emissions appearing within 
this frequency band, except that the provisions of Sec. 15.5 continue 
to comply.

[[Page 812]]

    (2) At the perimeter of the campus, the field strength of any 
emissions, including those within the frequency band 525-1705 kHz, shall 
not exceed the general radiated emission in Sec. 15.209.
    (3) The conducted limits specified in Sec. 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 devices which may be 
used on the campus, contributing to the conducted emissions, as an 
alternative to measuring conducted emissions outside of the campus, it 
is acceptable to demonstrate compliance with this provision by measuring 
each individual intentional radiator employed in the system at the point 
where it connects to the AC power lines.
    (c) A grant of equipment authorization is not required for 
intentional radiators operated under the provisions of this section. In 
lieu thereof, the intentional radiator shall be verified for compliance 
with the regulations in accordance 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 frequency of operation shall be 
chosen such that operation is not within the protected field strength 
contours of licensed AM stations.

[56 FR 373, Jan. 4, 1991]



Sec. 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 frequency of 
the device in MHz) microvolts/meter at a distance of 30 meters, 
whichever is the higher level. For the purposes of this section, 
bandwidth is determined at the points 6 dB down from the modulated 
carrier. The emission limits in this paragraph are based on measurement 
instrumentation employing an average detector. The provisions in Sec. 
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 emission limits in Sec. 
15.209.



Sec. 15.225  Operation within the band 13.110-14.010 MHz.

    (a) The field strength of any emissions 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 emissions appearing outside of the 
13.110-14.010 MHz band shall not exceed the general radiated emission 
limits in Sec. 15.209.
    (e) The frequency tolerance of the carrier signal shall be 
maintained within +/-0.01% of the operating frequency 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 battery 
operated equipment, the equipment tests shall be performed using a new 
battery.
    (f) 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 device or be considered as a separate device subject 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]



Sec. 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 instrumentation employing an average 
detector.

[[Page 813]]

The provisions in Sec. 15.35 for limiting peak emissions apply.
    (b) The field strength of any emissions which appear outside of this 
band shall not exceed the general radiated emission limits in Sec. 
15.209.



Sec. 15.229  Operation within the band 40.66-40.70 MHz.

    (a) Unless operating pursuant to the provisions in Sec. 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 determined using 
measurement instrumentations employing an average detector. The 
provisions in Sec. 15.35 for limiting peak emissions apply where 
compliance of these devices is demonstrated under this alternative 
emission limit.
    (c) The field strength of any emissions appearing outside of this 
band shall not exceed the general radiated emission limits in Sec. 
15.209.
    (d) The frequency tolerance of the carrier signal shall be 
maintained within 0.01% of the operating frequency 
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 battery operated equipment, the equipment tests shall be 
performed using a new battery.

[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 33910, Aug. 20, 1990]



Sec. 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 
transmissions, 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 
automatically deactivate the transmitter within not more than 5 seconds 
of being released.
    (2) A transmitter activated automatically shall cease transmission 
within 5 seconds after activation.
    (3) Periodic transmissions at regular predetermined intervals are 
not permitted. However, polling or supervision transmissions, including 
data, to determine 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, security, and safety of 
life, when activated to signal an alarm, may operate during the pendency 
of the alarm condition
    (b) In addition to the provisions of Sec. 15.205, the field 
strength of emissions from intentional radiators operated under this 
section shall not exceed the following:

------------------------------------------------------------------------
                                   Field strength of   Field strength of
   Fundamental frequency (MHz)        fundamental     spurious emissions
                                  (microvolts/meter)  (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        \1\ 375 to 1,250
                                   12,500.
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 emissions, as shown in the above table,

[[Page 814]]

based on the average value of the measured emissions. As an alternative, 
compliance with the limits in the above table may be based on the use of 
measurement instrumentation with a CISPR quasi-peak detector. The 
specific method of measurement employed shall be specified in the 
application for equipment authorization. If average emission 
measurements are employed, the provisions in Sec. 15.35 for averaging 
pulsed emissions and for limiting peak emissions apply. Further, 
compliance with the provisions of Sec. 15.205 shall be demonstrated 
using the measurement instrumentation specified in that section.
    (3) The limits on the field strength of the spurious emissions in 
the above table are based on the fundamental frequency 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 Sec. 15.209, whichever limit permits 
a higher field strength.
    (c) The bandwidth of the emission shall be no wider than 0.25% of 
the center 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 determined 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 confined within the band edges 
and the frequency tolerance of the carrier shall be 0.01%. This frequency tolerance shall be maintained for 
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 
battery operated equipment, the equipment tests shall be performed using 
a new battery.
    (e) Intentional radiators may operate at a periodic rate exceeding 
that specified in paragraph (a) of this section and may be employed for 
any type of operation, including operation prohibited in paragraph (a) 
of this section, provided 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 
following:

------------------------------------------------------------------------
                                   Field strength of   Field strength of
   Fundamental frequency (MHz)        fundamental      spurious emission
                                  (microvolts/meter)  (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 automatically limiting operation so 
that the duration of each transmission shall not be greater than one 
second and the silent 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]



Sec. 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 section are restricted to cordless 
telephones.
    (b) An intentional radiator used as part of a cordless telephone 
system shall operate centered on one or more of the following frequency 
pairs, subject to the following conditions:
    (1) Frequencies shall be paired as shown below, except that channel 
pairing for channels one through fifteen may be accomplished by pairing 
any of the fifteen base transmitter frequencies 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 occupied 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

[[Page 815]]

indicating that some cordless telephones operate at frequencies that may 
cause interference to nearby TVs and VCRs; to minimize or prevent such 
interference, the base of the cordless telephone should not be placed 
near or on top of a TV or VCR; and, if interference is experienced, 
moving the cordless telephone farther away from the TV or VCR will often 
reduce or eliminate the interference. A statement describing the means 
and procedures used to achieve automatic channel selection shall be 
provided in any application for equipment authorization of a cordless 
telephone operating on channels one through fifteen.

------------------------------------------------------------------------
                                               Base           Handset
                 Channel                    transmitter     transmitter
                                               (MHz)           (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 fundamental emission shall not exceed 
10,000 microvolts/meter at 3 meters. The emission limit in this 
paragraph is based on measurement instrumentation employing an average 
detector. The provisions in Sec. 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 frequency tolerance of the transmitter at the time testing is 
performed. Modulation 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 Sec. 15.209, whichever permits the higher 
emission levels. Emissions on any frequency more than 20 kHz removed 
from the center frequency shall consist solely of unwanted emissions and 
shall not exceed the general radiated emission limits in Sec. 15.209. 
Tests to determine compliance with these requirements shall be performed 
using an appropriate input signal as prescribed in Sec. 2.989 of this 
chapter.
    (e) All emissions exceeding 20 microvolts/meter at 3 meters are to 
be reported in the application for certification.
    (f) If the device provides for the connection of external 
accessories, including external electrical input signals, the device 
must be tested with the accessories 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 
frequency. The tolerance shall be maintained for a temperature variation 
of -20 degrees C to +50 degrees C at normal 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 battery operated 
equipment, the equipment tests shall be performed using a new battery.
    (h) For cordless telephones that do not comply with Sec. 15.214(d) 
of this part, 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 provided 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

[[Page 816]]

will be carried on the package and indicate where, specifically, it will 
be located 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]



Sec. 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 instrumentation employing an average 
detector. The provisions in Sec. 15.35 for limiting peak emissions 
apply.
    (b) The field strength of any emissions 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 Sec. 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 Sec. 15.209. All signals exceeding 20 microvolts/
meter at 3 meters shall be reported in the application for 
certification.
    (c) For a home-built intentional radiator, as defined in Sec. 
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 device 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 element, one meter or less in 
length, permanently 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 Sec. 15.23 of this part apply to 
intentional radiators constructed under the provisions of this 
paragraph.
    (d) Cordless telephones are not permitted to operate under the 
provisions of this section.



Sec. 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 assistance device.
    (b) Emissions from the intentional radiator shall be confined within 
a band 200 kHz wide centered on the operating frequency. The 200 kHz 
band shall lie wholly within the above specified frequency ranges.
    (c) The field strength of any emissions within the permitted 200 kHz 
band shall not exceed 80 millivolts/meter at 3 meters. The field 
strength of any emissions radiated on any frequency 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 measurement 
instrumentation employing an average detector. The provisions in Sec. 
15.35 for limiting peak emissions apply.

[54 FR 17714, Apr. 25, 1989, as amended at 57 FR 13048, Apr. 15, 1992]



Sec. 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 operating frequency. The 200 kHz 
band shall lie wholly within the frequency range of 88-108 MHz.
    (b) The field strength of any emissions within the permitted 200 kHz 
band shall not exceed 250 microvolts/meter at 3 meters. The emission 
limit in this paragraph is based on measurement instrumentation 
employing an average detector. The provisions in Sec. 15.35 for 
limiting peak emissions apply.
    (c) The field strength of any emissions radiated on any frequency 
outside of the specified 200 kHz band shall not exceed the general 
radiated emission limits in Sec. 15.209.
    (d) A custom built telemetry intentional radiator operating in the 
frequency band 88-108 MHz and used for experimentation by an educational 
institute need not be certified provided the device complies with the 
standards in this part and the educational institution notifies the 
Engineer in Charge of the local FCC office, in writing, in

[[Page 817]]

advance of operation, providing the following information:
    (1) The dates and places where the device will be operated;
    (2) The purpose for which the device will be used;
    (3) A description of the device, including the operating frequency, 
RF power output, and antenna; and,
    (4) A statement that the device complies with the technical 
provisions of this part.

[54 FR 17714, Apr. 25, 1989; 54 FR 32340, Aug. 7, 1989]



Sec. 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 industrial 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 section shall not be 
used for voice communications.
    (b) The field strength of any emissions radiated within the 
specified frequency 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 employing 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, devices 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 
transmission error. Absent such a transmission error, the silent period 
between transmissions shall not be less than 10 seconds.
    (c) The field strength of emissions radiated on any frequency 
outside of the specified band shall not exceed the general radiated 
emission limits in Sec. 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 device or be considered as a separate device subject 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.
    (e) To prevent interference to Federal Government radar systems, 
operation under the provisions of this section is not permitted within 
40 kilometers of the following locations:

------------------------------------------------------------------------
        DoD Radar Site                Latitude            Longitude
------------------------------------------------------------------------
Beale Air Force Base..........  39[deg]08[min]10[se  121[deg]21[min]04[s
                                 c] N                 ec] W
Cape Cod Air Force Station....  41[deg]45[min]07[se  070[deg]32[min]17[s
                                 c] N                 ec] W
Clear Air Force Station.......  64[deg]55[min]16[se  143[deg]05[min]02[s
                                 c] N                 ec] W
Cavalier Air Force Station....  48[deg]43[min]12[se  097[deg]54[min]00[s
                                 c] N                 ec] W
Eglin Air Force Base..........  30[deg]43[min]12[se  086[deg]12[min]36[s
                                 c] N                 ec] W
------------------------------------------------------------------------

    (f) As a condition of the grant, the grantee of an equipment 
authorization for a device operating under the provisions of this 
section shall provide information to the user concerning compliance with 
the operational restrictions in paragraphs (a) and (e) of this section. 
As a further condition, the grantee shall provide information on the 
locations where the devices are installed to the FCC Office of 
Engineering and Technology, which shall provide this information to the 
Federal Government through the National Telecommunications and 
Information Administration. The user of the device shall be responsible 
for submitting updated information in the event the operating location 
or other information changes after the initial registration. The grantee 
shall notify the user of this requirement. The information provided 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 
geographic coordinates of the operating location, and the FCC 
identification

[[Page 818]]

number of the device. The material shall be submitted to the following 
address:
    Experimental Licensing Branch, OET, Federal Communications 
Commission, 445 12th Street, SW., Washington, DC 20554, ATTN: RFID 
Registration.

[69 FR 29464, May 24, 2004]

    Effective Date Note: At 69 FR 29464, May 24, 2004, Sec. 15.240 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 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 frequency range of 174-216 MHz.
    (c) The field strength of any emissions 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 instrumentation employing an average detector. The 
provisions in Sec. 15.35 for limiting peak emissions apply.



Sec. 15.242  Operation in the bands 174-216 MHz and 470-668 MHz.

    (a) The marketing and operation of intentional radiators under the 
provisions 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 providing medical services through 
clinics, public health facilities, and similar establishments, including 
governmental entities and agencies for their own medical activities.
    (2) This authority to operate does not extend to mobile vehicles, 
such as ambulances, even if those vehicles are associated with a health 
care facility.
    (b) The fundamental emissions from a biomedical telemetry device 
operating under the provisions of this section shall be contained within 
a single television broadcast channel, as defined 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 fundamental 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 exceed the 
general limits in Sec. 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 device 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 operating 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 operating 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.

[[Page 819]]

    (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 concurrence of, the director of the affected 
radio astronomy observatory before the equipment can be installed or 
operated. The National Science Foundation point of contact for 
coordination is: Spectrum Manager, Division of Astronomical 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 frequencies under subparts G and H 
of part 74 of this chapter, land mobile stations operating under part 90 
of this chapter in the 470-512 MHz band, and radio astronomy operation 
in the 608-614 MHz band. (See Sec. 15.5.) If harmful interference 
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 
devices are reminded that they must ensure that biomedical telemetry 
transmitters 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 operations. 
These parties are reminded that the frequencies of the authorized 
services are subject to change, especially during the implementation of 
the digital 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 accommodate 
changes in the operating frequencies 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]



Sec. 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 material. Devices operated pursuant to the provisions of this 
section shall not be used for voice communications or the transmission 
of any other type of message.
    (b) The field strength of any emissions radiated within the 
specified frequency band shall not exceed 500 microvolts/meter at 30 
meters. The emission limit in this paragraph is based on measurement 
instrumentation employing an average detector. The provisions in Sec. 
15.35 for limiting peak emissions apply.
    (c) The field strength of emissions radiated on any frequency 
outside of the specified band shall not exceed the general radiated 
emission limits in Sec. 15.209.
    (d) The device shall be self-contained with no external or readily 
accessible controls which may be adjusted to permit operation in a 
manner inconsistent with the provisions in this section. Any antenna 
that may be used with the device shall be permanently attached thereto 
and shall not be readily modifiable by the user.



Sec. 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 sensors, excluding 
perimeter protection systems.

[[Page 820]]

    (b) The field strength of emissions from intentional radiators 
operated within these frequency bands shall comply with the following:

------------------------------------------------------------------------
                                                  Field         Field
                                               strength of   strength of
         Fundamental frequency (MHz)           fundamental    harmonics
                                              (millivolts/  (millivolts/
                                                 meter)        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 Sec. 
15.205, shall not exceed the field strength limits shown in Sec. 
15.209. Harmonic emissions in the restricted bands at and above 17.7 GHz 
shall not exceed the following field strength limits:
    (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 designed to be used in motor 
vehicles or aircraft must include features to prevent 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 Sec. 15.209. Continuous 
operation of field disturbance sensors designed to be used in farm 
equipment, vehicles such as fork lifts that are intended 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 
operating in a continuous mode if its operation is limited to specific 
activities of limited duration (e.g., putting a vehicle 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 fundamental or to the general radiated emission limits in 
Sec. 15.209, whichever is the lesser attenuation.
    (4) The emission limits shown above are based on measurement 
instrumentation employing an average detector. The provisions in Sec. 
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]



Sec. 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 intentional radiators that 
comply with the following provisions:
    (1) Frequency hopping systems shall have hopping channel carrier 
frequencies separated by a minimum of 25 kHz or the 20 dB bandwidth of 
the hopping channel, whichever is greater. The system shall hop to 
channel frequencies that are selected at the system hopping rate from a 
pseudorandomly ordered list of hopping frequencies. Each frequency must 
be used equally on the average by each transmitter. The system receivers 
shall have input bandwidths that match the hopping channel bandwidths of 
their corresponding transmitters and shall shift frequencies in 
synchronization with the transmitted signals.
    (i) For frequency hopping systems operating 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 system shall use at least 25 hopping frequencies and 
the average time of occupancy on any frequency shall not be 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 operating in the 5725-5850 MHz band 
shall use at least 75 hopping frequencies. The

[[Page 821]]

maximum 20 dB bandwidth of the hopping 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 non-overlapping channels. The average time of occupancy 
on any channel shall not be greater than 0.4 seconds within a period of 
0.4 seconds multiplied by the number of hopping channels employed. 
Frequency hopping systems which use fewer than 75 hopping frequencies 
may employ intelligent hopping techniques to avoid interference to other 
transmissions. Frequency hopping systems may avoid or suppress 
transmissions on a particular hopping frequency provided that a minimum 
of 15 non-overlapping 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 
bandwidth shall be at least 500 kHz.
    (b) The maximum peak output power of the intentional radiator shall 
not exceed the following:
    (1) For frequency hopping systems in the 2400-2483.5 MHz band 
employing at least 75 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 band: 0.125 Watt.
    (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 hopping channels, but at least 
25 hopping channels, as permitted under paragraph (a)(1)(i) of this 
section.
    (3) For systems using digital modulation in the 902-928 MHz, 2400-
2483.5 MHz, and 5725-5850 MHz bands: 1 Watt.
    (4) Except as shown in paragraphs (b)(3) (i), (ii) and (iii) of this 
section, if transmitting antennas of directional gain greater than 6 dBi 
are used the peak output power from the intentional radiator shall be 
reduced below the stated values in paragraphs (b)(1) or (b)(2) of this 
section, as appropriate, 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 
exclusively for fixed, point-to-point operations may employ transmitting 
antennas with directional gain greater than 6 dBi provided the maximum 
peak output power of the intentional radiator is reduced by 1 dB for 
every 3 dB that the directional gain of the antenna exceeds 6 dBi.
    (ii) Systems operating in the 5725-5850 MHz band that are used 
exclusively for fixed, point-to-point operations may employ transmitting 
antennas 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 multiple co-
located intentional radiators transmitting the same information. The 
operator of the spread spectrum intentional radiator or, if the 
equipment is professionally installed, the installer is responsible for 
ensuring that the system is used exclusively for fixed, point-to-point 
operations. The instruction manual furnished with the intentional 
radiator shall contain language in the installation instructions 
informing the operator and the installer of this responsibility.
    (5) Systems operating under the provisions of this section shall be 
operated in a manner that ensures that the public is not exposed to 
radio frequency energy levels in excess of the Commission's guidelines. 
See Sec. 1.1307(b)(1) of this chapter.
    (c) In any 100 kHz bandwidth outside the frequency band in which the 
spread spectrum or digitally modulated intentional 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 contains the highest level of the desired power, 
based on either an RF conducted or a radiated measurement. Attenuation 
below the general limits specified in Sec. 15.209(a) is not required. 
In addition, radiated emissions which fall in the restricted bands, as 
defined in Sec. 15.205(a), must also comply with

[[Page 822]]

the radiated emission limits specified in Sec. 15.209(a) (see Sec. 
15.205(c)).
    (d) For digitally modulated systems, the peak 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.
    (e) [Reserved]
    (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 hybrid system, with 
the direct sequence or digital modulation operation turned off, shall 
have an average time of occupancy on any frequency not to exceed 0.4 
seconds within a time period in seconds 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 requirements of paragraph (d) of 
this section.
    (g) Frequency hopping spread spectrum systems are not required to 
employ all available hopping channels during each transmission. However, 
the system, consisting of both the transmitter and the receiver, must be 
designed to comply with all of the regulations in this section should 
the transmitter be presented with a continuous data (or information) 
stream. In addition, a system employing short transmission bursts must 
comply with the definition of a frequency hopping system and must 
distribute its transmissions over the minimum number of hopping channels 
specified in this section.
    (h) The incorporation of intelligence within a frequency hopping 
spread spectrum system that permits the system to recognize other users 
within the spectrum band so that it individually and independently 
chooses and adapts its hopsets to avoid hopping on occupied channels is 
permitted. The coordination of frequency hopping systems in any other 
manner for the express purpose of avoiding the simultaneous occupancy of 
individual hopping frequencies by multiple transmitters is not 
permitted.

    Note: Spread spectrum systems are sharing these bands on a 
noninterference basis with systems supporting critical Government 
requirements that have been allocated the usage of these bands, 
secondary only to ISM equipment operated under the provisions 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 
require a future decrease in the power limits allowed for spread 
spectrum operation.

[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]

    Effective Date Note: At 69 FR 54035, Sept. 7, 2004, Sec. 15.247 was 
amended by revising paragraphs (a), (b) introductory text, (b)(1), 
(b)(3), (b)(4) introductory text, (c), (d), and by adding paragraph (e), 
effective Oct. 7, 2004. For the convenience of the user, the added and 
revised text is set forth as follows:

Sec. 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 intentional radiators that 
comply with the following provisions:
    (1) Frequency hopping systems shall have hopping channel carrier 
frequencies separated by a minimum of 25 kHz or the 20 dB bandwidth of 
the hopping channel, whichever is greater. Alternatively, frequency 
hopping systems operating in the 2400-2483.5 MHz band may have hopping 
channel carrier frequencies 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 channel frequencies that are selected at the 
system hopping rate from a pseudo randomly ordered list of hopping 
frequencies. Each frequency must be used equally on the average by each 
transmitter. The system receivers shall have input bandwidths that match 
the hopping channel bandwidths of their corresponding transmitters and 
shall shift frequencies in synchronization with the transmitted signals.
    (i) For frequency hopping systems operating 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 system shall use at least 25 hopping frequencies and 
the average time of occupancy on any frequency shall not be greater than 
0.4 seconds

[[Page 823]]

within a 10 second period. The maximum allowed 20 dB bandwidth of the 
hopping channel is 500 kHz.
    (ii) Frequency hopping systems operating in the 5725-5850 MHz band 
shall use at least 75 hopping frequencies. The maximum 20 dB bandwidth 
of the hopping 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 period of 0.4 seconds 
multiplied by the number of hopping channels employed. Frequency hopping 
systems may avoid or suppress transmissions on a particular 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 
bandwidth shall be at least 500 kHz.
    (b) The maximum peak conducted output power of the intentional 
radiator 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.

                                * * * * *

    (3) For systems using digital modulation 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 
measurement of the maximum conducted output power. Maximum Conducted 
Output Power is defined as the total transmit 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 antennas and 
antenna elements. 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.
    (4) The conducted output power limit specified in paragraph (b) of 
this section is based on the use of antennas with directional gains that 
do not exceed 6 dBi. Except as shown in paragraph (c) of this section, 
if transmitting antennas of directional gain greater than 6 dBi are 
used, the conducted output power from the intentional radiator shall be 
reduced below the stated values in paragraphs (b)(1), (b)(2), and (b)(3) 
of this section, as appropriate, by the amount in dB that the 
directional gain of the antenna exceeds 6 dBi.
    (c) Operation with directional antenna gains greater than 6 dBi.
    (1) Fixed point-to-point operation:
    (i) Systems operating in the 2400-2483.5 MHz band that are used 
exclusively for fixed, point-to-point operations may employ transmitting 
antennas with directional gain greater than 6 dBi provided the maximum 
conducted output power of the intentional radiator is reduced by 1 dB 
for every 3 dB that the directional gain of the antenna exceeds 6 dBi.
    (ii) Systems operating in the 5725-5850 MHz band that are used 
exclusively for fixed, point-to-point operations may employ transmitting 
antennas 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 multiple co-
located intentional radiators transmitting the same information. The 
operator of the spread spectrum or digitally modulated intentional 
radiator or, if the equipment is professionally installed, the installer 
is responsible for ensuring that the system is used exclusively for 
fixed, point-to-point operations. The instruction manual furnished with 
the intentional radiator shall contain language in the installation 
instructions informing the operator and the installer of this 
responsibility.
    (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 
individual receivers or to groups of receivers provided the emissions 
comply with the following:
    (i) Different information must be transmitted to each receiver.
    (ii) If the transmitter employs an antenna system that emits 
multiple directional beams but does not do emit multiple directional 
beams simultaneously, the total output power conducted to the array or 
arrays that comprise the device, i.e., the sum of the power supplied to 
all antennas, antenna elements, staves, etc. and summed across all 
carriers or frequency 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/
antenna array exceeds 6 dBi. The directional antenna gain shall be 
computed as follows:

[[Page 824]]

    (A) The directional gain shall be calculated as the sum of 10 log 
(number of array elements or staves) plus the directional 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 accepted if sufficient 
evidence is presented, e.g., due to shading of the array or coherence 
loss in the beamforming.
    (iii) If a transmitter employs an antenna 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 exceed the limit specified in paragraph 
(c)(2)(ii) of this section. In addition, the aggregate power transmitted 
simultaneously 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 intentional 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 contains the highest level of the desired power, 
based on either an RF conducted or a radiated measurement, provided the 
transmitter demonstrates compliance with the peak conducted power 
limits. If the transmitter complies 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 limits specified in Sec. 15.209(a) is not required. In 
addition, radiated emissions which fall in the restricted bands, as 
defined in Sec. 15.205(a), must also comply with the radiated emission 
limits specified in Sec. 15.209(a) (see Sec. 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 determined 
in accordance with the provisions of paragraph (b) of this section. The 
same method of determining the conducted output power shall be used to 
determine the power spectral density.
    (i) Systems operating under the provisions of this section shall be 
operated in a manner that ensures that the public is not exposed to 
radio frequency energy levels in excess of the Commission's guidelines. 
See Sec. 1.1307(b)(1) of this chapter.



Sec. 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:

------------------------------------------------------------------------
                                                  Field         Field
                                               strength of   strength of
            Fundamental frequency              fundamental    harmonics
                                              (millivolts/  (microvolts/
                                                 meter)        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 remote location. Point-to-multipoint systems, omnidirectional 
applications, and multiple co-located intentional radiators transmitting 
the same information are not allowed. Fixed, point-to-point operation is 
permitted in the 24.05-24.25 GHz band subject to the following 
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 
frequency 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 battery operated equipment, the equipment 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.

[[Page 825]]

    (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 fundamental or to the general radiated emission limits in 
Sec. 15.209, whichever is the lesser attenuation.
    (e) As shown in Sec. 15.35(b), for frequencies 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 exceed 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 manufacture, importation, marketing or 
operation of equipment under this section should also note the 
requirement in Sec. 15.37(d).

[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 25095, June 20, 1990; 
67 FR 1625, Jan. 14, 2002]



Sec. 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 vehicle identification systems (AVIS) which use swept 
frequency techniques for the purpose of automatically identifying 
transportation vehicles.
    (b) The field strength anywhere within the frequency range swept by 
the signal shall not exceed 3000 microvolts/meter/MHz at 3 meters in any 
direction. Further, an AVIS, when in its operating 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 Sec. 15.205, the 
field strength of radiated emissions outside the frequency 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 employing an average detector. The provisions in Sec. 
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 antenna 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 identified is within the 
radiated field of the system.
    (f) In addition to the labelling requirements in Sec. 15.19(a), the 
label attached 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 ** degrees of the horizontal plane.


The double asterisks in condition three (**) shall be replaced by the 
responsible party with the angular pointing restriction necessary to 
meet the horizontal emission limit specified in paragraph (b).
    (g) In addition to the information required in subpart J of part 2, 
the application 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 analyzer 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 photograph; and,
    (4) The results of the frequency search for spurious and sideband 
emissions from 30 MHz to 20 GHz, exclusive of the swept frequency band, 
with the measuring instrument as close as possible to the unit under 
test.

[54 FR 17714, Apr. 25, 1989; 54 FR 32340, Aug. 7, 1989]

[[Page 826]]



Sec. 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 information, such as data, 
is permitted provided the primary mode of operation is as a vehicle-
mounted field disturbance sensor. Operation under the provisions of this 
section is not permitted on aircraft 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 density of any emission within the 
bands specified in this section shall not exceed 60 [mu]W/cm \2\ at a 
distance of 3 meters from the exterior surface of the radiating 
structure.
    (3) For side-looking or rear-looking vehicle-mounted field 
disturbance sensors, if the vehicle is in motion the power density of 
any emission within the bands specified in this section shall not exceed 
30 [mu]W/cm \2\ at a distance of 3 meters from the exterior surface of 
the radiating structure.
    (c) The power density of any emissions 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 Sec. 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 disturbance sensors operating in the 
band 46.7-46.9 GHz: 2 pW/cm\2\ at a distance of 3 meters from the 
exterior surface of the radiating structure.
    (ii) For forward-looking vehicle-mounted field disturbance sensors 
operating in the band 76-77 GHz: 600 pW/cm\2\ at a distance of 3 meters 
from the exterior surface of the radiating structure.
    (iii) For side-looking or rear-looking vehicle-mounted field 
disturbance sensors operating in the band 76-77 GHz: 300 pW/cm\2\ at a 
distance of 3 meters from the exterior surface of the radiating 
structure.
    (3) For radiated emissions above 200 GHz from field disturbance 
sensors operating in the 76-77 GHz band: the power density of any 
emission shall not exceed 1000 pW/cm\2\ at a distance of 3 meters from 
the exterior surface of the radiating structure.
    (4) For field disturbance sensors operating in the 76-77 GHz band, 
the spectrum shall be investigated up to 231 GHz.
    (d) The provisions in Sec. 15.35 limiting peak emissions apply.
    (e) Fundamental emissions must be contained within the frequency 
bands specified in this section during all conditions of operation. 
Equipment 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.
    (f) Regardless of the power density levels permitted under this 
section, devices operating under the provisions of this section are 
subject to the radiofrequency radiation exposure requirements specified 
in Sec. Sec. 1.1307(b), 2.1091 and 2.1093 of this chapter, as 
appropriate. Applications 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 information 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]



Sec. 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 satellites.
    (2) Field disturbance sensors, including vehicle radar systems, 
unless the field disturbance sensors are employed

[[Page 827]]

for fixed operation. For the purposes of this section, the reference to 
fixed operation includes field disturbance sensors installed in fixed 
equipment, even if the sensor itself moves within the equipment.
    (b) Within the 57-64 GHz band, emission levels shall not exceed the 
following:
    (1) For products other than fixed field disturbance sensors, the 
average power density of any emission, measured during the transmit 
interval, shall not exceed 9 [mu]W/cm\2\, as measured 3 meters from the 
radiating structure, and the peak power density of any emission shall 
not exceed 18 [mu]W/cm\2\, as measured 3 meters from the radiating 
structure.
    (2) For fixed field disturbance sensors that occupy 500 MHz or less 
of bandwidth and that are contained wholly within the frequency band 
61.0-61.5 GHz, the average power density of any emission, measured 
during the transmit interval, shall not exceed 9 [mu]W/cm\2\, as 
measured 3 meters from the radiating structure, and the peak power 
density of any emission shall not exceed 18 [mu]W/cm\2\, as measured 3 
meters from the radiating structure. In addition, the average power 
density of any emission outside of the 61-61.5 GHz band, measured during 
the transmit interval, but still within the 57-64 GHz band, shall not 
exceed 9 nW/cm\2\, as measured 3 meters from the radiating structure, 
and the peak power density of any emission shall not exceed 18 nW/cm\2\, 
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/cm\2\ at a distance of 3 meters.
    (4) Peak power density shall be measured with an RF detector that 
has a detection 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 period during which 
transmission occurs.
    (c) Limits on spurious emissions:
    (1) The power density of any emissions 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 Sec. 15.209.
    (3) Between 40 GHz and 200 GHz, the level of these emissions shall 
not exceed 90 pW/cm\2\ at a distance of 3 meters.
    (4) The levels of the spurious emissions shall not exceed the level 
of the fundamental emission.
    (d) Only spurious emissions and transmissions related to a publicly-
accessible coordination channel, whose purpose is to coordinate 
operation between diverse transmitters with a view towards reducing the 
probability of interference 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 exceed 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 paragraph (e)(1), emission bandwidth is defined as the 
instantaneous frequency range occupied by a steady state radiated signal 
with modulation, outside which the radiated power spectral density never 
exceeds 6 dB below the maximum radiated power spectral density in the 
band, as measured with a 100 kHz resolution bandwidth spectrum analyzer. 
The center frequency must be stationary during the measurement interval, 
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 measurement method.

[[Page 828]]

    (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 conditions of operation. 
Equipment 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.
    (g) Regardless of the power density levels permitted under this 
section, devices operating under the provisions of this section are 
subject to the radiofrequency radiation exposure requirements specified 
in Sec. Sec. 1.1307(b), 2.1091 and 2.1093 of this chapter, as 
appropriate. Applications 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 information showing the basis for this 
statement must be submitted to the Commission upon request.
    (h) Any transmitter that has received the necessary FCC equipment 
authorization under the rules of this chapter may be mounted in a group 
installation for simultaneous operation with one or more other 
transmitter(s) that have received the necessary FCC equipment 
authorization, without any additional equipment authorization. However, 
no transmitter operating under the provisions of this section may be 
equipped with external phase-locking inputs that permit beam-forming 
arrays to be realized.
    (i) For all transmissions that emanate from inside of a building, 
within any one second interval of signal transmission, 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/cm\2\, as measured 3 meters from 
the radiating structure, must transmit a transmitter identification at 
least once. Each application for equipment authorization for equipment 
that will be used inside of a building must declare that the equipment 
contains the required transmitter identification feature and must 
specify a method whereby interested parties can obtain sufficient 
information, at no cost, to enable them to fully detect and decode this 
transmitter identification information. Upon the completion of decoding, 
the transmitter identification data block must provide the following 
fields:
    (1) FCC Identifier, which shall be programmed at the factory.
    (2) Manufacturer's serial number, which shall be programmed at the 
factory.
    (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 recommended content of this field is information 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]



Sec. 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 provisions of this section, by the 
nature of their design, must be capable of operation only indoors. The 
necessity to operate with a fixed indoor infrastructure, 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 antennas, e.g., antennas mounted on 
the outside of a building or on a telephone pole, or any other outdoors 
infrastructure is prohibited.
    (3) The emissions from equipment operated under this section shall 
not be intentionally directed outside of the building in which the 
equipment is located, such as through a window or a doorway.
    (4) Devices 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

[[Page 829]]

be operated indoors. Operation outdoors 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 aircraft 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 
transmit 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 meters from the radiating 
structure.
    (2) Peak power density shall be measured with an RF detector that 
has a detection bandwidth that encompasses the band being used and has a 
video 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 period during which 
transmission occurs.
    (d) Limits on spurious emissions:
    (1) The power density of any emissions outside the band being used 
shall consist solely of spurious emissions.
    (2) Radiated emissions below 40 GHz shall not exceed the general 
limits in Sec. 15.209.
    (3) Between 40 GHz and 200 GHz, the level of these emissions shall 
not exceed 90 pW/cm \2\ at a distance of 3 meters.
    (4) The levels of the spurious emissions 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 conditions of operation. 
Equipment 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.
    (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 radiofrequency radiation exposure 
requirements specified in 47 CFR 1.1307(b), 2.1091, and 2.1093, as 
appropriate. Applications 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 information showing the basis for this 
statement must be submitted to the Commission upon request.
    (h) Any transmitter that has received the necessary FCC equipment 
authorization under the rules of this chapter may be mounted in a group 
installation for simultaneous operation with one or more other 
transmitter(s) that have received the necessary FCC equipment 
authorization, without any additional equipment authorization. However, 
no transmitter operating under the provisions of this section may be 
equipped with external phase-locking inputs that permit beam-forming 
arrays 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.



Sec. 15.301  Scope.

    This subpart sets out the regulations for unlicensed personal 
communications services (PCS) devices operating in the 1910-1930 MHz and 
2390-2400 MHz frequency bands.

[60 FR 13073, Mar. 10, 1995]



Sec. 15.303  Definitions.

    (a) Asynchronous devices. Devices that transmit RF energy at 
irregular time intervals, as typified by local area network data 
systems.
    (b) Coordinatable PCS device. PCS devices whose geographical area of 
operation is sufficiently controlled either by necessity of operation 
with a fixed infrastructure or by disabling mechanisms to allow adequate 
coordination of their locations relative to incumbent fixed microwave 
facilities.
    (c) Emission bandwidth. For purposes of this subpart the emission 
bandwidth shall be determined by measuring the

[[Page 830]]

width of the signal between two points, one below the carrier center 
frequency and one above the carrier center frequency, 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 measurement 
instrumentation employing a peak detector function with an instrument 
resolutions bandwidth approximately equal to 1.0 percent of the emission 
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 harmful interference to the incumbent microwave 
facilities.
    (f) Peak transmit power. The peak power output as measured over an 
interval 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 connection of a calibrated 
test instrument to the equipment under test. If the device cannot be 
connected directly, alternative techniques acceptable to the Commission 
may be used.
    (g) Personal Communications Services (PCS) Devices [Unlicensed]. 
Intentional radiators operating in the frequency bands 1910-1930 MHz and 
2390-2400 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 
emission bandwidth in which operation is desired.
    (i) Sub-band. For purposes of this subpart 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 
[deg]K) and B is the emission 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]



Sec. 15.305  Equipment authorization requirement.

    PCS devices operating under this subpart shall be certified by the 
Commission under the procedures in subpart J of part 2 of this chapter 
before marketing. The application for certification must contain 
sufficient information to demonstrate compliance with the requirements 
of this subpart.



Sec. 15.307  Coordination with fixed microwave service.

    (a) UTAM, Inc. is designated to coordinate and manage the transition 
of the 1910-1930 MHz band from the Private Operational-Fixed Microwave 
Service (OFS) operating under part 101 of this chapter to unlicensed PCS 
operations,
    (b) Each application for certification of equipment operating under 
the provisions of this subpart must be accompanied by an affidavit from 
UTAM, Inc. certifying that the applicant is a participating 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 marketing 
and installation of devices covered by the grant of certification, 
including 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 announces that a need for coordination no longer exists.
    (d) A coordinatable PCS device is required to incorporate means that 
ensure that it cannot be activated until its location has been 
coordinated by UTAM, Inc. The application for certification shall 
contain an explanation of all measures taken to prevent unauthorized 
operation. This explanation shall include all procedural safeguards, 
such as the mandatory use of licensed technicians to install the 
equipment,

[[Page 831]]

and a complete description of all technical 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 coordinated by UTAM, Inc. 
The application for certification shall contain a full description of 
the safeguards against unauthorized 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 required by paragraph (e) of this section will no 
longer be required.
    (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 Sec. Sec. 101.69 through 101.73 of this chapter for 
termination of primary status. Interference protection is not required 
for part 101 stations in this band licensed 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]



Sec. 15.309  Cross reference.

    (a) The provisions of subpart A of this part apply to unlicensed PCS 
devices, 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 aspects of the operation 
of a PCS device may be subject to requirements contained elsewhere in 
this chapter. In particular, a PCS device that includes digital 
circuitry not directly associated with the radio transmitter also is 
subject to the requirements for unintentional radiators in subpart B.



Sec. 15.311  Labelling requirements.

    In addition to the labelling requirements of Sec. 15.19(a)(3), all 
devices operating in the frequency band 1910-1930 MHz authorized under 
this subpart must bear a prominently located label with the following 
statement:

    Installation of this equipment is subject 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 
[insert UTAM's toll-free number].

[60 FR 13073, Mar. 10, 1995]



Sec. 15.313  Measurement procedures.

    Measurements must be made in accordance with subpart A, except where 
specific procedures are specified in subpart D. If no guidance is 
provided, the measurement procedure must be in accordance with good 
engineering practice.



Sec. 15.315  Conducted limits.

    An unlicensed PCS device that is designed to be connected to the 
public utility (AC) power line must meet the limits specified in Sec. 
15.207.



Sec. 15.317  Antenna requirement.

    An unlicensed PCS device must meet the antenna requirement of Sec. 
15.203.



Sec. 15.319  General technical requirements.

    (a) The 1910-1920 MHz and 2390-2400 MHz bands are limited to use by 
asynchronous devices under the requirements of Sec. 15.321. The 1920-
1930 MHz sub-band is limited to use by isochronous devices under the 
requirements of Sec. 15.323.
    (b) All transmissions must use only digital modulation techniques.
    (c) Peak transmit power shall not exceed 100 microwatts multiplied 
by the square root of the emission bandwidth in hertz. Peak transmit 
power must be measured over any interval of continuous transmission 
using instrumentation calibrated in terms of an rms-equivalent voltage. 
The measurement results shall be properly adjusted for

[[Page 832]]

any instrument limitations, such as detector response times, limited 
resolution bandwidth capability when compared to the emission bandwidth, 
sensitivity, etc., so as to obtain a true peak measurement for the 
emission in question over the full bandwidth of the channel.
    (d) Power spectral density shall not exceed 3 milliwatts in any 3 
kHz bandwidth as measured with a spectrum analyzer 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 either absence of information to transmit or operational failure. The 
provisions in this section are not intended to preclude transmission of 
control and signaling information or use of repetitive codes used by 
certain digital technologies to complete frame or burst intervals.
    (g) Notwithstanding other technical requirements specified in this 
subpart, attenuation of emissions below the general emission limits in 
Sec. 15.209 is not required.
    (h) Where there is a transition between limits, the tighter limit 
shall apply at the transition point.
    (i) Unlicensed PCS devices are subject to the radiofrequency 
radiation exposure requirements specified in Sec. Sec. 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 authorization of devices 
operating under this section must contain a statement confirming 
compliance with these requirements for both fundamental emissions and 
unwanted emissions. Technical information showing the basis for this 
statement must be submitted to the Commission upon request.

[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]



Sec. 15.321  Specific requirements for asynchronous devices operating 
in the 1910-1920 MHz and 2390-2400 MHz bands.

    (a) Operation shall be contained within either or both of the 1910-
1920 MHz and 2390-2400 MHz bands. The emission bandwidth of any 
intentional radiator operating in these bands shall be no less than 500 
kHz.
    (b) All systems of less than 2.5 MHz emission bandwidth shall start 
searching for an available spectrum window within 3 MHz of the band edge 
at 1910, 1920, 2390, or 2400 MHz while systems of more than 2.5 MHz 
emission bandwidth will first occupy the center half of the band. 
Devices with an emission bandwidth of less than 1.0 MHz may not occupy 
the center half of the band if other spectrum is available.
    (c) Asynchronous devices must incorporate a mechanism for monitoring 
the spectrum that its transmission is intended to occupy. The following 
criteria must be met:
    (1) Immediately prior to initiating a transmission, devices must 
monitor the spectrum window they intend to use for at least 50 
microseconds.
    (2) The monitoring threshold must not be more than 32 dB above the 
thermal noise power for a bandwidth equivalent to the emission bandwidth 
of the device.
    (3) If no signal above the threshold level is detected, a 
transmission burst may commence in the monitored spectrum window. Once a 
transmission burst has started, an individual device or a group of 
cooperative devices is not required to monitor the spectrum window 
provided the intraburst gap timing requirement specified below is not 
exceeded.
    (4) After completion of a transmission, an individual device or 
cooperating group of devices must cease transmission and wait a 
deference time randomly chosen from a uniform random distribution 
ranging from 50 to 750 microseconds, after which time an attempt to 
access the band again may be initiated. For each occasion that an access 
attempt fails after the initial inter-burst interval, the range of the 
deference time chosen shall double until an upper limit of 12 
milliseconds is reached. The deference time remains

[[Page 833]]

at the upper limit of 12 milliseconds until an access attempt is 
successful. The deference time is re-initialized after each successful 
access attempt.
    (5) The monitoring system bandwidth must be equal to or greater than 
the emission bandwidth of the intended transmission and shall have a 
maximum reaction time less than 50xSQRT(1.25/emission bandwidth in MHz) 
microseconds for signals at the applicable threshold level but shall not 
be required to be less than 50 microseconds. If a signal is detected 
that is 6 dB or more above the threshold level, the maximum reaction 
time shall be 35xSQRT(1.25/emission bandwidth in MHz) microseconds but 
shall not be required to be less than 35 microseconds.
    (6) The monitoring system shall use the same antenna used for 
transmission, or an antenna that yields equivalent reception at that 
location.
    (7) Devices that have a power output lower than the maximum 
permitted under the rules may increase their detection threshold by one 
decibel for each one decibel that the transmitter power is below the 
maximum permitted.
    (d) Emissions shall be attenuated below a reference power of 112 
milliwatts as follows: 30 dB between the sub-band edges and 1.25 MHz 
above or below the sub-band; 50 dB between 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. Compliance with the emissions limits is based on the use of 
measurement instrumentation employing a peak detector function with an 
instrument resolution bandwidth approximately equal to 1.0 percent of 
the emission bandwidth of the device under measurement.
    (e) The frequency stability of the carrier frequency of intentional 
radiators operating in accordance with this section shall be 10 ppm over 10 milliseconds or the interval between 
channel access monitoring, whichever is shorter. The frequency stability 
shall be maintained over a temperature variation of -20[deg] to +50 
[deg]Celsius at normal supply voltage, and over a variation in the 
primary supply voltage of 85 percent to 115 percent of the rated supply 
voltage at a temperature of 20 degrees Celsius. For equipment that is 
capable of operating only from a battery, the frequency stability tests 
shall be performed using a new battery without any further requirement 
to vary supply voltage.
    (f) An asynchronous transmission burst is a series of transmissions 
from one or more transmitters acting cooperatively. The transmission 
burst duration from one device or group of devices acting cooperatively 
shall be no greater than 10 milliseconds. Any intraburst gap between 
cooperating devices shall not exceed 25 microseconds.
    (g) Operation of devices in the 2390-2400 MHz band from aircraft 
while airborne is prohibited, in order to protect space research 
operations at the National Astronomy and Ionospheric Center at Arecibo, 
Puerto Rico.

[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; 60 FR 13073, Mar. 10, 1995; 61 FR 55926, Oct. 
30, 1996]



Sec. 15.323  Specific requirements for isochronous devices operating in 
the 1920-1930 MHz sub-band.

    (a) Operation shall be contained within one of eight 1.25 MHz 
channels starting with 1920-1921.25 MHz and ending with 1928.75-1930 
MHz. Further sub-division of a 1.25 MHz channel is permitted with a 
reduced power level, as specified in Sec. 15.319(c), but in no event 
shall the emission bandwidth be less than 50 kHz.
    (b) Intentional radiators with an intended emission bandwidth less 
than 625 kHz shall start searching for an available time and spectrum 
window within 3 MHz of the sub-band edge at 1920 MHz and search upward 
from that point. Devices with an intended emission bandwidth greater 
than 625 kHz shall start searching for an available time and spectrum 
window within 3 MHz of the sub-band edge at 1930 MHz and search downward 
from that point.
    (c) Isochronous devices must incorporate a mechanism for monitoring 
the time and spectrum windows that its transmission is intended to 
occupy. The following criteria must be met:
    (1) Immediately prior to initiating transmission, devices must 
monitor

[[Page 834]]

the combined time and spectrum windows in which they intend to transmit 
for a period of at least 10 milliseconds for systems designed to use a 
10 milliseconds or shorter frame period or at least 20 milliseconds for 
systems designed to use a 20 milliseconds frame period.
    (2) The monitoring threshold must not be more than 30 dB above the 
thermal noise power for a bandwidth equivalent 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, 
occupation 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 repeating the access criteria.
    (4) Once access to specific combined time and spectrum windows is 
obtained an acknowledgment from a system participant must be received by 
the initiating transmitter within one second or transmission must cease. 
Periodic acknowledgments 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 seconds without 
receiving an acknowledgment, at which time the access criteria must be 
repeated.
    (5) If access to spectrum is not available 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 monitoring 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 
access 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) immediately preceding 
actual channel access that the detected power of the selected time and 
spectrum windows is no higher than the previously detected value. The 
power measurement resolution for this comparsion must be accurate to 
within 6 dB. No device or group of cooperating devices located within 1 
meter of each other shall occupy more than three 1.25 MHz channels 
during any frame period. Devices in an operational state that are 
utilizing the provisions of this section are not required to use the 
search provisions of paragraph (b) of this section.
    (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 uniform 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 
reaction time less than 50xSQRT (1.25/emission bandwidth in MHz) 
microseconds for signals at the applicable threshold level but shall not 
be required 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 bandwidth 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 
transmission, 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 maximum permitted.
    (10) An initiating device may attempt to establish a duplex 
connection by monitoring both its intended transmit and receive time and 
spectrum windows. If both the intended transmit and receive time and 
spectrum windows meet the access criteria, then the initiating device 
can initiate a transmission in the intended transmit time and spectrum 
window. If the power detected by the responding device can be decoded as 
a duplex connection signal

[[Page 835]]

from the initiating device, then the responding device may immediately 
begin transmitting on the receive time and spectrum window monitored by 
the initiating device.
    (11) An initiating device that is prevented from monitoring during 
its intended transmit window due to monitoring system blocking from the 
transmissions 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 spectrum must be 
within the 1.25 MHz frequency channel(s) already occupied by that device 
or co-located co-operating devices. If the access criteria 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 extend the range of spectrum occupied over space or time for 
the purpose of denying fair access to spectrum to other devices.
    (d) Emissions shall be attenuated below a reference power of 112 
milliwatts as follows: 30 dB between the channel edges and 1.25 MHz 
above or below the channel; 50 dB between 1.25 and 2.5 MHz above or 
below the channel; and 60 dB at 2.5 MHz or greater above or below the 
channel. Systems that further sub-divide a 1.25 MHz channel into X sub-
channels must comply with the following emission mask: In the bands 
between 1B and 2B measured from the center of the emission 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 
transmit power permitted for that radiator; in the bands between 3B and 
the 1.25 MHz channel edge the total power emitted by an intentional 
radiator in the measurement 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 measurement instrumentation employing a 
peak detector function with an instrument resolution bandwidth 
approximately equal to 1.0 percent of the emission bandwidth of the 
device under measurement.
    (e) The frame period (a set of consecutive time slots in which the 
position 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 
positive whole number. Each device that implements time division for the 
purposes of maintaining a duplex connection 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 communication 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 during the frame 
period defined for the device.
    (f) The frequency stability of the carrier frequency of the 
intentional radiator shall be maintained within 10 
ppm over 1 hour or the interval between channel access monitoring, 
whichever is shorter. The frequency stability shall be maintained over a 
temperature variation of -20[deg] to +50 [deg]C at normal supply 
voltage, and over a variation in the primary supply voltage of 85 
percent to 115 percent of the rated supply voltage at a temperature of 
20 [deg]C. For equipment that is capable only of operating from a 
battery, the frequency stability tests shall be performed using a new 
battery without

[[Page 836]]

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]



    Subpart E_Unlicensed National Information Infrastructure Devices



Sec. 15.401  Scope.

    This subpart sets out the regulations for unlicensed National 
Information Infrastructure (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]



Sec. 15.403  Definitions.

    (a) Access Point (AP). A U-NII transceiver that operates either as a 
bridge in a peer-to-peer connection or as a connector between the wired 
and wireless 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 operating 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 predetermined discrete values 
in accordance with a digital modulating function as specified in 
document ANSI C63.17-1998.
    (g) Dynamic Frequency Selection (DFS) is a mechanism that 
dynamically detects signals from other systems and avoids co-channel 
operation with these systems, notably radar systems.
    (h) DFS Detection Threshold. The required detection level defined by 
detecting a received signal strength (RSS) that is greater than a 
threshold specified, within the U-NII device channel 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, one below the carrier center frequency and one above 
the carrier center frequency, 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 measurement instrumentation employing a 
peak detector function with an instrument resolution bandwidth 
approximately equal to 1.0 percent of the emission bandwidth of the 
device under measurement.
    (j) In-Service Monitoring. A mechanism to check a channel in use by 
the U-NII device for the presence of a radar.
    (k) Non-Occupancy Period. The required 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 
Available Channel then that channel becomes 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 operating band.
    (n) Peak Transmit Power. The maximum transmit power as measured over 
an interval of time of at most 30/B (where B is the 26 dB emission 
bandwidth of the signal in hertz) or the transmission pulse duration of 
the device, whichever is less, under all conditions of modulation. The 
peak transmit power may be averaged across symbols over an interval of 
time equal to the transmission pulse duration of the device or over 
successive pulses. The averaging must include only time intervals during 
which the transmitter is operating at its maximum power and must not 
include any time intervals during which the transmitter is off or is 
transmitting at a reduced power level.

[[Page 837]]

    (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 maximum level, divided by the 
total duration 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 
modulation symbols, during which the average symbol envelope power is 
constant.
    (q) RLAN. Radio Local Area Network.
    (r) Transmit Power. The total energy transmitted over a time 
interval of at most 30/B (where B is the 26 dB emission bandwidth of the 
signal in hertz) or the duration of the transmission pulse, whichever is 
less, divided by the interval duration.
    (s) 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.
    (t) U-NII devices. Intentional radiators operating in the frequency 
bands 5.15-5.35 GHz and 5.470-5.825 GHz that use wideband digital 
modulation techniques and provide a wide array of high data rate mobile 
and fixed communications for individuals, businesses, and institutions.

[69 FR 2687, Jan. 20, 2004]

    Effective Date Note: At 69 FR 54036, Sept. 7, 2004, Sec. 15.403 was 
amended by revising paragraph (n), removing paragraph (r), and 
redesignating paragraphs (s) and (t) as paragraphs (r) and (s), 
effective Oct. 7, 2004. For the convenience of the user, the revised 
text is set forth as follows:

Sec. 15.403  Definitions.

                                * * * * *

    (n) Maximum Conducted Output Power. The total transmit 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 
antennas and antenna elements. 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.

                                * * * * *



Sec. 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 Sec. Sec. 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 device may be subject to requirements contained 
elsewhere in this chapter. In particular, a U-NII device that includes 
digital circuitry not directly associated with the radio transmitter 
also is subject to the requirements for unintentional radiators in 
subpart B.

[63 FR 40835, July 31, 1998]



Sec. 15.407  General technical requirements.

    (a) Power limits:
    (1) For the band 5.15-5.25 GHz, the peak transmit power over the 
frequency band of operation shall not exceed the lesser of 50 mW or 4 
dBm + 10logB, where B is the 26-dB emission bandwidth in MHz. In 
addition, the peak power spectral density shall not exceed 4 dBm in any 
1-MHz band. If transmitting antennas of directional gain greater than 6 
dBi are used, both the peak transmit power and the peak power spectral 
density shall be reduced by the 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 peak 
transmit power over the frequency bands of operation shall not exceed 
the lesser of 250 mW or 11 dBm + 10log 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 transmitting 
antennas of directional gain greater than 6 dBi are used, both the peak 
transmit power and the peak power spectral density shall be reduced by 
the amount in dB that the directional gain of the antenna exceeds 6 dBi.

[[Page 838]]

    (3) For the band 5.725-5.825 GHz, the peak transmit power over the 
frequency band of operation shall not exceed the lesser of 1 W or 17 dBm 
+ 10logB, where B is the 26-dB emission 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 peak transmit power and the peak power spectral 
density shall be reduced by the amount in dB that the directional gain 
of the antenna 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 reduction in the 
transmitter peak output power or peak power spectral density. For fixed, 
point-to-point U-NII transmitters that employ a directional antenna 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, omni directional applications, and multiple 
collocated transmitters transmitting the same information. The operator 
of the U-NII device, or if the equipment is professionally installed, 
the installer, is responsible for ensuring that systems employing high 
gain directional antennas are used exclusively for fixed, point-to-point 
operations.

    Note to paragraph (a)(3):
    The Commission strongly recommends that parties employing U-NII 
devices to provide critical communications services should determine if 
there are any nearby Government radar systems that could affect their 
operation.

    (4) The peak transmit power must be measured over any interval of 
continuous transmission using instrumentation calibrated in terms of an 
rms-equivalent voltage. The measurement results shall be properly 
adjusted for any instrument limitations, such as detector response 
times, limited resolution bandwidth capability when compared to the 
emission bandwidth, sensitivity, etc., so as to obtain a true peak 
measurement conforming to the definitions in this paragraph 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 acceptable to the Commission may be used. 
Measurements are made over a bandwidth 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 bandwidth. 
If the resolution bandwidth is approximately equal to the measurement 
bandwidth, and much less than the emission bandwidth of the equipment 
under test, the measured results shall be corrected to account for any 
difference between the resolution bandwidth of the test instrument and 
its actual noise bandwidth.
    (6) The ratio of the peak excursion of the modulation envelope 
(measured using a peak hold function) to the peak transmit power 
(measured as specified in this paragraph) shall not exceed 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 section, the peak emissions outside of the frequency bands of 
operation shall be attenuated in accordance with the following limits:
    (1) For transmitters operating in the 5.15-5.25 GHz band: all 
emissions outside 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 outside of the 5.15-5.35 GHz band shall not exceed an EIRP of 
-27 dBm/MHz. Devices operating in the 5.25-5.35 GHz band that generate 
emissions in the 5.15-5.25 GHz band must meet all applicable technical 
requirements for operation in the 5.15-5.25 GHz band (including 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 outside of the 5.47-5.725 GHz band shall not exceed an EIRP of 
-27 dBm/MHz.

[[Page 839]]

    (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 
resolution bandwidth of 1 MHz. A lower resolution bandwidth may be 
employed near the band edge, when necessary, provided the measured 
energy is integrated 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 Sec. 15.209. Further, any U-NII 
devices using an AC power line are required to comply also with the 
conducted limits set forth in Sec. 15.207.
    (7) The provisions of Sec. 15.205 apply to intentional radiators 
operating under this section.
    (8) When measuring the emission limits, the nominal carrier 
frequency shall be adjusted as close to the upper and lower frequency 
block edges as the design of the equipment permits.
    (c) The device shall automatically discontinue transmission in case 
of either absence of information to transmit or operational failure. 
These provisions are not intended to preclude the transmission of 
control or signalling information or the use of repetitive codes used by 
certain digital technologies to complete frame or burst intervals. 
Applicants shall include in their application for equipment 
authorization a description of how this requirement is met.
    (d) Any U-NII device that operates in the 5.15-5.25 GHz band shall 
use a transmitting antenna that is an integral part of the device.
    (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 requirements specified in Sec. 1.1307(b), Sec. 2.1091 and 
Sec. 2.1093 of this chapter, as appropriate. All equipment shall be 
considered to operate in a ``general population/uncontrolled'' 
environment. Applications 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 information 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 operation under all conditions of normal operation as specified in 
the users manual.
    (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 capability 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 Dynamic Frequency Selection (DFS). 
U-NII devices operating in the 5.25-5.35 GHz and 5.47-5.725 GHz bands 
shall employ a DFS radar detection mechanism to detect the presence of 
radar systems and to avoid co-channel operation with radar systems. The 
minimum DFS detection threshold for devices with a maximum e.i.r.p. of 
200 mW to 1 W is -64 dBm. For devices that operate with less than 200 mW 
e.i.r.p. the minimum detection threshold is -62 dBm. The detection 
threshold is the received power averaged over 1 microsecond referenced 
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 requirement 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.

[[Page 840]]

    (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 transmission 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 radar's presence is detected, all 
transmissions shall cease on the operating channel within 10 seconds. 
Transmissions during this period shall consist of normal traffic for a 
maximum of 200 ms after detection of the radar signal. In addition, 
intermittent management 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 monitoring, 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]

    Effective Date Note: At 69 FR 54036, Sept. 7, 2004, Sec. 15.407 was 
amended by revising paragraphs (a)(1) through (a)(6) and by removing and 
reserving paragraph (d), effective Oct. 7, 2004. For the convenience of 
the user, the revised text is set forth as follows:

Sec. 15.407  General technical requirements.

    (a) * * *
    (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 addition, the peak power spectral density shall not exceed 4 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 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 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 antenna 
exceeds 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 emission 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 antenna 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 
reduction in the transmitter peak output power or peak power spectral 
density. For fixed, point-to-point U-NII transmitters that employ a 
directional antenna 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 multiple collocated transmitters 
transmitting the same information. The operator of the U-NII device, or 
if the equipment is professionally installed, the installer, is 
responsible for ensuring that systems employing high gain directional 
antennas are used exclusively for fixed, point-to-point operations.
    Note to paragraph (a)(3):
    The Commission strongly recommends that parties employing U-NII 
devices to provide critical communications 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 
interval of continuous transmission using instrumentation calibrated in 
terms of an rms-equivalent voltage. The measurement results shall be 
properly adjusted for any instrument limitations, such as detector 
response times, limited resolution bandwidth capability when compared to 
the emission 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 acceptable to the Commission may be

[[Page 841]]

used. Measurements are made over a bandwidth 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 bandwidth. If the resolution bandwidth is approximately 
equal to the measurement bandwidth, and much less than the emission 
bandwidth of the equipment under test, the measured results shall be 
corrected to account for any difference between the resolution bandwidth 
of the test instrument and its actual noise bandwidth.
    (6) The ratio of the peak excursion of the modulation envelope 
(measured using a peak hold function) to the maximum conducted output 
power (measured as specified above) shall not exceed 13 dB across any 1 
MHz bandwidth or the emission bandwidth whichever is less.

                                * * * * *



                   Subpart F_Ultra-Wideband Operation

    Source: 67 FR 34856, May 16, 2002, unless otherwise noted.



Sec. 15.501  Scope.

    This subpart sets out the regulations for unlicensed ultra-wideband 
transmission systems.



Sec. 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 complete 
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 frequency, fC, equals 
(fH + fL)/2.
    (c) Fractional bandwidth. The fractional bandwidth equals 
2(fH-fL)/ (fH + fL).
    (d) Ultra-wideband (UWB) transmitter. An intentional radiator that, 
at any point in time, has a fractional bandwidth 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 imaging systems and surveillance systems. As used in this 
subpart, imaging systems do not include systems designed 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 objects or determining the physical properties within 
the ground. The energy from the GPR is intentionally directed down into 
the ground for this purpose.
    (g) Medical imaging system. A field disturbance sensor that is 
designed to detect the location or movement of objects within the body 
of a person or animal.
    (h) Wall imaging system. A field disturbance sensor that is designed 
to detect the location of objects contained within a ``wall'' or to 
determine the physical properties within the ``wall.'' 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 absorb the 
majority of the signal transmitted 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 transmitted signal.
    (i) Through-wall imaging system. A field disturbance sensor that is 
designed to detect the location or movement of persons or objects that 
are located on the other side of an opaque structure such as a wall or a 
ceiling. This category of equipment may include products such as ``stud 
locators'' that are designed to locate objects behind gypsum, plaster or 
similar walls that are not thick enough or dense enough to absorb the 
transmitted signal.
    (j) Surveillance system. A field disturbance sensor used to 
establish a stationary RF perimeter field that is used

[[Page 842]]

for security purposes to detect the intrusion of persons or objects.
    (k) EIRP. Equivalent isotropically radiated power, i.e., the product 
of the power supplied to the antenna and the antenna gain in a given 
direction relative to an isotropic antenna. The EIRP, in terms of dBm, 
can be converted to a field strength, in dBuV/m at 3 meters, by adding 
95.2. As used in this subpart, EIRP refers to the highest signal 
strength measured in any direction and at any frequency from the UWB 
device, as tested in accordance with the procedures specified in Sec. 
15.31(a) and 15.523 of this chapter.
    (l) Law enforcement, fire and emergency rescue organizations. As 
used in this subpart, this refers to those parties eligible to obtain a 
license from the FCC under the eligibility requirements specified in 
Sec. 90.20(a)(1) of this chapter.
    (m) Hand held. As used in this subpart, 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 employ a fixed 
infrastructure.



Sec. 15.505  Cross reference.

    (a) Except where specifically stated otherwise within this subpart, 
the provisions of subparts A and B and of Sec. Sec. 15.201 through 
15.204 and 15.207 of subpart C of this part apply to unlicensed UWB 
intentional radiators. The provisions of Sec. 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 Sec. 
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 subject to 
requirements contained elsewhere in this chapter. In particular, a UWB 
device that contains digital circuitry not directly associated with the 
operation of the transmitter also is subject to the requirements for 
unintentional radiators in subpart B of this part. Similarly, an 
associated receiver that operates (tunes) within the frequency range 30 
MHz to 960 MHz is subject to the requirements in subpart B of this part.



Sec. 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 auspices of a state or local government. The marketing of UWB 
devices must be directed solely to parties eligible to operate the 
equipment. The responsible party, as defined in Sec. 2.909 of this 
chapter, 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.



Sec. 15.509  Technical requirements for ground penetrating radars and 
wall imaging systems.

    (a) The UWB bandwidth of an imaging system operating under the 
provisions of this section must be below 10.6 GHz.
    (b) Operation under the provisions of this section is limited to 
GPRs and wall imaging systems operated for purposes associated with law 
enforcement, fire fighting, emergency rescue, scientific 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 
coordination, as detailed in Sec. 15.525.
    (c) A GPR that is designed to be operated while being hand held and 
a wall imaging system shall contain a manually operated switch that 
causes the transmitter to cease operation within 10 seconds of being 
released 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 Sec. 15.209. The radiated emissions above 960 MHz 
from a device operating under

[[Page 843]]

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 emission limits specified in the 
table in paragraph (d) of this section, UWB transmitters operating under 
the provisions 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 frequency 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 emission limit, following the procedures 
described in Sec. 15.521.

[68 FR 19749, Apr. 22, 2003]



Sec. 15.510  Technical requirements for through D-wall imaging systems.

    (a) The UWB bandwidth of an imaging system operating under the 
provisions of this section must be below 960 MHz or the center 
frequency, fC, and the frequency at which the highest 
radiated 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 enforcement, emergency 
rescue or firefighting organizations that are under the authority of a 
local or state government.
    (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 
detailed in Sec. 15.525.
    (3) The imaging system shall contain a manually operated switch that 
causes the transmitter to cease operation within 10 seconds of being 
released 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 Sec. 15.209. The radiated emissions above 960 MHz 
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
Above 1990................................................         -51.3
------------------------------------------------------------------------

    (5) In addition to the radiated emission limits specified in the 
table in paragraph (c)(4) 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.................................................         -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 Federal 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

[[Page 844]]

emission levels in Sec. 15.209 of this chapter. The radiated emissions 
above 960 MHz shall not exceed the following average 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 emission 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 frequency 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 emission limit, following the procedures 
described in Sec. 15.521.
    (e) Through-wall 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, emergency rescue and firefighter 
personnel. 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]



Sec. 15.511  Technical requirements for surveillance systems.

    (a) The UWB bandwidth of an imaging system operating under the 
provisions 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 surveillance systems operated by law enforcement, fire or 
emergency rescue organizations or by manufacturers licensees, petroleum 
licensees or power licensees as defined in Sec. 90.7 of this chapter.
    (1) Parties operating under the provisions 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 
coordination, as detailed in Sec. 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 Sec. 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 emission limits specified in the 
table in paragraph (c) of this section, UWB transmitters operating under 
the provisions 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.................................................         -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 frequency 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 emission limit, following the procedures 
described in Sec. 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 officials, 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]

[[Page 845]]



Sec. 15.513  Technical requirements for medical imaging systems.

    (a) The UWB bandwidth of an imaging system operating under the 
provisions 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 imaging 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 
Sec. 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 released 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 Sec. 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 emission limits specified in the 
table in paragraph (d) of this section, UWB transmitters operating under 
the provisions 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.................................................         -53.3
------------------------------------------------------------------------

    (f) There is a limit on the peak level of the emissions contained 
within a 50 MHz bandwidth centered on the frequency 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 emission limit, following the procedures 
described in Sec. 15.521.

[68 FR 19751, Apr. 22, 2003]



Sec. 15.515  Technical requirements for vehicular radar systems.

    (a) Operation under the provisions of this section is limited to UWB 
field disturbance sensors mounted in terrestrial transportation 
vehicles. 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 signal.
    (b) The UWB bandwidth of a vehicular radar system operating under 
the provisions of this section shall be contained 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.
    (c) Following proper installation, vehicular 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 authorized, 
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 attenuation can be 
achieved through the antenna directivity, through a reduction in output 
power or any other means.
    (d) The radiated emissions at or below 960 MHz from a device 
operating

[[Page 846]]

under the provisions of this section shall not exceed the emission 
levels in Sec. 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 emission limits specified in the 
table in paragraph (d) of this section, UWB transmitters operating under 
the provisions 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 frequency 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 emission limit, following the procedures 
described in Sec. 15.521.



Sec. 15.517  Technical requirements for indoor UWB systems.

    (a) Operation under the provisions of this section is limited to UWB 
transmitters employed solely for indoor operation.
    (1) Indoor UWB devices, by the nature of their design, must be 
capable of operation only indoors. The necessity to operate with a fixed 
indoor infrastructure, e.g., a transmitter that must be connected to the 
AC power lines, may be considered sufficient to demonstrate this.
    (2) The emissions from equipment operated under this section shall 
not be intentionally directed outside of the building in which the 
equipment is located, such as through a window or a doorway, to perform 
an outside function, such as the detection of persons about to enter a 
building.
    (3) The use of outdoor mounted antennas, e.g., antennas mounted on 
the outside of a building or on a telephone pole, or any other outdoors 
infrastructure is prohibited.
    (4) Field disturbance sensors installed inside of metal or 
underground storage tanks are considered to operate indoors provided the 
emissions are directed towards the ground.
    (5) A communications system shall transmit only when the intentional 
radiator is sending information to an associated receiver.
    (b) The UWB bandwidth of a UWB system 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 Sec. 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 emission limits specified in the 
table in paragraph (c) of this section, UWB transmitters operating under 
the provisions 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 frequency 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

[[Page 847]]

correspondingly different peak emission limit, following the procedures 
described in Sec. 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 indoors. 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]



Sec. 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 devices that are primarily 
hand held while being operated and do not employ a fixed infrastructure.
    (1) A UWB device operating under the provisions of this section 
shall transmit only when it is sending information 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 transmission is being received. An acknowledgment of 
reception must continue to be received by the UWB intentional radiator 
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 outdoors infrastructure is prohibited. Antennas 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 Sec. 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 emission limits specified in the 
table in paragraph (c) of this section, UWB transmitters operating under 
the provisions 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 frequency 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 emission limit, following the procedures 
described in Sec. 15.521.

[67 FR 34856, May 16, 2002; 67 FR 39632, June 10, 2002]



Sec. 15.521  Technical requirements applicable to all UWB devices.

    (a) UWB devices may not be employed for the operation of toys. 
Operation onboard an aircraft, a ship or a satellite is prohibited.
    (b) Manufacturers and users are reminded of the provisions of 
Sec. Sec. 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 Sec. 15.209, rather 
than the limits specified in this subpart, provided it can be clearly 
demonstrated that those emissions from the UWB device 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 Sec. 15.3(k), e.g., emissions from digital circuitry used to 
control additional

[[Page 848]]

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 Sec. Sec. 15.509, 15.511, 15.513, 15.515, 
15.517, and 15.519, the tighter emission limit applies at the band 
edges. Radiated emission levels 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 average 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. If pulse gating is 
employed where the transmitter 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 highest radiated emission occurs, 
fM, must be contained within the UWB bandwidth.
    (f) Imaging systems may be employed only for the type of information 
exchange described in their specific definitions contained in Sec. 
15.503. The detection of tags or the transfer or data or voice 
information is not permitted under the standards for imaging systems.
    (g) When a peak measurement is required, it is acceptable to use a 
resolution bandwidth other than the 50 MHz specified in this subpart. 
This resolution 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 radiated emission occurs, fM. If a resolution 
bandwidth other than 50 MHz is employed, 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 converted 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 
contain a detailed description of the test procedure, calibration of the 
test setup, and the instrumentation employed in the testing.
    (h) The highest frequency employed in Sec. 15.33 to determine the 
frequency range over which radiated measurements 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 Sec. 15.33(a) or up to fC + 3/(pulse 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 Sec. 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 
requirements cross referenced in Sec. 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]



Sec. 15.523  Measurement procedures.

    Measurements shall be made in accordance with the procedures 
specified by the Commission.



Sec. 15.525  Coordination requirements.

    (a) UWB imaging systems require coordination 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 Technology, which shall coordinate 
this information with the Federal Government through the National 
Telecommunications and Information Administration. The information 
provided by the UWB operator shall include the name, address and other 
pertinent contact information of the user, the desired geographical 
area(s) of operation, and the FCC ID number and

[[Page 849]]

other nomenclature of the UWB device. If the imaging device is intended 
to be used for mobile applications, the geographical area(s) of 
operation may be the state(s) or county(ies) in which the equipment will 
be operated. The operator 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 authorized sales agents, must inform 
purchasers 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 authorized operations.
    (e) The FCC/NTIA coordination report shall identify those 
geographical areas within which the operation of an imaging system 
requires additional coordination or within which the operation of an 
imaging system is prohibited. If additional coordination is required for 
operation within specific geographical areas, a local coordination 
contact will be provided. Except for operation within these designated 
areas, once the information requested on the UWB imaging system is 
submitted to the FCC no additional coordination with the FCC is required 
provided the reported areas of operation do not change. If the area of 
operation changes, updated information shall be submitted to the FCC 
following 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 operation of UWB 
systems in emergency situations involving the safety of life or property 
may occur without coordination provided a notification procedure, 
similar to that contained in Sec. 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]

    Effective Date Note: At 68 FR 19751, Apr. 22, 2003, Sec. 15.525 was 
amended by revising paragraphs (b) and (e). This amendment contains 
information collection and recordkeeping requirements and will not 
become effective until approval has been given by the Office of 
Management and Budget.



PART 17_CONSTRUCTION, MARKING, AND LIGHTING OF ANTENNA STRUCTURES--Table 
of Contents




                      Subpart A_General Information

Sec.
17.1 Basis and purpose.
17.2 Definitions.
17.4 Antenna structure registration.
17.5 Commission consideration of applications for station authorization.
17.6 Responsibility of Commission licensees and permittees.

     Subpart B_Federal Aviation Administration Notification Criteria

17.7 Antenna structures requiring notification 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 lighting 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 improper 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.

[[Page 850]]

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 Service 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



Sec. 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 Commission to issue 
licenses to radio stations when it is found that the public interest, 
convenience, and necessity would be served thereby, and to require the 
painting, and/or illumination of antenna 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 prescribe certain procedures for 
antenna structure registration and standards with respect to the 
Commission's consideration of proposed antenna structures which will 
serve as a guide to antenna structure owners. The standards are 
referenced from two Federal Aviation Administration (FAA) Advisory 
Circulars.

[61 FR 4362, Feb. 6, 1996]



Sec. 17.2  Definitions.

    (a) Antenna structure. The term antenna 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 
established boundaries, designated by the Federal Communications 
Commission, in which antenna towers with a common impact on aviation may 
be grouped.
    (c) Antenna structure owner. For the purposes of this part, an 
antenna structure owner is the individual or entity vested with 
ownership, equitable ownership, dominion, or title to the antenna 
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 number. 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]



Sec. 17.4  Antenna structure registration.

    (a) Effective July 1, 1996, the owner of any proposed or existing 
antenna structure that requires notice of proposed construction to the 
Federal Aviation Administration must register the structure with the 
Commission. This includes those structures used as part of stations 
licensed by the Commission for the transmission of radio energy, or to 
be used as part of a cable television head end system. If a Federal 
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 alteration.
    (2) For an existing antenna structure that had been assigned 
painting or lighting requirements prior to July 1, 1996, the owner must 
register the structure prior to July 1, 1998.
    (3) For a structure that did not originally fall under the 
definition of ``antenna structure,'' the owner must register 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 submit a valid FAA determination of ``no hazard.'' In order 
to be considered valid

[[Page 851]]

by the Commission, the FAA determination of ``no hazard'' must not have 
expired prior to the date on which FCC Form 854 is received by the 
Commission. The height of the structure will include the highest point 
of the structure including any obstruction lighting or lighting 
arrester.
    (c) If an Environmental Assessment is required under Sec. 1.1307 of 
this chapter, the Bureau will address the environmental 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 disapproved.
    (e) If the owner of the antenna structure cannot file FCC Form 854 
because it is subject to a denial of Federal benefits under the Anti-
Drug Abuse Act of 1988, 21 U.S.C. 862, the first tenant licensee 
authorized to locate on the structure (excluding tenants that no longer 
occupy the structure) must register 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 
registration number as required by paragraph (g) of this section.
    (f) The Commission shall issue, to the registrant, FCC Form 854R, 
Antenna Structure Registration, which assigns a unique Antenna Structure 
Registration 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 Structure Registration Number must be displayed in a conspicuous 
place so that it is readily visible near the base of the antenna 
structure. Materials used to display the Antenna Structure Registration 
Number must be weather-resistant and of sufficient size to be easily 
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 appearance of a historic landmark. In this case, the 
owner must make the Antenna Structure Registration Number available to 
representatives of the Commission, the FAA, and the general public upon 
reasonable demand.

[61 FR 4362, Feb. 6, 1996]



Sec. 17.5  Commission consideration of applications for station 
authorization.

    (a) Applications for station authorization, excluding services 
authorized on a geographic basis, are reviewed to determine whether 
there is a requirement 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]



Sec. 17.6  Responsibility of Commission licensees and permittees.

    (a) The antenna structure owner is responsible for maintaining the 
painting and lighting in accordance with this part. However, if a 
licensee or permittee authorized on an antenna structure is aware that 
the structure is not being maintained in accordance with the 
specifications set forth on the Antenna Structure Registration (FCC Form 
854R) or the requirements of this part, or otherwise has reason to 
question whether the antenna structure owner is carrying out its 
responsibility under this part, the licensee or permittee 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 management company (if applicable);
    (3) Immediately notify the Commission; and,
    (4) Make a diligent effort to immediately bring the structure into 
compliance.

[[Page 852]]

    (b) In the event of non-compliance by the antenna structure owner, 
the Commission 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 Registration (FCC Form 854R) 
and the requirements of this part.
    (c) If the owner of the antenna structure cannot file FCC Form 854 
because it is subject to a denial of Federal benefits under the Anti-
Drug Abuse Act of 1988, 21 U.S.C. 862, the first licensee authorized to 
locate on the structure must register 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 
registration number as required by Sec. 17.4(g).

[61 FR 4363, Feb. 6, 1996]



     Subpart B_Federal Aviation Administration Notification Criteria



Sec. 17.7  Antenna structures requiring notification to the FAA.

    A notification to the Federal Aviation Administration is required, 
except as set forth in Sec. 17.14, for any of the following 
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 surface 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 runway more 
than 0.98 kilometers (3,200 feet) in actual length, excluding heliports.
    (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 
heliports.
    (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 specified in paragraph (d) of this section.
    (c) When requested by the FAA, any construction or alteration that 
would be in an instrument approach area (defined 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 Information 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 proposal on file with the Federal Aviation Administration, and except 
for military airports, it is clearly indicated 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 facilities not in existence at 
the time of the filing of the application for radio facilities will be 
given only when proposed airport construction 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]



Sec. 17.8  Establishment of antenna farm areas.

    (a) Each antenna farm area will be established by an appropriate 
rulemaking proceeding, which may be commenced 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 interested person. After receipt 
of a petition from an interested person disclosing sufficient reasons to 
justify institution of a rulemaking proceeding, the Commission will 
request the advice of the FAA with respect to the considerations of 
menace to air navigation in terms of

[[Page 853]]

air safety which may be presented by the proposal. The written 
communication received from the FAA in response to the Commission's 
request shall be placed in the Commission's public rulemaking 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 accordance with Sec. 
1.47 of this chapter. The Administrator of the FAA shall have a period 
of 15 days within which to file responses 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 antenna farm would constitute a menace to air navigation 
for reasons of air safety, rulemaking proceedings will not be 
instituted. If rulemaking proceedings are instituted, any person filing 
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 Sec. 1.47 of this 
chapter.
    (b) Nothing in this subpart shall be construed to mean that only one 
antenna farm area will be designated for a community. The Commission 
will consider on a case-by-case basis whether or not more than one 
antenna farm area shall be designated for a particular community.

[32 FR 8813, June 21, 1967, as amended at 32 FR 13591, Sept. 28, 1967]



Sec. 17.9  Designated antenna farm areas.

    The areas described in the following paragraphs of this section are 
established as antenna farm areas [appropriate paragraphs will be added 
as necessary].

[32 FR 8813, June 21, 1967]



Sec. 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 
community or communities (see Sec. 17.9), the Commission will not 
accept for filing an application to construct a new station or to 
increase height or change antenna 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 antenna structure in a designated 
antenna farm area, or
    (b) It is accompanied by a statement from the Federal Aviation 
Administration that the proposed structure will not constitute a menace 
to air navigation, 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]



Sec. 17.14  Certain antenna structures exempt from notification to the FAA.

    A notification to the Federal Aviation Administration is not 
required for any of the following construction or alteration:
    (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 beyond 
all reasonable doubt that the structure so shielded will not adversely 
affect safety in air navigation. Applicant claiming such exemption under 
Sec. 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 meters (20 feet) or less in height 
except one that would increase the height of another antenna structure.
    (c) Any air navigation facility, airport visual approach or landing 
aid, aircraft arresting device, or meteorological device, of a type 
approved by the Administrator of the Federal Aviation Administration, 
the location and height of which is fixed by its functional 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]

[[Page 854]]



Sec. 17.17  Existing structures.

    (a) The requirements found in Sec. 17.23 relating to painting and 
lighting of antenna 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 requirements found in Sec. 17.5, 
however, shall apply to all antenna structures that have been assigned 
painting or lighting requirements by the Commission, 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 antenna structure or structures.

[32 FR 11269, Aug. 3, 1967, as amended at 61 FR 4363, Feb. 6, 1996]



Subpart C_Specifications for Obstruction Marking and Lighting of Antenna 
                               Structures



Sec. 17.21  Painting and lighting, when required.

    Antenna structures shall be painted and lighted when:
    (a) They exceed 60.96 meters (200 feet) in height above the ground 
or they require 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 absence of such marking would not impair 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]



Sec. 17.22  Particular specifications to be used.

    Whenever painting or lighting is required, the Commission will 
generally assign specifications in accordance with the FAA Advisory 
Circulars referenced in Sec. 17.23. If an antenna installation 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 Commission will specify the type of 
painting 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]



Sec. 17.23  Specifications for painting and lighting antenna structures.

    Unless otherwise specified by the Commission, each new or altered 
antenna structure to be registered on or after January 1, 1996, must 
conform to the FAA's painting and lighting recommendations set forth on 
the structure's FAA determination of ``no hazard,'' 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 Obstruction Lighting Equipment,'' dated October 19, 
1995. These documents are incorporated by reference in accordance with 5 
U.S.C. 552(a). The documents contain FAA recommendations for painting 
and lighting structures which pose a potential hazard to air navigation. 
For purposes of this part, the specifications, standards, and general 
requirements stated in these documents are mandatory. The Advisory 
Circulars listed are available for inspection at the Commission 
Headquarters in Washington, DC, or may be obtained from Department of 
Transportation, Property Use and Storage Section, 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 availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.

[64 FR 27474, May 20, 1999, as amended at 69 FR 18803, Apr. 9, 2004]

[[Page 855]]

              Aviation Red Obstruction Lighting [Reserved]



Sec. Sec. 17.24-17.43  [Reserved]



Sec. 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 obstruction lights have been 
installed and placed in operation, and shall be positioned so as to 
insure unobstructed visibility of at least one of the lights at any 
normal angle of approach. If practical, the permanent obstruction lights 
may be installed and operated at each required level as construction 
progresses.

[32 FR 11273, Aug. 3, 1967, as amended at 39 FR 26157, July 17, 1974; 42 
FR 54826, Oct. 11, 1977]



Sec. 17.47  Inspection of antenna structure lights and associated control 
equipment.

    The owner of any antenna structure which is registered with the 
Commission 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 maintained 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 maintain an automatic alarm system 
designed 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 mechanical 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]



Sec. 17.48  Notification of extinguishment or improper functioning of 
lights.

    The owner of any antenna structure which is registered with the 
Commission and has been assigned lighting specifications referenced in 
this part:
    (a) Shall report immediately by telephone or telegraph to the 
nearest Flight Service Station or office of the Federal Aviation 
Administration any observed or otherwise known extinguishment 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 Number, the height of the structure (AGL and AMSL 
if known) and the name, title, address, and telephone number of the 
person making the report. Further notification by telephone or telegraph 
shall be given immediately upon resumption of normal operation of the 
light or lights.
    (b) An extinguishment or improper functioning of a steady burning 
side intermediate light or lights, shall be corrected as soon as 
possible, but notification to the FAA of such extinguishment or improper 
functioning is not required.

[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]



Sec. 17.49  Recording of antenna structure light inspections in the owner 
record.

    The owner of each antenna structure which is registered with the 
Commission and has been assigned lighting specifications referenced in 
this part must maintain a record of any observed or otherwise known 
extinguishment or improper functioning of a structure light and include 
the following information for each such event:

[[Page 856]]

    (a) The nature of such extinguishment or improper functioning.
    (b) The date and time the extinguishment or improper operation was 
observed or otherwise noted.
    (c) Date and time of FAA notification, if applicable.
    (d) The date, time and nature of adjustments, repairs, or 
replacements made.

[48 FR 38477, Aug. 24, 1983, as amnded at 61 FR 4364, Feb. 6, 1996]



Sec. 17.50  Cleaning and repainting.

    Antenna structures requiring painting under this part shall be 
cleaned or repainted as often as necessary to maintain good visibility.

[61 FR 4364, Feb. 6, 1996]



Sec. 17.51  Time when lights should be exhibited.

    (a) All red obstruction lighting shall be exhibited from sunset to 
sunrise unless otherwise specified.
    (b) All high intensity and medium intensity obstruction lighting 
shall be exhibited continuously unless otherwise specified.

[40 FR 30267, July 18, 1975, as amended at 61 FR 4364, Feb. 6, 1996]



Sec. 17.53  Lighting equipment and paint.

    The lighting equipment, color or filters, and shade of paint 
referred to in the specifications are further defined in the following 
government and/or Army-Navy aeronautical specifications, 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 obstruction 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 Weapons Plant, 1st and N
  Streets, SE., Washington, D.C. 20407.
\2\ Copies of Military specifications can be obtained by contacting the
  Commanding Officer, Naval Publications and Forms Center, 5801 Tabor
  Ave., Attention: NPPC-105, Philadelphia, 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 circulars may be
  obtained from the Department of Transportation, Publications Section,
  TAD-443.1, 400 7th St. SW., Washington, D.C. 20590.


[33 FR 11540, Aug. 14, 1968, as amended at 40 FR 30267, July 18, 1975]



Sec. 17.54  Rated lamp voltage.

    To insure the necessary lumen output 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]



Sec. 17.56  Maintenance of lighting equipment.

    (a) Replacing or repairing of lights, automatic indicators or 
automatic control or alarm systems shall be accomplished as soon as 
practicable.
    (b) The flash tubes in a high intensity obstruction lighting system 
shall be replaced whenever the peak effective daytime intensity falls 
below 200,000 candelas.

[40 FR 30267, July 18, 1975]



Sec. 17.57  Report of radio transmitting antenna construction, alteration, 
and/or removal.

    The owner of an antenna structure for which an Antenna Structure 
Registration Number has been obtained must notify the Commission within 
24 hours of completion of construction (FCC Form 854-R) and/or 
dismantlement (FCC Form 854). The owner must also immediately notify the 
Commission using FCC Form 854 upon any change in structure height or 
change in ownership information.

[61 FR 4364, Feb. 6, 1996]



Sec. 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

[[Page 857]]

of the U.S. Forest Service or the Bureau of Land Management shall 
include a statement that the facilities will be so located, and the 
applicant shall comply with the requirements of Sec. 1.70 of this 
chapter.

[32 FR 11274, Aug. 3, 1967]



PART 18_INDUSTRIAL, SCIENTIFIC, AND MEDICAL EQUIPMENT--Table of Contents




                      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 representatives.
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 equipment.
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



Sec. 18.101  Basis and purpose.

    The rules in this part, in accordance with the applicable treaties 
and agreements to which the United States is a party, are promulgated 
pursuant to section 302 of the Communications Act of 1934, as amended, 
vesting the Federal Communications Commission with authority to regulate 
industrial, scientific, and medical equipment (ISM) that emits 
electromagnetic energy on frequencies within the radio frequency 
spectrum in order to prevent harmful interference to authorized radio 
communication services. This part sets forth the conditions under which 
the equipment in question may be operated.



Sec. 18.107  Definitions.

    (a) Radio frequency (RF) energy. Electromagnetic 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.
    (c) Industrial, scientific, and medical (ISM) equipment. Equipment 
or appliances designed to generate and use locally RF energy for 
industrial, scientific, 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 mechanical energy for industrial, 
scientific, medical or other noncommunication purposes.
    (g) Consumer ISM equipment. A category of ISM equipment used or 
intended to be used by the general public in a residential environment, 
notwithstanding use in other areas. Examples are domestic microwave 
ovens, jewelry

[[Page 858]]

cleaners for home use, ultrasonic humidifiers.
    (h) ISM frequency. A frequency assigned by this part for the use of 
ISM equipment. A specified tolerance is associated with each ISM 
frequency. See Sec. 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 subsequently sold (or 
leased) to the user.

[50 FR 36067, Sept. 5, 1985, as amended at 59 FR 39472, Aug. 3, 1994]



Sec. 18.109  General technical requirements.

    ISM equipment shall be designed and constructed in accordance with 
good engineering practice with sufficient shielding and filtering to 
provide adequate suppression of emissions on frequencies outside the 
frequency bands specified in Sec. 18.301.



Sec. 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 paragraphs (c) and (d) of this 
section and irrespective of whether the equipment otherwise complies 
with the rules in this part, the operator of ISM equipment that causes 
harmful interference to any authorized radio service shall promptly take 
whatever steps may be necessary to eliminate the interference.
    (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 device 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 fundamental 
frequency emissions of ISM equipment operating in an ISM frequency band 
and otherwise complying with the requirements of this part.



Sec. 18.113  Inspection by Commission representatives.

    Upon request by a representative of the Commission the manufacturer, 
owner, or operator of any ISM equipment shall make the equipment 
available for inspection and promptly furnish the Commission with such 
information as may be required to indicate that the equipment complies 
with this part.



Sec. 18.115  Elimination and investigation of harmful interference.

    (a) The operator of ISM equipment that causes harmful interference 
to radio services shall promptly take appropriate measures to correct 
the problem.
    (b) If the operator of ISM equipment is notified by the Commission's 
Engineer in Charge (EIC) that operation of such equipment is endangering 
the functioning of a radionavigation or safety service, the operator 
shall immediately cease operating the equipment. 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 interference has been eliminated and approval 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 engineer skilled in techniques of interference 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

[[Page 859]]

furnish proof of his or her qualifications.



Sec. 18.117  Report of interference investigation.

    (a) An interim report on investigations and corrective measures 
taken pursuant to Sec. 18.115 of this part shall be filed with the EIC 
of the local FCC office 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 required to put into effect 
the corrective measures or to complete the investigation. The request 
for extension of time shall be accompanied by a progress report showing 
what has been accomplished to date.



Sec. 18.121  Exemptions.

    Non-consumer ultrasonic equipment, and non-consumer magnetic 
resonance equipment, that is used for medical diagnostic and monitoring 
applications is subject only to the provisions of Sec. Sec. 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]



Sec. 18.123  Transition provisions for compliance with the rules.

    Consumer ISM devices, induction cooking ranges and ultrasonic 
equipment that are authorized under the certification, verification or 
declaration of conformity procedures on or after July 12, 2004 shall 
comply with the conducted limits specified in Sec. 18.307. All such 
devices that are manufactured or imported on or after July 11, 2005 
shall comply with the conducted limits specified in Sec. 18.307. 
Equipment authorized, imported or manufactured prior to these dates 
shall comply with the conducted limits specified in Sec. 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



Sec. 18.201  Scope.

    This subpart contains the procedures and requirements for 
authorization to market or operate ISM equipment under this part.



Sec. 18.203  Equipment authorization.

    (a) Consumer ISM equipment, unless otherwise specified, must be 
authorized under either the Declaration of Conformity or certification 
procedure prior to use or marketing. An application 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 facilities pursuant to Sec. 2.948, 
or reference to such information already on file with the Commission.
    (2) A technical report pursuant to Sec. Sec. 18.207 and 18.311.
    (b) Consumer ultrasonic equipment generating less than 500 watts and 
operating below 90 kHz, and non-consumer 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 authorization issued, as well as on-site 
certifications 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]



Sec. 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 
Sec. 2.948. If such a description is already on file with the 
Commission, it may be included by reference.
    (b) A copy of the installation and operating 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

[[Page 860]]

than 60 days after the grant of the application.
    (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 technical 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, including a list of the measuring 
equipment used, and a statement of the date when the measuring equipment 
was last calibrated and when the measurements were made. The frequency 
range that was investigated in obtaining the report of measurements 
shall be indicated. See also Sec. Sec. 18.309 and 18.311.

[50 FR 36067, Sept. 5, 1985, as amended at 63 FR 36603, July 7, 1998]



Sec. 18.209  Identification of authorized equipment.

    (a) Each device for which a grant of equipment authorization is 
issued under this part shall be identified pursuant to the applicable 
provisions of subpart J of part 2 of this chapter. Changes in the 
identification of authorized equipment may be made pursuant to Sec. 
2.933 of part 2 of this chapter. FCC Identifiers as described in 
Sec. Sec. 2.925 and 2.926 of this chapter shall not be used on 
equipment subject to verification or Declaration of Conformity.
    (b) Devices authorized under the Declaration 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 visible to the purchaser at the time of purchase, 
as described in Sec. 2.925(d) of this chapter. Permanently affixed 
means that the label is etched, engraved, stamped, silkscreened, 
indelibly printed, 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 
lifetime of the equipment in the environment in which the equipment may 
be operated and must not be readily detachable. The logo follows:
[GRAPHIC] [TIFF OMITTED] TR07JY98.027


[63 FR 36603, July 7, 1998]



Sec. 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 
requested on an FCC Form 731 for each FCC Identifier.
    (b) If equipment authorization for additional 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 submitted 
for the basic device applies also to the additional devices.
    (c) If equipment authorization for additional FCC Identifiers is 
requested after a grant has been issued by the FCC for the basic device, 
the application may, in lieu of the report of measurements, be 
accompanied by a statement including:
    (1) FCC Identifier of device for which measurements are on file with 
the FCC.
    (2) Date when equipment authorization 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 between the device listed under 
paragraph (c)(1) of this section and the additional device(s).
    (4) A statement that the report of measurements filed for the device 
listed under paragraph (c)(1) of this section applies also to the 
additional device(s).
    (5) Photographs pursuant to Sec. 2.1033(c).

[[Page 861]]



Sec. 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 Sec. 2.1077.
    (1) Identification of the product, e.g., name and model number.
    (2) A statement similar to the following:

This device complies with Part 18 of the FCC Rules.

    (3) The name and address of the responsible party as defined in 
Sec. 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 information.

[63 FR 36603, July 7, 1998]



Sec. 18.213  Information to the user.

    Information on the following matters shall be provided to the user 
in the instruction manual or on the packaging if an instruction manual 
is not provided 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 
interference.
    (d) Manufacturers of RF lighting devices must provide an advisory 
statement, either on the product packaging or with other user 
documentation, similar to the following: This product may cause 
interference to radio equipment and should not be installed near 
maritime safety communications equipment or other critical navigation or 
communication equipment operating between 0.45-30 MHz. Variations of 
this language are permitted provided all the points of the statement are 
addressed 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



Sec. 18.301  Operating frequencies.

    ISM equipment may be operated on any frequency above 9 kHz except as 
indicated in Sec. 18.303. The following frequency bands, in accordance 
with Sec. 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 frequency 
band is subject to the conditions of footnote 524 of the Table of 
Allocations. See Sec. 2.106.



Sec. 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.



Sec. 18.305  Field strength limits.

    (a) ISM equipment operating on a frequency specified in Sec. 18.301 
is permitted unlimited radiated energy in the band specified for that 
frequency.
    (b) The field strength levels of emissions which lie outside the 
bands specified in Sec. 18.301, unless otherwise indicated, shall not 
exceed the following:

----------------------------------------------------------------------------------------------------------------
                                                           RF Power generated by  Field strength limit  Distance
             Equipment               Operating frequency     equipment (watts)           (uV/m)         (meters)
----------------------------------------------------------------------------------------------------------------
Any type unless otherwise           Any ISM frequency....  Below 500............  25..................       300
 specified (miscellaneous).                                500 or more..........  25xSQRT(power/500)..    \1\300
                                    Any non-ISM frequency  Below 500............  15..................       300
                                                           500 or more..........  15xSQRT(power/500)..    \1\300
Industrial heaters and RF           On or below 5,725 MHz  Any..................  10..................     1,600
 stabilized arc welders.            Above 5,725 MHz......  Any..................  (\2\)...............     (\2\)
Medical diathermy.................  Any ISM frequency....  Any..................  25..................       300
                                    Any non-ISM frequency  Any..................  15..................       300

[[Page 862]]

 
Ultrasonic........................  Below 490 kHz........  Below 500............  2,400/F(kHz)........       300
                                                           500 or more..........  2,400/F(kHz)x           \3\300
                                                                                   SQRT(power/500).
                                    490 to 1,600 kHz.....  Any..................  24,000/F(kHz).......        30
                                    Above 1,600 kHz......  Any..................  15..................        30
Induction cooking ranges..........  Below 90 kHz.........  Any..................  1,500...............     \4\30
                                    On or above 90 kHz...  Any..................  300.................     \4\30
----------------------------------------------------------------------------------------------------------------
\1\ Field strength may not exceed 10 [mu]V/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 [mu]V/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 miscellaneous ISM equipment.

    (c) The field strength limits for RF lighting devices shall be the 
following:

------------------------------------------------------------------------
                                       Field strength limit at 30 meters
           Frequency (MHz)                         ([mu]V/m)
------------------------------------------------------------------------
Non-consumer equipment:
    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 determine the major lobes of radiation, 
and to determine the expected field strength level at 30, 300, or 1600 
meters. Alternatively, if measurements are made at only one closer fixed 
distance, then the permissible field strength limits shall be adjusted 
using 1/d as an attenuation factor.

[50 FR 36070, Sept. 5, 1985, as amended at 51 FR 17970, May 16, 1986; 52 
FR 43197, Nov. 10, 1987]



Sec. 18.307  Conduction limits.

    For the following equipment, when 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 frequencies 
shall not exceed the limits in the following tables. 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 
terminal using a 50 [mu]H/50 ohms line impedance stabilization network 
(LISN).
    (a) All Induction cooking ranges and ultrasonic equipment:

------------------------------------------------------------------------
                                        Conducted limit (dB[mu]V)
  Frequency of emission (MHz)   ----------------------------------------
                                      Quasi-peak            Average
------------------------------------------------------------------------
0.009-0.05.....................  110................  --
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 devices:

------------------------------------------------------------------------
                                        Conducted limit (dB[mu]V)
  Frequency of emission (MHz)   ----------------------------------------
                                      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:

------------------------------------------------------------------------
                                                        Maximum RF line
                                                        voltage measured
                   Frequency (MHz)                      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 detector demonstrates that the 
equipment complies with the average limits specified in the appropriate 
table in this section, additional testing to demonstrate compliance 
using an average detector is not required.

[[Page 863]]

    (e) These conduction limits shall apply only outside of the 
frequency bands specified in Sec. 18.301.
    (f) For ultrasonic equipment, compliance with the conducted limits 
shall preclude the need to show compliance with the field strength 
limits below 30 MHz unless requested by the Commission.
    (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]



Sec. 18.309  Frequency range of measurements.

    (a) For field strength measurements:

----------------------------------------------------------------------------------------------------------------
                                                             Range of frequency measurements
Frequency band in which device operates ------------------------------------------------------------------------
                 (MHz)                             Lowest frequency                    Highest frequency
----------------------------------------------------------------------------------------------------------------
Below 1.705............................  Lowest frequency generated in the    30 MHz.
                                          device, but not lower than 9 kHz.
1.705 to 30............................  Lowest frequency generated in the    400 MHz.
                                          device, but not lower than 9 kHz.
30 to 500..............................  Lowest frequency generated in the    Tenth harmonic or 1,000 MHz,
                                          device or 25 MHz, whichever is       whichever is higher.
                                          lower.
500 to 1,000...........................  Lowest frequency generated in the    Tenth harmonic.
                                          device or 100 MHz, whichever is
                                          lower.
Above 1,000............................  ......do...........................  Tenth harmonic or highest
                                                                               detectable emission.
----------------------------------------------------------------------------------------------------------------

    (b) For conducted powerline measurements, 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]



Sec. 18.311  Methods of measurements.

    The measurement techniques which will be used by the FCC to 
determine compliance with the technical requirements of this part are 
set out in FCC Measurement Procedure MP-5, ``Methods of Measurements of 
Radio Noise Emissions from ISM equipment''. Although the procedures in 
MP-5 are not mandated, manufacturers are encouraged to follow the same 
techniques which will be used by the FCC.



PART 19_EMPLOYEE RESPONSIBILITIES AND CONDUCT--Table of Contents




                      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.
19.735-105 Availability of ethics and other conduct related regulations 
          and statutes.
19.735-106 Interpretation and advisory service.
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 
          Communications 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



Sec. 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 Commission, 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 accordance with 
5 CFR 2635.105(c).

[[Page 864]]



Sec. 19.735-102  Cross-reference to ethics and other conduct related 
regulations.

    In addition to the rules in this part, employees of the Federal 
Communications Commission (Commission) are subject to the Standards of 
Ethical Conduct for Employees of the Executive Branch at 5 CFR part 2635 
and the Commission's regulations at 5 CFR part 3901 which supplement the 
executive branch-wide standards, the executive branch financial 
disclosure regulations at 5 CFR part 2634 and the Commission's 
regulations at 5 CFR part 3902 which supplement the executive branch-
wide financial disclosure regulations, and the employee responsibilities 
and conduct regulations at 5 CFR part 735.



Sec. 19.735-103  Definitions.

    Commission means the Federal Communications Commission.
    Communications Act means the Communications Act of 1934, as amended, 
47 U.S.C. 151 et seq.
    Employee means an officer or employee 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 corporation, a company, an 
association, a firm, a partnership, a society, a joint stock company, or 
any other organization or institution.



Sec. 19.735-104  Delegations.

    (a) The Commission has delegated to the Chairman responsibility for 
the detection 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 representational activities permitted by 18 U.S.C. 205(e) by other 
employees in their immediate offices. The Designated Agency Ethics 
Official has delegated authority to grant such approvals for all other 
employees except Commissioners.
    (2)(i) Requests for approval of the activities 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 employee is assigned.
    (ii) An official (other than the Chairman 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 Official with the official's 
recommendation 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 
applicability of 18 U.S.C. 208(a), in accordance with 18 U.S.C. 
208(b)(1) or 208(b)(3) and 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 Commissioners.
    (2)(i) Requests for waiver of the applicability 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 employee is assigned.
    (ii) An official (other than the Chairman or another Commissioner) 
to whom a waiver request is submitted shall forward it to the Designated 
Agency Ethics Official with the official'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.

[[Page 865]]



Sec. 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 Responsibilities and Conduct 
regulations in this part.
    (2) The Head of each Office and Bureau 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 
regulations 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 Official shall take appropriate action to 
ensure that the Head of each Office and Bureau shall remind employees 
subject to his or her administrative supervision 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 Employees of the Executive Branch (5 CFR part 2635); the 
Commission's Supplemental Standards of Ethical Conduct (5 CFR part 
3901); and the Commission's employee responsibilities and conduct 
regulations in this part shall be available in the office of the 
Designated Agency Ethics Official for review by employees.



Sec. 19.735-106  Interpretation and advisory service.

    (a) Requests for interpretative rulings concerning the applicability 
of 5 CFR parts 2635 and 3901, and this part, may be submitted through 
the employee'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 entrance on duty and at least once 
each calendar year thereafter, the Commission'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.



Sec. 19.735-107  Disciplinary and other remedial 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 penalty prescribed by law.
    (b) The Chairman will designate an officer or employee of the 
Commission who will promptly investigate all incidents or situations in 
which it appears that employees may have engaged in improper conduct. 
Such investigation will be initiated in all cases where complaints are 
brought to the attention of the Chairman, including: Adverse comment 
appearing in publications; complaints from members of Congress, private 
citizens, organizations, other Government employees or agencies; and 
formal complaints referred to the Chairman by the Designated 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 notified of the planned initiation of an investigation 
under this part. Such notification shall occur prior to the initiation 
of the investigation required by paragraph (a) of this section. The 
Inspector General may choose to conduct the investigation in accordance 
with the rules in this part. Should the Inspector General choose to 
conduct the investigation, he will promptly notify the Chairman. In such 
case, the Inspector 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

[[Page 866]]

other Commission offices, other governmental agencies or non 
governmental sources and use any other means available to him in 
accordance with Public Law 100-504 or the Inspector 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 consideration of the 
employee's explanation, the Chairman decides that remedial 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 employee 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 merely a minor indiscretion, he may resolve the situation by 
discussing it with the employee. The case will not be recorded in the 
employee's Official Personnel Folder;
    (iii) If the case administrator considers the problem to be of 
sufficient importance, he may call it to the attention of the Chairman, 
who in turn may notify the employee of the seriousness 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, 
establish a special review board to investigate the facts in a case and 
to make a full report thereon, including recommended 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 Commission approves formal 
disciplinary action will any record resulting from the administration of 
this program be placed in the employee's Official Personnel Folder; or
    (4) Disqualification for a particular assignment.
    (e) Remedial action, whether disciplinary or otherwise, shall be 
effected in accordance with any applicable laws, Executive orders, and 
regulations.



             Subpart B_Employee Responsibilities and Conduct



Sec. 19.735-201  Outside employment and other activity prohibited by 
the Communications Act.

    Under section 4(b) of the Communications Act, at 47 U.S.C. 
154(b)(2)(A)(iv), no employee of the Commission may be in the employ of 
or hold any official relation to any person significantly regulated 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 
employment.

    Note: Under the Supplemental Standards of Ethical Conduct for 
Employees of the Federal Communications Commission, at 5 CFR 3901.102, 
professional employees of the Commission must obtain approval before 
engaging in the private practice of the same profession as that of the 
employee's official position, whether or not for compensation.



Sec. 19.735-202  Financial interests prohibited by the Communications Act.

    (a) No Commissioner shall have a pecuniary interest in any hearing 
or proceeding in which he participates. (47 U.S.C. 154(j).)
    (b)(1) Section 4(b) of the Communications Act, at 47 U.S.C. 
154(b)(2)(A), provides:


[[Page 867]]


    No member of the Commission or person employed by the Commission 
shall:
    (i) Be financially interested in any company or other entity engaged 
in the manufacture or sale of telecommunications equipment which is 
subject to regulation by the Commission;
    (ii) Be financially interested in any company 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 company or other entity which 
controls any company or other entity specified in clause (i) or clause 
(ii), or which derives a significant portion of its total income from 
ownership of stocks, bonds, or other securities of any such company or 
other entity; or
    (iv) Be employed by, hold any official relation to, or own any 
stocks, bonds, or other securities of, any person significantly 
regulated by the Commission under this act; except 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 
communications, manufacturing, or sales activities which are subject to 
regulation by the Commission.

    (2) To determine whether an entity has a significant interest in 
communications related activities that are subject to Commission 
regulations, the Commission shall consider, without excluding other 
relevant factors, the criteria in section 4(b) of the Communications 
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 regulation over the entity involved;
    (iii) The potential economic impact of any Commission action on that 
particular entity; and
    (iv) The public perception regarding the business activities of the 
company.
    (3)(i) Section 4(b) of the Communications 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 
determines 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 waiver authority established in this subparagraph shall 
not apply with respect to members of the Commission.

    (ii)(A) Requests for waiver of the provisions 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 
appropriate 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 provided 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 Commission shall publish 
notice of such action in the Federal Register and shall furnish notice 
of such action to the appropriate committees of each House of the 
Congress. Each such notice shall include information regarding the 
identity 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.



Sec. 19.735-203  Nonpublic information.

    (a) Except as authorized in writing by the Chairman pursuant to 
paragraph (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 (except for compliance with the 
Government 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 
Commission.

[[Page 868]]

    (b) An employee engaged in outside teaching, lecturing, or writing 
shall not use nonpublic information obtained as a result of his 
Government employment in connection with such teaching, lecturing, or 
writing except when the Chairman gives written authorization for the use 
of that nonpublic information 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 summaries 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 practicing before the Commission 
coming into possession of written nonpublic information (including 
written material transmitted in electronic form) as described in 
paragraph (a) of this section under circumstances where it appears that 
its release was inadvertent or otherwise unauthorized shall promptly 
return the written information to the Commission's Office of the 
Inspector General without further distribution or use of the written 
nonpublic information. Any person regulated by or practicing before the 
Commission who willfully violates this section by failing to promptly 
notify the Commission's Office of the Inspector General of the receipt 
of written nonpublic information (including written material transmitted 
in electronic form) that he knew or should have known was released 
inadvertently or in any otherwise unauthorized manner may be subject to 
appropriate sanctions by the Commission. In the case of attorneys 
practicing before the Commission, such sanctions may include 
disciplinary action under the provisions of Sec. 1.24 of this chapter.

    Note: Employees also should refer to the provisions of the Standards 
of Ethical Conduct for Employees of the Executive Branch, at 5 CFR 
2635.703, on the use of nonpublic information. Additionally, employees 
should refer to Sec. 19.735-107 of this part, which provides that 
employees of the Commission who violate this part may be subject to 
disciplinary action which may be in addition to any other penalty 
prescribed by law. As is the case with section 2635.703, this part is 
intended only to cover knowing unauthorized disclosures of nonpublic 
information.

[61 FR 56112, Oct. 31, 1996, as amended at 65 FR 66185, Nov. 3, 2000]


[[Page 869]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical 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 separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 871]]

            Material Approved for Incorporation by Reference

                     (Revised as of October 1, 2004)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


47 CFR (PARTS 0-19)

FEDERAL COMMUNICATIONS COMMISSION
                                                                  47 CFR


American National Standards Institute (ANSI)

  25 West 43rd Street, Fourth floor, New York, NY 
  10036 Telephone: (212) 642-4900
ANSI C63.4-1992, Methods of Measurement of Radio-                  15.38
  Noise Emissions from Low-Voltage Electrical and 
  Electronic Equipment in the Range of 9 kHz to 40 
  GHz, except for sections 5.7, 9 and 14.
ANSI C63.4-2001, Methods of Measurement of Radio-           2.948; 15.31
  Noise Emissions from Low-Voltage Electrical and 
  Electronic Equipment in the Range of 9 kHz to 40 
  GHz (Published as Document No. SH94908).
ANSI C63.17-1998, American National Standard for             15.31(a)(2)
  Methods of Measurement of the Electromagnetic 
  and Operational Compatibility of Unlicensed 
  Personal Communications Services (UPCS) Devices.


Consumer Electronics Association

  2500 Wilson Boulevard, Arlington, Virginia 22201
CEA-542-B: Cable Television Channel Identification         15.38; 15.118
  Plan, July 2003.
Uni-Directional Receiving Device: Conformance              15.38; 15.123
  Checklist: PICS Proforma, 2003.
Uni-Dir-PICS-I01-030903: ``Uni-Directional                 15.38; 15.123
  Receiving Device: Conformance Checklist: PICS 
  Proforma, 2003.


Federal Aviation Administration, Department of Transportation

  800 Independence Ave. SW., Washington, DC 20591
FAA Advisory Circular AC 70/7460-1J, Obstruction                   17.23
  Marking and Lighting, November 29, 1995.
FAA Advisory Circular AC 150/5345-43E,                             17.23
  Specification for Obstruction Lighting 
  Equipment, October 19, 1995.


Global Engineering Documents

  15 Inverness Way East, Englewood, CO 80112, 
  Telephone: (800) 854-7179 or 7730 Carondelet 
  Ave., Suite 470, Clayton, MO 63105, Telephone: 
  (800) 854-7179
Electronic Industries Association, EIA IS-132              15.38; 15.118
  Cable Television Channel Identification Plan, 
  May 1994.
Electronic Industries Association, EIA-608                 15.38; 15.120
  Recommended Practice for Line 21 Data Service, 
  September 1994.
Electronic Industries Alliance, EIA-708-B, Digital         15.38; 15.122
  Television (DTV) Closed Captioning, December 
  1999.
Electronic Industries Association, EIA-744                 15.38; 15.120
Transport of Content Advisory Information Using 
[[Page 872]]ta Service (XDS), October 1997.

International Electrotechnical Commission

  Bureau Central de la Commission Electrotechnique 
  Internationale, 1 rue de Varembe', Geneva, 
  Switzerland. Purchase from: ANSI, 25 West 43rd 
  Street, Fourth floor, New York, NY 10036 
  Telephone: (212) 642-4900
First Edition of the International Special                        15.109
  Committee on Radio Interference (CISPR) Pub. 22 
  (1985), ``Limits and Methods of Measurement of 
  Radio Interference Characteristics of 
  Information Technology Equipment,'' and the 
  associated Draft International Standards (DISs) 
  adopted in 1992 and published by the 
  International Electrotechnical Commission as 
  documents CISPR/G (Central Office) 2, CISPR/G 
  (Central Office) 5, CISPR/G (Central Office) 9, 
  CISPR/G (Central Office) 11, CISPR/G (Central 
  Office) 12, CISPR/G (Central Office 13, and 
  CISPR/G (Central Office) 14.


International Electrotechnical Commission

  Bureau Central de la Commission Electrotechnique 
  Internationale, 1 rue de Varembe, Geneva, 
  Switzerland. Purchase from: Global Engineering 
  Documents, P.O. Box 8500 (S-4485), Philadelphia, 
  PA 19178-4485 (303)792-2181
Third Edition of the International Special                 15.38; 15.109
  Committee on Radio Interference (CISPR) Pub. 22 
  (November 1997), ``Information Technology 
  Equipment--Radio Disturbance Characteristics--
  Limits and Methods of Measurement''.


Society of Cable Telecommunications Engineers (SCTE)

  c/o Global Engineering Documents, 15 Inverness 
  Way East, Englewood, Colorado 80112 or the 
  American National Standards Institute, 25 West 
  43rd Street, Fourth floor, New York, NY 10036
SCTE 28 2003 (fomerly DVS 295): ``Host-POD                 15.38; 15.123
  Interface Standard,'' 2003.
SCTE 40 2003 (fomerly DVS 313): ``Digital Cable            15.38; 15.123
  Network Interface Standard,'' 2003.
SCTE 41 2003 (fomerly DVS 301): ``POD Copy                 15.38; 15.123
  Protection System,'' 2003.
ANSI/SCTE 54 2003 (formerly DVS 241): ``Digital            15.38; 15.123
  Video Service Multiplex and Transport System 
  Standard for Cable Television,'' 2003.
ANSI/SCTE 65 2002 (formerly DVS 234): ``Service            15.38; 15.123
  Information Delivered Out-of-Band for Digital 
  Cable Television,'' 2002.

[[Page 873]]



                    Table of CFR Titles and Chapters




                     (Revised as of October 1, 2004)

                      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  [Reserved]
        II  Office of Management and Budget Circulars and Guidance 
                [Reserved]
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements [Reserved]


                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)

                   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 (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)

[[Page 874]]

        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 (Part 3201)
     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      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 (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
        LV  National Endowment for the Arts (Part 6501)
       LVI  National Endowment for the Humanities (Part 6601)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
     LXVII  Institute of Museum and Library Services (Part 7701)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
    LXXIII  Department of Agriculture (Part 8301)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)

[[Page 875]]

     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                      Title 6--Homeland 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, Marketing 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 Agriculture (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 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; 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, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)

[[Page 876]]

      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (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  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (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)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (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 Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (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)

[[Page 877]]

       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      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)
       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, 
                Department 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 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board, Department of 
                Commerce (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board, 
                Department of Commerce (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)

[[Page 878]]

       III  Commercial Space Transportation, Federal Aviation 
                Administration, 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 
                Agreements
        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)

[[Page 879]]

          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  Bureau of 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  Bureau of 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, 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)

[[Page 880]]

        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 Regulations (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)
       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 
                Development
         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 
                Housing Commissioner, Department of Housing and 
                Urban Development (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 Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]

[[Page 881]]

       VII  Office of the Secretary, Department of Housing and 
                Urban Development (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 Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (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 Development (Parts 3200--3899)
       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 
                Interior (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 (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--899)

           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, 
                Department of Justice (Parts 400--699)

[[Page 882]]

                   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)

                      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)

[[Page 883]]

        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department 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 
                Treasury--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 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
     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)
    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)

[[Page 884]]

        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (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, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (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)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             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)
       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)
        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 (Part 1501)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

[[Page 885]]

             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)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (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)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate 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 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
            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)
       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)

[[Page 886]]

       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [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 Employees (Part 303-70)
       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 
                Services (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)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10010)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland 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

[[Page 887]]

        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement 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)
         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)

                          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)

[[Page 888]]

       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of 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  United States 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)
        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 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        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 (Parts 5300--5399)

[[Page 889]]

        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement 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  Research and Special Programs Administration, 
                Department 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  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric 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, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)

[[Page 890]]

         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

[[Page 891]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of October 1, 2004)

                                                  CFR Title, Subtitle or 
                     Agency                               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, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            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
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               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        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  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
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  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,       27, II
     Bureau of
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

[[Page 892]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
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        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
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                       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                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  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     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs and Border Protection Bureau              19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII

[[Page 893]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 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          28, VIII
     Offender Supervision Agency for the
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      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  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,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
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                   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  24, I
     for
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
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II

[[Page 894]]

  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           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 Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
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 Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
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       45, V
     United States
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 Accounting Office                         4, I
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5

[[Page 895]]

  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    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          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; 42, I
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  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
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
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           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V; 42, I
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General

[[Page 896]]

  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         25, VII
       Trustee
  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         25, VI
       Secretary
  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            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
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                                5, XXVIII; 28, I, XI; 40, 
                                                  IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  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     45, V
       United States
  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
  Federal Contract Compliance Programs, Office    41, 60
       of
  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

[[Page 897]]

  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  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
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
Micronesian Status Negotiations, Office for       32, XXVII
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     36, XVI
     National Environmental Policy Foundation
National Aeronautics and Space Administration     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      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
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                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
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  10, XVIII
   Commission
[[Page 898]]

Nuclear Regulatory Commission                     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
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
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
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate 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             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV

[[Page 899]]

Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     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; 49, V
  Research and Special Programs 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    12, XVIII
       Fund
  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 Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, 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     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
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

[[Page 901]]



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 January 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 (OMB numbers)........................................48973
0.457 (d)(1)(iv) revised...........................................16879
0.467 (a)(1) amended; (a)(2) revised...............................42453
0.701 (Subpart G) Added.............................................8091
1 Policy statement.................................................62991
1 Technical correction..............................................6483
    Actions on petitions...........................................29722
1.42 (c) added.....................................................47895
1.77 Introductory text amended.....................................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 numbers pending) 
                                                                   16616
    OMB number.....................................................35387
    (a)(13) and (14) amended; (a)(15) added........................47895
1.722 Revised; (OMB numbers pending)...............................16616
    OMB number.....................................................35387
1.724 (b) and (d) revised; (OMB numbers pending)...................16617
    OMB number.....................................................35387
1.726 (a) revised; (OMB numbers pending)...........................16617
    OMB number.....................................................35387
1.735 (g) added; (OMB numbers pending).............................16617
    OMB number.....................................................35387
1.813 Removed......................................................67112
1.913 (g) added.......................................................55
1.934 (d)(2) and (3) amended; (d)(4) added.........................47895
1.1103 Table amended...............................................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; OMB number.......32580
1.1307 (b)(1) Table 1 amended......................................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) introductory text revised.............34581
1.1418 Revised.....................................................34581
1.4000 (Subpart S) Revised (OMB number pending).....................2333
    OMB number.....................................................28841
1.8001--1.8004 (Subpart W) Added...................................47895
1.2105 (c)(1) revised; (c)(6) redesignated as (c)(7); new (c)(6) 
        added......................................................54452
2 Actions on petitions......................................29722, 47591
2.1 (c) amended....................................................50840
2.106 Table amended........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

[[Page 902]]

2.962 (g)(4) revised...............................................27601
2.1043 (a) and (b) revised.........................................50840
2.1300--2.1302 (Subpart L) Removed..................................7580
13.9 (d)(2) revised................................................20752
13.13 (d)(2) revised...............................................20752
15 Actions on petitions............................................31556
15.3 (v) revised...................................................32582
15.107 (e) introductory text revised; (e)(3) added.................19098
15.109 (g) introductory text revised...............................19098
15.121 (b) and (f) revised.........................................32582
15.214 (b) revised..................................................7580
15.255 Heading revised, (b) introductory 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 I Order..................................3616, 3617, 3620, 13291
    Actions on petitions............................................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) redesignated as (q) and (r); new (r) 
        revised....................................................13217
0.61 Undesignated center heading and section revised...............13217
0.91 Undesignated center heading and section revised...............13218
0.101 Removed......................................................13218
0.111 Second 0.111 correctly removed; CFR correction................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 heading and section revised..............13219
0.182 (b) revised..................................................13220
0.241 (d) amended..................................................13220
0.261 (a)(3) revised...............................................13220
0.283 Undesignated center heading and section revised..............13220
0.284 (a) introductory text and (b) amended; (a)(2), (7) and (c) 
        removed; (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) redesignated as (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 revised................................63284
0.347 Amended......................................................13221
0.357 Amended......................................................13221
0.361 Undesignated center heading and introductory text revised....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) introductory text, (i) introductory text, (j) and 
        new (m) revised; (l) removed...............................13221
0.455 Revised......................................................13222
0.465 (a) note revised.............................................13222
1 Policy statement..................................................3441
    Regulation at 67 FR 3620 withdrawn..............................7287
    Order..........................................................13291
    Actions on petitions...........................................17009
    Interpretation.................................................49242
    Technical correction...........................................61000
    Actions on petitions....................................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

[[Page 903]]

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 
        pending)....................................................1619
    Regulation at 67 FR 1619 confirmed.............................10634
1.768 Added.........................................................1622
1.773 (a)(2) introductory text, (4) and (b)(3) revised.............13223
1.774 (e)(2)(ii) revised; (f) amended..............................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) and note revised.......67337
1.1110 (a) introductory text revised...............................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 revised...................................67337
1.1116 (a) introductory text revised...............................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
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) table amended........................................41853
1.2107 (e) revised.................................................45365
1.2110 (c)(2)(ii)(A), (5)(v) and Example 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 Heading and (h) revised.....................................13224
1.7001 (d) revised.................................................13224
1.8002 (b)(1) amended..............................................36818
1.8004 (c) and (d) revised.........................................36818
2 Actions on petitions.............................................12483
    Terminations...................................................39307
    Petition reconsideration.......................................45380
2.100 Revised......................................................59601
2.106 Table amended....................................5508, 6182, 17011
    Table corrected; CFR correction................................13093
    Regulation at 67 FR 17011 eff. date delayed....................20914
    Table amended...........................................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 confirmed.............................678
7.18 Regulation at 64 FR 63257 confirmed.............................678
11 Compliance notification.........................................65321
11.11 (a) tables and (b) revised...................................18506
11.14 Revised......................................................18507
11.16 Introductory text 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 Actions on petitions............................................38903
    Technical correction...........................................48415
15.3 (ee) added....................................................48993

[[Page 904]]

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) redesignated as (b) and (c); (a) 
        and new (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) redesignated as (b)(4) 
        and (5); new (b)(3) added; (e) removed.....................42734
15.249 (b) through (e) redesignated as (c) through (f); (a) 
        introductory text and new (e) revised; new (b) added........1625
15.501--15.525 (Subpart F) Added...................................34856
15.517 (e), (f) and (g) correctly designated as (d), (e) and (f); 
        new (d) introductory text amended..........................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 I Policy statement.........................................25841
0.5 (a)(4) amended.................................................11747
0.21 Undesignated center heading and introductory text amended.....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) redesignated as (a)(15) through (23); 
        new (a)(14) added..........................................36942
0.121 (b) revised..................................................59747
0.271 Undesignated center heading and (a) amended..................11747
0.303 Removed......................................................13850
0.401 (b)(3) revised; (OMB numbers pending)........................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 number pending in part).......................................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) removed.............................25842
1.948 (c) introductory text revised................................42995
    (j) added......................................................66276
1.1104 Table amended; (OMB numbers pending)........................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; (OMB numbers pending)............27001
1.1801--1.1870 (Subpart N) Revised.................................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

[[Page 905]]

1.9001--1.9060 (Subpart X) Added...................................66277
1.9003 OMB number pending..........................................66278
1.9020 (e) OMB number pending......................................66279
1.9030 (e) OMB number pending......................................66281
1.9035 (e) OMB number pending......................................66284
2 Actions on petitions...............................10180, 32406, 38635
2.1 Amended........................................................74330
2.103 (b) introductory text revised................................38638
2.106 Table amended..............3460, 16964, 33023, 33641, 68251, 74330
    Table amended; Footnotes NG156 and NG168 revised; Footnotes 
NG177 and NG 178 added.............................................11990
    Table amended; Footnotes US11, NG53, and NG175 revised; 
Footnote US291 removed; Footnote NG 175 added......................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; Footnotes US364, US366 and US367 added....................25515
    Table amended; Footnotes US356 and NG53 revised................34337
    Footnote US296 revised; eff. 10-6-03...........................46958
2.202 (g) table amended............................................68543
2.948 (a)(2), (3), (b)(8) and (d) revised; (e) added...............68544
2.960 Undesignated center heading added............................68545
2.1033 (d) added; eff. 11-17-03....................................54175
    (c)(17) redesignated as (e)....................................68545
2.1055 (a)(2) revised..............................................68545
2.1061 Undesignated center heading and section 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 revised.................................59336
5.95 Added.........................................................59336
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 Actions on petitions.....................................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 pending)..................................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

  (Regulations published from January 1, 2004, through October 1, 2004)

47 CFR
                                                                   69 FR
                                                                    Page
Title 47 Nomenclature change.......................................18803

[[Page 906]]

Chapter I
0.11 (a)(11) added.................................................30233
0.91 (n) added; eff. 10-13-04......................................55109
0.101 Undesignated center heading revised; section added............7376
0.111 (a)(22) and (c) revised......................................30233
0.121 (b) revised..................................................58097
0.131 (n) revised..................................................24997
0.181 Undesignated center heading, 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
0.251 (i) added....................................................27847
0.291 (i) added; eff. 10-13-04.....................................55109
0.331 (d) introductory text revised; eff. 10-4-04..................46440
0.371 Undesignated center heading and section added.................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) correctly added.....................................33580
0.467 (a)(1) introductory text amended; (a)(1) table and (2) 
        revised....................................................13746
0.481 Revised......................................................41130
1 Actions on petitions......................................30234, 30587
    Technical correction...........................................56956
1.80 (b)(1) through (4), (5) introductory text and (iii) revised; 
        (b)(4) note amended........................................47789
1.721 (a)(13) revised..............................................41130
1.735 (b) introductory text and (4) revised........................41130
1.767 (a) revised...........................................29895, 40327
1.913 Regulation at 68 FR 66276 eff. date delayed in part...........6920
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
1.946 (d) amended; eff. 10-4-04....................................46440
1.948 Regulation at 68 FR 66276 eff. date delayed...................6920
    Regulation at 69 FR 6920 eff. date corrected....................8569
1.1102 Revised.....................................................41130
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 revised...................................41177
1.1115 (a) introductory text and (2) revised.......................41177
1.1116 (a) introductory text and (b) revised; (d) added............27847
    (a) introductory text revised..................................41177
    (a) corrected..................................................57230
1.1118 (a) revised.................................................27848
1.1119 (a) revised.................................................41177
1.1152 Revised.....................................................41055
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
1.1307 (b)(1) Table 1 amended................................3259, 39867
    (b) amended (OMB number pending)................................5709
1.1701--1.1707 (Subpart M) Regulation at 68 FR 27001 eff. 1-26-04 
                                                                    3525
1.1901--1.1953 (Subpart O) Revised.................................27848
1.1910 Correctly revised...........................................57230
1.8002 Regulation at 68 FR 66277 eff. date delayed..................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 (Subpart Y)...................40327
1.9001--1.9060 (Subpart X) Regulation at 68 FR 66277 eff. date 
        delayed in part.............................................6920

[[Page 907]]

1.10000--1.10018 (Subpart Y) Redesignated from 1.9000--1.9018 
        (Subpart Y)................................................40327
1.10000 Revised....................................................47793
1.10006 Revised....................................................47793
1.10007 (b) revised................................................47793
2 Actions on petitions.............................................21760
2.106 Table amended.......2682, 3259, 13747, 18832, 31904, 32878, 46440, 
                                                            48160, 52201
2.913 Revised (OMB number pending in part); eff. 10-7-04...........54033
2.926 (c) introductory text revised; OMB number pending............54033
2.929 (c) and (d) revised (OMB number pending).....................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) revised; (c)(7) added; eff. 10-07-04................54034
2.1033 (c) (17) added (OMB number pending)..........................5709
2.1091 (c) revised..................................................3264
2.1093 (c) revised..................................................3264
2.1204 (a) (10) added (OMB number pending)..........................5709
5.63 (e) added (OMB number pending)................................54586
11.21 Introductory text revised....................................30234
11.43 Revised......................................................30234
11.47 (b) revised..................................................30234
15 Authority citation 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
15.109 (g) introductory text revised................................2849
 (b) revised........................................................2849
    (b) revised; eff. 10-28-04.....................................57861
 (d)(1) revised.....................................................2849
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
15.215 (a) and (c) revised..........................................3265
15.240 Added (OMB number pending)..................................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
15.401 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) removed; eff. 10-7-04.........54036


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